Wittke, W, Pierau, B and Erichsen, C - New Austrian Tunneling Method (NATM) Stability PDF

PUBLICATIONS
Geotechnical Engineering in Research and Practice

WBI-PRINT 5
Edited by Prof. Dr.-Ing. W. Wittke

Beratende Ingenieure für Grundbau und Felsbau GmbH
Consulting Engineers for Foundation

Engineering and Construction in Rock Ltd.
New Austrian Tunneling

Method (NATM)
Stability Analysis and Design
Walter Wittke, Berndt Pierau, Claus Erichsen
translated into English by:

Jens Lüke and Johannes R. Kiehl
Translated from the German edition: Statik und Konstruktion der Spritzbetonbauweise. Geotechnik in
Forschung und Praxis, WBI-PRINT 5, VGE-Verlag Glückauf GmbH, Essen 2002, ISBN 3-7739-1305-2
From the contents:
> Means of support
> Geotechnical mapping and monitoring
> Case Histories:
‚ Crown heading with open invert
‚ Crown heading with closed invert
‚ Sidewall adit heading
‚ Full-face heading
‚ Heading under the protection of pipe umbrellas
‚ Heading under the protection of jet grouting columns
WBI-PRINT 5 WBI GmbH, Henricistr. 50, 52072 Aachen, Germany www.wbionline.de

- III -
Preface
Within the series "WBI-PRINT, geotechnical engineering in research

and practice", volumes 4 to 7 are designed as a compendium of tun-
nel statics. This compendium started with the volume WBI-PRINT 4
"Stability analysis for tunnels, fundamentals", published in 1999
in German and in 2000 in English.
The present volume WBI-PRINT 5 "New Austrian Tunneling Method sta-

bility analysis and design" covers, beside fundamentals of the New
Austrian Tunneling Method (NATM), case histories of realized mined
tunnels designed and constructed with participation of WBI.
The selected case histories from the years 1985 to 2001 include
crown headings with open and closed invert, sidewall adit head-
ings, full-face headings and headings under the protection of pipe
umbrellas and jet grouting columns.
Analyses according to the finite element method have proved to be

an indispensable tool for the design of tunnels. The stability
analyses for all case histories presented were carried out using
the program system FEST03. In order to enable this program system
to be used by our professional colleagues as well, we have been
offering it for sale for some little time now.
WBI-PRINT 5 has been previously published 2002 in German as a pa-

perback. Now the English translation is available online to pro-
vide a worldwide access to those who are interested in tunneling.
It is also available on CD-ROM via WBI company.
The next volume in the series WBI-Print is dedicated to the mecha-

nized tunneling. This volume appears as WBI-PRINT 6 in German in
December 2006. Special problems of tunnel statics will be covered
in WBI-PRINT 7.
I adress my special thanks to my two co-authors and directors at

WBI, Dr.-Ing. B. Pierau and Dr.-Ing. C. Erichsen, who have been
supporting my work substantially for many years. I am also obliged
to Dr.-Ing. J. R. Kiehl for his editorial work. The translation
into English was carried out by Dr.-Ing. J. Lüke as well as Dr.-
Ing. J. R. Kiehl. I convey my sincere thanks to them. Further
thanks are due to our secretary and design office.
Aachen, December 2006
Walter Wittke

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Contents Page
1. Introduction 1
2. Elements of the NATM 4
2.1 Shotcrete 4
2.1.1 Components and composition 4
2.1.2 Spraying methods 7
2.1.3 Early strength 11
2.1.4 Final strength 14
2.1.5 Deformability 15
2.1.6 Rebound 17
2.2 Steel sets 17
2.2.1 Basic types 17
2.2.2 Load-carrying behavior 28
2.3 Anchors 30
2.3.1 Basic types 30
2.3.2 Load-carrying behavior 36
2.4 Advance support 37
2.4.1 Spiles 37
2.4.2 Pipe umbrellas 40
2.5 Geotechnical mapping and monitoring 48
2.5.1 Mapping 48
2.5.2 Monitoring 54
3. Crown heading with open invert 67
3.1 Glockenberg Tunnel near Koblenz, Germany 67
3.1.1 Introduction 67

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Contents Page
3.1.2 Structure 68
3.1.3 Ground and groundwater conditions 71
3.1.4 Excavation classes 73
3.1.5 Stability analyses 76
3.1.6 Crown heading and monitoring results 90
3.1.7 Conclusions 93
3.2 Gäubahn Tunnel in Stuttgart, Germany 94
3.2.2 Structure 94
3.2.5 Stability analyses for the design of the

shotcrete support 102
3.2.6 Crown heading and monitoring results 108
3.3 Hellenberg Tunnel, Germany 111
3.3.2 Structure 111
3.3.5 Crown heading 119
3.3.6 Results of the crown face mapping 121
3.3.7 Stability analyses for the bench

excavation 123
3.3.8 Construction and monitoring results 127

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Contents Page
4. Crown heading with closed invert 131
4.1 Österfeld Tunnel in Stuttgart, Germany 131
4.1.2 Structure 131
4.1.4 Fundamentals of the design 140
4.1.5 Stability analysis for the stages of

construction 141
4.1.6 Excavation and support 147
4.1.7 Monitoring program and interpretation of

the measuring results 151
4.2 Road tunnel "Elite" in Ramat Gan, Israel 156
4.2.2 Structure 159
4.2.4 Design 164
4.2.6 Construction 183
4.2.7 Monitoring 187
4.3 City railway tunnel to Botnang in Stuttgart,

Germany 190
4.3.2 Structure 190

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Contents Page
4.3.4 Design 196

5. Sidewall adit heading 214
5.1 Road tunnel "Hahnerberger Straße" in Wuppertal,

Germany 214
5.1.2 Structure 215
5.1.3 Exploration 216
5.1.4 Design and construction 220
5.1.5 Stability analyses for the stages of

construction 226

interior lining 233
5.2 Limburg Tunnel, Germany 238
5.2.2 Structure 241
5.2.5 Sidewall adit excavation north 248

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Inhalt Page
5.2.6 Stability analyses for sidewall adit,

excavation north 253
5.2.7 Monitoring results 260
5.3 Niedernhausen Tunnel, Germany 262
5.3.2 Structure 264
5.3.5 Three-dimensional stability analyses 270
6. Full-face heading 291
6.1 Urban railway tunnel underneath the Stuttgart

airport runway, Germany 291
6.1.2 Structure 292
6.1.4 Fundamentals of the design 300

6.1.8 Interpretation of the monitoring results 316

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Contents Page
6.2 Freeway tunnel "Berg Bock" near Suhl, Germany 323
6.2.2 Structure 323
6.2.5 Stability analyses for the stages of

construction and design of the shotcrete
support 334

interior lining 340
7. Heading under the protection of jet grouting columns 351
7.1 Road tunnel for the federal highway B 9 in

Bonn-Bad Godesberg, Germany 351
7.1.2 Structure 351
7.1.4 Design and construction 357

7.2 City railway tunnel "Killesberg-Messe" in

Stuttgart, Germany 379
7.2.2 Structure 380

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Contents Page
8. References 404

- 1 -
1. Introduction
The "New Austrian Tunneling Method" (NATM) was originally applied

for tunnels in rock. Since the 1970ies, however, this tunneling
method was carried out more and more also in soft rock with low
overburden and in urban areas. Because of the outstanding impor-
tance of the shotcrete (sprayed concrete) for the application of
this method the denotation "Sprayed Concrete Lining Method" or
simply "Shotcrete Method" is mainly used in Germany.
The NATM is a construction method, which is very adaptive accord-

ing to changing subsoil conditions and changing shapes of cross-
sections. Interacting with the subsoil the primary function of the
shotcrete membrane is to form an arch around the tunnel, which is
capable to carry. With a favourable shape of the tunnel's cross-
section and an adequate sequence of construction stages it is pos-
sible to avoid or at least to minimize bending moments and shear-
ing forces in the shotcrete membrane. Thus, large underground
openings can be supported by relatively thin shotcrete membranes.
With an adequate design also the subsidence on the surface can be
limited to relatively small values.
Stability analyses, in which the interaction of the subsoil with

the support are modeled in a realistic way, however, serve as a
prerequisite for a successful tunnel heading using this method.
The authors are convinced that this is possible only by numerical
computation methods. Stability analyses, therefore, should be car-
ried out generally using finite element codes. A powerful tool,
which is suitable also for three-dimensional problems, is the fi-
nite element code FEST03 developed by WBI and documented in the
volume WBI-PRINT 4 (Wittke, 2000). Since more than 20 years this
program, which in this period of time has been improved and en-
larged several times, serves as an valuable device for a safe and
economic design of tunnels.
The design of a tunnel according to the NATM is carried out step-

wise with the following working steps, which are to be repeated
several time, if required:
- Geotechnical investigations of the ground and groundwater

conditions.

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- Evaluation of the soil and rock mechanical parameters, based

on test results as well as experience.
- Stability analyses for both, the stability proof of the tun-

nel and the design of the shotcrete membrane as well as the
interior concrete lining.
- Design and assessment of excavation methods and support meas-

ures (excavation classes).
- Supervision of stability by geotechnical mapping and monitor-

ing during construction.
- Back analysis of the results of measurements.
The authors of the given volume WBI-Print 5 since more than 20

years are experienced with the stability analysis and design of
tunnels carried out by the NATM. With this volume it will be at-
tempted to transmit this experience by case histories.
In Chapter 2 an overview on the fundamentals of the NATM is given.

Here also new developments such as non-alkaline shotcrete are
treated. Moreover in Chapter 2 geotechnical mapping and monitor-
ing, which are essential parts of this tunneling method, are dealt
with.
Advancing crown headings with open and closed invert are treated
in the Chapters 3 and 4. In each chapter three case histories are
presented.
Advancing sidewall tunnel headings are subject of Chapter 5. Here

also three case histories are documented.
In Chapter 6 two more case histories are presented, in which a

full-face excavation at least in sections were carried out.
Two case histories for headings under the protection of jet grout-
ing columns are dealt with in Chapter 7.
The documentation of the case histories is, as a rule, arranged as

follows:
- Description of the structure,

- 3 -
- characterization of the ground and the groundwater condi-

tions,
- design and excavation classes,
- stability analyses and the design of the shotcrete membrane,
- excavation methods and support measures carried out during

construction,
- geotechnical monitoring and interpretation of measurements,
- conclusions.

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2. Elements of the NATM
2.1 Shotcrete
2.1.1 Components and composition
Requirements
In order to improve workers' protection, minimize environmental

pollution (water and ground) and reduce the amount of eluates (al-
kalis, calcium hydroxides), shotcrete mixes may only be applied in
general if they at least equivalent to conventional structural
concrete mixes for support elements with respect to their physio-
logical properties and their leaching behavior.
The following requirements, among others, have to be met by the

shotcrete:
- Low water permeability,
- no use of alkali-containing additives,
- a minimum strength of the green shotcrete, termed early

strength (see Chapter 2.1.3).
The required early strength for the shotcrete can be achieved by

either:
- The use of so-called spray bonding agents (SBM) or spray ce-

ments, which allow to dispense with setting activators, or
- the use of alkali-free accelerating admixtures in powder or

fluid form.
In special cases, e. g. with a high water discharge, spray bonding

agents and alkali-free accelerating admixtures may also be applied
in combination (ÖBV, 1998).
Bonding agents
According to DIN 18551, the following bonding agents may be used:

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- Standard cements according to DIN 1164 (Parts 1 and 100,

1990),
- spray bonding agents or spray cements certified by the super-

visory authorities.
If spray bonding agents or spray cements have not been certified

by the supervisory authorities, the suitability of the bonding
agent for the production of shotcrete must be proved before con-
struction by a testing certificate from an approved institute for
materials testing. With respect to the leachability the amount of
eluate must not be greater for this bonding agent than for stan-
dard cements. Proof of this must be provided by a testing certifi-
cate from a public health institute.
On the basis of their rate of reaction, one distinguishes between

two types of spray bonding agents (ÖBV, 1998):
- Spray bonding agent SBM-T:

With a maximum processing time of less than one minute, this
type of bonding agent can only be used for the production of
shotcrete with dry aggregates (water content w ≤ 0.2 M.-% and
according to the manufacturer's specification, respectively).
- Spray bonding agent SBM-FT:

With an admissible processing time of several minutes, this
type of bonding agent can also be used for the production of
shotcrete with wet aggregates (water content w generally
2 M.-% to 4 M.-%).
Admixtures
With respect to the improvement of the shotcrete properties such

as workability, stickiness, formation of dust, rebound, strength
and tightness of the shotcrete fabric as well as reduction of the
heat production, adding hydraulically active admixtures is useful
(ÖBV, 1998).
Fly ash is a proven admixture, but the use of other admixtures is

also possible (e. g. silica dust, smelting sand, hydraulic lime).
The total amount of added ground material and admixtures must not
exceed 35 % of the bonding agent (ÖBV, 1998).

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Aggregates
For shotcrete, concrete aggregates as specified in DIN 4226 (parts

1 and 2, 1983) must be used (DIN 18551, 1992). The maximum grain
size must be selected between 4 and 16 mm (ÖBV, 1998).
Additives
Until a few years ago, alkali-containing accelerating admixtures

were used as additives for shotcrete. This way it was possible to
achieve a favorable development of early strength (see Chapter
2.1.3). These additives are strongly caustic and due to reasons of
environmental protection they are not used anymore. Furthermore,
they have a negative effect on the leaching behavior of the shot-
crete. This has lead e. g. to drainages being clogged by encrusta-
tions and in some cases also to contaminations in the groundwater
caused by the eluates. In addition, the shotcrete became porous
and permeable to water with the leaching. This results in decreas-
ing strength with progressing age.
It is therefore state-of-the-art today to use spray bonding agents

or spray cements without accelerating admixtures or with alkali-
free accelerating admixtures, added as powder or in fluid form and
certified by the supervising authorities.
The suitability of the planned shotcrete recipe including the used

additive must be proved before construction by laboratory testing
of the setting behavior, the early strength and the strength de-
velopment. Laboratory tests yield reference values, but they can-
not capture all influences from the construction site and there-
fore cannot replace suitability testing on site (ÖBV, 1998). Fur-
thermore, it has to be proven that the additives do not have a
negative impact on the reinforcement and the remaining steel
mounting parts.
Composition
According to ÖBV (1998), the mixes for dry-mix and wet-mix shot-
crete are subdivided into:
- Dry mix (TM),
- moist mix, storable (FM-L),
- moist mix for immediate application (FM-S),
- wet mix (NM).

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These mixes are referred to as supply mixes. They differ in compo-

sition from the sprayed concrete due to the rebound occurring dur-
ing spraying. The rebound is the share of the shotcrete mix which
does not adhere to the surface of application during spraying and
which must be disposed of.
2.1.2 Spraying methods
Dry-mix method
For the dry-mix method, TM, FM-L and FM-S mixes can be used. The
mix is conveyed intermittently to the spray nozzle via compressed
air using a piston or rotary engine (thin stream transport). At
the nozzle, it is wetted with water and sprayed onto the surface
of application at a speed of 20 m/s to 30 m/s.
Fig. 2.1: Placing of the shotcrete by a manually guided spray

nozzle (DB, 1985)

- 8 -
Fig. 2.2: Placing of the shotcrete using a spray vehicle with

a remote-controlled spray arm (Limburg Tunnel, new
railway line Cologne – Rhine/Main)

- 9 -
Liquid accelerating admixture is added continuously to the supply

water using dosing pumps. Accelerated admixture in powder form is
added immediately before the mix transport using proportioners.
Nowadays, the shotcrete is only rarely applied to the tunnel sur-

face by a manually guided spray nozzle (Fig. 2.1). It is standard
practice to apply the shotcrete using a spray vehicle with a re-
mote-controlled spray arm (Fig. 2.2). Due to the high velocity of
the shotcrete during placing, high rebound portions arise from the
dry-mix method. A further problem is the resulting heavy formation
of dust. The dry-mix method is therefore only permitted for spe-
cial cases by the government safety organizations today.
An alternative transportation technique for dry-mix shotcrete was

developed by the Rombold und Gfröhrer Co. Here, the dry-mix shot-
crete is subjected to compressed air in a pressure tank (silo) and
conveyed via dust-encapsulated dosing screws continuously and
dust-free with the air stream to the spray nozzle. As in the con-
ventional dry-mix method, the water is added only just before the
nozzle (Balbach and Ernsperger, 1986). As a bonding agent, spray
cement with a swift development of strength (fast cement) and a
high final strength is used (see Chapters 2.1.3, 2.1.4 and 4.1.4).
The addition of an accelerating admixture is therefore not neces-
sary.
Advantages of the dry-mix method are the workability in small

amounts and the transportability over long distances.
Wet-mix method
With the wet-mix method, the wet mix (NM) is conveyed by the
spraying machine to the spray nozzle either by compressed air
(thin stream transport) or hydraulically using piston pumps (thick
stream transport).
Like dry-mix shotcrete, wet-mix shotcrete is generally applied us-

ing a spray vehicle with a remote-controlled spray arm (Fig. 2.2).
Manually guiding the spray nozzle is problematic because of the
high weight of the wet-mix shotcrete.
Less rebound, less formation of dust and a higher spraying per-

formance are advantages of the wet-mix method over the dry-mix
method.

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Processing and application
Before the shotcrete is applied, loose rock must be removed from

the excavation surface. The surfaces of application must be care-
fully cleaned with compressed air in order to achieve the best
possible adhesion of the shotcrete. This particularly applies if
the shotcrete lining is constructed in layers or if longer inter-
ruptions occur during the application of the shotcrete.
An immediate sealing of the exposed rock surfaces with shotcrete

of at least 3 cm thickness is intended to provide early support to
the ground close to the excavation surface in order to largely
avoid loosening and the resulting decrease in rock strength.
The shotcrete must be applied in such a way that a homogeneous,

dense shotcrete with a closed, even surface is achieved.
Thick shotcrete linings are applied in two or more layers in order

to avoid separation from the excavation surface. The shotcrete
must be applied in such a way that spraying rebound and adherent
spray dust into the shotcrete is avoided by all means. Rebound and
dust must be removed before the next shotcrete layer is applied,
and the shotcrete lining must always be constructed from the bot-
tom to the top.
The distance between the nozzle and the surface of application

must be adapted to the delivery rate and the speed of application.
It ranges between 0.5 and 2.0 m, depending on the air flow. The
nozzle should be oriented at right angles to the surface of appli-
cation, if possible. Exceeding or falling below the recommended
nozzle distance as well as an inclined orientation of the nozzle
relative to the surface of application generally lead to a reduced
quality of the shotcrete and an increased amount of rebound. In
case of steel insertions such as steel arches, steel girders, lag-
ging plates, pipes, etc., spray shadows cannot be totally avoided,
but they can be considerably reduced by proper nozzle control
(ÖBV, 1998).
Special care has to be taken when the connection is made to the

existing shotcrete lining in the crown invert, the bench invert
and the permanent invert. Existing rebound must be removed first.
The reinforcement and the support arches should be completely
wrapped up in shotcrete. It is important that the visible surfaces

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are constructed in a convex shape only, if possible, in order to

achieve an arching effect.
2.1.3 Early strength
Shotcrete up to an age of 24 hours is termed green shotcrete.
With respect to the requirements on strength development, green

shotcrete is distinguished into the three early strength classes
J1, J2 and J3 determined on the basis of years of experience (Fig.
2.3).
Fig. 2.3: Early strength classes of green shotcrete (ÖBV,

1998)
Class J1 shotcrete is suitable for the application of thin layers

on dry surfaces without specific statical requirements. It has the
advantage of little dust development and rebound.
If statical requirements exist with respect to the green shot-

crete, e. g. for the exterior lining of a traffic tunnel, class J2
shotcrete is generally used. Class J3 shotcrete is required if rap-

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idly developing loads from water pressure and/or rock pressure are
to be expected.
It is known from experience that dry-mix shotcretes allow to

achieve the highest early strength values. Fig. 2.4 shows the com-
parison of the strength development of two wet-mix shotcretes, one
with accelerating admixture containing alkali (1) and one with al-
kali-free accelerating admixture (2), and one dry-mix shotcrete
with alkali-free spray bonding agent (3). The latter type reaches
class J3. Using accelerating admixtures, either containing alkali
or alkali-free, class J2 is reached. Here, the shotcrete with al-
kali-free accelerating admixture shows greater early strength.
Fig. 2.4: Comparison of the strength development of shotcretes

with accelerating admixtures, either containing al-
kali or alkali-free, and alkali-free spray bonding
agent
Because of the disadvantages of the dry-mix method compared to the

wet-mix method, which are discussed in Chapter 2.1.2, wet-mix
shotcrete is often preferred over dry-mix shotcrete also when high

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demands are made on the early strength, notwithstanding that a

higher early strength can be achieved with dry-mix shotcrete.
An example for this is the shotcrete for the Schulwald Tunnel of

the new railway line (NBS) Cologne – Rhine/Main of German Rail.
Due to the predicted poor geological conditions, dry-mix shotcrete
with spray cement as bonding agent was selected at first. After
comprehensive preliminary testing, an early strength corresponding
to class J3 was achieved with the recipe given in Fig. 2.5. Because
of the high formation of dust during the application and the in-
sufficient placement performance, it was later decided to change
to wet-mix shotcrete with a liquid, alkali-free accelerator (BE
U22). With this shotcrete, the recipe and early strength develop-
ment of which are given in Fig. 2.6, a class J2 early strength was
achieved which proved sufficient. A placement performance of up to
25 m3/h was obtained with this wet-mix shotcrete, which clearly ex-
ceeds the 14 m3/h achieved with the dry-mix method. Further, re-
bound values of less than 10 % were reached (Brötz et al., 2000).
Fig. 2.5: Recipe and early strength development of the dry-mix

shotcrete for the Schulwald Tunnel of the new rail-
way line Cologne – Rhine/Main (Brötz et al., 2000)

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Fig. 2.6: Recipe and early strength development of the wet-mix

shotcrete for the Schulwald Tunnel of the new rail-
way line Cologne – Rhine/Main (Brötz et al., 2000)
2.1.4 Final strength
Besides its rapid strength development, shotcrete with alkali-free

accelerating admixtures or spray bonding agents also possesses a
high final strength. While accelerators containing alkali impede
the hydration of the cement, this is not the case if alkali-free
accelerating admixtures or spray bonding agents are used. A final
strength of 30 to 40 N/mm2 can be obtained in practice (Brötz et
al., 2000; Bauer, 2000; NATS, 1998). With shotcrete with accelera-
tors containing alkali, even a final strength of 25 N/mm2 combined
with a high early strength is difficult to achieve (NATS, 1998).

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2.1.5 Deformability
The deformation behavior of green shotcrete according to Hesser

(2000) is essentially characterized by
- hardening with time and a creep ability decreasing with time,
- overproportional, non-linear creep with increasing load.
The Young's moduli determined by Hesser (2000) in laboratory tests

on dry-mix shotcrete test specimens of different ages show good
agreement with the relations by Weber (1979) and by the Comité Eu-
ro-International du Béton (CEB, 1978) (Fig. 2.7a).
Fig. 2.7b shows the development of Young's modulus in the first 24

hours. According to this, Young's modulus of the shotcrete amounts
to approx. 15000 MN/m2 after 24 hours, with creep and shrinkage not
being taken into account.
Investigations by Manns et al. (1987) showed that the creep and

shrinkage deformations of wet-mix shotcrete are larger than those
of dry-mix shotcrete. In comparison to standard concrete, the
creep and shrinkage deformations of shotcrete are generally
clearly larger.
In finite element stability analyses for tunnels, the development

of Young's modulus of the shotcrete with time as well as creep and
shrinkage are generally not taken into account. An equivalent
modulus is instead assigned to the shotcrete to account for hard-
ening during application of the load as well as creep and shrink-
age.
The interpretation of the displacements and stresses measured at

different tunneling projects by means of back analyses has shown
that a modulus of E = 15000 MN/m2 can be used as equivalent modulus
of the shotcrete, corresponding to the 24-hour-value after CEB and
Weber (see Fig. 2.7b). Specially in cases, where the shotcrete is
already loaded at a young age due to short round lengths and early
closing of the invert, values of 2000 to 7500 MN/m2 for the equiva-
lent modulus have proven to be more realistic (see Chapters 6.1
and 7.1).

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Fig. 2.7: Development of Young's modulus for shotcrete: a) In

the first 49 days; b) in the first 24 hours

- 17 -
The development of the deformability of shotcrete with time in-

cluding shrinkage and creep and its representation in numerical
analyses are still a subject of further development.
2.1.6 Rebound
As mentioned above, the amount of rebound is higher for dry-mix

shotcrete than for wet-mix shotcrete. Using dry-mix shotcrete with
spray bonding agent, however, allows to reduce the rebound consid-
erably as compared to conventional dry-mix shotcrete (Fig. 2.8).
Fig. 2.8: Comparison of rebound between conventional dry-mix

shotcrete, dry-mix shotcrete with spray bonding
agent and wet-mix shotcrete (NATS, 1998)
The rebound further depends, among other things, on the water ce-
ment ratio, the aggregates and the cement type (Maidl, 1992).
2.2 Steel sets
2.2.1 Basic types
Steel sets are made with different profiles. Examples are shown in
Fig. 2.9. One distinguishes between plain girders and lattice
girders.

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Fig. 2.9: Profiles for steel sets, survey (Heintzmann Iron-

works Bochum, Germany)
Among the plain girders are e. g. GI profiles (mining I profiles),

TH profiles, bell profiles and standard profiles. Their dimen-
sions, weights, geometrical moments of inertia, section moduli and
characteristic parameters are given in Fig. 2.10. Further plain
girders are star profiles, the specifications of which are shown
in Fig. 2.11.

- 19 -
Fig. 2.10: Specifications of GI-profiles, TH profiles, bell

profiles and standard profiles (Maidl, 1984)

- 20 -
Fig. 2.11: Specifications of star profiles (Heintzmann Iron-

works Bochum, Germany)
Fig. 2.12 to 2.14 show examples of butt joints of HEB profiles,

TH channel profiles and star profiles.
Fig. 2.12: HEB profile joints: a) Butt strap joints; b) slab

joints

- 21 -
Fig. 2.13: Flexible joint for TH gutter profiles
Fig. 2.14: Star profile joint (Heintzmann Ironworks Bochum,

Germany)

- 22 -
For the same bending stiffness, lattice girders have less weight
per meter of girder length than plain girders. They are therefore
easier to handle. Lattice girders are distinguished into 3-
stringer girders (Fig. 2.15) and 4-stringer girders. Fig. 2.16
shows the specifications for 3-stringer lattice girders in which
the rods are welded to the stiffening elements from the inside.
The rods of the Pantex 3-stringer and 4-stringer PS-girders are
welded to the stiffening elements from the outside (Fig. 2.17,
2.18 and 2.19).
Fig. 2.15: 3-stringer lattice girder (Dernbach Tunnel, new


- 23 -
Fig. 2.16: Specifications of 3-stringer lattice girders

(Heintzmann Ironworks Bochum, Germany)

- 24 -
Fig. 2.17: Pantex 3-stringer PS-girder (Tunnel-Ausbau-Technik

Ltd., Germany)
For the same height, plain girders like GI, TH and other profiles
have a far greater normal and bending stiffness than lattice gird-
ers (Fig. 2.20). The normal stiffness of lattice girders is inde-
pendent of their height, if the cross sectional area of the
stringer rods As remains constant. In Fig. 2.20, As = 12.4 cm2 was
assumed for the stringer rods (d1 = 20 mm, d2 = 28 mm, see Fig.
2.16).

- 25 -
Fig. 2.18: Specifications of Pantex 3-stringer PS-girders (Tun-

nel-Ausbau-Technik Ltd., Germany)

- 26 -
Fig. 2.19: Specifications of Pantex 4-stringer PS-girders (Tun-

nel-Ausbau-Technik Ltd., Germany)

- 27 -
Fig. 2.20: Bending and normal stiffness vs. height of steel

sets

- 28 -
2.2.2 Load-carrying behavior
Steel sets only become fully effective as a support if they form a

closed ring. In this way they are often used as support in mining
without additional support measures.
In tunneling according to the NATM, the steel sets have further

tasks as:
- Immediate support of the tunnel face area over the length of

the foremost round,
- template of the tunnel profile for the application of the

shotcrete and the excavation of the next round,
- support for spiles installed as advance support for the next

round (see Fig. 2.15 and Chapter 2.4.1).
In tunneling according to the NATM, steel sets are only rarely in-
stalled as a closed ring after each round. Therefore, immediately
after their installation, they only have very little bearing ca-
pacity.
For the NATM, the load-carrying behavior of the steel sets is

based on their bond with the shotcrete membrane. Immediately after
a steel set is installed and covered with shotcrete, when the
shotcrete still has a very low Young's modulus, it is mostly the
steel set that carries the loads resulting from rock mass pres-
sure. Since steel sets are usually installed closely behind the
tunnel face, this loading at the beginning is generally small.
With progressing hardening of the shotcrete with time, the normal
strength and thus the bearing capacity of the shotcrete membrane
increases. Finally, after the shotcrete has fully hardened, the
normal stiffness of the steel sets can be neglected compared to
the one of the shotcrete membrane.
Fig. 2.21 illustrates this for the example of a 30 cm thick shot-

crete membrane. It shows the ratio of the normal stiffnesses of
the shotcrete membrane and the steel sets vs. the Young's modulus
and the age of the shotcrete, respectively for two GI profiles and
one 3-stringer lattice girder. A spacing of the steel sets of 1 m
is assumed for all cases. It becomes evident that already at the
age of a few hours the normal stiffness of the shotcrete membrane

- 29 -
exceeds the one of the steel sets. After 24 hours, the normal
stiffness of the shotcrete membrane amounts to 17 times of that of
the lattice girders and 4 to 8 times the one of the GI profiles.
Fig. 2.21: Ratio of normal stiffnesses of shotcrete membrane

and steel sets vs. Young's modulus and age of the
shotcrete

- 30 -
The steel sets covered with shotcrete can also be accounted for as
part of the reinforcement for the dimensioning of the shotcrete
membrane (e. g. stringer rods of lattice girders). This requires
however that the steel sets are completely covered with shotcrete.
Especially if plain girders are used, however, the bond is reduced
due to spray shadows. Therefore, in general steel sets are conser-
vatively disregarded as reinforcement and in finite element analy-
ses, the steel sets are generally not modeled.
In Guideline 853 of German Rail (DB, 1999), the following criteria

for the selection of steel sets are given:
- Plain girders yield more stable immediate support than lattice

girders. This requires, however, friction-locked connections
between the supports and the rock.
- Lattice girders bond better with the shotcrete and lead gener-
ally to tighter shotcrete membranes than plain girders.
- Spray shadows are generally smaller for lattice girders than

for plain girders.
Details regarding the better bonding effect of lattice girders

with shotcrete and the consequences for the strength and tightness
of the shotcrete membrane can also be found in Eber et al. (1985).
2.3 Anchors
2.3.1 Basic types
Except for special cases, in tunneling mainly non-prestressed (un-

tensioned) anchors, termed rock bolts, are used in boreholes. A
detailed description of the terms and designations of rock bolts
is given in the German standard DIN 21521 "Gebirgsanker für den
Bergbau und den Tunnelbau" ("Rock bolts for mining and tunnel-
ing").
With respect to the load-carrying behavior (see Chapter 2.3.2),

bond anchors, which are form-locked with the rock mass (Fig. 2.22a
to c), are distinguished from anchors that are friction-locked
with the rock mass (Fig. 2.22 d). In addition, there are anchors
that are form-locked as well as friction-locked with the rock mass
(Fig. 2.22e).

- 31 -
Fig. 2.22: Anchors: Cement mortar anchor (SN-anchor); b) syn-

thetic resin anchor; c) injection drill bolt (IBO-
bolt); d) expansion shell bolt; e) injection bolt
with expansion shell

- 32 -
Among the form-locked anchors are the mortar anchors (e. g. SN-
anchors, IBO-rods), the resin anchors and the friction pipe an-
chors (e. g. Swellex anchors, split-set anchors). A friction-
locked bond with the rock mass results for the expansion shell
bolt.
In the case of the mortar anchor and the resin anchor, the bond
between the anchor rod and the rock is effected by a setting agent
(cement mortar or synthetic resin mortar) over a specific length
of the borehole (Fig. 2.23). If the bond extends over the full
length of the borehole, the terms full bond anchor or fully ce-
mented anchor are used as well. Among the full bond anchors are
also the friction pipe anchors, the anchor rod of which consists
of a pipe folded in the longitudinal axis (Swellex-anchor) resp.
slit open (split-set-anchor). In the borehole, this pipe is braced
against the rock mass by pressing it against the borehole wall.
Expansion shell bolts are rock bolts in the case of which the bot-
tom end of the anchor rod is braced against the borehole wall us-
ing wedge-shaped or conical elements (expansion elements) (DIN
21521, Fig. 2.22d).
The use of SN-anchors, resin anchors, friction pipe anchors and

expansion shell bolts requires that the boreholes for the instal-
lation of the anchors are stable. Fig. 2.23 shows the working
steps for the installation of a mortar anchor (SN-anchor). For un-
stable boreholes so-called injection drill bolts (IBO-bolts) are
used (Fig. 2.22c and 2.24). Injection drill bolts consist of an
anchor pipe which is made of high-strength steel with a continu-
ously rolled-on thread and constitutes the drill bar. A drill bit
is screwed on to the bottom end of the anchor pipe. After the
borehole has been drilled to the desired depth, it remains with
the anchor pipe in the borehole. The bond between the anchor pipe
and the rock mass is accomplished by the injection of cement sus-
pension via the anchor pipe through injection openings in the
drill bit and the anchor pipe. The loosened rock mass surrounding
the borehole is also injected and stabilized in the process (Fig.
2.24).
Expansion anchors constructed as injection bolts (Fig. 2.22e) rep-

resent a combination of a friction-locked and form-locked connec-
tion between the anchor rod and the rock mass. The working steps
for the installation of this anchor type are shown in Fig. 2.25.

- 33 -
Fig. 2.23: Installation of a mortar anchor (SN-anchor)

- 34 -
Fig. 2.24: Installation of an injection drill bolt: a) Drill-

ing; b) grouting
Fig. 2.25: Installation of an expansion anchor constructed as

an injection bolt (Ischebeck Titan Ltd.)

- 35 -
In tunneling, non-prestressed (untensioned) anchors are generally

installed as systematic anchoring for the excavation support in a
raster determined on the basis of statical criteria. Anchor
lengths between 3 and 6 m are common. Using sleeve connections,
anchor lengths up to approx. 18 m are feasible. The anchors basi-
cally consist of an anchor rod and an anchor head with an anchor
plate.
Anchor manufacturers offer anchor rods made from steel and glass
fiber reinforced synthetics with different strengths and cross-
sections (plain section, pipe cross-section). The advantages of
glass fiber anchors over steel anchors lie mainly in the fact that
they can be cut as well as bent. Glass fiber anchors are therefore
often installed at locations where they have to be removed in the
course of further excavation, e. g. for the support of the inner
walls during sidewall adit heading or for the support of the tun-
nel face. Disadvantages of glass fiber anchors are the facts that
they can carry only very small shear forces and that the transfer
of point loads into the anchor at the anchor head is difficult to
enable with the anchor design.
The anchor heads should always be constructed in such a way that

the anchor plates lie flat on the excavation surface or on the
shotcrete and that the load transfer from the anchor plate to the
anchor rod does not lead to bending or shear loading of the anchor
rod. Therefore, mainly so-called sphere cap anchor plates are used
that are spherically shaped around the hole. For the nuts screwed
onto the anchor rods, so-called sphere cap nuts are used, which
have a spherical surface in the contact area with the anchor
plate. The anchor plates should have minimum dimensions of 150 x
150 x 10 mm.
Special anchor head designs have been developed for the use of
non-prestressed anchors in squeezing rock. If a certain anchor
load is reached, these anchor heads yield, thus avoiding over-
stressing of the anchors. Since these anchor types are special-
purpose designs adjusted to the individual case, they will not be
dealt with here in more detail.
The admissible anchor force is the maximum force the rock bolt is
permitted to be subjected to (maximum tensile force, maximum bond
force or limit creep force) divided by a factor of safety. The
maximum tensile force of the anchor rod is calculated according to

- 36 -
DIN 21521 from the relevant cross-section in connection with the

design strain limit and the design tension yield stress of the
used material, respectively. The maximum bond force between the
anchor rod and the rock mass must be determined for the individual
case by pull tests according to DIN 21521. The limit creep force
is the force which leads to the chosen creep rate according to DIN
4125 in the pull test.
For glass fiber anchors, attention must be paid to the fact that
the failure load of the anchor rods is generally far higher than
the failure load of the anchor head parts.
2.3.2 Load-carrying behavior
In tunneling, rock bolts are installed as single anchors to sup-

port individual rock wedges susceptible to sliding, as surface an-
choring to support the excavation surface (tunnel walls, tunnel
face), and as systematic anchoring to improve the load-carrying
capacity of the rock mass. Surface and systematic anchorings fur-
thermore serve the purposes of supporting regions prone to col-
lapse and of improving the load transfer between the steel sets
and the shotcrete on the one hand and the rock mass on the other.
For systematic anchorings mostly fully cemented anchors (SN-
anchors) or injection drill bolts (IBO-bolts) are used.
Rock bolts must carry tensile and possibly shear forces. Failure
of the anchors due to overstressing may occur. The failure mode of
bond anchors depends on whether they are placed in rock or in
soil. In rock, generally the anchor rod breaks before the bond
fails. In soil, failure of the mortar over the bond length occurs
first.
Systematic investigations into the mechanism of operation and the

load-carrying capacity of cemented steel anchors were first car-
ried out by Bjurström (1974). These investigations led to formulae
for the shear resistance of inclined and not inclined anchors.
Further relations for the shear resistance were provided by Azuar
and Panet (1980). Empirical equations for the shear and tensile
resistance were developed by Dight (1983). Spang and Egger (1989)
provide formulae to determine the shear resistance contribution T0
by which the shear resistance of a discontinuity increases as a
consequence of anchoring. This contribution can be converted into
an "anchor cohesion"

- 37 -
T0
cA = (2.1)
A
by which the cohesion of the rock mass increases due to a system-

atic anchoring. In (2.1) A is the effective area per anchor of a
systematic anchoring. Since glass fiber anchors only have very
little shear resistance, they are not suited for a systematic an-
choring to increase the rock mass strength.
Equation (2.1) makes it possible to model a systematic anchoring

in FE-analyses by an increase in the cohesion of the rock mass. As
an alternative, individual anchors can be modeled by truss ele-
ments, which, however, can only transfer axial forces. The com-
bined tension and shear loading of cemented anchors can therefore
not be captured by the common truss elements.
Erichsen and Keddi (1990) and Keddi (1992) report on numerical

analyses of the influence of anchor design and bond between rock
bolt and rock mass on the load-carrying behavior of cemented an-
chors.
2.4 Advance support
2.4.1 Spiles
In loose rock, steel spiles are used as advance support of the

workspace at the tunnel face in order to limit overbreak and to
protect the miners against falling rock. The spiles are arranged
in the roof area of the tunnel approx. parallel to the tunnel axis
in the form of a fan. They are installed before the underlying
round is excavated. The length of the spiles should be at least
three times the round length in order to enable sufficient over-
lap. The spacing between the spiles should not exceed 30 cm. Fig.
2.26 shows exemplarily the advance support using spiles at the
sidewall adit excavation of the Limburg Tunnel of the new railway
line Cologne – Rhine/Main in longitudinal section and cross-
section.

- 38 -
Fig. 2.26: Advance support using spiles (spile umbrella Limburg

Tunnel, new railway line Cologne – Rhine/Main): a)
Longitudinal section A-A; b) cross-section B-B
One distinguishes mortar spiles, driven spiles and injection drill

spiles.

- 39 -
Mortar spiles made from rebars are installed with lengths of 3 to

6 m. They are designed for a rock mass in which the drillholes are
stable without a casing. The rebars (∅ 25 – 28 mm) are installed
in mortar-filled drillholes. By the use of a accelerating admix-
ture or by choosing an appropriate time of installation, respec-
tively, it is ensured that the mortar achieves sufficient strength
by the beginning of the following excavation works. Fig. 2.27
shows mortar spiles that were blasted free during excavation. In
this case they do not fulfill their original purpose, which is to
limit overbreak and to protect the workspace against falling rock.
The blasting was not carried out smoothly with respect to the
rock.
Fig. 2.27: Mortar spiles with lattice girder, blasted free
Driven spiles consist of steel pipes 3 to 6 m long, which are

driven into pre-drilled holes. The diameter of the steel pipes is
slightly larger than the diameter of the drillholes. If the steel
pipes are designed correspondingly and the rock mass is groutable,
a later rock mass improvement using injections is possible. Fig.
2.28 shows driven steel pipe spiles installed as advance support
in the Tunnel Deesener Wald of the new railway line Cologne –
Rhine/Main.

- 40 -
Fig. 2.28: Driven steel pipe spiles (Tunnel Deesener Wald, new
Injection drill spiles (IBO-spiles) are installed with a length of

4 to 12 m. They are used in rock mass conditions where stable
holes cannot be drilled and/or the rock is to be strengthened by
grouting with cement suspension at the same time. Depending on the
diameter of the anchor rod, the holes for the spiles are drilled
with a diameter ranging from 42 to 76 mm. The spiles consist of
steel pipes with a lost drill bit, which are used for flushing
during drilling and for grouting the drillhole together with the
surrounding rock mass after the planned depth is reached. Instal-
lation and grouting of injection drill spiles are carried out cor-
responding to Fig. 2.24.
2.4.2 Pipe umbrellas
If the spiles described in section 2.4.1 do not offer sufficient

support, pipe umbrellas are used. They are applied mostly in cohe-

- 41 -
sionless, loose ground if streets or structures are undercut with

little cover. Just as spiles, pipe umbrellas are constructed over
a certain part of the circumference of the excavation profile,
preceding the excavation. Because of the dimensions of the pipes,
pipe umbrellas are far stronger than spile umbrellas and extend
further in advance of the excavation.
Instead of pipe umbrellas, composite pile and jet grouting umbrel-

las are also constructed in connection with the NATM for the ad-
vance support of the workspace at the tunnel face. In the follow-
ing, only pipe umbrellas will be covered. Examples for composite
pile umbrellas and jet grouting column are described in Chapters
3.2 and 7. The jet grouting technique is covered in detail in
Chapter 7.
Two systems for the construction of pipe umbrellas are distin-

guished:
- Pipe umbrella with niches (Fig. 2.29),

- pipe umbrella without niches (Fig. 2.30).
If the pipe umbrella is constructed from niches, the excavation

profile of the tunnel is widened in the course of the excavation,
so that the drill points for the steel pipes of an umbrella are
located outside of the shotcrete membrane (Fig. 2.29). Thus, the
geometry of the steel sets must be adapted for each round and the
niches must at least partially be filled with shotcrete before the
sealing and the interior lining are installed.
If the pipe umbrella is constructed without niches, the drill

points for the steel pipes are located in the tunnel face of the
standard excavation profile (Fig. 2.30). In the course of further
excavation, the pipe sections lying within the cross-section of
the shotcrete membrane must be cut off after each round.
Pipe umbrellas are constructed with lengths of ca. 15 to 30 m with

a heavy drill rig (e. g. drill carriage, Fig. 2.31). The outer di-
ameter of the steel pipes used varies between 76 mm and 200 mm,
while the wall thickness of the pipes ranges from 8 mm to 25 mm.
The pipes serves as the casing while the boreholes are drilled,
and remain in the soil or rock, respectively, as a structural ele-
ment of the pipe umbrella. After the installation of the pipes,
the annular gap between the pipes and the rock mass and as far as

- 42 -
possible also the surrounding rock mass itself are grouted with
cement suspension from out of the pipes in order to improve the
support effect of the pipe umbrella. To this end, the pipes are
provided with injection valves at a spacing of 0.5 to 1 m (Fig.
2.32). The pipes are subsequently closed with a cover and filled
with suspension or mortar.
Fig. 2.29: Pipe umbrella with niche (Niedernhausen Tunnel, new

railway line Cologne – Rhine/Main): a) Longitudinal
section; b) Detail A

- 43 -
Fig. 2.30: Pipe umbrella without niche (Dernbach Tunnel, new

railway line Cologne – Rhine/Main): a) Longitudinal
section; b) Detail A; c) Detail section 1-1

- 44 -
Fig. 2.31: Pipe umbrella in the Dernbach Tunnel (new railway

line Cologne – Rhine/Main): a) Pipe umbrella; b) in-
stallation of a pipe

- 45 -
Fig. 2.32: Pipe with injection valve
The boreholes for the pipe umbrella are arranged over a certain
portion of the circumference of the excavation profile at a spac-
ing of 30 to 50 cm. They are drilled ascending at an angle of ap-
prox. 5° with respect to the tunnel axis. The pipes of two pipe
umbrellas should overlap by at least 3 m in the longitudinal tun-
nel direction (Fig. 2.29 and 2.30).
In soil and in weathered, soft rock the boreholes are generally

drilled with an auger and air and/or water flushing (Fig. 2.33).
In rock or for large pipe diameters, however, mostly down-hole
hammers are used. Here, the drill bit and the pipe are either con-
nected by a bayonet joint so that the casing is continuously
pulled into the borehole with the advance of the drill pipe, or
the pipes are pushed hydraulically by the drill rig. After the fi-
nal depth is reached, the drill pipe and the drill bit are re-
leased from the pipe and pulled out.

- 46 -
Fig. 2.33: Auger for the installation of pipes

- 47 -
Fig. 2.34: Construction of the pipe umbrella at the starting

wall of the Dernbach Tunnel (new railway line Co-
logne – Rhine/Main)

- 48 -
Fig. 2.34 shows the construction of a pipe umbrella through the

starting wall of the Dernbach Tunnel of the new railway line Co-
logne – Rhine/Main. The starting wall is supported by shotcrete
and anchors. In this case, the shotcrete support of the starting
wall was drilled through before the pipes for the pipe umbrella
were installed.
2.5 Geotechnical mapping and monitoring
2.5.1 Mapping
Before the excavation of a tunnel, in general only surface expo-

sures and boreholes are available to assess the ground. Their re-
sults must be extrapolated to the planned tunnel and its surround-
ing area. Because of the ensuing uncertainties in assessing the
ground conditions, mapping of the temporary tunnel face during
construction is absolutely necessary. They form an essential basis
for adapting the support to the local conditions.
The extent of a geotechnical mapping of the tunnel face depends

essentially on the available time. A "detailed mapping" including
comprehensive information on the intact rock, the fabric and the
groundwater can usually only be carried out if the tunnel excava-
tion is halted. With routine mappings during the excavation, it is
in general only possible to record these properties randomly. In
this case, however, it is important to recognize and document de-
viations or changes in the local conditions.
In a detailed mapping, the following properties should be recorded

as far as possible (Wittke, 1990):
- Rock types and rock boundaries (boundaries of layers),
- degree of weathering of the intact rock,
- orientation of the discontinuities (strike and dip angle),
- location, spacing and trace lengths of discontinuities, i. e.

of the intersections of the discontinuities with the excavated
rock surface,
- location and shape of visible discontinuities lying at the

rock surface,

- 49 -
- opening widths of open or filled discontinuities,
- fillings and coatings of discontinuities,
- location, dimensions and properties of large discontinuities

and faults,
- location of seepage water and quantity of discharge.
Apart from these information, the field protocol should include

further peculiarities, such as for example information on discon-
tinuities which tracings are so closely spaced that they cannot be
recorded individually for reasons of time alone. Half-quantitative
descriptions such as "strongly jointed" or "strongly fractured"
are sufficient in this context. These descriptions should be com-
plemented with information on the magnitude of the spacing in cm
or dm. Further, recordings of the unevenness and roughness of the
discontinuities and of possible indications of weathering on the
discontinuity surfaces should be made. The discontinuity fillings
just as bedding parallel and foliation parallel discontinuities
can be labeled by special signatures (Wittke, 1990).
During mapping, samples for complementing laboratory tests must be

taken, if indicated.
The standard mapping gear consists of
- a geological compass to measure the orientation of disconti-

nuities,
- a measuring tape to record the location of the outcrops and

the tracings of discontinuities,
- a rock hammer to make discontinuities visible that are e. g.

covered by a thin weathered layer, to loosen rock samples or
to sound the rock (clear or dull sound),
- a note pad in which a sketch of the mapping is entered. It is

more appropriate, however, in most cases to use prepared forms
for the mapping (Fig. 2.35).

- 50 -
Fig. 2.35: Example of a tunnel face mapping form

- 51 -
Fig. 2.36 shows an example of a detailed mapping of a tunnel face.

For reasons of clarity, the information on the orientation and na-
ture of the discontinuities is omitted here.
Fig. 2.36: Detail mapping of a tunnel face (Hasenberg Tunnel,

Stuttgart urban railway)
Examples for mappings during excavation are given in Chapters 3.1,

3.3 and 4.2 (see Fig. 3.20, 3.41 and 4.43).
Discontinuity orientations are measured using the geological com-

pass (Fig. 2.37). The dip direction αD is read from the compass
circle, while the dip angle β is read from the vertical circle. The
dip direction αD is the angle between the projection of the dip
line of the discontinuity onto the horizontal plane and north. αD
is correlated with the strike angle α by the relation given in
Fig. 2.37 (Wittke, 1990).

- 52 -
Fig. 2.37: Measuring the orientation of a discontinuity using

the geological compass (Wittke, 1990)
The orientation of a discontinuity, given by the angles αD and β or

α and β, respectively, can be represented in a polar equal area
net by a point, the so-called pole. A polar equal area net is an
equal-area hemispheric projection of the lower half of the refer-
ence sphere. The term reference sphere denotes a sphere the equa-
tor of which is located in the horizontal plane. The pole is the
projection of the point of intersection of the normal to the dis-
continuity through the center of the reference sphere onto the po-
lar equal-area net (Wittke, 1990).
Entering the discontinuity orientations measured during one or

several mappings in the polar equal-area net leads to a so-called
polar diagram. An example of a polar diagram prepared in this way
and for the grouping of the measured discontinuities into several
sets is shown in Fig. 3.42 (Chapter 3.3.6).

- 53 -
For a great number of measured discontinuity orientations, or if

the measured discontinuity orientations scatter considerably, a
statistical evaluation of the discontinuity orientations may be
appropriate. To this end, instead of the poles, areas representing
the angular regions of equal relative frequency of the poles are
entered in the polar diagram. These areas are assigned to pole
densities. The pole density denotes the number of poles located on
1 % of the area of the polar equal area net, relative to the total
number of measured discontinuity orientations, in percent (Wittke
1990). In this way, the areas with the most frequent orientations
can be identified for the individual discontinuity sets. An exam-
ple of the representation of discontinuity orientations by areas
of equal pole density is shown in Fig. 5.39 (Chapter 5.2.6).
The mapping results should be summarized for homogeneous areas in

a geometric structural model. To this end, first the parameters
describing the geometry of the discontinuity fabric are determined
on the basis of a statistical evaluation of the measured fabric
data. For each discontinuity set, the mean values of the measured
dip and strike angles, of the spacing and, if possible, of the
tracings of the discontinuities must be specified. However, since
especially the spacing and tracings of discontinuities scatter
considerably, in addition to the mean values the standard devia-
tions of these parameters should be specified as well (Wittke,
1990).
In addition to these data, a structural model should also include

a description of the properties of individual discontinuities,
which form the sets. This description should contain information
on the unevenness and the roughness as well as on the degree of
weathering of the discontinuity surfaces, which can be obtained e.
g. from the mapping of profiles. Further, it should be noted
whether the discontinuities are closed or open, and whether and to
which degree they are filled.
Inhomogeneities such as discontinuities with an extent reaching

the magnitude of the dimensions of the tunnel must be described
individually with respect to their location and orientation.
Finally, the model should be illustrated in a block figure con-

taining as many as possible of the referenced parameters (Fig.
2.38).

- 54 -
Fig. 2.38: Example of a structural model of a rock mass with

three discontinuity sets (Wittke, 1990)
2.5.2 Monitoring
General
Just as geotechnical mapping, geotechnical measurements represent

an essential element of the NATM. On the one hand, they serve to
monitor
- the stability of the tunnel and of adjacent structures,
- the deformations in the ground and the displacements on the

surface,
- the loading of the shotcrete membrane,
- the vibrations during heading.
On the other hand, just as the mapping, they form one of the foun-
dations for adapting the support measures to the local ground con-
ditions. Finally, the interpretation of already existing measure-
ment results can and should be used to verify and, if indicated,
optimize the dimensioning of the temporary and permanent lining.
Stability analyses on the basis of measurement results furthermore

- 55 -
permit to reduce or remove the uncertainties associated with the

assumption of the parameters (back analysis) and to capture the
influences from actual construction.
Geotechnical monitoring comprises:
- Positional surveying,
- leveling,
- convergency measurements,
- extensometer measurements,
- inclinometer measurements,
- stress measurements,
- anchor force measurements,
- vibration measurements,
- water level and water pressure measurements.
Positional surveying and leveling
Displacements of points located at the ground surface and at the

tunnel contour (Fig. 2.39) are measured geodetically by leveling
and by using a tachymeter.
To measure subsidence, measuring cross-sections with several lev-

eling points are installed perpendicular to the tunnel axis (Fig.
2.39). In sloping locations the horizontal displacement components
should be measured as well. The zero reading should be carried out
when the tunnel face is still several tunnel diameters away from
the respective measuring cross-section to capture the subsidence
due to tunneling completely. If settlements are to be expected re-
sulting from a lowering of the groundwater table due to tunneling,
the zero reading should be carried out before the start of con-
struction.
For the measurement of the displacement of points on the tunnel

contour, the measuring locations are installed closely (≤ 1 m) be-

- 56 -
hind the tunnel face. The measuring points are steel bolts ce-
mented into the rock. Simple homing boards or triple prisms are
mounted onto these bolts. The zero reading is carried out before
the next round.
Fig. 2.39: Surface leveling perpendicular to the tunnel axis

and positional survey of points on the tunnel con-
tour
With the tachymeter, not only the vertical but also the horizontal
displacement components parallel and perpendicular to the tunnel
axis are measured. The measuring points are surveyed three-
dimensionally from bench marks by determining the direction, dis-
tance and inclination from the bench mark to the measuring point
for different points in time. The measurement data given in polar
coordinates are converted to Cartesian coordinates. From the dif-

- 57 -
ferences in coordinates from two measurements, the respective dis-

placement vectors of the measuring points can be computed (Reik
and Völter, 1996).
Fig. 2.40 shows as an example the vertical displacements of meas-

uring points on the tunnel contour during the crown heading of the
southern tube of the Gäubahn Tunnel in Stuttgart at chainage 113 m
(see Chapter 3.2). The upper part shows the vertical displacements
of the measuring points versus time. In the lower part the advance
of the tunnel face is shown versus time.
Fig. 2.40: Geodetically determined vertical displacements of

measuring points on the tunnel contour during crown
heading (Gäubahn Tunnel, southern tube, chainage
113 m)

- 58 -
Convergency measurements
Convergency devices allow the measurement of changes in distance

of points on the tunnel contour.
Fig. 2.41 shows examples for the arrangement of convergency meas-

urement sections for a crown heading and a sidewall adit heading.
To measure the distance between two measuring points, the measur-
ing points are connected by a tensioned measuring tape or a meas-
uring wire and the convergency device (Fig. 2.42). The changes in
distance can be determined as the difference of the measured
lengths of consecutive measurements (Reik and Völter, 1996).
Changes in length in the order of 0.1 mm can be registered with
this technique.
Since convergency measurements interfere with tunnel heading,

measurements with a convergency device are rarely carried out any
more in tunneling nowadays. Optical three-dimensional measurements
using a tachymeter and triple prisms are preferred instead (Fig.
2.39).
Fig. 2.41: Convergency measurement cross-sections: a) Crown

heading; b) sidewall adit heading

- 59 -
Fig. 2.42: Schematic drawing of a convergency measuring system

(Reik and Völter, 1996)
Extensometer and inclinometer measurements
Displacements and relative displacements (extension or compres-

sion) in the ground are measured in boreholes with stationary
gages or probes.
Displacements parallel to the axis of a borehole are generally

measured using extensometers (stationary devices) or sliding mi-
crometers (borehole probes).
Multiple extensometers are suitable for the determination of rela-

tive displacements of measuring points with larger distances. Fig.
2.43 shows the setup of a multiple-rod extensometer. Absolute dis-
placements can be determined by tying the extensometer head (1 in
Fig. 2.43) in to a bench mark by leveling, or if the deepest an-
chor is a fixed point. Details on displacement measurements with

- 60 -
extensometers are given e. g. in Recommendation No. 15 of the Ger-

man Geotechnical Society (DGGT) (Paul and Gartung, 1991).
Fig. 2.43: Setup of a multiple-rod extensometer (Interfels,

2000)
With a sliding micrometer, rock displacements can be measured at

short distances along the axis of a borehole. To this end, a plas-
tic casing is cemented into a borehole ca. 100 mm in diameter.
Measuring marks are fixed in this casing at a spacing of 1 m. Us-
ing an inserted probe, the changes in distance between the measur-

- 61 -
ing marks are recorded one after the other (German Rail, Guideline
853, DB 1999).
Displacements perpendicular to the axis of a borehole are usually

measured using inclinometer probes or stationary inclinometers.
In the case of the inclinometer probe, a plastic pipe with four

guiding grooves is installed in a borehole ca. 100 mm in diameter.
With a measuring probe, the changes in inclination with respect to
the borehole axis and thus the displacements perpendicular to the
borehole axis can be determined in two directions at right angles
to each other (Fig. 2.44).
Fig. 2.44: Measuring principle of an inclinometer probe:

a) Measurement; b) evaluation
Fig. 2.45 shows an example of the arrangement of the measuring

points in the case of a combined extensometer and inclinometer
measuring cross-section. Since during the undercrossing of the
measuring cross-section by the tunnel none of the measuring points
constitutes a fixed point, the measuring points on the ground sur-

- 62 -
face are tied in to bench marks by levelings (L) and positional

surveys to determine absolute displacements.
Fig. 2.45: Measuring cross-section with extensometers and in-

clinometers (constructed from the ground surface)
If the vertical as well as the horizontal displacements in longi-

tudinal and transverse direction are to be determined in one bore-
hole instead of separate boreholes, a device can be used that al-
lows to measure the displacements in three directions perpendicu-
lar to each other at the same time. Such a device is e. g. the
Trivec probe, a combination of sliding micrometer and inclinometer
probe (German Rail, Guideline 853, DB 1999).
Just as for the positional surveys, the zero reading should be

carried out as early as possible before the corresponding measur-
ing cross-section is undercrossed.
Stress measurements
Stress measurements are carried out e. g. to assess the loading of

shotcrete membranes and interior linings. Typical arrangements of

- 63 -
pressure cells in a shotcrete membrane are sketched in Fig. 2.46.

Here, one measuring cell is arranged tangentially on the outside
of the shotcrete to measure the radial stress (rock mass pres-
sure). The other, radially arranged measuring cell, however,
serves to measure the tangential stress resulting from the loading
(concrete pressure).
Fig. 2.46: Arrangement of pressure cells in a shotcrete mem-

brane for the measurement of concrete and rock mass
pressure (Wittke, 1990)
The stresses measured with the pressure cell arranged tangentially

to the tunnel contours generally scatter significantly. On the one
hand, this is due to the inhomogeneous stress distribution in the
ground and the comparatively small dimensions of the measuring
cells. On the other hand, the excavation process leads to local
loosening along the tunnel contour. This exaggerates the non-
uniform distribution of the radial stress, which is also referred
to as rock mass stress or contact stress. Most of the times,
therefore, radial stress measurements yield relevant results only
in special cases (e. g. swelling rock).

- 64 -
For radially arranged measuring cells, the scatter of the measure-

ment results is generally significantly smaller. The tangential
stresses in the shotcrete measured with these cells scatter less
strongly, since even an inhomogeneous radial loading of the lining
results in a relatively even distribution of the normal thrust and
thus also of the tangential stresses. In addition, the dimensions
of the measuring cells are generally in the same order of magni-
tude compared to the thickness of a shotcrete membrane. Finally,
the absolute value of the tangential stresses is in general many
times greater than that of the radial loading of a shotcrete mem-
brane. Nevertheless, the measured tangential stresses may also be
non-uniform, if for example the shotcrete membrane has a greatly
varying thickness as a consequence of an uneven excavation profile
(Wittke, 1990).
Measurements of the tangential stresses in the lining and the ra-

dial stresses between lining and rock mass are carried out using
hydraulic valve gages or oscillating chord gages.
The valve gage of Glötzl Co. (Fig. 2.47) is a hydraulic pressure

cell, in which a compressive stress develops due to the loading of
the oil-filled flat jack. The measurement is effected by increas-
ing the fluid pressure in a circuit separate from the flat jack,
until the fluid circulates back due to a slight deformation of a
membrane located between an inner and an outer chamber. The reflux
leads to a pressure drop at a pressure gage positioned in the cir-
cuit. The maximum stress measured before the pressure drop at the
pressure gage can therefore be equated to the loading of the pres-
sure cell (Wittke, 1990).
With oscillating chord gages, changes in length of a chord clamped

freely oscillating in the gage are measured. These changes lead to
a change in the natural frequency of the measuring chord excited
to oscillate by a direct current impulse. The altered natural fre-
quency measured while the oscillation of the chord fades out
yields the chord strain. The change in stress is proportional to
the measured change in length (Schuck and Fecker, 1997). Fig. 2.48
shows two oscillating chord gages of Geokon Co.

- 65 -
Fig. 2.47: Stress compensation measurement with pressure valve

gage, system Glötzl
Fig. 2.48: Oscillating chord gages, system Geokon (Geokon,

1993)

- 66 -
If high stresses must be expected in the ground, the in-situ or

primary stress state in the rock mass is determined. Aside from
the already mentioned interpretation of displacement measurements
using numerical analyses, which in general is only possible during
construction, stresses can be measured by stress relief overcoring
tests, also referred to as stress measurements by the overcoring
method. In this method, which can only be applied to rock, the
stress state in the rock mass is derived from the deformations of
a drill core due to unloading. To this end, closed-form solutions
for elastic isotropic and elastic anisotropic stress-strain behav-
ior of the rock mass are applied (Kiehl and Pahl, 1990). Further,
in-situ stresses can also be determined by the hydraulic fractur-
ing method or the hard inclusion method in boreholes. Another pos-
sibility to measure stresses or stress changes are compensation
measurements using flat jacks inserted in sawed or drilled slots.
Anchor force measurements
The anchor forces of untensioned anchors are measured in special

cases only. In the case of tendons with a free anchor length,
force measuring cells equipped with strain gages or oscillating
chord gages can be installed at the anchor head. Lately, the tech-
nique of tension measurement with integrated optical fiber sensors
has been developed that can be used also with fully cemented an-
chors.
Vibration measurements
In the case of a smooth blasting excavation, vibrations generally

need not be considered with respect to the stability of tunnels.
They may have an impact, however, on neighboring structures.
Therefore, in these cases vibration velocity measurements are car-
ried out to verify and ensure that the reference values according
to DIN 4150 (Parts 2 and 3, 1999) are complied with. Compliance
with these values is controlled primarily by limiting the maximum
charge per ignition step in the case of a smooth blasting excava-
tion (Wittke and Kiehl, 2001; DIN 4150, Part 1, 2001).

- 67 -
3. Crown heading with open invert
3.1 Glockenberg Tunnel near Koblenz, Germany
3.1.1 Introduction
In the course of the improvement of the federal highway 42 (B 42)

between Bendorf and Lahnstein, Germany, the Glockenberg Tunnel was
constructed on the side of the Rhine river opposite to the city of
Koblenz.
This tunnel enables a non-intersecting access from the B 42 to the

Pfaffendorf Rhine bridge. The southern portal of the tunnel lies
in the direct extension of the Pfaffendorf Bridge. For each direc-
tion, the tunnel includes one driving lane, one stopping lane and
an emergency sidewalk. In the mountain, the tunnel axis performs a
180° turn with a radius of ca. 50 m and then branches out into two
single-lane tunnel tubes. One of these tubes accesses the B 42 in
the direction of Bendorf, while the other one enables exiting the
B 42 coming from Lahnstein into the direction of Koblenz (Fig.
3.1).
Fig. 3.1: Glockenberg Tunnel, site plan with analysis cross-

sections

- 68 -
3.1.2 Structure
The 315 m long Glockenberg Tunnel was constructed by underground

excavation starting at the southern portal 3 (Fig. 3.2). Up to lo-
cation 220.5 m, the tunnel was excavated with the two-lane cross-
section TC 3 shown in Fig. 3.3. From then on the cross-section was
widened (TC 3A) up to chainage 248 m. In this way, the tunnel
cross-section TC 3 is transformed into the two smaller tunnel
tubes with the cross-sections TC 1 and TC 2. The smaller tunnel
tubes each have a length of approx. 40 m and end at the portals 1
and 2 (Fig. 3.1).
Fig. 3.2: Glockenberg Tunnel, portal 3, crown
For the two-lane standard profile TC 3, a mouth-shaped profile

with a width of 17.5 m and a height of 12 m was carried out. The
excavated cross-section amounts to 175 m2. The clearance is approx.
15 m wide and approx. 4.5 m high. The thickness of the shotcrete
membrane is 25 cm, while the interior lining made from watertight
concrete is 60 cm thick (Fig. 3.3).
In the vault area, a radius of curvature of R = 8.43 m was se-

lected for the interior lining. The sidewalls were constructed
with a radius of R = 4.66 m. With a radius of R = 25.25 m, the in-

- 69 -
vert was only slightly rounded out. For the transition from the
sidewalls to the invert, a radius of R = 2.66 m was selected (Fig.
3.3).
Fig. 3.3: Glockenberg Tunnel, tunnel cross-section TC 3
Fig. 3.4 shows the vertical section through the tunnel axis in the
area of tunnel cross-sections TC3 and TC3A as a development. The
maximum overburden height amounts to approx. 50 m.

- 70 -
Fig. 3.4: Glockenberg Tunnel, vertical section through the

tunnel axis, development

- 71 -
3.1.3 Ground and groundwater conditions
The ground along the alignment of the Glockenberg tunnel was ex-
plored using core drillings and test pits. One borehole was
equipped as an observation well (Fig. 3.4).
According to the exploration, an up to 9 m thick soil layer con-

sisting of talus material, residual detritus, loess and loess loam
is underlain by an alternating sequence of slate and fine- to me-
dium-grained sandstones belonging stratigraphically to the Lower
Devonian of the Emsian stage (Fig. 3.4).
In the course of the Variscan orogenesis phase, the originally

horizontal strata series were narrowed in NW-SE direction and bent
to folds of different sizes. Within the large-scale folding struc-
ture, the alternating sequence of ribboned or flaser-like, locally
secondarily silicated slates with sandstone banks up to several
meters thick is in parts specially folded and sheared.
The sandstones are mostly quartzitically, locally also calcare-

ously and ferrugineously cemented. Quartz and calcite veins milli-
meters to centimeters thick often occur in the rock zones rich in
sand.
According to the results of the petrographic microscopy and X-ray

diffractometry investigations, quartz, feldspar, mica and carbon-
ates are the main rock-forming components.
The tunnel area is characterized by a distinct tectonic deforma-

tion in the form of a "special folding". Shallow as well as steep
dipping of the strata to the northwest and southeast, respec-
tively, occurs here with changes taking place over very short dis-
tances.
The rock is fractured by bedding-parallel discontinuities, the fo-

liation and joints. As a result of the folding structure, the ori-
entation of the discontinuities varies within the tunnel area.
Fig. 3.5 shows the mean discontinuity orientations measured on
oriented drill cores.

- 72 -
Fig. 3.5: Glockenberg Tunnel, site plan showing the orienta-

tion of the discontinuities and the location of the
expected fault zones
As far as it can be assessed from the surface exposures, the bed-

ding-parallel discontinuities must be assumed completely sepa-
rated. Due to the exceeding of the shear strength on the bedding-
parallel discontinuities as a result of shear during folding,
triturated material and slickenside lineations locally exist on
these planes. The same applies to quartz and calcite segregations
which deposited in the cracks that developed due to dilatancy dur-
ing the folding process.
Judging from surface exposures in the surroundings of the tunnel,

the extension and the spacing of the foliation discontinuities de-
pend distinctly on the appearance of the intact rock. In the case
of greater thickness of the banks and mostly in the clayey rock

- 73 -
zones, individual completely separated foliation parallel discon-

tinuities exist. Locally also slickenside lineations and tritu-
rated material were found on the foliation parallel discontinui-
ties, indicating tectonic loading.
The joints contain many more rock bridges than the bedding- and
foliation parallel discontinuities. Their degree of separation is
correspondingly smaller.
In some core drillings, locally an increased core fragmentation, a

more frequent appearance of slickensides parallel to the bedding
or to the foliation, numerous quartz and calcite veins as well as
rather strongly disintegrated rock zones were encountered. This
led to the assumption that a fault zone striking in NE-SW direc-
tion in the area of tunnel cross-section TC 3 may be present (Fig.
3.5). Another fault zone was assumed in the area of tunnel cross-
section TC 2 on the basis of the exploration results (Fig. 3.5).
Beneath the soil cover, which was encountered down to a depth of 9

m below ground surface during the exploration as mentioned above,
the rock has only slightly been altered by weathering processes.
An exception are more strongly fragmented rock zones, e. g. fault
zones, in which weathering has clearly progressed.
To investigate the hydrological conditions, the groundwater level

in the observation well OW (see Fig. 3.4) was measured and perme-
ability tests were carried out at different depths in the bore-
holes.
The observation well was set up in the area in which the highest
groundwater level was expected due to the location on the slope.
The measurements showed that the groundwater is encountered here
approx. 1 m above the tunnel roof (see Fig. 3.4).
3.1.4 Excavation classes
Because of the size of the excavated cross-section of approx.

175 m2 (see Fig. 3.3), it was necessary to carry out excavation and
support separately for crown, bench and invert (Fig. 3.6).

- 74 -
Fig. 3.6: Excavation classes 4, 5 and 6A for tunnel cross-

section TC 3 (final design)
As already mentioned, a uniform orientation of the discontinuities

could not be assumed. In addition, due to the circular tunnel

- 75 -
alignment, the orientation of the discontinuities relative to the

tunnel axis changed continuously with the heading. Further, fault
zones locally had to be expected (see Fig. 3.5). Therefore fre-
quently varying rock conditions were assumed for the tender design
and the final design. Correspondingly, the excavation classes 4,
5, 6A and 7A were specified in the final design in accordance with
the recommendations of the working group "Tunneling" of the German
Geotechnical Society (DGGT, 1995: Table 1).
A crown heading with an open invert was planned. The excavation

class as well as the trailing distances of the bench excavation
and the closing of the invert lining (E and F in Fig. 3.6) were to
be selected in the course of the crown heading on the basis of the
results of mapping and monitoring during construction (see Chapter
3.1.6). In this context special emphasis was placed on the results
of the stability analyses (see Chapter 3.1.5) and of the geotech-
nical mapping.
The excavation methods, round lengths and support measures speci-

fied for the excavation classes 4, 5 and 6A for tunnel cross-
section TC 3 in the final design are listed in Fig. 3.6. The exca-
vation class 7A including advance support and support of the tun-
nel face was not carried out during construction.
Heading was planned by smooth blasting and/or mechanical excava-

tion by a tunnel excavator and hydraulic chisel.
The unsupported round length during crown heading was selected as

2.0 m for excavation class 4 and 1.5 m for excavation classes 5
and 6A. In excavation class 6A an advance support of the crown
with 4 to 5 m long mortar spiles was planned for every second
round. Excavation class 5 included a sealing of the temporary
crown face with shotcrete (Fig. 3.6).
For the shotcrete membrane, shotcrete of grade B25 with a thick-

ness of 25 cm and two layers of reinforcing mats Q295 were speci-
fied. In the crown area, a systematic anchoring with 7 SN-anchors
(excavation classes 4 and 5) resp. 9 SN-anchors (excavation class
6A) per round was planned. In each round a lattice girder was to
be installed in the crown area (Fig. 3.6).
Due to reasons of construction management, a continuous crown

heading was aimed for. If a trailing bench and invert should be-

- 76 -
come necessary for stability reasons, the maximum trailing dis-

tance E resp. F should amount to two tunnel diameters D (Fig.
3.6).
Unsupported round lengths for bench and invert of 4 m for excava-

tion class 4 and 3 m for excavation classes 5 and 6A were planned.
In the bench area, a systematic anchoring with 12 anchors (excava-
tion classes 4 and 6A) resp. 10 anchors (excavation class 5) per
round was specified. In each round one lattice girder was to be
extended to the bench invert (Fig. 3.6).
The anchors were designed to be 4 to 6 m long in the crown as well

as in the bench for all excavation classes (Fig. 3.6). If fault
zones had to be crossed, locally longer anchors were planned to be
installed.
3.1.5 Stability analyses
In order to investigate the stability and to dimension the shot-

crete membrane, two-dimensional FE-analyses were carried out using
the program system FEST03 (Wittke, 2000). Fig. 3.1 shows the
analysis cross-sections AC 1, AC 2 and AC 3 investigated for the
tunnel cross-section TC 3.
Because of the varying orientations of the discontinuities in the

tunnel area and the changing direction of the tunnel axis due to
the circular plan of the tunnel, four idealized structural models
were established. All of them assume that the discontinuities
strike parallel to the tunnel axis. They are thus on the conserva-
tive side with respect to the stability and the support measures
ensuing from the analyses (see Fig. 3.5 and 3.7). Further, the dip
angles of the discontinuities were varied over wide ranges (Fig.
3.7).
In model A, the bedding (B) and the foliation (F) are assumed dip-
ping each at 45° perpendicular to the tunnel axis in opposite di-
rections. In addition, a vertical joint set (J) striking parallel
to the tunnel is taken into account. In model B the foliation is
assumed dipping at 30° while the bedding dips at 60° in the oppo-
site direction. Here as well an additional vertical joint set ex-
ists. Model C includes a vertical bedding striking parallel to the
tunnel and a horizontal foliation. Instead of the vertical bedding
planes, vertical joints are assumed in model D.

- 77 -
Aside from these different structural models, cases with a fault

zone located in the area of the tunnel were investigated as well.
Fig. 3.8 shows the assumed locations of these fault zones. Posi-
tion L assumes a 5 m thick fault zone dipping at 70° close to the
left side of the tunnel. With position M a vertical, 5 m thick
fault zone running through the tunnel cross-section is taken into
account. Position R assumes a 5 m thick fault zone dipping at 70°
close to the right side of the tunnel.
Fig. 3.7: Considered structural models: a) Model A; b) model

B; c) model C; d) model D
In Fig. 3.9 and 3.10 the pseudo three-dimensional FE-mesh (slice

with thickness of 1 m) used for analysis cross-section AC 3 is

- 78 -
shown. The FE-meshes for analysis cross-sections AC 1 and AC 2

have a corresponding setup, except for the overburden height.
Fig. 3.8: Accounting for fault zones
The selected computation section is 140 m wide in transverse di-

rection of the tunnel (x-direction). The height amounts to 120 m.
The FE-mesh consists of 3288 three-dimensional, isoparametric ele-
ments with 7777 nodes (Fig. 3.9). The boundary conditions consist
of vertically sliding supports for the nodes on the vertical
boundary planes and of horizontally sliding supports for the nodes
on the lower boundary plane (z = 0). All nodes are fixed in the y-
direction.

- 79 -
Fig. 3.9: Analysis cross-section AC 3, FE-mesh, boundary con-

ditions, ground profile and parameters (reference
case)
The setup of the ground layers is the same for all analysis cross-
sections. The rock mass is encountered below a 5 m thick surface
soil layer. In some analyses a fault zone in one of the positions
shown in Fig. 3.8 is modeled discretely.
The parameters assumed in the stability analyses for the soil and
the fault zone correspond to the specifications established during

- 80 -
the tender design. The rock mechanical parameters were specified

in accordance with the parties concerned.
Fig. 3.10: Analysis cross-section AC 3, FE-mesh, detail
For the reference case, Young's modulus of the rock mass was as-
sumed conservatively as E = 1000 MN/m2. In comparative analyses a
value of 1500 MN/m2 was specified. Poisson's ratio was assumed as
0.33 (Fig. 3.9).
The angles of friction on the bedding-parallel and foliation par-

allel discontinuities were assumed as ϕb = ϕf = 24°. For the fric-
tion angle on the joints a value of ϕj = 24° was selected (Fig.
3.9).

- 81 -
For the bedding parallel discontinuities no cohesion was assumed

in all cases. The same applies to the foliation parallel disconti-
nuities for the reference case (Fig. 3.9). In comparative analyses
a cohesion of cf = 100 kN/m2 resp. cf = 200 kN/m2 was specified. The
cohesion on the joints was selected as cj = 150 kN/m2 in the refer-
ence case (Fig. 3.9). In the comparative analyses it was assumed
as cj = 200 kN/m2 and cj = 300 kN/m2, respectively.
The transfer of tensile stresses perpendicular to the discontinui-

ties was excluded in all analysis cases.
A value of 15000 MN/m2 was specified as statically effective

Young's modulus of the shotcrete. This value is to include the
hardening during the application of the load (see Chapter 2.1.5).
As mentioned before, the thickness of the shotcrete membrane was
selected as t = 25 cm (Fig. 3.10, see also Fig. 3.3 and 3.6).
The analyses were based on elastic-viscoplastic stress-strain be-

havior (Wittke, 2000) of the ground and elastic stress-strain be-
havior of the shotcrete membrane.
According to the findings of the exploration, locally a ground wa-

ter table lying above the tunnel roof had to be expected. With the
drainage during tunnel excavation, the ground water table is low-
ered to the level of the tunnel invert. There was no water pres-
sure therefore to be considered in the stability analyses for the
shotcrete membrane.
Fig. 3.11 shows a schematic representation of the computation

steps for the simulation of the construction stages "crown excava-
tion" and "bench excavation" and the excavation of the full cross-
section.
The first computation step includes the computation of the state

of stress and deformation resulting from the dead weight of the
ground (in-situ state).
In the computation steps preceding the simulation of the individ-

ual partial excavations (computation steps 2, 4 and 6), a preced-
ing stress relief is accounted for in the respective cross-section
area to be excavated (Wittke, 2000).

- 82 -
Fig. 3.11: Analysis cross-section AC 3, computation steps

- 83 -
To this end, Young's modulus in this area is reduced to the value

Ered = av · E where E denotes Young's modulus of the ground and
av < 1.0 is the so-called stress-relief factor. The preceding
stress relief enables an approximate representation of the defor-
mations and stress redistributions occurring in the rock preceding
the tunnel excavation and the installation of the support. Due to
the preceding stress relief, the shotcrete membrane installed in
the following computation step is subjected to a smaller loading
compared to a simultaneous simulation of excavation and installa-
tion of the shotcrete support without the intermediate step of the
preceding stress relief. The stress relief factor is specified on
the basis of experience gained from measurements on completed
structures and comparisons with the results of three-dimensional
analyses. In the present case, the preceding stress relief factor
was chosen as av = 0.5 (Fig. 3.11).
In addition to the installation of the shotcrete membrane, the in-

stallation of the SN-anchors in crown and bench for excavation
class 6A (see Fig. 3.6) is simulated in computation steps 2 (crown
excavation and support) and 4 (bench excavation and support). The
anchors are modeled by 4 m long truss elements (Wittke, 2000; Fig.
3.11).
In the following, the results of stability analyses for analysis

cross-section AC 3 (see Fig. 3.1, 3.9 and 3.10) are shown exem-
plarily.
Analysis cross-section AC 3 is located in the area of the maximum

overburden of approx. 50 m (Fig. 3.9). In this area the occurring
discontinuity orientations can be captured approximately with
structural models B and C (see Fig. 3.7).
The construction stage after the bench excavation (5th computation

step) proves to be critical with respect to the stability of the
tunnel, if structural model B and the parameters given in Fig. 3.9
are assumed. If the anchors are not taken into account, the dis-
placements do not converge in the course of the viscoplastic it-
erative calculation in the 5th computation step, i. e. the stabi-
lity of the tunnel cannot be proven by the analysis for this con-
struction stage. Even if the anchors are taken into account, con-
siderable viscoplastic displacements still result in this computa-
tion step, especially at the left bench lining toe. These dis-
placements converge, however, in the course of the viscoplastic

- 84 -
iterative calculation. Fig. 3.12 and 3.13 show the principal nor-
mal stresses, the areas where the shear strength on the disconti-
nuities is exceeded and the displacements of the excavation pro-
file computed for the bench excavation with the anchors taken into
account. The computed roof subsidence amounts to approx. 40 mm,
the maximum heave of the invert to approx. 65 mm (Fig. 3.13).
Fig. 3.12: Analysis cross-section AC 3 (structural model B),

principal normal stresses and exceeding of strength,
bench excavation (5th computation step)
If structural model C is assumed, the stability of the tunnel can

be proven in the analysis for all construction stages even if the
systematic anchoring is not taken into account. Also, if a greater

- 85 -
shear strength is assumed on the discontinuities, the computed

displacements become considerably smaller.

displacements, bench excavation (5th – 1st computa-
tion step)
Fig. 3.14 shows the bending moments and normal thrust in the shot-
crete membrane calculated for the 5th computation step. For a
safety factor of 1.35, the design results in a statically required
reinforcement of up to 4.0 cm2/m. If the lattice girders are taken
into account, this reinforcement is covered by the planned rein-
forcement (see Fig. 3.6).

stress resultants in the shotcrete membrane, bench
excavation (5th computation step)
In Fig. 3.15 the tensile anchor forces computed for the truss ele-
ments for the 7th computation step are shown. They reach a maximum
value of approx. 130 kN.

- 86 -

tensile anchor forces, 7th computation step
The admissable anchor force of the installed anchors adm FA results

from comparing the anchor force divided by the cross sectional
area As with the tension yield point of the anchor steel βs taking
into account a factor of safety of η = 1.75. SN-anchors made from
BSt 500S (βs = 500 N/mm2) with a diameter of 25 mm were selected
(see Fig. 3.6). This leads to the admissable anchor force:
1
adm FA = ⋅ βS ⋅ AS = 140 kN (3.1)
η
This value is not exceeded in the analysis (see Fig. 3.15).
With the computation of the anchor forces it must be taken into

account that the placement of the anchors is simulated simultane-
ously with the excavation and the installation of the shotcrete
membrane (see Fig. 3.11). Thus the anchor loads are overestimated
in the analyses, since in reality the anchors are placed after the
installation of the shotcrete membrane. To neutralize this effect,
a Young's modulus smaller than the one of steel was assumed for
the anchors in the analyses.

- 87 -

fault zone to the left of the tunnel, principal nor-
mal stresses and exceeding of strength, bench exca-
vation (5th computation step)
Due to the uncertainties involved with this approach regarding the

computed anchor forces and stress resultants of the shotcrete mem-
brane, a comparative analysis was carried out, in which the shear
resistance of the anchors was converted into an equivalent cohe-
sion on the discontinuities. This cohesion was assumed within the
anchored area (see Chapter 2.3.2). The results of this analysis
confirmed the reinforcement determined before and thus indirectly
also the computed anchor forces.

- 88 -
Fig. 3.16 to 3.19 show the results of an analysis based on the pa-
rameters given in Fig. 3.9 and 3.10, structural model B and in ad-
dition a 5 m thick fault zone dipping at 70° close to the left
side of the tunnel (see Fig. 3.8, position L). For these unfavor-
able assumptions the stability of the construction stage after the
bench excavation (5th computation step, see Fig. 3.11) can only be
proved in the analysis, if in the area of the left half of the
tunnel 10 to 15 m long IBO-bolts (see Chapter 2.3.1) reaching be-
hind the fault zone into the undisturbed rock mass are simulated
by truss elements.
The principal normal stresses, the exceeding of strength and the

displacements computed for this case for the 5th computation step
are shown in Fig. 3.16 and 3.17. If the long anchors are simu-
lated, the displacements of the excavation profile are of the same
magnitude as for the corresponding case without a fault zone (see
Fig. 3.13 and 3.17).

fault zone to the left of the tunnel, displacements,
bench excavation (5th – 1st computation step)

- 89 -

fault zone to the left of the tunnel, stress resul-
tants of the shotcrete membrane, bench excavation
(5th computation step)
Fig. 3.18 shows the bending moments and normal thrust in the shot-
crete membrane determined for the 5th computation step. Compared to
the corresponding case without a fault zone, greater maximum bend-
ing moments and smaller maximum normal thrusts occur in the shot-
crete (see Fig. 3.14 and 3.18). For a safety factor of 1.35, the
design results in a statically required reinforcement of up to
6.2 cm2/m. If the lattice girders are taken into account, this re-
inforcement is covered by the planned reinforcement as well.

fault zone to the left of the tunnel, tensile anchor
forces, 7th computation step

- 90 -
In Fig. 3.19 the tensile anchor forces computed for the truss ele-
ments in the 7th computation step are given. Only the anchors run-
ning through the fault zone are loaded. The maximum computed an-
chor force amounts to 150 kN, which is only slightly more than the
admissible anchor load according to (3.1) of the planned IBO-rods
(∅ 25 mm) of 140 kN.
3.1.6 Crown heading and monitoring results
Geotechnical mappings of the crown face were carried out in regu-

lar intervals during the heading. Special emphasis was placed on
recording the properties, extent and orientation of the disconti-
nuities (Fig. 3.20). No fault zones were encountered in the tunnel
cross-section.
Further, in the area of tunnel cross-section TC 3 ca. 20 measuring

cross-sections with gage bolts were installed to monitor the dis-
placements caused by the heading. In tunnel cross-sections TC 1
and TC 2 further measuring cross-sections were installed.
As already mentioned, the excavation classes were determined on

the basis of the results of the stability analyses as well as the
mappings and the displacement measurements. Fig. 3.21 shows exem-
plarily the maximum roof subsidence measured during crown heading
in the area of tunnel cross-sections TC 3 and TC 3A. With the ex-
ception of one measurement in the portal area (δR = 16 mm), the
measured values range from 1 to 7 mm.
In the area of the three analysis cross-sections AC 1, AC 2 and AC

3, the measured roof subsidence can be compared with the results
of the stability analyses. With this comparison it must be taken
into account, however, that the displacements that occurred in the
measuring cross-sections already before the zero reading cannot be
measured. Since the elastic part of the displacements mostly oc-
curred before the zero reading, the measured roof subsidence δR can
approximately be compared with the viscoplastic part of the dis-
placements computed for the roof δ Rvp . It becomes apparent that in
the area of analysis cross-sections AC 2 and AC 3 the measured
displacements are smaller than the viscoplastic parts of the dis-
placements computed with no cohesion assumed on the foliation-
parallel discontinuities (cf = 0, see Fig. 3.9).

- 91 -
Fig. 3.20: Crown face, chainage 216.1 m, excavation class 5:

a) Photograph; b) mapping

- 92 -
Fig. 3.21: Crown heading, comparison of measured and computed

roof subsidence, tunnel cross-sections TC 3 and TC
3A

- 93 -
If a value of cf = 100 kN/m2 is chosen for the cohesion on the fo-

liation parallel discontinuities, the measured roof subsidence
corresponds to the computed viscoplastic part of the displace-
ments. For analysis cross-section AC 1, cf = 0 yields good agree-
ment of the measured roof subsidence with the computed viscoplas-
tic part of the displacements (Fig. 3.21).
The results of the geotechnical mapping of the tunnel face and the
displacements measured during the crown heading allowed in consid-
eration of the results of the stability analyses the tunnel to be
driven with excavation classes 4, 5 and 6A (see Fig. 3.6). Excava-
tion class 7A was not carried out. Further, it was possible to ex-
cavate the crown over the entire tunnel length without simultane-
ously trailing bench.
3.1.7 Conclusions
The Glockenberg Tunnel is located in an alternating sequence of

slates and sandstones characterized by a tectonic deformation due
to a "special folding". The strength and deformability of the rock
mass is predominantly determined by the discontinuities (bedding
parallel discontinuities, foliation parallel discontinuities and
joints). As a consequence of the folding structure, the orienta-
tion of the discontinuities is not uniform. In addition, the
strike directions of the discontinuities with respect to the tun-
nel axis vary due to the almost circular tunnel alignment. Fault
zones had to be expected locally as well.
Therefore, different structural models had to be assumed for the

stability analyses. The comparison of the displacements measured
during tunneling with the values computed for the different cases
allowed to optimize the support measures and to apply economical
excavation classes. It became apparent that the analyses repre-
sented an essential contribution to an economical construction of
this tunnel.

- 94 -
3.2 Gäubahn Tunnel in Stuttgart, Germany
3.2.1 Introduction
The Gäubahn Tunnel is part of the new construction of the federal

highway B 14 between the Schattenring intersection and the Süd-
heimer Square providing a northern bypass of the city district of
Vaihingen in Stuttgart, Germany. It undercrosses a railway line
(Gäubahn) and buildings adjacent to the Rudolf-Sophien institu-
tion. During the heading underneath the railway track railway
traffic had to be maintained. Specific tunnel support measures
were therefore planned for this section.
3.2.2 Structure
The Gäubahn Tunnel consists of two parallel ca. 300 m long tunnel
tubes with two lanes each (Fig. 3.22). Approx. 270 m of each tun-
nel tube were driven by underground construction ascending from
the eastern portal. The precuts in the portal areas were con-
structed by the cut-and-cover method (Fig. 3.22 and 3.23).
The maximum overburden amounts to approx. 20 m. In the area of the

undercrossing of the Gäubahn an overburden of approx. 4 m exists
(Fig. 3.23).
Fig. 3.24 shows the 11.5 m wide and 8.85 m high standard profile
of a tunnel tube. The excavated cross-section amounts to approx.
93 m2. The shotcrete membrane has a concrete grade of B25 and a
thickness of 25 to 30 cm. The interior lining consists of water-
tight grade B35 concrete with a thickness of 45 cm.
The roof and the invert are shallowly rounded with radii of curva-
ture of R = 8.15 m and R = 10.45 m, respectively. At the sidewalls
the radius of curvature amounts to R = 5.45 m. The transitions
from the sidewalls to the roof and to the invert, respectively,
were designed with comparatively small radii of R = 3.06 m and
R = 2.65 m, respectively (Fig. 3.24).
The two tunnel tubes were constructed by advancing crown heading

with trailing bench and invert excavation. The cross-section is
correspondingly divided into crown and bench/invert (Fig. 3.24).

- 95 -
Fig. 3.22: Gäubahn Tunnel, site plan

- 96 -
Fig. 3.23: Gäubahn Tunnel, longitudinal section through the

southern tube with ground profile and analysis
cross-sections

- 97 -
Fig. 3.24: Gäubahn Tunnel, standard profile
Fig. 3.25 is an aerial photograph of the eastern precut with the

buildings of the Rudolf-Sophien institution after the excavation
and support of both tunnel tubes. The picture shows the open-cut
arch sections (cut-and-cover construction) in the transition from
underground excavation to the portal blocks not yet built in the
represented construction phase.

- 98 -
Fig. 3.25: Gäubahn Tunnel, eastern precut and Rudolf-Sophien

institution
Below the ground surface a few meters thick overlying strata are
present (Fig. 3.23). They consist mostly of rock weathered into
sand and silt, respectively, and partially relocated.
The rock mass underneath belongs stratigraphically to the Stuben-

sandstone formation consisting of a sequence of sandstones and
siltstones. The sandstone and siltstone layers are up to several
meters thick. Locally, however, also narrowly spaced alternating
sequences occur (Fig. 3.23).
The sandstones as well as the siltstones are divided into banks by

bedding planes. The thickness of these banks ranges between few
centimeters and 1 to 2 m. The bedding planes are approximately
horizontal.
The joints are generally steeply dipping and deviate only little
from the direction perpendicular to the bedding (here: the verti-
cal direction). In general they extend over many meters horizon-

- 99 -
tally. At least in some areas the joints are slightly opened ac-
cording to the exploration results.
In the siltstone layers slickensides were found as well in addi-

tion to the bedding planes and joints. These slickensides are ran-
domly oriented and have mostly smooth surfaces.
In the middle tunnel section two boreholes were equipped as obser-

vation wells. According to their readings, the groundwater table
was located at the level of the two tunnel cross-sections (Fig.
3.23). In two observation wells located close to the tunnel por-
tals no groundwater was encountered.
The excavation of the two tunnel tubes was planned mostly as an

advancing crown heading with open invert and trailing bench and
invert excavation following excavation class 4A.
The excavation sequence, excavation method, round lengths and sup-

port measures for excavation classes 4A-1, 4A-2 and 4A-3 (see
DGGT, 1995: Table 1) are given in Fig. 3.26. These excavation
classes differ with regard to in the unsupported round length, the
lattice girder spacing and the number of anchors per round. The
shotcrete membrane is reinforced inside and outside with steel
fabric mats Q295. If necessary, the tunnel face was planned to be
sealed with plain shotcrete. The trailing distance of bench (D)
and invert (E) was to be determined depending on the monitoring
results and the geotechnical conditions encountered during the
heading as well as depending on the results of the stability
analyses.
The tunnel was excavated using a tunnel excavator and, in some ar-
eas, also by smooth blasting. Measurements carried out on build-
ings showed that the vibration velocities remained far under the
reference values for the admissible structural vibrations given in
DIN 4150, part 3 (DIN 4150-3, 1999).

- 100 -
Fig. 3.26: Standard heading, excavation classes 4A-1, 4A-2 and

4A-3

- 101 -
Fig. 3.27: Undercrossing of the Gäubahn, excavation classes

6A-K and 7A-K: a) Cross-section; b) longitudinal
section (detail)

- 102 -
In the area of the undercrossing of the Gäubahn a crown heading

with closed temporary invert with the excavation classes 6A-K and
7A-K, respectively, was planned (see DGGT, 1995: Table 1) in order
to limit the tunneling-induced subsidence (Fig. 3.27). These exca-
vation classes include an advancing support using so-called com-
posite pile umbrellas. These consist of 8 m long piles with a di-
ameter of 40 mm which were grouted in 116 mm boreholes using ce-
ment based suspension and are slightly inclined against the hori-
zontal in the longitudinal section (Fig. 3.23 and 3.27). In each
round one layer of composite piles (composite pile umbrella) was
constructed. If required, spiles were planned to be installed in
addition. In excavation class 7A-K, the tunnel face was in addi-
tion to be rounded out and supported with shotcrete (Fig. 3.27b).
3.2.5 Stability analyses for the design of the shotcrete

support
For the design of the shotcrete membrane, two-dimensional analyses

with the program system FEST03 (Wittke, 2000) were carried out.
The investigation comprised the analysis cross-sections AC 1 to AC

4 shown in Fig. 3.23. Fig. 3.28 shows exemplarily the FE-mesh, the
boundary conditions, the ground profile and the parameters used
for analysis cross-section AC 2. Analysis cross-section AC 2 is
located in the area of the undercrossing of the buildings adjacent
to the Rudolf-Sophien institution. The overburden in this area
amounts to approx. 20 m (see Fig. 3.23).
The 52 m wide, 66 m high and 1 m thick computation section in the

form of a slice is discretized by an FE-mesh with 2703 iso-
parametric elements and 13956 nodes. To simplify matters, only one
tunnel tube is modeled. The plane of symmetry lies in the middle
of the rock pillar between the two tunnel tubes. Thus the simulta-
neous excavation of both tunnel tubes is simulated in the analy-
ses. In reality, the crown excavation of one tunnel tube precedes
the other one. The simulation of a simultaneous heading of both
tubes however is on the safe side with regard to the loading of
the rock mass and the stability of the openings. For the nodes of
the vertical boundary planes vertically movable supports are in-
troduced as boundary conditions, whereas for the nodes on the
lower boundary plane (z = 0) horizontally movable supports are
specified (Fig. 3.28). All nodes are fixed in the y-direction.

- 103 -
Fig. 3.28: Analysis cross-section AC 2, FE-mesh, boundary con-

ditions, ground profile and parameters
Four sandstone and siltstone horizons each of the alternating se-

quence of the Stubensandstone formation were modeled. The posi-
tioning of the siltstone horizon in the roof area is to be as-
sessed unfavorable with respect to the stability of the tunnel,

- 104 -
since the strength of the discontinuities is considered smaller in

the siltstone than in the sandstone (see Fig. 3.28). At middle
tunnel level a sandstone layer is modeled which is followed by a
siltstone layer in the area of the tunnel invert. The groundwater
table was assumed at tunnel invert level due to the drainage dur-
ing construction. Below the groundwater table the rock mass is
subjected to hydrostatic uplift.
In the tender documents ranges for the soil and rock mechanical
parameters are given. The stability analyses for the design of the
shotcrete support are based on the most unfavorable values (Fig.
3.28).
Fig. 3.29: Analysis cross-section AC 2, FE-mesh, detail

- 105 -
The intact rock strength of the sand- and siltstones was assumed
infinitely high as a simplification. The rock matrix was assigned
elastic stress-deformation behavior. This simplification is justi-
fied, because the strength on the discontinuities is markedly
smaller than the intact rock strength. Two discontinuity sets were
taken into account in the analyses. The horizontal bedding and a
vertical joint set striking parallel to the tunnel axis with an
unfavorable effect on tunnel stability.
At and underneath the tunnel invert, the rock mass is unloaded

during the tunnel excavation. Previous experience has shown that
the modulus relevant for the unloading of the rock mass is higher
than the loading modulus assumed as E = 300 MN/m2. Correspondingly,
the elements in and underneath the invert area were assigned an
unloading modulus of EU = 1000 MN/m2 (see Fig. 3.29).
The statically effective Young's modulus of the shotcrete was

specified as 15000 MN/m2 taking into account the hardening during
the application of the load (Fig. 3.29).
The excavation and support of the tunnel were simulated in five

computation steps (Fig. 3.30). The first computation step com-
prises the determination of the state of stress and deformation
resulting from the dead weight of the ground (in-situ state). With
computation steps 2 and 3 the crown excavation and its support us-
ing shotcrete are simulated. To this end, Young's modulus of the
elements in the crown was reduced in the 2nd computation step to
the value Ered = av · E with av = 0.5. av is the so-called stress
relief factor already mentioned in Chapter 3.1 (Wittke, 2000). The
excavation and support of the crown follow in the 3rd computation
step. In the 4th and 5th computation steps the excavation and sup-
port of the remaining cross-section are simulated correspondingly.
Fig. 3.31 shows the displacements due to the crown excavation (3rd
– 1st computation step) calculated for the excavation contour and
the ground surface. The roof subsidence amounts to approx. 18 mm,
the invert heave is approx. 8 mm and the maximum subsidence at the
ground surface results to approx. 11 mm.

- 106 -
Fig. 3.30: Analysis cross-section AC 2, computation steps

- 107 -
Fig. 3.31: Analysis cross-section AC 2, displacements, crown

excavation (3rd – 1st computation step)
The computed bending moments and normal thrust in the shotcrete

membrane are shown for the 3rd computation step in Fig. 3.32. The
design of the shotcrete support for this construction stage yields
that no reinforcement is required with respect to bending and nor-
mal thrust for a factor of safety of 1.35. Steel fabric mats Q295
were placed inside and outside as a minimum reinforcement (see
Fig. 3.26).

- 108 -
After the bench and invert excavation in the 5th computation step
the displacements increase only slightly. For this construction
stage as well, no reinforcement is statically required for a fac-
tor of safety of 1.35.
Fig. 3.32: Analysis cross-section AC 2, stress resultants in

the shotcrete membrane, crown heading (3rd computa-
tion step)
3.2.6 Crown heading and monitoring results
To monitor the stability and to verify the results of the stabil-

ity analyses the heading was accompanied by a geotechnical moni-
toring program.
The following measurements were carried out:
- Leveling and trigonometric measurements on the ground sur-

face,
- leveling on structures,
- leveling on sleepers of the Gäubahn,
- trigonometric measurements on overhead wire poles,
- combined extensometer and inclinometer measurements in the

area of the undercrossing of the Gäubahn and at the western
portal,
- leveling and convergency measurements in both tunnel tubes.

- 109 -
Fig. 3.33: Subsidence of ground surface and structures, meas-

ured during crown heading

- 110 -
In both tunnel tubes the crown heading was far ahead of the bench
and invert excavation. Fig. 3.33 shows exemplarily the ground sur-
face subsidence due to the crown heading in the area of the under-
crossing of the Gäubahn and the buildings adjacent to the Rudolf-
Sophien institution. In the area of the undercrossing of the
buildings adjacent to the Rudolf-Sophien institution the crown
heading was carried out with an open invert and small round
lengths of 0.8 to 1.2 m following excavation class 4A-1 (see Fig.
3.26). The subsidence measured here ranges from 7 to 19 mm. In the
area of the undercrossing of the Gäubahn the heading was changed
over to a crown heading with closed invert under the protection of
an advancing support using composite piles and spiles (see Fig.
3.27). The subsidence could thus be limited to 2 to 8 mm. This
small subsidence did at no point affect the railway traffic.
The measured ground surface subsidences are in good agreement with

the ones determined in the stability analyses. In the area of the
undercrossing of the buildings adjacent to the Rudolf-Sophien in-
stitution (analysis cross-section AC 2) a maximum surface subsi-
dence of 11 mm was computed (see Fig. 3.31). The maximum surface
subsidence computed for the undercrossing of the Gäubahn (analysis
cross-section AC 3, see Fig. 3.23) amounts to 7 mm.
3.2.7 Conclusions
With a crown heading with open invert and small round lengths (ex-
cavation class 4A-1, see Fig. 3.26) it was possible to achieve
small surface subsidence < 2 cm during tunneling in the alternat-
ing sequence of sandstone and siltstone horizons of the Stuben-
sandstone formation in the region of Stuttgart.
In order to avoid affecting the railway traffic during the under-

crossing of the Gäubahn it was necessary in this area to limit the
subsidence to even smaller values. This was achieved mainly by
supporting the curved temporary crown invert with shotcrete. For
safety reasons an additional advancing support with composite
piles was carried out. With a very small surface subsidence rang-
ing from 2 to 8 mm it was possible to maintain the railway traffic
without any interference.
In areas where the rock mass could not be excavated by a tunnel

excavator smooth blasting was carried out. It was possible to
prove by measurements that the vibration velocities fell well be-

- 111 -
low the reference values for the allowable structural vibrations

given in DIN 4150, Part 3 (DIN 4150-3, 1999).
The results of the geotechnical monitoring during construction are

in good agreement with the surface subsidence computed in the sta-
bility analyses. It could thus be shown that FE-analyses are a
good basis for estimating the subsidence due to tunneling, if the
parameters are assessed appropriate and the excavation and the in-
stallation of the support are simulated realistically.
3.3 Hellenberg Tunnel, Germany
3.3.1 Introduction
The alignment of the new railway line Cologne-Rhine/Main runs

through the Rhine schist mountains (Rheinisches Schiefergebirge)
in NW-SE direction tightly bundled with the freeway (Autobahn) A3.
Coming from Cologne, it crosses in particular the Siebengebirge,
Westerwald and Taunus mountains. The alignment comprises more than
30 tunnels with a total length of approx. 47 km. The Hellenberg
Tunnel is one of six tunnels driven in the Taunus mountains and
lies to the south of Idstein.
3.3.2 Structure
The new railway line Cologne-Rhine/Main of German Rail (Deutsche

Bahn AG) undercrosses the Hellenberg mountain in a 552 m long tun-
nel. The maximum overburden of the tunnel amounts to approx. 19 m.
The tunnel sections in the portal areas were constructed by the

cut-and-cover method. The central tunnel segment with a length of
approx. 470 m was driven by underground construction ascending
from southeast to northwest (Fig. 3.34).
A mouth-shaped profile with an excavated width of 15.4 m and a

height of 12.3 m was constructed for the double-tracked Hellenberg
Tunnel (Fig. 3.35). This is the standard profile for double-
Tracked tunnels of the new railway line Cologne-Rhine/Main. The
excavated cross-section amounts to approx. 150 m2 (Fig. 3.35).

- 112 -
Fig. 3.34: Hellenberg Tunnel, site plan

- 113 -
Fig. 3.35: New railway line Cologne-Rhine/Main, standard pro-

file
In the vault area the radius of curvature of the shotcrete mem-

brane amounts to R = 7.32 m. The invert is rounded with a radius
of R = 16.5 m. For the transition area from the sidewalls to the

- 114 -
invert radii of R = 4.38 m and R = 2.5 m, respectively, were se-

lected (Fig. 3.35).
Fig. 3.36 shows the southern portal at the start of underground

excavation of the Hellenberg Tunnel.
Fig. 3.36: Hellenberg Tunnel, southern portal
The ground along the alignment of the Hellenberg Tunnel was ex-
plored by test pits and core drillings. The boreholes were
equipped as observation wells (Fig. 3.34 and 3.37).
The Quaternary talus material, which is loamified in the upper re-

gion, extends to a depth of approx. 2 m. In the portal areas it is
encountered down to a maximum depth of 5 m.
Below the Quaternary cover Devonian rocks follow composed in the

area of the Hellenberg Tunnel of phyllitic slate with sandstone
and quartzite intercalations and embedded conglomerate lenses.
These layers are referred to as Variegated Schist.

- 115 -
Fig. 3.37: Hellenberg Tunnel, longitudinal section with pre-

dicted excavation classes

- 116 -
The rock mass in the area of the Hellenberg Tunnel is character-

ized by a deep-reaching weathering extending to a depth of some
35 m. Unweathered rock mass is thus only encountered below the
tunnel's invert.
In the course of the exploration the drill cores and the test pits
were geotechnically mapped. Further, television probing and labo-
ratory and in-situ tests were carried out.
From the northern tunnel portal the groundwater table rises to

12 m above the tunnel roof. In the following, it drops towards the
southern tunnel portal to below the tunnel's invert. The groundwa-
ter table mapped in the tunnel's longitudinal section (Fig. 3.37)
is based on the highest groundwater levels measured in the bore-
holes equipped as observation wells.
Because of the size of the excavation profile it was necessary to

subdivide excavation and support into crown, bench and invert
(Fig. 3.35). An advancing crown excavation was carried out.
A prediction of the distribution of the excavation classes based

on the results of the exploration and of stability analyses and on
experience is shown in Fig. 3.37. According to the drilling re-
sults, the strongly weathered rock extends in the portal areas to
about the tunnel's invert. Accordingly, excavation classed with a
temporary crown invert support were planned here (6A-K1 and 7A-K1,
see DGGT, 1995: Table 1). In the central tunnel section it was ex-
pected that the crown heading can be carried out with an open in-
vert. In parts excavation classes without advance support measures
(4A-2 and 4A-3, see DGGT, 1995: Table 1) were predicted. For other
sections it was assumed that the heading requires advance support
(excavation classes 6A-1 and 6A-2, see DGGT, 1995: Table 1).
The excavation methods, round lengths and support measures planned

for excavation classes 6A-1 and 6A-2 are shown in Fig. 3.38 and
3.39.
It was planned to carry out the excavation mainly by tunnel exca-

vators and hydraulic chisels. In areas in which the tunnel was lo-
cated in slightly weathered and slightly jointed rock, local loos-
ening blasting was planned.

- 117 -
Fig. 3.38: Excavation classes 6A-1 and 6A-2
The unsupported round lengths during the crown excavation were

specified in excavation class 6A-1 as 0.80 to 1.20 m and in exca-
vation class 6A-2 as 1.21 to 1.60 m (Fig. 3.38 and 3.39). In both
excavation classes an advance support of the crown with 3 to 4 m
long mortar spiles was provided for (Fig. 3.38 and 3.39). Shot-
crete of grade B25 was selected for the shotcrete membrane at a
thickness of 25 cm and reinforced inside and outside by steel fab-
ric mats Q221 (Fig. 3.38 and 3.39). In the sidewall area a system-
atic anchoring with at least twelve 4 m long SN-anchors per tunnel
meter was planned (Fig. 3.38 and 3.39).

- 118 -
Fig. 3.39: Support for excavation classes 6A-1 and 6A-2:

a) Cross-section; b) longitudinal section

- 119 -
A possible installation of anchors in the roof area ought to be

decided on site. For each round one steel set (lattice girder) was
to be installed in the crown area (Fig. 3.38 and 3.39).
The trailing distance of the bench (section D in Fig. 3.38) and

the closing of the invert (section E in Fig. 3.38) was to be
specified depending on the results of monitoring during heading,
the encountered geotechnical conditions and the results of the
stability analyses.
The unsupported round lengths were specified in excavation class

6A-1 for the bench and the invert as 1.60 to 2.40 m and ≤ 3.60 m,
respectively. In excavation class 6A-2 the corresponding round
lengths amounted to 2.41 to 3.20 m and ≤ 4.80 m, respectively
(Fig. 3.38).
To improve the stability, the shotcrete membrane was to be widened

to t = 60 cm in the area of the crown and bench support feet if
necessary. It is shown calculational in Wittke et al. (1986), Wit-
tke (1990) and Wittke (1998), however, that the stability of a
crown heading with open invert can only slightly be improved by
these kind of measures.
3.3.5 Crown heading
The excavation classes were finally specified during the crown

heading on the basis of the results of stability analyses, of
crown face mappings (see Chapter 3.3.6) and of the monitoring re-
sults.
The crown was excavated over the entire tunnel length without a
trailing bench excavation (unlimited length of section D in Fig.
3.38). In the area of the southern portal a crown heading with a
temporary support of the invert was carried out over a length of
approx. 80 m (excavation class 7A-K1, Fig. 3.40). At the northern
portal a temporary support of the invert was only constructed in
the beginning of excavation (excavation class 6A-K1, Fig. 3.40).
In the remaining area a crown heading with open invert was carried
out (excavation classes 6A-1 and 6A-2, Fig. 3.40).

- 120 -
Fig. 3.40: Hellenberg Tunnel, longitudinal section and excava-

tion classes, as carried out

- 121 -
3.3.6 Results of the crown face mapping
The evaluation of the crown face mapping resulted in a modified

elevation of the boundary between strongly and slightly weathered
rock as compared to the exploration results (Fig. 3.37 and 3.40).
Nevertheless, the predicted distribution of excavation classes
agreed well with the construction (Fig. 3.37 and 3.40).
During the tunnel face mapping the appearance, the extent and the
orientation of the discontinuities were determined as well.
Fig. 3.41 shows as an example the crown face mapping at chainage

345.4 m. The strike and dip angles of the discontinuities were
measured using a geological compass (see Chapter 2.5.1). For rea-
sons of clarity of the representation only some of the measured
discontinuity orientations are mapped in Fig. 3.41.
Fig. 3.41: Crown face mapping, chainage 345.4 m

- 122 -
In Fig. 3.42 all discontinuity orientations measured from chainage

300 to 350 m are shown in a polar diagram (see Chapter 2.5.1). Ac-
cordingly the discontinuities can mainly be assigned to three
sets.
Fig. 3.42: Measured discontinuity orientations, chainage 300 to

350 m, polar diagram
The bedding planes and foliation discontinuities display the NE-SW

strike typical for the Rhine schist mountains and dip at a moder-
ate steep to steep angle (50 to 80°) towards northwestern direc-
tions. Two joint sets J1 and J2 further exist dipping mostly
steeply (60 to 90°) and striking parallel to the tunnel axis (Fig.
3.42).
Fig. 3.43 shows the bench at the southern portal. The photograph
gives an impression of the strongly weathered rock in this area
and of the discontinuity fabric.

- 123 -
Fig. 3.43: Bench at the southern portal
3.3.7 Stability analyses for the bench excavation
Within the tunnel sections driven according to excavation classes

6A-1 and 6A-2 an advancing crown excavation with open invert and
trailing bench and invert excavation was planned (Fig. 3.38). The
evaluation of the mapping carried out during the crown heading re-
vealed, however, that the steep joints J1 and J2 striking parallel
to acute-angled to the tunnel axis (see Fig. 3.42) appear fre-
quently in some areas and have a large extent. Before the start of
the bench excavation the stability of the tunnel in this construc-
tion stage was therefore investigated in FE-analyses with the pro-
gram system FEST03 (Wittke, 2000). On the basis of the results of
these analyses the length of the section E between bench and in-
vert excavation (see Fig. 3.38) was to be specified.
Fig. 3.44 shows the computation section, the FE-mesh, the ground
profile and the parameters taken as a basis for the stability
analyses (Wittke et al., 1999). The tunnel cross-section is lo-
cated in the strongly to slightly weathered Variegated Schist. The
overburden is 18 m high. Below the tunnel's invert the rock is un-
weathered.

- 124 -
Fig. 3.44: Computation section, FE-mesh, ground profile and pa-

rameters
As mentioned above, the foliation or bedding, respectively,

strikes approx. perpendicularly to the tunnel axis and dips
steeply (see Fig. 3.42). Since discontinuities of this orientation
hardly influence the load transfer in transverse tunnel direction,
the foliation/bedding was not taken into account in the analyses.
The shear strength of the joints J1 and J2, which are relevant for
the stability, was, however, accounted for. The shear strength was
furthermore varied because of the different appearance of these
discontinuities. Three cases were investigated, in which the fric-
tion angles on the joints ϕJ were assumed as 20°, 22.5° and 25° and
the cohesion as cJ = 0. The anchoring of the rock provided for in
all excavation classes was not taken into account in the analyses
as a conservative assumption.
The heading of the tunnel was simulated in four computation steps

(Fig. 3.45). In the 1st computation step the in-situ state of
stress and deformation resulting from the dead weight of the rock
mass was computed. After that, the excavation of the crown (2nd

- 125 -
computation step) and the bench (3rd computation step) was simu-
lated, each time with simultaneous installation of the shotcrete
membrane. In the 4th computation step the invert was excavated and
supported using shotcrete.
Fig. 3.45: Computation steps

- 126 -
A thickness of t = 25 cm (see Fig. 3.35) and a Young's modulus of

E = 15,000 MN/m2 were specified for the shotcrete membrane.
Fig. 3.46 shows the development of the displacements computed for

the bench support feet in the course of the viscoplastic iterative
analysis in the 3rd computation step.
Fig. 3.46: Viscoplastic displacements depending on the shear

strength of the joint sets J1 and J2, 3rd computa-
tion step
For the case ϕJ = 25° the stability of the construction stage due
to the bench excavation can be proven in the analysis. The hori-
zontal and vertical displacements computed at the bench support
feet converge in the course of the viscoplastic iterative analysis
(see Fig. 3.46). The horizontal and vertical components of the
viscoplastic displacements of the bench support feet amount to
δ Hvp = 15.6 mm and δ Vvp = 9.2 mm.
With decreasing friction angle ϕJ markedly larger viscoplastic dis-

placements are computed (see Fig. 3.46). In the case ϕJ = 20° the
displacements do not converge in the analysis (see Fig. 3.46). The

- 127 -
stability of the construction stage as a result of the bench exca-

vation can thus not be proven by the analysis for this case.
Summarizing it may be stated that the stability of the tunnel dur-

ing bench excavation depends to a large degree on the friction an-
gle ϕJ on the joints.
On the basis of the results of the stability analyses it was

agreed upon for those sections in which the crown was excavated
without invert support to set no limit for the length of the sec-
tion E between bench excavation and the support of the invert (see
Fig. 3.38). With the bench mapping during heading, however, great
importance was attached to recording the appearance and extent of
the joints. Whenever strongly jointed rock was encountered during
bench excavation, the anchoring of the sidewalls was intensified.
3.3.8 Construction and monitoring results
Fig. 3.47 shows the sequence of the heading. Following the crown
heading (1), the bench was excavated up to chainage approx. 80 m
at a round length of 2.0 m. The invert trailed with a round length
of 3.6 m and was supported after each round (2). In this area the
strongly weathered rock mass extends into the tunnel cross-section
(Fig. 3.47), and a crown invert support was installed.
After that, the bench was excavated from chainage 80 m to 462 m

with a round length of 2.4 m (3 in Fig. 3.47). As mentioned, the
anchoring was locally intensified because of the heavy jointing of
the rock mass.
In the northern portal area the bench was excavated again with im-
mediately trailing invert over a short tunnel section (4 in Fig.
3.47). The round lengths were the same as in the southern portal
area.
Finally, the invert was excavated backward and supported with

round lengths of 3.6 m (5 in Fig. 3.47).
The heading was accompanied by a geotechnical monitoring program

including surface leveling, extensometer and inclinometer measure-
ments from the ground surface and leveling and convergency meas-
urements in the tunnel.

- 128 -
Fig. 3.47: Excavation, heading sequence

- 129 -
Fig. 3.48: Measured vertical displacements at the bench support

feet

- 130 -
Fig. 3.48 shows exemplarily the maximum subsidence at the bench

support feet measured after bench excavation. Since the elastic
part of the displacements had mostly occurred already before the
zero reading, it could not be recorded by the measurements. The
measurement results were therefore compared to the computed visco-
plastic displacement parts shown in Fig. 3.46. It becomes apparent
that the measured displacements are smaller than the viscoplastic
vertical displacements computed assuming a friction angle of
ϕJ = 25° (approx. 10 mm). It thus turns out that the construction
stage following the bench excavation was stable as predicted.
3.3.9 Conclusions
Crown headings are carried out in excavation classes with and

without invert support, depending on the rock conditions. Since
the different excavation classes vary strongly in cost, great im-
portance is attached to the appropriate specification. The example
of the Hellenberg Tunnel shows how the excavation classes can be
specified safely on the basis of the results of stability analy-
ses, mapping during construction and monitoring. It becomes appar-
ent that proofs of stability according to the FE-method can con-
tribute essentially towards the prediction of and decision on the
excavation classes.

- 131 -
4. Crown heading with closed invert
4.1 Österfeld Tunnel in Stuttgart, Germany
4.1.1 Introduction
The Österfeld Tunnel undercrosses residential areas as well as the

railway tracks of the Gäubahn and the S-Bahn (urban railway)
partly with low overburden. During the heading of the tunnel un-
derneath the railway lines the railway traffic had to be main-
tained. In this area, therefore, special measures for the support
of the tunnel were required. Special attention was required, be-
cause the road tunnel is located in mudstone layers of the Lias α,
which are subjected to high horizontal stresses.
4.1.2 Structure
The Österfeld Tunnel, which has been excavated by means of the

NATM is approx. 400 m long and part of the eastern by-pass around
Vaihingen, a suburb of the city of Stuttgart. The new road connec-
tion with a total length of 1.9 km is joining the highway B 14 at
the Vaihinger triangle (Fig. 4.1). The Österfeld Tunnel under-
crosses the Paradiesstraße and the railway tracks of the Gäubahn
and the S-Bahn (Fig. 4.2). Furthermore the new road crosses the
Nesenbachtal by means of a 170 m long bridge. Following the south-
ern end of this bridge, the road is running through the 780 m long
Hengstäcker Tunnel. The subsequent road section is joining the
Nord-Süd-Straße (Fig. 4.1). The new road connection was opened for
traffic in September 1999.
The northern portal of the Österfeld Tunnel is located at the end

of the roadway Unterer Grund. Up to the Don-Carlos-Brücke the tun-
nel runs parallel to the tracks of the Gäubahn and the S-Bahn
(Fig. 4.2). Along the first 100 m of this section at the base of
the adjacent railway trench a 9 m high angular retaining wall is
located. Moreover in the area of the tunnel some residential
buildings are located. One of these houses is directly under-
crossed by the tunnel. Behind the Don-Carlos-Brücke the tunnel un-
dercrosses the four tracks of the above mentioned railway lines at
an acute-angle. The tunnel ends at the northern flank of the Ne-
senbachtal (Fig. 4.2).

- 132 -
Fig. 4.1: Map of the eastern by-pass in Stuttgart-Vaihingen

- 133 -
Fig. 4.2: Plan and longitudinal section of the Österfeld Tun-

nel
The overburden of the tunnel varies between 6 m and 14 m. The low-

est overburden results at the undercrossing of the railway tracks
(Fig. 4.2).

- 134 -
Fig. 4.3: Österfeld Tunnel, regular cross-section
For the tunnel a mouth-shaped cross-section was carried out with a

total internal width of 11.2 m and a total height of 9.7 m. The
excavated cross-section amounts to approx. 98 m2. The thickness of

- 135 -
the shotcrete membrane is 25 to 30 cm and the thickness of the in-

terior lining consisting of watertight reinforced concrete is
40 cm. For the traffic in each direction a traffic lane of 3.75 m
width is available (Fig. 4.3).
The radius of curvature at the area of the crown is R = 5.6 m. The

invert (R = 10.4 m) as well as the temporary invert of the crown
(R = 12.2 m) were carried out with larger radii. At the transi-
tions from the crown to the temporary invert of the crown (R =
1 m) and from the sidewalls to the invert (R = 2.4 m) small radii
were selected (Fig. 4.3).
During the design phase for the new by-pass road an extensive pro-
gram for the exploration of the subsoil and groundwater conditions
was carried out. This program includes core drillings, the inves-
tigation of soil, rock and water samples, water level observa-
tions, combined extensometer and inclinometer measurements as well
as in-situ stress measurements.
According to the results of this exploration program the Österfeld

Tunnel is nearly completely located in the Psilonoten- and Angu-
latenlayers of the Lower Jurassic (Lias α1 and Lias α2, Fig. 4.4),
consisting of mudstones with single limestone and lime-sandstone
interbeds. The mostly solid mudstones are transversed by bedding
parallel discontinuities with small spacings and are distinctly
jointed. From the portal zones up to the central part of the tun-
nel the degree of weathering decreases and the strength of the in-
tact rock as well as of the rock mass, respectively, increases.
The generally very hard layers of limestone and lime-sandstone are
characterized by two sets of vertical joints J1 and J2, which are
oriented perpendicular to the bedding planes and enable the exca-
vation with an excavator. The almost horizontal bedding B dips
parallel to the tunnel axis towards the Nesenbachtal. The sets of
discontinuities B, J1 und J2 are also present in the mudstones,
however, with a considerable less extent and frequency as in the
limestones and lime-sandstones. Concerning the rock mechanical pa-
rameters the mudstones, the limestones and the lime-sandstones are
combined to one layer (Fig. 4.5). In the present case this is per-
missible, because the thicknesses of the limestones and the lime-
sandstones are small in comparison to the thicknesses of the mud-

- 136 -
stone layers as well as to the dimensions of the tunnel cross-

section.
Fig. 4.4: Stratigraphical and rock mechanical classification

of the ground
Locally the invert of the tunnel intersects the mudstones of the

Rät, which are located below the Lias α formation (Fig. 4.4 and
4.5).

- 137 -
The transition to the unweathered Knollenmergel, which is located

underneath the mudstones of the Rät, is formed by a disintegrated
layer, the so-called reduction zone of the Knollenmergel (Fig. 4.4
and 4.5). In the reduction zone as well as in the unweathered
Knollenmergel slickensides are present, which dip with 20° up to
40° and strike in all directions (Fig. 4.5).
Fig. 4.5: Lias α, Rät and Knollenmergel, structural model

(Wittke, 1990)
On top of the above described layers of the Lias α up to the

ground overlying strata of reclaimed fill and weathered mudstone
(clay) are located (Fig. 4.2). The thickness of these layers var-
ies between 3 and 8 m. In the area of the railway trench the rock
surface is situated only a few decimeters below the ground sur-
face.
The structural model for the Lias α, the Rät and the Knollenmer-
gel, illustrated in Fig. 4.5, was developed within the scope of

- 138 -
other projects in the city of Stuttgart with comparable ground

conditions (Wittke, 1990).
The soil mechanical parameters derived for the layers close to the
surface are based on the results of laboratory investigations on
samples taken from core drillings located in the area of the tun-
nel. Due to the grain-size distributions and moisture contents as
well as data gained from experience a mean modulus of deformation
of E = 25 MN/m2 as well as mean effective shear parameters of
ϕ' = 20° and c' = 10 kN/m2 are assumed (Table 4.1).
The elastic behaviour of the Lias α can be approx. described by a

transversally isotropic stress-strain-law. Based on the volumetric
distribution of the mudstones and the limestones and lime-sand-
stones the mean elastic constants were calculated according to
Wittke (1990). In these calculations the mudstones were assumed to
be transversally isotropic and the limestones and lime-sandstones
were treated as isotropic elastic rocks. The elastic constants of
the mudstones, limestones and lime-sandstones were derived from
the results of dilatometer tests and laboratory tests on rock sam-
ples. Also the experiences gained from other projects in the area
of Stuttgart were utilized for the estimation of these parameters.
The general relationships for the elastic constants of alternating
sequences consisting of transversally isotropic rocks are given in
Salamon (1968).
layer deformability strength

Fill and clay E = 25 MN/m² ϕ' = 20°, c' = 10 kN/m²
Mudstones with single E1 = 1000 MN/m² Bedding B:
layers of limestones E2 = 500 MN/m² ϕB = 20° cB = 0
and lime-sandstones Jointing J1, J2:
ϕJ = 30°, cJ = 40 kN/m²
Rät and reduction zone E = 150 MN/m² Discontinuities in the Rät
of the Knollenmergel and slickensides in the
reduction zone:
ϕD = 17.5°, cD = 10 kN/m²
Knollenmergel E = 1000 MN/m² Slikensides:
ϕS = 17.5°, cS = 10 kN/m²
Table 4.1: Mean values of soil and rock mechanical parameters
The shear strength of the mudstones is dominated by the shear

strength of the discontinuities, which is significantly smaller

- 139 -
than the shear strength of the intact rock. For the shear strength
of the bedding planes a friction angle of ϕB = 20° and a cohesion
of cB = 0 are assumed. For the joints of sets J1 and J2 an angle of
friction of ϕJ = 30° and a cohesion of cJ = 40 kN/m2 are estimated
(Table 4.1). A tensile strength normal to the discontinuities is
not taken into account.
With regards to the rock mechanical properties the Rät and the re-
duction zone of the Knollenmergel are combined to a uniform layer.
On the basis of experience for the modulus of deformation a value
of E = 150 MN/m2 is assumed (Table 4.1). In laboratory tests on
rock samples unconfined compressive strengths ranging from σu = 0.3
MN/m² to 5.0 MN/m2 were determined. Though these values are quite
low, here also the strength on the discontinuities is decisive.
The shear parameters of the discontinuities in the Rät and the
slickensides at the reduction zone of the Knollenmergel, respec-
tively, are estimated to be ϕD = 17.5° and cD = 10 kN/m2 (Table
4.1). A tensile strength normal to the discontinuities here also
is not accounted for.
The unconfined compressive strength of the unweathered Knollenmer-

gel is somewhat higher than that of the reduction zone. Decisive
for the strength of the unweathered Knollenmergel are however the
slickensides with shear parameters of ϕs = 17.5° and cs = 10 kN/m2
(Table 4.1). The modulus of deformation of the unweathered Knol-
lenmergel was not evaluated. From experience gained from other
projects in the area of Stuttgart with comparable subsoil condi-
tions (Wittke, 1990) for this parameter a value of E = 1000 MN/m2
is estimated (Table 4.1).
According to the results of investigations, carried out in the

past at different structures in the Lias α high horizontal in-situ
stresses are to be expected (Grüter, 1988; Wittke, 1990; Wittke
1991). Thus in two exploratory boreholes in-situ stress measure-
ments using the overcoring technique (Kiehl and Pahl, 1991) were
carried out. These measurements resulted in horizontal in-situ
stresses in an order of magnitude of ΔσH = 0.2 to 1.9 MN/m2 for the
mudstone layers of the Lias α. These stresses have to be accounted
for in addition to those resulting from the dead weight due to
horizontally confined in-situ conditions.
In the portal zones the ground-water level is located below the

invert of the tunnel. In the remaining area the water table is lo-

- 140 -
cated somewhat above the invert of the tunnel. In the central sec-
tion of the tunnel it is levelled at the middle of the height of
the cross-section of the tunnel (Fig. 4.2).
4.1.4 Fundamentals of the design
Because of the small overburden, the high horizontal stresses and

the low shear strength of the bedding parallel discontinuities in
the Lias α, in which the tunnel is located, special problems con-
cerning the stability of the tunnel during construction arise. Af-
ter the excavation of the tunnel the horizontal stresses have to
be transmitted around the tunnel's cross-section. As a consequence
stress concentrations at the roof and the invert of the tunnel oc-
cur, which may be considerably higher than in the horizontal
stresses present in the undisturbed state of stress (in-situ
state). If the tunnel remains unsupported over a greater section
the mudstones would be highly stressed in horizontal direction.
Because of the above mentioned comparable low strength shear fail-
ures on the bedding parallel discontinuities above the roof and
beneath the invert of the tunnel would occur. Moreover a buckling
of thin mudstone layers would be possible.
To avoid failures and collapses under these difficult conditions a

bolted shotcrete support has to be always installed immediately
after excavation. Thus the stresses can be transmitted around the
tunnel mainly through the shotcrete. To achieve a stable stage of
construction the support must be adequately designed and must have
an early bearing capacity. High requirements with regard to a high
early strength of the shotcrete are to be fulfilled.
Because of the large cross-section of the tunnel, which amounts to

98 m2 (Fig. 4.3), as well as for reasons of the construction proc-
ess and for stability it was decided to subdivide the cross-
section in crown, bench and invert. Because of the same reason and
in order to minimize surface subsidence the crown was designed
with a shotcrete membrane at the temporary invert. Also during
crown excavation as well as bench and invert excavation, respec-
tively, short round lengths and an early closing of the shotcrete
support were foreseen.
An alkali free shotcrete with a quick-setting spray cement was

used according to the dry shotcrete mixture transport technique of
the Rombold and Gfröhrer company , which is described in Balbach

- 141 -
and Ernsperger (1996) (see Chapter 2.1.2). This shotcrete is char-

acterized by a fast development of strength as well as a high ul-
timate strength. Although it is a shotcrete with a concrete grade
of B25 corresponding to a C20/25 according to EUROCODE 2 (EC2), it
was well known from experience gained from other projects that
this shotcrete develops a considerably higher strength comparable
to a concrete grade of B45 corresponding to a C 35/45 (EC2). As a
conservative assumption the design of the shotcrete membrane,
therefore, was based on a concrete grade of B35 corresponding to a
C30/37 (EC2). The strength of the shotcrete during construction
was continuously checked by concrete tests.
4.1.5 Stability analysis for the stages of construction
The stability analyses for the stages of construction of the

Österfeld Tunnel were carried out at vertical slices according to
the finite element method (Wittke, 2000). In the mudstone layers
of the Lias α in addition to the stresses due to dead weight hori-
zontal stresses ΔσH varying from 0.5 to 1.5 MPa - depending on the
location of the considered computation section - were simulated.
Analyses without consideration of increased horizontal stresses
were carried out too.
To account for the displacements which occur ahead of the tempo-

rary tunnel face and before the shotcrete membrane is installed in
the two-dimensional analyses a stress relief was simulated by re-
ducing the Young's modulus of the rock mass to be excavated (Wit-
tke, 2000):
Ered = av ⋅ E with av ≤ 1 (4.1)
In the analyses the so-called stress relief factor av is varied be-

tween 1.0 (no stress relief) and 0.5. In the next step of analysis
the excavation as well as the installation of the shotcrete mem-
brane was simulated simultaneously.
In the scope of the review of the design two- and three-

dimensional analyses using the computer code FEST03 (Wittke, 2000)
were carried out. By means of these analyses the displacements
monitored during excavation of the tunnel were back analyzed and
the assumptions and thus the parameters taken as a basis for the
stability analyses were checked. In the following the steps as

- 142 -
well as the results of these analyses are explained by means of an

example.
In Fig. 4.6 the finite element mesh used for the three-dimensional
analyses is illustrated (Hauck et al., 1998). The dimensions of
the computation section are 100 m x 100 m x 40 m. The computation
section is subdivided into 9074 isoparametric elements with 12720
nodes. The computation section is modeling the area of the Para-
diesplatz, which is located approx. 120 m south of the portal "Un-
terer Grund" (Fig. 4.1 and 4.2). The setup of the finite element
mesh enables the modeling of the stages of excavation, of the
shotcrete membrane as well as of the subsoil profile and the rail-
way trench. The analyses were carried out assuming an elastic-
viscoplastic stress-strain behaviour for the ground. For the mud-
stones of the Lias α with single layers of limestones and lime-
sandstones as mentioned above a transversally isotropic stress-
strain behaviour in the elastic domain as well as increased hori-
zontal in-situ stresses were simulated. The soil and rock mechani-
cal parameters as well as the three-dimensional finite element
mesh are shown in Table 4.1 and Fig. 4.6.
Fig. 4.6: Computation section, finite element mesh and ar-

rangement of extensometers and inclinometers

- 143 -
Fig. 4.7: Steps of analysis for simulation of the heading of

the tunnel

- 144 -
In the three-dimensional analysis the stages of construction aris-

ing during the heading of the tunnel were simulated in several
steps, which approximately correspond to the driving and support
of the tunnel in reality (Fig. 4.7). The applied so-called "step
by step" method is explained in detail in Wittke (2000).
In the two first steps of the analysis the in-situ state of stress
due to dead weight and the additional horizontal stresses in the
Lias α were calculated. For the simulation of the increased hori-
zontal stresses ΔσH the nodes located at the boundary plane with
the coordinate x = 100 m were displaced in x-direction. These dis-
placements lead to horizontal stresses, which correspond to the
stress ΔσH existing in the Lias α (Fig. 4.6). In the first step of
analysis the whole computation section was horizontally loaded by
these displacements. The unit weight γ was accounted for, however,
only for the Lias α. In the second step of the analysis the soil
layer underneath the surface as well as the Rät and the Knollen-
mergel, in which increased horizontal stresses are not existing,
were substituted by materials, which have the same mechanical pa-
rameters as before, which however are not weightless any longer (γ
> 0). Since the new materials were installed stress-free into the
already deformed corresponding elements (Wittke, 2000) and because
in the second step of the analysis the horizontal displacements of
the boundary x = 100 m were not changed, the soil underneath the
surface, the Rät and the Knollenmergel are loaded only by the dead
weight and not subjected to increased horizontal stresses.
The excavation of the railway trench was simulated within the

third step of analysis. In the steps 4 up to 12 the crown excava-
tion as well as the excavation of the bench and the invert follow-
ing at a certain distance were simulated. In the computation case,
which is illustrated in Fig. 4.7, unsupported round lengths of 3 m
for the crown excavation and of 6 m for the excavation of the
bench and the invert were simulated. These are larger than the
real round lengths applied during construction which are mentioned
below (Chapter 4.1.6). Hereby the development of strength of the
shotcrete, which was not considered in the analysis, was roughly
simulated. By modeling greater round lengths it was taken into ac-
count that the young shotcrete develops its complete bearing ca-
pacity only after a number of days (see Chapter 2.1). Therefore
the distance between the load bearing shotcrete support and the
tunnel face modeled in the analysis is larger as one round length
in reality. The excavation of the bench and the invert was simu-

- 145 -
lated stepwise in a similar manner as the crown excavation (Fig.

4.7).
By means of three-dimensional analyses it is possible to compute

the stress redistributions in the area of the temporary tunnel
face, which lead to stress concentrations in the rock mass ahead
of the tunnel face, which is not yet excavated, as well as in the
rock mass adjacent to the excavated cross-section and in the sup-
port already installed. To demonstrate the three-dimensional car-
rying behaviour the development of the calculated vertical dis-
placement of a point at the roof during the heading of the tunnel
is illustrated in Fig. 4.8. Up to the 7th step of analysis, in
which the tunnel face passes the considered point, already 50 % of
the final displacement due to excavation are evaluated as advanc-
ing displacement.
Fig. 4.8: Vertical displacements of a selected point at the

roof in the course of analysis

- 146 -
Fig. 4.9 illustrates the calculated principal normal stresses in

the rock mass resulting from excavation and support of the crown
(12th step of analysis) computed for a cross-section perpendicular
to the axis of the tunnel, and located in the area of the unsup-
ported crown (cross-section C-C in Fig. 4.7). For the considered
computation case an increased horizontal stress of ΔσH = 1 MN/m2
existing in the Lias α was assumed. As a result of computation an
arch is formed in the rock mass around the crown. As a consequence
of the increased horizontal stresses beneath the crown's invert
near the contour of the excavation stresses up to 1.6 MN/m2 are
computed. Above and underneath the unsupported cross-section of
the crown as well as at the foot of the slope of the railway
trench and also in the Knollenmergel the strengths on the discon-
tinuities are exceeded (Fig. 4.9).
Fig. 4.9: Principal normal stresses and subsoil areas in which

strength is exceeded resulting from the crown head-
ing , 12th step of analysis (section C-C in Fig.
4.7)
In a corresponding illustration Fig. 4.10 shows the displacements

due to the crown heading. Fig. 4.10 represents the differences be-
tween the nodal point displacements computed for steps 12 and 3 of
the analysis for cross-section B-B (Fig. 4.7). The displacements
oriented towards the excavated opening amount to approx. 6 mm. For
the foot of the slope of the railway trench displacements of ap-
prox. 10 mm are computed (Fig. 4.10).

- 147 -
The comparison of the results of the two- and three-dimensional

analyses shows that for the two-dimensional analyses a stress re-
lief factor of av, which ranges from 0.5 to 0,8, is to be taken
into account to achieve displacements corresponding to the results
of the three-dimensional analyses.
According to the results of the comparative analyses the shotcrete

membrane can be designed with a thickness of 25 cm and a rein-
forcement consisting of an inner and outer steel fabric met Q 295
considering a safety factor of 1.35.
Fig. 4.10: Displacements due to the crown heading, 12th - 3rd

step of analysis (section B-B in Fig. 4.7)
4.1.6 Excavation and support
For the excavation of the tunnel with a total cross-section of

98 m2 (Fig. 4.3) a tunnel excavator was used. The heading was sub-
divided into a crown excavation and an excavation of bench and in-
vert following the crown at some distance (Fig. 4.11).
The distance from the excavation of the bench and the invert to
the crown was chosen to at least 50 m. The round lengths for the
crown's excavation were chosen between 80 cm and 1.2 m. For the
excavation of the bench and the invert round lengths ranges from
1.6 to 3.0 m (Fig. 4.11). Thus during the crown's excavation as
well as the excavation of the bench and the invert an early clo-
sure of the shotcrete membrane was realized. This measure has
proven to limit the subsidence especially during the undercrossing
of the buildings and the railway to a low level.

- 148 -
Fig. 4.11: Undercrossing of the Gäu- and S-Bahn (urban rail-

way), longitudinal section
The regular support of the tunnel consists of a shotcrete membrane

reinforced by two layers of steel fabric mats and with thicknesses
varying from 25 cm to 30 cm. The temporary invert was supported by
a 20 cm to 25 cm thick shotcrete membrane. Also steel sets and a
systematic bolting around the crown and the bench are part of the
support (Fig. 4.3 and 4.12). In Fig. 4.13 details of the support
at the foot of the crown are illustrated.
Due to the low overburden and the high frequency of the disconti-
nuities near the ground surface in the area of the two portals
grouted spiles were used as advancing support. The intensively
jointed mudstones located immediately above the Oolithenbank (Fig.
4.4) turned out to be caving to a major degree. In case of a unfa-
vorable location of this rock layer at the tunnel roof, therefore,
also in greater distance to the portals the installation of
grouted spiles were required.

- 149 -
Fig. 4.12: Tunnel cross-section with support measures: a) Regu-

lar cross-section; b) undercrossing of the railway
tracks

- 150 -
Fig. 4.13: Design of support in the area of the crown's foot:

a) Crown excavation; b) excavation of the bench and
the invert
Fig. 4.14: Crown excavation under a pipe umbrella

- 151 -
In the area of the railway trench the excavation of the crown was
carried out underneath the protection of a total of ten advancing
pipe umbrellas (Fig. 4.11, 4.12 and 4.14). The steel pipes in each
case were installed from niches and have a diameter of 140 mm and
a length of 14.50 m. The overlap between two successive pipe um-
brellas was selected to 3 m. The lengths of the niches, which were
expanded continuously up to a maximum depth of 75 cm, is 6.5 m
(Fig. 4.11). Before the excavation of the bench and the invert in
the area of the niches was carried out, the niches were filled
with shotcrete.
The pipes consisting of 2 m long pieces were installed using a

solid eccentric bit with an overcut of approx. 1 cm. Using prefab-
ricated openings for injection (Fig. 4.12) as well as a double
packer the annulus was grouted by means of cement based suspen-
sion. From the recorded grout volumes it could be concluded that
by this procedure only the annulus between the pipe and the bore-
hole wall was filled with grout. An appreciable grouting of the
rock mass located between the pipes was not achieved. Finally, in
a separate working operation, the steel pipes were filled with
suspension (Hauck et al., 1998).
The average completion time for a pipe umbrella was 5 days. During
the corresponding interruption of the crown heading the bench and
the invert excavation was carried out which was started after the
installation of the first pipe umbrella because of their higher
rate of advance. In this way an optimum rate of advance could be
achieved (Hauck et al., 1998).
For the time interval between the excavation and the installation
of the shotcrete membrane the bearing behaviour of the steel pipe
umbrella in the longitudinal direction of the tunnel is activated.
In other words the space between the tunnel face and the load
bearing shotcrete support in this stage is bridged by the pipes.
As a consequence caving and loosening of the rock mass in this
area as well as resulting subsidence are largely avoided.
4.1.7 Monitoring program and interpretation of the measuring

results
During the heading of the tunnel an extensive monitoring program

with special emphasis on the area of the undercrossing of the
railway was carried out. Before the excavation started four main

- 152 -
measuring cross-sections (MC2, MC5, MC9 and MC11, Fig. 4.2) with
vertical combined extensometer and inclinometer measuring equip-
ments on both sides of the tunnel (Fig. 4.6) were installed.
On the surface above and aside of the tunnel, at the buildings, at

the "Don-Carlos-Brücke" as well as at the sleepers of the railway
tracks points for levelling were installed. The measuring program
was complemented by underground convergency and displacement meas-
urements within various tunnel cross-sections, which were carried
out parallel to the tunnel driving.
Eventual subsidence of the railway tracks was monitored by optical

measurements carried out from fixed points located outside of the
area of the railway tracks, by means of installation of reflec-
tors, which were fixed at the sleepers.
The measuring results show small subsidence of the ground surface

with a maximum of 2.5 cm. During the undercrossing of the house
Paradiesstraße no. 69 the maximum vertical displacement of the
building could be limited to 12 mm. The differential settlements
of the building were so small that the admissible angular rota-
tions of the building were not reached and thus no visible damages
of the building occurred.
In the area of the railway tracks also no inadmissible subsidence

or differential settlements could be observed.
The results of the monitoring were evaluated and interpreted by

means of finite element analyses (Hauck et al., 1998).
Exemplarily the measuring results of the measuring cross-section 5

(MC5), which is situated in the area of the "Paradiesplatz" (Fig.
4.2) will be discussed. It reflects the situation, in which the
tunnel is running immediately adjacent to the slope of the railway
trench and the roof of the tunnel is approx. located at the eleva-
tion of the railway trench.
The horizontal displacements measured by inclinometers in four

boreholes during the crown's excavation above the tunnel are ori-
ented towards the railway trench and amount up to 9 mm (Fig.
4.15a). In the height of the tunnel's cross-section the measured
horizontal displacements are oriented on both sides towards the
excavated opening and amount 6 to 7 mm. These displacements lead
to horizontal convergencies of the side walls of the tunnel.

- 153 -
Fig. 4.15: Measured and calculated horizontal displacements

(MC5): a) Crown excavation; b) full excavation of
the tunnel's cross-section

- 154 -
Fig. 4.16: Measured and calculated vertical displacements

(MC5): a) Crown excavation; b) full excavation of
the tunnel's cross-section

- 155 -
Above the roof of the tunnel a change of direction of the horizon-

tal displacements occurs (drilling E7). This change can be ob-
served also at the foot of the slope and was indicated by the
tilting of the masts of the contact wire in the direction of the
railway tracks.
The following excavation of the bench and the invert of the tunnel
has lead to an increase of the horizontal displacements from 50 up
to 100 % (Fig. 4.15b).
The measurement of the vertical displacements resulting from the

crown excavation in the measuring cross-section 5 show a subsi-
dence at the ground surface above the tunnel as well as in the
rock mass above and adjacent to the tunnel. On the other hand in
the area of the railway trench small heavings were measured (Fig.
4.16a).
During the following excavation of the bench and the invert no

significant changes of the vertical displacements were measured
(Fig. 4.16b).
The interpretation of the results of the measurements by means of

finite element analyses leads to the result that the measured dis-
placements can only be understood, if increased horizontal
stresses in the rock mass are taken into account. The rock me-
chanical parameters on which the stability analyses are based on
as well as the increased horizontal in-situ stresses in the order
of magnitude of ΔσH ≈ 1 MN/m2 could be veryfied by the comparison
of measured and calculated displacements (Fig. 4.15 and 4.16).
4.1.8 Conclusions
The design and construction of the eastern by-pass of Stuttgart-

Vaihingen can be considered as a challenge. Based on the experi-
ence gained in connection with large tunneling projects for road
as well as for urban railway traffic carried out in the city of
Stuttgart the complex and partly new tasks, which are related to
the heading of the Österfeld tunnel, could be solved rather excel-
lently.
With regard to the stability and the displacements resulting from

tunnel driving special attention was required because of the small
overburden as well as the increased horizontal stresses and low

- 156 -
shear strengths on the bedding parallel discontinuities of the

mudstones of the Lias α, in which the tunnel is located.
These problems were solved by the following measures:
- Subdivision of the excavation of the tunnel's cross-section

in crown, bench and invert,
- installation of a shotcrete membrane and a systematic bolting

immediately after excavation,
- short round lengths and an early closing of the shotcrete

support during the crown's excavation as well as the excava-
tion of the bench and the invert,
- reinforced shotcrete support of the temporary invert of the

crown,
- use of a shotcrete with a quick-setting cement with a high

early and ultimate strength,
- carrying out of steel pipe umbrellas in the area of the un-

dercrossing of the railway tracks with low overburden.
By these measures the excavation of the tunnel could be carried

out with very little subsidence at the ground surface. At no stage
of construction the railway traffic was affected.
Moreover it has been found that the results of the three-

dimensional analyses using the finite element method, which were
carried out within the scope of this project, have made an essen-
tial contribution for prognosis as well as for the design of the
measures for excavation and support.
4.2 Road tunnel "Elite" in Ramat Gan, Israel
4.2.1 Introduction
The two-lane road tunnel "Elite" was headed in Ramat Gan, a city
in the Tel Aviv area. The tunnel was started from a underground
parking lot located adjacent to the 260 m high Gate Tower (Fig.
4.17), the highest building in the Middle East. The tunnel under-

- 157 -
crosses eight-lane Jabotinsky Street to Tel Aviv in the area of an

intersection (Fig. 4.18).
Fig. 4.17: Gate Tower, Ramat Gan (Israel)

- 158 -
Fig. 4.18: Elite Tunnel, site plan with drill points

- 159 -
4.2.2 Structure
The axis of the approx. 110 m long Elite Tunnel runs firstly along
a circular arc with a radius of approx. 120 m and then changes
into a straight line (Fig. 4.18).
The tunnel clearance is approx. 4.9 m high and approx. 10 m wide

(Fig. 4.19). The tunnel is located in a calcareous sand with low
cohesion (Kurkar), which contains local lenses of cohesionless

fine sands (see Chapter 4.2.3). The overburden ranges from 3 to
4.5 m.
Fig. 4.19: Elite Tunnel, tender design, cross-section
The tender design included the advance installation of steel pipes

90 to 110 cm in diameter above and adjacent to the tunnel over the
entire tunnel length using a microtunneling machine (Fig. 4.19 and
4.20). Under the protection of this umbrella of steel pipes filled
with concrete, the tunnel was subsequently to be excavated. The
approximately rectangular reinforced concrete tunnel cross-section
(Fig. 4.19) was to be constructed in blocks in the process with
the excavation being interrupted for each block (Fig. 4.20).
In cooperation with Walter construction company (Walter Bau AG),

WBI prepared a contractor's design proposal described in Chapter
4.2.4. This contractor's design proposal is based on the NATM and
was later carried out.

- 160 -
Fig. 4.20: Elite Tunnel, tender design, construction stages: a)

Installation of block 1; b) excavation; c) installa-
tion of block 2

- 161 -
In the course of the exploration for other construction projects,

eight boreholes were sunk in the tunnel area. Fig. 4.18 shows the
drill points of seven of these boreholes.
In Fig. 4.21 the drill logs of four boreholes are projected onto a
longitudinal section through the tunnel axis. According to these
borehole logs, fill or clayey sands and clays exist down to a
depth of 2 m. Below, medium dense to dense calcareously bonded,
partially cemented sands with a fraction of gravel are encountered
(Fig. 4.22). In these slightly cohesive sands, termed "Kurkar",
locally cohesionless fine sands are intercalated, as mentioned
above.
Fig. 4.21: Elite Tunnel, longitudinal section with drill logs
To assess the relative density and the bulk modulus, Standard

Penetration Tests (SPT) were carried out in each borehole. Fig.
4.23 shows exemplarily the drill log and the SPT results for bore-
hole B13 located closest to the tunnel alignment (see Fig. 4.18).

- 162 -
Fig. 4.22: View of the temporary tunnel face located in the

"Kurkar" formation

- 163 -
Fig. 4.23: Borehole B13, drill log and Standard Penetration

Test (SPT), results
According to this, Kurkar is encountered at the level of the tun-

nel cross-section, with the exception of a thin soil layer of uni-

- 164 -
formly graded sand with fines. On the basis of the blow counts per
30 cm of penetration depth determined with the SPTs ranging be-
tween N30 = 16 and N30 = 46, the Kurkar and the uniformly graded
sand can be classified as medium dense to very dense (D = 0.5 to
0.7) according to DIN 4094, appendix 1 (1990). An estimate of the
bulk moduli according to DIN 4094, appendix 1 (1990) on the basis
of the determined values for N30 leads to moduli ranging from ap-
prox. 40 to approx. 100 MN/m2.
The groundwater table was found at 0 to 1 m a.s.l. in the explora-

tion boreholes, which is equal to 6 to 7 m below the tunnel's in-
vert (Fig. 4.23).
4.2.4 Design
Fig. 4.24 shows the tunnel cross-section according to the contrac-

tor's design proposal prepared by WBI together with Walter Bau AG.
The excavation contour circumscribes the clearance with a height
of approx. 8.2 m and a width of approx. 12.1 m. Because of the low
overburden, the roof was designed shallow with a radius of curva-
ture of 11.75 m. For the sidewalls and the invert large radii were
selected as well with 11.55 m and 14.06 m, respectively. At the
transitions from the roof to the sidewalls and from the sidewalls
to the invert the selected radii are comparatively small with
2.65 m and 2.12 m. The excavated cross-section amounts to approx.
85 m2.
For construction management reasons and for reasons of the stabil-

ity of the tunnel face, the cross-section is subdivided into the
crown with temporary invert support and the trailing bench and in-
vert (Fig. 4.24 and 4.25). The height of the crown amounts to 5.6
m. The transitions from the sidewalls to the temporary invert have
radii of 1.7 m. The temporary invert of the crown is rounded with
a radius of 18.38 m (Fig. 4.24).
A thickness of 25 cm is selected for the shotcrete membrane in the

vault. In the area of the bench, the invert and the temporary
crown invert the shotcrete membrane is planned with a thickness of
20 cm. The thickness of the reinforced concrete interior lining
amounts to 40 cm (Fig. 4.24).

- 165 -
Fig. 4.24: Elite Tunnel, contractor's design proposal, cross-

section
To protect the work space and to relieve the area of the temporary
tunnel face, the tunnel is planned to be excavated under the pro-
tection of pipe umbrellas consisting of 12 m long steel pipes with
a diameter of ca 17 cm (Fig. 4.25 and 4.26). The pipes are spaced
at approx. 40 cm and have a wall thickness of 7 mm. Four rebars
are entered into each pipe to increase the section modulus. Fur-
ther, the pipes are filled with B25 concrete (Fig. 4.26). The
steel pipes overlap by 3 m (Fig. 4.25). As mentioned above, the

- 166 -
pipe umbrellas are designed to bridge the work space and should
therefore be able to carry the entire load resulting from overbur-
den and traffic. Their design is therefore based on these loads
(see Chapter 4.2.5).
Fig. 4.25: Elite Tunnel, contractor's design proposal, excava-

tion and support, longitudinal section
If the sand has a cohesion or an apparent cohesion, the gaps be-

tween the pipes can be bridged by the arching effect. If dry,
loose sand or cohesionless fill appears in the roof area, the gaps
between the pipes must be supported, e. g. by the installation of
additional pipes (Fig. 4.26). Alternatively, the gaps may be
bridged by steel plates welded to the pipes, or they may be sup-
ported using spiles (see Chapter 4.2.6).
The contractor's design proposal includes a steep temporary tunnel

face inclined at approx. 65° and supported by reinforced shotcrete
and tunnel face anchors (SN-anchors) spaced at 2 to 3 m. The tun-
nel face anchors shall be 12 m long, just as the pipes (Fig.
4.25). By installing the anchors in parallel with the construction
of the pipe umbrellas, the interruptions of the heading necessary
due to the construction of the pipe umbrellas should be minimized.

- 167 -
Fig. 4.26: Elite Tunnel, contractor's design proposal, cross-

section with pipe umbrella and detail
Round lengths of approx. 1 m were specified for the crown heading

(Fig. 4.25). After each round, the shotcrete support including the
closing of the temporary invert are to be completely installed be-
fore the excavation continues. This way the unsupported span in
the crown never amounts to more than 1 m. Round lengths of approx.

- 168 -
2 m were specified for the excavation of bench and invert (Fig.

4.25). Here as well the shotcrete support are to be completely in-
stalled after each round including its closing at the invert, so
that the unsupported length amounts to 2 m at the most.
The contractor's design proposal has essentially two advantages

over the tendering design (see Fig. 4.19 and 4.20). The heading
and the installation of the reinforced concrete interior lining
are carried out in two separate working steps, which leads to a
considerable gain of time and thus to cost savings. Further, the
contractor's design proposal does not require the use of a micro-
tunneling machine.
Design of the shotcrete support
For the dimensioning of the shotcrete support two-dimensional

analyses were carried out using the program system FEST03 (Wittke,
2000).
Fig. 4.27 shows the computation section, the FE-mesh, the boundary
conditions, the ground profile and the parameters the analyses
were based on. The computation section consists of a 48 m wide, 45
m high and 1 m thick slice. The FE-mesh was divided into 630 iso-
parametric elements with a total of 3958 nodes.
For the nodes on the bottom boundary (z = 0) and on the lateral

boundaries (x = 0 and x = 48 m) sliding supports were selected as
boundary conditions. On the two planes perpendicular to the tunnel
axis, equal displacements were prescribed for the nodes with equal
x- and z-coordinates (Wittke, 2000). All nodes were assumed fixed
in y-direction. The traffic load acting on the ground surface was
accounted for by a surface loading (pt = 23 kN/m2). The overburden
amounts to 4.5 m (Fig. 4.27).
The ground was subdivided into two soil layers. Down to a depth of
8.5 m a medium dense sand was assumed with a Young's modulus of
E = 100 MN/m2 and a Poisson's ratio of ν = 0.35, corresponding to a
bulk modulus of Es = 160 MN/m2. Below that, a dense sand with
E = 250 MN/m2 and ν = 0.35 corresponding to Es = 400 MN/m2 was
specified. To be on the safe side, no cohesion was assumed for
any of the two sands (c' = 0). An angle of friction of ϕ' = 30°

- 169 -
was specified. For the shotcrete membrane, a Young's modulus of

E = 15000 MN/m2 was assumed (Fig. 4.27).
Fig. 4.27: Computation section, FE-mesh, boundary conditions,

ground profile and parameters for two-dimensional
analyses
Since the ground profile and the cross-section of the tunnel are
symmetrical to the tunnel axis, only one half of the tunnel cross-
section was modeled (Fig. 4.27).
Fig. 4.28 illustrates the computation steps. The 1st computation

step comprises the determination of the state of stress and defor-
mation resulting from the dead weight of the ground and the traf-
fic load pt. In the 2nd computation step the excavation and the
shotcrete support of the crown are modeled. The 3rd computation

- 170 -
step represents the excavation and shotcrete support of bench and

invert.
Fig. 4.28: Two-dimensional analysis, computation steps
It should be pointed out that the simulation of excavation and

support in one computation step leads to a overestimation of the
loading of the shotcrete membrane, since the displacements preced-
ing the excavation, which have already occurred before the support
is installed, are not taken into account in the analysis. This in
turn results in the tunneling-induced ground surface subsidence
being underestimated.
Fig. 4.29 shows the displacements of the ground surface and the
tunnel contour (crown) computed for the 2nd computation step rela-
tive to the 1st computation step. The largest displacements result
at the roof with 25 mm and at the ground surface with a maximum of
22 mm. These values change only marginally in the 3rd computation
step.
Fig. 4.30 depicts the bending moments and normal thrust in the
shotcrete membrane determined for the 2nd and 3rd computation step.
Because of the small radius in the case of the crown heading the

- 171 -
bending loading of the shotcrete support is larger in the 2nd com-

putation step than in the 3rd computation step. The largest moments
result on the sidewalls. In the 3rd computation step the largest
bending moment occurs at the transition from the roof to the side-
walls. Compressive normal thrust are computed for the entire tun-
nel circumference.
Fig. 4.29: Displacements, 2nd – 1st computation step
In Fig. 4.31 the statically required amounts of reinforcement are

given for the design of the shotcrete membrane according to DIN
1045 (1988) for a safety factor of η = 1.45. This factor of safety
includes the safety factors of ηt = 1.6 for the traffic load (pt)
and ηγ = 1.4 for the overburden weight (γ · Ho) which were predeter-
mined by the constructor:

- 172 -
ηt ⋅ pt + η γ ⋅ γ ⋅ H o
η = ≈ 1.45 (4.2)
pt + γ ⋅ H o
Fig. 4.30: Stress resultants in the shotcrete membrane: a) 2nd

computation step; b) 3rd computation step

- 173 -
Fig. 4.31: Statically required reinforcement of the shotcrete

membrane: a) 2nd computation step; b) 3rd computation
step
For a concrete grade of B25, a steel grade of BSt 500/550 and a

surface distance of the reinforcement of t1 = 3 cm, steel cross-
sections of ≤ 2.3 cm2/m on the inside and ≤ 5.2 cm2/m on the out-
side are evaluated as maximum statically required reinforcement.

- 174 -
These can be covered by steel fabric mats Q295 on the inside and
on the outside and by supplementary reinforcement within the upper
sidewall area (Fig. 4.31). In the bench and invert area, the in-
side steel fabric mat Q295 can be omitted. Fig. 4.32 shows the de-
sign and the reinforcement of the shotcrete membrane in the area
of the crown's foot.
Fig. 4.32: Design and reinforcement of the shotcrete membrane

in the area of the crown's foot

- 175 -
Stability of the temporary tunnel face
To investigate the stability of the temporary tunnel face, three-

dimensional analyses were carried out using the program system
FEST03 (Wittke, 2000).
conditions, the ground profile and the parameters these analyses
were based upon. The computation section is 40 m wide, 40 m high
and 62 m long. The FE-mesh was divided into 5848 isoparametric
elements with a total of 14945 nodes.

ground profile and parameters for three-dimensional
analyses

- 176 -
Sliding supports were selected as boundary conditions for the

nodes on the bottom boundary (z = 0). The nodes on the planes x =
0 and x = 40 m were assumed fixed in x-direction, and the nodes on
the planes y = 0 and y = 62 m were fixed in y-direction. The traf-
fic load acting on the ground surface was increased by the safety
factor ηt = 1.6 and applied as a uniform surface load. An overbur-
den of 4 m was specified (Fig. 4.33).
The ground profile and the parameters corresponded to the assump-

tions made for the two-dimensional analyses. The weight of the
soil (γ = 20 kN/m3) and thus also the overburden pressure were in-
creased by the safety factor ηγ = 1.4.
The tunnel face was assumed inclined at 80°. The tunnel face an-
chors were considered by a cohesion in the respective area (Fig.
4.33). Five cases were investigated: c' = 0 (no tunnel face
anchors), c' = 25 kN/m2, c' = 50 kN/m2, c' = 75 kN/m2 and
c' = 100 kN/m2, corresponding to an anchor arrangement with a
raster spacing between 1 m x 1 m and 2.1 m x 2.1 m.
Fig. 4.34: Three-dimensional analyses, computation steps

- 177 -
The three-dimensional analyses were carried out in two computation

steps as a simplification (Fig. 4.34). Following the analysis of
the primary state in the 1st computation step, the excavation and
simultaneous shotcrete support of the crown and the installation
of the pipe umbrella were simulated in the 2nd computation step.
The unsupported area adjacent to the tunnel face was assumed to be
1 m deep. The shotcrete support of the tunnel face was not taken
into account.
It should be pointed out that with these analyses as well the tun-
neling-induced displacements of the soil are underestimated, since
the support exerted by the shotcrete membrane is overestimated
with the computation sequence outlined in Fig. 4.34. For a realis-
tic computation of the displacements, one of the two procedures
for the simulation of a three-dimensional tunnel heading described
in Wittke (2000) (step-by-step method or iterative method) would
be necessary. The analyses, however, had the only purpose of as-
sessing the stability of the temporary tunnel face.
Fig. 4.35: Principal normal stresses computed after completion

of the viscoplastic iterative analysis and elements
with exceeded strength (c' = 25 kN/m2), 2nd computa-
tion step (vertical section through the tunnel axis)

- 178 -
As a consequence of the excavation, the strength of the soil is

locally exceeded in the area of the tunnel face. Fig. 4.35 shows
the principal normal stresses computed for the 2nd computation step
and the elements with exceeded strength, specifically marked, in a
vertical section through the tunnel axis for the case of a cohe-
sion of the anchored area of c' = 25 kN/m2. A corresponding repre-
sentation of the computed displacements is given in Fig. 4.36. The
displacements result from elastic and inelastic deformations of
the soil. The latter are computed in a viscoplastic iterative
analysis (Wittke, 2000). Fig. 4.35 and 4.36 show the results of
the 2nd computation step after completion of the viscoplastic it-
erative calculation.
Fig. 4.36: Displacements computed after completion of the

viscoplastic iterative analysis (c' = 25 kN/m2),
2nd – 1st computation step (vertical section through
the tunnel axis)
The criterion for the proof of stability of the tunnel face is the
convergency of the nodal displacements in the course of the visco-
plastic iterative analysis. Fig. 4.37 shows the development of the

- 179 -
displacements computed for a node on the tunnel face in the course

of the viscoplastic iterative analysis in the 2nd computation step
for the five investigated cases. For the case without tunnel
face anchors (c' = 0), the convergency of the displacement of
this node cannot be proven by the analysis. In all other cases
(c' ≥ 25 kN/m2) the displacement converges in the computations. For
c' = 25 kN/m2 a displacement of only 7 mm results (Fig. 4.36 and
4.37). The cohesion of 25 kN/m2 corresponds to an anchor raster of
2.1 x 2.1 m.
Fig. 4.37: Displacement of a node on the tunnel face in the

course of the viscoplastic iterative analysis, 2nd
computation step
Design of the pipe umbrella
As mentioned above, the pipe umbrella must be able to carry the

loads from traffic and from the weight of the overburden. As for
the proof of stability of the tunnel face, the traffic load was
increased by the factor of safety ηt = 1.6 and the overburden pres-
sure of the soil by the factor of safety ηγ = 1.4 for the design of
the pipe umbrella, as requested by the client.

- 180 -
As explained in Chapter 4.2.4, the round length for the crown

heading amounts to 1 m and the shotcrete support is to be in-
stalled and temporarily closed at the invert after each round. For
the design of the pipe umbrella it is conservatively assumed that
its maximum free span amounts to approx. 2 m. It is taken into ac-
count here that the green shotcrete does not have any bearing ca-
pacity yet directly after its application (see Chapter 2.1.3).
Fig. 4.38: Design of the pipe umbrella, statical systems and

loading

- 181 -
At 80°, the inclination of the tunnel face is assumed somewhat

steeper than in the design (see Fig. 4.25). This results in a dis-
tance between the tunnel face and the closed support of approx. 2
m at the roof and approx. 1 m at the temporary crown invert (Fig.
4.38).
Fig. 4.39: Design of the pipe umbrella, calculation of the sec-

tion modulus of the pipes
The beam on two supports and the beam fixed at both ends are con-
sidered as statical systems for the design of the pipe umbrella.
For the reasons given above, the maximum span of the beam is as-
sumed as 2 m. For the fixed beam, 0.5 m each on both ends of the
beam are added to the length and assumed to be fixed. From the su-
perposition of the traffic load and the overburden pressure, tak-
ing into account the spacing of the pipes (L = 418 mm), the load-
ing of the beam results to q = 65.7 kN/m (Fig. 4.38).

- 182 -
In Fig. 4.39 the calculation of the section modulus W of the

pipes, which is required for the stress proof is specified. For
the proof of safety, the computed stresses are compared to the
yield stress of the pipes made from steel of the grade St37
(βy = σadm = 240 N/mm2). This is permissible, since the assumed
loads were provided with factors of safety. The beam fixed at both
ends is decisive for the design with a computed tension of
192.2 N/mm2 (Fig. 4.40).
Fig. 4.40: Design of the pipe umbrella, stresses and deflection
The deflection of the pipe umbrella is estimated at approx. 3 mm

(Fig. 4.40).

- 183 -
4.2.6 Construction
The Elite Tunnel was the first tunnel in Israel to be constructed

by the NATM. Particularly high demands were therefore made on the
technical construction supervision provided by WBI. The demands
focused mainly on the works for the excavation and the installa-
tion of the shotcrete membrane, which had to be continuously su-
pervised.
Differing from the design the pipes only had a length of 10.4 m.
Since the overlap of the pipe umbrellas amounts to 3 m, it was
possible to excavate for 7.4 m under one umbrella before the pipes
for the next umbrella had to be installed (Fig. 4.41).
Fig. 4.41: Elite Tunnel, excavation and support, longitudinal

section
At the roof and above locally fill or layers with cohesionless,

fine grained, loose sands were encountered. Here, the gaps between
the steel pipes had to be supported (Fig. 4.42). In the area of
the first two pipe umbrellas the gaps were supported by steel

- 184 -
plates welded to the pipes (Fig. 4.42a). In the area of pipe um-
brellas 3 to 14 cemented rebars (spiles) were installed between
the steel pipes (Fig. 4.42b). The drillings for the spiles served
at the same time to explore the ground in advance. In the area of
the last two pipe umbrellas, additional steel pipes, filled with
B25 concrete but not reinforced, were installed (Fig. 4.42c).
Fig. 4.42: Support of the gaps between the pipes in case of lo-
cally occurring dry, loose sand or fill: a) Pipe um-
brellas 1 and 2; b) pipe umbrellas 3 to 14;
c) pipe umbrellas 15 and 16
Due to reasons of construction, a vertical tunnel face was carried

out. For stability reasons the crown generally had to be excavated
in several steps and supported immediately with reinforced shot-
crete (t = 5 to 10 cm) (Fig. 4.41).
Fig. 4.43 depicts a geotechnical mapping of the crown face at

chainage 17. In Fig. 4.44, the supported crown is shown at chain-
age 36. It can be seen here that in the middle of the crown a sup-

- 185 -
port core was carried out (see Fig. 4.41). Further pictures from
crown heading construction are shown in Fig. 4.45 to 4.47.
Fig. 4.43: Geotechnical mapping of the crown face, chainage 17
Fig. 4.44: View of the supported crown face, chainage 36

- 186 -
Fig. 4.45: Start at the northern portal
Fig. 4.46: Construction of a pipe umbrella

- 187 -
Fig. 4.47: Crown excavation in parts
The excavation of bench and invert was only started after the
crown of the entire tunnel had been excavated (see Fig. 4.41).
4.2.7 Monitoring
To measure the subsidence due to the tunneling, 13 leveling points

were installed at the ground surface above the tunnel roof, and
eight measuring cross-sections with roof bolts were installed in
the tunnel. The measurements served to monitor the stability of
the tunnel.
Fig. 4.48 shows exemplarily the subsidence of the ground surface

and the tunnel roof measured during the crown heading with the
temporary face located at chainage 39. The subsidence of the
ground surface amounts to approx. 20 to 50 mm, the measurable sub-
sidence of the roof accounts for approx. 15 to 20 mm.
Fig. 4.48 further shows the ground surface subsidence measured af-
ter completion of the crown heading. It amounts to approx. 20 mm
in the area of the northern portal and to approx. 40 to 60 mm in
the remaining tunnel section.

- 188 -
Fig. 4.48: Surface and roof subsidence measured during crown

heading

- 189 -
For the comparison of the measured subsidence with the results of

the stability analyses it must be noted that the subsidence pre-
ceding the excavation, which has already occurred before the shot-
crete support is installed, was not captured in the analyses (see
Chapter 4.2.5).
The subsidence that has occurred at the ground surface before the
shotcrete support is installed amounts to approx. 20 mm in the ex-
ample of Fig. 4.48. By adding this subsidence to the calculated
subsidence of approx. 22 mm (see Fig. 4.29) and to the estimated
deflection of the pipe umbrella of approx. 3 mm (see Fig. 4.40), a
total subsidence of approx. 45 mm can be derived from the analysis
results which agrees well with the measured subsidence (see Fig.
4.48).
4.2.8 Conclusions
The Elite Tunnel in Ramat Gan crosses through a medium dense to

dense, calcareously bonded, slightly cohesive sand termed
"Kurkar". Loose, cohesionless sands are locally embedded. The
overburden amounts to 3 to 4 m. Since the tunnel undercrosses an
eight-lane road, the subsidence had to be kept small.
The tunnel was excavated by the NATM under the protection of a

pipe umbrella as a crown heading with a closed support at the tem-
porary invert and trailing bench and invert excavation. The crown
was excavated in several parts with a vertical tunnel face, a sup-
port core and short round lengths and supported by reinforced
shotcrete and tunnel face anchors. The shotcrete membrane was in-
stalled and closed at the invert at a distance of approx. 1 m to
the tunnel face (see Fig. 4.41).
Following this procedure the tunnel was excavated in a stable way.

The ground surface subsidence amounted to approx. 4 to 6 cm.
The results of the FE-analyses contributed essentially towards the

design, the statics and the specification of the excavation and
support measures.

- 190 -
4.3 City railway tunnel to Botnang, in Stuttgart, Germany
4.3.1 Introduction
In the early 1990's the Stuttgart city railway line U9 was im-
proved up to Botnang terminal. As a part of this project the
"Herder Street" and "Lindpaintner Street" stops were connected by
a 550 m long, double-tracked tunnel (Fig. 4.49a). The tunnel un-
dercrosses the Botnang saddle in a wide turn as well as the
Gäubahn and some built-up areas (Fig. 4.49).
4.3.2 Structure
Between the Botnang portal and chainage km 4+392 the two-tracked

standard profile was constructed over a length of 379 m (Fig.
4.49b) with a height of approx. 8.5 m and a width of approx.
10.5 m (Fig. 4.51). From chainage km 4+392 to the Herder Street
portal at chainage km 4+239.5 the height of the cross-section in-
creases from approx. 8.5 to approx. 14 m (enlarged profile, Fig.
4.49b). The maximum cross-section at the Herder Street portal has
a height of approx. 14 m and a width of approx. 12 m (Fig. 4.50).
The maximum overburden amounts to some 47 m (Fig. 4.49b).
The maximum cross-section at chainage km 4 + 239.5 is shown in

Fig. 4.50. The shotcrete membrane is 30 to 35 cm thick, the thick-
ness of the reinforced concrete interior lining amounts to 60 cm.
In the area of the sidewalls and the invert, with R = 13.16 m and
R = 14.5 m, respectively, comparatively large radii were selected
for the rounding of both linings. In the roof area a smaller ra-
dius of R = 4.6 m was designed for statical reasons. At the
transitions from the sidewalls to the invert smaller radii of
R = 1.1 m were selected. The excavated cross-section amounts to
approx. 142 m2.
To explore the ground and groundwater conditions core drillings

were sunk along the tunnel alignment and equipped as observation
wells (Fig. 4.49b).

- 191 -
Fig. 4.49: City railway tunnel to Botnang: a) Site plan;

b) longitudinal section with ground profile

- 192 -
Fig. 4.50: City railway tunnel to Botnang, maximum cross-

section (km 4+239.5)
The following formations exist in the area of the tunnel alignment

from top to bottom (Fig. 4.49b):
- Fill,
- residual loam, talus deposits,
- Kieselsandstone layer and Lehrberg layers (claystones and

marlstones),

- 193 -
- Untere Bunte Mergel (marlstones),
- Dunkle Mergel and Schilfsandstone layer (marlstone, sand-

stones and claystones),
- Gypsum Keuper.
Fig. 4.51: Excavation and support, standard profile, excavation

class 7A, cross-section
Fill of larger thickness occurs at the ground surface and at the

portal areas. It mainly consists of firm to stiff sandy silt with
embedded solid and hard rock fragments and to a minor degree also
building rubble. Fill with a thickness of up to 17 m was found at
the settlement-sensitive Gäubahn embankment, which the tunnel un-
dercrosses over a tunnel length of 100 m (Fig. 4.49b).

- 194 -
The flanks of the Botnang saddle are covered with talus material,
the thickness of which usually amounts to 1 to 2 m. Up to 4 m of
thickness are reached in shallowly dipping terrain where the talus
material changes into residual loam. The latter consists of soft
to stiff silts containing heavily varying amounts of solid and
hard rock fragments. In the area of the Botnang Tunnel portal an
inclinometer was installed already before the start of construc-
tion. The measurements gave no indication of slope movements.
Layers of partially plastic leaching silts appear in the marls,

which are belonging to the Keuper formation.
The Schilfsandstone layer is composed of a series of gray-green,

gray and brown, mostly solid and hard marlstone and sandstone
banks that are weathered close to the surface. The upper part of
the profile is dominated by marlstones with a varying however high
fine sand content. Gray-black, sand-free claystones are interca-
lated in some areas as well. The thickness of this layer amounts
to approx. 25 m. The lower part of the Schilfsandstone layer, lo-
cated within the tunnel's cross section, consists mainly of hard
sandstone banks with clay flasers. The fine- to medium-grained
sandstones are clay-bonded or cemented by immediate siliceous
grain bonding. Quantitative mineralogical investigations yielded
quartz contents ranging from 30 to 40 %.
The thickness of the layers varies between 10 and 100 cm. The bed-
ding parallel discontinuities are occasionally marked by soft or
firm clay layers, on which the banks tend to separation.
Sandstones of the Schilfsandstone layer have a medium to wide

joint spacing, while joints in clay- and marlstones are narrow- to
medium-spaced. Two vertical joint sets exist, which intersect at
an angle of 60 to 70°. Their acute angle includes the N-S-
direction. Thin sandstone banks are fractured into plates, while
thick banks are fractured into columns rather. The joints are
mostly rough, slightly undulating and closed. Open joints and
clayey coatings occur mostly in the hillside area (slope dilata-
tion) as well as close to the surface.
The Gypsum Keuper consists of an alternating sequence of soft to

firm silts, stiff claystone layers and hard claystone and dolomite
layers. The Gypsum Keuper layers encountered are almost completely

- 195 -
leached. In several boreholes single, strongly leached gypsum nod-

ules as well as thin gypsum layers were found.
The soil and rock mechanical parameters listed in Table 4.2 are
based on the results of borehole expansion tests using the bore-
hole jack model "Stuttgart", on laboratory tests on samples taken
from the exploration boreholes as well as on experience gained
from other projects located in comparable ground conditions. The
stability analyses (see Chapter 4.3.5) were based on these parame-
ters.
Layer Deformability Strength
Fill in the Gäubahn E = 10 MN/m2 ϕ' = 27.5°

area ν = 0.35 c' = 5 kN/m2
Talus material/ E = 5 MN/m2 ϕ' = 27.5°

residual loam ν = 0.4 c' = 5 kN/m2
E = 2000 MN/m2 Joints J:

Kieselsandstone
ν = 0.2 ϕJ = 40°, cJ = 20 kN/m2
Lehrberg layers,
E = 300 MN/m2 ϕ = 30°
Untere Bunte Mergel,
ν = 0.3 c' = 130 kN/m2
Dunkel Mergel
Schilfsandstone, E = 150 MN/m2 ϕ = 35°
portal areas ν = 0.3 c' = 30 kN/m2
Bedding B:
2
E = 500-1000 MN/m ϕS = 40°, cS = 50 kN/m2
Schilfsandstone
ν = 0.2 Joints J:
ϕK = 40°, cK = 50 kN/m2
Gypsum Keuper, E = 20 MN/m2 ϕ = 27.5°

weathered ν = 0.35 c' = 25 kN/m2
Gypsum Keuper, E = 300-500 MN/m2 ϕ = 27.5°

unweathered ν = 0.3 c' = 25 kN/m2
Table 4.2: Soil and rock mechanical parameters

- 196 -
According to the results of the piezometer measurements, the un-

disturbed groundwater table is located above or at the tunnel roof
almost over the entire tunnel length. In the area of the Herder
Street portal it falls to about the middle of the tunnel's cross-
section (Fig. 4.49b).
4.3.4 Design
From the Herder Street portal to chainage km 4 + 310 the double-

tracked standard profile was planned to be excavated first as a
temporary stage. After that the final profile was to be excavated
from chainage km 4 + 310 to the Botnang portal. The final profile
is equal to the enlarged profile from chainage km 4 + 310 to
chainage km 4 + 392 and to the double-tracked standard profile
starting at chainage km 4 + 392. After the cut-through the cross-
section was planned to be enlarged in the invert to the final pro-
file from chainage km 4 + 310 backwards to Herder Street (Fig.
4.49b).
Fig. 4.51 shows the standard profile divided into crown, bench and
invert and the excavation and support measures planned for the
standard excavation procedure. The excavation class was designated
as 7A according to the recommendations of the working group "Tun-
neling" of the German Geotechnical Society (DGGT, 1995: Table 1).
Crown and bench were each excavated with an immediate installation

of the support. The crown face may only be ahead of the bench face
by a maximum of approx. 3 m (Fig. 4.52, phase I in the left por-
tion). Shotcrete with a thickness of 25 to 30 cm and reinforced by
two layers of steel fabric mats Q257, support arches spaced at 0.8
to 1.1 m and a systematic anchoring using SN-anchors were planned
(Fig. 4.51). Mortar spiles should be used as advancing support.
The support should be closed at the invert no more than 2.4 m be-
hind the invert excavation and no more than some 16 m behind the
excavation at the roof (Fig. 4.2, phase I in the left portion).
The reinforced shotcrete should be placed at the invert with a
thickness of 20 to 25 cm (Fig. 4.51).
The tunnel face was planned to be excavated steeply and in steps,

with a support core in the crown area. Immediately after excava-
tion the tunnel face was to be supported using 5 to 10 cm thick
shotcrete, possibly reinforced by a steel fabric mat Q257 (Fig.

- 197 -
4.52, left portion). During the excavation the shotcrete support

should be opened in sections, and the exposed partial areas should
immediately be sealed again by shotcrete after the excavation.
Fig. 4.52: Excavation and support, longitudinal section
Fig. 4.52 (phase II, right portion) and 4.53 show the excavation
and support measures planned for the later lowering of the invert
in the area with enlarged cross-section.
In the upper part of the cross-section (crown, bench I and invert

I), excavation and support was to be carried out as for the stan-
dard heading, but with a thicker shotcrete membrane (t = 30 to 35
cm) and systematic anchoring (see Fig. 4.51 and 4.53). A rein-
forced shotcrete membrane with a thickness of 30 to 35 cm should
also be installed in the lower part of the cross-section (bench II
and invert II). The support should be closed at the invert no more
than 3.3 m behind the excavation of invert II and no more than 9.9
m behind the excavation of bench II (Fig. 4.52, right portion).
The support of the tunnel face and the advancing support should be
constructed as for the standard heading.

- 198 -
Fig. 4.53: Excavation and support, maximum cross-section, low-

ering of the invert, cross-section

support
For the design of the shotcrete support, two-dimensional FE-

analyses on vertical slices were carried out with the program sys-
tem FEST03 (Wittke, 2000). Fig. 4.49b shows the locations of the
analysis cross-sections investigated in the final design analyses.
The analyses were based on the parameters given in Table 4.2.
In the following, analysis cross-section 2 will be exemplarily

treated. It is located at chainage km 4+296 in the area of the un-
dercrossing of the Gäubahn (Fig. 4.49b). In Fig. 4.54 the computa-
tion section, the FE-mesh, the boundary conditions, the ground

- 199 -
profile and the parameters are shown. The computation section con-
sists of a 63.9 m high, 45.7 m wide and 1 m thick slice of rock
mass. The FE-mesh was divided into 1104 isoparametric elements
with a total of 1320 nodes.

ground profile and parameters, analysis cross-
section 2 (km 4+296)
For the nodes on the lower boundary plane (z = 0) and on the lat-
eral boundary planes (x = 0 and x = 45.7 m), sliding supports were
introduced as boundary conditions (Fig. 4.54). For the two planes
perpendicular to the tunnel axis (y = 0, y = 1 m), equal displace-
ments were assumed as boundary conditions for nodes with equal x-

- 200 -
and z-coordinates (Wittke, 2000). All nodes were assumed fixed in

y-direction.
In the area of analysis cross-section 2, the tunnel has approx.

23 m of overburden. The upper part of the cross-section is located
in the Schilfsandstone, the lower in the weathered Gypsum Keuper.
Above the Schilfsandstone, hillside loam and the fill of the em-
bankment constructed for the Gäubahn are modeled, with thicknesses
of approx. 3 m and 15 m, respectively. The weathered Gypsum Keuper
is underlain several meters below the tunnel's invert by the un-
weathered Gypsum Keuper (Fig. 4.54).
The vertical section through the tunnel axis constitutes a plane

of symmetry with respect to the geometry of the tunnel cross-
section and to the ground profile. Therefore, only one half of the
tunnel was modeled in the analysis (Fig. 4.54).
Fig. 4.55 and 4.56 show the six computation steps used to simulate
the excavation and the support during tunneling according to the
design (reference case). In the 1st computation step, the state of
stress and deformation resulting from the dead weight of the
ground (in-situ state) is determined. In the 2nd computation step
the excavation of the crown and its support using shotcrete are
simulated. The 3rd computation step comprises the excavation and
shotcrete support of bench I. In the 4th computation step excava-
tion of the invert I and the closing of the temporary support at
the invert are simulated. Since the first two construction stages
(computation steps 2 and 3) were simulated with an open invert,
this analysis sequence accounts for a late closing of the invert
as specified in the design with a distance of approx. 16 m to the
tunnel face (see Fig. 4.52). The connection of the temporary in-
vert support to the sidewall was simulated at first without any
curvature corresponding to the design (Fig. 4.55 and 4.56).
In the 5th and 6th computation step, the excavation of bench II and
the excavation of invert II with simultaneous installation of the
shotcrete support also at the invert are simulated.
Fig. 4.57 presents the principal normal stresses determined for

the 6th computation step (complete excavation), as well as those
areas in which the strength has been exceeded. It can be seen that
the plastic zones are limited to the area of the tunnel contour.

- 201 -
Fig. 4.55: Analysis cross-section 2, reference case, computa-

tion steps 1 to 3
Fig. 4.56: Analysis cross-section 2, reference case, computa-

tion steps 4 to 6

- 202 -
Fig. 4.57: Analysis cross-section 2, reference case, principal

normal stresses and elements with exceeded strength,
6th computation step
Fig. 4.58 depicts the displacements computed for the 6th computa-
tion step and thus the displacements in the stage after the exca-
vation of the total cross-section. The analysis results in com-
paratively large vertical displacements of 12 cm at the roof and
7.4 cm on the ground surface.
Fig. 4.59 shows the stress resultants computed for the stage after
the excavation and support of invert I (4th computation step) and
of the total cross-section (invert II, 6th computation step). In
the 4th computation step (excavation of invert I) extremely high
bending moments result in the area of the connections of the tem-
porary invert support to the sidewalls (Fig. 4.59a). For this
loading, the shotcrete membrane cannot be reasonably designed. In
the 6th computation step as well, comparatively large bending mo-
ments occur in the area of the sidewalls (Fig. 4.59b). The design
of the shotcrete membrane for a concrete grade of B25, a shotcrete

- 203 -
thickness of t = 35 cm and a safety factor during construction of

1.35 yields that in the lower sidewall areas a higher amount of
reinforcement of the shotcrete membrane compared to the original
design is required (Fig. 4.60).
Fig. 4.58: Analysis cross-section 2, reference case, displace-

ments, 6th – 1st computation step
Subsidence of the computed magnitude (Fig. 4.58) could also not be

permitted for the undercrossing of the Gäubahn. On the basis of
these analysis results and of the displacements measured during
the heading (see Chapter 4.3.7), it was decided in agreement with
all parties concerned to close the support at the invert earlier
in order to keep the subsidence smaller. The computation steps for
the analyses simulating an early support closing at the invert are
shown in Fig. 4.61 and 4.62. The excavation of bench I and invert
I as well as the installation of the temporary invert support were
simulated in one computation step (3rd computation step, Fig.
4.61). In order to reduce the loading of the shotcrete membrane in
the area of the connection of the temporary invert with the side-
walls, a rounded connection was modeled (Fig. 4.61).

- 204 -
Fig. 4.59: Analysis cross-section 2, reference case, stress re-

sultants in the shotcrete membrane: a) 4th computa-
tion step; b) 6th computation step

- 205 -
Fig. 4.60: Analysis cross-section 2, reference case, statically

required inside reinforcement of the shotcrete mem-
brane
To reduce the high bending loading of the shotcrete membrane in

the sidewall areas after the excavation of the complete cross-
section (H ≅ 14 m, see Fig. 4.59 and 4.60), an anchoring of the
shotcrete membrane in the sidewall areas by untensioned anchors
was accounted for in the 4th computation step in addition to the
excavation of bench II. The anchoring in the sidewall areas was
modeled by truss elements. Five untensioned anchors per tunnel me-
ter were assumed in the analysis with a cross sectional area of
4.5 cm2 each. By the 5th computation step the excavation and sup-
port of the invert was simulated (Fig. 4.62).

- 206 -
Fig. 4.61: Analysis cross-section 2, case 2, early closing of

the invert and rounding of the temporary crown in-
vert, computation steps 1 to 3
Fig. 4.62: Analysis cross-section 2, case 3, early closing of

the invert and support of the sidewalls using an-
chors, computation steps 4 and 5

- 207 -
The results of this analysis show first, that the computed dis-
placements decrease considerably due to the simulation of an early
closing of the invert and of the anchoring (see Fig. 4.58 and
4.63). The subsidence of the ground surface amounts to only 27 mm
as opposed to 74 mm in the reference case. The horizontal dis-
placements of the sidewalls decrease from 70 mm in the reference
case to 18 mm.
Fig. 4.63: Analysis cross-section 2, case 3, displacements,

5th – 1st computation step

- 208 -
The rounding of the cross-section in the area of the invert leads

to a marked reduction of the bending moment (see Fig. 4.59a and
4.64). For a concrete grade of B25, a shotcrete support thickness
of t = 35 cm and a factor of safety of 1.35 the analysis yields
that supplementary reinforcement is required in the lower sidewall
area in addition to the planned steel fabric mats Q257. Further,
in the area of the greatest change in bending moment corresponding
to the greatest shear force a shear reinforcement is necessary. It
can be covered by diagonally bent-up reinforcement.
Fig. 4.64: Analysis cross-section 2, case 2, stress resultants

in the shotcrete support, 3rd computation step
In Fig. 4.65a the tensile anchor forces determined in the 5th com-
putation step (see Fig. 4.62) are given. Values of up to 100 kN
(10 t) per anchor are computed.
The bending moments in the shotcrete membrane computed for the

stage after the excavation of the complete cross-section (5th com-
putation step) with the anchoring taken into account are given in
Fig. 4.65b. Compared to the reference case (without anchoring) a
strong reduction of the bending loading becomes evident (see Fig.
4.59b and 4.65b). The dimensioning yields that no supplementary
reinforcement is required in the sidewalls if steel fabric mats
Q257 are installed. At the transition from the sidewalls to the

- 209 -
temporary invert, however, supplementary reinforcement in addition

to the mats is required.
Fig. 4.65: Analysis cross-section 2, case 3, 5th computation

step: a) Tensile anchor forces; b) bending moments
4.3.6 Construction
Fig. 4.66 shows the excavation and support measures carried out
within the area of the enlarged cross-section during the heading
(Beiche and Kagerer, 1993).
The shotcrete membrane was constructed with a thickness of 35 cm

and rounded in the transition zones from the sidewalls to the tem-
porary crown invert. The reinforcement included inside and outside
reinforcement mats Q257 and supplementary reinforcement in the
transition zones. Further, according to the design a systematic
anchoring of the vault and the sidewalls was carried out (Fig.
4.66). In the central sidewall areas (invert I, bench II) the an-
choring was intensified.

- 210 -
Fig. 4.66: Excavation and support within the area of enlarged

cross-section, construction
In addition, advancing injections were carried out to improve the

ground ahead the tunnel face and above the crown, and injection
drill spiles with mortar filling were installed.
The rounds were carried out with lengths of ≤ 80 cm. The temporary
crown invert was supported in the beginning at a distance of 9 to
14 m to the tunnel face. In the area of the undercrossing of the

- 211 -
Gäubahn and in the immediately following part of the heading, the

support was closed at the invert at a maximum of 6 m behind the
tunnel face (Beiche and Kagerer, 1993).
4.3.7 Monitoring
To measure the tunneling-induced displacements, measuring cross-

sections with extensometers and inclinometers were installed in
the area of the undercrossing of the Gäubahn and of Zamenhof
Street, among other locations. In the tunnel, measuring cross-
sections for levelings as well as stress measurement cross-
sections with rock mass pressure and concrete pressure measuring
cells were installed. In addition, levelings were carried out on
the grout surface, on the tracks of the Gäubahn and on structures
(Fig. 4.67).
Fig. 4.67: Monitoring program

- 212 -
The subsidence of the ground surface due to the crown heading

amounted to approx. 25 mm at the beginning of the excavation and
reached 51 mm at the edge of the Gäubahn embankment (Fig. 4.68).
Up to this time the temporary crown invert was supported 9 to 14 m
behind the tunnel face. To reduce the subsidence, especially dur-
ing the undercrossing of the Gäubahn, the support was closed at
the invert in the further course of the heading at the minimum
possible distance of 6 m to the tunnel face, as mentioned above.
It was thus possible to reduce the subsidence, which then amounted
to only 34 mm in the area of the tracks of the Gäubahn (Fig.
4.68). The magnitude of this value is in reasonable agreement with
the subsidence of 27 mm computed under the assumption of an early
closing of the invert for the analysis cross-section 2 (see Fig.
4.63).
Fig. 4.68: Measured ground surface subsidence, longitudinal

section through the tunnel axis
In the further course of the heading the tunneling-induced subsi-

dence decreased to very low values due to the more favorable geo-
technical conditions (Beiche and Kagerer, 1993).

- 213 -
4.3.8 Conclusions
During the construction of the Stuttgart city railway tunnel to

Botnang, the tracks of the Gäubahn and built-up areas had to be
undercrossed (see Fig. 4.49). Since in the area of the undercross-
ing of the Gäubahn the ground had a high deformability and a low
strength, special measures had to be taken to limit the ground
surface subsidence due to tunneling and to avoid interference with
railway operations and damage to the buildings.
A crown, bench and invert heading with closed support at the in-
vert and a following lowering of the invert was chosen. With an
early closing of the invert the tunneling-induced subsidence could
be limited to admissible values. It was possible to reduce the
loading at the transitions from the sidewalls to the temporary in-
vert decisively by rounding the temporary crown invert. The load-
ing of the high sidewalls after the enlargement of the cross-
section could be clearly reduced by a systematic anchoring (see
Fig. 4.65).
With these measures it was possible to limit the ground surface

subsidence during the undercrossing of the Gäubahn to an admissi-
ble value of some 3 cm. Railway operations were not interfered
with and damage to the structures undercut and to the railway fa-
cilities did not occur.
The FE-analyses contributed essentially to the specification of

the excavation and support measures, such as the early closing of
the invert, the curvature of the temporary crown invert as well as
the systematic anchoring of the sidewalls.

- 214 -
5. Sidewall adit heading
5.1 Road tunnel "Hahnerberger Straße" in Wuppertal, Germany
5.1.1 Introduction
To create a high-capacity and therefore non-intersecting east-west

connection between the freeways A46 and A1, it was planned to
newly construct and improve the state highway L418 running through
the city of Wuppertal, Germany, as a four-lane road. Within the
scope of this construction project, the Hahnerberger Straße, a
street running approximately in north-south direction, was to be
undercrossed in the city district of Hahnerberg at an angle of 60°
by underground construction (Fig. 5.1). This task proved to be
quite difficult, since the tunnel has a low overburden and a large
excavated cross-section. Also, a limitation to the tunneling-
induced ground surface subsidence had to be kept due to the build-
ings at the ground surface in the area of the tunnel alignment.
Fig. 5.1: Road tunnel Hahnerberger Straße, site plan and ex-
ploration

- 215 -
5.1.2 Structure
The approx. 130 m long tunnel must provide room in each direction
for two main driving lanes and one exit or approach lane, respec-
tively (Fig. 5.2 and 5.3). The widths of the required clearances
range between 13.5 m and 16.2 m. The height of the clearances
amounts to 4.90 m. The tunnel has a total width of approx. 37 m
and a total height of approx. 12 m (Fig. 5.3). To illustrate these
very large dimensions, the cross-section of a double-tracked tun-
nel for the new high-speed railway lines of German Rail (Deutsche
Bahn AG) is shown in Fig. 5.3.
Fig. 5.2: Road tunnel Hahnerberger Straße, longitudinal sec-

tion
Fig. 5.3: Road tunnel Hahnerberger Straße, cross-section

- 216 -
The tunnel has an overburden height of approx. 10 m (Fig. 5.2). To

avoid damage to the buildings above the tunnel and to the water
and gas mains running along the Hahnerberger Straße, the subsi-
dence due to tunneling was to be limited to a magnitude of 2 cm.
5.1.3 Exploration
Within the framework of route planning and in order to assess the

feasibility of underground construction, an investigation program
was carried out to explore the ground conditions and to determine
the rock mechanical parameters. Test pits were excavated and core
drillings were sunk with depths ranging between 10 and 34 m (Fig.
5.1).
According to the exploration results, below an about 2 to 4 m

thick layer of top soil and loam with cobbles, a narrowly bedded
alternating sequence of sandstones and claystones of the Middle
Devonian Brandenberg layers is found. The sandstones and
claystones are weathered close to the surface and intensely
jointed. The orientation of the bedding planes and joints in the
rock mass was measured on oriented drill cores and in test pits
using a geological compass. Fig. 5.4 shows the idealization of the
discontinuity fabric of the rock by a structural model (see Chap-
ter 2.5.1). The rock mass is separated by bedding planes (B),
which dip shallowly at approx. 30° and persist widely, and by
three steeply dipping main joint sets (J1 to J3). According to the
drilling results, the spacing of the bedding planes ranges between
several centimeters and a few decimeters. The joint spacing
amounts to a few decimeters on average.
The bedding planes are partially filled with clay and mixed-
grained soils at a thickness of up to 10 to 40 cm. This leads to a
greater deformability perpendicular to the bedding than parallel
to it. After Wittke (1990), transversely isotropic deformation be-
havior can be assumed in the elastic stress domain for an alter-
nating sequence of this kind. This kind of anisotropy can be de-
scribed by 5 independent elastic constants: Two Young's moduli E1
and E2, one shear modulus G2 and two Poisson's ratios ν1 and ν2
(Fig. 5.4).
The modulus E1 relevant for loading parallel to the bedding was de-
rived from the results of the pressuremeter tests and from experi-

- 217 -
ence gained from other projects with comparable ground conditions

as E1 = 1000 MN/m2 (Fig. 5.4).
Fig. 5.4: Structural model and rock mechanical parameters
The modulus E2, relevant for loading perpendicular to the bedding

which is smaller than E1, was determined according to Wittke (1990)
from the following relation:
1 1
E2 = = ≈ 400 MN/m 2 (5.1)
α β 0.9 0.1
+ +
EIR EBF 1000 70
The symbols in (5.1) denote:
α = 0.9: Fraction of the sandstone in the alternating

sequence.
β = 0.1: Fraction of the bedding plane filling in the
alternating sequence.
EIR = 1000 MN/m²: Young's modulus of the jointed sandstone with
the bedding plane filling not taken into ac-
count.
EBF = 70 MN/m2: Bulk modulus of the bedding plane filling.

- 218 -
α and β were derived from a statistical evaluation of the mapping

results of the drill cores and test pits. Taking the joints in the
sandstone into account, the modulus E1 derived from the pressure-
meter test results was chosen to EIR as represented above. The bulk
modulus of the bedding plane filling EBF was estimated on the basis
of the results of soil mechanical laboratory tests.
The shear modulus G2, relevant for shear loading parallel to the
bedding and thus strongly dependent on the mechanical properties
of the bedding plane filling, was estimated at G2 = 325 MN/m2.
Poisson's ratio ν1 corresponds approximately to Poisson's ratio of

the sandstone. In unconfined compression tests on intact rock
specimens a value of νIR = 0.25 resulted on average for the latter.
This value was taken as a basis for the analyses.
According to Wittke (1990), Poisson's ratio ν2 can be computed as

follows:
EBF ⋅ νIR 70 ⋅ 0.25

ν2 = = ≈ 0.1 (5.2)
α ⋅ EBF + β ⋅ EIR 0.9 ⋅ 70 ⋅ + 0.1 ⋅ 1000
Laboratory tests resulted in very high values for the shear pa-
rameters of the intact rock. The failure behavior of the rock is
thus essentially determined by the shear strength along the dis-
continuities, which was modeled by the Mohr-Coulomb failure crite-
rion. For the shear strength parallel to the bedding, the bedding
plane filling is relevant. On the basis of the grain-size distri-
bution and water content and of experience, a friction angle of
ϕB = 25° and no cohesion were assumed (Fig. 5.4).
Unlike the bedding planes, the joints are mostly undulating and
contain sandy, rusty coatings. Close to the surface, however, they
are also partially filled with clayey, sandy silt. It is essential
for the assessment of their shear strength that they mostly only
extend through one layer and thus extend considerably less far
than the bedding. Therefore, a cohesion of cJ ≈ 0 to 0.02 MN/m2 and
a friction angle of ϕJ ≈ 30 to 35° were assumed for the joints (J1
to J3) (Fig. 5.4).
A tensile strength normal to the discontinuities was not accounted

for.

- 219 -
The water permeability of the rock is relatively low perpendicu-

larly to the bedding, because the bedding plane filling has a
sealing effect. The groundwater table is located approx. 2 m above
the tunnel roof.
To further explore the rock mass conditions and to test the

planned construction method, an adit was driven in the middle be-
tween the two tunnel tubes as an advance construction measure
(Fig. 5.5). In the course of construction, a reinforced concrete
buttress was installed in the adit. The additional ground exposure
by the adit confirmed the findings about the ground which had been
gained in the first exploration phase.
Fig. 5.5: Central adit for additional exploration and for

testing of construction techniques

- 220 -
The adit was driven by means of smooth and true to profile blast-
ing. To keep the blasting-induced vibrations low, the round
lengths and the charges per ignition step were limited. Especially
close to the buildings, the excavation profile had to be subdi-
vided for the same reasons (I and II in Fig. 5.5). This experience
could be used for the further planning and tendering of the tun-
nel.
During the heading displacements were measured in the adit and at

the ground surface and interpreted using FE-analyses based on the
rock mechanical parameters given above (back analysis). The meas-
ured and the computed displacements were in substantial agreement.
The derived parameters were thus confirmed and remained unchanged
in the further course of the design (Modemann and Wittke, 1988).
5.1.4 Design and construction
In the conditions present here, only the NATM is suitable for an

underground construction of the tunnel. In view of the width of
the tunnel structure of approx. 37 m and of the overburden of ap-
prox. 10 m, which is very low by comparison, it was necessary to
provide for one tunnel tube for each direction. For reasons of the
alignment only a width of approx. 1 to 2 m was available for the
buttress between the two tunnel tubes. The option to leave a rock
pillar between the tubes was thus ruled out. Therefore, as men-
tioned above already, a 1.2 m thick reinforced concrete buttress
with a mushroom-shaped widening of the head and a base enlargement
was constructed in the exploration adit driven in advance (Fig.
5.6 and 5.7). The two tunnel tubes thus formed still have a very
large span compared to the overburden.
To enable at least a slight an arching effect in the remaining

rock mass above the tunnel tubes, the tunnel profiles were de-
signed with a very small camber above the prescribed clearance.
The rounding of the inverts served to carry the water pressure on
the interior lining better. Only a slight rounding was necessary
here in spite of the wide span, because due to the small height of
the clearance sufficient space was available to strengthen the in-
vert of the interior lining.
Since the groundwater table could be lowered during the heading,

the shotcrete support did not have to be dimensioned for water
pressure. The interior lining, however, was to be constructed wa-

- 221 -
tertight. By request of the client, a PVC sealing was planned be-

tween the shotcrete membrane and the interior lining (Fig. 5.6).
As a consequence of the shape of the cross-section, each tunnel
tube was provided with a separate sealing, which did not include
the central buttress. The arrangement and installation of the
sealing was considerably simplified this way.
Fig. 5.6: Design
The reinforced concrete buttress was constructed in segments of

9 m each. Connecting reinforcement was provided for at the head
and at the base for the shotcrete support of the two tunnel tubes
to be constructed later (Fig. 5.7). Further, a sound load transfer
between the concrete buttress and the rock mass above was effected
by means of a contact injection. After that, the tunnel tubes were
excavated in parts of the cross-section for reasons of stability,
limitation of the heading-induced subsidence and vibrations.
The first step was the excavation and support of a sidewall adit
in the northern tube. The cross-section of the sidewall adit was
again subdivided by a crown heading with trailing invert (Fig. 5.8
and 5.9). As illustrated in Fig. 5.8, the outside sidewall was
supported by a lattice girder and a 30 cm thick shotcrete membrane
as well as by SN-anchors. The side of the sidewall adit facing the
tunnel tube, on the other hand, was supported by only 15 cm of
shotcrete. Glass fiber anchors were further installed on this
side. This part of the support was removed again in the further
course of the works.

- 222 -
Fig. 5.7: Reinforced concrete buttress

- 223 -
Fig. 5.8: Sidewall adit excavation and support
Fig. 5.9: Sidewall adit and central adit
In the third step, the crown of the northern tube was excavated
and supported in sections (Fig. 5.10 and 5.11). The lattice gird-
ers and the reinforcement of the shotcrete membrane were connected

- 224 -
with the corresponding support elements of the sidewall adit in

the process. The connection of the support to the central buttress
was already mentioned above (see Fig. 5.7). The length of the SN-
anchors was increased in the vault area to improve the arching ef-
fect in the rock above the tunnel roof.
Fig. 5.10: Crown excavation and support
Fig. 5.11: Crown heading

- 225 -
The excavation of the bench and the invert constituted the last
steps of the excavation sequence of the northern tube (Fig. 5.12
and 5.13). The invert was supported by 30 cm of shotcrete. Lattice
girders and an invert anchoring could be dispensed with.
Fig. 5.12: Bench and invert excavation with closed invert sup-
port
Fig. 5.13: Bench and invert excavation

- 226 -
The stepwise excavation and installation of the support measures

and the short round lengths of approx. 1 m, specified for stabil-
ity reasons and to limit the blasting vibrations, lead to a com-
paratively low heading performance. This had the advantage that
the shotcrete membrane was only fully loaded when the shotcrete
had mostly reached its final strength. The same applies to the SN-
anchors.
To keep the heading-induced subsidence as small as possible, the

interior lining of the northern tube was to be installed before
the southern tube was excavated. For reasons of construction man-
agement the contractor was allowed, however, to carry out the ex-
cavation and support of the southern sidewall adit in parallel
with the concreting works in the northern tube. The sequence of
construction in the southern tube was analogous to the northern
tube (Modemann and Wittke, 1988).
5.1.5 Stability analyses for the stages of construction
A rock slice with a width of 65 m and a height of 37 m was speci-

fied as computation section for the stability analyses for the
construction stages (Fig. 5.14). The FE-mesh was subdivided into
440 three-dimensional isoparametric elements with 1140 nodes.
Sliding supports were specified as boundary conditions for the

nodes of the lower boundary plane (z = 0).
Since the rock mass is anisotropic and the bedding is neither ori-
ented perpendicularly nor parallel to the tunnel axis (see Fig.
5.4 and 5.14), displacements in x- and y-direction already occur
due to the dead weight of the rock mass. Therefore the nodes on
the vertical boundary planes of the computation section must not
be fixed perpendicularly to the respective boundary plane.
The displacements in x- and y-direction resulting from the dead

weight of the rock mass were determined by an advance analysis us-
ing a column-like computation section. These displacements were
introduced as boundary conditions for the nodes on the vertical
lateral boundary planes (x = 0 and x = 65 m) (Wittke, 2000).
For the two planes normal to the tunnel axis equal displacements
were assumed as boundary conditions for opposite nodes with equal
x- and z-coordinates (Wittke, 2000).

- 227 -
Fig. 5.14: FE-mesh and computation steps, northern tube:

a) 1st computation step; b) 2nd computation step;
c) 3rd computation step; d) 4th computation step

- 228 -
Fig. 5.15: Principal normal stresses and stress trajectories:

a) 2nd computation step; b) 4th computation step

- 229 -
The stability analyses were carried out with the program system
FEST03 (Wittke, 2000) in 4 computation steps: In the 1st computa-
tion step, the stresses and deformations in the rock mass result-
ing from the dead weight of the rock (in-situ state) are deter-
mined. In the 2nd computation step, the central adit as well as the
northern sidewall adit are simulated to be excavated and sup-
ported. The 3rd computation step further accounts for the installa-
tion of the reinforced concrete buttress in the central adit and
the crown excavation in the northern tunnel tube. Then, in the 4th
computation step, the stresses and deformations occurring after
the complete excavation and support of the northern tunnel tube
are computed.
The principal normal stresses determined for the 2nd computation

step show clearly how the loads resulting from the overburden
weight are diverted around the central adit and the sidewall adit
(Fig. 5.15a). A mutual influence of the two excavations is not ap-
parent.
In the 4th computation step the loads resulting from the overburden
weight are diverted around the entire excavation. Above and below
the tunnel unloaded areas develop, whereas stress concentrations
occur in the rock mass beside the northern tunnel tube as well as
above and below the central buttress (Fig. 5.15b and 5.16).
Fig. 5.16: Normal stresses in a horizontal and a vertical sec-

tion, 4th computation step

- 230 -
According to the results of the analyses, the dead weight of the

overburden is supported to a large degree by the rock mass beside
the tunnel and by the central buttress. The resulting stress dis-
tribution in the concrete buttress is shown in Fig. 5.17. It be-
comes apparent that a horizontal tension loading results for the
mushroom-shaped buttress head, whereas the shaft is loaded by nor-
mal thrust and bending.
Fig. 5.17: Stresses in the central buttress, 4th computation

step
An appreciable bending loading of the shotcrete membrane only oc-

curs at the connection to the central buttress (Fig. 5.18). A con-
necting reinforcement is provided for to carry this bending load-
ing (Fig. 5.18).
The maximum computed displacements due to the excavation of the

northern tunnel tube amount to 22 mm at the tunnel's roof and to
8 mm at the ground surface (Fig. 5.19).

- 231 -
Fig. 5.18: Connection of the shotcrete membrane to the central

buttress: a) Bending moments, 4th computation step;
b) connecting reinforcement
Fig. 5.19: Displacements, 4th – 1st computation step

- 232 -
An interpretation of the loading of the shotcrete membrane and the

central buttress shows that due to the arching in the rock mass
above the tunnel (see Fig. 5.15) only a portion of the overburden
weight is carried by the shotcrete membrane. To determine whether
the shotcrete membrane and the central buttress can carry the
overburden weight alone, an analysis in which no arching can de-
velop in the rock mass above the tunnel was carried out within the
framework of safety considerations. For this purpose, above and
beside the tunnel tube a vertical discontinuity set was assumed in
the rock mass, striking parallel to the tunnel axis and having no
shear strength (ϕ = 0, c = 0). Shear stresses thus cannot be
transferred across these discontinuities. The principal normal
stresses and stress trajectories determined for this case show
clearly that the weight of the overburden must be completely car-
ried by the shotcrete membrane and the central buttress (Fig.
5.20).
Fig. 5.20: Principal normal stresses and stress trajectories

without arching in the rock mass, 4th computation
step
A comparison of the normal thrust in the shotcrete membrane com-

puted for this case with the ones of the previously investigated

- 233 -
case, in which arching was possible in the rock mass above the
tunnel, shows that the normal thrust increases considerably (Fig.
5.21). Also for this case, however, it was possible to dimension
the shotcrete membrane taking into account the inside and outside
steel fabric mats Q221.
Fig. 5.21: Normal thrust in the shotcrete membrane with and

without arching in the rock mass above the tunnel,
4th computation step
5.1.6 Stability analyses for the design of the interior lining
A number of stability analyses with varying assumptions was car-

ried out for the design of the interior lining of the two tunnel
tubes. Among other things it was assumed that the shotcrete mem-
brane becomes ineffective over time.

- 234 -
Fig. 5.22: Simulation of the water pressure acting on the inte-

rior lining

- 235 -
A corresponding assumption was made in some analyses for the cen-

tral buttress as well, since it is not protected from the ground-
water by the PVC sealing. Furthermore, cases with and without
arching in the rock mass were investigated.
The result of merely one analysis shall be presented here, in

which the interior linings are only loaded by their dead weight
and by the water pressure. This case is relevant as long as the
shotcrete membrane remains intact and carries the rock mass pres-
sure. The water pressure is applied to the linings in the form of
equivalent nodal forces (Fig. 5.22, detail I). The bedding of the
interior lining is simulated by truss elements arranged between
corresponding nodes of the shotcrete membrane and the interior
lining and by the behavior of the shotcrete membrane and the rock
mass, which is assumed elastic (Fig. 5.22, detail II). The truss
elements possess a very high stiffness. They can only transfer
compressive stresses, but not tensile or shear stresses. In this
way the lack of a shear bond between the interior lining and the
shotcrete membrane due to the PVC sealing is simulated. Since the
rock mass pressure is not to be taken into account for the load
case "dead weight and water pressure", the rock mass is assumed
weightless.
The computed bending moment distribution represented in Fig. 5.23

shows clearly the bending loading of the inverts and the central
buttress resulting from the water pressure. The corresponding dis-
tribution of the normal thrust is shown in Fig. 5.24.
Fig. 5.23: Bending moments in the interior lining, load case

"dead weight and water pressure"

- 236 -
Fig. 5.24: Normal thrust in the interior lining, load case

"dead weight and water pressure"
5.1.7 Monitoring
A measuring program was planned to monitor the stability as well

as the subsidence occurring at the ground surface and at the
buildings. It included leveling and convergency measurements in
the tunnel. In addition, extensometer measurements as well as
levelings at the ground surface and at buildings were carried out
during construction. Further, the groundwater levels in observa-
tion wells located beside the tunnel (see Fig. 5.1) were read con-
tinuously, and the blasting-induced vibrations were measured at
the buildings. Of course, evidence was perpetuated at the build-
ings before the start and after the end of construction.
The subsidence measured at a building located right above the tun-

nel is shown exemplarily in Fig. 5.25 for different stages of con-
struction. It can be seen that the subsidence of the building at
the end of construction is distinctly less than 2 cm, and that the
building has subsided almost evenly. In the course of the differ-
ent construction stages only small differential subsidence of the
buildings occurred as well. No damage was found on this or the
surrounding buildings (Modemann and Wittke, 1988).

- 237 -
Fig. 5.25: Measured subsidence of a building located above the

tunnel

- 238 -
5.1.8 Conclusions
The road tunnel Hahnerberger Straße is a tunnel with a very large

span and low overburden, for which the requirement was made to
keep the heading-induced subsidence at the ground surface and vi-
brations as small as possible.
This task was solved with the following measures:
- Construction of two tunnel tubes with a reinforced concrete

buttress in the middle providing additional support of the
rock mass,
- subdividing the cross-section of both tunnel tubes into sev-

eral parts,
- limiting the round length to approx. 1 m,
- rounding the cross-sections of the two tunnel tubes in the

vault area to enable the formation of a vault in the shotcrete
membrane, the interior lining and the rock mass,
- designing the shotcrete membrane and the reinforced concrete

buttress in such a way that they can carry the complete rock
mass pressure,
- installation of the interior lining after the first tube was

excavated and before the excavation of the second tube
started,
- smooth blasting.
Essential for the success of the construction project were fur-

thermore the appropriate characterization of the ground and the
proofs of stability established using the FE-program developed by
the authors and their co-workers.
5.2 Limburg Tunnel, Germany
5.2.1 Introduction
The new railway line Cologne-Rhine/Main undercrosses a business

area of the city of Limburg in a approx. 2.4 km long tunnel be-
tween chainage km 109+680 and km 112+075.

- 239 -
Fig. 5.26: Limburg Tunnel, site plan

- 240 -
Fig. 5.27: Limburg Tunnel, longitudinal section with ground

profile

- 241 -
In addition to business and industrial structures, the tunnel un-

dercrosses among other things the freeway (Autobahn) A3 and the
highway B 49 (Fig. 5.26 and 5.27). With overburden heights from 10
to 30 m it crosses through varying and geotechnically difficult
ground in the form of predominantly weathered to decomposed slate
as well as Tertiary and Quaternary clay, silt and sand (Fig.
5.27).
For reasons of stability the excavation profile had to be subdi-

vided during tunnel heading. In most parts a sidewall adit excava-
tion with additional tunnel face support measures was carried out.
5.2.2 Structure
In the portal areas and in a short middle section (intermediate

starting point), the Limburg Tunnel was constructed by the cut-
and-cover method. The sections in between, approx. 1190 m and
1090 m in length, were excavated by underground construction (Fig.
5.27).
Seen from the direction of Cologne, the tunnel undercrosses first

the sports grounds "Im Finken" with an overburden of approx. 16 m.
Next, it undercrosses the freeway A3 and the traffic lanes of the
freeway exit Limburg North at an acute angle with an overburden
varying between 10 and 20 m. Between chainage km 110+750 and
km 110+810, the highway B 49 and its underpass of freeway A3 are
undercrossed with a small roof cover of approx. 4 m. Afterwards,
the tunnel crosses under parts of the Massa shopping center and
under the county road K 472 with an overburden of approx. 15 to
19 m. At chainage km 111+680 the tunnel undercrosses a high bay
warehouse and between chainage km 111+800 and km 111+870 a ware-
house of Tetra-Pak Co. (Fig. 5.26).
Fig. 5.28 shows the geometry of the standard profile and of the
sidewall adits. The double-tracked tunnel was constructed with a
mouth-shaped profile with a width of 15.2 m and a height of 12.4
m. In the vault area a radius of curvature of R = 7.28 m was se-
lected. The transition from the sidewalls to the invert was con-
structed with a radius of R = 4.43 m. For statical reasons the in-
vert was deeply rounded with R = 11.63 m. The inside walls of the
sidewall adits had a radius of curvature of R = 8.0 m. The roof
and the invert of the sidewall adits were rounded with small radii
of R = 0.4 m (Fig. 5.28).

- 242 -
Fig. 5.28: Limburg Tunnel, standard profile
The excavated cross-section amounts to approx. 150 m2. The sidewall

adits as well as the remaining cross-section (core) were subdi-
vided for the excavation into crown, bench and invert (Fig. 5.28).
The shotcrete membrane has a thickness of 35 cm. The thickness of

the inside shotcrete membranes of the sidewall adits amounts to
30 cm. The interior lining is 40 cm thick (Fig. 5.28).
Fig. 5.29 shows the start of underground excavation at the north-

ern portal.

- 243 -
Fig. 5.29: Limburg Tunnel, start of underground excavation at

the northern portal
The ground at the alignment of the Limburg Tunnel was explored by

core drillings, some of which were equipped as observation wells.
In the area of the northern portal the tunnel is located in the

Tertiary clays of the western sunken block of the Limburg rift.
This formation consists predominantly of silty clay with interca-
lated 1 to 9 m thick sand and gravel layers (Fig. 5.27).
At about chainage km 109+915 follows the middle horst block of the

Limburg rift, consisting at first of slate decomposed to sandy and
clayey silt. At the core of the uplifted block, solid Devonian
slate is encountered. The slate has been strongly loaded in terms
of fracture tectonics. It is strongly weathered in the upper zone
up to a depth of approx. 45 m.
At approx. chainage km 110+250, the tunnel leaves the uplifted

block and crosses through the central sunken block of the Limburg

- 244 -
rift up to about chainage km 111+640. As in the western sunken

block, predominantly Tertiary clays are encountered here.
At about chainage km 111+640, in the area of the high bay ware-

house of Tetra Pak Co., the tunnel reaches the uplifted block of
the Greifenberg horst. On the first approx. 70 m, the tunnel is
located partially in decomposed keratophyre tuff and partially in
strongly weathered, in some areas also completely decomposed
slate, into which the tunnel enters completely in the following
section. From about chainage km 111+910 to the southern portal,
the tunnel crosses through slightly weathered to decomposed slate
(Fig. 5.27).
The foliation represents the dominant discontinuity set in the De-

vonian slate. It strikes from southwest to northeast and dips
mostly at 40 to 70° in southeastern direction. Because of the
tight (isoclinal) folding, however, foliation planes dipping
steeply to the northwest occur as well. In connection with two
steeply dipping joint sets, an approximately orthogonal disconti-
nuity fabric exists in most cases.
To determine the deformability of the ground, 9 dilatometer tests

and 40 borehole jack tests were carried out in exploration bore-
holes located in the area of the Limburg Tunnel. According to
these tests, a modulus of deformation for initial loading of 200
to 1000 MN/m2 can be assumed for slightly weathered slate. In de-
composed slate, however, comparatively small moduli of deformation
for initial loading of 5 to 80 MN/m2 were determined. Even smaller
values of 5 to 60 MN/m2 resulted for the soil.
For 63 samples from the clayey and silty surface layers as well as
from the decomposed rock the unconfined compressive strength was
determined. The unconfined compressive strength of the clay and
silt of the surface layers scatters over the relatively wide range
of 50 to 1900 kN/m2. The results of the tests on decomposed rock,
however, are in the range of 100 to 500 kN/m2. The strength of the
slightly to strongly weathered or decomposed slate is substan-
tially determined by the low strengths on the discontinuities (see
Chapter 5.2.6).
Between the northern portal and the eastern boundary of the middle
horst block, the groundwater table follows the course of the
ground surface at a depth of approx. 5 to 10 m (Fig. 5.27). In the

- 245 -
area of the central sunken block of the Limburg rift, the ground-
water table is located at a depth of about 25 to 45 m at the level
of the two receiving streams, the Elbach and the Lahn. To the east
of the central sunken block, at the Greifenberg horst, the ground-
water table rises again to approx. 5 to 10 m below the ground sur-
face (Fig. 5.27). The seasonal variations in the water table can
amount to several meters. The groundwater table shown in the lon-
gitudinal section (Fig. 5.27) is based on the highest groundwater
levels measured in the boreholes equipped as observation wells.
The groundwater is assumed to flow roughly from northeast to
southwest.
The water permeability of the Devonian rock and the Tertiary lay-
ers is estimated at 10-7 to 10-5 m/s.
In the areas of the Greifenberg horst and the middle horst block,
in which the tunnel cross-section is located in slightly weathered
slate, a crown excavation with closed invert was planned according
to excavation classes 5A-K, 6A-K or 7A-K, depending on the degree
of weathering. In the other much longer sections the tunnel is lo-
cated in soil or in decomposed slate. Here, a sidewall adit exca-
vation was planned according to excavation classes 4A-U, 5A-U, 6A-
U or 7A-U (see DGGT, 1995: Table 1).
Fig. 5.30 shows the sequence of excavation and the support for ex-
cavation class 7A-U-0, which was carried out for the most part.
Excavation class 7A-U-0 is characterized by short round lengths
for crown and bench (A = 0.6 m to 0.8 m), tunnel face support with
plain shotcrete (t ≥ 7 cm), advance support with spiles and early
closing of the invert (C ≤ 3.2 m). The tunnel profile is supported
by a reinforced shotcrete membrane with two layers of steel fabric
mats Q285 and by steel sets spaced at ea = 0.6 to 0.8 m. A system-
atic anchoring of the sidewall adits with SN-anchors was planned
on the outside and as required also on the inside.
Just as the excavation of the advancing sidewall adits, the exca-

vation of the core is characterized by a short round length at the
crown, tunnel face support with plain shotcrete and advance sup-
port with spiles (Fig. 5.31). The round lengths at bench and in-
vert amounted to B = 2.8 to 3.2 m. The support was closed at the

- 246 -
invert at a maximum of approx. 18 m behind the crown excavation

(Fig. 5.31).
Fig. 5.30: Excavation and support of the sidewall adits, exca-

vation class 7A-U-0
The rock mass and the soil could be excavated mechanically using a
tunnel excavator.
The excavation was carried out temporarily at four locations si-

multaneously:
- Excavation north (starting from the northern portal),

- 247 -
- excavation south (starting from the southern portal),
- excavations center north and center south (starting from the

intermediate starting point, see Fig. 5.27).
Fig. 5.31: Excavation and support of the core, excavation class

7A-U-0

- 248 -
5.2.5 Sidewall adit excavation north
The sidewall adit excavation north (Fig. 5.32 to 5.35) started at

first with the excavation class 7A-U-0 with the support being
closed at the invert after 4 rounds (C = 4A ≤ 3.2 m, see Fig.
5.30).
Fig. 5.32: Excavation north, right sidewall adit

- 249 -
Fig. 5.33: Excavation of the crown of the sidewall adit
After 160 m, as the heading reached the decomposed slates, which

were fractured to small sizes, water entered more intensely
through joints and foliation parallel discontinuities within the
area of the tunnel face. This lead to stability problems at the
vertical tunnel face and thus impeded the heading.
Starting at chainage 193 m the excavation sequence was therefore

modified. The step between crown and bench excavation was extended
and the bench face was steepened. The support was closed at the
invert at a distance of 6 rounds behind the crown excavation (Fig.

- 250 -
5.36). In this manner a tunnel face more shallowly inclined on av-

erage was achieved. In addition, the safety of the staff during
closing of the invert was increased.
Fig. 5.34: Excavation of the bench of the sidewall adit

- 251 -
Fig. 5.35: Invert of the sidewall adit
Fig. 5.36: Modified sequence of excavation and closing of in-

vert support after 6 rounds, sidewall adits, excava-
tion north, chainage 193 to 267 m

- 252 -
As stability problems continued at the tunnel face, an inclined

crown and bench face supported with plain shotcrete was con-
structed starting at chainage 267 m. In addition, a reinforced
shotcrete support was installed at the invert of the temporary
bench of the sidewall adits to achieve a rapid stabilization of
the excavation. Furthermore, the final closing of the support at
the invert was carried out separately for the crown and bench
heading. After the excavation and support of the crown and the
bench of the sidewall adits had been completed ≤ 20 m in advance,
the heading was interrupted and the tunnel face was sealed with
plain shotcrete. Subsequently the excavation and support of the
invert was carried out (Fig. 5.37). To drain off the water inflow
through joints and foliation parallel discontinuities in the tun-
nel face area, a drainage was laid in the invert of the bench of
the sidewall adits and a shaft sump reaching down to below the
tunnel's invert was constructed every 10 to 20 m.
Fig. 5.37: Inclined tunnel face and support of the invert of

the temporary bench of the sidewall adits, excava-
tion north, chainage 267 to 336 m
At chainage 336 m the heading was changed back again to excavation

class 7A-U-0, since the strength of the rock mass increased and
the jointing as well as the water inflow decreased.
Fig. 5.38 is a photograph of the core excavation at excavation

north.

- 253 -
Fig. 5.38: Excavation north, core excavation
5.2.6 Stability analyses for sidewall adit excavation north
The problems with the tunnel face stability that had occurred dur-
ing the sidewall adit excavation north in the decomposed slate of
the middle horst block (see Fig. 5.27) were attributed to the low
shear strengths on the discontinuities of the strongly weathered
to decomposed slate. The foliation and bedding parallel disconti-
nuities F the orientations of which were measured during tunnel
face mapping, strike approximately perpendicularly to the tunnel
axis and dip mostly steeply with dip angles between 40° and 70°
towards the tunnel face. In addition, two joint sets J1 and J2 ex-
ist, which strike in parallel and perpendicularly to the tunnel
axis and dip steeply as well (Fig. 5.39).
The water pressure acting in the foliation and bedding disconti-

nuities, respectively, and in the joints had a further unfavorable
effect on the stability of the tunnel face.
Three-dimensional stability analyses were therefore carried out

using the program system FEST03 (Wittke, 2000) for the sidewall
adit excavation in the area of the middle horst block to investi-

- 254 -
gate the influence of the strength on the discontinuities and of

the seepage pressure on the stability of the tunnel face.
Fig. 5.39: Discontinuity orientations measured during sidewall

adit excavation north, polar diagram
Fig. 5.40 shows the three-dimensional computation section, the FE-

mesh and the parameters the analyses were based upon. One sidewall
adit was modeled. The overburden amounts to 23 m.
In order to investigate the influence of the shear strengths on

the discontinuities on the tunnel face stability three three-

- 255 -
dimensional analyses were carried out (cases A, B and C, Table

5.1).
Fig. 5.40: Computation section, FE-mesh and parameters
Case Discontinuities in the slate

ϕF [°] ϕJ1 [°] ϕJ2 [°]
A no discontinuities
B 20 20 20
C 10 10 10
Table 5.1: Limburg Tunnel, three-dimensional analyses regarding

the tunnel face stability

- 256 -
Fig. 5.41: Computation steps for the simulation of the sidewall

adit heading

- 257 -
Fig. 5.42: Seepage flow analysis, equipotential lines and seep-

age forces

- 258 -
In case A discontinuities were not taken into account. In cases B

and C the foliation/bedding F, dipping at 70° towards the tunnel
face, was simulated, together with the joint set J1, vertical and
striking parallel to the tunnel axis, and the joint set J2, dip-
ping at 60° opposite to the direction of heading (see Fig. 5.40).
In case B the friction angle on the discontinuities was chosen as
ϕF/J = 20° and in case C as ϕF/J = 10° (Table 5.1). No cohesion was
assumed on the discontinuities. Young's modulus of the slate was
specified as E = 50 MN/m2 in all cases (Fig. 5.40).
The heading of a sidewall adit with crown, bench and invert exca-
vation was simulated in 10 computation steps, which are outlined
in Fig. 5.41. In the 11th computation step the seepage forces due
to the water seeping through the rock mass were applied (Fig.
5.41), which had been determined in a three-dimensional seepage
flow analysis using the program system HYD03 (Wittke 2000). This
seepage flow analysis results in the distribution of piezometric
heads h, from which the seepage forces can be calculated. The
analysis was based on an undisturbed groundwater table located
16 m above the roof of the sidewall adit. Fig. 5.42 shows the lo-
cation of the groundwater table lowered due to the tunnel excava-
tion, the computed equipotential lines (h = const.), as well as,
qualitatively, the direction and magnitude of the seepage forces FS
oriented perpendicularly to the equipotential lines.
The slate was simplificatively assigned a homogeneous and

isotropic permeability with a permeability coefficient of
kf = 10-6 m/s. The distribution of the piezometric heads and the
seepage forces is, however, independent of the selected permeabil-
ity coefficient, since a homogeneous and isotropic ground was as-
sumed for the analysis (Wittke, 2000).
Fig. 5.43 shows the development of the computed horizontal dis-

placement δH of a point on the unsupported tunnel face in the
course of the viscoplastic iterative analysis for computation
steps 10 and 11.
Case A results in a stable tunnel face with a maximum horizontal

displacement of δH ≈ 3 cm. In case B the displacements are larger
than in case A, with max. δH ≈ 6 cm in the 10th computation step and
max δH ≈ 10 cm in the 11th computation step (with seepage pressure).
The tunnel face is stable, however, since the displacements con-
verge in the course of the viscoplastic iterative analysis. Case C

- 259 -
results in a maximum displacement of δH ≈ 22 cm for the 10th compu-

tation step and of δH ≈ 35 cm for the 11th computation step. Al-
though the displacement δH converges in this analysis as well, the
tunnel face cannot be regarded stable anymore due to the magnitude
of δH. For a horizontal displacement of 35 cm it must be assumed
that the rock loosens up and disintegrates in the tunnel face
area.
Fig. 5.43: Horizontal displacement of the tunnel face depending

on the shear strength on the discontinuities

- 260 -
In summary it can be stated on the basis of the FE-analysis re-

sults that the stability of the tunnel face of the sidewall adit
is substantially influenced by the discontinuity fabric. For shear
parameters of cF = cJ1 = cJ2 = 0 and ϕF = ϕJ1 = ϕJ2 = 10°, which had
been estimated from the results of the geotechnical mapping during
heading, the tunnel face must be considered unstable. The analysis
results further show that for low shear strengths on the disconti-
nuities the seepage pressure acting on the tunnel face has a
strong influence on the magnitude of the horizontal displacements.
If follows that by an efficient drainage of the rock in advance of
the sidewall adit excavation the problems during the heading could
have been reduced decisively.
5.2.7 Monitoring results
The heading of the Limburg Tunnel was accompanied by a geotechni-

cal monitoring program including surface leveling, extensometer
and inclinometer measurements as well as leveling and convergency
measurements in the tunnel.
Fig. 5.44 shows exemplarily the vertical displacements of the

sidewall adit roofs δSL and δSR and of the tunnel roof δR measured
after the excavation of the entire cross-section in excavation
north from chainage 160 to 375 m (km 109+900 to km 110+115). The
measured vertical displacements of the roofs of the two sidewall
adits are larger than the one of the roof of the total cross-
section, because with the latter only a part of the displacements
occurring during the core excavation can be captured. The measured
displacements of the sidewall adit roofs include a part of the
subsidence that occurred during the sidewall adit heading and in
addition the subsidence resulting from the core excavation.
The maximum subsidence of δSL = 45 mm was measured at chainage

300 m (Fig. 5.44). In this area the sidewall adit was excavated
with an inclined tunnel face and with a supported invert of the
temporary bench (see Fig. 5.37). From chainage approx. 340 m on
the measured subsidence decreased to a few millimeters. In this
area the sidewall adit excavation was changed over to excavation
class 7A-U-0 (see Fig. 5.30). Starting with chainage approx. 360 m
the roof was located in slightly weathered to unweathered slate.
Here, the measured roof subsidence decreased to ≤ 3 mm (Fig.
5.44).

- 261 -
Fig. 5.44: Measured vertical displacements, chainage 160 to

375 m

- 262 -
5.2.8 Conclusions
With the Limburg Tunnel of the new railway line Cologne/Rhine-Main

stability problems often occurred at the tunnel face during the
sidewall adit excavation north in the area of the middle horst
block. These problems impeded the heading and required intensified
support measures. In this section the tunnel cross-section was lo-
cated in strongly weathered slate which is strongly jointed to
fractured to small sizes. The groundwater table was encountered
approx. 15 m above the roof.
By three-dimensional FE-analyses the influence of the shear

strength on the discontinuities of the slate and of the seepage
pressure in the rock mass on the stability of the tunnel face was
investigated. The results show that the tunnel face stability is
substantially determined by the discontinuity fabric. It could
further be proven that the seepage pressure resulting from the
seepage flow in connection with the low strength on the disconti-
nuities caused the stability problems during the sidewall adit ex-
cavation north. The impediments during the heading and the inten-
sified support measures could have been considerably reduced by an
efficient drainage of the rock mass in advance of the heading.
5.3 Niedernhausen Tunnel, Germany
5.3.1 Introduction
The Niedernhausen Tunnel lies in the southern part of the new

railway line Cologne-Rhine/Main in the area of the town of
Niedernhausen, south of Idstein, Germany.
Over a length of approx. 350 m following the northern portal the

tunnel is located in the completely weathered and decomposed
slates of the Schwall layers with an overburden of about 17 to
50 m. Further, the groundwater table lies at roof level or above
in this area and the freeway A3 had to be undercrossed (Fig.
5.45). Under these conditions the tunnel face was not stable with-
out supplementary support measures. Moreover, the tunneling-
induced subsidence of the ground surface in the area of the under-
crossing of the freeway A3 had to be kept small.
The high demands and the difficult ground conditions made it nec-
essary to drain the rock in advance and to construct the tunnel in
this area in partial excavations with additional tunnel face sup-
port measures.

- 263 -
Fig. 5.45: Niedernhausen Tunnel: a) Site plan; b) longitudinal

section with ground profile

- 264 -
5.3.2 Structure
The two-tracked Niedernhausen Tunnel is 2765 m long (Fig. 5.45).

From chainage km 140+867 to km 141+499 as well as in the southern
portal area the tunnel was constructed by the cut-and-cover
method. The overburden in this area amounts to less than 10 m.
Over the remaining 2101 m the tunnel was excavated by underground
construction. The maximum overburden height is 95 m (Fig. 5.45b).
Fig. 5.46: Niedernhausen Tunnel, standard profile with sidewall

adits
Between chainage km 141+600 and km 141+700 the tunnel undercrosses

the federal highway A3 at an acute angle with an overburden of 20
to 30 m. The tunnel roof lies in the hillside loam in this area.
The remainder of the cross-section is located in the already men-
tioned deeply weathered and decomposed Schwall layers (Fig.
5.45b). A sidewall adit heading was planned in this area.

- 265 -
Fig. 5.46 shows the 15.7 m wide and 12.6 m high standard profile
with the geometry of the sidewall adits. The excavated cross-
section amounts to approx. 150 m2.
The vault area was constructed with a radius of curvature of R =

7.25 m. In the sidewalls a radius of R = 9.05 m was selected. The
transitions from the sidewalls to the invert were constructed with
a radius of R = 2.8 m. The invert was rounded with R = 14.15 m.
The inside walls of the sidewall adits had radii of curvature of
R = 6.375 m and R = 10.925 m, respectively. The roof and the in-
vert of the sidewall adits were constructed with a small radius of
R = 1.0 m. The temporary crown inverts of the sidewall adits were
rounded with R = 6.25 m (Fig. 5.46).
The shotcrete membrane was carried out unusually strong with a

thickness of 35 to 45 cm. The inside shotcrete membrane of the
sidewall adits were constructed 30 cm thick. The thickness of the
interior lining amounts to 40 cm (Fig. 5.46).
The sidewall adits were subdivided into crown and bench for the
heading. The remaining cross-section (core) was subdivided into
crown, bench and invert (Fig. 5.46).
Fig. 5.47 shows the starting wall of the northern heading at the
northern portal.
Fig. 5.47: Niedernhausen Tunnel, starting wall of the northern

heading

- 266 -
The ground at the alignment of the Niedernhausen Tunnel was ex-

plored by core drillings. Some of these boreholes were equipped as
observation wells.
The Quaternary hillside loam and talus material extends to a depth

of approx. 40 m in the northern tunnel section. In the southern
tunnel area, however, the Quaternary surface layer is only 12 m
thick at the most (Fig. 5.45b).
Below the Quaternary cover Devonian rock sequences follow (Fig.

5.45b) consisting of silty and finely sandy slate (Schwall lay-
ers), micaceous sandstone and quartzite with slate intercalations
(Hermeskeil layers), quartzitic sandstone and quartzite with em-
bedded sandy slate (Taunus quartzite) and phyllitic slate with
sandstone and quartzite layers (Variegated Schist).
The slate of the Schwall layers is characterized by a far-reaching

weathering which can extend to a depth of about 150 m. It corre-
sponds in strength to a cohesive soil. Young's modulus, however,
is roughly that of a well-compacted gravel sand. The discontinuity
fabric has remained intact in spite of the weathering (Fig. 5.48).
Fig. 5.48: Deeply weathered, decomposed slate of the Schwall

layers

- 267 -
The bedding planes and foliation discontinuities strike in NE-SW

direction, which is typical for the Rhine schist mountains, and
dip mostly steeply at 60 to 90° in varying directions. In combina-
tion with two discontinuity sets usually an orthogonal discontinu-
ity fabric exists.
To the south of the Taunus ridge upthrust, in the middle and the
southern part of the tunnel, the rock mass is mostly unweathered.
Individual steep bedding-parallel fault zones here exist (Fig.
5.45b).
From the northern tunnel portal to about km 142+500 the groundwa-

ter table follows roughly the course of the ground surface at a
depth of 5 to 25 m. In the southern tunnel section it drops to ap-
prox. 50 m below the ground surface due to a drinking water supply
facility. This level is still up to approx. 40 m above the tunnel
roof, however (Fig. 5.45b).
The seasonal variations in the groundwater table amount to up to

10 m. The groundwater table shown in the longitudinal section
(Fig. 5.45b) is based on the highest groundwater levels measured
in the boreholes equipped as observation wells.
In the approx. 350 m long section in which the tunnel's cross-

section is partially or completely located in the weathered
Schwall layers, a sidewall adit heading was planned according to
excavation classes 7A-U-0 and 7A-U-1, respectively (Fig. 5.49, see
DGGT, 1995: Table 1). The two excavation classes differ with re-
gard to the unsupported round lengths, the spacing of the steel
sets and the number of anchors per m2 (Fig. 5.49).
In both excavation classes the shotcrete membrane is reinforced by

two layers of steel fabric mats Q295. As mentioned above, the
thickness of the shotcrete membrane of 35 to 45 cm is unusually
strong. The inside shotcrete membrane of the sidewall adits was to
be carried out with a thickness of at least 30 cm. Further, a tun-
nel face support with plain shotcrete (t ≥ 7 cm) and an advancing
support with spiles were planned (Fig. 5.49).

- 268 -
Fig. 5.49: Excavation and support, excavation classes 7A-U-0

and 7A-U-1

- 269 -
Fig. 5.50: Pipe umbrella for the undercrossing of freeway A3

- 270 -
In the area of the undercrossing of the freeway the workspace for

the tunnel excavation was to be additionally supported by pipe um-
brellas made of 14.5 m long pipes with an inclination of approx.
10 % and an overlap of > 3 m. The pipe umbrellas were to be con-
structed from niches (Fig. 5.50).
5.3.5 Three-dimensional stability analyses
Calibration of the analysis model (analysis cross-section AC 1)
In the course of the final design for the tunnel driven by side-
wall adit excavation three-dimensional stability analyses were
carried out with the program system FEST03 (Wittke, 2000).
A total of four cases were investigated (cases A, B, C and D, see

Table 5.2).
Slate, decomposed Temporary

Unload-
Ho support of Tunnel face
Case E ϕ c ing
[m] the sidewall support
[MN/m2] [°] [kN/m2] modulus
adit invert
A 17 20 25 5 no - -
crown:
B 25 " " " yes p = 0.04 MN/m2 EU = 3E
C " " " " no " "

D " 40 27.5 10 yes " "
Table 5.2: Niedernhausen Tunnel, three-dimensional analyses of

the sidewall adit heading
To calibrate the analysis model and to verify the soil and rock
mechanical parameters the analyses were to be based upon, the ver-
tical and horizontal ground displacements measured at measuring
cross-section MC 2 (Fig. 5.51) during the sidewall adit heading
were back-analyzed first. MC 2 (analysis cross-section AC 1) is
located at km 141+580 approx. 20 m in front of the undercrossing
of freeway A3 (Fig. 5.51). To record the vertical and horizontal
displacements resulting from the heading, leveling points were set
up at the ground surface and 3 multiple extensometers as well as 2
inclinometers were installed beside and above the tunnel. Zero
readings were taken sufficiently ahead of the excavation. The ar-

- 271 -
rangement of these measuring devices is shown in Fig. 5.52 to-

gether with the tunnel's cross-section.
Fig. 5.51: Longitudinal section, location of measuring cross-

section MC 2 and analysis cross-sections AC 1 and
AC 2
Fig. 5.53 shows the three-dimensional FE-mesh for the back-

analysis of the measured displacements together with its main di-
mensions, the boundary conditions and the modeled stratigraphy. To
keep the computing time within justifiable bounds, symmetric
ground conditions as well as a horizontal ground surface and hori-
zontal layers were assumed. It was thus sufficient to model one
half of the tunnel's cross-section and the surrounding ground.

- 272 -
Fig. 5.52: MC 2 (km 141+580), measuring devices
According to the assumed symmetry the two sidewall adits are simu-
lated as being excavated parallel in time in the analyses. In re-
ality the western sidewall adit heading ran ahead of the eastern
one by 10 to 20 m (g in Fig. 5.49). The influence of the simpli-
fied simulation in the analysis on the final result is small, how-
ever.
The overburden in the area of measuring cross-section MC 2 amounts

approx. 17 m. The boundary between the soil and the strongly
weathered rock mass was modeled in the FE-mesh at about half the
height of the tunnel's cross-section.
The characteristic parameters of the soil include a Young's

modulus of 10 MN/m2 and shear parameters of ϕ' = 25° and
c' = 7.5 kN/m2. For the weathered rock mass, the corresponding val-
ues are E = 20 MN/m2 to 40 MN/m2, ϕ = 25° to 27.5° and c = 5 kN/m2
to 10 kN/m2 (Fig. 5.53). Thus both layers differ essentially in
their deformability and only negligibly with respect to their
shear strength.

- 273 -

ground profile and parameters for the three-
dimensional analyses (AC 1 and AC 2)
The outside shotcrete membrane was constructed 45 cm thick in the

course of the sidewall adit heading, and it is modeled accordingly
(Fig. 5.54). The shotcrete membrane of the inside walls of the
sidewall adits is 30 cm thick. The shotcrete support of the tempo-
rary crown invert of the sidewall adits shown in Fig. 5.54 was not
installed in the area of MC 2. It was therefore not modeled in
analysis case A for the back-analysis of the measured displace-
ments (see Table 5.2).

- 274 -
Fig. 5.54: FE-mesh, detail
The computation sequence of the analyses comprising a total of 36

computation steps is shown schematically in Fig. 5.55. The analy-
sis of the in-situ state (1st computation step) is followed in the
2nd computation step by the excavation of a 23 m long crown section
of the sidewall adits together with an invert section trailing by
2 m. The 2nd computation step is the starting stage for the actual
heading simulation carried out in computation steps 4 to 36 ac-
cording to the iteration technique described in detail in Wittke
(2000).

- 275 -
Fig. 5.55: Computation steps for the simulation of the sidewall

adit heading

- 276 -
The basic idea of this iterative analysis is that the computation

section moves with the heading or with the simulation of each
round, respectively. With increasing number of iterations the con-
straints are reduced which develop in the starting stage due to
the restraint of the displacements in longitudinal tunnel direc-
tion. In this way the computed displacements approach the actual
displacements of the excavation surface at the time of the instal-
lation of the shotcrete membrane. In this manner the loading of
the shotcrete membrane and the deformations due to the heading can
be realistically determined.
Fig. 5.56: Sidewall adit heading, comparison of measured and

computed vertical displacements

- 277 -
According to excavation class 7A-U-1 applied in construction (see

Fig. 5.49) a round length of 1 m is simulated. The distance be-
tween the shotcrete support and the temporary tunnel face amounts
to 1 m in the crown and 2 m in the invert. The closing of the in-
vert of the sidewall adits is thus completed in each case at a
distance of 4 m from the crown face (Fig. 5.55).
The tunnel face support using shotcrete is not taken into account.
The vertical and horizontal displacements in the rock mass and on

the ground surface computed in case A for the sidewall adit head-
ing are compared with the measurement results in Fig. 5.56 and
5.57. The computed displacements were taken from the plane located
14 m behind the crown face in the 36th computation step. This dis-
tance represents approximately the average of the distances of
MC 2 to the crown faces of the two sidewall adit headings at the
time of the measurement (see Fig. 5.56 and 5.57).
Fig. 5.57: Sidewall adit heading, comparison of measured and

computed horizontal displacements

- 278 -
A comparatively good agreement results between the measured and

the computed displacements (see Fig. 5.56 and 5.57). It is only in
the computed vertical displacements that heave show at the level
of the tunnel's invert and below which was not measured. According
to experience this is because in the FE-analysis the same modulus
was specified for the areas unloaded by the excavation as for the
loaded areas above and beside the tunnel. The modulus relevant for
unloading is generally markedly higher than the one for loading.
In the stability analyses for the sidewall adit heading in the
area of the undercrossing of the freeway (cases B, C and D, see
Table 5.2), which are described in the following, an unloading
modulus EU equal to three times the loading modulus was therefore
specified below the tunnel's invert level (see Fig. 5.54).
Three-dimensional analyses of the sidewall adit heading (analysis

cross-section AC 2)
In the area of the undercrossing of the freeway (analysis cross-

section AC 2) the overburden height varies between 23 and 27 m
(see Fig. 5.51). The stability analyses for this area were corre-
spondingly based on an average overburden of 25 m (see Fig. 5.53).
The investigation included cases B, C and D (see Table 5.2). Dif-
fering from case A, an unloading modulus EU = 3 E was specified be-
low the invert in these analyses, as already mentioned (see Fig.
5.54), together with a crown face support with p = 0.04 MN/m2 (see
Fig. 5.55 and Table 5.2). In this way the supporting effect of
horizontal cemented anchors installed in advance of the crown face
was modeled.
In cases B and D a shotcrete support of the temporary crown invert

(t = 10 cm, see Fig. 5.54) is accounted for. In case C the tempo-
rary crown invert support is not taken into account. In case D the
specified shear strength of the decomposed slate is higher than in
cases A, B and C (see Table 5.2).
In Fig. 5.58 the stress resultants are shown as a function of the

distance from the tunnel face and from the boundary of the mesh
for the example of the normal thrust and the moment in the roof.
The broken lines in Fig. 5.58 show the extrapolated course of the
stress resultants which would ensue without the influence of the
boundaries. The stress resultants in the section located 16.5 m
behind the tunnel face (dimensioning section) can be regarded as

- 279 -
decisive and taken as a basis for the design of the shotcrete mem-
brane.
Fig. 5.58: Sidewall adit, stress resultants vs. distance from

the crown face, case B, 36th computation step
Fig. 5.59 shows the stress resultants M, N and S in the dimension-

ing section for case B. Very large bending moments M occur in the
areas of the small radii of curvature of 1.0 m at the roof and at
the transition from the inside wall of the sidewall adit to the
invert (see Fig. 5.46). It was assumed for the design of the shot-
crete membrane that the computed bending moments would not develop
in reality to their full extent since the shotcrete membrane is

- 280 -
installed in several working steps. The construction joints in the

areas mentioned above enable the formation of links which result
in a reduction of the bending moments but not of the normal
thrust. In agreement with the parties concerned the calculated
bending moments were reduced for the design to 65 %.
Fig. 5.59: Sidewall adit, stress resultants in the shotcrete

membrane, dimensioning section, case B, 36th compu-
tation step
Fig. 5.60 shows the statically required reinforcement cross-

sections for bending and normal thrust determined for cases B, C
and D. In addition to the reduction of the moments already men-
tioned, the design was based on a B25 concrete grade, a BSt 500
steel grade and a distance of the reinforcement from the edge of
t1 = 4 cm. In the roof (sections 1 and 2) and at the transition
from the outside wall of the sidewall adit to the invert (section
3) statically required reinforcement cross-sections are computed
for case B which are not covered by the planned reinforcement
(Q295 inside and outside) and require supplementary reinforcement.
In the remaining area (section 4), no reinforcement is required
for statical reasons. A minimum reinforcement of Q295 inside and
outside suffices here. For case C, in which a support of the tem-
porary crown invert is not accounted for, even larger statically
required reinforcement cross-sections result in sections 1 to 3
than for case B (see Fig. 5.60). For case D, in which a higher
Young's modulus and a higher shear strength are specified for the
decomposed slate, statically required reinforcement cross-sections

- 281 -
larger than the minimum reinforcement only ensue in the roof (sec-
tions 1 and 2, Fig. 5.60).
Fig. 5.60: Sidewall adit, required reinforcement cross-sections

for bending and normal thrust
As a consequence of the results of these analyses, during the un-

dercrossing of the freeway A3 by sidewall adit excavation supple-
mentary reinforcement was installed in the roof area and the tem-
porary invert of the crown of the sidewall adits was supported
with shotcrete. The tunnel face was additionally supported by tun-
nel face anchors (see Chapter 5.3.6). Further, an advancing pipe
umbrella was installed for the excavation of the core (see Fig.
5.50).
Three-dimensional analyses of a crown heading with closed invert

and tunnel face anchoring
Because only a low heading performance could be achieved with the

sidewall adit heading due to the extensive support measures, WBI
investigated in further analyses whether in the section following
the undercrossing of freeway A3 also a crown heading with closed
invert and tunnel face anchoring could be carried out in a stable
way for the same ground conditions and higher overburden (see Fig.

- 282 -
5.45b; Wittke and Pierau, 2000; Wittke and Sternath, 2000). For
this purpose three-dimensional FE-analyses were carried out for
the computation section shown in Fig. 5.61 with the program system
FEST03 (Wittke, 2000).
Fig. 5.61: Computation section, FE-mesh, boundary conditions

and parameters for three-dimensional analyses of the
crown heading with closed invert and tunnel face an-
choring
The analyses were based on an overburden of 50 m. Because of the

higher overburden compared to the undercrossing of freeway A3, a
higher Young's modulus and a higher shear strength were assumed
for the decomposed slate with E = 100 MN/m² and EU = 300 MN/m², re-
spectively, ϕ = 27.5° and c = 20 kN/m2 (see Table 5.2 and Fig.
5.61).

- 283 -
Fig. 5.62: Crown heading with closed invert and tunnel face an-
choring: a) Stress resultants in the shotcrete mem-
brane; b) required reinforcement
The computation sequence for the simulation of the crown heading

was analogous to the analyses simulating the sidewall adit heading
(see Fig. 5.55).
The analysis results show that the stability of the crown heading
can be proved if the tunnel face is supported by advance anchoring
and the support is closed soon at the invert. As in the analyses
described before, the tunnel face anchors were accounted for by a
support of the tunnel face with p = 0.04 MN/m2 (see Fig. 5.61). It
can be proven that the subsidence due to the heading can be kept
small in this way. The computed loading of the shotcrete membrane

- 284 -
of the crown due to bending and normal thrust (Fig. 5.62a) reveals
a high bending compression loading at the transition to the tempo-
rary invert. The reason for this is the small radius of curvature
of the shotcrete membrane of only 2 m. For reasons inherent to the
construction process it is often attempted to keep the radius of
curvature as small as possible. For statical reasons, on the other
hand, the radius of curvature should not be less than 2 m. Supple-
mentary reinforcement cannot be dispensed with in this case, how-
ever, although the membrane is rounded according to this require-
ment (Fig. 5.62b).
5.3.6 Construction
The Niedernhausen Tunnel was excavated between the northern tunnel

portal at chainage km 141+499 and chainage km 141+771.5 by side-
wall adit heading. The mapping during tunneling showed that the
layer boundary talus material / slate is located in the crown area
of the tunnel's cross-section (Fig. 5.63).
Fig. 5.63: Construction, northern section

- 285 -
The excavation work proved very difficult mainly because of the

high groundwater level. As the closing of the invert was delayed
due to the inflow of water, large subsidence resulted at the
ground surface (Wittke and Sternath, 2000). To stabilize the tun-
nel face it was necessary to drain the ground in advance and also
to support the tunnel face using shotcrete and anchors (Fig. 5.64
and 5.65). The heading performance was correspondingly low with
approx. 1 m/day in the sidewall adits.
Fig. 5.64: Tunnel face support of the sidewall adit, crown

- 286 -
Fig. 5.65: Tunnel face support of the sidewall adit, crown and
bench
Fig. 5.66 depicts the support measures during the sidewall adit
heading in cross- and longitudinal section. It shows that excava-
tion class 7A-U-1 was modified as follows with respect to the
original design (see Fig. 5.49):
- Supplementary reinforcement in the sidewall adit roofs,

- 287 -
- support of the temporary crown inverts of the sidewall adits,
- tunnel face anchoring in the crown area of the sidewall adits,
- closed inverts in the sidewall adits at ≤ 8 m behind the crown

excavation.
Fig. 5.66: Construction, sidewall adit heading: a) Cross-

section; b) longitudinal section
Pipe umbrellas (see Fig. 5.50) were only carried out in the core
area of the tunnel's cross-section during the undercrossing of the
freeway A3.

- 288 -
For the advance drainage of the ground, at first up to 50 m long

horizontal vacuum wells were constructed from the starting wall
(see Fig. 5.47). In addition, vacuum lances were installed from
the tunnel face during the heading. The effectiveness of the vac-
uum lances remained limited, however. The outflow of water in the
tunnel face area could only be reduced but not be prevented in
this way. The ensuing mud formation interfered considerably with
the excavation.
As a consequence, the groundwater was lowered using deep vacuum

wells drilled from the ground surface in advance of the excavation
down to below the tunnel's invert. In the ground drained in ad-
vance it was possible to increase the heading performance markedly
afterwards.
Fig. 5.67 is a photograph of the northern heading during the exca-

vation of the core.
Fig. 5.67: Excavation of the core
From the south the tunnel was driven up to chainage km 141+771.5

by crown heading. In the section where the tunnel cross-section
was located in the decomposed slate the crown was excavated up to

- 289 -
the cut-through with a closed invert and tunnel face anchoring

(Fig. 5.63). The basis for this were the results of the FE-
analyses described in Chapter 5.3.5.
Fig. 5.68 depicts the support measures carried out during the
crown heading in cross- and longitudinal section. The round
lengths and the excavation sequence are shown in the longitudinal
section as well.
Fig. 5.68: Construction, crown heading with closed invert and

tunnel face anchoring: a) Cross-section;
b) longitudinal section

- 290 -
The computed displacements were well confirmed by the results of

surface leveling and convergency measurements in the tunnel. The
heading performance in the crown amounted to almost 2 m/day (Wit-
tke and Pierau, 2000).
5.3.7 Conclusions
The Niedernhausen Tunnel was excavated over a length of approx.

350 m in the completely weathered and decomposed slates of the
groundwater-bearing Schwall layers, which have a low strength and
a high deformability. In this ground the freeway A3 had to be un-
dercrossed with an overburden of 20 m to 30 m.
A sidewall adit heading with short round lengths was carried out.
To stabilize the tunnel face the rock had to be drained in advance
and the tunnel face had to be supported by shotcrete and anchors.
The results of three-dimensional FE-analyses showed that addi-
tional measures were required to support the work space at the
tunnel face, such as e. g. the support of the temporary crown in-
vert of the two sidewall adits and the installation of spiles. Be-
cause of the extensive support measures a very low heading per-
formance could only be achieved.
It could be proven by further three-dimensional analyses that in

sections with higher overburden also a crown heading with closed
invert and systematic tunnel face anchoring could be carried out
in a stable way in these unfavorable ground conditions. As a con-
sequence, the Niedernhausen Tunnel was successfully excavated by
crown heading outside of the sphere of influence of freeway A3.
Almost twice the heading performance of the sidewall adit heading
was achieved here.
The experience gained with the excavation of the Niedernhausen

Tunnel should also lead to economic solutions for future tunnel
structures in comparable ground conditions. It should be possible
in many cases to replace an expensive sidewall adit excavation by
a crown heading with closed invert and tunnel face anchoring.

- 291 -
6. Full-face heading
6.1 Urban railway tunnel underneath the Stuttgart airport

runway, Germany
6.1.1 Introduction
The urban railway of Stuttgart, Germany, was extended in 2001 by a

section starting at the Airport station and running underneath the
airport area to the city of Filderstadt-Bernhausen. The Airport
station (construction lot 72) and a continuation of limited extent
towards Bernhausen (lot 92) were constructed by the cut-and-cover
method. A 2.15 km long tunnel section driven by underground con-
struction (lot 601) follows. It undercrosses among other areas the
apron and the runway of the airport. The approx. 500 m long tunnel
section of the Filderstadt-Bernhausen station (lot 602) was con-
structed by the cut-and-cover method (Fig. 6.1).
Fig. 6.1: Undercrossing of Stuttgart airport, site plan
The present Chapter describes the tunnel section of lot 601 driven
by underground construction, with an emphasis on the undercrossing
of the runway of the airport. In this section the absolute and

- 292 -
differential ground surface subsidence due to the tunneling had to

be kept as small as possible. This task proved to be quite demand-
ing, because settlement-sensitive, soft valley deposits and fill
are locally encountered in the runway area and the groundwater ta-
ble lies above the tunnel roof. Lowering the groundwater table
during tunneling could therefore not be permitted, because of the
risk of large settlements. The shotcrete support had thus to be
constructed with a low water permeability and designed to with-
stand the water pressure. For the design of the shotcrete membrane
it had further to be taken into account that high horizontal
stresses exist especially in the mudstones of the Lias α forma-
tion, in which the major part of the mined tunnel section is lo-
cated (see Chapter 4.1).
6.1.2 Structure
The course of the alignment and the ground profile are shown in
Fig. 6.2. Following lot 92, the alignment descends in the direc-
tion of Bernhausen up to the area in front of the runway.
Fig. 6.2: Undercrossing of Stuttgart airport, longitudinal

section with ground profile

- 293 -
The tunnel then runs horizontally over a length of approx. 1400 m

(lot 601). The following gradient extends into the cut-and-cover
section (lot 602). In the area of the station the alignment then
runs approximately horizontally again.
Fig. 6.3: Single-tracked tunnel tube, standard profile
Two single-tracked tunnel tubes are planned for the mined tunnel
section (lot 601), only one of which has been built for the time
being, however. The tunnel tube was constructed with a circular
profile, among other reasons also in order to be able to design
the shotcrete membrane for the full water pressure. The 30 to 35
cm thick shotcrete membrane was made from alkali-free dry-mix
shotcrete with a low water permeability using spray cement as a
bonding agent (see Chapter 2.1.2). The excavated diameter is ap-

- 294 -
prox. 8.7 m, the inside diameter 7.0 m. The excavated cross-

section of one tunnel tube amounts to approx. 60 m2 (Fig. 6.3).
In the area of the airport runway the tunnel roof is located ap-
prox. 21 m below the ground surface (Fig. 6.4). Stuttgart Airport
Co. (Flughafen Stuttgart GmbH, FSG) demanded that the tunneling-
induced subsidence in this area has to be limited to 15 mm and the
differential subsidence at the ground surface to 1 o/oo.
Fig. 6.4: Undercrossing of the runway of Stuttgart airport,

longitudinal section with ground profile
The ground profile in the area of the mined tunnel of lot 601 is
similar to the one in the area of the Österfeld Tunnel (see Chap-
ter 4.1). The stratigraphic sequence includes the layers of the
Knollenmergel, the Rät, the Lias α and the Quarternary (see Fig.
4.4).

- 295 -
According to geotechnical criteria the ground can be subdivided as

follows from bottom up (Fig. 4.4, 6.2 and 6.4):
- Knollenmergel and Rät,
- Lias α, predominantly mudstone with single layers of lime-

sandstone,
- Lias α, alternating sequence of mudstone and lime-sandstone,
- overlying strata consisting of Lias α residual clay and

Filder loam.
To explore the ground and the groundwater conditions core drill-

ings were sunk along the tunnel alignment. Some of these boreholes
were equipped as observation wells.
Fig. 6.5: Photograph of the tunnel face showing the transition

from the alternating sequence of mudstone and lime-
sandstone to the layers consisting predominantly of
mudstone

- 296 -
Fig. 6.6: Fill and valley deposits in the runway area of

Stuttgart airport
According to the exploration results, the mined tunnel of lot 601

is located over its entire length in the rock layers of the Lias α

- 297 -
formation (Fig. 6.2 and 6.4). In the area of the airport runway it
lies completely within the layers consisting predominantly of mud-
stone. Adjacent to the cut-and-cover tunnel sections, i. e. in the
areas with descending or climbing alignment, the tunnel crosses
through the alternating sequence of mudstone and banks of lime-
sandstone (Fig. 6.2). Fig. 6.5 is a photograph of the temporary
tunnel face, in which the lowest banks of lime-sandstone of the
alternating sequence, which are also referred to as "main sand-
stone", are clearly recognizable.
The runway of the airport is founded on cohesive layers (Fig. 6.4)

consisting mainly of Filder loam and Lias α residual clay. To the
west of the urban railway alignment a lake was formerly located in
the area of today's runway, flowing out into a creek running to-
wards the east. In the course of the construction of Stuttgart
airport, the area of the lake and the creek was filled up. The ex-
isting partially soft and settlement-sensitive valley deposits re-
mained under the fill in the process. The fill and the valley de-
posits are locally several meters thick (Fig. 6.6).
Fig. 6.7 shows the structural model (see Chapter 2.5.1) derived
for the ground in the area of the tunnel section driven by under-
ground construction. The discontinuity fabric is characterized by
an orthogonal system of horizontal bedding parallel discontinui-
ties and steep to vertically dipping joints. Unlike to the banks
of lime-sandstone, the bedding parallel discontinuities and joints
in the mudstone layers are mostly closed or filled with clay and
only vaguely recognizable. In the mudstones of the Rät and the
Knollenmergel slickensides exist, dipping at 20 to 40° and strik-
ing in all directions (see Chapter 4.1.3).
The soil and rock mechanical parameters given in Table 6.1 were
specified on the basis of the results of laboratory and in-situ
tests as well as experience gained from projects in comparable
ground conditions (see Chapter 4.1). For the rock layers of the
Lias α formation encountered in the area of the mined tunnel, a
transversely isotropic elastic stress-strain behavior, described
by 5 independent elastic constants (Wittke, 2000), was assumed for
loading below the strength. A further characteristic of the Lias α
layers are the low shear strengths on the bedding parallel discon-
tinuities and the joints.

- 298 -
Fig. 6.7: Structural model of the ground in the area of the

mined tunnel section (lot 601)
The parameters given in Table 6.1 should be interpreted as charac-

teristic parameters according to DIN 4020 (1990) and were taken as
a basis for the stability analyses of the mined tunnel.

- 299 -
Layer Deformability Strength Permeability

E = 15 MN/m2 ϕ' = 25°
Overlying strata kf ≤ 10-8 m/s
2
ν = 0.4 c' = 25 kN/m
Bedding B:
E1 = 1500 MN/m2
ϕB = 20° Horizontally:
Alternating se- E2 = 750 MN/m2
quence of mud- cB = 80 kN/m2 kfH = 5 ⋅ 10-5 m/s
2
G2 = 200 MN/m
stone and lime- Joints J1, J2: Vertically:
sandstone ν1 = 0.25
ϕJ = 35° kfV = 10-6 m/s
ν2 = 0.2
cJ = 40 kN/m2
E1 = 1000 MN/m2
Bedding B:
Mudstone with E2 = 500 MN/m2
ϕB = 20°, cB = 0
single layers of G2 = 200 MN/m2 kf = 10-7 m/s
lime-sandstone Joints J1, J2:
ν1 = 0.25
ϕJ = 35°, cJ = 0
ν2 = 0.2
Discontinuities:
Rät and leached E = 150 MN/m2
zone of the ϕD = 17.5° kf = 5 ⋅ 10-7 m/s
Knollenmergel ν = 0.3
cD = 10 kN/m2
Slickensides:
Knollenmergel, E = 1000 MN/m2
ϕS = 17.5° kf ≤ 10-8 m/s
unweathered ν = 0.25
cS = 10 kN/m2
Table 6.1: Characteristic soil and rock mechanical parameters
The results of in-situ tests and measurements on different struc-

tures in the area of Stuttgart have shown that increased horizon-
tal in-situ stresses exist in the Lias α (Grüter, 1988; Wittke,
1990; Wittke, 1991). According to these results, in addition to
the horizontal stresses resulting from the dead weight, horizontal
stresses of ΔσH = 1 to 2 MN/m2 exist in the unweathered mudstone
layers and horizontal stresses of ΔσH = 0.5 to 1.0 MN/m2 exist in
the alternating sequence (Böttcher et al., 1998). The magnitude of
these stresses was confirmed by the results of the stress measure-
ments by the overcoring method (Kiehl and Pahl, 1990) carried out
in the course of the project presented here. Horizontal in-situ

- 300 -
stresses of ΔσH = 0.5 to 1.7 MN/m2 were derived from the results of
these stress measurements.
The permeability tests carried out as part of the exploration

showed that the mudstone layers have a much lower water permeabil-
ity than the lime-sandstone banks. Accordingly, the alternating
sequence is inhomogeneous with respect to its permeability. How-
ever, since the tunnel diameter is large compared to the thick-
nesses and the spacing of the layers of the alternating sequence,
the alternating sequence can be overall considered approximately
homogeneous, if the different permeabilities of the layers is
taken into account by introducing an anisotropy (Wittke, 2000).
The horizontal permeability of kfH = 5 · 10-5 m/s is determined here
by the banks of lime-sandstone, whereas the vertical permeability
of kfV = 10-6 m/s is due to the mudstone (Table 6.1).
The overlying strata, the Lias α layers consisting predominantly

of mudstone, the Rät and the Knollenmergel have a much smaller wa-
ter permeability than the alternating sequence (Table 6.1).
In the northern part of the airport the groundwater of the alter-

nating sequence is mostly artesian. The water table is encountered
within the overlying strata (see Fig. 6.2 and 6.4). In the adja-
cent section up to the southern limit of the airport the groundwa-
ter table lies within the alternating sequence. A further section
with locally artesian groundwater follows (see Fig. 6.2).
The mined tunnel section of lot 601 is thus located almost over
its entire length completely underneath the groundwater table. The
maximum height of the water table above the tunnel's invert is
reached in the area of the airport runway with approx. 26 to 27 m
(see Fig. 6.4).
6.1.4 Fundamentals of the design
During the cut-and-cover construction of the first 400 m of the

tunnel (lot 92) the groundwater was lowered to below the construc-
tion pit's invert using drawdown wells. Measurements of the
groundwater level in the airport and specially in the runway area
showed that the drawdown cone had a range of approx. 450 m (Fig.
6.8). To avoid subsidence in the airport area, it became necessary
to recharge the groundwater using injection wells (Erichsen and
Tegelkamp, 1998).

- 301 -
Fig. 6.8: Advance construction (lot 92), site plan with draw-
down cone
Especially the soft valley deposits in the runway area (see Fig.
6.6) are very sensitive to settlements. Especially here, but also
in other areas, a lowering of the groundwater table as a conse-
quence of the tunnel heading would lead to subsidence due to loss
of the hydrostatic uplift. The FSG therefore demanded that no
groundwater lowering must occur during the underground tunneling.
Three-dimensional, transient seepage flow analyses were therefore

carried out by WBI in the early stages of the project to investi-
gate the influence of the tunnel heading on the groundwater condi-

- 302 -
tions. The program system used for this purpose was developed by
WBI (Erichsen, 1994). It is described in detail in Wittke (2000).
The assumptions made and the results of the analyses are described
and explained in detail in Wittke (2000) as well, and also in Wit-
tke-Gattermann and Wittke (1997). The permeability of the layers
consisting predominantly of mudstone (see Chapter 6.1.3), in which
the tunnel is located in the area of the undercrossing of the air-
port runway, as well as the permeability of the shotcrete membrane
of the tunnel were varied in the analyses.
Fig. 6.9: Analyzed drawdown curves of the groundwater table

due to the heading, steady state, vertical section
through the tunnel axis

- 303 -
Fig. 6.9 shows the drawdown of the groundwater table determined

for the steady state in a vertical section through the tunnel
axis. For a low permeability of the mudstone layers of kf = 10-7
m/s and an impermeable shotcrete membrane, the groundwater draw-
down of < 5 cm can be neglected. An increase in the permeability
of the mudstone to kf = 10-6 m/s already leads to a groundwater
drawdown of 0.5 m. An increased permeability of the shotcrete mem-
brane yields a considerably increased groundwater drawdown even
for a value of kf of 10-7 m/s for the mudstone. The steady state is
always reached within a period of time which is short in relation
to the construction time (Wittke-Gattermann and Wittke, 1997; Wit-
tke, 2000; Tegelkamp et al., 2000).
Corresponding to the results of the groundwater modeling analyses

and to the demand by FSG that groundwater lowering must not occur
during the construction of the tunnel, the tunnel had to be sup-
ported during the heading by a shotcrete membrane with a low water
permeability. The membrane had to be designed to withstand the wa-
ter pressure. An alkali-free dry-mix shotcrete with spray cement
as bonding agent was used. A statically favorable circular profile
was selected for the tunnel's cross-section (see Fig. 6.3). The
water pressure taken into account as well as the loads resulting
from the rock mass pressure, which are essentially determined by
the increased horizontal in-situ stresses in the mudstone layers,
lead to a required thickness of the reinforced shotcrete membrane
of 30 to 35 cm.
An advancing crown excavation was not a reasonable option under

the given conditions, because on the one hand an open invert over
great lengths could not be permitted since this would lead to a
groundwater lowering, and on the other hand a watertight support
of the temporary crown invert could not be designed to withstand
the water pressure with economically justifiable expense. A full-
face heading with a stepped tunnel face was therefore provided for
in order to achieve as soon as possible a circular cross-section
with closed invert. This was important for statical reasons as
well as under the aspect of watertightness, since this design en-
ables water to enter during the tunneling only through the tempo-
rary tunnel face and thus only through a comparatively small cross
sectional area. This design was also taken as a basis for the
three-dimensional seepage flow analyses.

- 304 -
Fig. 6.10 shows the sequence of excavation and means of support

specified for the tunnel heading in the layers consisting predomi-
nantly of mudstone. The full-face excavation was subdivided into
crown and bench/invert excavation.
Fig. 6.10: Standard heading in the mudstone, excavation and

support
The tunnel cross-section was excavated using tunnel excavators,

which were additionally equipped with a heavy hydraulic chisel.
Thicker banks of lime-sandstone were loosened by blasting. The
round lengths ranged between 1 and 1.5 m in the crown and between
2 and 3 m in the bench/invert (Fig. 6.10). The support was closed
at the invert after 4 to 6 m.

- 305 -
In addition to the reinforced shotcrete support of the excavation

profile, a systematic anchoring with 3 m long SN-anchors was car-
ried out locally. Steel sets were placed at a spacing of 1 m (Fig.
6.10). The advancing support using spiles, included in the design
for more unfavorable rock mass sections, could be completely dis-
pensed with.
In the deep tunnel section, in which the tunnel is located com-

pletely within the low-permeability layers consisting predomi-
nantly of mudstone, no further measures apart from the low-
permeability shotcrete membrane were taken to maintain the ground-
water table. In the northern tunnel section, in which the ascend-
ing tunnel cuts into the strongly water-bearing layers of the al-
ternating sequence, an advance sealing of water-bearing disconti-
nuities was required to prevent a strong inflow of water through
the tunnel face. To this end cement grouting was carried out
through boreholes drilled from the tunnel face with an average
length of 15 m (Fig. 6.11). Cement based suspensions with water
cement ratios of 0.7 to 2 were used for the grouting.
Fig. 6.11: Sealing by advance cement grouting of the alternat-

ing sequence

- 306 -
The advance grouting was carried out in sections in three working

steps:
1. Sealing of the temporary tunnel face with shotcrete.
2. Construction of a grouting umbrella above the tunnel roof.
3. Construction of a transverse bulkhead in the area of the al-

ternating sequence to seal off the area to be excavated
against groundwater flow in longitudinal tunnel direction.
The grouting boreholes were sealed against the borehole head with
fabric packers (geotextiles) filled with cement based suspension.
During the grouting works the heading had to be interrupted for
approx. 2 weeks each time.
By the advance sealing of the alternating sequence stronger inflow

of water through the open tunnel face could be prevented to a
large extent. Only when the grouting boreholes were drilled (Fig.
6.12), some inflow rates occurred for a short time due to the con-
struction process (Tegelkamp et al., 2000).
Fig. 6.12: Drilling of grouting boreholes

- 307 -

support
For the dimensioning of the shotcrete support, two- and three-

dimensional FE-analyses were carried out using the program system
FEST03 (Wittke, 2000). These analyses were based on the character-
istic parameters given in Table 6.1. In the Lias α increased hori-
zontal in-situ stresses were taken into account. For the layers
consisting predominantly of mudstone ΔσH = 1.5 MN/m2 was specified.
The alternating sequence was assigned a value of ΔσH = 0.5 MN/m2.
Further analyses were carried out with no additional horizontal
stresses assumed, as well as with horizontal stresses in the mud-
stone increased to ΔσH = 2 MN/m2. In Fig. 6.13, the location of the
analysis cross-sections investigated in the design analyses is
given in the geological longitudinal section.
Fig. 6.13: Location of the analysis cross-sections

- 308 -
Fig. 6.14 shows exemplarily the computation section, the FE-mesh,

the boundary conditions and the ground profile of a three-
dimensional analysis for the area of the airport runway (analysis
cross-section 4A, see Fig. 6.13) with an overburden of 21 m.
Fig. 6.14: Analysis cross-section 4A, FE-mesh, boundary condi-

tions and ground profile for three-dimensional
analyses
In Fig. 6.15 the computation steps chosen for the simulation of

the tunnel heading by the "step-by-step" method (Wittke, 2000) are
illustrated.

- 309 -
Fig. 6.15: Analysis cross-section 4A, computation steps
In the first two computation steps the in-situ state of stress is

determined, taking into account the dead weight of the rock mass
and the increased horizontal stresses in the Lias α. To simulate
the different horizontal stresses ΔσH in the alternating sequence
and in the mudstone, the nodes lying on the boundary planes

- 310 -
x = 40 m and y = 65 m (see Fig. 6.14) were assigned horizontal

displacements in x- and y-direction corresponding to the respec-
tive horizontal stresses ΔσH. To prevent shear stresses from being
transferred across the boundary between the alternating sequence
and the mudstone due to the different horizontal displacements, an
interface layer is arranged between the two layers. In the 1st com-
putation step, the dead weight is only taken into account for the
alternating sequence and the mudstone. The overlying strata, the
Rät and the Knollenmergel are assumed to be weightless. In the 2nd
computation step the latter two layers are replaced by materials
with the same mechanical parameters, however with their dead
weight. Since the new materials are installed stress-free in the
already deformed corresponding elements (Wittke, 2000) and the
horizontal displacements remain unchanged in the 2nd computation
step, only the stresses due to dead weight but not the increased
horizontal stress ΔσH are effective in these layers.
In the 3rd computation step, the excavation and shotcrete support

of the crown and the bench and invert, trailing by 2 m, are simu-
lated. Computation steps 4 to 16 include the simulation of the
heading according to the "step-by-step" method. In each computa-
tion step, the crown and the trailing bench and invert are both
advanced by 2 m (Fig. 6.15).
Fig. 6.16 and 6.17 show the stress resultants in the shotcrete
membrane determined in this analysis. The representation of the
maximum stress resultants along the tunnel in Fig. 6.16 illus-
trates that the loading of the shotcrete membrane continuously de-
velops with increasing distance from the tunnel face, until the
maximum values are reached at a distance of approx. twice the tun-
nel's diameter. This cross-section is designated the dimensioning
section, because the stress resultants determined here have to be
considered decisive for the design of the shotcrete membrane (see
Chapter 5.3).
The stress resultants M, N and S in the dimensioning section are

shown in Fig. 6.17. As expected, great compressive normal thrust
exist. Because of the high horizontal stresses the maximum values
result in the roof and invert areas. The bending moments are rela-
tively small due to the favorable geometry of the cross-section
(circle), and the shear forces follow corresponding to the moment
distribution.

- 311 -
Fig. 6.16: Analysis cross-section 4A, stress resultants vs.

distance from the tunnel face, 16th computation step
Fig. 6.17: Analysis cross-section 4A, stress resultants in the

shotcrete membrane, dimensioning section, 16th com-
putation step

- 312 -
In addition to the three-dimensional analyses, two-dimensional

analyses ones were carried out to investigate the influence of a
variation of the parameters and of the horizontal in-situ stresses
in the Lias α on the loading of the shotcrete membrane.
To model the influence of the displacements occurring in the tun-

nel face area before the shotcrete membrane is installed, either
the computed stress resultants in the shotcrete membrane were re-
duced in the two-dimensional analyses, or a preceding stress re-
lief was simulated (Wittke, 2000). For the section in which the
tunnel's cross-section is located entirely within the alternating
sequence, a calibration of the results of two-dimensional analyses
on the basis of the results of a corresponding three-dimensional
analysis resulted in a stress relief factor according to (4.1)
(see Chapter 4.1) of av = 0.35.
The load case water pressure acting on the shotcrete membrane was
investigated in separate two-dimensional FE-analyses. Because the
water pressure builds up only at a certain distance from the tun-
nel face, it suffices to superpose the stress resultants ensueing
from the rock mass pressure and the water pressure and to design
the shotcrete membrane on the basis of the stress resultants thus
obtained.
According to the results of the stability analyses, the shotcrete

membrane of the standard tunnel sections could be designed with a
thickness of 35 cm for a factor of safety of 1.7 without requiring
more than the minimum reinforcement (inside and outside steel fab-
ric mats Q285). The specified limits for the tunneling-induced
subsidence and differential subsidence were not exceeded either.
6.1.7 Monitoring
The construction was accompanied by an extensive monitoring pro-

gram aimed at compliance with all requirements as well as control
and optimization of the heading works. This program was coordi-
nated in mutual agreement with the FSG.
The monitoring program included the monitoring of the groundwater

level as well as displacement measurements at the ground surface
and in the tunnel. Further, stress measurements were carried out
in the shotcrete membrane. For the monitoring of the groundwater
level, the system of observation wells already existing on the

- 313 -
airport from previous construction and supplemented during the ex-

ploration works for the urban railway tunnel could be used.
Fig. 6.18 shows the location of the measuring cross-sections and

observation wells as well as the heading location in November
1999. From mid-February to mid-March 2000 the airport runway was
undercrossed by the excavation south coming from the northern
starting shaft. The excavation north emanating from the southern
starting shaft cut through to the excavation south on April 22,
2000 (Fig. 6.18). The tunnel section excavated between November
1999 and April 2000 is specifically marked in Fig. 6.18. The cut-
through from lot 601 to the already existing lot 92, which have
been constructed before by the cut-and-cover method, was carried
out on June 5, 2000.
Fig. 6.18: Stuttgart urban railway (lot 601), monitoring pro-

gram

- 314 -
In Fig. 6.19 the hydrographs of the observation wells in the area

of the airport runway are shown for the time between November 1999
and June 2000. For the winter months a general rise of the ground-
water level is apparent at all observation wells, which declines
again in the spring of 2000. A reaction of the groundwater level
to the tunnel heading cannot be recognized. The measured varia-
tions in water level can be attributed to the natural course of
the groundwater flow and are not related to the tunneling.
Fig. 6.19: Observation well hydrographs during the undercross-

ing of the runway of Stuttgart airport
A temporary drop of the groundwater table by a maximum of 2 to 3 m

however occurred in the boreholes located in the area of the
northern apron beside the rescue adit (Fig. 6.18). This decrease
correlates in time with the grouting works carried out in the tun-
nel section located within the alternating sequence (see Fig.
6.11). With distances of up to 100 m to the observation wells and
in view of the limited discharge in the tunnel through the grout-

- 315 -
ing boreholes of approx. 1 l/s, these observations demonstrate the

sensitivity of the aquifer in the alternating sequence.
Overall it must be stated, however, that with the advance grouting

a large-scale, long-term groundwater lowering could be avoided.
Even in the northern apron area, subsidence due to interference
with the groundwater did not occur.
Fig. 6.20: Results of the displacement measurements in MC 6

- 316 -
In Fig. 6.20, the results of the displacement measurements are il-

lustrated exemplarily for measuring cross-section MC 6 (see Fig.
6.18). Here, a tunneling-induced subsidence of 4 mm at the most
was measured at the ground surface above the tunnel roof. Along
the entire tunnel, predominantly a subsidence of between 4 and 7
mm was determined above the tunnel axis. Because of these compara-
tively low values, which were markedly smaller than the admissible
subsidence of 15 mm, the airport facilities as well as the build-
ings of Bernhausen, neighboring to the south, could be under-
crossed without damage.
Comparatively large horizontal displacements in the ground of up

to 9 mm were measured at the level of the tunnel (see Fig. 6.20).
This displacement distribution is typical for this construction
project and has to be attributed to the increased horizontal in-
situ stresses in the Lias α.
6.1.8 Interpretation of the monitoring results
During the construction the displacements measured in the tunnel

as well as the tangential stresses measured in the shotcrete mem-
brane were compared to the values computed in the design analyses,
which are based on the characteristic parameters (see Table 6.1).
The resulting differences can be attributed to the conservative
assumptions made in the design analyses, mainly on the high hori-
zontal stresses ΔσH assumed in the Lias α (see Fig. 6.14).
To be able to back-analyze the measured results, parameter studies

were carried out. The following parameters, which have a large in-
fluence on the loading of the shotcrete membrane, were varied:
- Horizontal stresses in the mudstone (ΔσH),
- deformability of the mudstone layers (E1, E2),
- shear strength on the bedding parallel discontinuities in the

mudstone (ϕB),
- deformability of the shotcrete membrane (ESC).
The best agreement with the monitoring results was achieved in a

comparative analysis, in which a Young's modulus of the shotcrete
support of ESC = 2000 MN/m2 was selected as opposed to the

- 317 -
Young's modulus taken as a basis for the design analyses

(ESC = 15000 MN/m2), and in which the horizontal stress in the mud-
stone was reduced from 1.5 MN/m2 (design analysis) to 1.0 MN/m2
(Table 6.2).
Design analyses Comparative analysis
Shotcrete ESC = 15000 MN/m2 ESC = 2000 MN/m2
Mudstone with
single layers of ΔσH = 1.5 MN/m2 ΔσH = 1.0 MN/m2
lime-sandstone
Table 6.2: Comparison analysis for the interpretation of moni-

toring results: Differences to the construction de-
sign analyses
The low modulus of ESC = 2000 MN/m2 accounts for the deformability
development as well as the creep properties of the shotcrete. Be-
cause of the short round lengths and the early closing of the sup-
port ring, the shotcrete is loaded in the present case at a very
young age, in which it still possesses a low strength and a high
deformability as well as a high creep potential (see Chapter 2.1).
The value of ESC = 15000 MN/m2 used in the design analyses there-
fore represents a conservative assumption, by which the loading of
the shotcrete membrane is overestimated.
A good agreement with the measured values can however only be

achieved if the water pressure and the seepage forces are ac-
counted for that act on the ground and the shotcrete membrane dur-
ing construction.
Since the water permeability of the alternating sequence is high

compared to the one of the mudstone, there is no significant de-
crease of piezometric heads within the alternating sequence. Al-
most the entire decrease of piezometric heads thus occurs in the
mudstone. Fig. 6.21 shows qualitatively the flow net with its
equipotential lines and streamlines which represents the groundwa-
ter flow towards the tunnel. Thus, as an approximation, the entire
water pressure pw resulting from the difference in elevation be-
tween the groundwater table and the top boundary of the mudstone
layer acts on the mudstone layer. The loading of the shotcrete
membrane due to the groundwater flow towards the tunnel can there-

- 318 -
fore be replaced as an approximation by a surface load pW acting on

the mudstone layer (Fig. 6.21).
Fig. 6.21: Qualitative distribution of equipotential lines and

streamlines in the mudstone and replacement of the
water pressure by an equivalent load
Fig. 6.22 illustrates the determination of the stresses and defor-

mations resulting from the flow towards the tunnel in two computa-
tion steps. In the 1st computation step the surcharge from the wa-
ter pressure pw is applied onto the mudstone layer. In the 2nd com-
putation step, the excavation and the installation of the shot-
crete membrane are simulated. The rock mass and the shotcrete are
assumed weightless here. The deformations and the loading of the
shotcrete membrane can therefore be determined approximately by
superposing the deformations and stresses computed for the load
cases "rock mass pressure" and "water pressure on the mudstone
layer".

- 319 -
Fig. 6.22: Computation steps to determine the stresses and de-

formations resulting from the flow towards the tun-
nel
Fig. 6.23 shows the comparison between the measured and the com-
puted values of the displacements of the tunnel contour and the
tangential stresses in the shotcrete.
The comparison between measured and computed displacements is

based on so-called "representative displacements" determined as
the mean values of the displacements measured in different cross-
sections. It can be seen that the representative displacements can
be captured by the analyses if the water pressure is taken into
account (Fig. 6.23).
Around the circumference of the shotcrete membrane differing tan-

gential stresses were measured. The very low stresses measured in
the roof area (see Fig. 6.23, bottom left), are not considered
representative. In the other areas the measured tangential
stresses are captured by the analysis.
During the heading of the rescue adit as well, geotechnical moni-

toring was carried out (see Fig. 6.18). The representative dis-
placements of the tunnel contour and the tangential stresses in
the shotcrete measured in the rescue adit are pictured in Fig.
6.24 (left). The displacements are somewhat smaller than the rep-
resentative displacements in the urban railway tunnel. The meas-

- 320 -
ured tangential stresses are markedly higher in the roof than the
tangential stresses shown for in the shotcrete membrane of the ur-
ban railway tunnel.
Fig. 6.23: Comparison of the measured displacements and tangen-

tial stresses in the runway area with the corre-
sponding values computed with and without considera-
tion of the water pressure

- 321 -
The monitoring results obtained in the rescue adit can be back-

analyzed with the same parameters as the monitoring results in the
urban railway tunnel. In Fig. 6.24 the monitoring results are com-
pared with the values computed with and without consideration of
the water pressure. If the water pressure is taken into account,
the displacements as well as the tangential stresses agree well.
Fig. 6.24: Comparison of the measured displacements and tangen-

tial stresses in the rescue adit with the corre-
sponding values computed with and without considera-
tion of the water pressure

- 322 -
6.1.9 Conclusions
Stuttgart airport was to be undercrossed by a tunnel with low to

medium overburden. The water table is located above the tunnel
roof, and settlement-sensitive layers are locally encountered at
the ground surface. Because of the demands with respect to the ad-
missible subsidence, groundwater lowering had to be avoided during
tunneling. Accordingly, the shotcrete membrane had to be dimen-
sioned for the water pressure. It had to be further taken into ac-
count for the design of the shotcrete membrane that the Lias α, in
which the tunnel cross-section is located, shows increased hori-
zontal in-situ stresses and low strengths on the bedding parallel
discontinuities.
This task was solved by the following measures:
- Full-face excavation with a stepped tunnel face and an early

closing of the support ring,
- construction of a low-permeability shotcrete membrane with

high strength,
- specification of a circular profile which is statically favor-

able for the design of the shotcrete membrane,
- sealing of water-bearing discontinuities in the alternating

sequence of mudstone and lime-sandstone by advance grouting.
By these measures, the tunnel could be excavated with very small

subsidence of the ground surface. There was no interference with
air traffic at any time.
It further showed that the transient seepage flow analyses and

two- and three-dimensional stability analyses carried out in the
course of this project with the program systems HYDOPO and FEST03
(Wittke, 2000) represented an essential contribution towards the
support measures.

- 323 -
6.2 Freeway tunnel "Berg Bock" near Suhl, Germany
6.2.1 Introduction
In the course of the new freeway (Autobahn) A71 connecting Erfurt

and Schweinfurt (Kleffner, 2000), the "Berg Bock" freeway tunnel
was excavated between the exit Suhl/North and the intersection
Suhl (Fig. 6.25). The two tubes each 2700 m in length from north
to south pass through the Suhl granite, the base sediments and
porphyrite as well as, after passing the southern edge fault, the
layers of the Lower Triassic sandstone (Fig. 6.26).
Fig. 6.25: Tunnel Berg Bock, site plan
The two tunnel tubes were driven mainly by the full-face excava-
tion method within a construction time of approx. 10 month. With
four tunnel faces, maximum performances of approx. 30 m/d were at-
tained.
6.2.2 Structure
Two tunnel tubes, eastern tube and western tube each 2700 m in
length were constructed (Fig. 6.27). The spacing of axis of both
tubes ranges between approx. 23 m at the northern portal and ap-
prox. 30 m at the southern portal. Each tube comprises two traffic
lanes each 3.75 m wide and two emergency sidewalks (Fig. 6.28).
The excavated cross-section of the tunnel ranges between 80 m2 and
100 m2 (Fig. 6.28 and 6.29). The alignment dips continuously to-
wards the southern portal with 1.1 %. The maximum overburden
amounts to approx. 190 m (Fig. 6.26).

- 324 -
Fig. 6.26: Tunnel Berg Bock, geological longitudinal section

with analysis cross-sections

- 325 -
Fig. 6.27: Safety conception
Fig. 6.28: Tunnel cross-section with closed invert in weathered

rock mass, portal zones

- 326 -
Fig. 6.29: Tunnel cross-section with open invert in stable rock

mass
The safety conception is based on the German standard for the

equipment and the operation of road tunnels (RABT, 1994). This
standard was currently revised on the basis of the evaluation of
several fire accidents in tunnels happened in recent years. Thus,
additional, supplementary demands on the safety conception had to
be fulfilled at short notice in the final planning for the tunnel
Berg Bock (Schmidtmann and Erichsen, 2001).
The safety conception comprises nine connection tunnels between

the tubes at distances of ≤ 300 m (Fig. 6.27). The connection tun-
nels are equipped with emergency call niches and fire protection
locks. Three breakdown bays are furthermore situated in each tun-
nel tube with distances of ≤ 600 m. Three connection tunnels lo-
cated close to the breakdown bays are passable for rescue vehi-
cles. Besides that, emergency call niches and niches provided with

- 327 -
fire extinguishing devices are located in each tube at distances

of ≤ 150 m. Fire emergency lights are installed on one side of each
tube at distances of 24 m (Table 6.3).
Installation Distance Quantity

connection tunnels ≤ 300 m 9
breakdown bays ≤ 600 m 2 x 3
emergency call niches ≤ 150 m 2 x 19
hydrant niches ≤ 150 m 2 x 19
electrical niches approx. 180 m 2 x 14
niches for drainage flushing shafts 50 - 80 m 2 x 104
on both sides of the lanes
road sign displays approx. 300 m 2 x 9
jet fans approx. 300 m 2 x 9
fire emergency lighting 24 m 2 x 110
Table 6.3: Installations for operational safety
In the areas of the portals weathered rock of the Lower Triassic

sandstone and completely weathered granite, respectively, were en-
countered (Fig. 6.26). In these sections the tunnel tubes were
carried out with an approx. 11.6 m wide and approx. 9.9 m high
mouth-shaped cross-section with a closed invert and an excavated
cross-section of approx. 100 m². The thickness of the shotcrete
membrane (concrete grade B 25 corresponding to C 20/25) is 25 cm.
The interior lining (concrete grade B 35 corresponding to C 30/37)
is 40 cm thick (Fig. 6.28).
In the remaining sections, located in stable rock mass, a cross-

section of approx. 11.4 m width and approx. 8.4 m height with an
open invert and an excavated cross-section of approx. 80 m² was
carried out. The tunnel walls mainly were supported by fiber rein-
forced shotcrete with a concrete grade of B 45 corresponding to
C 35/45 and a thickness of t = 15 cm. Locally reinforced shotcrete
with a concrete grade of B 25 and a thickness of t = 25 cm was in-
stalled. The shotcrete membrane was carried out with radii of
R = 5.9 m, R = 4.3 m and R = 8.4 m. The 30 cm thick interior lin-
ing with a concrete grade of B 35 was founded on 50 cm high con-
crete shoulders with the same grade (Fig. 6.29).
Between the interior lining and the shotcrete membrane a non-woven

synthetic and as a sealing a 2 mm thick foil were installed (Fig.

- 328 -
6.28 and 6.29). In the tunnel sections with closed invert between
the interior lining and the shotcrete membrane a separation foil
was installed at the invert (Fig. 6.28). Thus, in this area be-
tween interior lining and shotcrete membrane no tensile and shear
forces can be transferred.
Both tubes were carried out as fully drained road tunnels. The
seepage water was drained off by two lateral drainage pipes in the
area of the lower sidewalls and the gradient of the tunnel of
1.1 % (Fig. 6.28 and 6.29). Flushing shafts for the washing of the
drainage ducts are provided at distances of 50 to 80 m on both
sides of the lanes.
Fig. 6.30 shows the northern portal of the Berg Bock tunnel.
Fig. 6.30: Tunnel Berg Bock, northern portal
The ground profile is shown in Fig. 6.26 in a geotechnical longi-

tudinal section. The ground conditions and the overburden height
are approximately the same for both tunnel tubes.

- 329 -
In the starting area at the northern portal, the granite is pre-

dominantly decomposed. The tunnel cross-section is alternatingly
located here in hard, mostly strongly jointed granite and in com-
pletely decomposed granite.
In the further course of the tunnel, unweathered, mostly very hard

granite was encountered. The rock is streaked with a multitude of
veins of different thickness. The rock mass is compact, with a
joint spacing of more than 1 m, to narrowly jointed, and in some
areas it is traversed by joints with large extent.
Fig. 6.31: View of the working face in the Lower Triassic sand-
stone

- 330 -
The granite is followed by the base sediments (sand-, mud- and

siltstone). In the area of the highest cover, the tunnel is lo-
cated in the porphyrite, which is predominantly hard to very hard
and slightly to narrowly jointed. After that, the tunnel crosses
the southern edge fault, which consists of water-bearing, strongly
decomposed and mylonized zones with a thickness of a few decime-
ters. In the last tunnel section, the tunnel is located in the
Lower Triassic sandstone (Fig. 6.26).
The layers of the Lower Triassic sandstone and the base sediments
consist of an alternating sequence of sandstone and mudstone. The
widely persistent bedding parallel discontinuities are mostly
horizontal in the Lower Triassic sandstone (Fig. 6.31) and pre-
dominantly steeply inclined in the base sediments. The joints nor-
mal to the bedding usually end at the bedding parallel discontinu-
ties.
The groundwater table is located up to 180 m above the tunnel

roof.
Heading in completely weathered granite
In the area of the northern portal (Fig. 6.26), the following sup-
porting measures were carried out:
- Preceding drainage borings,
- preceding pipe umbrella,
- crown heading with closed invert,
- tunnel face support core.
The round lengths ranged between 0.75 and 1.0 m. A heading per-
formance of approx. 1 m/d was achieved in the area of the com-
pletely weathered granite.

- 331 -
Heading in granite and porphyrite
Stable rock mass jointed to varying degrees was encountered in the

unweathered granite and porphyrite. The rock mass conditions al-
lowed a full-face blasting excavation of the tunnels in these ar-
eas (Fig. 6.32). Mainly excavation class A0 was applied with a
round length of up to 3.5 m (Fig. 6.33). In part, an even greater
round length was chosen during construction. By the use of steel
fiber shotcrete (t = 15 cm) with a fiber content of 40 kg/m3 for
the support of the excavation contour, the expenses for the sup-
port were kept low (Fig. 6.33). Anchors were installed as required
depending on the jointing.
Fig. 6.32: Loading of blastholes during the full-face excava-

tion in granite
With this optimized heading scheme, approx. 2 to 3 rounds could be

achieved per day and tunnel face. The heading performance thus
amounted to up to 10 m/d per tunnel face. For the 4 tunnel faces,
maximum performances of ≥ 30 m/d were reached.

- 332 -
Fig. 6.33: Excavation and support in granite and porphyrite,

excavation class A0 (full-face excavation)

- 333 -
Heading in Lower Triassic sandstone and base sediments
In these layers, a crown heading with closed invert and trailing

bench excavation was carried out. In order to support the tunnel
face and the working area against the dropping of so-called "cof-
fin lids", if the bedding was approximately horizontal, preceding
spiles were installed. In areas with the bedding dipping moder-
ately steeply towards the tunnel, a support core was left standing
to support the tunnel face.
A performance of approx. 4 to 5 m per day and tunnel face was

achieved with this heading technique.
Heading schedule
Both tunnel tubes were excavated within some 10 months each, cor-
responding to an average heading performance of approx. 9 m per
day and tube.
Fig. 6.34: Heading progress of the eastern tube

- 334 -
Fig. 6.34 shows exemplarily the heading progress over time for the
eastern tube (see Fig. 6.27). The western tube was excavated in
parallel with the eastern tube by so-called opposite heading. The
eastern tube was successfully cut through on January 19, 2001. The
cut-through of the western tube and thus the heading of the entire
tunnel was celebrated on February 2, 2001.
6.2.5 Stability analyses for the stages of construction and

design of the shotcrete support
To analyze the stability during construction and to design the

shotcrete support, two-dimensional FE-analyses were carried out
using the program system FEST03 (Wittke, 2000). A total of eight
analysis cross-sections shown in Fig. 6.26 (AC 1 to AC 6, AC 2a
and AC 6a) were investigated.
Fig. 6.35 shows exemplarily the FE-mesh, the boundary conditions,

the ground profile and the parameters for analysis cross-section
AC 2, which was used to analyze the stability of the tunnel tubes
in the granite. The overburden amounts to 130 m (see Fig. 6.26).
Due to symmetry, only one tunnel tube is modeled as a simplifica-

tion. The plane of symmetry lies at the center of the rock pillar
between the two tunnel tubes. Such a model is to be considered
conservative with respect to the loading of the shotcrete mem-
brane, because this way a simultaneous excavation of both tunnel
tubes is simulated.
The specified computation section consists of a 1 m thick slice

with a width of 75 m (x-direction). The height amounts to 157 m.
The FE-mesh consists of 2135 isoparametric elements with 13004
nodes. As boundary conditions, vertically sliding supports are in-
troduced for the nodes of the vertical boundary planes (x = 0 and
x = 75 m). For the nodes of the lower boundary plane (z = 0) hori-
zontally sliding supports are specified (Fig. 6.35). All nodes are
assumed fixed in y-direction.
The tunnel cross-section is entirely located in the granite. Below

the ground surface, two 11 m thick layers of decomposed granite
and slightly weathered granite, respectively, are simulated. The
assumed mechanical parameters for these layers are also given in
Fig. 6.35. The loading modulus of the unweathered granite was as-
sumed as EL = 15000 MN/m2. Underneath the tunnel's invert an un-

- 335 -
loading modulus was specified in the analyses which at 30,000 MN/m2

was twice as high as the loading modulus (Fig. 6.36).
Fig. 6.35: Analysis cross-section AC 2 (shotcrete support), FE-

mesh, boundary conditions, ground profile and pa-
rameters

- 336 -
Fig. 6.36: Analysis cross-section AC 2 (shotcrete support), FE-

mesh, detail
The orientations of the joints which are present in the granite

were not clearly determined. Thus randomly distributed joint ori-
entations were assumed. The rock mass therefore was modeled with

- 337 -
an isotropic strength with shear parameters of ϕJ = 45° and

cJ = 50 kN/m2 (Fig. 6.35).
Fig. 6.37: Analysis cross-section AC 2 (shotcrete support),

computation steps

- 338 -
Fig. 6.38: Analysis cross-section AC 2, principal normal

stresses and rock mass areas in which strength is
exceeded, 3rd computation step
For the shotcrete, a statically effective Young's modulus of

15000 MN/m2 was assumed taking into account the hardening during
the application of the load (Fig. 6.36).
In Fig. 6.37 the computation steps are outlined. In the 1st compu-
tation step, the state of stress and deformation resulting from

- 339 -
the dead weight of the ground is determined (primary state). In

computation steps 2 and 4, a preceding stress relief is each simu-
lated in those areas of the cross-section, of which the excavation
and the shotcrete support are simulated in computation steps 3 and
5, respectively. The stress relief factor according to (4.1) is
specified as av = 0.5.
Fig. 6.38 shows the principal normal stresses in the rock mass
around the excavation after the full-face excavation and the in-
stallation of the shotcrete support at the end of the 3rd computa-
tion step. The stress redistribution that occurred with the exca-
vation as well as the areas of exceeded strength can be recog-
nized. Although these areas extend around the entire circumference
of the excavation, a pronounced arching is apparent. Due to the
low deformability of the rock mass (E = 15000 MN/m2, see Fig.
6.35), the shotcrete membrane is only marginally loaded by the
rock mass and thus takes on a slightly stabilizing and assisting
function only.
In Fig. 6.39 the heading-induced displacements computed for the

full-face excavation are shown. The total computed roof subsidence
amounts to 3.3 mm (3rd – 1st computation step, Fig. 6.39a). In the
2nd computation step (preceding stress relief) the displacements
preceding the heading are determined. The shotcrete membrane is
therefore only loaded in the 3rd computation step. The displacement
of the excavation profile resulting from this loading (3rd – 2nd
computation step) is shown in Fig. 6.39b. Thus the computed dis-
placement of the shotcrete membrane amounts to 2.1 mm at the roof.
Fig. 6.39: Analysis cross-section AC 2, displacements due to

full-face excavation: a) 3rd – 1st computation step;
b) 3rd – 2nd computation step

- 340 -
Fig. 6.40 shows the stress resultants in the shotcrete membrane

for the 3rd computation step. An approximate membrane state of
stress is computed. The normal thrust is ranging between 400 and
1100 kN/m corresponds to only one tenth of the force resulting
from the overburden. This confirms that the shotcrete membrane is
only subjected to slight loading because of the high Young's
modulus of the rock mass and the arching effect. The dimensioning
yields that no reinforcement is statically required for the shot-
crete membrane.

the shotcrete membrane, 3rd computation step
The excavation of the shoulders (4th and 5th computation step) does
not lead to significant changes relative to the 3rd computation
step.
6.2.6 Stability analyses for the design of the interior lining
Investigated load cases and load combinations
Two-dimensional FE-analyses were carried out for the design of the

interior lining as well.
Fig. 6.41 shows exemplarily the FE-mesh, the boundary conditions

and the parameters specified for the design of the interior lining
for analysis cross-section AC 2 (see Fig. 6.26).
The computation section consists of a 1 m thick, 75 m wide and

162 m high slice subdivided into 2397 isoparametric elements with
14090 nodes.

- 341 -
Fig. 6.41: Analysis cross-section AC 2 (interior lining), FE-

mesh, boundary conditions and parameters

- 342 -
Fig. 6.42: Analysis cross-section AC 2 (interior lining),

FE-mesh, detail
Unlike the stability analysis for the design of the shotcrete sup-
port, the decomposed granite and weathered granite (see Fig. 6.35)
were not modeled here, since these layers are insignificant for

- 343 -
the loading of the interior lining. A loading modulus of

EL = 10000 MN/m2 was assumed for the unweathered granite (Fig.
6.41 and 6.42). This value was derived from a comparison of the
displacements measured during heading and the analysis results
("back-analysis", see Chapter 6.2.7).
The remaining parameters, the overburden and the specified bound-

ary conditions correspond to those of the stability analysis for
the design of the shotcrete support.
In Fig. 6.42, a detail of the FE-mesh is shown. The interior lin-

ing is modeled with a thickness of 30 cm , the shoulders with a
thickness of 50 cm. The seepage water drainage is not discretized.
For the design of the interior lining it is assumed that the shot-
crete will be decomposed in the course of time and lose its bear-
ing capacity. The assumed parameters for the decomposed shotcrete
are given in Fig. 6.42. Since the interior lining is only sub-
jected to significant loads after having reached its final
strength, the calculation value for Young's modulus of 34000 MN/m2
commonly used for concrete of grade B35 is assumed (DIN 1045,
1988).
The following load cases and load combinations, respectively, were

investigated for the design of the interior lining:
- Dead weight of the interior lining (DW)
- dead weight as before and rock mass pressure (DW + RP)
The seepage water is to be lowered to the invert's level by the

lateral seepage water drainages (see Fig. 6.28 and 6.29). Thus
there is not any water pressure acting on the interior lining, and
no seepage pressure is applied to the rock mass above and closely
beside the tunnel's cross-section. Such loadings are therefore not
accounted for in the stability analyses for the interior lining.
The computation steps of the stability analyses for the design of

the interior lining are shown in Fig. 6.43.
In the 1st computation step, the primary state in the undisturbed

rock mass is computed. A preceding stress relief is simulated in
the 2nd computation step with av = 0.5 according to (4.1).

- 344 -
Fig. 6.43: Analysis cross-section AC 2 (interior lining), com-

putation steps
The 3rd computation step includes the full-face excavation of the

cross-section and the simultaneous installation of the shotcrete
support, which carries the rock mass pressure with a Young's
modulus of 15000 MN/m2.

- 345 -
In the 4th computation step, the installation of the interior lin-

ing and thus load case DW is simulated. The shotcrete support is
still sustainable in this state and therefore able to continue to
carry the rock mass pressure. To account for the sealing between
the shotcrete membrane and the interior lining, no shear and ten-
sile forces can be transferred in computation steps 4 and 5. This
is simulated by insertion of a thin row of elements between the
shotcrete membrane and interior lining elements. This row of ele-
ments is assigned a stiffness of approx. zero in the 4th and 5th
computation step. The opposing nodes of this element row are
linked by truss elements (see Fig. 6.42), which can transfer com-
pressive forces, but not tensile forces or shear.
In the 5th computation step, the shotcrete is assumed decomposed.

As a result, the shotcrete membrane loses its bearing capacity and
the interior lining must carry the rock mass pressure in addition
to its dead weight.
The stress resultants of the interior lining due to dead weight

(4th computation step) are shown in Fig. 6.44. If a B35 concrete
grade, a lining thickness of 30 cm in the vault and 50 cm at the
shoulders, a cover of the reinforcement of d1 = 5.5 cm and safety
factors according to DIN 1045 (1988) are assumed, it follows that
circumferential reinforcement is not statically required. Due to
the small shear forces in load case DW also a shear reinforcement
is not needed.

the interior lining, load case DW (4th computation
step)
In the 5th computation step (load combination DW + RP) the shot-

crete membrane is assumed decomposed. Stress redistributions re-
sult for this computation step compared to the preceding one. The
ground carries a portion of the load previously supported by the

- 346 -
intact shotcrete. On the other hand, a portion of the rock mass

pressure carried by the shotcrete membrane before is taken on by
the interior lining. This is apparent from the increase of the
stress resultants from the 4th to the 5th computation step (Fig.
6.44 and 6.45). Particularly the normal thrust in the vault and
the shear force in the shoulders increase markedly as compared to
the 4th computation step.

the interior lining, load combination DW+RP (5th
computation step)
Vault
For the tunnel section, which is located in granite and porphy-

rite, the design of the interior lining yields that reinforcement
is not statically required (Fig. 6.46). The interior lining was
therefore constructed with plain concrete in this section. Only in
the area of the special cross-sections as the breakdown bays, the
cross-connections, the niches and the blockouts, a constructive
reinforcement was installed (Fig. 6.47).
In the portal zones, in the weathered rock mass, in the base sedi-
ments and in the Lower Triassic sandstone a reinforcement was
statically required, however.
In total, it was possible to construct the Berg Bock Tunnel over

approx. 50 % of its length with an interior lining made of plain
concrete.

- 347 -
Fig. 6.46: Analysis cross-section AC 2, statically required re-

inforcement of the interior lining.
Fig. 6.47: Not reinforced interior lining, reinforcement in the

area of a niche

- 348 -
Shoulders
For the shoulders, the load combination dead weight and rock mass
pressure results in a required shear reinforcement of 7.7 cm2/m2
for analysis cross-section AC 2 (Fig. 6.46). The proof of limita-
tion of crack width according to DIN 1045 (1988) leads to a re-
quired reinforcement for the shoulders of 12.88 cm2/m in both, lon-
gitudinal and transverse direction. This amount of reinforcement
is covered by top and bottom rebars Ø 10 mm spaced at s = 10 cm,
to be placed in longitudinal and transverse direction. To cover
the required shear reinforcement, steel fabric mats were bent to
stirrup cages (Fig. 6.48). The shoulders were reinforced over the
entire tunnel length.
Fig. 6.48: Analysis cross-section AC 2, reinforcement of the

shoulders
6.2.7 Monitoring
The heading of the Berg Bock Tunnel was accompanied by a geotech-
nical monitoring program.
In the longitudinal section of Fig. 6.49 the range of the roof
subsidence measured after the heading of the entire tunnel was
completed is exemplarily shown.

- 349 -
Fig. 6.49: Range of measured roof subsidence δR, longitudinal

section

- 350 -
The largest subsidence was measured in the portal areas with val-
ues between 10 and 50 mm. In those tunnel sections where the
cross-section is located in granite or porphyrite, a roof subsi-
dence between 2 and 5 mm was measured. In the base sediments and
in the Lower Triassic sandstone the roof subsidence ranges from 5
to 15 mm.
As an approximation, the measurements captured only those dis-

placements that occurred after the installation of the shotcrete
membrane. Therefore, the measurement results in the granite area
must be compared to the computed displacements shown in Fig. 6.39b
(3rd – 2nd computation step). A roof subsidence of approx. 2 mm was
computed. This analysis is based on a loading modulus of the un-
weathered granite of EL = 15000 MN/m2 (see Fig. 6.35). A compara-
tive analysis with EL = 10000 MN/m2 yields a roof subsidence of ap-
prox. 4 mm. It is thus possible to reproduce the roof subsidence
measured in the granite and the porphyrite well in the analyses
using a loading modulus of approx. 10000 MN/m2 (see Fig. 6.49).
This value was therefore taken as a basis for the stability analy-
ses of the interior lining.
6.2.8 Conclusions
The Berg Bock Tunnel is situated in granite and porphyrite over a

length of 2 × 2000 m corresponding to 75 % of its total length. In
these sections, the tunnel was headed by full-face excavation us-
ing the drill and blast method with comparatively great round
lengths and limited support measures.
Due to the low deformability and the high strength of the rock
mass, the ground was able to carry approx. 90 % of the overburden
load, and the means of support only had a slightly assisting func-
tion. On this basis it was possible to optimize the heading con-
ception and to excavate both tunnel tubes in a very short time.
With the construction of the interior lining using plain concrete
over approx. 50 % of the total tunnel length, the costs for the
interior lining could be kept low as well.
An important tool for the optimization of the heading and the

means of support were the FE-analyses. Their results were con-
firmed by the experience made and the monitoring during the exca-
vation.

- 351 -
7. Heading under the protection of jet grouting columns
7.1 Road tunnel for the federal highway B 9 in Bonn-Bad

Godesberg, Germany
7.1.1 Introduction
In the city of Bonn–Bad Godesberg, Germany, the federal highway B

9 was relocated into a tunnel over a length of approx. 1200 m
(Fig. 7.1). The tunnel undercrosses buildings as well as tracks of
the German Rail (Deutsche Bahn AG) and the city railway.
The tunnel cross-section is located in gravel sand. The groundwa-

ter table lies above the tunnel's invert. To guarantee the stabil-
ity and to limit the subsidence due to tunneling, the tunnel was
headed by the NATM under the protection of advancing jet grouting
columns (DIN EN 12716, 2001).
7.1.2 Structure
Two tunnel tubes with two lanes and a width of approx. 11 m each
were excavated over a length of approx. 1000 m (Fig. 7.1 and 7.2).
The overburden of the tunnel tubes amounts to approx. 6 to 8 m
(Fig. 7.2). Approximately in the middle of this section the tun-
nels undercross the ICE/IC (Intercity Express/Intercity) line Co-
logne-Koblenz of German Rail as well as a city railway tunnel. The
latter is located at the construction pit Moltke square (Fig.
7.1).
This tunnel section is followed by the construction pit Van-Groote

square (Fig. 7.1). In the approx. 200 m long tunnel section south
of the construction pit Van-Groote square the four lanes run
through a tunnel tube which is divided into three sections (Fig.
7.1b and 7.3). This tunnel tube has a total width of approx. 30 m
and an overburden of approx. 7 m (Fig. 7.3).
A mouth-shaped profile was selected for the cross-section of the

two two-lane tunnel tubes. Fig. 7.4 shows the geometry of the
11.2 m wide and 10.1 m high standard profile. The excavated cross-
section amounts to approx. 92 m². The shotcrete membrane is 25 cm
thick. The cross-section was excavated in two parts, as detailed
in Chapter 7.1.4. The temporary invert of the partial excavation

- 352 -
was rounded with R = 13.3 m and supported by a 20 cm thick shot-

crete membrane. The reinforced concrete interior lining was con-
structed 40 cm thick (Fig. 7.4).
Fig. 7.1: Road tunnel Bonn–Bad Godesberg: a) Site plan;

b) schematic representation of the structure

- 353 -
Fig. 7.2: Two-lane tunnel tubes, cross-section
Relatively large radii of curvature were selected for the shot-

crete support in the roof and sidewall areas with R = 4.726 m and
R = 6.426 m. As a consequence the loading of the shotcrete mem-
brane by bending moments and shear forces is small in these areas,
as shown below.
The transitions from the sidewalls to the temporary invert and the
permanent invert, respectively, were constructed with relatively
small radii (Fig. 7.4). This leads to bending moments and shear
forces in the shotcrete membrane in these areas. As shown below,
at a radius of 1.2 m supplementary reinforcement is required at

- 354 -
the transitions from the sidewalls to the temporary invert in ad-

dition to the planned reinforcement with inside and outside steel
fabric mats Q188. At the transitions from the sidewalls to the
permanent invert, however, no additional reinforcement is required
at a radius of 1.8 m (see Chapter 7.1.5).
Fig. 7.3: Tunnel tube divided into three sections, cross-

section
The invert was slightly rounded with a radius of curvature of

R = 15.4 m because of its loading by the water pressure (Fig.
7.4). A greater curvature would lead to a smaller amount of rein-
forcement in the interior lining, but also to additional excava-
tion and would therefore not be economical.

- 355 -
Fig. 7.4: Two-lane tunnel tube, standard profile
The tunnels were headed in the mostly sandy and gravelly soil lay-
ers of the gravel deposits of the lower terraces typical for the

- 356 -
Rhine valley in the area of Bonn. Below the tunnel invert silt
lenses are sporadically embedded in the sand and gravel layers
which will be termed gravel sand in the following (Fig. 7.5).
Fig. 7.5: Road tunnel Bonn-Bad Godesberg, longitudinal section

with ground profile
The gravel sand is covered by an up to 7 m thick silt layer ex-

tending to the ground surface. Below the gravel sand is the Devo-
nian base rock consisting of mudstone and sandstone layers (Fig.
7.5).
Fig. 7.6 shows the grading ranges of the encountered gravel sand
and the silt, together with the parameters derived from the sub-
soil exploration results.
The gravel sand has a high porosity and permeability. It consti-

tutes an aquifer connected to the Rhine river. The groundwater ta-
ble is therefore influenced by the water levels of the Rhine. On
average the groundwater is encountered approx. 3 m above the tun-
nel's invert (Fig. 7.5).

- 357 -
Fig. 7.6: Grain-size distribution of the soils and soil me-

chanical parameters
7.1.4 Design and construction
The sequence of excavation and the support measures for the head-
ing of the two two-lane tunnels are shown in Fig. 7.7 and 7.8 in
cross- and longitudinal section.
First the part of the tunnel cross-section located above the

groundwater table was excavated. For statical reasons the tempo-
rary invert was rounded and supported by shotcrete (c in Fig.
7.7). Regularly spaced gravity wells were drilled from the tempo-
rary invert. With these wells, the groundwater table was lowered
to the final tunnel invert (d in Fig. 7.7). Protected by this
groundwater drawdown the tunnels were excavated in stages down to
the invert and supported (e in Fig. 7.7).

- 358 -
Fig. 7.7: Heading of the two-lane tunnels, excavation and sup-

port, cross-section
The partial excavation above the groundwater table was subdivided

into crown, bench and invert and carried out with a stepped tunnel
face. The round lengths of the partial excavations amounted to 1 m
each. To limit the subsidence the temporary invert was closed 6 to
8 m behind the roof excavation. This lead to an inclination of the
tunnel face of 60° (Fig. 7.8). Because the tunnel face inclination

- 359 -
exceeds the angle of friction of the gravel sand (see Fig. 7.6),
the tunnel face was not stable if the apparent cohesion was not
taken into account. Since the latter quickly vanishes with the
soil drying up, only small sections could be excavated in one
step. These sections were immediately sealed with reinforced shot-
crete.

port, longitudinal section
The excavation contour was supported using reinforced shotcrete

and steel sets (Fig. 7.7 to 7.9).
As already mentioned, the tunnel tubes were excavated under the

protection of advancing jet grouting columns forming a jet grout-
ing vault (Fig. 7.7 and 7.8). This jet grouting vault transfers
loads in transverse and longitudinal tunnel directions (Fig.
7.10). Thus the green shotcrete close to the tunnel face as well
as the tunnel face area were less strongly loaded. Furthermore,
with the jet grouting columns, the subsidence is limited, col-

- 360 -
lapses are avoided, and the safety of the tunneling staff is thus
ensured as well.
Fig. 7.9: View of the temporary tunnel face
The jet grouting columns are approximately horizontal, 15 m long

and have a design diameter of 63 cm. Two successive jet grouting
vaults overlap by 3 m (Fig. 7.8 and 7.11).

- 361 -
Fig. 7.10: Load transfer by the jet grouting vault and the
shotcrete membrane: a) Cross-section; b) longitudi-
nal section

- 362 -

port, plan view (section I-I, see Fig. 7.8)
In order to comply with the tunnel clearance, the jet grouting

columns were not constructed horizontally but rather at a slight
outward slant (Fig. 7.8 and 7.11). The excavation had thus to be
widened in a trumpet-shaped way (Fig. 7.8, 7.11 and 7.12).
An additional stabilization of the tunnel face was achieved by the

support core shown in Fig. 7.11 and 7.12. Beside and above this
support core was enough space for the jet grout drill carriage
(Fig. 7.11 and 7.13). The tunnel face was supported in sections
using reinforced shotcrete (Fig. 7.8 and 7.11).
The jet grouting columns were constructed by the single-phase

method (DIN EN 12716, 2001), according to which in a borehole ce-
ment based suspension is injected under high pressure (approx.
500 bar) into the soil via a rod and a nozzle at its end.

- 363 -
Fig. 7.12: Tunnel face with support core and niche for the con-
struction of the jet grouting columns
Fig. 7.13: Jet grout drill carriage in operation

- 364 -
The nozzle rotates with the rod which is slowly pulled out of the
borehole. In this way a column develops due to the mixing of the
suspension with the ground. After hardening of the cement, this
column possesses a high strength in comparison with the undis-
turbed soil. The surplus mixture of suspension and soil exits as
backflow through the annular gap between borehole and rod. Fig.
7.13 shows the jet grout drill carriage in operation.
To optimize the production parameters six test columns were con-

structed and dug out. Column diameters ranging from 60 to 90 cm
were obtained. The production parameters are listed in Table 7.1.
The parameters in the lines marked with arrows in Table 7.1 were
selected for the construction of the jet grouting columns. Column
diameters between 60 and 70 cm were achieved with these parameters
(Wittke et. al, 2000).
Retracting Injection Water/ Cement Column

rate pressure cement ratio quantity diameter
[cm/min] [bar] [-] [kg/m] [cm]
Î 30 500 1.05 251 60 – 70
" " 1.0 260 "
Î 27 500 1.05 283 60 – 70
24 " " 313 "
" " 1.0 325 "
20 " " 510 80 - 90
Î Parameters selected for the construction of the jet grouting
columns
Table 7.1: Production parameters of six test columns
A comparatively small unconfined compressive strength of

σD = 0.75 MN/m2 was demanded for the jet grouting columns and ac-
counted for in the stability analyses (see Chapter 7.1.5). This
strength was achieved already after a short time and the idle time
causing high cost and long construction times could be minimized.
Fig. 7.14 shows the unconfined compressive strength measured on

drill cores taken and on samples from the backflow as a function
of the sample age (Wittke et al., 2000). The diagram also includes
the unconfined compressive strength determined on drill cores and
backflow samples of jet grouting columns constructed during the
heading of the city railway tunnel "Killesberg-Messe" in Stuttgart

- 365 -
(see Chapter 7.2). According to this diagram, values of

σD = 0.75 MN/m2 are achieved already after one day.
Fig. 7.14: Unconfined compressive strength measured on backflow

samples and drill cores versus sample age
The construction of the jet grouting columns included comprehen-

sive quality management measures. The success of these measures
became apparent during the excavation. No defects were found in
the jet grouting vaults.
To determine the influence of the vibrations due to tunneling as

well as railway and road traffic on the stability of the tunnel
face, the vibration velocity was measured during tunneling. The
occurring vibrations turned out to be small. As an optional posi-
tion it was planned to additionally stabilize the tunnel face us-

- 366 -
ing jet grouting columns (Fig. 7.15). To reduce the strength a

portion of the cement in the suspension would have been replaced
with bentonite to facilitate the later demolition of these col-
umns. The construction of tunnel face columns did not become nec-
essary, however.
Fig. 7.15: Stabilization of the tunnel face using jet grouting

columns (not carried out)
In the area where the tunnel tube is divided into three sections,
the side tubes were excavated first under the protection of jet
grouting columns and supported. The central tube was only exca-
vated after the interior lining had been installed in both side
tubes. A crown excavation with trailing bench and invert was car-
ried out here. The shotcrete membrane of the central tube hereby
is supported by the interior linings of both side tubes (Fig.
7.16).

- 367 -
Fig. 7.16: Excavation sequence/construction stages for the tun-

nel tube divided into three sections

support
To design the shotcrete support two- and three-dimensional FE-

analyses were carried out with the program system FEST03 (Wittke,
2000). Fig. 7.17 shows the location of the 10 analysis cross-
sections (AC 1 to AC 10) in the geological cross-section which are
investigated in the design analyses.
Fig. 7.18 shows exemplarily the computation section, the FE-mesh,

the boundary conditions, the ground profile and the parameters for
a three-dimensional analysis.

- 368 -
Fig. 7.17: Location of the 10 analysis cross-sections
In the following the results of a two-dimensional analysis for

analysis cross-section 2 are presented. Analysis cross-section 2
is located in the section of the two two-lane tunnel tubes (see
Fig. 7.17).
conditions, the ground profile and the parameters this analysis
was based upon. The computation section consists of a 25 m wide,
30.5 m high and 1 m thick slice of the ground. The FE-mesh was
subdivided into 669 three-dimensional isoparametric elements with
a total of 797 nodes.

- 369 -
Fig. 7.18: Three-dimensional computation section, FE-mesh,

boundary conditions, ground profile and parameters
For the nodes on the lower boundary (z = 0), horizontally sliding

supports were assumed as boundary conditions. Vertically sliding
supports were introduced for the nodes located on the vertical
lateral boundary planes (x = 0 and x = 25 m) (Fig. 7.19). All
nodes were assumed fixed in y-direction. The loading due to build-

- 370 -
ings that acts on the analysis cross-section was represented by a

surface load (p = 60 kN/m2).
Fig. 7.19: Analysis cross-section 2, FE-mesh, boundary condi-

tions, ground profile and parameters for two-
dimensional analyses

- 371 -
In the stability analyses for analysis cross-section 2 the heading

of only one tunnel tube was investigated. Because the distance of
the two tunnel tubes amounts to more than one tunnel diameter in
this area, the two tubes influence each other only to a small de-
gree. Since symmetry exists with respect to the tunnel axes, the
ground profile and the cross-sectional shape of the tunnel tubes,
only one half of a tunnel tube was modeled. The vertical section
through the tunnel axis constitutes the plane of symmetry (Fig.
7.19).
Fig. 7.20: Analysis cross-section 2, FE-mesh, detail

- 372 -
The shotcrete membrane with a thickness of d = 25 cm was modeled

by one element layer. Three element layers with a total thickness
of 60 cm were selected for the simulation of the jet grouting
vault (Fig. 7.20).
The parameters chosen for the undisturbed soil and the soil stabi-
lized with jet grouting columns were determined on the basis of
the exploration results by the parties concerned during technical
discussions. They are shown in Fig. 7.19.
The deformability and the strength of the soil stabilized by the

jet grouting columns develop with time (see Fig. 7.14). In agree-
ment with the parties concerned, values of E = 500 MN/m2, ϕ' = 35°
and c' = 200 kN/m2 were specified for Young's modulus and the shear
strength parameters of the jet grouting vault. These shear
strength parameters correspond to an unconfined compressive
strength of σD = 0.75 MN/m2. According to Fig. 7.14, these values
are attained after a few days already.
Young's modulus assumed for the shotcrete was varied in the sta-
bility analyses. In the following the computation sequence and the
results of an analysis are presented, in which a modulus of
E = 7500 MN/m2 was selected for the shotcrete (Fig. 7.19). This
relatively small value reflects the development of strength and
deformability and the creep properties of the shotcrete (see Chap-
ter 2.1). In the case presented here the shotcrete is loaded at a
very young age due to the early closing of the shotcrete support
approx. 6 to 8 m behind the crown excavation (see Fig. 7.8).
Fig. 7.21 shows the eight computation steps applied to simulate

the excavation and support of the tunnel. In the 1st computation
step, the state of stress and deformation resulting from the dead
weight of the soil and the loading due to buildings (in-situ
state) is determined. In the 2nd computation step the installation
of the jet grouting vault is simulated. A preceding stress relief
of the soil in the area of the crown excavation is modeled in the
3rd computation step (Wittke, 2000). The reduced Young's modulus of
the gravel sand of Ered = 45 MN/m2 corresponds to a stress relief
factor of aV = 0.6 according to (4.1). The 4th computation step
represents the crown excavation and its support using shotcrete.
In the 5th and 6th computation steps, the preceding stress relief of
the soil in the area of the bench excavation as well as the bench
excavation with temporary invert support using shotcrete are simu-
lated.

- 373 -
Fig. 7.21: Analysis cross-section 2, computation steps
After the preceding stress relief of the soil in the area of the
invert excavation in the 7th computation step, the drawdown of the

- 374 -
groundwater table to the invert level and the excavation and shot-
crete support of the invert are simulated in the 8th computation
step.
In Fig. 7.22 the nodal displacements computed for the 8th computa-
tion step related to the in-situ state (1st computation step) are
shown in horizontal sections above the tunnel roof. The subsidence
of the ground surface above the tunnel roof amounts to 33 mm.
Fig. 7.22: Analysis cross-section 2, displacements, 8th – 1st

computation step

- 375 -
Fig. 7.23: Analysis cross-section 2, bending moments in the

shotcrete membrane: a) 6th computation step; b) 8th
computation step
Fig. 7.24: Analysis cross-section 2, statically required out-

side reinforcement of the shotcrete membrane: a) 6th
computation step; b) 8th computation step

- 376 -
Fig. 7.25: Design of the support in the area of the bench's

foot

- 377 -
Fig. 7.23 shows a comparison of the bending moments in the shot-

crete lining computed for the 6th and the 8th computation step. Due
to the small radius of curvature of R = 1.2 m in the area of the
connection of the temporary invert to the sidewalls (see Fig.
7.4), comparatively large bending moments occur at this location
in the 6th computation step as previously mentioned (Fig. 7.23a).
In addition to the planned steel fabric mats Q188 supplementary
outside reinforcement becomes necessary in this area (Fig. 7.24a).
In the 8th computation step the radius amounts to R = 1.8 m in the
area of the connection of the permanent invert to the sidewalls
(see Fig. 7.4). Smaller bending moments are computed for this step
(Fig. 7.23 a and b). They can be carried by the shotcrete membrane
without any reinforcement for an assumed safety factor of 1.35
(Fig. 7.24b).
Fig. 7.25 shows the design of the support in the area of the
bench's foot.
7.1.6 Monitoring
The subsidence due to the heading was measured by leveling using a

closely spaced raster of measurement cross-sections. In addition,
subsidence and convergency measurements were carried out in the
tunnel tubes.
Fig. 7.26 shows the maximum values of the ground surface subsi-
dence measured during the heading between the two construction
pits Moltke square and Van-Groote square. The largest subsidence
of approx. 6.5 cm occurred close to the construction pit Moltke
square in an area where the tunnel tubes were headed by sidewall
adit excavation without jet grouting columns. In the other areas
the maximum subsidence of the ground surface ranged between ap-
prox. 15 mm and approx. 45 mm (Fig. 7.26). The maximum ground sur-
face subsidence of 33 mm computed for analysis cross-section 2 is
in good agreement with the measured values (see Fig. 7.22 and
7.26).
7.1.7 Conclusions
With the relocation of the federal highway B 9 in Bonn-Bad Godes-

berg into a tunnel the whole tunnel cross-section was located in
cohesionless gravel sand. Buildings and railway facilities had to
be undercrossed with little overburden. Therefore, the subsidence

- 378 -
of the ground surface due to the heading had to be limited to

small values.
Fig. 7.26: Maximum values of the measured ground surface subsi-

dence, longitudinal section between the two con-
struction pits Moltke square and Van-Groote square
The tunnel was excavated by the NATM under the protection of ad-
vancing jet grouting columns. With this measure a part of the
overburden load could be transferred in lateral and longitudinal
tunnel direction (see Fig. 7.10). Thus the green shotcrete in the
tunnel face area and the tunnel face itself was less strongly
loaded. Furthermore, with the jet grouting columns, the subsidence
was limited, collapses were avoided, and the safety of the tunnel-
ing staff was thus ensured as well. The tunnel was excavated with
a steeply inclined stepped tunnel face, short round lengths and a
fast closing of the invert support (see Fig. 7.8). To guarantee
the stability of the tunnel face, an immediate tunnel face support
in sections using reinforced shotcrete was necessary.

- 379 -
With these measures, a stable excavation of the tunnel was feasi-

ble, and the subsidence of the ground surface could be limited to
2 to 4 cm (see Fig. 7.26). No damage occurred on buildings or
railway facilities.
The FE stability analyses carried out for this project represented

an essential contribution towards the design, the statics and the
design of the excavation and support measures.
7.2 City railway tunnel "Killesberg-Messe" in Stuttgart,

Germany
7.2.1 Introduction
Between July 1990 and April 1991 the "Killesberg-Messe" city rail-
way tunnel was constructed in Stuttgart, Germany. A 64 m long sec-
tion of the tunnel alignment is located immediately adjacent to
the State Academy of Art and Design (Academy of Art, Fig. 7.27 and
7.28). In addition, the tunnel was driven through a quarry fill in
this area. To keep the subsidence due to tunneling small, the tun-
nel was headed in this section under the protection of an advance
support constructed by jet grouting columns (EN 12716, 2001).
Fig. 7.27: Killesberg-Messe city railway tunnel, site plan

- 380 -
Fig. 7.28: Killesberg-Messe city railway tunnel, longitudinal

section with ground profile, excavation and support
measures
7.2.2 Structure
With the "Killesberg-Messe" city railway line in Stuttgart, the

so-called Trade Fair Line, a fast and convenient rail transit con-
nection was constructed between the central junction Stuttgart
Central Station and the Killesberg heights with the hill park.
Over a length of approx. 360 m up to the Killesberg-Messe station
the city railway line runs in a tunnel (Fig. 7.27). The overburden
of the tunnel first rises to approx. 16 m, then decreases and
amounts to approx. 6 m at the beginning of the underground Killes-
berg-Messe station (Fig. 7.28).
From km 0+500 to km 0+710 the double-track standard profile was

excavated. With a width of approx. 10.5 m, the excavated cross-
section amounts to approx. 70 m² in this section. In the further
course up to the Killesberg-Messe station the tunnel widens to a
width of approx. 17.8 m. The excavated cross-section at the begin-
ning of the station amounts to approx. 174 m2 (Fig. 7.27 to 7.29).

- 381 -
Fig. 7.29: Enlarged cross-section at the beginning of the Kil-

lesberg-Messe station (km 0+860)
A mouth-shaped profile was selected for the tunnel cross-section.

The geometry of the enlarged cross-section at the beginning of the
Killesberg-Messe station (largest cross-section) is shown in Fig.
7.29. The shotcrete membrane has a thickness of t = 35 cm, the in-
side sidewalls of the two sidewall adits had a 25 cm thick shot-
crete membrane. If required the shotcrete membrane of the sidewall
adits was planned to be closed at the invert with t = 20 cm. The
interior lining was constructed 80 cm thick with watertight con-
crete of grade B35.
In the roof and sidewall areas of the largest cross-section radii

of curvature of R = 9.8 m and R = 5.4 m, respectively, were se-
lected for the shotcrete support. The transitions from the side-
walls to the invert were constructed with the comparatively small

- 382 -
radii R = 3.8 m and R = 1.9 m. Because of the water pressure load-

ing of the interior lining the invert was slightly rounded with a
radius of curvature of R = 15.8 m (Fig. 7.29).
The plateau of the Killesberg heights is formed by the Schilfsand-

stone, which was mined in numerous quarries in the past. These
quarries were later closed and backfilled 80 to 90 years ago with
quarry fill (Fig. 7.30). Below the Schilfsandstone the layers of
the Gypsum Keuper are encountered (Fig. 7.28).
At the portal (km 0+500) the city railway tunnel cuts into talus
material and the upper layers of the Gypsum Keuper (Estherien lay-
ers). Starting at km 0+650 the Schilfsandstone enters into the
tunnel profile from the roof. From km 0+700 to the end of the tun-
nel at km 0+860 the roof and the upper part of the sidewalls are
located in the quarry fill. The lower part of the sidewalls and
the tunnel invert cut into the Schilfsandstone. The boundary to
the Gypsum Keuper is located in this area at the level of the tun-
nel invert or slightly below (Fig. 7.28).
The ground conditions were mainly derived from the results of core
drillings. In addition, test pits were excavated and dynamic prob-
ing were carried out. The evaluation of old aerial photographs and
seismic measurements served to localize the quarry edges. In front
of the Academy of Art a test shaft 4 m in diameter was sunk. Here
samples for soil mechanical laboratory tests were taken and plate
loading tests were carried out to determine the deformability.
The quarry fill is very heterogeneously composed. It consists of

sandstone blocks of different sizes with edges up to 80 cm long.
Partly the pieces of rock lie in a sandy silt matrix, partly they
constitute a pure sandstone deposit without any filling material
(Fig. 7.30). According to the geological report the porosity
ranges between 3 and 35 %. By means of density measurements on
large-scale samples a content of 10 % of large voids or cavities,
respectively, was estimated. The grain size distributions deter-
mined for five samples are shown in Fig. 7.31. According to this,
the fill consists of smoothly graded gravel/sand (GW), gravel/silt
(GU) and sand/silt mixtures (SU).

- 383 -
Fig. 7.30: Quarry fill
Fig. 7.31: Grain size distribution of samples from the quarry

fill
The undisturbed Schilfsandstone consists mostly of hard sandstones

with clay flasers and a marked horizontal bedding. The banks are

- 384 -
between 10 and 50 cm thick. The sandstone is mostly vertically

jointed with a medium to wide joint spacing.
The Gypsum Keuper layers in the tunnel invert area belong to the
White and Grey Estherien layers. Anhydrite or gypsum deposits were
not encountered in the course of the ground exploration down to
approx. one tunnel diameter below the invert. Swelling phenomena
due to the tunneling were therefore not to be expected in the
ground. No leaching cavities were drilled into either in the area
specified above.
The soil and rock mechanical parameters of the different ground

layers determined or estimated from the exploration results are
listed in Table 7.2.
Young's Pois- unit intact rock discontinuity sets

modulus son's - weight bedding jointing
ϕ c
layer E ratio γ cB cJ
2
[°] [kN/m2] ϕB ϕJ
3
[MN/m ] ν [kN/m ] [°] [kN/m ] [°] [kN/m2]
2
talus
7 0,40 21,5 25 25 - - - -
material
quarry
6 0,25 19 30 0 - - - -
fill
Schilf-
2000 0,20 25 40 3000 40 30 40 0
sandstone
Gypsum
100 0,33 23 30 50 30 20 30 20
Keuper
Table 7.2: Soil and rock mechanical parameters
Five core drillings were equipped as observation wells. The meas-

ured water levels show that the ground water table lies approxi-
mately on the level of the quarry base and thus above the tunnel's
invert. The boundary between the permeable Schilfsandstone and the
Gypsum Keuper with its low permeability forms a preferred ground-
water horizon. Above the quarry edge seepage water has accumu-
lated. An amount of 1 l/s of water was pumped out of the test
shaft mentioned above over a period of several days.

- 385 -
Between km 0+556 and km 0+808 the city railway tunnel was driven
as a crown heading with trailing bench and invert excavation (Fig.
7.32a).
Fig. 7.32: Excavation and support: a) Crown heading, cross-

section; b) crown heading, longitudinal section;
c) sidewall adit heading, cross-section

- 386 -
Crown and bench were excavated with a stepped tunnel face and a
support core in the crown area and with round lengths of 2.4 to
3.3 m. To ensure the stability of the temporary tunnel face, it
was supported in sections with reinforced shotcrete. The invert
was excavated 11 to 15 m behind the bench. The distance between
the crown face and the closing of the support at the invert
amounted to between 16 and 22 m, depending on the ground condi-
tions encountered (Fig. 7.32b).
Because of the large cross-section at the end of the widening seg-

ment the tunnel was driven in the further course up to Killesberg-
Messe station (km 0+808 to 0+860) by sidewall adit excavation
(Fig. 7.28, 7.29 and 7.32c). The excavation profile was supported
with reinforced shotcrete, steel sets and a systematic anchoring
using SN-anchors, the length and spacing of which were determined
as required.
The foundations of the Academy of Art are located at close dis-

tance from the tunnel (Fig. 7.33a). In this section of the align-
ment the tunnel roof and the upper sidewalls are located in the
quarry fill. Because of the high deformability and low strength of
the fill, the close distance of the foundations of the main build-
ing of the Academy of Art to the tunnel and the large tunnel
cross-section, it was feared that tunneling-induced subsidence
would lead to damages to the main building of the Academy of Art.
To limit the subsidence, the tunnel was excavated in the area of

the quarry fill under the protection of an advance support by jet
grouting columns. To this end, from km 0+710 to km 0+785 seven jet
grouting vaults were constructed in sections by the single phase
method described in Chapter 7.1 (Fig. 7.33b). The jet grouting
columns were constructed with a length of 11.0 to 12.75 m, meas-
ured from the tunnel face. At the end of each excavation section
the columns extended 3 m beyond the tunnel face. With 1 m of non-
grouted borehole length, this results in an overlap of the columns
of 2 m (Fig. 7.34b).
The drillings were directed with a 6 degree outward slant with re-
spect to the tunnel axis. Thus, at the end of the enlarged excava-
tion section there was enough clearance to construct the columns
for the following section (Fig. 7.34b).

- 387 -
Fig. 7.33: Advance support by jet grouting in the area of the

Academy of Art: a) Cross-section; b) longitudinal
section

- 388 -
Fig. 7.34: Advancing grouting of the quarry fill and jet grout-
ing columns: a) Cross-section; b) longitudinal sec-
tion
The nature of the ground in the area of the jet grouting columns
to be constructed required particular measures. To prevent the ce-

- 389 -
ment based suspension from seeping into large voids or cavities in

the quarry fill, and in order to ensure that the columns could be
constructed according to plan with respect to diameter, continu-
ity, strength and position, the quarry fill was grouted in advance
to fill existing cavities (Fig. 7.34).
To this end drillings 114 mm in diameter with air flushing were

sunk, equipped with PVC sleeve pipes and grouted with packers in
steps of 1 m from the bottom up with a cement-bentonite grout
(250 kg cement and 40 kg bentonite for 1000 l) which is stable
with respect to sedimentation (Table 7.3). The purpose of this was
to achieve a void-free matrix filling potential cavities in the
quarry fill which would not impede the construction of the jet
grouting columns and the tunnel excavation.
7 sections
Per section
64 m
Boreholes number 14 - 25 152
Drilling/sleeve pipe m 283 1950
Grouted volume m3 52 361
Cement t 14 99
Covered volume of soil m3 325 2280
Achieved grouting volume % 16 16
Table 7.3: Amount of grouting of the quarry fill
Water/cement (PZ 35 F) ratio of grout - 0,8

Pump pressure bar 400
Pump capacity l/min 95
Retracting rate m/min 0,41
Rotational speed min-1 20
Grout flow rate l/min 233
Cement quantity kg/m 205
Table 7.4: Operational parameters of the jet grouting
Only a few hours after the completion of the grouting of the

quarry fill the construction of the jet grouting columns started.
With a planned minimum diameter of the columns of 0.5 m, the
drillings were placed at a distance of 0.35 m to the tunnel con-
tour. To confine temporary decrease in strength in the soil lo-
cally, the columns were constructed first with a spacing of 1.4 m,

- 390 -
then halfway between two columns each, and finally in the gaps be-
tween two adjacent columns. This way a vault supported by the
Schilfsandstone was constructed made up of intersecting or, in the
area more widely fanned out, touching columns. The operational pa-
rameters of the jet grouting and the amount of work done are given
in Tables 7.4 and 7.5 (Beiche et al., 1991).
7 vaults
Per segment
64 m
Columns number 28 - 44 268
Drilling m 308 - 561 3280
Grout m3 103 723
Cement kg 91000 637000
Table 7.5: Amount of jet grouting work performed
Fig. 7.35: Special construction equipment SR 510

- 391 -
Fig. 7.14 shows the unconfined compressive strength measured on

backflow samples and drill cores as a function of the sample age
(Wittke et al., 2000).
The heading generally recommenced 12 to 15 hours after the comple-

tion of a jet grouting vault. At this time the columns were be-
tween 12 hours and 2 days old.
An essential technical requirement for advance support by jet

grouting is the ability to construct the single structural ele-
ments – the soil-concrete columns – in a self-contained continuous
operation. Suitable technical equipment must therefore above all
possess a feeding length at least equal to the length of a jet
grouting column.
For economic reasons it is important that the drill mount can be

quickly positioned as desired over the entire excavation profile.
Fig. 7.35 shows the construction equipment SR 510 used for the
Killesberg-Messe city railway tunnel in operation. The boreholes
for the grouting of the quarry fill were drilled with the same
equipment (Beiche et al., 1991).
Jet grouting vault 1 2 3 4 5 6 7
Borehole length 11,00 m 11,00 12,00 12,75 12,75 12,75 12,75

Heading
segment length
8,00 m 8,00 9,00 9,75 9,75 9,75 9,75
Days 10 20 30 40 50 60 70
Systematic advance filling

14 (s = 0,8 m) 20 22 23 24 24 25
Number of boreholes
Construction time
Number of columns 28 (s = 0,33 m) 34 38 40 42 42 44
Construction time
Heading
Table 7.6: Construction of the jet grouting vaults
The grouting of the quarry fill and the construction of the jet
grouting columns had to be worked into the heading scheme. Since
the columns could not be constructed in parallel with the heading,
the established heading operation in ten-days periods was gener-

- 392 -
ally changed over for the area with jet grouting columns to a con-
tinuous operation on demand for reasons of time (Beiche et al.,
1991).
The length of the heading section protected by jet grouting col-

umns was 64 m in total. This section was constructed in 68 days.
24 days thereof account for the advance grouting of the quarry
fill, 18.5 days for the construction of the columns and 25.5 days
for the heading (Table 7.6).
For the design of the shotcrete support and the interior lining
two-dimensional FE-analyses were carried out using the program
system FEST03 (Wittke, 2000). Eight analysis cross-sections were
investigated in total, differing with respect to
- the geometry of the tunnel cross-section,
- the ground conditions and overburden height,
- the construction stages and/or
- the support installations.
Two of these analysis cross-sections are located in the area of

the Academy of Art. In the following a stability analysis for the
analysis cross-section km 0+785 (see Fig. 7.27 and 7.28) is exem-
plarily presented (see Beiche et al., 1991).
conditions, the ground profile and the parameters for this analy-
sis cross-section.
The upper part of the tunnel cross-section lies in the quarry

fill. The edge of the former quarry is located approx. 2 m away
from the tunnel sidewall opposite to the Academy of Art. The lower
part of the tunnel's cross-section is situated in the Schilfsand-
stone. The boundary to the Gypsum Keuper is encountered approx.
1.2 m underneath the tunnel's invert (Fig. 7.36).

- 393 -
Fig. 7.36: Analysis cross-section km 0+785, FE-mesh, boundary

conditions, ground profile and parameters

- 394 -
The computation section consists of a 1 m thick, 40 m high and

66 m wide slice including the tunnel's cross-section as well as
the surrounding ground. It is divided into 934 isoparametric ele-
ments with a total of 2206 nodes. Vertically sliding supports are
selected as boundary conditions for the nodes on the vertical lat-
eral boundary planes (x = 0 and x = 66 m), while horizontally
sliding supports are chosen for the nodes on the lower boundary
plane (z = 0) (Fig. 7.36). All nodes are fixed in y-direction.
The loading resulting from the Academy of Art building to the

right of the tunnel is simulated by a surface load. The surface
load is applied to the corresponding nodes of the FE-mesh in the
form of point loads (Fig. 7.36).
The shotcrete membrane (t = 25 cm) is simulated by one row of ele-

ments, the interior lining (t = 50 cm) by three and the jet grout-
ing vault (t = 50 cm) by two element rows. The effect of a sepa-
rating non-woven material preventing the transfer of tensile and
shear stresses between shotcrete support and interior lining is
simulated by a thin row of elements with no stiffness assigned and
by radially arranged truss elements of high stiffness (pendulum
rods), which only allow the transfer of normal compressive
stresses (Fig. 7.37).
The soil and rock mechanical parameters of the different layers as

well as the parameters assigned to the shotcrete, the reinforced
concrete of the interior lining and the jet grouting vault are
given in Fig. 7.36.
It was not possible to carry out advance tests to determine the

mechanical parameters of the quarry fill improved by jet grouting.
These parameters therefore had to be estimated for the stability
analyses.
The deformability and the strength of the soil improved by jet

grouting develop with time (see Fig. 7.14). Since tunneling recom-
menced already approx. 15 hours after the completion of each jet
grouting vault, Young's modulus and the strength of the improved
soil are still low when the cross-section is excavated. Young's
modulus and the shear parameters of the jet grouting vault were
therefore assumed comparatively low and thus conservative in the
analyses with values of E = 500 MN/m2, ϕ = 35° and c = 100 kN/m2.
These shear parameters correspond to an unconfined compressive

- 395 -
strength of σu = 0.5 MN/m2. According to Fig. 7.14 this value is

reached after one day already.
Fig. 7.37: Analysis cross-section km 0+785, FE-mesh, detail

with shotcrete membrane and interior lining

- 396 -
A three-dimensional analysis was not considered necessary in this

case, since a three-dimensional arching cannot develop in the
quarry fill due to the low strength.
Although the jet grouting vault constructed in advance reaches

down to the quarry base and is thus supported by the Schilfsand-
stone, it cannot transfer any significant loading during crown ex-
cavation. The reason is that the time span between the construc-
tion of the jet grouting vault and the crown excavation is very
short. The vault has therefore only reached a small fraction of
its final strength at this stage. It is only after the bench exca-
vation that the shotcrete support reaches down to the Schilfsand-
stone and a setting process has taken place in the vault. Both
means of support are then ready to carry loads. It was therefore
determined that the crown heading must not be ahead of the bench
by more than twice of the lattice girder spacing (2.4 to 3.3 m)
(see Fig. 7.32b).
Fig. 7.38 shows the seven computation steps simulating the in-situ
state and the construction stages, which are the installation of
the jet grouting vault, crown, bench and invert excavation, in-
stallation of the interior lining and rise of the groundwater ta-
ble to roof level.
Fig. 7.39 to 7.41 show the analysis results for the 4th computation
step (crown and bench excavation).
Above the right half of the tunnel practically no arching develops

in the fill due to its low strength and large deformability. This
can be recognized in Fig. 7.39a from the fact that the major prin-
cipal normal stresses are almost vertically oriented.
Above the left half of the tunnel in the area of the vertical
quarry wall the major principal normal stress deviates from the
vertical. The vertical stresses are lower in the fill and higher
in the Schilfsandstone than the overburden weight. This result is
due to the different Young's moduli of the Schilfsandstone and the
fill. The quarry fill is thus "hung" on the edge already in the
stage before the tunnel excavation and the construction of the jet
grouting vault. This effect should be less pronounced in reality
than in the analysis, since the fill was placed in layers rather
than in one step as simulated in the analysis.

- 397 -
Fig. 7.38: Analysis cross-section km 0+785, computation steps

- 398 -
Fig. 7.39: Analysis cross-section km 0+785: a) Principal normal

stresses, 4th computation step; b) displacements, 4th
– 1st computation step
Fig. 7.40: Analysis cross-section km 0+785, 4th computation

step: a) Vertical stresses in horizontal sections;
b) horizontal stresses in vertical sections

- 399 -
The computed roof subsidence amounts to approx. 2.5 cm. Heave oc-
curs at the bench base (Fig. 7.39b).
An arch develops in the jet grouting vault above the crown. Due to
its bond with the shotcrete membrane the latter is strongly loaded
as well and stress concentrations result in the area of the bench
base. To illustrate the load transfer described above, the hori-
zontal and vertical stresses are shown in sections in Fig. 7.40.
Stress concentrations in vertical as well as in horizontal direc-
tion are apparent at the base of the bench and of the jet grouting
vault. The loading of the shotcrete membrane exceeds the one of
the jet grouting vault. This is due to Young's modulus of the
shotcrete being markedly higher than the one of the jet grouting
columns (see Fig. 7.36).
Fig. 7.41 shows the computed bending moments and normal thrust in
the shotcrete membrane. Large bending moments together with a com-
paratively small normal compressive thrust occur in the roof and
the lower sidewall areas.
Fig. 7.41: Analysis cross-section km 0+785, bending moments and

normal thrust in the shotcrete membrane, 4th compu-
tation step
These results change only slightly with the invert excavation and
the immediate closing of the support (5th computation step).
The design of the interior lining was based on the following load
cases:
- Dead weight of the interior lining,
- dead weight of the interior lining and rock mass pressure,

- 400 -
- dead weight of the interior lining, water pressure (groundwa-

ter table at roof level) and rock mass pressure,
- dead weight of the interior lining and water pressure (ground-

water table at roof level).
In the load cases with consideration of the rock mass pressure

(Fig. 7.38, 6th and 7th computation step) it is assumed that the jet
grouting columns and the shotcrete membrane are decomposed and are
thus not effective any more. The rock mass pressure generally
leads to a great normal compressive thrust in the interior lining
with favorable effects on the dimensioning for bending and normal
thrust.
In the load cases without rock mass pressure it is assumed that

the support effect of the jet grouting vault and the shotcrete
membrane remains intact. The surrounding rock mass and the shot-
crete membrane are assumed weightless. A bedding of the interior
lining is given, however, since for the shotcrete as well as for
the bedrock Young's moduli listed in Fig. 7.36 are effective. The
load case dead weight and water pressure is generally decisive for
the bending reinforcement of the interior lining at the invert and
the sidewalls.
The statically required cross sectional areas of reinforcement for

the interior lining range between 0 and 10.5 cm2/m.
7.2.6 Monitoring
To supplement and verify the results of the stability analyses,

the tunnel stability and the ground surface subsidence were moni-
tored by comprehensive measurements during construction.
One extensometer measuring cross-section each was positioned in

front of and behind the Academy of Art building. Surface measuring
points every 8 m on the tunnel alignment, bolts on the outside and
inside of the buildings and elevation measuring points on the
ceilings facing the tunnel completed the measuring points on and
above ground surface. In addition, convergency measuring cross-
sections were installed every 10 m in the tunnel, with roof bolts
in the middle between them.

- 401 -
Fig. 7.42 shows the subsidence of a selected surface measuring

point in the area of the 4th jet grouting vault as a function of
the heading location. It can be seen that the total subsidence of
approx. 30 mm can be divided into three parts. Approx. one third
of the subsidence is preceding subsidence caused by the approach-
ing heading. Another third occurs during the construction of the
jet grouting vault while the heading is stopped. At this stage,
the tunnel face is located 3 m away from the measuring point. The
last third of the subsidence occurs as a trailing impact after the
undercrossing of the measuring point (Beiche et al., 1991).
Fig. 7.42: Subsidence of surface measuring point 111 vs. head-

ing location
In Fig. 7.43 measured and computed subsidences in the area of the

Academy of Art are compared. In the FE-analysis subsidences in the
order of up to 5 mm were computed for the area of the Academy of
Art. An expert's report on the Academy's actual state and sensi-
tivity to settlements lead to the result that subsidences of this
magnitude would not cause any damages. The computed subsidence was
confirmed by the monitoring results. A subsidence trough from the
front to the back side of the building was hardly recognizable.
The subsidences measured in the tunnel and on the ground surface

- 402 -
above the tunnel could be reproduced by the FE-analysis as well

(Fig. 7.43, Beiche et al., 1991).
Fig. 7.43: Comparison of measured and computed subsidence in

the area of the Academy of Art
7.2.7 Conclusions
The Killesberg-Messe city railway tunnel crosses partly through a

quarry fill. In this area the tunnel alignment is located immedi-
ately adjacent to the Academy of Art, which is founded on the
quarry fill and sensitive to settlements. To limit the heading-
induced subsidence, the tunnel was driven in this area under the
protection of an advance support, constructed by the jet grouting
method. To do this it was necessary to fill the large voids and
cavities existing in the quarry fill in advance by cement grout-
ing. This way during jet grouting the cement based suspension was
prevented from seeping into the cavities.
The tunnel was driven by crown heading with trailing bench and in-
vert excavation. It was constructed with a steep tunnel face,
short round lengths and a fast invert support closing (see Fig.

- 403 -
7.32b). To guarantee its stability, the temporary tunnel face was

supported in sections using reinforced shotcrete.
With these measures it was possible to limit the tunneling-induced

subsidence at the Academy of Art building to a maximum of 4 mm
(see Fig. 7.43).
The FE-analyses carried out have been an important tool for the
support measures. The comparison of the FE-analysis results with
the measured displacements in the ground showed good agreement
(see Fig. 7.43).

- 404 -
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PUBLICATIONS

Geotechnical Engineering in Research and Practice

Edited by Prof. Dr.-Ing. W. Wittke

Consulting Engineers for Foundation

New Austrian Tunneling

Walter Wittke, Berndt Pierau, Claus Erichsen

translated into English by:

> Means of support

> Geotechnical mapping and monitoring

> Case Histories:

‚ Crown heading with open invert

‚ Crown heading with closed invert

‚ Sidewall adit heading

‚ Heading under the protection of pipe umbrellas

‚ Heading under the protection of jet grouting columns

WBI-PRINT 5 WBI GmbH, Henricistr. 50, 52072 Aachen, Germany www.wbionline.de

Within the series "WBI-PRINT, geotechnical engineering in research

The present volume WBI-PRINT 5 "New Austrian Tunneling Method sta-

Analyses according to the finite element method have proved to be

WBI-PRINT 5 has been previously published 2002 in German as a pa-

The next volume in the series WBI-Print is dedicated to the mecha-

I adress my special thanks to my two co-authors and directors at

Aachen, December 2006

WBI-PRINT 5 WBI GmbH, Henricistr. 50, 52072 Aachen, Germany www.wbionline.de

2. Elements of the NATM 4

2.1.1 Components and composition 4

2.1.2 Spraying methods 7

2.1.3 Early strength 11

2.1.4 Final strength 14

2.2 Steel sets 17

2.2.1 Basic types 17

2.2.2 Load-carrying behavior 28

2.3.1 Basic types 30

2.3.2 Load-carrying behavior 36

2.4 Advance support 37

2.4.2 Pipe umbrellas 40

2.5 Geotechnical mapping and monitoring 48

3. Crown heading with open invert 67

3.1 Glockenberg Tunnel near Koblenz, Germany 67

WBI-PRINT 5 WBI GmbH, Henricistr. 50, 52072 Aachen, Germany www.wbionline.de

3.1.3 Ground and groundwater conditions 71

3.1.4 Excavation classes 73

3.1.5 Stability analyses 76

3.1.6 Crown heading and monitoring results 90

3.2 Gäubahn Tunnel in Stuttgart, Germany 94

3.2.3 Ground and groundwater conditions 98

3.2.4 Excavation classes 99

3.2.5 Stability analyses for the design of the

3.2.6 Crown heading and monitoring results 108

3.2.7 Conclusions 110

3.3 Hellenberg Tunnel, Germany 111

3.3.1 Introduction 111

3.3.2 Structure 111

3.3.3 Ground and groundwater conditions 114

3.3.4 Excavation classes 116

3.3.5 Crown heading 119

3.3.6 Results of the crown face mapping 121

3.3.7 Stability analyses for the bench

3.3.8 Construction and monitoring results 127

WBI-PRINT 5 WBI GmbH, Henricistr. 50, 52072 Aachen, Germany www.wbionline.de

3.3.9 Conclusions 130

4. Crown heading with closed invert 131

4.1 Österfeld Tunnel in Stuttgart, Germany 131