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Consequences of tunneling by the New Austrian Tunneling Method (NATM) in

urban areas on ground surface

Presentation · December 2018

DOI: 10.13140/RG.2.2.18794.57285

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 People’s Democratic Republic of Algeria

Ministry of Higher Education and Scientific Research

University of Sciences and Technology Houari Boumediene

Faculty of Civil Engineering

Domain Sciences and Technology

Department of Hydraulic and Geotechnical Engineering

Field of Study: Public Works

Specialty: Civil Engineering Structures

Project Theme
Consequences of tunneling by the New Austrian Tunneling Method
(NATM) in urban areas on ground surface

Proposed by: Pr AKCHICHE.M

Submitted by: MASOSONORE MUNASHE CLIFFORD
DJEMAI HANANE

University Year 2018/2019

ABSTRACT
The construction of subway and roadway tunnels in big cities around the world has increased in
recent years. Tunnels are often designed and built to be close to the surface for the sake of
convenience, and in large cities they play an essential role as a transportation network throughout
a city. However, the construction of tunnels very close to the surface can in reality can have
unfavorable effects on existing structures or buildings located in the area. Some of the
undesirable effects caused by tunneling especially in soft ground or densely constructed urban
centers are the exceeding ground surface settlements which may lead to damage or collapse of
structures. Therefore the estimation and reduction of ground surface movement is of concern to
engineers, and has to be evaluated in greater detail prior the actual tunnel construction.
This project will discuss the consequences of ground surface settlements of tunneling by the New
Austrian Tunneling Method (NATM) in urban areas and the settlement control measures that can
be used to limit ground surface settlement. Methods of analysis of ground surface settlement
used can be divided into 3 groups; empirical methods, analytical methods and numerical
methods. The most conservative method should be chosen to ensure a proper estimation of the
ground settlement.

i
TABLE OF CONTENTS

ABSTRACT……………………………………………………………………………… i
BACKGROUND………………………………………………………………………… iii
I.INTRODUCTION……………………………………………………………………… 1
II.TUNNEL CONSTRUCTION………………………………………………………… 2
a) TUNNELING METHODS…………………………………………………………... 2
b) THE NEW AUSTRIAN TUNNELING METHOD (NATM) ……………………... 3
III.CONSEQUENCES OF TUNNELING IN URBAN AREAS……………………..... 5
a) GROUND SURFACE SETTLEMENT INDUCED BY TUNNELING………...... 5
b) Tunnel face stability …………………………………………………………………6
c) THE PROPAGATION OF DISPLACEMENTS TOWARDS THE SURFACE…9
d) STABILITY PARAMETERS………………………………………………………..13
e) EFFECTS OF GROUND SURFACE SETTLEMENTS ON STRUCTURES
AND THEIR BEHAVIOR…………………………………………………………… 14
f) LONGITUDINAL AND CROSS SECTIONAL SETTLEMENT TROUGH…… 17
g) EXAMPLES OF IDEALIZED BEHAVIORS OF STRUCTURES……………… 17
IV. QUALIFICATION OF DAMAGE TO STRUCTURES…………………………... 26
a) CONSEQUENCES OF COLLAPSE………………………………………………. 26
b) SETTLEMENT CONTROL MESURES……………………………………………33
V.ANALYSIS OF GROUND SETTLEMENT DUE TO TUNNELING ………………37
VI.SOUND AND VIBRATIONS………………………………………………………… 37
VII. CONCLUSION……………………………………………………………………… 38
REFERENCES…………………………………………………………………………….39

ii
BACKGROUND
The construction of tunnels by mankind dates back hundreds of years ago. Tunnels in ancient
civilization were constructed for use as religious catacombs or burial tombs in some regions of
the world like in Ancient Rome where “hundreds of kilometers of catacombs run underneath the
town and its outskirts” says Adriano Morabito, president of the association Roma Sotterranea
(Underground Rome).
As time passed on, various uses for tunnels were developed and some of them include drainage
systems, water supply systems, sewers systems and transportation projects (including canals).
Ancient tunneling proved very dangerous in most cases, as difficult ground conditions needed to
be well managed; and with the lack in proper technology and proper understanding of soil and
rocks mechanics back then, resulted in many tunnel failures which claimed many innocent lives.
History shows that the vast majority of ancient tunnels were constructed in rock until the late
1700’s; as rock tunneling proved to be more stable and safer than soft ground tunneling at the
time depending on the scale of the tunnel and the techniques used.
The beginning of the industrial revolution era saw the beginning of rapid advancement of
tunneling technology and engineering in general. Invention of construction machines, dynamite,
cement and other various ventilation techniques to name just a few, revolutionized tunneling and
began a new era where tunnels are a major ingredient in infrastructural development of nations.
Today tunnels are popular all over the world; as the world’s population is on the rise, tunnels
provide a better though expensive alternative solution to the problems faced by most big cities
(like London, New York, Tokyo, etc.) which is overcrowding and traffic congesting. Tunnels
assure efficient transport systems that are able to traverse through physical barriers such as
mountains, existing roadways, railroads, buildings or help satisfy environmental or ecological
requirements.
Although tunnels are a common construction alternative, they are structures that come with a
high risk. The act of constructing a tunnel usually lead to disturbances to the soil conditions
which may lead to ground surface settlement and in some unfortunate cases total failure of a
tunnel. In remote areas where there are no existing structures, effects such as ground surface
settlement are often of little or no importance; but in cities where there are existing structures or
buildings, significant ground surface settlement cannot be tolerated as it has the potential to
damage or destabilize existing structures.
As such stability of the soil masses and structures above when tunneling in urban areas and the
evaluation in detail of the ground surface settlement hazards prior the actual tunnel construction
is of utmost importance.

iii
I. GENERAL INTRODUCTION

As the world’s population keeps on rising especially in urban areas, modern day cities are
becoming more and more crowded each year, with the increase in traffic and infrastructure, the
availability of space in urban centers is becoming limited to a certain extent. As big cities are
becoming more congested, the need for a viable and efficient transportation system is of the
essence.
One of the major challenge during the early design phase of transportation projects in big cities is
to find a more feasible and economical solution to the problem at hand. (Very often there is but
one last option - venturing underground).
Tunnel construction, though costly seem to be a feasible alternative option in big cities with less
available space, a high population and high traffic volumes. In urban centers tunnels are needed
to accommodate transport, electricity, water supply, sewage and communication systems.
Compared to elevated roadways in cities, a tunnel system can help solve problems of traffic
congestion, noise, air pollution and help minimize surface disturbance. In addition tunnels
provide viable means to protect areas of special cultural or historical value, buildings or private
properties and also help reclaim city land.
Example of traffic congestion

Figure 1: London named most congested city in Europe

1
II.TUNNEL CONSTRUCTION
Urban tunnels are a key ingredient to a nation’s infrastructure, though mostly out of site and
underground they play a major role in urban transportation, water and sewage transportation,
hydroelectric transportation and many other sectors.
a.TUNNELING METHODS
Inorder to design and construct a tunnel, it requires the application of suitable technologies and
techniques. Tunnel construction methods mainly depends on factors such as the ground
conditions, the type of soil found on the site (soft clay or hard rock), ground water conditions, the
size of the tunnel ( length and diameter), the shape of the tunnel, the depth of the tunnel and the
final use of the tunnel.
Tunnel excavation in urban areas is performed using different methods:

Figure 2: Shows the different types of tunnel construction methods

TBM = Tunnel Boring Machine
NATM = New Austrian Tunneling Method
In this case we are going to focus on the ground surface settlements in urban areas due to tunnel
excavation by the New Austrian Tunneling Method (NATM).

2
b.The New Austrian Tunneling Method (NATM)
The NATM also known as the sequential excavation method was developed in the mid 1900’s
and was originally developed for tunneling sites with weak ground; where the soil masses
surrounding the tunnel require an extra supporting system (because they are overstressed). In
general the concept is based on the understanding of the structural behavior of the soil around the
tunnel ground as it reacts to the creation of an underground cavity.
The NATM tunnel construction in urban areas usually starts from a previously constructed
vertical shaft. This shaft serves the purpose of access into the tunnel and for the removal of
excavated material out of the tunnel.

Figure 3: Construction of a tunnel using the New Austrian Tunneling Method for soft
ground
The construction of a large sectioned tunnel using this method is made easier by subdividing the
tunnel into several arched smaller sections for easier control and safer supporting during
excavation. Newly formed surfaces require a temporary support and often shortcrete and bolts
are used to minimize the tunnel deformation.

3
 Figure 4: Example of NATM tunnel excavated in 6 partial cross-sections

Soon after the tunnel is formed, a permanent support of a concrete lining is cast in place over a
waterproofing membrane .

4
III.CONSEQUENCES OF TUNNELING IN URBAN AREAS
Tunneling in an urban environment is a challenging task that comes with many hazards and risks.
One of the main problem linked to underground urban area excavations are ground surface
settlements, which if not properly monitored, may lead in some cases to collapse or
destabilization of structures above, loss of human life and damage to property. These settlements
depend on geological, hydrogeological and geotechnical conditions on site, and also on the depth
of excavation works, the size of the tunnel and the methods of excavation. During tunneling
vibrations and noise caused by excavation machines if not monitored can also be a source of
disturbance to the occupants particularly directly above the tunnel.
a. GROUND SURFACE SETTLEMENT INDUCED BY TUNNELING
Underground excavations in densely populated urban areas or areas with a very limited amount
of space to perform geotechnical operations (e.g. tunnels, trenches and access ramps) can be a
nightmare to engineers.

Figure 5: shows main characteristics of urban (shallow) tunnels

Hence, a proper and detailed investigation of the site is necessary prior the actual construction
for a desirable tunnel design that assures stability during early and later excavation phases,
minimal surface ground settlements of nearby buildings or structures and an efficient tunnel
support system (temporary or permanent) that has the enough capacity to resist against all the
existing loads (permanent or non-permanent).

5
Tunnel construction has an effect on surface and subsurface structures (such as buildings, sewer
systems, etc.) .Although there may be numerous causes of ground surface settlements induced by
tunneling, basically they can summed into three main categories which are:

1. The disruption of stress and strain in the soil around the tunnel (in water saturated soil),
which mainly depends of the mechanical properties of the soil, the groundwater
conditions, the size and depth of the underground works and the method of excavation.

2. The loss of soil mass / removal of support due to excavation. This results in a downward
movement (subsidence) because of the soil’s lack of support after excavation.

3. Consolidation of disturbed soil (for the final ground surface settlement).

b.Tunnel face stability

The type of rock or soil around the tunnel determines how stable or unstable a tunnel is
during excavation. The study of face stability around the tunnel give possible failure
mechanisms and the parameters to be taken into account in the soil mass behavior study.
Depending on the nature of the ground, 2 types of failure mechanisms can be observed:

Figure 6: face collapse in cohesive soils

In the figure 6 above the face collapse failure involves a large volume of soil mass ahead of the
tunnel face. This type of failure leads to the formation of a sink hole on the ground surface with a
width greater than that of the tunnel. (σT = 0 for the NATM).

6
 Figure 7: face collapse in granular soils
Now in the case of cohesionless soils or granular soils, figure 7 shows that the failure plane
creates a chimney like mechanism above the tunnel face. σT is the face-stabilizing pressure. (σT
= 0 for the NATM)
These examples are based on idealized examples and in reality should be adjusted taking into
account of the actual conditions of each given construction site, the presence of non-
homogenous soils and water inflows.

7
The figure above shows a 3-dimensional static system (based upon the silo theory Janssen
1895) for the investigation of tunnel face stability. The analysis is performed in drained
conditions.

Figure 8: 3D tunnel-face stability model

On the moment of equilibrium it was shown that σT (which equals 0 when using the NATM),
the face stabilizing pressure depends on the diameter of the tunnel D, on the overburden H,
on the elevation of the water table h0 , on the shear strength parameters of the soil (c, γ, φ), on
the submerged unit weight γ’ (for the soil mass below the water table) and on the dry unit
weight γd (for the soil mass above the water table) .

8
c.The propagation of displacements towards the surface
During tunneling a soil mass is removed from the ground creating an opening in the ground.
The soil mass in front and above of the tunnel face exerts an active earth pressure and also of
presence of structures or surcharge above the tunnel adds to the active earth pressure.

Figure 9: shows tunnel failure mechanism at the tunnel face

To attain stability the soil layers situated above the tunnel face should have sufficient
strength to balance out the forces. During tunneling we might encounter several soil layers
containing loose soils or weathered rock and the tunnel face should be strong enough to resist
against these pressures.

The ground movements induced at the tunnel face, will tend to propagate towards the ground
surface (figure 9) at magnitude and time depending soil mass geotechnical, geological,
hydrogeological conditions and dimensions of the opening.

9
i.Primary mode

Figure 10: primary mode-propagation of settlements

The primary mode occurs during excavation when the stresses due to the active earth
pressures exert forces on the tunnel face. This then causes the formation of a zone of
loosened ground above the tunnel face.
The height of this zone is typically 1 to 1.5 times the diameter D of the tunnel (1.5*D). Two
compression zones develop laterally along the vertical direction of the tunnel.
If the excavation depth is deep then C/D > 2.5, meaning that the propagation of
displacements towards the ground surface is limited.

10
ii.Secondary mode

Figure 11: secondary mode-propagation of settlements

The secondary mode may occurs after the primary if the tunnel is located much closer to the
ground surface (C/D < 2.5) and tunnel confinement is insufficient. This situation then results
in the formation of a rigid ground block enclosed by 2 simple or multiple shear planes
stretching from the tunnel to the surface as shown in figure 11.
Displacements at the ground surface above the tunnel are the same order of magnitude as
those generated at the opening.
These ground propagation mechanisms may lead to horizontal and vertical displacements
throughout the advancing tunnel as shown below.

11
Figure 12: Geometry of the tunnel induced settlement trough (after Attewell et al.,
1986)

12
 d.Stability parameters during tunneling
Theoretical and experimental research on tunnel face stability has permitted the identification
of a few number of important stability parameters that can be used to define the stability of a
tunnel opening during excavation.
1.Tunneling in purely cohesive soil (clay)
When tunneling in a clayey ground, the overload factor N (defined by Broms and Bennemark,
1967) can be defined as:
𝛾𝐻
N=
Cu
H is the excavation depth
γ is the soil unit weight
Cu is the undrained shear strength before construction
𝐶 𝛾𝐷
Other 2 parameters to be considered and
𝐷 Cu
where
 C is the overburden thickness
 D is the tunnel diameter
𝐶
controls the effect of depth on the stability control
𝐷
𝛾𝐷
assesses for the possibility of localized failures above the tunnel face
Cu
In the case where a surcharge is applied on the ground surface and a support pressure is applied
on the tunnel face, the load factors N can be written as follows:
𝛾𝐻+σs− σT
N=
Cu
σs is the surcharge applied on ground surface
σT is the face stabilization pressure (σT = 0 for the NATM)
Experience and observations (Peck 1969) have shown that the values of N that vary from 5 to 7
often result in tunneling difficulties and may lead to tunnel face instability.Experimental and
theoretical findings have established the following :
 When N < 3
The overall stability of the tunnel is generally ensured
 When 3 < N < 6
More special attention has to be taken when evaluating the settlement risk since frequent
tunnel face collapse is expected when N > 5
 When N > 6 High possibility of tunnel face failure

13
As for the other 2 parameters
if
𝐶
 < 2 a more detailed analysis of tunnel face stability is required
𝐷

𝛾𝐷
 > 4 tunnel face failure is more likely to occur
Cu
If the tunnel support is installed at some distance P behind the tunnel face, more special attention
must be taken as the tunnel face stability is dependent on the ratio P/D (Schofield, 1980)
2.Tunneling in cohesionless soils (sand)
Tunnel face stability in cohesionless ground cannot in theory be possible. However there exist
cases where we can observe the presence of some slight cohesion that may be temporary and can
in theory influence tunnel face stability.
Instability factors in such grounds is more difficult to assess as the phenomena is less
understood. It can be concluded that the propagation of ground displacements towards the
ground surface is greatly influenced by other parameters such as ground deformability and
anisotropy.
3.Tunneling in cohesive and frictional soils
Comprehensive tunnel face stability analysis in cohesive and frictional soils (i.e. with the
strength characterized by the cohesion c’ and the internal frictional angle φ’) gives birth to 4
important parameters:
𝛾𝐻 𝛾𝐷 σT 2𝑐′𝐶𝑜𝑠𝜑′
, , and φ’ ;where σc =
σc σc σc 1−Sinφ′

e.Effects of ground surface settlements on structures and their behavior

Structures designed for different purposes behave differently under stress. Modification or
changing of stress distributions on a structure whether it be by natural means or manmade, may
have an effect on the structural integrity and obviously the lifespan of a structure.
Tunneling in urban areas, if not well monitored can be an enemy to existing structures in the
vicinity. Uniform or differential settlement on a structure surely has undesirable effects on
structural integrity and aesthetics on structures with the later having more deadly effects than the
former.

14
f.Transverse settlement trough
Analytical methods are usually based on the assumption of the elastic behavior of soil and that as
the soil deforms the ground surface distribution curve follows the Gaussian distribution curve.

Figure 13: shows transverse settlement trough (Peck 1969)

Peck (1969) demonstrated that vertical displacements in the settlement trough can be can be
estimated by the following formula:
−𝑥2
Sv(x) = Svmax 𝑒 𝑖𝑥2

Svmax is the maximum settlement measured above the tunnel axis.

ix is the trough width parameter that represents the standard deviation in the original Gaussian
equation.
x is the horizontal distance from the centerline
R is the excavation radius
H is the tunneling depth
Vs is the trough volume
B is the half trough width

15
The area enclosed by the settlement trough Vs can be expressed by
Vs
Vs = √2𝜋 ix Svmax hence Svmax =
2.5 ix
The maximum settlement is determined from 2 parameters:
 the trough volume Vs
 the distance of the point of inflection of the trough to the centerline
the transverse settlement trough has its maximum slope at the point of inflection which is located
a distance ix from the tunnel center line. Later on it will be shown how crucial this point is when
determining building deformation criteria. The inflection point separates the sagging zone from
the hogging zone as shown in figure 13
The horizontal distance ix can be determined by the following formula, according to O’Reilly
and New (1982):
ix = K (z – z0)
where :
K is the dimensionless trough width parameter
z0 is the tunnel excavation depth
z is the depth beneath ground surface of the considered settlement trough
The expression is simplified for most practical applications, as follows
ix = K.z0
K = 0.5 for clayey ground
The value of K for clay soils was obtained based on ground surface settlement measurements
made on a large number of tunnels by researchers.
Based on a large quantity of information from tunneling projects in clayey and sandy soil, some
authors obtained K values ranging from 0.4 to 0.6, with an average of K = 0.5, for clay soils, and
values ranging from 0.25 to 0.45, with an average of 0.35, for sandy soils.
It can be concluded that the loss of soil volume VL during excavation is equal to the ground
surface settlement volume.
For the tunnel excavation of radius R, the volume loss factor VL (expressed as a percentage) can
be expressed as:
𝑉𝑠
VL = x 100
𝜋𝑅 2

16
g.Longitudinal and cross sectional settlement trough
The position a structure has on the settlement trough strongly influences the movements to which
it undergoes (extension and hogging on the outcurve surface of the trough; compression and
sagging on the concave surface). The behavior of a structure strongly depends on its position on
the cross sectional settlement trough.

h.Examples of idealized behaviors of surface structures

The examples given are not a representation of what actually happens to detail when a structure
undergoes settlement but what might happen depending on a structure was designed and the
materials used may have an effect on how structures behave when settlements occur.

17
Example 1: case of small structures situated above a settlement trough

Figure 14: typical settlement profile for soft ground for short buildings

Figure 14 shows the cross sectional settlement profile and how structures behave depending on
their position on the settlement trough. It can be seen that the buildings or structures that are
situated directly or partially over the tunnel are more susceptible to undergo uniform settlement
and structures within the area of influence a bit far off from the settlement trough are more
susceptible to undergo differential settlement.

18
Example 2: A long reinforced concrete structure situated directly above the settlement
trough

Figure 15: typical settlement profile on soft ground for a long structure
In this case a long structure is one in which the cross sectional dimensions of the structure are
relatively large as compared to that of the tunnel. Figure 15 shows the case in which the long
structure is symmetrically situated above the settlement trough.

Figure 16: shows a simplified structural model of the structure

Figure 16 shows a simplified structural model of the structure consisting of all the structural
members (beams, columns and foundation footings)

19
 Figure 17: shows an idealized behavior of a long structure undergoing settlement
In figure 17 the concrete structure is laterally supported by peripheral tie beams and they deform
laterally less than the foundation. The stiffness of bending of these beams induces a distortion of
these structures more reduced than that of the soil. Stiff constructions show good shear strength
and tend to be subject to inclination rather than distortion. This capability depends on the height
of the structure (number of floors), the number of openings and the structure type (concrete
shells, beams or poles).
It can be shown in the diagram above that the foundation footings that are situated directly or
partially above the settlement trough are more susceptible to uniform settlement and those that
are situated a bit far off from the center are more susceptible to differential settlement.
If the supplemental forces are not included in the structural design or if the structure is not
designed to deform in such manner as shown in the figure, structural failure happen and cracks
might start to open on the structural members.

20
Example 3: Case of a long masonry structure situated directly above the settlement trough

Figure 18: shows a 3D model of a masonry long structure

The figure 18 above shows a 3D model of a masonry structure that is symmetrically situated
above the settlement trough.

Figure 19: typical settlement profile on soft ground for a long masonry structure

21
A masonry structure is a heterogeneous structure that consists of many units and joints and these
have a low tolerance to oscillations or movement. Experience has shown that masonry structures
deform such as the foundation ground and tend to susceptible to more structural damage when
settlement occurs than reinforced concrete structures.

Example 4: case showing structures situated in the longitudinal section of the tunnel

Figure 20: typical longitudinal settlement profile on soft ground for short buildings

As the tunnel advances in the longitudinal section, the tunneling disrupts the initial stress fields
in the soil. These stress modifications are generally accompanied by instantaneous displacements
of the tunneling face towards the tunnel excavation. The buildings situated ahead of the tunnel
face are more likely to be lean backwards in the opposite direction of tunneling following the
settlement profile as shown in the figure above.

22
Example 5: case showing a long structure situated in the longitudinal section of the tunnel
The figure 21 below shows some of the potential building damage that are most likely to occur
along the longitudinal axis of the tunnel. The figure 21 shows the case of a long structure in the
longitudinal section of the NATM tunnel at position 1

Figure 21: typical longitudinal settlement profile on soft ground for a long building

The advancing NATM tunnel creates a longitudinal settlement trough above the excavation face.
This longitudinal trough proceeds with the advancing NATM tunnel as shown in figure 21
below. This disruption of the initial stress and strain fields in the soil around the tunnel is
accompanied by instantaneous displacement of the excavation face.

23
 Figure 22: shows as settlements begins to take effect on the long building
At position 2 the long building now is in the area of influence of the settlement profile and
experiences some uneven settlement.
At this point the foundation begins to deform progressively as shown in the figure above
(hogging of the foundation)

24
Figure 23: shows the progressive deformation of a long building in the longitudinal
settlement profile
At position 3, the building is now leaning backwards following the settlement profile and
continues to deform progressively as shown in the figure above. Sagging and hogging of the
foundation can be observed.

25
IV.QUALIFICATION OF DAMAGE TO STRUCTURES
Depending on how structures behave and react during the settlement phase, several assessments
can be made. The damage induced can be classified into 3 categories:
1. Architectural damage that damages the visual appearance
2. Serviceability damage that disrupts utilization of the structure
3. Structural damage that affects the stability of the structure

a. CONSEQUENCES OF COLLAPSE
The damage to constructions is usually caused by cracking of materials with poor tensile strength
like concrete and mortar. Failure of the structural members of a structure might occur directly as
a result of excessive cracking or excessive load transfer onto the structure when settlement
occurs. The crack width induced is one of the parameters used to assess the degree of damage to
a structure. Small cracks to a lesser degree have less on the structural integrity of a structure but
greatly affect the durability or life span of the structure.
In the past decades a number of NATM tunnels have collapsed and in recent years the number of
incidences reported have increased which has led to debates on the method. This can be
attributed to a number of factors:
 The method is being used by those unfamiliar with the technique.
 The hazards are not being adequately identified (prior construction), managed and
controlled.
 The increasing use of the method in more demanding environments ( like urban areas).

26
 Examples of NATM tunnels incidences including collapse
1.Collapse of Seoul Metro tunnel, Korea 1991

Figure 24: Collapse of Seoul Metro tunnel, Korea 1991

Figure 24 shows the aftermath of the collapse in 1991 of a NATM tunnel which was part of the
second phase of the Seoul Metro. The excavated face in ‘weathered rock’ collapsed into the
tunnel resulting in a crater at street level. The face collapse was described (Park and Lee 1993) as
a “sliding or wedge failure” with the bedding planes of weathered rock being almost parallel to
the tunnel axis, where there was a high probability of the rock sliding down along joint planes.
There was 3m rock cover and a total overburden depth of 28m. Following the collapse a 100mm
pressurized water main burst; an 800mm sewer pipeline was broken; power cables were severed;
and gas mains damaged. There were no human casualties.
2.Tunnel collapse in Sao Paulo, Brazil 1993
Figure 25 below shows the after effects of a NATM tunnel under construction beneath the
Avienda Santo Amaro in Sao Paulo, Brazil in November 1993. The NATM tunnel was being
constructed in soft ground using the crown and bench excavation method and that the overburden
was decreasing as the tunnel level was rising to meet a cut and cover section. The construction
system involved the placing of a temporary invert to the crown following crown excavation. The
distance between the temporary inverted arch and the excavation face in the area of decreasing
overburden was critical to the safety of the heading. This distance was not as intended and the

27
level of safety was reduced which resulted in critical vertical displacements in the crown arch.
There was a rupture of the face followed by the failure of a culvert containing the Sapateiro
stream and a water main both located above the tunnel. Water flooded into the collapsed tunnel
and a crater of some 20m in diameter was formed at the street level.

Figure 25: Tunnel collapse in Sao Paulo, Brazil 1993

28
3.Tunnel collapse in Munich, Germany 1994
On 20 September 1994 a collapse occurred during the construction of a NATM tunnel on the
Munich Trudering underground railway line. No official report has been published and the
following circumstances of the collapse are taken from newspaper reports and news articles.
(Spaun 1995). The location of the collapse was some 25m from the access shaft and there was
some 17m of cover above the top of the tunnel. The excavation was in clay/ marl, and it was
anticipated that there was 1.5m to 2m of this impervious material above the tunnel construction.
Above this level up to the underside of the road construction there were waterlogged gravels –
the ground water level being about 2.5m below the road surface. It appears that water penetrated
the tunnel construction at the face, and increasingly large quantities of gravel and water entered
the tunnel. The tunnel was evacuated and on reaching the surface a miner urged the driver of a
bus to drive away because of the risk of surface collapse. However before the bus could move
the road surface collapsed and the bus slipped backwards into the surface crater which was
partially filled with water. Several bus passengers were drowned and others injured. Tragically
the miner also fell in to the crater and was killed.

Figure 26: Tunnel collapse in Munich, Germany 1994

29
4.Tunnel collapse in Sao Paulo, Brazil 2007
On January 12, 2007, during the construction of Pinheiros station, a large part of the site's access
tunnel collapsed, opening an 80 m diameter crater, killing seven people. Several houses and
vehicles were swallowed by the hole, including a minibus; four of the victims were inside. A lot
more houses suffered heavy damage, with several of these being declared condemned.
All construction workers were safely evacuated from below ground, but no-one acted to close the
road above ground. All seven killed were on or near the road at the time of collapse
Design shortcomings related to an oversimplification of the geomechanical model, which failed
to sufficiently account for the tunnels’ full overburden load and weaknesses in the sides of the
tunnels caused by discontinuities in the rock.

Figure 27: Tunnel collapse in Sao Paulo, Brazil 2007

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5.Munich Metro, Germany #1, Collapse Weber 1987
Tunnel collapse was caused by flooding of the construction shaft. The infiltration of water into
the shaft was not well managed during the construction phase. The collapse moved about 450
cubic meters of soil into the tunnel shaft.
Consequences of collapse: Urban disruption, excavator buried but no lives were lost

Figure 28: Collapse of the Munich Metro, Germany #1, Weber 1987

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6.Munich Metro, Germany #2 Collapse Weber 1987
The presence of extremely poor rock above the tunnel overwhelmed the umbrella vault system
and caused 30 cubic meters of gravel to collapse into the tunnel.

Figure 29: Collapse of Munich Metro, Germany #2 Weber 1987

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7. Munich Metro, Germany #3 A1 Collapse Weber 1987 Kovari and Weber 1991
300 cubic meters of street surface collapsed into the tunnel as a result of overburden on the
tunnel support system and also the ground water level above tunnel contributed to the failure.

Figure 30: Collapse of Munich Metro, Germany #3 A1 Collapse Weber 1987 Kovari and
Weber 1991

b. SETTLEMENT CONTROL MESURES

To sum up, less surface settlement indicates less ground disturbance, and the goal is to present
reasonable prediction method and control measures of surface settlement.
The collapse of NATM tunnels in urban areas can result in major consequences not just to the
workers in the tunnel but to public members, the environment and the infrastructure. The control
of ground surface in urban areas is necessary to prevent damage to structures above the tunnel.

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Several methods can be used to limit ground surface settlements:
1. Grouting methods
2. Ground freezing methods
3. Installation of piles

1. Compensation grouting
Compensation grouting is one of the techniques used to control the ground surface settlement
during tunneling (when using the NATM or other tunneling methods). Compensation grouting
should be taken into account and its effects on tunnel construction have to be evaluated and
included in the tunnel design to minimize risk.

Figure 31: Compensation grouting

This process is helps minimize settlements caused by ground loss due to tunneling. The grout is
injected into the ground above the tunnel and below the structures to be protected using long
pipes that are introduced into the ground.

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 Figure 32: Compensation grouting
Settlement monitoring determines the amount, timing and location of grout injections. In most
cases grout is introduces into the ground in multiple phases inorder to control ground settlement
as tunneling occurs. Another approach is to inject grout prior tunneling (pre-conditioning) which
actually helps stiffen the ground by closing fissures or (openings) and during tunneling further
grout is then injected so as to adequately control settlements (this is known as compensation
grouting).

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 2. Ground freezing

Figure 33: Ground Freezing System in Operation while Commuter Trains Run
Through the Big Dig.
This method involves drilling hundreds thin freezing pipes up to a certain depth into the ground
around the tunneling perimeter that needs to be stabilized. Salt water is then circulated through
the pipes threaded into the ground gradually absorbing heat out of the soil until it freezes solid.
Once the soil is frozen excavations can now continue tunneling into the frozen soil. This method
is usually used in sites that are usually difficult control settlements.
3. Installation of piles

Figure 34: shows installation of piles

Piles are usually small diameter piles which are reinforced using high strength steel bars at their
central part. A pile is installed by drilling a borehole, placing a steel reinforcement and filling the
hole with concrete. If used effectively piles can help improve ground conditions and preventing
foundations of existing structures to collapse.

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V. ANALYSIS OF GROUND SETTLEMENT DUE TO TUNNELING
Ground settlement prediction when tunneling in urban areas in highly significant in the design of
tunnels. Inorder to make necessary assessment of ground surface settlement hazards, a number of
factors have to be taken into account in the methods analysis. A variety of these methods of
analysis are used for modeling and prediction of ground surface settlements.
The methods are categorized as follows:
1. Empirical methods
2. Analytical methods
3. Numerical methods

VI.GROUND VIBRATIONS CAUSED BY TUNNELING

When constructing tunnels at a shallow depth in urban areas, it is also quiet essential to
investigate the effects of vibrations caused by tunneling equipment on structures on the surface.
Better understanding of these phenomena is quite valuable especially in urban areas. Buildings
located in urban areas house some high precision equipment that is very sensitive to even low
levels of vibrations.
The intensity of these vibrations produced mostly depend on the tunneling method used and the
soil conditions of the area. Soft ground usually induces lower level of vibrations as compared
hard ground.
When tunneling in areas with highly sensitive structures, more caution should be taken and
monitoring ground vibration is of the essence.

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VII.CONCLUSION
Due to the overwhelming beneficial features of the NATM, the use of this method across the
world has accelerated compared to other tunneling methods. However in spite of all the
advantages of the NATM, we can’t turn a blind eye to the high risk of this method especially in
urban centers.
More careful steps need to be taken during excavation of urban tunnels so as to minimize the
high risk of collapse and loss of life and damage of property. Tunnels built using the NATM,
after completion and during their service can be safe as any other tunnel built using other
conventional methods.

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