Tfc

tort No. FHWA/RD-81/074

66?
.A3
no.
FHW.A-
RD-
8 -CT74
1
ROUNDWATER CONTROL IN TUNNELING
v.2
x

Vol. 2. Preventing Groundwater Intrusion into

Completed Transportation Tunnels

April 1982
Final Report

Prepared for

U.S. Department of Transportation

Federal Highway Administration

Offices of Research & Development

Structures and Applied Mechanics Division
Washington, D.C. 20590
Document is available to the U.S. public through
the National Technical Information Service
Springfield, Virginia 22161
 FOREWORD

This three volume report summarizes best available practices in groundwater

control both during and after tunnel construction. This volume is concerned
with the permanent structure. The report describes typical groundwater
problems that can occur during the life of the tunnel structure. It points
out good construction practices to minimize or eliminate those problems and
describes effective remedial and maintenance practices.

Sufficient copies of the report are being distributed to provide two copies
to each regional office, one copy to each division office, and two copies to
each State highway agency. Direct distribution is being made to the division
offices.

Charles F. Scheffey
Director, Office of Research
Federal Highway Administration

NOTICE

This document is disseminated under the sponsorship of the Department of

Transportation in the interest of information exchange. The United States
Government assumes no liability for its contents or use thereof.

The contents of this report reflect the views of the contractor, who is
responsible for the accuracy of the data presented herein. The contents
do not necessarily reflect the official policy of the Department of
Transportation.

This report does not constitute a standard, specification, or regulation.

The United States Government does not endorse products or manufacturers.

Trade or manufacturers' names appear herein only because they are considered
essential to the object of this document.
 Technical Report Documentation Page
1. Report No. 2. Government Accession No. 3. Recipient's Catalog No.

FHWA/RD-81/074
4. Title and Subtitle 5. Report Date
GROUNDWATER CONTROL IN TUNNELING
VOL. 2 Preventing Groundwater Intrusion into April 1982
6. Performing Organization Code
Completed Transportation Tunnels
8. Performing Organization Report No.
7. Author's)

H.R. Tiedemann and J. Graver JA 1797

9. Performing Organization Name and Address 10. Work Unit No. (TRAIS)
TRANSPORTATION 35B1-112
Jacobs Associates
11. Contract or Grant No.
500 Sansome Street
OCT ) 8 ibo^: DOT-FH-11-9516
San Francisco, CA 94111
13. Type of Report and Period Covered

12. Sponsoring Agency Nome and Address

FINAL
Department of Transportation September 1978 - June 1981
Federal Highway Administration
Office of Research and Development 14. Sponsoring Agency Code

Washington, DC
15. Supplementary Notes

Contract Manager for this study: J.R. Sallberg (HRS-11)

16. Abstract
This is the second volume of a three-volume report. This Volume 2 describes
various groundwater control methods for keeping tunnels dry during the life of
the structure. The methods discussed include means employed to provide impervious
structural concrete, types of waterproofing membranes, methods used to seal
segmented tunnel linings, grouting of soils and rock, and sealing sunken tube
tunnels. Problems resulting from inadequate methods or failure of control
measures are discussed as well as maintenance programs to maintain the integrity
of various groundwater control systems.

Volume 1 of this report describes the state-of-the-art of groundwater control

methods employed during the construction of transportation tunnels. It also
describes problems associated with inadequate groundwater control during the
construction stage, and methods employed in geohydrological investigations and
evaluation. Legal and contractual conditions are also discussed. Volume 1 is
Report No. FHWA/RD - 81/073.

Volume 3 contains guidelines for implementing groundwater control methods

under varying site conditions, including compatibility of temporary and permanent
measures. Recommendations for improvement of traditional and innovative control
measures are also contained herein. Volume 3 is Report No. FHWA/RD - 81/075.

17. Key Words 18. Distribution Stotement

Groundwater Control No Restrictions. This document is

Dewatering available to the public through the
Transportation Tunnels National Technical Information Service
Tunnel Construction Springfield, VA 22161

19. Security Classif. (of this report) 20. Security Classif. (of this page) 21- No. of Pages 22. Price

Unclassified Unclassified 201

Form DOT F 1700.7 (8-72) Reproduction of completed page authorized

 PREFACE

Volume 1 of this report describes groundwater control methods

employed during the construction of transportation tunnels.
It also describes problems associated with inadequate ground-
water control during the construction stage, methods employed
in geohydrological investigations and evaluation procedures
for determining proper control methods. Groundwater control
method selection criteria, and legal and contractual conditions
are also discussed.

This Volume 2 describes various groundwater control methods for

keeping tunnels dry during the life of the structure. The
methods discussed include means employed to provide impervious
structural concrete, types of waterproofing membranes, methods
used to seal segmented tunnel linings, grouting of soils and
rock, and sealing sunken tube tunnels. Problems resulting
from inadequate methods or failure of control measures are
discussed as well as maintenance programs to stop leaks and
maintain the integrity of various groundwater control systems.

Volume 3 contains guidelines for implementing groundwater control

methods under varying site conditions, including compatibility of
temporary and permanent measures. Recommendations for improve-
ment of traditional and innovative control measures are also
contained in this volume.

The reference list following the text in this Volume 2 is based

mainly on topics included in this volume on permanent ground-
water control methods. Not all these sources have been refer-
enced directly in the report, but all have been reviewed in
whole or in part and contribute to the report. A list of
companies and agencies named in the report follows the list of
references. While the naming of a product or supplier does not
constitute an endorsement, the authors gratefully acknowledge
the contributions of referenced works and that of the companies
and agencies in these lists.

li
 VOLUME 2

TABLE OF CONTENTS

Section Page
PREFACE ii

TABLE OF CONTENTS iii

LIST OF FIGURES iv
LIST OF TABLES vii
APPLICABLE SI UNIT CONVERSIONS xi

1.00 INTRODUCTION 1
1.10 Purpose and Scope 1
1.20 Problems Caused by Inadequate Control of
Groundwater Intrusion 4
1.21 Sources of Water 4
1.22 Possible Causes of Water Inflow 5
1.23 Problems Caused by Water Inflow 6
1.24 Permissible Leakage 7
1.30 Evaluation of Site Conditions 9
1.31 Preliminary Studies 9
1.32 Detailed Studies 11

2.00 WATER-RESISTANT CAST-IN-PLACE CONCRETE LININGS 13

2.10 General 13
2.11 Purpose 13
2.12 Lining Thickness 14
2.20 Structural Design for Watert ightness 15
2.21 Where Leaks Occur 15
2.22 Structural Design 15
2.30 Design of Concrete Mix 16
2.31 Porosity 16
2.32 Shrinkage Resistance 17
2.33 Chemical Resistance 18
2.40 Prevention of Corrosion of Reinforcing Steel 19

2.50 Joint Design 19

2.51 Types of Joints 21
2.52 Waterstops 21
2.53 Design of Construction Joints 24
2.54 Design of Contraction Joints 24
2.55 Design of Expansion Joints 28
2.60 Mixing and Transporting the Concrete 28
2.61 Mixing the Concrete 28
2.62 Transporting the Concrete 29
2.70 Placing and Curing the Concrete 29
2.71 Placing the Concrete 29
2.72 Curing the Concrete 30

in
 Table of Contents (Continued)

Section Page

2.80 Repair of Defects 30

2.90 Innovations 33
2.91 Regulated-Set Portland Cements 33
2.92 Expansive Cements 33
2.93 Polymer-Impregnated Concrete 34
2.94 Polymer Concrete 35
2.95 Ferro-Cement 36
2.96 Fiber-Reinforced Concrete 36
2.97 Microwave Curing 37

3.00 APPLIED WATERPROOFING ENVELOPES 38

3.10 General 38
3.20 Bituminous Materials for Waterproofing 39
3.21 Brick Set in Asphalt Mastic 40
3.22 Built-Up Membrane Waterproofing Systems 40
3.23 Preformed Multi-Layered Board 45
3.24 Cold-Applied Bituminous Materials 47
3.30 Plastic and Synthetic Rubber Sheeting 47
3.31 Polyethylene Sheeting 48
3.32 Polyvinyl Chloride Sheeting 49
3.33 Butyl Rubber Sheeting 49
3.34 Hypalon Sheeting 51
3.35 Neoprene Sheeting 51
3.40 Cold, Liquid-Applied Waterproofing 51
3.50 Bentonite Panels and Spray 52
3.51 Bentonite Panels 53
3.52 Bentonite Spray 56
3.53 Maintenance of Bentonite
Waterproofing Envelopes 57
3.60 Cementitious Waterproof Coatings 59
3.61 Plaster Coat Method 59
3.62 Iron Coat Method 59
3.63 Non-Metallic, Nonshrink,
Cementitious Coating 59
3.70 Miscellaneous Waterproofing Envelopes 60

4.00 SEGMENTED TUNNEL LININGS 62

4.10 Construction of Segmented Linings 62
4.20 Cast Iron Segmented Linings 65
4.30 Fabricated Steel Segmented Linings 67
4.40 Precast Concrete Segmented Linings 69
4.50 Segmented Tunnel Linings in Rock 82

5.00 OTHER METHODS OF CONTROLLING GROUNDWATER 87

5.10 Chemical Grouting For Cut-and-Cover
and Soft Ground Tunnels 87
5.11 General 87
5.12 Required Characteristics 89
5.13 Types of Chemical Grouts 92

IV
 Table of Contents (Continued)
Section Page
5.14 Grouting Methods 97
5.15 Application 100
5.16 Verification of Grout Application 100
5.20 Consolidation Grouting of Rock Tunnels 102
5.21 Grouting During Excavation 102
5.22 Pregrouting Rock Before Excavation 103
5.23 Grout Mixes and Pumping Equipment 105
5.30 Annular Space Grouting and Contact
Grouting of Tunnel Lining 107
5.31 Annular Space Grouting 107
5.32 Contact Grouting of Concrete Linings
in Soft Ground Tunnels 109
5.33 Contact Grouting of Concrete Linings
in Rock Tunnels 110
5.40 Diaphragm Cutoff Walls 111
5.41 General Description 111
5.42 Cast-In-Place Reinforced Concrete
Diaphragm Walls 114
5.43 Cast-In-Place Soldier Pile and
Tremie Concrete Walls 115
5.44 Precast Concrete Segment Diaphragm Walls 117
5.45 Use of Diaphragm Walls as Permanent
Groundwater Control 118
5.50 Permanent Lowering of Groundwater Table 119

6.00 SUNKEN TUBE TUNNELS 121

6.10 Introduction 121
6.11 Conditions Suitable for Constructing
Sunken Tubes 121
6.20 A Brief History of Sunken Tube Tunnels 122
6.30 Construction Methods 127
6.31 General 127
6.32 Construction of Steel Shell Tube Units 130
6.33 Construction of Rectangular Reinforced
Concrete Tube Units 134

6.34 Comparison of Steel Shell and Rectangular

Reinforced Concrete Tubes 135
6.40 Sealing Methods 138
6.41 General 138
6.42 Sealing Steel Shell Tube Tunnels 138
6.43 Sealing Reinforced Concrete Tube Tunnels 139

7.00 CRITERIA FOR SELECTION OF GROUNDWATER CONTROL METHODS 143

7.10 Introduction 143
7.20 Basic Types of Tunneling Methods 143
7.30 Applicability of Groundwater Control
Methods 144
7.31 Water-Resistant Cast-In-Place
Concrete Linings 144
 »

Table of Contents (Continued)

Section Page

7.32 Applied Waterproofing Membranes 145

7.33 Segmented Tunnel Lining Groundwater
Control Measures 146
7.34 Chemical Grouting of Soils 147
7.35 Consolidation Grouting of Rock Tunnels 147
7.36 Contact Grouting of Tunnel Linings 148
7.37 Diaphragm Cutoff Walls 148
7.38 Permanent Lowering of the Water Table 149
7.39 Sunken Tube Tunnel Control Measures 149
7.40 Samples of Current Practice in Specifying
Control Methods 150
7.41 Cut-and-Cover Structures 150
7.42 Soft Ground Tunnel Structures 153
7.43 Rock Tunnel Structures 156

8.00 MAINTENANCE REQUIREMENTS DURING THE LIFE OF A TUNNEL 159

8.10 Design and Construction Procedures to
Reduce Maintenance Requirements 159
8.11 Backup Waterproofing Method 159
8.12 Cast-in-Place Concrete 160
8.13 Applied Waterproofing Envelopes 161
8.14 Segmented Tunnel Linings 162
8.15 Other Waterproofing Methods 164
8.16 Sunken Tube Tunnels 168
8.20 Normal Maintenance Program 170
8.21 Preventive Maintenance 170
8.22 Monitoring Leakage 171
8.23 Repair Methods 172
8.24 Unusual Maintenance 174

REFERENCES 176

ADDRESSES OF SUPPLIERS, COMPANIES, AND AGENCIES 189

VI
 LIST OF FIGURES

Figure No. Title Pa S e

1 Example of Well-Sealed Rapid Transit Tunnel 3

2 Thickness of Cover and Permeability 20

3 Typical Waterstop Configurations 23

4 Construction Joint Details 25

5 Contraction Joint Detail 27

6 Effect of Curing on Concrete Permeability 31

7 Brick and Mastic and 3-Ply Waterproofing

Details Formerly Used by New York City
Transit Authority 41

8 Typical Built-Up Waterproofing Membrane

Systems 43

9 Typical Preformed Multi-Layered Board

Showing Types of Plies 46

10 Typical Membrane Splicing Details 50

11 Typical Bentonite Panel Installations 55

12 Typical Installations of Bentonite Spray

and Associated Products 58

13 Road Tunnel Cross Section Showing a

Typical Lining Design Using Aluminum
Sheets for Water Shielding 61

14 Segmented Tunnel Lining Erected in the Tail

of a Shield 63

15 Typical Channel Section Segments 64

16 Clyde Tunnel Lining 66

17 Dungeness Tunnel Lining 68

18 Placing Lead Caulking in BARTD Tunnel Fabricated

Steel Lining 70

19 Wedge Block Expanded Concrete Lining 71

VI i
 List of Figures (continued)

Figure No. Title Page

20 LTE Bolted Lining for Central Line Extension to

Ilford 73

21 Charcon Universal Grouted Smooth Bore Concrete

Lining 74

22 Types of Concrete Segments Used by Japanese

National Railways 75

23 Concrete Segments - Isar Tunnel - Munich 76

24 Sample Concrete Segment Gaskets 78

25 Joint Configuration and Sealing Details

Stillwater Tunnel 85

26 Soil Limits for Grout Injectibility 88

27 Typical Grout Applications 98

28 Grouting the Base of a Braced Cut 99

29 Grouting above the Crown in a Mixed Soil Profile 99

30 Rough Guide for Rock Grouting Pressures 104

31 Cast-in-Place Slurry Walls - Typical Joint

Details 116

32 Sunken Tube Transportation Tunnels (1910-1975) 123

33 Section of the Harlem River Sunken Tube Tunnel

Being Towed to the Tunnel Site (1913) 126

34 Cross Section of the Maas Tunnel, Rotterdam 128

35 Sand Jetting the Foundation for a Rectangular

Box Section 128

36 Cross Section of Rotterdam Metro - Portion

Built in Canal 129

37 Isometric View of a Circular Steel-Shell Unit

and Joint 131

vm
 List of Figures (continued)

Figure No. Title Page

38 Pour Sequences for Two Recent Steel-Shell
Tube Tunnels 133

39 Typical Sinking Sequence for a Rectangular

Box Tunnel 136

40 Joint Sealing Details for Concrete Box Tubes 141

IX
 LIST OF TABLES

Table Title Page

1 CIRIA - Permissible Leakage Classification 8

2 Summary of Properties of Concrete-Polymer

Material 35

3 Sample Tunnel Consolidation Grouting

Specifications 108

4 Sample Tunnel Contact Grouting Specifications 112

5 Sample Cut & Cover Underground Structures &

Methods Specified for Control of Groundwater 151

6 Sample Soft Ground Tunnel Structures &

Methods Specified for Control of Groundwater 154

7 Sample Rock Tunnel Structures & Methods

Specified for Control of Groundwater 157
 APPLICABLE SI UNIT CONVERSIONS

AREA

1 acre 4047 sq. m.

1 sq. in. 6.45 sq. cm.
1 sq. ft. 0.0929 sq. m.
1 sq. mi. 2.59 sq. km.

DENSITY

1 lb. mass/cu. ft, = 16.018 kg/cu. ra,

FLOW

1 gallon/min. 0.063 l./sec.

1 gallon/min. 0.00379 cu. m./min

FORCE

1 lb. force 4.448 Newtons

1 kg. - force 9.807 Newtons

LENGTH

1 in. 25.4 mm.

1 ft. 0. 3048 m.
1 yd. 0.9144 m.
1 mi. 1.609 km.
1 mil 0.0254 mm,

PRESSURE AND STRESS

1 lb. per sq. in. = 6 895 x 10 Pa

5
1 atm. = 1 013 x 10 Pa
4
1 kg-force/sq. cm, = 9 807 x 10 Pa
1 bar = 1 x 10
1 kip/sq. in. = 6 895 x 10* Pa
1 lb-force/sq. ft. = 4 7.88 Pa

VOLUME

1 cu. in. 16.4 cu. cm.

1 cu. ft. 0.0283 cu. m.
1 cu. yd. 0. 765 cu. m.
1 gal. 0.00379 cu. m.

xi
 1.00 INTRODUCTION

1.10 PURPOSE AND SCOPE

The handling and control of groundwater inflow presents one

of the most frequent, hazardous and troublesome problems encoun-
tered in tunnel and cut-and-cover construction. Although these
problems are usually more severe during actual construction, if
not properly resolved they can be a source of continued concern
and expense throughout the life of the structure.

Volume 1 of this report deals with methods of controlling

groundwater during construction. This Volume 2 discusses vari-
ous methods of permanently waterproofing an underground struc-
ture to prevent water inflow during its useful life. In some
cases, the construction and permanent groundwater control
methods are the same. Corrective measures for leakage after
construction are also dicussed.

While a certain amount of water inflow may be tolerated

during construction, depending on the type of structure and
construction methods employed, such a condition may not be
acceptable for long term usage of the structure. The expected
life span of the structure may be one hundred years or more, so
temporary dewatering or other methods described in Volume 1 are
often used during construction until the more stringent water-
proofing methods needed for the long tunnel life are installed.

To view this work in its proper perspective it must be noted

that tunnels are used for a variety of purposes:

1) for transportation of vehicular, rapid transit, railroad

or pedestrian traffic;
2) for conveyance of water, sewage or almost any other
liquid or liquid/solid slurry;
3) to contain utility pipelines, gaslines, steamlines,
communication or power ducts either singly or in
common (utilidors);
4) underground storage of fuel or water;
5) powerhouses and other underground facilities;
6) for protection in time of natural or man-made
crises.

Tunnels are constructed in ground varying from soft ground

to hard rock by tunneling or cut-and-cover methods. The ground
can vary from compact and impermeable, to porous and wet, with
an infinite recharge of water from a nearby body of water.
Under the varying circumstances of use and site conditions, it
is as impractical to insist that each tunnel must be perfectly
waterproof and "bone-dry" as to specify that every above ground
structure be built to with-stand an earthquake of 8.0 on the
Richter Scale.
 There is a point of diminishing returns in efforts to
reduce water-resistance. It is important to consider all
factors of use, construction and ground conditions when
specifying the amount of leakage permitted. Transportation
tunnels, for which this study is intended, require a high stan-
dard of water-resistance compared to tunnels where personal
safety of public patrons is not a factor. This report is
intended to aid the tunnel planner design a tunnel of maximum
water-tightness possible for the type of tunnel and ground
conditions under consideration. An example of a properly
sealed rapid transit tunnel below the groundwater table is
shown in Figure 1.

The following sections of this report will discuss, in

addition to the need for waterproofing, different types of
waterproofing and other groundwater control methods, their
compatibility with various construction methods, the options
and range of materials and methods applicable, and the main-
tenance required during the life of the tunnel or structure.

The groundwater control methods to be discussed in depth

include:

1) design, placing, curing and joint treatment of

structural concrete to insure maximum water-resistance
of the basic structure;
2) various materials and application methods of providing
a waterproofing envelope around the structure;
3) materials and methods for sealing various types of seg-
mented tunnel linings;
4) other methods and aids for resisting water inflow into
completed tunnels including chemically grouted envelopes
around soft ground tunnels, consolidation grouting of
rock tunnels, contact grouting of cast-in-place con-
crete linings, diaphragm cutoff walls, and permanent
lowering of the groundwater table;
5) construction methods, waterproofing and sealing of sun-
ken tube tunnels.

The section of the report dealing with selection of the most

applicable water control methods for a given tunnel situation
includes tables of typical current waterproofing specifications
for a variety of tunnels and stations built by cut-and-cover and
by tunneling in soft ground or rock. Compatibility of the vari-
ous methods with respect to design, construction and temprorary
water control methods and relative costs are also discussed.

The maintenance requirements section reviews design proce-

dures to reduce maintenance. Periodic checks for leakage and
the efficiency of water control methods under a normal mainte-
nance program are discussed as well as procedures for remedial
action when these checks indicate structural cracks, a failure
of the waterproofing, or other defects of the water control
system.
1.20 PROBLEMS CAUSED BY INADEQUATE CONTROL OF GROUNDWATER
INTRUSION
Large quantities of water cannot be permitted to drain
uncontrolledly through a tunnel, and in particular through a
transportation tunnel, intended for either highway or rail
vehicles. What about smaller amounts, a leak, or a drip?
This section will discuss possible sources of water inflow,
the problems associated with varying amounts of inflow, and
current permissible leakage requirements.

1.21 Sources of Water

The most likely common source of water requiring control

measures is groundwater. There are many factors that control
the amount of groundwater flow into a tunnel in the absence,
or failure, of waterproofing methods. The height of the water
table above the tunnel determines the water pressure, and the
permeability of the ground affects the possible flow quantity.
The extent in depth and size of the aquifer in which the tunnel
is located and its distance from a possible source of recharge
(river, lake, etc.) also affect possible flow. Aquifers are
typically heterogenous containing layers and pockets of material
with varying degrees of permeability. Furthermore, they are
usually anisotropic with horizontal permeability likely to be
several times that of vertical permeability. An aquifer trapped
between layers of relatively impervious materials may be an ar-
tesian body having a greater pressure than the upper water sur-
face elevation would indicate. In the case of a tunnel driven
through rock that is itself relatively impervious, groundwater
will usually be able to reach the tunnel through joints, cracks,
shear zones, or faults.

Perched water can exist in pockets of soft ground or in rock

such as limestone or sandstone. Perched water is more likely to
be a problem during tunnel construction, than in the completed
structure.

In addition to natural groundwater, it is possible that

water from other sources can percolate through the ground above
the tunnel. For this reason even tunnels and stations above
the water table will often have the roof or arch waterproofed.
There are several possible sources for such water. Rainfall is
one source that can be predicted with fair reliability, but
other sources may be quite unexpected. A broken water or sewer
line can surround the tunnel suddenly with a large quantity of
water depending on the line size and location with respect to
the tunnel.

Construction of nearby building foundations or other tunnels

could also contribute water unexpected at the time of tunnel
construction. Another possible water source is known or aban-
doned wells or other underground structures. In urban areas it
is not uncommon to encounter industrial waste dumps or aban-
doned industrial facilities which add a variety of liquid or
gaseous wastes, some of them hazardous, to the ground as well
as water. A short section of the Massachusetts Bay Transpor-
tation Authorities' Red Line Extension through Cambridge will
be constructed by cut-and-cover methods near a major chemical
manufacturing facility which includes surface dumping of waste
products. The groundwater in the area has a pH value of appro-
ximately 2 which is extremely corrosive and aggressive towards
concrete. At the time of this writing a design solution had not
been decided upon, however, unusual and costly measures will be
required for the tunnel to have a resonably long service life
under these harsh conditions.

While the engineer cannot quantitatively evaluate all water

sources, groundwater is still the main concern. If the geotech-
nical information is sufficient to determine the effects of
groundwater on possible leakage, the water control measures will
take care of the other water sources as well, in most cases. If
the water table is below the tunnel however, the engineer must
be aware that these other water sources may cause tunnel
leakage.

1.22 Possible Causes of Water Inflow

Two conditions must be present for leakage into a tunnel to

occur. There must be a source of water, such as those discussed
above, and a means of access for the water to enter the tunnel.
Most tunnels are lined with cast-in-place concrete or segmented
cast iron, steel or concrete linings. If proper precautions are
taken in designing, mixing, placing and curing of concrete, it
is relatively impervious in the thicknesses usually used for
tunnel linings. Special joint treatment and waterproof
envelopes can increase the water resistance of the concrete.
In a like manner, segmented linings, if properly fabricated are
also highly impervious and only the joints require effective
sealing measures. These topics are treated in more detail in
subsequent sections of this report. For now it is sufficient
to note that if these linings are installed properly and any
defects (honeycombing, shrinkage cracks, improperly placed
caulking, etc.) are corrected, a change must occur if excessive
leakage is to take place.

Changes in lining stresses due to ground loads can cause

cracks in a concrete lining or joint displacement in a segmented
lining. If the cracks are too wide, or joints loosened suffi-
ciently, leakage will occur. The change in loading may be
brought on by seismic forces, pile driving activities nearby,
excavation of an adjacent structure or tunnel, or a change in
the depth of cover over the tunnel.

Changes in groundwater conditions may increase leakage into

the tunnel. Minor defects that may not have admitted much water
in a tunnel with the roof above the water table may cause
problems if some change such as a leaking or broken water main
alters the groundwater conditions. Heavy water leakage into a
tunnel often aids in deteriorating the leakage area making small
cracks larger, admitting more water. If fine soil comes into
the tunnel, voids may be created in the surrounding ground, or
loosening may occur which increases the permeability of the sur-
rounding soil and the possibility of surface subsidence.

Deterioration of waterproofing or joint seals over a period

of time is another possible source of leakage. This could be
due to poor aging qualities of the material itself, stress fati-
gue of brittle caulking, or the deleterious effect of chemical
components of the groundwater.

Possible causes of leakage of major proportions in a trans-

portation tunnel are, an accident caused by a derailment or
collision, or a fire in a vehicle or equipment housed in the
tunnel. Either of these may cause cracking, spalling or struc-
tural damage of the tunnel lining. The repair of all causes of
leakage described above will be discussed in the section on
maintenance.

1.23 Problems Caused by Water Inflow

Water inflows into a transportation tunnel even in small

amounts can cause stains, discoloration and deterioration of
architectural surfaces. Often the water will contain calcium
or mineral impurities causing unsightly buildup of deposits on
exposed surfaces. Loosening of tiles and corrosion of finish
surface hangers or supports may also result. For highway tun-
nels or public areas of stations this may be highly unaccept-
able, while it might be a relatively minor problem in transit
line section tunnels.

As water leakage increases in volume, other problems arise.

Corrosion of reinforcing steel or embedded metal in concrete
can occur. Leakage can interfere with a cathodic protection
system and stray currents can increase corrosion further. In
highway tunnels wet road surfaces or leaking water dripping on
windshields can be hazardous, particularly in below freezing
weather. Underground stations often house electrical sub-
stations, electrical and mechanical equipment and ventilation
equipment that may be highly susceptible to water damage.
Inflowing water can bring with it noxious or flammable liquids
or gases if they are present in the ground.

All transportation tunnels contain drainage channels,

piping and pumps to handle water even though they are con-
structed highly resistant to groundwater inflow. Washing of
surfaces, and rainwater from station entrances and sidewalk
vent gratings are some of the sources of water that must be
handled. If leakage into the tunnel is too great it may
overload the drainage system. This problem may be aggravated
by an accumulation of dirt and debris in the drainage channels,
clogging strainers, pipes or pump. If the water rises high
enough in a rapid transit facility it could cause a short cir-
cuit of the third rail and become a hazard to the patrons.

Several years ago while a twin tube express tunnel was

being driven beneath The Avenue of the Americas in New York
City, a water main in the street above broke, sending hundreds
of thousands of gallons of water into the ground below. The
surge of water broke into the tunnel carrying soil with it.
When the flow was finally stemmed it was found that a cavernous
void of approximately 600 cubic yards (460 m3) wa s left above
the tunnel. Above the void four existing rapid transit tubes
sat precariously, side by side, across the width of the street.
Pumping cement grout into the void was begun immediately on a
twenty-four hour per day basis. The rapid transit lines above
were shut down for almost three weeks till the void was com-
pletely filled and surveys showed that they could resume
operation. Although this happened during construction, the
effect could be similar with such a flow into an existing struc^
ture. This illustration also shows how much the existing
adjacent tunnel structures were affected by an unexpected flow
of water.

Large inflows of water, even without carrying soil, can

lower the water table in the tunnel area and affect nearby
structures. Wood piles supporting above ground structures,
will last 100 years or more if they are below the permanent
water table, but they will rot quickly if alternately wet and
dry. Lowered groundwater in or above compressible soils such
as peat or organic silt, inorganic silt or clay can cause
settlement due to increased effective stress with subsequent
damage to utilities and structures.

1.24 Permissible Leakage

There is at present no common standard measure of per-

missible leakage for tunnels. This is generally determined by
the engineer in conjunction with the owner on individual pro-
jects or standarized for a complete system. The two most
important considerations should be how the tunnel will be used
and how much it will cost to achieve the desired degree of
water tightness. The latter is not always easy to determine.
This consideration must take into account the size, configu-
ration and probable construction method of the tunnel. As
discussed previously the conditions of the ground and ground-
water help to determine applicable control methods. When
permissible leakage is specified, it is usually given in two
parts, a maximum flow for a given tunnel length or inside sur-
face area, and a maximum leakage at any given point. The
latter is usually a verbal description such as, "there shall be
no visable leaks ,or "so dry that dust does not cling".
 . .

The Construction Industry Research and Information

Association (CIR1A) of London has suggested a permissible
leakage classification system in a recent report (Ref. 25). It
is reproduced here as Table 1. To the original table there is
an added column of units (gpm/10,000 ft. 2) f or those readers
not yet used to thinking in metric units.

Table 1 CIRIA-Permissible Leakage Classification

MAXIMUM PERMISSIBLE LEAKAGE

CIRIA <\

Classification Li tre/dav/me tre (gpm/10,000 ftg)

Nothing Visible Nothing Visible

A 1 0.17
B 3 0.51
C 10 1.70
D 30 5.11
E 100 17.04
U Unlimited Unlimited
Notes

1. A stated class is applied to define the upper limit for

overall leakage flow arising in a given tunnel.

2. A stated class is applied to define the upper limit of local

leaks measured over one of two standard 'square' areas on
the internal surface of the tunnel, having either 1 m or
100 mm sides.

3. Examples of notation:
A/all: B/l = Class A overall, Class B over 1 m square
A/all: B/100A = Class A overall, Class B over 100 mm
square

For comparison with this table, some specifications of rapid

transit agencies, summarized in Section 7 of this report give a
permissible leakage range of 0.2-0.4 gpm/10,000 square feet
(1-2 litre/d/m^) which would rate a "B classification on the
'

CIRIA scale. The CIRIA table of backup data on permissible

leakage of various types of tunnels is drawn only on experience
in the United Kingdom. No comparable work done in the United
States has been found. This would be a worthwhile study in the
near future, to justify or modify the CIRIA classification
system and recommend guidelines for its use in specifying water-
proofing for tunnels under varying use conditions. These could
then be either accepted or modified for use on individual
projects

The CIRIA report further recommended the following defini-

tions for descriptive terms in the event they were used in
specif icatons:

8
 Damp Patch: Discoloration of part of the surface of
a lining, moist to touch.

Seep: Visible movement of a film of water

across a surface.

Standing Drop: A drop of water which does not fall with-

in a period of 1 minute.

Drip: Drops of water which fall at a rate of

at least 1/min. (Note: 1 litre/day is 3
to 4 drips/min.)

Continuous Leak A trickle or jet of water. (Note: Drips

become a continuous trickle when they
fall at a rate of about 300/min.)

It is recommended that these or similar measurable, defined

quantities be used as they are considerably preferable to des-
criptive terms subject to varying interpretation by individual
contractors and inspectors.

1.30 EVALUATION OF SITE CONDITIONS

The urban environment in which most underground transporta-
tion tunnels and stations are constructed, influences in many
ways, the location, design and construction of such structures.
To the natural soil conditions that existed in such areas, man
has disturbed and altered such conditions with excavations,
backfills, pile driving, rerouting water courses, and often in-
advertently contaminating soil and groundwater. He has, in a
more or less haphazard manner, placed piles, deep foundations,
and a maze of assorted utilities in the ground. Where there are
no structures, he has usually placed a mantle of concrete and
asphalt which effectively hide all traces of the original soil
and rock outcrops. Although man has added to the complications
of evaluating site conditions, these very same activities have
added to his knowledge of the urban underground environment.
More stored knowledge based on previous investigations made for
existing structures is available for most urban areas than for
more rural areas.

1.31 Preliminary Studies

Accumulated knowledge of ground conditions available in the

form of maps of original ground surface conditions, previous
geophysical investigations, foundation excavation experience,
and other tunnel excavation experience can be of considerable
help in augmenting preliminary studies. The dense urban busi-
ness districts and outlying residential areas that create the
need for transportation tunnels also limit alternate route
alignments to relatively narrow corridors. Unless tunnnel
construction coincides with an extensive urban renewal program,
economy dictates that alignment be confined primarily to exist-
ing street right-of-ways, with minimum purchase of private
property. Even vertical alignment has built-in constraints.
Cut-and-cover construction is most cost effective when construc-
ted as close to the surface as possible. (Ref. 144) For tun-
neling, depth considerations are much less important than the
type of ground. Other conditions being equal, tunneling is most
cost effective in the following order: 1) All in rock, 2) All in
earth, 3) In mixed face conditions. The ground surface or the
top of bedrock may be steeper than allowable vehicle road or
transit rail grades, limiting the alternatives even further.
Added to these restraints, and of prime importance in this
report, are those relating to groundwater conditions. General-
ly, in uniform soil conditions, the deeper the tunnel alignment
below the water table, regardless of whether it be constructed
by tunneling or cut-and-cover, the more costly the methods of
groundwater control become. Relatively impervious soil or rock,
however, limits the amount of potential water flow that must be
controlled.

Important, and often irreversible, decisions of alignment,

tunnel configuration and locations of stations, vent structures,
etc., are made on the basis of preliminary studies. Although
later detailed studies may show problems that were not previous-
ly known, special interest groups or institutional restraints
may oppose changes in alignment and station locations. The gen-
eral nature of the preliminary studies, and the need to review
a number of alternate sites, limits the amount of field inves-
tigations performed. It is necessary therefore to locate and
utilize previous studies to the extent they are available. A
number of studies have been made on the types and availability
of geotechnical data needed for tunneling (Ref. 8, 39, 112,
113). The U.S. Geological Survey study (Ref. 39) gives a
summary of available data for selected urban areas including
groundwater data. A summary of major sources of available
hydrological data is given in Section 3 of Volume 1 of this
report

As a thorough discussion on the geohydrological data

required for determining groundwater controls is given in
Section 3 of Volume 1, it need not be repeated here except to
summarize those portions applicable to the permanent struc-
ture. Acquisition of hydrological data has unfortunately not
been sufficiently stressed in most preliminary studies unless
unusually severe flow conditions are expected. An early pre-
liminary evaluation of hydrologic qualities of tranmissibility
storage capacity, boundary conditions and water quality is
necessary to determine the potential problems. In general the
same basic data are required for determining groundwater con-
trol for the permanent structure as required for construction
except that additional testing of water quality for natural or
man made waste contaminants is necessary to determine corrosion

10
 .

potential and for the selection of waterproofing materials. On

most projects the information needed to properly evaluate the
need for groundwater control during construction exceeds that
required for waterproofing the permanent structure.

In general, preliminary geotechnical investigations include

widely spaced test borings along one or more proposed tunnel
alignments. The location of borings at this stage is often
determined by ease of access at approximately equal distances
along the proposed tunnel routes. In addition to detailed
logging of the holes, several routine types of testing may be
performed. These include borehole permeability testing of soil
units, pressure testing of rock units, groundwater quality test-
ing, and the installation of observation wells. Any observation
of artesian or perched water conditions should be noted.

1.32 Detailed Studies

A discussion on detailed geohydrological studies is also

given in Section 3 of Volume 1, and will be summarized here.
After determination of final tunnel alignment, detailed geo-
technical and geohydrological studies are conducted on this
alignment to augment the preliminary studies, define any sus-
pected problems areas, to aid in final structure design, and to
aid in construction. These detailed studies generally include
additional routine field studies, laboratory tests, and special
testing

Routine field studies consist of additional wash borings

and core borings to supplement the preliminary borings to
produce a geologic profile along the proposed alignment. The
number of borings will vary with the complexity of the system
and subsurface conditions. In addition to supplying soil and
rock samples the boreholes can be used for groundwater obser-
vations. While borehole permeability tests are not sufficiently
accurate to define aquifer transmissibility they can indicate
changes in permeability and aid in planning large scale special
investigations. Observation wells and piezometers can be
installed in completed boreholes for establishing piezometric
levels in confined and unconfined aquifers, and for monitoring
water levels during special testing and construction. Water
samples can be obtained from the observation wells for water
quality testing.

Laboratory testing for hydrological properties are performed

on both soil and water samples. Soil samples can be used to
establish gradation of soil units to aid in evaluating the vali-
dity of the borehole permeability tests. Extreme care must be
taken in obtaining undisturbed soil samples to insure a close
correlation between laboratory test results and actual field
conditions.

11
 Careful visual photographic examination of soil and rock
samples can be useful in evaluating the potential variation
between vertical and horizontal permeabilities of soil units
and the size and condition of joints in rock units. Water
quality tests should be aimed at assessing possible effects on
construction methods and the completed structure. Chemicals or
contaminants in the water can have adverse effects on the use
of some grouts, bentonite slurries or waterproofing material.
Some chemicals will speed corrosion of embedded metal in the
event of leakage into the completed tunnel. Water quality
tests should include conductivity, temperature and pH tests.

During the course of the primary investigations, develop-

ment of the general geohydrologic profile may indicate that
additional special field investigations are warranted. Where
the predrainage of an aquifer may be required, pumping tests of
sufficient size and duration to provide data for proper planning
and design of the system may be called for. If grouting, freez-
ing, dewatering by electro-osmosis, or difficult cut-off wall
construction are being considered, a test section may be war-
ranted. Each situation must be considered individually. While
the costs of such special investigations are comparatively high
they must be weighed against the alternative of not having the
information to be gained. If the designer is faced with insuf-
ficient data his waterproofing design will necessarily be
conservative. If the contractor is faced with insufficient data
to plan his construction operation it will most likely add to
the contingency costs in his bid. The planner must consider
these factors when such special investigations are being
assessed

Based on the results of the preliminary and detailed

geotechnical investigations and other available data, the
planner must design the tunnel or underground structure to be
structurally safe, watertight, and as maintenance free as pos-
sible during its life span. Depending on the tunnel use and
general construction methods, the designer will specify one or
more groundwater control measures as detailed in the next five
sections of this report. The criteria used in selection of the
most appropriate control methods for individual projects is re-
viewed in Section 7 following the descriptions of methods.

12
 2.00 WATER-RESISTANT CAST-IN-PLACE CONCRETE LININGS

2.10 GENERAL

2.11 Purpose

Cast-in-place concrete tunnel linings often serve as the

major permanent support of the ground load. In tunnels through
sound rock capable of maintaining a stable opening, rock bolts
with or without shotcrete may be sufficient for reinforcing the
rock and for preventing local spalling. A concrete lining may
still be specified if a smooth finish is required for hydraulic
properties in water tunnels, or for aesthetic purposes in public
areas of transportation tunnels. If groundwater is present and
a dry tunnel is required, the lining must also resist hydrosta-
tic pressure. The increase in the quantity of concrete required
to withstand this pressure may be great and some designs provide
for pressure relief by drainage outside the permanent lining.
The long term effectiveness of such drainage systems is subject
to proper design and construction procedures for the tunnel,
ground conditions, and groundwater conditions of a particular
project. Railroad tunnels usually have high vertical walls
which offer poor resistance to high water pressure. As standard
practice the AREA Manual for Railway Engineering recommends
(Ref. 4):

"6. Drains

"Wherever groundwater is encountered, vertical and

diagonal openings, trench drains, tile or iron pipe drains
shall be installed between the concrete lining and rock.
Provide adequate outlets through sidewalls with the outer
end of the outlets not less than 12 in. above the bottom of
the gutter. Provide subdrains under the concrete floor
wherever groundwater is found. Provide drains through curb
to drain ballast section.

"Wherever groundwater drains are installed, they shall

be sealed to the rock so as to prevent being clogged when
conrete is poured."

The invert slab must either be sufficiently strong and heavy

to resist the uplift pressure of the groundwater or contain
weepholes to permit the flow of water through the slab and then
into the tunnel drainage system as has been done in some sec-
tions of the New York City subway when a six-inch slab is used
on rock inverts (Ref. 93).

13
2.12 Lining Thickness

For tunnels in either soil or rock that have no groundwater

infiltration problems there are various minimum concrete thick-
nesses suggested. An old rule of thumb for rock tunnels is 1
inch (25 mm) of concrete for every foot of tunnel diameter but
not less than 8 inches (200 mm) (Ref. 88). Concrete thinner
than 8 in. (200 mm) is difficult to place. If drill and blast
overbreak averages about six inches (150 mm) the actual average
minimum thickness of concrete in a drill-and- blast hard rock
tunnel would be 14 inches (350 mm)

For railway tunnels with a drainage system outside the

lining to reduce water pressure, AREA recommends thicknesses of
14 to 15 inches (360 to 380 mm) for tunnels 16 to 29 feet (5 to
9 m) wide by 25 to 30 feet (7.5 to 9 m) high if placed against
timber or steel primary supports with lagging or liner plates.
If placed against rock, the recommendation is 18 inches (500
mm) for the narrower tunnels and 24 inches (600 mm) for the
wider ones (Ref. 4).

Modern tunnel designers recognize the overdesign of the

rule of thumb determinations. With better site investigations
and new approaches to design, considerable savings can be made.
The designer using the predesign site investigations produces a
conservative original design based on the worst anticipated con-
ditions. Using field determinations of the actual ground condi-
tions surrounding the now existing opening, a more economical
design can be prepared and utilized if appropriate (Ref. 10).

In keeping with these new approaches the United States

Water and Power Resources Service (formerly the Bureau of
Reclamation) ,uses lining thicknesses from 8 inches (200 mm) to
more than 3 feet (900 mm) for tunnels 17 to 21 feet (5 to 6.5
meters) in diameter (Ref. 10). California's Department of Water
Resources varies the thicknesses of concrete for a given dia-
meter tunnel also, but does not use so wide a range.

In Ontario, Canada, the thickness of the secondary lining

for tunnels in soft ground requiring an initial support system
is generally 1 to 1-1/2 inches (25 to 37.5 mm) per foot (300 mm)
of finished tunnel diameter and is unreinforced (Ref. 56).

When the tunnel must be kept dry the concrete lining must be
made strong enough to withstand the hydrostatic pressure as well
as ground loads. R. B. Peck (Ref. 102) demonstrates the magni-
tude of this change. The illustration assumes a 20-foot tunnel
built in fair to good quality rock at a depth of 2500 feet (760
m). Steel sets are used to support the rock load and 12 inches
(300 mm) of concrete, compressive strength 4,000 psi (30 MPa)
would be placed to protect the steel from corrosion, the water
draining around the tunnel into a drainage system. When this
is changed to an impervious lining the required thickness be-

14
comes 32-1/2 inches (830 mm) an increase of 1707o. He further
states, that were the lining shotcrete instead, the corrosion
protection coating could be 4 to 6 inches (100 to 150 mm) thick,
but if the shotcrete lining were to support the hydrostatic
load, at a thickness of 32-1/2 inches (830 mm), the increase
would be 5507o. Although most transportation tunnels are rela-
tively shallow, they may pass under hills or through mountains
where high water pressures must be considered.

2.20 STRUCTURAL DESIGN FOR WATERTIGHTNESS

If a cast-in-place concrete tunnel lining must have the

strength to resist the hydrostatic pressure, it should, pre-
ferably, be impervious thus serving as a major deterent to the
infiltration of the groundwater. This is possible with today's
concrete technology, manufacturing techniques, and equipment.
To place such concrete, however, requires rigid control of all
materials and processes involved. This can add greatly to the
cost and prove difficult in an adverse tunnel environment.

2.21 Where Leaks Occur

Water can pass into a concrete structure through joints,

cracks, honeycomb, and the pores within the concrete itself.
To produce impervious concrete all joints must be carefully and
permanently made watertight, design must be such that cracks do
not develop, honeycomb must be prevented by careful placement,
and all pores capable of transmitting water must be filled or
otherwise closed off from the groundwater.

2.22 Structural Design

To accomplish these things the subgrade and foundations of
cut-and-cover tunnels must be designed and prepared to prevent
settlement cracks. If this cannot be done an elastic membrane
must be used to bridge the settlement cracks when they occur.
The structure itself must be designed to support, without crack-
ing, all loads to which it may be subjected from the start of
construction through the period of its expected usefulness.

For tunnels in competent rock ground support requirements

may be minimal and the concrete lining may carry little or no
rock load. For tunnels in soft ground the support is usually
rigid and the strength requirements can be calculated with
adequate accuracy (Ref. 88). Design of tunnel linings in poor
quality rock is much more difficult. During and after excava-
tion, the rock mass will loosen and may collapse if not sup-
ported quickly. If relatively rigid steel rib supports are
placed they must be sufficient to carry the entire rock load.
A more flexible support such as shotcrete, with rock bolts if
necessary .will permit the redistribution of rock loads and aid
in stabilizing the tunnel opening. This must be considered

15
during the design of the permanent lining of such a structure.
With the recent research efforts toward continuous tunnel
construction, with concreting of the lining following immedi-
ately after the excavation, these higher loads must be provided
for to avoid failures. Use of a preliminary lining of more
flexible shotcrete that allows redistribution of loads is pre-
cluded by this type of construction. In any type of ground, if
the concrete lining is to prevent groundwater infiltration, the
permanent lining is more likely to be free from cracks if it is
placed after the ground movement has become minimal (Ref. 14).

Since concrete is weak in tension and reinforcing steel must

carry the tensile loads, the use of at least twice the minimum
longitudinal reinforcing steel required by ACI for shrinkage is
recommended (Ref. 15). This decreases the likelihood of shrink-
age cracks and decreases the stress in the steel.

2.30 DESIGN OF CONCRETE MIX

The design of watertight concrete should follow the best

practices used in the design of high quality structural con-
crete. The aggregate should be clean, sound, not reactive with
the cement, free from organic and other deleterious materials
and sized appropriately for the section to be placed. The
aggregate should be well graded so that the voids in the com-
bined aggregate are at a minimum. The portland cement should
be of the type best suited to the ground conditions, type of
structure, and conditions of placing. The water should be free
from delterious amounts of akalies, acids, chlorides, oils and
organic materials. Any admixtures used should be compatible
with the other constituents of the mix. The water-cement ratio
should be as low as possible consistent with good workability.
All conditions which must be considered in designing for
durable concrete in the situation in which the watertight
concrete is to be placed must be considered in the design. If,
as might be true near the entrance to a tunnel, the concrete
will be subject to freeze-thaw cycles the mix must be designed
to withstand these. If loads will have to be carried soon
after placement, a high-early-strength design will be needed.

Besides these requirements for high quality structural

concrete a few other requirements must be considered.
2.31 Porosity

For water to flow through hardened concrete there must be

interconnected pores large enough for it to pass through.
Concrete consists of the cement paste, which may include some
admixtures, and the aggregates. If the hardened cement paste
is porous, obviously the hardened concrete will be porous. But
also, if the aggregate is of porous rock and not completely sea-

16
led by the paste from the groundwater the hardened concrete will
be porous. This porosity does not necessarily affect the
strength of the concrete.

Aggregates
Ideally the aggregates should come from rock of very low
porosity. This is especially important if the cement paste is
somewhat porous since it reduces the effective area through
which the water can flow and increases the length of the path
thus reducing the rate of flow (Ref. 89).

Cement Paste

The cement used in the mix should be a fine-ground cement

since studies have shown that the porosity of fully hardened
cement paste, for a given water-cement ratio, is greater for
coarse-ground cement than for fine-ground cement (Ref. 89).
The water-cement ratio used in the mix design is of prime
importance in controlling the porosity. The lower the water-
cement ratio the lower the permeability (Ref. 45). Admixtures
which improve the workability of low water-cement ratio mixes
may be used to good advantage. Air entrainment admixtures do
so and are especially useful because they increase the density
and reduce segregation and bleeding (Ref. 116). The entrained
air bubbles help to keep the aggregate particles from touching
so that they are truly surrounded by the cement paste thus
sealing off any pores in the aggregate particles.

2.32 Shrinkage Resistance

Resistance to shrinkage must also be considered in

designing the mix. Two types of shrinkage occur during the
hardening of concrete. One is due to the drying out of con-
crete and the other to reduction in temperatature

The less water incorporated in the mix the less there is to

dry out. Therefore the lowest water-cement ratio that will per-
mit good placement should be used. The water-cement ratio can
be reduced by the addition of chemical admixtures such as
Plastocrete by Sika or, if the available aggregates are
deficient in fines, the addition of finely divided materials.

Another means of controlling shrinkage is to use an expan-

sive cement or an admixture which causes expansion of the con-
crete during hardening. This expansion compensates for the
shrinkage due to drying.

Thermal shrinkage occurs because the temperature of the

concrete as it hardens is greater than the service temperature
of the hardened concrete. This may be due to the temperature
of the material when mixed and placed or due to the heat

17
released by the chemical reaction during hydration. The amount
of this shrinkage can be reduced by chilling the plastic con-
crete before placing, by replacing a portion of the portland
cement with a material such as pozzolan which will act as a ce-
ment but does not produce as much heat during its hydration,
using as little portland cement as possible while still meeting
the requirements for strength, impermeability, and workability,
spraying cooling water on the forms after the concrete has been
placed, and curing with cool water sprays (Ref. 15). Where ex-
treme measures are required to minimize temperature shrinkage
cracks cooling water can be piped through the new concrete low-
ering the temperature at the center thus keeping the entire pour
at a more uniform temperature (Ref. 73). While the reference by
Janssen describes this method being used for prefabricating sun-
ken tube tunnel sections, no reference has been found of its use
for a cast-in-place lining.

2.33 Chemical Resistance

To construct a watertight tunnel not only must it be struc-

turally adequate and watertight at the time of completion but,
ideally, it should remain so throughout its useful life. For
this reason, before an appropriate concrete mix design can be
prepared, it is necessary to determine the environment, both
external and internal, to which the concrete will be exposed
during its life. By altering the constituents of the mix it can
be made resistant to many of the aggressive chemicals present in
soils and groundwater. For instance, the use of a Type II or V
portland cement will offer resistance to sulfate attack, or
Type I may be used with the addition of pozzalons that have
been field tested and found suitable.

To determine the external conditions a careful site investi-

gation is helpful, but during excavation the ground conditions
should be monitored so that the mix design can be altered when
conditions change. It is also advisable to study surrounding
conditions which, through the years, might alter the impurities
carried by the groundwater. Resistance of the concrete to the
external environment is extremely important since the exterior
of the tunnel is inaccessible once it has been completed.

The internal environment will be the result of the use to

which the tunnel is put. A tunnel used by motor vehicles will
contain exhaust gases and dripped oil and gasoline. One used
for electrically run vehicles will be subject to strong elec-
trical currents. Just as tunnels which had been constructed
for horse-drawn vehicles later became tunnels for coal-burning
or gasoline-burning engines, so new tunnels designed for today's
equipment may well be used for very different equipment a hun-
dred years from now. We cannot design for this change but since
the internal surfaces are accessible they could probably be
treated or coated to protect them from any new aggresive condi-
tions so that designing for the anticipated use should be
adequate.

18
 The compatibility of the concrete with any other material
to be embedded in it must be considered. If a chemical reaction
between the two is possible, it is likely that it will deterio-
rate the concrete. Aluminum, for example, reacts principally
with the alkali hydroxides in the cement. The resultant com-
pound occupies more space that its constituents and therefore
it can crack and spall the concrete. Iron when sufficient
oxygen is present, is also expansive in concrete. Aluminum
items must be coated but iron need not be unless oxygen will be
available at the location of the iron.

2.40 PREVENTION OF CORROSION OF REINFORCING STEEL

To maintain the integrity of the concrete for the many years
of service expected of a transportation tunnel corrosion of the
reinforcing steel must be prevented. The iron oxide produced
occupiesa much greater volume than the iron that has been oxi-
dized, so the concrete around the steel will crack. If this
corrosion of the reinforcing steel continues for a long time
the tensile strength of the section will be reduced.

If corrosion of the reinforcing steel is taking place it is

generally first noticed as a rusty line on the surface of the
concrete parallel to the steel. The corrosion product, having
a greater volume, is cracking the thin section between the bar
and the surface and some of the rust has seeped through.
Generally the alkaline nature of portland cement deters the
oxidation and adequate cover of the steel is required by draw-
ings or specifications to keep water and oxygen away from the
steel. If, however, the aggregate used is too large or too
little vibration is used, the cover on the bars may be porous.
This must be prevented by good design and placement practices.
The graph of Figure 2 shows the relationship between the thick-
ness of cover over reinforcing steel and permeability of
concrete.

The higher the stress in the steel the more rapid the corro-
sion. To minimize the effects of corrosion, intermediate grade
steel should be used with higher than the theoretical design
area. This also aids in the reduction of shrinkage cracks.

If ground conditions are particularly conducive to

corrosion of the steel it may be necessary to use cathodic
protection.

2.50 JOINT DESIGN

Every joint in the concrete is a potential leakage path.

Therefore, for watertight concrete, particular care must be
taken to make all joints watertight. Since this is expensive,
it is advantageous to design the structure and the concrete mix
to reduce the length of the joints to a minimum.

19
 (1) 1/2 3/4 (2) (3) 1 1/2 (5) 2

THICKNESS OF COVER-IN (CM)

Figure 2 - THICKNESS OF COVER AND PERMEABILITY

(From Birkmyer, Ref. 14)

20
 .

2.51 Types of Joints

Large concrete structures such as concrete lined tunnels

are usually divided by joints to facilitate construction and to
prevent the formation of cracks due to drying shrinkage, creep,
temperature stresses, water pressure and differential settle-
ment. There are three types of joints used to accomplish this.

Construction joints are joints required by placing limita-

tions. Slabs and the walls above them are usually placed
separately with a construction joint between, which will, hope-
fully, function as though no joint were there. Also it is
generally impractical and unwise to place long longitudinal
pours. A long pour is more likely to develop shrinkage cracks,
but a well designed concrete mix with good control of the con-
crete from design through curing will make longer pours
possible.

In cut-and-cover structures of the rectangular box type

there is, commonly, a longitudinal construction joint between
the invert slab and the walls and frequently between the walls
and the roof. In bored tunnels if the walls are high and
straight as in railroad tunnels there may be a joint between
invert slab and side walls, and side walls and arch. If the
tunnel is horseshoe in shape and not high, the joint just above
the invert slab will probably be all that is required. Concrete
for circular tunnels is sometimes placed without any longi-
tudinal construction joints. If the concrete is shrinkage
controlled this is the ideal situation, reducing the joints to
a minimum.

Contraction joints are joints which are designed to open

when the concrete shrinks due to drying or a decrease in tem-
perature. In other words they control the location of shrinkage
cracks. In waterproof construction they must be bridged with an
elastic membrane, such as a waterstop, to prevent the flow of
water

Expansion joints are joints designed to be open under normal

temperature and at least partially closed when the temperature
of the concrete increases. These are intended to prevent exces-
sive compressive stress in the concrete. In tunnels these are
seldom necessary because temperature variations are usually
small (Ref. 4). However, near the tunnel entrances temperature
variations may be sufficient to require expansion joints.

2.52 Waterstops

Waterstops are metal, rubber, or plastic strips placed in

joints to prevent the flow of water when the joint opens. Metal
waterstops are rarely used today (Ref. 119). The type and
magnitude of the anticipated joint movement and required che-
mical resistance determine the materials used and the design of

21
the central portion of the waterstop. The ability of the
material to withstand extensive elongation and return essen-
tially to its original configuration is important. The
materials used in the waterstops must retain this ability to a
sufficient degree to fulfill the waterstopping function for the
anticipated useful life of the structure. Materials are some-
times tested for the retention of this ability after artificial,
accelerated aging. A report on natural rubber indicated a life
of 100 years at 20oc and 400 years at 10oc (Ref. 44).

Various cross sections have been developed in an attempt to

make the edges of the strip hold in the concrete when contrac-
tion of the concrete opens the joint. The size of waterstops
is usually between 3 and 12 inches (75 and 300 mm) wide and
3/32 and 1/2 inch (2 and 13 mm) thick.

The configuration customarily used for rubber waterstops is

the dumbbell profile. This has a round bead at each edge and
may or may not have a hollow center bulb. Polyvinyl chloride
(PVC) waterstops usually have ribbed flanges with or without a
hollow center bulb. If considerable differential movement is
anticipated a waterstop having a thin, weak longitudinal section
can be chosen (Ref. 119). When movement occurs the bulb splits
forming a U-shaped conf iguaration and a differential movement
of approximately the bulb circumference can be accommodated
without rupture of the waterstop. Typical configurations of
metal, rubber and PVC waterstops are shown in Figure 3.

STUVA, the Studiengesellschaf t fur unterirdische

Verkehrsanglagen e.V. (Research company for underground traffic
systems) in Koln, West Germany, has developed and tested new
configurations for improving the sealing properties of the dumb-
bell profile. These include a cross shaped edge consisting of
3 tee-shaped arms in place of the round edge bead, ribbed edge
bead with a hard core, and ribbed hollow bead into which mate-
rial could be injected after placement, developing positive
pressure against the hardened concrete (Ref. 108). The latter
design makes possible a good seal even where small defects exist
in the concrete around the bead.

If waterstops are to do the job for which they are intended

they must be properly installed. During the first concrete
pour the waterstop must be secured so that its center line is
centered in the joint, its embedded edge secured so that it will
not be shifted during placement of concrete and its extended
half is protected from concrete, curing compounds and all other
foreign matter. The sealing of joints between pieces of water-
stop and the proper making and sealing of intersections, corner
turns, and other changes of direction is very critical. The
extended half must be supported so that it will not curl under
when concrete is poured against it. This can be done by wiring
the edge to the reinforcing steel or the forms every 12 inches
(300 mm) or as required by the conditions of placement.

22
 1

Rigid Metals Copper Waterstop

1st POUR 2nd POUR

±: rx
c** %'
f\ u '* . ,

Wl4>

CAST-IN- PLACE
S5H"
jj jpr
*

SECONDARY
SEALANT
to
.

A
Rubber Waterstops Polyvinylchloride Waterstops

c o n_n_n_n_n
Lru-Lnj-u
n__n_n_n_n
Lru~-u~u~-d

0=0 p n n n n
Lr-U-LT-Lnj
y"?y
\3L))
n_n_n_n_n
U-J-TJ-U-J

Sealtight DUO-PVC Waterstops Sealtight "Nail-On" DUO-PVC Waterstop

ru-n_n__n_n 1 1 1 n_n_n_n_n
LrLr-Lr-Lru LrLrLn_ru
y K\S.\mvWiWw9

Figure 3 - TYPICAL WATERSTOP CONFIGURATIONS

(From Stilling - Ref. 119)

23
 For horizontal joints where the concrete is dropped upon
the extended position it is sometimes recommended that a layer
of grout be placed over the waterstop just prior to the concrete
placement to prevent excessive movement and to insure against
honeycombing and voids. A special form of waterstop has been
developed for such joints (Ref. 88). It's much shorter and
wider than those discussed above with keys to grip the con-
crete. It is less susceptible to deflection by the second pour.

The concrete around the waterstops must be sufficiently

vibrated to avoid honeycombs and voids and to insure complete
bonding of the concrete to the waterstop.
2.53 Design of Construction Joints

If the concrete is reinforced the reinforcement must be con-

tinuous through construction joints. If the fresh concrete can
be placed so that it bonds perfectly with the hardened concrete,
the joint will be watertight without any additional materials.
Since this is difficult extra precautions are usually required.
These may include of the installation of a waterstop across the
joint or a bentonite backing outside the joint. In cut-and-
cover construction the bentonite backing may be applied just
before the backfilling operation. A channel is blocked out
across the joint during placement of both concrete pours and
later filled with bentonite compound or tube, and a bentonite
strip 18 inches (450 mm) wide, or as required, is centered over
the joint and secured. Then the backfill is placed. This
detail can be used for the longitudinal joints and the wall and
roof construction joints. With slight modification this joint
can be used even when concrete is placed against the excavation
or excavation support. The bentonite application is simpler to
apply than a waterstop and has the advantage that it is gen-
erally self-healing and will fill small cracks in the concrete
itself whereas if the waterstop is overstressed and fails repair
is difficult. Typical construction joint details are shown in
Figure 4.

2.54 Design of Contraction Joints

Contraction, or control, joints are intended to permit the

concrete to contract without the development of random cracks.
If reinforced, the reinforcing steel crossing the joint is
treated with a bond breaker so that as contraction occurs there
is less tensile strength at the joint making it a favorable
location for a crack to occur. The weakness of this plane is
further enhanced by chases along each face of the concrete as
shown in Figure 5. These chases are then waterproofed. The ex-
terior chase may be treated with bentonite panel and compound
as described for construction joints and the interior by fillers
and sealants or by expansive caulking yarn and a layer of keep-
ing yarn (Ref. 14 I

24
 )

PVC WATER STOP

(8-IN. WIDE TYPICAL)

DETAIL A

IN. PVC WATER STOP

DETAIL B

BENTONITESEAL
BENTONITE COMPOUND

DETAIL C

LONGITUDINAL JOINTS
(1 mi = 25.4 ram.

Figure 4 - CONSTRUCTION JOINT DETAILS

(From Birkmyer, Ref. 14)

25
 4 IN. TYP.

T&
^±1/3-— =-^

^ 1/3
4^ 30 IN. TYP.

PVC WATER
i
/ EARTH
STOP 7
*-
1/3

^typT

DETAIL A - INVERT JOINT

EARTH

TYP.
18 IN. TYP.

3 IN. TYP.
PVC WATER STOP'

DETAIL B - ROOF JOINT

4 IN. TYP.

ft
mw^^7&

<>
-><-

18 IN. TYP

-><-
^^//^///i///^m///*///y//i'///^/^///^//^^

PVC WATER STOP'

(1 in. = 2.54 cm)
DETAIL C WALL JOINT

TRANSVERSE JOINTS

Figure 4- - CONSTRUCTION JOINTS (continued)

(From Birkmyer, Ref. 14)

26
 <*-2IN.

APPLY BOND BREAKER

TO THESE BARS

•BENTONITE PANEL
BENTONITE COMPOUND
3-IN. DEEP

2 LAYERS 3/8 IN. EXPANSIVE

CAULKING YARN
18 IN.

1 LAYER 3/8 IN.

KEEPER YARN

5/16
CONCRETE IS PLACED DI-
* IF

RECTLY AGAINST FORMING,

CONCRETE COVER SHOULD BE
INCREASEO FROM 2 IN. TO
TO ALLOW SPACE FOR
2-1/2 IN. DETAIL
BENTONITE PANEL
(1 in. = 2.54 en)

Figure 5 - CONTRACTION JOINT DETAIL

(From Birkmyer, Ref. 14)

27
 .

The distance between contraction joints is dependent on the

design of the concrete mix and the anticipated control of the
mixing, transporting, placing, and curing. They should be
placed so that no large cracks occur rupturing the waterstop or
permitting the bentonite to wash through the crack.
2.55 Design of Expansion Joints

In long runs of concrete where normal temperature ranges are

great it is necessary to leave a space from time to time so that
as the temperature of the concrete increases the compressive
stresses in the concrete do not become too great. No reinforc-
ing steel crosses an expansion joint. Usually the first pour
is made and when ready for the second pour a premolded joint
filler is placed against hardened concrete and fresh concrete
is placed against the joint filler. When completed, a joint
sealer may be applied at the surfaces. Then as the concrete
expands the joint filler is compressed reducing the compression
stresses that would otherwise develop in the concrete. Many
joint fillers are resilient and return to their original thick-
ness as the temperature drops. However, if an expansion joint
is required below the water table a waterstop should be used to
prevent leakage before the filler has returned to its proper di-
mensions or in the event that the filler is overstressed and
breaks down. It is very important to be sure the center bulb
is not bonded to the concrete and is centered in the joint.

Temperatures in underground structures below the water

table rarely vary greatly so the protection provided by a
waterstop may not be needed even where an expansion joint is
considered advisable.

2.60 MIXING AND TRANSPORTING THE CONCRETE

The same mixing and transporting practices needed for

highquality structural concrete are needed for watertight
concrete
2.61 Mixing the Concrete

Thorough mixing is extremely important since it improves

plasticity resulting in better placing and distributes the
constituent materials uniformly. The fine and coarse aggregates
must be mixed to produce as compact a mass as possible with the
cement paste, including any admixures used, completely surround-
ing each aggregate particle. During hydration of the portland
cement considerable heat is generated. To prevent temperature
shrinkage cracks it is well to chill the constituent materials
so that the temperature of the curing concrete will not appreci-
ably exceed the normal ambient temperature of the structure in
use (Ref. 13). This cooling is also helpful if the weather is
hot, especially in cut-and-cover construction.

28
 .

2.62 Transporting; the Concrete

During transportation of the concrete to the point of place-

ment, segregation must be prevented. The means of doing this
are well established. In cut-and-cover construction there are
no more difficulties than in deep building foundations.

In under-the-roof construction and bored tunnels the trans-

?orting of concrete becomes more complicated. Except in very
arge and long tunels where a portable batch plant may be placed
in the tunnel itself the mixed concrete must be conveyed from
portal or shaft of the tunnel to the location of the pour. This
is usually done by hopper car, agitator car, or pumping. If a
hopper car is used, and the distance is long, or there is a
delay in placing, the aggregates may settle producing a poor
quality, permeable concrete. If the time from addition of water
to the dry ingredients to the time of placement is excessive the
plasticity of the mix will have been reduced and the addition of
water to restore the plasticity will produce a more permeable
concrete. Pumping concrete long distances tends to dry out the
mixture and an admixture may be required to aid the flow.

2.70 PLACING AND CURING THE CONCRETE

2.71 Placing the Concrete

Before placement begins the same precautions should be taken

as with any high-quality concrete.

1. If placed against the ground surface there should be no

projections into the design volume of the concrete.
2. There should be no standing water within the area of
placement
3. Running water should be collected and carried to a
drain so that it will not mix with the concrete.
4. All debris must be cleaned out of the placing volume.
5. Waterstops extending from a previous pour should be ex-
amined for damage and adequately supported to prevent
dispacement during the pour.
6. When pouring against hardened concrete, the hardened
concrete should be well roughened, cleaned, moistened,
and treated with cement mortar just before placement.

During placement the precautions still resemble those for

high-quality structural concrete.

1. Place carefully along waterstops so as not to bend them.

2. Place in a manner that will not cause segregation of
the large aggregate. This causes porous concrete.
3. Deposit concrete as nearly as practical in its final
position.

29
 4. Place in shallow enough lifts so that they can be well
compacted and if internal vibrators are used the top
portion of the plastic lift below can be reached by the
vibrators.
5. Vibrate the concrete to compact it thoroughly using
internal vibrators or vibrators attached to the forms
or both. Compaction eliminates rock pockets and large
air bubbles, unifies each lift with the still plastic
lift below, completely surrounds the reinforcing steel
and other embedded items with the concrete, and moves
enough cement paste to the faces and the top surface to
seal these surfaces.
6. Use special care in compaction along joints and around
the reinforcing steel, and other embedded items.
7. Once pouring has begun on a section it should be com-
pleted without interruption.

In bored tunnels one of the most difficult parts of the

lining to place is the crown.

2.72 Curing the Concrete

To obtain watertight concrete moist curing is essential.

If the concrete is allowed to dry before sufficient hydration
of the cement has taken place drying shrinkage will occur. A
minimum of seven days of water or fog curing should be required.
Steam curing hastens the development of strength but retards the
drop in permeability. In fact, without the application of fog
curing after steam curing the permeability may still be unaccep-
tably high at the end of 28 days (Ref. 89). Furthermore if the
partially hydrated cement paste is dried beyond a certain point
permeability will increase, probably due to shrinkage cracks
within the hydrated cement paste forming passages between ca-
pillaries in the paste. For this reason after moist curing has
been completed the concrete should be protected from excessive
drying conditions such as dry air draughts through the tunnel.
During the hydration period moist curing with cooled water can
also help to keep the temperature of the concrete down to
prevent temperature shrinkage (Ref. 13). Figure 6 shows the
effect of curing on permeability.

2.80 REPAIR OF DEFECTS

Control of the concrete is easier in cut-and-cover construc-

tion than in under-the-roof construction or tunneling. In the
latter, working conditions make placement of concrete difficult.
If a cut-and-cover project is covered by a continuous traffic
deck, transportation and placing difficulties may be close to
those encountered in tunneling. Even in well-supervised cut-
and-cover work without continuous decking there can still be
defects which can endanger the impervious integrity of the
concrete such as honeycombing, bolt holes, pop-outs, and cracks

30
 RELATION OF CURING TIME TO PERMEABILITY

Days of Coefficient of
Curing Permeability
Fresh Paste 1, 150,000, 000
1 36, 300, 000
->
2,050, 000
3 191, 000
4 23, 000
5 5,900
7 1, 380
12 195
24 46

Source: Corrosive Metals in Concrete, ACI Publication SP-49

25

20
E

V
15 "r

(From PCA, Ref. 45)

Leokoge.ib per sg ft per hr
Average for 48 hr
2.5
1 Non-oir -entromed concrete
1.5 = Limit of Acceptabill y=4.6 Specimens l"x 6" mortar discs
\

\ Pressure. 20 ps. (138 kPa)

2.0

C-rJ n
8 % 1.5

<r <=>

\°
\
1.0
an & \
\o
Vff 1

CM 00
\p
(VJ f>

0.5

Permeability of Steam Cured

Concrete (After Higginson, 1961)
I 3 7 14 26
Period of moist curing, day*

Effect of water-cement ratio and curing on watertight-

ness. Note that leakage reduced as the water-cement
is

ratio is decreased and the curing period increased.

Figure 6 - EFFECT OF CURING ON CONCRETE PERMEABILITY

31
 .

in the cured concrete. To ensure watertightness of the

finished structure these defects must be repaired. Surface
damages which occur during construction must also be repaired.
If the defect is visible its location and nature are obvious
but if it is disclosed merely by a wet inner surface or drip-
ping water determination of its nature may be more difficult.
The location of the leak, however, indicates where the porous
path reaches the surface so the defective concrete can be
exposed and removed.

The repairs must be thoroughly and permanently bonded to the

sound concrete, be as impermeable as the sound concrete, be free
of shrinkage cracks, be as resistant to freeze-thaw cycles, sul-
fate attack, and meet any other criteria required of the origi-
nal concrete for the structure (Ref. 141).

All unformed surfaces in the original structure should be

finished so that the surface is hard and smooth and any cracks
which develop must be sealed. Cracks will usually have to be
widened before filling and sealing.

All formed concrete surfaces should be carefully examined

for defects as soon as the forms have been stripped. If
possible, the necessary repairs should be performed within 24
hours since the bond with green concrete is generally stronger
than that with fully hardened concrete (Ref. 141). Tie holes
and pop-outs must be filled and sealed, all porous concrete
(honeycomb, aggregate segregation) must be removed and replaced
with sound concrete, and all cracks must be sealed. The
American Concrete Institute and the Bureau of Reclamation have
published procedures for the repair of surface defects which
are quite comprehensive. The procedures cover preparation
of the surface to which the patch is to be applied, types of
patching materials, their applications, finishing, and curing
as necessary. That such a procedure be carefully followed is
of paramount importance if the concrete is to be watertight
(Ref. 1, 31).

Various resins such as epoxy and polyester as well as

synthetic rubber and bituminous materials used in the repair
mortar have proved helpful in bonding and sealing of concrete
repa ir s (Ref 141)
.

If water is actually flowing into the structure, measures

must be taken to channel the flow to a drain. If the water
comes through the concrete obviously the concrete is porous in
that area and this concrete must be removed. Then the water
can be panned and piped to a drain, the area patched around the
pipe, the patch cured and then fast-setting grout pumped under
low pressure into the pipe to fill and seal the space behind
the lining and the pipe itself filled level with the inner
surface of the lining.

32
 If water leaks through a joint in the concrete, the repair
procedures taken should be suitable to the type of joint and
the reason the joint is not watertight.

2.90 INNOVATIONS
For many years a length of tunnel could be lined with rein-
forced concrete more rapidly than it could be excavated; now,
due to new developments in tunneling techniques, excavation
often outstrips the lining placement. Studies are being per-
formed to develop techniques for more rapid concreting using new
developments in concrete technology. These include regulated-
set portland cements, expansive Portland cements, polymer-
impregnated concrete, polymer concrete, f erro-cement and fiber-
,

reinforced concrete.

2.91 Regulated-Set Portland Cements

Regulated-set portland cements have been investigated to

permit more rapid advance of slipforms. Regulated-set cements
are portland cements modified to develop early usable strengths.
These cements require special handling. Usually citric acid is
added to the mix and the mixing water is cooled nearly to freez-
ing to extend the handling time. The permeabilities of
conventional mixes using these cements range from 1.0 x 10~10
m/sec to 3.0 x 10~10 m/sec. Mixes designed as pumpable,
low-void-volume mixes can reduce the permeability to approxi-
mately 6.0 x 10"H m/sec at 14 days when fog curing is used
(Ref. 62). One great disadvantage of the regulated-set port-
land cements now available is that the handling time, even with
set retarders, is extremely short. The handling times are as
short as 15 or 20 minutes (Ref. 61) which is very useful for
highway patching and similar work and adequate for casting-shop
and laboratory work, but too short for the transportation diffi-
culties and uncertain conditions in most tunnels.
2.92 Expansive Cements

One of the drawbacks with portland cement concrete is the

development of cracks in the hardened concrete due to drying
shrinkage. To reduce the cracking it has been traditional to
place large concrete areas in a "checkerboard" sequence so that
plastic concrete is placed against hardened concrete which has
already done any drying shrinkage it is subject to. The plastic
concrete fills the volume of the shrinkage of the earlier placed
concrete.

In recent years larger and larger areas have been placed

without shrinkage cracks using some expansive cement in the mix.
These mixes can be simply shrinkage compensating or they can
actually prestress the concrete if it is confined.

33
 .

In tunnels where the lining must be placed shortly after

the tunnel is excavated, such as in soft ground, this checker-
board arrangement can not be used so the expansive cements
could be extremely useful.

2.93 Polymer-Impregnated Concrete

Hardened concrete can be impregnated with a suitable monomer

and that monomer polymerized either by radiation, thermal-
catalytic techniques, or a combination. A polymer-impregnated
concrete (PIC) can also be produced by adding the monomer to
the concrete mix and subsequently polymerizing the hardened
concrete. Polymerizing changes the properties of the concrete.
To illustrate this, Table 2, reproduced from "Concrete-Polymer
Materials, First Topical Report", is shown on the following
page. This table shows some of the outstanding alterations in
the properties of the concrete so treated (Ref. 118).

All the strength values are higher, water permeability is

reduced to zero, chemical resistance is greatly improved, and
the freeze-thaw durability is improved. This is only one of
many possible polymer-impregnated concretes. The properties of
concretes containing different polymers vary considerably. One
grave drawback is the effect of high temperatures on the
strength properties. A study of concrete impregnated with poly-
methyl-methacrylate (PMMA) snowed an 807o loss of compressive
strength after heating to 500OF (260OC) and cooling to room
temperatures, and a 95% loss if heated to 1500OF (8160C)
The polymer decomposed at 1000OF (538°C) . From analysis of
the products of combustion it was concluded that PMMA-PIC did
not pose a serious health hazard when exposed to moderate or
severe fire conditions (Ref. 28). Regulated-set concretes
retain 30 to 40% of their original strength when heated to
660OF (350OC) and cooled (Ref. 62). This temperature is
used as the temperature of a moderate to severe tunnel fire
condition (Ref. 64). So in fire conditions the regulated-set
concrete functions somewhat better than concrete impregnated
with PMMA.

When loaded as a beam, polymer-impregnated concrete rein-

forced with steel fibers in lieu of reinforcing bars can sustain
much greater loads with a given deflection than unimpregnated
concrete. When it fails, it fails in a plastic manner and the
steel fibers themselves break rather than pull out so the entire
strength of the steel is utilized (Ref. 9).
Though polymer-impregnated concretes possess unique struc-
tural and durability properties the cost of producing them is
very high since, in addition to costs of producing high-quality
concrete, there is the cost of monomer handling, impregnation,
and polymerization equipment. At present it is still suitable
only for precast items though some consideration has been given
to impregnation of existing concrete structures to improve
structural and other qualities so impregnation of cast-in-place
concrete could be feasible in the future (Ref. 9).

34
 Table 2

Summary of Properties of Concrete-Polymer Material

(From Steinberg, et al, Ref. 118)

Concrete with up to
6.7 wt % loading of
polymethyl methacrylate
Concrete control specimen Co 60 gamma radiation
(type II cement) polymerized

Compressive strength, psi 5,267 20,255

Tensile strength, psi 416 1,627
Modulus of elasticity, psi 3.5 X10 6 6.3x106
Modulus of rupture, psi 739 2,637
Flexural modulus of elasticity, psi X10 6
4.3 6.2 x10 s
Coefficient of expansion, in./in.-°F 4.02 XlO- 6 5.36x10-6
Thermal conductivity at 73° F (23°C), Btu/ft-hr-°F 1.332 1.306
Water permeability, ft/yr 6.2X10-*
Water absorption, % 5.3 0.29
Freeze-thaw durability
Number of cycles 590 2,420
% wt loss 26.5 0.5
Hardness-impact ("L" hammer) 32.0 55.3
Corrosion by 15% HC1 (84-day exposure), % wt loss 10.4 3.6
Corrosion by sulfates (300-day exposure), % expansion 0.144
Corrosion by distilled water severe attack no attack

1 psi = 6.9 kPa 1°F = 0.55C. 1 ft. 0.305 m,

2.94 Polymer Concrete

Polymer concrete contains no portland c ement or other

mineral binder but uses only polymer binder s with the
aggregates. The monomers used are polymeri zed by radiation,
or thermal-catalytic or promotor-catalyt ic techniques (Ref.
79). Given the same care in mix design, mi xing, transporting,
placing, and curing, polymer concretes have much higher corn-
pressive and tensile strengths, are more im permeable, and far
less susceptible to chemical attack. They do age more rapidly
than portland cement concrete though this i s still a very slow
process. The aging results from the splitt ing of the polymer
molecules. There are many different resins modifiers, and ,

hardeners which can be used and the propert ies of the concrete
vary considerably (Ref. 42).

One particularly disadvantageous property of the polymer

concretes is the contraction of the material during condensation

35
of the resin. This reduction in linear dimension can be as much
as 0.1% for furfural-acetone polymer concretes. Epoxy-polymer
concretes show the least shrinkage. This shrinkage ceases as
the hardening process is completed (Ref. 42). Until some
meansof avoiding this shrinkage is developed the polymer
concretes would be more useful in precast elements than in
cast-in-place linings.
Heat affects the different types of polymer concretes in
different ways. One type, polyester-polymer concrete, burns.
Many others show decomposition of the polymer with evolution of
gases (Ref. 42). Some tests have been done to evaluate the
effects of geothermal temperatures on certain polymer concretes
in which the effects of temperatures up to 238°C were studied
(Ref. 79). These reported about a 60% reduction in compressive
strength after 28 days of exposure and a loss in weight (Ref.
79).

There is not yet enough known of the aging of the materials

in tunnel environments to warrant large scale use as the struc-
tural and waterproofing components of the tunnel.

Because of the high cost of polymer concrete it is unlikely

to replace portland cement concrete but it has a potential for
use as an exterior layer in underground construction with a
portland cement concrete interior lining. This would increase
flexural strength, greatly reduce permeability, and give
improved corrosion protection to the reinforcement (Ref. 89).

2.95 Ferro-Cement

Ferro-cement has been in use for over 150 years in the

constructon of boat hulls. It has shown excellent durability
and watert ightness. It consists of layers of wire mesh each
having a thin coating of hydraulic cement mortar placed by hand
or by shotcreting equipment. Because of the high steel content
(about 6 percent) and good distribution of the steel reinforcing
it is essentially crack free. Its value in underground con-
struction derives from the ease in which it can be adjusted to
unusual spatial designs (Ref. 89).

2.96 Fiber-Reinforced Concrete

Even at best the placing of reinforcing steel bars in

tunnels is difficult. For continuous slipforming of the con-
crete liner directly behind the excavation this would be vir-
tually impossible. In lieu of the reinforcement customarily
used to improve the tensile and flexural strength of concrete,
discontinuous, discrete fibers may be used (Ref. 63). They are
generally 1/2 to 4 inches (15 to 100 mm) long. Thicknesses vary
with the materials used. Many different materials have been
used but the most frequently used materials are steel, alkali
resistant glass, plastics, and asbestos. These fibers are added

36
 .

to the mix before placement. The resultant hardened concrete

behaves essentially as an isotropic material highly resistant
to cracking (Ref .89)

Steel-fiber-reinforced concrete has been used for pavements,

patching, refractories, mine tunnel linings, housing and school
buildings among other structures (Ref. 70). The fibers are of
various configurations. They may be flat, round, Duoform
(alternately round and flat), crimped, or irregular from a hot
melt. They may have plain ends, enlarged ends, or bent ends
(Ref. 63). Using aggregate greater than 3/8-inch (10 mm) max-
imum size causes the steel fibers to ball considerably, the
amount of balling increasing as the aggregate size increases.
Additional fines are usually required to improve pumpability.
Careful design is required to obtain a minimum void ratio in
the mix and it is recommended that the cement paste volume
exceed the void volume by from 2 to 5% (Ref. 97).

Glass fibers are usually alkali-resistant, chopped, mul-

tifilament strands (Ref. 97). These fibers have been used for
concrete boat hulls. The filament diameter, bundle size and
filament dispersion can be varied to suit conditions (Ref. 70).

Plastic fibers studied include nylon, polypropylene, polye-

thylene, rayon acetate, Saran, Orion, and Dacron. Plastic
fibers help the concrete to hold together since they bond well
with concrete, are flexible, and can elongate considerably
under load (Ref. 70).

Asbestos fibers have a natural affinity for water so a

higher water-cement ratio is needed to make a workable mix
producing a weaker concrete. The use of a very high percen-
tage of fiber produces products such as piping, house siding,
and wallboard (Ref. 70).

2.97 Microwave Curing

A means of obtaining high early strength studied in France
is the use of microwaves to raise the temperature of the new
concrete accelerating the hardening (Ref. 41). In general the
specimens did not reach the 28-day strength of conventionally
cured specimens but at 2 hours some specimens had 1/3 the 28-day
strength of the control. The report gives no indication of the
permeability of the concrete produced nor of the drying and tem-
perature shrinkage which may be high enough to cause cracks.
Furthermore, the technology for using microwaves for even the
large areas of precast items uniformly and safely is yet to be
developed and possible use for cast-in-place concrete work is
still further in the future.

37
 3.00 APPLIED WATERPROOFING ENVELOPES

3.10 GENERAL
When the underground structure is not of itself sufficiently
water-resistant, an envelope of waterproofing material may be
placed around the outside of the structure to prevent the infil-
tration of the groundwater into the structure. This is done
frequently in cut-and-cover construction but may also be applied
to soft ground or rock tunnels. When the groundwater head is
not great or when the only protection required is from water
seeping through the ground from above, often only the roof or
roof and walls receive waterproofing. However, when structures
are below the water table they may be completely surrounded by
a membrane made continuous by overlapping and sealing the sec-
tions of the membrane.

If a tunnel or structure is constructed using a primary and

secondary lining the membrane waterproofing may be placed be-
tween these two linings. This is sometimes done in bored tun-
nels. Here the outer structure usually is designed to withstand
the earth load and the secondary or inner structure is designed
to support the hydrostatic load.

The waterproofing membrane should be selected so that its

useful life in the specific application will be 100 years or
more.

Extremes of temperature; changes in temperature; chemical

reaction with groundwater, cement paste, or tunnel wastewater
impurities; microbiological reactions; presence of oxygen; soil
movement; or a combination of these are the primary causes of
the deterioration of organic materials. If any of these con-
ditions are present organic materials should be avoided in the
membrane. Therefore, unless conditions are known to be non-
aggressive toward the organic material to be used, mineral or
synthetic materials are to be preferred.

The waterproofing envelope may consist of any of a number of

materials or combinations of materials. The most common are:

1. Built-up membrane consisting of hot-applied bituminous

cementing materials alternating with fabrics or felts
saturated with similar bituminous material.
2. Preformed multi-layered boards.
3. Plastic and synthetic rubber sheets.
4. Bentonite clay applied in sheets or sprayed on.
5. Cold, liquid-applied membranes, especially the
elastomers
6. Cementitious coatings applied to the inside of the
structure by the plaster-coat method or the iron-coat
method.

38
 .

7. Brick set in asphalt mastic.

8. Corrugated aluminum sheeting.

The membrane waterproofing system must be able to accom-

modate small, slow movements at any cracks in the concrete
(Ref. 24). If earth is to be placed against a surface to be
waterproofed, the membrane must also resist backfill damage,
either by itself or by the addition of a protective covering.

The membrane waterproofing system must have a permeability

at the water head anticipated such that it will be "impervious"
Sowers and Sowers (Ref. 117) give the following relative values
of permeability of soils:

Relative Permeability
Permeability mm/sec f t/hr

Very Permeable Over 1 Over 11.8

Medium Permeability 1 to 1x10-2 1.18x101 to 1.18x10-1
Low Permeability 1x10-2 t0 lxl0"4 1.18x10-1 to 1.18x10-3
Very Low Permeability lxl0"4 to 1x10-6 1.18x10-3 to 1.18x10-6
Impervious Less than lxl0"6 Less than 1.18x10-6

Therefore, the material must have a permeability less than

1x10-6 mm/sec (less than 1.18x10-5 ft/hr) to meet the
II • _.._!! •

impervious requirement.

3.20 BITUMINOUS MATERIALS FOR WATERPROOFING

Bituminous materials had been used for waterproofing by the

Egyptians and Babylonians many centuries before the birth of
Christ. Bitumen was also used at that time as a mortar for the
laying of brick. Bitumens include asphalts, tars, pitches and
asphaltites (ASTM Definition D-8)

These materials are used today in tunnels for both purposes.

In the New York subways brick set in asphalt mastic was used for
waterproofing the jack arches as well as in other areas where
the groundwater conditions are severe. This system has recently
been replaced in New York by the use of an elastomer. Built-up
waterproofing consisting of alternate layers of bituminous ma-
terial, heated so that it is liquid, and bituminous saturated
fabric was also used in the New York subways and in many other
tunnels. These are built up in place, but preformed multi-
layered waterproofing panels are also available which afford
more rapid installation and do not require the use of hot
mastic. One of the advantages of the bituminous waterproofing
materials is that they also insulate against stray electrical
currents.

39
3.21 Brick Set in Asphalt Mastic

Historically, brick set in asphalt mastic was used to water-

Eroof the early New York City cut-and-cover subways in soil
elow the water table. Until a few years ago, New York City
Transit Authority (NYCTA) still used this method for roof,
sidewalls, and invert where groundwater conditions were
severe (Ref. 93). See Figure 7 for NYCTA waterproofing
standards.

The old New York City subway sections constructed by the

cut-and-cover method used structural steel columns and beams
for the primary support. Unreinforced concrete arches (called
jack arches) were placed between the steel members leaving the
inside flanges exposed. These exposed flanges were later
painted for corrosion protection. Because the concrete does
not bond imperviously with the flat surfaces of the structural
steel the contact areas between structural steel and concrete
are potential routes for water seepage and an unusually effec-
tive waterproofing is required to prevent this. The brick in
asphalt mastic has proved to be very effective in this appli-
cation but with today's high labor rates this time consuming
method would be extremely expensive. Based on bid prices
received by NYCTA from 1967 to 1971, escalated to 1980, this
waterproofing method would now cost about $8.00 per square foot
compared to about $1.00 to $1.50 per square foot for other
methods.

The system uses high compressive strength common brick,

with low water absorption, laid up with 1/4-inch hot asphalt
mastic joints horizontally and with the vertical joints filled
with the hot asphalt mastic by pouring. Each brick is entirely
covered with the asphalt. A single layer of asphalt saturated
fabric is usually specified to be placed with a mopping of hot
asphalt at each side prior to the laying of the brick and a
4-inch layer of concrete placed over the brick to protect it.

The NYCTA now specifies Oreloid, an elastometric compound

that can be troweled on a vertical surface or poured and screed-
ed on a horizontal surface for waterproofing in lieu of brick
and mastic.

3.22 Built-Up Membrane Waterproofing Systems

Built-up membrane waterproofing consists of a series of

alternating applications of a cementing material and plies
sheets of woven fabric or felt, or a mat.

As the plying cement for hot-applied bituminous-based built-

up waterproofing the choice is generally between properly
prepared natural asphalt, asphalt derived from asphaltic pet-
roleum, coal tar pitch, and coal tar enamel. Coal tar pitch is
prepared from bituminous coal, and coal tar enamel is coal tar

40
 , 1

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SECT/^5W£/9/?7//-S£7fr££^ ST/fr/0A/5
Figure 7 - BRICK AND MASTIC AND 3-PLY WATERPROOFING DETAILS FORMERLY
USED BY NEW YORK CITY TRANSIT AUTHORITY
(From Ret". 93)
41
pitch to which mineral fibers have been added to make the
material less susceptible to temperature extremes and more
stable in running water. These materials have performed well
buried in soils for 50 to 100 years. The coal tar products show
somewhat better waterproofing properties than do the asphalts.
The asphalts are somewhat more resistant to weathering which is
not of significance in tunnel waterproofing.

The plies may be of woven organic or inorganic fibers,

felted organic or inorganic fibers, or they may be mats of
uniformly distributed glass fibers. These sheets are then
impregnated with bituminous material compatible with the plying
cement used. Recently other types of plies have been developed
for tunnel work such as the copper foils and jute burlap strips
bituminized on both sides which were used in the Ferrara water
chamber of the Upper Rhine power station and in some of the
tunnels of the Walensee highway (Ref. 114).

The number of plies required for the installation depend on

the ground conditions. A 3-ply system has been frequently used
and found to be satisfactory. This would consist of a layer of
hot bituminous material mopped on the surface to be waterproofed
followed immediately by the application of a "ply" of bituminous
impregnated sheeting worked well into the hot bituminous mate-
rial, followed by another layer of cementing material and
another "ply", followed by another mopping with hot bituminous
material and another "ply", followed by a final mopping of hot
bituminous material completely covering the third 'ply . The
successive plies are so arranged that no two seams are coin-
cidental and within each layer the sheeting is lapped a minimum
of 1 inch (25 mm). The surface to which the membrane is attac-
hed must be clean, dry and reasonably flat since the sheets are
not very elastic and the cementing material usually is applied
less than 1/16 inch (1-1/2 mm) thick and is not designed to
smooth the surface. Figure 8 shows typical multi-ply systems
specified for the American Railway Engineering Association.

The application of this waterproofing membrane is somewhat

difficult on vertical surfaces due to the sagging of hot asphalt
or coal tar. This can be partially overcome by doing the appli-
cations in sections and backfilling the section promptly to sup-
port the membrane (Ref. 15). This also serves to reduce the
need of scaffolding. Another means of keeping it in place is
to secure the plies to the wall so that they help to hold the
hot tar in place. Frequently after the membrane is in place a
thin concrete layer is placed over the membrane to protect it
from damage and then backfilling is accomplished.

This method is very effective for cut-and-cover tunnels

where the waterproofing can be placed on the outside of the
completed structure but occasionally it is also used in
tunneling where it is placed between primary and secondary
linings.

42
 2" ALU LAPS

FUL L WIDTH v \ LOW

Kz WIDTH POINT OF STRUCTURE
FULL WIDTH

TYPE A -2 PLY

2" ALL LAPS

O'.V POINT OF STRUCTURE

TYPE B —3 PLY

2" ALL LAPS

M.OW POINT OF STRUCTURE

-FULL WIDTH
2/3 WIDTH
FULL WIDTH

TYPE C-3 PLY

-FULL WIDTH
\pzzz2zzm. LOW POINT OF STRUCTURE
Vs Iv/IDTH
e
/a WlbYw.
FULL WIDTH
TYPE D - 5 PLY
Ezzzzzzaa DENOTES FELT
(1 in. = 2.54 cm) 1 iihi 11 DENOTES FABRIC

Figure 8 - TYPICAL BUILT-UP WATERPROOFING MEMBRANE SYSTEMS

(From American Railway Engineering Association
Manual, Ref. 4)

43
 When the membrane is on the exterior and the surrounding
soil settles the waterproofing membrane may be stripped off.
To avoid this the waterproofing membrane can be sprayed with a
bituminous antifriction layer having a thickness of 8 to 10 mm
(0.3 to 0.4 in.). This new material allows the soil to slip
easily along the wall thus preserving the integrity of the
waterproofing (Ref. 43).
The New York City Transit Authority specifies the use of
asphalt and asphalt impregnated woven cotton (Ref. 93).
American Railway Engineering Association allows a choice of
asphalt or coal tar pitch with woven cotton fabric or felt
saturated with the appropriate bituminous substance (Ref. 4).
Another multi-ply system uses coal tar enamel, impregnated felt
plies as the outer plies and fiberglass reinforcing mats as the
inner plies. It is stated that these applications should last
over 100 years (Ref. 15).

With more rapid tunneling methods being developed more

rapid means of waterproofing the tunnels become necessary. To
meet this need, during the late sixties, a machine was developed
and used by Sika International to apply bituminized strip to the
primary tunnel lining using hot bitumen (Ref. 114). In the
Ferrera water chamber of the Upper Rhine power station the
strip used was copper foils and jute burlap strip bituminized
on both sides. Using a similar machine, bituminized burlap
sheets were applied in other tunnels including a highway tunnel
at San Bernardino, Switzerland, another at Grancia, and a rail-
way tunnel at Keferberg near Zurich. An improved machine was
developed for use in the Munich underground railway because a
rate of 15 m/shift was required. The tunnel was circular in
section. The machine consisted of a heavy tubular scaffolding
mounted on wheels. Two revolving arms each carrying a laying
cradle were mounted centrally within the main structure. The
machine is so constructed trTat sufficient space is left clear
in the center of the tunnel so as not to impede normal tunneling
traffic. The machine moves on rails and is powered by pneumatic
motors. The two cradles are so oriented that the overlapping
joints of the first layer are covered by the second layer
without a repositioning of the machine. Each cradle is con-
trolled by an operator standing on an operating platform
attached to the cradle. A cross-beam carries the roll of
bituminized burlap strip which is pressed against the tunnel
face into hot bitumen. Each cradle lays the strip from the
base of the wall to the apex, drops rapidly to the base
opposite and lays its next strip, starting in an inverted
position, from that base to overlap, at the apex, the strip
just laid. While this operation is proceeding the second
cradle is laying the second ply covering the joints on the
first ply. Then the machine is advanced and the next section
is placed. After being mechanically applied the plies are
smoothed down by hand.

44
 In another development the bituminized rolls pass through
an electrically-heated bitumen bath and then directly onto the
tunnel surface (Ref. 43).

For Oslo's T-Banen underground railway a more efficient and

less expensive waterproofing system was developed (Ref. 43).
Here the conditions were much like those in Amsterdam where it
was necessary to guard against changes in the groundwater level
so that it was deemed essential that the tunnel be completely
waterproofed. This was done with a two-ply bituminous membrane
which was shown to be capable of withstanding the enormous water
pressures encountered without being detached from the concrete
face of the tunnel. The tunnel was first lined with reinforced
concrete, then two layers of Ruberoid Vitrix were welded to the
concrete, after which a secondary lining of concrete was
applied. To apply the membrane to the roof of the tunnel a
roller device was developed enabling one worker to roll out the
material overhead while another beside him heated it with a
torch welding it to the concrete. This simplified the diffi-
cult overhead application. Corners and ramps had to be
reinforced with strips of bitumen-backed copper foil to prevent
leaking. Occasionally sufficient water penetrated the outer
concrete skin so that there was a danger of pushing the
membrane away from the skin before the inner lining was placed.
To avoid this, special temporary "draining strips" were applied
to the invert to carry the water away. After placement of the
secondary liner the drain channels were sealed.

3.23 Preformed Multi-Layered Board

A number of preformed multi-layered vapor and waterproofing
materials are available. Some come as semi-rigid boards usually
4 feet by 8 feet, and some come in rolls. In general they
resemble preassembled built-up membranes. Installation is much
faster however.

The material consists of a minimum of one sheet of reinforc-

ing material (to resist puncture) embedded in an elastomeric
material composed of bituminous and synthetic resin materials.
There may be any number of other plies including exterior pro-
tective coatings. An example of a multi-layered board is shown
in Figure 9. The welding together of the various constituents,
since it is done under controlled factory conditions, is supe-
rior to that in the built-up membranes. Usually an overlap of
two to six inches is recommended by the manufacturer. Some
products are butted with a sealing tape over the seams. Some
are self-bonding though these require a prime coat on the
substrate.
In all cases it is necessary to make sure the concrete is
free of all foreign substances and loose surface material, any
cracks that have opened have been repaired, any honeycombing
has been chipped out and replaced by sound concrete, and all

45
 ,

PROTECTIVE WEATHERCOATING
INERT REINFORCING PLY
FORTIFIED BITUMEN

PLASMATIC MATRIX

FORTIFIED BITUMEN

REINFORCING CARRIER SHEET

62.5 MIL ELASTOMERIC WATERPROOFING

RELEASE PAPER

Note: 1 mil = O.OOl in

1 in. = 25.4 mm.

Figure 9 TYPICAL PERFORMED MULTI -LAYERED BOARD

SHOWING TYPES OF PLIES
(From W.R. Meadows, Melnar product
data sheet)

46
 .

construction joints are tight. Frequently special treatment of

construction joints before installation of the member is
recommended by the manufacturer.
The substrate is then coated with the primer or a bonding
agent. If the membrane is not the self-bonding type it is
usually also coated with the bonding agent. Then the material
is placed in position and rolled to make a good, complete bond
with the substrate. The sealing of the joints in the membrane
must be carefully done. Backfilling can usually be done imme-
diately. Under certain conditions a protective course is
recommended
3.24 Cold-Applied Bituminous Materials

At Bochum (U-Bahn) in Germany where a perfect water seal

was required, the tunnel was first lined with a sprayed-on
concrete and then a waterproofing membrane was applied (Ref.
72). As reported in Peter Schulze's paper, Tiefbaumt der Stadt
Bochum, this consisted of a sprayed bitumen-latex emulsion
worked into which was a 2-millimeter thick "aspylan" foil.
This was covered by another sprayed-on layer of the
bitumen-latex. A secondary lining of 300 millimeters of
concrete was then placed.
Studies are being made on spraying systems with bitumen
based polyurethane materials (Ref. 43). This could give in-
creased speed and flexibility as well as greatly reduced cost.

3.30 PLASTIC AND SYNTHETIC RUBBER SHEETING

With the growth of the plastics industry new materials have

become available which show great promise of being useful for
waterproofing underground structures. These include impervious
plastic and synthetic rubber sheeting. Many advances have been
made in the use of these sheets in the waterproofing of roofs.
Frequently, the single thickness of plastic or synthetic rubber
has given better service than the standard 3-ply bituminized
system.

The materials which are most promising both in cost and pro-
perties are polyethylene, polyvinyl chloride, butyl rubber,
Hypalon, and Neoprene. Their advantages over built-up
membranes include:

Resistance to many chemicals

Resistance to bacteria and other organisms
Superior elasticity and elongation before rupture
Resistance to aging
Wide temperature range of usefulness
Electrical resistance
Light weight

47
 Application possible without use of hot mastics
Resistance to puncture
Self-healing, to some degree especially the rubbers
Flexibility.
3.31 Polyethylene Sheeting
Polyethylene sheets can be joined by heat fusion to make
watertight sheets of any size and shape desired. If given
proper treatment it can also be bonded using epoxy or other
adhesives. This latter property makes it possible to attach
the sheets to almost any surface.

In cut-and-cover the sheets may be applied to the outside

of the structure, but they must then be given a protective
covering. On the walls this may be asbestos cement board, con-
crete plank, insulation board, 3-inch (75 mm) concrete blocks
or common brick in mortar, or similar material. On the invert
a 2-inch (50 mm) layer of concrete is sufficient and on the
roof which will be covered with earth a minimum of 3 inches (75
mm) of protective concrete should be used. If the roof will
be subject to damage as is the case with tunnels under water
where ships' anchors and other objects may damage the protec-
tive concrete other suitable protection should be employed. If
no space is available between the excavation support and the
wall the sheeting is placed against the form before the concret<
is placed. Care must be taken in placing the reinforcing steel
and the concrete so that the sheet is not ruptured. All joints
in the sheeting must be completely sealed and tested before
backfilling or concrete placing is undertaken.
In tunneled structures the sheeting is usually placed after
the primary lining whether it be segmented lining, cast-in-
place concrete lining, or shotcrete. Then the secondary liner
is installed thus protecting the sheeting. Again care is
required in placing the inner liner to prevent damage to the
sheeting.

In Norway in tunnels (Ref. 60) where minimum maintenance is

a prime criterion a special system for installing a four-layer
polyethylene sheet membrane has been developed. After the
tunneling operation concrete is placed to give a reasonably-
smooth surface on which to apply the sheeting. The sheeting is
placed in two 2-ply layers each being held against the tunnel
profile with reinforcing steel cut to a length such that its
ends are supported on the foundations on opposite sides of the
tunnel. The two sets of rods are staggered. These hold the
sheets in place without the need for bonding or otherwise
fastening them to the smoothing concrete. The structural
lining is then placed.

48
3.32 Polyvinyl Chloride Sheeting

Polyvinyl chloride (PVC) sheeting has properties quite

similar to the polyethylene and can be used similarly to the
polyethylene. There are some specially designed types of
sheeting manufactured which can be fastened to the forms before
placing the concrete. These have T-shaped projections which
interlock with the plastic concrete and which are then integral
with the concrete when it has hardened. An example of this
type of material is B. F. Goodrich's Koroseal Lok-Rib. There
are adhesive and welding techniques for sealing the sheets of
material to one another. The material is very expensive and
would not be economically practical in a tunnel unless condi-
tions were extremely difficult and required this mechanical
bond with the concrete.

In Switzerland mechanization of the laying of the sheeting

has been developed by modifying the machine used to lay bitu-
minized waterproofing (Ref. 114). One of the modifications
permitted the entire circumference of the tunnel to be covered
in one sweep. The sheets were sprayed at the site with an
adhesive which, when heated during application, sealed the
sheets to the structure and sealed the overlaps so that it
became a jointless lining over the entire surface. In this
application the tunnel surface to which the lining was bonded
had to be quite smooth.

Another method of attaching PVC has been described by A.

Pedduzzi (Ref. 103). This method is applicable to rougher sur-
faces than the mechanized method just described. Special lath
is manufactured of the same PVC material as the sheeting. These
lathing strips are used to fasten a plastic foam base mat to the
tunnel faces by means of nails through the lower portion of the
lath section. These mats prevent damage of the sheeting by the
rough shotcreted tunnel surface. A sheet of PVC at least 80
mils (2 mm) thick is bonded to the upper portion of the lath,
made flat to receive the sheeting, using a hot-air process. The
joints between the sheets are also heat-sealed using a double
seaming process, the two seams being separated by a plastic
wire. The seams can then be tested by using compressed air and
any necessary remedial work done.

3.33 Butyl Rubber Sheeting

49
 BUTYL MEMBRANE SPLICES
RECOMMENDED IN ORDER LISTED FOR FIELD ASSEMBLY
NO.
FACTORY MADE HEAT /-»,
VULCANIZED SEAM ' L, , £.._ -BUTYL GUM TAPE EXTENDED
f |,
AT LEAST V
BEYOND
EDGE OF SPLICE

.0&25" GAUGE
^^<^V^NV^\\\\\XvSS3i
*///////////////. ////)/ //////////////////////a T77\

O.04>25" OR HEAVIER 0.0<o25" OR HEAVIER

TONGUE AND GROOVE SPLICE
NO. 2

r BUTYL GUM TAPE

EXTENDED AT LEAST
6" 'Aj- BEYOMD EDGE

IOF SPLICE.

.0426 GAUCE-
N SS55SSSSSSSSSg5SSS5g5SS555SV
TOP \Z PIECE

B»>^^m^<x^m^
-i.

' zz:
"Base piece ^>
O.OG25"OR. HEAVIER 0.06>25'OR HEAVIER
BUTT SPLICE
NO.
.BUTYL GUM TAPE EXTENDED AT LEAST V BEYOMO EDGE OF SPLICt-

-*J- G" H

J.

ttOGES*
r
OR HEAVIER
VZZZZZZZZZZZZZZZZZ2.

TONGUE AND GROOVE --COMPLETE FIELD SPLICE

i

l0.0425 gauge
—
O.CXiZS" OR HEA. iER.

NO. 4

BUTYL GUM TAPE EXTENDED

AT LEAST BEYOND
*fe"
2" WIDE STRIP OF BUTYl. GUM
EDGE. OF SPLICE TAPE-0.02O"T&C\O2S" GAUGE

i_
&ZZZZZZZZZZZZZZZZZZ1
•

0.QQZ5 OR HEAVIER O.QCZS OR HEAVIER

y
LAP SPLICE
ALL CONTACT SURFACES TO BE THOROUGHLY CLEANED AND CEMENTED
(1 in. = 2.54 cm.)
Figure 10 - TYPICAL MEMBRANE SPLICING DETAILS
(From American Railway Engineering
Association Manual, Ref. 4)

50
surfaces is accomplished in much the same way as plastic water-
proofing sheeting is, but the rubber is highly abrasion resis-
tant and rarely needs protection during backfilling or concrete
placement. Of the synthetic materials butyl rubber is the most
impervious and most frequently used in the United States.

3.34 Hypalon Sheeting

Hypalon is a chlorosulf onated polyethylene manufactured by

DuPont. It can be vulcanized, at room temperature, into a
tough, chemically resistant rubber. Hypalon has the greatest
elongation at break of the synthetic materials commonly used in
waterproofing and therefore can successfully accommodate more
differential structural movement than the other materials. It
is, however, one of the most expensive sheetings.

3.35 Neoprene Sheeting

Neoprene, the DuPont trademark for a chloroprene rubber,

has properties similar to natural rubber, but since it is
chlorinated, it resists burning and biodegradat ion. It can be
vulcanized in-place, or the sheets may be prevulcanized to
,

obtain the required properties, both chemical and physical.

The mechanical properties of Neoprene vary with the fillers
used as well as the degree of vulcanization. If vulcanized to
a hardness of a rubber heel (Shore A-45) the hardness will in-
crease with time till it becomes brittle which is typical for
any polymer that can be cross-linked three dimensionally
Figure 10. This would not be acceptable in underground struc-
tures which are expected to have a useful life of 100 to 150
years during which the material should remain soft; the
membrane must be prepared in such a way that this will not
happen.

3.40 COLD, LIQUID-APPLIED WATERPROOFING

Where the infiltration of groundwater is through slightly

porous concrete and the waterhead low, a coating on the inside
of the structure may be sufficient to stop the leak. Some prop-
rietary materials are said to develop sufficient adhesion and
film strength to seal out moisture moving through a concrete
wall (Ref. 24). This, however, is not a good, planned procedure
where complete watertightness is desired, but rather a remedial
measure.

Used as a membrane on the outside of a concrete structure

or sandwiched between two lining layers, many of these materials
can do an effective job. Sprayed or rolled onto the surface
they are less expensive and faster to apply than sheet materials
and can much more readily be applied to unusual, non-flat
surfaces. The sheet materials can be applied more rapidly than
the built-up membranes so the advantage over the traditional

51
built-up membrane means of waterproofing is tremendous.
Furthermore no hot bituminous material need be handled.

One of the disadvantages of cold, liquid-applied water-

proofing is the difficulty in obtaining a uniform thickness
throughout the coating and preventing pinholes. This usually
entails several separate applications which defeats some of the
advantage of rapid placement. Also it is usual to specify a
minimum thickness with a greater average thickness than needed
under the water head.

The Water and Power Resources Service has recently been

using some of these liquid-applied materials in lieu of the
customary asphalt and felt membranes for waterproofing roofs
(Ref. 24). Liquid-applied Neoprene coated with a weather-
resistant top coat and liquid-applied silicone rubber have been
used. They have also found that Neoprene performs well on the
upstream faces of dams being impervious as well as resistant
both to sunlight and to abrasion.
A urethane waterproofing membrane manufactured by Gates
Engineering is a two-component material, 1007o solids which can
be troweled, squeegeed, or spray applied and which cures into a
water resistant rubbery coating. Fifty-pound roofing felt may
be applied to the coating while still tacky to protect the
membrane during backfill. The material has excellent adhesion
to good, dry concrete rarely needing a prime coat.

A tar modified polyurethane ,2-component, 2-coat system,

offered by Universal Protective Coatings performs much the same
as the Gates product. It contains 85% solids by volume. The
manufacturer recommends applying vertical protection board over
the membrane by spot bonding.

Plas-Chem has a series of elastomeric coatings of both

oneand two-component types. Included in these are a one-
component Hypalon material and a two-component butyl rubber
which can be spray applied giving good impermeability in a
two-coat system of approximately 20 mils (0.5 mm). A hydro-
carbon modified urethane membrane specifically intended for
waterproofing concrete below grade is also included. This is a
two-component material.

3.50 BENTQNITE PANELS AND SPRAY

Another material which has shown excellent results when used

as waterproofing for structures below the groundwater table is
the clay material, bentonite, either applied in panels or spray-
ed on the surface to be waterproofed. There are only two manu-
facturers of bentonite waterproofing materials in the United
States, namely: American Colloidal Company, manufacturers of
bentonite panels; and Effective Building Products, Inc., manu-
facturers of the spray appplied material.

i
I

52
 Bentonite is a highly plastic clay resulting from the
decomposition of volcanic ash, and it is found in quantity in
Wyoming. Chemically it consists primarily of sodium mont-
morillonite. It is inorganic, nontoxic, fire-resistant, and
unaffected by freeze-thaw cycles. When unconfined its wet
volume can be from 10 to 25 times its dry volume and it is then
in a gel state rather than a solid state (Ref. 124). This
property is the one that makes the mineral useful in water-
proofing. When wet it expands and fills small voids and cracks
preventing the flow of water through them. Cracks that develop
in the structure, due to either temperature or drying shrinkage,
are filled and closed and even cracks due to movement of the
structure may be filled by the expanding bentonite.

Bentonite is affected by salt, acid, and alkali in the

groundwater, but the manufacturers of the waterproofing
bentonite materials can supply special bentonite formulations
and application instructions that will give satisfactory re-
sults in some of these instances.

When bentonite is used for waterproofing the force due to

the swelling of the bentonite when wet must be taken into
account either in the design of the structure or the application
of the material.

During storage of any bentonite product great care must be

taken to keep the product dry in order to prevent any premature
expansion. Application may be made in slightly damp conditions
and on green concrete, if additional concrete or backfill will
be placed immediately. However, effective application cannot
be made under conditions of standing or running water. If
placed in-the-dry, backfill or concrete need not be placed
immediately if adequate waterproof covering is placed over the
bentonite.

All penetrations and construction joints must be treated

with additional thicknesses of the material since these are
locations where some leakage will probably occur and surplus
bentonite will be needed to fill the crevices.
Installation of panels or spray does not require special
trades, but must be done under careful supervision to ensure
proper coverage. It is often desirable to have the assistance
of the manufacturer's representative during application.

Unlike bituminous, rubber, and plastic materials, bentonite

is not an electrical insulator.

3.51 Bentonite Panels

Bentonite panel envelopes are used in cut-and-cover

construction. The panel material consists of granular bento-
nite sealed inside a smooth face sheet of biodegradable

53
corrugated kraft paper. These panels are usually four feet
square and 3/16 inch thick. American Colloid Company, manu-
facturer of Volclay Panels, gives the results of permeability
testing using standard soil testing procedures with a static
60-foot (18-m) head as:

Time in ___^ Permeability

Minutes f t/hr mm/sec

to 78 1x10-7 8.47x10-9
78 to 122 2x10-7 1.69X10' 8
122 to 172 1x10-7 8.47x10-9
172 to 1324 0.5x10-7 4.23xl0"9

These permeability figures are considerably less than the

"impervious" figure of lxl0 _ 6 mm/sec of Sowers & Sowers (Ref.
117).

The panels may be installed at any temperature and are

effective at any temperature. The installation may be either
on the finished concrete surfaces, on lagging, or on any other
reasonably smooth surface against which the concrete will be
placed. All panels must be overlapped with adjacent panels a
minimum of 1-1/2 inches to insure continuity of waterproofing
film. Typical bentonite panel installations are shown in
Figure 11.
If the invert slab is to be waterproofed using these panels,
special precautions are necessary. If the ground surface is
uneven, a means of smoothing it must be found so that no tears
will occur. A subslab of unreinforced concrete is an ideal sur-
face and, in addition, it provides a clean level surface on
which to prepare reinforcing steel, forms, embedded conduit,
etc., for the base slab pour. If the bentonite panels are to
be placed on the ground and it is wet or very damp one or more
layers of 4-mil (0.1-mm) polyvinyl sheeting should be placed
between the ground and the panels to prevent premature swelling
of the bentonite. The panels should be stapled together or se-
cured in some manner so that subsequent placing of concrete
will not dislocate the panels. Once the panels are placed the
concrete may be placed. If concrete cannot be placed immedi-
ately the panels must be protected from moisture, foot traffic,
and construction operations which may damage the panels.

In cut-and-cover operations the concrete walls may be placed

directly against the temporary excavation support or they may be
completely formed leaving work space between the wall and the
temporary support. If the concrete is to be cast directly
against the support bentonite panels can be attached to the
support if it is sufficiently smooth. If there will be work
space between the structural wall and the temporary excavation
support, the panels should be attached directly to the struct-
ural wall after curing. Obtaining the necessary lap of the

54
 VOLCLAY TYPE I
vw FOUNDATION POURED AGAINST
TIE BACK SHORING WALL
T^ *] SOLDIER
BEAM

PANELS
3/16" THICK
WOOD
LAGGING

VOLCLAY
HYDROS AR TUBE
TIE BACK
ROD

V-
VOLCLAY TYPE I PANELS Vl6" THICK
-v^

PROTECTION AGAINST
VOLCLAY TYPE I PANELS COURSE BACKFILL
3/16" THICK ON SIDEWALLS
ANO UNDER-SLAB
X
HYDROSTATIC STRUCTURE
VOLCLAY TYPE 1 PANELS
3/16" THICK
ON WALLS

PROTECTION
BOARD

VA-J-

VOLCLAY PANELS
3/16" THICK (SLABS UNDER 8' CONCRETE WALL PLAN
THICK USE TYPE 3 -SLABS PANELS RECEIVE BACKFILL
OR THICKER USE TYPE 1 )

\ EARTH COVERED TUNNELS

VOLCLAY PANELS-DOUBLE
LAYER OVER JOINTS V
VOLCLAY JOINT- PAK
IN FORMED CAVITY

1
JL
FIRST POUR WATERSTOP SECOND POUR

(1 in. = 2.54 cm)

Figure 11 - TYPICAL BENTONITE PANEL INSTALLATIONS

(From American Colloid Company's
Volclay Panels brochure)

55
wall panels with the slab panels is important and takes good
supervision. If backfilling cannot be done immediately the
installed panels must be protected from moisture.
Backfilling must be done with care to protect the kraft
paper from damage and movement. If the backfill contains
coarse or irregular gravel 1/4-inch hardboard or similar mate-
rial may be needed to preserve the integrity of the panels
during the backfilling operation. In order to prevent the
installed bentonite layer from loosening, the backfill should
be compacted to a minimum of 857o of the maximum as determined
by the Modified Proctor test.

When applied to the roof of a structure the panels must be

covered with a minimum of two feet of compacted backfill or an
equivalent layer of concrete or other material to prevent
movement of the bentonite by heavy traffic. Pressure will not
"squeeze" the bentonite out but traffic loading could move it.
The panels should be secured to the roof so that there will be
no movement during the backfilling operation. It is usual to
place a 6-inch layer of sand as a drain channel over the panels
before placing and compacting the backfill.

If the construction is done "under-the-roof " the installa-

tion may be similar but in the reverse order. In this type of
construction and any cut-and-cover construction using slurry
walls as final permanent walls, the continuity of the bentonite
envelope must be maintained by the grout or treated soil that
contacts the exterior surface of the permanent excavation
support walls.
3.52 Bentonite Spray

Bentonite may also be applied in spray form. When used

this way usually a l/4to 3/8-inch layer is applied. Effective
Building Products of St. Paul, Minnesota, gives the following
permeability data for its spray-on bentonite product,
"Bentonize":

Total Coefficient of
Water Head El apsed Time Permeability
Feet Meters Days ft/hr mm/sec

10 3.05 9 1.74x10-7 1.47xl0 8

40 12.20 11 1.95x10-8 1.65xl0 9
80 24.40 20 5.46x10-9 4.62xl0- 10

An advantage of the spray-applied product is that the

bentonite may be applied to irregular surfaces such as are
produced by poured-in-place concrete construction. It may also
be used to waterproof irregular surfaces such as block masonry
and spalled, honeycombed, or oozed concrete surfaces. Thus no
means of eliminating sharp points and hollows need be used

56
before the application of the waterproofing and the smoothing
and filling of the surface may be done at the same time as the
concrete for the slab or wall is placed. Typical applications
of the sprayed-on bentonite and associated products are illus-
trated in Figure 12. The sketch shows the application of
Bentonite directly on lagging. Here the recommended thickness
is 3/8 inch. The second sketch shows an underground structure
with Bentonize applied directly to the exterior of the concrete
wall and roof slab. If the concrete is not green a necessary
precaution for proper adhesion is that it be misted with
alcohol to remove surface dust before application of the
bentonite. Also shown in this sketch is the application of
Waterstop-Plus the Bentonize manufacturer's joint compound for
,

sealing cold joints in concrete. Since this material expands

when in contact with water, it forms a pressure seal so it does
not depend on adhesion to the concrete to seal the joint. If
the joint moves, the material, being flexible and under
pressure, continues to keep the joint watertight. The bottom
sketches show another product manufactured by Effective
Building Products for use in conjunction with waterproofing
membranes other than bentonite. This formulation, Leak
Localizer, is similar to Waterstop-Plus. Its purpose is to
localize any leaks through the non-bentonite membrane so that
repairs can be made without the need for extensive investiga-
tions to determine the source of the leak.

Care should be taken in placing concrete and backfill

against the waterproofing to prevent these materials from
striking the waterproofed surface directly and scouring the
waterproofing off.

Ideally, backfill or placing of concrete should follow

application immediately. If this is not possible the spray
applied product requires the same sort of protection as do the
panels.

3.53 Maintenance of Bentonite Waterproofing Envelopes

The maintenance of bentonite envelope waterproofing is not

difficult. Generally, if small leaks develop, they heal them-
selves by the movement of the bentonite gel into the cracks
through which the water flows. If a major leak occurs it will
be noted on the interior of the tunnel right where it is, since
water cannot flow along the exterior of the tunnel lining
through the bentonite gel layer. Therefore, bentonite slurry
injected through a hole drilled at the location of the leak
will stop the leak. Then the drilled hole can be sealed with a
hydraulic cement plug and the tunnel will again be leak-free.

57
 )

WOOD OR METAL LAGGING

COMPLETE VERTICAL AND

HORIZONTAL WATERPROOFING
The Bentonize'" Waterproofing System may be used on
horizontal, vertical, or tunnel applications, including pro-
Poured Concrete jects that require complete envelope sealing.

6 mil black polyethylene

(Top layer ol poly creates dead air space
between insulation sheets)

The Bentonize™ Waterproofing System used on

a lagging type operation.

Bentonize '" waterproofing

(Spray or trowel applied)

Footing

TUNNEL PLAZA OR
FLOOR SLAB UNDERGROUND ROOF SLAB
Wearing Surface
Waterproof

Waterproof
Membrane

Leak Localize) is placed over the waterproof membrane in Leak Localizer placed in a manner which will isolate and
a square grid pattern to isolate any water leak coming stop the horizontal migration of water under the water-
through the waterproof membrane. proof membrane, facilitating easy repair

Figure 12 - TYPICAL INSTALLATIONS OF BENTONITE SPRAY AND

ASSOCIATED PRODUCTS
(From Effective Building Products, Inc. Data
Sheets

58
3.60 CEMENTITIOUS WATERPROOF COATINGS

Plaster coat waterproofing and a variation of it iron coat

method have several advantages. They can be applied on the
inside of concrete structures; they can be applied on wet
surfaces; leaks, if they occur, are localized right where they
come through; and leaks can be repaired easily by a reapplica-
tion of the waterproofing coating. Furthermore, if the
porosity of the concrete is due to insufficient curing, the
coating, being on the inside, allows the groundwater to
continue the hydration of the concrete through the years thus
developing a more impervious concrete.
The concrete surface to which the coating is to be applied
must be clean and well roughened so that there is good adhesion.
The coatings must be moist cured. Furthermore the workers
applying the coatings must be skilled in their application.
The number of such skilled workers is decreasing.

3.61 Plaster Coat Method

The plaster coat usually consists of a mixture of cement,

sand, and possibly a waterproofing admixture which is troweled
on the prepared surface to a depth of 3/4 to 1 inch (20 to
25 mm). If leaks still occur the coating may be removed and
replaced or greater thicknesses used. This method has been
known to withstand a head of 65 feet (19.8 m.) (Ref 99)
.

3.62 Iron Coat Method

The Bay Area Rapid Transit District specified the Conrad

Solvig's iron coat method of waterproofing for cross-passages
and access shafts in Oakland. The coating specified consisted
of a mixture of portland cement, fine aggregate, water,
pulverized iron, and a chemical oxidizing agent. Recesses,
cracks and intersections of vertical and horizontal surfaces
should be packed with a grout containing the pulverized iron.
Three brush or sprayed coatings are applied and must be moist
cured. Usually a protective coating is then applied consisting
of cement, water, and sand, to cover the "rusty" coat. The
iron coat can also be troweled on. In some applications
alternate brushings of the pulverized iron with the oxidizing
agent and the iron-cement slurry are used. If done well the
iron coat method can withstand a water head of seventy feet.

3.63 Non-Metallic, Nonshrink, Cementitious Coating

Recently United States Grout Corporation has developed a

non-metallic, nonshrink, cementitious coating which can be
troweled, brushed, or sprayed on the interior surface. It is a
fast-setting, hydraulic cement-based mortar. It is said to be
superior to the iron coat method. It does not need the skill
required by the plaster or iron coat methods and a single coat

59
1/8 in. (3 mm.) thick is recommended. The manufacturer's
published data states that this thickness will resist a 50-
foot (15.2 m. )head of water.

3.70 MISCELLANEOUS WATERPROOFING ENVELOPES

In Norway a method of shielding the tunnel from groundwater

intrusion has been developed using corrugated aluminum sheets
(Ref. 60). Aluminum sheeting is relatively inexpensive and is
durable under tunnel conditions unless the groundwater contains
certain aggressive impurities. This shielding consists of an
arch of aluminum sheet the ends of which are braced against the
foundation at both sides of the invert. Since the sheet is
normally quite thin (0.71 mm) the groundwater must be protected
from freezing since an ice load could easily damage the alumi-
num. This is done by gluing watertight polyethylene bags
filled with rock wool to the installed sheet and placing a
second sheet against the insulation braced in the same manner
as the first. For drainage the subgrade and drains must also
be insulated. Figure 13 illustrates the placement of frost
insulation to protect earth surrounding the tunnel and the
drains from freezing.

60
 FROST INSULATION
(ROCK WOOL)

OUTER AL PLATE

CONCRETE

Figure 13 - ROAD TUNNEL CROSS SECTION SHOWING

A TYPICAL LINING DESIGN USING
ALUMINUM SHEETS FOR WATER SHIELDING
(All measurements in millimeters)
(From Gr<£nhaug, Ref. 60)

61
 4.00 SEGMENTED TUNNEL LININGS

4.10 CONSTRUCTION OF SEGMENTED LININGS

Tunneling systems utilizing shields and segmented tunnel

linings to construct tunnels in soft ground have been used since
1865 (Ref. 109). Although there have been many technical
improvements in the equipment used and the fabrication of lin-
ings, the basic construction technique remains unchanged and is
still an attractive alternative to use of a primary and secon-
ondary lining/support system. The segmented lining often
combines both an initial ground support and permanent support
in one. For some tunnel-uses a non-structural finish lining
may be placed inside.
Segmented linings of many types, shapes and materials have
been used, but basic procedure of construction for all is sim-
ilar. A continuous complete lining is erected in the tail of a
shield, one ring at a time. The rings, which may vary from 18
inches (0.5 m) to 4 feet (1.2 m) in length, consist of a number
of pieces, or segments. Each ring is erected in the tail of
the shield adjacent to the last previously erected ring. The
shield is basically a circular working chamber of steel enabl-
ing the tunnelers to excavate the ground and erect the lining
in safety; the shield supports the ground until the lining is
built. After each ring is erected, hydraulic jacks mounted in
the circumference of the shield shove against the erected ring
(and through it to the completed lining behind) propelling the
,

shield forward the length of one more ring. Sufficient soil is

excavated at the face for one shove, the shield jacks are
retracted, and another cycle begins. Figure 14 shows a segment-
ed lining being erected in the tail of a soft ground tunnel
shield. Note the shove jacks in the lower right corner.

In soil that is loose,

or permeable and water bearing, the
segments must be bolted together for structural continuity,
resisting bending moments, and maintaining the integrity of
joint seals. In soil that is relatively dry and firm, such as
London's blue clays, it may not be necessary to firmly connect
the segments or rings together. Unfortunately such benevolent
ground conditions are rare in most U. S. coastal cities where
transportation tunnels have been built in the past, or are con-
templated in the future. Since this study is on the control of
groundwater, discussion in this section will be limited to bolt-
ed segmented linings when they are used in soft ground tunnels.
Typical bolted segments of steel, cast iron and concrete are
shown in Figure 15. A discussion on unbolted linings for use
in rock tunnels will follow the discussion of bolted linings in
soft ground.

The reason for discussing the construction of segmented

linings is that the nature of the lining, consisting of many

62
63
 JACKING STRUT

1/2" SKIN PLATE

LEAD CAULKING
GROUT PLUG V4"2J ¥r V*" WA. H.T. BOLT
.-M
ZA" FLANGE
"t *
BOLT HOLES
l^ .WASHER
GROMMET
WELDED STEEL SEGMENT
ti -^
TYPICAL BOLT ASSEMBLY AND
CAULKING STEEL SEGMENTS
7/8" SKIN PLATE

GROUT

1/4" FLANGE CAULKING

WASHER
BOLT HOLES I DIA. H.T. BOLT

GROMMET
CAST IRON SEGMENT

SEALANT GROOVE
4 OUTSIDE SLAB
TYPICAL BOLT ASSEMBLY AND
GROUT PLUG CAULKING CONCRETE SEGMENTS

4 FLANGE

(1 in. = 2.54 cm)

PRECAST CONCRETE SEGMENT

Figure 15 - TYPICAL CHANNEL SECTION SEGMENTS

(From Birkmyer, Ref. 17)

64
individual, contiguous, prefabricated pieces limits the methods
of waterproofing for groundwater control in the permanent struc-
ture. Covered in Volume 1 of this study are numerous diverse
methods of controlling groundwater during construction, many of
which could be used in conjunction with this type of tunnel
contruction. Keeping water out of the permanent structure how-
ever, means sealing thousands of short joints and bolt holes.
To give an idea of the relative lengths of joints to be sealed,
a typical single track rapid transit cast-in-place tunnel lin-
ing would have from one to five linear feet (0.3 to 1.5 m) of
joints for each foot (0.3 m) of tunnel, depending on the number
and lengths of pours. A comparable segmented lining would have
twenty to forty linear feet (6.1 to 12.2 m) of joints per foot
(0.3 m) of tunnel, depending on the size of segments. It is not
practical to surround the structure with a continuous membrane
outside the segmented lining, and it would add considerably to
the cost to place a membrane inside the lining and then add
another structural cast-in-place concrete lining inside that.

4.20 CAST IRON SEGMENTED LININGS

Important factors affecting the type of sealing used for
segmented linings are the fabrication, configuration and mate-
rial used in the segments. The earliest segmented linings were
made of cast iron with a continuous skin or web 3/4 to 1-1/2
inches (19 to 38 mm) thick on the outside circumference of the
ring. The sides, or flanges, of the segment give it stiffness
and permit bolting to adjacent segments. Depending on the size
of the segment, additional stiffeners are added between flanges
to keep the web thickness and segment weight to reasonable val-
ues. In casting the segments, provisions are made for handling
holes and holes in the skin to place gravel and/or grout in the
annular space between the ring and the ground left by the pas-
sage of the shield skin. A sample of cast iron segment details
is given in Figure 16.

Cast iron is highly resistant to both chemical and electro-

lytic corrosion. All outside segment flange surfaces are
machined to a close tolerance insuring a tight fit and a lining
that is reasonably water-resistant when bolted together. In
addition to machining flange faces a caulking groove is cast and
machined on the inside flange edges. After bolting adjacent
flanges together, a strip of lead is forced into the groove with
a small air hammer (caulking tool) having an appropriately sized
tip. If any leakage occurs the lead can be removed and reset
even in the presence of water inflow. Effectiveness of the
caulking depends on pressure of the lead in the groove rather
than on adhesion. Bolt holes are another possible source of
leakage as they are larger than the bolts to allow for fabrica-
tion and erection tolerance in bolting segments and rings
together. Grommets or gaskets are placed under washers at head
and nut ends. When tightened these grommets are squeezed into

65
 Caulking groove, 25.4 deep
117.5
machined from solid

3.5 x 6.1 drainage slot

chamfer

44.5 x 190.5 bolts, grummets

and standard washers

Circumferential joint

Caulking groove, 25.4 deep,

31.8 wide feather 38.1 g 1 machined from solid

Machined faces
Note: All dimensions
in millimetres
Longitudinal joint

Figure 16 - CLYDE TUNNEL LINING

(From TRRL Report
335, Ref. 34)

66
the space between bolt and hole. Prior to about 1960 hemp gas-
kets dipped in red lead were used for grommets but these have
been replaced by polyethelene gaskets which are more efficient
and much easier to handle.

Alternates to cast iron segments are cast steel or ductile

iron which are less brittle but much more costly. These alter-
nate cast rings have been used for short sections of cast iron
segment tunnels. They are usually limited to areas of high
stress such as transitions from rock to soft ground or midriver
sumps as in the Hudson River crossings. The cast steel and duc-
tile iron rings receive the same caulking and grommet treatment
as the cast iron rings.

4.30 FABRICATED STEEL SEGMENTED LININGS

Improvements in steel fabrication and shop material handl-

ing techniques have made fabricated steel segments a competitive
alternative, and they are now used in place of cast iron for
many tunnels. All soft ground tunnels on the BART and some on
the WMATA systems used fabricated steel segmented linings (See
Figure 1). As steel is more susceptible to corrosion than cast
iron it must be covered by a protective coating and bonded to a
cathodic protection system.

Fabricated steel segments generally require the same water-

proofing procedures as cast iron assuming they are used as a
single lining. In a situation where a secondary cast-in-place
concrete lining is required for a smooth finish or other rea-
sons, the sealing of segments can be less stringent. Depending
on the head of water, machining of flanges, grommets, and even
caulking may be omitted. In some cases an edge sealing strip
of epoxy or soft plastic may be used to reduce water inflow
until the secondary lining is place. In a compressed air dri-
ven tunnel where the secondary lining is to be placed behind the
face while the tunnel is still pressurized, no special precau-
tions are needed (unless there is considerable air leakage) as
the air pressure will keep the tunnel dry until the secondary
lining is placed. Thus it can be seen that the constrution met-
hod can sometimes have an effect on the measures used to keep
the permanent structure dry. A sample of steel segment details
is given in Figure 17.

Where a secondary lining is not required, fabricated steel

segments will be coated against corrosion, the segment flanges
machined, bolts grommeted, and the flanges caulked (usually with
lead). On the BART system, the owner, BART, let a separate con-
tract for manufacture of all soft ground tunnel segmented
linings, which were then delivered to individual construction
contractors, as required for installation. The lining contract
which was bid competitively, included designs for fabricated
steel, cast iron and precast concrete linings. The bidders

67
 max.

.Welds

Detail of Dungeness'A' tunnel lining

Equal 190.5 190.5 Equal

-H-*
28.6 thickness 101.6 x 28.6 curved rib

min.
plate prepared as shown
f-*-3.1

00
<£>
— _co

E -n

^A\/7/>///////mv////////////////////////m
34.9 dia. bolt holes
\ Taper plug 31.75 dia.
B.S.pipe thread
Equal — Equal
0.61

Note: All dimensions

in millimetres

Detail of Dungeness 'B' tunnel lining

Figure 17 - DUNGENESS TUNNEL LINING

(From TRRL Report 3 35,
Ref. 34)

68
of fabricated steel and cast iron had some advantage over those
bidding concrete. Because of the anticipated difficulty of
sealing concrete segments against relatively high heads of
water, only a portion of the total tunnel lengths involved could
be bid as precast concrete. The contract was let for all seg-
mented linings to be of fabricated steel.
On the WMATA system the linings were not let on a separate
contract but left to the individual construction contractor to
furnish. The contractors were given the option of providing a
fabricated steel segment lining, a cast iron and ductile iron
segmented lining, or a two stage primary lining with a secondary
cast-in-place lining. Since individual construction contract
packages were comparatively small compared to the system-wide
contract on BART, and the cost to mobilize a lining fabrication
plant is high, most contractors elected the two stage support
and lining system.

For the fabricated steel segment liner on BART, and both

the steel and cast iron linings for WMATA, the following water
protection measures were specified. Segments were covered on
the outside with a two-component, chemically-cured, coal tar
epoxy coating, and on the inside with a two-part, self-curing
inorganic zinc silicate coating. Bolt grommets were supplied
made of polymerized plastic, and lead caulking strips were used
in the caulking grooves between segments. It is safe to say
that this is typical, common practice for waterproofing cast
iron or fabricated steel segment tunnel linings in the United
States today. Placing of lead caulking between steel segments
of a BARTD tunnel is illustrated in Figure 18.

4.40 PRECAST CONCRETE SEGMENTED LININGS

There is a greater variety of configurations and sealing

methods for precast concrete segments than for cast iron or
steel. Many studies have been done on the concrete segment
shapes, erection procedures and sealing methods, and there will
probably be many more in the future. The potential for savings
that are possible with precast concrete have spurred the search
for improvements in these areas. In England a number of
improvements have been made and used in expanding precast con-
crete linings for firm ground. See Figure 19 for an example of
expanding linings. While these are not directly applicable to
the problems of bolted and sealed linings necessary for water
bearing ground, many lessons have been learned on shapes able to
withstand combined ground and shield shove loads without crack-
ing. Some of these lessons have been applied to use of seg-
mented linings in rock tunnels to be discussed later.
With steel and cast iron segments the major concern with
leakage is through the joints, the plates themselves are com-
pletely watertight if fabricated properly. This is primarily

69
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 Filled with cement
mortar after erection

140mm

Figure 19 - WEDGE BLOCK EXPANDED CONCRETE LINING

(From TRRL Report 3 35, Ref. 34)

71
true of concrete segments also but concrete being brittle, there
is more of a possibility of leakage through cracks caused by
improper handling, shield shove loads, and ground loads. The
concrete material in segmented linings is generally superior to
a cast-in-place concrete lining. Precast segments are made in
casting yards where mixing, placing and curing of the concrete
is performed under much more favorable conditions than cast-in-
place tunnel concrete. Although the art of casting with steel
forms and controlled materials, ideal water-cement ratios and
steam curing results in very accurately dimensioned segments,
they cannot match that achieved by machined metal plates. To
compensate for this, designers of concrete segments often speci-
fy a sealing strip or gasket on all flange faces in addition to
caulking. This will be discussed in greater detail with other
methods of waterproofing concrete segments. Other designers
have come up with composite segments basically of concrete,
,

but with embedded steel plate or angles for flange or bolt

bearing surfaces.

As stated previously, there are more segment configurations

possible with precast concrete than with fabricated steel or
cast iron. Some forms of bolted concrete linings are similar in
shape to steel linings with heavy webs, flanges and stiffeners
arranged in a parallel configuration. The segments designed for
BART and Metro de Caracas are examples of this. Other shapes of
bolted segments have been devised in Europe and Japan. See Fig-
ures 20, 21 and 22 for examples of concrete segments from
England and Japan. Unfortunately translated literature of cur-
rent Japanese practices in this field is scarce, but there has
been considerable research done in Japan on fabricating and
sealing concrete segments. Reports have been made on some inno-
vative European segmented linings. In Germany, two segment
designs referred to as the Rhine Tunnel segments and the German
Tee Rib, utilize curved bolts to avoid use of pockets for plac-
ing bolts. Recently a very efficient type of segment was used
in a section of the Munich subway beneath the river Isar. See
Figure 23. It is not the purpose of this report to discuss all
the possible shapes of tunnel lining; this has already been done
(Ref. 17, 34, 47). However the shape of the segments often has
some bearing on the type of waterproofing used and the proce-
dures for its installation.

The sealing of concrete segments is subject to much study

and experimentation. While various types of adhesive sealers
have proven effective for low heads of water, higher pressures
require caulking and/or gasket seals on joints that are rigidly
bolted as with steel and cast iron. Instead of lead caulking
in flange grooves, asbestos-cement or epoxy-elastomer ics are
most commonly used, but other types of caulking have been inves-
tigated and used. In 1968 testing of two new alternative caulk-
ing systems were performed for BART (Ref. 15). The first
consisted of a caulking yarn seal in the root of a caulking
groove covered with an epoxy adhesive. This system showed

72
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73
 Grout hole

Hollow key block

to secure infill
panel

Grout
groove

Smooth internal surface

Figure 21 - CHARCON UNIVERSAL GROUTED SMOOTH BORE CONCRETE LINING

(From TRRL Report 3 35, Ref. 34)

74
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 Precast segment

Note: Units in cm.

Forming of joints

.
*' *.'*! '..* V*'. •.'. * ° '-•.• ..".
" .« '• ..*.*
. ° v " • • * '! • •'_••
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\ ••Direction in tunneling

m |: Longitudinal screwing Ring screwing

1 Compressed solid rubber seal, 2 Compressed solid rubber seal prior to mounting, 3 Plastic packing, 4 Sealing of joints

Figure 2 3 - CONCRETE SEGMENTS - ISAR TUNNEL -MUNICH

(Courtesy of Wayss S Freytag)

76
limited success for applications where little or no joint
movement occurred. The second test used several shapes of
neoprene "0" rings with epoxy adhesive. This method proved a
more effective seal than the first. In Ref. 17, Birkmyer sug-
gests a variation to this second test method utilizing an
inflatable "0" ring pressurized by injecting a liquid filler.
Gasket seals fall into two categories. They may be fairly
firm and preformed or soft with adhesive qualities. Examples
of preformed gaskets are butyl rubber as used in the Tokyo and
Munich subways and cellular neoprene as used on some WMATA tun-
nels. For the concrete segments of the Metro de Caracas, the
contractors were given a choice of preformed gaskets of butyl
rubber, polysulfide, or neoprene. Soft plastic adhesive gas-
kets include polysulfide, semi-cured butyl rubber and coal tar
epoxy. These may be sprayed or troweled on the segment joint
face. In the United States, Commercial Shearing Inc. has
developed a gasket material called TSE consisting of a two-com-
ponent butyl-polymer material for use on its steel liners. It
can be manufactured in various degrees of hardness for spraying
or extrusion as a formed gasket. Gasket seals, whether formed
or plastic, are usually considered a primary sealant to be fol-
lowed by caulking. The soft plastic seals are more subject to
damage and contamination by dirt under adverse tunneling condi-
tions. A variety of current and proposed preformed gasket seals
are illustrated in Figure 24.

An interesting practical demonstration for comparing the

use of fabricated steel and precast concrete tunnel lining seg-
ments was recently completed in Baltimore. The Urban Mass
Transportation Administration (UMTA) sponsored the demonstration
in the construction of the twin tubes of the Lexington Market
Tunnels of Baltimore Metro system. The parallel tubes, each
about 1,500 feet (460 m) long, were driven and lined under one
contract, one with a fabricated steel segmented lining and the
other with a precast concrete segmented lining. Compressed air
was used for groundwater control during construction of each.
The final sealing of the steel segments consisted of a molded
epoxy compression seal, placed between flanges, outside the bolt
circle, and traditional lead caulking in the flange caulking
grooves. The concrete segments were sealed using a preformed
gasket in grooves in the flanges. The gasket was the same con-
figuration used successfully in the Isar River Tunnel of the
Munich subway and illustrated in Figure 23. Both sealing
systems were successful in their respective tubes.

A report being prepared for the Department of Transporta-

tion by W. D. Wightman, et al. of UTD Corporation gives
considerable detail on this large scale comparison experiment.
Overall progress in the two tubes averaged the same rate per
day for excavation and lining. After adjustments for minor
differences in the tubes the estimated construction costs per
foot were approximately equal, with the slight material cost

77
Proposed flexible joint
gasket between bolted
concrete segments, Ahmed
Hamdi Tunnel, Egypt
/'Courtesy Sir William
Hal crow and Partners)

Note: Units in mm.

r-.
/
/ *
l

/ v.

Joint gasket between

'*
\
bolted concrete segments,
Isar River Tunnel, Munich,
West Germany V-

Figure 24 - SAMPLE CONCRETE SEGMENT GASKETS

(From CIRIA Report 81, Ref. 25)
78
Proposed joint gasket for
concrete segments, West
Germany f Courtesy
STUVA)

Note Units in mm.

Proposed flexible joint ^Direction of

gasket between concrete tunnelling

segments, Japan (a) Before installation (b) Compressed (c) Re-opened

Figure 24 - SAMPLE CONCRETE SEGMENT GASKETS (continued)

(From CIRIA Report 81, Ref. 25)

79
 * •>
14.5 2.5

Joint gasket between

bolted concrete segments,
with improved corner
detail, West Germany L J.
\— l

/'Courtesy STUVA) Section A—

Note: Units in mm.

Gasket without T-joint

(2) —— 1| Gasket with T-joint

and@ Gaskets with improved T-joints

(3) —— 1
1
Gasket with misaligned T-joint

Limit of expansion before leakage

occurred
© Slight leakage in T-joint

x Heavy leakage

Unloaded joint gasket

2 3 4 5
Joint expansion (mm)
1 1 1 1 1 1 1 1

9 8 7 6 5 4 3 2 1

— Profile compression (mm)

1 1 •
1 1 1 1 1
i_

30 27 24 21 18 15 12
-* Profile displacement (%)

hesu/ts of tests on Joint gaskets, West Germany /'Courtesy STUVA)

Figure 24 - SAMPLE CONCRETE SEGMENT GASKETS (continued)

(From CIRIA Report 81, Ref. 25)

80
Leakage duct
gasket, UK
f Courtesy
Colebrand Ltd)

Experimental leakage
duct gaskets, West
Germany f Courtesy
STUVA) (a) (b) (d)

Note: Units in mm.

Leakage duct
gasket
Hard rubber
wedge

Proposed leakage duct

gasket, West Germany 1 Leakage duct/caulking groove
/'Courtesy STUVA)

Figure 24 - SAMPLE CONCRETE SEGMENT GASKETS (continued)

(From CIRIA Report 81, Ref. 25)
advantage of the concrete segments offset by higher lining
erection costs. The report, however, points out that in both
tubes the major cost item was the purchase of lining material.
Since the high cost of the precast segment forms is spread over
a relatively short tunnel length, the concrete lining should
prove more cost effective for longer tunnels, or in a system
where the forms can be used for several contracts.

While there are potential savings in the use of concrete

segments, there are some drawbacks to their use and some pre-
cautions that must be observed. The first and most obvious is
their weight which is considerably greater than steel or even
cast iron. This means heavier erection equipment and more dif-
ficulty in an already crowded shield. This is particularly
true in a small tunnel. The use of polymerized concrete which
increases concrete strength considerably is being studied and
may aid in reducing concrete segment thickness. The questions
of dimensional integrity and brittleness have been mentioned
previously. While gaskets may help to overcome the drawback of
not having machined faces, it may be difficult when handling
and placing segments to keep from ripping or contaminating
these gaskets. Another problem in handling concrete segments
is the possible spalling of edges and corners in transporting
or setting the segments. As long as precautions are taken to
overcome these difficulties, there is no reason why concrete
segments cannot be a competitive tunnel lining in the United
States just as they are in Europe and Japan.

4.50 SEGMENTED TUNNEL LININGS IN ROCK

While segmented tunnel linings have been used almost exclu-

sively in soft ground tunneling, there have been several rock
tunnels built in the United States in the last few years using
precast concrete segments. Each of these tunnels was excavated
by a mining machine with a shield cover and the concrete segment
lining erected within the tail. This type of lining is more
adaptable to a mining machine tunnel which leaves a smoother
bore than drill and blast excavation. As rock can be considered
firm ground these tunnel linings are not bolted as in soft
ground tunnels. Pea gravel and cement grout backpacking insure
a fairly uniform load on the lining. While there has been a
mixed degree of success in these several tunnels, it should be
considered that each tunnel differed from the others and because
of the small number of such tunnels built to date the construc-
tion method is still in the experimental stage.

The Castaic Tunnel No. 2 was completed in 1969 for the

Metropolitan Water District of Southern California (MWDSC) . It
had a rough bore of 26 feet (7.9 m) in a marginal rock material
that bordered on being soft ground, and was lined with 4-foot
wide (1.2 m), 1-foot (0.3 m) thick, composite 3-segment rings.
Each segment consisted of unreinforced concrete with two 5-inch

82
(127 mm) steel ribs embedded close to the inner face and pro-
truding from the ends of the concrete. The ribs were tempora-
rily bolted during construction and later welded to form
continuous circular ribs with concrete between. The project set
a record at the time, for completed tunnel, with an average of
112 feet (34 m) per day (Ref. 135).

The 5.5-mile (8.8 km) long San Fernando Tunnel, also built
for the MWDSC, through ground similar to Castaic Tunnel, was
only 2000 feet (610 m) short of completion in 1971 when a disas-
trous natural gas explosion and fire killed 17 men and delayed
completion more than two years. The lining system consisted of
precast, reinforced concrete segments. The segments were 4 feet
(1.2 m) wide and 10 inches (254 mm) thick, with four segments to
the ring for the 22-foot (6.7 m) excavated diameter. The seg-
ments were manufactured by the contractor with a unique no-slump
concrete and mobile casting machine method. The rate of tunnel
construction exceeded 3500 feet (1070 m) one month and set a
record of 277 feet (69 m) in one day. As in the Castaic
Tunnel, the mining machine shield was propelled forward by
jacking against the lining (Ref. 106). Both the Castaic and
San Fernando Tunnels were constructed in the relatively soft
rock of the California Coastal Range.

Excavation of the hard rock Buckskin Mountain Tunnel for

the Water and Power Resource Service's Central Arizona Project
was begun in 1976. Unlike the Castaic and San Fernando
tunneling machines, a full face tunnel boring machine (TBM) was
used, 23 feet (7.1 m) in diameter, which gripped the tunnel
sidewalls to advance forward without applying any pressure
against the segmented lining. The 5-foot (1.5 m) wide,
four-segment rings were erected in the shield tail 40 feet (12
m) behind the face. The segments were 7 inches (178 mm) thick
and were reinforced on both faces with welded wire fabric. The
four-segment ring was arranged to have staggered longitudinal
joints obtained by using a slightly tapered pattern, with the
arch and invert segments fitting opposite hand to the side
segments. The segments were not bolted and had to be held in
place until backpacked. The invert was placed on pea gravel
bedding. After the ring was completely erected pea gravel was
placed through the lining followed by neat cement grout to
complete the backpacking. All joints were tongue and groove
with a foamed strip joint filler set back from the inside face
with the remainder of the joint filled with neat cement grout.
A caulking groove on the inside face was filled with an
elastomeric joint filler to provide a watertight seal (Ref.
105, 136).

The Park River Auxiliary Tunnel is being constructed for

the Corps of Engineers at Hartford, Connecticut as the final
stage of a flood control project. It is a 22-foot (6.1 m) I.D.
inverted siphon tunnel, 9,100 feet (2,800 m) long, and up to 200
feet (60 m in depth. When the construction contract was being

83
let, three alternate excavation and lining procedures were
designated: 1) drill and blast excavation with a variable thick-
ness cast-in-place lining, 2) machine boring with a constant
thickness, but variably reinforced lining, and, 3) machine bor-
ing with reinforced precast concrete lining. The third option
with a precast concrete lining proved to be least expensive.

The four-segment rings are 6 feet (1.8 m) wide and 9

inches (229 mm) thick. The segments are reinforced in both
faces with ship-lapped transverse joints and rounded longitu-
dinal joints. The tapered longitudinal joints provide a
staggered (saw tooth) pattern as in the Buckskin Mountain
Tunnel. The transverse joints are sealed with a continuous "0
Il/->ll

ring gasket and butyl rubber sealant backup strips, while the
rounded longitudinal joints are sealed with a neoprene gasket.
Both have caulking grooves on the inside face filled with an
epoxy sealant.

A recent example of a rock tunnel with concrete segmented

lining that has run into unexpected difficulty is the Still-
water Tunnel being constructed for the Water and Power Resource
Service in Utah. The excavation and lining procedures are
similar to the Buckskin Tunnel though this tunnel is consider-
ably smaller with a 9-foot (2.7 m) excavated diameter.

The four-segment rings are 3-feet(0.9m) wide with a 5-inch

(127 mm) segment thickness. The circumferential joints are
ship-lapped while the longitudinal joints are butt joints.
These are detailed in Figure 25. Unlike the Buckskin Tunnel
lining where the joints are at the quarter points these joints
are on the vertical and horizontal diameters. All segments are
reinforced with wire fabric on both faces, and the lower seg-
ments have continuous haunches for setting rail for tunnel
equipment. A preformed filler is used between segments at the
joints, and caulking grooves at the inside face are filled with
a polymer sealant.

The total tunnel length of 42,000 feet (12,800 m) was to

have 36,000 feet (11,000 m) excavated by a TBM and lined with
precast segments, and 6,000 feet (1,800 m) excavated by drill
and blast, and lined with cast-in-place concrete. As excava-
tion proceeded with the TBM it was found that unexpected
internal squeezing rock pressures were present. The pressures
exerted on the TBM when it shut down on weekends made excava-
tion difficult and on some occasions hand mining around the
shield was needed. The higher than anticipated pressure also
cracked the lining in some areas. As a result excavation was
halted after 7,000 feet (2,100 m) had been driven for revalua-
tion of design and construction procedures.

In general there have been problems, other than those

caused by squeezing ground, connected with using unbolted pre-
cast concrete segmented linings in tunnels. Transporting,

84
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85
handling, and supporting the heavy segments, as well as sealing
problems and the prevention of cracked corners should be
improved with additional experience and experimentation. This
type of lining has many advantages over a two-stage process of
temporary support and cast-in-place secondary lining. Casting
and curing the concrete in a yard produces a stronger, more
dense and water-resistant concrete than can possibly be placed
in the tunnel. Other important factors are improved safety and
production. The entire concrete pour crew works in a plant out-
side the tunnel. With proper equipment the ring can be rapidly
erected and backpacked, producing a completed tunnel instead of
one with merely temporary support. Since the excavation and
support procedures are uniform throughout the tunnel the crews
and production need not vary depending on varying needs for tem-
porary support, and the crews can develop greater proficiency
performing uniform operations. There is no need for safety mi-
ners to keep the back scaled or retimbering crews to reblock or
add sets for taking increased weight. Cleanup is considerably
simpler and the light colored walls reduce lighting require-
ments. A flat invert can be cast in the lining, as was done in
Buckskin Mountain, Park River, and Stillwater with inserts to
simplify setting rail. Sidewall inserts can aid in carrying
ventilation, compressed air and water piping, and power lines.

Although this type of lining has not yet been used in

transportation tunnels in rock in the United States there is no
reason why it could not be. Development of this system for
rapid transit tunnels including improved waterproofing methods
should be encouraged, and should lead to lower tunneling costs.

86
 5.00 OTHER METHODS OF CONTROLLING GROUNDWATER

5.10 CHEMICAL GROUTING FOR CUT-AND-COVER AND SOFT GROUND

TUNNELS
5.11 General

Groundwater flows through the interconnected pores, cracks

and fissures which occur in many natural soils and rocks, and
man-made fills. If these paths could be plugged in a continuous
curtain surrounding the structure no groundwater could infil-
trate the structure. In theory this can be done by impregnating
the soil or rock mass around the structure with an appropriate
impervious "grout". At the time of injection grouts are in a
fluid state. After injection they become fully or partially
solid by the action of polymerization, chemical reaction, deflo-
culation, or expansion due to saturation. These solidified
grouts change the engineering properties of the soil or rock
mass (Ref. 53). The grout can be made up of very fine particles
such as cement or clay held in suspension during injection, or
it may be composed of chemicals in solution. The solution type
are called nonpart iculate or chemical grouts and generally have
lower viscosities than the particulate grouts.
In the fluid state these chemical grouts can penetrate into
very fine voids and cracks in soil and rock where particulate
grouts cannot enter. One of the major uses of chemical grouting
in soft ground tunneling is the control of groundwater flow. It
has the advantage of changing the engineering properties of the
ground mass with little disturbance to the existing structures.
This is of particular importance when excavating in urban areas
(Ref. 53). Figure 26 shows soil limits for grout injectibility
of various types of grout.

The chemical grouting philosophy in England and the Con-

tinent is quite different from that in the United States. In
Europe a careful soil investigation followed by a well-planned
grouting program is the most common primary means of ground-
water control during tunneling in soft grounds with compressed
air used as a last resort. The grouting programs envisioned
during design are left sufficiently flexible for the grouting
contractor to plan the actual procedures to be used (Ref. 29).
If the voids in the soil are sufficiently large, an initial
grouting is performed using particulate grouts such as cement
or bentonite. Then a second grouting with nonpart iculate che-
mical grout is used to seal the small pores so that the ground
is essentially impervious. If this is successful in controlling
groundwater flow during excavation it may contribute appreciably
to the watert ightness of the finished underground structure pro-
viding a durable grout has been used. In fact, the attitude in
Europe is that the main advantage in grouting for groundwater
control is that if it is successful it is less costly than any

87
 0.001

GRAIN SIZE IN MILLIMETERS

Figure 26 - SOIL LIMITS FOR GROUT INJECTIBILITY

(From Am. Cyanamid, Ref. 2)

88
 ..

other sealing method and does not require enlarging the tunnel
to accommodate the sealing materials. Grouting after excava-
tion is not considered as successful as grouting ahead of the
tunnel face (Ref. 60). In the United States grouting is
usually used only in real problem areas where water cannot be
controlled by other means (Ref. 124).
In cut-and-cover tunnel construction the soil outside of
the excavation ground supports (sheet piling, soldier piles and
lagging, slurry walls, etc.) can be grouted to control the
influx of groundwater both during and after construction (Ref.
48). The pressure used must not be great enough to damage the
ground support system.

5.12 Required Characteristics

In selecting a grout to reduce the permeability of a soil
certain characteristics of the soil and of the grout must be
considered

The primary site investigation should note the various

types of soils which will be encountered, their in-situ poro-
sity and permeability, pore-size distribution, grain-size grad-
ation, temperature, soil and groundwater chemistry including pH,
and groundwater flow characteristics (Ref. 68, 95).

With this knowledge of the soils to be treated the grouts

can be selected by choosing for each soil the grout whose cha-
racteristics will best suit the soil and placement conditions.
Sometimes it is advantageous to grout first with a particulate
grout, a viscous chemical grout, or a chemical grout containing
suspended particles, followed by a second treatment with a grout
of lower viscosity. The first treatment fills the larger voids
quickly and economically and the second treatment, with the more
expensive, low viscosity materials, makes the mass essentially
impervious
The main significant characteristics used in selecting a
grout are its viscosity, setting time, strength, permeability,
durability, toxicity, f lammability and cost.
, Selection of the
most advantageous grouting system is a very difficult task and
requires the assistance of experts in the grouting field with
extensive and varied experience.

Viscosity

Viscosity is the internal resistance of a fluid to flow.

The closer the viscosity of the grouting fluid is to that of
water, which is 1.0, the finer the voids which will be pen-
etrated by it. The finer the voids filled the more impervious
the treated soil. Therefore in the selection of a grout for
preventing the infiltration of groundwater into an underground
structure the viscosity of the grout must be chosen to meet the

89
requirements of the soil to be treated. If two grouts are
equally desirable for an application the one with the lower
viscosity will enter the soil pores at a lower pressure and
more rapidly than the more viscous, and would probably be the
better choice, if costs are similar.

Setting Time

Generally, treatment of only a given thickness of soil

around the structure is required to seal off the groundwater
flow. With this in mind it is important to have the grout set
as soon as this penetration is reached. Grout flowing beyond
this zone is essentially wasted and uneconomical. Knowing the
characteristics of the soil formation to be grouted -- grain
size, pore size, porosity, permeability -- and the characteris-
tics of the grout -- viscosity, grain size if particulate -- it
is possible to judge fairly accurately the time for the grout to
penetrate the required distance into the formation. If set does
not take place rapidly once the grout is in the location desir-
ed, groundwater may wash it out or dilute it so that it will not
set, the grout ingredients will then enter the groundwater, and
the soil in the area will still be pervious. If setting takes
place too rapidly the necessary volume of soil will not be
infiltrated and gaps in the grout curtain will permit leakage.

Controlled setting times are also necessary to insure the

filling of the finer voids. The fluid takes the path of least
resistance filling the larger voids. When the grout sets in
the larger voids it prevents further flow through the large
voids and the fluid grout is thus forced to go into the finer
voids.

The temperature of the soil mass affects the setting time

and must be considered in the design of the grout to be used.
Setting times in use vary from a few seconds to many hours.

Strength

The intrinsic strength of the gelled grout and the strength

of the treated ground must be sufficiently great so that the
water head to which the structure could be subjected will not
damage the integrity of the grout curtain by stripping it from
the soil or rock particles.

Permeablity

Permeablity of the gelled grout alone is relatively unim-

portant. The permeablity of the treated soil is the criterion
which must be used in grout selection. A grout which will give
satisfactory results used in coarse sands and gravels may not
decrease the permeablity of fine sand or silts at all even
though the intrinsic permeability of the gelled grout itself
may be very near zero.

90
Durability
For permanent control of the groundwater around a struc-
ture using chemically grouted soil as the primary control the
gel or solidified grout must not deteriorate with time or under
the influence of the soil and groundwater chemistry. The use-
ful life of transportation tunnels is generally around 100 to
150 years. Therefore, in the selection of chemical grouting as
a primary means of preventing the infiltation of groundwater
into the underground structure, the durabililty of the grout is
a prime criterion. Chemical grouting has not been used for a
sufficiently long time that its durability in field conditions
is well established.

Toxicity

A material which is toxic to the persons handling it with-

out protective clothing and equipment or in a space with limi-
ted ventilation is less desirable for use than a material which
does not present such hazards. By scrupulous adherence to safe-
ty regulations these hazards can be overcome and the material
can be used. However, if the material can enter the ground-
water in sufficient concentration to be harmful to plant or
animal life or detrimental to existing structures it may be nee-
cessary to abandon its use. This could happen due to poor
application or improper selection of the grouting materials.
If the grout material is slow in setting it may be diluted by
the groundwater such that the concentration of ingredients is
too low to set or it may be completely or partially washed away
by the groundwater. Also if the soil or groundwater chemical
conditions are such that they cause a degradation of the gel,
in time the components may pollute the groundwater to a dan-
gerous degree and the impermeablity of the treated soil will be
lost. By close supervision of the application of properly
chosen grouts these problems can be avoided.

Flammability

It would be unthinkable to use a material which would be

flammable after placing and setting in an underground structure
However, some good grouts contain flammable ingredients. If
these are highly volatile they may become explosive when mixed
with air during handling for injection. Again by scrupulous
adherence to safety regulations these hazards can be overcome.

Cost

The costs of the grouting material, the equipment for

injecting it, and the labor needed to place it are all impor-
tant economic considerations. These must be considered along
with the above characteristics in the selection of possible
grout systems. Costs of grouted soils in the United States
vary from about $100/cy to $500/cy of grouted soil, depending

91
 .

on the type of chemical grout used and the characteristics of

the soil. If the grouting procedure interferes with excavation
as in the heading of a tunnel the effective price could be even
higher. Relative costs are summarized in Volume 1 of this
report

5.13 Types of Chemical Grouts

There are several types of chemical grouts in use today.

They are generally all more expensive than the cement and bento-
nite grouts. They make soils impervious by filling the voids
and binding together the granular components in a gel network.
Discussions of several of the more promising chemical grouts
follow.

Silicate-Based Grouts

The silicate-based grouts are the most frequently used.

When first used, a concentrated solution of sodium silicate was
injected into the ground followed by a separate injection of
the reactant ,calcium chloride. A reaction between the two che-
micals took place immediately, producing a strong gel (Joosten
Process, 1925). Because concentrated solutions were needed for
this process the viscosities of the solutions were high preclud-
ing penetration into relatively fine sands. The infiltration
into coarser materials was slow, not deep, and required consid-
erable pressure. Therefore in treating soils many closely
spaced holes were required when using this process. In addi-
tion, close control of the mixing of the ingredients within the
ground could not be obtained so there was no assurance that com-
plete gelation had taken place (Ref. 126). Many modifications
have been made on this process and many successful applications
have been completed.
It is now possible to use a silcate solution with the reac-
tant already mixed into it before injection thus saving much
time and labor by using a single phase (one-shot) grouting
procedure. This also assures the proper proportions of the
ingredients within the ground mass exclusive of any changes
caused by the groundwater. There are a number of chemicals
which have been found to be practical as reactants instead of
calcium chloride. By varying the concentrations and the consti-
tuents it is possible to produce a wide range of setting times
and strengths. For waterproofing purposes a very dilute
solution of sodium silicate is adequate and can be as inexpen-
sive as a particulate grout. A dilute solution has a low
viscosity so it penetrates fine soils well but is considered a
"soft gel" since it adds little to the strength of the soil
treated. Of the chemical grouting systems in use the silicates
are the least expensive and least toxic. One authority mentions
that some miners have complained of skin rash when handling
silicate treated soils (Ref. 88). The silicate-based grouts
have good durability but do suffer some from leaching and

92
syneresis. Syneresis is an exudation of the water from the
gel, producing shrinkkage of the gel. In fine soils this
phenomenon does not occur. If the application is correctly done
and the grout well adapted to the soil to be treated syneresis
should be negligible.

Plant-Product-Based Grouts

Many of the available grouts contain petrochemicals as pri-

mary ingredients or necessary reactants. With the increase in
cost of these materials and their decreasing availability,
grouts derived from other products should be considered for
development and wider use.

Lignin-based grouts utilize a by-product of the wood pro-

cessing industries. These grouts give satisfactory results in
groundwater control but do not develop sufficient mechanical
strength to improve the structural properties of weak soils.
The lignin-base is generally nontoxic but the reactant used to
produce the set, a chromium compound, is highly toxic. The
chromium in the set grout is in a nontoxic state but, since it
is difficult to determine if complete polymerization has taken
place and since some leaching of the poisonous hexavalent chro-
mium may occur, there may be some contamination of the environ-
ment by the toxic material. There are a number of ways to keep
the amount of leaching at a minimum (Ref. 126). These lignin-
based grouts have the advantages of low viscosity, a wide range
of setting times, easily regulated by changing the dilution, and
a basic material which is plentiful, not petrochemical in
nature, and inexpensive. As soon as the reactant is added to
the base solution the viscosity starts to increase. The in-
crease continues until gelation is complete (Ref. 88). Studies
are being done to bring safer conditions to the application of
lignin-based grouts.

Two other grouting materials can be obtained from plant

products: colophane, the residual product of the distillation
of pitch from fir trees to obtain turpentine; and furfural
which can be obtained from corn cobs and other vegetable matter.
The colophane is only useful in waterproofing and is more expen-
sive than the soft silicate gels that it could replace. The
furfural, however, holds great promise for use in the grouting
of pervious soils but has been used very little.

Acrylamides

In the 1960's numerous studies were performed using resins,

which could be polymerized, as grouts for injection into soils
to improve their physical qualities. One grout, AM-9, developed
by American Cyanamid Company, worked well and was used in many
applications all over the world (Ref. 2, 130, 134). This grout
consists of two organic monomers, acrylamide and N, N'-methyl-
enebisacrylamide, and a two-part catalyst system, all in aqueous

93
solution. It has the advantage of a viscosity of only 1.5 cP,
which is very close to that of water, so that it can be used
successfully to control the flow of groundwater through very
fine soils. This low viscosity is maintained almost to the
moment of complete solidification. Gel time can be controlled
very easily and accurately using varying amounts of the catalyst
initiator and/or a fifth ingredient which can inhibit setting.

The water becomes integrated into the space lattice of the

gel structures. If the gel is subjected to conditions of low

The ingredients of the acrylamide grouts are highly toxic

and must be handled with complete protection. Acrylamide can
penetrate unbroken skin, and prolonged contact with the mate-
rial will affect the central nervous system. No ungelled acry-
lamide should be allowed to enter the groundwater.

Phenoplast Resins

Phenoplast resins are polycondensates obtained through the

reaction of phenol on an aldehyde. No suitable combinations of
phenol and aldehyde for use in waterproofing soils near the
surface were found until the 1960's. Most combinations needed
elevated temperatures or an acid environment to produce the set
and, since surface soils are usually alkaline and within a
rather narrow range of moderate temperatures, these were not
suitable. In the 1960 's a resorcinal-f ormaldehyde type was
developed which could be used both for consolidation and for
water-proofing in average soils since set could occur in an
alkaline environment at ambient temperatures.

These grouts have low viscosities, about 1.5 cP. This vis-
cosity remains almost constant up to the point of set. Setting
time is controlled mainly by the amount of dilution of the
grout - the more concentrated solutions setting faster - though
some control can be obtained by the use of expensive accel-
erators.

All the raw materials are toxic and caustic. If the prop-
er porportions are used these should be completely combined
into a practically inert mass. This material shows more
promise than polyacrylamides (Ref. 126). It was used in grout-
ing the "Beauchamp" sands encountered during the construction
of the Paris Area Regional Express Transportation System (Ref.
81, 107). Another application of this grouting material was in
the Boulby Potash Mine shaft. There the Bunter sandstone was
first injected with a cement grout till the groundwater flow
was reduced and then new' holes were drilled and the sandstone
was grouted with resorcinal-f ormaldehyde grout (Ref. 35).

94
Polyurethane

Another material injected into sands to reduce their per-

meability is polyurethane foam. The foam is produced by mixing
polyisocyanates with polyols or polyether. To produce the foam,
blowing agents and surfactants are added. This is a two-shot
injection process and therefore more expensive. However, the
isocyanate can also react with the groundwater to form a foam.
This would be a one-shot injection. The blowing agents and
surfactants are used to make sure set will take place where no
groundwater contacts the injected materials. The foam produced
is closed cell so it offers no path to water flow (Ref. 81).
The isocyanate is toxic and gas masks must be worn during handl-
ing. During application this is the most hazardous of the
chemical grouting systems and cannot be used in confined spaces
even with "good ventilation." (Ref. 81). A grout of this type
was used successfully in the Canelles Dam in Spain. The visco-
sity of the grout is somewhat high and it is expensive but it
is very useful in the treatment of rivulets in karstic and simi-
lar conditions (Ref. 126).

Other Chemical Grouts

Many more chemical grouts have been developed, tested, and

used successfully but most of these are appreciably more expen-
sive than the ones discussed here. When improved load capacity
is required as well as groundwater control it may be economical
to use one of these but where only groundwater control is
required a "soft silica gel" is probably the most advantageous
since it is easy to handle, has fairly low viscosity, low tox-
icity, and low cost.

The aminoplast resin grouts consist of urea, formaldehyde,

and a catalyst. The catalyst must be acid so this grout cannot
be used in the calcareous soils or rock which are most frequent-
ly encountered. They are, however, not petrochemical deriva-
tives and are low in cost.

A number of colloidal solutions have been tried with suc-

cess. Some authorities consider these to be "chemical" grouts
since the suspended particles are less than 1 micron in size.
In this report the inorganic material "bentonite" is considered
a particulate grout even when the particles are minute. A num-
ber of organic materials have been tried but they have generally
been too viscous. They can be used for water-proofing some
sands, but, being organic in nature, they may eventually be
destroyed by soil bacteria (Ref. 126).

Nonaqueous grouts have also been tried. They are all

petrochemically derived, they are viscous and flammable, and
some need to be dissolved in a solvent or heated before applica-
tion.

95
 Emulsions, suspensions of very fine droplets of one liquid
in another, have also been used. Bitumens are the materials
most commonly used, dispersed in water. These can be used in
fine-grain, clayey sands. They leave a jelly-like substance in
the soil of low permeability and low strength (Ref. 56). Their
advantages are their relatively low price, ease of placement,
nontoxicity of ingredients, and good long term stability. They
do not add to the strength of the ground mass treated and are
petrochemically derived. Various resins and waxes can be put
into an aqueous emulsion. These materials are all quite
expensive.

Another group of chemical grouts react with the salts in

the soil and groundwater. Some require only the presence of
groundwater to effect a solidification. An example of this is
the polyurethane discussed previously.

Combinations of Grouting Systems

Besides the advantages of filling large voids with particu-

late or high viscosity grouts and then injecting low viscosity
chemical grouts to complete the waterproofing, it is sometimes
useful to mix two chemical grouts together before injection. An
example of this is the addition of sodium silicate to phenoplast
resin grouts to set the material quickly so that it will not be
washed out by the groundwater.

Bentonite, when added to chemical grouts before injection,

though not imparting strength to the treated mass, sets up suf-
ficiently to prevent the continued migration, under the force of
gravity, of the less viscous, slower setting grouts.

Choice of a Grouting System

For every conceivable underground condition there would
appear to be a grout or combination of grouts that could seal
the voids. The exception to this is ground with such a low per-
meability that water will not drain from it. The matter of
selecting the method best suited to the conditions encountered
is very complex. It requires a thorough knowledge of the great
variety of materials that can be used separately or in various
combinations to produce the result required in the underground
conditions on the project. Most of the expertise in this field
is to be found within the grout injection contracting firms or
the grout manufacturing companies.

In selecting a grouting system, Einstein and Schnitter

suggest five steps be taken (Ref. 5). These are:

1. Detailed investigation of site geology, hydrology and

ground chemistry.
2. Choice of a group of possible grouts.
3. Laboratory tests made on these grouts.

96
 4. Laboratory tests made on these grouts with soil.
5. Field testing these grouts for final selection.

The grout selection should be done by an expert in grouting.

Field testing is important because of the numerous factors
which influence the effectiveness of a grout. In fact the gel
time for a grout is frequently determined at the project site
after field testing, so all influencing factors are included.

Where the permeability of the ground formation is so low

that the water will not drain out of the ground, it is extre-
mely difficult or impossible to inject grout and some other
means of controlling the groundwater must be used (Ref. 56).
Another condition which causes difficulty when grouting is dry
soil. Sometimes it is necessary to inject the soil with water
before the grout will penetrate it (Ref. 88). Figure 27 shows
typical grout applications for various situations.

5.14 Grouting Methods

A relatively thin vertical grouted layer, placed to pre-

vent horizontal flow of groundwater, is called a "curtain". A
relatively thin horizontal grouted layer, placed to prevent ver-
tical flow of water, is called a "blanket". The required depth
of the blanket is dependent on its location and purpose. In
Europe in cut-and-cover construction this is occasionally used
to seal off the groundwater which would rise through the floor
of a cut-and-cover structure constructed utilizing diaphragm
walls or steel sheet piling for ground support (Ref. 95). This
grouting is done before excavation of the ground between the
walls. It is done at a depth such that the weight of the grout-
ed soil remaining after excavation balances the maximum pressure
of the groundwater including a safety factor. A half meter lay-
er of ungrouted soil above the grouted material may be included
in the design as a buffer against the upward migration of the
grout. This treatment should be permanent. It can sometimes
serve two purposes -- it keeps the excavation, and later the
structure, dry and may eliminate or reduce the need for add-
itional compensating structure weight or piles in tension to
prevent uplift of the structure by the groundwater (Ref. 125).
See Figure 28.

Another common European use of the grout blanket is as a

canopy above the finished structure, but there its usual pur-
pose is strengthening a shallow or weak cover though it can al-
so function to complete the impervious envelope consisting of
slurry walls, bottom blanket, and canopy (Ref. 95). See Figure
29.

In placing a grout envelope around an underground struc-

ture some systematic method must be used to insure continuity
of the envelope. Selection of the method to be used in any sit-
uation depends on the underground site conditions, the place in

97
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 .Metro box structure

hw

ht

Sheet pile or
hi concrete diaphragm wall

WSSB&fe
mmmgsm^mm
0.5 m
"Zone of grout injection

(After Ferrand et al . 1976)

Figure 28 - GROUTING THE BASE OF A BRACED CUT

Depth
Road surface ft m
jL 1
Power, water & telephone services

Sand and
gravel
Grouted zone

16 -

Station diaphragm wall,

10

16 ft 15

(After Moller, 1976)

Figure 29 - GROUTING ABOVE THE CROWN IN A MIXED SOIL PROFILE

99
the construction sequence that it will be performed, the grouts
to be used, the above ground site conditions, and the available
injection equipment. The most commonly used methods for plac-
ing grout to assure complete coverage under a variety of ground
conditions is discussed in Volume 1 of this report.

5.15 Application
The application of chemical grouts is a very specialized
process which requires strict quality control and constant moni-
toring. The materials must be accurately measured and pumping
pressures must be accurately controlled. Records should be kept
of the elevations grouted, type of grouts, amounts injected, and
the pressures (Ref. 95). Besides checking the pressure on the
grout lines the ground surface and existing structures in the
vicinity of the grouting should be watched for surface heave.
Some grouting companies use electronic monitoring equipment
which will sound an alarm as soon as there is an elevation
change of a specified magnitude (Ref. 124).

All ambient conditions which can alter the physical proper-

ties of the chemical grout must be observed so that adjustments
can be made in the porportioning and pressures. These include
temperature, entrained air in the solution, metal in the soil,
impurities in the mixing water, exposure of the solution to sun-
light, and the use of filler materials in suspension (Ref. 124).

Effective chemical grouting is an art. It requires the

expert judgment of the grouting specialist for interpreting the
pumping records and field measurements in the light of his
knowledge of available equipment, grout types, possible grout
variations and combinations, ground formation types, and his
experience with the interactions of these variables (Ref. 95).
The grouting operation should be kept flexible so that as condi-
tions change the grouting expert is free to alter the program
to suit.

5.16 Verification of Grout Application

The solidified grout is not within easy reach for verifi-

cation of its in-situ characteristics but some means have been
devised for determining some of the in-situ characteristics
though these tests are still infrequently used and not particu-
larly reliable.

In most cases in Europe both owner and grouting contractor

depend on careful construction control and monitoring during
injection to prove the effectiveness of the grouting. In the
United States contractors are usually told how much grout to
use or the desired compressive strength, but tests after grout-
ing are rarely performed (Ref. 68).

100
 After a chemical grout application has been completed it
would be helpful to determine the permeability of the treated
ground, whether there is proper distribution of the grout in
the soil, how complete the gelification is, and what materials,
if any, are moving from the grouted area into the untreated
soil and the groundwater.

If permeability tests had been made on the ground mass

before injection and like tests are made after injection the
effectiveness of the treatment can be estimated (Ref. 53). If
the injection is made behind leaking ground support walls or
tunnel lining the verification of successful change in the per-
meability is self-evident.
If the grout "take" of the formation is close to the anti-
cipated take it is a good sign. The amount of grout the ground
will take is dependent on the porosity of the ground, the rate
of flow in the ground, and the setting time. A thorough inves-
tigation of the subsurface conditions should supply a fairly
accurate figure for the porosity and for the permeability of
the formation and these with the viscosity of the grout and the
injection pressures determines a good figure for the rate of
flow and in most grouts setting times can be closely controlled.
The rate of flow, the length of grout hole, and the setting time
determine the grout volume and the volume times the porosity
gives approximately the volume of grout that should be taken.

Sampling of the grouted soil is difficult since most che-

mical grouts do not adhere strongly to the sands and silts
they have infiltrated and the sample falls apart before its pro-
perties have been tested (Ref. 68). Therefore, the tests must
be "in situ" if their results are to be meaningful. Some
strength tests have proven fairly reliable, but they are not
significant for groundwater control.

Some geophysical tests have shown potential as aids in

monitoring grouting activities. They are the two types which
are most commonly used for remote determination of soil changes
with depth; namely, electrical resistivity and seismic refrac-
tion. Since the resistivity methods are more sensitive to
changes in soil pore fluid, they may be adapted to monitoring
distribution during grouting. The feasibility of using
resistivity measurements to determine the progress of grouting
has been tested in small-scale laboratory tests which show a
marked change in soil resistivity upon grouting. After grouting
the seismic methods potentially should perform well since they
are more responsive to changes in soil strength and elasticity.
The seismic refraction methods do not penetrate below a hard
layer, so they might be useful in determining the depth to the
top of a grouted formation. More work is needed in testing
these geophysical methods in full-scale field operations (Ref.
68).

101
 So far no tests seem to have been developed to provide
information on the completeness of the solidifying reaction or
what materials were migrating from the treated area. If these
two things could be determined the safeness of chemical grouting
could be established and its use become more widespread.

Grouting of soils can be an effective method of keeping

groundwater out of tunnels during construction and keeping the
permanent structure dry on a long-term basis. Due to the high
costs involved ($100 to $500/cy) it is not economical to sub-
stitute this method for the other waterproofing methods
described in this report, unless the grout is used for ground-
water control and ground reinforcing during the construction
period as well as for preventing the infiltration of groundwater
into the permanent structure.

5.20 CONSOLIDATION GROUTING OF ROCK TUNNELS

Cement grout has been used for filling voids behind tunnel
linings for more than a hundred years. It is still the most
inexpensive and most commonly used material for grout sealing
of leaks through rock fissures (consolidation grouting) and
filling voids between a cast-in-place lining and the excavated
rock (contact grouting) . Contact grouting will be discussed in
sub-section 5.30.

In general, relatively large volumes of water leakage can

be tolerated during rock tunnel construction, particularly if
the tunnel is being driven "uphill", with the grade rising from
portal or shaft to the heading. In this situation the water is
usually channeled in the invert to a sump near the portal or
shaft and pumped to a settling basin and subsequent disposal.
If the tunnel is being driven downgrade, the water must be
pumped out of the tunnel from the heading, often in stages. It
is not uncommon to handle hundreds of gallons per minute (100
gpm =6.3 litres/sec) in aggregate leakage from heading and
tunnel walls. When leakage at the heading becomes unmanagable,
interferes with excavation and support operations, or has a
deteriorating effect on the rock, consolidation grouting is
employed to seal the leakage. In this case it is a water
control measure to aid construction. However, whether the
grout is placed during excavation, prior to concreting the
lining, or after the lining is placed, an important objective
is to keep groundwater from the permanent structure. In most
rock tunnels the concrete lining and grout are the only
measures taken to prevent water inflow. In unlined railroad
tunnels, powerhouses or underground storage caverns, consolida-
tion grouting may be the sole deterrent to water inflow.

102
5.21 Grouting, During Excavation

Most rock is relatively impervious and water leakage takes

place through joints, cracks, or shear zones of fractured
rock. If a regular grid pattern of shallow holes is drilled
and injected with grout to reduce rock permeability it is
referred to as blanket or area grouting. This may serve a dual
purpose of consolidating fractured rock around a tunnel as well
as sealing off water. Very often individual seams are grouted
after being exposed by excavation, either near the heading or
prior to concreting. One or more grout nipples are placed into
the seam and cemented in place. A grout nipple is a short
length of pipe with a simple valve and coupling. The rest of
the seam is sealed off, if possible, with burlap and wooden
wedges. Grouting begins at the lowest level, continues till
grout appears at the next nipple which is left open to permit
water and air to escape. The first nipple is closed to prevent
the grout from reentering the tunnel and the grout hose
connected in turn to each of the remaining nipples. If the
water finds another flow path into the tunnel the process must
be repeated. It may be necessary to drill holes into the rock
to try to intercept the flow path away from the rock surface.
While urban transportation tunnels are not usually deep, some
rock tunnels may be far below the surface, requiring high grout
pressures to displace the groundwater present. Pressures in
excess of 1000 psi (6,895 kPa) have been required for grouting
some deep tunnels.

A rule of thumb used in some specifications for grouting

pressures in rock calls for 1 psi per foot of overburden (22.6
kPa/m). This is conservative as it does not consider tensile
and shear strength of the rock mass. The actual pressure that
the rock is capable of withstanding is dependent on several var-
iables and may change in a particular rock mass due to its non-
homogeneity. Changes in tensile strength, jointing, stratifica^
tion, weathering or altering of joints all affect this maximum
pressure. Figure 30 shows approximate rock grouting pressures.
This can be used as a rough guide, but water pressure tests
should be made during the grouting program to determine actual
field values to be followed.

5.22 Pregrouting Rock Before Excavation

If large water inflows requiring immediate grouting are

anticipated in a particular area, the contractor may, either by
specification or through prudence, drill exploratory holes out
from the face in the direction of the drive to intercept the
flow before excavation. When these exploratory drill holes
indicate a large water flow is present, the contractor can
delay excavation to consolidate the ground ahead of, and above,
the excavation with a pattern of long drill grout holes.
Although this is time consuming, excavating into a high flow
zone of 10000 gpm (63 litres/sec), or more, could have
disastrous consequences.

103
 I I

Approximate pressure at given depth, kPa

69 172 345 517 689 1034 1379 2068 2758 3447 4137 5516
L -L J_ J-
150
140
— 1 1 —
1

71 -45
Rule of thumb
130 -40
4^
120 E
no Sound -35
*
stratified rock 1>
U 100 -30 <J
10 <o
90 «4-

80 -25 =3
</> tf»

70 Massive rock -20 5

60 O
fmm
0)
50 -15 -O
40 -C
ound stratified rock already"
30 -10 a.
ai grouted above given depth O)
20 — 5
10
L
10 25 50 75 100 150 200 300 400 500 600 700 800
Approximate pressure at given depth, psi

Figure 30 - Rough Guide for Rock Grouting Pressures

(After Creager, Justin and Hinds, 1945)

The following methods of pregrouting rock have been de-

veloped largely in connection with dam construction but can be
modified for pregrouting of rock tunnels. While this type of
complete coverage cannot be justified for most tunnels, the type
of procedures used can be adapted to pregrouting difficult water
areas of a tunnel either from the face or surface. The usual
procedure in tunneling is to grout from a face or occasionally a
small pilot tunnel when ,the need arises. One of several types
of grouting described below may be used.

Stage Grouting Hoi es are drilled and grouted in preset

.

depth increments or stag es from the rock surface, starting with

the shallowest depth, re latively low pressure and the most vis-
cous grout mix. After e ach stage of grouting, the drill hole is
jetted and cleaned befor e the grout hardens to avoid the need of
redrilling. The next st age is then drilled by extending the
hole. Successive stages have higher pressures and thinner grout
mixes to reach all crack s and fissures. At various stages, water
pressure tests are made to aid in selecting the proper combina-
tion of grout mix and pr essure. The first set of holes grouted
are relatively far apart A second set of holes are then drill-
ed between the holes of the first set and the grout take compared
to that in the original set. If deemed necessary a third set are
drilled splitting the fi rst and second set of holes.

104
 Series Grouting. This is similar to stage grouting with
shallow holes drilled and grouted first, except that all sets of
holes are drilled and grouted at each stage. Holes are not
washed out but deeper staged holes are drilled through the
grouted zone. This results in more drilling than other methods
but assures that each successive zone is grouted tight before
advancing to the next zone depth.

Packer Grouting. With this method grout is placed at a par-

ticular depth by providing a packing in the grout hole above and
below the area to be grouted. The packing isolates a section of
perforated grout pipe limiting the grouting zone and providing a
seal to prevent grout from coming back into the tunnel. The
holes are drilled their full length and grouting is begun at the
bottom of the hole progressing toward the rock surface in stages,
with lower pressures in the later stages.

Circuit Grouting Using this method, grout is pumped to the

.

bottom of the grout hole through a grout pipe filling the grout
hole. All zones are exposed to the grout under pressure at the
same time. A return line empties unused grout into a holding
tank.

5.23 Grout Mixes and Pumping Equipment

As mentioned previously cement grouts are most commonly used

for rock tunnels although other grouting materials such as sili-
cate grouts and resin grouts have also been used. The advantages
of cement are its strength when set and its low cost. The big-
gest drawbacks to cement grouts are the difficulty in controlling
set time and its limitation of flowing in narrow cracks. While
Type I portland cement is most often used for grout, any of the
other types may be used where conditions warrant. Type II or
Type V may be used where the groundwater contains soluble sul-
phates. Type III, scalped, has particles approximately one-third
to one-quarter of the size of the Type I particles, enabling flow
in less permeable ground, and has high early strength. Air-
entrained cements are not recommended by the Corps of Engineers
who have had extensive grouting experience. They have reported
difficulty in pumping such grouts. Resin gypsum cements are
more expensive but have very fast set times.

Sand, clay, fly ash and even sawdust have been used as fil-
lers in cement grout mixes to extend the cement. Cement-sand
mixes are used for filling large voids but are not recommended
for grouting in rock with small cracks. Cement-clay grouts us-
ing local native clays are likewise not recommended for filling
small cracks, as they often contain fine sands. Bentonite, while
more expensive, does not have this drawback. The larger the
voids to be filled the thicker the mix, requiring a higher cement
content, and possibly mixed with sand. Thinner seams require
much thinner neat cement mixes and sometimes require a chemical
grout not restricted by cement particle size. Chemical grouts

105
may also be required in situations where faster or more
controlled set time is needed than is possible with cement.
There are situations where cement grouts can be used but
groundwater flow conditions are such that the grout would flow
long distances before setting. Under such conditions a smaller
quantity of more expensive, but fast setting grouts can prove
more economical. Occasionally it may be desirable to use both,
a chemical grout with fast set time to seal off flow and a
cement grout to fill the bulk of the voids.
As a general rule, to prevent bleeding of cement grout from
a seam, the lowest possible water-cement ratio of grout that
will flow, either neat or with a filler, should be used. Neat
cement-grout mixes vary from about five gallons (19 liters) per
sack of cement to twenty or thirty gallons (76 or 114 liters)
per sack. For pumping cement grouts with sand fillers, cement-
sand ratios vary from 1:0.5 to 1:2 by weight depending on the
void to be filled and the type of equipment used. Cement-clay-
water ratios may vary from 1:2:3 to 1:3:6 by weight. Additives
which may be used with cement clays include set time accelerators
or retarders. The most commonly used accelerator is calcium
chloride. If grout must travel a long distance calcium ligno-
sulfonate can be used as a set retarder, but in grouting most
tunnels it is more usual to need to accelerate set time.

Among the chemical grouts that have been used in rock tun-
nels are silicate grouts (waterglass) ,
polyester resins, and
AM-9. The earliest chemical grouts used in tunnels were sodium
silicate solutions. When used with proper reagents such as sod-
ium bicarbonate or sodium chloride these solutions set up as a
gel. Varying the type and quantity of reagent controls the grout
set time. Silicate grouts are among the safest chemical grouts
whether considering handling by the workmen or possible ground-
water contamination. They were the only chemical grouts
permitted in Japan at one time and served very well in driving
the Seikan Tunnel (Ref. 74). This 32.3 mile (52 km) long,doubl e
track railroad tunnel beneath the Tsugaru Strait was one of the
most challenging tunnel projects in the world. The silicate
grout was particularly adaptable to the heavy salt water infil-
tration of this site.

Another difficult tunnel grouting job was the Susquehanna

Water Tunnel in Baltimore (Ref. 134). Decomposed rock and mud
seams were successfully pregrouted with AM-9, a polymer grout.
The grout holes were drilled in the face to a depth of 20 to 30
feet (6 to 9m). Excavation proceeded till a grout plug of about
7 feet (2 m) remained. Test holes were used to determine if
another round of grout holes would be required and if so, the
cycle began again.

The United States Bureau of Mines with the cooperation of

several coal mine companies have been experimenting with the use
of polyester resin impregnation of mine roof rock (Ref. 36, 94).

106
While the major consideration in these experiments is strengthen-
ing the rock through consolidation, the techniques could be used
in tunnels in similar sedimentary rock for water control as well
as rock reinforcement.

High pressure g routing, often needed to force water out of

deep seams, is plac ed by a positive displacement pump. Grouting
equipment includes a mixing chamber, either mounted in fixed po-
sition to discharge into the pump or a separate unit feeding the
pump by pipe or hos e. A return line recirculates grout back to
the mixer when the voids are grouted to refusal. Where rela-
tively low grout pr essures, less than 150 psi (1030 kPa) will
,

suffice, a progress ive helical cavity pump (Moyno) is a compact

efficient alternate to the larger piston pumps.

Sample rock tunnels constructed for various agencies in the

last decade are listed in Table 3, showing the project specifi-
cations for grout mixes and grouting equipment. All of the
sample tunnel specifications used call for cement grouts as is
common in most rock tunnels.

5.30 ANNULAR SPACE GROUTING AND CONTACT GROUTING OF TUNNEL

LINING

5.31 Annular Space Grouting

In tunnel excavation utilizing a shield and primary tunnel

lining, the lining is erected in the protection of the tail of
the shield. Some types of primary linings are expandable, that
is, they can be expanded to the full excavated ground diameter
after leaving the tail of the shield. Most bolted linings are
not expandable, consequently they are 4 to 6 inches (100 to
150 mm) smaller in diameter that the outside of the shield. As
the lining leaves the tail of the shield a void of at least 2 or
3 inches (50 to 75 mm) remains around its circumference. To pre-
vent settlement of the lining and the ground above the tunnel it
is imperative that this void be filled.

This situation more commonly exists in shield-driven, soft

ground tunnels with soil of relatively short stand-up time, but
there are times when a shield encased TBM is used for rock tun-
neling with a primary tunnel lining (Ref. 105, 136). The pri-
mary lining can consist of ribs and lagging, liner plates (with
or without ribs), or a segmented lining. Traditionally the fill
ing of voids in earth tunnels consists in placing pea gravel
(3/8 inch or 10 mm maximum) under the invert to keep the lining
from settling, then up the sides and over the arch of the lin-
ing. This is done by blowing the gravel through the lining with
a gravel pan and air hose attached to threaded holes in the lin-
ing. Back from the heading 50 to 100 feet (15 to 30 m) cement
grout is pumped out into the void through the same holes.

107
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 It would be naive to believe that the grout disperses itself
evenly through the gravel to form a water-resistant, uniform,
concrete lining around the tunnel. Grout follows the path of
least resistance and will disperse through any voids around the
tunnel rather than force its way through the small interstices
of the gravel. These paths may include the space between the
lining and the shield tail unless a grout dam or seal is pro-
vided. The dispersal through the gravel is further discouraged
by the presence of fines from the soil mixed with the gravel by
settlement or by forceful shooting of the gravel into the void.
The method of gravel placing does not promote uniform distribu-
tion, but leaves pockets of gravel with voids or settled soil
between. This nonuniform distribution has been observed outside
tunnels originally backpacked in this manner and later uncovered
by subsequent construction in the area (Ref. 128).

The primary purpose of providing gravel packing and grout in

the annular space is to prevent settlement. If the space is
filled in a timely and efficient manner it has served its pur-
pose. Any sealing off of water access is a secondary considera-
tion and cannot be reliably controlled. At the same time, any
grout that is taken by voids around the tunnel helps to reduce
the ground permeability caused, at least in part, by the tunnel
excavation operations. The filling of the annular space around
the tunnel therefore cannot be considered a reliable waterproof-
ing method, but by filling voids, this grouting reduces to some
extent the permeabilty of the surrounding soil.
5.32 Contact Grouting of Concrete Linings in Soft Ground Tunnels

Depending on the strength of the primary lining in a soft

ground tunnel and the construction methods employed, placing of
the permanent concrete lining may take place a short distance
back from the heading or may be delayed till completion of exca-
vation. Generally it is advantageous to use a stronger and more
costly primary lining to avoid the periodic disruption and
mutual interference of excavation, cleanup, and concrete opera-
tions. When the loads on the tunnel are great, the added cost
of the stronger lining may be considered too high. Another
situation where a lining may be concreted during excavation is
in a tunnel being driven with compressed air to prevent water
inflow. The cost of sealing the primary lining can be saved by
placing concrete while the tunnel is still under air pressure.
To be economical however, this saving must overcome the high
additional cost of concrete labor working in compressed air.

In either case, after the tunnel concrete lining is in place

it is necessary to grout any remaining voids between the primary
and secondary linings. The primary lining, whether it be ribs

109
form doors and vibrators. The most difficult area is the arch
where air can become trapped above the concrete between ribs or
segment flanges. These voids must later be filled with a sand-
cement grout. Occassionally a small percentage of bentonite is
added to the grout. Eliminating these voids by filling them with
grout is a definite aid to promoting watertightness in the lining
by plugging off potential water courses.

There are two methods of providing grout holes through the

lining depending on the contractor's preference. The contractor
may place short sections of pipe behind the forms prior to con-
creting, or he may elect to drill grout holes through the con-
crete. Grouting procedures are similar in either case. Grout
holes are staggered with one hole per 50 to 150 sq. ft. (5 to 15
m2). Grout is pumped into a hole with just enough pressure to
make it flow. When it reaches the next open grout pipe the first
is closed and the grout hose moved to the second. If a hole does
not take any grout at the maximum pressure, usually under 30 psi
(207 kPa), it is considered full.

Care must be taken not to use too high a pressure to avoid

cracking the concrete lining. For this reason contact grouting
should not begin till the concrete has reached its design
strength. A low pressure grout pump, either a positive displace-
ment piston pump or a progressive helical cavity (Moyno) pump,
can be used to place the grout. The one and one-half-inch (38
mm) size of grout pipes and hose is the most common size used.

5.33 Contact Grouting of Concrete Linings in Rock Tunnels

Rock tunneling, where a cast-in-place concrete lining is to

be used, is almost invariably a two-phase project, with the lin-
ing placed after the excavation is completed. If support or
reinforcement of the rock is needed during excavation it is pro-
vided by temporary measures such as steel ribs, rock bolts, shot-
crete or a combination of these measures. This support or rock
reinforcement is varied as the need requires (Ref. 146). While
a number of useful studies have been made to place a continuous
cast-in-place concrete lining in the tail of a TBM, it has not
yet become a practical reality (Ref. 46, 97). When this is
accomplished it will eliminate the need for a separate temporary
lining, and reduce the construction time and cost of rock
tunneling for many projects where it can be appropriately used.
Contact (or backfill) grouting of concrete linings in rock
tunnels is similar to that described for soft ground tunnels.
For tunnels excavated by drill and blast methods more grout will
be required than for comparable TBM excavated tunnels in rock,
or for soft ground tunnels. Blasting creates more uneveness of
the rock surface increasing the chance of leaving voids. Where
lagging, blocking or cribbing are required with steel ribs the
probability for leaving voids increases. In such cases it is
advisable to place a gro'ut pipe from the area to the form to in-
sure that the area is not missed during grouting.

110
 In extremely bad ground where continuous lagging is required
it is important to place grout pipes through the lagging to in-
sure grouting any voids between lagging and rock as well as bet-
ween concrete and lagging. Drilling through the concrete (and
lagging if required) can be used as an alternate to setting grout
pipes prior to concrete placing. The location of potential
problem areas should be carefully recorded to aid in locating
drill holes later through the lining. As in the case of soft
ground tunnels it is important to fill all voids with grout to
eliminate possible water courses behind the lining.

Equipment, piping, and grout mixes are similar to those des-

cribed for soft ground tunnels. Table 4 shows sample rock tunnel
contact grouting specifications for these items.

5.40 DIAPHRAGM CUTOFF WALLS

5.41 General Description

While diaphragm cutoff walls are often used for temporarily

controlling groundwater during construction they remain in the
ground for the life of the structure. It is appropriate there-
fore to review the effects of such walls on the permanent
structure in terms of groundwater control. Diaphragm cutoff
walls are used in cut-and-cover tunneling projects for a number
of purposes and may serve several on a particular project. They
may be used: 1) as an alternative to underpinning structures
adjacent to the excavation, 2) to cut off or reduce groundwater
flow into the excavation site, 3) as temporary ground support
walls, and 4) as structural outer walls of a permanent structure.
This type of construction is relatively expensive, but can be
most cost effective when incorporating a combination of all uses
above for a given structure (Ref. 144). A number of recent
studies and reports describe in detail how such walls are
constructed and utilized. It is recommended that the reader
refer to these works for additional details. (See Ref. 18, 53,
54, 55, 86, 87, 125, 143, 144, 145, 148, 149).

Diaphragm cutoff walls are constructed by excavating a nar-

row deep slot in earth, which is filled with a bentonite slurry
of proper consistency to prevent the sides of the slot from cav-
ing. Excavation in soft ground is usually performed by a spe-
cially constructed hydraulically operated grab bucket, mounted on
the kelly bar of a crane. A drill or large chisel is used to
break up boulders. A structural concrete wall is constructed in
the slot. The wall can be cast-in-place in sections, or can be
built of precast concrete members set into the slurry trench.
These walls are then braced with wales and struts, or with wales
and tiebacks as the excavation proceeds.

Such walls have been built in short sections for some rapid
transit sections in Washington and Atlanta to support existing

111
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113
structures. Station and line section portions of the Red Line
Extention in Boston, presently under construction, include dia-
phragm walls. Acting as a semi-rigid ground support with appro-
priate bracing, this type of wall prevents outward movement of
the soil beneath the existing structure. Movement can occur
when a flexible support wall is used without underpinning the
structure. While this use serves its purpose, if the remaining
ground support walls permit drainage into the excavation these
short sections of solid wall cannot be effective in aiding to
control groundwater. In New York, a rapid transit line section
was constructed using continuous diaphragm walls as temporary
ground support and as an alternate to underpinning. The excava-
tion invert was in rock, but as the walls were not sealed to the
rock, they were ineffective in keeping water out of the excava-
tion. In San Francisco several stations were constructed with
deep cast-in-place diaphragm walls on all sides. They were
designed to serve all four basic functions listed above. They
proved competent for these purposes and were cost effective com-
pared to other construction methods (Ref. 129).

5.42 Cast-in-Place Reinforced Concrete Diaphragm Walls

The earliest and most common type of cast-in-place diaphragm

walls are cast in alternate panels and reinforced with cages of
reinforcing steel. This was first used in Europe but has been
slow in being accepted in the United States, partly becaused it
involves different construction methods and practices from the
more standard soldier pile and lagging method.

Alternate slots are excavated along the wall line, utilizing

bentonite slurry, more commonly known as driller's mud. The
slurry, which is a stable suspension of powdered bentonite in
water, is used to keep the excavated slot stable and prevent
sloughing. The slurry replaces the excavated material until the
concrete is poured by tremie methods. The installation procedure
requires equipment for slurry mixing, circulation and cleaning,
together with special slot excavating equipment. This equipment
includes hydraulic clamshells for earth excavation and chisels
and drills for breaking up boulders. The excavated slot is nar-
row, 1* to 3' x about 20' long (0.3 m to 1.0 m x 6 m) and can be
quite deep, 80' (24 m) or more.

Preassembled reinforcing steel cages are lowered into the

slurry in the excavated slot, and concrete is tremied into the
slot, displacing the bentonite slurry.

Once the initial alternating slots have been concreted, the

remaining spaces between the completed sections are excavated,
reinforcing steel installed, and tremie concrete placed in the
same manner. Various key and waterstop configurations have been
used to make the connection watertight. Embedded items such as
bearing plates for wale installation or pipe segments for tieback
installation can be attached to the reinforcing cages prior to

114
concreting to facilitate later installation of the bracing
system.

No forms are used in constructing a cast-in-place diaphragm

wall. The tremie concrete fills the excavated slot, displacing
the bentonite slurry which is pumped from the top, filtered and
reused in another slot. The concrete wall faces take on the
rough features of the excavated slot. A coating of slurry is
left which is later removed from the inside face. That slurry
remaining on the outside acts as a permanent seal similar to the
use of bentonite panels described in Section 3. To supplement
this seal it is sometimes necessary to use special joint treat-
ment between panels.

Several imaginative joint details have been developed. Some

details have included transmitting shear and splicing of rebars
across joints, but we will limit our discussion to those details
for waterproofing joints. The following sample joints are illu-
strated in Figure 31: A) The earliest joints were simple butt
joints roughened by scraping tools or bucket teeth. B) Next
came the half round or interlocking pipe joint, which is still
widely used today. A steel pipe whose diameter is the same as
the width of the slot is placed at each end of the slot. During
the concrete pour the pipe is partially rotated to prevent bond-
ing to the concrete. After the initial set, it is carefully
raised, leaving a circular hole. When the adjacent panel is
poured a half round joint is formed lengthening the path of pos-
sible water seapage. C) The next joint shown was developed in
Japan as a variation of the interlocking pipe joint. A corru-
gated steel plate is attached to the pipe to create a wavy, half
round joint. D) and E) These joint variations include one or
two key tubes much smaller than the interlocking pipe. These
can be grouted after the adjacent panel is placed to seal
possible leaks. F) This joint shows a variation using a
waterstop in the smaller tube which becomes half embedded in the
first pour and is protected in the void of the tube while the
adjacent slot is excavated. It is then half embedded in the
second pour.

5.43 Cast-in-Place Soldier Pile and Tremie Concrete Walls

The soldier pile and tremie concrete system developed in the

United States provides a continuous structural wall consisting
of soldier piles spaced at predetermined intervals with casting-
slurry concrete wall panels (usually unreinf orced) between the
piles. The wall thickness is equal to the depth of the soldier
pile section, normally a rolled steel beam. The construction
procedure starts with the placing of soldier piles in predrilled
holes, kept open with bentonite slurry. Vertical alignment of
the pile section is critical in this system to avoid too long a
span for the unreinforced concrete. The hole is backfilled with
lean concrete, which displaces the slurry. Slots are then dug
between the soldier beams, again utilizing slurry. A special

115
 A. BUTT JOINT

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o -* :
d .
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o /.,

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fi. INTERLOCKING PIPE JOINT

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C. JAPANESE INTERLOCKING PIPE JOINT

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E. DOUBLE KEY JOINT

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F. WATERSTOP JOINT

'<. .
"?

CONCRETING OF CONCRETING OF
PRIMARY PANEL SECONDARY PANEL
Figure 31 - CAST-IN-PLACE SLURRY WALLS - TYPICAL JOINT DETAILS

116
digging bucket is used and the sides of the soldier beams serve
as guides. Tremie concrete is placed in the excavated slot. An
alternate method is sometimes used where every other pile is
placed in drilled holes and a double length slot is excavated.
The center pile is placed in the slot and tremie concrete is
used to fill the double slot using two tremie pipes. Care must
be exercised to raise the levels of concrete simultanelously to
avoid dislocating the center pile.

The walls are usually constructed from 18 to 36 inches (0.46

to 0.91 m) thick with soldier piles at 5 to 6 feet (1.5 to 1.8 m)
on centers. An alternate arrangment is to place piles farther
apart and place a layer of reinforcing near the inside face to
span from pile to pile. For both arrangements, the soldier piles
form the main vertical structural members with the concrete act-
ing as impervious lagging to hold the soil between piles and
transmit the soil load to the piles. The piles are blocked to
the bracing wales as the ground is excavated between walls.
This blocking of steel wales to steel piles is similar to the
procedures used in bracing soldier pile and lagging supported
excavations, and may explain its acceptance by United States
contractors.

Care must be taken after the slot has been excavated in

cleaning the soldier piles prior to placing concrete. As this
is done below the surface of the slurry it is equally difficult
to perform and to inspect. Any dirt remaining on the pile will
contaminate the concrete and affect the bonding of the concrete
to the steel. It is this bonding action which prevents water
inflow at the steel-concrete joint of each panel. There are no
concrete to concrete joints as in the case of the reinforced pan-
el diaphragm walls where waterstops can be used. This is one of
the drawbacks of the soldier pile wall, the difficulty of pre-
venting leakage at the steel-concrete interfaces. Although the
outer-face coating of bentonite slurry helps seal the wall, as
in the reinforced concrete wall, the coating is thin and it is
still necessary to have good bond at the piles.

5.44 Precast Concrete Segment Diaphragm Walls

Several variations of a basic precast wall system have been

used successfully in Europe, since 1970 under the patented
"Panasol" system of Soletanche and the "Prefasif" system of
S.I.F. - Bachy (Ref. 18, 125). Precast walls can vary in confi-
guration and size and include tongue and groove continuous pan-
eling, and precast tee beam and panel combinations. The wall
excavation procedure is similar to the cast-in-place slurry wall
system. A trench is excavated using a special slow setting ben-
tonite-cement grout slurry. Upon completion of the slot, the
precast panels are lowered into the trench and aligned, and the
grout allowed to set. The grout slurry is an important compo-
nent of the system since the segments do not completely fill the
trench as in the case of the cast-in-slurry walls. The setting

117
of the grout which is at least equal in strength to the surround-
ing soil, assures elimination of voids and filling of all irreg-
ularities in the trench, thus minimizing potential settlement in
the adjacent soil. The predominant use of this system to date
has been in relatively shallow to medium depth excavations uti-
lizing tieback bracing. The wall system appears to be readily
adaptable to the use of wales and struts which may be required
for deep cuts.

This system has many advantages for incorporation into the

completed structure over the cast-in-place diaphragm wall system.
Since the sections are cast in a yard, better control and uni-
formity of concrete can be achieved. There is no concern that
reinforcing is coated with slurry. A good finish can be cast on
the inside face eliminating the need, in many cases, for a finish
wall, and waterproofing can be placed on the outer face. Dowels,
keys, recesses and bearing plates can be incorporated into the
casting as required.

This type of diaphragm wall has not been used yet in the
United States There was a precast wall designed as an alternate
ground support for a recent cut-and-cover sewer project in
Baltimore, but the contractor elected to use a cast-in-place
wall. An extensive study of the design and potential use of pre-
cast panel diaphragm walls for transportation tunnels in the
United States was competed by Martin, et al in 1977 for the De-
partment of Transportation (Ref. 86, 87).
The grout slurry used for setting the precast panels in the
slot serves more than one purpose. Besides acting as a filler
in the sides of the slot, the slurry is impervious and, leaving
a wider gap on the outside face, provides a thicker water seal
than the thin coating on the cast-in-place wall. In addition,
if a deep slot is required for water cutoff, it is not necessary
to extend the precast panels to the bottom of the slot. The pan-
els are set sufficiently below the invert to meet structural
requirements with the less expensive hardened grout slurry below
to support the panels and fulfill the impervious cutoff require-
ments.

If additional treatment is deemed necessary at the joints,

the ends of the panels can be cast with various shapes of keys
and joint shapes similar to those shown for cast-in-place walls,
and left slightly open to be filled with grout slurry or a hole
for grouting.

5.45 Use of Diaphragm Walls as Permanent Groundwater Control

To be of maximum effectiveness in controlling groundwater

for a completed cut-and-cover structure a diaphragm wall must:
1) be continuous on all sides of the structure, 2) not have leak-
age through the concrete or joints, and 3) be firmly bedded and
sealed in a continuous impervious ground layer of clay, silt or

118
rock. If all these are present, groundwater will not be able to
reach the structure inside the walls. The practical problem
involved is the difficulty of being certain that these condi-
tions have been met. There is no problem checking for leakage
in the walls above the invert during excavation and correcting
defects by replacing concrete, or grouting through the walls.
If there is leakage in the wall below the invert, or the wall
bottom is not effectively sealed, it may not be detected unless
the quantity of flow is high.

For a diaphragm wall that is deep, but does not extend into
an impervious layer, or if there is leakage below the invert, the
walls will still aid in reducing groundwater flow to some extent.
A deep diaphragm lengthens the path of groundwater flow and sub-
sequently increases the impedence to flow. Although water will
continue to flow down under the wall and up to the invert, the
quantity of flow will be greatly reduced. Volume 1 of this re-
port, described how this factor aids in controlling groundwater
during construction and greatly reduces the need for pumping
water from the excavation. Eventually, after the structure is
built, water pressure under the structure and that outside the
walls will reach a state of equilibrium. If there is any leakage
into the structure during its lifetime however, the potential
maximum flow will be considerably less than it would be without
the diaphragm walls.

As long as the diaphragm wall joints are sealed, there is no

basic difference in performance between the three types of walls
discussed. The precast panels, due to the need to transport and
lift them into place, are made narrower than cast-in-place rein-
forced wall panels and therefore have more joints to seal. As
mentioned previously the soldier pile and tremie concrete walls
may be difficult to seal at the steel-concrete interfaces.

5.50 Permanent Lowering of Groundwater Table

There is no question that a rapid transit system constructed

above the permanent groundwater table costs less to construct
and less to maintain. The costs of the subway section of the
Edmonton, Alberta rapid transit system bear this out. Most
major cities in the United States are either on coastal plains
or adjacent to lakes or large rivers. One possible means for
controlling groundwater for a transportation tunnel is to lower
the groundwater table permanently. Continuous pumping for a hun-
dred years or more would hardly be practical but lowering by
drainage may be possible in some areas. While this system has
not been used for a transportation system, it has been used as a
temporary construction aid for some difficult tunnel construc-
tion projects.

In 1976 an infiltration tunnel was excavated in a new suburb

of Stockholm to control the groundwater level (Ref. 49). In

119
this situation the tunnel was used to raise and then maintain
water elevation at a fixed level, but the same principles could
be used to lower the water table. The system consists of a tun-
nel through rock with a series of holes drilled radially upward
from the tunnel to the rock-soil surface. Water level is main-
tained in a shaft used as a surge chamber. With the use of a
supply system this can be used to add or remove water as
required.

The difficulty with using such a system for most transpor-

tation tunnels would be the possible adverse effects on nearby
structures. Most of these tunnels are constructed in built-up,
urban areas, often with old buildings on spread footings. In
some of these areas, even temporary lowering of the water table
for construction can cause settlement if compressible soils are
present.

This method of controlling groundwater could be very effec-

tive under the proper ground conditions. It should be consid-
ered in situations where lowering the groundwater will
not have an unfavorable effect on other structures.

120
 6.00 SUNKEN TUBE TUNNELS

6.10 INTRODUCTION

Preventing groundwater inflow into any tunnel is important.

In a sunken tube tunnel 50 to 100 feet below the surface of a
river or harbor it is absolutely critical.

Sunken tube tunnels are unique in design, construction,

and sealing techniques. Among the few characteristics they
share in common with tunnels constructed by more conventional
cut-and-cover or tunneling methods are their purpose and inte-
rior appearance. While driving through a completed underwater
highway tunnel it would not be apparent which construction meth-
od had been used, but construction methods are so vastly
similar that the sunken tube tunnel would probably have been
built by a company specializing in marine construction rather
than by a tunneling contractor. Such tunnels have been con-
structed for highways, railroads, rapid transit systems, pede-
strian travel, sewers, and various pipelines.

Sunken tubes are built in long units usually varying from

200 to 400 feet (60 to 120 m) in length, though there have been
notable exceptions to this. They may be constructed of a cir-
cular steel shell with a concrete lining inside, or a precast
reinforced box section which may, or may not, be prestressed.
They may be constructed in a shipyard (if steel) or dry dock
(if concrete), launched, and towed to the tunnel location one
unit at a time. A dredged channel is previously prepared to
receive the units on a graded gravel bed or concrete landing
pads. The tube unit is sunk carefully into position by adding
ballast, and secured and sealed to the previous unit. Details
of construction and sealing methods will be discussed later.

In sunken tube tunnels there is no distinction between the

methods employed to keep the tunnel dry during construction or
after as they are the same. The development of this type of
tunnel and the construction methods used are not as widely known
as other types of tunneling, but are integrally tied to the un-
usual and stringent, groundwater control methods employed. A
brief discussion of this development and the construction meth-
ods is therefore warranted.

In several of the noted references, the sunken tube tunnel

is referred to as a "submerged tunnel", "immersed tube", or
"immersed tunnel". These terms are all considered synonymous
with "sunken tube tunnel".
6.11 Conditions Suitable for Constructing Sunken Tubes

There are three basic methods that have been used for con-
structing underwater tunnels. In the past the most common
method has been the shield driven tunnel, usually used with

121
compressed air as described in Section 4.16 of Volume 1. Many
tunnels in this country and abroad have been constructed this
way. Another method is to place fill half way across the body
of water (river), dig a trench and construct half the tunnel by
cut-and-cover methods. The fill is removed, and the operations
repeated for the other half. This method has not been widely
used, but was employed on the first subaqueous vehicular tunnel
in the United States. This was built in Chicago, in 1866
(Ref. 88). One obvious drawback to this type of tunnel is the
adverse effect on shipping with more than half the river blocked
for the entire construction period.

Sunken tubes, under proper conditions, are often an attrac-

tive alternative to a driven tunnel, particularly if the high
cost of compressed air work is necessary for the driven tunnel.
More than forty sunken tube transportation tunnels have been
constructed since 1910, with over half of these completed in
the last fifteen years. In addition, a number of sewer and
pipeline tunnels have been constructed as sunken tubes. It is
necessary that the river or harbor bottom be relatively stable.
Strong currents can cause heavy deposits of silt over the tun-
nel, while turbulent flow could remove the tunnel blanket and
even undermine the tunnel. The depth of water must be suffi-
cient to float the tube units. The units are large, cumbersome
and can present considerable resistance to flow. While it is
desirable to tow and lower the units in still water these
operations have been performed with currents of 2 to 4 knots
(Ref. 37).

It is not necessary that units be constructed at the site

as long as there is a suitable waterway by which they can be
transported. Very often the area near the tunnel site is con-
gested and it is desirable to locate the fabrication plant else-
where. If a graving dock is to be constructed by dewatering and
excavating, it is usually advantageous to locate in a less
built-up area where the dewatering required for the deep basin
cannot affect existing structures. Probably the most extreme
example of fabricating off-site was the Chesapeake Bay tunnels
whose 37 tubes, each 300 feet (91 m) long, were fabricated in
Orange, Texas, and towed to Chesapeake Bay through the Inland
Waterway (Ref. 88). In an area where several tunnels are con-
structed savings can be realized by reuse of fabrication faci-
lities. Some dry docks in the Netherlands have been used to
build units for several tunnels.

6.20 A BRIEF HISTORY OF SUNKEN TUBE TUNNELS

A number of reports and papers have been written on the

history of sunken tube tunnels. (See Ref. 22, 37, 38, 88.)
This history will be briefly summarized here. An excellent
table of data on all transportation tunnels built by this
method from 1910 to 1975 from Culverwell (Ref. 37), is
reproduced here as Figure 32.

122
 YEAf- NAME FORM LOCATION !UBf CROSS-SECTION No Of LANES TYPL
LENGTH

19 IO DETROIT RIVER RAILWAY

MICHIGAN. USA/
ONTARIO. CANADA
BOOrn
oo TRACKS

A xl
1914 HARLEM RIVER NEW YORK. USA
TRACKS

FREIDRICHSHAFEN P€DESTRIAN BERLIN .GERMANY

1927
FOOTWAY 120 m

CALIFORNIA.
POSEY ROAD 742 m
1928
U SA (8)
MICHIGAN. U.S.A./
1930 DETROIT- WINDSOR ROAD 670 m
ONTARIO. CANADA

1940 BANKHEAD ROAD ALABAMA. USA 6IO m

ROTTERDAM.
1941 MAAS ROAD 587 in 2x2
NETHERLANDS

2x1
1942 STATE STREET RAILWAY ILLINOIS. US A 61 Hi
TRACKS
Wp^ *^P^

1950 WASHBURN ROAD TEXAS. USA 457 m

IO 1952 ELIZABETH RIVER (I) ROAD VIRGINIA. USA. 636 m

1953 BAYTOWN ROAD TEXAS. USA 7BOm

1957 BALTIMORE ROAD MARYLAND. U SA 1920 m 2x2

1957 HAMPTON ROADS ROAD VIRGINIA. USA. 2091 i

1958 HAVANA ROAD CUBA 520m

DO 2x2

BRITISH COLUMBIA
IS 1959 DEAS ISLAND ROAD
CANADA
629 m OLJOD 2x2

16 1961 RENDSBURG ROAD WEST GERMANY 140 m 2x2

I CALIFORNIA.
I 7 '
1962 WEBSTER STREET ROAD 732 m
USA

I & 1962 ELIZABETH RIVER (2 ROAD VIRGINIA. USA IOS6m

NOTES:
1. Date given is the date of completion.
2. 'Denotes part of an underground railway system.
3. Form of tunnel is denoted as follows:
S -Steel shell Figure 32 - SUNKEN TUBE TRANSPORTATION
R - Reinforced concrete box
P - Wholly or partly prestressed concrete box TUNNELS (1910-1975)
(From Culverwell, Ref. 37)

123
 —
No YEAR NAME FORM LOCATION TUBE CROSS-SEC-'CN Ho Of LANES TYPE
LENGTH
CHESAPEAKE BAY
(a) 1750 m.
1963 la) THIMBLE SHOAL TUNNEL RCAD VIRGINIA USA.
(b) 1661 m
lb) BALTIMORE CHANNEL TUNNEL

20 1966 COEN ROAD I

AMSTERDAM.
NETHERLANDS
540m
00 2x2

1967 BENELUX ROAD

ROTTERDAM.
NETHERLANDS
745 m
OoO 2x2

22 1967 LAFONTAINE ROAD QUEBEC .CANADA 768 m

CZXLXZD 2x3

23 1967 VIEUX-PORT ROAD

MARSEILLES.
FRANCE
273 m
cQOIQ 2x2

24 1968 TINGSTAD ROAD

GOTHENBURG.
SWEDEN

ROTTERDAM.
452 m
QQ 2x3

2x1
25 1968 ROTTERDAM METRO RAJLWAY
* NETHERLANDS
1040m
CD TRACKS

AMSTERDAM.
26 1969 IJ RIVER ROAD 790 n 2x2
NETHERLANDS k 1 T oocr?/

SCHELDT E 3 ROAD/ 2x3 ROAD

ANTWERP. BELGIUM
27 1969
(JFK TUNNEL) RAILWAY
5IO m
g J Bk .
g et V 2 TRACKS

BARENDRECHT.
28 1969 HEINENOORD ROAD
NETHERLANDS
614 m
C-2LZ3 2x3

ARLBORG/JUTLAND.
29 1969 LIMFJORD ROAD
DENMARK
5IO m
JCJ 2x3

30 1969 PARANA (HERNANDIAS) ROAD ARGENTINA 2356 m

a*
CALIFORNIA. 2

OBQ
I

1970 BAY AREA RAPID TRANSIT RAILWAY 5825m

U.S.A. TRACK
*

32 1972 CROSS-HARBOUR TUNNEL ROAD HONG KONG 1602 m 2x2

33 1973 EAST 63™ ST. TUNNEL RAILWAY NEW YORK. USA 2 x 229m CD 4 X I

* on TRACKS

34 1973 WANGAN SEN ROAD TOKYO. JAPAN I035 m

OQOQO 2x3

35 1973 I IO MOBILE RIVER ROAD ALABAMA. US A 747m 2x2

1974 KEIHIN CANAL ROAD KAWASAKI .JAPAN 660 m

cco 2x2

-f
37 1975 |
ELBE ROAD HAMBURG. GERMANY IOS7m
aaoc 3x2

Figure 32 - SUNKEN TUBE TRANSPORTATION TUNNELS (1910-1975) (continued)

(From Culverwell, Ref. 37)
124
 The first recorded attempt to place a sunken tube was in
the form of an experiment by two British engineers Wyatt and
Hawkins, early in the 19th century. They actually built and
joined two sections made of brickwork at the start of a cros-
sing, of the Thames River. The units were 9 feet (2.75 m) in
diameter, and 25 feet (7.6 m) long. Being unable to obtain suf-
ficient interest and backing, the scheme was abandoned. In
1894, a 260-foot (79 m) length of 6-foot (1.8 m) diameter sewer
tunnel was set in Boston Harbor by the Boston Metropolitan Sewer
District. Six units were used consisting of riveted steel
shells with brick lining.

The generally acknowledged forerunner of current sunken

tube practices in the United States is the Detroit River rail-
way tunnel connecting Detroit, Michigan, with Windsor, Ontario.
Ten steel, twin-tube sections, each side 18 feet (5.5 m) in
diameter averaged 262 feet (80 m) in length. Built at a nearby
shipyard, they were towed to location and sunk into place by
controlled flooding. Divers were used to bolt the sections
together. A grout seal was used outside a rubber gasket. Then
tremie concrete was placed outside the steel lining and the
trench backfilled. This tunnel was completed in 1910 and the
era of sunken tube tunnels had begun. In 1914, a four-tube
railway tunnel was constructed across the Harlem River in New
York City by the sunken tube method. Figure 33 shows one of
the sections being floated into position.

In 1928 the first sunken tube highway tunnel, the Posey

Tunnel, was completed linking Oakland and Alameda under the
Oakland Inner Harbor in California. While this tunnel also had
a circular shape, it was constructed of reinforced concrete.
Twelve, single tube, two lane units, each 203 feet (62 m) long
were used. With the exception of this tunnel and the parallel
Webster Street Tunnel completed in 1962 all sunken tube tunnels
built in the United States to date have been of the steel shell
type, most of them circular in shape. Much of the development
of the steel shell type of sunken tube has been credited to the
engineering firm of Parsons, Brinckerhof f Quade & Douglas, and
,

the contracting firm of Merritt-Chapman & Scott (Ref. 37).

European, Canadian and Japanese sunken tube tunnels have

been developed separately and independently of the steel shell
type used in the United States The tunnels in these countries
are built in a rectangular shape of precast concrete with either
reinforcing steel or prestressing strands, as dictated by design
requirements. This type of structure can accommodate more lanes
or tracks than a circular steel shell. The first tunnel so con-
structed was the Maas Tunnel in Rotterdam completed in 1941.
The rectangular cross section, 81 feet (24.8 m) wide by 27 feet
(8.3 m) high, contained two two-lane highway compartments and
one compartment each for pedestrians and bicycles. The units
were sunk to rest on concrete pads. Hydraulic jacks were used
to set the unit to grade about 3 feet (1 m) off the bottom of

125
 s

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126
 .

the trench and a sand foundation was jetted into this space.
Figure 34 shows the cross section of the Maas Tunnel. Figure
35 illustrates the method of sand jetting the foundation for a
rectangular box section.
This set the pattern for future development of this type
of sunken tube tunnel. Various improvements on the construction
techniques used will be discussed in the next subsection. The
largest individual units used to date of this type were those
of the Scheldt Tunnel in Antwerp, Belgium, which contained two
three-lane highway compartments and one two-track railroad com-
partment. Completed in 1969, the units were 27 feet (8 m) high,
157 feet (48 m) wide, 377 feet (115 m), long and weighed 55,000
tons each (Ref. 22). The longest individual tube sections used
were the straight portions of the Hemspoor Railway Tunnel in
Amsterdam, 879 feet (268 m) long for each of four units. The
rectangular section 70 x 29 feet (21 x 9 m) contains three sin-
gle track compartments.

The shortest and the longest sunken tube transportation

tunnels built to date are both rapid transit tunnels in the
United States. The shortest is the State Street Tunnel in Chi-
cago built in 1942. Only 200 feet long (61 m), it consists of
but one section under the Chicago River. The longest tunnel is
the Bay Area Rapid Transit tunnel under San Francisco Bay.
Completed in 1970, it consists of 57 sections varying from 273
to 366 feet (83 to 112 m) in length for a total of 19,110 feet
(5,825 m)

An interesting application of the sunken tube method is in

connection with a section of the Rotterdam Metro built in 1968.
A section of tunnel 3,412 feet (1,040 m) in length was placed
beneath the Maas River by the sunken tube method. The connec-
ting land section, about 7900 feet (2,400 m) long, was on flat
land consisting of silt, sand and gravel with a high water
table. A canal was dug for the full length of the route inclu-
ding city streets. The ground was supported by sheet piling
with one row of bracing at the ground surface. Precast units
varying in length from 250 to 300 feet (75 to 90 m) were floa-
ted into position using guide rails set below the bracing level.
Due to the poor ground conditions precast concrete piles with
telescoping caps were driven to support the sections after they
were lowered into position. See Figure 36. It should also be
noted that this land section included several curves and four
stations.

6.30 CONSTRUCTION METHODS

6.31 General

As mentioned previously, there has been parallel, and for

the most part, separate development of two basic methods of con-
structing sunken tube units. The earlier steel shell method

127
 24 -8m-

Bicycles
(f?

Pedestrians
1 H 6-Om *i

<m -6-Om-

/ )

many r
Air
I
1
Ducts
I
r
Air
I
Ducts
i

Trench
Sand layer foundation
k Trench

Figure 34 - CROSS SECTION OF THE MAAS TUNNEL, ROTTERDAM

(From Culverwell, Ref. 37)

Figure 35 - SAND JETTING THE FOUNDATION FOR A

RECTANGULAR BOX SECTION
(From Culverwell, Ref. 38)

128
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129
was begun and developed in the United States; the rectangular
reinforced concrete method was first used in Netherland and is
now used by most countries outside the United States Actually
both methods use reinforced concrete as the major structural
component of the completed tunnel, and occasionally a precast
concrete box section will utilize a steel covering to act as
both outside form surface and waterproofing membrane. The major
difference between the two is in the fabrication sequence. The
steel shell is constructed with sufficient strength to withstand
launching and towing with a nominal amount of concrete in the
invert to act as ballast. Additional concrete is added with the
unit tied up to a dock, and the concreting is completed after
the unit has been sunk in place. With a precast unit all struc-
tural concrete is placed while the unit is in a dry dock. Pon-
toons are then used to help float the unit to the tunnel site.

For either type of construction there are certain advan-

tages in sunken tubes over conventional tunneling from a sche-
duling and construction sequence point of view. Two important
factors in developing and maintaining an efficient construction
schedule are the degree of repetition of operations and the
sensitivity of critical path operations. Both forms of tunnel-
ing have a relatively high degree of recurring, cyclic opera-
tions, where workmen can develop skill through constant
repetition of operations. Driven tunnels however are more sen-
sitive to delay of critical path operations (i.e. at the tunnel
face). When the tunnel face operation is delayed the whole pro-
ject is delayed. Sunken tube tunnel construction has more
parallel operations. A hold-up in one operation does not
usually shut down all operations. Even sinking and joining
units together usually contains slack time. With several units
being constructed at any one time there is usually alternate
work to do even if one operation is delayed.

6.32 Construction of Steel Shell Tube Units

Fabrication of the steel shell units is usually performed

at a shipyard facility. An isometric view of a typical circular
two-lane highway tunnel is shown in Figure 37. A unit such as
this would have a steel shell 3/8 inch (10 mm) thick and about
30 feet (9 m) in diameter with a length of 250 to 350 feet (80
to 110 m) . The steel shell would have tee stif feners and other
bracing to make it sufficiently rigid for launching and towing.
Today all fabrication is by welding and preferably by machine
welding. As the steel shell also serves as a waterproof mem-
brane, watertight continuous welding is a more critical cri-
terion than strength. Though the steel shell is a structural
envelope during the construction stage, the reinforced concrete
ring placed inside is the major structural component of the com-
pleted structure. To overcome buoyancy and to protect the steel
shell from corrosion, additional unreinforced concrete is placed
outside the structure. It is common practice to use thin steel
plate about 1/4 inch (6 mm) thick as a back form braced to the

130
 Tremle concrete

Cap concrete

Ballast tremle
concrete

Outer steel box

Carriageway -

Air duct
\ Hood S trough
plates

•U-plates
Steel shell

Figure 37 - ISOMETRIC VIEW OF A CIRCULAR STEEL-

SHELL UNIT AND JOINT
(From Culverwell, Ref. 38)

131
steel shell stiffeners, as shown in Figure 37. Protection
ofthis steel is not critical as corrosion after the outer
concrete is in place will not affect the integrity of the
structure or the main shell.

After fabrication of the steel shell, a portion of the bot-

tom protection concrete is placed between the inner and outer
plates to act as a keel to keep the unit upright when afloat.
Reinforcing steel for the structural lining is placed and tem-
porary watertight bulkheads are attached to each end. The unit
may be end or side-launched depending on the fabrication site.
The unit is then towed to a dock or jetty near the tunnel site
to place the remaining structural concrete and ballast concrete.
When first launched the unit is extremely light and rides high
on the water. The concrete and ballast added at the dock is
designed to leave only 1 to 2 feet (0.3 to 0.6 m) of freeboard
for towing to the tunnel site. The sequence of pours must be
carefully scheduled and controlled to keep the unit afloat and
prevent undue stress on the steel shell. See Figure 38 for
typical pour sequences of steel shell tubes.

Dredging the tunnel trench is performed by lifts well ahead

of the units being set in place. A sonar scanner is used to
check the grade and slopes of the trench. After dredging, a
foundation layer of gravel, 2 to 3 feet (0.6 to 0.9 m) thick,
is spread with a hopper and drop pipe from a specially built
barge which also screeds the gravel. The barge is anchored to
the bottom to counteract tidal or flow changes. The screed is
heavy, and an accuracy of 1 to 2 inches (25 to 50 mm) is pos-
sible with modern equipment.

The tube unit is outfitted with a survey target tower at

the far end and a sonar scanner at the end to be connected to
the existing tube. It is towed to the approximate sinking site.
If necessary the gravel bed is cleaned of silt before setting
the tube unit. A special lowering rig mounted on two barges
straddles the tube unit and is anchored to the bottom. Addi-
tional ballast is added to the tube till it reaches a predeter-
mined negative balance, which may vary from 150 to 650 tons.
Heavy truss beams supported by the barges carry this additional
weight and are adjustable for setting tube alignment. The tube
is then lowered at least 10 feet (3 m) back from the last tube
unit placed. When approximate grade is reached the sonar
scanner is activated and the unit is slowly moved forward till
it is about 2 feet (0.6 m) from the last tube. Divers then
visually check location before engaging temporary coupling
devices that will join the two units. The alignment of the
rear end of the unit is controlled by sighting on the target
tower projecting up out of the water. The coupling devices
pull the units together.

If a gasket is used between units (see next section on

sealing techniques) the space between the units can be drained
to enable workmen to enter the space between to set the perma-

132
 NYCTA EAST 6 3 STREET TUBE UNDER
EAST RIVER, NEW YORK CITY

' : PROJECT
BALLAST

"CONSTRUCTION JT. BtlWftN

STAGES KUTOBE
ROUGH FINISH.

BARTD RAPID TRANSIT TUBE UNDER SAN FRANCISCO BAY

Figure 38 - POURSEQUENCES FOR TWO RECENT STEEL-SHELL

TUBE TUNNELS

133
nent seal which can be welded steel plates or a rubber Omega
profile (to be discussed in next section). If a gasket is not
used, divers place steel U-plate forms as shown in Figure 37
and tremie concrete is placed to encase the steel joint.
Gravel and/or selected fill is placed around and above the
unit, and the bulkhead of the new unit and adjoining bulk- head
of the previously laid unit are removed. The tunnel is now
ready to receive the next unit. If there is a possibility of
scouring action above the tunnel a rock blanket or layer of
rip-rap may be placed over the filled trench.

6.33 Construction of Rectangular Reinforced Concrete Tube Units

This type of sunken tube unit, developed in Europe, is con-
structed almost entirely in a basin or dry dock before being
launched. For relatively short tunnels all units may be con-
structed together, for longer tunnels four to six units may be
constructed at one time. To construct six 330-foot (100 m)
long sections at one time requires a basin 1150 x 260 feet (350
x 80 m) , 50 feet (15 m) below water level (Ref. 38). The
construction of such a basin is an expensive and sometimes chal-
lenging project in itself. In the Netherlands several such
basins have each been used for construction of a number of
sunken tube tunnels. This helps considerably in reducing the
overall project cost.
After construction the basin will be flooded to float the
tube units. To avoid a vacuum effect between the flat bottomed
tube and the floor of the basin a gravel base is laid prior to
the construction. Concreting may be in three lifts of base
slabs, walls, and roof or two lifts with the walls and roof
poured together. Forms are usually stiff steel frames with
wood surfacing. If a steel membrane is used it serves as the
outer form, with temporary bracing. In earlier units, pours
were continuous and monolithic for the length of the unit.
More recently the unit is divided into 50- to 75-foot (15 to
23 m) sections with expansion joints between to reduce cracking
and permit some flexibility of the unit. These units are held
together with stressed cables until after the unit is in place
and backfilled. If there is no outer steel membrane the joints
between sections must be waterproofed.

After concreting and waterproofing, temporary bulkheads are

added at the ends. Interior compartments are bulkheaded as bal-
last tanks which are filled to keep the unit in place until it
is time to tow each individual unit to the tunnel site. Rubber
seals, steel joint plates, couplers and hydraulic jacks are add-
ed and the basin is flooded.

Before each unit is to be sunk, it is outfitted with steel

braced towers at each end to provide access to the unit and aid
in alignment when the unit is lowered. Special pontoon rigs
fitted with mooring anchors, lowering winches and ballast pumps

134
 .

tasc kji. cue £>i_cci siieii units cnis win ue in cue oraer or sev
eral hundred tons depending on the size of the unit, the water
flow, and the water density. The sinking sequence is illustrat-
ed in Figure 39.

Because of the width of these flat-bottomed rectangular

units they are not placed directly on a screeded gravel bottom
as in the case of the circular steel shell. The method used
for the foundation of the first rectangular tube, the Maas Tun-
nel, was developed by Christiani & Nielsen of Denmark and has
been largely responsible for the success of this type of con-
struction. The Maas Tunnel was lowered onto concrete pads at
each end of the unit, with large jacks supporting the tube
about 3 feet (1 m) off the bottom. From a barge above a pipe
extended down under the tube and selected sand was tightly
packed into the space by jetting. The jetting techniques have
been improved over the years. On more recent tunnels the front
end of the unit being sunk is supported on the end of the last
one placed while the rear end sits on hydraulic jacks down to
embedded concrete pads.

When the unit is in place, is on line vertically and about

8 inches (200 mm) from the last unit, divers attach coupling
units. These hydraulic coupler jacks pull the unit forward
squeezing the rubber Gina gasket of the new unit against the
steel joint plate on the end of the last unit. Water is then
removed from between the bulkheads creating a vacuum. Water
pressure acting on the rear end of the new unit forces it ahead
squeezing the gasket as far as it can, effectively sealing the
units together till workmen can enter the space to complete the
jointing and sealing.

6.34 Comparison of Steel Shell and Rectangular Reinforced

Concrete Tubes
As described above, the major construction differences
between steel shell and reinforced concrete tubes is in the
sequence of operations, method of launching, and, to some
extent, method of sinking. While each sunken tube is individual
in design and construction, suiting the use and site conditions,
the use of either of the two general types tend to be based
mostly on the experience of the designers and contractors. Each
of these two types of tubes has certain advantages and
drawbacks
Circular steel shells are used primarily for double lane
highway and double track railroad tunnels. They are relatively
light when launched and do not require a large dry dock or
basin. Most of the concrete is placed while the unit is tied
to an ordinary dock or jetty. The circular tunnel shape has an
inherent strength not found in a rectangular tunnel whether it
be a driven tunnel or sunken tube.

135
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136
 On the other hand, the amount of concrete used in a sunken
tube is usually based on buoyancy considerations rather than
strength, so the strength of the steel shell is not necessarily
an important factor. In long tunnels the space above and/or
below the roadway compartment is used for ventilation. For
relatively short tunnels, with all traffic in one direction, a
piston effect is created by moving traffic eliminating the need
for forced ventilation and separate vent compartments, although
blowers may be required for slow or stopped traffic. In these
situations not only is the additional space wasted and costly,
but added concrete is needed to overcome the buoyancy of the
extra unused space. In addition, with or without ventilation
compartments, the circular shape is higher than an equivalent
rectangular section with ventilation compartments on the side.
Since the depth to the top of the tunnel is determined by
shipping lane requirements this could result in added dredging
and backfill.

The biggest advantage of rectangular shaped, reinforced

concrete tubes is in constructing multi-lane tunnels. Several
contain two-3 lane compartments; in addition to this, the
Scheldt Tunnel also has a double track railroad compartment.
Combining multiple lanes in one tunnel unit can result in con-
siderable reduction in the cost per lane where such capacity is
required. The actual size of ventilation compartment (s) can be
determined and added to suit the length of tunnel. The major
disadvantage of the reinforced concrete tubes is the need for a
large and expensive casting basin. Although this need not be at
the tunnel site, the small freeboard of these units at the time
of launching makes it desirable to keep towing distance to a
minimum and confined to calm inland waterways. If it is pos-
sible, as in the Netherlands, to re-use a casting basin for more
than one tunnel, this helps to defray the high initial cost of
the basin.

Although the development of these two types of sunken

tubes have advanced along comparatively independent lines there
has been a trend in recent years to combine the advantages of
each. Two recent steel shell tunnels in the United States have
diverged from the traditional circular shape to more economical
use of space. The Bay Area Rapid Transit Tunnel under San
Francisco Bay has an oval shape. The semi-circular ends each
carry one track and are reduced to single track tunnel height.
A rectangular compartment between contains a ventilation
exhaust duct and a gallery for utilities and maintenance access.
The 63rd Street Tunnel built for the New York City Transit
Authority under the East River, had a modified rectangular
shape. The four track-compartments were placed two above and
two below. The upper corners were rounded and the lower corners
bevelled inward to reduce the width at the base. The cross
sections of both of these tunnels are shown in Figure 38.

137
 An even more striking example of combining the two methods
are the similar Ohgishima (Keihin Canal) Tunnel under Kawasaki
Port (1974) and the nearby Tokyo Port Tunnel (1976) (Ref. 115).
Each are rectangular shaped multi-lane vehiclar tunnels of rein-
forced concrete with an outer steel lining, giving a similar
outward appearance. The units for the four-lane Ohgishima
tunnel, constructed for Nippon Kokan Company (Japan s largest
steel manufacturer) were fabricated by the steel shell method
with a 1/2 inch (13 mm) thick steel lining. After launching
the reinforced concrete lining was cast inside at a fitting
pier. The six-lane Tokyo Port Tunnel units were constructed as
reinforced concrete units with a thin steel membrane on the
outside. All nine units were built together in a large casting
yard, 2130 x 415 feet (650 x 126 m) formed by closing off the
,

ends of an unused canal. These units were launched by flooding

the casting yard as described in the last section.

6.40 SEALING METHODS

6.41 General

Some driven tunnels may be subject to a greater head of

water than sunken tube tunnels. However, a sunken tube tunnel
has a virtually limitless reservoir a few feet above it. The
thin layer of cover would offer a little resistance to the flow
of the water into the sunken tube, in the event of leakage.
Tunnels driven beneath a body of water are usually further below
the river or harbor bottom. This additional depth of cover off-
ers greater resistance to the flow toward the tunnel. It is
useful therefore to discuss the groundwater control methods used
to keep these unusual tunnels dry. As in the case of other
types of tunnels discussed, the total tunnel environment,
design, and construction largely determine the types of water-
proofing and sealing used. Due to the close proximity of an
immense body of water to the tunnel, unusually stringent methods
are employed to prevent leakage. In most sunken tube tunnels
this consists of an extremely efficient and costly membrane out-
side the tubes and elaborate sealing methods of the relatively
few joints between the long tube units. Recent alternatives to
the use of an outer membrane will also be discussed.

6.42 Sealing Steel Shell Tube Tunnels

The methods used for waterproofing and sealing the joints

of steel shell tunnels have been fairly well standardized,
though some recent variations should be noted. It was mentioned
previously that present-day steel shells are all welded con-
struction with most of the welding done by machine. The steel
shell constitutes a continuous membrane that is the primary
waterproofing for this type of sunken tube. The concrete lining
is placed inside the steel shell under adverse conditions sim-
ilar to lining a driven tunnel. The problem of trying to place

138
dense and impermeable concrete and good construction joints
under such conditions makes the resulting concrete lining of
questionable aid in helping the steel shell to keep the tunnel
watertight. For most shell type tunnels corrosion of this steel
membrane is prevented by the surrounding tremie concrete
ballast. In the case of the Bay Area Rapid Transit Tunnel a
cathodic protection system was provided for the shell as there
was no outside ballast concrete. It was felt that this was
sufficient to provide against underwater corrosion.

The most common method for sealing the joints between the
units is for divers to place a U-plate cofferdam spanning the
joint as shown in Figure 37. Tremie concrete is placed between
the cofferdam and steel shell completely encasing the joint.
The space between bulkheads is then dewatered and steel plates
are welded across the joint gap to make the shell/membrane con-
tinuous and concrete is placed to make the lining continuous.
Two recent steel shell tunels, the BART Tunnel and the second
Mobile Tunnel used rubber gaskets for primary seals.

6.43 Sealing Reinforced Concrete Tube Tunnels

Reinforced concrete tube units are usually covered with a
steel or multi-ply asphaltic membrane, or a combination of the
two. If a steel membrane is used it consists of relatively
thin welded plate, about 1/4 inch (6 mm), and is used as the
base slab and outer wall form. After the roof is poured the
steel membrane can be continued across the top or a multi-ply
membrane may be used for the roof and covered with a thin lay-
er, 3 inches (75 mm), of protective concrete. If ply membrane
is used on the outer walls timber protection will most likely
be used. In addition to the outer membrane, considerable care
is exercised to make the structural concrete as dense and imper-
vious as possible. In the Netherlands where a number of such
tunnels have been constructed, the procedures for producing
impervious concrete have been sufficiently perfected that for
several recent tunnels the outer membrane has been eliminated
(Ref. 73). The procedures for producing impervious concrete
have been detailed in Section 2 of this report.

For a tunnel to be watertight no water may penetrate the

concrete, the construction joints between pours, the expansion
joints between sections, or the sealed joints between tube
units. To prevent penetration through the concrete not only
must the concrete be dense, but it must be free of cracks caused
by heat of hydration. While the concrete is setting, uneven
temperature gradients exist between the center of walls or slabs
and the outer layers which tend to cool faster. Placing wall
and roof concrete on a previously hardened base slab tends to
cause vertical cracks in the wall near the slab. To combat this
type of cracking, a series of cooling water pipes are embedded
in the walls being placed. Cooling water is introduced in the
bottom near the slab and is warmed by the concrete as it pro-

139
gresses upward in the wall. The temperatures are carefully
monitored and the flow can be altered, stopped and started to
match individual pour requirements. The steel cooling tubes
remain in the concrete to act as permanent shrinkage steel. See
Janssen, Ref. 73, for a more complete discussion of these
methods. Additional measures that are used include selecting
cement with a low heat of hydration and using timber facing on
forms instead of steel because of its insulating properties.

To insure watertightness of the joint between slab and

walls a waterstop is used and the cold joint is rough chipped
and grouted with cement mortar. The concrete pour lengths in a
unit average about 65 feet (20 m) with expansion joints between.
Sealing of this type of joint is usually done in one of two ways
in Holland. See Figure 40, Details A and B. An inner seal con-
sists of a composite rubber/metal waterstop.' On the outside
face a multi-layer membrane may be used as shown in Detail A,
or an additional seal of polyurethane putty may be used as shown
in Detail B. The outer face seal was added as a backup measure
because it was found that concrete around the waterstop occa-
sionally had segregated gravel pockets. For the construction
of the Hem Railway Tunnel foam rubber strips and thin embedded
steel tubes were attached periodically to the waterstop. After
concreting, epoxy resin was injected in the tubes to fill and
consolidate any rock pockets. This method proved successful
and the outer seal could be eliminated. It is shown in Detail
C of Figure 40.

The joints between the sunken tube units are usually sea-
led with gaskets as shown in Detail D of Figure 40. The ini-
tial or primary gasket, known as the Gina profile, is made of
hard rubber with a relatively soft triangular tip. It is mount-
ed continuously around the circumference of the front end of a
tube unit being sunk. When in place it bears against a corre-
sponding continuous steel plate on the rear end of the prece-
ding unit set. When water is removed from between the bulk-
heads the water pressure acting on the rear end of the new tube
forces it forward compressing the seal. After removing water
from between bulkheads a secondary continuous rubber seal known
as an Omega profile is added as shown in Detail D of Figure 40.
This shape allows some flexibility in movement not possible
with the rigid shell type seals, permitting a degree of settle-
ment or ground movement.

Figures 32, 34, 35, 37 and 39 in this section are repro-

duced by permission of D. R. Culverwell of Freeman Fox &
Partners, London. Figure 40 is reproduced by permission of W.
Janssen of the Royal Netherlands Harbour Works Company.

140
 Thiokol Airex

Ruberoid Heat resisting Watertight

PVC sheet
vi tri x foam plastic cover

Detail A - EXPANSION JOINT WITH DUBBELDAM

RUBBER STRIP
Note: Units in mm.

Polyu re thane
putty

Polyethylene
Steel angle
foam Detail B - EXPANSION JOINT WITH
A Glued butyl
strip RUBBER/METAL WATERSTOP
AND POLYURETHANE PUTTY

o
o
o

Rubber/metal
Airex strip waters top

Figure 40 - JOINT SEALING DETAILS FOR CONCRETE BOX TUBES

(From Janssen, Ref. 73)

141
 Tempex Top of
Polystyrene bottom slab
QUl
Bar diam. 50

Sleeve diam
100/80- '

Foam rubber
Rubber -metal
waters top type W 90

Detail C - DETAIL OF INJECTION TUBES TO RUBBER/

METAL WATERSTOP

Note; Units in mm,

Detail D - DETAIL OF UNIT JOINT SEAL SHOWING

GINA GASKET AND OMEGA GASKET

Figure 40 - JOINT SEALING DETAILS FOR

CONCRETE BOX TUBES (continued)
(From Janssen, Ref. 73)

142
 7.00 CRITERIA FOR SELECTION OF GROUNDWATER CONTROL METHODS

7.10 INTRODUCTION

The previous sections have described various methods, mate-

rials, and applications for keeping groundwater out of under-
ground structures in general and urban transportation tunnels
in particular. They have been grouped and discussed in a man-
ner to simplify classifying types of control methods with four
basic design and construction methods: 1) cut-and-cover tun-
nels, 2) soft ground tunnels, 3) rock tunnels, and 4) sunken
tube tunnels. This section will detail how the various control
methods can be selected to be compatible with the design, con-
struction methods, and temporary construction phase groundwater
controls.

While groundwater control methods used during construction

are generally the option of the contractor, the control methods
that apply for the life of the permanent structure are right-
fully the responsibility of the owner's design engineer. The
owner may permit the contractor to substitute an alternate mate-
rial for waterproofing if it is equal to that specified, but
the tunnel design chosen often determines the basic type of
groundwater control required.

7.20 BASIC TYPES OF TUNNELING METHODS

The decision to use one of the four basic tunnel construc-

tion methods is an option of the designer. Although in the
United States, construction methods are generally left to the
contractor, the design of the permanent structure, including
the permanent groundwater control methods, are so different and
interdependent with the basic construction method that the deci-
sion must be made before the structure is designed. There have
been exceptions to this, but they are rare. In Washington, one
contractor on the WMATA system submitted, and had approved, an
alternate design for twin soft ground tunnels on a section
originally designed as a two-track cut-and-cover box section.
Even in such a situation the decision and responsibility for
such a change rightfully rests with the designer.

The choice of which basic type of tunnel should be used for

a proposed project must consider many factors of structure use,
location, site conditions, and previous experience. If the tun-
nel is close to the surface, a cut-and-cover structure would
likely be most cost effective. If the structure consists of
single or two-lane (or rail) tunnels with the invert 50 feet
(15 m) or more below the surface, a driven tunnel will probably
be less expensive than cut-and-cover. However, if the tunnel
is below a water table that cannot be lowered and compressed
air is required that factor would lower the depth where cut-and-

143
cover construction is competitive. Use of the newer slurry
shields or earth pressure balance shields help to offset the
higher tunneling costs in wet soil. Excess surface disruptions,
high utility density, and underpinning requirements could raise
the level where tunneling is competitive.

When there is a choice of tunneling in soft ground or rock,

the rock tunnel is usually less expensive. If getting the tun-
nel down into bedrock means steep grades or additional tunnel
length, it may not be worthwhile. Driving tunnel in a mixed
face of earth and rock is considerably more expensive than
either earth or rock separately. If the earth/rock interface
is fairly close to the surface, cut-and-cover tunneling may be
considered as the cost differential is not as great as it is in
a driven tunnel.

Sunken tube tunneling is an alternative to a driving a tun-

nel under water. In recent years it is becoming a more attrac-
tive alternate in cost effectiveness, due in part, to
improvements in construction and sealing techniques. On one
project, a section of the Rotterdam Metro, this method was
substituted for cut-and-cover tunneling by extending a canal
down city streets. This would not be practical for most urban
areas in the U.S. For a shallow, relatively short water
crossing where shipping traffic is light, it is possible to
fill in ground and use cut-and-cover tunneling, but on longer,
deeper crossings the choice is between driven tunnels and
sunken tubes. Driven tunnels are limited to single or double
lane (or track) tubes. Compressed air work, formerly required
for most underwater tunnel crossings has become increasingly
more exensive, but the use of earth pressure balance shields
should help to overcome that drawback. As discussed in Section
6, sunken tubes need not be as limited in width as are driven
tunnels, and many multi-lane tunnels have been constructed by
this method.

7.30 APPLICABILITY OF GROUNDWATER CONTROL METHODS

Once the basic tunneling method has been chosen the list of
appropriate permanent groundwater control methods is reduced to
a number of options compatible with that type of structure.
Each of the general control methods described in Sections 2
through 6 will be discussed in regard to use in one or more of
the four basic types of tunnels.

7.31 Water-Resistant Cast-In-Place Concrete Linings

The methods described for designing, mixing, transporting,
placing and curing a dense impervious concrete lining as
described in Section 2 should be used to some extent in all
tunnels dependent on a strucural concrete support/lining. For
cast-in-place linings of driven tunnels in earth or rock, or

144
for steel shell sunken tube linings, the problems of placing in
a confined, possibly wet environment may invalidate the effec-
tiveness of such measures. These methods can be most effective
in cut-and-cover tunnels, precast reinforced concrete sunken
tubes, precast concrete segmented tunnel linings, and precast
concrete panel slurry walls. With proper care in applications
of these techniques it is possible to eliminate the need for
additional outer membrane waterproofing. This has been accom-
plished in some cut-and-cover tunnel structures in the United
States and in some sunken tube tunnels in the Netherlands.
Even in tunnels where other waterproofing measures are used,
good dense impervious concrete is an effective secondary ground-
water control measure as well as good practice for achieving
structural integrity.

In general, the use of good concreting practices are com-

patible with all methods of controlling groundwater during con-
struction except as noted above when placing concrete under
adverse conditions in a driven tunnel. If concrete must be
placed in a tunnel under compressed air, additional delays are
experienced bringing the concrete through an air lock. If the
construction control method does not leave the tunnel suffi-
ciently dry, water will have to be diverted in the area where
concrete is being placed.

7.32 Applied Waterproofing Membranes

Section 3 describes a number of waterproofing membrane

materials that can be used to place an impervious envelope on
the outside of an underground structure. These are commonly
used, and most easily applied, to cut-and-cover structures and
sunken tube tunnels. On some cut-and-cover sections where
reliance on water-resistant concrete can be expected a membrane
may be used on the roof only to aid in protecting against the
pressure of ponded groundwater. In order to use a membrane in
a driven tunnel it is necessary to place a smooth outer lining
to which the membrane is attached and then place a structural
lining inside of that. The placing of the additional lining and
membrane has been done in some tunnels in Europe. At current
prices, for the size of tunnel required for single track rapid
transit, it would add about $400 to $450 per linear foot (0.3 m)
to the tunnel cost. The designer would have to decide for each
particular tunnel whether this additional cost is warranted or
whether other less costly measures would suffice.

The waterproofing membranes described fall into the fol-

lowing categories: 1) Built-up multi-ply membranes of hot-
applied bituminous materials alternating with a suitable fabric
material, 2) Preformed, multi-layered membranes, 3) Plastic or
synthetic rubber sheets, 4) Bentonite clay sheets, spray or
powder, 5) Cold, liquid-applied membranes, 6) Brick set in
asphalt mastic, 7) Cementitious coating applied to the inside
of the structure, and 8) Thin continuous metal membranes. The

145
first six types above have all been used at times for cut-and-
cover tunnels. Some materials such as brick in mastic and ben-
tonite clay sheets are more easily applied to vertical surfaces.
In general the bituminous materials are less expensive than
single-sheet man-made membranes, but depending on the number of
plies required, installation labor costs are higher. Item 7
above, cementitious coatings are not ordinarily used as a full
original membrane but rather for repair and maintenance. A thin
corrugated aluminum membrane (Item 8) was used for a tunnel in
Norway, but a more common use is of steel membranes on the out-
side of sunken tube tunnels. For precast concrete sunken tubes,
multi-ply membranes may be used in lieu of a steel membrane.

Whatever groundwater control measure is used during con-

struction it must keep the tunnel effectively dry in order to
place most membranes. This applies to predrainage or cutoff
walls for cut-and-cover tunnels; trenching and sumping would
likely not be sufficiently effective. In driven tunnels grout-
ing, caulking or other means would have to be complete and
effective prior to placing the initial lining for the membrane.
As sunken tube tunnels are fabricated on dry land there is no
problem of water control during application of the membrane.
7.33 Segmented Tunnel Lining Groundwater Control Measures

The measures used to prevent groundwater inflow into seg-

ment-lined tunnels are unique to that type of lining, as
described in Section 4. Segmented linings can be used in driven
tunnels in either earth or rock, but are more common in earth.
The segments are usually fabricated of cast iron, structural
steel or reinforced concrete. The segments should be fabri-
cated, with flaw free casting or continuous welding, so that
they themselves are impervious. In the casting of concrete
segments the methods previously described for achieving imper-
vious dense concrete can be realized in the consistent environ-
ment of a casting yard. Steel segments must be coated to pre-
vent corrosion. A coal-tar epoxy is often used for an outer
coating, with a zinc silicate coating used on the inside sur-
faces.

In addition to making the segments watertight, the joints

between segments must be sealed. For cast iron and steel seg-
ments, the contact flanges are machined for an accurate, tight
fit. Caulking grooves on the flange edges are filled with con-
tinuous lead strips. To prevent leakage through bolt holes in
the flanges plastic grommets (washers) are tightened into the
holes by steel washers at the head and nut. With precast con-
crete segments, bolts, if they are required, also have grommets
for sealing bolt holes. Instead of lead, asbestos-cement or
epoxy-elastomerics are used for caulking concrete segments.
Because concrete segments cannot be fabricated to the close
tolerances of cast iron or steel, it is common to also place a
gasket seal between segments to prevent water inflow before

146
final caulking. These gaskets are usually of man-made mate-
rials and may be preformed of fairly firm material or a softer
material sprayed or troweled on the flange. Care must be
exercised to prevent contamination of these gaskets in the
tunnel environment. It is anticipated that current and future
research will continue to improve the manufacture and sealing
techniques of precast concrete segments.

Each of the groundwater control methods described in Volume

1 as applicable to driven tunnels are compatible with the meth-
ods described for sealing segmented linings, including predrain-
age, freezing, grouting, compressed air, slurry shields and
earth pressure balance shields.

7.34 Chemical Grouting of Soils

Soils may be grouted to prevent water inflow into a tunnel,

to strengthen the soil by consolidation, or a combination of
both. Grout can be used for either a cut-and-cover tunnel or
soft ground tunnel. Chemical grouting is more useful if done
prior to excavation and therefore serves as a construction aid.
To prevent groundwater inflow into the tunnel during its service
life, grouts must be used that will not be susceptible to dete-
rioration by any constituents of the local groundwater. While
chemical grouting is more commonly used in Europe and Japan than
in the U.S., it is a viable alternate groundwater control method
in areas where the water table cannot be lowered. Chemical
grouting of soils would not be used solely as a permanent struc-
ture groundwater control method, but if it is to be used during
construction it should be considered also as a permanent control
measure. The advantages of chemical grouts over the less expen-
sive cement, or particulate grouts, is their ability to flow
through very fine voids, and to have more easily controlled and
a wider range of setting times.

The grouts that have been used for consolidating and seal-
ing soil can be grouped in the following categories:
1) Silicate-based grouts, 2) Plant product-based grouts,
3) Acrylamides, 4) Phenoplast resins, 5) Aminoplast resins, and
6) Petrochemical derivative grouts. The choice and use of these
grouts, either singly or in combinations is dependent on many
factors of soil, groundwater flow, location and working condi-
tions. Grouting is usually performed by a specialty contractor,
and workmen must be skilled in the use of grouts to insure they
perform effectively. During application constant monitoring of
grouting, and sampling of grouted soil, is necessary to insure
complete coverage and uniform dispersion of grout.

7.35 Consolidation Grouting of Rock Tunnels

Consolidation grouting is a primary means of preventing

groundwater intrusion of rock tunnels. The most common grout
used is cement grout occasionally containing a sand or other

147
material filler. For special application for filling thin seams
or where a controlled set time is required one of the chemical
grouts mentioned above may be used in lieu of, or in conjunction
with, a cement grout. In most rock formations, water flow takes
place through joints, seams or cracks rather than through the
rock material. The grout prevents this by physically filling
joints and cracks in the rock around a tunnel.

Although grouting can be done from the surface before tun-

neling, provided the tunnel is not too deep, it is rarely ever
done. Most rock tunnels are not wet for their entire length,
so grouting is usually done from the tunnel on an as-needed
basis. If water flow at the face is very severe, excavation
may be halted to grout ahead of the tunnel. Otherwise grouting
may be done between excavation and concrete placing or after
concreting, depending on water flow and the type of rock. If
the water has a deleterious effect on the rock, the tunnel
should be grouted as soon as possible, even if the flow is not
heavy. Other advantages of grouting before concreting are that
it is easier to locate leakage sources and that concreting can
be done in a dry environment. An advantage of waiting till
after concreting is that the consolidation grouting can then be
combined with the contact grouting instead of performing it as
a separate operation.

7.36 Contact Grouting of Tunnel Linings

Used in soft ground and rock tunnels, contact grouting helps

a cast-in-place concrete lining keep water out by filling any
voids that may have been left between the concrete and the
ground. Because of the difficulty of placing concrete between
the forms and the ground in a driven tunnel, voids may be left
no matter how competent the concrete crew may be. In a rock
tunnel the excavated rock may be jagged and uneven. If primary
rib support and blocking are used the profile is more uneven.
In soft ground tunnels hollows exist in the primary linings of
ribs and lagging or pressed liner plates. As the level of con-
crete rises, air is trapped in these hollows, particularly in
the arch. Cement grout, possibly with a sand filler and a
small percentage of bentonite, is pumped into a prescribed pat-
tern of holes to fill these voids and eliminate possible water
accumulation.

7.37 Diaphragm Cutoff Walls

Though diaphragm cutoff walls are useful in controlling

groundwater for cut-and-cover structures in soil during the
construction stage they are usually not sufficiently reliable
to keep the permanent structure dry without other control mea-
sures.

Leakage through the wall above the invert can be found and
repaired during excavation. Finding possible leakage sources
through the wall below the invert or under the wall is extremely

148
difficult, and repairing such leaks, even worse. With a small
amount of leakage through the wall the volume of leakage pos-
sible in the structure is considerably less than it would be if
the wall were not present, but the same head of water would be
acting against the structure. A continuous reinforced concrete
wall or precast concrete panel wall will probably leak less
than a soldier pile and concrete wall provided special care is
taken with the joints. The soldier pile and concrete wall is
more susceptible to leakage at the many steel/concrete inter-
faces where continuous bonding is difficult when placing con-
crete under slurry. If the invert of the structure is in bed-
rock, all of the wall is exposed during excavation and any pos-
sible leakage can be repaired, but the problem of sealing the
wall to rock is expensive and difficult. If the rock is not
sound and water leakage can take place through the rock addi-
tional measures such as grouting, impervious concrete, or a
membrane covering will still be required.
7.38 Permanent Lowering of the Water Table

Though this has never been used to keep a transportation

tunnel dry during its service life, it is possible under cer-
tain conditions to use a series of small tunnels and drill holes
to lower the water table at the tunnel site and keep it low.
In most U.S. cities this would not be practical because of
effects on existing structures. It could be applied to either
cut-and-cover tunnels, soft ground tunnels, or rock tunnels
under proper conditions.

7.39 Sunken Tube Tunnel Control Measures

As in the case of tunnels with segmented linings, the

groundwater control measures used for sunken tube tunnels are
dependent to a large degree on the way the tunnel is designed
and constructed and is unique to that type of tunnel construc-
tion. This type of tunnel is also unusual in that the water
control measures during construction and for the life of the
structure are the same. Due to the continual presence of a
large body of water directly above a sunken tube tunnel very
stringent waterproofing measures are used. Two basic types of
tubes, steel shell and precast concrete, are each fabricated in
long units of several hundred feet each, towed to the tunnel
site, and lowered into place, as detailed in Section 6.

The steel shell type uses its continuously welded shell as

waterproof membrane. After lowering a unit into position with
temporary bulkheads at each end it is sealed to the preceding
unit. This is usually done by having divers set a U-plate cof-
ferdam spanning the joint and then tremie concrete is poured to
encase the joint. After the space between the bulkheads is
dewatered, steel plates are welded across the gap to make the
steel membrane continuous.

149
 Precast concrete sunken tube units may have a thin steel
outer membrane, a multi-ply membrane, or a combination of the
two. Some recent units in the Netherlands, contructed of dense
impervious concrete were considered sufficiently waterproof that
the membrane could be eliminated. Double rubber seals are
usually used between precast units, the outer called a Gina type
seal and the inner an Omega type seal. These give this type of
tube a degree of flexibility.

7.40 SAMPLES OF CURRENT PRACTICE IN SPECIFYING CONTROL METHODS

To sample current practice of tunnel groundwater protection

methods several dozen individual transportation and other tunnel
contract specifications were reviewed. Three tables have been
prepared showing the basic type of structure, waterproofing and
other control methods specified, maximum allowable leakage
(where specified) and specified treatment of tunnel leakage.
There is one table each for cut-and-cover structures, soft
ground tunnel structures, and rock tunnel structures. Tunnels
from seven rapid transit systems comprise most of the entries,
but tunnels from four other local and federal agencies are also
presented. Each table is presented in reverse chronological
order with the more recent projects listed first. Because of
the amount of data and variety of water protection methods used,
it was impractical to list all data in a single page format.
Tunnel linings, water protection methods, and joint treatments
are detailed on a second sheet of each table and letter-coded
for use in the table, as applicable to each tunnel project.
Where alternate protection methods are allowed by specification,
all are listed. Most agencies will permit substitution of con-
tractor-proposed alternate protection methods provided the
contractor and/or the material manufacture can prove, through
tests or previous installations, that it is equivalent to the
method specified.

7.41 Cut-and-Cover Structures

Sample specification summaries of methods for controlling

groundwater in cut-and-cover underground structures are given
in Table 5. Many of the structures listed rely to a large
extent on thick, good quality concrete walls and slabs as a
primary deterrent to water intrusion, although it is not
specifically listed as a waterproofing method. The required
membranes are more of a secondary defense to keep water from
any shrinkage cracks or other cracks that might develop. The
concrete box structures are highly stable, water resistant
structures if the concrete is placed properly and any minor
defects are corrected.

The exception to this, as mentioned in Section 3, is the

line section of the New York City Transit Authority. Built as
a composite structure of structural steel bents at 5-foot
(1.5 m) centers with unreinforced concrete between, this

150
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151
 Table 5SAMPLE CUT & COVER UNDERGROUND STRUCTURES
& METHODS SPECIFIED FOR CONTROL OF GROUNDWATER
(Continued)
WATERPROOFING

A Asphalt damproof ing

B Built-up asphalt membrane
C Built-up asphalt membrane, reinforced
D Brick in asphaltic mastic
E Bentonite panels (continuous)
F Butyl rubber membrane

WATERPROOFING PROTECTION

G Concrete slab
H Concrete slab, both sides of membrane
I Hardboard
J Insulation board
K Cement powder
L Plywood at joint niche

JOINT TREATMENT

M PVC waterstop at external joints

N Metal waterstop, 12 in. (300 mm) wide at ext. joints
Bentonite, triangular tube seal in niche
P Premolded filler
Q Bentonite panels, 2 ft. (0.6 m) wide, single
R Bentonite panels, 2 ft. (0.6 m) wide, double
S Bentonite panels, 4 ft. (1.2 m) wide, single
T Membrane, 4 ft. (1.2 m) wide
U Wet grout

152
structure specification requires a stringent waterproofing
membrane of brick in asphaltic mastic and built-up asphalt ply
membrane. Although the concrete specifications are as exacting
as other agencies, the steel-concrete interfaces are difficult
to bond completely and may allow possible leakage. Thus it is
necessary to rely on more severe waterproofing measures, which,
though relatively expensive, have proved effective over many
years of use.

The other waterproofing methods specified cover a range of

membrane materials including built-up asphalt membranes, with
or without reinforcing, butyl rubber, and bentonite panels.
There is no apparent trend in the use of materials for the
years covered and they more likely reflect the preference of
the designers and the locations of the project. One WMATA spe-
cification requires merely damproofing, and one on MARTA
requires no waterproofing except at joints. Most require mem-
branes on the roof or roof and sides only, relying on a heavy
base slab, needed to counteract buoyancy to be sufficiently
water resistant.

Most structures require PVC waterstop at joints, but some

specify bentonite in niches with bentonite panels covering the
outer concrete face at the joint. The Edmonton station speci-
fications required a metal waterstop.
Only on the BART system were specific allowable leakage
requirements given. All specifications called for leakage
repair but only a few designated specific remedies of injecting
bentonite slurry or epoxy.
7.42 Soft Ground Tunnel Structures

Sample soft ground tunnel specifications on groundwater

control methods are given in Table 6. While the majority of
cut-and-cover structures are cast-in-place reinforced concrete,
this is not necessarily so in soft ground tunnels. There are a
number of possible ground support/lining combinations, which
may affect the type of waterproofing or sealing methods that
can be used. Specified primary and secondary linings (and pos-
sible alternates) are listed in code as are the specified water-
proofing measures. A list of code definitions is given on the
second sheet of Table 6.

Of the seven tunnels listed, five are rapid transit line

tunnels and two are sewer main tunnels. Three have cast-in-
place concrete linings specified, three have segmented linings
specified, and the seventh has several alternate possible lin-
ings. The three tunnels with segmented linings are transit
tunnels and have a partial concrete lining of invert and walkway
only. In general, grouting is required outside the lining, and
between the primary lining and concrete on projects where there
is a full concrete lining.

153
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154
 Table 6 SAMPLE SOFT GROUND TUNNEL STRUCTURES & METHODS
SPECIFIED FOR CONTROL OF GROUNDWATER
(Continued)
TUNNEL LINING

Primary
A Steel ribs and lagging
B Steel liner plates
C Fabricated steel segmented lining
D Precast concrete segmented lining
Secondary
E Cast-in-place lining, structural
F Cast-in-place lining, finish only
G Cast-in-place invert and walkway only

WATERPROOFING

H Grouting of voids behind lining

I Contact grouting of concrete lining
J Segments - external coat - coal tar epoxy
K Segments - internal coat - zinc silicate
L Concrete blocking, steel supports to roof

JOINT TREATMENT

M PVC waterstop
N Copper waterstop
Bentonite panels & triangular niche tube
P Joint sealant (to be approved)
Q Caulking (to be approved)
R Lead caulking
S Rubber or Neoprene waterstops
T Bolts with washers and plastic grommets

155
 Cast-in-place linings require PVC or copper waterstop at
the joints although the contractor on the New York Subway pro-
ject received approval to omit the copper waterstop and provide
remedial grouting where required instead. Those projects call-
ing for steel segmented linings required protective coatings
inside and outside. Most segmented linings additionally
required plastic grommets for connecting bolts and caulking
between segments. On the Baltimore tunnel a joint sealant was
specified in lieu of caulking.
Where the allowable leakage permitted in the transit tunnels
was specified, it was comparable to those given for cut-and-
cover structures in Table 5. The allowable leakage given for
the San Francisco sewer tunnel was about eight times that
allowed for transit tunnels. Leakage treatment requirements
were also comparable to those for cut-and-cover tunnels,
consisting of pressure grouting, bentonite slurry, or epoxy
injection.

7.43 Rock Tunnel Structures

Table 7 gives sample specifications for groundwater control

in completed rock tunnel structures. As in the case of driven
soft ground tunnels the primary and secondary linings of rock
tunnels may have an effect on the choice of groundwater control
measures. While a number of the tunnels researched had alter-
nate primary lining choices, they all specified cast-in-place
concrete secondary linings. Though some segmented linings have
been built in rock tunnels, there are very few and these have
been discussed in Section 4 of this report.
All tunnels specified consolidation grouting of rock (where
required) and contact grouting of the secondary lining. Most
required waterstops for joints though some called for bitumi-
nous, sponge rubber, or paraplastic fillers. The Melbourne
Underground Rail Loop Authority (MURLA) rapid transit projects
required plastic grommets for bolts and caulking for those sec-
tions using steel liner plates as a primary lining. The New
York Subway tunnels in rock did not require any waterproofing
for the inverts which were relatively thin slabs. Weep holes
in the invert were specified with the tunnel drainage system
designed to take the anticipated leakage.
The only tunnel specification in this group to designate an
allowable leakage was the MURLA rapid transit. It is interest-
ing to note that this requirement was considerably more severe
than those given for U.S. rapid transit tunnels in the previous
tables. Those specifications that gave particular requirements
for leakage treatment mentioned repairing or replacing portions
not watertight, or specified grouting to seal off leaks.

156
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 : :

Table 7 SAMPLE ROCK TUNNEL STRUCTURES & METHODS

SPECIFIED FOR CONTROL OF GROUNDWATER
(Continued)
TUNNEL LINING

Primary
A Steel ribs
B Steel ribs and lagging (as req'd)
C Steel liner plates
D Shotcrete
E Rock bolt reinforcement
Secondary
F Cast-in-place lining, structural

WATERPROOFING

G Consolidation grouting of rock (as req'd)

H Contact grouting of concrete lining
I Porous subgrade
J Polyethelene and waterproof paper
K Coal tar epoxy on liner plates

JOINT TREATMENT

L PVC waterstop
M Rubber waterstop
N Steel waterstop
Copper waterstop
P Bituminous filler
Q Paraplastic filler
R Sponge rubber and mastic filler
S Caulking (as approved)
T Bolts with washers and plastic grommets

158
 8.00 MAINTENANCE REQUIREMENTS DURING THE LIFE OF A TUNNEL

The previous sections of this report have described methods

of preventing water inflow into a wide range and variety of
tunnels. The main reasons for preventing water inflow were dis-
cussed in Section 1. An important reason for keeping tunnels
and underground structures dry is to reduce the cost of repairs
due to possible deterioration of the structure and its contents
over the life of the structure.

It has been pointed out how each method of waterproofing or

groundwater control can be used, the conditions in which its
use is applicable, the care needed in application for the met-
hod to be effective, and the limitations of its use. There has
been some discussion of its cost relative to other possible
methods or different materials for the same construction condi-
tions, and this is also covered in Volume 3.

As ideal applications are rarely accomplished, possible fail-

ure or deterioration of the chosen water-protecting system must
be considered. As an example a WMATA system of drains to
prevent buildup of water pressure around transit tunnels is
failing due to precipitates clogging drainage lines. Means for
restoring the integrity of the water-proofing when failure
occurs must be planned. The ease or difficulty with which the
maintenance can be accomplished and the cost of performing main-
tenance may be major factors in the selection of the waterproof-
ing means to be used.

Major changes in the use of the structure or changes in the

loads to which the structure is subjected because of ground
movements, added or subtracted surface-structure loads, or
changes in water table elevation might cause failure of a pro-
perly applied waterproofing.

This section will present means of maintaining the water-

tightness of the structure during its useful service life.

8.10 DESIGN AND CONSTRUCTION PROCEDURES TO REDUCE MAINTENANCE

REQUIREMENTS
8.11 Backup Waterproofing Method

Any of the waterproofing systems discussed in this report

could be successfully used alone if appropriate for the under-
ground conditions and construction methods, and if ideally
applied. "Ideal" application is usually not achieved because
working conditions underground are not ideal, materials do not
always meet specifications, and supervision of the work is less
than perfect. Therefore, for a completely dry tunnel, a backup
waterproofing system may be considered in the design. This is

159
particularly advisable if the structure will be at considerable
depth, in a highly pervious aquifer, or covered with surface
structures. One writer suggests that if the water table is
higher than the tunnel axis more protection than just good con-
crete is needed (Ref. 125).

Using two barriers to groundwater infiltration increases the

cost and the time of construction. Rigid specifications and
capable supervision also increase cost and construction time.
Therefore the consideration of less stringent construction con-
trols with a backup waterproofing system added should be
examined.

8.12 Cast-in-Place Concrete

Procedures for constructing water-resistant concrete are

discussed in Section 2. Only the highlights will be repeated
here.

Structural Design for Watertightness. The structural design

must be based on all loads to which the structure will be sub-
jected. Where bentonite waterproofing is used the pressure
caused by its expansion must be considered. The loads to be in-
cluded are ground and surcharge, hydrostatic, and, for the
invert slab, the hydrostatic uplift and the possible span load
if some of the soft ground under the structure shifts.

Concrete Design. The concrete mix must be designed for low

porosity, low shrinkage, and good resistance to the chemicals
in the ground and to those to be expected from the intended use.
Only high quality ingredients should be specified.

Reinforcing Steel. Corrosion of reinforcing steel and other

embedded items must be kept at a minimum. Intermediate grade
steel should be used with a cross-sectional area greater than
the theoretical design area. Increase in stress increases cor-
rosion when conditions are favorable for corrosion. To permit
good consolidation of concrete outside the steel and between
adjacent bars, maximum aggregate size should not exceed 1/3 the
space. The steel should be protected by adequate cover from
stray currents, especially direct current. In certain
conditions cathodic protection may be required.

Joints. Construction joints should be made tight by rough-

ening the hardened concrete, cleaning it, moistening it, and
placing a cement grout layer before placing the next pour. To
back up this construction procedure either waterstops or bento-
nite backing should be used on the joints.
Contraction joints should have waterstops with bentonite in
the exterior chase and caulking in the interior chase.

Expansion joints should have highly resilient premolded joint

filler and flexible waterstops.

160
 Mixing and Transporting. For watertightness, the specifi-
cations should call for thorough mixing and chilling of ingre-
dients when needed. Transportation should be done in such a
way that the large aggregate is not segregated.

Placing.
- The specifications should be specific about place-
in ent oFThe concrete.

a. Preparation requirements for placement:

1. Flowing water has been diverted from placement area.
2. Reinforcing steel clearances are as designed.
3. Debris and standing water have been removed from
behind the forms where the concrete is to be placed.
4. The forms are cleaned and oiled.
5. Waterstops are adequately supported.
6. Hardened concrete to receive new concrete is pro-
perly prepared.

b. Placing requirements:
1. Consolidate around waterstops.
2. Prevent segregation of large aggregate.
3. Deposit as near to final position as possible.
4. Place in lifts the vibrators can reach through.
5. Vibrate for thorough consolidation.
6. Consolidate carefully along joints and around rein-
forcing steel and other embedded items.
7. Place the whole pour without interruption.
Continuous Placement. Tunnels, in which the permanent lin-
ing consists of continuously-poured concrete, will probably not
be completely watertight. Even with the use of expansive
cements the lengths of continuous pours are sufficiently long
that shrinkage cracks are probable. In addition, the placement
of concrete within a tunnel is always difficult, often result-
ing in concrete of inferior quality. The design should include
another means of restraining the groundwater if the advantages
of continuous lining outweigh its disadvantages. If no other
means of waterproofing is included in the design, remedial mea-
sures will have to be taken if the tunnel is to be dry.

8.13 Applied Waterproofing Envelopes

The design drawings and specifications should require the

following:

1. Membrane comprising the envelopes must be "impermeable"

at the anticipated head of water.

2. Membrane must be capable of accommodating small move-

ments at cracks.
3. Membrane must be capable of resisting the damaging
effects of the backfilling operation or it must be given

161
 a protective cover, if it will be subjected to backfill
abrasion and punching loads.

4. The application instructions of the manufacturer must be

followed strictly.

5. Most applied membranes must be installed by experienced

workmen under capable supervision.
6. For sheet materials there must be adequate lapping and
the laps must be completely sealed.

7. Liquid applied membranes must not be less than the spe-

cified thickness and must be free of pinholes.

8. Penetrations through the membrane must be given special

attention.

9. Application-surface irregularities and cracks should be

repaired so that the membrane may be placed on a smooth
surface which will not tear the sheet material or make
uniform coverage by liquid applied materials difficult.
If this cannot be done, as in a rock excavation, a
cushioning material must be placed before a sheet mem-
brane is installed.

10. If bentonite is used it must be kept completely dry

until it is encased between the structure and the ground,

8.14 Segmented Tunnel Linings

Cast Iron, Cast Steel, and Ductile Iron Segmented Linings.

To ensure a dry tunnel with minimum maintenance, in tunnels
built using cast iron, cast steel, or ductile iron segmented
linings, special design attention should be given to the follow-
ing items.

1. Close fit of mating flanges.

2. Grommets of a material which will not be affected by

ground chemistry or chemicals produced by the use to
which the tunnel is put. It should also be capable of
the deformation required to fill the space between the
bolt and the bolt hole without a tendency to flow and it
should not be adversely affected by vibration.

3. Specific requirements for the tightening of the bolts.

4. Good directions for placing the caulk.

5. Specifications for handling procedures for the brittle

castings.

162
 Fabricated Steel Segmented Linings. For tunnels using a
fabricated steel segmented lining special design consideration
should be given to the first four items above as needed for cast
iron segmented linings. In addition, a well-designed cathodic
protection system is required and suitable coatings for the
exterior and interior faces, to help prevent any attack on the
steel from ground chemistry and chemicals produced by the use
to which the tunnel is put if no secondary concrete lining is
used.

Precast Conrete Segmented Linings. For tunnels using a pre-

cast concrete segmented lining the following items should be
given special consideration in the design stage to ensure a dry
tunnel with minimum maintenance.

1. Concrete-mix designed for low porosity as well as

strength.

2. Design and construction of casting forms and specifi-

cation of casting procedures to insure close dimen-
sional tolerances.

3. Water curing required after steam curing to ensure low

permeability.

4. Gasket material selected for long life in the ground

chemistry environment and for good resiliency over the
entire anticipated life.

5. Grommet material specified as for metal segmented lin-

ings.

6. Caulking materials chosen for good performance in the

interior tunnel environment.

7. Definitive specifications for tightening the bolts.

8. Requirements for handling the brittle segments.

9. Means of preventing damage to the gaskets during

installation.

Segmented Tunnel Linings in Rock. For rock tunnels using a

segmented lining, items 1, 2, 5 and 7 under the above paragraph
should be given special consideration in the design stage. In
addition the following items require attention.

1. Backpacking must be well placed with the distribution

of the gravel controlled as well as present methods
permit. This is a primary requisite for the equal load
distributions on the lining.
2. Well-grouted gravel backpacking will help in keeping
the tunnel dry.

163
 3. Material for joint filler should be selected for long
life in the local ground environment and for good
resiliency during its lifetime.
4. Design of mating edges of the segments should be able
to accommodate movements caused by differences of trans-
verse and longitudinal loading.

8.15 Other Waterproofing Methods

Chemical Grouting. In chemical grouting the important

design procedures start with a thorough subsurface investiga-
tion along the tunnel route. This investigation should include
the determination of types of ground formations that will be
encountered with their in-situ porosities, permeabilities,
pore-size distributions, temperatures, grain-size gradations,
ground and groundwater chemistries including pH's, and ground-
water flow characteristics.
Then the grouting expert can decide what grouting systems
are applicable, including the type of grout, whether particu-
late or chemical .

The next step in the procedure should be the testing of

these systems in relation to the site conditions anticipated.
From this a tentative selection is made and grouting can be
started.

A complete investigation of the entire length of the route

is often impractical before excavation starts. Therefore, as
the tunnel is advanced it may be necessary to drill pilot holes
ahead of the face to determine more precisely the nature of the
ground. Since sudden changes in the ground formations occur,
the grouting program must be kept flexible and amenable to sud-
den changes.

Consolidation Grouting of Rock Tunnels. The grouting of

fissures exposed during excavation in tunnels driven through
rock is not usually designed ahead of excavation as is soft
ground injection grouting. The grouting program is usually
planned by the contractor subject to approval by the engineer.
During initial subsurface investigation the knowledge that fis-
sured rock will be encountered may be ascertained. With this
knowledge, contractor and engineer will be prepared to deal
with it when it is exposed.

Planning an extensive grouting program starts with determi-

nation of void size, chemistry of ground and groundwater, and
water flow characteristics. The sizes of the voids control the
maximum particle size of the grout. The chemical properties of
the ground and groundwater may influence the selection of grout
ingredients which must be able to resist any aggressive chem-
icals. Water flow may control the required setting time for

164
the grout which in turn may be the design criterion for adding
a chemical grout to a particulate grout. The design of the
minimum pressure to be used in grout placement should be based
on the pressure of the water to be displaced by the grout.
The maximum pressure should be determined based on the charac-
teristics and condition of the rock mass.

If high water inflows ahead of the tunneling face are sus-

pected, the design should call for exploratory drilling ahead
of the face and if excessive water is found a grouting pattern
should be designed to grout sufficiently outside the tunnel
excavation line to cut off the water flow. Essentially the same
criteria are used to develop this pregrouting system as the
grouting of exposed fissures.
The consolidation grouting program must be kept flexible so
that it can be changed to suit changing rock characteristics.
Sometimes it is necessary to start with a plan and then add
more holes, longer holes, different grouts, etc., until the
right grouting coverage is achieved.

Annular Space Grouting. Linings erected in the protection

of the tail of the tunneling shield are surrounded by an annu-
lar void approximately two to three inches (50 to 75 mm) wide.
To keep the ground from settling into this space it must be
filled. This is done by blowing pea gravel, until refusal,
into the space soon after the shield is moved forward. To con-
solidate the gravel and to complete the filling of the void,
grout is injected, until refusal, into the gravel in the annu-
lar space. It is not possible to place the gravel uniformly in
the space and blowing the gravel into the annular void loosens
some of the surrounding ground mixing it with the gravel. In
other grouting operations it is customary to ascertain the char-
acteristics of the material to be grouted before designing the
grouting system to be used. In annular space grouting the char-
acteristics of the gravel and ground mixture may vary signifi-
cantly within very short distances. Therefore, the grout-
design-related characteristics of the material to be grouted are
unknown. This makes normal grout-design procedures inoperable
and experience governs design.

In order to have reasonable control over the void-filling

operations, the specifications should call for monitoring of
the volume of muck removed during tunneling, the volume of
gravel placed, and the volume of grout injected. This
monitoring need not attempt to be exact. If the volume of muck
exceeds the anticipated volume then volume the of the void
around the lining is greater than the theorectical volume.
Ground, not intended to be excavated, has fallen from the arch
and/or sidewalls of the tunnel. By comparing the volume of
gravel and grout placed, allowing for the voids in the gravel
before placement, with the theorectical volume of the annular
space adjusted for excess muck (in turn adjusted for swell due

165
to excavation) it can be determined approximately how successful
the operation has been. If there is considerable discrepancy
between these volumes, settlement is likely to occur. A program
of monitoring surface elevations should also be specified.

Appropriate grouting pressures can and must be selected

based on the actual conditions; they must be high enough to
overcome the water pressure, but not high enough to overstress
the lining.

Contact Grouting of Concrete Linings. Whether in soft

ground or rock, cast-in-place concrete linings, by the nature
of their placement and the nature of the surface of the exca-
vated tunnel, have irregular volumes of voids around them. A
cement grout, usually incorporating a filler such as sand, is
injected into the voids to form a solid contact between ground
and lining. If properly done the operation aids in controlling
groundwater flow into the tunnel. The grout mixture is custom-
arily chosen by the designer to fit the anticipated voids. This
choice is usually based on the experience of the contractor and
engineer with similar tunnels.

As with annular space grouting, appropriate grouting pres-

sures can and must be selected based on the actual conditions;
they must be high enough to overcome the water pressure but not
high enough to overstress the lining.

Slurry Walls.

a. Cast-in-Place Concrete Slurry Walls. If slurry walls

are to be watertight the design of the concrete mix must be
done from a different approach than that used for conven-
tional structural concrete and must be based on a full
knowledge of slurry wall construction.

The fresh concrete must flow well so that it will move

from the tremie pipe outward along the trench and meet the
ends of the panel or the concrete from the adjacent tremie
pipes. If flow is slow, mud may be trapped within the con-
crete. The entrapped material is essentially impervious,
but it weakens the panel. Under loading this may permit
cracking which, in turn, would permit water inflow. Another
problem produced by slow flow is the development of cavities
at the ends of panels because the concrete did not flow to
the ends. This obviously increases the wall's permeability.

With "flowable" concrete, segregation and bleeding are

common defects. Such concrete may block the tremie pipe or
mix with the bentonite. To eliminate these problems the
concrete mix should be designed to incorporate more fines
than usually needed. Experienced workers can usually
determine visually, before placement, if concrete will
segregate or bleed, so the specifications should require

166
personnel experienced in slurry wall construction to
supervise placement.

The specifications should require placing of the entire

panel without interruption. Cold joints and contaminated
concrete which may leak, can be caused by interruption dur-
ing concreting or raising the end of the tremie pipe too
close to the concrete-slurry interface. Since the place-
ment of the entire panel must be done without interruption,
another mix-design criterion which is different from good
structural concrete design is that setting time should be
prolonged to ensure the first concrete poured will still be
plastic when the panel is completed. Some of the first
pour may be at the top surface of the concrete and must
move upward as a plastic material and in any event the
first pour will still be moving within the mass even if it
does not reach the surface.

Some adjustments are advised to make up for the

less-than-perf ect construction conditions. For example, it
has been recommended that the allowable bond stress be
reduced by 20% and splice lengths be approximately doubled
(Ref. 149). This is to compensate for the possibility of
slurry clinging to the reinforcing steel and allowing
slippage of the concrete along the bars, producing
shrinkage cracks. A reduction in allowable compressive
stress is also suggested. This is primarily for strength
reasons, but anything that permits weakness in the concrete
is likely to produce leakage through cracking. To accommo-
date the excavation equipment, slurry walls are usually
thicker than cut-and-cover walls would be at a given site.
Their thickness may also be increased by the sloughing off
of the soil into the slurry during excavation. With thic-
ker wall sections, less strength is needed in the concrete
for the same loading so the increase in width must be suf-
ficient to compensate for reduction in allowable stress.
The reinforcing bars may interfere with the upward flow
of the concrete so the reinforcing cage should be designed
for smooth flow of the concrete. Interference of flow by
the bars can cause pockets and other defects which reduce
the strength of the concrete and may cause porosity of the
wall. Therefore, the bars should be spaced as widely as
possible and laps should be kept to a minimum. In addition,
the clearances at the faces should be increased since the
concrete near the ground surfaces may mix with the benton-
ite slurry, reducing its protective ability.

The construction joints in a cast-in-place, continuous

slurry wall are difficult to design so that they will be
watertight. The early methods used did not permit rein-
forcing steel to pass through the joint giving horizontal
continuity. Therefore, these methods can only be used when

167
 the vertical steel is the principal reinforcement. The
design of the joint must be based on the loads to be
resisted at the joint and the watertightness required of
the joint. There are a number of joint designs to guide
the engineer including special provisions to transfer loads
from one panel to the next and to put a water sealing
section, such as a waterstop, across the joint. In all
cases, however, the slurry has wetted the concrete surface
and a coating may be left that allows water to leak
through. One advantage that mitigates this is that the
bentonite mud cake on the unexcavated face of the wall will
tend to fill and seal the leakage path if it is not too
wide.

b. Soldier Pile and Cast-in-Place Tremie Concrete Walls.

To seal the soldier piles to the cast-in-place concrete is
a construction problem rather than a design procedure.
Specifications should require that after excavation of the
slot the soldier pile must be cleaned as thoroughly as pos-
sible within the slurry. Fortunately the bentonite behind
the wall will seep through and may seal small cracks that
remain.

Precast Concrete Segment Walls.

c. Control of concrete in
casting yard is far superior to that tremied into a
a
slurry filled slot. This is one of the reasons the use of
precast concrete segment walls has come into practice. The
design considerations for casting watertight concrete
panels are essentially the same as for precast concrete
segmented linings.

The precast concrete panels themselves can be considered

impermeable if properly designed and constructed so the
joints are the only groundwater control problem for field
control. To make the joints watertight the slurry mix can
be designed so that after a predetermined period of time
the slurry will self-harden into an impervious grout behind
the panels and through the joints in a continuous mass. The
contractor must decide if it is preferable to use the
altered slurry for excavation or to use the normal bentonite
slurry for excavation and displace it with a heavier, self-
hardening fluid just before placement of the segments.

If the project conditions require continuity of hori-

zontal reinforcing steel, the design can be facilitated by
a study of the many panel designs, in use or suggested,
that are intended to transfer loads from panel to panel.
Some have special means for making watertight joints.
8.16 Sunken Tube Tunnels .

The environment of a sunken tube tunnel imposes a more

severe burden on the tunnel's waterproofing systems than does

168
that of a cut-and-cover or driven tunnel. The tunnel sections,
waterproofing, and bulkheads control the groundwater while the
sections are lowered into place, but sealing the sections to
one another must be done under water which poses entirely
different problems from those confronting the designer of a
cut-and-cover or driven tunnel. Many of the concerns of
designers of tunnels using different types of construction are
the same though their solutions may be different. The major
design concerns for watert ightness of sunken tube tunnels
include:

1. Impermeability of walls.

2. Corrosion protection for the steel shell, if used.

3. Watertightness of joints between sections.
4. Watertightness of expansion joints, if used.
For the structural steel shells, the designer must specify

designed. This is usually done by surrounding it with tremie

concrete or by using a cathodic (electrical current) protection.
This should ensure impermeability of the walls for the life of
the tunnel.

The design for the waterproofing of the joints between suc-

cessive structural steel shells may include welding of a U-plate
cofferdam across the joint on the exterior as a form for tremie
concrete, and the welding of a steel plate across the inside of
the joint to make the steel continuous with the shell. More
recent designs use a heavy rubber gasket as first seal with a
steel plate welded across the inside of the joint as above.

Reinforced concrete as the structural element of the tube

sections is favored in Europe. The waterproofing design con-
siderations for these tubes are somewhat more like cut-and-cover
structures. The designer may choose good, watertight concrete
if the rigid controls and special techniques necessary to pro-
duce it are available. Steel can be used as exterior forms and
left in place as a waterproofing membrane or the exterior can
be coated with a waterproofing material such as a multi-ply
asphalt membrane.
Since sections are long it has been found to be advisible
to include expansion joints at intervals. Construction joint
design is especially important if the concrete is to be imper-
vious. This presents the same problems as in cast-in-place
concrete liners in cut-and-cover construction, and requires
much the same design and construction techniques. Present
design uses waterstops within the concrete. The outer face

169
should be sealed as a backup measure, using polyurethane putty
or a multi-ply membrane, since the placement of concrete around
a waterstop is difficult, frequently producing gravel pockets.
The designer may choose to use a new method -- to inject an
epoxy sealant into the waterstop location through preset pipes
in order to fill the voids in the gravel and consolidate the
material. The volume treated becomes impervious and the
exterior sealant may be eliminated.

The joints between sections are usually designed to be sea-

led using large gaskets which provide the first seal while the
space between bulkheads is dewatered, and a secondary contin-
uous rubber seal which is placed inside the tunnel to complete
the sealing.

8.20 NORMAL MAINTENANCE PROGRAM

The heart of the normal maintenance program for the water-

tightness of a tunnel is efficient monitoring procedures based
on regular inspection. If no program is established, workers
inspecting or maintaining track, road bed, signals, ventilation
system, lighting, or other tunnel functions will probably not
report water until it inconveniences them in their work.
Excessive water flow in covered drains may not be noticed.
8.21 Preventive Maintenance
If the tunnel must stay dry, maintenance measures must be
used to prevent leakage.

Preventive maintenance is particularly valuable and neces-

sary in bolted segmented linings. Bolts are not corrosion-
resistant except in unusual circumstances. They are expected
to corrode and replacement will be necessary. The routine
inspection reports should include comments on the conditions of
the bolts, nuts, washers, and grommets. Corrosion of the metal,
deterioration of grommets, and loosening of bolts due to vibra-
tion should be observed and reported. This should be done by
spot check with special comment on those items near areas where
leakage is occurring. Some areas may show no deterioration so
fewer checks would be made in these areas, and areas showing
any corrosion would be more closely monitored. Then, at a
convenient time, a work crew could replace the bolts, nuts,
washers and grommets in the deteriorating areas and reseat the
caulking if necessary, preventing water infiltration. If only
an occasional bolt is corroding in an area, it may be just as
well to wait to replace it when other repair becomes necessary.

Caulking in the joints may also be monitored in a similar

way.

170
 If monitoring is not done, a regular maintenance crew should
periodically patrol the tunnel correcting sealant deficiencies
as they are noticed.

Another item for preventive maintenance inspection is the

interior coating on fabricated steel segments if exposed. If
this coating deteriorates, chips, or flakes, the corrosion prone
steel is exposed to the corrosive environment of the tunnel. In
a structure which lasts a great many years, corrosion of the
steel plate could reach such proportions as to reduce the
strength of the plate past the point of failure. Re-coating
need not be done frequently, but when large areas show damage
to the interior protective coating, the coating should be
replaced.

8.22 Monitoring Leakage

First it must be decided how dry the tunnel must be kept.

In general, it is impractical to repair every small moisture
intrusion or minor dripping when first visible, since materials
and equipment must be gathered, a crew sent out to do the
repairs, and the use of the tunnel restricted until the repairs
are completed. This is an expensive procedure and an incon-
venience to the users of the facility. It is more economical
to wait until a number of small leaks exist (maximim allowable
flow) or until a major leak (more than maximum allowable flow)
is noted. Frequently, small leaks heal by solidification, in
the water's flow path, of material carried by the water seeping
through.

Tunnels are customarily inspected routinely for numerous

hazards, signs of structural or architectural deterioration,
oil slick, malfunctions, etc. During this routine inspection,
any sign of water leakage should be noted on the inspection
report sheet with the approximate amount of flow and its
location. Of course, if the flow is large, immediate notifica-
tion of the maintenance manager should be made. Also noted in
the report should be the absence or presence of soil in the
water

The amount of flow in litres/day or gallons per hour is dif-

ficult to estimate without considerable experience. The inspec-
tors who would observe leakage while performing their other
inspecting duties may not be trained for that sort of determina-
tion. For this reason, a scale of descriptive leakage should
be established to give a certain uniformity to the reports of
all inspectors. This could be similar to that prepared by
CIRIA and quoted in Section 1 of this volume of the report
(Ref. 25). These should be keyed to common experience. A
suggested list is given.

1. Visible shiny water film, possibly dripping slightly,

affecting an area less than 1 m2

171
 2. Constant seepage from a narrow crack
3. Sheet flow from area less than 1 m2

4. Sheet flow from area more than 1 m2

5. Flow more than faucet leak but less than garden hose
flow

6. Crack or joint flow equivalent to moderate garden hose

flow or more - notify maintenance manager immediately!

The maintenance manager should be mindful of leaks that

increase in volume since this indicates increasing deteriora-
tion of the waterproofing system and the possibility of immenent
structural damage. He should also be watching for reports of
soil present in the flow. This indicates loss of ground above
the tunnel with a possibility of settlement of utilities or
structures above the tunnel. Loss of ground also increases the
permeability of the ground mass and decreases its strength.
This decrease in strength may result in a shift in load distri-
bution on the tunnel lining producing stresses unanticipated at
the time of design. A decrease in volume of flow would indi-
cate that the groundwater was depositing soil particles or pre-
cipitated chemicals in the cracks and pores and the integrity
of the watertightness might eventually be restored.

The maintenance manager should compare consecutive reports

as they are received and if an individual leak is becoming sig-
nificantly larger, a new large leak appears, or if leaks in one
area are getting more numerous or have remained about the same
size for a long period of time, maintenance procedures should
be started and all significant leaks and leaks of long duration
should be repaired. Of course, if a large leak is reported that
needs immediate attention, consideration should be given to
repairing all other leaks within the section of the tunnel shut
down for leak repairs. If other tunnel repair work causes
shut-down this is a good time to repair leaks within the area.

Another means of determining the presence of significant

leakage into a tunnel is to maintain a record of the output of
the sump pumps. If in dry weather output is significant, it is
obvious that water is flowing in the area of the tunnel that
feeds the pump. If no washing or other water-producing work is
being done in that area, it must be checked for leaks. This
program is likely to flag only large individual leaks or numer-
ous smaller ones. The drainage system, including the sump
pumps, has been designed for anticipated maximum flows from
water entering through stations and tunnel entrances during
inclement weather. If pump output exceeds this appreciably the
tunnel should be checked for leakage.

172
8.23 Repair Methods

Once it has been decided that the time has come to stem the
flow of water, the repair method chosen will depend on the
waterproofing method originally used, the type of failure of
that waterproofing, and the type of ground surounding the tunnel
at the location of the leak.

One repair method that is useful in many situations is the

injection of particulate or chemical grout into the ground sur-
rounding the tunnel. The characteristics of the soil determine
the most useful type of grout, as discussed in Section 5.
Therefore an investigation of the ground mass should be made as
described in sub-section 5.10. A grouting system is then
chosen, holes are drilled through the leaking areas into the
ground mass, and grout is injected until the leaking stops.
Usually there will be enough information from the tunnel con-
struction phase that a group of grouting systems for routine
maintenance can be established for the major formations sur-
rounding the tunnel. These would be used unless leakage is
catastrophic or cannot be controlled by the specified system.
Then it would be necessary to resort to the assistance of an
expert and the soil investigation.

Repair of leaking, water-resistant-concrete linings is

accomplished in much the same manner as repairs of defects at
the time of construction (sub-section 2.80). An alternate
means of stopping the flow of groundwater through the concrete
is injection of particulate or chemical grout behind the con-
crete in the area of the flow plus a saftey zone behind it.

The applied waterproofing membranes that are in sheet form

cannot normally be replaced or repaired under wet conditions.
For these materials, it is generally best to inject grout behind
the waterproofing if soil conditions permit. Unfortunately,
the location of the leak in the membrane may be some distance
from the appearance of water within the tunnel. The water may
travel long distances between the waterproofing membrane and
the structural or inner tunnel lining before leaking through a
porous place in the inner lining. Therefore, several injections
may be needed before the leakage is eliminated.

The maintenance of bentonite envelope waterproofing is

usually not difficult. Small leaks heal themselves by the move-
ment of the bentonite gel into the cracks through which the
water flows. For major leaks, bentonite slurry is injected
through a hole drilled at the location of the leak. Then the
drilled hole can be sealed with a hydraulic cement plug and the
tunnel will again be leak-free.
One of the advantages of cementitious waterproof coatings
is that leaks, if they occur, are localized right where they
come through. They can be repaired easily by a reapplicat ion

173
 .

of the waterproofing coating on the cleaned and roughened

existing surface even though wet.

Where chemical or particulate grouting of the ground mass

has been used as the primary groundwater control method,
regrouting will usually suffice to stop the leak. It may be
found, during examination of the surrounding ground, that a
different grout should be used than was used originally.

If the means of controlling groundwater is permanent lower-

ing of the groundwater table by drainage, and leakage occurs,
the drainage system must be checked and if flow is lower than
its capacity, any clogging of the system must be cleaned out.
If the flow is near full capacity, a source of unanticipated
water supply must be sought and controlled by some other means.

In a tunnel with a bolted segmented lining, if the bolts

corrode, they will loosen and leakage will occur at the seams.
The bolts may also be loosened by the heavy vibrations asso-
ciated with transportation tunnels. This is expected and is
easily corrected if the interior of the lining is exposed.
Grommets, washers, and nuts associated with the bolts would be
replaced at the time the nuts are tightened or replaced. If
the interior is covered with concrete, the concrete will prob-
ably prevent this corrosion.

If the interior caulking between segments loosens, all that

is required is that it be reinstalled. Since this caulking is
most frequently lead, a small air hammer does the job. Some
additional lead may be required to make the joint completely
watertight again.

In sunken tubes, the section joints are the most probable

locations for leaks. These are usually inaccessible since the
exterior is usually covered by a clay or concrete blanket and
the interior by concrete lining or architectural finish, and
the grouting of the blanket is the most usable means of
restoring watertightness

8.24 Unusual Maintenance

Unusual maintenance is required when neglect has caused

major deterioration of the tunnel, differential settlement due
to tectonic or other ground forces has occurred, the lining has
been damaged by a major fire in the tunnel, or there has been
some other occurrence which jeopardizes the integrity of the
tunnel.

When a fire occurs in a tunnel, the lining is often damaged.

The fire may produce cracks or porosity in the tunnel lining
material; warp or crack metal segmented linings, even opening
the seams; destroy the waterproofing ability of an applied
waterproofing membrane; or, in some other way, destroy the

174
integrity of the waterproofing over an extensive area without a
collapse of the tunnel. The extent of the damage will determine
the necessary remedial work. Portions of the tunnel linings
that have been damaged must be replaced. If the integrity of
the waterproofing has been breached it would probably be
difficult or impractical to replace. Extensive grouting of the
soil outside may be necessary.

If deterioration of the tunnel lining has progressed until

there is such strength loss that the lining fails structurally
or if earth movements cause major cracks or breaks in the
lining, water inflow will be the maximum which can flow through
the exposed ground formation. "Maintenance" then becomes major
structural repair. To accomplish this work, the tunnel must be
dewatered. This can frequently be done using the same methods
as were used during the construction period.

If the means of preventing water infiltration during con-

struction was compressed air, the damaged section can be cut
off from the rest of the tunnel with temporary bulkheads and
pressurized until the restoration work has been completed. If
slurry walls were used as water control it is sometimes possible
to box the area around the damaged tunnel with slurry walls or
slurry cutoff walls, dewater, replace the original slurry wall
with formed concrete, and replace the interior tunnel finish.
Sheet piles, especially if grouted, can be used in lieu of
slurry wall. If the tunnel had been built by cut-and-cover
methods it may be possible to reach the affected area from
ground level. Local ground freezing may be employed under
appropriate conditions even though it may not have been used in
the original construction.

A versatile tool for stopping the flow of groundwater into

a damaged tunnel is quick-setting injection grout.

Construction procedures for rebuilding the damaged section

would be similar to the construction procedures used for the
original tunnel.

175
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123. "Sunken Tubes Make 1-Mile Crossing at 95 Ft,"

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DOT-FH-11-8513, Federal Highway Administration,

National Technical Information Service, 1978.
145. Wickham, G. E. and H. R. Tiedemann, Cut-and-Cover
Tunneling, Volume 3, Summary Cost Analysis Jacobs ,

Associates, Contract DOT-FH-11-8513, Federal Highway

Administration, National Technical Information
Service, 1978.

146. Wickham, G. E. and H. R. Tiedemann, Ground Support

Prediction Model (RSR Concept) Contract H0220075,
,

U.S. Bureau of Mines, National Technical Information

Service, AD-773 018, 1974.

147. Woods, H. Durability of Concrete Construction

,
,

American Concrete Institute and the Iowa State

University Press, 1968.

148. Xanthakos, P. P., Underground Construction in Fluid

Trenches University of Illinois, Chicago, 1974.
,

149. Xanthakos, P.P., Slurry Walls , McGraw-Hill Book

Company, New York, 1979.

150. Young, J. F. et alia, "Use of Admixtures in

,

Production of Low-Porosity Paste and Concretes",

Concrete Admixtures Transportation Research Board,
,

National Technical Information Service, PB-252 854,

1976.

151. Ziermann, R. "Tunnel Construction and Maintenance on

,

the Austrian Federal Railway System", Tunnels &

Tunnelling Vol. 2, No. 2, Mar-Apr 1970, pp. 87-91, and
,

Vol. 2, No. 3, May-June 1970, pp. 179-181.

188
 ADDRESSES OF SUPPLIERS, COMPANIES, AND AGENCIES

American Colloid Company Japan Tunneling Society

Building Materials Division Shinko-Dai-Ichi Building
5100 Suffield Court 7-14 Shinotomi 2-Chome
Skokie, Illinois 60076 Chuo-Ku, Tokyo, 104
Japan
B. F. Goodrich
General Products Co. MacLean-Grove & Company, Inc.
500 South Main Street One East Putnam Avenue
Akron, Ohio 44311 Greenwich, Conn. 06830

Christian & Nielsen A/S W. R. Meadows

V Farimagsgade 41 P.O. Box 543
DK 1501 Copenhagen V. Elgin, Illinois 60120
Denmark
Parsons, Br inckerhof f
Conrad Sovig Co., Inc. Quade & Douglas
35 Gilbert Street 250 W. 34 Street
San Francisco, California New York, N.Y. 10001
94103
Plas-Chem Coatings
Construction Industry Research Eagle-Picher Industries, Inc.
and Information Association 6300 Bartmer Industrial Drive
(CIRIA) St. Louis, Missouri 63130
6 Storey's Gate
London, SW1P 3AU, England Royal Netherlands Harbour
Works Company
Effective Building Products P.O. Box 260
1724 Concordia Avenue 2800 AG GOUDA
St. Paul, Minnesota The Netherlands
55104
Sika International
Freeman Fox & Partners Postfach 255
25 Victoria Street Badernerstrasse 808
London, SW1H 0EX, England Zurick 8048
Switzerland
Gates Engineering
Wilmington STUDIENGESELLSCHAFT fUr
Delaware 19899 unter irdishe
Verkehrsanlagen
Sir William Halcrow e.V. (STUVA)
and Partners 5000 Koln 30
Newcomb House Mathis-Brliggen Str. 41
45 Notting Hill Gate BRD-West Germany
London, Wll 3JX
England Transport and Road Research
Laboratory (TRRL)
Harrison Western Corp Old Workingham Road
1208 Quail Street Crowthorne, Berkshire
Lakewood, Colorado 80226 England

189
 ADDRESSES OF SUPPLIERS, COMPANIES, AND AGENCIES

U. S. Grout Corporation Wayss & Freytag AG

West End Avenue Hauptrewaltung Postfach 4589
Old Greenwich 6000 Frankfort/M.I.
Connecticut 06870 West Germany

Univeral Protective Coatings

123 Jordan Street
San Rafael, California
94901

*U.S. GOVERNMENT PRINTING OFFICE: 1982 522-064/8506 1-3 190

 FEDERALLY COORDINATED PROGRAM (FCP) OF HIGHWAY
RESEARCH AND DEVELOPMENT
The and Development (R&D) of
Offices of Research the quality of the human environment. The goals
the Highway Administration (FHWA) are
Federal are reduction of adverse highway and traffic

responsible for a broad program of staff and contract impacts, and protection and enhancement of the
research and development and a Federal-aid environment.
program, conducted by or through the State highway
transportation agencies, that includes the Highway 4. Improved Materials Utilization and
Planning and Research (HP&R) program and the Durability
National Cooperative Highway Research Program Materials R&D is concerned with expanding the
(NCHRP) managed by the Transportation Research knowledge and technology of materials properties,
Board. The FCP is a carefully selected group of proj- using available natural materials, improving struc-
ects that uses research and development resources te
tural foundation materials, recycling highway
obtain timely solutions to urgent national highway materials, converting industrial wastes into useful
engineering problems.* highway products, developing extender or

The diagonal double stripe on the cover of this report substitute materials for those in short supply, and
represents a highway and is color-coded to identify developing more rapid and reliable testing
the FCP category that the report falls under. A red procedures. The goals are lower highway con-
stripe is used for category 1, dark blue for category 2,
struction costs and extended maintenance-free
light blue for category 3, brown for category 4, gray operation.

for category 5, green for categories 6 and 7, and an 5. Improved Design to Reduce Costs, Extend
orange stripe identifies category 0.
Life Expectancy, and Insure Structural
FCP Category Descriptions Safety

1. Improved Highway Design and Operation Structural R&D is concerned with furthering the
latest technological advances in structural and
for Safety
hydraulic designs, fabrication processes, and
Safety R&D addresses problems associated with
construction techniques to provide safe, efficient
the responsibilities of the FHWA under the
highways at reasonable costs.
Highway Safety Act and includes investigation of
appropriate design standards, roadside hardware, 6. Improved Technology for Highway
signing, and physical and scientific data for the Construction
formulation of improved safety regulations. This category is concerned with the research,
development, and implementation of highway
2. Reduction of Traffic Congestion, and
construction technology to increase productivity,
Improved Operational Efficiency
reduce energy consumption, conserve dwindling
Traffic R&D is concerned with increasing the
resources, and reduce costs while improving the
operational efficiency of existing highways by
quality and methods of construction.
advancing technology, by improving designs for

existing as well as new facilities, and by balancing 7. Improved Technology for Highway
the demand-capacity relationship through traffic Maintenance
management techniques such as bus and carpool This category addresses problems in preserving
preferential treatment, motorist information, and the Nation's highways and includes activities in
rerouting of traffic. physical maintenance, traffic services, manage-
3. Environmental Considerations in Highway ment, and equipment. The goal is to maximize
Design, Location, Construction, and Opera- operational efficiency and safety to the traveling

tion public while conserving resources.

Environmental R&D is directed toward identify- 0. Other New Studies

ing and evaluating highway elements that affect This category, not included in the seven-volume
* statement of the FCP available from
official statement of the FCP, is concerned with
The complete seven-volume official is

the National Technical Information Service, Springfield, Va. 22161. Single HP&R and NCHRP studies not specifically related
copies of the introductory volume are available without charge from Program
to FCP projects. These studies involve R&D
Analysis (HRD-3), Offices of Research and Development, Federal Highway
Administration, Washington, D.C. 20590. support of other FHWA program office research.
DDDS71EM