International Society For Soil Mechanics and Geotechnical Engineering

INTERNATIONAL SOCIETY FOR
SOIL MECHANICS AND

GEOTECHNICAL ENGINEERING
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STATE OF-THE-ART REPORT ETAT ACTUEL DES CONAISSANCES
D EEP EX C A V A T IO N S A N D T U N N EL IN G IN SO FT G RO U N D
EXCAVATIONS PROFONDES ET CONSTRUCTION DE TUNNELS EN TERRAINS DE FAIBLE RESISTANCE.
by Ralph, B. Peek. Prof. of Foundation Engineering

University of Illinois
Urbana. III. U.S.A.
SYNOPSIS Rational design of a project involving open cuttinq or tunneling requires the abil
ity to judge whether the proposed work is feasible under various methods of construction, to
estimate the settlements and other movements of the adjacent ground surface and structures,
and to provide adequate strength and appropriate flexibility or rigidity in the final struc
ture. In this report, observational data are assembled with respect to each of these re
quirements, and in some instances procedures are suggested for design. Particularly, in the
design of tunnel lining, recommendations are made for taking advantage of the strength of the
soil rather than for ignoring it in accordance with most present design practice.
FOREWORD
The state of the art of excavating and tun approach. Data from full-scale field obser
neling in soft ground has undergone substan vations provide the principal framework upon
tial change during the last decades. New which the conclusions rest.
methods of construction and support have
been devised for braced cuts, and new tech The Report is divided into two sections:
niques have been developed for machine tun Part A - Tunneling; and Part B - Open Cuts.
neling . In the preparation of Part A, the writer was
assisted by Mr. Birger Schmidt, and in Part
Deep substructures of buildings are usually B by Mr. Harvey Parker.
constructed in excavations having sides sup
ported by bracing or tiebacks. Sewers, 1. TUNNELING
water-supply conduits, and transportation
tubes are sometimes built in tunnel and 1.1 Intruduction
sometimes in open cut. On many such pro
jects, the decision as to whether the work The number of soft-ground tunnels has in
should be done by tunneling or in cut is the creased rapidly during recent years. The
most significant single step in the design. most obvious change in the art appears to be
The relative economy of the procedures them the widespread adoption of excavating ma
selves is but one of the considerations in chines. Nevertheless, machines have not yet
the decision. The effects of the construc proven successful in all types of soft ground
tion on overlying and adjacent properties and more conventional methods of excavation
must also be evaluated. In urban areas, the are still widely used.
effects of construction on utilities and on
the flow of traffic, and the necessity for In spite of the proliferation of soft-ground
underpinning neighboring structures may be tunnels and the consequent great increase in
the overriding factors. There is urgent experience, the art of tunneling has failed
need for reliable means to estimate the ex to keep pace with modern requirements. This
tent and nature of the movements and distur failure is due largely to a lack of commun
bances associated with each type of construc ication and understanding between tunnel de
tion because, without such estimates, there signers and tunnel constructors. It might
can be no rational basis for decision. even be said that the failure has its ori
gins in the view, held by many engineers,
This report attempts to summarize the present that design and construction of tunnels are
state of our knowledge of the feasibility and separable endeavors.
the consequences of tunneling and open-
cutting in various types of soil, so that Probably in no area of applied soil mechanics
intelligent appraisals of the alternatives are design and construction actually so in
can be made. It also summarizes the basis extricably interwoven. Yet, by long tradi
for design of the required temporary and tion the contract documents for soft-ground
permanent supports. In connection with tun tunnels are usually concerned with the struc
nels, present knowledge appears to call for tural features of the completed tunnel
a radical change from the traditional
225
PECK.
fining, and the manner of executing the work the designer has an adequate knowledge of the
is either left to the contractor or is de magnitudes of settlements to be expected for
cided rather arbitrarily by the structural tunnels of various sizes constructed through
designers. The designers, moreover, propor different subsoils by those construction
tion tunnel linings to withstand certain methods that are considered technically feas
sets of loads considered appropriate for the ible. Unfortunately, there is at present
subsurface conditions. The design loads are insufficient information to permit reliable
usually assumed to be independent or nearly estimates of damage or even of settlement
independent of the type of construction and above tunnels under all conditions. Yet the
even of the properties of the soil. More subject is of paramount importance because,
often than not, except possibly for the if the problems of adjacent damage and dis
jacking loads required to advance a shield turbance are not correctly assessed, the
or machine, the assumed design loads are basic concept of the design of the facility
completely unrealistic. Furthermore, the will be faulty and no amount of precision
preoccupation with loads and with the design thereafter can make up for the initial er
of the so-called permanent lininq leads to rors in judgment. Because of the importance
the misconception that the design of a tun of this requirement, information concerning
nel consists of the design of its lining. the magnitudes of settlements over tunnels
The subject is far more complex than this under various conditions has been assembled
concept would suggest. and condensed in Chapter 4.
In the remainder of this discussion, we shall As a corollary to the preceding requirement,

consider the requirements for a satisfactory techniques of tunneling are to be preferred
tunnel from the point of view of applied soil that reduce to a minimum the disturbance of
mechanics. We shall examine our ability to the surrounding qround. Attention will be
satisfy these requirements, and shall con given to the prevention of lost ground and
sider the needs for improvinq our knowledge. other causes of ground movement.
1.2 Requirements for a Satisfactory Tunnel The third requirement for a satisfactory tun
nel is that it should be capable of with
The first requirement for a satisfactory tun standing durinq its lifetime all the in
nel is that it should be able to be built. fluences to which it may be subjected. Of
It must be possible to advance the hole safe these the most obvious, but possibly one of
ly, to maintain the integrity of the openinq the least important, is the earth pressure
at least temporarily, and in some instances between the tunnel and t-he surrounding soil.
to preserve the integrity of the openinq by In reality, as we shall see, the requirements
such additional means as a permanent lining. imposed by the normal earth pressures on the
There is much empirical evidence upon which permanent lininq of the tunnel are usually
to judge the feasibility of tunneling through rather easily satisfied. Variations from
various subsurface formations by different the normal conditions introduce the most sig
construction procedures. The reaction of nificant adverse influences on the lining:
various kinds of ground to the excavation of the presence, for example, of stations, vent
ûnnels of various sizes by various methods ilation shafts, cross-tunnels and other dis
has been discussed in considerable detail by continuities; or distortions caused by sub
several authors. Most of the published in sequent tunnelinq or by carrying out large
formation refers to conventional methods of excavations alongside the completed tubes.
tunnel driving. Nevertheless, experience Furthermore, the actual stresses in the per
with tunneling machines is accumulating; it manent lining and the deformations of the
is discussed with respect to the feasibility lining are determined almost exclusively by
of tunneling in Chapter 3. the details of the method of construction, by
the sequence of the construction events, and
The second requirement is that construction especially by the behavior of the surrounding
of the tunnel should not excessively damaqe soil during the construction period. These
adjacent or overlying buildings, streets or conditions practically invalidate the con
utilities. With increasing urbanization this ception of designing the permanent lining for
requirement may often severely limit the a pressure ascertained on the basis of earth-
types of construction suitable for a given pressure theory. They indicate on the con
project. It may in some instances determine trary that design should preferably be based
whether a facility should be built by tun on a knowledge of expected and tolerable de
neling or by cut-and-cover. formations. Data will be assembled in Chap
ter 5 to provide the first steps in estab
The second requirement has further implica lishing such a procedure for design. It will
tions. A tunnel cannot be considered suc be apparent that the state of the art in
cessful unless the designers have correctly volves many gaps in the information needed to
decided whether it is necessary to underpin permit design under all circumstances.
the adjacent structures. The requirements
for underpinning and the cost of the work 1 3 Feasibility of Tunneling
enter directly into the initial decisions
with respect to location and type of tunnel. 1.3 1 Previous Criteria
No satisfactory conclusions concerninq the
likelihood or extent of damage to adjacent or Before the present trend toward the use of
overlying structures can be reached unless
226
D EEP EX C A V A T IO N S A N D T U N N EL L IN G
tunneling machines, the feasibility of hand permitted to start, loss of the heading may
tunneling and the criteria for choosing be occur during construction or seriously un
tween hand and shield tunneling had already balanced or non-uniform loadings may develop
received considerable attention (Terzaghi, against the lining even after the passage of
1950). Decisions were based on classifica considerable time. In some instances, com
tion of the ground according to terminology pleted tunnel linings have failed because of
used by tunnel laborers, and on the stand- the continued development of raveling initi
up time associated with the type of ground ated during mining. Seepage forces caused
and the dimensions of the drift or heading by the flow of water toward the working
being excavated. face, especially in non-uniform materials,
increase the tendency to ravel. Hence, in
These criteria remain adequate for the pre some instances, raveling ground can be trans
sent discussion. They need be supplemented formed to firm ground by predrainage.
only with respect to the feasibility of ad
vancing a tunnel by means of an excavating Running ground consists of perfectly cohes
machine. ionless materials such as dry sand or clean
loose gravel. These materials run from any
Most of the excavating machines in present unsupported lateral face until a stable pile
use consist of a rotating or oscillating is built up at the angle of repose. How
cutter that chisels or shaves the soil from ever, as lonq as the soil above the roof is
a circular face against which the machine supported, as by poling boards or the hood
is advanced. The working face may, in sta of a shield, the running ground does not fill
ble ground, be entirely unsupported. At the tunnel but merely slopes into the head
the other extreme, in less stable materials ing. The development of such a sloping face
the cutting tools may consist of knives in may bury the lower part of a mole, stop its
narrow slots in an otherwise solid circular progress, and lead to extensive hand excava
or slightly conical cutting head. The ma tion to free the machine. Thus far, moles
chine is forced ahead by jacks usually re have not proven adaptable to running condi
acting against lining already installed, but tions.
in some instances against reaction plates
expanded against the soil at the periphery If seepage pressures toward the working face
of the tunnel. Various means are provided are permitted to develop in what would other
for handling and removing the muck. wise be raveling or running ground, the soiT
may be transformed into flowing ground and
Any such device is referred to in this re advance like a thick liquid into the heading.
port as a mole. The mole may be mounted in Unlike running ground, flowing ground may
side a cylindrical shell to provide protec fill much or even all of the tunnel. It may
tion against invasion of the surrounding bury a shield or a mole. Hence, tunneling
ground. The shell serves most of the func through such materials can be accomplished
tions of a conventional shield; hence, such only with the greatest difficulty and danger
an assemblage is sometimes called a digger unless the materials are first transformed
shield. into raveling or firm ground. The trans
formation may be accomplished in most in
In soil designated by the tunnel man as firm stances by drainage, by use of air pressure
ground, a heading may be advanced several or, occasionally, by injection of chemical
feet or morie, either by hand or by machine, grouts. Mere use of a shield, without first
without immediate support. Stiff clays and eliminating the flowing character of the
cemented or cohesive granular materials fall soil, does not necessarily lead to success
generally into this category. Tunneling ful tunnelinq because of the difficulty of
in firm ground can be accomplished without preventing a flow, even if only a small por
danger of collapse because there is adequate tion of the face is exposed at a given time.
time for the erection of whatever supports If a run or flow begins, however, the pre
may subsequently be needed. sence of a shield qreatly increases the fac
tor of safety of the heading against com
On the other hand, in raveling ground, the plete collapse. In extremely soft running
materials above the tunnel or in the upper soils such as the Hudson River silts, it is
part of the working face may sooner or later sometimes practicable to advance the tunnel
tend to flake off and fall into the heading. by shovinq a shield almost blind through the
The action is progressive and may lead to materials, displacing them, and permitting
open cavities above the tunnels or even to the permanent lining to be constructed.
sinkholes at the surface. The raveling can Such procedures would, of course, be intol
be prevented if at least moderate support is erable if the accompanying displacements of
provided at an early stage, before the loos the surrounding soil would be damaging to
ening becomes extensive. Slightly cohesive other installations (see Chapter 4).
sands, silts and fine sands gaining their
strength from apparent cohesion, and resid Squeezing soils encompass very soft to med
ual soils with relict structure from the ium clays. They can be tunneled success
parent rock often fall into the category of fully by hand methods if the rate of squeeze
raveling ground. If the necessary, although is not excessive. If the rate would be too
small, support is provided promptly, tunnel great to permit installation of the neces
ing in raveling ground is readily accom sary bracing, tunneling by means of a shield
plished. On the other hand, if raveling is may be required. The practicability of
227
P EC K .
either type of construction may be greatly the danger of raveling above the tunnel.
enhanced by the use of air pressure but, be Moreover, if the face of the digging machine
cause of the impervious nature of the mater consists of a disc or flat cone interrupted
ials, construction is not likely to be fac only occasionally by slots for the digging
ilitated appreciably by drainage. Even if a knives and for entrance of the material,
tunnel can be successfully constructed in considerable protection against raveling of
squeezing ground, the effects on nighboring the face is afforded. Since the face is
facilities may exceed tolerable limits, as much less susceptible to raveling than the
discussed in Chapter 4. roof, machines of this type may be highly ad
vantageous in ground that might otherwise
It is well recognized that the stand-up time rav e l .
is a function not only of the type of soil,
but of the size of the opening in which the On the other hand, present types of digging
working face is attacked. With the excep machines provide no better defense against
tion of plastic clay soils under undrained flowing or running ground than do convention
conditions, theoretical attempts to estimate al procedures of hand mining or shield tun
the factor of safety against collapse of a neling. Indeed, they may be more suscepti
heading have not yet been successful. In ble to difficulty because the erratic and
raveling grounds in particular, the stand- unpredictable zones where migration and ero
up time and the factor of safety are inti sion may begin are not so readily detected
mately dependent on the details of strati in machine tunneling. A run may partly fill
graphy and on the secondary structure of the a digging machine before defensive measures
soil deposit. Since these details are un can be taken. Hence, it is even more imper
predictable, no satisfactory correlation ative in machine tunneling than in conven
between factor of safety and measured soil tional hand or shield mining that running or
properties can be anticipated. flowing ground be transformed at least into
slowly raveling ground by predrainage, use of
On the other hand, for plastic clays at compressed air, or injections. Furthermore,
depths not less than about two diameters, if predrainage is adopted to accomplish the
the criterion for stability developed by transformation, it must be conscientiously
Broms and Bennermark (1967) may be useful. and thoroughly carried out. Otherwise, here
According to this criterion, the ratio and there, seepage toward the face may cause,
if not a full-fledged run, at least a slow
Pz ' pa and perhaps unnoticed migration of materials
that may lead to caving, collapse, and even
su the appearance of sinkholes at the surface.
should not exceed about 6. In this expres Such events are not rare, but they often
sion come as surprises to all parties.
p = total vertical pressure at depth z of
center of tunnel The interrelationships among stand-up time,
pa = air pressure above atmospheric rate of advance, and size of opening are il
su = undrained shear strength of clay. lustrated by the history of a tunneling mach
ine excavating through a very stiff clay or
Several examples were given by Broms and clay-shale with we 11-developed secondary
Bennermark. Further data are shown in joint structure. The clay would, on account
Table I. of the joints, be classed as raveling ground.
The machine excavated a hole 23 ft in diame
A study of Table I indicates that tunneling ter at a rate up to 130 ft per day without
may be carried out without unusual diffi difficulty. For one portion of the tunnel,
culties in plastic clays if the ratio however, it was necessary to increase the
(p - p )/s does not exceed about 5. In diameter. This was done by increasing the
rz ra u
shield tunneling, if the ratio is much diameter of the cutting ring. Because of
greater, the clay is likely to invade the lower efficiency of the machine in tunneling
tailpiece clearance too rapidly to permit through the section having a larger diameter,
satisfactory filling of the void. For val the rate of advance was decreased to 4 to 6
ues approaching 7 the shield may become un ft per day, but at this rate the stand-up
manageable because of its tendency to tilt time of the clay over the tunnel was exceeded
as it advances. The benefits from the use and raveling became a problem. The raveling
of compressed air are evident. at one point where a thin fault zone occurred
culminated in the formation of a cavity ex
1.3.2 Feasibility of Use of Digging Machines tending above the tunnel to a height of 35
ft and burial of the machine.
The use of a mole or digger shield does not
basically alter the conclusions outlined The feasibility of tunneling with machines is
above with respect to conventional hand and also dependent upon the uniformity or varia
shield mining. In firm ground, such mach bility of the soil being excavated. Differ
ines have often performed rapidly and econ ent types of excavating knives, chisels or
omically. In slowly raveling ground, if bits are required for different materials;
the mole is provided with a shield, the those that work successfully in one material
rapid rate of advance and the support for may be ineffective in others. If the line of
the overlying material frequently eliminate a tunnel traverses several different mater-
228
Table I Field Data on Stability of Tunnels in Saturated Plastic Clays
p 2,
Axis,
ft
z/2R
Overburden Pressure,
Av. Undrained Shear
2R,
Strength, Bu , ksf
Tunnel
/ diameter
Diameter
at Axis, ksf
Pressure
z to
Reference
ksf
Tunnel
ID
0. 3
Depth
Depth
Soil
Case
1 to
Pa,
Air
N
ft
0
z a
1 London, A s h Tattersall et London Clay, 90 9.3 9.7 21. 11.0 0 0 5

ford al, 1955 fissured, plastic
2 London, post Ward and Thom do. 55 7.7 7.1 7.2 7.0 0 l 0
office as, 1965
3 London, Vic Ward and Thom do. 85 14 .0 6.1 7.8 10.8 0 l 4

toria as, 1965
4 Ottawa, Sewer Eden and Boz- Leda Clay, 60 10.0 6.0 3.7 6.2 0 6 l 5
ozuk, 1968 sensitive
5 Antwerp, Gas deBeer and Boom Clay, 253 17.7 14 .3 7.8 31.5 0 4 1
Storage Buttiens, 1966 fissured, plastic
6 Detroit, water Housel, 1942 Plastic glacial 68 15.0 4 .5 0.8 8.0 3 9 5 1

clay
7 Toronto, sub Pers. comm. Plastic glacial 43 17.0 2.5 0.7 5.5 1 4 5 7
way clay
8 Chicago, sub Terzaghi, 1943 Plastic glacial 36 20.0 1.8 0.44 4 .3 1 7 5 9

way clay
9 Koto, Tokyo, Shiraishi Normally loaded 74 23.0 3.2 0.76 5.6 1 2 7 4

subway pers. comm. sensitive clay
10 Osaka, Munici Shiraishi Normally loaded -51 23.0 2.2 0. 60 5.0 1 0 6 6

pal Railway pers. comm. sensitive clay
Rema r k s :
1. Stable. Shield driven.
2,3. Face stable. Walls stood for a length of time, occasional problems with overbreak as
sociated with fissures, stratification, etc.
4. Driven with mechanical shield; wall exposed before liner placement. No problems.
5. Hand mined. Fissured clay formed 45° talus slope at face. Wall and roof unstable ex
cept for short spans.
6. Hand mined. Concrete placed daily directly against clay. Some squeeze.
7. Stable. Only 4' clay cover, dense sand above.
8. Hand mined, horseshoe-shaped; stable with moderate squeeze at air pressure of 12 psi;
excessive squeeze on drop of air pressure to 7 psi, ratio (pz"â )/su“ ^ •^
9. Shield-driven, face supported during shove. Difficult to keep shield from diving;
deviations from grade as much as 14 in.
10. Shield-driven; face closed except for 2.3* opening; took in up to 80% of theoretical
volume of tunnel. Inward squeeze of clay could not be controlled at air pressure of
0.8ksf. Downward deviation from grade as much as 1 ft.
Note: psi = pounds per square inch

ksf = kilopounds (kips) per sq ft
229
P EC K .
i a l s , i t may b e n e c e s s a r y t o c h a n g e t h e c u t quite properly considered good practice to

t i n g e l e m e n t s t o s u i t t h e n a t u r e o f t h e ma keep the deformations as small as possible,
te r ia l. F urtherm ore, i f d i f f e r e n t s o i l s are in order to hold the avoidable loss of ground
e n c o u n t e r e d i n t h e sam e h e a d i n g , a s i s com and consequent settlement to a minimum and to
m o n l y t h e c a s e , i t may p r o v e i m p r a c t i c a l t o prevent deterioration of the soil due to ex
fin d a s i n g le c u t t in g t o o l ca p a b le o f ad cessive local distortions or remolding. Even
v a n c in g th r o u g h a l l t h e m a t e r i a l s t h a t m ust so, it is by no means assured that the mini
be rem oved. mum deformation compatible with mobilization
of the strength of the soil will not lead to
1 .3 .3 C o n clu sio n excessive loss of ground from the point of
view of settlement or damage.
The u s e o f m i n i n g m a c h i n e s i n s o f t g r o u n d
h a s i n some i n s t a n c e s l e d t o g r e a t l y i n If the minimum deformation associated with a
c r e a s e d s p e e d o f c o n s t r u c t i o n and d e c r e a s e d specific method of construction will lead to
cost. In o t h e r s , th e r e s u l t s have been d i s excessive loss of oround, improvement in
a p p o in tin g . In e x tr e m e c a s e s , t h e m a c h in e s workmanship alone cannot eliminate the un
h ave been abandoned o r t h e i r u s e has been desirable consequences. The method of con
d isc o n tin u ed . struction must be radically altered, possibly
by such steps as the introduction of com
I f m achine e x c a v a t i o n i s c o n t e m p la t e d , th e pressed air or even by replacement of tun
f e a s i b i l i t y i s l i k e l y t o b e e v e n m ore d e nel inq by open cuttinq or dredqing through
p e n d e n t upon c o m p l e t e c o n t r o l o f t h e g r o u n d slurry or water.
w a te r, i f th e ground i s l i k e l y to r a v e l or
f l o w , t h a n w o u l d b e t h e c a s e i n hand t u n The desiqner is obliqed to judqe the extent
n e lin g . The h i g h r a t e o f a d v a n c e o f m in in q of surface movement or lost ground that would
m a c h i n e s , an d t h e s p e e d w i t h w h i c h r o o f be considered tolerable, and to specify or to
s u p p o r t c a n be p r o v i d e d i f a m o le i s com grant his approval to construction procedures
b in ed w ith a s h i e l d , a r e l i k e l y to ex ten d that will meet the requirements. He cannot
th e range o f firm ground w e l l i n t o m a ter fulfill these obligations unless he is able
i a l s t h a t w o u ld o t h e r w i s e be c o n s i d e r e d o f to make reliable forecasts of the inevitable
ra v elin g ch a ra cter. H owever, i f t h e r a v e l settlement associated with every design or
i n g i s u n d e r e s t i m a t e d , t h e g r o u n d may c o l construction procedure that might reasonably
l a p s e a b o v e an d i n f r o n t o f t h e m a c h i n e be adopted for the work, with proper con
w h e r e u p o n t h e m a c h i n e m u s t be r e c o v e r e d sideration as to type of soil, groundwater
an d t h e h e a d i n g r e s t o r e d u n d e r e x t r e m e l y conditions, and qeonetry and depth of tunnel.
d i f f i c u lt co n d itio n s. He should also be able to estimate the addi
tional settlement, that may be associated with
1 . 4 Damage t o S u r r o u n d i n g s various deviations from the best techniques
or workmanship for a qiven construction pro
1 .4 .1 L o s s o f G rou nd cedure .
The c o n s t r u c t i o n o f e v e r y s o f t - q r o u n d t u n The nature of the inevitable settlements and

n e l i s a s s o c i a t e d w it h a ch a n g e in th e s t a t e these associated with workmanship is marked
o f s t r e s s i n t h e g r o u n d and w i t h c o r r e s ly dependent on the nature of the qround.
p o n d i n g s t r a i n s and d i s p l a c e m e n t s . The In a sgueezinq clay, for instance, the in
d isp la ce m en ts are ob served o n ly in fr e q u e n tly evitable part of the settlement may merge
below ground b e c a u se s p e c i a l i z e d t e c h n iq u e s imperceptibly into that due to imperfect
a r e r e q u ir e d , b u t t h e accom p anying s e t t l e workmanship with no change in the fundamental
m ents o f th e o v e r l y i n g ground s u r f a c e a r e character of the movement. In a dense silt,
o f t e n n o t e d b o t h d i r e c t l y and i n d i r e c t l y . on the other hand, the magnitude of the in
I f t h e y a r e e x c e s s i v e , t h e y may c a u s e dam evitable settlement may be negligible and the
a g e t o s u r f a c e and s u b s u r f a c e i n s t a l l a t i o n s . overlying ground surface may be nearly undis
turbed, but if raveling is permitted to start
N e v e r t h e l e s s , s t r a i n and d e f o r m a t i o n a r e and is not properly and promptly handled, a
not n e c e s s a r ily u n d e sira b le consequences of sink hole may develop with catastrophic dam-
tu n n e lin g . They c o n s t i t u t e p a r t o f t h e aqe within the sink hole in spite of only
m echanism w h er eb y t h e s t r e n g t h o f t h e s o i l slight distortion outside.
s u r r o u n d in g t h e t u n n e l ca n be m o b i l i z e d t o
im prove t h e s t a b i l i t y o f t h e t u n n e l f a c e s Although the magnitude and even to some ex
d u r i n g e x c a v a t i o n an d t o r e d u c e t h e s t r u c tent the character of the loss of ground and
t u r a l d em a nd s o n t h e l i n i n g , e i t h e r t e m p o r settlement are strongly influenced by the
a ry o r perm anent. W ithout t h e b e n e f i t o f method and details of construction, by far
th e str e n g th o f the s o i l i t s e l f , th e haz the most decisive factor governing loss of
a r d s and c o s t s o f s o f t - q r o u n d t u n n e l i n g ground is the nature of the surrounding soil,
w o u ld d r a s t i c a l l y i n c r e a s e . including the groundwater conditions. Hence,
in the following sections, the presently
Long e x p e r i e n c e h a s d e m o n s t r a t e d t h a t , available data regarding movements associated
e x c e p t p o s s ib ly in c e r ta in s w e llin g c la y s , with tunneling will be presented for dis
no t u n n e l i n g m eth od h a s y e t b e e n d e v e l o p e d tinctive types of soil. The data are sur
i n w h i c h t h e s t r a i n s an d d e f o r m a t i o n s a r e prisingly meaqer, in view of the importance
so sm a ll t h a t th e s tr e n g th o f th e s o i l i s of the information in planning and design.
not la r g e ly m o b iliz e d . T herefore, i t i s
230
It is not yet possible, except in a few in ground due directly to the tunneling will be
stances, to apportion the lost ground be considered. Supplementary settlements such
tween the inevitable movements associated as those due to groundwater lowering, while
with a particular method of construction and of outstanding practical importance, are
the additional movements that may arise be excluded.
cause of poor workmanship or faulty tech
niques. Nevertheless, even the presently 1.4.2 Cohesionless Granular Soils
limited data are useful.
Fortunately, truly cohesionless silts, sands,
Ordinarily the settlements above a tunnel, or gravels are rare. Tunneling through such
unless caused by a local disturbance such materials can be carried out only by com
as a run into the face or stoping above the plete protection of the top, sides and face
crown, are more or less symmetrical about of the excavation, as by full forepoling and
the vertical axis of the tunnel. They form breasting, or by rendering the materials
a trough-like depression with a shape rough cohesive by injection of grout. If the m a
ly resembling the error function or proba terials are dense and the construction pro
bility curve. The maximum settlement at cedures are expertly carried out so that no
any cross-section perpendicular to the axis runs occur, loss of ground and settlement
of the tunnel is denoted by 6_ . The are usually negligibly small. On the other
J max
value of 5max likely, however, to vary hand, if runs occur, particularly if the
material is loose, large and erratic sub
from one cross-section to another. If the sidences may develop at the surface. Runs
soil conditions and tunneling procedures do may also be associated with the develop
not change significantly for a representa ment, near or above the tunnel, of cavities
tive length of tunnel, the values of 5 max that may remain open temporarily but may col
usually vary over a fairly well-defir.ed lapse and lead to surface subsidence at a
range. The prevalent value will be desig later date. Hence, the prediction of set
nated as the normal settlement 6' . The tlement over a tunnel in such materials is
max extremely uncertain because the real settle
consequences of tunneling can, to a consider ments depend almost exclusively upon the
able degree, be judged on the basis of the smallest details of construction. The most
normal settlement. In addition, consider important steps in the prediction are to
ation must be given to the value of the judge whether the tunneling may take place
greatest settlement 4" that may occur at through materials so dry that they will
3 max
some cross-section. Hence, ir the Tables possess not even the apparent cohesion as
accompanying the following text, both values sociated with soil moisture, and to assess
are given where the information is available. whether the material is loose or dense.
The tabulated values exclude settlements
caused by non-routine events such as runs, At most sites, granular materials above the
blows or local collapses. The likelihood water table contain enough soil moisture to
and significance of such occurrences are create at least small apparent cohesion. If
discussed separately. the tunnel is below ground water level, the
water table must be lowered and the soils
The collected data include settlements above drained to the extent that there will be no
pairs of tunnels as well as single tunnels. seepage gradients toward the tunnel and that
Since the settlement trough ultimately some apparent cohesion will be developed at
formed above two tunnels is likely not to the tunnel face. According to Chapter 3,
be symmetrical, the tabulated values of such materials after drainage permit suc
6 ' and 6 " refer to the maximum settle- cessful tunneling by several different
max max methods, especially if they are relatively
ment at the cross-section under considera dense. Loose materials, even though drained,
tion, irrespective of the shape of the set may tend toward decrease in volume under the
tlement curve. changes in stress conditions associated with
tunneling, whereupon the porewater pressure
Where there are sufficient data, the total may increase and counteract the beneficial
volume of the settlement trough is expressed influence of capillarity.
as a percentage of the theoretical volume of
the tunnel excavation. The percentage of Unless the ground is adequately drained in
the average settlement volume with respect advance, runs may occur with attendant large
to the theoretical volume is a useful index and irregular loss of ground. With adequate
of loss of ground. drainage, on the other hand, the use of hand
mining methods with liner plates and ribs,
Many, but by no means all soft-ground tun the use of shields, or the use of moles may
nels can be discussed with respect to loss all lead to very moderate loss of ground.
of ground and settlement on the basis of The greater the relative density of the m a
four principal groupings of soils: granular terial, the less the inevitable settlement
soils with no cohesion other than that im for a given construction procedure.
parted by capillarity; cohesive granular
soils; non-swelling stiff to hard clays; and If drainage is not thoroughly accomplished
stiff to soft saturated clays. In the fol before tunneling begins, the consequences
lowing discussions of the effects of tun may be serious indeed. As we have seen in
neling in these materials, only loss of Chapter 3, a run may completely invade the
231
P EC K .
heading and be associated with the formation all the materials surrounding a proposed
of a sinkhole at the surface of the ground tunnel, the likelihood of an ungrouted window
or beneath an adjacent building. Unfor is rather great.
tunately, most deposits of granular mater
ials consist of layers, lenses, or pockets Data are assembled in Table II on the settle
of materials of different grain sizes, some ments associated with tunneling in uncemented
considerably more permeable than others. granular materials. For the most part, the
Complete drainage of all the elements likely settlements are rather small. It is note
to be encountered during tunneling is diffi worthy, however, that the data refer ex
cult to accomplish. A predrainage system clusively to fairly dense materials. The
may succeed in draining the coarser elements lack of similar data regarding loose sands
of the deposit, but may leave excessive undoubtedly reflects the difficulty of im-
pressures in the finer lenses or layers. practicality of tunneling in such materials
In any event, the time required to achieve without encounterinq almost continual troub
drainage of the finer-grained portions may les with at least local runs and losses of
be considerably more than that for the qround. Hence, the terms "normal settle
coarse-grained portions. Drainage wells may ment" and "routine" construction procedure,
be spaced at close enough intervals to pro as used in this report, have little signifi
vide satisfactory and quick drainaqe of the cance with respect to these materials.
more permeable zones, but may not be close
enough to provide drainage of the finer por The lateral distribution of settlements over
tions in a reasonable lenqth of time. a pair of tunnels in dense sand above ground
Hence, tunneling may proceed with little water level is shown in Fig. 1. The
loss of ground through well-drained mater magnitude of the settlements at the meas
ials until suddenly, when a poorly drained ured location was unusually large for a
zone is encountered, a run may develop. dense sand because the material was dry and
almost completely cohesionless; hence, it
In addition to the possibility of runs, had a tendency to run. The spacing
there is a likelihood of slower erosion of
cohesionless materials or miqration of par
ticles along lines of concentration of seep S tr e e t s u r fa c e
age. Such conditions are often encountered
just above impervious layers or lenses of
clay or silt. If the materials throuqh
which the flow takes place arc in a v e r y
loose state, they may also be subject to
ru n s .
Finally, materials possessinq apparent co

hesion, even if they do not invade the tun
nel in a run, are likely to ravel from the
roof and face. The implications of raveling
are discussed in the next section in co n
nection with tunnels through cohesive gran
ular soils.
The use of air pressure in a perfectly co

hesionless granular mass has little if any
influence on the loss of ground. On the
other hand, if the cohesionless materials
are below normal water level, air pressure
may reduce or eliminate the seepage gradi
ents toward the tunnel and thereby reduce
the tendency for erosion or flow with conse
quent loss of ground. Under some circum
stances, however, air pressure may prove
detrimental. If the permeability of the
Fiq. 1 Settlements over Tunnels in Dense
soil permits air to escape from the face or
particularly from the crown of the tunnel, Sand above Groundwater Level
the escaping air may dry the soils complete
ly by removing the soil moisture, whereupon
the soil may become truly cohesionless and of the tunnels is larqe enough that the sec
may run. Such runs may lead to sinkholes. ond tunnel had little influence on the set
tlements above the first. For comparison,
The use of grout to transform the granular the probability or error curves best fitting
the measured data are also shown in the fig
material into a cohesive soil may substan
tially reduce the settlements. Nevertheless, ure. The use of these curves in estimating
if grouting is done in lieu of groundwater the distribution of settlements above other
lowering, a danger exists that high seepage tunnels will be discussed at the end of this
pressures may act through a small volume of chapter. The settlement data for a tunnel
ungrouted material of fine grain size and in dense sand below groundwater level are
may cause a run. Inasmuch as it is rarely plotted in Fig. 2a. The total settlements
possible to achieve complete injection of
232
Table II Settlements above Tunnels in Granular Soils (Cohesionless except for Capillarity)
--------- - - - - - - - - - - - - - - - - - - - - - -
c
u 0)
0) 4J e l
4J c a) C
e 4J Eh
o a) 0) ■P
0) to 4J 0) T3
o Wm C
c ■p «• 4-» o
0) 0) 0) 10 - 73 O' u
M cn B a) x 0 C
0) <J> 3 O' m
W a • «H Uz B 4J iH
<d 0) <D > 9> (0 O 01 0) o
u £ a t < 2 1 £ c w
San Francisco Pers. files 36 17.5 0.5* 0.07* 0.03* Digger Dense silty
Mission Line, shi e l d , fine sand
0 .1 0 * a 0.04*a
BART air 13
(N=30) with
psi
occ. thin
lenses of peat.
Dewatered by
deep wells.
Toronto Sub Bartlett 49 17.0 Hand- Crown in dense

way under et a l , mined fine to medium
Parliament 1965 shield sand, some silt
air 15 Groundwater level
psi 15 ft above
crown.
Toronto Sub Pers. files 34- 17.0 1. 0 0.33 0 .1 0 Hand- Med. to fine
way 44 mined uniform dense
shield. sand (N=40 to 60)
No air. above water
table.
Toronto Sub Matich and 34 17.0 1.0 0.06 Hand- Dense fine to
way Carling mined med. sand
2 .0 1 0. 2 2 l
(unpubl.) shie l d . (N=36— 58).
No air. Groundwater 25
ft above crown.
•Settlement due to groundwater lowering not included.
‘•Settlement less than about 0.01 ft; no cracks in overlying masonry building.
aValues for two parallel circular tunnels on 33-ft centers.
^Values for two parallel circular tunnels on 21-ft centers.
N = Standard Penetration Resistance (blows per ft of 14 0-lb hammer falling 30 inches to

drive standard 2-inch O.D. sampling spoon 1 ft into undisturbed m a t e r i a l ) .
233
P EC K .
ments may reach catastrophic proportions if

-8 0 -6 0 -40 - 20 runs develop on account of insufficient
groundwater control or inadequate precautions
aqainst raveling. The likelihood of loss of
ground is greatly increased if the sand is
£ 0 .0 5
loose or contains loose zones in which pos
E itive pore pressures may be developed.
<u
r ai Seci
Second Tunnel
<v It is apparent that details of stratigraphy,
V ) -17.5' * ' details of drainage, and details or work
0.15 manship have a major bearing on the settle
ment. The importance of experience on the
part of the workmen is discussed in the fol
lowing section.
1.4.3 Tunnels in Cohesive Granular Soils

feet
-8 0 -6 0 - 40 - 20 0 20 40 60 80 The soils in this category include a number
0 of types ranqinq from clayey sands and sandy
&
clays to cohesive silts. Residual soils
% ?
r>
possessing a cohesive bond, includinq many
005 V
saprolites, often fall into this cateqory,
/
a> \ as do loess and certain calcareous clays
c ._
>r
A p p r o x . €
f Q with a stable cluster structure, known in
r @ d isr eg arc
some localities as marls. All these mater
c
V.
o
erne
a>
e xt ials have several characteristics in common:
E 015 ----- they exhibit nearly linear stress-strain
c Ran c)e
0)
dirt's until the bond strenqth is approached,
•' 0 o en a re a whereupon they fail suddenly; failure often
I 02 0 B jild in g occurs on a nre-existinq surface of weakness
( b ) such as an old crack or joint; if excavated
025 . 1 without proper support during tunnelinq,
they arc likely to spall or ravel into the
-i =125 £ .= 0 88 tunnel; the initial tangent modulus of un-
cor.fined specimens is relatively hiqh. The
Fig. 2 Settlements Over Tunnels in Dense hinder creates a fairly riqid bond between
Sand Below Groundwater Level: thr> coarser D a r t i c l o s ; hence, clayey sands
(a) After Mininq of First Tunnel; or sandy clays in which the clay constitutes
(b) Total Settlement Duo to Two i ratrix that facilitates slip between the
Tunnels p u titles are not included in this category.
after construction of a second, adjacent The experiences summarized in Table III,
tunnel are plotted in Fig. 2b. ilthounh few in number, show clearly that
we 11-executed tunnelinq in such materials is
If the second tunnel is relatively close to accompanied by very modest or negligible
the first, the loss of ground associated loss of ground or settlement. Typical are
with the second may differ appreciably in the maximum settlements over the BART tun
its characteristics from that associated
nels on the Mission Line, where the con
with the first. If the first tunnel serves struction of a sinqle tunnel caused a settle
as a drain, the likelihood of runs in tho ment of no more than 0.3 inch. In most in
second tunnel due to lack of qroundwater con
stances, the stand-up time of the material
trol is somewhat reduced. On the other permits substantial filling of the space
hand, construction of the first tunnel loos left by the tailpiece of a shield, or per
ens the sand above the position to be occu mits expansion of the permanent lining
pied by the second. Hence, settlements over against the soil. Use of the shield is
the second tunnel may be substantially
generally a precautionary measure against
greater than those over the first. The raveling or a means to assure cutting the
available data are shown in Table II. tunnel to proper size and regular shape.
Air pressure is considered to have little
In summary, we may conclude that the pre direct effect on the loss of ground.
diction of settlement associated with tun
neling through cohesionless qranular mater
On the other hand, if raveling or piping is
ials is fraught with uncertainties. If de allowed to develop, the consequences may
watering is expertly and completely done, be catastrophic. Most materials in the
and if there are no nearly impervious hor
categories under discussion are sensitive
izontal barriers above which some ground to adverse seepaqe pressures. Hence, it is
water remains perched, the loss of ground
axiomatic that the qroundwater be kept under
in a dense material can be exceptionally
complete control, either by drainage or pre
small. On the other hand, the settlement drainage, and possibly with the aid of com
may increase considerably as a result of
pressed air. Moreover, proper support must
erosion or migration due to seepage into the
be provided to prevent the development of
heading at localized zones, and the settle
234
Table III Settlements above Tunnels in Cohesive Granular Soils (Water Table below Tunnel
Level)
cr
4J c
c
0)
U E (1)
<D -U <D c
-P c c
c 0) D
(I) E ■P E-
u Q) a> 4J
<1) to - 0 -P 73
U o CO 4-1 C
C +J o
 0 0) o
U & Q < > 3- £ CO
San Francisco Pers. files 36 17.5 0 .1 5 0.03 O .O T Digger Slightly ce

Mission Line, shie l d , mented dense
BART air 9 silty fine sand
psi (N=4 0-6 0) . De
watered by deej
we 11s .
Wilson Tunnel Pers. files 50 33.0 0.07 Hand, Residual sapro-

Hawaii s ma 11 litic tropical
drifts. ly weathered
Ribs, volcanics.
la q q i n g . Readily cut
Horse with air spade
shoe .
Wilson Tunnel Pers. files 100 33.0 0 . 20 do. do.

Hawaii
Values for two parallel circular tunnels on 33-ft centers, Sottlencnts produced by first
and second tunnels approximately equal.
raveling even if adverse seepage conditions

are not present.
fe e t
The consequences of raveling are strikingly
illustrated in connection with the first -6 0 -4 0 -20 0 20 40 60
Wilson Tunnel, driven by hand through re
sidual silty clays derived from lava flows,
in Hawaii. Raveling began in the roof of
the tunnel at points of excessive overbreak
and inadequate support. It led to the form
ation of a set of three sinkholes at the
ground surface, each accompanied by a rush
of completely broken and flowing soil into
the heading. By attacking the face in
drifts of small size instead of advancing
the tunnel full-face for its width of 28 ft,
the stand-up time was increased to the ex
tent that the overbreak and raveling were Fig. 3 Settlements over Tunnel in Drained
eliminated. The settlements above the Dense Cohesive Fine Sand on BART
tunnel then did not exceed 1 to 2 inches. Mission Line, San Francisco; Air
Yet, use of the same general methods to Pressure 13 psi
tunnel through the sinkhole area, where the
cohesive bonds of the saprolite had been ty or error curve of best fit is superim
completely destroyed, resulted in settle posed. The settlements shown are those
ments of more than a foot. associated with the driving of only one of
the tunnels. The settlements caused by
The distribution of settlements at sections either tunnel were virtually unaffected by
along the BART Mission Line tunnels is il the presence of the other, located 32 ft
lustrated in Fig. 3, on which the probabili- away, center to center.
235
P EC K .
In connection with cohesive granular soils, 1.4.4 Non-Swelling Stiff to Hard Clays
we may conclude that loss of ground and set
tlement for single tunnels of customary By and large, these materials have the de
sizes can usually be considered negligible, sirable properties of those in the preceding
irrespective of the general construction category and, unless they possess a well-
procedure, provided the method and the work developed secondary structure, are rather
manship are adequate to prevent raveling. unlikely to ravel or to be adversely in
If they are not, the loss of ground may be fluenced by seepage toward the opening.
dramatic and catastrophic and is unpredicta Because of their benificent character, tun
ble with respect to location and magnitude. nels through them in North America have
No effort should be spared to achieve from about 1940 until recently almost al
groundwater control, especially in lenses ways been excavated by hand with nominal use
of cohesionless materials that may be embed of ribs and laqging or liner plates for tem
ded in the more cohesive soils. The princi porary support. The loss of ground before
pal value of air pressure is as an aid to completion of the permanent cast-in-place
groundwater control, inasmuch as air pres concrete lining was associated with general
sure reduces the hydraulic gradient toward inward squeezinq of the clay. The magnitude
the tunnel. depended largely on the size of the tunnel
or of the layout and sequence of small
In the final analysis, groundwater control drifts with which the face was attacked, but
and prevention of raveling are the sine qua was usually small. Before about 1940
non. If they are achieved, settlements and timber sets were often used for temporary
their influence on adjacent properties can support, and loss of qround due to over
usually be safely ignored. The prevention excavation and poor blocking was common.
of raveling, moreover, is related directly
to the experience of the tunneling crews. In contrast, similar materials have been
At the beginning of every job there is in tunneled by means of shields for several
evitably a period when the men, even if in generations in London. The settlements have
dividually experienced, have not yet devel usually been negligibly small. Data re
oped into a team and have not yet learned garding one of the largest and shallowest
the idiosyncracies of the new job. During of the London tunnels are included in Table
this period, progress is often slow and the IV, together with information from several
work somewhat disorganized. Raveling, loss other tunnels in stiff to hard clays. The
of ground, runs and even sinkholes nay de v distribution of settlement shortly after
elop. Vet, the same crew, after a period of construction of the G. N. Railway tunnel in
adjustment, may become hiqhly proficicnt .mi! Seattle, a large hand-mined tunnel advanced
may thereafter advance the tunnel without ir. n.inv sna 11 timbered drifts, is shown in
significant settlement. It is unrealistic Fig. 4.
to expect that a new crew in a similar tun
nel in similar ground could immediately a t
tain the degree of skill and perfection pre feet
vailing at the end of the earlier work.
Allowance must be made by the enqinoor for -80 -60 -40 -20 0 20 40 60
a learning period. Failure to do so has
resulted in serious and unanticipated move
ments. The best guarantee of the shortest
possible and least detrimental disturbances
is the availability and use of experienced
foremen. Experience indicates that these
comments are no less applicable to the use
of shields and tunneling machines than to
hand-mining procedures.
The settlements due to raveling may be de

layed for years if backpacking is inade
quately done or if perishable materials such
as wood are used. The overlying soil may
stope or ravel slowly into the space above
the tunnel. Ultimately, the overlying
ground may subside and cracking may develop
in the permanent tunnel lining. If ravelinq
is prevented, the strains associated with
building a second tunnel alongside the first
are only slightly greater than those caused
by the first tunnel itself. Conversely, if
the second tunnel produces stresses within a
zone influenced by serious raveling in the Fig. 4 Settlements over Large Railway Tun
first tunnel, large and irregular loss of nel in Hard Clayey Glacial Till,
ground may be expected over the first, and Mined and Timbered in Small Drifts
possibly the second tunnel.
236
Table IV Settlements above Tunnels in Stiff Plastic Clays (Slight to No Swelling Tendency)
4J
CP
N •p c
c •p •H
•P 0) a i-H
u U-t E $ 0) to
0) •P 4) E c c
4-» » c 0) c 0
c 05 4) •P rH 3 •rt
<D CM E •P -P E-« P
O 0) 0) 4J •H
0) iH dP W +i (1) -P •o
u 0 u +> M-l CO <4-4 0 c
e -p 0) +> •* •P 0
<D •P 0) Q) (0 - iH •« TJ u
x: 0) W E 4) X < X 0
01 0) 4J e 3 O' to E <TJ x: *—)
01 UJ Q« rc ■H UzB a - e p ■rH
o is 11 <D •rt > 0 0 ^ 0) 0
Z u ai Q a < > 2 40 X 05
1 Garrison Test Burke 1957 121 36 __ 0.14 .02 to Full face, Hard clay (clay-
Tunnel .08 blasted. Ribs shale) . Unc o n f .
and laqging. c o m p r . strength
about 20 ksf
2 Heathrow Wood and 43 36 0.03 Shield, hand- Upper portion of

Cargo Tunnel Hill 1968 mined . London Clay.
Min. 5-ft clay
cover under wet
granular materi
al.
3 Chicago Sub City Ch i 77 24 0.2 0.27 0.12 Hand-mined horse Stiff clay for
way Contract cago 1942 shoe. Face 10 ft above
D3 benched. Ribs and crown; qu=2-4
liner plates. Air
ksf. Soft- to
15 psi med. clay above;
q =0.8-1.6 k s f .
u
Bottom half of
tunnel in hard
clay.
4 G.N.R.R. Hussey et 123 39 2.6 0.8 0.6 Hand-mined; small Hard clayey till.
Seattle al 1915 drifts with cen
ter core. Timber
ed. Raveling at
crown, used pol
ing bars.
Note: ksf = kilopounds (kips) per sq ft
Materials in these categories are now co m its depth. If other factors are equal, the
monly excavated by mole, often without a settlement directly above the tunnel is
protective cylindrical tailpiece in which roughly proportional to the diameter. The
lining can be erected. If a cast-in-place small settlements associated with good con
concrete lining is to be constructed, tem struction techniques in these materials can
porary support is provided by steel ribs be anticipated if the ratio P z/ Su is less
expanded against lagging in contact with the
soil. It is becoming increasingly common, than about 4. An air pressure pa can be
however, not to cast the lining in place. expected to reduce the loss of ground to an
Instead, the permanent lining consists of extent corresponding to a decrease of over
segments of steel, cast iron, or precast burden pressure from p z to p z - pa>
concrete jacked or wedged into contact with
the soil. The completion of a ring of lin
ing effectively stops loss of ground that 1.4.5 Soft to Stiff Saturated Clays
might otherwise take place due to slow
squeezing of the clay toward the opening. The soils in this category are characterized
by values of undrained shear strength rang
The loss of ground is undoubtedly a function ing from about 0.2 to 2.0 ksf (200 to 2,000
not only of the strength of the clay but lb per sq ft) at depths of cover up to as
also of the diameter of the tunnel and of much as about 100 ft. On the plasticity
237
P EC K .
c h a r t t h e y a r e r e p r e s e n t e d by p o i n t s c l o s e In a few i n s t a n c e s , s h i e l d s have b een sh oved

to or above th e A - l i n e . For p r a c t i c a l p u r p a r tly b lin d in to s o f t c la y s , w ith g r o ss
p o s e s t h e y may b e r e g a r d e d a s i m p e r v i o u s ; r e m o ld in g o f t h e s o i l i n f r o n t o f and a l o n g
any v i s i b l e seep age i s c o n fin e d to p e r v io u s s id e th e tu n n e l. H e a v e s an d s e t t l e m e n t s o f
in c lu sio n s. The s e n s i t i v i t y may r a n g e fr o m t h e ground s u r f a c e a ccom p anied t h e t u n n e l
low t o v e r y h i g h . i n g , f o l l o w e d by l a r g e d e l a y e d s e t t l e m e n t s
due t o c o n s o l i d a t i o n o f t h e rem olded c l a y
A lth ou gh c o m p le te ly u n d istu r b e d m asses o f (T erzaghi 1 9 4 2 ). T h ese p r o c e d u r e s have
s u c h c l a y s may p o s s e s s c o n s i d e r a b l e r i g i d i t y l a r g e l y been abandoned in urban a r e a s , w ith
due t o th e p r e s e n c e o f bonds betw een p a r t i a n o t a b le r e c e n t e x c e p t i o n in O saka, in
c l e s , t h e d i s p l a c e m e n t s and s t r a i n s a s s o c i f a v o r o f an o p e n - f a c e d s h i e l d e q u ip p e d w it h
a t e d w i t h t u n n e l i n g seem a lw a y s t o be g r e a t b r e a s t i n q j a c k s t h a t p e r m i t t h e f a c e t o be
enough t o b r e a k t h e bonds and c r e a t e a f u l l y b r e a s t e d an d h e l d b y t h e j a c k s a s t h e
s l i g h t l y d is tu r b e d zone o f c la y su rrou n d in q o u ter s h e l l o f the s h ie ld advan ces. E ven
th e tu n n e l. The s o i l i n t h i s z o n e , w h i c h w ith t h i s p ro ced u re, th e c la y ahead o f th e
may e x t e n d s e v e r a l d i a m e t e r s f r o m t h e t u n t u n n e l c a n n o t be c o n s i d e r e d u n s t r a i n e d .
n e l , h a s a m o d u lu s o f r i g i d i t y c o n s i d e r a b l y D u r i n q a> s h o v e , l a r q e c o m p r e s s i v e f o r c e s
s m a lle r than t h a t o f t h e c o h e s i v e g r a n u la r are d e liv e r e d to th e c la y in fr o n t o f the
s o i l s p r e v io u sly d is c u s s e d . C o n seq u en tly , s h i e l d , p a r t l y fr o m t h e f r i c t i o n a l f o r c e s
l o s s o f g r o u n d an d s e t t l e m e n t s d u e t o t u n d e v e l o p e d b e t w e e n t h e s o i l and t h e o u t s i d e
n e l in g a r e l i k e l y t o be s e v e r a l tim e s t h o s e o f th e ad van cin q c y l i n d e r . A fte r th e shove
o f c o h e s iv e gra n u la r m a t e r ia ls . V isib le and r e m o v a l o f a t l e a s t p a r t o f t h e b r e a s t
s ig n s o f d i s t r e s s such as s p a l l i n g , r a v e lin g in q , e x c a v a tio n o f th e f a c e , even in sm a ll
o r p i p i n g do n o t o r d i n a r i l y o c c u r ; r a t h e r , p o c k e t s , c a u s e s t h e c l a y t o move t o w a r d t h e
a b a r e ly p e r c e p t ib le or im p e r c e p tib le face. H ence, c o n t r o l i s n o t p e r f e c t . The
sq u eeze ta k e s p la c e w h ile e x c a v a tio n p ro use o f a r o ta ry e x ca v a to r th a t p rov id es
ceeds. T h e r e f o r e , t h e s e t t l e m e n t s due t o some s u p p o r t f o r t h e f a c e w h i l e t h e m a t e r
l o s s o f g r o u n d o f t e n se e m t o b e o f m y s t e r i a l i s c u t aw a y a l s o i n v o l v e s a l t e r a t i o n o f
io u s or sp ontan eou s o r ig in . N ev erth eless, t h e s t r e s s e s i n t h e c l a y and i s a c c o m p a n i e d
t h e y a r e by no m e a n s s p o n t a n e o u s an d a r e by l o s s o f a r o u n d f o r s i m i l a r r e a s o n s .
l i k e l y t o b e o f g r e a t e r m a g n i t u d e a nd e x
t e n t than t h o s e above t u n n e ls o f s i m i l a r A l l t u n n e l i n q s h i e l d s i n c l u d e an o u t e r
s i z e in c o h e s iv e g r a n u la r s o i l s , p rovid ed s h e l l , u s u a lly c y l i n d r i c a l , th a t p ro v id es
th e s e t t le m e n t s in th e l a t t e r in s ta n c e are t h e p r o t e c t i o n f o r t h e men an d m a c h i n e r y
n o t c a u s e d by r a v e l i n g o r p i p i n q . w ith in . U su a lly the lin in q i s e r e c te d w ith
i n t h e t a i l p i e c e o f t h e c y l i n d e r an d i s n o t
M easurem ents h ave e s t a b l i s h e d w i t h i n r e a s o n exposed to th e s o i l u n t il the c y lin d e r i s
a b l e a c c u r a c y t h e e q u i v a l e n c e o f th e volum e jacked ahead. The a n n u l a r s p a c e o c c u p i e d
o f s u r f a c e s e t t l e m e n t and t h e v o l u m e o f by t h e t a i l p i e c e and n e c e s s a r y c l e a r a n c e s
ground l o s t in t o th e tu n n e l as a co n seq u en ce b e t w e e n t a i l p i e c e and l i n i n q i s q e n e r a l l y
of ex ca v a tio n . T h e y h a v e f u r t h e r d e m on f r om 2 . 5 t o 4 i n c h e s t h i c k . I f the space
s t r a t e d t h a t , u n l e s s th e h ead in g i s ap i s n ot f i l l e d , th e su r r o u n d in q c l a y moves in
p r o a c h in g a s t a t e o f c o l l a p s e , t h e m ove a q a i n s t th e l i n i n q , w hereupon t h e l o s s o f
m ents tow ard th e o p e n in g ta k e p l a c e l a r g e l y qround i s e q u a l t o t h e volum e o f t h e a n n u la r
w h ile th e ch a n g es o f s t r e s s due to e x c a v a rin q . As t h e l o s s o f q r o u n d c o r r e s p o n d i n g
t i o n o r j a c k i n g a r e o c c u r r i n g , and may a l m o s t t o t h e - f u l l a n n u l u s may e a s i l y b e 5 p e r c e n t
c e a s e when t h e s e o p e r a t i o n s a r e i n t e r r u p t e d . o f th e volum e o f t h e t u n n e l o r , f o r e x a m p le ,
H ence, u n l e s s th e o b s e r v a t i o n s a r e c a r r ie d
o u t i n s u c h a m a n n er t h a t m o v e m e n t s o f t h e 13 f t per l i n e a l f o o t o f a tu n n e l o f
c l a y can be o b s e r v e d a t l o c a t i o n s n o t y e t 1 8 - f t d i a m e t e r , e f f o r t s a r e a l w a y s made t o
e x p o s e d by t h e e x c a v a t i n g t o o l s , t h e o b f i l l t h e s p a c e a s much a s p o s s i b l e by o t h e r
s e r v e r may b e l i e v e t h a t no m o v e m e n t s a r e means su ch a s t h e i n j e c t i o n o f g r o u t o r pea
ta k in g p la c e . q r a v e l. The s u c c e s s o f t h e e f f o r t s d e p e n d s
upon t h e r a t e a t w h ic h t h e s u r r o u n d i n g c l a y
O b s e r v a t i o n s t o d e t e c t t h e m ovem ents o f i n v a d e s t h e s p a c e and t h e d e t a i l s o f t h e
t h e c l a y tow ard t h e a p p r o a c h in g w ork in g in je c tio n o p e r a tio n s.
f a c e an d t o w a r d t h e s i d e w a l l s o f t h e h a n d -
m i n e d t u n n e l s o f t h e C h i c a g o Subw ay w e r e The f r i c t i o n a l f o r c e s b e t w e e n t h e s k i n o f t h e
s u m m a r i z e d by T e r z a g h i ( 1 9 4 3 ) . For e x a m p le, s h i e l d an d t h e s u r r o u n d i n g s o i l t e n d t o p u l l
t h e s o f t c la y (u n co n fin ed c o m p r essiv e t h e c l a y a lo n q w ith th e ad van cin q s h i e l d .
s t r e n g t h a b o u t 0 .8 k s f ) ahead o f t h e w orking C o n s e q u e n tly , a t e n d e n c y tow ard l o n g i t u d i n a l
fa c e o f a 2 5 - f t h orsesh oe-sh ap ed tun nel t e n s i l e s t r e s s e s d e v e lo p s in th e c la y s su r
m oved i n w a r d t o w a r d t h e t u n n e l a l m o s t 2 rou n d in g th e r e a r o f th e s h i e l d . T hese
i n c h e s b e f o r e b e i n g e x p o s e d by t h e c u t t i n g s t r e s s e s t e n d t o c a u s e f a i l u r e and p l a s t i c
t o o l s , i n s p i t e o f t h e s u p p o r t p r o v i d e d by flo w o f th e c la y i n t o th e a n n u lar sp a ce a s
b e n c h i n g t h e f a c e a nd a n i n t e r n a l a i r p r e s soon a s th e t a i l p i e c e c l e a r s th e l i n i n g .
s u r e o f 12 p s i . C om p arab le in w ard l a t e r a l The in w a r d f l o w g r e a t l y r e d u c e s t h e s p a c e
m ovem ents o f t h e c l a y a l o n g s i d e t h e t u n n e l t h a t c a n b e i n j e c t e d by g r o u t o r o t h e r ma
t e r i a l s , and p l a c e s a c o n s i d e r a b l e l i m i t a t i o n
p ro b a b ly a l s o o c c u r r e d . The c o r r e s p o n d i n g
l o s s o f g rou nd c o u l d , o f c o u r s e , n o t be on t h e l o s s o f ground t h a t can be p r e v e n t e d .
p r e v e n t e d by a n y t y p e o f s u p p o r t i n s t a l l e d
a f t e r t h e c l a y had b e e n e x p o s e d . The m ovem en ts a s s o c i a t e d w ith sh ie ld
238
H o r iz o n t a l A p p r o a c h in g M o v in g A w a y
D is p la c e m e n t, in . D is ta n c e o f F r o n t E dge o f S h ie ld , f t
(a ) ( b )
Fig. 5 Shield Tunnel in Plastic Clay: (a) Successive Positions of Oriqinally Vertical
Line in Soil Beside Tunnel as Shield Approached and Passed; (b) Settlement of
Reference Points above Tunnel as Shield Approached, Passed Beneath, and Continued
Beyond the Points
tunneling are well-illustrated by Fiq. 5, whether the tunnel is advanced by hand-

which shows the successive positions of an mininq, use of a shield, or use of a mole.
originally vertical line about 8 ft from Aqain, for convenience, the probability
the edge of the path of a shield in plastic curves best fittinq the data are also shown.
clays in San Francisco. On approach of the
shield, the clay moved slightly away from The influence of a second, parallel tunnel
the tunnel, but as the rear of the shield may sometimes be approximated by adding the
passed, the clay was drawn sharply toward ordinates of the two separate settlement
the annular space. A plot of settlement cur.ves. In most instances, however, the
of a point on the street surface as a func loss of qround associated with the second
tion of the position of the cutting edqe of tube is larqer than that due to the first,
the shield shows, Fig. 5b, that the rate of on account of the disturbance to the sur-
increase of settlement is qreatest as the roundinq clay caused by construction of the
rear of the shield passes beneath the point. first tube. The settlement curve for the
second tube is likely to be unsymmetrical,
Reduction of loss of ground due to invasion with the qreater settlement toward the first
of clay into the tailpiece clearance re tube. However, it has been observed that,
quires either that the inward squeeze of the if the two tunnels have a common center wall
clay be prevented until the space can be already in place when the second tunnel is
filled, or else that the filling be so excavated, the settlement caused by the
prompt that the invasion is insignificant. second tube is smaller than that caused by
Neither requirement can be met completely the first (Terzaqhi 1943). These differ
at present. The amount and rate of invas ences are also illustrated by the observa
ion can be reduced, sometimes to insignifi
tions reported in Table V for Chicago Sub
cant values, by the use of air pressure. way tunnels D-5 and S-6.
Attempts to grout through the lining immed
iately after the tailpiece clears have been
In short, settlements above and adjacent to
hampered by the difficulty of sealinq the tunnels in plastic clays of soft to medium
space between the lininq and the inside of consistency may be dramatically larger than
the tailpiece so that the injected material those above tunnels in stiffer, more brittle
is not discharged into the working chamber cohesive qranular soils, although the set
of the shield. Development of an adequate tlements and the movements in the tunnel are
seal would be a substantial step in reducinq not likely to develop with such catastrophic
loss of qround under these conditions. speed that the heading might be lost and
could not be entered safely for carrying
The patterns of surface settlement caused by out remedial work. Air pressure is an
loss of qround into two different tunnels effective means of reducinq loss of qround,
in plastic clay are shown in Fiqs. 6 and 7. not because it strenqthens the soil but
They are rouqhly similar, irrespective of because it reduces the changes in stress
239
P EC K .
ft. due to excavation. Little loss of ground

occurs when the shield or mining machine is
not actually advancing or when hand excava
tion is not going on. The tailpiece clear
ance is a troublesome contributor to exces
sive lost ground. The development of means
to eliminate or reduce the movements assoc
iated with the tailpiece clearance is a
promising field for investigation.
Finally, delayed settlements due to long

time consolidation of the clay around the
tunnel should not be overlooked. These may
spread much more widely than those due to
the tunnelinq operations themselves. They
S e ttle m e n t, ft.
especially deserve consideration if tunnel

ing is to be done by shield because of the
tendency of the shield to remold the soil
near the cutting edge and, on account of
the frictional forces, along the skin plate.
Shoving partly blind, first heaving and then
settlinq the soil, may cause significant
remolding even in insensitive soils.
1.4.6 Distribution of Settlement
The available empirical data, such as the

information included in Figs. 1-4, 6 and 7,
demonstrate that a cross-section through
the settlement trouqh over a single tunnel
can usually be represented within reasonable
limits by the error function or normal prob
ability curve. Although the use of this
curve his no theoretical justification, it
provides at least a temporary expedient for
estimating the settlements to be expected at
varying distances laterally from the center
line of a tunnel. Such an expedient is
needed for judging the necessity of under
pinning or shoring adjacent buildings, or
of relocatinq vital utilities.
Fig. 6 Settlement above (a) Single Tunnel
and (b) Pair of Adjacent Tunnels in The pertinent properties of the error func
Plastic Clay tion and its relationships to the dimensions
of the tunnel are shown in Fig. 8. The
radius, of the tunnel is represented by R,
and the depth to the center of the tunnel
by z. The maximum ordinate of the curve is
the empirically determined maximum settle
ment s . The points of inflection of
v max
the error curve are located at distances i
on either side of the center line. If the
value of i can be established, any table of
the ordinates of the normal probability
curve can be used to establish the ordinates
at any other distance. The settlement or
dinate at distance i is, according to the
properties of the probability curve, equal
to 0.61 6
max
Values of i have been calculated for tun

nels above which reasonably reliable settle
ment data are available. They are assembled
in Table VI and are illustrated in a dimen-
sionless plot of i/R against z/2R, Fig. 9.
Fig. 7 Settlement above Single Sewer Tunnel The various tunnels are identified in the
in Plastic Clay in Ottawa figure.
The plot. Fig. 9, shows reasonable trends

and permits a tentative separation of the
results according to the types of soil.
240
Table V Settlements Above Tunnels in Saturated Plastic Clays
in
•H XT
X 4J c
< c 4-> •H
4J Q) c t—i
H M-l E (1) 01 01
4> 4-* 0) E e c
c c i
-1 <D c 0
c PC 0) 4J H 3 •H
3 (N E 4J JJ E-i 4->
Eh 0) (I) JJ •H
 0) 4J in
o 0 U 4J >4-1 CO 4-1 O C
c -u 0) 4J •* 4J 0
111 4-' 0) 0) w * f—\ » • T3 o
X 4J 0) W £ 4) X (Q X 0
4) 0 O io t-4 z z: CO
1 Tyholt, Hartmark 56- 26.0 (15) 2.0 to -- Shield, hand- Sensitive clay
Norway, R.R. 1964 72 2.4 mined, air with silt lay-
17-23 psi ers, q u=1.2-
1.5 ksf
2 K o t o , Tokyo Shiraishi 74 23.0 (4 .3) a 0. 6a 0. 4a Shield, sec Normally

Subway pers. comm. tional hand- loaded sensi
mininq, tive clay,
breasted face, qu= 1 -5 ksf
liner seqments
erected in
shield, air
8 ps i
3 San Francis Pers. Files 59 18.0 4 .3 0.2 0.15 Shi e l d , Moderately

co BART breasted face, sensitive
liner segments clay, qu =l-6
erected in
ksf
shield. No air
4 Ottawa Eden and 60 10.0 1.6 0.02 Diqqer-shield, Leda clay,

Sewer Bozozuk, liner seqments sensitive
1968 erected behind q =7.4 ksf
shield, air
4-5 psi
5 Toronto Matich & 43 17.5 0.6 0.035 0.03 Shield, hand- Crown: silty
Subway Carling mined, air d a y , q u = i-4
1.3b 0.12b
(unpubl.) 10-12 psi
ksf; Invert:
till, q =1.6
ksf
6 Chicago D-5 City of 39 20.0 0.8 0. 10 0.06 Hand-mined, Strength of

Chicago ribs and qlacial clay
l.lc 0.35° 0. 20c
1942 liner plates, varies from
heading q =1.4 ksf at
benched, air
axis elevation
14 psi
to 0.8 ksf at
18 ft depth.
Stronger m a
terial above.
7 Chicago S-6 City of 36 20.0 0.6 0.09 0.05 Hand-mined, Strength of

Chicago ribs and glacial clay
0.4d 0.17d 0 . 12d
1942 liner plates, varies from
heading q =1.2 ksf at
benched, air
axis elevation
12 psi
to 0.7 ksf at
10 ft depth.
Stronger m a
1 terial above.
241
P EC K .
Table V (Continued)
Notes:
Values in parenthesis estimated on basis of few observations
aValues for two parallel circular tunnels on 49-ft centers.
^Values for two parallel circular tunnels on 21-ft centers.
cValues for two parallel horseshoe tunnels on 28-ft centers.
^Values for two horseshoe tunnels on the common center wall.
G ro un d s u r fa c e
12
i 2i 11 >
(o )
/
/
/
P o in t Of /
P oint o f max
/
in fle c tio n c u rv a tu re ■ - n o t * , nuru v-ii. ys. /
(0.61 8 max (0 2 2 8 a: Sonds Above
m a x
OJ /
J Groundwater /
1 Level J/ 8
cr / o ft to Sti
OJ ? /
/ lays
A
/
/ '? / /
/
! 17°
/ 'o2
/
5 /
/ Sonds B<5 l 0 W
4 ^ V - / Groundw 3te r_
14 ° [ ' / " * s Level
I y ^
R a t io is f u n c t io n o f and s o il c o n d itio n s 16“n o

1
V o lu m e o f tr o u g h — 2 .5 i 8 ma«. 2 3
i/R or i/ R '
Fig. 8 Properties of Error Function or Fig. 9 Relation Between Width of Settle

Normal Probability Curve as Used ment Trough, as Represented by i/R,
to Represent Cross-Section Through and Dimensionless Depth of Tunnel,
Settlement Trough Above Tunnel z/2R, for Various Tunnels in Differ
ent Materials
242
Table VI Width of Settlement Trough Above Tunnels
in <*»
os •H
X
«. < 0) <D
•H E E
<D iH <■—. 3 3
c <D - «—l r-H
c C 1X O 0
3 C <N - > >
Eh -P D \ OS
Eh N \ -P 4->
d) •H 4-> c C
o 0 * U-l UH 0) 0)
c 0 0 u E E
 *4-1 IX MH ra 4-» \ 4J 10
• in 'V M a <N IX E 4-» ■p E
o id ai flj 0 0) ~ \ \ 0) -U HI HI
z U CX -- Q N N •H •H cn OS
1 Toronto Pers. files 8.75 34-44 2.0-2.5 6.4 0.73 0. 28 4.5 1.9 First tun
Subway nel
8.75 34-44 2.0-2.5 8.0 0.92 0.46 9.2 3.8 Second tun
Dense sand above groundwater nel
level
2 do. Matich & 8.75 35 2.0 24 2.75 0.04 2.4 1. 0 First tun
Carling nel
(unpubl.)
3 20 35 0.88 25 1.25 0.1 6.3 1.3 Total Set
tlements
Below groundwater level.
crown in sand, invert in till
4 San Francis Pers. files 8.75 36 2.1 18 1.0 0.03 1.35 0.56 Settlements
co (BART) from first
and second
Cemented dense sand, above tunnels in
groundwater level dependent
and equal
5 G.N.R.R. Hussey et 19.5 125 3.2 20 1.0 0.7 35 2.6
Seattle al, 1915
Hard clayey glacial till

(horseshoe)
6 Toronto Matich & 8.75 43 2.4 20 2.3 0.03 1.5 0.62 First tun
Subway Carling nel
(unpubl.)
7 20 43 1.1 20 1.0 0.12 6 1.25 Total Set
tlements
Medium glacial clay
8 Ottawa Eden & Bo- 5 60 6 22 4.4 0.023 1.25 1.6

Sewer zozuk, 1968
Medium Leda Clay
9 Chicago Su b Terz a g h i , 10 39 2.0 16 1.6 0.075 3 0. 75 First tun

way S-6 1943 nel
Soft glacial clay
10 Chicago Sub Terzaghi, 52 40 0.77 22 .85 — — Total set

way S-3 1942 tlement
over two
Soft glacial clay tunnels
11 San Paolo Terzaghi, 4.5 100 11 19 4.2 0. 67 32 50 Many con

1950 struction
difficulties
Stiff clay
2 4 3
P EC K .
Table VI (Continued)
Axis,
%
R
Volume,
Volume,
Radius of Tunnel,
z/2R')
Tunnel
i/R')
(or R ' ), ft
Settlement
Settlement
max , ft
Reference
Depth of
(or
(or
Remark
ftVft
i , ft
z , ft
Case
z/2R
i/R
0
6
z
12 San Francis Pers. files 9 59 3.3 24 2.7 0.18 11 4 .3

co (BART)
Medium clay
13. Sulphur Deere, 1961 175 1400 4.0 320 1.8

Extraction
Rock
14 Mine Ward e l l , 770 2620 1. 7 510 0. 66

1959
Rock
15 Mine Ward e l l , 61 370 3.1 39 0.65

1959
Rock
16 Mine Pier s o n , 620 1000 0.8 420 0.68

1965
Rock
17 Mine Berry & 275 1970 3.6 475 1.7

Sales, 1961
Rock
Notes:
R' is one-half the width of a horseshoe tunnel or R + d / ? , where rl is the spacinq of twin
tunnels, center to center.
Volume of settlement trouqh is calculated by V =2.5 i

1 s max
Appreciably greater values of i/R appear to depth z and radius R'=R+d/2, where d is the
be associated with tunnels in plastic clay distance between center lines of the tun
than in the several varieties of granular nels. Points representing the probability
materials. A significant exception is tun curves corresponding to these conditions
neling in sand below water table, where are also plotted in Fig. 9 by replacing R
control of lost ground is especially diffi by R' in the expressions i/R and z/2R.
cult. As expected, the greater the depth These points are also identified in the
of tunnel, the greater the spread of the figure.
settlement trough.
Also included in Fig. 9 are points repre
In several instances, the two tunnels of a senting the values of i/R for subsidence
pair were close enough together to produce troughs over several mine or solution cavi
a single settlement trough, reasonably ties in rock, where the depth of the open
symmetrical, that could be interpreted as ing is great enough to suppress the in
the consequence of a single tunnel with fluence of the irregular cross-section of
244
the opening. The results suggest that the unexpected difficulties arise. He must be
subsidence troughs above granular soils aware that the unexpected is almost to be
(except those influenced by seepage) and regarded as the expected in tunnel work, and
rocks are roughly comparable, whereas the must rule out designs involving construction
disturbance due to tunneling in plastic procedures prone to difficulties under the
soils extends laterally significantly far physical conditions prevailing at the site
ther. of the project. The present margin of un
certainty in estimating the consequences
1.4.7 Conclusion of tunnelinq, even with the best of tech
niques, cannot be reduced until many more
In this chapter, empirical information has records of settlements and construction
been assembled to permit the engineer to procedures become available for all types of
estimate the loss of ground associated with subsurface conditions.
various tunneling procedures in different
types of ground. The effectiveness of var 1.5 Design of Lining
ious methods for reducing the loss of
ground and consequently the settlement has 1.5.1 Basic Concepts
also been discussed.
As a first step toward understanding the
Consideration has been restricted to four fundamental factors governing the behavior
principal types of subsurface conditions. of tunnel linings, let us consider a series
Many more types are of practical interest. of imaginary experiments. Consider first
Furthermore, many headings involve mixed a mass of soil with a horizontal ground
faces of cohesive and cohesionless soils. surface. At depth z the vertical intensity
of pressure is y z. The intensity of hor
As we have seen in Chapter 3, the feasi izontal pressure is assumed to be a con
bility of construction is much more diffi stant Kg times the vertical pressure. For
cult to judge in mixed faces than in faces the purpose of the discussion, we shall
consisting of a single material. Equip assume that Kg is less than unity.
ment and procedures satisfactory for one
type of soil encountered in the heading may By some sort of technical magic, we shall
not be satisfactory for another. Once a now wish a circular tunnel lininq into
type of construction has been tentatively existence without disturbing the soil either
selected, an estimate of the settlement is outside or inside the tunnel. Since no
required to determine whether the'proced- disturbance is involved, the state of stress
ure will be acceptable from the point of in the soil is no different than before the
view of disturbance to surface facilities. lining came into existence. Let us make
In a mixed heading, conditions may lead to the further assumptions that the circular
greater surface settlements than would lining is perfectly flexible but capable of
occur if the heading were being constructed supporting appreciable ring stress in com
in any one of the individual materials. pression, and that tangential or shear
Little empirical information is available stresses around the lining are negligible.
on which to form a basis for judgment. The initial distribution of radial or nor
mal Dressure on the lining corresponds to
One of the most urgent needs for the ad that in Fig. 10. We now suddenly remove
vancement of the art of tunneling is fur the earth from inside the tunnel. Inasmuch
ther detailed information about settlements as the circular flexible ring can be in
associated with a variety of soil conditions equilibrium only if the radial pressures are
and methods of tunneling. Because of the everywhere equal, there must be some means
dependence of loss of ground on construc whereby the intensity of horizontal pres
tion details, there seems little likelihood sure can increase (and that of the vertical
that theoretical investigations will prove pressures decrease) until the required
fruitful except for some of the simplest equal all-around pressure is attained. The
of materials such as plastic clays. The means for accomplishing the redistribution
same conclusion can be drawn concerning is a distortion of the lininq from a cir
small-scale model tests. Full-scale field cular shape to a very slightly elliptical
observations remain of outstanding urgency. shape. The horizontal axis becomes longer
because outward deflection of the sides of
The information contained in this chapter is the lining is required to build up the side
surprisingly meager. It can presently serve pressure; at the same time the vertical dia
a useful purpose in demonstrating that lost meter must tend to shorten and the vertical
ground and settlement occur in connection
pressures correspondingly tend to decrease.
with all soft-ground tunnels, and that the The deformation takes place to whatever
magnitudes of the settlements are not always extent is required to brinq about the vir
as small as designers and planners some tual equality of radial stress in all direc
times assume. In some instances the present tions .
information may permit an estimate of the
settlement to be expected on a project If the capacity of the lining is sufficient
under consideration if the work is expertly to carry the ring stress associated with the
carried out according to a given procedure. radial pressure and if local buckling is
Yet, the designer cannot overlook the prevented, the flexible lining is entirely
likelihood of much greater settlements if satisfactory for support of the surrounding
245
P EC K .
tunnel. If the deformation is not consider

ed excessive for some non-structural reason
and if other modes of failure do not devel
op, the design of the lining can be consid
ered adequate.
The favorable distribution of all-around

pressure on the tunnel lininq is, of course,
a consequence of the development of shearing
stresses in the surrounding soil mass. If
the shearing stresses remain essentially
constant after the necessary deformations
take place, no further distortions will
occur; otherwise continued movements of the
lining must be expected. Experience has
demonstrated that all real soils are capable
of withstanding shearinq stresses up to some
limitinq maqnitudes with neqligible creep or
relaxation. The shearing stresses become a
part of the permanent system of stress or
Originol Stress Stress Distribution tunnel support by which the soil surrounding
E llip tic a l Tunnel Lining,
the tunnel cooperates with the tunnel lining
Distribution at A fter Excavotion E q u ilib riu m Without in maintaining the stability of the opening.
Location of and Deflection D eflection Indeed, in most instances the soil surround-
Lining of Linin g inq a tunnel is not only the source of load-
inq on the tunnel but the source of most of
the ability of the tunnel to remain stable
in the medium. Rational tunnel design must
Fig. 10 Pressures Against and Deflections take into account the strength and stress-
of Hypothetical Lininqs strain-time properties of the surrounding
soi 1.
earth. No bending moments can exist in
If instead of a completely flexible lining
the lining and no bending strength is re we had installed during our imaginary exper
quired. The only practical question is iment a perfectly rigid and infinitely
whether the deformation required to estab
stronq circular lining, the initial pres
lish the state of all-around pressure is sures acting radially against the lining
within limits considered tolerable for non-
would have been identical with those against
structural reasons such as the preservation
the flexible lining. However, upon removal
of clearances or the safequardinq of archi of the soil from the inside no deformation
tectural finishes. The amount of the defor
of the riqid lining would have been possible.
mation is a function of the stress-strain Therefore, the distribution of external
characteristics of the surrounding soil, the pressures would have been unchanged. The
time dependence of these characteristics,
pressures would cause bending moments in the
and the dimensions and depth of the tunnel.
lininq. Hence, in exchanqe for the deform
ations- necessary to permit a flexible lining
Had the cross-section of the idealized flex
to assume the theoretically unstressed shape,
ible tunnel been elliptical with minor axis the riqid lininq must be desiqned to with
in the horizontal direction equal to K Q
stand substantial bendinq moments.
times the vertical axis, the shape of the
ellipse would have been almost perfectly If the oriqinal rigid lininq had been of
matched to the equilibrium polygon for the elliptical shape with horizontal axis equal
normal forces acting on the lininq. Hence, to K. times the vertical axis, the equil
after removal of the soil from inside the ibrium polyqon for the external normal
tunnel, not only would no bendinq moments forces would have almost coincided with the
have existed in the lininq, but no deform axis of the tunnel and the bending moments
ation would have been required to achieve would have been practically zero. Hence,
the distribution of all-around pressure we observe that the bending moments in a
exactly compatible with the absence of bend rigid lining depend strongly on the shape of
ing stresses in the lining. the tunnel.
By similar reasoning we conclude that a Real tunnels cannot be wished into place
flexible lining of any elliptical shape can without disturbance and then excavated.
support the surrounding soil because the Furthermore, their flexural rigidity is
soil pressures will assume the distribution inevitably intermediate between perfect
theoretically necessary to produce no bend flexibility and perfect rigidity. Hence,
ing moments in the lining. The theoretical the idealic?d experiments are considerably
ly correct pressure distribution is achieved removed from reality. Nevertheless, they
by virtue of deformation of the lining and will assist us greatly in visualizing the
the surrounding soil mass. The magnitude behavior and requirements of real tunnel
of the deformation varies somewhat depending linings. We shall consider the behavior of
on the shape of the cross-section of the linings constructed in tunnels built
246
according to two very common and rather dif surrounding soil to the extent that the
ferent methods of construction. In the soil and the temporary lining toqether
first of these, a light, so-called tempor have achieved equilibrium and are carrying
ary lining, usually of steel, is erected to all the loads. These conditions are not
preserve the integrity of the excavation altered by the introduction of the secondary
until a so-called secondary or permanent lin i n g .
lining is installed. In the second, the
temporary and permanent linings are com If the tunnel has been dewatered and the
bined so that the initial lining is the water level will ultimately be raised after
final one. Although there are many com the secondary lining has been installed, the
binations of these procedures, a discussion water pressure will act upon the secondary
of these two will illustrate the principles. lining. The water pressure will not be a
uniform all-around pressure. However, if
1.5.2 Tunnel with Primary and Secondary Lining the drained soil has retained water by cap
illarity, as all soils but coarse sands and
We shall first assume that a tunnel of cir gravels do, the increase in water pressure
cular shape is being constructed by hand upon restoration of the original ground
methods in soft ground. We shall also water level is a uniform all-around pressure
assume for the moment that the method of that can itself produce no bending moments
mining and of installing initial support in a circular lining (although there may be
is suited to the ground and that appropri concurrent changes in the effective stresses
ate means have been devised to permit ad leading to small m o m e n t s ) . Similarly, if
vancing the tunnel and installing circular the tunnel is built under air pressure that
ribs and plates or lagging. All necessary is not removed until the secondary lining is
measures have been carried out including completed, the lininq will be acted on by an
possibly predrainage or the use of co m all-around pressure equal to the air pres
pressed air. sure. This pressure also produces no bend
ing moments in a circular tunnel. Hence,
Once the circular lining is in place and the only forces to which a circular second
blocked against the surrounding soil, or ary lininq can be subjected are the nearly
the space between soil and lining is filled equal all-around pressures caused by the
by pea gravel, grout or other material, the restoration of the water pressure or the
circular rings are capable of carrying equal all-around pressures associated with
axial compression. Ordinarily they are the removal of the air pressure. Even these
relatively flexible with respect to bending forces must be shared by the primary and
stresses, especially because the efficiency secondary lininq in accordance with their
of the joints is likely to be low. Hence, riqidities. Thus, the loads actually trans
they approximate a flexible circular lining. mitted to the secondary lining have no
The rings in such a lining are likely to resemblance whatsoever to the assumed earth
continue to deform as the heading is ad pressures for which such linings are usually
vanced, but the rate of deformation usually designed. It is not surprising that defects
decreases rapidly as the heading advances in such lininqs have most often been caused
one or two diameters beyond the location of By totally unanticipated influences such as
any particular ring. In some types of cracking of the concrete due to shrinkage.
ground the rate of deformation may reduce
to zero after a few days or weeks; in others The passage of a second tunnel alongside the
equilibrium may be reached only after sever first significantly alters the pattern of
al months. As long as the total diameter shearing stresses in the qround and produces
change is not excessive, for instance, not siqnificant new loadinqs on the pre-existing
more than 1 or 2 percent of the diameter, tunnel. These loadings likewise have no
the behavior of the temporary lining is relation to those customarily assumed for
usually considered satisfactory. The d e the desiqn of riqid tunnel linings. Fur
sign of the lining is properly left to the thermore, if the second tunnel is excavated
contractor because its effectiveness depends before the secondary lining has been placed
far more on the skill and care with which in the first tunnel, the flexible temporary
it is placed than on its actual dimensions. lininq of the first tunnel adjusts to the
new conditions by further deformation,
The designer is concerned with the basis often with complete safety. If then both
for proportioning the secondary or perma tunnels are provided with their secondary
nent lining to go inside the completed lininqs, the secondary linings experience
primary lining. Customarily the lining is practically no additional forces throughout
designed to withstand the weight of the their lifetime.
overburden and a side pressure equal to
some fraction of the overburden pressure. 1.5.3 Combined Primary and Secondary Lining
Yet there is not the slightest possibility
that these loads can act upon the completed As a second example, let us consider a tun
permanent lining. Indeed, if the deform nel lined with precast segments assembled
ations of the temporary lining have ceased, within the tailpiece of a shield. The
it is even unlikely that significant bending forces acting on the shield are extremely
stresses can ever develop in the secondary complex. As a crude approximation it may
lining. Because of the deformations, shear be assumed that the radial forces acting on
ing stresses have been mobilized in the the cylindrical surface correspond to the
247
P EC K .
at-rest conditions in the ground and it may real factors that govern the stresses and
further be assumed that the shield is a behavior of permanent tunnel linings and to
virtually rigid object. However, because of consider the presently available knowledge
the thickness of the tailpiece and the nec for solution of actual design problems.
essary working clearance between the outside Furthermore, we see that we cannot escape
of the segmental lining and the tailpiece, the influence of details of construction
an annular space several inches thick is procedures, even with respect to the design
formed around the lining as the tailpiece of secondary linings.
clears. The rate at which the surrounding 1.5.4 Semi-Empirical Basis for Design of
soil invades the space depends upon the
Lining
character of the soil, the dimensions of
the shield and, undoubtedly, on numerous The preceding discussion has demonstrated
other factors. Nevertheless, until the that a rational procedure for design of a
soil comes into contact with the lining tunnel lining must take into account many
the radial pressure at the surface of the factors including the characteristics of
soil is reduced to zero or to the air pres the soil, the geometry of the tunnel, and
sure prevailing in the tunnel. It is cu s the method, details, and speed of construc
tomary to attempt at an early stage to fill tion. The latter factors are of such im
the annular void. In soft or cohesionless portance that no purely theoretical basis
soils the attempt is usually unsuccessful for design can be envisioned. As in many
because the invasion occurs too rapidly. other branches of applied soil mechanics,
In strong cohesive material the filling may the art of tunnel design seems likely to
be accomplished. achieve its greatest success on a semi-
empirical basis in which the results of
The most significant aspect of these condi theoretical findings are suitably and con
tions is that the inward movement of the sistently modified on the basis of full-
soil toward the lining, before it is pre scale behavior in the field.
vented by the filling, is a large displace
ment in comparison to that likely to occur As a first step in attempting to develop a
subsequently because of any radial deform semi-empirical basis for desiqn, we shall
ations of the tunnel lining. Since the consider the lininq of a single circular
movement in soft soils may be a matter of tunnel. As we have seen, the investiqation
several inches, substantial shearing stress of the lininq can be considered in three
es are set up in the surrounding soil mass nearly independent steps. First of all, the
and the pressure exerted against the seg lininq must be desiqned to carry without
mental lining has no resemblance to the distress whatever direct compressive forces
original state of stress in the soil. Be may develop circumferentially; we shall term
cause the inward deformations are initially these forces rinq stresses or rinq loads.
only slightly restricted and because the Secondly, the lininq must be capable of
shape of the hole is circular, the radial withstandinq whatever bendinq may occur in
pressures against the seqmental lining are planes at riqht anqles to the axis of the
reduced greatly with respect to the initial tunnel. We have already seen that the more
state of stress and are probably much more flexible the lininq, the less concern there
favorably distributed with respect to bend may be with bendinq stress; on the other
ing moments in the lining. The real pres hand, .with increasinq flexibility the deform
sures acting upon the lininq depend on the ations of the lining may become significant.
stress-deformation-time characteristics of Finally, the lining must be able to sur
the surrounding material, the amount of d e vive local irregularities of deformation,
formation experienced, and the time at which loading or stress; that is, it should not
the actual contact was made between the soil fail by buckling or by some other detailed
and the lining. In many instances the pres mode.
sures are complicated by the process of
filling the voids. Quite possibly the most We shall consider these three requirements
non-uniform pressures acting on the lining as if they were strictly independent. The
are those introduced by the efforts to in approximation introduced by this assumption
ject grout into the annular ring. These affords much simplification and is believed
pressures should not be ignored in design, to lead to conservative design. Neverthe
but they cannot logically be considered less, it also leads to economical design
equivalent to the initial state of stress because it permits consideration of the
in the ground. vital factors pertaining to each aspect of
the design- and allows the elimination of
Since the deformation of the tunnel lining unnecessary provisions that would be re
itself can be controlled by tie rods until quired if the behavior of the tunnel could
grouting has been completed, conditions are not be so clearly defined.
favorable for the development of compatibil
ity between the lining and the surrounding The foregoing discussion has assumed that
soil that will ultimately result in rela the lining of a tunnel consists of a closed
tively small deflections of the lining or ring either circular or somewhat elliptical
stresses to be withstood. in cross-section. The considerations that
follow are based generally on the same
We are now in a position to evaluate the remise. In reality, many tunnels have
orseshoe-shaped sections, and the lining
248
may not extend around the entire periphery. horizontal pressures in the ground at the
These conditions alter the details of be location of the center of the tunnel if the
havior, but usually to a minor degree. The tunnel did not exist. The vertical pres
strains in the soil surrounding a horseshoe sure may be taken as yz^ and the horizontal
shaped tunnel as excavation proceeds are as
pressure as K 0 y z q . Hence, the ring load,
effective in mobilizing the strength of the
soil as are those around circular tunnels. if there were no radial deformation, would
At the present state of knowledge, an at be equal to 1/2 y z qR (1 + K Q) = p QR, where
tempt to differentiate the behavior of cir
cular and horseshoe tunnels would be an un R is the radius of the unlined tunnel. It
warranted refinement. The data themselves is represented by Point A in Fig. 11a.
suggest that no significant distinctions in
behavior exist. Minor modifications in the If the radius of the ring were decreased by
conclusions and recommendations are, of a small amount 6, load would corresponding
course, required to take account of the ly decrease in accordance with a relation
particular geometry of the horseshoe shape. such as that indicated by the solid line in
Fig. 11a. The shape and position of the
1.5.5 Ring Stress line would depend on the stress-strain-time
characteristics of the soil and on the time
The basis for establishing the ring stress required for the construction operations.
for which a lining should be designed may If the soil were elastic, the relationship
be visualized by means of Fig. 11a, in which would be linear as shown by the dash line
the ring load is plotted as a function of Ad. For an inelastic material, the rela
the average radial deformation of the bound tionship would resemble AD. The position
ary of the tunnel toward the center. As a and shape of curve AD can be calculated
reasonable first approximation, the average only for highly idealized conditions, but
ring load, if no radial deformation occur they may be apDroximated in a few instances
red, would be the radius of the lining on the basis of field observations combined
multiplied by the mean of the vertical and with theoretical considerations. For the
moment, we shall assume that the position
can be established for a particular soil
with sufficient accuracy.
As the tunnel heading approaches a given

point, the soil moves radially toward the
tunnel and axially toward the working face.
Thus, by the time the working face has
S o ft P lostic Cloys reached the point, a radial displacement has
S w e llin g C loys already been experienced. The average value
4 of this displacement is indicated by the
A ( ^ - y z (1+ K ) R ) N o n- S w elling
2 o
\ B
thin vertical line in Fiq. 11a. If the
qircumferential lininq were placed in con
tact with the soil at this staqe, and if it
were capable of preventing any further rad
ial displacement, the averaqe ring load
would-be B, smaller than A. If, however,
(/> further radial displacement were possible
before the lininq could be placed, indicated
in q: by the displacement 6^, the rinq load would
be C. Thus, a rinq capable of preventinq
all further radial displacement should be
desiqned for a rinq load C. In reality, the
rinq will be subject to radial deflection of
at least a small amount on account of rib
shorteninq. The corresponding deflection
and rinq load are indicated by C'. Point
C' is located on the heavy dash-dot line
T im e
representinq the division of load between
A verage R ad ial the lininq and the surrounding soil on the
D isplacem ent
basis of the relative riqidities of the two
media.
If the tunneling were done under an air

pressure pa , the relation between ring load
Fig. 11 Principle of Interaction Between
Soil and Lining: (a) Ring Load and and radial deflection would be displaced
Average Radial Displacement During downward a distance paR. If the lining were
Construction; (b) Subsequent In
placed when the radial displacement became
crease of Ring Load with Time
equal to + 6b , it would be required to
support a ring load of only C ', but this
249
P EC K .
load would increase to C' upon removal of or indirectly by calculation from measured
the air pressure. compressive stresses in the ring or lining,
and p is the total vertical overburden
z
The passage of time may be accompanied by a
further change in ring load, depending pri pressure at the elevation of the center of
marily on the nature of the soil, as shown the tunnel.
in Fig. lib. As the distance increases
from the heading to the ring under consid According to Fig. 12b, the ring load for a
eration, or as time passes even if there is single tunnel in clay after a long period,
no construction progress, the ring load is such as 100 years, is not likely to exceed
likely to increase at a decreasing rate. that corresponding to an all-around pres
For many tunnels the ring load appears to sure p . Except for some swelling clays,
increase roughly proportionally to the log and poisibly for the London clays, the
arithm of time. ' overburden pressure p 2 would appear to be
a reasonable upper limit. For many clays,
Empirical information regarding the ring however, the actual load would be consider
loads in various tunnels is summarized in ably smaller, and for non-plastic soils
Figs. 12a and 12b. Because of the large the final load could be almost as small as
quantity of data available for tunnels in C', Fig. 11a.
the London clay, this information has been
plotted separately in Fig. 12a. That for For a few tunnels, information is available
all other tunnels is shown in Fig. 12b. from which the radial displacements and
General data concerning the construction
6^, Fig. 11a, can be estimated. On the
of the tunnels are included in Table VII.
The loads are expressed in dimensionless basis of this information and on a knowledge
form as p/p , where p is the average all- of the ring loads, attempts have been made
around pressure against the tunnel, as to construct diagrams corresponding to Fig.
determined directly by pressure observations 11a. The results, although extremely
Fig. 12a. Variation of Radial Load on Liners with Time, for London Clays. Loads Have Been
Determined from Direct Pressure Measurements or Calculated from Measured Ring
Lo a d s .
250
Fig. 12b Data Corresponding to That in Fig. 12a for Soils Other Than London Clay
tentative, suggest that the procedure is Every real lining possesses some rigidity.
reasonable and could serve as a basis for To the extent that the rigidity reduces the
improved design if supported by adequate diameter changes below those associated with
field data. The proposed basis for present a flexible lining of the same shape, bending
design, and implications for future improve moments will be induced in the lining. The
ments, are considered at the end of the moments can be reduced to a minimum by not
chap t e r . installing the lining (or the secondary
lining if there is a primary one) until most
1.5.6 Bending of the distortions have occurred. In any
event, the lining will be adequate with re
The principles governing the design of the spect to bending if it can be deformed,
lining to withstand bending in planes at without overstress, by an amount equal to
right angles to the axis of the tunnel have the change in diameter of a flexible lining
been discussed in connection with Fig. 10. of the same shape in the same soil. Hence,
They lead to the following conclusions: if the tunnel is circular, a conservative
design would result if the tunnel could
If the lining is flexible it will experience without overstress be deformed into an el
distortion that may be described with suf lipse with horizontal axis appropriately
ficient accuracy as a change in horizontal greater than the diameter of the original
diameter equal to the change in vertical di circle. It is obvious that this conclusion
ameter but in the opposite sense. Bending indicates the desirability of a thin rather
stress in such a lining is irrelevant. For than a thick lining of a given material.
ciesign it is necessary to know only whether
the change in diameter will be finite and The basis for design, then, requires a know
of an acceptable magnitude. The magnitude ledge of the diameter change of flexible
depends not only on the nature of the soil tunnel linings of various shapes in a vari
surrounding the tunnel, but on the degree ety of soils, as a function of time. The
to which the shape of the tunnel corresponds available information is summarized in
to the equilibrium polygon for the initial Table VII and conclusions are drawn in the
stress conditions. following paragraphs.
251
P EC K .
Table VII Thrust and Distortion of Tunnel Linings in Soil
Case Reference Lining Soil Total
Type Radius Thick Rigi Type Strength Over

R ness dity burden
su
pz , ksf
ft t , in. ksi ksf
London, 194 2 Skempton, Bolted iron 6.4 1.33 small London 5.75 13.8
1943 segments clay
Crown thrust after 46 days: p * 14 ksf, stable

Moment: insignificant
London, 1952 Cooling & do. 12.7 2.3 ' .003 London 7-22 12. 5
Ward, 1953 clay
46 days: Distortion AR/R = .072 to .168%, a v .

.124%; Moments small; Thrust load p = 5.6- 11.2 ksf
London, 1957 Ward & do. 3.8 London 7.2-9.6 6.95

Thomas, clay
1965
72 months: Distortion AR/R = .152 to .185%;
Thrust load p = 5.3 ksf
London, 1961 Ward & "Flexible" 6.6 9 0. 66 London 7.8-8.5+ 10.8

(Victoria) Thomas, concrete clay
(1) 1965 segments
4 months: Distortion AR/R = .15%; Thrust load
p< 6 ksf; Moment < 12 k ft/ft
London, 1961 do. Flexible iron 6.4 -o London 7.8-8.5+ 10.0

(Victoria) segments clay
(2)
4 months: Distortion \R/R = .16%; Thrust load
p = 3.5 ksf; Moments • 0 at joints
London, 19 52 Tattersall Don-Seqs 4 .4 12 4.8 London 22 11

(Ashford) et a l , clay
1955
14 months: .Distortion AR/R = .024 (hor.) to
.057% (ver.); Thrust load 5.2 ksf
Charleston, Gould, Uniined, 3.5 Silty 4 .5+ 10

1968 1968 horseshoe marl
Relative horizontal diameter change AR/R = .25%
Ottawa, 1961 Eden & Corr. steel 5.0 Leda 3.7 6.1
Bozozuk, liner plates clay
1968 (primary)
1 Month: Distortion AR/R = .08 to .17%
Toronto, Matich & Bolted iron 8 .5 silty -0.7 4.4

1964 (1) Carling, segments clay
1968 and
clayey
till
Distortion under air pressure (1.44 ksf) AR/R=.06%
252
Table VII (Continued)
Case Reference Lining Soil Total
Type Radius Thick Rigi Type Strength Over

R ness dity burden
su
ft t , in. ksi ksf p z , ksf
Toronto, Matich & Bolted iron 8.5 sand dense 5.5

1964 (2) Carlinq, segments and = 0.7
1968 clayey
till
Distortions erratic but < .1* (? )
Norway, 1949 Hart m a r k , Concrete, 10.8 26 2.7 Sensitive 0.7-1.2 7.8

(Tyholt) 1964 & segments & clay
1968 cast in
place 17 years: Distortion a R/R = 0. 24 to 0.65%;
initial distortions not measured
New York, Jacobs, Bolted iron 11.5 Hudson R. ? 5.5 max

1906 1910 segments silt
(Penn. RR)
First 2 weeks: Distortion a R/R = -.44 to -.54%;
after several months: nearly back to circular
New York, Rapp & do. 15.5 Hudson R. •> 6.5 max
1936 Ba k e r , silt
(Lincoln) 1936
First 9 days: Distortion a R/R = -.4 to -.67%
Moment 51 ft k/ft. After 175 days: AR/R = -.09
to -.13%: Moment 25 ft k/ft; Thrust load 5.6 ksf
Boston, 1960 C.E. Jan. Bolted steel 15.4 5/8” wel3 Boston v. soft
(Callahan) 1961 seqments w. stif- blue clay
Richardson feners
First week: Distortion a R/R » -.55%
Garr i s o n , Bu r k e , 17.5 - Ft. Union 13.2 to

1951 1957; 1R.0 Shale ft 21.6
Lane, 1957
4A Ribs & Lag 18 months, distortion AR/R - .35%
ging
4B2 Yielding ribs " AR/R « .42% (vert. > hor.)
4C Ribs & Laq- AR/R ■= .4 3%
ginq
4D Slotted con AR/R - .27% (31 thick)
crete
Other tunnel Ribs 2 to 4 months, distortion AR/R - .07 to .19%
sections
Vertical loads (sinqle tunnels) ranged to 15% of
overburden pressure.
Chicago, S6, Terzaghi, Ribs & Liner 10.0 Chicago 0.7 4.9
1940 1943 pla t e s , clay
horseshoe
shape Ultimate distortion AR/R * .25%
Chicago, S3, Terzaghi, Bolted steel 12. 5 3/8" web .019 Chicago 0.6 4.4
1940 1942 segments, w. stif- clay
circular feners
First few days, distortion AR/R » -.33 to -.50%,
then reversal of trend
In second tube: AR/R = .05%
253
P EC K .
Table VIII (Continued)
Notes: (1) Radius is exterior radius for steel and iron linings, average radius for con
crete linings.
(2) Thickness is average or equivalent thickness.
(3) Rigidity is computed by EI/R^, ksi.
(4) Distortion is positive when lining squats.
(5) "Thrust load" is average radial stress on lining corresponding to measured
thrust, or is radial stress measured directly.
10 20 50 100 200 500 1000 2000

T im e , Doys
Fig. 13. Increase of Horizontal Diameter of Various Tunnels as Function of Time
Most temporary linings are relatively flexi or plastic soils, distortions of more than
ble, especially in the period when the work a few tenths of a percent of the diameter
ing face is still not far away and the soil of a flexible lining are effectively pre
surrounding the tunnel is still deforming vented by the strength mobilized in the
actively. Some linings have deliberately surrounding ground. Moreover, in such soils
been made flexible, either as a whole or by the rate of distortion decreases with time,
the incorporation of joints. Yet, almost as shown in Fig. 13. Inasmuch as the dis
irrespective of the rigidity of the lining, tortion appears to increase roughly linearly
and even in soft clays and silts, the
with the logarithm of time, curves such as
changes in diameter of the linings have
rarely exceeded 0.5%. In a few instances those in Fig. 13 can be used to judqe the
early distortions have been inhibited by maximum distortion to be anticipated during
the lifetime of the tunnel.
tie rods, but after removal of the ties
the distortions have similarly been small.
Almost all the tunnels listed in Table VII
were constructed in plastic soils. Data
The findings demonstrate that, even in soft
are still scanty for tunnels in dense or
254
slightly cohesive sands. The magnitudes of value considerably smaller than that cor
the distortions and the rate of distortion responding to the weight of the overburden.
with time would, in all likelihood, be ap In contrast, field measurements (Table VIII
preciably smaller for such materials. and Fig. 13) in soils of widely different
consistencies have shown that tunneling a
1.5.7 Buckling second tube drastically modifies the pattern
of shearing stresses around the first tube
No failure has yet been reported of a tunnel and increases the load on the lining of the
lining by buckling due to earth pressures first tube. In the nearly complete break
acting in planes at right angles to the axis down of arching associated with the 7 par
of the tunnel, if soil or grout was every allel hard-clay tunnels at Garrison Dam,
where in contact with the lining. Such a the loads on the concreted test tunnel in
failure is highly improbable, except possi creased from roughly 15 percent of full
bly in extremely soft cohesive soils pr o overburden pressure to almost 100 percent
viding shallow cover, because of the in after all 7 tunnels had been driven. If
ability of the soil behind an individual the secondary lininq is in place in the
buckling loop to continue to press against first tunnel before the second passes, it
the lining without transferring much of the is conceivable that the load on the first
pressure by shear or arching to the adjacent tunnel may reach a value somewhat in excess
stiffer nodal points. of overburden pressure.
On the other hand, buckling has been noted The influence of a second tunnel on the
if ribs or other forms of lining are not in bendinq moments in the lininq of the first
continuous contact with the soil but, in tunnel may also be assessed for certain co n
stead, are supported irregularly or at wide ditions under which observations have been
spacing by blocking. It has also occurred made (Table V I I I ) . If the lininq of the
if poorly filled large voids exist outside first tunnel was fairly flexible, as in the
the lining. For instance, roof falls in Chicaqo S6 test section and the Garrison
raveling ground have left cavities above test tunnel sections A, B, and C, notably
tunnels; the cavities have been inadequate unsymmetrical distortions occurred. The
ly filled with timber cribbing that may have magnitudes of the distortions were well
rotted, whereupon buckling failures of the within the capabilities of the primary lin-
roof arch have developed. inqs; if the secondary lininqs of such
tunnels were not placed until after the dis
Local buckling is also occasionally associ tortions had occurred, no bending moments of
ated with twisting or ribs due to loss of consequence would have to be provided for.
ground or partial collapses near the head On the other hand, placement of a relatively
ing, and with the forces caused by jacking rigid secondary lininq before passaqe of the
forward a shield or mole. second tube, as in Garrison test tunnel sec
tion D, miqht lead to substantial bending
Hence, it appears justified on the basis of moments and Dossible crackinq.
experience, fortified by theory, to iqnore
the possibility of buckling due to forces The effects on the distortion of such a
in planes normal to the axis of the tunnel. severe occurrence as the passaqe of a sec
On the other hand, the lininq and its c om ond shield tunnel close to the first
ponents should have a certain minimum re (clearance of 2.5 ft between two 25-ft
sistance against local bucklinq, torsional tunnels in soft clay) proved on the Chicaqo
failures, and other modes of failure that Subway to be almost neqliqible, and to be
may tend to develop as a result of construc controllable with such temporary devices
tion procedures and irregularities. as horizontal struts in the first tunnel.
Buckling due to external water pressure is Althouqh the multiple-tunnel problem is

conceivable if the tunnel is located just more complex than the sinqle, the semi-
below the bottom of a deep body of water, empirical approach to desiqn of the lining
and if the soil cover of the tunnel is is essentially similar. Field observations
shallow and weak. Under these conditions provide the basis for an estimate of the
the possibility of buckling should be in distortion of the first tunnel that would
vestigated . occur if its lininq were perfectly flexible.
If the distortion is not objectionable, or
1.5.8 Influence of External Conditions: can be held within reasonable limits by
Multiple Tunnels struts or tie rods when the second tube
passes, a flexible lininq would be struc
Thus far we have considered the design of a turally adequate for the first tube. If a
single circular tunnel unaffected by exter semi-riqid lininq is considered preferable,
nal influences other than the surrounding it is proportioned so that the stresses
soil. The most significant and perhaps will not be excessive if the diameter
most frequent modification of these simple change in any direction (not necessarily
conditions is the construction of a parallel horizontal or vertical) is taken equal to
or nearby t u n n e l . that postulated on the basis of the avail
able field evidence.
We have seen that the ring load in the lin
ing of a single tunnel is likely, except
for strongly swelling clays, to approach a
255
P EC K .
Table VIII Influence of Neighboring Tunnels, Air Pressure, and Other Factors
London, 1961 Distance neighbor tunnel: 21' min. center to center

(Victoria) Passing of neighbor caused AR/R = .12%; Thrust load increase 1.2 ksf
( 1) After 40 months total AR/R = .32%; Thrust load 6.95 ksf (?)
At 12 months, moments ranged -8.4 to +12.5 k ft/ft
London, 1961 Distance neighbor tunnel: 21' min. center to center

(Victoria) Passing of neighbor caused AR/R = .11%; Thrust load increase 1.3 ksf
(2) After 40 months total AR/R = .35%; Thrust load 10.0 ksf
Moments " 0 at joints
Both tunnels 6' shaft at 3' clear distance: AR/R = .038%, both tunnels
above 6' shaft at 1 1/2' clear distance: AR/R = .066%, concrete tunnel
AR/R = .087%, iron tunnel
Opposite side and invert remained in position, crown descended
Toronto, 1964 Release of air pressure: a R/R = .12%

( 1) Passing of neighbor (distance 21' center to center): AR/R = .09%
Toronto, 1964 Passinq of neighbor (distance 21' center to center: a R/R = .12 to
( 2) .35%
Garrison, 1951 Distance of 7 tunnels: 74' center to center

4A Passing of neiqhbor tunnel caused R/R = .042%
4B Passinq of neiqhbor tunnel caused R/R = .036%
4C Passinq of neiqhbor tunnel caused -R/R = .050%
4D Passinq of neiqhbor tunnel caused .'.R/R = .028% (a second neiqhbor
tunnel caused -R/R * .027%)
40 1 Passing of neighbor tunnel caused 'R/R = .010% (concrete lining)
Other sections Passing of neighbor tunnel caused 'R/R = .012 to .032% (concrete,
2.5 to 3 ’ thick)
4A Vertical load increase for multiple tunnels, from 15 to 25% of over
burden
4C Vertical load increase for multiple tunnels, from 9 to 15% of over
burden
4D Vertical load increase for multiple tunnels, from 8 to 95% of over
burden. Vertical load on 4D also influenced by increase in embank
ment load.
Chicago, S6, Distance neighbor tunnel: 28.5' center to center

1940 Passing of neighbor caused R/R = .10% (Skew distortion)
Subsequent distortion increase erratic; total (stable after 400 days)
AR/R = .25%
Final pressure measured on tunnel invert 3.3 ksf
Chicago, S3, Distance neighbor tunnel: 27.8' center to center

1940 Struts placed in first tunnel during passing, subjected to very
small loads
Passinq of neighbor tunnel caused £R/R * -.10% but the distortion
quickly reversed at accelerated rate
Release of air pressure: Distortion accelerated, may have caused
increase in ultimate distortion of a r / r = .25%
Ultimate distortion .25%
Note: For further details, see Table VII.
256
1.5.9 Influence of External Conditions: f a i l u r e o c c u r s , t h e p r e s s u r e on t h e n e a r

Other Factors s i d e may b e c o m e z e r o a n d t h e b a s e s u p p o r t o f
t h e t u n n e l may a l s o b e a f f e c t e d . Recommend
I t has a lr e a d y been p o in te d o u t t h a t a r e a t io n s fo r d e sig n o f a tu n n e l t o cope w ith
d u c tio n in a i r p r e ssu r e a f t e r a l in in g i s t h e many p o s s i b i l i t i e s a r e d i s c u s s e d s u b s e
in p la c e c a u s e s a c o r r e s p o n d in g in c r e a s e in q u en tly . S tr u c tu r a l i n t e g r i t y in th e lo n g i
r in g lo a d . I f the lin in g i s c ir c u la r , i t t u d in a l d i r e c t i o n i s a t l e a s t as im portant
h a s a n e g l i g i b l e e f f e c t o n t h e b e n d i n g mo under th e s e c o n d it io n s as i s th a t in p la n e s
m ents in t h e l i n i n g . I f the lin in g i s not norm al to t h e a x i s o f th e tu n n e l.
c i r c u l a r , t h e b e n d in g e f f e c t s d e p e n d on t h e
f l e x i b i l i t y o f the lin in g . I f the lin in g J a c k i n g l o a d s from a d v a n c in g s h i e l d s , o r r e
i s f l e x i b l e , a s l i g h t d i s t o r t i o n may o c c u r , a c t i o n s f o r t u n n e l i n g m a c h i n e s , make s e v e r e
a s may b e j u d g e d fr o m F i g . 1 3 . If it is demands on l i n i n g s , e s p e c i a l l y s i n c e th e
p r a c t i c a l l y r i g i d , m om ents w i l l d e v e l o p a f f e c t e d p o r tio n o f the lin in g i s near the
c o rresp o n d in g to th e u n ifo rm ly d is t r ib u t e d h e a d in g w here e q u ilib r iu m has n o t y e t been
a ir lo a d in g . The r e s t o r a t i o n o f g r o u n d a c h iev ed . N on u n iform c o n d i t i o n s i n t r o d u c e
w a ter p r e ssu r e s in p e r v io u s s o i l , a f t e r e c c e n t r i c i t i e s ten d in q to c a u se b u c k lin g ,
c o n s t r u c t io n w ith th e a id o f d r a in a g e , has c r u s h i n g an d t w i s t i n g . I n many i n s t a n c e s , a
sim ila r e f f e c t s . lin in g adeguate to w ith sta n d th e s e lo a d in g s
i s f u l l y c a p a b le o f w ith sta n d in g a l l o th e r
I t i s common p r a c t i c e t o c o n s i d e r t h e e f f e c t c o n d i t i o n s t o w h i c h i t may b e s u b j e c t e d .
o n a t u n n e l l i n i n g o f t h e w e i g h t o f an a d
ja c e n t or n eig h b o rin g b u ild in g . The l i n i n q F i n a l l y , th e e f f e c t o f sh rin k a g e in c a s t - i n -
i s c o n s i d e r e d t o b e a c t e d o n by v e r t i c a l p l a c e c o n c r e t e l i n i n g s may b e s i g n i f i c a n t ,
an d l a t e r a l p r e s s u r e s u s u a l l y c a l c u l a t e d by e s p e c i a l l y in th e lo n q it u d in a l d i r e c t i o n .
th e th eory of e l a s t i c i t y . That such a p r o The e f f e c t i s o f t e n a q g r a v a t e d by c o n t r a c t i o n
c e d u r e h as no b a s i s i n r e a l i t y i s e v i d e n t c a u s e d b y t h e t e m p e r a t u r e d r o p fr o m t h e h i g h
a g a in s t th e background o f th e s e m i-e m p ir ic a l t e m p e r a t u r e s t h a t may p r e v a i l a t t h e h e a d i n g
approach. As t h e t u n n e l h e a d in q p a s s e s th e i f th e c o n c r e t e i s p la c e d under com p ressed
l o a d e d a r e a , som ewhat q r e a t e r r a d i a l d e fo r m lir . The c f f e c t s , i f i n a d e q u a t e l y g u a r d e d
a t i o n s a n d d i s t o r t i o n s m i g h t be e x p e c t e d . i n . i i n s t , may l e a d t o f a r q r e a t e r c r a c k i n g
th an w here t h e lo a d i s not p r e r e n t . To t h e nn>l d e t e r i o r a t i o n o f t h e l i n i n g t h e n a n y
e x t e n t t h a t t h e s e w ou ld t a k e p l a c e b e f o r e d e f e c t s due t o i n a c c u r a t e e v a l u a t i o n o f t h e
t h e p rim a ry l i n i n q i s i n s t a l l e d , b e f o r e the f o r c e s or d e f o r m a t io n s in p la n e s p e r p e n d ic u
t a i l p i e c e c l e a r a n c e i s qroutec! b e h in d a la r to the a x i s o f the tu n n e l.
s h i e l d , or b e f o r e l i n i n q i s expanded a q a ii.s t
t h e s o i l b e h i n d a m o l e , t h e l i n i n c w o u l d l.r 1 . 5 . 1 0 R ecom m ended D e s i g n P r o c e d u r e s
u n a f f e c t e d by t h e l o a d i n q . I ' n l e s s the r e v c -
m e n t s w e r e s o much g r e a t e r t h a n u s u a l a s t c T h e o r e t i c a l s t u d i e s and t h e i n c r e a s i n g s t o r e
l e a d t o e x c e s s i v e l o s s o f qrour.d, t h e i r house o f f u l l - s c a l e f i e l d o b s e r v a t io n s le a d
m a g n i t u d e w o u l d b e o f no c o n s e q u e n c e . As a t o t h e c o n c l u s i o n t h a t no t u n n e l l i n i n g i s
m atter o f f a c t , e x p e rien ce in d ic a te s that l i k e l y t o be a c t e d u p o n by f o r c e s c o r r e s p o n d
such lo a d s o r d in a r ily produce a d d itio n a l in g to th e c l a s s i c a l s t a t e s o f a c t i v e or
d i s t o r t i o n s s o m inor t h a t t h e y a r e n o t d i s p .issiv e e a rth p r e ssu r e , or even e a rth p r e s
c e r n i b l e in norm al tu n r .e lin q o p e r a t i o n s . sure at r e s t . D e s ig n b a se d on su ch c a l c u
F u rtherm ore, i f th e d i s t o r t i o n s are c o m p le t l a t i o n s s h o u l d be d i s c o n t i n u e d . I n d e e d , any
ed b e f o r e a se c o n d a r y or perm anent l i n i n q i s d e s i q n p r o c e d u r e b a sed on t h e p r e m is e t h a t
p l a c e d , t h e p r e s e n c e o f t h e l o a d i n g h a s no the lin in q c o n s t i t u t e s a str u c tu r e acted
i n f l u e n c e on t h e s e c o n d a r y l i n i n g . By up on by a f i x e d s y s t e m o f l o a d s r e s t s u p on a
u n d erg o in g s l i g h t l y g r e a t e r d i s t o r t i o n s as f a l l a c y ; e v en p r o c e d u r e s t h a t a l l o w f o r m od i
th e tu n n e l g o es by, th e s o i l d e v e lo p s sh e a r f i c a t i o n s o f s u c h l o a d s by i n v o k i n g t h e c o n
ing s t r e s s e s c a p a b le o f su p p o rtin g th e e x tra c e p t o f a m od u lu s o f s u b q r a d e r e a c t i o n a r e
load b e fo r e th e tu n n el i s lin e d . The s u b e q u a lly o b j e c tio n a b le because they ig n o re
se q u e n tly e r e c te d l in in g e x p e r ie n c e s th e se the o v e r r id in g in f lu e n c e o f th e d e fo rm a tio n s
s t r e s s e s o n ly to the e x te n t th a t th e sh ea r o f t h e s o i l m ass t h a t o c c u r b e f o r e t h e l i n
ing s t r e s s e s r e la x . in g i s c a p a b le o f c a r r y in g s t r e s s .
E x c a v a tio n o f a d eep basem ent a d ja c e n t to To a v o i d t h e e x c e s s i v e c o s t , an d s o m e t i m e s

a n e x i s t i n g t u n n e l may l e a d t o a r a d i c a l t h e d a n g e r , o f d e s i g n b a s e d on a s y s t e m o f
ch a n g e in t h e s t r e s s e s o r d e f o r m a t io n s in f i x e d l o a d s , and t o g a i n t h e a d v a n t a g e s o f
the lin in g . The e x t e n t o f t h e c h a n g e d e u t i l i z i n g th e not in c o n sid e r a b le str e n g th o f
p e n d s on t h e l a t e r a l m ovem ents p e r m i t t e d in th e su rro u n d in g s o i l s , a s e m i-e m p ir ic a l d e
th e s o i l a t th e edge o f th e e x c a v a tio n . It sig n proced ure i s w arran ted . It c o n sists
i s c o m m o n ly a s s u m e d t h a t e a r t h p r e s s u r e a t o f 4 sep arate ste p s:
r e s t a c t s on t h e f a r s i d e o f t h e tu n n e l
w h e r e a s a c t i v e e a r t h p r e s s u r e a c t s on t h e 1. P ro v id e a d e q u a te ly fo r the r in g load to
n e a r s i d e ; t h i s a s s u m p tio n i s l i k e l y t o be be e x p e c t e d .
o v e r ly c o n s e r v a tiv e , becau se d isp la cem en t o f
t h e t u n n e l tow ard t h e e x c a v a t i o n c a u s e s r e 2. P ro v id e fo r th e a n t ic ip a t e d d isto r tio n s
d u c t io n o f e a r t h p r e s s u r e on th e f a r s i d e due to b e n d in g .
as w e ll. On t h e o t h e r h a n d , i f t h e e x c a
v a tio n i s so p o o r ly c o n t r o lle d th a t a slo p e 3. G iv e a d e q u a te c o n s i d e r a t i o n to the
257
PECK.
p o ssib ility o f b u ck lin q . sh ape a s th e tu n n e l w ere i n s t a l l e d in s o i l

co m p a ra b le t o t h a t a t t h e s i t e . I f the
4. Make a l l o w a n c e f o r a n y s i g n i f i c a n t e x change in d ia m eter i s a c c e p t a b le w ith r e
t e r n a l c o n d i t i o n s n o t i n c l u d e d i n (1 ) sp e c t to th e n o n -str u c tu r a l req u irem en ts,
t o (3 ) a b o v e . two c o u r s e s o f a c t i o n a r e o p e n : (1 ) t o
p r o v i d e an e s s e n t i a l l y f l e x i b l e l i n i n g su ch
For e a ch o f t h e s t e p s , reco m m en d a tio n s a r e as one c o n s is t in g o f a r t ic u la t e d b lo c k s , or
g i v e n t o t h e e x t e n t j u s t i f i e d by t h e p r e (2 ) t o p r o v i d e a c o n t i n u o u s l i n i n g t h a t c a n
sen t s ta te o f the a r t. Lack o f e n o u g h i n e x p e r i e n c e a c h a n g e i n sh a p e from c i r c u l a r
fo r m a tio n t o p e r m it a recom m en dation i s t o e l l i p t i c a l , by an am ount c o r r e s p o n d i n g
i n d i c a t i v e o f need fo r fu r th e r o b s e r v a t io n a l to th e change in d ia m e ter , w ith o u t o v e r
d ata. stress. The l i m i t i n g s t r e s s , w h e t h e r i n
t h e e l a s t i c o r i n e l a s t i c r a n g e , s h o u l d be
1. R ing L oad. A c c o r d i n g t o F i g . 12 t h e a s c e r t a i n e d by t h e d e s i q n e r a c c o r d i n q t o t h e
r in g lo a d in th e l i n i n g o f a s i n g l e tu n n e l, s t r e s s - s t r a i n p r o p e r tie s o f the m a te r ia l.
e x c e p t p o s s ib ly in s w e llin g c la y s , i s l i k e A lte r n a tiv e 2 i s s l i g h t l y c o n s e r v a tiv e , be
l y a lw a y s t o be c o n s i d e r a b l y s m a l l e r th an c a u s e t h e ch an q e in d ia m e te r w i l l be red u c ed
th a t co rresp o n d in g to th e overburden p r e s by w h a t e v e r s t i f f n e s s t h e l i n i n g p o s s e s s e s .
su re pz > N e v e r th e le s s , i t i s su g g ested
t h a t t h e r in g lo a d f o r d e s i g n be ta k e n a s I f m u l t i p l e t u n n e ls a r e t o be c o n s t r u c t e d ,
t h e sam e p r o c e d u r e s h o u l d b e f o l l o w e d e x c e p t
t h a t due t o an a l l - a r o u n d p r e s s u r e p z = y z .
t h a t t h e l i n i n g s h o u ld be e x p e c t e d t o a c
P r e s e n t k n o w led g e i s in a d e q u a te t o p e r m it c o m m o d a te t h e a d d i t i o n a l d i s t o r t i o n a s s o c i
a more r e f i n e d e s t i m a t e . F urtherm ore, fo r a ted w ith th e su bseq uent t u n n e ls . I f p rim a ry
l i n i n g s o f s u c h c o m m o n ly u s e d m a t e r i a l s a s and s e c o n d a r y l i n i n g s a r e u s e d , t h e p o s s i
s t e e l , c a s t iro n or s tr u c tu r a l c o n c r e te , b i l i t y sh o u ld be i n v e s t i g a t e d o f d e l a y in g
d e s i g n f o r a r i n g t h r u s t t o w i t h s t a n d an placem ent o f th e seco n d a ry l in in g u n t i l a l l
a l l - a r o u n d p r e s s u r e yz w o u ld n o t u s u a l l y tu n n e ls have been d r iv e n .
i n c r e a s e t h e minimum c r o s s - s e c t i o n s t h a t
w ou ld be u s e d f o r p r a c t i c a l r e a s o n s . The S tu d ie s are needed to d eterm in e th e d i s t o r
d e s ig n p r e ssu r e yz a l s o p r o v id e s a s a t i s t i o n s t h a t may s a f e l y b e e x p e r i e n c e d by u n
f a c to r y a llo w a n c e fo r th e in f lu e n c e o f r e i n f o r c e d q u n i t e or s h o t c r e t e l i n i n q s in
a d ja cen t tu n n e ls. c o m b in a tio n w ith r in q s t r e s s e s .
In h e a v i l y o v e r c o n s o l i d a t e d c l a y s su ch as 3. n u ck lin q . P r o v i s i o n s s h o u ld be s p e c i
t h o s e i n London, i t m ig h t be p r e f e r a b l e t o f i e d and e n f o r c e d f o r u n i f o r m c l o s e l y s p a c e d
p r o v id e fo r a r in g load co rr esp o n d in g to th e b lo c k in q , u n iform f i l l i n q o f th e a n n u la r
p r e s s u r e 1 / 2 ( 1 + Kq >P z r a t h e r t h a n t o t h e sp a cc beh in d s h i e l d s , s y s t e m a t i c e x p a n s io n
overburden p ressu re pz i t s e l f . o f the lin in q a q a in s t s o i l , or proper t r e a t
ment o f s i m i l a r c o n d i t i o n s . S tru ctu ral fe a
t u r e s e x p l i c i t l y d e s ig n e d to p r e v e n t buck
I f some p r e s e n t l y n o v e l c o n s t r u c t i o n m a t e r i a l ,
l i n q can s a f e l y be o m i t t e d , w it h t h e e x
r e l a t i v e l y w e a k i n c o m p r e s s i o n , s h o u l d be
c e p t io n s p r e v io u s l y m en tio n ed .
c h o s e n f o r t h e l i n i n g , a more d e t a i l e d a n a l
y s i s o f th e r in g load fo r a s in q le tu n n el 4. E xtern al C o n d itio n s. The l i n i n g s h o u l d
w ou ld be j u s t i f i e d . F o r s u c h an a n a l y s i s , be d e s i g n e d w i t h a m p l e r e s e r v e s t r e n g t h
s u f f i c i e n t d a t a w o u ld be n e e d e d t o a l l o w f o r j a c k i n g l o a d s , an d f o r u n s y n u n e t r i c a l o r
c o n s t r u c t i o n o f a d iagram , s i m i l a r to F iq .
th ree-d im en sio n a l d is t o r t io n s l ik e l y a t
11a, fo r th e p a r t ic u la r c o n d itio n s o f the th e h ead in g i t s e l f .
p ro ject.
R e a s o n a b l e c i r c u m f e r e n t i a l and l o n g i t u d i n a l
I f a se c o n d a r y l i n i n g i s t o be p r o v id e d , i t s t r e n g t h and c o n t i n u i t y o f s e m i - r i g i d l i n
need be d e s ig n e d t o s u p p o r t o n l y i t s sh a r e i n g s s h o u l d be p r o v i d e d t o a l l o w f o r n o r m a l
o f th e a n t ic ip a t e d a d d itio n a l r in g lo a d . a d ja c e n t o p e r a tio n s such as p i l e d r iv in g or
T h is sh a re i s u s u a lly o n ly a sm a ll f r a c t i o n e x c a v a t in g on a sm a ll s c a l e . The l e g a l
o f the overburden lo a d . A d d itio n a l rin g l i a b i l i t y w ith r e s p e c t to e f f e c t s o f la r g e
lo a d due t o r e d u c t i o n o f a i r p r e s s u r e a d j a c e n t e x c a v a t i o n s s h o u ld be i n v e s t i g a t e d .
s h o u l d be a p p o r t i o n e d t o p r im a r y and s e c I f l a t e r a l m ovem ents due t o e x c a v a t i o n c an
ondary l i n i n g in acco rd a n ce w ith t h e i r r e a s o n a b l y be l i m i t e d by a p p l i c a t i o n o f
s t i f f n e s s e s AE. m odern t e c h n i q u e s su c h a s c o n s t r u c t i n g s t i f f
and s t r o n q r e t a i n i n g w a l l s i n s l u r r y - f i l l e d
2. B en d in g. For a s i n g l e t u n n e l , an e s t i t r e n c h e s o r c y l i n d e r s , s u c h m e a s u r e s may b e
m a t e s h o u l d b e made o f t h e m a g n i t u d e o f t h e p r e fe r a b le , as needed, to g e n e r a l o v e r d e sig n
ch an ge in d ia m e te r m ost l i k e l y t o o c c u r i f o f a l l t u n n e l s t o m e e t unknown f u t u r e d e
a p e r f e c t l y f l e x i b l e l i n i n g o f t h e same m ands.
258
DEEP EX C A V A T IO N S A N D T U N N EL L IN G
2. DEEP EXCAVATIONS s u b s t a n t i a l body o f l i t e r a t u r e a lr e a d y e x i s t s

( F l a a t e 1 9 6 6 ) c o n c e r n i n g t h e l o a d s t o be
2 .2 In tr o d u c tio n e x p e cte d in s t r u t s su p p o rtin g th e v e r t i c a l
s i d e s o f e x c a v a t i o n s i n s o f t t o m edium s a t
T h is d is c u s s io n i s r e s t r i c t e d t o e x c a v a tio n s u r a t e d c l a y s an d i n c o h e s i o n l e s s s a n d s .
w ith v e r t i c a l s i d e s r e q u ir in g l a t e r a l sup T h i s i n f o r m a t i o n , s u m m a r i z e d b y T e r z a g h i and
p ort. I t d e a l s p r i m a r i l y w i t h t h e m ovem ents P e c k ( 1 9 6 7 ) , i s b r o u g h t up t o d a t e a n d i s
o f t h e s u r r o u n d i n g g r o u n d an d t h e m e a n s f o r s u p p le m e n te d by t h e r e s u l t s o f s i m i l a r o b
r e d u c i n g t h e i r m a g n i t u d e , and w i t h t h e s e r v a t i o n a l d a ta f o r c u t s in o th e r ty p e s o f
f o r c e s in sy stem s o f b ra c in g r e q u ir e d to m a t e r i a l s , p a r t i c u l a r l y s t i f f c l a y s an d c o
r e s t r i c t t h e m ovem ents o r t o p r e v e n t c o l h e siv e sands.
la p se o f th e s id e w a lls . The phenom ena o f
b a s e f a i l u r e and b o tto m h e a v e a r e a l s o c o n 2 .2 L a t e r a l M o v e m e n ts a n d S e t t l e m e n t s
sid ered .
2 . 2 . 1 C h a r a c t e r i s t i c M ovem ents
The m o vem en ts o f t h e s o i l s u r r o u n d i n g a
deep e x c a v a tio n are r e s p o n s ib le fo r s e t t l e I t has been o b served th a t sa tu r a te d p l a s t i c
m ent o f t h e a d j a c e n t ground s u r f a c e . To c la y s ex p erien ce a c o n s is t e n t p a tte rn o f
a v o i d d a m a g e t o s u r f a c e i n s t a l l a t i o n s and d e f o r m a t i o n a s m a t e r i a l i s rem oved from t h e
t o a s s e s s th e need fo r u n d erp in n in g nearby sp a c e betw een th e w a l l s o f a tem p orary b r a c
s tr u c tu r e s , th e en g in eer needs to e stim a te ing s y s te m . E x c a v a t i o n r e d u c e s t h e l o a d on
t h e m a g n i t u d e s o f t h e s e t t l e m e n t s an d t h e i r th e s o i l b e n e a th th e c u t , w hereupon th e
pattern of d is tr ib u tio n . The s e t t l e m e n t u n d e r l y i n g s o i l t e n d s t o m ove u p w a r d . The
d e p e n d s o n t h e p r o p e r t i e s o f t h e s o i l , on s o i l a lo n g s id e th e s h e e t in g or o th e r su p
t h e d i m e n s i o n s o f t h e e x c a v a t i o n , on t h e p o r t i n g s i d e w a l l s t e n d s t o m ov e i n w a r d ,
g e n e r a l p r o c e d u r e o f e x c a v a t i o n and b r a c i n c e v e n a t l e v e l s b e lo w t h a t t o w h ic h t h e c u t
e m p l o y e d , an d o n t h e w o r k m a n s h i p . As i t has p r o g r e s s e d , b e fo r e c r o s s - b r a c in g or
d oes fo r tu n n e ls , the l a t t e r fa c to r p la c e s o t h e r t y p e s o f s u p p o r t ca n be p r o v i d e d . On
a s e v e r e l i m i t a t i o n on t h e p o s s i b i l i t y o f a c c o u n t o f t h e r i s e o f b o t t o m and t h e i n
m aking v a l i d p r e d i c t i o n s o f s e t t l e m e n t s ward l a t e r a l m o v e m e n t , t h e g r o u n d s u r f a c e
s o l e l y o n t h e b a s i s o f t h e o r y and s o i l su rrou n d in g the c u t s u b s id e s .
tests. O b se r v a tio n a l d ata a re needed a s a
g u id e t o judgm ent. S e v e r a l s e t s o f co m p reh en siv e o b s e r v a t io n s
h a v e r o c c n t l y b e e n c a r r i e d o u t i n O s l o and
The o b s e r v a t i o n a l d a t a a r e n o t y e t p l e n t i f u l . d e s c r i b e d in a s e r i e s o f T e c h n i c a l R e p o r ts
T h e y c o n s i s t i n som e i n s t a n c e s o f m e a s u r e by t h o N o r w c q i a n G e o t e c h n i c a l I n s t i t u t e
m e n t s o f s e t t l e m e n t a t v a r i o u s p o i n t s on (Ni~,i 1 1 6 2 - f i f i ) . The r e s u l t s f o r o n e c u t a r e
t h e ground s u r f a c e a d j a c e n t t o open c u t s , s'lown i n F i g s . 14 and 1 5 . F i g . 14 s h o w s
and o f t h e r e s u l t s o f o b s e r v a t i o n s o f s e t t h e m a n n er i n w h i c h t h e s e t t l e m e n t s o f t h e
tlem en ts o f b u ild in g s . In o t h e r i n s t a n c e s q r o u n d s u r f a c e an d t h e in w a r d m o v e m e n t s o f
m e a s u r e m e n t s h a v e b e e n made o f t h e l a t e r a l th e s h e e t - p i l e w a lls d e v e lo p ed in r e l a t io n
movement o f t h e r e t a i n i n g s t r u c t u r e s a s e x to th e in s e r t io n o f s t r u t s a s th e e x c a v a tio n
c a v a tio n p r o c ee d s. In a few i n s t a n c e s , b o th deepened. In F i q . 15 t h e s o l i d l i n e r e p r e
t y p e s o f o b s e r v a t i o n s h a v e b e e n made a t t h e s e n t s th e area b eneath th e s u c c e s s i v e s e t
sam e l o c a t i o n . The a v a i l a b l e d a t a a r e t l e m e n t c u r v e s in F iq . 1 4 , o r th e volum e o f
a ssem b le d in C h ap ter 7. s e t t le m e n t per u n it len q th o f c u t , as a
fu n c tio n of tim e. The d e p t h o f e x c a v a t i o n
I t i s w e l l known t h a t d e e p e x c a v a t i o n s w i t h w i t h r e s p e c t t o t i m e i s sh ow n by t h e d a s h
v e r t i c a l s i d e s c a n n o t be made i n s o f t c o lin e . The s e p a r a t e p o i n t s i n t h e d i a g r a m
h e s i v e s o i l s beyond a c r i t i c a l d ep th a t r e p r e s e n t th e a r e a s under th e v a r io u s c u r v e s
w h ic h b a s e f a i l u r e o c c u r s . H eaves o f th e o f l a t e r a l d isp la c e m e n ts o f the s h e e tin g .
b ottom s o f l a r g e e x c a v a t i o n s w ith accom pany The p r o x i m i t y o f t h e p o i n t s t o t h e s e t t l e -
in g a d ja c e n t s e t t l e m e n t s h ave, how ever, a l s o m e n t - a r e a c u r v e d e m o n s t r a t e s t h a t t h e volum e
been n oted in s e v e r a l i n s t a n c e s in e x tr e m e ly o f s e t t le m e n t su rro u n d in g th e s t r u c t u r e i s
s t i f f c la y s. T h e s e p h en o m en a an d t h e i r a p p r o x i m a t e l y e q u a l t o t h e volum e o f l o s t
c a u s e s a r e d i s c u s s e d i n C h a p te r 8. g r o u n d a s s o c i a t e d w i t h t h e inw a rd m ovement
o f the v e r t i c a l w a lls . The l a t t e r v o l u m e i n
I f an e s t i m a t e o f s e t t l e m e n t i n d i c a t e s t h a t tu r n i s r e l a t e d t o t h e volum e o f h e a v e
t h e m ovem ents w i l l be e x c e s s i v e o r i f c a l below th e bottom o f th e e x c a v a t io n betw een
c u l a t i o n s i n d i c a t e t h e l i k e l i h o o d o f bottom th e lim it s o f the v e r t ic a l w a lls . The
h ea v e or b a se f a i l u r e , r e f i n e m e n t s in work o b s e r v a tio n s lea d to th e c o n c lu sio n th a t
m an sh ip a l o n e c a n n o t a p p r e c i a b l y r e d u c e t h e s e t t l e m e n t n e a r an o pen c u t c a n be r e d u c e d
u n d esira b le consequ en ces. In stead , ra d ica l o n l y i f t h e in w ard movement o f t h e s h e e t i n g
a l t e r a t i o n i n t h e m e th o d o f e x c a v a t i o n and an d t h e h e a v e c a n b e s u b s t a n t i a l l y r e d u c e d .
o f p r o v id in g su p p o rt i s m andatory. Several In s o i l s o t h e r th an s a t u r a t e d c l a y s t h e
o f t h e more s u c c e s s f u l a l t e r n a t i v e s w it h v o l u m e o f s e t t l e m e n t and t h e v o l u m e o f
d i s c u s s i o n s o f t h e i r a d v a n t a g e s an d l i m i t a l a t e r a l m o v e m e n t o f t h e s h e e t i n g may n o t b e
t i o n s a r e c o n s id e r e d in C hapter 9. eq u a l. N e v e r t h e le s s , even fo r t h e s e m ater
i a l s , r e d u c t io n in s e t t l e m e n t can be a c h ie v e d
F i n a l l y , t h e l o a d s a r e c o n s i d e r e d f o r w n ic h m o st e f f e c t i v e l y by r e d u c in g t h e l a t e r a l
t h e t e m p o r a r y s u p p o r t s may b e d e s i g n e d . A m ovem ents o f t h e w a l l s .
259
PfCK.
Fig. 14. Relation of Progress of Construction to Lateral Movements of Sheeting and Settle
ments Adjacent to Open Cut in Soft Clay in Oslo (Vaterland 1)
Experience has also indicated that the stiff

nesses of ordinary soldier piles and of
steel aheet pilinq, even of heavy section,
are not usually qreat enough to have a sig
nificant effect on the magnitude of the
6 lateral movement of the wall. The lateral
I movement of walls of these types may, how
ever, be substantially reduced by the in
sertion of supports such as struts at rela
tively close vertical spacing. In recent
A re a
o
A re a
> years several methods have been developed

o for constructing much stiffer boundary walls
before the excavation is made. These walls
S e ttle m e n t
also require horizontal support at vertical

D e fle c tio n
o intervals but, under comparable conditions,

the intervals need not be as small as for
JC more flexible types of exterior walls.
.
Q. Nevertheless, benefits of the more rigid
€>
a walls may not always be as great as antici
pated by the designers. This point is dis
cussed further in Chapter 9.
The most important variable that determines

the amount of movement is not the stiffness
of the exterior walls or the vertical
spacing of the bracing, but the character
Fig. 15 Comparison of Volume of Settlement istics of the surrounding soils. Hence, in
A g and Volume A^ Represented by the following summary of lateral movements
of the walls of support systems, the inform
Lateral Displacement of Sheeting
ation is classified in accordance with the
for Cut Illustrated in Fig. 14
principal types of subsurface materials.
260
2.2.2 Sunmary of lateral Movement* of vertical wall into equal thirds. In thi'B
Vertical Earth Supports instance, however, the tiebacks were pre
stressed to 110% of the load calculated on
Cohesionless Sands the basis of earth pressure at rest. With
this prestress the horizontal displacement
A tieback system for bracing the soldier- of the top anchor was only about 0.2 inch.
pile walls of an excavation 37 ft deep in That of the lower anchor was about 0.1 inch.
dense sands overlain by a layer of loose
sand is shown in Fig. 16 (Rizzo at al 1 9 M ) . Cohesive Granular Soila
The tiebacka consisted of driven H-piles
prestressed to approximately 50% of the load The results of observations of one side of a
calculated for the condition of active earth cut in clayey sands, silty sands and sandy
pressure. The wales through which the tie- clays are illustrated in Fig. 17. The walls
backs transferred their forces to the consisted of soldier piles and timber lag
soldier piles were located at the third- ging. Only the final movements after com
points of the height of the wall. The sol pletion of excavation are shown, and even
dier piles and the upper set of tiebacks these are very small, as might be expected
were installed at the bottom of an initial in the rather stiff soils. From the shape
excavation 10 ft deep. of the curve, however, it is evident that a
substantial part of the deformation took
place at a given elevation before the depth
L o te r o l of excavation had reached that level.
M ovem ent -
in ch **
0 12 3
I * l .i 1 . J
L o te ro l
M ovem ent,
S o il
C o n d itio n s
Loose M edium - Ojwsn
Groined Sond
Jun 2 0
Dense C lo y e y S ond v r r r r
20
O ct 2 0
V e ry Dense to
Dense Sond
: Nov 2 0
40
Very S tiff Sondy
I___I___I___l— l
Cloys ond Dense :D e c 15
FM t
Clayey Sands
Very S t i f f to 60- Jon. 2 5

Fig. It. Section through Cut in Sand Sup
H ard SiMy Cloy r r r r r r r r r T T T T T T
ported by Tieback System; Lateral
Movement of Soldier-Pile Wall
during Excavation A ll S tr u t s
W ere
^ End o f Boring 80- P re s tre s s e d
The lateral displacement of the wall at the
end of the excavation period is shown at
the right-hand side of the figure. Subse
quent movements were negligible. The lor-
izontal displacement of the top anchor
reached about one inch. The soldier piles
moved inward by amounts .decreasing with
depth from a little over 2 inches at the
ground surface to about zero at the bottom
of the cut. Fig. 17. Section through Cut in Dense Co
hesive Sands and Stiff Silty or
For an opposite wall in the same cut, exca
Sandy Clays, Supported by Cross-
vated to a depth of 21 ft, a similar bracing Lot Bracing, in Oakland, Califor
system was used. It, too, consisted of two nia; Lateral Movement of Soldier-
sets of tiebacks with wales subdividing the
Pile Wall during Excavation
261
PECK.
An unusually deep cut beneath sloping ground, Although the movements and accompanying
extending to 78 ft below street level on the settlements shown in Fig. 18 were small for
uphill side, was made through very stiff a cut of such large dimensions, the settle
clays, dense sands and silts, and dense ments of the side streets near the uphill
sands in Seattle (Shannon and Strazer 1968). ends of the cut were even smaller. It is
Most of the sandy materials displayed some believed that construction many years ago of
cohesion. The bracing consisted of soldier the railroad tunnel shown in Fig. 18 dis
piles and lagging with tieback anchors at turbed the overlying soil severely, as
8 levels as shown in Fig. 18. Lateral mov e settlements due to tunnelinq were noted at
ments were measured by means of horizontal that time well outside the limits of the
extensometers and surface surveys. The street (see Fig. 4) .
movements shown in Fig. 18 are those ob
served during excavation between the two Soft and Medium Clays
levels shown in the figure. The previous
lateral movements were less than 0.5 inch A considerable amount of information has
except at the top of the soldier piles become available concerning the lateral
where they reached 1.5 inch. Those values movements of cross-braced walls in plastic
followed in the figure by a ”+" are smaller clays of very soft to medium consistency.
than the actual movements because the One example, representing an open cut in
reference points for the extensometers did Oslo, has been illustrated in Fig. 14. Ad
not extend beyond the zone of influence of ditional profiles of the deflection of
the excavation. bracing systems for several cuts in Oslo,
M o vem en t s of Point s on Ground S u r f o c e , I n ch e s

H o rizo n t o l 1.4 12 0 9
V e r t ico l 1.9 0 .7 0 .5
Fi ll
V ery St i f f
Silt y Clay
- 20
Approximate Limit D en se to Very D ense

of Zone of Silt y Sa n d and
-40 Displacem ent Silt W ith Org anic
10- 1 Se a m s
1.2"
-60 A p r il 1,1967
Anchor for
V ery Dense Silt y
H orizont al
Ex t ensom et er Fin e t o M edium
M oy 1 5 ,1 9 6 7
'/MlI R f . r'^\ 'W 'I 1 So n d
-80
Soldier S
Pile s H a rd Silt y Clay
W ith Slick en slides
-100 r M easured H orizont al
\ D isp lacem en t
3 .0 "
3 .0 M easured V ert ical

H ard San d y, Gravelly
- 120 D isplacem ent
Clayey Silt
(Gla cia l T i l l )
-140
Fig. 18. Section through Cut in Very Stiff Clays and Dense Slightly Cohesive Sands, Sup
ported by Tieback System, in Seattle; Movements of Soldier-Pile Wall during Exca
vation between Levels Shown
262
D e f le ct io n in C e n t im e t e r s
M e t e rs
10 15
Ovm
in
1
D ay 91 C>0jr 3 2
Depth
\ 133
\
144
153
161
10
Doy I 7 0 \
15
Bedrock
y
/
Oslo Subw 3y
V o t e r land 2
30/ 148
Le v e l of S t r u t W h ich W as I n st a lle d on D ay 3 0 and Rem o ved on Oay 148
P r o f ile of D e f le ct io n on D oy 9 7
A p p r o x im a t e Su r f o ce of Ex ca v a t i o n on D oy 9 7
Fig. 19. Proixles of Deflections of Soldier-Pile and Sheet-Pile Halls of Various Open Cuts
in Plastic Clays of Very Soft to Medium Consistency
263
PECK.
Chicago and Mexico City (Flaate 1966, Rodrf-
guez and Flamand 1969) are shown in Fig. 19.
La t e r a l
The significant events are related by num
M ovement,
bers indicating the number of days since the
In ch es
beginning of excavation.
The diagrams show clearly that the lateral

movements associated with very soft to m e d
ium plastic clays substantially exceed those
in cohesive granular soils or in cohesion
less soils, although admittedly there is
only one example of each of the latter.
They also indicate that large and often
excessive movements develop if excavation
proceeds too deeply before the uppermost
strut is placed. In two of the cuts (Chi
cago Contracts S1A and K 5 ) , a substantial
part of the movements could have been pre
vented if the top strut had been inserted
while excavation was at a shallower depth.
The observations appear to justify the
recommendation of Peck (1943) and Ward
(1955) that the top strut should be in
stalled before the excavation exceeds a
depth equal to 2su/y.
At those cuts in which the uppermost struts

were inserted before the depth of excava
tion had exceeded 2 s u / y , most of the defor
Fiq. 20. Raker Support System for Cut in
mation occurred below the excavation level Very Soft to Soft Clay in Chicago,
prevailing at any given time. The inward and Deflected Position of Sheeting
movement accumulated in this manner durinq before Prestressing Top Raker and
the complete excavation of the cut repre Immediately after Prestressing the
sents inevitably lost ground and settlement Lower Street
associated with the construction procedure
in spite of good workmanship.
In wide excavations it is customary co leave

a sloping berm of earth against the wall of
the bracing system while the central portion D e fle ctio n ,
of the site is excavated to base level and Inches
the foundation slab cast. Inclined or rak 1.0
ing struts are then installed from the edge
of the foundation slab, parallel to the 114 a £
slope of the berm, to a wale installed near l3 ,- \ V 0 — Prestress
the ground surface. Excavation th»*n pro 110- Doy 112,
ceeds in sections as the berm is cut away S ettlem en t
Day
and additional raking struts are inserted o f B uilding
as shown in Fig. 20. Although the stability 110 0 . 0 5 0 ft
of such a berm in a cohesive soil may be 114 0 .0 5 2 f t
fully adequate, the movements at the top of
the wall may be excessive because of deflec 131 0 .0 6 7 f t
tion of the berm. The pattern of movements
is exemplified by Fig. 20 (Lacroix 1966).
S tiff C lo y
To reduce the movements adjacent to the cut,
it may be necessary to provide generous 135 s „ - 1.4 to 3 .2 k s f
berms that should not be removed until the 20-
uppermost line of raking struts has been
installed.
M Z - 2 7 Sheet P ile s
The lateral movements of the soil adjacent
to a deep basement excavation in clay in
St. Louis are shown in Fig. 21 (Lacroix and
Perez 1969). The effect of prestressing
the upper raker is apparent. The raker
effectively prevented further inward move Fig. 21. Raker Support System for Cut in
ment at the top. Below the upper raker the Medium Clay in St. Louis, and De
inward movement of the wall followed the flected Positions of Sheet-Pile
usual pattern for cross-lot bracing without Wall before and after Prestressing
berms. Top Raker and Shortly before Com
pletion of Excavation
264
S t i f f C la y s ground s u r f a c e a d ja c e n t t o c u t s in such
m a te r ia ls. A g a in , th e la c k o f in fo r m a tio n
O nly a few d i r e c t m ea su rem en ts o f l a t e r a l s u g g e s t s t h a t t h e m ovem ents a r e g e n e r a l l y
m ovem ents o f t h e w a l l s o f e x c a v a t i o n s i n t o sm a ll. The s e t t l e m e n t s a l o n g t h e p r o p e r t y
s t i f f p l a s t i c c la y s have been r e p o r te d . In l i n e s , a b o u t 20 f t fr o m t h e e d g e o f t h e s u b
H o u s t o n (ENR 1 9 6 8 ) , a l a r g e e x c a v a t i o n w a s way s t a t i o n c u t i l l u s t r a t e d i n F i g . 1 7 , d i d
made t o a d e p t h o f 60 f t t h r o u g h c l a y s n o t e x c e e d 0 . 5 i n c h and w e r e u s u a l l y l e s s
h a v in g a v e ra g e u n d rain ed sh ea r s t r e n g t h s o f th a n 0 .2 in c h . The s o i l s c o n s i s t o f s t i f f
r o u g h l y 3 k i p s p e r sq f t ( r a n g i n g from a b o u t c l a y e y s a n d s and sa n d y c l a y s . The s m a l l
1 t o 6 k ip s per sq f t ) . The s i d e w a l l s c o n settlem en t a d ja c e n t to th e c u t in S e a t t le ,
s is t e d o f 3 - f t r ein fo rced co n crete c y lin d e r s in s p i t e o f th e p r e v io u s d istu r b a n c e o f th e
75 f t d e e p , s p a c e d a t 4 . 5 f t c e n t e r - t o - s o i l by t u n n e l i n g , h a s b een n o t e d ( F i g . 1 8 ) .
cen ter. E x c a v a t i o n w as c a r r i e d t o g r a d e and
a p o r tio n o f th e base s la b c a s t w h ile The c o h e s i o n p o s s e s s e d b y m a t e r i a l s i n t h i s
s l o p i n g berms w ere l e f t around t h e e d g e s . category g r e a tly reduces th e ir s e n s it iv it y
An u p p e r s e t o f r a k i n q s t r u t s w a s i n s t a l l e d to seep age p r e s s u r e s . S in ce r a v elin g i s not
t o s u p p o r t t h e c y l i n d e r s a b o u t 20 f t fr o m a s s o c ia t e d w ith open c u t t i n g to th e e x t e n t
t h e t o p b e f o r e t h e berm w as r e m o v e d . A th a t i t i s in tu n n e lin q , th e e x c a v a tio n o f
s e c o n d s e t was p r o v id e d a b o u t h a l f - w a y d e e p c u t s i n s u c h m a t e r i a l s i s c om m on ly a
b e t w e e n t h e u p p e r s e t an d g r a d e l e v e l , and stra ig h tfo rw a rd o p e r a tio n . On t h e o t h e r
t h e e x c a v a t i o n w as c o m p l e t e d . The t o p s o f hand, th e l a t e r a l su p p o rt c a n n o t u s u a lly
t h e c y l i n d e r s m oved i n w a r d on t h e a v e r a q e be e l i m i n a t e d b e c a u s e t h e m a t e r i a l s te n d t o
about 3 /4 in c h . At m i d h e i q h t t h e movement s p a l l i f u n s u p p o r t e d , an d s l i c e s may d e s c e n d
was a b o u t 1 /4 i n c h , w h e r e a s t h e b o tto m fr o m t h e s i d e s i n t o t h e c u t .
r em ain ed p r a c t i c a l l y f i x e d (F o c h t 1 9 6 9 ) .
Satu rated P la s t ic C la y s
2 .2 .3 Summary o f S e t t l e m e n t s
C o n s i d e r a b l y m or e i n f o r m a t i o n i s a v a i l a b l e
C o h esio n le ss Sands c o n c e r n in g t h e im m ed ia te s e t t l e m e n t a d j a c e n t
t o c u t s in p l a s t i c c l a y s th an in t h e o t h e r
Few r e c o r d s a r e a v a i l a b l e o f t h e s e t t l e m e n t m a te r ia ls d isc u sse d above. T h is f a c t i s
o f t h e ground s u r f a c e a d j a c e n t t o c u t s in i t s e l f in d ic a tiv e th a t the s e ttle m e n ts
c o h e s io n le s s san ds. P r o j e c t s o f t h i s type a s s o c ia t e d w ith p l a s t i c c la y s are l i k e l y to
a p p e a r t o f a l l i n t o two c a t e g o r i e s . On t h e be a p p r e c i a b l y g r e a t e r th a n t h o s e a s s o c i a t e d
one han d, i f t h e sand i s a b o v e w a te r t a b i c w it h m ost o t h e r s o i l s . In a d d i t i o n , a p p r e c
o r i f t h e g r o u n d w a t e r h a s b e e n l o w e r e d and i a b l e d e l a y e d s e t t l e m e n t may d e v e l o p on
brought under c o m p lete c o n t r o l, a d ja c e n t account o f c o n s o lid a tio n .
s e t t l e m e n t o f d e n s e sand a p p e a r s g e n e r a l l y
t o be i n c o n s e q u e n t i a l. The a b s e n c e o f B o t h t h e m a g n i t u d e o f t h e s e t t l e m e n t s and
s e ttle m e n t reco rd s a t l e a s t su g g e s ts the th e ir d is t r ib u tio n as a fu n ctio n o f d ista n ce
absence o f se r io u s se ttle m e n ts. The s e t fr om t h e c u t a r e o f p r a c t i c a l i m p o r t a n c e .
t l e m e n t s o f l o o s e s a n d s o r g r a v e l s may b e Data f r o n v a r i o u s c u t s in s e v e r a l t y p e s o f
o n t h e o r d e r o f 0.5% o f t h e d e p t h o f t h e m a t e r ia ls appear to d e f in e th e zon es
c u t ( T e r z a g h i an d P e c k 1 9 6 7 ) . On t h e o t h e r s k e t c h e d in F i q . 2 2 , in w h ic h s e t t l e m e n t s
hand, w here g ro u n d w a ter has n o t been b rough t and d i s t a n c e s a r e p l o t t e d i n d i m e n s i o n l e s s
u n d e r c o m p l e t e c o n t r o l , l a r g e , e r r a t i c and forn a s f r a c t i o n s o f th e d epth o f th e c u t .
dam aging s e t t l e m e n t s due t o t h e f l o w or The p l o t p e r m i t s r o u g h e s t i m a t e s o f t h e
m ig r a tio n o f sa n d s i n t o a c u t a re n ot un s e t t l e m e n t s t h a t m ig h t be e x p e c t e d under
common. S e t t l e m e n t s o f t h i s t y p e c a n n o t be v a r io u s c o n d itio n s . S e t t le m e n t s due to
p r e d i c t e d b e c a u s e t h e y d e p e n d upon a c c i d e n c o n s o l i d a t i o n w ith in th e c o n s t r u c t io n p e r io d
t a l f e a t u r e s o f t h e s u b s o i l and o f t h e c o n are in c lu d e d . For s o f t c l a y s , s e t t l e m e n t s
s t r u c t i o n m eth od s. E xam ples m e r e ly i n d i c a t e a s g r e a t a s 0.2% o f t h e d e p t h o f t h e c u t may
th e p o t e n t ia l s e r io u s n e s s o f th e s e ttle m e n ts be e n c o u n t e r e d a t d i s t a n c e s e q u a l t o 3 o r
an d e m p h a s i z e t h e n e c e s s i t y f o r g r o u n d w a t e r 4 tim es th e d ep th .
c o n tr o l. The i n f l u e n c e o f w o r k m a n s h i p u n d e r
t h e s e c i r c u m s t a n c e s w a s i l l u s t r a t e d by W h i t e M o st o f t h e . c o n c l u s i o n s c o n c e r n i n g t h e mag
an d P a a s w e l l ( 1 9 3 9 ) i n t h e i r d e s c r i p t i o n o f n i t u d e o f s e t t l e m e n t and t h e d i s t a n c e t o
o p en c u t o b s e r v a t i o n s on t h e S i x t h Avenue w h ic h i t e x t e n d s from t h e s i d e s o f t h e c u t
Subway i n New Y o r k . In f u r t h e r d i s c u s s i o n s a r e n e c e s s a r i l y som ew hat i n d e f i n i t e b e c a u s e
o f t h i s sam e p r o j e c t , P r e n t i s and W h i t e o f t h e s m a l l num ber o f o b s e r v a t i o n s a v a i l
(1 9 5 0 ) p o i n t e d o u t t h e s e t t l e m e n t s and A h e r a b le . In c o n t r a s t , a c o m p r e h e n siv e stu d y
u n d e s i r a b l e c o n s e q u e n c e s o f t h e up w a rd s e e p o f s e ttle m e n ts a d ja c e n t to b u ild in g s i t e s
a g e p r e s s u r e s o f w a t e r f l o w i n g tow ard t h e i n d o w n to w n C h i c a g o ( I r e l a n d 1 9 5 5 ) i n c l u d e s
b o tto m o f a c u t i n sa n d from b e n e a t h a t i g h t t h e r e s u l t s o f s e v e r a l th o u sa n d o b s e r v a
tim b e r c u t o f f a s com pared to t h a t th ro u g h tio n s. F o r many y e a r s i t w a s t h e c u s t o m i n
more p e r m e a b le h o r i z o n t a l s h e e t i n g p r o v i d e d C h i c a g o t o make d e t a i l e d s e t t l e m e n t o b s e r
w ith d ra in a g e s l o t s . v a t i o n s on a l l s t r u c t u r e s w i t h i n a b o u t o n e
c i t y b lo ck o f a s i t e fo r th e c o n s t r u c t io n o f
C o h esiv e g r a n u la r S o i l s a new b u i l d i n g . At a l l th e b u ild in g s in
clu d ed in th e stu d y , th e fo u n d a tio n con
L i t t l e in fo r m a tio n i s a v a ila b le c o n cern in g s i s t e d o f h a n d -e x c a v a te d , C h ic a g o -ty p e
th e d is t r ib u tio n o f se ttle m e n ts o f the " ca isso n s" to th e hardpan, en cou n tered a t a
265
PECK.
Distance from E x c o vo tion
M axim um Depth o f E x c o v o tio n Zone I
Sand and Soft to Hard Clay
Average Workmanship
Zone II
al Very Soft to Soft Clay
1) Limited depth of clay below bottom of
excavation
2) Significant depth of clay below bot
tom of excavation but Ni3<Ncb ^See
Chapter 8)
b) Settlements affected by construction di f
ficulties
Zone III
Very Soft to Soft Clay to a significant
depth below bottom of excavation and with
V Ncb
Soft to Medium Clay Excavation, ft.
30 T T Note:
• Chicago, Illinois
38 All data shown are for excavations
O Oslo, Norway, Excludinq 20
using standard soldier piles or
Vaterland 1,2,3
sheet piles braced with cross
▼ Oslo, Norway, Vaterland 32 - 35
bracing or tiebacks.
1,2,3
6 Stiff Clay and Cohesive Sand 34 74
□ Cohesionless Sand 39 47
Fig. 22. Summary of Settlements Adjacent to Open Cuts in ''arious Soils, as Function of
Distance from Edge of Excavation
depth of about 75 ft below the street sur aoparent that significant settlements were
face, or to the underlying rock. Some of observed at considerable distances from the
the buildings had a single basement, some excavations. The curve for 3 or more base
possessed two basements, and a few possessed ments agrees substantially with that in
three or more. The settlements associated Fiq. 22 correspondinq to the lower boundary
with approximately 20 building sites are for soft clays of limited depth.
plotted in Fig. 23 as a function of the dis
tance from the edge of the excavation. The The cuts for the basements were made by a
figure is subdivided into three parts ac variety of procedures. Under most circum
cording to the number of basements. Since stances, a simple sheet pile wall was driven
the general features of the caisson found to the proposed depth of the excavation,
ations themselves did not differ depending with a small allowance for embedment, and
upon the number of basements, the signifi was supported by cross-bracinq or, more
cant difference in settlement evidently often, by inclined rakers. Since most of
depends upon whether the structures pos the buildinqs were constructed within the
sessed one, two, or three basements. period 1920-1940, the settlements corres
pond to procedures commonly used in that
The upper 15 ft of soil in downtown Chicago era. The settlement observations were
usually consist of fill and sand. Below carried out durinq and for a period of a
these materials is a stiff clay crust from few weeks or months after excavation for
2 to 4 ft thick, underlain by very soft to the basements. Hence, it is unlikely that
soft clays. The underlying clays are suc the movements represent consolidation to a
cessively stiffer until the hardpan is siqnificant deqree.
reached. Thus, buildings with single base
ments do not involve excavation into the Buildinqs on piles are not immune to settle
soft clays. Most of the settlements assoc ment due to open cuttinq in the vicinity,
iated with such construction may be attri even if the piles extend to resistant mater-
buted to the excavation for the caissons. als. For example, the Rand McNally Build-
Buildings with two basements ordinarily m q in Chicaqo was supported on timber piles
extended to a depth of about 25 ft or driven into very stiff clays about 60 ft
roughly 10 ft into the clay deposit. Those below qround level. When the D-8 open cut
with three basements were on the average (Wu and Berman 1953) was excavated along
about 10 ft deeper. The curves in Fig. 24, side, the building settled as shown in Fig
derived from those shown in Fig. 23 and 25. The tendency of the soils to settle
plotted in dimensionless form, are approx near the cut developed negative skin-
imately the envelopes of settlements assoc friction loads on the piles; these loads,
iated with excavations to depths of approx in turn, caused penetration of the piles.
imately 25 and 35 ft respectively. It is
266
Distonce from Excovotion

D is ta n c e fro m E x c a v a tio n , fe e t M axim um D epth o f E xca vation
T h re e or More
Basem ents
a>
E £
a> a. / ^ Lower Boundary
& o f Zone n ,
E Figure 2 2
in c h e s
E
o
5
S e ttle m e n t,
Fig. 24. Summary of Settlements due to

Basement Excavations in Downtown
Chicago
P r o f i le o f S e ttle m e n t
- o ----- o -
Inches
T h re e or M o re B a s e m e n ts
S h e e t P ile
W a ll
Fig. 23. Settlements Associated with

Foundation Construction of Build
ings in Chicago on Hardpan or Rock
Caissons, and with (a) one base
ment; (b) two basements; (c) three
or more basements S o ft C la y
M e d iu m C lay
V e ry S t i f f Clay
Fig. 25. Section through Pile-Supported

Rand McNally Building in Chicago,
Showing Settlements Caused by
Adjacent Deep Open Cut
267
P EC K .
Loss of ground and settlement adjacent to away to make room for the lagging. The
cute in soft clays may occasionally be rad earth pressure is transferred directly
ically altered by what may appear to be through the clay to the H-piles; very little
minor changes in construction details. For pressure is transferred to the piles by the
example, Fig. 26 indicates arrangements for lagging. In method (b), pressure is simi
supporting the lagging aginst H-section larly transferred to the H-piles as excava
soldier piles. Method (b) has the advantage tion is carried up to the face of the piles,
of including the soldier pile in the perma but the heavily loaded soil behind the piles
nent reinforcing of the structural wall. is then cut away to make room for the spac
Nevertheless, the settlements adjacent to an ers and lagqing. As the supporting, highly
excavation made according to this procedure stressed clay is removed, the mass of clay
were almost three times as great as those behind the soldier piles moves energetically
next to a cut made by method (a) by the same inward with corresponding loss of ground.
contractor at a site in similar clays only a Poor contact or space between soil and lag
block away. In method (a) the clay outside ging may permit additional undesirable loss
the cut yields toward the spaces between of ground. Where it will not interfere with
soldier piles as the clay inside is trimmed drainage into the cut, grout or mortar may
be used to fill the voids (Fig. 2(c). Con
tact sheeting (Fig. 2id) may permit a tight
fit because the surface of the'exposed sell
can be trimmed accurately.
Stiff Plastic Clay
The reduction in vertical pressure due to

-W ood Log ging S oldier B to m the excavation of a cut of given depth be
comes less instrumental in causing settle
( o) ments as the strength and stiffness of the
clays increase. In some instances the
predominant movement is a rise of the ground
surface instead of a settlement. The rise
is a more or less elastic response to the
qeneral reduction In load.
In Houston, several large excavations were

made to depths ranging from 39 to (0 ft in
the stiff clays typical of the area. Verti
cal movements of the nearby ground surface
were qenerally within the tolerance of
ordinary engineering surveys. Indeed, small
movements of bench marks throughout the
city, due to areal subsidence caused by
y fp u t : y / 3 y : groundwater lowering, are commonplace and
are of the order of the indicated movements
near the construction sites. The observa
tions, -if taken at face value, in some
instances suaqest a sliqht rise and, in
others, a sliqht settlement. The ground
water lowering necessary during construc
tion undoubtedly reduces the potential rise.
The soldier piles themselves, however, rise
appreciably. At one excavation 53 ft deep,
the piles rose 1/2 inch. At the site of
the 60-ft excavation previously describod,
the cylinder wall rose about 1 inch during
excavation (Focht 1969).
Fig. 26. Methods for Transferring Earth 2.2.4 Settlements due to Removal of Strute
Pressure from Lagging to Soldier
Piles; (a) Laqging Wedged Against Because inward movement at and below exca
Inside Flanges of Soldier Piles; vation level (and, consequently, settlement)
(b) Lagging Set Behind Outside can be kept to the minimum compatible with
Flanges of Soldier Piles; (c) the dimensions of the cut and the soil co n
Grout or Mortar Filling Between ditions only if struts are inserted promptly
Lagging and Soil; (d) Contact after each stage of excavation and at close
Sheeting ly spaced vertical intervals, the maximum
permissible vertical spacing is often set
forth in contract documents. Each strut, as
soon as it is inserted, serves to restrict
the movements of the sheeting or soldier
piles while the next stage of excavation is
268
I L a te ra l
Displacement, In w a rd
lnch« >
M o v e m e n t,
1.0
in c h e s
0 I
Removed — i____ I
eck
Day S e ttle m e n t C la y F il l ^ D o y 50
Day fam
o f B uilding
V e ry S t i f f
148 0 .0 7 5 ft
S i l t y C la y
154 0 .0 7 ® f t
- )0
191 0 .0 9 1 f t - 10
S o f t to M edium
S tiff C la y S i l t y C la y
su * 1.4 to 3 .2 k e f
s g * 0 . 3 to 0 .6
ksf 53 20
Concr et e ^ L o w e r S tru t
/D a y 6 0
Poured R em oved on
M Z -2 7 S h ee t P ile s H a rd
Day 151 D ay No 51
S i l t y C la y
v.
30
In w a rd M o v e m e n t, Inche s
^ - S o ld ie r
-I 0 I V e ry Dense
P ile s
S a n d y S ilt
40
(c )
W e a th e r e d C la y
s u * 4 to 9 t / m 2 D ay 23
In s t a lle d D a y 61
S o f t C lo y
R e m o v e d D ay 115
s-u * 2 to 3 t / m * R e - in s ta lle d D oy 119
S o f t Q u ic k C la y
-D a y 5 8 to 121
F r o d in g h a m No 2
Sandy S ilt
Sheet P ile s
And G ra v e l
S c a le in m e t e r s
(d )
Fig. 27. Lateral Displacements of Halls due to Removal of Struts in Various Open Cuts in
Clay: (a) and (b) Raker-Supported Cuts in St. Louis and Chicago respectively;
(c) Chicago Contract K5; (d) Telegraph Building, Oslo. Parts (a), (b) and (c)
are drawn to the same scales.
269
P EC K .
c a rr ie d o u t. As s o o n a s t h e n e x t l o w e r 2 .2 .5 C o n c lu s io n s
s t r u t i s p l a c e d , i t s p r e d e c e s s o r no l o n g e r
i s so e f f e c t i v e in red u c in g d e e p -s e a te d The minim um s e t t l e m e n t s t h a t c a n b e e x p e c t e d ,
m ovem ents. I n many i n s t a n c e s i t c o u l d b e c o rresp o n d in g to th e b e s t o p e n -c u t c o n s tr u c
rem oved w i t h o u t a p p r e c i a b l y a l t e r i n g t h e tio n p r a c t ic e , vary c o n sid e r a b ly w ith the
p a tte r n o f d e fo r m a tio n , p ro v id ed th e s o l d i e r ty p e o f s o i l . They a r e l i k e l y t o be n e g l i
p i l e s , w a l e s an d r e m a i n i n g s t r u t s c o u l d g i b l y sm a ll a d ja c e n t to c u t s in d e n se sands
c a r r y t h e a d d e d l o a d t o w h i c h t h e y m i g h t be and r e l a t i v e l y s t i f f c o h e s i v e g r a n u l a r
su b jected . H ence, i f th e e x c a v a t io n has m a te r ia ls. On t h e o t h e r h a n d , t h e y a r e
b e e n c a r r i e d t o g r a d e and a l l s t r u t s h a v e l i k e l y t o be e x c e s s i v e a d j a c e n t t o c u t s in
b een p l a c e d , o n e o r more o f t h e i n t e r m e d i a t e so ft p la s tic c la y s. Such s e t t l e m e n t s can
s t r u t s ca n o f t e n be rem oved w i t h o u t c a u s i n g b e r e d u c e d o n l y by a r a d i c a l c h a n g e i n c o n
l a r g e enough inw ard d e f l e c t i o n s o f t h e str u c tio n procedures. Several a lter n a tiv e s
s h e e tin g to produce s i g n i f i c a n t s e ttle m e n ts . a r e c o n s i d e r e d in C h a p te r 9.
The r e m o v a l may g r e a t l y f a c i l i t a t e c o n
s t r u c t i o n t h a t i s t o be c a r r ie d o u t in th e S e t t l e m e n t a d j a c e n t t o o p e n c u t s i n s a n d may
cu t. b e c a u s e d by t h e e r r a t i c l o s s o f g r o u n d
a s s o c i a t e d w ith se e p a g e o r by ru n s o f s t r i c t
D e f l e c t i o n s due to th e rem oval o f s t r u t s are ly c o h e sio n le s s m a te r ia l. The l o c a t i o n an d
i l l u s t r a t e d in F ig . 27. F i g . 27a r e f e r s t o m a g n itu d e o f s u c h s e t t l e m e n t s c a n n o t be p r e
th e c u t in S t . L o u is i l l u s t r a t e d in F ig . 21. d ic ted . T h e i r a v o i d a n c e l i e s in im proved
R e m o v a l o f t h e l o w e r r a k e r c a u s e d a maximum c o n t r o l o f t h e g r o u n d w a t e r an d i n c a r e f u l
d e f l e c t i o n o f l e s s t h a n 0 . 2 i n c h an d a s e t a tte n tio n to c o n str u c tio n d e t a i ls . If
tlem en t a t th e b u ild in g l in e w ith in th e s e t t l e m e n t s o f t h e f o r e g o i n g t y p e do n o t
accuracy o f the le v e lin g o b s e r v a tio n s. Re d e v e l o p , m ore r e g u l a r a n d p r e d i c t a b l e s e t
m o v a l o f t h e t o p r a k e r w a s a c c o m p a n i e d by a t l e m e n t s a d j a c e n t t o t h e c u t s may b e a n t i c i
c o n s i d e r a b l y l a r g e r movement o f a p a t t e r n p ated. The s e t t l e m e n t s a r e a c o n s e q u e n c e o f
s u g g e s tin g co m p ressio n o f th e b a c k f i l l or s t r a i n s in t h e m ass o f s o i l a s s o c i a t e d w ith
th e c l o s i n g o f v o id s p a c e s betw een th e p e r t h e r e l i e f o f s t r e s s c a u s e d by r e m o v a l o f
m a n e n t b a s e m e n t w a l l an d t h e s o i l . the ex cava ted m a te r ia l. To som e e x t e n t , t h e
s e t t l e m e n t c a n be r e d u c e d by i n t r o d u c i n g
S i m i l a r i n f o r m a t i o n i s sh ow n i n F i g . 27b f o r p o in ts o f support for the s id e w a lls o f the
th e C h ica g o c u t i l l u s t r a t e d in F ig . 20. b r a c i n q s y s t e m a s s o o n a s p r a c t i c a b l e an d a t
E x c a v a t i o n o f t h e f i n a l p o r t i o n o f t h e berm a p p r o p r ia te ly c lo s e v e r t i c a l sp a cin g . If
b e f o r e c o m p l e t i o n o f t h e b a s e s l a b , and s u b t h e s e s t e p s a r e t a k e n and i f , i n a d d i t i o n ,
seq u en t rem oval o f th e low er r a k e r ,c a u s e d t h e w orkm an ship i s g o o d s o t h a t u n f i l l e d
an i n w a r d b u l g e o f a b o u t 0 . 3 i n c h . Removal v o id s are not l e f t o u ts id e th e su p p o rts, the
o f t h e t o p tw o r a k e r s and t h e t r a n s f e r r a l s e t t l e m e n t s w i l l b e r e d u c e d t o t h e minimum
o f l o a d fr o m t h e s e r a k e r s t o t h e p e r m a n e n t c o m p a t i b l e w i t h t h e s o i l c o n d i t i o n s and t h e
s tr u c tu r e a g a in led to c o n s id e r a b ly g r e a te r q e n c r a l b r a c in q p r o c e d u r e .
m ovem ents.
2 .3 B ase F a i l u r e by H eave
When t h e s t r u t a t a d e p t h o f 19 f t w a s r e
m oved f r o m C h i c a g o c u t K5, f o r w h i c h t h e 2 .3 .1 S o lt c la y s
m o v e m e n t s d u r i n g e x c a v a t i o n w e r e sh ow n i n
F i g . 1 9 , an inw ard movement o f a b o u t 0 . 5 The s o i l s u r r o u n d i n q a n e x c a v a t i o n t e n d s t o
in ch o c cu r r ed (F ig . 2 7 c ) . The s p a n o f t h e a c t a s a su r c h a r g e b e s i d e t h a t r em ain in g
s o l d i e r p i l e s w a s i n c r e a s e d by r e m o v a l o f below e x c a v a t i o n l e v e l . I f the su rcharge i s
t h e s t r u t f r o m a b o u t 12 t o a b o u t 22 f t . q r e a t e n o u q h , a b e a r i n q c a p a c i t y f a i l u r e may
occur. The d a n q e r o f a b a s e f a i l u r e o f t h i s
F i n a l l y , i n F i g . 27d i s sh ow n a c r o s s - t y p e a r i s e s o n l y when t h e s o i l b e n e a t h e x c a
s e c t i o n th rou gh th e e x c a v a t io n fo r the v a tio n le v e l behaves e s s e n t i a l ly as a f r i c -
T eleg ra p h B u ild in g in O slo . At one l e v e l , t i o n l e s s m a t e r i a l under u n d rain ed c o n d i t i o n s .
fo u r a d ja c e n t s t r u t s w ere te m p o r a r ily
rem oved. Upon r e m o v a l t h e t o t a l in w a r d The e x t e n t t o w h i c h a s t a t e o f f a i l u r e b e l o w
m o v e m e n t o f t h e t w o s i d e s w a s a b o u t 2 cm; t h e b o t t o m o f t h e c u t i s a p p r o a c h e d may be
a t o n e l o c a t i o n i t r e a c h e d 3 . 3 cm. The j u d q e d by v a l u e s o f t h e d i m e n s i o n l e s s num ber
l a t e r a l m ovement o f o n e s i d e o f t h e w a l l a t N. = y H / s . , w h e r e s . i s t h e u n d r a i n e d
b ub ub
t h e same l e v e l d u r i n g e x c a v a t i o n w a s a b o u t
sh ea r s t r e n q t h o f th e s o i l b elow b a se l e v e l .
4 cm. I t i s p ro b a b le th a t th e t o t a l i n
I f th e str e n g th o f the s o i l c o n s t it u t in g th e
ward m o v e m e n t o f t h e t w o s i d e s d u r i n g e x
s u r c h a r g e i s i q n o r e d , and i f t h e c u t i s c o n
c a v a t i o n w a s a b o u t 8 cm.
s i d e r e d to be i n f i n i t e l y lo n g , t h e o r e t i c a l
s t u d i e s i n d ic a t e t h a t a p l a s t i c zone sh o u ld
One s e t o f o b s e r v a t i o n s i n a c u t i n s a n d
s t a r t t o form a t t h e l o w e r c o r n e r s o f t h e
i n d i c a t e d an i n w a r d d e f l e c t i o n o f t h e s o l
c u t w hen reach es 3 .1 4 . The z o n e s h o u ld
d i e r p i l e s o f 3 mm w hen t h e l o w e s t s t r u t a t
a d e p t h o f 8 . 2 0 m w as r e m o v e d . The s t r u t sp read w ith in c re a sin g v a lu es o f u n til
a b o v e t h e o n e rem oved was a t a d e p t h o f
base f a ilu r e ta k es p la c e . At t h i s s ta g e ,
4 . 5 0 m; t h e d e p t h o f t h e c u t w a s 1 1 . 2 0 m
Nb e q u a l s t h e c r i t i c a l v a l u e N ^ = 5 . 1 4 .
( M i i l l e r - H a u d e and v o n S c h e i b n e r 1 9 6 5 ) .
270
Accordingly, it might be anticipated that

for values of N. less than about 3.14, up-
b
ward displacement of the bottom of the ex
cavation would be largely elastic and of
relatively small magnitude. For values of
greater than 3.14 the rise for a given
increase in depth of excavation might tend
to increase significantly until, at =
N ^ = 5.14, it would occur continuously and
base failure or failure by heave would
take place.
In reality, cuts are not of infinite extent

and the strength of the material acting as
a surcharge is not negligible. Simple pro
cedures for estimating the factor of safety
against bottom heave in excavations of var
ious rectangular shapes and depths have
been proposed (Bjerrum and Eide 1956) that Fiq. 28. Displacements of Clay Adjacent to
take these factors approximately into a c Rigid Model Wall after Excavation
count. The values of N . for cuts of on Right Side of Wall. Heavy
cb Dashes Indicate Original Position
ordinary shapes are usually in the range of of Shaded Layers. Symbols Indi
6.5 to 7.5 instead of 5.14. The value of cate Magnitude and Direction of
at which the plastic zones first beqin Movement of Air Bubbles in Clay
to form would similarly be expected to be Mass.
somewhat greater than 3.14.
The discussion in the precedinq chapter hns completely unyielding character of the model
indicated the interdependence of settlement, sheet piles, the quantitative findings are
lateral movement of walls, and upward mov e not likely to be applicable directly to the
ment of soil beneath excavation level. As flexible walls actually used in practice.
yet, no consistent theory has been developed
to describe the transition from elastic to 2.3.2 Stiff Clays
plastic states of a homogeneous material
that extends from the ground surface to Substantial upward movements of the bottoms
depths well below the zone of influence of of excavations in stiff clays have been re
the cut. Furthermore, the influence of tho ported in the literature. They have in some
lateral supports, and particularly of the instances considerably exceeded those that
embedded portions of the sheet piles or could bo considered elastic. The bottoms
other retaining side walls, has not yet of the'cofferdams for the Waterloo Bridge
been taken properly into account. Progress in London rose as much as 3 inches (Cooling
in understanding the problem requires the 1948). More recently, a rise of the bottom
oretical developments; promisinq starts of an excavation 300 by 25 m in plan and
have been made with the aid of finite ele 15 m deep reached as much as 10 cm (Garde-
ment analyses. In particular, a theoreti Hansen and Therngle 1960). In both, the
cal basis is needed to permit judgment of value of N. at the end of excavation was far
b
the influence of the stiffness and the depth less than N . . Hence, it was concluded that
of embedment of sheet piles below excavation cb
level, whether the piles do or do not reach the rise must have been a consequence of
a firm stratum. The beneficial results of artesian pressures in pervious horizontal
such piles are often overestimated. partings beneath the excavation. Neverthe
less, direct evidence of such partings was
An interesting series of small-scale lab not evident.
oratory tests to investigate movements of
the soil behind a sheet-pile wall was car More recent experiences (Bjerrum 1969) sug
ried out by Whitney (1967). The model gest that the rise of the bottom of cuts in
sheet piles were rigid. They extended stiff clays may be associated with passive
various distances below the bottom of the failure of the soil beneath the excavated
cut, which was excavated in an extremely zone produced by large lateral pressures
soft clay. The general pattern of the existing in the soil mass before excavation.
movements in one of the experiments is The existence of such pressures associated
shown in Fig. 28. The pattern shown by with values of earth pressures at rest. :
the displacements of the entrapped air greater than unity has been well established
bubbles is slightly distorted near the glass in many localities. Cut slopes in strongly
side of the apparatus because of the flanqes overconsolidated clays with large initial
on the channel used as the model wall. The horizontal pressures often fail, when the
results indicated a markedly beneficial excavation reaches a certain depth, by
effect of embedment but, on account of the sliding along a surface that passes nearly
27 1
P EC K .
horizontally through or slightly below the the air pressure removed. Combinations of
toe of the slope. This observation appears the two alternatives are also possible.
closely related to the rise at the bottom of
excavations with vertical sides protected by The same principles and procedures for re
a wall. The wall *omewhat modifies the hor ducing settlement are also generally appli
izontal movements but does not prevent the cable to increasing the factor of safety of
passive displacements. If the displacements the bottom of a cut against a base failure
are large enough, base failure by heave may by heave.
occur.
2.4.2 Trench Method
2.4 Reduction of Settlement
The principle of reducing settlement by d e
2.4.1 General Principles laying excavation until the supporting walls
and bracing are complete has been apprecia
If the details of the bracing and of the ted and used for several generations in
construction procedure are well desiqned and localities where the subsoil consists of
executed and if the workmanship is good, deep deposits of soft clay. Beginning about
settlements adjacent to an open cut r a n be 1900, the so-called trench method was used
reduced only by decreasing the lateral mo v e in Boston, Chicago, and Detroit. According
ments of the earth supports and the rise of to this procedure, a trench was excavated by
the bottom. The movements have their origin hand around the periphery of a building at
in the general reduction of stress in the the proposed locations of the permanent
soil surrounding the excavation; this re basement walls. The width of the trench was
duction, in turn, is caused by the removal as small as practicable. The sides were
of the weight of the excavated material. In supported by timber planks and large numbers
the conventional procedures considered in of horizontal trench braces or jacks extend
Chapters 7 and 8, the insertion of the ing from one side to the other. The com
struts, rakers or tiebacks that support the pletely sheeted trenches were carried to the
sheet piles or other walls is always pre full depth of the outside walls of the struc
ceded by excavation. While this excavation ture. Reinforcement was then set in the
is going on, the walls move. Whatever por trenches and the concrete placed directly
tion of the movement takes place below the against the sheeting which served as the
bottom of the excavation cannot be prevented f or m .
irrespective of the capacity of the supports
or of the degree to which the bracinq is Simultaneously with the wall construction,
prestressed. cross-trenches were excavated, generally
alonq the column lines, and were similarly
In principle, the movements could be pre timbered and braced to the same depth as the
vented if the entire supportinq structure external walls. Concrete struts, later
including the sheeting, the wales, the forminq part of the lowest basement floor,
struts or ties, and even the base slab for were then cast in the bottoms of the tren
the completed structure could be constructed ches. The buildinq columns were established
in their final positions before the removal at the intersections of these struts, and
of the enclosed soil. Subsequently, upon the floor beams for the upper levels of the
excavation of the enclosed earth, the set basement floors were erected. The floor
tlements of the surroundinq qround surface beams,' extendinq from side wall to side
would correspond only to those associated wall, served as struts. In this manner, a
with the deflections of the bracing system complete system of cross-lot bracing was
and floor slab. These movements would be established while most of the soil within
extremely small compared to those that oc the future basement area was still in place.
cur during excavation before the structural As a final step, the soil was excavated, but
systems are complete. the only inward movement of the permanent
walls was that associated with the elastic
Such an idealized procedure can exist only shortening and deflection of the permanent
in imagination. It may be approached in structure. Hence, the settlements were
practice, however, in two different ways. m inimized.
On the one hand, the amount of material ex
cavated may be reduced to the absolute mini In some localities such as Detroit, the ad
mum required for installation of the walls jacent settlement associated with rise of
and bracing. Only after the bracing system the bottom led to the development of a con
is complete is the main mass of soil exca servative alternative to the foregoing pro
vated. This procedure is especially effec cedure. The work was carried out as just
tive if the bottom of the proposed excava described, up to the stage of excavating the
tion reaches or approaches firm material enclosed mass of soil. At this stage, in
which restricts the rise of the base that order to reduce the change in stress due to
would otherwise take place. The second al removal of the full weight of the soil, the
ternative is to reduce the change in stress excavation to subgrade level was carried out
caused by excavation by keeping the hole in small sections at a time, and the floor
full of water or slurry, or even compressed slab was cast in that section and temporarily
air. The permanent structure, or the temp backfilled until other sections had similarly
orary bracing system and bottom slab, are been completed. Thus, the full weight of the
completed before the fluid is pumped out or overlying soil was not removed until the
272
iowermost basement floor slab was structur According to the SPTC procedure, the soldier
ally capable of resisting upward loads. piles are placed in predrilled slurry-filled
holes. A slot is excavated, still filled
Many variations of this procedure were used with slurry, by means of a special bucket
to suit varying conditions. They were gen that uses the flanges of two adjacent sol
erally successful in greatly reducing set dier piles as guides; the slot is then
tlements in congested areas although they filled with tremie concrete. The diameter
were costly. of the holes is equal to or slightly less
than the depth of the steel wide-flange
In the last few years the original trench sections to be used as the soldier piles
method has been modernized by the use of (Fig. 29). Thus, when the wide-flange sec
various techniques for constructing a stiff tions are inserted in the holes, their
outer wall of cast-in-place concrete before flanges are in intimate contact with the
general excavation. These techniques in soil. The holes eliminate the need for
clude drilling slurry-filled holes and con pile driving and insure the verticality of
structing a stiff outer wall of cast-in- the soldier piles.
place concrete before general excavation.
These techniques include drilling slurry-
filled holes and constructing overlapping
vertical cylinders of reinforced concrete,
or of excavating slurry-filled trenches in
which reinforcement is placed and concrete
introduced by tremie methods. Some of the
many variations are patented.
2.4.3 Cast -in-Place concrete Walla
The principal advantages of concrete walls

cast in place in slurry-filled holes or
trenches are the ability of the slurry to
reduce loss of ground during construction
of the walls, the elimination of vibration
and disturbance associated with pile driv
ing, and the strength and stiffness of the
walls themselves. In some instances, the
walls may serve as the exterior walls for
the finished structure. Fig. 29. Horizontal Section through Typical
SPTC Wall
If the objective of the use of the cast-
in-place concrete walls is reduction of
adjacent settlement and possibly elimina For fairly heavy SPTC walls, the soldier
tion of underpinning of some adjacent piles consist of steel beams 36 inches deep,
structures, the results are likely to be spaced at about 6 ft. If the heaviest wide-
disappointing unless lateral supports such flange section, 36WF194, is used at 6 ft
as struts or tiebacks are placed either centers, the stiffness of the wall, El per
before the general excavation is made or in ft of length, is approximately 200 x 10®
stages as excavation proceeds. Even the lb in^/ft. Of this stiffness, about 70%
apparently very stiff walls formed by the is furnished by the concrete, assumed to be
various cast-in-place procedures accommo uncracked, and the remainder by the steel.
date themselves to a high degree to the The corresponding stiffness of the heaviest
movements of the mass of soil in which U.S. rolled sheet-pile section, ZP38, is
they are enclosed. Hence, such walls are 8.4 x 10^ lb in2/ft. Hence, the ratio of
not capable of eliminating, but only to stiffnesses of the two walls is approxi
some extent of reducing, the inward lateral mately 2 3.8.
movements associated with general excava
tion. The deflections of the walls under a dis
tributed loading depends, however, not only
The Soldier Pile Tremie Concrete or SPTC upon the inherent stiffness of the walls,
wall (Thon and Harlan 1968), used recently but approximately on the fourth power of
in the San Francisco area and particularly the distance between supports. Therefore,
on the BART system, exemplifies the various the relative deflections of the two walls
procedures and permits a comparison of the under similar systems of loading would be
rigidity of such construction with that approximately in the ratio of the fourth
consisting of standard soldier-pile or roots of the ratio of the stiffnesses, or
sheet-pile walls. In its completed form it about 2.2. Hence, it might be concluded
consists of a concrete wall in intimate that if a vertical spacing of struts of
contact with the soil on each side. The about 10 ft were needed in order to keep
wall is reinforced vertically by steel lateral movements of the sheet piles with
soldier piles spaced at about twice the in tolerable limits as excavation proceeded
thickness of the wall. downward, the substitution of the SPTC wall
273
P EC K .
w ou ld n o t r e d u c e t h e s e l a t e r a l m ovem ents i n R o t t e r d a m , f o r e x a m p l e , a t r e n c h w as
s i g n i f i c a n t l y u n le s s th e sp a cin g o f th e d r e d g e d (P la n tem a 1965) w i t h f l o a t i n q e q u i p
s t r u t s w e r e l e s s t h a n a b o u t 22 f t . m ent. S e c tio n s o f th e proposed c o n d u its
w e r e t h e n p r e f a b r i c a t e d , tow ed i n , and su nk
T h u s , w a l l s o f t h i s t y p e may a l l e v i a t e t h e i n t o p o s i t i o n on p i l e s d r i v e n a f t e r t h e
problem o f a d j a c e n t s e t t l e m e n t , b u t t h e y in d r e d q in q .
th e m s e lv e s do n ot p e r m it d eep e x c a v a t io n s
w ith ou t th e u se o f s t r u t s or o th e r su p p orts To i n v e s t i q a t e t h e f e a s i b i l i t y o f r e d u c i n g
a t v e r t i c a l i n t e r v a l s l e s s than abou t tw ic e s e t t le m e n t s a d ja c e n t to open c u t s in th e
t h o s e t h a t c o u l d b e t o l e r a t e d w i t h t h e m or e s o f t O s lo c l a y s , a t e s t s e c t i o n (Di B i a g i o
f le x ib le sh ee tin g . Such w a l l s s h o u ld n o t an d K j a e r n s l i 1 9 6 1 ; B j e r r u m e t a l 1 9 6 5 ) w as
be r e g a r d e d a s r i g i d , b u t m ig h t more p r o p c o n s t r u c t e d by u n d e r w a te r e x c a v a t i o n . The
e r l y be term ed s e m i - r i g i d . The sam e p r e se n c e o f th e w ater red uced th e f i n a l
r e a s o n i n g l e a d s bo t h e c o n c l u s i o n t h a t t h e v a l u e o f N. f r o m a b o u t 5 . 5 t o a b o u t 3 . 5 .
use o f se m i-r ig id c a s t - in - p la c e c o n crete
D
T h e m o v e m e n t s w e r e o f a b o u t t h e u s u a l m ag
w a l l s e x t e n d in g w e l l b elo w th e b ottom o f
n it u d e s f o r c u t s in s i m i la r O slo s o i l s in
an o p en c u t u n d e r l a i n by a c o n s i d e r a b l e
depth o f s o f t m a te r ia l w i l l o n ly red uce but s p i t e o f th e o m is s io n o f s t r u t s in t h e low
er h a lf o f th e c u t. The b o tto m was p r o
n o t e lim in a t e th e l o s s o f ground a s s o c i a t e d
v id ed w ith a tr em ie c o n c r e te s e a l b e fo r e
w i t h in w ard movement o f t h e w a l l s a s t h e
ex ca v a tio n d eepens. Nor w i l l i t e l i m i n a t e d ew a terin q .
t h e p r o b l e m o f b a s e f a i l u r e by h e a v e . The
c o n c e p tio n th a t such w a lls are e x tre m ely 2 4 .5 A ir P resau re
s t r o n g an d r i g i d , a s m i g h t b e i n f e r r e d
In t h e S c a n d i n a v i a n c o u n t r i e s and e l s e
s o l e l y fr o m t h e r e l a t i v e r i g i d i t i e s E l , i s
m i s l e a d i n g and d a n g e r o u s . w h e r e , u s e h a s b e e n made o f t h e s o - c a l l e d
"u p sid e-d ow n c o n s t r u c t i o n " . A cco rd in g to
th is co n stru ctio n , sh eet p ile s are f i r s t
The f o r e g o i n g com m ents a p p l y t o a l l t h e
v a r i o u s form s o f c a s t - i n - p l a c e c o n c r e t e d r iv e n a lon g th e b ou n d a ries o f a proposed
w a lls. The n e c e s s a r y l a t e r a l s u p p o r t m ay, ex ca v a tio n . The s o i l b e tw e e n t h e s h e e t
u n d e r f a v o r a b l e c o n d i t i o n s , b e p r o v i d e d by p i l e s i s t h e n e x c a v a t e d down t o t h e l e v e l
s t r u t s or tie b a c k s i n s t a l l e d as th e e x c a a t w h ich t h e r o o f s l a b o f t h e c o m p le te d
s t r u c t u r e can be c o n s t r u c t e d . If necessary,
v a tio n i s deepened. I f t h e m o v em en ts w ou ld
be e x c e s s i v e , t h e s u p p o r t s m ust be i n s t a l l e d s t r u t s a r e i n s e r t e d b etw een th e s h e e t p i l e s
b e f o r e t h e m a t e r i a l t o be e x c a v a t e d i s a s e x c a v a t i o n p r o c e e d s down t o t h i s l e v e l .
I f t h e m ovem ents a s s o c i a t e d w it h e x c a v a t i o n
f u l l y rem oved. The p r o c e d u r e s a r e e s s e n
t i a l l y t h e sam e a s t h o s e u s e d i n t h e o l d t o t h i s l e v e l w o u ld be e x c e s s i v e , and i f
t r e n c h m eth od. W here c r o s s - b r a c i n g c a n be t h e r e i s s u f f i c i e n t u n o cc u p ied qround be
s i d e t h e c u t , t h e qround l e v e l on e i t h e r
u t i l i z e d a s p a r t o f t h e perm anent fram in q
f o r t h e s t r u c t u r e , t h e m e t h o d may p r o v e v e r y s i d e o f t h e c u t may b e t e m p o r a r i l y l o w e r e d
a ttra c tiv e . u n t i l th e r o o f s la b has been p la c e d . The
r o o f s l a b i s t h e n b u i l t a n d s u p p o r t e d on
th e s h e e t p i l e s . I t i s th en b a c k f i l l e d to
S in c e th e c a s t - i n - p l a c e p e r im e te r w a l l s can
b e made r e l a t i v e l y w a t e r t i g h t , t h e y a r e p r o v id e th e w eiq h t n e c e s s a r y to r e s i s t th e
u s e f u l in a r e a s where th e e x t e r n a l w ater u p w ard p r e s s u r e o f t h e c o m p r e s s e d a i r t o
l e v e l s h o u ld n o t be lo w e r e d . S im ila r ly , be i n t r o d u c e d b e n e a t h t h e s l a b . E x c a v a tio n
th e y a re w e ll adap ted to th e c o n t r o l o f t h e n p r o c e e d s by t u n n e l i n q m e th o d s b e n e a t h
r u n n i n g s a n d s and s i l t s . H ow ever, i f t h e th e c o n c r e te ro o f s la b w ith th e a id o f th e
w a l l s a r e s u p p o r t e d by t i e b a c k s i n s e r t e d com pressed a i r . The a i r p r e s s u r e r e d u c e s
through h o le s in th e w a ll as e x c a v a tio n t h e i n w a r d m o v e m e n t o f t h e s h e e t p i l e s and
p r o c e e d s , s i g n i f i c a n t l o s s o f g r o u n d may a l s o th e ten d en cy o f th e b a se to h ea v e.
o ccu r b eca u se o f c a v in g o f th e anchor h o le s A f t e r t h e b a s e s l a b h a s b e e n c a s t and t h e
or flo w o f c o h e s io n le s s m a te r ia ls in to the perm anent w a l l s c o m p le te d , th e a i r p r e s s u r e
e x c a v a tio n through th e o p e n in g s. i s rem oved.
2 .4 .4 D red ging A p p l i c a b i l i t y o f t h e m e t h o d i s l i m i t e d by
th e a i r p r e s s u r e t h a t can be su p p o r te d
Open d r e d g i n g f o r e x c a v a t i o n w i t h i n c o f f e r a q a i n s t th e r o o f s t r u c t u r e w ith o u t b low
dams and c a i s s o n s , w i t h h y d r o s t a t i c h e a d s o u ts and, in th e e v e n t o f l o s s o f a i r p r e s
in s id e th e e n c lo s u r e eq u al to or g r e a te r s u r e , by t h e n e c e s s i t y f o r s u p p o r t i n g t h e
r o o f on t h e s h e e t p i l e s a s b e a r in g p i l e s .
th a n t h e e x t e r n a l w a te r l e v e l , h a s been
p r a c t i c e d w i d e l y f o r many y e a r s . More r e
c e n t l y , th e te c h n iq u e has a l s o been adap ted 2 4 .6 C a isso n s
to l a r g e - s c a l e e x c a v a tio n s such a s th o se
f o r subw ay s y s t e m s . From t i m e t o t i m e , a t t e m p t s h a v e b e e n made
to c o n str u c t the su b stru ctu r e o f b u ild in g s
The d a n g e r o f s e t t l e m e n t s d u e t o l o w e r i n g a s c a i s s o n s t o be su nk t o t h e i r f i n a l p o s i
t h e w a t e r t a b l e i n l o o s e sand c o n t a i n i n g t i o n by i n t e r n a l e x c a v a t i o n . One s u c h a t
o r g a n i c m a t t e r i s s o g r e a t i n so m e l o c a l i tem pt o v e r t h i r t y y e a r s a g o i n M exico C i t y
t i e s t h a t groundw ater lo w e r in g i s o u t o f le d t o m ajor d i s r u p t i o n o f t h e su rr o u n d in g
the q u estio n . To a v o i d s u c h d i f f i c u l t i e s g r o u n d an d t o e x c e s s i v e s e t t l e m e n t s b e c a u s e
274
o f t h e d ra g -d o w n f o r c e s e x e r t e d by t h e d e m eth ods r e d u c e l o s s o f g r o u n d and s e t t l e m e n t .

s c e n d in g c a i s s o n on t h e su rr o u n d in g s o i l .
D i f f i c u l t i e s w ere a l s o e x p e r ie n c e d in k eep The m o s t s e r i o u s p r o b l e m s a r i s e i n v e r y d e e p
in g th e c a is s o n s v e r t i c a l . d e p o s its o f s o f t c o h e s iv e se d im e n ts. H ere,
t h e m ovem ents o f t h e gr o u n d a s s o c i a t e d w i t h
More r e c e n t l y , t h e m e t h o d h a s m e t w i t h c o n t h e c h a n g e s i n s t r e s s c a u s e d by e x c a v a t i o n
s i d e r a b l e s u c c e s s , p a r t i c u l a r l y i n Europe a r e l i k e l y t o b e s o e x t e n s i v e an d s o d e e p -
(CEPWR 1 9 6 7 ) a n d i n J a p a n (T a k e n a k a 1 9 6 4 ) . se a te d th a t th e u se o f s e m i- r ig id w a lls , or
The s u c c e s s f u l p r o c e d u r e s i n c l u d e m eans f o r th e i n s e r t i o n o f s t r u t s a t c l o s e l y sp aced
i n j e c t i n g b e n t o n it e a s a l u b r i c a n t around in te r v a ls as ex ca v a tio n p roceed s, are lik e ly
th e p e r ip h e ry o f th e c a is s o n s , c o n t r o ls to t o p r o v e t o be m e r e ly in a d e q u a te e x p e d i e n t s .
d e t e c t d e v i a t i o n s from v e r t i c a l i t y , and in S i g n i f i c a n t r e d u c t i o n s i n t h e m ovem ents can
som e i n s t a n c e s t h e u s e o f a i r p r e s s u r e i n b e a c c o m p l i s h e d o n l y by p r o c e d u r e s t h a t r e
t h e w o r k in g cham ber a t t h e b o tto m o f t h e d u ce th e m agn itu d e o f th e change in s t r e s s
c a i s s o n w h en f i n a l c l e a n u p i s d o n e . In in t h e s o i l m ass u n t i l t h e s y s te m o f su p
Japan, u se o f th e c a s t - in - p la c e c o n c re te p o r t s h a s b e e n c o m p l e t e d and i s c a p a b l e o f
w a l l m eth od h a s l a r g e l y s u p p l a n t e d c a i s s o n w i t h s t a n d i n g t h e f o r c e s an d d e f o r m a t i o n s .
c o n s t r u c t i o n (E ndo 1 9 6 8 ) . T h e se e n d s a r e a c c o m p li s h e d e i t h e r by d e
la y in g t h e e x c a v a t io n o f m ost o f t h e m a ter
2 .4 .7 O ther P r o c e d u r e s i a l u n t i l the su p p o rts have been co m p leted ,
o r by s u b s t i t u t i n g a f l u i d p r e s s u r e o r a i r
S e v e r a l p r o c e d u r e s , b a s e d on i m p r o v i n q t h e p r e ssu re fo r the p r e ssu r e s o r i g i n a l l y e x e r t
c o n t r o llin g p h y s ic a l p r o p e r tie s o f the s o i l , e d by t h e r e m o v e d s o i l .
h a v e b een p r o p o s e d and u s e d t o a l i m i t e d
ex ten t. T hese in c lu d e f r e e z in g or q r o u tin q In o t h e r t y p e s o f q r o u n d w h e r e m o v e m e n t s a r e
t h e s o i l , an d e l e c t r o - o s m o s i s . l i k e l y t o be s m a l l e r , u s e o f s e m i - r i g i d
w a l l s may r e d u c e t h e s e t t l e m e n t s t o a m o u n t s
F r e e z i n g o f t h e s o i l t o form a r e t a i n i n q s o sm a ll t h a t b u i l d i n g s n eed n o t be u n d e r
w a ll or r in g o f fr o z e n ground has been a c pin n ed . In s u c h i n s t a n c e s , t h e a d d i t i o n a l
c o m p lish e d s u c c e s s f u l l y to p e r m it e x c a v a t io n c o s t o f t h e s e m i - r i g i d w a l l s may b e m o r e
o f la r g e underground o p e n in g s such a s s t o r t h a n o f f s e t by t h e r e d u c e d c o s t o f s u p p o r t
age cham bers f o r l i q u e f i e d p e tr o le u m q a s. ing th e a d ja c e n t s t r u c t u r e s .
As y e t , l i t t l e h a s b een r e p o r t e d a b o u t t h e
ground m ovem ents a s s o c i a t e d e i t h e r w it h th e U n f o r t u n a t e l y , t h e amount o f o b s e r v a t i o n a l
f r e e z in g or th e subsequent e x c a v a tio n . A l d a t a c o n c e r n i n q t h e m a g n i t u d e an d d i s t r i b u
thou gh f r e e z i n g has th u s fa r been u sed p r i t i o n o f s e t t l e m e n t s i s s t i l l f r a g m e n t a r y a nd
m a r ily as a c o n s t r u c t io n e x p e d ie n t, fu r th e r d o e s n ot o f t e n p e r m it a r e l i a b l e e s t i m a t e o f
d e v e l o p m e n t s may l e a d t o a m o r e g e n e r a l u s e t h e m ovem ents t o be a n t i c i p a t e d f o r d i f f e r
(Sanger 1 9 6 8 ). en t ty p e s o f c o n s t r u c t io n in v a r io u s sub
su rface m a te r ia ls.
I n j e c t i o n o f g r o u t in t o g ra n u la r m a t e r ia ls
h a s i n so m e i n s t a n c e s p r o v i d e d s u c c e s s f u l In a l l m e t h o d s o f e x c a v a t i o n , o n c e t h e s y s
s u p p o r t f o r a d j a c e n t s t r u c t u r e s and h a s p e r tem o f b r a c i n q an d e x c a v a t i n q h a s b e e n d e
m i t t e d s a f e e x c a v a t i o n by r e d u c i n q t h e c id e d upon, c a r e f u l a t t e n t i o n to th e p r i n c i
lik e lih o o d o f runs. G roundw ater lo w e r in q p l e s o f qood w ork m an ship i s n e c e s s a r y i f th e
b efore ex ca v a tio n i s a d v isa b le to e lim in a te s e t t l e m e n t s a r e t o b e k e p t t o t h e minimum
a d verse seepaqe p r e ssu r e s. M o v e m e n ts a s s o c c o m p a t i b l e w i t h t h e m eth od c h o s e n .
ia te d w ith th e i n j e c t i o n s are not w e ll d oc
um ented. I n many i n s t a n c e s t h e q r o u n d s u r 2 .5 E arth P r e s s u r e
f a c e r i s e s more upon g r o u t i n g th a n i t s e t
t l e s su b seq u e n tly b ecause o f the e x ca v a tio n ; 2 .5 .1 In tr o d u c tio n
c a r e fu l c o n tr o l i s r eq u ire d .
T he a v a i l a b l e m e a s u r e m e n t s o f s t r u t l o a d s i n
E le c tr o -o s m o s is has s u c c e s s f u lly s t a b il i z e d b r a c e d c u t s w e r e r e v i e w e d by F l a a t e ( 1 9 6 6 ) *
s l o p e s i n s i l t s a n d s i l t y c l a y s (L . C a s a and c o n d e n s e d i n t o s e m i - e m p i r i c a l a p p a r e n t
g r a n d e 1 9 6 2 ) , and h a s b e e n u s e d e x p e r i m e n t p r e s s u r e e n v e l o p e s by T e r z a q h i and P e c k
a l l y t o s t a b i l i z e t h e bottom o f a c u t in ( 1 9 6 7 ) f o r e s t i m a t i n q t h e maximum s t r u t
very s o f t c la y a g in st the p o s s i b i l it y of a l o a d s t h a t m i q h t be e x p e c t e d i n t h e b r a c i n g
b a s e f a i l u r e (B jerrum e t a l 1 9 6 8 ) . The o f a q iv en c u t . The e n v e l o p e s , o r a p p a r e n t
s u b s t a n t i a l volu m e c h a n g e s a s s o c i a t e d w it h p r e s s u r e d ia g ra m s ( F ig . 3 0 ) , were n o t i n
th e procedure o f t e n lea d to s e ttle m e n ts o f tended to r e p r e s e n t th e r e a l d i s t r i b u t i o n o f
t h e s u r f a c e and t h e f o r m a t i o n o f f i s s u r e s . e a r th p r e ssu r e a t any v e r t i c a l s e c t i o n in a
c u t , but in s te a d c o n s t it u t e d h y p o th e tic a l
2 .4 .8 Summary p r e s s u r e s from w h ic h t h e r e c o u l d be c a l c u l a
t e d s t r u t l o a d s t h a t m ig h t be a p p ro a c h e d b u t
In t h i s c h a p t e r i t h a s n o t b een p o s s i b l e t o w ou ld n o t be e x c e e d e d i n t h e a c t u a l c u t .
c o n s i d e r a l l t h e many p r o c e d u r e s t h a t h a v e
b e e n p r o p o s e d and s u c c e s s f u l l y u s e d f o r T he a p p a r e n t p r e s s u r e d i a g r a m for e stim a tin g
ca r r y in g ou t deep e x c a v a tio n s w ith v e r t i c a l s t r u t lo a d s in sand ( F ig . 30a) agreed w e ll
sid e s. R a t h e r , i t h a s b e e n t h e aim t o p o i n t w ith th e d a ta a v a i la b le a t th e t im e i t was
o u t t h e p r i n c i p l e s u n d er w h ic h t h e v a r i o u s prepared. R e cen t m easurem ents p ro v id in g
‘ Sources o f a l l e a r th -p r e ss u r e d ata used in th is stu dy are lis te d i n A p p e n d ix I .
275
P EC K .
Sands S o f t to M e d iu m S t i f f - F is s u re d
C la y s C la ys
S tru ts
* - 0 .6 5 K f l X H-
Ka = tan (4 5 -< £ /2 )
( o) (b) (c )
Fig. 30. Apparent Pressure Diagrams Sugqested by Terzaghi and Peck (1967) for Computing
Strut Loads in Braced Cuts
further data (Muller-Haude and von Scheib- in this chapter, appears to justify the
ner 1965; Briske and Pirlet 1968; TTC 1967) followinq conclusions. The behavior of the
are in agreement with the earlier findinqs soil and the bracinq system depends on the
and do not require further discussion. stability number N = yH/su , where su is the
undrained shear strenqth representative of
The semi-empirical procedures for estimat
the clay beside and beneath the cut to the
ing strut loads in soft to medium clays
depth that would be involved if a qeneral
were far less satisfactory. The width of
shear failure were to occur on account of
the apparent pressure diagram in the pro
the excavation. (The stability number N
cedure recommended in 1967 (Fig. 30b) is
refers to all the soil involved, whereas
directly proportional to the coefficient of
pertains strictly to the strength at
active earth pressure Kft; the same was true
levels below the bottom of the excavation
with respect to the oriqinal trapezoidal
at any staqe.) When the depth of excava
rule proposed by Peck (1943). Several
tion corresponds to values of N greater
authors (Brown 1948, Tschebotarioff 1951)
than 6 or 7, extensive plastic zones have
noted that the original trapezoidal rule
developed at least to the depth of the bot
underestimated the strut loads in the Ch i
tom of the cut and the assumption of a
cago cuts when the depths of the cuts were
state of plastic equilibrium is valid.
still small. The data accumulated since
Semi-empirical procedures for determining
that time, not only in Chicaqo but else
strut loads, based on earth-pressure theory,
where, support their conclusion. Moreover,
then become more fitting. The movements
the width of the apparent pressure diaqram,
are essentially plastic and the settlements
KftYH, becomes negative, since
may be large.
= 1 - 4 s u / y H, when y H/ s u <4. This in
The distinction in behavior for cuts in
equality can be satisfied in a deep cut if
clays cannot be made, therefore, solely
su is large enough, or in a soft clay if H
with respect to the softness or stiffness
is small enough. Inasmuch as experience of the clay. It must be drawn on the basis
demonstrates that the earth pressure is not of the behavior of the cut which, for the
zero or negative under these conditions, the time being, will be considered to be re
approach is obviously invalid. flected by relative values of the stability
number N. The same cut in its shallow
The information now at our disposal, in stages may be characterized by values of
cluding recent data to be summarized later N less than 3 or 4, and in its deeper
276
stages by values greater than 5 or 6. Load,kips

200
The final portion of this chapter is con
cerned with earth pressures against the
sides of cuts in cohesive sands and sandy
clays, for which there has been a serious
lack of data. The results of one recent set
of observations in such materials are pre
sented .
Day 112 122 130 Maximum Loods
Unfortunately, the foregoing comments, deal
ing with cuts in distinctively different 9 ( o j Spacing of S truts = 19 feet
types of at least fairly homogeneous soils,
are at best broad generalizations. Little r u - .L Apparent Earth Pressure
can yet be said concerning the effects of 0 0.1 0 .2 0 .3 r H
stratification. Even the calculation of N ft 1 I ■ I
-0
for a clay of strength that varies with r Measured
Medium
depth becomes a matter of judgment. The
influence of the embedment of the sheet- Sondy Silty
'I
pile walls or soldier piles is also poorly Cloy Till
understood. Hence, application of the su = 0 . 5 t o 0 .8 k s f/ -10
findings to the practical design of a system
of bracing is not yet a routine matter. Calculated
r , (Figure 3 0 b )
Cables Anchored
2 5.2 Cuts in Clay, N»5 or 6 -20
in Rock
Observations of loads in systems of bracing
in three different cuts are summarized in Very Dense Clayey
Fig. 31. In Fig. 31a (Lacroix and Perez _-ir\ '-In te rm e dia te
1969) are shown loads in the rakers sup S ilty Sand T ill
porting the sheet-pile wall illustrated in Soldier Piles Depth 1
Fig. 21. Thfe significant dimensions and Final Depth = 4 7 feet
(b )
Soil properties are given, but no comparison
has been attempted between the measured
loads and those predicted by any semi-
empirical rules because of the complications p. 41 Maximum Lood.kips
introduced by the sloping ground surface an'! E £ 0 20 4 0 60
the adjacent building.
C |o £ f iii Deck Beom(
The apparent pressure diagram corresponding V e ry St if f
Doy 7
to the horizontal components of the forces S ilty Cloy
in the tiebacks of a cut at the Pickerinq ___________ 10
Doy 2
Generating Station in Ontario are shown in Soft to Medium
Fig. 31b (Hanna and Seeton 1967). The di a
S ilty Cloy
gram is compared with the apparent pressure Doy 10
envelope, Fig. 30b, for calculating the s ,.5 0 .3 to 0 6 ksf
maximum load for which the supports should 20- ----
Doy 6 to 9
be designed. The agreement is satisfactory.
Hard Silty
The forces in several sets of cross-lot Clay Doy 16
struts are shown in Fig. 31c for Chicago 30-
Contract K5 (Maynard 1969). No comparison
with semi-empirical rules is given because V ery Dense j - Soldier Piles
of the uncertainty in evaluating the shear Sandy Cloyey
strength representing an appropriate average Spocing of Struts » 6 fee t
S ilt
when a soft layer near mid-height of the cut
is sandwiched between an overlying stiff (c)
clay and an underlying hard one.
Fig. 31. Loads in Bracing Systems of Several
In all three examples the movements of the Cuts in Clays, (a) Horizontal Co m
supported walls were moderate. The loads ponents of Loads in Inclined Brac
at the Pickering Station, the only one of ing of a Cut in St. Louis, Illus
the cases lending itself to a simple calcu trated in Fig. 21; (b) Apparent
lation, were in good agreement with those Pressure Diagrams from Forces
predicted by the semi-empirical procedure. Measured in Tiebacks at Pickering
Remarkably different results were obtained Generating Station, Ontario; (c)
from the observations made for a cut 11.5 m Preliminary Values of Forces in
deep in the soft clays of Mexico City Struts, Contract K5, Chicago
(Rodriguez and Flamand 1969). The soil
profile, the general dimensions of the cut,
and the diagram presented by the authors
277
PECK.
representing the apparent total earth pres probably closer to 7 or 8. Furthermore, the
sure, as determined by the strut loads, are soft clay extended to great depth below the
shown in Fig. 32. Movements of the sheeting bottom of the ci’•: and, indeed, was somewhat
are shown in Fig. 19. Fig. 32 also indi softer below the bottom than above. Hence,
cates the trapezoidal apparent pressure di a the conditions were strikingly similar to
gram computed in accordance with Fig. 30b. those at the Oslo cuts where large movements
It is obvious that the measured apparent and loads were experienced. For Oslo, the
earth pressures greatly exceeded the calcu most appropriate value of m appeared to be
lated ones based on the value m = 1. 0.4. If an apparent earth pressure diagram
were constructed for the Mexico City cut
using the value m = 0.4, as shown in Fig.
32, the maximum strut loads computed from
the diagram would be in reasonably good
« C alculated (F ig . 3 0 bY agreement with those observed. The lateral
o movements of the sheering of the cut in
Mexico City, even below the bottom of the
/ m = 0 .4 7 excavation, were exceptionally large, not
V unlike those for the Oslo cuts.
'i ■- S
jM e o su re d y j Thus the Vaterland cuts in Oslo and the cut
4-
in Mexico fall into a separate category
1 characterized by exceptionally large pres
m = IO ^ sures and movements. The values of N
V e ry S o ft to S o ft Clay
1 reached 6 to 8, but similar values have been
s u = I to 3 t/m 2 8 - reached in other cuts without comparable
i magnification of effects. In the other,
w = 100 to 5 0 0 %
more ordinary, cuts the depth of movement
was, however, usually limited by a stiff
0 4 8 layer near the bottom of the cut and the
depth of the plastic zone could not greatly
A p parent Totol E orth
exceed the depth of the cut. The corres
P re ssu re, to n / m * ponding earth pressure appeared to be gov
Sheet P ile erned by the coefficient
16-
K = 1 - 4SU
A 7TT
Fig. 32. Strut Loads for Cut in Soft Clays
which is the unmodified Rankine-Resal equa
in Mexico City (See Fig. 19) tion for active earth pressure.
On the other hand, if at values of N = 6 to

These findings are similar to those noted 8, there is beneath the cut a great depth of
with respect to several of the open cuts in
soft material, the depth of the surface of
Oslo (Vaterland 1, 2 and 3) in which the slidinq is by no means limited approximately
depth of excavation corresponded to values
to the deDth of the cut. The earth pressures
of N equal to about 7 or 8 (Flaate 1966).
may therefore be much larger (Kane 1961) and
In these particular Oslo cuts, the soft
very larqe settlements also may be experi
clays extended to a considerable depth below
enced. Under these conditions, any rational
the bottom of the excavations. Under these
earth-pressure theory should take account of
circumstances, it was noticed that the set
the greatly increased depth of the plastic
tlements surrounding the cuts and the inward
zone. As an expedient pending the develop
movements of the sheeting were extremely
ment of the appropriate theoretical treat
large and that the strut loads were very
ment, modification of the shear strength by
much larger than those that would be pre
the reduction factor m has been suggested.
dicted by the use of Fig. 30b with the fac For the two groups of observations at our
tor m taken equal to 1.0. Flaate found
disposal, the value m = 0.4 appears to be in
that the earth pressure diagram for calcu
agreement with the measurements.
lation of strut loads in the Vaterland cuts
would fit the observed data better if m,
There do not as yet appear to be any sets of
which constitutes a reduction factor on the
observations seriously at variance with
shear strength, were taken equal to 0.4.
these generalizations. Unfortunately, how
ever, the evaluation of the properly repre
For the cut observed by Rodriguez and Fla-
sentative value of su for calculating either
mand the calculated value of N when the cut
was at its full depth was approximately 6, N or Kft is very uncertain and involves much
neglecting the effect of the surcharge re
judgment, especially if the clay near and
maining around the cut after some of the
below the bottom elevation of the cut con
surface material was stripped away (Fig. 32).
sists of layers of widely different
Since the surcharge undoubtedly had a con
strengths.
siderable effect by the time the cut reached
its full depth, the real value of N was
278
2.5.3 Cuts in Clay, N < 4 0.2yH to 0.4yH (Fig. 30c). Few observation
al data were available to demonstrate the
If the dimensions of the cut and the validity of the suggestion.
strength of the clay are such that su >yH/4,
classical earth-pressure theory suggests Measurements have now become available of
that the earth pressure against the bracing loads carried by the support systems of five
should be zero. In fact, of course, the cuts for which N is less than 4. Two of
pressure has a positive value. The di s these are in Houston, two in Toronto, and
crepancy arises because of the attempt to one near St. Louis. The measured maximum
apply a theory of plastic equilibrium to a apparent pressures,at each strut level in
material not in a plastic state. For values each cut, as determined from the loads are
of N less than about 3 or 4, earth pressure compared with the pressures given by the
theory should not be used, whether the cut sugqested trapezoidal diagram, Fig. 30c.
is a shallow one in soft clay or a depper The values for each cut are designated by
one in stiff clay. separate symbols.
Measurements of strut loads in the initial The apparent pressure envelope, correspond-
stages of excavation of cuts in soft to m e d inq to Fiq. 30c with abscissa 0 . 4 y H , fits
ium clays, and the results of observations the measured maximum values conservatively.
in a test trench in stiff clay in Oslo For all but the tieback cut, which was also
(DiBiagio and Bjerrum 1957) indicated that the only prestressed system, the measured
the shape of an apparent pressure diagram values fall between the diagrams for 0 . 2 y H
serving as the envelope of the measured and 0 . 4 y H . Hence, it would appear that Fig.
strut loads at any stage could also be 30c may serve as a guide for design in clays,
represented by a trapezoid. Terzaqhi and for N < 4 , even if the cloys are not fis
Peck (1967) suggested that the width of the sured .
trapezoid would correspond to the ranqe
Symbol Project Bracinq Depth s Reference

System feet ksf
M a x im u m A p p a r e n t
E a r th P r e s s u re IIU.Tlblr' nlclo . Soldier 53 2-6 F o c h t (1962)
Houston, Tr-v.is P ile s,
0 0 .2 r H 04XH Rakers at
.1 I i i i 2 r,eve Is
5 00 Jefforson Sheet 32.5 2-6 F o c h t (1962)
n l d q . , Houston P i les,
Texas Raker at
1 Level
Pierre Laclede Soldier 2. 5-4 Mansur and

nl d q ., Clayton Piles, Alizadeh
Missouri Tieback (1969)
Anchors
a) 1 Anchor
Level 29
b) 2 Anchor
Levels 34.5
Bloor-Dantorth Soldier
Subway, Toronto Piles,
Canada Cross
Bracing at
3 levels
a) B4233 39.5 1.2-5.4 T.T.C.
(1967)
b) B3510 39 1.5-2.5 T.T.C.
(1967)
Fig. 33. Measured Maximum Apparent Pressures Compared with Prediction Based on Trapezoidal
Diagram, Fig. 30c, for Five Cuts in Stiff Clays
279
P EC K .
2.5.4 Cuts in Clay, B * 4 to 6 o f p r e ssu r e near m id -h e ig h t o f th e c u t.
As a c u t in a hom ogeneous c l a y d e e p e n s , N A p p a r e n t p r e s s u r e d i a g r a m s h a v e b e e n com

is lik e ly to in crea se. B etw een d e p th s c o r p u te d on t h e a s s u m p tio n t h a t t h e s h e a r i n g
r e s p o n d i n g r o u g h l y t o N = 4 an d N = 6 , a r e s is ta n c e o f the s o i l c o n siste d e n t ir e ly
t r a n s i t i o n fr o m a n e l a s t i c t o a p l a s t i c o f f r ic t io n , fo r se v e r a l d if f e r e n t v a lu es
s t a t e sh o u ld o c c u r in th e su rro u n d in g c l a y . o f ♦ , by t h e e m p i r i c a l p r o c e d u r e s recom
C a lcu la ted v a lu e s o f ( f o r m = 1) may m ended f o r c o h e s i o n l e s s s a n d s . The com par
i n c r e a s e fr o m 0 a t N = 4 t o much h i g h e r i s o n i s shown i n F i g . 3 4 . The d r a i n e d
v a lu es. H owever, in t h e t r a n s i t i o n , t h e f r i c t i o n a n g l e ♦' o f t h e c l a y e y s a n d s i s on
r e a l e a r t h p r e s s u r e c o u ld h a r d ly be e x p e c t h e o r d e r o f 3 5 ° ; f o r t h i s v a l u e and c ' = 0
t e d t o d e c r e a s e t o z e r o from v a l u e s c o r th e a p p a re n t p r e s s u r e d iagram s a g r e e r e a s
r e s p o n d i n g t o F i q . 3 0 c , an d t h e n t o i n c r e a s e o n a b l y w e l l w i t h t h e com puted o n e s . The
a g a in . I t i s su g g e ste d t h a t v a lu e s taken c o n s o lid a t e d - u n d r a in e d p a r a m e te r s in term s
fr o m F i g . 3 0 c b e c o n s i d e r e d l o w e r l i m i t s o f t o t a l s t r e s s e s a re a p p ro x im a te ly c = 0 .6
u n til N in c re a se s to the ex ten t th a t the k s f and 4 = 1 6 ° ; t h e s e v a l u e s g i v e p r e s s u r e s
p r e s s u r e s c o m p u t e d fr o m F i g . 3 0 b b e c o m e much h i q h e r t h a n t h e o b s e r v e d o n e s i f t h e
e q u a l t o t h o s e e s t i m a t e d from F i q . 3 0 c . w id th o f t h e a p p a r e n t p r e s s u r e diagram i s
t a k e n a s 0 . 6 5 k a y H, a n d Kft i s c o m p u t e d by
2 .5 .5 C la y e y Sands and Sandy C la y s the e x p r e ssio n
The r e s u l t s o f o b s e r v a t i o n s on o n e c u t in
4c
d e n s e c l a y e y s a n d s and s t i f f s a n d y c l a y s , Kft = t a n 2 ( 4 5 ° - | ) [1 -
b o t h w i t h s i l t y c o m p o n e n t s , a r e sh ow n i n yH t a n ( 4 5 ° - |)
F ig . 34. T h e d i a g r a m i n d i c a t e s an a r c h e d
d i s t r i b u t i o n o f e a r th p r e ssu r e w ith c e n te r P r e d r a in a g e was a c c o m p lis h e d q u i c k l y a t t h e
A pparent E orth Pressure, ks f

S o il P ro file 0 I 2
F il I
S t if f S ondy Cloy
10-
Dense S ond
9
20- ;
S tiff S ilty 30- 1

S ondy Cloy I
® 4 0 -5
I
- I
Dense Sond S 5 0 -3
o
S tiff
60- U - L - 5 - e e ____|
C lo y 6 S ilt
Sond f i Grove! I-11 - 68
F -T 5 -3 V
70-
H a rd
80-
S ilty Cloy
-S old ie r
9 0- P iles
F ig . 34. S t r u t L o a d s i n C u t i n D e n s e C l a y e y S a n d s an d S t i f f Sandy C la y s i n O akland ,

C a lifo rn ia
280
s i t e , and i t i s p r o b a b l e t h a t t h e c h a n g e s i n H eave o f t h e m a t e r i a l b e n e a th t h e b o tto m

p o re p r e s s u r e due t o th e e x c a v a t io n a l s o o c may a l s o b e a s o u r c e o f l o s t g r o u n d a n d
curred q u ic k ly . T h e r e fo r e , th e d ra in ed p a r se ttlem e n t. I t o c c u r s p r im a r ily in s o f t
a m e te r s a r e p r o b a b ly more r e a s o n a b l e . c l a y s , b u t may d e v e l o p i n s t i f f c l a y s a s a
c on seq u en ce o f la r g e l a t e r a l s t r e s s e s under
2 .6 C o n clu sio n s a t - r e s t c o n d it io n s in th e ground. Heave
m ay, o f c o u r .s e , a l s o t a k e p l a c e i f e x c e s s
A s u b s t a n t i a l am ount o f e m p i r i c a l d a t a h a s h y d r a u lic p r e s s u r e s a re a llo w ed to d e v e lo p
becom e a v a i l a b l e d u r in g t h e p a s t d e c a d e . b elo w t h e c u t .
C o n s e q u e n tly , our u n d e r s t a n d in g o f t h e m ove
m e n ts and f o r c e s a s s o c i a t e d w i t h o p en c u t The u s e o f t i e b a c k s and a n c h o r s y s t e m s i n
t i n g o p e r a t i o n s h a s g r e a t l y im proved . s te a d o f c r o s s - l o t b r a c in g or r a k e rs has
becom e p r o m in e n t. The r e l a t i v e l y l i t t l e
O b s e r v a t i o n s o f t h e l a t e r a l movement o f in fo r m a tio n a t our d is p o s a l s u g g e s ts th a t
v e r t i c a l s h e e t p i l e s or s o l d i e r p i l e s have t h e p a t t e r n o f d e f o r m a t i o n s d i f f e r s fr o m
proven p a r t ic u la r ly in fo r m a tiv e . They t h a t a s s o c i a t e d w ith c r o s s - l o t b r a c in g in
d em o n strate c l e a r l y , a t l e a s t in c la y s , t h a t t h e d e f o r m a t i o n s may d e c r e a s e f r o m t o p
th a t w h ile e x c a v a tio n i s a c t u a lly g o in g on, t o bottom o f t h e c u t . I t w ou ld be a n t i c i
l a t e r a l m ovem ents o f t h e p i l e s o r s h e e t i n g p ated t h a t under th e s e c o n d it io n s th e d i s
t a k e p la c e b elow t h e l e v e l o f th e lo w e s t t r i b u t i o n o f l o a d s among t h e a n c h o r s m i g h t
s t r u t i n p l a c e and e v e n b e lo w t h e l e v e l o f more n e a r l y r e s e m b l e t h a t c o r r e s p o n d i n g t o
e x ca v a tio n i t s e l f . The m a q n i t u d e o f t h e a t r i a n g u l a r d i s t r i b u t i o n o f p r e s s u r e than
m ovem ents d e p e n d s s t r i k i n g l y on t h e n a t u r e t o an a r ch ed d i s t r i b u t i o n t y p i c a l o f c r o s s -
o f t h e s o i l and on t h e d e p t h o f e x c a v a t i o n . l o t b r a c in g . H ow ever, t h e c o n c l u s i o n s h o u ld
E x t r a o r d i n a r i l y l a r g e m ovem ents a p p ea r n o t be drawn u n t i l a d e q u a t e e x p e r i e n c e w i t h
w hen t h e d e p t h o f a c u t i n c l a y a p p r o a c h e s t i e b a c k s y s t e m s h a s b e e n c o l l e c t e d and d i s
t h a t c o r r e s p o n d i n g t o N = 6 o r 7 and when c u sse d w ith a v iew to d e v e lo p in g sem i-
a c o n s id e r a b le depth o f s im ila r c la y a ls o em p irica l proced ures for d e sig n .
e x t e n d s b elo w th e bottom o f th e e x c a v a t i o n .
I n f e r i o r w orkm an ship ca n e a s i l y le a d t o
The l a t e r a l m ovem ents a r e s i g n i f i c a n t b e l a r g e r s e t t l e m e n t s than t h o s e i n e v i t a b l y
ca u se th e y a r e a s s o c ia t e d w ith s e t t le m e n t s a s s o c ia t e d w ith a q iv e n ty p e o f c o n s t r u c t io n
aff a p p r o x i m a t e l y e q u a l v o l u m e . U n fortu n ate and a a i v e n s o i l ( S o w e r s an d S o w e r s 1 9 6 7 ) .
l y , r a th e r l i t t l e in fo r m a tio n has been ob P r e s t r e s s i n g o f s t r u t s and t i e b a c k s s i g n i f i
ta in e d co n cern in g th e d is t r ib u t i o n o f s e t c a n t l y r c d u c e s th e m ovem ents. N e v er th e less,
t l e m e n t s w i t h r e s p e c t t o d i s t a n c e fr o m t h e th e b e s t o f w orkm an ship c a n n o t r e d u c e t h e
edge o f the c u t. Such in f o r m a t io n i s needed s e t t l e m e n t s b e l o w a minimum t h a t d e p e n d s
t o p e r m it r a t i o n a l d e c i s i o n s abou t th e n e c p r i m a r i l y on t h e n a t u r e o f t h e s o i l and t h e
e s s i t y f o r u n d erp in n in g a d ja c e n t s t r u c t u r e s . depth o f e x c a v a t io n . I f m ovem ents m ust be
red uced b elow th e i n e v i t a b l e v a l u e s , a r a d i
I n c o h e s i o n l e s s s o i l s , s e t t l e m e n t s may o c c a l a l t e r a t i o n in t h e m ethod o f c o n s t r u c t i o n
cur a s a co n seq u en ce o f a c t u a l l o s s or flo w i s r eq u ire d . Such a l t e r a t i o n s , in p r i n c i p l e ,
o f ground in t o th e e x c a v a tio n . Proper co n red u ce th e change in s t r e s s a s s o c i a t e d w ith
t r o l o f g r o u n d w a t e r an d s e e p a g e p r e s s u r e s e x c a v a tio n u n t i l th e b ra c in g system or p er
becom es t h e m ost im p o r ta n t means f o r k e e p m a n e n t s t r u c t u r e i s i n p l a c e an d c a p a b l e o f
i n g s e t t l e m e n t s t o a m inim um . r e s i s t i n g f o r c e s and d e f o r m a t i o n s . V ariou s
means f o r a c c o m p l i s h i n g t h i s p u r p o s e h a v e
been d is c u s s e d .
281
P EC K .
diff£rentes, sont presentes dans le rapport.

RESUME Ils montrent que la distribution des tasse
ments de la surface du sol, au dessus d'un
Les ouvragea n6cessitant la realisation d' tunnel unique, a souvent la forme d'une
excavations profondes ne peuvent t?tre conjus courbe d'erreur. L'ordre de grandeur des
d'une fagon rationelle que si l'igfenieur est tassements susceptibles de se produire sous
capable d'estimer les possibility de diverses conditions, peut Stre grossi&rement
construction par les diff6rents moyens mis estime en se basant sur les resultats empiri-
k sa disposition, les pertubations suscep- ques contenus dans le rapport. D'autres resul.
tibles d'etre causfies aux constructions tats sont condenses dans la Fig. 9 et permet-
voisines, les forces ou les deformations tent d'evaluer approximativement l'etendue
auxquelles les structures temporaires et laterale de la zone de tassement. Le rapport
definitives pourrent fitre soumises. Dans souligne les irregularites de la distribution
bien des cas, le choix entre la realisation des tassements dues k des eboulements souvent
d'une fouille ou celle d'un tunnel depend causes par un rabattement insuffisant de la
plus de la nature des pertubations pre- nappe dans les sols pulverulents.
vues dans le sol que des forces auxquelles
les structures seront soumises. Les conditions requises pour le calcul des
supports permanents et temporaires des tunnels
La construction d'un tunnel sera satisfai- sont etudiees en detail. L'excavation d'un
sante, si les immeubles, les rues ou les tunnel est toujours accompagnee de mouvements
installations d'utilite publique avoisinater. du sol environnant vers le front d'attaque.
ne sont pas endommages d'une manifere Ces mouvements changent compietement la
excessive et si, l'ouvrage une fois terming distribution et l'intensite des contraintes
est capable de supporter les conditions qui prevalaient dans le sol. Du fait que le
auxquelles il sera soumis pendant sa dur€e revgtement temporaire ou permanent ne puisse
d'utilisation. Parmi ces conditions, il fftre place avant qu'un mouvement ne se produi.
est d'usage de consid6rer la poussee des se, les forces auxquelles le revStement doit
terres comme la plus importante. En fait resister sont sensiblement differentes de
bien d'autres facteurs ont un role prepon celles qui se seraient exerc£es si aucune
derant dans le comportement des tunnels. deformation ne s'etait produite. Si la sec
L'ordre dans lequel les phases de la cons tion courante du revStement a la forme d'un
truction sont realisees et le comportement anneau k peu pres circulaire, el est
du sol avoisinant pendant la periode de vraisemblable que la force de compression
construction introduisent des complications. finale, qui s'exerce sur cet anneau ne sera
Du fait de ces complications, le calcul du pas sensiblement plus grande que celle due a
revSteraent permanent ne peut Stre effectue 1'action du poids des terres envirennantes.
en utilisant la theorie de la poussee des De plus, il est tres probable que les distor-
terres. Ce calcul devrait l'etre, de nions des rev#tements, m&me s'ils sont flexi—
preference, en se basant sur la prevision des bles, seront petites pour presque tous les
deformations et la connaissance des defor types de sol. Les resultats d'observation,
mations toierables. presentes pour justifier ces conclusions,
indiquent que la resistance au cisaillement,
La possibilite de construction d'un tunnel mobilisee dans le sol avoisinant, est tou-
dans un sol mou a ete discutee par Terzaghi jours un des facteurs principaux du mecanisme
en 1950. Certaines modifications ont ete de support des tunnels. La perturbation
apport£es a ses conclusions pour tenir accompagnant la construction d'ouvrages
compte de 1'utilisation des machines de adjacents, et m&ne de tunnels voisins, ne
percement. Pour les tunnels dans des modifie pas cette conclusion, bien qu'il
argiles non drainees, la validite des faille prevoir des forces et des deformations
criteres de stabilite a ete etudiee et les superieures a celles envisag6es dans le cas
propositions de Broms et Bennermark (1967) d'un tunnel unique.
ont ete d'une maniere g6n£rale trouvSes
acceptables. D'autre part, pour les L'excavation produit, dans le sol environnant,
materiaux ayant tendance a s'effriter ou a une distribution favorable des contraintes
s'Sbouler, il est difficile d'6tablir des que devrait etre prise en consideration lors
criteres bases sur une theorie, car l'influen. de la conception des revetements de tunnel.
ce des details de construction est prepon L'habitude de concevoir un revetement pri-
derante. maire et un revetement secondaire devant
resister ^ des pressions des terres k peu
Les resultats de mesures des tassements, pr^s egales a celles existant dans une masse
associes k la construction de tunnels, dans de sol au repos n'est pas justifiee et
drivers types de sols, pour des conditions devrait ftre abandonn£e. Il est preferable
282
d'utiliser une methode de calcul qui tient Le comportement des sols avoisinants lea
compte de la resistance du sol. Une telle fouilles dans des argiles plastiques semble
methode se divise en quatre parties. fitre fonction, dans une grande mesure, du
nombre de stabilite N = V H/Su, ou H repre
1. Evaluer la contrainte p£riph£rique et cal- sente la profondeur de la fouille, f le poids
culer le revetement de facon qu'il r6siste a specifique du sol, et Su la contrainte de
la compression. Pour toutes les argiles, en cisaillement dans des conditions non drainees.
dehors des argiles gonflantes, une limite Pour des valeurs de N inferieures a 4 les
suo6rieure de la contraite p£riph£rique peut mouvements sont assentiellement eiastiques.
£tre prise 6gale a la pression due au poids Quand N croit de 4 a 7 ou 8 des zones plas
des terres au centre du tunnel, au a une tiques de plus en plus grandes se forment et
valeur lggerement plus grande si le coeffi les mouvements deviennent importants. Si
cient lateral de pouss£e des terres est l'argile molle s'etend sur une grande
initialement supfirieur a 1'unite. profondeur au dessous du fond de la fouille
et si N est de l'ordre de 7 J 8, une zone
2. Evaluer la variation de diametre qui se plastique tres profonde se forme et de grands
produirait si un revetement flexible etait mouvement, se produisant sur une grande 6ten-
instalie, et choisir unrevetement ayant une due, ne semblent pas pouvoir §tre 6vit£s. De
flexibility suffisante pour pouvoir subir la tels mouvements ont ete observes dans plusieurs
mSrae deformation sans rupture. L ‘evaluation excavations dans des argiles molles a Oslo et
des deformations doit etre fondee sur des dans une excavation profonde k Mexico. D'un
resultats empiriques. Malheureusement les autre cote, si le developpement de zones
resultats des informations disponibles ne plastiques est restreint par la presence de
sont pas encore applicables dans tous les materiaux assez raides, au fond ou pr&s du
cas. fond de la fouille, les mouvements sont
considerablement reduits.
3. Pr6voir une rigidite et une resistance
suffisante capable de supporter les efforts La presence de murs, soit-disant rigides, au
exerces pendant la construction tels que ceux lieu de palplanches ou de pieux-soldats
dus a la reaction des verins du bouclier et habituels, r£duit les mouvements, mais ne les
a la construction du revetement. Ne pas eiimine pas. Si les procedes ordinaires de
considerer specifiquement le cas de rupture construction conduisent a des mouvements
par flabement generalise dans des plans per- excessifs, il faut apporter des modifications
pendiculaires Ji l'exe du tunnel. essentielles aux methodes d'excavation et de
blindage. Ces modifications impliquent, soit
4. Considerer les modification k apporter la construction complete du systeme de b l i n
dans le cas du percement consecutif d'autres dage avant d'excaver le sol a l'interieur de
tunnels ou de la construction d'autres 1'enceinte, soit la diminution de la diffe
ouvrages a proximite du tunnel. L'influence rence de contraintes qui va de pair avec
de telles activites peut aussi etre evaluee, 1'excavation elle-mSme. Le premier proc£de
dans bien des cas, d'apres les resultats comprend la construction en tranchees, d6velo
empiriques presentes dans le rapport. pp£e il y a plusieurs ann6es et ses recentes
variantes telle que la construction d'une
Le methode de conception proposee devrait paroie rigide mouiee en tranchee de boue.
entralner une economie considerable et, en Dans certains cas des etanôns doivent etre
mStne temps, menager une large marge de secu- places entre les parois mouiees de telle
rite et non sur des suppositions qui ne sont maniere qu'elles soient compietement etayees
pas etayees par les observations faites. sur toute leur profondeur avant de retirer
un important volume de terre de l'interieur
L'excavation des fouilles blindees implique de 1'enceinte. Le deuxi£me proc6d£ peut 3tre
1*enlevement de poids de terre substantiels. realise par dragage sous l'eau et par excava
Les changements importants des contraintes, tion a l'air comprime apres avoir construit
que y correspondent, produisent des depla le toit perraament de l'ouvrage.
cements vers le haut du fond de la fouille,
des deplacements vers l'interieur des cot6s Le rapport presente des renseignements empi
(meme s'ils sont proteges par des murs de riques qui peuvent permettre d'evaluer 1'im
palplanches ou de pieux-soldats) et un tasse- portance de la perturbation et du tassement
ment correspondant de la surface du sol de la surface du sol qui accompagnent une
avoisinant. Les relations intimes entre les excavation par des moyens conventionnels.
differents mouvements sont exposees dans les Apr&s avoir evalue ces grandeurs, l'ingenieur
resultats des nombreuses mesures sur des peut alors decider si des moyens d'excavation
fouilles dans des argilea plastiques et dans et de blindage plus eiabores sont necessai-
des sables. res.
283
R EC K .
Les forces que le blindage d'une fouille L'utilisation du nombre de stability penitent
orofonde *devra supporter peuvent etre calcu- de distinguer entre les diff£rentes types
16es de fayon assez precise par des methodes d'excavation dans les argiles et d'61iminer
•emi-empiriques dans le cas d'excavation dans certaines confusions concernant les possibi
le sable. Dans les argiles il a 6t6 prouv6 lity d'aoplication de regies semi-empiriques
que ces forces sont fonction du nombre de -jour des fouilles peu profondes dans des
stability N Pour des valeurs de N inf£- argiles molles ou pour des fouilles profondes
rieures It 4 aucune theorie de pouss£e des dana des argiles raides. Dans les deux cas
terres, faisant intervenir les contraintes de La condition N inf6rieur a 4 peut aussi bien
cisaillement dans l'argile, ne peut etre pr^valoir et une approche empirique est aiors
appliqu£e et les forces doivent dtre determi n6cessaire, jusqu'a ce qu'une meilleure
n e s de faôn empirique. Les valeurs de N connaisaance du probleme soit acquise.
entre 4 et 6 reorisentent une zone de transi
tion entre l'Atat Elastique et l'6tat plasti- La fiche des palplanches et la profondeur a
que oour lequel les theories de pouss£e des laquelle elles devraient Stre battues influent
terres devraient pouvoir etre appliqu£es. aur le comportement de la fouille, mais aucu
Pour des valeurs de N entre 6 et 8 des ne conclusion definitive ne peut etre apportds
r£sultats satisfaisants peuvent 3tre obtenus car la connaisaance de leurs effets n'est
oar des oroc6d£s semi-empiriques utilisant encore que sonunaire.
la theorie simple de Rankine-RSsal et une
oouss6e apparente ayant une distribution Le rapport pfesente aussi de nouveaux
trapAzoXdale. rgsultats empiriques concernant les forces
qui s'exercent sur des fouilles effectufies
Pour des valeurs de N supfirieures a 8 et dans pluaieura types de aols qui
quand, de plus, de profondes couches d'argi n'avaient pas 6t6 Studies juaqu'a present.
les sont aitu£es au dessous de la fouille, la Quelques renseignements sur des syst&nes
zone olastique est tres profonde et lea for d'^tanfons inclines et d'ancrages y sont
ces de pousade des terres s'accroiaaent d'une aussi inclus.
fa£on impreasionante. Dans ce cas la thfiorie
classique de pouss£e des terres n'eat plus
applicable et le rapport suggfire quelques
autres mlthodes.
284
DEEP EXCA VAT I ONS A N D TUNNELLI NG
ACKNOWLEDGEMENTS
A very large number of engineers replied to the General Reporter's circular letter requesting
information and to his subsequent inquiries for additional data. Without this gratifying
response many valuable items would not have come to the Reporter's attention. As the store
of information grew it became necessary to limit the scope of the subject; hence, not all the
contributions were finally included. For these omissions, and for the reduction of many
informative projects to no more than a single sentence or an item in a cable, the Reporter
is indeed sorry. Several contributions arrived too late to be included.
As far as possible, the sources of information have been listed in the text and references,
even though the data may have been in the form of unpublished manuscripts or personal com
munications. Wherever such a reference appears, it represents a contribution for which the
Reporter expresses his sincere thanks.
A few individuals must be singled out for their extraordinary interest and assistance. They
include Messrs. L. Bjerrum, E. D'Appolonia, M. Endo, J.A. Focht, Jr., T.H. Hanna, T. Hashiba,
J.E. Jennings, B .A . Kantey, Y.H. Lacroix, B.I. Maduke, M.A.J. Matich, J.O. Osterberg,
R. Parry-Davies, G. Plantema, W.L. Shannon, S. Shiraishi and W.F. Swiger.
Others who have made contributions beyond those specifically acknowledged in the text, or
to whom reference has not been made,include Messrs. J.I. Adams, M. Alizadeh, Z. BaZant,
H.H. Burke, G.D. Camp, A.P. Chase, C.B. Crawford, H.Q. Golder, A .R . Golze, B.B. Gordon,
J.P. Gould, P. Habib, R.A. Heydenrych, J.W. Hilf, J.D. Humphreys, W. Jackson, J. Kerisel,
B. Ladanyi, T.W. Lambe, I.M. Litvinov, C.I. Mansur, A. Mayer, B. McClelland, 0. Moretto,
H. Mori, H. Muhs, T.M. Noskiewicz, F.J. Sancrer, L.L. Snedden, G.F. Sowers, G. Ter-Stepanian,
M.J. Tomlinson, N.A. Tsytovich, L.B. Underwood, A.F. Van Weele, and L. Zeevaert.
C
285
P EC K .
APPENDIX I
Sources of all Earth Pressure Data for Braced Excavations in this Study
Soil Type Project Source of Information
Granular Soils Subway, Berlin Spilker, 1937

Subway, New York White & Prentis, 1940
Spree Underpass, Berlin Klenner, 1941
Subway, Munich Klenner, 1941
Subway, Berlin ‘Muller-Haude & von Scheib'
ner, 1965
S u b w a y , Toronto, Canada ‘T.T.C., 1967
SUbway, Cologne ‘Briske & Pirlet, 1968
Clays Subway, Chicago, Contract S1A Peck, 1943

do. S3 do.
do. S4B do.
do. S8A do.
do. S9C do.
do. D6E do.
do. D8 Wu, 1951; Wu & Berman,
1953
do. K5 ‘Maynard, 1969
Inland Steel Building Lacroix, 1956
Harris Trust Building White, 1958, 1964
S u b w a y , Oslo, Gr^nland 1 NGI TR No. 1, 1962
do. Enerhauqen NGI TR No. 3, 1962
do. Vaterland 1 NGI TR No. 6, 1962
do. Grfinland 2 NGI TR No. 5, 1966
Oslo Technical School NGI TR No. 2, 1962
Oslo Telegraph Buildinq NGI TR No. 4, 1965
Cofferdam, Shellhaven, England Skempton & Ward, 1952
Poole Power Station, England Meqaw, 1951
T-Building, Tokyo Kotoda, et al, 1959;
Endo, 196 3
M-Building, Tokyo Minomaqari et al, 1960;
Endo, 1963
H-Building, Osaka Endo et al, 1961; Endo,
1963
New England Mutual Building, Boston Terzaghi, 1941
Laclede Building, St. Louis, Missouri ‘Lacroix & Perez, 1969
Pickerinq Generating Station ♦Hanna & Seeton, 1967
Siphon, Mexico City ‘Rodriguez & Flamand, 1969
Uelandsqate Test Trench DiBiagio & Bjerrum, 1957
Park Village East, England Golder, 1948
Subway, Toronto, Canada ‘T.T.C., 1967
Humble Buildinq, Houston ‘Focht, 1962
500 Jefferson Buildinq, Houston ‘Focht, 1962
Pierre Laclede Building, Clayton, ‘Mansur & Alizedah, 1969
Missouri
Miscellaneous Soils Subway, Tokyo Ishihara & Yuasa, 1963

Trench, Ayer Itam Dam, Malaya Humphreys, 1962
Maas Tunnel, Rotterdam, Holland van Bruggen, 1941;
Tschebotarioff, 1951
Subway, Brooklyn, New York Miller, 1916
Subway, Oakland, California ‘Personal Files
Subway, Toronto, Canada ‘T.T.C., 1967
All projects except those preceded by an asterisk were evaluated and summarized by
Flaate (1966).
286
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INTERNATIONAL SOCIETY FOR

SOIL MECHANICS AND

This paper was downloaded from the Online Library of

This is an open-access database that archives thousands

by Ralph, B. Peek. Prof. of Foundation Engineering

In the remainder of this discussion, we shall As a corollary to the preceding requirement,

Table I Field Data on Stability of Tunnels in Saturated Plastic Clays

1 London, A s h ­ Tattersall et London Clay, 90 9.3 9.7 21. 11.0 0 0 5

3 London, Vic­ Ward and Thom­ do. 85 14 .0 6.1 7.8 10.8 0 l 4

6 Detroit, water Housel, 1942 Plastic glacial 68 15.0 4 .5 0.8 8.0 3 9 5 1

8 Chicago, sub­ Terzaghi, 1943 Plastic glacial 36 20.0 1.8 0.44 4 .3 1 7 5 9

9 Koto, Tokyo, Shiraishi Normally loaded 74 23.0 3.2 0.76 5.6 1 2 7 4

10 Osaka, Munici­ Shiraishi Normally loaded -51 23.0 2.2 0. 60 5.0 1 0 6 6

Note: psi = pounds per square inch

i a l s , i t may b e n e c e s s a r y t o c h a n g e t h e c u t ­ quite properly considered good practice to

The c o n s t r u c t i o n o f e v e r y s o f t - q r o u n d t u n ­ The nature of the inevitable settlements and

Finally, materials possessinq apparent co ­

The use of air pressure in a perfectly co ­

Toronto Sub­ Bartlett 49 17.0 Hand- Crown in dense

•Settlement due to groundwater lowering not included.

aValues for two parallel circular tunnels on 33-ft centers.

^Values for two parallel circular tunnels on 21-ft centers.

N = Standard Penetration Resistance (blows per ft of 14 0-lb hammer falling 30 inches to

ments may reach catastrophic proportions if

1.4.3 Tunnels in Cohesive Granular Soils

San Francisco Pers. files 36 17.5 0 .1 5 0.03 O .O T Digger Slightly ce­

Wilson Tunnel Pers. files 50 33.0 0.07 Hand, Residual sapro-

Wilson Tunnel Pers. files 100 33.0 0 . 20 do. do.

raveling even if adverse seepage conditions

The settlements due to raveling may be de ­

2 Heathrow Wood and 43 36 0.03 Shield, hand- Upper portion of

Note: ksf = kilopounds (kips) per sq ft

c h a r t t h e y a r e r e p r e s e n t e d by p o i n t s c l o s e In a few i n s t a n c e s , s h i e l d s have b een sh oved

tunneling are well-illustrated by Fiq. 5, whether the tunnel is advanced by hand-

ft. due to excavation. Little loss of ground

Finally, delayed settlements due to long­

especially deserve consideration if tunnel­

1.4.6 Distribution of Settlement

The available empirical data, such as the

Values of i have been calculated for tun­

The plot. Fig. 9, shows reasonable trends

Table V Settlements Above Tunnels in Saturated Plastic Clays

2 K o t o , Tokyo Shiraishi 74 23.0 (4 .3) a 0. 6a 0. 4a Shield, sec­ Normally

3 San Francis­ Pers. Files 59 18.0 4 .3 0.2 0.15 Shi e l d , Moderately

4 Ottawa Eden and 60 10.0 1.6 0.02 Diqqer-shield, Leda clay,

6 Chicago D-5 City of 39 20.0 0.8 0. 10 0.06 Hand-mined, Strength of

7 Chicago S-6 City of 36 20.0 0.6 0.09 0.05 Hand-mined, Strength of

Values in parenthesis estimated on basis of few observations

aValues for two parallel circular tunnels on 49-ft centers.

^Values for two parallel circular tunnels on 21-ft centers.

cValues for two parallel horseshoe tunnels on 28-ft centers.

^Values for two horseshoe tunnels on the common center wall.

R a t io is f u n c t io n o f and s o il c o n d itio n s 16“n o

Fig. 8 Properties of Error Function or Fig. 9 Relation Between Width of Settle­

Table VI Width of Settlement Trough Above Tunnels

Hard clayey glacial till

8 Ottawa Eden & Bo- 5 60 6 22 4.4 0.023 1.25 1.6

Medium Leda Clay

9 Chicago Su b ­ Terz a g h i , 10 39 2.0 16 1.6 0.075 3 0. 75 First tun­

1 London, A s h Tattersall et London Clay, 90 9.3 9.7 21. 11.0 0 0 5

3 London, Vic Ward and Thom do. 85 14 .0 6.1 7.8 10.8 0 l 4

8 Chicago, sub Terzaghi, 1943 Plastic glacial 36 20.0 1.8 0.44 4 .3 1 7 5 9

10 Osaka, Munici Shiraishi Normally loaded -51 23.0 2.2 0. 60 5.0 1 0 6 6

i a l s , i t may b e n e c e s s a r y t o c h a n g e t h e c u t quite properly considered good practice to

The c o n s t r u c t i o n o f e v e r y s o f t - q r o u n d t u n The nature of the inevitable settlements and

Finally, materials possessinq apparent co

The use of air pressure in a perfectly co

Toronto Sub Bartlett 49 17.0 Hand- Crown in dense

San Francisco Pers. files 36 17.5 0 .1 5 0.03 O .O T Digger Slightly ce

The settlements due to raveling may be de

Finally, delayed settlements due to long

especially deserve consideration if tunnel

Values of i have been calculated for tun

2 K o t o , Tokyo Shiraishi 74 23.0 (4 .3) a 0. 6a 0. 4a Shield, sec Normally

3 San Francis Pers. Files 59 18.0 4 .3 0.2 0.15 Shi e l d , Moderately

Fig. 8 Properties of Error Function or Fig. 9 Relation Between Width of Settle

9 Chicago Su b Terz a g h i , 10 39 2.0 16 1.6 0.075 3 0. 75 First tun

10 Chicago Sub Terzaghi, 52 40 0.77 22 .85 — — Total set

11 San Paolo Terzaghi, 4.5 100 11 19 4.2 0. 67 32 50 Many con

12 San Francis Pers. files 9 59 3.3 24 2.7 0.18 11 4 .3

tunnel. If the deformation is not consider

Type Radius Thick Rigi Type Strength Over

Type Radius Thick Rigi Type Strength Over

Experience has also indicated that the stiff