IRC:SP:91-2019

Contents

S. No. Chapter Page No.

Personnel of the Highways Specifications and Standards Committee i-ii

Introduction1

1. General 3
2. PLANNING OF ROAD TUNNELS 7
2.1 General 7
2.2 Phase 1- Evaluation of Tunnel Cross Section, Corridor Assessment 7
and Development of Alternative Routes
2.3 Phase 2 - Basic Geological Studies on Selected Route 8
2.4 Phase 3 - Rock Mass/Soil Characterization and Evaluation of Design 9
2.5 Phase 4 - Electrical & Mechanical Works including Ventilation, Fire 10
and Fighting Systems, Lighting, Health and Safety Provisions
2.6 Phase 5 - Environmental Impact Assessment (EIA), Land Acquisition 11
and Statuary Clearances
2.7 Phase 6 – Tender and Contract Design 12
3. DESIGN APPROACH FOR ROAD TUNNELS 13
3.1 Design Basic for Tunnels 13
3.2 Analytical Solutions 14
3.3 Empirical Solutions 17
3.4 Observational Approach 19
3.5 Numerical Methods 22
3.6 Recommended Approach for Geotechnical Design 24
3.7 Tunnel Supports 25
3.8 Structural Design for Road Tunnels 25
4. CONSTRUCTION METHODOLOGY 29
4.1 General 29
4.2 Tunnel Approach and Portals 29
4.3 Tunnel Construction using Drill and Blast Method 29
4.4 Mechanical (No- blast) Techniques 34
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4.5 Immersed Tube/Sunken Tube Tunnels 36

4.6 Cut and Cover Tunnels 36
4.7 Pre Excavation Treatment 36
4.8 Design of Drilling Pattern and use of Explosives 38
4.9 Non-structural Works in the Tunnel 38
4.10 Waterproofing in Tunnels 38
4.11 Tunnel Furnishings 41
4.12 Quality Assurance and Quality/Control 41
5. TUNNEL VENTILATION AND FIRE FIGHTING SYSTEMS 42
5.1 Introduction 42
5.2 Type of Ventilation System 42
5.3 Factors to be Considered for Ventilation Design 46
5.4 Admissible Concentration of Toxic Gases 46
5.5 Visibility 47
5.6 Ambient Air Concentration 47
5.7 Minimum Air Exchange 48
5.8 Objectives of Ventilation for Fire and Smoke Control 48
5.9 Tunnel Fires, Fire Detection and Fixed Fire Fighting Systems 48
6. TUNNEL LIGHTING REQUIREMENTS 51
6.1 Introduction 51
6.2 Distinction between long and short tunnels 51
6.3 Tunnel Related Zones 52
6.4 Tunnel Lighting Related Terms 53
6.5 Daytime Lighting for Long Tunnels 56
6.6 Night Time Lighting 62
6.7 Luminaries Selection 63
7. SAFETY AND HEALTH DURING CONSTRUCTION OF TUNNELS 65
7.1 General 65
7.2 Applicable Regulations 65
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7.3 Project Safety Plan (PSP) 65

7.4 Basic Aspects 65
7.5 Drilling and Blasting 67
7.6 Ventilation and Noise Protection 69
7.7 Lighting 70
7.8 Communication System 70
7.9 Protection Against Fire 71
7.10 Housekeeping 71
7.11 Emergency Management System 72
8. TRAFFIC CONTROL AND ROAD SAFETY DEVICES 73
8.1 General 73
8.2 Road Markings 73
8.3 Reflective Pavement Markers (Road studs) 77
8.4 Road Signs 79
8.5 Road Delineators 83
8.6 Lane Messages/Lane Dedicated Signs (LDS)/Lane Use 83
Management System (LUMS)
8.7 VMS System Design 84
8.8 Tunnels Closure Management 85
8.9 Median Openings 85
9. OPERATION AND MAINTENANCE 86
9.1 Introduction 86
9.2 Operation and Maintenance Function/Activities 86
9.3 Organization for Operation and Maintenance 93
9.4 Documentation 94
9.5 Safety Requirements 95
9.6 Additional Safety Consideration 100
9.7 Information Leaflets: Case Study 101
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ANNEXURES
1 ANNEXURE: A (Clause: 1.4) Terminology 102
2 ANNEXURE: B (Clause: 2.2) Assessment of Functional Requirements 104
3 ANNEXURE: B-1 Cross Passage/Inspection Path/Sub-Surface Drainage 108
4 ANNEXURE: C (Clause: 2.3) Geophysical Investigations 112
5 ANNEXURE: D (Clause: 3.6) Tunnel Instrumentation 116
6 ANNEXURE: E (Clause: 3.7) Tunnel Supports 123
7 ANNEXURE: F (Clause: 5.9.1) Standard Tunnel Fire Curves 130
APPENDIX
1 APPENDIX-I (Clause 3.3.1) Terzaghi's Empirical Method for Assessment of 135
Rock Load for Design of Steel Ribs
2 APPENDIX-II (Clause 3.3.4) Procedure for Predicting Rock Mass Rating 136
(RMR)
3 APPENDIX-III (Clause 3.3.5) Data Sheet for Geomechanical Classification 139
of Rock Masses for Assessment of Tunnelling Quality Index
4 APPENDIX-IV (Clause 3.3.5) Relation between Rock Mass Rating, Stand- 142
up time and Unsupported Span and Inter-relation between ‘Q’ and RMR
5 APPENDIX-V (Clause 3.8.1) Applicable Codes of Practices/Acts/Rules 143
 IRC:SP:91-2019
PERSONNEL OF THE HIGHWAYS SPECIFICATIONS
AND STANDARDS COMMITTEE
(As on 20.07.2019)

1 Pandey, I.K. Director General (Road Development) & Special Secretary to Govt. of India,
(Convenor) Ministry of Road Transport and Highways, New Delhi

2 Balakrishna, Y. Additional Director General, Ministry of Road Transport and Highways,

(Co-Convenor) New Delhi

3 Kumar, Sanjeev Chief Engineer (R) S, R & T, Ministry of Road Transport and Highways,
(Member Secretary) New Delhi

Members

4 Behera, Bijan Kumar Engineer-in-Chief (Civil) (Retd.), Odisha

5 Bose, Dr. Sunil Head (Retd.), FP Division, Central Road Research Institute, New Delhi
6 Chandra, Dr. Satish Director, Central Road Research Institute, New Delhi
7 Gupta, D.P. DG(RD) & AS (Retd.), Ministry of Surface Transport, New Delhi
8 Jain, R.K. Chief Engineer (Retd.), PWD Haryana
9 Kapila, K.K. Chairman & Managing Director, ICT Pvt. Ltd., New Delhi
10 Kukrety, B.P. Associate Director, CEG Ltd., New Delhi
11 Kumar, Dr. Mahesh Engineer-in-Chief (Retd.), PWD (B&R) Haryana
12 Lal, Chaman Engineer-in-Chief (Retd.), PWD Haryana
13 Meena, H.L. Secretary (Retd.), PWD Rajasthan
14 Nashikkar, J.T. Secretary (Retd.), PWD Maharashtra
15 Nirmal, S.K. Secretary General, Indian Roads Congress, New Delhi
16 Parida, Prof. (Dr.) M. Deputy Director, Indian Institute of Technology, Roorkee
17 Patel, S.I. Secretary (Retd.), PWD (Roads and Buildings) Gujarat
18 Prasad, R. Jai Engineer-in-Chief (Retd.), PWD & Bangalore Mahanagar Palike, Karnataka
19 Rawat, M.S. Executive Director, AECOM India Pvt. Ltd.
20 Reddy, Dr. K.S. Krishna Secretary, Public Works, Ports & Inland Water Transport Department,
Karnataka
21 Reddy, I.G. Engineer-in-Chief (NH, CRF & Buildings), PWD Hyderabad
22 Reddy, Prof. (Dr.) K.S. Professor, Indian Institute of Technology, Kharagpur
23 Sharma, S.C. DG(RD) & AS (Retd.), Ministry of Road Transport and Highways, New Delhi
24 Shrivastava, A.K. Additional Director General (Retd.), Ministry of Road Transport and
Highways, New Delhi
25 Singh, Nirmaljit DG(RD) & SS (Retd.), Ministry of Road Transport and Highways, New Delhi
26 Sinha, A.V. DG(RD) & SS (Retd.), Ministry of Road Transport and Highways, New Delhi

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27 The Chief Engineer PWD Arunachal Pradesh

(Basar, Toli)
28 The Addl. DGBR (North-West) Border Roads Organisation, New Delhi
(Kumar, Anil)
29 The Director (Tech.) National Rural Infrastructure Development Agency, New Delhi
(Pradhan, B.C.)
30 The General Manager National Highways and Infrastructure Development Corporation, New Delhi
(Projects) (Retd.)
(Kaul, Satish)
31 The JICA Expert Japan International Cooperation Agency, New Delhi
(Kitayama, Michiya)
32 The Member (Projects) National Highways Authority of India, New Delhi
(Pandey, R.K.)
33 The Professor Indian Institute of Technology, Kanpur
(Chakroborty, Dr. Partha)
34 The Secretary Roads and Buildings Department, Gujarat
(Vasava, S.B.)
35 The Secretary (Roads) PWD Maharashtra
(Joshi, C.P.)
36 The Secretary (Tech.) Roads and Buildings Department, Jammu & Kashmir
(Tickoo, Bimal) (Retd.)
37 The Special Director CPWD, Nirman Bhawan, New Delhi
General (Retd.)
(Bansal, M.C.)
38 Venkatesha, M.C. Consultant
39 Wasson, Ashok Member (Tech.) (Retd.), National Highways Authority of India, New Delhi

Corresponding Members

1 Jaigopal, R.K. MD, Struct Geotech Research Laboratories (P) Ltd., Bengaluru

2 Justo, Prof. (Dr.) C.E.G. Professor (Retd.), Emeritus (Expired in June, 2019)

3 Veeraragavan, Prof. (Dr.) A. Professor, Indian Institute of Technology, Madras

Ex-Officio Members

1 President, (Basar, Toli), Chief Engineer, PWD Arunachal Pradesh

Indian Roads Congress

2 Director General (Road (Pandey, I.K.), Ministry of Road Transport and Highways, New Delhi
Development) & Special
Secretary to Govt. of India

3 Secretary General, Nirmal, Sanjay Kumar

Indian Roads Congress

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GUIDELINES FOR ROAD Tunnels

INTRODUCTION

IRC first published Guidelines for Road Tunnels in the year 2010. Subsequent to the
advancement in technology used for Geophysical Investigation, ventilation, fire safety
as well as outcome of R&D and best world-wide practices, IRC decided to revise this
document. Accordingly, IRC entrusted the task of revision of this Guidelines to Hill Roads
and Tunnels Committee (H-10) under the convenorship of Shri A.K. Shrivastava during
the tenure 2018-20. The Committee had several meetings and prepared an initial draft
based on inputs received from members, user departments and industry. Thereafter, a
Drafting Committee was formed to compile all the chapters/feedback comprising Shri A.K.
Shrivastava, Lt. Col. Parikshit Mehra, Shri Swatantra Kumar and Shri M.C. Bansal. The
H-10 Committee finalized the draft in its meeting held on 06.07.2019 for placing during the
meeting of HSS Committee.
The composition of H-10 Committee is given below:

Shrivastava, A.K. …….. Convenor

Kumar, Anil …….. Co-Convenor
Jaiswal, Vivek …….. Member-Secretary
Members

Adhikari, Atanu Nanda, A.K.

Bansal, M.C. Rana, Dr. Sanjay
Goel, Dr. R.K. Sharma, Anil Kumar
Kaul, Satish Venkatesh, Dr. H.S.
Khaira, V.S. BRO (Mehra, Lt. Col. Parikshit)
Kohli, Brij Mohan JICA (Kitayama, Michiya)
Krenn, Dr. Florian MoRTH (Blah, W.)
Kumar, Ashwani PWD Arunachal Pradesh (Basar, Toli)
Kumar, Swatantra PWD Mizoram (Lalsawmvela, K.)
Madan, M.M. PWD Nagaland (Temjen, R. Temsu)
Corresponding Members

Casasus, Dr. Alvaro Ramamurthy, Prof. T.

Kastner, Dr. Michael Rao, Prof. (Dr.) K.S.
Paretkar, S.G.

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Ex-Officio Members

President, (Basar, Toli), Chief Engineer, PWD

Indian Roads Congress Arunachal Pradesh

Director General (Pandey, I.K.), Ministry of Road

(Road Development) & Special Transport & Highways
Secretary to Govt. of India
Secretary General, Nirmal, Sanjay Kumar
Indian Roads Congress

The HSS Committee in its meeting held on 20.07.2019 authorized the Convenor to finalize the
document based on comments offered during the meeting and submit final document to IRC for
placing in the Mid-Term Council meeting. The Mid-Term Council in its meeting held on 9th and
10th August, 2019 at Goa approved the document for publishing.

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CHAPTER 1
general

1.1 Tunnels are introduced into the road system in any terrain to negotiate gradients and
troubled spots while using the safest and shortest route. Tunnels may be introduced to avoid
passage through snow bound areas, eco sensitive areas, pass below water bodies or congested
areas etc. The fundamental objective of road tunnel is to ensure safe transit of the road traffic in
difficult terrain.
1.2 The decision to introduce a tunnel in a road system should be taken considering
life-cycle cost and overall saving for the traffic using the shortest feasible route. The cost of
tunnelling itself depends on geology, location of tunnel, length of tunnel and other site specific
criteria.
1.3 The planning, design and construction of a road tunnel is a complex inter- disciplinary
task and requires expertise in different fields. The planning and design involves site investigation,
physical planning, conceptual design and detailed design with due consideration for construction
methods. Aspects of construction methods, lighting and ventilation, safety and operation and
maintenance are dealt with in further sections.
1.4 Terminology: Annexure A contains definitions of terms that relate to planning,
design, construction, operation and maintenance of road tunnels.

1.5 Classification of Road Tunnels

1.5.1 Depth wise– Shallow and Deep Tunnels.
1.5.2 Construction wise – Cut and Cover, Bored Tunnels using TBMs, Mined tunnels using
Road-headers and Drill & Blasting, Immersed tubes and Floating Tunnels.
1.5.3 Shape wise – Circular, Horseshoe, Elliptical tunnels & other shapes. Possible tunnel
shapes are given in Figs. 1.1a to 1.1d.
'D' Section: 'D' sections are most suitable for trasportation tunnels. The flat invert of "D" shape
greatly facilitates construction. However, this section is not suiitable for tunnels in soft ground.

Fig. 1.1a

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Circular Section: Circular sections are structurally the best and are commonly used for
underwater tunnels, tunnels through softy ground and for tunnels excavated with tunnel boring
machines.

Fig. 1.1b

Horseshoe Section: Horseshoe and Modified Horseshoe sections are a compromise between
'D' Section and Circular section and have added advantage for accomodation of utlility services,
better head room, etc.

Fig. 1.1c

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Egg Shaped Sections: Egg shaped and egglipse sections are best suited for sewerage tunnels
becuase of their hydraulic properties. They are also used for road tunnels with high vertical
pressure.

Fig. 1.1d

1.5.4 Length wise

• Short tunnels: Up to 500 m length
• Medium tunnels: Over 500 m to 1500 m length
• Long tunnels: Over more than 1500 m length

1.6 Distinctive Features of Tunnelling

Following distinctive features of Tunnelling shall be kept in mind while planning and designing:-
i) The dimensions of the tunnel are decided basedon the intended purpose. A tunnel is
designed to have the minimum cross section that serves the intended purpose. Plant
and equipment to be used for construction is decided based on these dimensions.
ii) Due to space limitations and linear nature of work, not many operations can be carried
out simultaneously, particularly at the tunnel face. Delay caused at any stage tends
to get carried through. Adequate number of Shafts and Adits to open multiple attack
points need to be planned keeping this aspect in mind.
iii) Tunnel design, unlike other civil structures, is largely based on the properties of strata
(rock-mass or soil) in which tunnel is being excavated. These are highly heterogeneous
materials and hence it is exact mathematical solutions cannot be stipulated. Each
tunnel has to be designed based on its specific geological site characteristics and
boundary conditions.

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iv) Even in rocky strata, possibility of meeting jointed and weak zones, leading to high
convergences, rock fall etc. cannot always be ruled out. Tunnels may pass through
complex geological formations wherein adverse geological occurrences like rock
bursting, squeezing, swelling, sudden ingress of water, emission of inflammable,
poisonous & noxious gases and high geothermic zones could be encountered.
v) Adequate ventilation and lighting facilities need to be provided inside tunnels and
along tunnel approaches during construction and operation.
vi) Urban tunnels pass at relatively shallow depths below populated areas with structures
on top due to which surface subsidence and ground vibrations are of significant
consideration.
vii) Non-urban tunnels could pass below reserved forests containing flora and fauna. It
would, therefore, be necessary to ensure that Tunnelling techniques chosen are such
that disturbance and damage to environment is avoided is minimal.
viii) Efficient Tunnelling calls for a good understanding and appreciation of the geological
aspects. Application of the right amount of appropriate supports applied at the optimum
time, based on sound understanding of geology and rock mechanics is solicited.
ix) Tunnelling requires appropriate Health, Safety and Environmental protection measures
which must be implemented after due deliberations based on site situations.

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CHAPTER 2
PLANNING OF ROAD TUNNELS

2.1 General: Planning and design of road tunnels require adequate investigations
and studies, as underground structures are always associated with a lot of uncertainties. It
is preferable to carry out detailed investigation, exploration and studies as listed below. The
planning data for a highway tunnel should be compiled as a Detailed Project Report. An ideal
DPR should constitute the following Phases:-

2.2 Phase 1 - Evolution of Tunnel Cross Section, Corridor Assessment and

Development of Alternate Routes
The process of preparing the DPR starts with understanding the end use of the Tunnel. The end
use determines the intended size of opening based on utility solicited. The general cross section
of the main Tunnel, Emergency Egress Tunnel and cross passages is evolved based on actual
utility. Aspects of ventilation, Fire Fighting, electrification including niches or caverns are also
evolved. Taking into consideration all these aspects the basic geometrical layout of the Tunnel
project is evolved. A brief guideline on configuration of a tunnel is given at Annexure B.
The next objective is to decide the alignment of the tunnel. This is inarguably the most critical part
of the process as it has major ramifications on the overall structural integrity and construction plan
of the Tunnel. Obligatory Locations to be connected are the most important facet for selecting
the alignment. Once understanding is reached on the type and volume of traffic envisaged and
the locations to be connected, Tunnel Planners can evolve a corridor of the general area where
the tunnel can be built. Such a corridor is generally evolved in consultation with the end user or
client. Once the corridor is finalised the assessment of the corridor begins. Keeping in mind the
principles of survey the corridor is assessed from whole to part.
Initial assessment of the corridor is achieved with bibliographical desk studies including study of
any earlier investigation campaigns in the area, any scholarly geological researches, geological
maps, remote sensing inputs and latest satellite and photographic records. Walk over surveys
are also carried out to study the outcrops and for corroborating the remotely collected data.
During such walkover surveys, Detailed Scan line or window Mapping surveys are also carried
out by geologists.
This data is collated in form of a Geological Reference Model (GRM). GRM should also be
presented as and as a L-section duly highlighting the ground types based on geologist’s initial
assessment of rock type and outcrops. Any special features like water bodies, major thrusts,
folds, faults etc. are shown on this model. This model is continuously populated with more data
as the investigation and exploration progresses.
Generally, a specialized agency is employed for providing stereo paired satellite imagery of
the complete tunnel corridor with minimum 50 cm ground sample distance. Based on these
images a Digital Elevation Model(DEM) is evolved using digital processing techniques. The
DEM is overlaid with topographical contours to produce accurate geomorphological maps. This
result obtained after digital processing should be represented in form of A3 size high resolution
photographs. Scale used for such photographs should be 1:10000 with 5 m contour interval.

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However, for portal locations a scale of 1:5000 and contour interval of 2 m is proposed. Inputs
received after study of the DEM and photographs are used to further populate the GRM.
Once the GRM is developed to an acceptable detail the actual route options within the corridor
are selected. The routes are prioritized based on suitability of geology, approaches to the Tunnel,
environmental aspects, cost and time involved. Sometimes, some peculiar end use requirement
like obligatory points or some critical construction aspects, like a preferred mode of construction,
might be the crucial factor for selection of a particular alignment option. This can be dealt on
case to case basis.
Such route options are generally marked on ground as far as practicable and then evaluated.
A final alignment is generally evolved at this stage and subsequent detailed investigations
are carried out along the selected alignment. During this stage adits and shafts for ease of
construction and ventilation are also conceived. Rock mass of proposed adits and shafts is also
required to be investigated in detail for ensuring a proper design.

2.3 Phase 2 - Basic Geological Studies on Selected Route

After selection of the final alignment, detailed study of geology of the area associated with this
preferred alignment within the corridor is taken up. This incorporates detailed geophysical and
intrusive investigation schemes.
Generally, the GRM obtained during previous phase is first populated by using geophysical
methods like seismic reflection, seismic refraction, magnetic techniques, electric tomography
etc. A note on the same is placed as Annexure C.
Once the input of the geophysical methods is obtained, Intrusive Investigations are carried out
through Bore Holes at critical junctions where more detailed information is required for designing
the tunnel. This process of deciding the depth and number of Boreholes is dependent upon
the gaps of critical information in the GRM. The location and depth of boreholes should ideally
be decided by the geotechnical engineers and geologists making the DPR. In most cases for
tunnels less than 500 m length where a fair idea of geology is available especially under low
to moderate overburden, Bore Holes may be done away with. In case of tunnels greater than
1500 m length following Bore hole configuration is suggested: -
a) Portal Locations - 02 x 400 m Deep NX size Boreholes; One vertical one inclined/
Horizontal.
b) ¼ Length - 01 x 200 m Deep
c) ½ Length - 01 x 400 m Deep; Generally, around max overburden area
d) 3/4 Length - 01 x 200 m Deep
e) Shaft and Adit locations -Site based (preferably at portals and intersection areas)
It may be appreciated that it is not always essential for the Bore Hole to reach till the Tunnel
depth. Also, Boreholes may be drilled vertical or inclined to confirm the stratigraphy of the GRM.
In case of sensitive projects or locations oriented core logs may be used to map discontinuities.
Directional drilling may be resorted to wherever found essential and pragmatic.
International Society for Rock Mechanics (ISRM) recommends least core size of NX dimensions
(54.7 mm dia) drilled with double-tube core barrel using a diamond bit. Artificial fractures can be
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identified by close fitting of cores and unstained surfaces. All the artificial fractures should be
ignored while counting the core length for RQD.
The samples are not only used for determination of RQD but also intact rock parameters through
laboratory tests. These samples are to be properly marked and stored in wooden sample boxes in
form of core logs. Due care should be taken to keep the samples safe from any direct weathering
and photographic records of the core logs should always be maintained for reference.
Acoustic Bore Hole tele-viewers (BHTV) and optical Tele-Viewers (OPTV) can be used for Bore
Hole Imagery to record the geo-mechanical characteristics of the encountered strata.
Using the water and rock sample collected from site and from intrusive tests, Laboratory tests
are carried out. The tests for intact rock include Unit weight, Porosity, Rock Hardness, Strength,
Deformability, Poission’s ratio etc. Water is generally tested for PH value, sulphates, dissolves
solids etc. as per IS:3025 or other relevant International Standards. Laboratory Tests should be
carried out as per provisions of relevant norms and codes duly citing the codes.
The data collected during desk studies and different field and laboratory investigation procedures
are presented in standard formats from which interpreted geotechnical report and geotechnical
design reports are generated. The compilation of geotechnical data with all the necessary
information that would help to complete the interpretation report is called ‘Geotechnical
Investigation Factual Report’ (GFR).
Besides geological and hydrological considerations, in situ stresses are also mapped using hydro
fracturing or other suitable techniques. Any available stress maps should also be utilized for this.
Specific hydrogeological and permeability characteristics are also measured and mapped.
Once the data is collected and collated in a GFR a Geotechnical Investigation Interpretative
Report (GIR) is prepared. Here data from desk study conducted prior to the geotechnical
investigation and the entire data from the investigation are critically reviewed and analysed to
arrive at geotechnical models that are suitable for the design of the tunnel. The interpretative
report shall provide all necessary references and typical calculations used in arriving at such
geotechnical model.
GIR shall provide the basis of rock mass characterisation and recommend any foreseen ground
improvement techniques. GIR shall comment upon the suitability of the site and recommend
remedial/mitigation procedures or suggest additional investigation required to complete such
study. Any expected extraordinary geotechnical occurrences like major shear zones etc should
be part of the GIR and the mitigation techniques should form part of the report.

2.4 Phase 3 – Rockmass/Soil Characterisation and Evolution of Design

Having mapped the geology in detail and having analysed test results from laboratory tests
(summarized in GFR & GIR) rockmass/soil type along the selected alignment is characterised.
Such characterization can be done using empirical formulations like Q, RMR or GSI based on
suitability of these models. The consultant should justify using any such empirical model based
on the likeliness of the rock mass being characterised to the geology on which the empirical
model is based. These would obviously have to be reviewed during actual construction. Details
of approaches available to carry put such analysis is given in Chapter 3 – Design Approaches
for Road Tunnels.
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Preferably, the consultant should evolve his own model to describe the behavior of rock mass.
The rock mass should be divided into ground types based on the properties of the intact rocks,
discontinuities, hydro-geological and in-situ stress conditions with expected failure modes.
A detailed model, generally an L section, should be evolved based on such characterization.
Such an L section should give out the distribution of expected ground types across the tunnel
alignment.
Once such a section has been evolved, support systems for each ground type is designed. The
support system is based on the expected geo-mechanical nature of the ground type and possible
modes under which rock mass may fail during excavation. Special supports like pre-support
pipe roof umbrellas in squeezing ground or Lining Stress Controllers in highly stressed ground
may be prescribed within these supports. In poor ground conditions, measures like segmental
excavation, temporary inverts and deep inverts should also be incorporated into the support
class drawings.
Once the support systems have been designed for the complete alignment another L section
showing the envisaged excavation and support classes is evolved. This L Section showing the
distribution of excavation and support classes would form the basis of the tender. Stereographic
projections should also be made available with such a L section profile. A detailed drawing, based
on intended cross section, is evolved for each support and excavation class. Such drawings
would generally prescribe convergence for construction purposes besides recommended
support systems and round lengths.
Handling of water is crucial for safe construction of tunnels in the Himalayas. Hence, it is important
that all locations where significant egress of water is expected are marked on the L section
evolved for excavation and support classes. It is important to prescribe measures to handle
such water during construction and evolve a drainage plan for both construction and operational
phase of the Tunnel.
Tunnel portals need to be conceived and designed in a comprehensive manner as a proper
portal design is imperative for successful construction of the tunnel project. Additionally, in many
cases the tunnel portal locations solicit special effort for development of approach to the portals.
In such cases the approach should be designed keeping in mind the required geometrics and
options like cut and cover sections or viaducts must be explored.
These design aspects of the portals, approaches, excavation and support systems inside the
Tunnel, design of adits and shafts etc. are compiled in the Geotechnical Design Report (GDR).
Any possibility of extraordinary geotechnical occurrences must be clearly demarcated and remedial
measures in form of excavation and support system should be recommended in such a GDR.

2.5 Phase 4 - Electrical & Mechanical Works including Ventilation, Fire and Fighting
Systems, Lighting, Health and Safety Provisions
Once the the excavation and support design of the Tunnel has been formalized, the ventilation
and fire safety provisions inside the tunnel are to be designed. Vehicles on the open road create
emissions which are diluted and dispersed through natural surface air flows. Road tunnels
create an enclosed space around vehicles where emissions from the vehicles can build up
to unacceptable levels without an engineered ventilation system to replace natural surface air
flows.

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For most tunnels up to around 500 m in length the natural air flow through the tunnel driven by
the piston effect created by movement of vehicles is adequate to manage in-tunnel air quality,
and forced ventilation may not be required. For longer tunnels forced ventilation in the form of
fans and ducts may be required to ensure that air flow rates are sufficient to maintain in-tunnel
air quality to required levels.
The main air quality criteria considered in tunnel ventilation design are carbon monoxide (CO),
nitrogen oxide (NO) and visibility. Even though there are other vehicle pollutants to consider,
these three criteria are considered to be the most important for health and safety. By managing
air quality based on these criteria, other pollutants are managed to well below required levels.
It is imperative that the layout of the ventilation system including details of all accessories like
fans, ducts, dust collectors etc. is properly stipulated. Today firefighting mechanisms are also
closely linked with ventilation systems through use of dampeners and intelligent ventilation
control systems in order to control oxygen availability inside tunnel during a fire. Such Intelligent
systems are highly recommended to be included as part of DPR for long tunnels. Chapter 5
“Ventilation and Fire Fighting for Road Tunnels” to be referred for further details.
Safety provisions generally consist of vehicle lay byes, cross passages, emergency egress
paths, turning caverns, lighting, firefighting, water supply, communication systems, emergency
power supply etc. Emergency escape systems need to strengthened through PA arrangements,
route markers, fire doors etc.
Lighting is a pivotal factor in ensuring safety and ergonomics in a tunnel. Provision of reflective
paints, lighting arrangements and other such alternatives may be made based on expected
luminosity requirements. In very long tunnels mood lighting can help break monotony and reduce
driving stress. Chapter 6 “Lighting for road tunnels” to be referred for further details.
Health and safety regulations need to be stipulated for both construction and operational phase
of the Tunnel. These include ventilation during construction, emergency evacuation plans,
medical setup, SOPs on traffic management, safety drills, safety arrangements inside tunnel etc.
A Health and Safety manual should be asked from the construction agency which elaborates the
health and safety management plan to ensure compliance of relevant norms. Chapter 7 “Health
and Safety for Road Tunnels” to be referred for further details.

2.6 Phase 5 - Environmental Impact Assessment (EIA), Land Acquisition and

Statuary Clearances
Once the detailed design for construction is complete in all respects, environmental impact of
the project is assessed. The impact should be based on an environment baseline record. Once
the impact has been assessed, Environment Management Plan(EMP) is evolved to mitigate any
adverse effects. EIA with the EMP is subsequently approved by relevant Government Authority.
EMP should contain provisions for safe disposal of construction water, handling ground water
table, guidelines for storage of chemicals, emission norms for construction equipment, working
environment for tunnel construction workers, labour accommodation layout, disposal and
treatment of any direct or indirect waste. This should be recommended to be finally presented by
the construction contractor in form of a manual abiding by all local environment laws.

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Muck disposal plan forms the most important facet of this phase. This involves possibility of
reuse of muck and identification of sites for disposal. The EIA and EMP with the muck disposal
plan should be approved by the relevant environmental authorities.
At this stage another very important aspect is to identify the requirement of diversion or acquisition
of land. Acquisition of land forms an essential factor in ensuring timely completion of a project.
All necessary statutory clearances and approvals shall be obtained before taking up construction.
These shall include, but not limited, to the following:-
a) Environmental and Forest clearances where applicable
b) Permission for Blasting in the area
c) License for storage and handling of explosives
d) Acquisition of Right of Way,
e) Approvals from Fire Authority if applicable
f) Clearance from Pollution Control Board

2.7 Phase 6 – Tender and Contract Design

Construction of highway tunnels is a significantly complex civil engineering activity. Such
complexity increases even further as tunnels become longer and deeper. In order to ensure
smooth construction, it is important to frame a contract which caters for a fair risk sharing
mechanism. Initial risks can be significantly reduced with a comprehensive investigation and
exploration campaign. However, there would still be residual risks involved due to the very nature
of tunneling work coupled with peculiar Himalayan geology wherein it is difficult to predefine
ground conditions in exact detail. To ensure proper handling of such risks it is important that a
sound tender and contract document is formalized.
The tender document should contain adequate site information, a detailed construction design,
detailed Specifications of each item (based on referred relevant codes of practice), a draft
construction schedule with a tunneling approach recommended based on least risk. Ideally
at this stage, the Consultant should include the Geotechnical Baseline Report (GBR). Any
geological condition equal to or better than that given in baseline is Contractors responsibility
and any expenditure due to conditions adverse than baseline should be borne by the client. This
forms the basis of risk sharing mechanism. Risk sharing mechanisms should be included in the
contract documents and should be in place before start of construction.
Detailed Bill of Quantities and cost of works envisaged during the construction should form part
of the DPR. Details of aspects like pay lines for excavation and sprayed support elements should
be clearly brought out in the contract documents.
During this stage of the DPR the consultant should also recommend the type of contract and
funding model based on a detailed traffic survey and toll potential. Any particular pre-qualification
criteria for the Construction Agency should also be recommended.
A solicited organizational structure at the site including Client, Designer, Authority Engineer and
Contractor’s skeleton setup should also be stipulated.

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CHAPTER 3
DESIGN APPROACH FOR ROAD TUNNELS

3.1 Design Basic For Tunnels

i) In the conventional design schemes external loads are calculated and then materials
commensurate with allowable strength and deformation under the calculated loads
are prescribed. However, for tunnels the approach varies as the properties of the rock
mass cannot be prescribed and construction has to be carried out by analysing the
rock mass behaviour and provisioning a suitable support system. The influence of
adjacent structures, in-situ stresses and overburden also plays an important role.
ii) The structural behaviour and analysis of any underground opening whether a mine,
tunnel, shaft or a cavern mainly depends on the properties of the rock mass, geological
profile, the in-situ stress conditions and to some extent on the excavation technique
used.
iii) The basic aim of any underground excavation should be to utilize the rock itself as
the principal structural material. The excavation should be carried out with as little
a disturbance as possible. Intact rock generally has far more compressive strength
than concrete and possesses tensile strength comparable with steel. Hence supports
should be added as sparingly as possible. However, this may not always be pragmatic
due to disturbance caused to rock mass while excavating.
iv) Effects of earthquakes, earth pressure and other significant phenomena Water
pressure (inner water pressure, external water pressure), groundwater level,
water inflow amount frost heaving and freezing, inner load, surcharge, deadweight
environment (water landscape) etc. to be considered.
v) Design items:
Major design items include the following:
a) Horizontal Alignment: Horizontal Alignment of Tunnels
b) Longitude Profile: Vertical Alignment of Tunnels
c) Finished Cross Section: Tunnel Cross Section
d) Auxiliary Facilities: Tunnel Facilities
e) Rock Mass Classification (classification for design based on the ground
assessment by Section)
f) Excavation Section Geometry
g) Excavation Method: Selection of Tunnel Driving Method
i) Supports (shotcrete, rock bolt, steel support, etc.)
j) Lining
k) Waterproofing and Drainage
m) Portal Section and Portal
n) Auxiliary Methods
o) Measurement
In addition to the above item, some design items have special condition, for example,

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branching sections and enlargement section, as well as the design of protecting
against neighbouring Construction.
vi) Design methods
a) Analytical Methods
b) Empirical Methods
c) Observational Methods
d) Numerical Method

3.2 Analytical Solutions

Analytical or closed form solutions are derived basically with some assumptions. The closed form
solutions are available for basic and regular geometrical shapes of openings, like circular, square,
rectangular with rounded corners, oval and elliptical openings and are derived considering the
following assumptions:-
a) The material around the opening is linear elastic or elasto-plastic.
b) The solutions are either for Plane Strain or for Plane Stress condition.
c) The medium is assumed to be homogeneous and isotropic.
Assumptions given above may not always be valid for practical cases, but still analytical solutions
give a preliminary estimate of the behaviour of the underground openings before their actual
construction. They also aid in benchmarking solutions using numerical methods.

3.2.1 Linear Elastic Material

The analytical solution for circular opening in an infinite linear elastic medium can be obtained
by solving the differential equations of compatibility and equilibrium. The integration constants
obtained while solving the above said equations could be evaluated with boundary conditions.
Pender (1980), has given the elastic solution for stresses and deformation around a deep circular
opening located in a biaxial stress medium defined by σv=P0 and σh=K*P0, where σv is the vertical
stress magnitude, σh is the horizontal stress magnitude and K is the in-situ stress ratio. The
solution is largely based on Airy stress function.
Equations for radial, tangential stresses and for displacements along the excavation are obtained
as part of Pender’s solution.
As per Pender (1980), when an opening is excavated in such a medium, the radial and tangential
stresses acting over the medium get relieved. These stresses get channelized around the
periphery and so the stresses in the proximity of the opening are found by using Eqs. (1.1) to (1.3).

1  a2  1  3a 4 4a 2 
r   v   h  1  2    v   h  1  4  2  cos 2
2  r  2  r r 
(1.1)

1  a2  1  3a 4 
    v   h 1  2    v   h 1  4  cos 2
  (1.2)
2  r  2  r 
(1.2)

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 4 2

 r 
1
 v   h 1  3a4  2a2  sin 2 (1.3)
2  r r  (1.3)
The displacements around the tunnel opening are obtained by using Eqs (1.4) and (1.5).

Eu 
1       a 2      1    4a 2  a 4  cos 2 
 v h   v h  3  
2   r   r r   (1.4)

Ev 
1     
  h   1  2 
2a 2 a 4  
 3  sin 2 
 v
2   r r   (1.5)
By putting r = a, the above equations will give the stress and displacement at the opening
periphery. Fig. 3.1 shows all the parameters involved in Eqs 1.1 to 1.5, where E is the Young’s
Modulus of the material medium and v is its Poisson’s ratio.

Fig. 3.1 Stresses in Polar Coordinate System (Pender, 1980)

a = radius of the opening

r = radial coordinate
σθ , σr = Circumferential and Radial Stresses
σv , σh = Vertical and Horizontal in-situ Stress
u,v= Radial and Circumferential Displacements

3.2.2 Elasto-Plastic Material

Generally, weak rocks show elasto-plastic behaviour. According to Crowder and Bawden (2006),
it is observed in an elasto-plastic material that as soon as the peak strength of the material is
exceeded, the properties of the rock instantly change to residual parameters in a brittle manner.

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It is also possible that the rock actually starts to “soften” or behave in a ductile manner, and
hence gradually change rather than abruptly changing from peak to residual parameters.
The analytical solution for stresses in an elasto-plastic medium has been suggested by Hoek
and Brown (1982).
The solution gives radial and tangential stresses within the elastic and plastic regions of the
excavated rock mass under hydrostatic in-situ stresses. The solution takes into account GSI
of the rock mass, the rock strength parameters of intact and broken rock and internal pressure
inside the excavation apart from the opening radius.
The analytical solution for stresses in an elasto-plastic medium as per Hoek and Brown (1982)
is given in the Eqs. (1.6) to (1.9).
For elastic region (r>re), radial and tangential stresses are as per Eqs. (1.6) and (1.7).
2
r 
 r  Po  ( Po   re ) e 
r (1.6)
2
r 
   Po  (Po   re ) e 
r (1.7)
where,
σr, σθ = Radial and Tangential Stresses in elastic zone at radial distance r (r>re);
re = Radius of plastic or broken rock mass zone;
σre = Radial stress at the elastic and broken rock mass interface;
Po = Magnitude of in-situ hydrostatic stress.
In broken rock mass (r<re), the radial and tangential stresses are given by Equations
1.8 and 1.9.
2
m  r r

 rb  r c ln    ln   m r  c Pi  s r  c2
4
 1
2
 Pi
a a (1.8)

 b   rb  mr c rb s r  c2  2
1

(1.9)
where,
σrb, σθb = Radial and Tangential Stresses in broken region at radial distance r (r<re);
Pi = Internal Radial Pressure applied at the wall of the opening;
a = Radius of the opening;
σc = uniaxial compressive strength of the intact rock;
m = original rock mass material constant, depends on GSI value of the rock mass;
mr = broken rock mass material constant;
s = original rock mass material constant, depends on GSI value and disturbance
factor.
sr = broken rock mass material constant.

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The values of σre and re are obtained by solving Equations 1.10 to 1.13.

 re  Po  M c
(1.10)
 1 
 N
m
2

m r  c p i  s r  c2 
2 
 r c 
re  ae (1.11)
2
1  m  mPo  m
2

M      s 
2  4  c  8 (1.12)

2
N
mr  c
mr c Po  sr c2  mr c2 M  1
2

(1.13)
According to Crowder and Bawden (2006), the true nature of a strain-softening response is
not known for large field-scale rock masses. So, the material softening behaviour has to be
simulated. Cundall et al. (2003) stated that the material softening can be simulated by specifying
the change in Hoek-Brown mechanical properties, reducing the overall material strength.

3.3 Empirical Solutions

The empirical solutions are mainly based on practical experiences from various sites and their
extrapolations for a new site. They combine the findings from observations, experience and
engineering judgement. Rock mass classification systems form the backbone for such empirical
designs. The main classification systems proposed over the years for guided design are as
tabulated below:-

Rock Mass Classification Systems

Name Originator Place and time Application
Rock Load Terzaghi 1946,USA Tunnels with steel support
RQD Deere et al. 1967,USA Core Logging and Tunnelling
RSR Wickham et al. 1972 USA Tunnels
RMR Bieniawski 1973 South Africa Tunnels, Mines, Slopes and foundations.
1979 USA
Q System Barton et al. 1974 Tunnels

3.3.1 Terzaghi’s Rock Load Method

Terzaghi’s rock load method was based on estimating rock loads to be supported by steel
arches. He classified rocks as Intact, Stratified, moderately jointed, block and seamy, Crushed,
Squeezing and Swelling type. (Appendix–I)

3.3.2 Rock Quality Designation (RQD) Index by Deere et al. (1967)

Deere et al. recommended the RQD system and varying support systems to include steel sets,
bolts and shotcrete in various combinations as per quality of the rock mass.

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3.3.3 Rock Mass Structure Rating (RSR) System
Wickham et al. (1972) introduced the RSR system which classified the rock mass using three
parameters viz., Parameter A: general area geology, Parameter B: joint direction, direction of
drive and Parameter C: ground water, joint condition.
Most of the case histories, used in the development of this system, were for relatively small
tunnels supported by means of steel sets, although historically this system was the first to make
reference to shotcrete support.

3.3.4 Geomechanics or Rock Mass Rating (RMR) System

Bieniawski (1976) published the details of a rock mass classification called the Geomechanics
Classification or the Rock Mass Rating (RMR) system. It is based on the following six parameters:-
a) UCS of intact rocks
b) RQD
c) Spacing of discontinuities
d) Condition of discontinuities
e) Ground water conditions
f) Orientation of discontinuities
In applying this classification system, the rock mass is divided into a number of structural regions
and each region is classified separately. The boundaries of the structural regions usually coincide
with a major structural feature such as a fault or with a change in rock type. In some cases,
significant changes in discontinuity spacing or characteristics, within the same rock type, may
necessitate the division of the rock mass into a number of small structural regions.

Bieniawski (1989) published an updated set of guidelines for the selection of support in tunnels
in rock for which the value of RMR has been determined. The supports are recommended
based on the RMR rating in a tabulated form including rock bolts, shotcrete and steel sets.
Assessment of RMR values is set out in Appendix–II.

3.3.5 Q system
On the basis of an evaluation of a large number of case histories of underground excavations in
Scandinavian countries, Barton et al. (1974) of the Norwegian Geotechnical Institute proposed
a Tunnelling Quality Index (Q system) for the determination of rock mass characteristics and
tunnel support requirements.
Q System classified rocks based on UCS of rocks, block size, joint roughness, joint alignment,
filling and stress conditions including ground water table. Barton introduced the concept of the
Excavation Support Ratio (ESR) related to use of the opening and degree of safety desired. 38
support categories were recommended based on Q value, ESR and dimensions of the opening.
The value of Q is given by the following expression:-
Q = (RQD / Jn )* (Jr / Ja )* (Jw / SRF)

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where,
RQD is the Rock Quality Designation
Jn is the joint set number
Jr is the joint roughness number
Ja is the joint alteration number
Jw is the joint water reduction factor
SRF is the stress reduction factor
Assessment of ‘Q’ Index is set out in Appendix–III and relation between RMR, standup time
unsupported span & ‘Q’ in Appendix–IV.

Since the introduction of the system in 1974, two revisions of the support chart have been
carried out and published in conference proceedings. Grimstad and Barton (1993) proposed an
extensive update based on 1050 examples mainly from Norwegian underground excavations.
Grimstad et al. (2002) again proposed an update based on more than 900 new examples
from underground excavations in Norway, Switzerland and India. This update also included
analytical research with respect to the thickness, spacing and reinforcement of reinforced ribs
of sprayed concrete (RRS) as a function of the load and the rock mass quality.
3.3.6 These empirical systems should be used duly considering latest updates and
publications by their authors. However, it must be realised that these systems have been
developed empirically based onsite experiences and regression analysis and hence can be
used only for preliminary designs. The supports suggested through these methods need to be
adjusted to actual ground behaviour of the rock-mass/soil being excavated.

3.4 Observational Approach

The observational approach is based upon the following principles (Peck, 1969):
a) Exploration – sufficient to establish at least a general model of the ground
b) Assessment of the most probable conditions and the most unfavourable conceivable
deviations
c) Establishment of the design based on the most probable conditions
d) Selection of quantities to be observed and calculation of their anticipated values (most
probable and most unfavourable conditions)
e) Definition in advance of a course of action or modification of design for every
foreseeable significant deviation of the observational findings from those predicted
f) Measurement of quantities to be observed and evaluation of actual conditions
g) Modification of design to suit actual conditions
These methods are based on “Design as you go” dictum and involve monitoring through
in-situ instrumentation and measurements (Refer Annexure D). The instruments that
can be used include Bore Hole Extensometers, Convergence devices, Rock Pressure
Cells, strain gauges or lately devices like 3D targets using total station equipment.
New Austrian Tunnelling Method (NATM) is such an observational approach.

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3.4.1 New Austrian Tunnelling Method (NATM)
This technique was introduced based on the work of Ladislaus von Rabcewicz, Leopold Mueller
and Franz Pacher between 1957 and 1965. The name NATM was intended to distinguish it from
the then traditional Austrian tunnelling method. The fundamental difference between this new
method of tunneling, as opposed to earlier methods, comes from the economic advantages made
available by taking advantage of the inherent geological strength available in the surrounding
rock mass to stabilize the tunnel combined with the support system i.e. treating the ground as
construction material rather than a dead load.
The Fenner-Pacher curve is widely used in NATM support design and visualizes the relation
between tunnel wall deformation and stresses onto the tunnel wall (like a convergence-
confinement curve discussed later). It also is used to demonstrate the difference between a
support which improves the ground condition (e.g. rock bolting) and a “passive support” which
reacts against the imposed strains. The Fenner-Pacher-Fedder curve covers also the loosening
of the rock mass which in turn leads to an increase in stresses. Fig. 3.2 below represents the
curve where internal pressure and time are plotted against radial displacement inside a tunnel.

Fig. 3.2 Fenner-Pacher-Fedder Curve

3.4.2 Convergence Confinement Method

The method was introduced by Panet and Guenot (1982) with primary application to tunnel lining
design. This method is nowadays commonly used to predict also displacement field to aid NATM
approach of tunnelling.

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Panet and Guenot (1982) demonstrated that the 3D ground response to tunnelling could be
analysed with a plane strain approach, provided a fictitious pressure was introduced inside the
tunnel area in the 2D model. This pressure could be derived from the initial stress in the ground.
The method can be properly evaluated by means of comparison of 2D with fully 3D simulations.
Such comparisons, however, are scarce in the technical literature. Ground reaction curves
remain the mainstay of this method. A typical ground reaction curve is shown in Fig. 3.3.

Fig. 3.3 Typical Ground Reaction Curve

The plot given in Fig. 3.3 shows:

a) Zero displacement when the support pressure equals the in-situ stress (pi = po)
b) Elastic displacement uie for po > pi > pcr
c) Plastic displacement uip for pi < pcr
d) Maximum displacement when the support pressure equals zero
For a given tunnel radius and in-situ stress, the shape of the ground reaction curve depends on
the rock mass failure criterion which is assumed and the specific rock mass characteristics.
Once the support has been installed and is in effective contact with the rock, the support starts
to deform elastically as shown in Fig. 3.3. The maximum elastic displacement which can be
accommodated by the support system is usm and the maximum support pressure psm is defined
by the yield of the support system. Depending upon the characteristics of the support system,
the rock mass surrounding the tunnel and the in-situ stress level, the support system will deform
elastically in response to the closure of the tunnel, as the face advances away from the point
under consideration.

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Fig. 3.4 Rock Support Interaction -Support Reaction Curve

Equilibrium is achieved if the support reaction curve intersects the rock mass displacement curve
before either of the curves have progressed too far. If the support is installed too late (i.e. uso is
large in Fig. 3.4), the rock mass may have already deformed to the extent that loosening of the
failed material is irreversible. On the other hand, if the capacity of the support is inadequate (i.e.
psm is low in Fig. 3.3), then yield of the support may occur before the rock mass deformation
curve is intersected. In either of these cases the support system will be ineffective, since the
equilibrium condition as illustrated in Fig. 3.3 will not be achieved.

3.5 Numerical Methods

The behaviour of the underground openings is studied by analytical solutions only for simplified
cases with regular geometries and non-complex geology. An actual site is likely to encounter non-
linear, anisotropic, non-homogenous material behaviour and a complex underground opening
geometry. In such a case, it will be very difficult to get the mathematical solutions of the complex
differential equations associated with compatibility and equilibrium of the model.
Techniques known as numerical methods have hence been evolved for solving complex physical
problems which are generally encountered in the field. These methods use computational
resources to analyse field problems through programs or use of prescribed software. The numerical
methods in rock engineering may be approached either as Continuum or as Discontinuum.

3.5.1 Continuum
There are various types of numerical methods available to carry out the analysis of problems
in the field of rock engineering. The method to be chosen for analysis mainly depends on the
problem-specific factors and mainly on the problem scale and fracture system.

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A continuum model, as the name suggests can be used for numerical analysis when there
is enough evidence that the actual physical system of the rock mass can be represented as
continuous matter.
Modelling of an object as a continuum assumes that the substance of the object completely fills
the space it occupies. A continuum is a body that can be continually sub-divided into infinitesimal
elements with properties being those of the bulk material. Fundamental physical laws such as
the conservation of mass, the conservation of momentum, and the conservation of energy may
be applied to such models to derive the differential equations of compatibility and equilibrium
which describes the behaviour of such objects, the information about the particular material
studied is added through some constitutive relations.
Continuum models will be representative only if the rock mass in the field conditions acts like a
continuum, i.e., only a few fractures or joints are present in the system. The numerical techniques
based on continuum models are:
a) Finite Element Method.
b) Finite Difference Method.
c) Boundary Element Method

3.5.1.1 Finite Element Method (FEM)

The Finite Element Method (FEM) is the most widely applied numerical method across science
and engineering.
In FEM, a complex region defining a continuum is discretized into simple geometric shapes called
elements. The properties and the governing relationships are assumed over these elements and
expressed mathematically in terms of unknown values at specific points in the elements called
as nodes. An assembly process is used to link the individual elements to the given system. When
the effects of loads and boundary conditions are considered, a set of linear or nonlinear algebraic
equations is usually obtained. Solution of these equations gives the approximate behavior of the
continuum or system. The stress-strain behavior of the elements is approximated by constitutive
relationships.
FEM is the first numerical method with enough flexibility for the treatment of material heterogeneity
and non-linear deformability, mainly plasticity.
(FEM related software packages such as Abaqus, Phase2, Plaxis, Adina, Ansys etc. may be
referred).
Some text books on Finite Element Method are by Bathe (1982), Zienkiewicz and Taylor (1989),
Desai and Kundu (2001) and Logan (2012).

3.5.1.2 Finite Difference Method (FDM)

Finite Difference Method (FDM) is a numerical method which assesses the solutions of differential
equations of the model using Finite Difference Equations which approximate the derivatives
and then get the solutions. The method is similar to FEM, as the subsurface is modelled as a
continuum, divided into a number of elements interconnected at the nodes.

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The prime difference between Finite Difference Method and Finite Element Method lies in the
approach used for solving the unknown parameters. FDM, considers that the change at a given
mesh point is experienced by the immediate neighbors of the mesh only and not whole of the
elements.
The basic technique in FDM is the discretization of the governing partial differential equations
(PDEs) by replacing the partial derivatives with differences defined at neighbouring grid points.
(FDM related software packages such as FLAC, FLAC3D etc. or equivalent may be referred).

3.5.1.3 Boundary Element Method (BEM)

As per Jang and Hudson (2002) Boundary Element Method (BEM) is a numerical computational
method. The solution of the differential equations associated with the models is got by solving
the linear partial differential equations which have been formulated as integral equations in
boundary integral form.
Integral equation may be regarded as an exact solution of the governing partial differential
equation. The Boundary Element Method attempts to use the given boundary conditions to fit
boundary values into the integral equation. The integral equation now can be used again to
calculate numerically the solution directly at any desired point in the interior of the solution domain.
BEM is applicable to problems for which Green's functions can be calculated. These usually
involve fields in linear homogeneous media.
(BEM related software packages such as Examine-2D, Examine-3D etc. or equivalent may be
referred).

3.5.1.4 Discontinuum Models

Discontinuum models are models where the material on which the analysis is to be performed
is not assumed to be continuous. (Software packages like UDEC and 3DEC or equivalent may
be referred.

3.6 Recommended Approach for Geotechnical Design

Since tunnels are generally constructed in heterogeneous medium, the best approach to be
used is to initially do an approximation which takes into account the most prominent ground
features. This can be done with simple analytical formulae and ground reaction curves.
It needs to be understood that although supports are designed after taking into account the
failure mode of the ground, supports are installed to keep the ground intact.
Additionally a numerical model of the tunnel using the data available from detailed site
investigations can be prepared for representative cross sections and the model may be further
verified and calibrated using observations/monitoring while excavating the tunnels.
The empirical methods are based on local experiences and case studies and hence their
applicability in a totally different geological profile is limited. Empirical methods like Q, GSI and
RMR generally do not give satisfactory results in the Himalayan regions of India and hence
should be used for preliminary design only. An observational approach based upon numerical

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models calibrated using monitoring data obtained during construction have proven to be most
effective in handling all types of geological strata. Some of the recommended Instrumentation
measures described at Annexure-D.

3.7 Tunnel Supports: Various supports available for conventional tunneling are described
at Annexure-E.

3.8 Structural Design for Road Tunnels

The structural design of a road tunnel, when executed with a double shell lining, can be classified
into two main components:
a) The geotechnical design, which consists the design of the “primary support”.
b) The design of the inner lining which encases the utilities, ensures, along with a
waterproofing membrane, the water tightness and ensures (especially in soft ground
tunneling) the long-term stability of the tunnel.
The geotechnical design is considering the ground behaviour as well as the system behaviour
in order to have the most appropriate support system for the encountered ground. Geotechnical
designs based on observational approaches rely on constant feedback from the observations,
i.e. Geotechnical Monitoring and Face Mapping. The inner lining design is oriented on the
concept of loads and safety factor supplemented by the results of numerical calculations. Both
these combined make the structural design.

3.8.1 Inner Lining Design

For tunnels being executed by cyclic excavation, like Drill and Blast, the inner lining is introduced
once the excavation is stabilized through the primary support system and the stress redistribution
process is over. As per generally accepted practice, a monitored displacement rate of less than
2 mm/month (convergence 4 mm) indicates that the inner liner can be installed. The practical
significance is that the primary support is sufficient to take the loads from the ground and stabilize
the ground so that equilibrium is reached. The inner lining would not be loaded at this point of
time; however the inner lining has to be designed for a designed life span (100 years as per
Eurocode) and therefore (long term) load assumptions are to be taken.

The ITA Guideline for the Design of Tunnels (published in Tunnelling and Underground
Space Technology, Vol. 3, No. 3, pp. 237 – 249, 1988) is referring in Chapter 4.1 to different
approaches to be taken for the loading of the lining, depending primarily on the overburden
and the assumption of relaxation in the ground around the tunnel. Apart from the overburden
to diameter ratio also the ratio between ground strength and secondary stress field is decisive
for the inner lining. It shall be noted here that segmental lining if it is a single shell lining shall
be designed as primary as well as permanent support system. This increases the requirements
substantially.
The following loads shall be considered for inner lining:
a) Permanent ground load
i) Taking over the already assessed loads from the primary support system

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ii) Load assumptions – vide above. They may range from full overburden to a load
equivalent to one radius height of ground in good rock.
b) Water pressure (as per drainage situation)
c) Temperature loads (climatic conditions)
d) Seismic Loading (vide ITA/AITES accredited paper “Seismic Design and Analysis of
underground structures”, Tunnelling and Underground Space Technology 16 (2001)
247-293 - (Refer Appendix-V)
e) Vehicle impact
f) Self-weight of the lining
g) Loads from installations e.g. jet fans, static as well as dynamic
h) Intermediate ceiling loads e.g. air pressure
The safety factors are to be taken from the relevant national code (i.e. Indian Standard), or if not
applicable, any generally accepted international code.

Fig. 3.5 Example of a Bedded Beam Model (from RiLi DB 853:0004)

3.8.2 Segmental Lining

There are two ways to employ segmental linings:
i) Single shell lining
ii) Double shell lining
For the single shell lining the segmental lining is primary support and final lining. It has to
be designed for all permanent and exceptional load cases. A double shell system may treat
the segmental lining as “primary lining” and the permanent lining (cast in place) lining for the
waterproofing as well as for fire protection and housing of installations. Here the load split between
segmental ring and cast in place lining needs to be defined, as well as the fire resistance of each
lining part.

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3.8.3 Drainge Situation
The type of drainage system envisaged has a strong impact on the inner lining design, and is
therefore highlighted again.
The two most common drainage situations are:
a) Fully drained, with the water level being lowered to the level of the drainage
b) Fully tanked/watertight
Apart from these, there are projects where water pressure is kept below a threshold value
by specific drainage arrangements. Since such systems are special solutions and difficult to
maintain, they will not be discussed further.
In case the groundwater situation does not allow for an economical design of a watertight inner
liner (high water pressures and/or high groundwater inflows), the most common approach is to
reduce the permeability of the ground in a manner that allows to have the tunnel itself being built
as a drained structure.

3.8.4 Fully Drained Tunnels – Design Basis

The assumption that the tunnel is not subject to water pressure is based upon the lowering of the
water level around the tunnel by installing drainage pipes in the sidewalls and/or in the invert as
well as a waterproofing (so called “umbrella type”) in the overt.
Due to the lowered water level, no water pressure can build up onto the inner lining. It is good
practice to check in the design phase also a water level which represents a clogged drainage
system, e.g. up to the tunnel crown. This gives assurance that in such case the inner lining is still
offering enough resistance to the loads.

3.8.5 Watertight Tunnels – Design Assumptions

In urban areas a lowering of the groundwater table is not allowable and therefore the tunnels can
only be designed as watertight structures. This has an impact on the structural design, as now
the water pressure (design value) needs to be considered. Apart from that, buoyance has to be
taken into account for shallow tunnels.
For shallow tunnels with circular shape, the water pressure impact has to be checked during
design calculations also for the lowest possible level, as it usually reduces the bending moments
(effective stresses are reduced by the pore water pressure).

3.8.6 Ground Load

The assessment of the ground load to be applied onto the final lining can be done as follows:
a) Full overburden – applicable in soft ground
b) Reduced overburden (Terzaghi’s formula)
c) Wedge with a height of 0.5 to 1 tunnel diameter above the crown
d) Values from numerical analysis (from the primary support)
e) Numerical simulation with inner lining being modeled explicitly

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Where approaches (a), (b) and (c) can be directly used in beam models, approach (d) requires a
numerical model as basis and approach (e) is a purely numerical approach. It is recommended
to start with the approaches (a) to (c) for any inner lining design, as they are easy to implement
and to cross check.
For the approach (c) which has been used for several years one needs to check the foremost
condition – that the ground has not been loosened. It is also called “keeping the sidewall strength
intact” during the excavation and primary support phase. If that cannot be ensured during
construction, this approach may underestimate the ground load onto the inner lining.
The approach No 5 requires modeling of the primary support as well as modeling of the final lining
and it is to be used for challenging ground conditions where the simplified approaches cannot be
employed. Peculiarities coming from the modeling of the support itself (e.g. whether continuum
elements or beam elements are used) which pertain to the different software packages need to
be taken into account to ensure that the model and subsequently the results are a realistic and
appropriate reflection of the situation.
The criteria to review any simplified approach and switch to a proper numerical simulation are:
a) The simplified design gives loads which are so high that the support cannot be
designed in an economical manner
b) The ground shows time-dependent behavior which needs to be taken into account
properly.
Any major ground improvement measures, i.e. grouting for ground improvement or reducing the
permeability/conductivity of the ground, shall be reflected in the model.
It is highly recommended to have a sketch of the cross section of the opening showing prominent
features of the surrounding ground before any calculations are done. This helps proper orientation
of the model as per ground.
For the design of the inner lining in discontinuous ground (jointed rock mass) it is highly
discouraged to use index values as an input to determine lining loads (especially in detailed
design) as discussed in Chapter-7.

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CHAPTER 4
CONSTRUCTION METHODOLOGY

4.1 General
Tunnels may be constructed using, cut and cover method, clay kicking method, pipe/box jacking
method or bored tunneling techniques. Underwater tunnels may be constructed using boring
and Immersed tunneling approach. Since Highway tunnels are generally bored. This code will
lay specific emphasis on bored tunneling techniques. Bored tunneling can be carried out by
cyclic method i.e. Drill and Blast or continuous method using mechanical (No Blast) means like
TBMs.

4.2 Tunnel Approach and Portals

Some tunnels have an Open/Approach Cut at each of its portal (ends). The length of open/
approach cut depends upon cost of open excavation vs cost of underground excavation and
cost of protective work involved which depends upon type of strata encountered. However, the
excavation of these approach cuts in any case shall be carried out to stable side and top slopes
and continued till a stable ground mass suitable for forming of excavated portal of the tunnel is
exposed. The locations of portals shall be decided with reference to rock cover in rocky strata.
The minimum cover above tunnel crest depends upon the type and structure of rock mass, the
size and shape of tunnel.
The portals and approaches shall be designed with great care with regard to safety. If need be,
the ground mass in which the excavated portal is to be formed shall be stabilized by installation
of rock bolts, grouting, shotcreting etc. Thereafter, Tunelling shall commence carefully by using
techniques for advancement of tunnel face, described in the subsequent paragraphs. In case of
mountainous region having very steep vertical cliffs with valley on other side, the approach to
tunnel or sometimes road alignment itself may have to be planned along cliffs. In such case the
option of viaducts should be explored.

4.3 Tunnel Construction using Drill and Blast Method

4.3.1 Drill and Blast Work Cycle

Construction activities inside a bored tunnel are required to be carried out in restricted space.
Due to space restrictions and for working underground, specially designed plant and equipment
are required along with adequate artificial ventilation and lighting arrangements. In a drill and
blast approach construction operations are carried out in ‘work cycles’. In general a ‘work cycle’
consists of following activities:-
a) Surveying and Profile marking
b) Advancement of Excavation face
c) De-fuming (after blasting) and Scaling
d) Disposal of excavated muck
e) Plotting of excavated profile and geological mapping

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f) Support Installation
g) Monitoring
While tunnel size and geology of the strata dictates the choice between full face or multiple
segment excavation, the standup time of strata dictates support installation activities. The work
cycle time involving various activities of construction should be monitored as documented in a
‘Method Statement’ made before start of work.

4.3.1.1 Surveying and profile marking

Proper Surveying is very essential for efficient tunneling. Skilled and experienced surveyors,
appropriate techniques and instruments shall be used. Otherwise serious consequences, such
as deviations in alignment and levels, excessive or inadequate excavation of the cross-section,
reduction in safety due to adjacent tunnels straying towards each other, excavations of same
tunnel from the two end faces not meeting properly, etc. may result. Contractual problems may
also arise because of poor surveying.
Surveying equipments range from the common Level instruments through Theodolities and Total
Stations to advanced Lasers and Profilers. Proper Bench Marks duly transferred from existing
GTS or Project Bench Marks shall be established outside the tunnel at either end. All traverses
shall always be closed and any resulting closing error should be negligible and be properly
distributed. Construction Bench marks shall also be established at intermediate locations for
long tunnels to speed up the surveying. Such Bench marks shall always be got cross checked
independently to ensure maximum accuracy. Tunnel grade line shall be drawn on excavated side
surfaces using inedible markings or embedded fixtures to facilitate quick ready checks. Check
surveys shall be carried out at regular time/progress intervals using an independent agency
and with independent instruments and methods. Generally cross sections shall be generated
immediately after excavation using post-survey data and cross-checked with required sectional
area to monitor over-breaks or undercuts, as both these defects are expensive and difficult to
rectify. Such comparisons also enable corrections to be applied to excavation techniques to
minimize further erroneous excavation and also to avoid dangerous over-excavations. Such
comparisons shall also be made contractually mandatory. All field observations and plots shall
be preserved at least till the completion of the tunnel excavation and lining work. Any corrections
required in the alignment due to wrong excavation shall always be made up gradually and as per
approved plans. For tunnels longer than 5 km inertial survey is also recommended to be carried
out.
Profile marking is an important aspect so that subsequent cycles are excavated within the required
profile ensuring the correct cross section as per utility while allowing space for convergences
and supports.

4.3.1.2 Advancement of tunnel face by excavation

In the conventional technique of drilling and blasting, holes of requisite diameter, length and
direction, as determined from the blast design, are drilled into the tunnel face at designated
locations. The profile of the drilling holes is marked on the face of the tunnel with the help of
surveying. The importance of correct profile marking has to be emphasized to the surveyor and
the marker. The direction of holes with respect to the face cannot be marked at site and therefore

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that aspect has to be explained to the operator of the drilling machine. Before profile marking,
the study of the last executed and plotted profile must be made and then required changes, if
any, may be made.
The time cycle of the activity should be noted and variation with the planned time may be
analysed for optimization by modifying the blasting pattern. The drilling at face according to profile
marking is carried out with the help of drilling jumbos, which operate electrically/hydraulically.
In advanced machines, the three dimensional drilling pattern can be fed into the program of the
drilling jumbo. In such cases the activity of profile marking on tunnel facemay not berequired.
The water pressure for flushing the drill holes must be controlled so as to avoid the weakening of
surrounding rock mass in case of Tunneling in jointed and weak rock mass. At the end of drilling
activity, the details of the holes including their number, depth, diameter, and angle with the face
along with the time taken for the activity may be recorded and analysed vis-à-vis the provision in
the Method Statement or instructions given by site supervisor.
Based on the planning contained in the Method Statement and the experience gained from
the previous cycles the charging of the face shall be carried out with the explosives. Due
consideration shall be paid to the charge per series of detonators and the location of the holes
being charged in the face for minimizing the vibrations and damage to the surrounding rock mass.
Charge comprising of designed quantity of suitable explosives together with a delay detonator
of designated delay shall be inserted into each drill hole. Leading wires of the detonators shall
then be connected to form a circuit and ends of the circuit connected to an electric exploder
through hook up wires. Due safety precautions at the time of charging the face shall be taken.
The face shall be cleared and service lines, equipments withdrawn from the face and shall be
parked at a safe distance from the tunnel face. The other necessary precautions as prescribed
for blasting shall be observed. The exploder shall then be charged and the circuit fired to blast
the explosives. To overlap the activity of ‘charging the holes’ and the ‘drilling of holes’, the use
of non-electrical detonators (NONEL) may also be resorted to reduce the overall cycle time.
NONEL is also suitable for safe working in periods of lightening incidence.
For facilitating drilling, charging of blast holes and scaling etc. mobile access platforms with
intermediate deck can be used. Mobile Drilling Jumbos comprising of hydraulic rock drills mounted
on hydraulic booms which can cover full face of a tunnel are available. A basket mounted on a
telescopic hydraulic boom is also provided with the jumbos for facilitating scaling, charging of
blast holes etc.

4.3.1.2.1 Methods of driving the tunnel

Methods of driving the tunnels by attacking the face depends upon the size and shape of tunnel,
equipments available, the geological conditions, the stand up time of the strata through which
tunnel is passing, the extent to which supports are necessary and overall economics. Tunnels
can be driven by the following methods:-
• Full Face Method
• Partial Heading and Benching Method
• Partial Multi-drift Method/Partial Segmental Method

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• Full Face Method
This method is used when the tunnel is being excavated through stable formations. Limitation
of full face method depends upon the size of the tunnel and capacity of equipment being used
for the job.

• Partial Heading and Benching Method

Heading and benching method is used when height is more than about 8 m and area of the face
is large and/or when the tunnel is being excavated through not very stable formations, to enable
installation of supports within the available stand-up time. In Poor ground the heading drives
may have to be given temporary inverts.

• Partial Multi-drift/Segmental Method

In this method, the heading and the bench are divided into smaller parts. This method becomes
necessary when the tunnel is being excavated through very poor and unstable formations, to
enable quick installation of supports. Lattice girders may be required to be cut into smaller
pieces to for installation against such partial segments.
Fig. 4.1 below shows the various methods using which tunnel excavation can be advanced
using drill and blast approach.

Fig. 4.1 Sequential Excavation Options – Cyclic Driving

4.3.1.3 Defuming & Scaling

The tunnel face is a dead end and at the same time, it is an area of maximum activity. It therefore
becomes necessary to see that the face is properly ventilated by means of artificial ventilation.
When excavation is carried out by Drilling and Blasting technique heat and fumes caused by the
blast need to be exhausted out from the face.
Artificial ventilation is effected by means of by axial flow type fan(s) operating on a ventilation
duct. In tunnels where reversible type axial flow fans are used, immediately after the blast,

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the fans are operated in the exhausting mode so as to suck out blasting fumes from the face.
Thereafter, the fans are reversed to operate in supply mode so as to supply fresh air at the face.
Immediately after blasting defuming should be done using the ventilation system provided. The
defuming time will depend upon the type of explosive, quantity of explosive and the ventilation
system etc. Thereafter the face shall be approached and inspections shall be carried out to see
the efficacy of the blast. The service lines shall then be extended/reinstalled. If found necessary,
water shall be sprinkled on the muck pile created at the face to contain the blasting fumes. The
scaling, which is an operation for knocking down all loose rock fragments hanging on to the
periphery of the Tunnel, shall then be started mechanically or manually immediately after the
blasting fumes are exhausted from the face.
Routine inspection of the periphery of already excavated tunnel shall also be carried out and
loose scales that may have developed shall be knocked down.

4.3.1.4 Disposal of Excavated Muck

The blasting crushes the rock of the tunnel face into small fragments and forms a muck pile in
front of the face. After scaling of the sides and face, the activity of removing the muck shall be
undertaken. The muck coming out of excavation at the face shall be removed from the face
with the help of muck haulage units/conveyors and disposed off into the areas designated for
muck disposal. In case of long tunnels, deployment of diesel operated excavators/loaders and
dumpers for muck removal be avoided and in their place electrically/pneumatically operated
loaders and battery operated haulage cars or belt conveyers shall be preferred. For long tunnels
rail mounted equipment as against tyre mounted equipments and conveyers are preferred.
A suitable area in one or more locations, of adequate size to hold the total quantity of muck
expected to be removed from the tunnel duly vetted by environmental authorities, shall be
identified and earmarked as Muck Disposal Area. This area shall be easily accessible from
the Tunnel portal(s). The muck haulage units carrying the disposal muck from the tunnel shall
dump the muck only within this area and muck to be stacked safely by designing muck piles and
catering for stabilization measures for such piles.

4.3.1.5 Installation of Temporary and Permanent Support

Tunnel supports are based on the geological, hydrological and geotechnical characteristics of the
rock mass or soil being excavated. Poor strata may solicit pre-support measures like fore poling,
pipe-roof umbrellas or pre-injection grouts of various types. Measures like ground freezing etc.
may also be used where feasible. These are provided before the face is advanced.
Provision of Tunnel Supports becomes necessary when exposed periphery of a tunnel after
advancing the face is not capable of standing on its own as time passes or face advances
further. The temporary and permanent rock support may consist of one or the combination of
following measures:-
a) Providing plain shotcrete on the excavated surface with or without wire mesh.
b) Providing steel fibre/polymeric synthetic fibre reinforced shotcrete on the rock surface.
c) Providing tor steel/high tensile steel rock dowels.

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d) Providing tor steel/high tensile steel pretensioned rock bolts.
e) Providing structural steel/lattice girder ribs with backfill concrete/shotcrete
f) Providing plain/reinforced concrete lining
g) Providing forepoling or pipe roof umbrellas
In order to ensure efficient and safe tunneling, supports shall be installed well within the stand
up time so that no plastic deformations take place in the tunnel.

4.3.1.6 Plotting of Excavated Profiles and Geological Mapping

At the end of each excavation cycle, the geo-logging and profile plotting of the excavated tunnel
is very important along with evaluation of the support and blast efficiency parameters. After
analyzing this activity, next cycle may be modified to the required extent. This may be done both
before and after installation of supports.

4.3.1.7 Monitoring
Depending upon the geology of the rock mass during tunneling, convergence measurements
at the excavated crown and sides may be taken up with the help of 3D bi-reflex targets.The
frequency of readings will depend upon the convergence observed. Readings are taken at the
excavated face and at previously excavated tunnel sections as well to evaluate the performance
of the supports. The frequency of readings is higher towards the excavation face and reduces as
one moves away opposite to driving direction i.e. away from the excavation face. The frequency
will be decided by the geotechnical engineer at site. The first reading at any face section should
be taken immediately after the blast i.e. as soon as practicable. The tunnel support system is
adapted calibrated based on the monitoring results to ensure economy and safety.

4.4 Mechanical (No-blast) techniques

In many a situation, where surface subsidence is not desirable or where blasting vibrations
cannot be permitted and where geology allows for speedy Tunneling operations, mechanical
or No-Blast Techniques are employed with advantage. Various machines are available for such
work:-

4.4.1 Tunneling Shields

Tunneling shields are used for constructing circular or ovular tunnels through different types of
soft ground. Shield is a rigid steel cylinder. The front end is in the form of a cutting edge and
fitted with excavation facilities and the rear end has facilities for removal of excavation spoils and
installation of support inside the tail of the shield. In shield tunneling, periphery of excavation is
not visible as it is either supported by the shield itself or by tunnel supports. As the excavation
at the face progresses, the shield is pushed forward with the help of hydraulic jacks which
take thrust from the supports at the rear end of the shield. During forward movement of the
shield, the tail end slides past the supports already erected inside the tail transferring the load
of the excavated periphery from the shield to the supports. Various types of shields such as
Compressed Air Shield, Slurry Shield and Earth Pressure Balancing Shield etc. are available to
deal with different soil conditions.

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4.4.2 Roadheaders
Another type of machine that can excavate tunnels of any shape is the Roadheader. It has a
hydraulic boom with a rotary cutting head at its front end, a loading device usually involving a
conveyor and a crawler traveling track to move the entire machine. The boom can be moved up
or down and right or left to cover the whole face. The boom presses the rotating cutting head
into the rock face, cuts the rock into small fragments which drop down to the invert of the tunnel.
Collector arms of the machine pull the muck onto an apron which transfers the muck onto a
trailing conveyor for depositing the muck into muck disposal vehicles. In case of soft soil tunnels,
the roadheaders operate under the protection of and inside the shields. Apart from rotating
cutting head, various types of special function heads are available. For tunnels having height
more than about 5 m excavation using roadheader may have to carried out in multiple stages in
view of boom limitations, even in competent rocks.

4.4.3 Tunnel Boring Machines

One type of machine which can excavate tunnels through a variety of strata from hard rock to
soft strata and at a considerable speed is the Tunnel Boring Machine (TBM) (Fig. 4.2), which
comprises a rotating circular head with several cutters mounted on its face. As the cutter head
rotates, it presses the cutters into the tunnel face, cuts rock into small fragments, picks up
the dislodged rock fragments with its muck collectors and drops the fragments onto head of
a trailing conveyor for depositing them into muck disposal vehicles. The TBM train is several
meters long and may have arrangements and equipment for drilling of probe holes and grout
holes, erection of precast lining segments and grouting, as well as service equipment such as
dewatering pumps, transformers, hydraulic power units, containers for materials, rest rooms etc.
TBM can be steered in vertical and horizontal direction along smooth curves. TBM have advantage
of not disturbing surrounding strata which makes them suitable for use in built up area. However
main disadvantage is cost as they are expensive to construct, difficult to transport and require
significant infrastructure. Various types of TBMs such as Open, Shielded and Earth Pressure
Balancing Machine are available to deal with different soil conditions with certain limitations.

Fig. 4.2 Typical Tunnel Boring Machine

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4.5 Immersed Tube/Sunken Tube Tunnels
An Immersed/Sunken Tube is an underwater tunnel made up of prefabricated elements in the
form of a tube. The elements are cast on the shore, floated to the tunnel site, sunk in to place
(often into an excavated trench, connected to the elements already in place, finished and covered
up. Immersed/Sunken Tube normally takes off from and ends into a cut and cover tunnel or
bored tunnel constructed up to the edge of water. (Fig. 4.3)
An Immersed/Sunken Tube works out to be a cost effective solution when a cost of a bridge
turns out to be quite high due to high depth of water, difficult ground conditions for foundations
etc. and cost of a bored tunnel turns out to be high due to ground conditions. Immersed/Sunken
Tubes cause least disturbance to marine traffic and are more resistant to seismic vibrations.

Fig. 4.3 Immersed Tunnelling Technique

4.6 Cut-and-cover Tunnels

Cut-and-cover is a simple method of construction for shallow tunnels. There are two ways to
construct cut and cover tunnels viz. Bottom up and Top down.
In the Bottom-up method, a trench is excavated with the help of ground support in the form of
diaphragm walls, sheet piles or intersecting piles etc. and the tunnel is constructed within. The
tunnel may be of in-situ concrete, precast concrete, precast arches, corrugated steel arches etc.
The trench is then backfilled with compacted fill material and the surface is reinstated.
In the Top-down method, initially, a trench is excavated with the help of ground support in the
form of diaphragm walls, sheet piles or intersecting piles etc. A shallow excavation is then made
to allow the tunnel roof to be constructed using precast beams or in-situ concrete. The surface
is then reinstated except for access openings. This allows early reinstatement of roadways,
services and other surface features. Excavation machinery is then lowered into the access
openings, and the main excavation is carried out under the permanent tunnel roof, followed by
constructing the base slab.

4.7 Pre-Excavation Treatment

Where tunnel excavation is to be carried out in poor ground conditions arising from various
reasons such as poor quality rock (low strength rock, sheared rock), excessive ground water,

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poor behavior due to very high stresses (high cover and residual stresses), very low cover area
etc. pre-excavation treatment would be warranted.
One such technique to pre-treat ground is pre-grouting. Pre-grouting is always multiple times
more effective and economical than post grouting. Different types of grouting techniques used
in Tunneling are:-
a) Consolidation grouting – carried out to consolidate poor rock mass,
b) Water control grouting – carried out mainly to reduce excessive ground water flows.
Curtain grouting is one example of the Water control grouting.
c) Contact grouting – carried out after the installation of a lining (either cast-in-situ or
precast concrete lining) to fill up the gaps between the outer surface of the lining and
the excavated periphery.

4.7.1 Types of Grout and Grout Pressure

Almost all pre-grouting in hard rock tunneling is based on the use of cement (Ordinary Portland
Cement, OPC or micro cement).In special cases, such as in ground conditions with clay and
other fine materials on the joint planes and/or when the required tightness cannot be reached
with cement only, chemical grouts may be necessary as a supplement. For practical purposes
there are two main groups of chemical grouts i.e. Reactive polymeric resins and Water rich gels.
Acrylic polymers, Epoxy resins, Poly-urethane foams and various other types of grouts may be
used based on the analysis of the strata.
The Injection pressure is important for the success of the injection and needs to be as high as
conditions allow. This is one of the advantages of injection ahead of the face (compared to post-
injection) and should be used fully. As noted above, relatively high pumping pressure is generally
possible with the pre-injection approach, because injection is made into undisturbed rock ahead
of the tunnel face. The available pumping equipment should therefore be capable of producing
controlled pressure of up to 100 bar measured at the pump.
During injection the following parameters should be accurately noted in the Injection Record:-
a) All necessary and relevant general information about the project
b) Ground water flow from the holes
c) Injection materials and mix design
d) Pressure at the beginning and at the end of each injection, including
e) grout flow rates
f) Injection time per hole
g) Total material consumption per hole
h) Number of holes, stage of grouting
i) Any surface leakages and backflow
j) Grout hole inter-connections
Apart from grouting other techniques like fore-poling and Pipe-roof umbrellas are also used to
increase the deformation modulus of the ground before excavation. (Fig. 4.4)

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Fig. 4.4 Typical Pipe-Roof Umbrella Pre Support System

4.8 Design of Drilling Pattern and Use of explosives

The drilling and blasting operation shall be planned as per IS:5878 Part II section I. The drilling and
blasting will be executed after a proper analysis of tunnel face by the geologist and geotechnical
engineer who will recommend the drilling pattern, spacing of drill holes and powder factor based
on which explosive charging will be done.
Drilling and Blasting operation shall be designed and calibrated to get desired fragmentation
with requisite advance per cycle of operations and the blast induced ground vibration level within
permissible limits in accordance with IS:5676.

4.9 Non-Structural Works in the Tunnel

Non-structural works inside road tunnels involve construction of Side Drains, Walkways,
Crash Barriers, Kerbs, multi purpose niches and Road Carriageway, which can be taken up
simultaneously with the other works. They will be provided as described in Chapter-3 of this
code.

4.10 Waterproofing in Tunnels

A waterproofing system has the task of protecting the tunnel construction against damage from
moisture or unintentional entry of water as well as the danger posed by aggressive water or
soils and effects of chemicals. Thus, reliable functioning of waterproofing system is of particular
significance in the case of traffic tunnels which are not accessible or stopped for subsequent
repairs after seepages or leakages.

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Robust waterproofing of underground structures is one of the most cost effective ways to enhance
safety and function as well as to increase the useful design life of new and existing structures.
Special maintenance due to deterioration of the structure can be eliminated or minimised and,
more importantly, the structure is able to function for the duration of its design life.
It is essential to remember that a waterproofing system has to be selected and planned in order
to represent the optimal solution with regard to given requirements pertaining to its intended
use on one hand and technically & economically acceptable possibilities on the other. The key
criteria in selecting these systems are:
• hydrology concept (eg. environmentally sensitive area, permanent water table, the
degree of water tightness required, drained or undrained concept, the height of water
pressure, the impacts and conditions during construction,
• fire and workmanship
• safety standards during construction
• the kind of chemicals in groundwater
• their concentrations and their possible influences on chosen materials. In addition to
this, a significant aspect is the material behavior on ageing/durability in surrounding
conditions in view to its total cost over service life including the cost of maintenance.
The basic design of waterproofing systems in Tunnel construction is typically of two types, namely
Drained system and Pressure system. The drained system allows the water to channelize and
hence drain out of the system, also commonly known as the Umbrella system. On the other
side, the pressure system holds the water behind the membrane for perpetual period, commonly
known as the Submarine system. The decision to go for a drained system or pressure system
has to be taken in the beginning, as this shall influence various components of tunnel’s design.
The project designers and tunnel waterproofing experts together with various facts should decide
on either of these systems.
The various components of water proofing systems include the following:
• Shotcrete
The surface roughness of tunnel protected with shotcrete has to be minimal as per
International Standards for the right installation of the membrane system.
• Primary Drainage System
A primary drainage allows spot-wise collection of water ingress, normally located
where the anchors/bolts penetrate the shotcrete lining, with drainage channels. It
helps in two ways:-
– No flowing water in the excavated profile, safe working process
– Dry substrate for waterproofing membrane installation
• Drainage Layer
A drainage mesh or dimpled membrane is generally used to allow water to drain
out of umbrella system and are installed on the shotcrete using PVC Disks with
fasteners. Same PVC disks shall be used to hold the membrane in place. An important
recommendation is full faced drainage layers such as dimpled sheets shall not be in
direct contact with the PVC membrane due to the risk of plasticizer migration from the

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membrane into the drainage layer, which might result in loss of durability. A drainage
layer can never act as the permanent waterproofing element. In that regard, it does
not matter whether the drainage layer has an open or a closed structure. The overlaps
of dimpled sheets, etc. even when sealed with tape, will never be watertight for the
service life of the tunnel. That means sooner or later the PVC membrane will anyway
act as the only waterproofing barrier. The drainage layer only provides the space for
the water to flow through the pipes.
• Waterproofing membrane
Generally, the waterproofing system shall cope with a design lifetime of the structure.
Hence, the most important component, PVC-P twin layer membrane (with signal
layer & back layer) is generally used as a waterproofing membrane, must be highly
durable and shall be judiciously selected. The product should be made up of virgin
PVC compound (no external recyclate) and plasticized for long- term flexibility and
durability. The membrane shall be supplied with a signal layer, i.e. a thin sheet of
different colour, bonded to one side, which is intended to facilitate the detection of
damage. The thickness of the membrane may range from 2 mm to 3 mm depending
on water head. The membrane must be with high elongation, high tensile strength
and shall be resistant to high hydraulic pressures.
• Protection Sheet
A protective sheet shall be placed on top of the waterproofing membrane in areas with
reinforced concrete, with the following characteristics:-
– High impact strength
– High resistance against mechanical influences
– High tensile strength
– Excellent flexibility in cold conditions
– Hot air weldable, compatible with waterproofing membrane
It shall be of the same raw material of the waterproofing membrane, but of a different
color than the signal layer of the waterproofing membrane, to make protected areas
visible. This ensures that reinforcement work to be carried out post waterproofing
does not damage the membrane system.
• Additional Measures
The tunnel construction can further employ the use of various sealing & waterproofing
accessories like swellable waterstops, Reinjectable hose system, PVC waterbars,
Injection Flanges, etc. and ensure a further level of water tightness.
When found feasible sprayed waterproofing system may also be employed inside
tunnels. The impact of water ingress and also any drainage and cleaning costs over
the full lifetime of the project should be considered when defining the water-tightness
Specification and deciding upon a drained or water tight tunnel.

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4.11 Tunnel Furnishings
Tunnel Furnishings generally comprise of Installation of Fire Fighting Water Lines Walkway,
Cable Racks, Cable Boxes, Tunnel Lighting, Tunnel Ventilation System, Telephone Stations,
Signage and Centralised Monitoring System such as CCTV etc. Furnishings can be conveniently
installed after completion of the Road Carriageway work.

4.12 Quality Assurance and Quality Control

To ensure that the Tunnel is constructed to serve the intended purpose satisfactorily, adoption of
appropriate Quality Assurance (QA) and Quality Control (QC) measures is essential. The Design
and Construction works shall be taken up only after an approved QC program and QA Program
are in place for each activity. While the QA system must ensure the establishment of appropriate
procedures and systems for ensuring the necessary quality, the QC system ensures that the
establish Systems are duly adhered to.
In the Design stage the QA/QC systems shall cover, at minimum, proper establishment of the
required objectives, laying down of proper procedures for the design, following established
methods, deployment of competent and capable people, the setting up of a suitable monitoring
and supervision system, etc. for the design activities.
In the Construction stage, the QA/QC systems shall cover, at minimum, the laying down of
appropriate construction procedures, checks on the qualities of the personnel, machines and
the materials deployed in the works and suitable tests on the completed structure. All processes
involved in the construction on and off the site shall be duly covered. Preparation of detailed
Construction Method Statement in advance and strict adherence to the same are essential to
ensure good Quality Practice.
The Project Quality Plan covering the above at various stages shall be prepared by the concerned
agencies and got approved by competent authority. Such systems shall be duly followed by all
concern during the Design and the Construction stages.
Wherever relevant, existing National Standards and where they are deficient, the relevant
international Standards or Good Engineering Practices shall be adopted while drafting the QA/
QC systems. The Reference Numbers of such standards referred shall be duly listed in the
relevant Manuals for ready reference.

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CHAPTER 5
TUNNEL VENTILATION and FIRE FIGHTING SYSTEMS

5.1 Introdcution
The design of a ventilation system is based on three ventilation scenarios:-
a) Consideration of ventilation during tunnel construction to provide the external air
required to dilute the pollutants produced by the machines used during the different
stages of the construction to allow a safe environment for the tunnel construction
crew.
b) Ventilation during normal operation of the tunnel.
c) Consideration of a fire case inside the tunnel.
While the fire case is often the dominating factor for highway and non-urban tunnels, in tunnels
with a high traffic load and frequent congested traffic, the fresh air requirement for normal
operation can be dominant. Ventilation systems should aim to provide minimum air requirement
that is required to ensure adequate in-tunnel air quality and visibility thresholds.

5.2 Type of Ventilation Systems

The possible ventilation systems are:-
a) Natural ventilation which can be induced by the air temperature and meteorological
conditions or induced by traffic.
“Naturally ventilated” tunnels are not equipped with fans for the mechanical control
of the airflow in the traffic zone. Some kind of natural ventilation exists in any tunnels
and conditions wherein air turnover is always induced by a mix of factors such as
atmospheric conditions and traffic. A tunnel may be sufficiently ventilated by wind,
by a difference in air pressure between portals, and possibly by some convective or
chimney effect.

NATURAL VENTILATION SYSTEM

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b)Mechanical Forced ventilation using external dedicated devices: Mechanical
ventilation systems use fans and other mechanical control devices to ensure suitable
air flow inside tunnels. These systems can be:-
Longitudinal Ventilation System; Fully transverse Ventilation System; Semi-transverse
Ventilation System, which are illustrated as under;
i) Longitudinal Ventilation System
Longitudinal ventilation system is an easy and cheap way to ventilate road
tunnels generally above 500 m to 4000 m in length and light traffic density.
A longitudinal ventilation system creates a uniform longitudinal flow of air all
along the tunnel. Air enters the tunnel from the portal, practically clean, and
gets gradually polluted with substances emitted by vehicles, thus reaching the
tunnel exit with a higher percentage of pollution. This system is relatively cheap
and easy to install and is particularly suitable for tunnels carrying one-way
traffic, where the “piston effect” assists the airflow. In tunnels with longitudinal
ventilation, the concentration of noxious substances increases in the direction
of the airflow and decreases with the fresh air rate. The maximum concentration
increases according to the tunnel length.
The longitudinal airflow velocity has a practical upper limit; consequently, for a
given traffic and slope of the roadway, the tunnel length for which longitudinal
ventilation is possible has a maximum limit too. As a first estimate, this upper
limit could be evaluated knowing the cross sectional area of the tunnel and the
maximum air velocity (today considered to be about 8 to 10 m/s) which is cost
effective and does not disturb vehicles and the staff operating within the tunnel.
Moreover, the mechanical power of the ventilation system increases with the
third power of the tunnel length in tunnels used bi-directionally.
For tunnels that require an overall airflow over the aforementioned threshold,
the longitudinal ventilation is still possible, but it has to be supplemented with
shafts for massive exchange of exhaust with fresh air. The longitudinal (Jet) fans
need to comply with fire rating (250°C - 2 hrs/400 °C – 2 hrs) in accordance with
design of the tunnel.

LONGITUDINAL VENTILATION SYSTEM

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ii) Fully transverse Ventilation System
In this system, the amount of exhausted air per metre of tunnel length equals
the amount of supplied air. The two air streams (injected fresh air and extracted
exhaust air) create a flow in the main tube, the direction of which is transverse
to the longitudinal axis of the tunnel. Such flow is generally disturbed by other
factors (differences in wind pressure on tunnel openings, atmospheric pressure
differences, traffic, fire in the tunnel, etc.) which create a longitudinal airflow.
Consequently, flow purely transverse to the longitudinal axis of the tunnel is not
a practical possibility.
Longitudinal airflow is difficult to control even if the transverse ventilation system
has a large capacity because there are no compensating forces present in the
longitudinal direction. The most usual way to get some control on this longitudinal
airflow is to create successive independent ventilation sections in which fresh
air injection and/or exhaust air extraction can be operated separately. The
concentration of pollution in the air is constant all over the tunnel (if there is no
longitudinal airflow). In the emergency mode, the dampers of the fire area are
opened and all the remaining dampers/louvers are closed. Smoke is evacuated
through the ceiling. This system is, therefore, suitable for application in long
tunnels. In principle there is no limit to the tunnel length as far as the pollution
removal is concerned, however, technical and economic restrictions apply.

TRAVERSE VENTILATION SYSTEM

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iii) Semi-transverse Ventilation System:
In a semi-transverse ventilation system, a combination of jet fans and axial flow
fans is used and generally considered for tunnel lengths in excess of 2000 m with
high traffic density. Outside air is added equally along the tunnel, generally out of
an air supply duct, but there is no air extraction. Fresh air is supplied transversely
to the direction of the longitudinal axis of the tunnel while the polluted air flows
longitudinally to the two portals. In reversible semi-transverse ventilation, it is
possible to reverse the airflow direction in the ducts wherein the fresh air then
flows into the tunnel from the portals (therefore with a direction parallel to the
longitudinal axis) while the exhaust flow is extracted through louvers and the
reversible air ducts. So this extraction induces a longitudinal airflow along the
tunnel which comes from the two portals or neighbouring ventilation sections still
running on air supply. These fans need to be fire rated according to the design
of the tunnel.
In the emergency mode in case of a fire, the dampers louvers in the ceiling
closest to the fire are kept open and the remaining hatches closed. The Axial
fans are reversed and there expel the smoke out at the ports.
Intermediate Audits or shafts can be used for housing Axial fans to augment the
ventilation where tunnel length is 8000 m and above. The intermediate Audit/
Shaft generally caters to 3000 m length of the tunnel.

SEMI TRAVERSE VENTILATION SYSTEM

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5.3 Factors to be Considered for Ventilation Design
i) Heat release rate of fire (in MW) – dependant on the type of goods passing through
the tunnel and potential flammability, this is generally 50 MW minimum.
ii) Geometric Data:
Unidirectional or Bidirectional tunnel; Length of tunnel; Cross section of tunnel;
Perimeter of tunnel.

Altitude (m.a.s.l) at Tunnel entry and Exit.

Gradient for various spans of the tunnel.

Tunnel Lining: Concrete roughness coefficient; Guniting roughness coefficient; and

others.

Intermediate Adit or Shaft: location and dimensions.

Meteorological and Geographic Data: Latitude, Air Density; Relative Humidity;

Wind velocity and any dominating influence.

iii) Traffic Data:

Direction of traffic: Number of Lanes.

Traffic Volume: Daily Traffic (DMI): Rush Hour traffic (HMI); Number of Diesel/Petrol
vehicles; and percentage (Light/Medium/Heavy).

Emissions of Vehicles:
Carbon Monoxide emissions and Fume emissions (cu.m/hour)

Admissible Contamination levels for Carbon Monoxide (CO), Nitrogen Oxide (NOX)
and Fumes for speeds upto 20 kmph and beyond.
Taking into account the volume of air required for the dilution of pollutants visibility and fire safety
considerations, an assessment can be performed and the ventilation system can be chosen for
a particular tunnel. Other factors, such as tunnel length, location, type of traffic, environmental
laws, and any special conditions should be considered.

5.4 Admissible Concentration of Toxic Gases

The concentration of CO inside the tunnel should not exceed 70 ppm for normal flowing traffic. This
concentration may be permitted up to 100 ppm during traffic congestion. If the CO concentration
reaches 200 ppm, tunnel operations should be immediately suspended.
Threshold values for NO2 concentration are imposed due to two reasons. One is to protect the
environment close to the portals or at stack outlets. The second is to protect tunnel users. In the
first case, ambient air quality analysis is usually performed to assess the impact of emissions
emanating from the ventilation exhaust points (tunnel portals or at stack outlets) to locally sensitive
receptors. Where sensitive receptors are near the ventilation exhaust points, increasing the

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ventilation airflow rate can enhance emission dilution. It is recommended to permit a maximum
average in-tunnel concentration of 1.0 ppm NO2 along the length of the tunnel at any one time.
For a short-time working exposure a limit of 5 ppm is recommended.

5.5 Visibility
The presence of particulates leads to reduced visibility inside the tunnel. The consideration of
visibility criteria in the design of the tunnel ventilation system is required due to the need for
visibility levels that exceed the minimum vehicles topping distance at the design speed. There
are two primary sources of PM in a tunnel, exhaust emissions and non-exhaust emissions.
Exhaust emissions consist of PM emanating from the tailpipe as a result of fuel combustion.
Non-exhaust PM consists of tyre and brake wear, road surface abrasion and re-suspended dust.
Visibility is reduced by the scattering and absorption of light by PM suspended in the air. The
amount of light scattering or absorption is highly dependent upon the material, diameter of the
particle and particle density. The principle for measuring visibility in a tunnel is based on the fact
that a light beam decays in intensity as it passes through air. The level of decay can be used to
determine the opacity of air. Opacity meters for tunnels typically use these effects to measure
visibility within the tunnel. This process is described by the formula:-
E = E0.e−KL
Where “E0” is the light source (or emitter) intensity, “E” is the light receptor intensity and “L” is the
distance between the emitter and receptor expressed in meter. “K” is the extinction coefficient
and is expressed in 1/m.
In tunnel ventilation, visibility is expressed the extinction coefficient K. Extinction is defined as
the loss of intensity E - E0 after travelling the distance L through the tunnel air relative to the
source strength E0. According to the extinction coefficient is expressed as:-
K = − 1/L .ln(E/E0)
The extinction coefficients used for the design of the ventilation system are given below:-
• K = 0.003 m-1 means clear tunnel air (visibility of several hundred meters)
• K = 0.007 m-1 approximates a haziness of the tunnel air and
• K = 0.009 m-1 approximates a foggy atmosphere.
• K = 0.012 m-1, threshold value which should not be exceeded during operation
and which results in a very uncomfortable tunnel atmosphere. However, there is
normally enough visibility for a vehicle to stop safely at an obstacle.
Strong fluctuations visibility can occur e.g. when several diesel-trucks move as a group, when
some unusually smoky vehicles are in the tunnel, or when the ventilation control reacts too
slowly to emission peaks. Traffic control and Ventilation system should be able to handle such
situations to prevent any untoward incident inside the tunnel.

5.6 Ambient Air Concentration

Ambient air supplied to the tunnel as fresh air contains background levels of CO, NO2 and PM.
These background levels are normally relatively low, but they should be checked, particularly in the
case of urban tunnels. Typical values of CO range between 1 to 5 ppm. Likewise, concentrations
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of NO2 up to 200 μg/m³ are typical peak values, but can be exceeded in dense urban areas. The
situation is aggravated further when air from the portal of one bore re-circulates and enters the
portal of the adjacent bore as “fresh air”. Simple structural design features such as barrier walls
between portals could be applied to minimize or avoid recirculation of tunnel air. Thus the safety
level of the tunnel can be enhanced.

5.7 Minimum Air Exchange

In tunnels with mechanical ventilation, the minimum air exchange rate is determined using design
values. Where traffic volumes are low, the minimum fresh air requirement might be quite small.
However, the ventilation system should be able to accommodate sudden demands such as for
high emitting Heavy Goods Vehicles. For such cases, an air-exchange rate of at least 4 times
per hour should be considered. Where longitudinal ventilation systems are provided, a minimum
longitudinal air velocity of 1.0 to 1.5 m/s is recommended to be used as a design criterion.

5.8 Objectives of Ventilation for Fire and Smoke Control

From the point of view of safety in case of fire, the following criteria have to be applied in the
ventilation design:-
a) The purpose of controlling the spread of smoke is to keep people as long as possible
in a smoke-free part of the traffic room. This means that either the smoke stratification
must be kept intact, leaving more or less clear and breathable air underneath the
smoke layer (this is applicable to bi-directional or congested unidirectional tunnels)
or/and to completely push the smoke to one side of the fire (this should preferably be
applied to non-congested unidirectional tunnels where there are normally no people
downstream of the fire).
b) People must, in any cases, be able to reach a safe place in a reasonably short time
and covering a reasonably short distance (see Section I). Therefore facilities such as
emergency exits or fireproof shelters should be provided whenever necessary
c) The ventilation system must be able to keep clear of smoke the air in unharmed
structures (escape routes, twin traffic tube, etc.)
d) The ventilation system must be able to produce good conditions for fire fighting.

5.9 Tunnel Fires, Fire Detection and Fixed Fire Fighting Systems

5.9.1 Tunnel Fire Characteristics

In order to design the tunnel ventilation system and suppression systems for fighting fires in a
tunnel, the designer should carry out a risk and probability estimation of design fire incident for
the particular Tunnel. Subsequently the design fire load should be based on density of traffic in
the tunnel, types of vehicles being allowed in the tunnel especially those carrying inflammable
and other dangerous products, traffic management in the Tunnel and fixed fire fighting systems
being provided. Factors like Type of cargo including bulk transport of fuel , Fire detection systems
in place, Ventilation profile, Tunnel geometry (tunnel width, height, cross section, length), tunnel
volume (available oxygen), shape of tunnel, grade inside tunnel, location of exits, and tunnel
drainage etc need to be taken into account.

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The designer must suggest a Tunnel fire curve which is likely to simulate the probable scenario
inside the tunnel in case of a fire incident. Some such tunnel fire curves are described at
Annexure F.
Tunnel Fires may be characterised by the following aspects:-

Ser No Time Dependant Design Values Range

Fire Variables
1 Fire Size - Maximum Fire Heat 1.5 – 300 MW
Release Rate (5 – 1020 MBtu/hr)
2 Fire Growth Rate (slow, medium, fast, 0.002 – 0.178 kW/sec2 as high as 0.331
ultra fast) kW/sec2 measured at one test. 20 MW/min
linear fire growth rate has been used for
several tunnel projects where Flammable
and Combustible Liquid Cargo were allowed
to pass through the tunnel
3 Fire Decay Rate 0.042 – 0.06 (min-1)
4 Perimeter of Fire Car – truck perimeter or pool of liquid fuel spill
5 Maximum Gas Temperature at Ceiling 110°C – 1350°C
(Maybe higher with new Carriers)
6 Fire Duration 10 min – 6+ days
7 Smoke and Toxic Species Production 20 – 300 m3/sec
Rate
8 Radiation From 0.25 to 0.40 of total heat flux up to
5125 W/m2
9 Flame Length Up to full tunnel height

5.9.2 Automatic Tunnel Fire Detection and Warning Systems

The key objective of the automatic tunnel fire detection and warning systems is to provide prompt,
accurate, and reliable fire detection while preventing nuisance alarms. Prompt and accurate fire
detection will result in timely activation of tunnel ventilation system in the predetermined mode of
operation to maintain tenable environment for evacuees. The successful management of tunnel
fires requires that fires are detected quickly and accurately while they are still at a controllable
size (in the order of 1 – 5 MW [3 – 17 MBtu/hr]). Accurate fire detection is critical in preventing
fire spread and fire growth. If a fire is detected early, the fire protection system could suppress
a small fire or take a larger fire under control, not allowing it to grow further or spread to other
vehicles.

5.9.3 Smoke Management

The other critical aspect in case of a fire incident is of smoke management. There are two
commonly used concepts for smoke management in road tunnels to achieve a smoke-free
environment for egress:-
• Longitudinal ventilation concept: Directing smoke along the tunnel in the
opposite direction of egress. The longitudinal ventilation concept is achieved by

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producing air velocity that meets or exceeds the critical velocity along the tunnel
which prevents smoke back-layering. The critical velocity depends on the fire
size.
• Extraction ventilation concept: Extracting smoke at the fire location and relying
on smoke stratification to allow for egress under the smoke layer. The extraction
concept is achieved by maximizing the exhaust rate in the ventilation zone that
contains the fire and by avoiding disruption of the smoke layer by longitudinal
air velocities. This concept depends on the smoke production rate which
is a function of the fire size. Smoke stratification may not occur for fires with
relatively small heat production rates (low buoyancy) and especially when the
flame is not visible (for example, rubber tire fires). Also, stratification can be
destroyed by airflow passing by the fire site or by a fixed firefighting systems.
Extraction ventilation systems designed for large size fires should be designed
and analysed for both stratified smoke and non-stratified smoke.

5.9.4 Fixed Fire Fighting Systems

The designer may provide fixed fire fighting systems inside a tunnel to control or mitigate fires.
Fixed water-based firefighting systems are categorized based on their performance objectives
as:-
• Fire Suppression Systems with the goal to reduce the fire HRR by sufficient
application of water, e.g. Deluge system with adequate water storage inside/
outside tunnel.
• Fire Control Systems with the goal to stop or significantly slow the fire growth
rate, e.g. Deluge system with adequate water storage inside/outside tunnel.
• Volume Cooling Systems with the goal to provide substantial cooling of the
products of combustion but not intended to reduce fire HRR, e.g. Water Mist
System
• Surface Cooling Systems with the goal of protecting the main tunnel structural
elements but not intended to reduce fire HRR, e.g. Water Mist System or Deluge
System

5.9.5 Fire Rating for Fittings

All fittings provisioned inside the tunnel need to have proper fire ratings so as to ensure
serviceability in the temperature environment expected during a tunnel fire. All electrical fittings
and alarm systems need to be designed in such a way that their serviceability is not affected
during an expected tunnel fire incident.

5.9.6 Passive fire protection systems

Tunnel lining and interiors may be coated with fire proof coatings to keep the strength of structural
elements and concrete lining within safe temperature ranges. These systems should be chosen
based on test results from accredited labs.

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CHAPTER 6
TUNNEL LIGHTING REQUIREMENTS

6.1 Introduction
The minimum daytime and night-time lighting requirement is to ensure visibility conditions such
that the user may travel through equally well by day and by night at a given design speed. It
should provide safety, comfort and confidence at a level not lower than those that exist at the
same time along the access roads to that tunnel. This means that motorists or road users should
have adequate visual information concerning the behaviour of other road users, the geometry of
the portion of the road forming the field of view and the presence or movement of any obstacles
in the tunnel entrance, to be able to react in time within a safe stopping distance (SSD). CIE
Guidelines for Tunnel Lighting “Guide for the Lighting of Road Tunnels and Underpasses” is
recommended. L20 method can also be used to determine the lighting levels in the tunnel.
The lighting requirements of a tunnel are totally different by day and by night. The design of the
lighting during daytime is particularly critical because of the human visual system. The driver
outside the tunnel cannot simultaneously perceive details on the road under lighting levels
existing in a highly illuminated exterior and a relatively dark interior (i.e. transient adaptation). At
night the problem is relatively simple by providing luminance levels on lit routes inside the tunnel
at least equal to those outside the tunnel.
While the visual system can adapt to rapid reduction in ambient illumination, such as that
produced when passing from daylight into the darkness of a tunnel these adjustments are not
instantaneous. The adaptation process takes a certain time, depending on the amplitude of the
reduction: the greater the difference, the longer the adaptation time.

6.2 Distinction Between Long and Short Tunnels

The lighting requirements for long and short tunnels differ according to the degree to which the
approaching motorist can see through the tunnel. The ability to see through the tunnel depends
primarily on the length of the tunnel but also on other design parameters (width, height, horizontal
and/or vertical curvatures of the tunnel, etc).
Tunnels are usually subdivided into "long tunnels" and "short tunnels". This designation refers
primarily to the length of the tunnels (typically measured along the tunnel axis). Some tunnels -
where the drivers cannot see the exit from a point in front of the tunnel - need to be illuminated
like a long tunnel, even if their lengths would seem to make them a "short" one. These tunnels
are designated as "optically long tunnels", contrary to those where approaching motorists
can see through the tunnel ("optically short tunnels"). With regard to the lighting, tunnels are
subdivided into three classes: geometrically long tunnels; optically long tunnels; short tunnels.
The distinction can be made on the basis of the diagram given in Fig. 6.1

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Fig. 6.1 Daytime Lighting of Tunnels for Different Tunnel Lengths

6.3 Tunnel Related Zones

The lighting requirements of a tunnel vary strongly with the longitudinal position in the tunnel. It is
practical to distinguish different zones in the tunnel in order to determine the longitudinal lighting
level at daytime lighting: the access zone, the threshold zone, the transition zone, the interior
zone and the exit zone. (Fig. 6.2)

Fig. 6.2 Zones in a tunnel.

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Access zone: the part of the open road immediately outside (in front of) the tunnel portal,
covering the distance over which an approaching driver must be able to see into the tunnel. The
access zone begins at the stopping distance point ahead of the portal and it ends at the portal.
Threshold zone: the first part of the tunnel, directly after the portal. The threshold zone starts
either at the beginning of the tunnel or at the beginning of the daylight sunscreens when occurring.
The length of the threshold zone is at least equal to the stopping distance.
Transition zone: the part of the tunnel following directly after the threshold zone. The transition
zone begins at the end of the threshold zone. It ends at the beginning of the interior zone. In the
transition zone, the lighting level is decreasing from the level at the end of the threshold zone to
the level of the interior zone.
Interior zone: the part of the tunnel following directly after the transition zone. It stretches from
the end of the transition zone to the beginning of the exit zone.
Exit zone: the part of the tunnel where, during the day-time, the vision of a driver approaching
the exit is predominantly influenced by the brightness outside the tunnel. The exit zone begins
at the end of the interior zone. It ends at the exit portal of the tunnel.
Parting zone: the first part of the open road directly after the exit portal of the tunnel. The parting
zone is not a part of the tunnel, but it is closely related to the tunnel lighting. The parting zone
begins at the exit portal. It is advised that the length of the parting zone equals two times the
stopping distance. A length of more than 200 m is not necessary.
Entrance portal: the part of the tunnel construction that corresponds to the beginning of the
covered part of the tunnel, or - when open sun-screens are used - to the beginning of the sun-
screens
Exit portal: the part of the tunnel construction that corresponds to the end of the covered part of
the tunnel, or - when open sun-screens are used - to the end of the sun-screens.

6.4 Tunnel Lighting Related Terms

Visual guidance: the means that ensure that motorists are given adequate information on the
course of the road in the tunnel.
Emergency lighting: that fraction of the lighting that is maintained under emergency conditions,
e.g. failures in the main power supply.
Fire emergency guidance lighting: provides visual guidance in the case of fire and smoke.
Daylight screens, louvers: devices that transmit (some of) the ambient daylight, and that may
be applied for the lighting of the threshold zone and/or the entrance zone of a tunnel.
Sun-tight screens: screens that are constructed in such fashion that direct sunlight can never
reach the road or wall surface under the screen.
Contrast (C): the contrast between a relatively small object with sharp contours and its
(immediate) background is generally defined as:

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C(%) = [100(Lo-Lb )/ Lb]
where Lo is the luminance of the object ;
Lb is the luminance of the background.
Equivalent veiling luminance, Lseq: the light veil as a result of the ocular scatter, Lseq is quantified
as a luminance.
Veiling luminance: the overall luminance veil consisting of the contribution of the transient
adaptation, the stray light in the optical media, in the atmosphere and in the vehicle windscreen.
Threshold zone luminance, Lth (at a specific location in the threshold zone): the average
road surface luminance at that location.
Transition zone luminance, Ltr (at a particular location): the average road surface luminance
in a transverse section at that particular location in the transition zone of the tunnel.
Interior zone luminance, Lin (at any location in the interior zone of the tunnel): the average
road surface luminance at that location.
Exit zone lighting: the lighting of the exit zone. The exit zone lighting provides the visual contact
for the driver still in the tunnel with the open road beyond the tunnel.
Design speed: the design speed to be taken into consideration for the design of a lighting
system of a tunnel must be specified by the prime contractor. The design speed is in principle
the speed for which the tunnel is laid out. It is generally accepted that this speed is the maximum
speed allowed on the access roads to the tunnel.
Traffic flow: the number of vehicles passing a specific point in a stated time in stated direction(s).
In tunnel design, peak hour traffic, vehicles per hour per lane, will be used.
Reference point: the reference point is in principle the point located in the centre of the
approaching lanes, at a height of 1.5 m and at a distance from the entrance of the tunnel equal to
the stopping distance (SD) at the design speed. This stopping distance is the distance necessary
to stop the vehicle moving at the speed in question in total safety. It comprises the distance
covered during the reaction time and during the braking time.
The stopping distance is extremely variable and depends on the driver, his vehicle, the speed of
the latter, on the gradient of the road and on the atmospheric conditions.
Vertical illuminance, Ev: the vertical illuminance at a particular location at a height of 0.1 m
above road surface, in a plane facing and at right angles to the direction of oncoming traffic. The
height of 0.1 m above the road surface is meant to represent an object of 0.2 m x 0.2 m.
Reference obstacle: cube with a 0.2 m side and diffusing faces with a specified reflection factor
ρ equal to 0.2.
Contrast revealing coefficient, qc: the ratio between the luminance of the road surface and the
vertical illuminance Ev at a specific location in the tunnel qc = L/Ev. The method of tunnel lighting
may be defined in terms of the contrast ratio in three ways: Symmetric lighting, Counter-beam
lighting and Pro-beam lighting.

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Symmetric lighting: the lighting where the light equally falls on objects in directions with and
against the traffic. Symmetric lighting is characterized by using luminaires that show a luminous
intensity distribution that is symmetric in relation to the plane normal to the direction of the traffic.
(Fig. 6.3)

Fig. 6.3 Symmetric Lighting

Counter-Beam Lighting (CBL): The lighting where the light falls on objects from an opposite
direction to the traffic. Counter-Beam lighting is characterized by using luminaires that show a
luminous intensity distribution that is asymmetric in relation to the plane normal to the direction
of the traffic, where the maximum luminous intensity is aimed against the direction of the traffic.
The term refers only to the direction of normal travel. (Fig. 6.4)

Fig. 6.4 Counter-Beam Lighting

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Pro-Beam Lighting: The lighting where the light falls on objects in the same direction as the
traffic. Pro-Beam lighting is characterized by using luminaires that show a luminous intensity
distribution that is asymmetric in relation to the 90/270 C-plane (the plane normal to the direction
of the traffic), where the maximum luminous intensity is aimed in the same direction as the
direction of the traffic. (Fig. 6.5)

Fig. 6.5 Pro-Beam Lighting

6.5 Daytime Lighting for Long Tunnels

6.5.1 Daytime Luminance in the threshold zone (Lth)

The lighting level required in the threshold zone is determined by the Daylight level available
in front of the tunnel at access zone. The daylight level at access zone is not constant and it
is continually changing with the time of day, season and weather conditions. A tunnel-lighting
installation has to be designed so that safe traffic conditions are achieved under the highest
lighting levels regularly occurring. For the highest lighting level to be installed in the threshold
zone the CIE proposes the use of the daylight situation occurring during at least 75 daytime
h/year as a basis. Luminance in this zone can be calculated either from perceived contrast
method (veiling-luminance concept) or L20 method as mentioned in CIE Guidelines for Tunnel
Lighting “Guide for the Lighting of Road Tunnels and Underpasses”.
The luminance L20 in the access zone is defined as the average of the luminance values
measured in a conical field of view, subtending an angle of 20° (2 x 10°), by an observer located
at the reference point and looking towards a centered point at a height equal to one quarter of
the height of the tunnel opening.(Fig. 6.6)

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Fig. 6.6 Perspective View of Tunnel Entrance with Superimposed 20° Subtended Circle

This average luminance is conventionally considered as representative of the state of adaptation

of the eye of a driver approaching the entrance of the tunnel when he finds himself at the reference
point and is used as a basis for computing the luminance in the entrance zone. Preferably, it
can be calculated or it can be measured by means of aluminance meter having a 20° angle of
aperture.
This method can be used if one has an image taken at the stopping distance fromthe portal of
the tunnel. In this method, the evaluation of L20, is obtained from a sketch of the environment of
the entrance of the tunnel and is calculated by means of the following formula:
L20 = γ • Lc + ρ• Lr+ ε • Le + τ • Lth
where
Lc = luminance of the sky & γ = % of sky in the 20° field
Lr = luminance of the road & ρ = % of road
Le = luminance of the surroundings & ε = % of surroundings
Lth = luminance of the threshold zone & τ = % of tunnel entrance
and γ + ρ + ε + τ = 1
In case no measured luminances of the tunnel environment are available the reference data in
Table 6.1 may be used, paying attention to local conditions.

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Table 6.1 Examples of Luminances at Tunnel Portals

Driving Lc (sky) Lr (road) Le (environment)

direction (kcd/m2) (kcd/m2) (kcd/m2)
(Northern Rocks Buildings Snow Meadows
hemisphere)
N 8 3 3 8 15 (V) 2
15 (V)
E-W 12 4 2 6 10 (V) 2
15 (V)
S 16 5 1 4 5 (V) 2
15 (V)
(V) Mountainous country with mainly steep surfaces facing drivers
(H) Flat, more or less horizontal, country
Note: In the southern hemisphere N and S should be interchanged.

In order to prevent the sensation of a black hole and to create minimum luminance conditions
to obtain sufficient visibility of objects in the threshold zone, the luminance of the road in the
threshold zone must reach certain minimum values. These depend on the luminance in the
access zone. In practice it is necessary to distinguish a first half within the threshold zone where
the luminance of the road is constant and called the threshold luminance (Lth).
Lth can be expressed as a fraction k of L20
Lth = k • L20
As the proportion taken by the view of the entrance is a function of the length of the access zone,
the minimum value of k to be complied with also depends on the stopping distance according to
the Table A.1.3.

Table A.1.3. Lth/L20 ratio’s for various speeds

Speed (km/h) k = Lth/L20

<= 60 km/h 0.05
80 km/h 0.06
120 km/h 0.10

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Fig. 6.7 Sky Percentages for Several Configurations

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The total length of the threshold zone must be at least equal to the stopping distance. Over the
first half of the distance, the luminance level must be equal to Lth (the value at the beginning of
the threshold zone). It is recommended that from half the stopping distance onwards, the lighting
level may gradually and linearly decrease (linear scale) to a value, at the end of the threshold
zone, equal to 0.4 Lth. See Fig. 6.8. The gradual reduction over the last half of the threshold
zone may also be in steps. However, the luminance levels should not fall below the values
corresponding to a gradual decrease, as drawn on the figure.

6.5.2 Daytime Luminance in the transition zone (Ltr)

The reduction of the luminance of the road in the transition zone follows, in principle, the curve
shown in Fig. 6.8. The 100% point of this curve coincides with the 40% point at the end of the
threshold zone. The transition zone starts at the end of the threshold zone (t = 0). This curve can
be replaced by a stepped curve with levels that should never fall below the continuous curve.
The maximum luminance ratio permitted on passing from one step to another is 3. The last step
should not be greater than 2 times the interior zone luminance.
As the field of view of the driver is made up by the tunnel interior, a longer transition zone may
be advisable in order to counteract a second black hole effect. For additional driving comfort, in
the case of the stepped curve, the length of the transition zone may, at its end, be extended for
1 to 2 seconds over the length that follows from the CIE-curve.

Fig. 6.8 Luminance Evolution along the Tunnel at Transition Zone

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6.5.3 Daytime luminance in the interior zone (Lin)
The average luminance of the road in the interior zone of the tunnel is given below as a function of
the Stopping Distance (SD) and of the traffic flow. Very long tunnel’s interior zone consists of two
different sub zones. The first sub-zone corresponds to the length which is covered in 30 seconds
and should be illuminated with the "long tunnels" levels. The second sub-zone corresponds to
the remaining length and should be illuminated with the "very long tunnels" levels.

Table 6.2 Luminance values in cd/m² in the interior zone (long tunnels)

Stopping LONG TUNNELS

Distance (m) Traffic flow [vehicles/hour/lane]
Low Heavy
160 m 6 10
60 m 3 6

Table 6.3 Luminance values in cd/m² in the second part of the interior zone (very long tunnels)

Stopping VERY LONG TUNNELS

Distance (m) Traffic flow [vehicles/hour/lane]
Low Heavy
160 m 2.5 4.5
60 m 1 2

For stopping distances lying between the stated figures and intermediate traffic flows (between
low and heavy), linear interpolation may be used.
Traffic flow is defined as the number of vehicles passing a specific point in a stated time in stated
direction(s). In tunnel design, peak hour traffic, vehicles per hour per lane, will be used. Traffic
flow classification used in the previous tables may be defined as follows:

Table 6.4 Traffic Flow Classification

Traffic flow One way traffic Two way traffic

Low < 500 < 100
Heavy > 1500 >400

6.5.4 Daytime Luminance in the exit zone (Lex)

In order to ensure adequate direct illumination of small vehicles and sufficient rear vision via
mirrors, the exit zone should be illuminated in the same way as the interior zone of the Tunnel. In
situations where additional hazards are expected near the exit of the tunnel and in tunnels where
the interior zone is long, it is recommended that the daytime luminance in the exit zone increases
linearly over a length equal to the SD (before the exit portal), from the level of the interior zone
to a level five times that of the interior zone at a distance of 20 m from the exit portal.

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6.5.6 Lighting of the walls and the ceiling in all zones
Tunnel walls form part of the background for the detection of obstacles in the tunnel; they contribute
to the adaptation level and to the visual guidance. Therefore, the luminance of the tunnel walls
is an important component for the quality of the tunnel lighting. The average luminance of the
tunnel walls, up to at least a height of 2 m, must be at least 60% of the average road surface
luminance at the relevant location.

6.5.7 Uniformity of luminance

Good uniformity of luminance must be provided on the road surface and on the walls up to a
height of 2 m. The lower parts of the walls act as a background for traffic, as does the road. So
both must be considered in the same way. A ratio of 0.4 for the minimum to the average value
of luminance on the road surface and on the walls up to 2 m in height in clean conditions of
the tunnel is recommended. A longitudinal uniformity of 0.6 along the centre of each lane is
recommended for the road. Such values of uniformity must be verified for all dimming steps
of the lighting installation. Moreover, in the transition zone, as well as in the second half of the
threshold zone (and in the exit zone if existing), the luminance uniformity shall be calculated
and measured in the central part of each step replacing the continuous variation curve. It is
recommended that the above values shall be reached, independently, on the length of the step.
Note: The values of 0.4 and 0.6 are those corresponding to the values for normal road lighting given in
CIE:115-1995.
Use of reflective paints may also be resorted to improve luminance and reflection characteristics
of the tunnel surfaces.

6.5.8 Glare restriction

• As glare reduces visibility, it is important to minimize it. In tunnel lighting the
physiological(disability) glare has to be considered. Disability glare effects are
quantified by the Threshold Increment (TI) as described in CIE:31-1976 "Glare and
Uniformity in Street Lighting".
• The Threshold Increment (TI) must be less than 15% for the threshold, the transition
and the interior zones of the tunnel at daytime and night-time. For the exit zone during
daytime no restriction is given.

6.6 Night Time Lighting

a) If the tunnel is on a section of an illuminated road, the quality of the lighting inside the
tunnel should be at least equal to the level, uniformities and glare of the access road.
The uniformity at night of tunnels shall fulfil the same requirements as the daytime
lighting.
b) If the tunnel is a part of an unlit road, the average road surface luminance inside
must not be less than 1 cd/m², the overall uniformity at least 40% and the longitudinal
uniformity at least 60%.
c) In case the tunnel is part of an unlit road and the speed of driving is higher than
50 km/h, night-time lighting of the parting zone is recommended:
i) if the night-time lighting level in the tunnel is more than 1 cd/m²;

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ii) if different weather conditions are likely to appear at the entrance and at the exit
of the tunnel.
Road lighting in the parting zone shall be provided over the length of two stopping
distances with road luminance not lower than 1/3 of the night-time luminance in the
interior zone of the tunnel.

6.7 Luminaries Selection

Sr. No. Parameter Requirement

1. Housing High Pressure Die Cast Aluminium
2. Luminaire cover/glass Heat resistant toughened clear glass/UV stabilised
Polycarbonate
3. Luminaire mounting Suitable for Ceiling/Surface/Wall mounted. Cradle
arrangement arrangement should be 360° rotational for better
installation. Vibration dapmper bushing to be
provided to withstand in high traffic movement.
4. Hardware’s/Fasteners Allen Key type Stainless Steel screws to be
provided to protect from theft.
5. Internal Wiring Fire retardant low smoke zero halogen (FRLS-ZH)
6. Ingress Protection (IP) IP 66
7. Mechanical Impact (IK) IK 08
8. System Efficacy (lumen/watt) ≥ 120 Lm/W
9. Optical Assembly High Power Discrete LED’s with individual Lens
designed to optimize application efficiency
10. Lens/Optics Lens should be of Material resistant to de-gradation
during service, due to atmospheric components to
avoid adverse impact on light output.
11. LED Packages High power single chip ceramic base LED package.
Wattage of LED Package should be 1W minimum
to 3W maximum.
12. Operating current of LED < 70% of rated maximum forward current, limited to
(Design) a minimum of 350 mA and maximum of 1000 mA.
13. LED Efficacy >135 Lm/W (at operating current design &Tj =85°C)
14 LED Surface Temperature (Ts) The Solder point Temperature shall be < 85°C at
30°C Ambient Temperature
15. Colour Rendering Index (CRI) ≥70

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16. Colour Temperature (Deg. 5700K ANSI BIN

Kelvin)
17. Working Life for LED (@L70) Minimum 50,000 Burning Hours as per LM-80
(No. of hours) Report
18. Make of LED manufacturer CREE/NICHIA/PHILIPS LUMILED/OSRAM
19. Power Factor ≥0.95
20. Operating Voltage range (Volts) 120 - 270 VAC
21. Input Frequency (Hz) 50
22. Total Harmonic Distortion (%) <10%
23. Surge Protection (kV) external 5KV
to Driver
24. Humidity (% min & max - 10% to 90% RH
Relative humidity)
25. Operating Temperature Range -5 ° To 55 °C
26. Driver Type Constant current 2 stage drivers for above 60W,
Driver should be potted with onboard surge
withstand capacity > 4KV
27. Driver Protection Output Short Circuit, Output Open Circuit, Input
over voltage,
28. Input voltage range 100Vac - 300Vac
29. Input over voltage cut-off > 300Vac
30. Low Input voltage withstand 48Hrs at 100Vac
31. Phase-Phase input (440 Vac) for 8Hrs
withstand
32. LED ripple current < 30% (Ipk/Idc) for < 60W < 10% (Ipk/Idc) for
> 60W
33. Electrical Efficiency > 85%
34. Driver Compliance 1. IS:15885 (Part 2/Sec 13) as per BIS Certificate
2. The Driver should be ROHS compliant.
35. Driver Life class (Br. Hrs.) >15000 Burning Hours

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CHAPTER 7
SAFETY and HEALTH DURING CONSTRUCTION OF TUNNELS

7.1 General
Working in underground structures such as tunnels is an inherently risk-prone activity and the
risk element increases with longer lengths of the tunnels, poor rock conditions, etc. In view of
this there is a responsibility on all stakeholders – owner, consultants and constructor – in tunnel
projects to ensure absolute safety during construction. There is increasing awareness nowadays
of the importance of safety, as well as the broader safety, health & environment (SHE), aspects
of construction. Respects for human lives is the fundamental criterion and there are many side
benefits of ensuring absolute safety such as increased morale, improved productivity, enhanced
prestige, etc.

7.2 Applicable Regulations

The various activities involved in tunnel construction are generally covered by number of codes,
acts and regulations. Some of them are:
a) Indian Explosive Act
b) Mines Act
c) The Explosive Rules
d) Mines Rules
e) IS:4081 –Safety Code for Blasting & Related Drilling Operations
f) IS:4756 – Safety Code for Tunneling Works
All the agencies involved in the construction of tunnels shall ensure that all applicable rules and
regulations are duty complied with in strict conformity with the spirit and body of such regulations.

7.3 Project Safety Plan (PSP)

Since each underground project has its own peculiarities and special features in view of topography,
rock features, etc. it is very essential for each tunnel project to carry on a comprehensive Risk
Analysis of the particular project and evolve a Project Safety Plan (PSP). While the agencies
concerned may adopt the standard provisions of the respective organizations, it is essential to
have a project-specific safety plan, which is fully relevant to the particular site. The PSP shall
prepared by the concerned construction agency and got approved from the Competent Authority.
The PSP shall address all site-specific issues and tackle all the risk elements identified.

7.4 Basic Aspects

7.4.1 Basic Philosophy

For underground construction in rocks a fundamental safety measure would be assess the type
and category of rock and establish its stand-up characteristics. Common practice to divide the
classes of rock from class I to class VI with the high numbers denoting weaker rocks. It is essential
to provide adequate rock supporting measures before the expiry of permissible stand-up time for
the class of rocks involved. Supports should be installed speedily and effectively. The commonly

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adopted supporting measures in increasing order of complexity are rock bolts, shotcrete (with or
without wire mesh, with or without steel fibre/polymer fibre inclusions), steel ribs with concrete
lagging and back-packing/grouting and permanent concrete lining. The most complex supports
are the provision of umbrella tubes along with fore poling and grouting techniques. The size and
shape of the underground installation shall be conductive to safe and smooth operations.
Apart from this all operations connected with the constructions of tunnels shall be analyzed and
appropriate safety precautions taken through the implementation of the PSP.

7.4.2 Over-height Vehicle Management

Management of over-height vehicles is an important consideration for road tunnels. Over-height
vehicle collisions with tunnel structures can have significant consequences and impacts for road
users, road managers and transport providers in relation to road safety, operational risk, vehicle
and infrastructure damage and associated costs. Vehicles may be over-height because of driver
non-compliance with network access restrictions or due to malfunctioning or unsafe set-up of the
vehicle and its load.
Over-height vehicle identification shall be done before approach to the Tunnel Road through
advance warning signs or VMS (Variable Message Sign) as explained in Chapter - 8.

7.4.3 Personal Protective Equipment

All personnel entering the tunnel during construction shall wear all applicable personal protective
Equipment (PPE). The PPE shall comprise, at minimum, Safety Helmet, Safety (Hard) Shoes,
tight clothing with no loose ends and jackets/clothing with reflective strips. Additions PPE such
as goggles, gloves, dust masks, helmet lamps, etc. shall also be adopted wherever conditions
so warrant.

7.4.4 Access Control Systems

A proper access control system should be in place to have a clear idea at all times on the identity
of all personnel who are inside the underground installations in case of any Accident Take Place
and rescue operations are to be launched. It is also essential to keep track of all equipment
inside the tunnel. It is common to issue token to all concerned personnel and make them deposit
the tokens while entering the tunnel and retrieving the same on exiting.

7.4.5 Signage
Well-illuminated sign boards shall be placed at required locations to inform people of safety
hazards inside the tunnel and the precautions to be taken. Some of them would include warning
regarding blasting, rocks falls, requirement for wearing helmets, prohibitions of unauthorized
entry, etc. Complete signage plan shall be designed and implemented as per IRC:SP:55
“Guideline for Traffic Management in Work Zones” in this construction area.

7.4.6 Safety Systems

The Contractor’s personnel shall practice all standards safety systems. These would include
at minimum, safety induction (initial training in basic of safety) and training (routine training)
exercises, medical screening of personnel for working inside tunnels, system of permits for

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simultaneous operations in various locations, pep talks (regular talks to workmen before they
commence work on importance of safety and how necessary it is for them to observe safety
regulations for their own welfare) and tool box talks (specific safety instructions at the site in the
specific area of work for the workmen) talks on specific operations to be carried out on the day,
safety walkabouts (generate safety observance checks carried out by safety stewards by going
around the site and checking observation of the various safety regulations, etc.),safety audits,
safety reviews and mock drills.

7.5 Drilling and Blasting

7.5.1 Drilling Operations

Only wet drilling shall be permitted. Drilling shall not be resumed after blasts have been fired
until a thorough examination has been made by blasting foreman to make sure that there are
no misfired charges, which the drill may strike. Holes shall be of slightly greater diameter than
the diameter of cartridges of explosive used. A drill, pick or bore shall not be inserted in butts of
old holes even if examination fails to disclose explosive. Separate holes shall be so drilled as
to be nowhere less than 30 cm clear distance away from the previous hole. Charging of drilled
holes and drilling shall not be carried out simultaneously in the same area, unless nonel type of
detonators are used and adequate precautions have been taken.

7.5.2 Blasting Operations

Where blasting operations are to be conducted, sufficient warning shall be given to all staff and
workmen prior to blasting. Cell phones are usually prohibited in area where blasting operations
are conducted. Sufficient protective bulkheads, etc. shall be provided to enable personnel to
take shelter behind during blasting.
All explosive shall be handled and used with care either by or under the direction of competent
persons and following the Indian Explosive Act, Explosive Rule and IS:4081: Safety Code for
Blasting and Drilling Operations, Explosive and Detonators shall be placed in separate insulated
carriers whether carried by persons or conveyed mechanically and an attended shall ride with
the explosive being conveyed mechanically on slopes in shafts or in underground work area.
For carrying explosive mechanically, prior permission of chief inspector of explosive shall be
obtained. Insulated containers, used for carrying explosive of detonators shall be approved
manufacturer and shall be provided with suitable non-conductive carrying device, such as
rubber, leather or canvas handle or Explosives and detonators shall be brought to the working
places in separate, tight well insulated containers, and kept n the containers until removed for
placement of drill holes. If drill holes are not ready, they shall be stored on locked box type
magazine located at a safe distance of at least 170 m from the working space. No person
other than a shot firer shall carry any priming cartridges into a shaft, in which the sinking is in
progress. No such cartridge shall be so carried excepts in a thick felt bag or other container
sufficient to protect it from shock.
Electric firing shall be done by an approved method. All drilling equipment and personnel not
engaged on loading shall be removed from the site before loading of holes starts. Loading of a
round shall be completed by the crew starting the work of loading. Firing of round shall be the
responsibility of the blasting foreman. Only clay sticks or pneumatic air locks shall be used for
separation of charge/stemming of the holes.

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Before use each and every electric detonator shall be tested for positive test with the help of an
ohmmeter. Before shot firing the circuit shall be tested for insulation and for continuity. Before a
shot is fired in an underground working place due warning shall be given to persons within 330 m
in all directions and every entrance to the place where a shot is about to be fired be guarded
so as to prevent any person, not having received warning from placing himself in dangerous
proximity to the shot.
In case an exploder is used the revolving handle of the exploder shall be in the custody of the
blasting foreman to prevent anybody else firing the shot when the blasting foreman and other
persons are inside. Stray currents may causes accidents while loading and utmost care shall
be taken in removing all faults from electrical circuits. Electric power, light and other circuits in
the vicinity within 70 m of the loading points shall be switched off after charging the explosive
and before the blasting operations starts. Power supply is to be switched on only after the
blasted area has been properly inspected by the blasting foreman for misfires. All tracks, airlines
and vent pipes shall be kept properly grounded. The heading shall be properly lighted with the
electric floodlights before and after blasting.

7.5.3 Inspection after blasting

Immediately after a blast has been fired, the firing line shall be disconnected from the blasting
machine or other source of power. When at least 5 minutes have passed after the blast was
fired, a careful inspection of the face shall be blaster to determine if all charges have been
exploded, electric blasting misfires shall not be examined for at least 15 minutes after failure to
explode. Other persons shall not be allowed to return to the area of blast until an ALL CLEAR
signal is given by the blasting foreman.
All wires shall be carefully tracked and search made for any exploded cartridge by the Man-
in-Charge of the blasting operation. Sufficient time shall be given for the fumes clear before
permitting the labour to work for mucking operations.

7.5.4 Misfires
Misfired holes shall be dealt with the blaster preferable by the person who had done the charging
operations. If broken wires, faulty connections, or short circuit line reconnected and the charge
fired. This shall be done, however, only after a careful inspection has been made of burdens
remaining in such holes and no hole shall be fired when the burden has been dangerously
weakened by other shots. The charge of explosives from a misfired hole shall not be drilled,
bored or picked out. Misfired charges, lamped with solid material, shall be detonated by a safe
approved method.
The stemming shall be floated by the use of water or air jet from hose until the hole has been
opened to within 60 cm off the charge, and the water shall be pumped out or siphoned off and
the new charge placed and detonated. Whenever this method is not practicable, a new hole shall
be drilled 30 cm deep and spaced not nearer the 60 cm, shall be loaded and detonated. A careful
search shall be made of the unexploded material in the debris of the second charge.

7.5.5 Scaling and Mucking

It is essential to carry out proper scaling operations after each blast to remove all the loose rock
pieces and against rock falls. Many accidents in tunneling rest from rock falls than any other

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cause. Careful and frequent inspection of walls and roofs as well as of tunnel supports shall be
carried out. Thorough scaling of loose rocks at all weak spots is the best preventive against rock
falls. Periodic inspection unsupported sections of the tunnels from a traveling scaling platform
shall be carried out for locating weak spots. Supported section shall also be inspected regularly
to make sure that the weakness of the formation has not spread beyond the support loosened
rock and shall be supported/removed forthwith. All supports shall be checked occasionally to
make sure that there is no member under distress. All scaling platform shall be equipped with
safe ladders.

7.5.6 Installation of Supports

Following the basic philosophy elucidated in the earlier section, design and installation of
appropriate supports within the stand-up time for the particular type of rock is the most important
steps to ensure proper safety for all personnel inside the tunnels. Special watch shall be maintained
for uncontrolled collapse of the face or adjacent areas, sliding in of muck and water, etc.

7.6 Ventilation and Noise Protection

Ventilation shall be carried out in tunnels to make the working space safe for workers by keeping
the air fresh and by eliminating harmful and obnoxious dust, explosive fumes, exhaust from
operating equipment, particularly diesel-operated equipment and other gases. Mechanical
ventilation shall be adopted where necessary to force the air in or exhaust the air out from the
working face to the portal through ducts. Externally located fans operate in forced ventilation
and induced ventilation modes to supply air through rigid or more commonly, flexible ducts.
Intermediate booster fans ensure better supply for longer ducts. Ventilation is also necessary to
ensure temperatures of not more than 4°C dry and 29°C wet at the working place. Ventilation
shall be properly designed considering the tunnel topography and emission levels inside. The
volume of air required generally depends on length of heading, size of tunnel, type and amount
of explosive used, frequency of blasting, and temperature and humidity. Where the temperature
is high or heavy blasting is restored to suitably augmented volume of air shall be provided.
It is important to be alert all the time for the presence of toxic gases in underground works
and appropriate instrumentations should be provided to keep track of the ambient air quality
at all the times. Proper records should be maintained of specific measurements of air quality
at regular intervals throughout the day after blasts or major rock falls. Particularly after each
basting for underground rock excavation, the ventilation measures should be set in place quickly
and effectively for de-fuming and personnel should be allowed to enter only after establishing
that the air quality is sufficiently acceptable. In certain regions geothermal conditions prevail and
cooled air should be supplied to enable safe and comfortable working conditions. In any case
appropriate well designed ventilation system should be put in place to ensure proper ambient
conditions.
Air Quality Testing : The test shall be carried out once every 24 hour but in any case after every
blast or a major rock fall. In case any of the gases are detected to have crossed the threshold value
indicated therein. The workman shall be withdrawn immediately till the percentage is brought down
well below the threshold value by the improving the ventilation or by other effective measures.
Apart from ventilation, noise and Eye protection is another factor which is problematic in underground
work. Sufficient steps shall be taken to reduce the noise levels to acceptable limits and workman

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and visitors shall be asked to wear ear plugs made from a slow expending polyurethane material
with high attenuation of (noise reduction rating) NRR 33 dB or more conforming to IS:9167.
Earmuff with dielectric coated stainless-steel headband & high attenuator of NRR 30 dB or more
conforming to IS:9167 shall be used . Eye protection should be optical class1 google type sealing
and covering both eyes made of virgin polycarbonate material, confirming to IS:5983 and ANSI
Z87:2010 with Z87+ marking ensuring highest impact resistance type.

7.7 Lighting
Adequate lighting shall be provided at the face and at any other point where work is in progress
and at equipment installation such as pumps, fans and transformers a minimum of 50 lux shall
be provided at tunnel and shaft headings during drilling mucking and scaling. When mucking
is done by typing wagons running on trolled tracks a minimum of 30 lux shall be provided for
efficient and safe working. The lighting in general in any area inside the tunnel or outside an
approach road, etc. shall not be less than 10 lux.
Emergency lights (battery operated) shall be installed at the working faces and an intervals
along the tunnel to help escape of workmen in case of accidents. A supervisors and gang-mates
shall be provided with can lamps or hand torches. It shall be ensured that at least on cap lamp
or hand torch is provided for every batch of 10 peoples. Any obstruction, such as drill carriages,
other jumbos and drilling and mucking zones in the tunnel shall be well lighted. Hand lamps shall
be equipped with strong cover of glass or other transparent material, dust and waterproof, and
equipped with a strong guard over the cover. The exterior of all hand lamps sockets shall be
non-metallic.

7.8 Communications System

7.8.1 Warning Signs and Notice Boards

Irrespective of length and bends in the tunnel, arrangements shall be made for transmitting of
warning signals by any one of the following means: (a) By electrical operated bells, operated
by battery/dry cells with the bell placed outside the tunnel and the position of the switch shifting
with the progress of the tunneling work. The position of the operating switch although temporary
shall be so chosen as to ensure proper accessibility and easy identification. (b) By the use of
field (magnet type) telephone for tunnel lengths up to 100 m, only one of the systems mentioned
above may be adequate whereas in tunnels of length more than 100 m at least two systems shall
be installed with the wires running along opposite sides of the tunnel, if practicable.

7.8.2 Telephone System

A telephone system shall be provided to ensure positive and quick method of communication
between all control locations inside tunnel and portal of the tunnel.

7.8.3 CCTV and VMS

Closed Circuit TVs are often developed to keep continuous watch on underground installations
from the Control Room on top.
VMS shall be installed for live monitoring of air quality inside the tunnel, provide warning of any
incidents/accidents occurring in the tunnel and the messages can be flashed on VMS.

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7.9 Protection against Fire

7.9.1 General
All combustible materials like rubbish shall be continuously removed from such areas where
flammable liquids are stored, handled and processed. All spills of flammable liquids shall be
cleared up immediately. Containers of flammable liquids shall be tightly capped. All waste and
combustible rubbish shall be removed at least daily from the tunnel.

7.9.2 Fire System

Fire incidence detection systems should be able to detect the fire very early in its development
and also accurately locate the position of the fire. The degree of accuracy depends on the type of
active fire safety system that may be installed in the tunnel. It is recommended that fire-fighting
equipment such as hydrants, hose reels and extinguishers are strategically located within the
tunnel. Fire extinguishers and fire-buckets appropriate to the hazard shall be conveniently
located and identified.

7.9.3 Electrical Installations

The electrical installations should be carefully designed and executed and regular tests should
be carried out to ensure safe conditions and emergency cut-off procedures. Electricity leakage
monitoring systems should be in place.
All parts of the electrical installation shall have all conductors and contact areas of adequate
current carrying capacity and characteristics for the work they may be called upon to do and all
joints in conductors shall be properly soldered or otherwise efficiently made. They shall be so
constructed, installed and maintained as to prevent danger of fire, external exposition and electric
shocks, be of adequate mechanical strength to withstand working conditions underground, be not
liable to be damaged by water, dust or electrical, thermal or chemical actions, to which they may
be subjected, be efficiently insulated or have all bare live parts enclosed or otherwise protected,
and be installed at such a location that dumpers or wagons do not come in contact with the same.
On the occurrence of a fire caused by any electrical apparatus or a fire liable to affect any electrical
installation: the supply of electricity should be cut off from such apparatus or installation as soon
as practicable, and the fire shall be attacked and reported to the nearest available supervisor.
As far as practicable, combustible material shall not be used in the construction of any room or
recesses containing electrical apparatus. Flammable material shall be stored in rooms, recesses
or compartments containing electrical apparatus.
Adequate fire extinguishing equipment suitable for use on live parts shall be keep ready for
immediate use in or near any room, recess or compartment containing such parts as will be
readily accessible safely for use in case of emergency. This equipment shall be inspected at
least once in a month.

7.10 Housekeeping

7.10.1 General
Only the materials required for work in progress shall be kept inside the tunnel. All other materials
shall be removed from inside the tunnel. Sufficient width of the formation and even as possible
and without any obstacles shall be created to enable the workers to get out of the tunnel quickly

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in case there is any collapse or any other mishap inside the tunnel.

7.10.2 Traffic control

Transport of Material: Vehicles carrying pipe, rail and timber shall be properly loaded for safe
passage through the tunnel. The load shall be kept within the side limits for the vehicle as loads
projecting over the sides are dangerous to men working in the tunnel for transportation of wide
loads special care shall be ensured in the operation of the vehicles with prior warning to the
workmen along the tunnel to ensure a safe journey.
Transport of Employees: a safe and smooth walkway system shall be provided for employees,
suitable separated from vehicular roads by guard railing. For transportation of employees by
vehicles proper safety precautions shall be taken. Proper signages plan for Construction Work
zone should be planned as per IRC:SP:55 "Guidelines on Traffic Management in Work Zones".

7.10.3 Pipes and Cables

All water and air pipes as well as electrical cable shall be arranged along the sides of the tunnel,
duty supported at regular intervals and in a systematic and neat fashion.

7.10.4 Water Control

Sudden water ingress can be catastrophic situation in certain underground area and emergency
dewatering systems should be in place to tackle such situations.
Many times water seepage is encountered in underground excavations. Prima facie this is not
a dangerous indication by itself. It is an indication of fissures in the rock and presence of water
steams nearby, which have to be kept in watch. Excessive ingress of water can give rise to
unstable conditions and has to be carefully monitored. Also, for good working conditions inside
underground enclosures dewatering to remove the excessive inflow is essential.
A study of boring data and geological formations shall be made to have an indication of locations,
where water can be expected. Water inflow may be reduced or even entirely stopped by grouting
of the wet seams. A wet area covering more than single seams shall be sealed off by installing
a suitable section of concrete lining. In case of a steady flow of water from the roof or side of
the tunnel the flow shall be defected down the sides to stumps by metal shields. The number
of pumps provided at site shall be 50 percent need, or at least one number, whichever is more.
In case of steeply inclined tunnels steps shall be provided for quick exit in case of failure of
haulage. Gutters and sups shall be kept clean. Suitable arrangements shall be made to indicate
the position of sumps in case tunnel invert is flooded.

7.11 Emergency Management System

An emergency management plan shall be part of the approved project safety plan and shall be
well communicated to all working personnel and well displayed at the site. Emergency recuse
measures should be drawn up to take care of various possible contingencies. It would also be
advisable to provide safe rooms in deep installations where people can take shelter for few
hours in case of an emergency.
Buried large diameter pipe lines leading to outside can be provided to offer a medium for
communication and feeding in air supply in case of any collapses and blockages of the entrance
to underground installations.

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CHAPTER 8
TRAFFIC CONTROL AND ROAD SAFETY DEVICES

8.1 General
Traffic Control and Communication Devices becomes essential to ensure the safety of tunnel
users and personnel employed in tunnel operation and maintenance work. To achieve the safety
level, the traffic management and tunnel communications systems shall be fully integrated with
the operation of the systems installed to monitor and control the tunnel environment. Tunnel
operating system shall be integrated with the standard signaling and communication systems
of the adjoining carriageway of the road network. Traffic control plays an integral part in the
preparation of emergency plans for the tunnel. The traffic control and communication devices
should consider the need for surveillance, variable message sign, regulation and warning signs
with respect to traffic safety, optimum traffic flow, traffic regulation in the event of emergency,
tunnel closure measures and environmental and safety aspects.
Based on the frequency of traffic incidents such as accidents involving persons, fire in automobiles,
accidents with material damage and vehicles stops in emergency situations on carriageway or
lay-bys (if present) decides the need for traffic regulating equipment or automatic detection of
traffic incidents. The main types of traffic control systems are of two types presented as below.
1. Electronically programmed measures such as VMS, CCTV, lane management system
etc. which are operated by the operator in the control centre, or from control panels
located at the site of the tunnel.
2. Traffic signages which regulate traffic or warn road users based on the traffic and
road situation.
Traffic Control Device and Communication Devices shall comprise of road markings, road signs,
object hazard markers, studs, delineators, attenuators, safety barriers, pedestrian guard rails,
Variable Message Sign (VMS) etc. Guidelines given in IRC:8, IRC:25, IRC:26, IRC:35, IRC:67,
IRC:79, IRC:103, IRC:SP:55, IRC:SP:85 and Section 800 of MoRTH Specifications shall be
used for providing these items unless otherwise specified in this Section.

8.2 Road Markings

Road markings perform an important function of guiding and controlling traffic on a carriageway.
The markings serve as a psychological barrier and thus help to signify the delineation of traffic
path and its lateral clearance from traffic hazard facilitating safe movement. Road markings
therefore, indispensable to ensure smooth and orderly flow of traffic and for promoting road
safety.
The road markings also helps to provide a clear orientation for drivers with respect to the approach
of the tunnel as well as inside the road tunnel. Inside the tunnel, it is essential to provide a
clear demarcation between the road and sidewalk/wall of tunnel/hazard objects etc. This can
be achieved with the help of road markings in combination with retro-reflecting elements and
Reflective Pavement Marker (RPM).

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Road markings shall be of hot applied thermoplastic materials with glass reflectorizing beads
and design and Specifications shall be as per IRC:35 "Code of Practice for Road Markings" and
Clause 803 of “Specification for Road and Bridge Works”
a) Thermoplastic Markings: is the most commonly used pavement marking material
on roadways and is a mixture of plasticizer and resins that serves to hold all of the
other ingredients together. The thermoplastics hot applied in molten states adheres
to pavement and get solidified immediately at the ambient temperature.
Thermoplastic markings possess fast drying time and are highly durable. It has better
retro-reflective performance and service life than that of ordinary road marking paint.
The service life of one application of thermoplastic can be up to 2 to 3 years, depending
on traffic volumes.
The quality of thermoplastic application shall be ensured by testing actual samples
by random selection during application time to avoid any possible deception in the
quality of materials used. Since the legibility of road marking is important inside the
tunnel, the minimum performance level indicated in relevant code and Specification
for road marking shall be ensured and any shortage shall invite reapplication of road
marking.
b) Solvent borne and Water borne Road Marking Paints
Road marking paints are oldest form of pavement marking materials. It can be used
for longitudinal line application in temporary work zone markings and also for those
markings which are required for a very shorter period and can be removed thereafter
easily.
The solvent based, and water based are the two types of road marking paints. Water-
based paint is environmentally friendly and is easier to handle compared to solvent-
based paints and pose less safety hazards to workers. The road surface painted with
water based paints can be opened to traffic quicker than the road surface painted with
solvent based paints.
c) Cold Applied Plastics
For coloured pavement marking, the cold applied plastic is a better choice than road
marking paints and thermoplastic materials. Cold applied plastics are the best means
to provide audible raised pavement marking for edge lines.
Cold applied plastic is more durable than the thermoplastic markings in retaining the
original colour and luminance values. It can be applied to the surface in a variety of
ways with a superior finishing and has no need of large application equipment and
can be easily carried in a medium sized van and a trailer.
d) Performed Adhesive Tapes
Performed taped are available in continuous rolls of various lengths and widths,
conforming to ASTM D 4592-12 that is designed to provide service life of 3 to 6 months
depending upon the wear and durability factor. Unlike road marking with sprayed
or extruded materials, the performed tapes do not require application equipment or
experienced operators for applications and do not require drying or curing period.
The provision of performed taped would entail high initial cost than the other forms of
road marking application but would offer more service life in locations with high traffic

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volumes and are suitable for those locations that require frequent replacement of
pavement markings.
Performed taped are also used for Object Marking and also for transverse lines in
high-traffic areas.
Pavement markings are broadly classified into following seven categories based on
the placement of markings with regard to vehicular movement and also based on the
function of the markings.
i) Longitudinal Marking (LM)
ii) Transverse Marking (TM)
iii) Hazard Marking (HM)
iv) Block Marking (BM)
v) Arrow Marking (AM)
vi) Directional Marking (DM)
vii) Facility Marking (FM)
The pavement markings are accordingly abbreviated and provided in IRC:35 with
details and dimensions along with colour pattern etc.

8.2.1 Longitudinal Markings

The longitudinal markings are generally provided along the traffic movement. The broken lines,
single/double continuous lines and continuity lines are classified under Longitudinal Marking.
The purpose of longitudinal marking is to navigate the driver for forward movements and to
prohibit overtaking manoeuvring at certain hazardous locations. In a multi-lane road, the lane
boundary established by longitudinal marking really guide to avoid side swipe and head on
collision accidents.
The edge line from the tunnel approach shall continue within the tunnel also. Centre line also
shall be single/double continuous line at location where the forward visibility distance is less
than the design speed whether at tunnel approach or within tunnel. No-overtaking line shall be
established by following the procedure laid out for no-overtaking centre line in IRC:35. In case of
an overtaking section in a two lane bi-directional tunnel, it shall be provided as given in Fig. 8.1.

Fig. 8.1 No Overtaking Marking within Tunnel

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The continuous longitudinal marking in yellow colour is to signify that the marking provided is
strictly prohibitive in nature and not to be straddled by the vehicles, which can be considered for
tunnel approach.
The specifications of longitudinal marking such as; type, length of line segment, length of gap,
width, colour, pattern and its applications are to be referred from IRC:35 “Code of Practice for
Road Markings”.

8.2.2 Transverse Markings

The markings provided across the carriageway for traffic control with broken lines, single/double
continuous lines such as Stop Marking, and Give Way Marking are classified under Transverse
marking, which shall be marked at cross road to restrict the entry and exit from tunnel cross roads.
The transverse marking establishes the traffic control, with the intention to prevent crashes and
therefore, its compliance is vital. The transverse marking shall always be accompanied with
corresponding sign.
The specifications of transverse marking such as; type, length of line segment, length of gap,
width, colour, pattern and its applications are to be referred from IRC:35 “Code of Practice for
Road Markings”.

8.2.3 Hazard Marking

The pavement marking that facilitating traffic merging/diverging, prohibiting to cross-over and to
deflect the traffic ahead of hazardous situations, generally done with like chevron and diagonal
marking, hatch marking and prohibitory marking and such markings are classified under Hazard
Marking.
If the width of trafficable paved surfaced on tunnel approach is more than that within the tunnel,
surplus paved surface would be misleading and could be misused, which should be prevented
by pavement marking as shown in Fig. 8.2.

Fig. 8.2 Hazard Marking for Tunnel Approach

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The specifications of hazard marking such as; type, longitudinal width, diagonal/chevron width,
space, colour, pattern and its applications are to be referred from IRC:35 “Code of Practice for
Road Markings”.

8.2.4 Arrow Marking

The arrows painted on carriageway are meant to give direction for driver to take mandatorily
and are classified under Arrow Marking. The lanes within the tunnel shall be provided with arrow
marking at regular interval. The specifications of arrow marking such as; type, length, width,
colour, pattern and its applications are to be referred from IRC:35 “Code of Practice for Road
Markings”.

8.2.5 Directional Marking

The word message which are directional nature are classified under Directional marking.
The specifications of directional marking such as; type, width, height, colour, pattern and its
applications are to be referred from IRC:35 “Code of Practice for Road Markings”.

8.2.6 Emergency Lay-Bys

Emergency Lay-Bys shall be provided in tunnel with more than 1000 m. The Emergency lay-by
marking shall be provided with proper chevron marking and with advance informatory signs.

8.3 Reflective Pavement Markers (Road Studs)

The Reflective Pavement Markers (RRPM) i.e. road studs shall be provided to improve the
visibility in night time and wet weather conditions. These shall be made of polycarbonate or ABS
moulded body and Reflective Lenses shall be moulded of methyl methacrylate confirming to
ASTM D 788 or equivalent, capable of providing total internal reflection of the light entering the
lens face and shall support compressive strength of minimum 13635 kg tested in accordance
to ASTM D 4280 with hard abrasion-resistant lense surface. The reflective area of 13 sq. cm on
each side and the slope to the base shall be 35+/- 5 degree. The manufacturer shall mandatorily
submit an independent test laboratory test certificate of having tested the raised pavement marker
lens for visual observation and co-efficient of luminous intensity as per MoRTH Specifications
Section 800, Table 800-13. The Table 8.1 presents the warrants for providing road studs in
two lane tunnel Road and the priorities to be followed along with placement details shall be as
per IRC:35. The colour pattern of road studs for edge line and centre line with respect traffic
movement is depicted in Fig. 8.3.

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Table 8.1 Warrants for Road Studs

Spacing
S. Centre line/ Location &
Description of section Length Edge
No. Traffic Lane Colour
Line
Line
1 Straight section Straight section 9m 9m
Curve
section with
2 6m 6m
radii upto
Curve length
Horizontal 450 m Red-White Bi-
including
curves Curve directional on
transition length
section with shoulder side &
3 9m 9m
radii more Yellow-Yellow
than 450 m Bi- directional
Vertical curves, on Centre line
including 120 m of No overtaking
4 Vertical curves 6m 6m
warning length portions and
on either side White- white
Length of no- Bidirectional for
5 6m 6m centre-line of
overtaking zone.
Warning Length normal reaches
Sections of Tunnel where
of 120 m on
overtaking prohibited
6 either side of 9m 9m
No-overtaking
section
Alternatively, Solar Powered Road Markers are more effective and draw attention of drivers and
shall be provided at locations like at approach and exit of the tunnel.

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Fig. 8.3 Road Studs for Bi-directional Road

8.4 Road Signs

8.4.1 The three types of road signs viz., mandatory/regulatory signs, cautionary/warning
signs and informatory signs shall be provided as given in IRC:67 and Section 800 of MoRTH
Specifications. Proper signs shall be provided for main carriageways approaching to the tunnel,
inside the tunnel and other facilities. Clustering and proliferation of road signs shall be avoided
for enhancing their effectiveness.
8.4.2 There shall be corresponding road markings with stop signs, give way signs, merging
or diverging traffic signs, lane closed signs, road narrowing signs, slip roads/diversion signs,
compulsory keep left/right signs, or any other signs as per IRC:67.
8.4.3 All road signs of tunnel approach shall be of Prismatic Grade Sheeting corresponding
to Class C, Type XI Sheeting described in IRC:67 as per ASTM D 4956 fixed over Aluminium or
Aluminium Composite Material. All the cautionary signs, chevron signs and information signs in
low visible area shall be of Type XI Fluorescent Yellow sheeting which contribute to exceptional
visibility and conspicuity. It is observed that the luminance contrast of fluorescent targets increases
significantly relative to non-fluorescent targets under heavily overcast and rainy conditions.
8.4.4 Signs inside tunnels shall be made of best performing retro-reflective sheeting as
per ASTM D4956, Class-C, Type XI micro prismatic sheeting and be internally or externally
permanently illuminated to give optimum conspicuity both in day and in night-time conditions.
8.4.5 At approach roads to tunnel, shoulder mounted signs shall be supported on GI or
MS pipes, overhead signs shall be placed on a structurally sound gantry or cantilever structure
made of GI or MS pipes. Its height, lateral and vertical clearance for installation shall be as per

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the guidance provided in IRC:67 and also as per MoRTH Specifications.
8.4.6 The road sign, traffic signal or any other device erected for traffic control, traffic
guidance and or traffic information shall not obscure other traffic sign. Further, the signs and
signals shall not carry any advertisement.
8.4.7 Wherever the Tunnel Road alignment is on a curve, there shall be advance cautionary
signs for sharp curves and chevron signs (rectangular in shape with retro-reflective fluorescent
yellow background and black arrow) at the outer edge of the curve. The sign for the curve ahead
particularly in mountainous and steep terrain shall always be accompanied with chevron signs
at the outer edge of the curve and appropriate delineation. Following guidance shall be adopted
while installing curve signs:
i) The curves with radii upto 450 m shall be provided with curves warning sign in
advance of hazard and single Chevrons on outer edge of curve. Chevron signs
shall be always placed on outer edge of the curve and spaced uniformly for the
length covering transition length and the straight portion as given in IRC:67 as
per Table 8.2.
Table 8.2 Spacing of Single Chevron Signs

Curve Radius(m) Distance between Single Chevron Signs(m)

on Curve, including Transition Portion
50 15
100 20
200 30
300 45
400 60
500 70
>500 80
ii) The curves with radii 451 m to 750 m shall be installed with single Chevrons on
outer edge of curve at 75 m spacing
iii) The curves with radii 751 m to 1200 m with deflection angle greater than 20
degree shall be provided with single Chevron signs on outer edge of curve at 80
m spacing
iv) For curves with radii 751 m to 1200 m with deflection angle less than 20 degree
and also curves with radii from 1201 to 2000 m shall be provided with forgiving
type delineator posts at 40 m spacing on outer edge of curves. Fig. 8.4 presents
the positioning of chevron signs and also the object hazard markers with respect
to traffic movement.
v) At critical curve and at locations where space is a constraint for providing chevron
signs, retroreflective sheeting of Type IV Aluminimum Backed Flexible Prismatic
sheeting with black and yellow arrow shall be used.

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Fig. 8.4 Curve Delineation for Two Lane Approach Road of Tunnel

8.4.8 Direction Information Sign

Advance Direction Sign as per IRC:67 along with the VMS as per IRC:SP:85 shall be provided
in advance, of entry and junction of the tunnel.

8.4.9 Facility Information at approach road and exit of Tunnel

Roadside facility information sign shall be provided wherever necessary like for Eating place,
Filling station, Police station and Hospitals

8.4.10 Prohibitory Signs

Required prohibitory sign shall be placed prohibiting the entry of certain movements like No
Overtaking, No Parking and No Standing in Tunnel road.

8.4.11 Pedestrian Signs

Pedestrians guide rails shall be provided to streamline them into safe pedestrian way. Pedestrian
guard rail shall be forgiving type.
8.4.12 Table 8.3 Presents the road signages specific to Tunnel roads.

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Table 8.3 Road Signages specific to Tunnel Roads

As recommended in IRC:67 following signs Overtaking Prohibited –

shall be used in Tunnels: every 500 m in the case
Tunnel Ahead of tunnels longer than
1000 m.

U-Turn Prohibited

Dipped Headlights
Axle Load Limit

Vehicle Prohibition –
prohibiting entry of vehicles
carrying dangerous goods.
Height Limit Sign

Emergency Exit in Tunnel

Width Limit Sign

Proposed Signs
Emergency telephone
(informatory Sign)

Load Limit

Fire Extinguisher
(Informatory Sign)

Length Limit Sign

Lay-bys/SoS Sign

Speed Limit at every 500

m, in the case of tunnels
longer than 1000 m. Information on Length of
the tunnel

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8.4.13 Height Barriers
Height barriers are obligatory in all tunnel categories. These barriers are not required, however,
when bridges or other constructions on the road network leading to the tunnel have the necessary
constraining effect. Height barriers shall be solidly constructed such that any vehicle coming into
contact with it will be aware of this. Height barrier ahead information sign shall be provided to
caution the driver about the presence of the physical infrastructure ahead of them.

8.5 Road Delineators

These are roadway indicators, hazard markers and object markers as given in IRC:79.

8.5.1 Roadway Indicators

Ellipsoidal or Circular Mild steel Posts or with thermoplastic body of 1.0 m height with white retro-
reflective band of Type XI sheeting as per criteria, placement and spacing given in IRC:79 shall
be provided. Roadway Indicators shall be provided on valley side.
8.5.2 Hazard Markers shall be provided as given in IRC:67. In addition, the objects close to
the road shall be treated with Type XI retro-reflective sheeting with black and yellow stripes.
8.5.3 In addition the kerbs in the medians/traffic islands shall be painted with black and
white stripes using the paint conforming to IS:164. The objects within traffic way or protruding
into bituminous surface either in carriageway or paved shoulder or in edge strip shall be treated
with Retro Reflective Aluminium backed Flexible Prismatic sheeting of Type VI conforming to
ASTM:D 4956 with alternate yellow and black color whereas the object that are not in the traffic
way yet adjacent to traffic way shall be treated with alternate black and white paint or retro-
reflective material as depicted in IRC:35.

8.6 Lane Messages/Lane Dedicated Signs (LDS)/Lane Use Management System

(LUMS)
Lane Messages are light signal displayed with symbols are shown in Fig. 8.5. Red diagonal
cross, yellow diagonal arrow (left/right) and green vertical (downward) arrow are provided in
Lane Dedicated Signs/Lane Messages/Lane Signals.

Fig. 8.5 Lane Message/Lane Dedicated Signs/Lane Use Management System

Lane signals/messages in tunnels are used to indicate exceptional use of lanes in one-way
tunnels. The signals may be used to close a lane in the event of an accident, to operate two-way
traffic in the tunnel, or in connection with highway maintenance. Under normal traffic conditions

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the signals will be off or will be presenting the normal traffic direction in green arrows. The
signals are placed above each lane and inform the road user whether he/she may use that lane
(green arrow) or not (red cross). The blinking yellow arrow shall indicate that the lane is closed
ahead and that road users shall move into the indicated lane at the first opportunity.

8.7 VMS System Design

All Tunnel road shall have (Variable message Sign) VMS, (Variable Speed limit) VSL and (Lane
Control Sign) LCS
Variable Message Signs are used as part of motorway traveller information system to provide
real-time dynamic information to motorists on downstream traffic conditions and travel time
information to support informed route choices. VMS are particularly important in advance of
tunnel environments to provide warning of any incidents, congestion or other events occurring
in the tunnel and to facilitate tunnel closure management. In tunnel environments smaller VMS
(2m X 2m or 2m X 1m), referred to as Tunnel Message Signs (TMS)are required due to the
constrained vertical clearance of the tunnel environment. TMS typically only provide one line of
text and are used to support traffic management as well as to provide critical fire and life safety
messages during tunnel incidents/closures. (Fig. 8.6)
VMS on tunnel approaches provide advance warning to motorists of downstream conditions
within the tunnel. They should be located before key decision points to facilitate traffic moving
into diversion routes and prevent traffic from entering a tunnel during an incident.
VMS should be provided, as a minimum:
• Before the last decision point before a tunnel diversion route, positioned at a sufficient
distance upstream to provide adequate warning to motorists and enable safe diversion
to traffic.
• At the tunnel portal, directly above the entrance.

Fig. 8.6 VMS and LDS location on Tunnel Roads

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8.8 Tunnel Closure Management
Tunnel closure management requires a variety of smart motorway elements working together to
prevent vehicles from entering a tunnel while minimising the safety and operational impacts on
the surrounding road network as a result of the closure.
Tunnel closures may be required for a variety of reasons such as:
i) During an emergency (e.g. Flood, fire etc.) or traffic incident within the tunnel.
ii) During periods of tunnel maintenance.
iii) At times when congestion may threaten to overload a tunnel’s ventilation system.
iv) When an over-height vehicle fails to divert from the motorway before the tunnel.
Traffic management requirements for tunnel closure management include:
i) Detecting and verifying tunnel incidents and their location.
ii) Stopping and diverting traffic at locations in advance of a tunnel.
iii) Alerting approaching motorists to the need to stop, divert or to other changing
conditions.
iv) Closing carriageway lanes approaching a tunnel (for a partial or complete closure)
v) Closing motorway entry ramps on approaching to the tunnel.
vi) Altering lane configurations to enable motorists to use a diversion or turn-around
facility.
vii) Managing motorists’ speeds on approach to and throughout the closure.
viii) Reopening the closed carriageway lanes and entry ramps at the conclusion of a
tunnel closure and implementing higher speed limits (as appropriate for operational
conditions).
iv) Allowing motorway operators to monitor traffic conditions and tunnel closure
management systems.

8.9 Median Openings

A median opening may be used to provide access for emergency services or tunnel incident
operators and to provide a diversion facility for traffic stopped at the tunnel portal during tunnel
closures. From a fire and safety perspective, the median opening should preferably be located
between the boom gate and the tunnel portal. This allows emergency services to approach
a tunnel from the non-incident carriageway and cross over via the median opening, avoiding
vehicles stopped at the tunnel closure stopping point. Median opening should be located at
a sufficient distance from the tunnel portals to allow a suitable staging and parking area for
emergency services during incidents and to preserve road user safety when there is a fire or
other emergency in the tunnel.
Moveable medians and in-pavement lights are typically installed at more advanced locations
upstream of the tunnel and are used to modify lane configurations and facilitate diversion of traffic
off the motorway (eg. onto an exit ramp) during closures. They are typically remote controlled
and activated by operators when a lane or the tunnel is closed.

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CHAPTER 9
OPERATION AND MAINTENANCE

9.1 Introduction
The overall aim of operation and maintenance of a road tunnel shall be to maintain a specified
level of safety for the road users, with an optimal level of expenditure and without adverse
environmental effect. Decisions at the design stage as regards the tunnel geometry, tunnel shape,
maintenance access, type and extent of the plant and equipment installed, and their configuration
in operation, have a significant bearing on the overall Operation and Maintenance aspects.
Therefore, the maintenance shall be planned and performed in such a way that the operational
assumptions made at the design stage remain validated throughout the long operational life of
the road tunnel. The Operation and Maintenance activities of the road tunnel shall be planned to
achieve the following objectives:
a) Safety of the road users
b) Ensuring free flow of traffic
c) Operational economy
d) Dealing with abnormal situations
Normal tunnel operation shall provide for maintenance of the structure, equipment and
installations, manning of control rooms, inspection and examination of vehicles. The operating
manuals for various activities, plants and equipment, overall maintenance schedules shall be
prepared in detail by the construction agency/tunnel authorityand shall be made available to
the operating staff. The overall scheme shall make provision for the periodical replacement
and improvement of equipment and installations, maintaining appropriate stock of spare parts
and special tools. Actions for imparting training to operating staff, updating of techniques and
updating of O&M Manuals shall be taken from time to time.
Preparation for dealing with accidents and abnormalities which have a greater impact for tunnel
due to the confined space and restricted access as compared to road in open area shall be
given special importance. Abnormal operational situations call for a command structure to deal
with the situation and deployment of rescue vehicles, ambulance, signal system, communication
facilities and firefighting equipment.

9.2 Operation and Maintenance Functions/Activities

Operation and maintenance of tunnels involve following functions/activities:
a) Traffic related functions
These include control and supervision of traffic and operation of system for ventilation
and lighting, signal systems, access control systems, which are generally having
automatic controls and are controlled from control room which should be located as
close to portals as pragmatically possible. In case of small tunnels without Supervisory
Control and Data Acquisition, SCADA controlled systems such a control room is not
required. Even though the operations might be automatically controlled, the control
room shall be manned by trained personnel. Maintenance of smooth traffic flow and

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taking quick remedial actions in case of any accident shall be the responsibility of
operations staff so as to prevent potential panics as space inside the tunnel is confined.
Such remedial actions should be carried in cooperation with local administration
b) Maintenance of tunnel:
All operational and maintenance tasks carried out, both planned and unforeseen,
shall be documented with the aid of an appropriate registration programme for
management, operation and maintenance. This should be able to verify the standard
noted and any deviation from the required standards. The documentation may also
be used to verify the need for internal control. If, exceptionally, a manual control
system is used, a signature should be obtained to confirm that the task has been duly
carried out.
The systematic use of an administrative computer-based programme will enable
experience to be registered such that at any given time the tunnel operator/tunnel
authority will be able to initiate measures for more efficient maintenance. The use
of this programme will enable all technical data relating to the individual tunnel to be
registered along with technical diagrams and descriptions of all equipment used.
Maintenance of tunnel covers preventive maintenance as well as corrective
maintenance as enumerated below:
• Preventive maintenance is the one which keeps the systems in a good and
safe condition preventing an operational breakdown. Preventive maintenance is
safer, more effective and more economic than maintenance based on repairing
faults or damage. Without preventive maintenance, the systems could become
unsafe and/or could only be brought back to a safe condition at high cost. The
preventive maintenance of tunnel covers routine periodic-based maintenance
as well as condition-based maintenance.
The periodic-based maintenance is normally calendar based or operation time
based maintenance which can be easily planned and ensures safe and optimum
performance of the facility without surprise failures. The routine periodic-based
maintenance includes maintenance of permanent fixtures, lining, portals, washing
and cleaning of tunnel interiors, drains and drainage system, painting, cleaning
and replacement of consumable parts such as lamps, filters and batteries, etc.
This shall be weekly, monthly, quarterly etc., the periods are determined by what
is normal for the individual routines. Generally, operational-based maintenance
is based upon the same principles as calendar-based routines, although the
time interval will vary according to the time that equipment is used.
The condition-based maintenance, arising from the results of routine inspections,
covers major/minor repairs. Routine inspections by trained personnel shall be
carried out to identify these items and actions shall be taken to carry out repairs
with all due safety precautions. The condition-based maintenance includes
renewal and repair "of structural components, road surfacing, road signs and
other fixtures.
• Even with preventive maintenance components will be subject to malfunction
or damage may be due to accident. In such situation Corrective maintenance
needs to be resort which involves carrying out maintenance measures after

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an operational breakdown or an accident has occurred. Although preventive
maintenance is generally preferable, in some cases parts of the installation may
be maintained on the basis of corrective maintenance i.e. the parts in question
are not maintained, but replaced after expiry of service life or when a defect
arises. Planning is difficult in corrective maintenance since the same is taken up
after systems have become critical or failed.
The Fig. 9.1 illustrates the different type of planned maintenance.

Fig. 9.1 Types of Planned Maintenance

c) Maintenance of plant and equipment:

This includes keeping all operational devices in proper condition by carrying out time
to time repairs by scheduled maintenance and tests, replacing faulty parts, electric
fittings etc. Periodic maintenance schedule shall be prepared for lighting, signalling,
communication, emergency and monitoring equipment. Complex equipment need
proper and special maintenance. Care shall be taken right from the design stage
to ensure that the equipment shall be so selected that the necessity for specialist
agencies is minimized and it shall be possible to change the maintenance agencies
as and when required.
d) Incidence and Emergencies Management:
Necessity for Incidence and Emergencies Management arises due to various types of
incidences likely to be met with in road tunnel. A common event is a vehicle accident
or breakdown which causes a degree of lane blockage. Prompt remedial actions

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shall be taken to restore free flow of traffic thereby minimizing congestion conditions
that in themselves can aggravate the risk of further breakdowns. Another situation
involving collision is possible fire or explosion which is potentially more dangerous
for tunnel users, and which requires rapid response from emergency services. The
various types of incidences likely to be met in road tunnels are listed below:
i) Vehicle related incidence:
• Fire in tunnel
• Vehicle accident
• Vehicle breakdown
• Debris on the road
• Over dimensioned vehicle getting stuck
• Overloaded slow moving vehicles
• Chemical spillage
ii) Non-Vehicle related incidence:
• Light failure
• Ventilation failure
• Power failure
• Leakages inside Tunnel
• Telephone out of order
• Pedestrians on carriageway
• Animals in tunnel
iii) Weather hazards:
• Fog
• High winds
• Dazzle from the Sun particularly for East - West alignment
• Flood
• Snow
iv) Human hazards: (vehicle occupants, operator and emergency service
staff)
• Panic under stress
• Lack of knowledge (procedures, equipment, location, etc.)
• Disregard towards instructions and advice
• Jamming communication channels
• Injury during rescue
• Vandalism
• Terrorist activity
The strategies for dealing with the various incidences shall be decided taking
into consideration available resources, procedures laid down in the manuals and
communications requirements of the various parties involved and the needs of the
road user. Response strategies shall, deal with the initial occurrence of a situation

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and also with any resulting developments, as for example, a breakdown in a tunnel
may lead to initial local queuing which may further lead to traffic jam on the road for
long duration.
e) Tunnel Users
Those whoever uses the tunnel for commuting are termed as Tunnel Users. Any static
or variable message systems shall provide clear indications to inform the tunnel users
of congestion, breakdown, accident, fire or any other hazards at or near the tunnel.
Also, it needs to give cautionary information to the users such as height limit of the
vehicle, speed limit, length and width of the tunnel etc. Education and training of truck
and car drivers shall be conducted for specific situations which can arise in break-
downs, traffic jams, accidents and fires in tunnels and how to deal in those situations
and the correct behaviour for tunnel users shall be pointed out.
f) Emergency Parking Provision
Emergency lay-bys enable parking outside of the carriageway in the case of
emergency. If necessary, an area close to the tunnel portals shall be provided for the
parking of police and emergency service vehicles and equipment when attending a
tunnel incident.
g) Emergency Lighting
There are various light sources that are used in tunnels to make up the tunnel lighting
systems. These include fluorescent, high-pressure sodium, low-pressure sodium,
metal halide and pipe lighting, which is a system that may use one of the preceding
light source types. Systems are chosen based on their life-cycle costs and the amount
of light that is required for nighttime and daytime illumination. Shorter tunnels will
require less daytime lighting due to the effect of light entering the portals on both
ends, whereas longer tunnels will require extensive lighting for both nighttime and
daytime conditions. In conjunction with the lighting system, a highly reflective surface
on the walls and ceiling, such as tile or metal panels, may be used.
h) Emergency Power System
Emergency power system consists of the electrical equipment, wiring, conduit, and
cable used for providing electrical power in case of utility service failure. Equipment
included in this system consists of emergency generators or Uninterruptible Power
Supply (UPS) systems, transfer switches and other equipment supplying emergency
power. Ascertain the ability of the emergency power system to operate when the
normal power fails, by disabling the normal power supply (i.e., the supply that supplies
any transfer switch or other means of transferring loads) and operating the emergency
system with selected emergency loads for a sufficient period to evaluate its condition.
i) Emergency Escape Route
Emergency Escape Route Lighting is used to direct road users towards the exits in
smoke-filled tunnels. The lights are automatically turned on when a fire extinguisher
is removed or when alarm is given from the fire control base. The lights are mounted
1.0 m above the carriageway, on one side at intervals of approximately 60 m. In
curves the lights shall be placed such that the next one can be observed. The output
shall be approximately 1800 lumen (Lm) and a colour temperature of approximately
3700 degree Celsius (4000 degrees Kelvin (K)).

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j) Fire Protection and Extinguishers
The inspection of the fire protection system should include the following items:
i) Review the maintenance/inception records for the system and note any unusual
maintenance issues.
ii) Note the physical condition of the fire protection system in the tunnel and tunnel
support areas. This will include the fire extinguishers, hose connections, pumping
systems, piping, circulating pumps and hose reels.
iii) Note the physical condition of the fire protection storage tanks, alarms and level
switches.
iv) Check fire control panel for faulty detectors, signals and wiring.
k) Tunnel Fire Safety
A tunnel fire is an immense disaster. Safeguarding people’s lives means installing
and maintaining escape and evacuation routes. Fire damage to a tunnel always
has enormous financial consequences. Ofcourse, the repair costs are huge, but the
economic effects on the surrounding infrastructure are even larger. Tunnels have
been out of order for months (and in some instances years) after a fire. The fire can
be mitigated by installing and maintaining escape and evacuation routes.
• Escape & evacuation routes required
• Smoke extraction
• Directional signs
• Fire and smoke resistant safe havens
• Construction integrity
• Compartmentation
• Integrity of technical installations so that light and communications services
remain functional
Economic damage can be prevented by-
• Enhancing the fire resistance of the structure
• Air supply systems
• Smoke extract duct systems
• The provision of fire and smoke resistant safe havens in long tunnels
• Active and Passive detection systems
• Fire extinguishing systems

9.2.1 Fire Safety Applications in Tunnels

1) Air Duct Application in Tunnels:

Most of the deaths in tunnel fires are because of smoke inhalation. Temperature of
the fire may exceed 1100°C. Toxic gasses such as carbon monoxide and hydrogen
cyanide cause rapid death or loss of co-ordination. Restricted vision makes escaping
the tunnel difficult as disorientation will occur.

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The air ducts shall be protected from fire exposure by cladding the ducts with material
tested for 2 hours stability, integrity and insulation as per ISO:6944 with flexible
non-asbestos wrap system of minimum 96kg/m3 density, 38 mm thick and R-value
0.89 m°K/W consisting of inorganic fiber blanket. The Fire Barrier Duct Wrap shall
confirm to ASTM E 814, ASTM E119, Non-combustibility to ASTM E 136, Durable to
ASTM C 518 and IECC Requirements.

2) Cable Duct Application in Tunnels:

The modern tunnel building industry applies an increasing amount of electrical cables
within a tunnel, in order to create safety and better circumstances for the tunnel users.
Circuit integrity needs to be safeguarded during fire for the following services -
• Electrically operated fire alarms
• Emergency escape route lighting
• Electrically operated extinguishing systems
• Smoke extraction vent systems
• Power supply for fire service elevators
• Fresh air supply
• Signalling systems
• Lighting
Building a fire-resistant box around them can protect cables and cable trays. A suitably
designed fire barrier will-
• Prevent the propagation of fire
• Maintain escape routes
• Continue the operation of services
• Reduce damage
These cables and cable trays can be wrapped with endothermic blankets when exposed
to high temperatures, releases chemically-bound water to cool the outer surfaces of
the wrap material and significantly retard heat transfer as per ASTM E 119, should
provide up to 3 hour fire protection for electrical circuit applications in accordance with
ASTM E 1725 and should provide protection against large hydrocarbon pool fires in
accordance with ASTM E 1529 (UL 1709)
3) Fire Stopping Application in Tunnels:
The walls, floors and ceilings of these compartments are penetrated by many
technical services such as ventilation systems, cable trays and pipes. A penetration
seal solution for electric cables should be done by sealing the penetration gaps with
elastomeric intumescent composite sheet of minimum 7.62 mm thick and density of
13.4 kg/m with 28-gauge galvanized steel on one side with intumescent latex fire
sealant tested for 2 hours as per ASTM E 814 and UL 1479.
4) Fire Stopping in Expansion Joint in Tunnels
The expansion joints in tunnels were used as part of the system of fire-resistant
movement joints covering the tunnel omega profiles. The expansion joints in the

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fire rated assemblies can be achieved using a self-adhered firestop tape 0.25 mm
thick that should provide a tough, elastomeric coating compatible to a wide variety of
substrates even to damp surfaces. The system should have a compression/extension
recovery of minimum +/- 50 percent of joint width (movement capabilities) as per
ASTM E1966, ASTM E2837 and should act as a barrier to fire, heat, smoke, water
leakage and airborne sound transmission minimum STC 54 as per ASTM E90/ASTM
E413 and ASTM E1966 (UL 2079).

9.3 Organization for Operation and Maintenance

9.3.1 The authority responsible for operation and maintenance of the road on which
tunnel/s is constructed shall establish a separate organizational structure for operation and
maintenance of the tunnel/s. The operational organization shall be responsible for the operation
and maintenance, fire fighting and rescue procedures, as well as traffic control operation. The
Operational Organization shall also be responsible for preparing and updating Procedures,
Manuals, Specifications, etc.
9.3.2 The structure of the operational organization depends on several factors, of which the
most important are:
• Type and extent of technical equipment in the tunnel,
• Extent of automatic surveillance and alarms deployed,
• Traffic flow details,
• Geographical location,
• Magnitude of the tasks to be carried out
9.3.3 The tasks required to be handled by the operational organization are:
• Surveillance Tasks:
These involve surveillance for events that normally result in the alerting of police,
fire or rescue services. Tunnel personnel along with other agencies like police, fire
brigade etc. deals with these tasks. CCTV (Closed Circuit Television) surveillance
is only applicable to tunnels with a high capacity usage throughout much of the day
such that those incidents requiring traffic regulation measures may be immediately
and efficiently recognized and where queues and possible incidents arise. CCTV
surveillance necessitates links to a traffic control centre.
• Operational Tasks:
The tunnel personnel or an agency carries out these tasks, which can be planned in
advance such as cleaning, washing, sweeping etc.
• Preventive Maintenance Tasks:
These tasks are carried out by the tunnel personnel or an agency, and can be planned,
in detail, in advance.
• Corrective Maintenance Tasks:
These tasks cannot be planned in advance. However, the procedures to be followed
in the event of failure or damage must be planned for.

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• Fire Brigade:
In case of an accident occurs inside a tunnel, the information of the same should
reach the fire brigade, police, medical emergency unit and tunnel operators, with the
help of the detectors, sensors, cameras or via telephone message. The fire aspects
of the incident are the responsibility of the dire brigade under the control of the most
senior fire officer present. Tunnel equipment should be operated by tunnel personnel,
if available, who are familiar with the tunnel and its plant, under the direction of the
police or fire incident officer, as appropriate.
• Ambulance Service:
Ambulance Service shall provide a link between medical emergency teams working
at the scene of an incident and the hospitals who would receive any injured. The
ambulance service can also be linked with the nearby toll plaza or the control unit of
tunnel.
• Inspection:
The monitoring of the level of risk for the tunnel operation is performed within the
Evaluation/Inspection process. The information collected through the inspection
process is forwarded to a decision making process that aims to identify the type of
intervention required for improving the safety level of the tunnel operation. The types
of intervention into the operation of the tunnel could be institutional, organizational
or operational. The objectives of the evaluation and decision making processes is
to enable the tunnel safety management system to continuously evolve towards
improved level of safety taking into account:
• Its current performance
• The technological progress
• The expected operational conditions of the tunnel (e.g. Expected demand)

9.4 Documentation
In order to achieve the appropriate standards for the operation and maintenance of tunnels, it is
essential that the operating manuals for equipment, maintenance schedules etc. shall be prepared
and shall be readily available for reference of the concern staff of the operational organization in
digital as well as in hard copy. The Manuals shall contain procedures to address a whole range
of scenarios. Each procedure shall contain a number of instructions to be undertaken, each of
which initiates an action in one of the manuals. The individual manuals might cover the following
aspects:
i) Administration Manual:
The administration manual contains personnel registers including the competence,
skills and training records for individuals. It shall clearly define staff responsibilities. It
shall also describe the whole financial system and the budget
ii) Inventory Manual:
It is essential that the operator is fully familiar with the equipment and systems
installed in the tunnel, their location and performance characteristics within the tunnel
engineering framework. For that purpose, an Inventory Manual shall be prepared
which shall include a complete list of equipment (type, quantity, etc.) with all the
necessary information, including relevant drawings and geographical information.

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It shall also contain information on spare parts (e.g. supplier/producer with contact
details, equipment/spare part descriptions and identifying codes, etc.), the location
where these spares are stored if already procured, etc. It shall also have details of
how these spare parts are to be changed, their life period, etc.
iii) Technical Operation Manual:
This manual shall describe how different tunnel equipment and systems are used
in normal operation, the capabilities of equipment and the actions to be undertaken
in specific situations. The instructions for the operation of all the equipment shall be
available and shall be entered in the technical operation manual. If these instructions
do not exist, they shall be prepared by experienced personnel. Threshold levels
shall be set for each of equipment according to local regulation and experience for
operating the system.
iv) Traffic Manual:
This manual shall include all the procedures and instructions that are applicable
to traffic situations occurring during normal, congested, incident and emergency
operations including schemes and procedure for traffic diversion. For instance, if a
collision is detected in the tunnel, the operator must close the tunnel or divert the
traffic to other tube in case of twin tube tunnel. Police, fire fighting and ambulance
services shall be informed according to the emergency plan. Detailed emergency
instructions for the operator shall be included in the traffic manual which shall be got
approved from the appropriate authorities.
v) Maintenance and Inspection Manual:
This Manual shall give instructions for the maintenance of the whole tunnel structure
and all the equipment, including the individual components of the different systems.
The instructions for the maintenance and inspection of tunnel structure and all the
equipment shall be available in the maintenance and inspection manual. The manual
shall also list the regulations that apply to maintenance work, like for instance:
• During hours with heavy traffic;
• If nuisance is caused to others (e.g. acceptable noise levels during the night
hours, smoke and dust regulations etc);
• Night time work;
• Traffic regulations; etc.
vi) Safety Manual
This Manual shall include all the procedures and instructions that are to be followed
in operation and maintenance of tunnel.

9.5 Safety Requirements

9.5.1 Tunnel maintenance activities both planned and unplanned shall be carried out by
proper traffic management. The tunnel shall be equipped in such a way that as many maintenance
operations as possible can be carried out off-site in workshop or other places where it is not
necessary to interference with traffic flow in any way. To plan maintenance and operation that
affect vehicle traffic, as these may be cause of accidents involving user of the tunnel or the
workers operating the maintenance equipment, certain precautions as enumerated below shall
be taken for safety of traffic as well as maintenance staff.

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• Maintenance staff working in the tunnel shall be protected from errant vehicles entering
into the tunnel. For that purpose warning signs shall be posted at appropriate location
and one driving lane shall be closed completely by barriers and providing proper
warning signage/signals well in advance for safety of coming traffic.
• The closer of lane shall be indicated before the road enters tunnel. Variable messages,
traffic signs, barriers shall be used for the purpose.
• In twin tube tunnel one tube can be closed -for maintenance while temporarily
bi-direction at flow allowed in other tube.

9.5.2 Safety equipment that shall be readily available in Tunnel are listed below:
Supervision and Alarm Equipment:
• CCTV
• IDS (Incident Detection System)
• Emergency Telephones
• Fire Alarms
• Automatic Fire Detectors
• Instruments for Measuring Visibility
• Instruments for Measuring Gas Concentrations
• Sensors for Doors, Alarm Boxes
• Devices for Detecting Vehicle Height
• Emergency Power UPS
Escape Routes and Communication:
• Emergency Doors
• Radio Transmission
• Communication Equipment Public Address System
• Escape Route Signs
• Smoke-Free Escape Routes
• Emergency Lighting
• Variable Message Signs
Traffic regulation equipment
• Lane Signals
• Variable Text Signs
• Barriers
• Emergency Road Sign
• Cautionary Sign
• Warning Sign
• Prohibitory Sign
• Informatory Sign
Fire Fighting Equipment:
• Hand-operated Fire Extinguishers
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• Fire Hydrants
• Water Reservoir
• Fire-Hose Coil with Supply
• Sprinkler (if Used)
• Closed Drainage System
• Fire Engines (if Owned)
The tunnel manager shall compile safety documentation for each tunnel and keep it
permanently up-to-date. He shall provide a copy of the safety documentation to the
safety officer. The safety documentation shall describe the preventive and safeguard
measures needed to ensure the safety of users, taking into amount people with
reduced mobility and disables people, the nature of the route, the configuration of
the structure, its surroundings, the nature of the traffic and the scope of action by the
emergency services.
i) In particular, the safety documentation for a tunnel at the design stage shall include:
• A description of the planned structure and access to it, together with the plans
necessary for understanding its design and anticipated operating arrangements.
• A traffic forecast study specifying and justifying the conditions expected for the
transport of dangerous goods, together with the risk analysis.
• A specific hazard investigation describing possible accidents which clearly affect
safety of road users in tunnels which might occur during the operating stage
and the nature and magnitude of their possible consequences; this investigation
must specify and substantiate measures for reducing the likelihood of accidents
and their consequences.
• An opinion on safety from an expert or organization specializing in this field,
which could be the Inspection Entity.
ii) The safety documentation for a tunnel which is at the commissioning stage shall
include in addition to the documentation required at the design stage:
• A description of the organization, human and material resources and instructions
specified by the Tunnel Manager to ensure operation and maintenance of the
tunnel
• An emergency response plan drawn up jointly with the emergency services
which also takes into account people with reduced mobility and disabled people
• A description of the system of permanent feedback of experience through which
significant incidents and accidents can be recorded and analyzed.
iii) The safety documentation for a tunnel which is in operation shall include in addition
to the documentation required at the commissioning stage:
• A report and analysis on significant incidents and accidents, which have taken
place since the entry into force of this Directive,
• A list of the safety exercises carried out and an analysis of the lessons learned
from them.
Depending upon the traffic volume and length of the tunnel, the tunnels are classified into various
types from AA, A, B, C and D. As per the category of the tunnel, the safety and fire prevention

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equipment are provided. Fig. 9.2 presents the tunnel category and Table 9.1 presents the
provisions for safety and fire prevention equipment.

PCU

Fig. 9.2 Classification of Tunnels based on PCU and Length of Tunnel

Table 9.1 Safety Equipment and Fire Prevention Equipment in Tunnel

Emergency Classification AA A B C D Remarks
Facilities
Information Emergency M M M M M Omitted in Class D tunnels
alarm telephone less than 200 m in Length
equipment Pushbutton M M M M
type information
equipment
Fire detector M M Omitted in tunnel without
ventilation system board
Emergency Tunnel M M M M M Can be omitted in tunnels
alarm equipment entrance less than 200 m in Length
information
In- tunnel M O To be installed in Class A
information tunnels 3,000 m or more in
board length

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Emergency Classification AA A B C D Remarks

Facilities
Fire Fighting Fire Extinguisher M M M M M
Equipment Fire Hose M M O To be installed in Class B
tunnels 1,000 m or more in
length
Escape and Guide board Emergency exit To be installed in tunnels with evacuation adits
Guidance Sign/Lamp
Equipment Guide board To be installed in tunnels with evacuation adits
Emergency exit To be installed in tunnels with evacuation adits
direction board
Guide board M M M To be installed in tunnels
without evacuation adits
Road Signs M M M M M Adequate signboard to be
placed
VMS (Variable M M M M O
Message Sign)
Other Hydrant M M O • To be provided in Class
Equipment B tunnels 1,000 m or
more in length.

• T unnels equipped with

hydrants are to be
provided with water
supply ports near the
entrance.
Radio Coaxial cables M O To be provided in Class A
communication tunnels 3,000 m or more in
auxiliary length
equipment
Entrance/exit M M
telephone
Radio interrupt M O To be provided in Class A
rebroadcasting function tunnels 3,000 m or more in
equipment provided length.
Cell phone M M M M M To be provided
connectivity
Loud speaker To be provided in tunnels equipped with a radio
equipment rebroadcasting equipment (with un-interruption
function)
Water sprinkler M O To be provided in Class A
system tunnels 3,000 m or more in
length, and serviced in two
way traffic.
CCTV M O To be provided in Class A
tunnels 3,000 m or more in
length

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Emergency Classification AA A B C D Remarks

Facilities
Lighting To be provided in tunnels 200 m or more in length.
equipment for All urban tunnels
power failure
Emergency Independent To be provided in tunnels 500 m or more in length.
Power supply power plant
equipment
Non-failure To be provided in tunnels 200 m or more in length.
power supply
equipment
M – Mandatory
O – Provision determined by local requirements.

9.6 Additional safety considerations

Depending upon the importance of the tunnel, length of the tunnel some restrictions and additional
facilities as enumerated below shall be considered.

9.6.1 Restrictions on tunnel use

Restrictions may be imposed from safety considerations on type of traffic permitted to use a
road tunnel. In long tunnel pedestrian, cycles, two wheelers, animal drawn vehicles shall not be
permitted, provided alternative routes are made available for such slow moving traffic. Similarly
transportation of high levels of dangerous goods may be prohibited entirely or for certain period
of time or can be permitted only with escort. Such escort operations shall be thoroughly planned
in close co-operation with other organizations like fire, traffic police departments.

9.6.2 Speed limits

For safety reasons speed limit within road tunnel may be imposed taking into consideration
geometric design of the tunnel. Generally, speed within tunnel is marginally lower as compared
to speed on open road.

9.6.3 Separate service tunnel

A separate service tunnel, adjacent to the traffic tunnels could be considered at design stage only,
provided land is available and additional cost can be incurred. This additional tunnel provides
access for maintenance without requiring tunnel closure. This service tunnel can be used as
escape passage during an emergency. Also during construction stage this tunnel is used as pilot
tunnel and for ground treatment. During operation stage this tunnel can be used for dewatering,
ventilation and for placing service cabling and other operating equipment.

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9.7 Information Leaflets: Case Study
The European Union has developed an information leaflets, on how to behave it tunnels in
case of on emergency. The same has been incorporated below with few changes as per the
Indian heterogeneous traffic conditions. In the education and training of truck and car drivers, the
specific situation arising in break-down, traffic jams, accidents and fires in tunnels shall be dealt
with particularly, and the correct behaviours for tunnel users shall be pointed out.
Toll Plaza/Toll Booth approaching to the tunnel shall provide information (Fig. 9.3)

Fig. 9.3

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Annexure – A
(Clause-1.4)

TERMINOLOGY

Advance: Length by which 'Working Face' of a tunnel under construction is advanced in one
‘work cycle' also termed as 'Pull' for 'Drill and Blast' method.
Adit: A tunnel driven from the surface to create additional working faces for the main tunnel or
for access, ventilation, or emergency evacuation.
Cover: The perpendicular distance to nearest ground surface from periphery of the tunnel.
Cut & Cover: A method of construction wherein a duct is constructed in 'Open/Approach Cut'
and then covered with selected backfill.
Defuming: The operation of exhausting obnoxious fumes due to blasting from the tunnel face to
enable safe approach to the face for commencement of further activities.
Drift: A near horizontal tunnel of a small cross-section and short length driven either from surface
or from underground face for exploration or any purpose.
Drill Jumbo: Equipment on which one or more drill booms are mounted to facilitate faster
deployment of the drills.
Drilling Pattern: An arrangement showing location, direction and depth of the blast holes to be
drilled into the face of tunnel.
Egress: A small parallel tunnel/passage or adit leading to outside open space for emergency
escape of people.
Forepole : Steel rods/sections, pointed boards or pipes driven in the roof ahead of the face prior
to excavation. Grouted pipe fore-poles are used as Spiles.
Full face excavation: Excavation of the face of tunnel carried out in one operation instead of by
‘Heading and Benching’ or 'Multi-drifting'.
Heading and Benching: Tunnelling method in which ‘Heading’ i.e. the top section(generally up
to around springing level) is excavated first, followed by 'Benching' i.e. removal of lower portion.
Minimum Excavation Line: The line within which no unexcavated material of any kind is
permitted to remain. This line could vary along the length of the tunnel depending upon strata.
Mucking: The operation of removal of excavated material and haulage for disposal.
Niche: Local widening of tunnel over a short length.
Open/Approach Cut: Excavation open to sky to gain access to 'Tunnel Portal'.
Probe Holes: Holes of suitable diameter and length drilled into the face or around the tunnel for
assessment of the strata.

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Rock bolt: An untensioned or tensioned linear reinforcement element installed in holes drilled
into the rock mass.
Scaling: An operation to remove all loose/potentially unstable fragments of rock from the blasted
surface.
Shaft: A linear well like excavation/structure, usually vertical but may be at angles up to 60° from
vertical.
Shotcrete: Plain or Fiber Reinforced Concrete (with small size aggregates) shot i.e.sprayed on
any surface.
Squeezing Rock: A type of rock mass condition in which the rock mass has time dependent
plastic deformation when exposed.
Stand-up-Time: Time duration for which newly exposed periphery of a tunnel is able to stand on
its own without exhibiting significant deformation/distress.
Tunnel Lining: Concrete, Shotcrete or any other material installed over exposed excavated
tunnel periphery.
Tunnel Support: Shotcrete, Steel ribs,Girders, Rock bolts/anchors or Tunnel lining placed to
support the excavated periphery of a tunnel.
Work Cycle: Sequence of operations to be carried out for each 'advance'.
Working Face: Blind end inside a tunnel from where next ‘working cycle’ starts.

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ANNEXURE – B
(Clause-2.2)

ASSESSMENT OF FUNCTIONAL REQUIREMENTS

1. Length of Tunnel: The length of the tunnel depends on the final selected alignment
and has major ramifications on the configuration of the tunnel systems. Functional requirements
based on length of Tunnel are tabulated as Table 1.
2. Traffic Study: The starting point of planning for a road tunnel is Traffic study which
identifies the volume and nature of traffic likely to be generated over design life of the connecting
road network of which the tunnel is part. The study must include the fleet composition including
vehicle emission characteristics, Design Speeds and Peak hour traffic volume to design the
ventilation system. The outcome of the traffic study helps decide the following:-
a) Configuration of Tunnel System. Parallel Unidirectional tubes or Bidirectional
tunnel may be decided based on design traffic volumes and length of tunnel. For
low volume traffic roads less than 1500 m length, bi-directional two lane cross-
section may be adopted. For roads with projected traffic volume exceeding
10,000 vehicles per day per lane, unidirectional twin tube tunnels shall be
adopted with number of lanes as per volume of projected traffic. In case of
twin tube tunnels the clear distance between the tubes are not standardized,
because influence between two tubes depends on each geological condition
and construction method. However, past examples so that many tunnels have
adopted the distance of 30 m between centres of both tubes. However if geology
condition is good, shorter distance between two tubes can be preferable and
shall be decided by detailed analysis of their structural interaction with each
other (Pillar width analysis).
b) Width of Tube. Width of the tunnel tube is based on number of traffic lanes
required, number and width of the footpaths, walkways, kerbs, crash barriers
and drains. In case of bidirectional traffic a minimum of 4 m width of each
carriageway lane is to be ensured.
c) Vertical Clearance. Vertical Clearance is based on maximum height of
envisaged vehicles. Minimum 5.5 m above carriageway and 2 m above footpath
to be given.
d) Ventilation. Ventilation design including construction ventilation based on
expected emission and risk of fire inside tunnel.
e) Footpath. Minimum width of footpath will be kept as 1.5 m with railing. Two
footpaths (one each side) to be catered per tunnel tube. One of the footpaths in
each tunnel tube will be raised from the road level by minimum 900 mm so that
it can be used as inspection path. This will be the one which is away from cross
passage. Sketch as per Annexure B-1.
3. Geometrics of the Tunnel. The geometry of the tunnel is a very important aspect
of tunnel design. The main objective of road tunnel design is to ensure safe transit of traffic for
which the facility is designed, at least cost. The safety of traffic depends upon the geometrics

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of tunnel i.e. its cross section, gradients and curvature. Generally, a tunnel shall maintain the
same geometrical standards as on the adjoining carriageways in the open air outside the tunnel.
Where geometry is confined, such restriction shall commence at least 150 m from the entrance
of the tunnel along with speed restrictions. The vertical and horizontal curves will be governed
by following stipulations:-
a) Vertical Alignment: The gradient along the tunnel length shall be very gentle.
Steep gradient affects traffic capacity, resulting in additional emission by vehicles
and makes ventilation more difficult. The tunnel gradients be limited to 4 percent
in short tunnels and to around 3 percent if length exceeds 500 m. Where steeper
gradients become necessary, the design of the ventilation system shall be done
taking into consideration the effect of steep gradients and possible incidences of
fire. A high point somewhere in the tunnel shall be provided for efficient drainage
of seepage water.
b) Horizontal Alignment: The straight alignment is generally preferred. Tunnel
alignment at the ends and open/approach cuts shall merge smoothly with
adjoining road in open air. In case of twin tube tunnel, crossing of central median
shall be planned at suitable locations at approaches of both tunnels so as to
allow emergency services to gain immediate access to either tube and also to
send back diverted traffic to proper traffic lanes.
4. Finished Cross Section of the Tunnel Tubes: A template based on required width
and required minimum vertical clearance should be evolved. Any signage, ventilation equipment,
lighting equipment or other appurtenances should be plotted along this template. Once such a
template is properly populated with all elements the functional finished cross section of a tunnel
is calculated ensuring minimum excavation requirement. Generally, multi radius arched shapes
are found to be most efficient, however, circular excavation may be required for poor geological
conditions. A guideline for evolving such a cross section is given at Sketch below.

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LEGEND FOR SYMBOLS USED IN SKETCH 1 (ABOVE)

Symbol Particulars Unit Dimensions

A Traffic Lane Width mm As per design
B Pavement Thickness Type and thickness as per design
requirements
C Pavement camber % Around 2 percent
D Edge strip width mm Minimum 500 for Running tunnels
and 1000 for cross passages
E Crash barrier width mm Type and dimensions as
indicated or as per design
F Drain wall thickness mm As per design
G Drain floor thickness mm As per design
H Drain waterway Depth mm As per design
I Footpath/walkway slab thickness mm As per design
J Railing height mm Min 900
K Width of median mm 500
L Radius of Roof arch mm As per design
M Radius of Roof arch mm As per design

5. Cross Passages: Cross passages where applicable will be provided at every 500 m
spacing along the length of the tunnel. These cross passages will be as per Annexure-B-1.
6. Road Markings: For long tunnels the distance traversed shall be suitably marked
so that motorists are aware of distance covered and remaining distance. This is especially
useful in times of emergencies to give people a clear idea of distances involved in both the
directions for fast egress.
7. Drainage system in Tunnels: Tunnels should be provided with drainage system
such that seepage water is trapped and drained out of portals through a main drain located
under the footpath or carriageway of the tunnel as per Annexure B-1. The carriageway itself
should be provided with suitable camber/cross-fall to facilitate drainage into the side drains.
In long tunnels where a high point along vertical alignment cannot ensure effective drainage,
suitable sumps and pumping arrangements will be catered. In order to trap rainwater from
hill slopes and prevent it from flowing into the approach cuts and the tunnel, suitable catch
water drains shall be provided above the top of sides of the open/approach cuts and above
excavated portals.
8. Dimensional Templates: Where tunnel cross sections of especially small
dimensions are adopted due to various constraints, dimensional templates shall be erected
outside the portals at the point of entry so that vehicles larger than the permitted size cannot
enter. Such templates shall be suitably strengthened to resist impact from over-dimensioned
vehicles without getting damaged, but at the same time not unduly stiff so as to damage the
vehicles excessively.

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Table 1 Functional/Safety Requirements Based on Length of Tunnels
(Ref. Chapter 2 Annexure B)

Classification Single Tube Bi-Directional Double Tube Uni-Directional

of Tunnel
CP Vent Light Comm Fire CP Vent Light Comm Fire
Safety Safety
Short - - Yes - - - - Yes
upto 500 m
Medium - Yes Yes Yes Yes Yes Yes Yes Yes Yes
500 -1500 m
Long tunnel NA NA NA NA NA Yes Yes Yes Yes Yes
> 1500 m

(Also refer. Table 9.2)

Fire safety - Fire extinguisher at spacing of 100 m
Communication - Telephone at spacing about 100 m
Lighting - All Urban Tunnels and for tunnels longer than 100 m in Non-Urban areas.
Cross Passages - Cross passages where applicable, will be provided at 500 m spacing

Note 1:-
In case of long tunnels, provision of refuge to park at least 6 vehicles along the length of tunnel
with one-lane width, proper informatory signs, transitions and line of sight shall be planned at
opposite side of each cross passage.
Note 2:-
In case of twin tube tunnels, each tunnel tube with uni-directional traffic, cross passages connecting
the two tubes shall be planned at a spacing of about 500 m. In the event of an incident/accident
in one of the tubes, the other tube shall be used as an escape and rescue route by diverting the
traffic through cross passages to the extreme right lane of the other tube, so as to clear the tunnel
in case of emergencies.
Note 3:-
For installation of facilities in expressway tunnels refer "Guidelines for Expressways Volume-ll:
Design"

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ANNEXURE – B-1

CROSS PASSAGE/INSPECTION PATH/SUB-SURFACE DRAINAGE

1. 2-Lane bi-directional single Tunnel without Egress Tunnel

Plan View

2. 2-Lane uni-directional twin Tunnel with Evacuation Connection Tunnel

Criteria of adaption of Evacuation Connection Tunnel:
Tunnel length >= 500m
Plan View

H, R = As per design/functional requirement

3. Raised Inspection Path: It is designed after taking into consideration of Tunnel
length, traffic volume, Inspection path ratio etc. In general, following category of tunnel are
equipped with raised inspection path (900 mm height);
*Unidirectional Tunnel with Category “AA” & “A”.
*Bi-directional Tunnel with Category “AA”, “A” & “B”.

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Raised Inspection Path (TYP)

4. Lowered Inspection Path:

Sidewalk cum Inspection Path No Sidewalk, only Inspection Path

Traffic lane Traffic lane

Side Walk cum

Inspection path Inspection path

5. Drainage for surface and sub-surface water

a) Surface drainage system
• The purpose is to collect water from passing vehicles, water sprinkler system, or
cleaning water of lining wall by maintenance machine (dirty water)
• It is better to separate surface water drainage system from sub-surface drainage
system

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• Circular type of drain is typically used, with diameter 200 mm in general
• In a tunnel where water sprinkler system is installed, the diameter of drainage
may be 300 mm to 400 mm

b) Sub-surface drainage system

Cross section
• To collect seeped underground water from around Tunnel tube, and drain it
outside the tunnel
• To drain water in base course and to ensure durability of pavement

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Note: Dimensions shown in above figures are indicative. To be provided as per design/functional
requirement.

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Annexure – C
(Clause -2.3)

GEOPHYSICAL INVESTIGATIONS

Modern major construction is inconceivable without high-level engineering explorations, which

play a major role in increasing the economic efficiency of capital investments. For the design
of structures it is indispensable to procure comprehensive high-quality information about the
subsurface, within very short periods. The study of diverse natural conditions predetermines a
variety of methods and technical means which can be used for carrying out exploratory work.
Most of the times, while working on tunnels, caverns and other underground projects, decision
makers are working with limited and imperfect information. Engineering geophysics is an efficient
means of subsurface investigation to fill in the information gaps and provide a complimentary
source of information to enhance our understanding of subsurface conditions. The merit of
application of this low cost aid lies in its ease of deployment and rapidity in providing a reliable
knowledge of the underground over a large area, substantiating the requisite geotechnical
evaluation studies thereby.
Technological advancements and development of portable digital data acquisition instrument
systems have increased the versatility in evaluating underground conditions and site
characterization. The state-of-the-art subsurface geophysical investigations are helpful towards
minimizing & optimizing involvement of the conventional direct exploration methods, aiding
in accelerated and economical development of the underground construction projects. The
investigations also play a key role in quality checks of construction and non-destructive health
checks during entire life cycle of tunnels, caverns and other underground projects.
Geophysical tests are indirect methods of exploration in which changes in certain physical
characteristics such as magnetism, density, electrical resistivity, elasticity, or a combination of
these are used as an aid in developing subsurface information. Geophysical methods provide an
expeditious and economical means of supplementing information obtained by direct exploratory
methods, such as borings, test pits and in-situ testing; identifying local anomalies that might not
be identified by other methods of exploration; and defining strata boundaries between widely
spaced borings for more realistic prediction of subsurface profiles.
Typical uses of geophysical tests include determination of the top of bedrock, the rippability of
rock, the depth to groundwater, the limits of organic deposits, the presence of voids, the location
and depth of utilities, the location and depth of existing foundations, and the location and depth
of other obstruction, to note just a few. In addition, geophysical testing can also obtain stiffness
and dynamic properties which are required for numerical analysis.
Geophysical testing can be performed on the surface, in boreholes (down or cross hole), or in
front of the TBM during construction.
Sub-surface imaging by means of geophysical survey is a powerful tool for site assessment
and mapping which historically has been under-utilized world-over. Continuing improvements in
survey equipment performance and automation have made large area surveys with a high data

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sample density possible. Advances in processing and imaging software have made it possible to
detect, display, and interpret small geological features with great accuracy.
Some of the unique advantages of geophysical survey are:-
• Geophysical methods are quick to apply, saving in terms of time and money.
• Light and portable equipment allows access to remotest of sites.
• Provides information on critical geological features like faults/fractures/weak zones/
shear zones, not visible from surface information
• Large areas mapped quickly and inexpensively
• Researchers can assess site conditions, and target specific locations for detailed
investigations by drilling, while avoiding others.
• Geophysical methods can quickly produce subsurface geology avoiding delays during
execution due to meeting the unexpected.
• Shear wave profiles can be quickly obtained for ascertaining liquefaction potential
and earthquake response.
• Buried utilities, pipes and cables, can be detected before drilling/excavation, avoiding
damage to utilities and costly accidents.
• Concrete structures can be quickly scanned to ascertain integrity and detect defects
like voids, honeycombing etc.

A) BENEFITS AND LIMITATIONS OF GEOPHYSICS

Geophysical surveys can offer considerable time and financial savings compared with borehole
investigations. At an early stage of site investigation it may be beneficial to undertake a
reconnaissance geophysical survey to identify areas of the site which should be further investigated
using invasive techniques i.e. those where anomalies have been identified. Geophysics has a
unique advantage of providing continuous profile of subsurface rather than discreet information
as provided by boreholes. This is critical in areas with complex geology and in projects like
tunnels, where a small shear zone can lead to major challenges during execution.
Geophysical surveys can be used effectively to determine the geological, hydrogeological and
geotechnical properties of the ground mass in which the engineering construction is taking place.
Using geophysical techniques to solve engineering problems has sometimes produced
disappointing results, particularly when a method, which lacked the precision required in
a particular site investigation has been used, or when a method has been specified that is
inappropriate for the problem under consideration. In most of the cases these problems can be
avoided by taking services of an experienced geophysicists and access to various techniques
available.
In other cases the geological conditions at the site have been found to be more complex than
anticipated at the planning stage of the geophysical survey and hence interpretation of the
geophysical data by the geophysicists has not yielded the information expected by the engineer.
It is often advisable to undertake a feasibility study at the field site to assess the suitability of the
proposed geophysical techniques for the investigation of the geological problem.

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Once the geophysical data has been obtained, it is possible to produce a model of the geological
structure, which gives a realistic correlation with the data. The best overall model is obtained
by using all the available geological information from boreholes and field mapping. Without this
input of precise information, which includes knowledge of the fundamental physical properties
of the geological material at the site, the model cannot be constrained in practical terms. There
needs to be close collaboration between site geologists, engineers and geophysicists in the
interpretation of the geophysical data.

1) PLANNING AND PRE-CONSTRUCTION STAGE

Carefully planned and executed geophysical program can considerably reduce uncertainties
associated with geological surprises encountered while executing an underground project.
Geological mapping and conventional borehole programs can provide only limited and discrete
information along proposed tunnel route. A geophysical program not only provides a much
detailed and continuous information of subsurface, but also can be used effectively to plan
boreholes at anomalous locations, thus enhancing the accuracy of subsurface investigation
while at the same time reducing cost and time involved in obtaining such information.
The following range of geophysical methods can be used in the domain of underground
engineering:-
• Gravity Method
• Magnetic Method
• Seismic Refraction Method
• Seismic Reflection Method
• Hybrid Seismic Method
• Spectral Analysis of Surface Waves
• Multi-channel Analysis of Surface Waves
• Continuous Surface Wave System
• Refraction Micro-Tremor
• Borehole Seismic Method
• Vertical Seismic Profiling
• Seismic Tomography
• Electrical Resistivity Method
• Spontaneous Potential Method
• Induced Polarization Method
• Electrokinetic Probing
• Ground Penetrating Radar
• Transient Electromagnetic Method
• VLF Method
• Magnetotelluric Method
• Radiometric Method
• Airborne/heliborne Methods

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2) CONSTRUCTION STAGE
During construction stage of tunnels and underground projects, geophysical methods can be
effectively used to predict unfavorable geological conditions (e.g. Tunnel Seismic Prediction
ahead of tunneling) and to check and inspect quality of construction. As an example a quick
GPR run on concrete surface can effectively detect distribution of reinforcement bars, presence
of honey combing and other similar defects.

3) MAINTENANCE STAGE
Ground Penetrating Radar is routinely used for health checks of tunnels in various ways:-
• Provides Information on Construction & Condition
• Masonry Tunnels- mapping delamination in masonry arches, voids in and behind
the brick lining, moisture variation due to leaking pipes, construction arrangement
& unexpected changes in masonry and overburden thickness, mapping hidden
blind construction shafts.
• Concrete Tunnels- Determine the thickness and arrangement of spayed, in-situ
or pre-cast concrete. Voids within or behind the lining. Map variation along a
tunnel, such as changes in moisture levels or geology.
• Unlined Tunnels- Maps voids, fractures and manmade features such as rock
anchors within rock tunnels
• Electrical Resistivity Imaging can also be conducted along any line on the
surface of the tunnel to detect features like cavities behind tunnel walls.

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ANNEXURE – D
(Clause 3.6)

TUNNEL INSTRUMENTATION

Though underground excavations are designed based on different numerical and empirical
methods, there is a need to evaluate the stability of the openings and optimize the design
through instrumentation. Instrumentation provides vital information on ground movement and
stress build-up in the surrounding ground mass, and thus enables one to check the validity of
the design. Based on the analysis of the data, the strata behavior and support performance are
evaluated, and recommendations made for proper further action.
In Tunnel construction instrumentation is used for evaluation of the performance of the support
systems, monitoring the stability around underground excavations and ensuring overall safety
of operations. In poorer strata it would also be advisable to maintain permanent instrumentation
and keep the same under periodic observation and monitoring.
Unlike other critical engineering structures where the material is man made for example “ Steel
& Concrete” and it’s properties are well known and loads are defined, tunneling through a given
geological medium faces many uncertainties. Neither the geometry, nor the properties of material
are known ,and one has to make drastic assumptions for the analysis to be valid. Instrumentation
therefore becomes an integral part of design, monitor and modify the “support system” as you
construct and proceed.
In general, ground mass deformation characteristics measurements are done using Convergence
meters and Multi-point borehole extensometers. Load measurements are carried out using Load
cells. In-situ stress is monitored using Stress cells. Regarding the supports, capacity of rock
bolts is monitored using instrumented bolts, testing the anchorages of the bolts and using torque
meters. Efficacy of shotcrete is measured using shotcrete bond tester and shotcrete stress cells.
Electrical Load cells of strain gauge type are used to monitor the behaviour of rock bolts installed.

A) Some of the commonly used instruments are as follows:

1. Convergence Indicators
2. Tape/Road Extensometers
3. Multi Point Bore Hole Extensometers
4. Vibrating Wire Bolt Stress Meter
5. Digital Inclinometer Systems/In place inclinometer (To monitor the Rock Tunnel Face)
6. Automatic/Robotic total stations. (used for automatic/remotely monitoring of
convergence profile in different sections along the length of Tunnel.
7. Data Acquisition system (Data Logger) - Required for unattended and remote
monitoring on long term basis to ensure that all installed instruments are behaving in
proper manner.
8. Shot Crete Stress Gauges
9. Pillar Strain Meters
10. Crack Extensometer
11. Vibrating Wire Load Cells
12. Vibrating Wire Piezometers
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1. Convergence Meters/Measurement

Convergence measurement shall be performed in underground excavation works to determine

the relative displacement of opposite measuring points placed around the excavation perimeter.
The measuring points shall consist of the convergence bolts made of stainless steel pins mounted
on a short reinforcing bar grouted into predrilled hole.

1.1 Monitoring of Convergence with ATS & Optical targets

We can also monitor Convergence by Installing precise Bi-reflex (range 140 m)/Mini Prism (range
up to 600 m) targets at minimum 5 points/section, and use a Digital level/theodolite/Total station
to monitor the Convergence, an Automatic/Robotic Total station can also be used for remotely
monitor the Convergence profile of the section. Total station has also to be periodically calibrated
for ensuring measurement accuracies.
The convergence bolts/Optical targets shall be installed within the heading zone after the
installation of supports. At the beginning, the measurement shall be carried out daily. Later,
weekly readings shall be taken for several months up to the cessation of any movement but
latest when the placing of the concrete lining commences.

1.2 Monitoring of Convergence-Using Digital Tape Extensometer & Convergence

Studs
1.2.1 The Digital Tape Extensometer with Steel (INVAR) tape of a low thermal coefficient
shall be set between the opposite convergence bolts. The convergence shall be read on a digital
gauge with a resolution of 0.01 mm.
The convergence measuring tape and the digital gauge shall be calibrated on their
corresponding calibration devices before and after each measurement. Digital readout shall
be in metric units.

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Brief Specifications:
Range: 0- 30 m
Resolution: 0.01 mm (with Digital display).
Tape resolution: 1 mm

1.2.2 Borehole (Rod) Extensometers - Single and Multipoint

Single point or multipoint borehole extensometers are used in underground excavations to
measure & monitor deformation/displacements in the rock mass surrounding the excavation.
Borehole (Rod) extensometers shall be installed at location as indicated on the Drawings.
Borehole diameter shall be 65/76 mm. However at mouth, the size of recess shall be 125 mm
for a length of 500 mm.

Typical Multipoint Borehole Extensometer

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Typical Portable Digital Readout Unit

For underground excavations single-point extensometers can have a length up to (8 to 10 m),
while three-point extensometers will have a typical rod length of 4, 7 and 10 m or. Can be 5, 10
& 15 m. On surface excavation single point extensometers shall be up (12 m to 15 m) long while
for three-point extensometers, rod lengths shall be 10, 15 and 25 m long.
Borehole extensometers required could either be of mechanical or electrical Vibrating Wire type.
For mechanical extensometers the system consists of groutable anchors, fibre glass continuous
length extensometer rods, and protective sleeves, Head of MPBX/SPBX shall be sealed with a
protective cover. For mechanical type Borehole Extensometers readings shall be taken with a
micrometer depth gauge of 0.01 mm scale division.
For electrical Borehole extensometers a Vibrating Wire type displacement sensor/transducer
with the following Specifications shall be used, a portable Digital readout device/indicator is used
to collect the initial data and for further monitoring.

Brief Specifications are given as under:

Sensor Type Vibrating Wire
Range 50 mm, 100 mm, 150 mm
Resolution 0.01 mm.
Overall accuracy +/- 0.1 % FS.
Temperature Range - 10 to 70 oC
Thermister YSI- 44005 or equivalent.
Casing Stainless steel
Cable 1m, 4-Core cable.

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2. Vibrating Wire Load Cells:
Vibrating Wire type load cells are used for monitoring of load in “rock bolts”, tie backs, Cable and
foundation anchors & in pre stressing/Tendons, are supplied with top & bottom load distribution
plates. Brief Specifications:
Capacity: 30/50 tf for Rock Bolts
Capacity: 75/100/150 tf for Cable anchors.
Accuracy: +/- 0.5 % (+/- 0.1 % FSR on request).
Temperature limit: - 20 to 70oC.
Overload Capacity: 150 % FSR.
Thermister: YSI 44005 or equivalent.
Material: Stainless Steel/SCM Steel.
Cable: 3m, 6/8-Core shielded.

The Vibrating wire load cell should be suitable for data logging & remote monitoring.
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3. Vibrating Wire Piezometers:
Vibrating wire Piezometers are designed for accurate and long term measurement of pore water
pressure in fully or partially saturated rock or soil strata, the instrument is suitable for data
logging and remote monitoring.
Range: 0.2 MPa, 0.5 MPa, 1.0 MPa & 2.0 MPa (equivalent to 200 m WC).
Accuracy: +/- 0.5 % FS
Temp. limit: - 20 to 70° C.
Thermister: YSI 4405 or equivalent.
Over range: 150 % of range.
Dimension: 20 mm dia X 150 mm length (standard dimensions).
Material: Stainless Steel (Saline protection available optionally).
Cable: 1m, 4-Core shielded.
Monitoring of micro seismic networks is useful for evaluation ground stability in underground
excavations and to locate areas of potential ground failure. The various methods used are;
• Characterizing facture propagation, 3D stress-deformation and failure
mechanism using real time micro-seismic monitoring system.
• Developing short-term precursor model to warm occurrence of rock failure.
• Application of Geophysical Techniques for assessing stability of excavations in
rock mass.
• Use of Geophysical tool in designing excavation.

(B) INTERPRETATION OF DATA OF MONITORING INSTRUMENTS

i) Need for Interpretation:

Monitoring instruments don’t speak our language so one has to learn there’s and
understand what an instrument is speaking in terms of monitoring data.
The data collected from monitoring instruments installed in any structure is a
huge database which needs to be simplified in meaningful information and made
understandable in engineering sense.
Interpretation of the transformed information is required to understand tunnel behavior
and plan for change in method of construction or to take any precautionary measure
to avoid incidents.
The data collected should be processed in terms of trends which can be analyzed and
interpreted to draw logical conclusions on the structural behavior of tunnels.
Interpretation is not just checking the data and correlating it with warning limits of
alerts and alarms set by a designer. But it includes studying the nature of trends and
its fluctuations with construction activities and analyze the ground behavior.
Identification and elimination of human errors in data collected and making plausible
explanations and reasoning for any alarming condition to improvise the method of
construction if required.

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ii) Various steps of data interpretation in general are as follows:
1) Data processing in terms of different relevant trends like deformation vs. time,
deformation vs. tunnel length.
2) Identification of fluctuations, kinks, abrupt changes, noise and disturbances in
the trends.
3) Identification and elimination of possible human errors in data collection based
on understanding, experience and judgement.
4) Correlation of filtered data trend with warning limits.
5) Inter-correlations of different trends of similar instruments (ex. Shown for tunnel
convergence)
6) Inter-correlations of trends of different instruments (like convergence monitoring
by target and deformation measurements by MPBXs)
7) Correlation of deformation trends with tunnel advance and distance of face from
instruments.
8) Making logical conclusions on tunnel behavior based on above correlations
iii) Regarding Data analysis & Interpretation: Should be carried out by the expert
based upon available “data trends” & “plots” in any form like Excel, Metlab or “Cronos“
. This information can only explain the observed behavior, but the explanation of the
same has to come from an expert, having years of experience.

iv) Frequency of Calibration & Operation and Maintenance:

All sensors are factory calibrated for 12 months, and some overseas manufacturers
are offering 3 years. Site calibration is not possible, hence calibration has to be carried
out at manufacturer’s works only, as it is not possible to move heavy equipments to
project site. This is an International practice, to carry out calibration at factory/works
only.
Operation & Maintenance: Possible after lapse of standard warranty period is over.
Project authorities can either request manufacturers for extended warranty or can
enter in AMC for 3/5 years, which is becoming common these days. Major Dam/
Project authorities are entering in to AMC to take care of Normal functioning and
Periodic Maintenance.

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ANNEXURE – E
(Clause- 3.7)

TUNNEL SUPPORTS

Initial and Final Ground Support

1. Initial ground support is usually installed concurrently with the excavation. For drill
and blast excavations, initial ground support is usually installed after the round is shot and
mucked out and before drilling, loading, and blasting of the next round. For TBM-driven tunnels,
excavation is carried out more or less continuously, with the upport installed as the TBM moves
forward. Because of the close relationship between excavation and initial support activities, they
must be well coordinated and should be devised such that the process is cyclic and routine.
2. Initial ground support may consist of steel ribs, lattice girders, shotcrete, rock dowels,
steel mesh, and mine straps. The main purposes served by these support elements include
stabilizing and preserving the tunnel after excavation and providing work safety As the quality of
the rock increases, the amount of required initial ground support decreases.
3. After installation of initial ground support, no other additional support may be required.
In this case, the initial support will also fulfil the role of final support. In some cases, additional
support, such as a cast-in-place concrete lining, may be installed. The initial and the final ground
support then comprise a composite support system. An example of tunnel support fulfilling the
initial and final support functions is when precast concrete segmental linings are used to support
a tunnel in weak rock behind TBM. One issue that must be considered when contemplating the
use of initial support for final support is the longevity of the initial support components. While
these components may behave satisfactorily in the short term, phenomena such as corrosion
and deformation must be considered for permanent applications.

A) Initial Ground Reinforcements

Initial ground supports consists of un-tensioned rock dowels and, occasionally, tensioned rock
bolts and shotcrete. These are referred to as ground reinforcement, because their function is to
help the rock mass support itself and mobilize the inherent strength of the rock as opposed to
supporting the full load of the rock. It is much more economical to reinforce the rock mass than
to support it. There inforcement elements are installed inside the rock mass and become part of
the rock mass. A brief description of these elements is given below:-
a) Rock Dowels and Rock Bolts
i) Types: There are three types of rock bolts i.e. Mechanically Anchored (rock
bolt), Grouted Bars (dowels) and Friction dowels. They may act by hanging the
rock mass, nailing, through beam action and by providing an arch action through
systematic bolting. The numbers and spacing of rock bolts is designed based on
geotechnical considerations and ground response.

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Principles of Strengthening Actions - Rock Bolts

ii) Installation: To install a rock bolt or dowel, a borehole must be drilled into the rock
of a specific diameter and length except when self drilling bolts are being used.
Except for split sets, the diameter of the rock bolt hole can vary somewhat. It is
common to have up to 10 or 20 percent variation in the hole diameter because of
movement and vibration of the drill steel during drilling and variations in the rock
For expansion anchors and grouted and some Swellex bolts, this is not a issue,
however Split sets are designed for a specific diameter hole and if the hole is
larger, it will not have the required frictional resistance. Therefore, drilling of the
hole for split sets must be closely controlled. After the hole is drilled, it should
be cleaned out (usually with an air jet) and the bolt or dowel installed promptly.
Nowadays self drilling bolts with sacrificial bits are in popular use.

Typical Mechanically Anchored Rock Bolts

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Typical Grouted Dowel

Typical Swellex Dowel

Systematic bolting with a designed spacing forms an arch around the opening which increases
the deformation modulus of the rock.

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Systematic Bolting Creating an Arch

iii) Testing: Testing rock bolts is an important part of the construction process. If
the rock bolts are not adequately installed, they will not perform the intended
function common method of testing rock bolts or dowels is the pull-out test.
A hydraulic jack is attached to the end of the rock bolt and is used to load the
rock bolt to predetermined tensile load and displacement. Rock bolts may be
tested to failure or to a lesser value so that they can be left in place to perform
their intended function. If the test load or displacement is exceeded, that rock
bolt or dowel has failed and others in the area are also tested. Pull-out tests do
not test the entire dowel. Only that length of the dowel that is required to resist
the pull-out force is tested. To further test the installation, the dowel can be over
cored and exhumed from the rock for direct inspection. However, this requires
costly special equipment and is only done under unusual circumstances. Other
methods of testing include checking the tightness of a mechanically anchored
rock bolt with a torque wrench, installing load cells on the end of tensioned rock
bolts, and non-destructive testing by transmitting stress waves down through
the bolt from the outer end and monitoring the stresswave return. Swellex bolts
can be tested using non-destructive techniques by reattaching the installation
pump to the end of the bolt and testing to see that the tube still holds the same
amount of pressure as when it was installed. Other testing methods may be
used as recommended by manufacturer or Project Designer.
iv) Shotcrete:
a) Shotcrete today plays a vital role in most tunnel and shaft construction
in rock because of its versatility, adaptability, and economy. Desirable
characteristics shotcrete include its ability to be applied immediately to
freshly excavated rocksurfaces and to complex shapes such as shaft and
tunnel intersections, enlargements, crossovers, and bifurcations and the
ability to have the applied thickness and mix formulation varied to suit
variations in ground behaviour.

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b) A brittle material by nature, shotcrete used for ground support often requires
reinforcement to give it strain capacity in tension (i.e., ductility) and to give
it toughness. Chain link mesh or welded wire fabric has long served as the
method to reinforce shotcrete, but has now been largely supplanted by steel
fibres mixed with the cement and the aggregate. In addition to improving
toughness and flexural strength, steel fibres, Polymeric synthetic fibres
improve the fatigue and impact resistance of the shotcrete layer. Other
relatively recent improvements to shotcrete applications include admixtures
for a variety of purposes, notable among which is the use of micro silica,
which greatly reduces rebound and increases density, strength, and water-
tightness.
c) The application of shotcrete is an essential ingredient in the construction
method of sequential excavation and support, where it is used in
combination with rock bolts or dowels and, sometimes, steel ribs or lattice
girders in poor ground.
d) Reinforced Shotcrete: In poor or squeezing ground, additional ductility
of the shotcrete is desirable. Until recently this ductility was generally
achieved by welded wire fabric usually applied between the first and the
second coat of shotcrete. While wire fabric does add to the ductility of the
shotcrete, it is laborious and costly to place; it is difficult to obtain good
shotcrete quality around and behind wires; and it often results in greater
required shotcrete volumes, because the fabric cannot be draped close
to the rock surface on irregularly shot surfaces. Modern practice is to use
fibre-reinforced shotcrete. The fibres increase the flexural and tensile
strength but more importantly greatly enhance the post failure ductility of
the shotcrete.

Shotcrete Application

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B) Final Ground Reinforcements
Installing steel and wooden supports in a tunnel is one of the oldest methods in use. Many
years ago, wooden supports were used exclusively for tunnel support. In later years, steel ribs
took the place of wood, and most recently, steel lattice girders are being used in conjunction
with shotcrete. It is usually faster and more economical to reinforce the rock with rock bolts,
steel mesh or straps, and shotcrete so the rock will support itself. However, if the anticipated
rock loads are extremely high, such as in faulted or weathered ground, steel supports may be
required.
a) Steel ribs and lattice girders usually are installed in the tunnel in sections within one
round spacing of the tunnel face. The ribs are generally assembled from the bottom
upmaking certain that the rib has adequate footing and lateral rigidity. Lateral spacer
rods (collar braces) are usually placed between ribs to assist in the installation and
provide continuity between ribs. During and after the rib is erected, it is blocked into
place with grout-inflated sacks as lagging, or with shotcrete. The rib functions as an
arch and it must be confined properly around the perimeter. Steel ribs should be fully
embedded in the shotcrete. The lattice girders are filled in by shotcrete in addition to
being embedded in shotcrete. The lattice girders also sometimes used to aid as an
excavation shape template.

Steel Ribs for Portal Support

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Lattice Girders inside Tunnel

b) Concrete arch lining may also be used as final support in case of squeezing Ground.
Such lining would generally be reinforced based on design against envisaged loads.
Unreinforced concrete lining is generally used, inside tunnels with good ground
conditions, for aesthetics or protection against fires.
c) Precast concrete segments used with TBM
Soft ground tunnels are most often constructed using shields or shielded TBMs with
precast concrete segments. Below the groundwater table, the segments are bolted
with gaskets for water tightness. Above the groundwater table, unbolted, expanded
segmental linings are often used, followed by a cast-in-place concrete lining. If
necessary, a water or gas proofing membrane is placed before the cast-in-place
concrete is placed. The shield or TBM is usually moved forward using jacks pushing
on the erected segmental concrete lining.
Hard rock tunnels driven with a TBM may also be driven with some form of segmental
lining the schedule may not allow for the time required to cast a lining in place. Though
option of cast in place lining concrete while advancing the TBM is feasible, at least for
a large- diameter tunnel, but may cause Interference between concrete transportation
and placement and tunnel excavation and mucking leading to slower advance.

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ANNEXURE – F
(Clause- 5.9.1)

STANDARD TUNNEL FIRE CURVES

Tunnel Fire Curves

1. In recent years a great deal of research has taken place internationally to ascertain the
types of fire which could occur in tunnel and underground spaces. This research has
taken place in both real, disused tunnels and laboratory conditions. As a consequence
of the data obtained from these tests, a series of time/temperature curves for the
various exposures have been developed as detailed.

Tunnel Fire - Standard Curves

a) Hydrocarbon Curve: Standard fire tests to which specimens of constructions

subject to are based on the use of the Cellulosic time/temperature curve, as
defined in various national standards, e.g. ISO:834, BS:476 : Part 20, DIN 4102,
AS:1530 etc. Although there are other types of fire test curve e.g. BS:7436, the
curve as detailed below for this exposure is the lowest used in normal practice.
This curve is based on the burning rate of the materials found in general
materials and contents. The temperature development of the Cellulosic fire
curve (ISO:834) is described by the following equation: T = 20+345*LOG(8*t+1).

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b) Hydrocarbon Curve. Although the Cellulosic curve has been in use for many
years, it soon became apparent that the burning rates for certain materials e.g.
petrol gas, chemicals etc. were well in excess of the rate at which for instance,
timber would burn. As such, there was a need for an alternative exposure for
the purpose of carrying out tests on structures and materials used within the
petrochemical industry, and thus the hydrocarbon curve was developed. The
hydrocarbon curve is applicable where small petroleum fires might occur, i.e. car
fuel tanks, petrol or oil tankers, certain chemical tankers etc. In fact, although
the hydrocarbon curve is based on a standardised type fire, there are numerous
types of fire associated with petrochemical fuels. The temperature development
of the Hydrocarbon (HC) fire curve is described by the following equation:
T = 20+1080*(1-0,325*e-0,167*t-0,675*e-2,5*t)

c) Hydrocarbon Modified Curve. Derived from the above-mentioned Hydrocarbon

Curve, the French regulation asks for an increased version of that Hydrocarbon
Curve, the so called Hydro Carbon Modified Curve (HCM).The maximum
temperature of the HCM curve is 1300ºC instead of the 1100ºC, standard HC
curve. However, the temperature gradient in the first few minutes of the HCM fire
is as severe as all Hydrocarbon based fires (RWS, HCM, HC), possibly causing
a temperature shock to the surrounding concrete structure and concrete spalling
as a result of it. The temperature development of the Hydrocarbon Modified
(HCM) fire curve is described by the following equation:-
T = 20+1280*(1-0,325*e-0,167*t-0,675*e-2,5*t)

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d) RABT ZTV curve. The RABT curve was developed in Germany as a result of a
series of test programmes such as the Eureka project. In the RABT curve, the
temperature rise is very rapid up to 1200°C within 5 minutes. The duration of
the 1200°C exposure is shorter than other curves with the temperature drop off
starting to occur at 30 minutes for car fires. The drop off for train fires only starts
at 60 minutes. The 110 minutes cooling period is applied to both fire curves. The
failure criteria for specimens exposed to the RABT-ZTV time/temperature curve
is that the temperature of the reinforcement should not exceed 300°C. There is
no requirement for a maximum interface temperature.

The temperature development of the RABT-ZTV fire curve(s) is described by the following co-
ordinates:-

RABT-ZTV (Train)
Time (minutes) Temperature (°C)
0 15
5 1200
60 1200
170 15
RABT-ZTV (car)
Time (minutes) Temperature (°C)
0 15
5 1200
30 1200
140 15
e) RWS (Rijkswaterstaat) Curve. The RWS curve was developed by the
Rijkswaterstaat, Ministry of Transport in the Netherlands. This curve is based on
the assumption that in a worst case scenario, a 50 m³ fuel, oil or petrol tanker
fire with a fire load of 300MW could occur, lasting up to 120 minutes. The RWS

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curve was based on the results of testing carried out by TNO in the Netherlands
in 1979. The correctness of the RWS fire curve as a design fire curve for road
tunnels was reconfirmed in the Full Scale Tests in the Runehamar tunnel in
Norway.

The temperature development of the RWS fire curve is described by the following co-ordinates:-

RWS, RijksWaterStaat
Time (minutes) Temperature (°C)
0 20
3 890
5 1140
10 1200
30 1300
60 1350
90 1300
120 1200
180 1200
The difference between the RWS and the Hydrocarbon curve, is that the latter is based on the
temperatures that would be expected from a fire occurring within a relatively open space, where
some dissipation of the heat would occur. The RWS curve is based on the sort of temperature
you would find when a fire occurs in an enclosed area, such as a tunnel, where there is little or
no chance of heat dissipating into the surrounding atmosphere.
The RWS curve simulates the initial rapid growth of a fire using a petroleum tanker as the source,
and the gradual drop in temperatures to be expected as the fuel load is burnt off.
The failure criteria for specimens exposed to the RWS time/temperature curve is that the
temperature of the interface between the concrete and the fire protective lining should not exceed
380°C and the temperature on the reinforcement should not exceed 250°C.

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2. Rough Guideline for Risk Estimation
A rough guideline on Typical Fire Loads and representative curves in Tunnels is tabulated below:-

Traffic Type Fire Exposure Time Representative Nominal

Fire Curve
Trailor/Hay Wagon 90 – 120 min Hydrocarbon
Car (5 – 10 MW) 30 – 60 min Standard/Hydrocarbon
Container/Shuttle 120 (+) min Hydrocarbon
Lorry (100 MW) 120 (+) min Hydrocarbon
Tanker (300 MW) 120 min RWS and/or
240 min Standard/Hydrocarbon
Bus 90 – 120 min Hydrocarbon
Metro/Light Rail (40 MW) 120 min RWS/Hydrocarbon
Train (300 MW) 120 min RWS
240 Standard/Hydrocarbon

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APPENDIX–I
(Clause 3.3.1)

Terzaghi’s Empirical Method for Assessment of Rock Load for Design of Steel Ribs:
Terzaghi’s rational empirical method for evaluating rock load was subsequently modified
by Deere et al. [1970] and Rose [1982]. Terzaghi’s classification and evaluation of rock
loads with subsequent modifications, which is currently in use, is given in the table
below:

Rock Load Hp [ft] Rock Load Hp [ft]

Condition of Rock RQD After Terzaghi After Rose
1) Hard & Intact 95-100 0 Same as Terzaghi [1946]
2) Hard Stratifies 90-99 [0 to 0.5] B Same as Terzaghi [1946]
3) Massive, Moderately Jointed 85-95 [ 0 to 0.25] B Same as Terzaghi [1946]
4) Moderately blocky & seamy 75-85 [0.25 B to 0.35] [B+H] 0.25 B to 0.20 [B+H]
5) Very blocky & seamy 30-75 [0.35 to 1.10] [B+H] [0.20 to 0.60] [B+H]
6) Completely crushed but 3-30 1.10 [B+H] [0.60 to 1.10] [B+H]
chemically intact
6a) Sand & gravel 0-3 Not given [1.10 to 0.140] [B+H]
7) Squeezing rock, moderate NA [1.10 to 2.10] [B+H] Same as Terzaghi [1946]
depth
8) Squeezing rock, great depth NA [2.10 to 4.50] [B+H] Same as Terzaghi [1946]
9) Swelling rock NA Upto 250 ft. [80m] Same as Terzaghi [1946]
irrespective of value of B & H

Values for type 4, 5 and 6 reduced by Rose by about 50 percent from Terzaghi’s values
because water table has little effect on load (Terzaghi 1946, Brekke 1968]
Rock load ‘Hp’ in feet of rock on roof to support in tunnel with width ‘B’ [ft] and height ‘H’[ft];
NA- Not applicable.
Terzaghi’s values of rock loads are found to be more conservative today, due to improvement
in Tunneling technology.

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APPENDIX–II
(Clause 3.3.4)

PROCEDURE FOR PREDICTING ROCK MASS RATING (RMR)

To apply the geo-mechanical classification system, a given site should be divided into
number of geological structural units in such a way that each type of rock mass present in
the area is covered. The following geological parameters are determined for each structural
unit:
a) Uniaxial compressive strength of intact rock material (IS:8764),
b) Rock quality designation [IS:11315 (Part 11)],
c) Spacing of discontinuities [IS:11315 (Part 2)],
d) Condition of discontinuities [IS:11315 (Part 4)],
e) Ground water condition [IS:11315 (Part 8)] and
f) Orientation of discontinuities [IS:11315 (Part 1)],
• Uniaxial compressive strength of intact Rock material (qc)
The strength of the intact rock material should be obtained from rock cores
in accordance with IS:9143 or IS:8764 or IS:10785 as applicable based on
site conditions. The rating based on uniaxial compressive strength and point
load strength are given in Appendix-II (Item I). However the use of uniaxial
compressive strength is preferred over the point load index strength.
• Rock Quality Designation (RQD)
Rock Quality Designation (RQD) should be determinated as specified in
IS:11315 (Part 11). The details of rating are given in Appendix-II (Item II).
• Spacing of Discontinuities
The term discontinuities covers joints, beddings or foliations, shear zones,
minor fault, or other surfaces of weakness. The linear distance between two
adjacent discontinuities should be measured for all sets of discontinuities.
The details of ratings are given in Appendix-II (Item III).
• Condition of Discontinuities
This parameter includes roughness of discontinuities surface, their
separation, length or continuity, weathering of the wall rock or the planes of
weakness, and infilling (gauge) material. The details of rating are given in
Appendix–II (Item IV). The description of the term used in the classification
is given in the IS:11315 (Part 4) and IS:11315 (Part 5).

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DATA SHEET FOR GEOMECHANICAL CLASSIFICATINON OF ROCK MASSES
AND ASSESSMENT OF ROCK MASS RATING (RMR) (AFTER BIENIAWSKI 1989)

I. STRENGTH OF INTACT ROCK MATERIAL (MPa)

Uniaxial Compressive Point Load Strength Rating
Strength MPa MPa
Exceptionally Strong > 250 >8 15
Very Strong 100 - 250 4-8 12
Strong 50 - 100 2-4 7
Average 25 - 50 1-2 4
Weak 10 - 25 } Use of Uniaxial 2
Very Weak 2 -10 } Compressive Strength 1
Extremely Weak <2 } Preferred 0

II. ROCK QUALITY DESIGNATION (RQD)

RQD% Rating
Excellent 90 - 100 20
Good 75 - 90 17
Fair 50 - 75 13
Poor 25 - 50 8
Very Poor < 25 3

III. SPACING OF DISCONTINUITIES

Spacing m. Rating
Very wide >2 20
Wide 0.6 - 2 15
Moderate 0.20 - 0.6 10
Close 0.06 - 0.2 8
Very Close < 0.06 5
NOTE: If more than one set of discontinuities is present and the spacing of discontinuities of each set
varies, consider the set with lowest rating.

IV. CONDITION OF DISCONTINUITIES

Condition of Very rough Slightly rough Slightly rough Slickenside wall > 5 mm thick
Joints surface, Not surfaces, surfaces, surface or 1-5 soft gouge,
Continuous, Separation Separation mm thick guage > 5 mm wide
No separation, < 1 mm, Slightly < 1 mm, Highly or 1-5 mm wide separation,
Unweathered weathered walls weathered separation, Continuous
wall rock walls, Continuous
Rating 30 25 20 10 0

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V. GROUND WATER CONDITION
Inflow per 10 m. tunnel
None < 10 10 - 25 25 - 125 > 125
length (lit./min.)
Ground water
Joint water pressure /
condition 0 0 - 0.1 0.1 - 0.2 0.2 - 0.5 > 0.5
major principal stress
General condition Completely dry damp Wet dripping flowing
Rating 15 10 7 4 0

VI. ORIENTATION OF DISCONTINUITIES

ADJUSTMENT FOR JOINT ORIENTATION

Average Orientation of Very Favorable Fair Un- Very un-

dip and strike of joints favorable favorable favorable
Rating For Tunnels 0 -2 -5 -10 -12
For Foundations 0 -2 -7 -15 -25
For Slopes Use Slope mass rating as per IS:13365 (Part 3)

VII. ROCK MASS RATING (RMR)

Rock mass Rating (RMR) Value is total of the following ratings:

1) Rating for Intact Rock Material as per I above
2) Rating for Rock Quality Designation (RQD) as per II above
3) Rating for Spacing of Discontinuities as per III above
4) Rating for Condition of Discontinuities as per IV above
5) Rating for Ground Water Condition as per V above
Total Original RMR (Total of I to V)
6) Adjustment for Orientation of Discontinuities as per VI above Adjusted RMR
(Total of I to VI)

VIII. NET SAFE BEARING PRESSURES BASED ON ROCK MASS RATING (RMR)

Description of Rock Very Good Good Fair Poor Very Poor

RMR 100 - 81 80 - 61 60 - 41 40 - 21 20 - 0
Bearing Capacity t/sq.m. 400 300 - 200 150 - 100 80 - 50 40 or < 40

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APPENDIX–III
(Clause 3.3.5)

DATA SHEET FOR GEOMECHANICAL CLASSIFICATION

OF ROCK MASSES FOR
ASSESMENT OF TUNNEL QUALITY INDEX
(AFTER BARTON ET AL 1974)
Q- System for Rock Mass Classification (Barton)
ROD Jr Jw (EQ1)
Q= ο ο
Jn Ja SRF
1) Rock Quality Designation RQD
A Very Poor 0-25
B Poor 25-50
C Fair 50-75
D Good 75-90
E Excellent 90-100
Note: i) Where RQD is reported or measured as ≤10 (including 0), a nominal value of 10 is used to evaluate Q.
(ii) RQD interval of 5, i.e., 100,95,90, etc., are sufficiently accurate.
2) Joint set Number Jn
A Massive, no or few joints 0.5-1
B One joint set 2
C One joint set plus random joints 3
D Two joint set 4
E Two joint set plus random joints 6
F Three joint set 9
G Three joint set plus random joints 12
H Four or more, joint sets, heavily jointed 15
J Crushed rock, earthlike 20
Note: i) For intersections, use (3.0 X Jn). (ii) For portals, use (2.0 X Jn).
3) Joint Roughness Number Jr
a) Rock-walls contact, and b) Rock will contact before 10 cm shear
A Discontinuities joints 4
B Rough or irregular, undulating 3
C Smooth, undulating 2
D Slicken sided, undulation 1.5
E Rough or irregular, planer 1.5
F Smooth, planer 1.0
G Slicken sided, planer 0.5
Note: i) Description refer to small and intermediate scale features, in that order.
c) No rock-wall contact when sheared
H Zone containing clay minerals thick enough 1.0
to prevent rock wall contact
J Sandy, gravelly or crushed zone thick 1.0
enough to prevent rock-wall contact
Note: ii) Add 1.0 if the mean spacing of the relevant joint set > 3m.
iii) Jr = 0.5 can be used for planer slicken sided joints having lineation’s, provided the lineation’s
are oriented for minimum strength.
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4) Joint Alternation Number Фr Approx Ja

a) Rock-wall contact (no mineral fillings, only coatings)
A Tight healed, hard, non-softening, impermeable filing, i.e., quartz or epidote - 0.75
B Unaltered joint walls, surface staining only 25-35° 1.0
C Slightly altered joint walls, Non-softening mineral coating, sandy 25-30° 2.0
particles, clay-free disintegrated rock, etc.
D Slity-or-sandy-clay coating, small clay fraction (non-softening) 20-25° 3.0
E Softening or low friction mineral coating, i.e., Kaolinite or mica. Also 8-16° 4.0
chlorite, talc, gypsum, graphite, etc. and small

b) Rock wall contact before 10 cm shear (thin mineral fillings)

F Sandy particles, clay-free disintegrated rock, etc. 25-35° 4.0
G Strongly over-consolidated non-softening clay mineral fillings 16-24° 6.0
(continuous, but <5 mm thickness)
H Medium or low over-consolidated softening clay mineral fillings 12-16° 8.0
(continuous, but <5 mm thickness)
J Swelling-clay fillings, i.e. montmorillionite (continuous, but <5 mm 6-12° 8-12
thickness), value of Ja depends on percent of swelling clay size particles,
and access to water, etc.
c) No rock-wall contact when sheared (thick mineral fillings)
K, L, Zones or bands of disintegrated or crushed rock and clay 6-24° 6,8 or
M (see G,H,J for description if clay condition) 8-12, 5
N, Zones or bands of slity-or sandy-clay fraction (non-softening) 6-24° 10, 13 or
O, P, Thick, continuous zones or bands of clay (see G,H,J for) 13-20
R Clay condition description

5) Joint Water Reduction Factor Water Jw

pressure
A Dry excavation or minor inflow, i.e., <51/min locally <1(kg/cm²) 1.0
B Medium inflow or pressure, occasional outwash of joint fillings 1-2.5 0.66
C Large inflow or high pressure in competent rock with unfilled joints 2.5-10 0.5
D Large inflow or high pressure, considerable outwash of joint fillings 2.5-10 0.33
E Exceptionally high inflow or water pressure at blasting, decaying with >10 0.2-0.1
time
F Exceptionally high inflow or water pressure continuing without noticeable >10 0.1-0.05
decay (kg/cm²)
Note: 1) Factors C to F are crude estimate. Increase Jw if drainage measures are installed.
2) Special problems caused by ice formation are not considered

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6) Stress Reduction Factor SRF

a) Weakness cones intersecting excavation, which may cause loosening of rock mass
when tunnel is excavated
A Multiple occurrences of weakness zones containing clay chemically disintegrated 10
rock, very loose surrounding rock (any depth)
B Single weakness zone containing clay or chemically disintegrated rock (depth of 5
excavation < 50m)
C Single weakness zone containing clay or chemically disintegrated rock (depth of 2.5
excavation > 50m)
D Multiple shear zones in competent rock (clay-free) depth of excavation <50m) 7.5
E Single shear zone in competent rock (rock-free) depth of excavation<50m) 5
F Single shear zone in competent rock (rock-free) depth of excavation>50m) 2.5
G Loose open joint heavily jointed (an depth) 5
Note: i) Reduce SRF value by 25-50% if the relevant shear zones only influence but not intersect the excavation.
b) Competent rock, rock stress problems σc/σ1 σe/σc SRF
H Low, stress, near surface, open joints >200 <0.01 2.5
J Medium stress, favorable stress condition 200-10 0.01-0.03 1
K High Stress, very tight structure, Usually favorable to stability, 10-5 0.3-0.4 05-2
may be unfavorable to wall stability
L Moderate slabbing after>1 hour in massive rock 5-3 0.5-0.65 5-50
M Slabbing and rock burst after a few minutes in massive rock 3-2 0.65-1 50-200
N Heavy rock burst (strain-durst) and immediate dynamic <2 >1 200-400
deformation in massive rock
Note: ii) For strongly anisotropic virgin stress field (if measured): when 5≤σ1/σ3 ≤10, reduce to σc to 0.75
σc when σ1/σ3>10, reduce σc to 0.5 σc where σc is unconfined compressive strength σ1 and σ3
are major and minor principal stresses and σe is maximum tangential stress (estimated from
elastic theory).
iii) Few cases records available where depth of crown below surface is less than span width.
Suggest SRF increases from 2.5 to 5 for such cases (see H.)
c) Squeezing rock: plastic flow in incomplete rock under the influence of σe/σc SRF
high rock pressure
O Mild squeezing rock pressure 1-5 5-10
P Heavy squeezing rock pressure 5 10-20
Note: iv) Cases of squeezing rock may occur for depth H>350 Q1\3, Rock mass compressive strength can
be estimated from Q=7 γ Q1/3 (MPa) where γ = rock density in g/cm3.
d) Swelling rock: chemical swelling activity depending on presence of water SRF
R Mile swelling rock pressure 5-10
S Heavy swell rock pressure 10-15
Note: v) and Ja classification is applied to the joint set or discontinuity that is least favorable for stability
both from the point of view of orientation and shear resistance.
Q-value Class Rock mass quality
400-1000 A Exceptionally Good
100~400 A Extremely Good
40~100 A Very Good
10~40 B Good
4~10 C Fair
1~4 D Poor
0.1~1 E Very Poor
0.01~0.1 F Extremely Poor
0.001~0.01 G Exceptionally Poor
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APPENDIX–IV
(Clause 3.3.5)

(a) Relation between rock mass rating, stand-up time and unsupported span
This basic inter-relation between the rock mass rating, the stand-up time and the
unsupported span is given by Bieniawski as shown below:

(b) Inter-relation between ‘Q’ and ‘RMR’

‘RMR’ is used for estimating ‘unsupported span’ and ‘stand up time’, whereas ‘Q’
is used for estimating support pressure and for selecting supporting details. Thus
an inter-relation between ‘Q’ and ‘RMR’ is used when only ‘RMR’ and not ‘Q’ are
assessed during geological investigations. Various inter-relations are shown in the
following chart.
Conversion of ‘Q’ to ‘RMR’ by Different Correlations

Barton [1995] NGI [1994] NGI [2001] Bieniawsky [1989]

Q RMR=15logQ+50 RMR=6.2InQ+52.48 RMR=15logQ+56 RMR=9InQ+44
100 80 81 86 85
40 74 76 80 77
20 70 71 76 71
10 65 67 71 65
4 59 61 65 75
1 50 52 56 44
0.1 35 38 41 23
0.01 20 23 26 3

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APPENDIX–V
(Clause 3.8.1)

APPLICABLE CODES OF PRACTICE/Acts/RULES

The following Codes/Acts/Rules and their revised/updated versions, if any, will be applicable to
the Tunnelling work. This list is not exhaustive and all other relevant Codes/Acts/Rules and their
revised/updated versions, if any, will be deemed to be applicable to the Tunnelling work.

IS:5878 1971 [Part I] Precision Survey and Setting out

IS:5878 1971 [Part II, Section 1] Underground Excavation in Rock, Section I Drilling and
Blasting
IS:5878 1971 [Part II, Section 2] Underground Excavation in Rock, Section 2, Ventilation,
Lighting, Mucking and Dewatering
IS:5878 1971 [Part II, Section 3] Underground Excavation in Rock, Section 3, Tunnelling
Methods for Steeply Inclined Tunnels, Shafts and Underground Power
Houses
IS:5878 1971 [Part Ill] Underground Excavation in Soft Strata
IS:5878 1971 [Part• IV] Tunnel Supports
IS:5878 1971 [Part V] Concrete Lining
IS:5878 1971 [Part VI] Grouting
IS:4081 1986 Safety Code for Blasting and other related Blasting Operations.
IS:4756 1978 Safety Code for Tunnelling Work
IS:9103 1979 Admixtures for Concrete
IS:9012 1978 Recommended Practice for Shotcreting
IS:3764 1966 Safety Code for Excavation Work
IS:4138 1977 Safety Code for Working in Compressed Air
IS:7293 1974 Safety Code for Working with Construction Machinery
IS:823 1964 Code of Practice for Manual Metal Arc Welding of Mild Steel
IS:816 1969 Code of Practice for Manual Metal Arc Welding for General Construction
in Mild Steel
IS:1566 1967 Hard-drawn Steel Wire Fabric for Concrete reinforcement
IS:817 1966 Code of Practice for Training and Testing of Metal Arc Welder [Revised]
IS:226 1975 Structural Steel [Standard Quality]
IS:456 2000 Code of Practice for Plain and Reinforced Concrete
IS:4086 1967 Methods of Tests for Distributors
IS:1893 1975 Criteria for Earthquake Resistant Design of Structures

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IS:1200 1971 [Part XXV] Method of Measurement of Building and Civil Engineering
Works
IS:1200 1971 [Part XXV] Method of Measurement of Building and Civil Engineering
Works - Tunnelling
IS:1905 1980 Code of Practice for Structural Safety of Buildings
IS:1256 1967 Code of Practice for Building Bye-laws
IS:800 2007 Code of Practice for Use of Structural Steel in General Building Construction
IS:13365 1992 Quantitative Classification Systems for Rock Mass (Part 1 & 2)
IS:13372 1992 Seismic testing of Rock mass (Part 1 & 2)
IS:14436 1997 Resistivity of Rock
Indian Explosives Act - 1884
Indian Explosive Rules - 1983
Indian Mines Act - 1952
Indian Mines Rules - 1955
PIARC Guidelines
Report of PIRAC Committee on Good Practice for the Operation and Maintenance of Road
Tunnels (C5) -2005
Seismic Loading - ITA/AITES accredited paper "Seismic Design and Analysis of Underground
Structures" - Tunnelling and Underground Space Technology 16(2001) 247-293 [Link - www.
elsevier.com/locate/tust]

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