INTRODUCTION TO NATM

Wulf Schubert
Graz University of Technology

Introduction to NATM

INTRODUCTION

Tunnelling has a tradition over thousands of years. Main

fields for underground openings are mining, transport,
storage, and shelters

While in mining the lifetime of underground openings in

general is limited, for civil projects long term stability,

maintenance friendliness, and environmental impact are
important issues

The variability of ground conditions, influencing factors and

requirements make it difficult to establish general rules for
tunnel design and construction

Experience has always played an important role, and will

continue to do so, although the theory is making some
progress

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HISTORICAL DEVELOPMENT OF TUNNELLING

In ancient times, small tunnels were mainly built for water

supply

Qnates serve as an example of historical tunnelling

Qnates were first used in Iran for the water supply of

villages and irrigation. It is believed that the first Qnates

were built 5,000 years ago, the first reports are from around
700 B.C. Later the technique spread around the world.
Qnates can be found in the whole Asian region, but also in
Europe, as well as South and North America

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Qnates the System

mother shaft (MadarTschan)
Ventilation shafts (Mieleh)

Gallery (Kureh)

dry section

Mashar

main gallery

wet section

mother shaft

side gallery

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Qnates some details

Cross section around 1 m2, shape depending on ground

conditions. Gradient between 0.5-3 . Distance between

access and ventilation shafts around 30 m.

1962 in Iran only 20,000 systems with a total length of

160,000 km still under operation.
Total discharge 1.61010 m3/year

In poor ground lining with bricks

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AERIAL VIEWS

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SOME IMPRESSIONS

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SURVEYING
helper
helper
Wire (12m)
Waterlevel
level
Water
Wooden pole

Wooden foot
plate
Horizontal pole
helper
plummets
Tallow
candle

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TUNNELS UNDER THE PYRAMIDES

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SEWAGE SYSTEM CLOACA MAXIMA in Rome

Dewatering of swamps combined with

sewage. Use of concrete as support

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DEWATERING OF LAKE FUCINO / Italy

Lack of natural discharge frequently led to floods. A 5.6 km

tunnel with 16 m2 area was constructed around 50 B.C.
It took 30,000 labourers to build it in 11 years. Soon after
completion, the tunnel was blocked again.

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TITUS TUNNEL / Turkey

To protect the harbour of Antiochia, the Romans in the 1st

century built a 1.3 km long tunnel (6x7 m) to deviate a
river.

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WATER SUPPLY SIDE / Turkey

2nd century, 32 km long

-

13 km of tunnels
capacity 2.5 m3/s
average gradient 1.2
support partially with concrete
5 years construction

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ROMANS to 18th CENTURY

After the end of the roman empire until the 18th century
not much activity in the civil tunnelling business

Some tunnels for ships have been constructed in France

and England

Brindley tunnel
1770 1777
l = 2.6 km
closed after partial
collapse 1914

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NEUTOR TUNNEL, SALZBURG / Austria

Construction 1765-1764

length = 131m
The tunnel is still open for
traffic. Repairs limited to
sealing against water inflow
(icicles in winter)

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UNDERPASSING OF THAMES RIVER, London

First attempt in 1802 failed

due to flowing ground

Second attempt 1825-1841

Rectangular shield designed

by Brunel
Flowing ground stopped
the construction for 7 years

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TUNNELLING BOOM THROUGH RAILWAY CONSTRUCTION

From around 1840 railway

construction required a huge

number of tunnels

A few of the larger projects

are listed here

Slandrige UK

5,000m

1856-1860

City & South London

5,100m

1886-1890

Sutro tunnel USA

6,000m

1869-1873

Turchino tunnel, I

6,447m

1889-1894

Marianapoli tunnel, I

6,500m

1879-1884

Severn river, UK

7,300m

1873-1886

Hoosac tunnel USA

7,600m

1854-1876

Col di Tenda tunnel, I

8,100m

1890-1898

Giovi railway, I

8,300m

1883-1888

Central London, UK

9,300m

1897-1900

Arlberg tunnel, A

10,300m

1880-1884

Glasgow railway, UK

10,500m

1892-1896

Mont Cenis tunnel, F/I

12,200m

1857-1872

Metro Paris

14,000m

1898-1900

St.Gotthard tunnel, CH

14,900m

1872-1880

Simplon tunnel, CH

19,800m

1899-1906

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FIRST DRILLING JUMBO AT MONT CENIS TUNNEL

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St. CLAIR TUNNEL, Canada

Railway tunnel, l = 1,836m, diameter 6,05m, 1884-91

Use of a shield, excavation under compressed air

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SHIELD TBM WITH CAST IRON SEGMENTS (1870)

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TRADITIONAL CONSTRUCTION METHODS

With the increase in tunnel construction in the 19th century,

several different construction methods developed

The construction methods were influenced by the local

geological conditions, regional experience and boundary

conditions

Availability of construction materials also played a decisive

role for the selection of a particular method

As can be seen from the previous table, construction times

were amazingly short at some projects. This can be
attributed to the use of a lot of manpower and multiple
simultaneous drifts

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ENGLISH METHOD

The English method aimed at a quick closure of the final

lining. As temporary support served timber, with the

beams in horizontal direction. If possible those were moved
forward with the excavation. Only after the final lining was
installed in one ring, the next round was excavated.

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GERMAN METHOD

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GERMAN METHOD

This method was typically used in soft ground with low

cohesion. First the sidewall galleries were excavated, and

propped against the remaining core. Then the lining was
installed in the sidewall galleries prior to excavation and
support of the crown.

Timber was left in the ground, frequently leading to long

term settlements due to deterioration of the timber.

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BELGIAN METHOD

The Belgian method appears rather modern, with a top

heading-bench-invert sequence. Applicable in a wide
variety of ground conditions; rather slow progress

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BELGIAN METHOD

The final lining was installed directly at the excavation

faces. In poor ground this frequently caused damage of the

lining due to displacements at the subsequent excavation
steps.

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AUSTRIAN METHOD

Poor ground conditions with high overburden in the

western Alps led to the old Austrian method. Excavation

volumes in each step were limited to reduce the danger of
ground inflow or collapse

In general two pilot tunnels advanced the main excavation,

one in the invert, and one in the crown. The invert pilot
was used for mucking and material supply. The crown pilot
was connected to the invert pilot via small shafts

Disadvantages: a lot of repropping and timber required,

limited possibility of mechanization

Advantages: a number of so called rings could be

excavated and supported simultaneousely, leading to short

construction times

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AUSTRIAN METHOD

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AUSTRIAN METHOD

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RZIHAs STEEL FRAME SUPPORT

The waste of timber,

and the confined

working spaces in the
timber supported
tunnels made Rziha
propose a method
using a steel frame,
which could be reused

The method never

really became
fashionable due to the
high costs of steel in
Europe

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AMERICAN STEEL SUPPORT METHOD

In an environment with low material costs, relatively high

labor costs, powerful labor unions, a simple method was
required

Steel sets blocked against the rock by timber wedges serve

as a primary support. If required timber, steel, or concrete
lagging is used to protect miners from falling ground and
prevent inflow of ground

Design is based on Terzaghis classification, leading to

heavy steel sets in poor ground

Cast in place concrete is used as secondary support

Rock support only at blocking points, potential for
disintegration of ground

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AMERICAN STEEL SUPPORT METHOD

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THEORY and LOAD CONCEPTS

Over centuries tunnels had been designed and built based

only on experience. Research into the mechanical
processes startet only around 1900. Many believed that a
zone around the tunnel is completely destressed
(destressed or protective zone)

Komerell, 1912

Destressed zone

Wiesmann, 1909

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THEORY and LOAD CONCEPTS

Others found the theoretical solution, but practitioners did

not use the findings for a long time

Leon & Willheim, 1910

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THEORY and LOAD CONCEPTS

Load concepts for the design of

tunnels in many cases were

completely unrealistic, leading to
extremely thick linings

Others believed that the full

overburden pressure has to be

taken by the lining, which is
unrealistic for tunnels with high
overburden

Komerell, 1912

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MAIN PROBLEMS WITH TRADITIONAL METHODS

The poor contact of the supports to the rock, their low

stiffness, and the frequent repropping during the different

stages of excavation and support led to disintegration of
the ground, thus loading the support

A distinction between loads by loosened rock mass and by

ground deformation (often referred to as squeezing) was

difficult. Thus in squeezing conditions linings were
designed very heavy, often leading to their destruction

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FIRST IDEAS OF NATM

Rabcewicz in 1948 patented a tunnelling method, which was

based on a double concrete shell approach. Inner lining
should be installed only when deformations had stpooed

Quickly installed primary lining

should avoid disintegration
and thus development of
dead loads on lining

Waterproofing between

primary and secondary lining

possible

Design of inner lining

based on measuring results

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DEVELOPMENT OF SHOTCRETE AND BOLTING

Although known and occasionally used since the 1920ies, the

systematic application of shotcrete and rock bolts only
started in the nineteen fifties. Use of roof bolting reported in
the Forcacava HPP in Brazil

Shotcrete helped prevent disintegration of the ground, which

was a problem with traditional supports

Rock bolts originally were used to fix single blocks, but soon
systematic bolting was applied to reinforce the rock mass
surrounding the tunnel.

First application of systematic rock bolt and shotcrete

support 1956 in Venezuela by Rabcewicz for highway and

railroad tunnels. Systematic monitoring of deformations

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SYSTEMATIC BOLTING TO CREATE CARRYING ARCH

Rabcewicz, 1957

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BASIC PRINCIPLES OF NATM

Prevent disintegration of the rock mass, thus keeping its

strength

Use rock mass as far as possible to take additional stresses

resulting from excavation

This implies that deformations should not be completely stopped

by the support right after installation
But deformation should be kept below the critical level, where
disintegration (loosening) of the rock mass occurs

Monitor the behaviour of the system to observe stabilization

process and allow for adjustments of construction measures
to ground conditions

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CONCEPT OF GROUND REACTION CURVE

The ground reaction curve was introduced by Fenner 1938,

and extended by Pacher 1964

pi

Increase due to disintegration (loosening)

0,00

0,10

0,20

0,30

0,40

0,50

Radial displacement
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FIRST APPLICATION OF NATM IN AUSTRIA

ORIGINAL DESIGN (failed)

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MODIFIED DESIGN (successful)

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FURTHER DEVELOPMENT

The approach was technically and economically that

successful that the interest of the owners increased rapidly.

The reduction in support quantities, as well as the
increased progress, and reduced requirement for repairs
led to a cost reduction of up to 50%

In a lecture at the Geomechanics Colloquy 1962 in

Salzburg Rabcewicz gave the method the name New

Austian Tunnelling Method

A number of tunnels with shallow overburden were

successfully completed in Austria and Germany in the early

1960ies.

The success of the method soon raised the interest of

owners, designers and construction companies around the

world

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FURTHER DEVELOPMENT

The first regions outside Austria to adopt the method were

South America and Japan.

In the early nineteenseventies the method was also applied

to tunnels with high overburden. A milestone was the
Tauern freeway tunnel, crossing the Austrian Alps

The succesful approach with shallow tunnels to close the

lining as soon as possible to prevent loosening, could of

course not be applied with high overburden in faulted rock.

Large displacements forced to leave slots in the lining to

avoid ist overstressing

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CONSTRUCTION OF FIRST TAUERNTUNNEL 1972

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TARBELA DAM PROJECT (around 1969-1973)

In the course of the construction of the Tarbela dam

project (Pakistan), also four power and irrigation tunnels

were built. The tunnels have an internal diameter of up to
18 m, with a cross section of up to 255 m2. The valve
chambers have a cross section of up to 470 m2.

Excavation started with steel support, which was erected

from a half shield. Loosening of the rock mass and huge

overbreaks forced to support the ground by shotcrete and
occasionally rock bolts. A combined construction method
shotcrete, bolts, and later installation of steel arches was
employed

For the valve chambers the steel support would have

weighed 300 kg/m, thus being impossible to install. NATM

was used instead extremely successfully

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TARBELA DAM PROJECT - TRANSITIONS

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TARBELA

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Names connected with the initial development of NATM

Harald Lauffer
Leopold Mller
Franz Pacher
Ladislaus Rabcewicz
Josef Stini
Otto Rescher
Horst Pchhacker
And many more, not to forget the miners, who with their
excellent workmanship helped to make NATM a success

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THE LAST DECADES

NATM has spread around the world. Not always are the

principles well understood or applied. It appears that

whenever shotcrete is used in underground construction, the
name NATM is used

As the principle of NATM is applied mechanics, there is not

much room for further basic development. Thus NATM has
become synonymous with conventional tunnelling

As the name of the method is connected to Austria, and

Austrian tunnelling engineers (and also others like suppliers)

had some advantage in the market, which created some bad
feelings by certain nations. Attempts to change the name, for
example to shotcrete method, or SCL (sprayed concrete
linings), etc. are not really successful

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CURRENT PRACTICE

During the last decades most larger tunnels were built in a

top heading bench - invert sequence. Reasons are
flexibility with respect to the ground conditions, reduced
potential for face instability, and operational and economic
reasons. In case of problems with the stability of the
heading, a temporary invert is installed. This allows a long
bench approach also in poor ground

Only in smaller tunnels full face excavation is an option.

For larger tunnels in particular in heterogeneous ground

problems with the face stability reduce the advance rate.
In addition a change from full face to partial excavation
would require a change of the equipment

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WHAT HAS CHANGED OVER THE DECADES?

Better equipment reduced the number of required miners. In

Austria typically 5 men form a crew at the face

Improvement in materials leads to higher quality tunnels

Improvement in investigation, monitoring, data processing,

and evaluation of results has reduced failures and surprises

Costs of tunnel construction have been considerably reduced

Accidents due to instability are practically zero (at least in
Austria)

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COMPARISON TAUERNTUNNEL 1 + 2
Tauerntunnel 1

Tauerntunnel 2

(1/1971 1/1974)

(9/2006 7/2008)

Excavation time (both

headings added)

53 months

44 months

Advance rate slope

debris

1.7 m/d

2.9 m/d

Advance rate rock

section

4.7 m/d

5.2 m/d

Excavation crew size

20 - 22

5-6

Max. displacements

120 cm

40 cm

Costs civil works

109 Mio

108 Mio *

* Bid price. Considering inflation, costs of second tube are only 1/3 of first tube
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Changes over the decades (example Tauerntunnel)

Tauerntunnel 1, Austria;
Use of open gaps in fault zone
Tauerntunnel 2, Austria;
Use of ductile elements in the lining in fault zone
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Changes over the decades (example Tauerntunnel)

Tauerntunnel 1,
Drill rig with 11 pneumatic hammers
Tauerntunnel 2, two boom drill rig
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EXAMPLES OF RECENT PROJECTS

Inntaltunnel, bifurcation cavern A = 320 m2

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EXAMPLES OF RECENT PROJECTS

Wienerwaldtunnel, Austria; sidewall galleries in built up area with shallow cover

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EXAMPLES OF RECENT PROJECTS

Tunnel Sentvid, Slovenia; bifurcation cavern in extremely faulted rock

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HPP KOPS

Netzer & Gerstner, 2008

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SHORT BENCH

For tunnels with low overburden in poor ground, the short

bench approach is still an issue, provided the face stability

is no major problem

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THEORY & DESIGN

At the beginning of NATM methods for tunnel design (dead

load concept) did not fit to the approach, and numerical

methods were still the exception. Thus the design was
more or less empirical, supported by closed form solutions.
Monitoring during construction was an integral part of the
method to appropriately adjust excavation and support to
the ground conditions

Although the methods of analysis meanwhile have been

further developed, the reliablity of the results is still low.

Reasons are the uncertainties in the ground model, and the
difficulty to appropriately assess the ground properties.
Thus observation during construction still is an important
part of the method

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REQUIREMENTS FOR SUCCESSFUL APPLICATION

Design, which considers ground quality and behaviour.

Assessment of possible failure modes important for
determination of excavation and support method

Appropriate monitoring program

Site organization, allowing a flexible response to changing
behaviours

Construction contract allowing modifications of excavation

and support during construction

Safety management plan

Competent staff on site
Good workmanship

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INVESTIGATION & DESIGN

Investigation targeted to the expected ground setup and

behaviour

Assessment of ground behaviour as basis for determination

of construction method rather than use of prefabricated
solutions (classification methods)

Experience is helpful in design, but should always be

combined with unbiased analysis. Each tunnel is a

prototype, thus experience from other projects can be used
only to a limited extent

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MONITORING

As tunnel design is based on many assumptions, fine

tuning is required during construction

The basis for this are the design, the actual geological/

geotechnical conditions, and the monitoring of the tunnel

behaviour

Main elements of observation during construction are

recording of geological conditions with continuous updating

of the ground model, and observing the tunnel behaviour
generally by means of displacement measurement.

Method of observation should be selected to capture the

expected behaviours. Some modes of failure, like
overbreak or rock burst cannot be detected with
displacement monitoring

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MONITORING

Evaluation of the results of displacement measurements

has reached a high level. Prediction of ground quality
ahead of the face, as well as assessment of lining loads
meanwhile are standard on many sites

Interpretation of measurement results requires

understanding of geotechnical mechanisms

Efficient processing and evaluation of the data requires

advanced software

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SITE ORGANIZATION

Clear distribution of responsibilities

Competent staff on site at all times
Efficient decision making allowing for flexible response
Involvement of owner with competent personnel (models
like design-build with quality control by the contractor
have shown to be not appropriate)

To reduce disputes, decision on excavation and support

have to be done jointly by owner and contractor

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WRONG GEOLOGICAL MODEL & SLOW SITE RESPONSE ?

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SAFETY MANAGEMENT PLAN

Identification of safety relevant issues

Definition of expected behaviour
Definition of parameters to be observed, observation

methods, layout, reading frequency, and evaluation methods

Definition of warning and alarm levels and criteria

Definition of contingency measures for each warning level
Action plan in case of an alarm
Organisation plan and reporting structure

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LACK OF SITE ORGANIZATION?

REUTERS/Gilberto Marques (BRAZIL)

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WHAT CAN GO WRONG ?

To fully utilize the potential of NATM, a good deal of

engineering is required. Not always is that potential

available. Copy and paste designs are used, which may not
work for the specific site conditions

Lack of geotechnical understanding

There is still a lot of handwork required. Labor skills thus
essential

Monitoring sometimes is not carried out, or the results not

used or understood

Missing safety management plan, or continuousely

pushing the warning criteria

Too much bureaucrazy prevents quick decisions

Lack of supervision
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THE FUTURE ?

The flexibility of the method with respect to ground

conditions or shape and size of tunnels guarantee a long

life of the method

Improved investigation, characterization and modeling

methods will decrease the uncertainties during design.

Expert systems assist the designers in choosing the right
approach

Automated or semi-automated monitoring data evaluation

will assist in detecting unfavourable evolutions of the
system

Improvements in material and equipment will make

tunnelling safer and more economic

Better education will improve the understanding of ground

behaviour and its interaction with construction

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