For official use only DOC: WRD 14 (545)P

July 2010

BUREAU OF INDIAN STANDARDS

Preliminary
Draft
Indian Standard

CODE OF PRACTICE FOR DESIGN OF TUNNELS CONVEYING WATER

PART 4 STRUCTURAL DESIGN OF CONCRETE LINING IN ROCK
[First Revision IS 4880(Part 4)]

(Not to be reproduced without the permission of BIS or used as standard)

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Last date for receipt of comments is 31-08-2010
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FOREWORD
(Formal clauses will be added later)

Lining of water conductor system is essential to flow and to reduce the seepage losses Water
conductor systems occasionally takes the form of tunnels through high ground or mountains, in rugged
terrain where the cost of surface pipe line or canal is excessive and elsewhere as convenience and
economy dictates. This standard, which has been published in parts lays down the criteria for
structural design of concrete lining for tunnels in rock, covering recommended methods of design.
However, in view of the complex nature of the subject, it is not possible to cover each and every
possible situation in the standard and where necessary to meet the requirements of a project of site,
discretion of the designer would be required.

This standard is one of a series of Indian Standards on tunnels. Other parts of this standard are as
follows:

IS 4880(Pt 1):1987
IS 4880(Pt 2):1976
IS 4880(Pt 3):1976
IS 4880(Pt 5):1972
IS 4880(Pt 6):1971
IS 4880(Pt 7):1975
Code of practice for Design of tunnels conveying water Part 1 General design
(first revision)
Code of practice for Design of tunnels conveying water Part 2 Geometric
design(first revision)
Code of practice for Design of tunnels conveying water Part 3 Hydraulic design
(first revision)
Code of practice for Design of tunnels conveying water Part 5 Structural design
of concrete lining in soft strata and soils
Code of practice for Design of tunnels conveying water Part 6 Tunnel support
Code of practice for Design of tunnels conveying water Part 7 Structural design
of steel lining

This standard was first published in 1971. First revision of this standard was taken up to incorporate
the features like, crack opening, leakage control, crack spacing, precautions in laying concrete,
controlling fractures opening at junction & pen stocks and also protection from blasting vibrations. For
convenience reinforced concrete lining & plain concrete lining have been covered separately as section
1 & 2 respectively in this standard.

For the purpose of deciding whether a particular requirement of this standard is complied with, the final
value, observed or calculated expressing the result of a test or analysis, shall be rounded off in
accordance with IS 2:1960 "Rules for rounding off numerical values (revised)'. The number of
significant places retained in the rounded off value shall be the same as that of the specified value in
this standard.

1
1 SCOPE

1.1 This standard (Part 4) water conveyance covers the criteria for structural design of plain and
reinforced concrete lining for tunnels and circular shafts in rock mainly for river valley projects.

Note - The provisions may, never the less, be used for design of any other type of tunnels, like railway or roadway
tunnel, provided that all factors peculiar to such projects which may affect the design are taken into account

1.2 This standard, does not cover, the design of steel and pre-stressed concrete linings, tunnels in
swelling and/or squeezing type of rocks, soils or clays and cut and cover section.

2 REFERENCES

The following standards contain provision which through reference in this text, constitute provisions of
this standard. At the time of publication, the edition indicated was valid. All standards are subject to
revision, and parties to agreements based on this standard are encouraged to investigate the
possibility of applying the most recent edition of the standard indicated below.

IS No. Title
456:2000 Code of practice for plain and reinforced concrete (third revision)
4880(Pt 5):1972 Code of practice for design of tunnels conveying water : Part 5 Structural design of
concrete lining in soft strata and soils.

3 TERMINOLOGY

3.0 For the purpose of this standard the following definitions shall apply.

3.1 Minimum Excavation Line (A-Line) - A line within which no unexcavated material of any kind
and no supports other than permanent structural steel supports shall be permitted to remain (see Fig.
1).

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3.2 Pay Line (B-Line) - An assumed line (beyond A-line) denoting mean line to which payment
of excavation and concrete lining is made whether the actual excavation falls inside or outside it.

3.3 Cover - Cover on a tunnel in any direction is the distance from the tunnel soffit to the rock
surface in that direction. However, where the thickness of the overburden is significant its equivalent
weight may also be reckoned provided that the rock cover is more than three times the diameter of the
tunnel.

3.4 Primary Lining or Backfill Concrete - A concrete lining laid immediately after excavation and
installation of steel supports if necessary. The shotcrete of NATM may also be termed as primary
lining. This may cover the full section excavated or part section depending on conditions of strata.
This may be plain in-situ concrete or precast concrete segments or cast iron segments packed with
concrete or grout. It is only a backfill and does not play any structural role. The lean concrete mix of
to may be sufficient.The primary lining in conjunction with steel supports or rock bolts counteracts the
rock pressures.

3.5 Final Lining - It is the concrete between primary lining and the finished line of the tunnel. The
final lining provides a smooth surface for the flow. In the situation where no primary concrete or
shotcrete had been done, the concrete laid between the rock and the finished line may be called as
final lining.

3.6 Corrected Slope - It is the angle of stable slope of unweathered rock mass. It shall be less
than the angle of internal friction of rock mass (0).

4 MATERIALS

Use of plain and reinforced concrete shall generally conform to IS 456.

5 GROUTING

5.1 Backfill Grouting

Backfill grouting shall be done at a pressure not exceeding kg/cm2 and shall be considered as a part of
concreting. It shall be done throughout the length of the concrete lining not earlier than 28 days after
placement of the concrete in the lining has cooled off. However, stresses developed in concrete at the
specified grout pressure may be calculated and seen whether they are within permissible limits
depending on the strength attained by concrete by then. The grout pressure mentioned above is the
pressure as measured at the grout hole.

NOTE - Backfill grouting serves to fill all voids and cavities between concrete lining and rock.

5.2 Pressure Grouting

Pressure grouting shall be done at a maximum practicable pressure consistent with the strength of
lining and safety against uplift of overburden. The depth of grout holes shall be at least equal to the
diameter of the tunnel.

NOTE 1 - Pressure grouting consolidates the surrounding rock and fills any gaps caused by shrinkages of concrete .
This grouting is normally specified where lining is reinforced, to improve the rock quality and, therefore, to increase the
resistance of rock to carry internal water pressure. As a rule of thumb a grout pressure of 1.5 times the water pressure
in the tunnel subject to a maximum of 7 kg/cm2 may be used. However the safety against uplift of the overburden must
be ensured.

5.3 Pattern of Holes for Grouting

5.3.1 Backfill or Contact Grouting - Backfill grouting is limited to the arch portion of the tunnel.
The number of holes normally three in each section, the pattern being staggered in each subsequent
sections located 3 m center to center as shown in Fig. 2.

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5.3.2 Consolidation or Pressure Grouting - Consolidation grouting is done to consolidate the
shattered rock all around the cavity. The pattern of holes is such that these are distributed all along the
pheriphery but staggered in alternate sections space 3 m center to center. The number of holes may
be four for smaller tunnels six for bigger tunnels as shown in Figure 3.

6 GROUND WATER DRAINAGE HOLES

6.1 Drainage holes may be provided in other than water conveying tunnels to relieve external
pressure, if any, caused by seepage along the outside of the tunnel lining. In free flow tunnels
drainage holes may be provided above the full supply level. In case of pressure tunnels, if the external
water pressure is substantially more than the internal water pressure, drainage holes may be provided.

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6.1.1 The arrangement of drainage holes depends upon the site conditions and shall be decided by
the designer. However, it is recommended that a set of two drainage holes located is above the
horizontal diameter spaced 3 m along the length of the tunnel may be provided. The depth of holes
may be upto 3 m normally but should be limited to only 15 cm when piping of surrounding material is
apprehended. In such situations replaceable precast porous concrete filter capsules can be provided
into the drainage holes at shown in Fig. 4.

At successive sections: one vertical hole drilled in the crown alternating with two drilled horizontal holes
one in each side wall extending to a depth of at least 15 cm beyond the back of the lining.

6.1.2 If the flow through the tunnel is conveyed in a separate pipe, the horizontal holes shall be drilled
near the invert.
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SECTION 1 - REINFORCED CONCRETE LINING

7 General

7.1 Structural design of tunnel lining requires a thorough study of the geology of rock mass, the
effective cover, results of in situ tests for moduler of elasticity, Poisson's ratio, state of stress and other
mechanical characteristics of the rock. It is preferable to make a critical study of these factors which
may be done in pilot tunnels, test drifts, either during actual excavation or by other exploratory
techniques. The assessment of rock load on the lining and portion of the internal pressure which shall
be assumed to be transmitted to the rock mass, will have to be done by the designer on the basis of
the results of these investigations.

7.2 It is essential for the designer to have fairly accurate idea of the seepage, and the presence or
absence of ground water under pressure likely to be met with. Where heavy seepage of water is
anticipated, the designer shall make provisions for grouting with cement and/or chemicals or extra
drainage holes, and also consider the feasibility of providing steel lining, if necessary. It is
recommended that such designs of alternate use of steel lining may be made along with the design of
plain or reinforced lining so that a design is readily available shall the construction personnel require it
when they meet unanticipated conditions.

7.3 The portions of a tunnel which shall be reinforced and the amount of reinforcement required
depends on the physical features of the tunnel, geological factors and internal water pressure. For a
free-flow tunnel normally no reinforcement need be provided. However, reinforcement shall be
provided where required to resist external loads due to unstable ground or grout or water pressures.
Pressure tunnels with high hydrostatic loads shall have lining reinforced sufficiently to withstand
bursting where in adequate cover or unstable supporting rock exists.

7.4 The provision of reinforcement in the tunnel lining complicates the construction sequence
besides requiring a thicker lining. The use of reinforcement shall, therefore, be restricted, as much as
possible consistent with the safety of lining. For free flow tunnels it is recommended that as far as
possible, no reinforcement shall be provided to resist external loads. Such loads shall be resisted and
taken care of by steel supports and/or precast concrete rings.

7.5 A pressure tunnel shall ordinarily be reinforced wherever the depth of rock cover is less than
50 percent the internal pressure head.

7.6 For design of junctions and transitions for tunnels detailed structural analysis shall be made.
Such transitions are difficult to construct in the restricted working space in tunnels, and the designer
shall keep in view this aspect and propose structures which are easy for construction.

7.7 An adequate amount of both longitudinal and circumferential reinforcement in addition to steel
supports may be provided, if required, near the portals of both pressure and free-flow tunnels to resist
loads resulting from loosened rock headings or from sloughing of the portal cuts.

7.8 If the seepage of water through the lining is likely to involve exessive loss of water and the
structural stability of the rock mass around the tunnel is likely to be affected adversely or might lead to
such situation as to be damaging to the tunnel or adjoining structures, steel lining shall be provided.
Where rock cover is less than that specified in 7.9 and 7.10 or where the cavitation of lining is expected
due to the high velocity of water the provision of a steel liner shall be considered.

7.9 To guard against blow out the conventional practice was to provide a vertical rock cover equal
to the internal water pressure head (H). Recent trend, however, is to provide lesser cover (i.e 0.5 H)
depending upon the nature of the rock.

7.10 For tunnel located near mountain slopes, the lateral cover rather than the vertical cover may be
the governing criteria . In such cases the effective vertical cover equivalent to the actual lateral cover
shall be found out, by drawing a profile of the ground surface (perpendicular to the contour lines) and
fitting the curve shown in Fig. 5 in such a way that it touches the ground surface. The vertical distance
marked `Cv' shall be designated as the effective vertical cover and shall be greater than 50 percent of
the internal pressure head in the tunnel. This method of estimating the effective cover shall not hold
6
good where joints, stratification, faults, etc, in the rock are adversely located to invalidate the
assumption that horizontal cover is half as effective as the vertical cover on the basis of which the
curve of Fig. 5 is drawn. In such cases special analysis shall be made for determining the stability of
the rock mass around the tunnel.

8 LOADING CONDITIONS

8.1 General

Design shall be based on the most adverse combination of probable load conditions, but shall include
only those loads which have reasonable probability of simultaneous occurrence.

8.2 Load Conditions

The design loading applicable to tunnel linings shall be classified as `Normal' and `Extreme' design
loading conditions. Design shall be made for `Normal' loading conditions and shall be checked for
safety under `Extreme' loading conditions (see Annex A). The design loading shall be as follows:

a) External Rock Load (see 10.4.2)

b) Self Load of Lining
c) Design External Water Pressure (see 10.4.3)

i) Normal design loading conditions - The maximum loading obtained from either
maximum steady or steady state condition with loading equal to normal maximum ground water
pressure and no internal pressure, or maximum difference in levels between hydraulic gradient
in the tunnel, under steady state or static conditions and the maximum down surge under
normal transient operation.

ii) Extreme design loading conditions - Loading equal to the maximum difference in levels
between the hydraulic gradient in the tunnel under static conditions and the maximum down
surge under extreme transient operations or the difference between the hydraulic gradient and
the tunnel invert level in case of tunnel empty condition.

d) Design of internal water pressure

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 i) Normal design loading conditions - Maximum static conditions corresponding to
maximum water level in the head pond, or loading equal to the difference in levels between the
maximum upsurge occurring under normal transient operation and the tunnel invert.

ii) Extreme design loading conditions - Loading equal to the difference between the
highest level of hydraulic gradient in the tunnel under emergency transient operation and the
invert of the tunnel.

e) Grout pressures (see 10.4.4)

f) Other Loads -- Pressure transmitted from buildings and structures on external surface lying
within the area of subsidence and non-permanent loads such as weight of vehicles moving in the
tunnel or on the surface above it, where applicable.

8.3 The loading conditions vary from construction stage to operation stage and from operation
stage to maintenance stage. The design shall be checked for all probable combination of loading
conditions likely to occur during all these stages.

9 STRESSES

9.1 For design of concrete lining the thickness of concrete up to A- line shall be considered. The
stress of concrete and reinforcement shall be in accordance with IS 456, for design of lining for
conditions of normal load.

9.1.1 For extreme conditions of loading, the permissible stresses in accordance with 9.1 shall be
increased by 33 percent.

10 DESIGN

10.1 The design of concrete lining for external loads may be done by considering it as an
independent structural member. The design of concrete lining for internal water pressure may be done
by considering the lining as a part of composite thick cylinder consisting of peripheral concrete and
surrounding rock mass subjected to specific boundary conditions (see 10.5).

NOTE - To ensure validity of the assumption that lining is a part of composite thick cylinder in the latter case adequate
measures shall be taken such as pressure grouting of the rock mass surrounding the tunnel.

10.2 Thickness of Lining

The thickness of the lining shall be designed such that the stresses in it are within permissible limits
when the most adverse load conditions occur. The minimum thickness of the lining will, however, be
governed by requirements of construction. It is recommended that the minimum thickness of
unreinforced concrete lining be 15 cm for manual placement. Where mechanical placement is
contemplated the thickness of the lining shall be so designed that the slick line can be easily introduced
on the top of the shutter without being obstructed by steel supports. For a 15 mm slick line a clear
space of 18 cm is recommended. For reinforced concrete lining, a minimum thickness of 30 cm is
recommended, the reinforcement, however, being arranged in the crown to allow for proper placement
of slick line.

10.2.1 However, for preliminary design of lining for tunnels in reasonably stable rock, a thickness of
lining may be assumed to be 6 cm per meter of finished diameter of tunnel.

NOTE - Minimum thickness of lining, as necessary from structural considerations, shall be provided since thin linings
are more flexible and shed off loads to the abutments.

10.3 Where structural steel supports are used, they shall be considered as reinforcement only if it is
possible to make them effective as reinforcement by use of high tensile bolts at the joints or by welding
the joints. A minimum cover of 15 cm shall be provided over the inner flange of steel supports and a
minimum cover of 8 cm over the reinforcement bars.

8
NOTE - Welding of joints in soft strata tunnels may not be possible, and it may become necessary to embed the steel
supports partly or fully in primary concrete immediately after erection. Welded joints shall, therefore, be avoided.

10.4 Design for External Loads

The lining may be considered as an independent structural element assuming that it deflects under the
active external loads and its deflection is restricted by the passive resistance developed in the
surrounding rock mass. At any point on the periphery of the lining this may be stated by the following
equation:

p = r + e + w - y

Where
p = deflection due to passive resistance;
r = deflection due to rock load;
e = deflection due to self weight of lining and the water contained in it;
w = deflection due to the external water pressure, if any; and
y = yield of surrounding rock mass due to abutting of the lining against it.

10.4.1 The following loads and reactions are involved in the design of lining:

a) Rock load (see 10.4.2)

b) External pressure of water, if any (see 10.4.3)
c) Grout pressure, if any (see 10.4.4)
d) Self weight of lining;
e) Weight of water contained in the tunnel;
f) Reaction due to active vertical loads (see 10.4.5);and
g) Lateral passive pressure due to the deformation of lining (see 10.4.6)

NOTE - As compared to the other loads, the self weight and the weight of water contained in the tunnel are small.
These loads are not discussed in detail. However, the formulae for calculating bending moment, thrust, radial shear and
horizontal and vertical deflections caused by self load and the weight of water contained in the conduit are given in
Annex C

10.4.2 Rock Load

Rock load acting on the tunnel varies depending upon the type and mechanical characteristics of rock
mass, pre-existing stresses in the rock mass and the width of the excavation. The rock load is also
affected by ground water conditions which may lubricate the joints in rock and cause greater load than
when the material is dry.

Resistivity imaging technique may be resorted to assess the quality of tunneling media and to identify
localized potential trouble spots such as cave in zones and chimney formation area so to aid the
Designer and the project Engineer to preplan appropriate tunnel support. This would be desirable to be
adopted in critical reaches. The existing stresses and their distribution after tunneling has a great effect
on the development of load on tunnel lining. The redistribution may take considerable time to reach an
equilibrium condition. Wherever it is felt that rock loads are likely to develop excessively it is advisable
to prevent the movement of rock by immediately supporting it by shotcreting and/or steel supports, and
primary lining. Where weak rocks are supported by steel rib supports, much of the rock load would be
taken by the supports and the lining would take the load developed after its placement. There may
also be redistribution of stresses in supports due to deformation of the lining. A reasonable approach is
to determine the diametral changes in the supported section with respect to time before concreting to
estimate the extent of deformation that has already taken place. This investigation may be
conveniently done in an experimental section of the tunnel or pilot tunnel with proper instrumentation.

In major tunnels, it is recommended that as excavation proceeds, load cell measurements and
diametral change measurements are carried out to estimate the rock loads. In rocks where the loads
and deformations do not attain stable values, it is recommended that pressure measurements shall be
made using flat jack or pressure cells.

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10.4.2.1 In the absence of any data and investigations, rock loads may be assumed to be acting
uniformly over the tunnel crown as shown in Fig. 6 in accordance with Annex B. However, Annex B
may be taken as an aid to judgment by the designer.

When tunnel supports an designed for rock load and then is sufficient time lapse for which can be by
instrument measurement at arbitrary locations so that rock load should be taken for design of tunnel
lining. However when the tunnel is located very close to important structures as dam etc. and no crack
in lining is to be permitted designer may taken upto 50 percent of rock load.

10.4.3 External Water Pressure

Lining shall be designed for external water pressure, if any. However, in areas where drainage holes
are provided, lining shall not be designed for external water pressure. For conditions of loading for
external water pressure reference may be made to 8.2. For design of lining for external water pressure
where effective pressure grouting has been done, the water pressure may be assumed to act on the
whole grouted cylinder which may be taken as a structural element for computing the stresses and
deformation of lining.

10.4.4 Grout Pressures

The lining shall be checked for stresses developed in it at the pressure on which grouting is done and it
shall be ensured that the stresses are within the possible limits depending on the strength attained by
concrete.
10.4.5 Vertical Reactions

Reactions due to the vertical loads may be assumed, reasonably, to be vertical and uniformly
distributed on the invert of the lining as shown in fig.3

NOTE - These reactions, may, not be uniform depending upon the foundation conditions. Never the less, with the
uncertainties involved in the design of tunnels, the assumption may not give accurate results. On the other hand uniform
reactions would give more critical condition.

10.4.6 Lateral Passive Pressure

The lateral passive pressure may be estimated either by considering the lining as a ring restrained by
elastic medium with a suitable modulus of deformation or by restricting the maximum deflection of the
lining at the horizontal diameter to an assumed value (depending upon the yield of the surrounding rock
mass) by the lateral passive pressure. The latter method is discussed in details in 10.4.6.1 for design
of circular linings. For design of non-circular linings the former method shall only be used.

10.4.6.1 For analysing a circular lining, the designer will have to assume the maximum deflection
to be permitted along the horizontal central axis of the tunnel. This value of horizontal deflection will
consist of the yield of the rock mass surrounding the tunnel (see Note 2). It may be assumed that any

10
further deflection of the lining is restricted to this value by the lateral passive resistance of the
surrounding rock mass in a pattern given in Fig.6. The design shall be such that the maximum value of
the passive resistance is within the maximum permissible values.

NOTE 1 - For circular lining the deflection is outward in a zone extending approximately from above the horizontal
diameter to the invert as the invert move up. The maximum value is near horizontal diameter. On the above
consideration and neglecting the effect of vertical translations of the lining, the lateral rock restraint may be assumed to
have approximately a triangular distribution as shown in Fig. 6. The vertical translation of the lining would cause a
shifting of the point of maximum intensity slightly below the horizontal diameter and restriction of the upper limit to an
angle slightly less than , but the effect of ertical translation would be small and can be neglected. The passive pressure
would, in fact, be also radial to the surface but in view of the fact that the deflections would be mostly in horizontal
direction and vertical deflections would be small, it may be assumed to act in horizontal direction.

NOTE 2 The rock mass surrounding the tunnel yields due to the bearing pressure of lining against it. This yield may be
due to closing up of joints and fractures in the rock mass and also due to its elastic or plastic deformation. The value of
yield taken for design shall be based on the experiments carried out in the test sections (see 7.1)

At Bhakra Dam, rock deflection tests indicated yield of either face in poor shattered rock as 1.25 mm under a stress of
kg/cm. However, a total deflection of 3.8 mm was assumed in the design of lining though actual bearing pressure on the
rock was anticipated to be much less. Experiments on Garrison Dam tunnels, in clay shale of internal diameter 8.8 m
and lining thickness of 0.9 m indicated deflection of either face of lining at horizontal diameter to range between 3 to 4
mm. In design of Ramganga Dam tunnels outer deflection of either face of lining at horizontal diameter was assumed to
be 3.8 mm.

10.4.6.2 Formulae for determining the values of horizontal deflection, vertical deflection, bending
moments, normal thrust, radial shear for the various circumferential points on a circular lining are given
in Annex C considering the invert as the reference point for various loads excepting the internal
pressure. In derivation of these values the pattern of vertical reaction and passive pressure has been
assumed in accordance with 10.4.5 and 10.4.6 as shown in Fig. 6.

10.4.7 For non-circular lining model tests are recommended to determine the stress distributions.
However, the design may be done assuming uniformly distributed loads as in the case of circular
tunnel, and using the same distribution for passive pressures. The design of such indeterminate
sections may be done by standard methods and is not covered by this standard.

10.5 Design for Internal Water Pressure

Lining shall be considered as a part of composite thick cylinder consisting of peripheral concrete and
surrounding rock mass subjected to specified boundary conditions.

NOTE - This method suffers from uncertainties of external loads, material properties and indeterminate tectonic forces.
In this method the rock surrounding the tunnels is assumed to have reasonably uniform characteristics and strength and
that effective pressure grouting has been done to validate the assumption that concrete lining and surrounding rock
behave as a composite cylinder. The grout fills the crack in the rock & thus educes its ability to deform inelastically and
increased the modulus of deformation. The grout pressures are high enough to cause sufficient prestress in the lining
with the result that the effect of temperature and drying shrinkage and inelastic deformation might be completely
counteracted.

10.5.1 For analysing a circular lining the method given in Annex D may be adopted. The design shall
be such that at no point in the lining and the surrounding rock the stresses exceed the permissible
limits.

If the rock is very good, cracking of lining may be permitted to some extent provided it is not otherwise
harmful. In that case, tangential stresses in concrete lining will be absent and correspondingly,
tangential stress in rock with increase.

If the rock is not good, tensile stress in concrete may exceed the allowable limit and in such a case,
reinforcement may be provided. Reinforcement however, is not capable of reducing the tensile
stresses to a considerable extent. By suitable arrangement, it will help to distribute the cracks on the
whole periphery in the form of hair cracks which are not harmful because they may get closed in course
of time, or at least they will not result in serious leakages.

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10.5.2 For analysing non-circular linings, the stress pattern may be determined by photo-elastic
studies.

SECTION 2 - PLAIN CONCRETE LINING

11 General

11.1 Plain cement concrete lining of a water power tunnel may crack at number of places. Also, the
construction joints are likely to open under internal water pressure. Generally, two to four construction
joints are provided so that actual behavior of the lining does not change from the segmented lining.

11.2 Reinforcement hampers in laying good and dense concrete in lining. Further no reinforcement
shall be provided in the lining of tunnels except at inlet and outlet ends, the distress reaches and in the
plug reaches. Well compacted concrete is desirable to withstand high velocities and abrasion.

11.3 Plain concrete lining shall be avoided in rock masses of very poor quality and in reaches of
thick shear zones even if enough rock cover is available.

11.4 Plain concrete lining shall not be provided when tunnel alignment is curved. This is because
plain concrete lining may not be able to withstand the centrifugal forces generated due to flowing water.

11.5 For feasibility of plain concrete lining the following condition shall be satisfied:

h cos i > P

Where
= Unit weight of rock mass
h = perpendicular rock cover w.r.t. corrected slope (see Fig. 7)
i = corrected slope angle of hill (see fig. 7)
P = design internal water pressure

NOTE - Slope angle shall be corrected as shown in Fig.7 and shall exclude loose overburden and weathered rock mass
which is likely to fail in sliding.

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12 LOADS

12.1 The design given in this standard shall be based on the internal design water pressure
according to IS 4880(Part V).

13 DESIGN CRITERIA

13.1 General

Fig. 8 shows a crack pattern in plain concrete lining. Actual number of cracks and crack opening may
be less than predicted due to percolation of water inside the rock mass through cracks.

The presence of steel sets/ribs to support rock mass may further reduce the number of cracks.

13.2 The guidelines for the design of plain concrete final lining for power tunnels are as follows.

13.2.1 Crack Spacing

Number of cracks shall be calculated assuming that crack will occur where tangential stress exceeds
ultimate tensile strength of concrete. Thus,

2 a(p-a)& KN
N -----------------------
t(ft + p)

Where
N = number of cracks
a = internal radius of tunnel in m.
p = internal design water pressure in Kg/cm
= coefficient of thermal expansion of concrete
= temperature of water - temperature of lining (initial) in oC.
K = normal stiffness of rock mass, and (1+ )a
E = modulus of deformation of rock mass = E / (1 + )a
= Poisons' ratio of rock mass
t = thickness of lining in m.
ft = ultimate tensile strength of concrete lining in bending in Kg/cm

The number of crack shall be limited so that length of segment is more than say three times the
thickness of lining and 1.75 m so that it is not easily eroded by the flow of water.
So, the spacing of crack(s) at the outer periphery work out as follows:

2a
S = ------- = (ft + p t/(p-a i K)
N
> 3t and 1.75 m

NOTE - For power tunnels in cold regions, the temperature of water may drop down considerably below the normal or
initial temperature.

This drop in temperature will result in thermal tensile stresses in the concrete lining and so it shall be
considered in the design.

13.2.2 Thickness of lining may be varied according to the water head along the tunnel alignment but
the inner face of lining shall be of the same diameter for smooth flow of water.

13.2.3 Crack Opening

The average crack opening (2m) shall be calculated as follows:

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 (1 + ) t(ft + p)
2u = ----------------
E
Where
t = Lining thickness
= Poission's ratio
2u = Crack opening
ft = ultimate tensile strength of concrete
E = Modulus of deformation of rock mass
p = Water pressure

13.2.4 The opening of each crack (2u) shall be less than the permissible limit (3mm)

NOTE - For non-uniform lining thickness, t may be taken as the average lining thickness. It will be better if crack pattern
is predicted by finite element analysis in such cases. In case of an isotropic rock mass, minimum value of modulas of
deformation of rock mass shall be considered.

13.2.5 The lining thickness shall be adequate to withstand the net water pressure from outside the
lining when the internal water pressure is reduced. The hoop stress in empty tunnel is given by,
(p+Proof) (a+t)
= -----------------
t

where
= hoop stress in the concrete lining
roof = vertical support pressure due to rock mass [see Table 2 of IS:4880(Part V)].

13.2.6 The hoop stress calculated shall be less than the permissible compressive strength of concrete
as per IS 456.

13.2.7 Leakage Control

A rock having permeability K less than 10-5 cm/sec helps to check the excessive leakage. If the
permeability exceeds this limit the rock mass shall be grouted.

13.2.8 Good bond between concrete lining, blocking concrete and rock mass shall be ensured by
contact grouting under adequate grout pressure.

14
13.2.9 The internal water pressure shall not be more than the allowable bearing pressure of the rock
mass. Otherwise, rock mass shall be grouted.

13.2.10 Bolting of the lining to the rock mass is not required to prevent dislodging of cracked
segments due to hydraulic forces of flowing water, provided the crack opening is less than the
permissible limit and the number of cracks are not too many (preferably less than 18).

13.2.11 In case deformation modulas of rock mass is equal or more than that of the concrete used in
lining, lining may be designed (according to clause 13.2.5) for external water pressure only; as high
tensile stresses may not develop in the lining due to internal pressure. As such concrete lining may not
crack at all.

13.2.12 Considerations for weak zones in rock mass.

13.2.12.1 If shear zone is thicker than 15 cms,then RCC lining shall be used in that region. The RCC
lining shall extend upto half diameter on both sides of the shear zone.

13.2.12.2 In case of fault zone and thrust zone RCC lining shall be used. (It does not apply to active
faults and thrusts).

13.2.12.3 In case of alternate bands of weak and strong strata, lining shall be designed for weaker
strata (e.g. shale, phyllite, slate, etc..).

14 PRECAUTIONS IN LAYING OF CONCRETE

14.1 Since the concrete lining is generally thin, it is not necessary to control the temperature of
concrete in laying. However, in situations where thermal gradient is high and temperature in the tunnel
is more than 25, precaution shall be taken as per IS 456.

15 CONTROLLING FRACTURE OPENING AT JUNCTION OF LINING AND PENSTOCK

15.1 There is steep hydraulic gradient of seepage flow within the rock mass near the junction of
steel liner and concrete lining. As such rock mass around the liner will be consolidated and so actual
joints are likely to be opened up. Consequently, excessive leakage may take place through this open
joint. In few cases leakages have been actually observed on the fill face near the junction. The
fracture opening can be stopped by consolidation grouting of rock mass in the neighborhood of the
junction of penstock and lining.

16 PROTECTION FROM BLASTING VIBRATIONS

16.1 Concrete lining shall not be laid right upto the tunnel face. There shall be adequate distance
between the concrete lining and tunnel face (say 100 m) so that blasting at the face dose not cause
damage to the lining due to high vibration level.

16.2 Concrete lining shall also be protected from blasting on the hill surface (for spillway or slope
cutting etc.). In case of shallow rock covers (say 100 m) the sequence of construction be planned
properly to avoid laying of concrete lining during surface blasting. Alternatively, blasting shall be
started after concreting has been laid in the crown also.

15
 ANNEX A
(Clause 8.2)

BASIC CONDITIONS FOR INCLUDING THE EFFECT OF WATER HAMMER IN THE DESIGN

A-1. The basic conditions for including effect of water hammer in the design of tunnels or turbine
penstock installations are divided into normal and emergency conditions with suitable factors of safety
assigned to each type of operation.

A-2. NORMAL CONDITIONS OF OPERATIONS

A-2.1 The basic conditions to be considered are as follows:

a) Turbine penstock installation may be operated at any head between the maximum and
the minimum values of fore bay water surface elevation.
b) Turbine gates may be moved at any rate of speed by action of the governor head up to
a predetermined rate, or at a slower rate by manual control through the auxiliary relay
valve.
c) The turbine may be operating at any gate position and be required to add or drop any or
all of its load.
d) If the turbine penstock installation is equipped with any of the following pressure control
devices it will be assumed that these devices are properly adjusted and function in all
manner for which the equipment is designed.
1) Surge tanks,
2) Relief valves,
3) Governor control apparatus,
4) Cushioning stroke device, and
5) Any other pressure control device.
e) Unless the actual turbine characteristics are known, the effective area through the
turbine gates during the maximum rate of gate movement will be taken as a linear
relation with reference to time.
f) The water hammer effects shall be computed on the basis of governor head action for
the governor rate which is actually set on the turbine for speed regulation. If the relay
valve stops are adjusted to give a slower governor setting than that for which the
governor is designed this shall be determined prior to proceeding with the design of
turbine penstock installation and later adhered to at the power plant so that an
economical basis for designing the penstock scroll case, etc, under normal operating
conditions may be established.
g) In those instances, where due to higher reservoir elevation, it is necessary to set the
stops on the main relay valve for a slower rate of gate movement, water hammer effects
will be computed for this slower rate of gate movement also.
h) The reduction in head at various points along the penstock will be computed for rate of
gate opening which is actually set in the governor in those cases where it appears that
the profile of the penstock is unfavourable. This minimum pressure will then be used as
a basis for normal design of the penstock to ensure that sub-atmospheric pressures will
not cause a penstock failure due to collapse.
j) If a surge is present in the penstock system, the upsurge in the surge tank sill be
computed for the maximum reservoir level condition for the rejection of the turbine flow
which corresponds to the rated output of the generator during the gate traversing time
which is actually set on the governor.
k) The downs urge in the surge tank will be computed for minimum reservoir level
condition for a load addition from speed-no-load to the full gate position during the gate
traversing time which is actually set on the governor.

16
A-3. EMERGENCY CONDITIONS

A-3.1 The basic conditions to be considered as an emergency operation are as follows:

a) The turbine gates may be closed at any time by the action of the governor head,
manual control knob with the main relay valve or the emergency solenoid device.
b) The cushioning stroke will be assumed to be inoperative.
c) If a relief valve is present, it will be assumed inoperative.
d) The gate traversing time will be taken as the minimum time for which the governor is
designed.
e) The maximum head including water hammer at the turbine and along the length of the
penstock will be computed for the maximum reservoir head condition for final part gate
closure to the zero gate position at the maximum governor rate in 2L/a seconds. Where
'L' is length of penstock 'a' wave velocity.
f) If a surge tank is present in the penstock system, the upsurge in the tank will be
computed for the maximum reservoir head condition for the rejections of full gate
turbine flow at the maximum rate for which the governor is designed. The down surge in
the surge tank will be computed for the minimum reservoir head condition for full gate
opening from the speed-no-load position at the maximum rate for which the governor is
designed. In determining the top and bottom elevations of the surge tank nothing will be
added to the upsurge and down surge for this emergency condition of operation.

A-4. EMERGENCY CONDITIONS NOT TO BE CONSIDERED AS A BASIS FOR DESIGN

A-4.1 The other possible emergency conditions of operation are those during which certain
pieces of control are assumed to malfunction in the most unfavourable manner. The most severe
emergency head rise in a turbine penstock installation occurs from either of the two following
conditions of operation:

a) Rapid closure of turbine gates in less than 2L /a second, when the flow of water in the
penstock is maximum.
b) Rhythmic opening and closing of the turbine gates when a complete cycle of gate
operation is performed in 4L / a second.

Since these conditions of operation require a complete malfunctioning, of the governor control
apparatus at the most unfavourable moment, the probability of obtaining this type of operation is
exceedingly remote. Hence, the conditions shall not be used as a basis for design. However, after the
design has been established from other considerations it is desirable that the stresses in the turbine
scroll case penstock and pressure control devices be not in excess of the ultimate bursting strength
or twisting strength of structures for these emergency conditions of operation.

17
 ANNEX B
(Clause 10.4.2.1)

ROCK LOADS ON TUNNEL LINING

B-1. SCOPE

B-1.1 This Annex contains recommendations for evaluating rock loads on tunnel lining.

B-2. LOAD DISTRIBUTION

B-2.1 Rock load may be assumed as an equivalent uniformly distributed load over the tunnel soffit
over a span equal to the tunnel width or diameter as the case may be.

B-3. LOAD

B-3.1 Rock loads may be estimated by any of the methods given in B-3.1.1 to B-3.1.3.

B-3.1.1 Rock load at depths less than or equal to 1.5 (B +Ht) maybe taken as equal to depth of actual
rock cover where B is the width and Ht is the height of the tunnel opening. In case of circular tunnels
B and Ht both will be equal to the diameter of tunnel D.

Rock load (Hp) on the roof of support in tunnel with width B and height Ht at depth of more than1.5 (B
+ Ht) may be assumed to be according to Table 1. The rock loads estimated from Table 1 (based on
Terzaghis approach) provides reasonable values for smaller tunnels say upto 6m diameter. This
table was modified in 1970 taken into account the RQD (a measure of ruck quality). Therefore for
tunnels having diameter more than 6 m, the modified Table 2 should be used.

B-3.1.2 Rock load may also be worked out using Fenner's ellipse (see Fig. 9) by the following
equation:

a = b (m - 2)
2
Where
a = main axis of ellipse of rock load,
b = tunnel diameter (excavated), and
m = inverse of poissons ratio for rock (which usually varies from 2 to 7)

The weight of rock in the shaded portion may be taken as rock load and may be considered as
uniformly distributed on the diameter of tunnel.

NOTE - The above treatment assumes the rock to be homogeneous and to behave within elastic range. It has also
limited application as it does not give any rock loads for value of poissons ratio equal to 0.25 and above. It does not
also take into consideration the strength and characteristics of rock.

B-3.1.3 The rock load according to the Russian practice depends upon the degree of rock
firmness. The rock load may be taken as that for rock area enclosed by a parabola starting from
intersection points of the rupture planes with horizontal length drawn to the crown of the tunnel
section. The dimensions of the parabola are given below (see Fig. 10).
B
h=
2f
B = b + 2m tan(45 0 / 2)
Where
= the angle of repose of the soil,
f= the strength factor after Protodyakonov (see Table 3).

In the case of circular tunnels,

B = D [1+2 tan (450 - /2)]
18
 Where, D= diameter of the tunnel.

TABLE 1 ROCK LOAD [For Tunnel Load ( For Tunnels up to 6 m dia)]

(Clause B-3.1.1)

SL. ROCK CONDITION ROCK LOAD HP REMARKS

NO.
1 Hard and intact
2 Hard stratified or schistose
3 Massive, moderately
Jointed
4 Moderately blocky and seamy
5 Very blocky and seamy
6 Completely crushed but 1.10 (B+Ht)
chemically intact
7 Squeezing rock, moderate depth
8 Squeezing rock, great depth
9 Swelling rock
m
Zero Light lining required only if
spalling or popping occurs
0 to 0.50 B Light support
0 to 0.25 B Load may change erratically
from point to point
0.25 B to 0.35 (B+Ht) No side pressure
(0.35 to 1.10) (B+Ht) Little or no side pressure
Considerable side pressure.
Softening effect of seepage
towards bottom of tunnel.
Requires either continuous
support for lower ends of ribs
or circular ribs.
(1.10 to 2.10) (B+Ht) Heavy side pressure. Invert
struts required. Circular ribs
(2.10 to 4.50) (B+Ht)
are recommended.
Up to 80 m irrespective of Circular ribs required. In
value of (B+Ht) extreme cases use yielding
support.

NOTE 1 - The above Table has been arrived on the basis of observation and behaviour of supports in Alpine tunnels
where the load was derived mainly on loosening type of rock.

NOTE 2 - The roof of the tunnel is assumed to be located below the water table. If it is located permanently above the
water table, the values given for types 4 to 6 may be reduced by fifty percent.

NOTE 3 - Some of the most common rock formations contain layers of shale. In an unweathered state, real shales are
no worse than other stratified rocks. However, the term shale is often applied to firmly compacted clay sediments which
have not yet acquired the properties of rock. Such so called shales may behave in the tunnel like squeezing or even
swelling rock. Such so called shales may behave in the tunnel like squeezing or even swelling rock.

NOTE 4 - If rock formation consists of sequence of horizontal layers of sand stone or lime stone and of immature shale,
the excavation of the tunnel is commonly associated with a gradual compression of the rock on the both sides of the
tunnel, involving a downward movement of the roof. Further more, the relatively low resistance against slippage at the
boundaries between the so called shale and rock is likely to reduce very considerably the capacity of rock located above
the roof to bridge. Hence, in such rock formations, the roof pressure may be as heavy as in a very blocky and seamy
rock.

TABLE 2 ROCK LOAD [For Tunnel Load (For Tunnels above 6 m dia]
(Clause B- 3.1.1)

Rock Class & Condition RQD Rock Load Hp Remarks

I Hard and intact 95-100 Zero Same as Table 1

II Hard straified or schistose 90-99 0-0.5B Same as Table 1
III Massive moderately jointed 85-95 0-0.25B Same as Table 1
IV Moderately blocky and seamy 75-85 0.25B-0.35 (B+Hi) Types IV V and VI reduced
by about 50% from
Terzaghi values because
water table has little effect
on rock load
19
V Very blocky and seamy 30-75 (0.2-0.6) (B+Hi) Same as above
VI Completely crushed 3-30 (0.6-1.10) (B+Hi) Same as above
VIa. Sand and gravel 0-3 (1.1-1.4) (B+Hi) Same as above
VII Squeezing rock at moderate NA (1.10-2.10) (B+Hi) Same as Terzaghi's
depth
VIII Squeezing rock at great depth NA (2.10-4.50) (B+Hi) Same asTerzaghi's
IX Swelling rock NA Upto 80m irrespective Same as Terzaghi's
of the value of (B+Hi)

NOTATIONS: B= tunnel span; Hi = height of the opening and Hp = height of the loosened rock mass
above the tunnel crown developing load.

TABLE 3 STRENGTH FACTORS

(Clause B-3.1.3)

CATE- STRENGTH DENOTATION OF ROCK (SOIL) UNIT CRUSHING STRENGTH

GORY GRADE WEIGHT STRENGTH ENERGY
(kg/m3) (kg/cm2) FACTOR
I Highest Solid, dense quartizite, basalt and other 2 800-3 000 2 000 20
solid rocks of exceptionally high
strength.
II Very high Soild, granite, quartzporphyr, silica 2 600-2 700 1 500 15
shale. Highly resistive sandstones and
limestones.
III High Granite and alike, very resistive sand 2 500-2 600 1 000 15
and limestones. Quartz. Solid
conglomerated.
IIIa High Limestones, weathered granite. Solid 2 500 800 8
sandstone, marble.
IV Moderately Normal sandstone 2 400 600 6
strong
IVa Moderately Sandstone shales. 2 300 500 5
strong
V Medium Clay-shales. Sand and Lime stones of 2 400-2 600 400 4
smaller resistance. Loose
conglomerates.
Va Medium Various shales and slates. Dense marl 2 400-2 800 300 3

VI Moderately Loose shale and very loose limestone, 2 200-2 600 200-150 2
loose gypsum, frozen ground, common marl.
Blocky sanstone, cemented gravel and
boulders, stoney ground
VIa Moderately Gravelly ground, Blocky and fizzured 2 200-2 400 - 1.5
loose shale, compressed boulders and gravel,
hard clay
VII Loose Dense clay, Cohesive ballast, Clayey 2 000-2 200 - 1.0
ground
VIIa Loose Loose loam, loess, gravel. 1 800-2 000 - 0.8
VIII Soils Soil with vegetation peat, soft loam, wet 1 600-1 800 - 0.6
sand.
IX Granular Sand, fine gravel, upfill 1 400-1 600 - 0.5
soils
X Plastic soils Silty ground, modified looses and other - - 0.3
soils in liquid condition

20
The load maybe taken as uniformly distributed over the diameter of the tunnel.

NOTE - The above is applicable when the distance between the vertex of the pressure parabola from the bottom of
the weak layer or from the ground surface is not less than h. However, where this conditions is not fulfilled the total
value of rock laod maybe assumed.

21
 ANNEX C
(Note Under Clause 10.4.1 and Clause 10.4.6.2)

FORMULAE FOR VALUES OF BENDING MOMENTS, NORMAL THRUST, RADIAL SHEAR,

HORIZONTAL AND VERTICAL DEFLECTION

C-1. The values of bending moment, normal thrust, radial shear and horizontal and vertical
deflection for the loading pattern shown in Fig. 6 are given in Table 4 to 8.

C-2. For purpose of this Annex, the following notations shall apply:

E= Young's modulus of the lining material

I= moment of inertia of the section,
K= intensity of lateral triangular load at horizontal diameter,
P= total rock load on mm diameter
r= internal radius of tunnel,
R= mean radius of tunnel lining
f = thickness of lining
W= unit weight of water,
Wc = unit weight of concrete, and
= angle that the section makes with the vertical diameter at the centre measured from
invert.

C-3 For the purpose of this annex, the following sign conventions shall apply:

a) Positive moment indicates tension on inside face and compression on outside face;
b) Positive thrust means compression on the section;
c) Positive shear means that considering left half of the ring the sum of all the
Forces on the left of the section acts outwards when viewed from inside.
d) Positive horizontal deflection means outward deflection with reference to centre of
conduit; and
e) Positive vertical deflection means downward deflection.

TABLE 4 VALUES OF BENDING MOMENTS

(Clause C-1)

UNIFORM VERTICAL CONDUIT WEIGHT CONTAINED LATERAL

LOAD WATER PRESSURE
0 +0.125 0 PR +0.440 6 Wc t R2 + 0.220 3 W r2 R - 0.143 4 KR 2
Zero -0.033 4 Wc t R 2 - 0.016 7 W r2 R - 0.008 4 KR2
4
- 0.125 0 PR - 0.392 7 Wc t R2 -0.196 3 W r2 R +0.165 3 KR2
2
3 Zero + 0.033 4 Wc t R2 +0.016 7 W r2 R -0.018 7 KR2
4
+ 0.125 0 PR +0.344 8 Wc t R2 +0.172 4 W r2 R - 0.129 5 KR2

TABLE 5 VALUES OF NORMAL THRUST

(Clause C-1)

UNIFORM VERTICAL CONDUIT WEIGHT CONTAINED LATERAL

LOAD WATER PRESSURE
0 Zero +0.166 7 Wc t R - 1.416 6 W r2 + 0.475 4 KR

22
 + 0.250 0 P +1.133 2 Wc t R - 0.786 9 W r2 + 0.305 8 KR
4
+ 0.500 0 P + 1.570 8 Wc t R -0.214 6 W r2 Zero
2
3 +0.250 0 P + 0.437 6 Wc t R -0.427 7 W r2 +0.267 4 KR
4
Zero -0.166 7 Wc t R -0.583 4 W r2 +0.378 2 KR

TABLE 6 VALUES OF RADIAL SHEAR

(Clause C-1)

UNIFORM VERTICAL LOAD CONDUIT WEIGHT CONTAINED LATERAL

WATER PRESSURE
0 Zero Zero Zero Zero
2
- 0.250 0 P -0.897 6 Wc t R - 0.448 8 W r + 0.305 8 KR
4
Zero + 0.1667 Wc t R +0.0833 W r2 -0.0246 KR
2
3 +0.250 0 P + 0.6732 Wc t R -+0.3366 W r2 -0.267 4 KR
4
Zero Zero Zero Zero

TABLE 7 VALUES OF HORIZONTAL DEFLECTION

(Clause C-1)

UNIFORM VERTICAL CONDUIT WEIGHT CONTAINED LATERAL

LOAD WATER PRESSURE
0 Zero Zero Zero Zero
PR 3
Wc tR 4 2
Wr R 3
KR 4
+ 0.014 73 +0.050 40 +0.025 20 -0.017 50
4 EI EI EI EI
PR 3 Wc tR 4 Wr 2 R 3 KR 4
+ 0.041 67 +0.130 90 +0.065 45 -0.050 55
2 EI EI EI EI
3 PR 3 Wc tR 4 Wr 2 R 3 KR 4
+ 0.014 73 +0.042 16 +0.021 08 -0.016 24
4 EI EI EI EI
Zero Zero Zero Zero

TABLE 8 VALUES OF VERTICAL DEFLECTION

(Clause C-1)

UNIFORM VERTICAL CONDUIT WEIGHT CONTAINED LATERAL

LOAD WATER PRESSURE
0 Zero Zero Zero Zero
PR 3
Wc tR 4 2
Wr R 3
KR 4
+ 0.026 94 +0.092 79 +0.046 40 -0.031 76
4 EI EI EI EI

23
 PR 3 Wc tR 4 Wr 2 R 3 KR 4
+ 0.041 67 +0.139 17 +0.069 58 -0.049 95
2 EI EI EI EI
3 PR 3 Wc tR 4 Wr 2 R 3 KR 4
+ 0.056 40 +0.185 35 +0.092 68 -0.068 10
4 EI EI EI EI
PR 3 Wc tR 4 Wr 2 R 3 KR 4
+ 0.083 33 +0.261 80 +0.130 90 -0.097 39
EI EI EI EI

24
 ANNEX D
(Clause 10.5.1)

BASIC EQUATIONS FOR ANALYSIS OF TUNNEL LINING CONSIDERING IT AND THE

SURROUNDING ROCK AS A COMPOSITE CYLINDER

D-1 SCOPE

D-1.1 This Annex contains basic equations for calculating radial and tangential stresses in concrete
lining and the surrounding rock mass considering both as parts of composite cylinder.

D-2 NOTATIONS

D-2.1 For this Annex the following notations shall apply:

P = internal hydrostatic pressure (negative compression);

t1, t2, t3 = tangential stress in rock, concrete and steel respectively;
r1, r2, r3 = radial stress in rock, concrete and steel respectively;
E1, E2, E3 = modulus of elasticity of rock, concrete and steel respectively;
m1, m2 = poission's number of rock, and concrete respectively;
U1, u2, u3 = radial deformation in rock, concrete and steel respectively;
x = radius of element;
B & C, etc = integration constants;
As = areas of reinforcement per unit length of tunnel;
a = internal radius of the tunnel;. and
b = catchment external radius of the lining up to minimum excavation line
(A-line)

D-3 BASIC EQUATIONS

D-3.1 Plain Cement Concrete Lining Considering that it is not Cracked.

a) Basic Equations:

mE C
r = B( m + I ) 2 (m I )
m 1
2
x
mE C
t = B (m + I ) + 2 (m I )
m 1
2
x
U = Bx + C / x

b) Limit Conditions and Constants:

1) When x = r1 = 0
2) When x = b , r3 = r2
3) When x = b , r2 = - p
4) When x = b , U1 = U 2

D-3.2 Plain Cement Concrete Lining Considering that it is Cracked

a) Basic Equations for Rock:

m1 E1 C
r1 = 2 B1 (m1 + I ) 21 (m1 I )
m1 1 x

25
 m1 E1 C
t1 = 2 B 1 ( m 1 + I ) + 21 ( m 1 I )
m1 1 x

b) For Concrete:

a.( rr 2 )x = a
r2 =
x
t2 = 0 (since concrete does not take any tangential stress)

c) Limit Conditions:

1) When x = r1 = 0
2) When x = b , r1 = r 2
3) When x = b , r 2 = -p

d) Constants are calculated as:

BI = 0
a.b. p (m1 + 1)
CI =
m1 E1

( r 2 ) x = a = p

D- 3.3 Plain Cement Concrete Lining Considering that it is Cracked and Surrounding Rock also is
Cracked for a Distance Equal to Radius Beyond which Rock is Massive and Uncracked.

a) For Concrete :
a . ( r 2 )x = a
r2 =
x
t2 =0

b) For Cracked Rock:

a.( r 2 )x = a
r1 ' =
x
t1 ' = 0

NOTE- Symbol r1 ' and t1 ' refer to cracked zone of rock.

c) For Surrounding Uncracked Rock:

m1 E1 C1
r1 = B1 (m1 + I ) x 2 (m1 I )
m 21 I

mE C
t1 = 2 1 1 B1 (m1 + I ) + 21 (m1 I )
m 1I x

d) Limit Conditions:

1) At x = r1 = 0
2) At x = y, r1 ' = r 1
26
 3) At x = b, r 2 = r1 '
4) At x = a, r2 = p

D-3.4 Reinforced Cement Concrete Lining Considering that it is not Cracked

a) Basic Equations:

B (m + I ) x 2 (m I )
mE C1
r =
m2 I

= 2 1 1 B1 (m + I ) 21 (m I )
mE C
r1
m 1I x

U = Bx + x

E3 C2
t3 = ( B2 a + )
a a

E 3 As O
r3 = 2
( B2 a + 2 )
a a

b) Limit Conditions and Constants:

) At x = r1 = 0
2) At x = y, r1 = r 2
3) At x = a, r2 r3 = p
4) At x = b, U1 = U 2

c) Constants are given by:

C1 = B2 b 2 + O2

E 2 m2 (m1 + 1) E 2 m2 (m1 + 1)2

C2 = B2 C 2
E1 m1 (m2 + 1) E1 m1 (m2 1)

E m E A Em E A
p = B2 2 2 3 s B2 2 3 2 + 3 3 s C 2
m2 1 a a (m2 1) a

D-3.5 Reinforced Cement Concrete Lining considering that it is Cracked and that Because of Radial
Cracks it Cannot Take Tangential Tensile Stress

Basic Equations

For rock

E1 m1C1
t1 =
(m1 + 1)2 x 2
r1 = t1
C1
U1 =
x
27
For Concrete

t1 = 0
a ( r 2 )x = a
r2 =
x
a ( r 2 ) x = a
U2 = . log b / a
E2

For Steel

a. r 3
t3 =
A3
E3 As
r3 = (aB2 + C 2 / a )
a2
a 2 r 3
U3 =
E3 As

Constants of integration

pam1 E1 E 2
( r 2 )x = a =
am1 E1 E 2 + m1 E1 E3 As log(b / a ) + (m1 + 1)E 2 E3 As
ab(m1 + 1)( r 2 )x = a
C1 =
m1 E1
r 3 = ( r 2 )x = a + p

28
 REMARKS BY MEMBER SECRETARY

Comments/ suggestions received during previous circulation is given below and may be looked
by members along with the P-Draft for specific comments/ inputs:

Clause Comm Comments

entator
1.1 CES In sub clause 1.1, add the following at the end.

The scope, inter-alia, comprises working out thickness of tunnel under various load
combination and provides for grouting and drainage of tunnels.
3.3 CES In 3rd line the word sizable may be quantified.

If cover in sub clause 3.3 is different form rock cover inn sub clause 3.6 both may
be explained by a sketch.

Effective cover and shallow rock cover may also be defined and explained by
means of sketch.
3.5 CES The statement that the final lining caters to the internal water pressure may be
deleted since the final (reinforced) lining, in some cases may have to be designed
both for internal & external pressures (loads).
3.6 CWC The whole clause appears to be a repetition of Cl. 3.3.
5 CES This clause should start with a sub clause titled General which should contain
some general points about tunnel grouting as given below:

5.1 General

Tunnels require two types of grouting

a) Backfill or contact grouting

b) Pressure or consolidation grouting

Each of the above type of grouting serves specific functions and should be done
very judiciously.

a) In view of (i) above, the title should be as under:

5.2 Backfill or contact Grouting.

b) The contents of this sub clause alongwith note be modified as under:

The main purpose of backfill or contact grouting is to fill all voids and cavities
between concrete lining and rock.

Backfill is done all along the full periphery at a pressure not exceeding 5 kg/cm2
and shall be considered as a part of concreting. The normal range of pressure
varies from 2 kg/cm2 to 5 kg/cm2. It shall be done throughout the length of
concrete lining not earlier than 28 days after placement of concrete when the lining
has cooled off. However, the grout pressure should be so regulated that the
stresses developed in the concrete always remain within the permissible limits.
These grout pressures relate to pressures measured at the grout holes.

Backfill grouting pressure of 5 kg/cm2 is excessive, it may be 2 kg/cm2.

5.2 CES Sub clause 5.2 Pressure Grouting

a) The title should be Sub clause 5.3 Pressure or consolidation Grouting.

b) The contents under this sub clause and the notes 1 & 2 should be clubbed
29
 together and reworded/modified as under:

Pressure grouting consolidates the surrounding rock mass by filling up the joints
and discontinuity in rock which get apened up during grouting operation. It also
helps to fill any gap caused by shrinkage of concrete. This grouting is normally
specified where lining is reinforced to improve the rock quality and, therefore, to
increase the resistance of rock to carry internal water pressure.

It is advantageous to provide a grout curtain by mean of expensive deep grouting

(curtain grouting) at the reservoir end of the tunnel to reduce loss of water due to
seepage.

The consolidation grouting is done after the backfill grouting is completed in a

length of atleast 60 m ahead of the point of grouting.

As a rule of thumb, a grout pressure of 1.5 times the water pressure in the tunnel
may be used subject to the condition that safety of overburden against upheavel
due to uplift is ensured. Another thumb rule is that the grout pressure should not
exceed twice the depth of rock cover on the supports. The normal range of
pressure grouting shoudl be 7 to 10 kg/cm2.

Pressure grouting is done at a maximum practicable pressure consistent with the

strength of lining and safety of overburden against upheaval. The depth of grout
holes shall be aatleast equal to 0.75 times the finished diameter of the tunnel from
the finished concrete face.
5.2 CES Note 1 Pressure grouting at pressure of 1.5 times the water pressure appears to
be excessive. It may be limited to a maximum of 7 kg/cm2.

Note 2 Proposed grout curtain at the intake of the tunnel to reduce loss of water
due to seepage is not necessary in view of backfill/contact grouting having been
done along the tunnel. In any case, the seepage from the reservoir can take place
form other locations of the periphery of the reservoir.
5.3 CES a) In view of above the sub clause may be numbered 5.4.
b) In first line replace for small by in.
c) Add the following at the end

The spacing of grout holes shoudl not exceed 3 m or depth of hole whichever is
less.
6.1 CES The first sentence may be corrected as under:

Drainage holes are normally provided in tunnels not conveying water to relieve
external pressure, if any caused by seepage along the outside of tunnel lining.

The statement that the drainage holes may not be provided where mountain
material is likely to be washed into the tunnel may be modified to include the
provision of replaceable precast porous concrete capsules into drainage holes
instead of not providing the holes at all. Such a provision has been made in the u/s
reaches of Sundernagar-Sutlej Tunnel of Beas Sutlej link project.

(a) The second sentence A recommended arrangement is described below:

should be deleted.

(b) In 2nd paragraph the words At successive sections should be replaced by The
normal practice is to provide.

(c) The spacing of drainage holes in longitudinal direction should be indicated.

Instead of vertical & horizontal drainage holes, the holes should be located at 60o to
45o from the horizontal axis.
30
6.1.2 CES The statement is not clear. Perhaps the word tunnel is to be substituted by the
words drainage holes. It is also presumed that the separate conveyance pipe will
be located below the level of drilled drainage holes at invert level.
7 CES Section 1 REINFORCED CONCRETE LINING

(i) Clause 7, Subclauses 7.1 and 7.2 should have a separate title Choice of Type of
Lining. Only after this, SECTION 1 should appear.

(ii) Sub clauses 7.3 to 7.10 should be covered under a new clause General
considerations. Also each of these sub clauses should have a title conforming to
contents. As an example sub clause 7.10 should be titled Effective cover.

(iii) Sub clause 7 General

(a) As already indicated in comments 6(i), sub clause 7.7.1 & 7.2 should be covered
under the clause titled General consideration. The first sub clause under this
clause should be as under:

General

The concrete lining in tunnel is normally provided to take care of one or more of the
following:

1. to reduce head losses with consequential reduction in diameter.

2. to protect steel rib from deterioration
3. to prevent leakage of water
4. to protect turbines from the harmful effect of rock particles falling inot flowing
water
5. to share part of internal pressure not taken by the concrete.
CES In 4th line, add crushing strength after the word stress and replace the word
rock by rock mass.
7.4 CES In line 2 it is mentioned that reinforcement in lining requires a thicker lining.
Normally, provision of reinforcement requires less thickness than the plain concrete.
This needs clarification.
7.9 CES To guard against below out the rock cover should be atleast 0.5 times the internal
water pressure instead of full internal pressure. The statement In order cases .....
than the internal pressure may be omitted.
9.1.1 CWC Substitute stress by permissible stresses.
10.4.2 CWC Add Resistivity imaging technique may be resorted to asses the quality of
tunnelling media and to indentify localised potential trouble spots such as cave-in
zones and chimney formation areas so as to aid the Designer and the Project
Engineer to pre-plan appropriate tunnel supports.
10.4.4 CES In second line add or 50% of maximum specified grout pressure whichever is
more. Accordingly the word it shall be replaced by It being a new sentence.
10.5.2 CES Add the following at the end of sentence:

since the results obtained by the method given in Appendix D may not only
represent the internal stress conditions.
11 CES (i) This clause should be titles GENERAL CONSIDERATIONS covering sub
clause 11.1 and 11.2.

(ii) Sub clauses 11.3 to 11.5 should be under the separate clause titled
CONDITIONS FAVOURING PLAIN CONCRETE LINING.

(iii) In note, Fig 5 should be replaced by Fig 6. Also at the end add the following
sentence. It is less than the angle of repose of soil.
13.2.1 CES The contents of this sub clause need to be explicitly explained.
31
 For example, the cracks are radial as shown in Fig. 7. The number and spacing of
cracks are independent. Calculation of spacing automatically fixes the no. of
cracks. However, there are two separate formulae for these in addition, there are
limitations on spacing of cracks. If these --- what should be done, has not been
clearly given.

In the note it is mentioned that there is drop in temperate that this drip in
temperature should be considered in the design. However, this aspect has not
been considered in design. It is suggested that the note and the subsequent
paragraph should be combined and dealt in a separate clause where consideration
of water temperature drop in design of lining should be covered. This should also
cases where the temperature of water falls appreciably resulting in freezing.
13.2.3 CES The contents under this clause are confusing. Normally a parameter used in a
formula in never given an alpha numeric notation. Thus average crack opening by
2 while crack opening is denoted by . (in 13.2.4, crack opening is denoted by
2). If it is correct, how can average crack opening is double of crack opening.
This needs to be explicitely described to avoid any confusion.
13.2.4 CES (a) It is mentioned that opening of each crack shoudl be less than the permissible
limit of 3 mm. However, it is not made clear that if the limit is exceeded, what steps
are needed to bring it within the permissible limit. From the formula, it is clear that
the only way to bring it within limit is to decrease the thickness of lining. This is turn
will increase the number of cracks and reduce the spacing as is clear from formulae
for N and S given is 13.2.1. The spacing in turn has also certain limitations. How
this jugglery of limitations and formula will be taken care of in actual practice, needs
to be clarified explicitely to enable even the fresh designs engineers to understand
the same.

(b) Also it is mentioned that for isotropic rock mass minimum, value of modulus of
deformation (E) of rock mass should be considered. The reason is not clarified.
Lowering E will result in increase in crack opening whereas it is mentioned that it
should be less than 3 mm. This needs to be clarified.
13.2.7 CES This sub clause should be reworded as under:

A rock mass having permeability K less than 105 cm/sec helps to check the
excessive leakage. If the permeability exceeds this limit, the rock mass needs to be
grouted to keep the leakage under control.
13.2.10 CES What is the basis of odd figure of 18 cracks? In case the number of cracks exceed
18 what is to be done? This may --- in light of comments on 13.2.1 and 13.2.2.

(a) In the light of contents of this clause, the value 25o+1o C should be replaced by
24o C (being the limiting value).

(b) Add /IS 457 at the end.

(c) Following paragraph should be added in addiiton to reference to Indian

Standards.

Since concrete has to be placed through pumping wherein the maximum size of
aggregate is 40 mm, the minimum size of placer pipe is kept 100 mm. The
concrete should have maximum workability and thus should have a minimum slump
of 100 mm. Accordingly the cement content should vary between 350 to 400 kg/m3
of concrete. Sometimes air entraining agent upto about 4% is added for improving
workability of concrete.

Generally steel forms are used for tunnel lining. After placement of concrete it
should be thoroughly vibrated using vibrating needle, flexible shaft immersion type
vibrators and external form vibrators to avoid segregation.

32
Fig 6 CES Below the figure i should be defined as under:

i = corrected slope angle (<)

B-3.1.2 CES In fig. 5, m appear to be the diameter of tunnel where as m in B-3.1.2 denotes
inverse of Poissons ratio. This discrepancy should be reconciled.
Table-1 CES (a) As per Note 1, the table has been arrived on the basis of observation and
behavior of supports in Alpine tunnels. On the other hand as per table 4.3 given in
CBIP publication No. 178 Manual on the Planning and Design of Hydraulic
Tunnels:, Dec. 1984 it is mentioned that However, going by the existing tunneling
practices in India and in order to achieve an additional factor of safety, it would be
advisable to go for the design of supports based upon the loads given by Terzaghis
table.
Thus the table given in CBIP publication appears to be more reasonable and needs
to be discussed during the sub committee meeting, though the variation is not
much. The table is reproduced as Annex B-1.

(b) Top rock condition 3, replace the remarks by Bo side pressures.

(d) In Note 1,2nd line replace in Alpine tunnels by observed by Terzaghi. The
word The should start with a capital letter making it a new sentence.

(e) Add Note 5 as given below:

Note 5 This table is not applicable for tunnel widths exceeding 9 m the results
hold good for tunnel upto 6 m.

Add additional clauses B-3.1.4 and B-3.1.5 as given below:

B-3.1.4 Terzaghis rock load concept was modified by introducing rock quality
parameters RQD. The results are given in table at annex B-2.

B-3.1.5 Terzaghi table has recently been modified on the basis of support
pressures measured from rock tunnels and caverns. the recommendation are given
in table at Annex B-3.
Annex CES In table 7, the coefficient against 3--/4 and contained water should be checked to
C see whether it is 0.09268 or 0.07268.
Annex CES (i) Title
D (a) Before TUNNEL add the word CIRCULAR.
(b) Before: CYLINDER add the word THICK.
(ii) General
The notations appearing in the Appendix should better be shown by a Figure.
(iii) Clause D-2 NOTATIONS
(a) The parameter P given in notations is capital whereas same used in D-3.1 (b)
(4) and other subsequent clause is p. This should be reconciled.

(b) Against notions m1, m2 write as under:

m1, m2 = Inverse of Poissons ratios of rock and concrete respectively.

--- last line, change the notation for b as under:

b = external radius of the lining upto minimum excavation line (A-line):

(iv) Sub clause D-3.2 Plain Cement Concrete lining considering it is cracked.

(a) In second equation under (s), check the sign within the parenthesis from
original.

(b) Add the words Basic equation before the titles of sub clauses D-3.2 (b), D-
33
3.3(d) and D-3.4(c).

(v) Subclause D-3.4 Reinforced cement concrete lining considering that it is not
cracked.

(a) In (a) the equation for it is not clear whether it is 0(zero)/x or a/x. If it is
0(zero)/x it reduces to 0(zero) and should be deleted.

(b) In (c), the second equation O2. It has not been defined any where.

(c) In (c), the second equation C2 has been given in terms of B2 and C2 itself. This
needs to be checked.

(d) In (c), 3rd equation, 2nd term contains negative sign(-) after E2 m2. This should
be deleted.

(vi) Sub clause D-3.5 last title constants.

(a) In the last title add the word of Integration after the word constants.

(b) In first 2nd equation, write x=a after the term r2 a title depressed as these
denote the boundary values.

(c) In 3rd equation also depress x=a+p after (r2).

34