THE NEW AUSTRIAN TUNNELING METHOD { NATM )

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{Thoretical background - practical experiences)

by J. Golser x)

In many parts of the world I made unfortunately

the experience that the principles of the "New
Austrian Tunnelling Method" - the NATM - have
mostly been misunderstood which leads to maldesigning
or more seriously to constructional failures.

The name for the method has been choosen by Prof.

L.v. R a b c e w i c z the main inventor of the NATM
in contradistinction to the "Old Austrian Method".

To explain the principles of the method it seems to

me the best way to follow first the historical
development and to describe within this framework
the main features of the NATM.

First of all : The N.A.T.M. has risen from practical

experience. We observed by many thousands of
measurements comprehensively process and incidents
in nature and tried thereafter to find the explanations
therefore in theory. This lead to the very successful
way of the "Empirical Dimensioning" which represents
in our opinion the best way for the time being to
dimension tunnel supports economically and safe in
difficult rock types.

x)
Dipl.-Ing. Johann Golser, Consulting Engineer
GEOCONSULT, Salzburg, Austria
323
324 SHOTCRETE FOR GROUND SUPPORT

From 1932 to 194o, when Prof. v. Rabcewicz was working

as chief engineer at the construction of the Trans-
iranian Railroad he found out that in tunnels with
only 2o to 2oo m overburden in poor phyllites lateral
pressures were predominant.

During the 2nd world war he realized that the shear

failure is the decisive reason for a failure of a
tunnel structure.

After the war the application of shotcreting in tun-

nel excavations started. During driving of the
pressure tunnels of the hydroelectric Kaunertal
Scheme in 1954 unusual difficulties were encountered
in poor rocks and great overburden. All kinds of
conventional supports were tried but none of these
proved satisfactory.

Encouraged by the examples carried out earlier at

the "Maggia" in Switzerland and at the "Tauernkraft-
werke" in Austria a thin shotcrete layer has been
applied to the rock immediately after exposure.
This changed the whole driving conditions fundamentally
and even when the shotcrete was locally damaged the
tunnel remained stable. The driving rate was trebled
and the costs for supports cut down to 5o %.

The rockmechanical reasons for this change are the

following :

the rock mass is normally cleaved up by joint

systems in different directions. Movements
take place along these predisposed zones of
 AUSTRIAN TUNNELING 325

weakness. It needs only very small forces to

prevent a rock mass from moving but many
times as great ones to stop a movement once
it has started. Notches are particular points
of stress concentrations and hence of weak-
ness. By filling the notches immediately
after exposure by quick hardening shotcrete
the notches are sealed, the sharp angles
rounded, the stress concentrations reduced
and detrimental movements avoided.

since the adhesion of shotcrete to most types

of rock is very great the thin shotcrete layer
acts as strengthened surface embedding
material of lower physical property. In this
way a static unity of a compound structure
is formed between rock and its strengthened
surface.
Additionally the shotcrete sealing prevents
many rock types from weathering due to
atmospherical influences.

A further very important rock mechanic result

is, that the surrounding rock mass is not
loosened and remains almost undisturbed, in
as much as it has not been damaged by
blasting waves. Smooth blasting methods and
mechanical tunnel driving methods have
nearly eliminated this influence. Fig.
shows the influence of detrimental loosening
and one can notice easily the loosened
loading rock bulb. The support is a
326 SHOTCRETE FOR GROUND SUPPORT

Fig. 1 : Tarbela Diversion Tunnel No. 2

Fig. 2 Influenceofloosening and building of

open fissures in steel supported gallery
 AUSTRIAN TUNNELING 327

conventional steel support with steel

lagging in the pilot tunnels of the Tarbela
diversion tunnels.

Fig. 2 shows the influence of loosening in

comparatively good rock again in steel
supported gallery of a mine in Austria.

Anyhow, the economical and practical use of shot-

crete as sole stabilizing means is rather limited
particularly with great sections and with poor
rock.

In the course of the development of the method we

found out that System - anchoring in connection
with shotcrete applied to in badly crushed,
squeezing and swelling rock is downright the ideal
stabilizing means, because the yielding capacity
of the anchors is almost unlimited. Rockbolts have
been used in mines already long ago but always with
the restriction that the bolt is to be anchored
to layers of sound rock in order to carry the weight
of loosened portions at the surface. Bolting in any
kind of unstable or crushed rock was deemed entirely
unthinkable und unrealistic.

Prof. v. R a b c e w i c z opposed this rule from

the very beginning. During his advisory activity
for SENTAB in Stockholm he made a series of simple
experiments.
328 SHOTCRETE FOR GROUND SUPPORT

First he started to make an arch of gravel placed on

a shuttering and anchored systematically by steel
wires, the surface protected from disintegration
by a thin wire mesh. The overburden was simulated
by a load of sand. By tensioning the nuts of the
anchors, normal forces carne into being in the rock,
causing it to rise from the shuttering, which could
be removed subsequently without any difficulty.
Fig. 3.

With this experiment the principle of the system-

anchored rock arch has been born. The anchors
have to activate a carrying rock arch. They improve
the rock mass in as much as they reduce the influence
of anisotropy and inhomogenity, they prevent to a
great extend the building of shear planes and
guarantee a high residual strength of a rock mass.

According to different rock types and other factors

which influence the extent of the plastic or socalled
"Protective zone" expansion bolts or fully mortar
embedded bolts are to be used.

The bolts, embedded on full length in mortar or

resin are used mostly as non prestressed anchors.
They are much more effective in difficult ground
than expansion bolts,because secondary arches are
built in the rock between the anchors and the
carrying capacity of the rock arch increased
accordingly.
 AUSTRIAN TUNNELING 329

Fig. 3 Anchoring tests. Carrying arch charged by

overburden, shuttering dismantled

Fig. 4 Schwaikheim - Tunnel

Excavation and Supporting Scheme
330 SHOTCRETE FOR GROUND SUPPORT

Bolting resp. anchoring has the big advantage that in

the sense of a semirigid lining they do practically
not contribute any bending stiffness.

The length of the anchors and degree of prestressing

depends on a series of circumstances respectively on
the admissible range of yield :

as much as the rock is concerned :

overburden, nature of rock, rockphysical
properties, primary stress conditions

from the side of the support : its rigidity,

timely sequence of working stages,
excavation schedule and sequence of
application of the single supporting
means.

In the following many galleries and tunnels have

been executed applying shotcrete and anchors and
systematic measurements have been made to control
the bahaviour of the support and the surrounding
rock.

In the railroad tunnel in Schwaikheim in marls

dolomites and sandstones a very extensive observation
programme has been executed in a test gallery and in
the tunnel itself. Fig. 4 shows the procedure of
execution of work from which you can see that it was
considered essential to close the invert within the
shortest possible time of 25 days and to place the
inner concrete ring as late as possible ie after
equilibrium has been reached by the outer semirigid
support.
 AUSTRIAN TUNNELING 331

Due to the fact that the forces are deviated through

the rock and that only a small share of the tangential
forces is taken by the shotcrete lining, this lining
can be temporarily undercut on a considerable length.
In this tunnel the full mortar embedded SN bolts
have been applied for the first time on the Continent.

Another very interesting example is the Massenberg-

tunnel in Austria. The tunnel has been designed
conventionally with a thick concrete ring. The tunnel
driving started according to the Belgian Method by
applying a greatly overdimensioned shotcrete lining
in clay and altered soft graphitic and sericitic
shists with considerable water content. The tunnel
collapsed when the bench excavation commenced. It
has subsequently been redesigned. With a comparatively
thin, reinforced shotcrete lining of 2o em thickness
and 4 m long Perfo bolts permanent equilibrium has
been reached.

From a series of observations in tunnels it has been

established as essential law for future dimensioning
that the very reason of failure of the lining in
voidless contact to the rock mass is not bending
as commonly considered hithertoo but shear.

Due to the excavation of a cavity the force lines

are deviated to both sides and concentrated near
the walls, causing wedge shaped bodies to be
squeezed out towards the cavity in a right angle
to the primary main stress direction. By the
release of tangential stresses to both sides
332 SHOTCRETE FOR GROUND SUPPORT

fig. 5 Schematic Representation of mechanical

process and timely sequence of failure
around a cavity by rockpressure

Fig. 6 Test specimen after shear break has

taken place
 AUSTRIAN TUNNELING 333

of the cavity the span is increased causing the roof

and bottom to fail and eventually the typical folding
at the roof and at the bottom comes into being. Fig.S

The scheme of "impact failure by horizontal compression''

as observed by the Corps of Engineers Underground
test program corresponds exactly with the above
schedule of failure. Also the experiments of Prof.
Mo h r in argillaceous schist confirm this
conception.

On the ground of these findings it becomes evident

that all computations of tunnel supports, which
consider bending as critical reason of a tunnel
collapse are wrong. A tunnel lining in close
contact with the rock all around can only fail
by shear. Dangerous bending cracks develop without
exception due to bad workmanship, leaving cavities
behind the lining, an omission which nowadays is
not at all acceptable.

These practical experiences of shear failures have

fully been confirmed by Prof. Sattler tests made
at the Technical University in Graz.
A thin concrete ring 1 2 em thick with 1,o m diameter
- corresponding at a scale 1 : 1o to a 2o em lining
with 1o m diameter has been embedded in a steel
frame 1 filled by sand or clay and subsequently put
under stress. In course of these experiments the
lining has often been deformed many times greater
than ever observed in nature. Then a series of
hardly perceptible bending cracks formed with
increasing pressure.
334 SHOTCRETE FOR GROUND SUPPORT

While the deformation by bending proceeded entirely

noiseless and without signs at the instruments, the
shear failure which occured eventually was always
accompanied by a shotlike report and by a sudden
release of the indicating instruments. (Fig. 6)
This means, that bending cracks 'are of no consequence
on the stability of the lining, they are simply
joints. The lining is being transformed in a multiple
hinged arch, which adjusts itself to the new form
developed by the stress rearrangements.

The reciprocal effect of decompression stresses resp.

required lining resistance and the carrying capacity
of a support is shown in the Fenner - Pacher graph.
(Fig. 7)
The theoretical Fenner curve - which would be valid
also in the range of great radial deformations Ll R,
if these movements would not cause a reduction of
the rockphysical parameters - is to be superposed
with the influence of loosening. So a curve comes
into being with a certain minimum required lining
resistance at a certain radial deformation of the
borderzone.

~vhile the fi'r curve is descending the semirigid

support is placed in form of shotcrete, anchors
etc. This support is building up a resistance until
at the intersection with the ~ curve equilibrium
r
is reached. The lining resistance is further
increa~~g to~pi and the safety factor is given
by s = A.
pi
 AUSTRIAN TUNNELING 335

Fig. 7 Reciprocal relationship between required

lining resistance and radial deformations

Fig. 8 Main Measuring section

336 SHOTCRETE FOR GROUND SUPPORT

Should the lining resistance in any of the cases where

the 0 curve is intersected on the descending branch
r
decrease for any reason i.e. by breaking of anchors,
cracking of shotcrete or some other failure nothing
serious happens and equilibrium is simply obtained
again at a lower point of the EJ'
r
curve. This is a
very important feature of the NATM.

Should on the other hand a support characteristic be

such that equilibrium is reached beyond the minimum
of the ()" curve what happens usually with conventio-
r '
nal steel supports just the contrary happens. Any
further radial displacement causes greater loosening
and hence increase of the active forces. Equilibrium
can be reached only by immediate suitable strengthening
measures, the common experience with conventional
methods.

For the better understanding of the NATM it becomes

almost imperative to add to the original name a
short descriptive characteristic by precising the
NATM more closely as the method which accomplishes
stabilization by "controlled pressure release".
Following this principle the surrounding rock is
transformed from a charging into a carrying member.

There should of course be no need to emphazise

particularly, that the control of the behaviour of the
surrounding rock and the support by measurements
is an integrant and most important part of the NATM.
By means of measurements on the full size section
it is possible to recognize within short time if
 AUSTRIAN TUNNELING 337

the installed stabilizing means are to be modified

to reach an economical optimum.

This method of design, the so called "Empirical

dimensioning" has thereby been created on an empirical
scientific basis .. This method is therefore in many
aspects superior to highly sophisticated mathematical
treatment because implicitely all unknown factors are
included by the measuring controls. Mathematical
treatments as for instance the finite element method
is doubtless very elegant and should be further de-
veloped, but the results are only correct if the rock
mass is described correctly - which is very seldom
the case due to the usual complexity of geological
conditions - and if the very important timefactor
and the intermediate constructional stages are taken
into account appropriately.

The approach in the design is principally as follows:

First the support system consisting of a protectional
lining and the rock arch is predimensioned by
computing its carrying capacity, based on available
rock mechanical parameters of the rock in question.
Simultaneously the required carrying capacity which
is a function of the allowable radial displacements
is to be estimated. This can be computed analytically
after L o m b a r d i - A m b e r g, F e d e r or
any other suitable method. The problem of course is
always to base the computation on rock mechanical
parameters which first do not fully describe the
rock mechanical behaviour because rheological para-
meters and practicable models are not available and
secondly the used parameters vary usually in a wide
338 SHOTCRETE FOR GROUND SUPPORT

range. It is therefore evident that this predi-

mensioning can never substitute the empirical
dimensioning b~' in situ measurements.

When the construction starts, measuring sections

are placed in suitable distances (Fig. 8). The
behaviour of both, the support and the surrounding
rock, the amount of deformation and stresses are
being exactly watched by measuring and controled
at will.

In cases where the deformation velocities are too

great and where the stabilizing meanshave been
underdimensioned, possibly resulting in shear
cracks, the measuring results indicate in time
when and to what extent additional stabilizing
means shall be applied. Nothing of any consequence
happens when a shear crack occurs, there is no
danger for the crew, nor any substantial impediment
to the progress of works. Please note that I
emphazise the adjective "stabilizing" instead of
temporary because it is a main principle of the
NATM to dimension the structure such as to obtain
permanent equilibrium with it.

As example the difficulties encountered in the north

part of the Tauerntunnel in Austria shall be
described :

The basis of the project was a geological report

with a longitudinal section based on some core-
drillings in the portal zones, a short exploratory
gallery in the south, a Goo m deep core drilling
 AUSTRIAN TUNNELING 339

in the middle of the tunnel and on superficial

surveys. The overthrust zone has been shown
between limestone and Phyllites without further
comments.

After excavation of the 3oo m long portion in

cohesionless rock debris we encountered consider-
able constructional difficulties in the Phyllites.

Due to a huge overthrust during the cretaceous

and tertiary time where the northern limestone
Alps have been moved from the south to the north.
The phyllites were throughly crushed and preloaded.
The sericitic and graphitic phyllites had a
cohesion between 6 and 1o t/m 2 and the angle of
internal friction j was between 17° and 22°. The
material was very movable, exerting high
pressures and the shotcrete was breaking very
soon. (Fig. 9). Near the end of the very over-
thrust zone in badly crushed rock the anchored
rock arch has been folded into the profile within
few hours. In several places of this difficult
zone, ribs have been badly buckled and bulged.
The non prestressed anchors have been stressed
by the rock movements to their ultimate carrying
capacity and several anchors were broken (Fig. 1o).

The shotcrete thickness was 15 em only, the steel

ribs TH 21/48 were placed at 1 m distance. They
had only a distributing and reinforcing function
for the shotcrete. The main carrying function was
taken over by the 6 m long non prestressed, full
mortar embedded anchors with 25 tons breaking load,
placed at 1,2 x 1 m distance.
340 SHOTCRETE FOR GROUND SUPPORT

Fig. 9 Tauerntunnel
overstressed and cracked shotcrete lining

Fig. 1o heavily stressed not pretensionect anchor

with deformed anchor plate
 AUSTRIAN TUNNELING 341

The anchors had to be placed all around the profile

including the invert after we have noticed that even
a 5o em thick invert arch of concrete could not
prevent the bottom uplift.

I think it could be of interest to see one of our

measuring results from this critical zone. Fig. 11
shows one of the convergency measurements in three
elevations. Please note that after closure of the
outer ring the movements suddenly decreased.

Hi th radial displacements of L:::... R = 2o to 2 5 em the

shotcrete lining is much too stiff to withstand the
corresponding shortening coming up to 2 cm/m. The
bond between shotcrete and rock is being forcibly
destroyed and voids arise behind the lining so that
the rock becomes partially unprotected and prone
to loosening.

This situation presented a real problem. We managed

to solve it eventually by dividing the shotcrete
lining by longitudinal contraction joints into
about 3 m wide sections. The joints were appr. 2o em
wide, the rock at the joints being only covered by
wire mesh. (Fig. 12) The ribs had to be interrupted
at the joints, their slots left open. The system was
followed throughout the whole tunnel with best
results. The joints closed according to the radial
displacement. At particular bad sections the joints
closed entirely.
342 SHOTCRETE FOR GROUND SUPPORT

- ........................ @01 ... , ............. AlA";,, ..... ....

&.;.
~·
I

I HOIIIIZONfAI. CONVIRGI!NCY
'AV!IIINf\JNNIL liOII 1100

Fig. 11 Tauern tunne 1

Convergency measuring results

Fig. 12 Tauerntunnel
Longitudinal contraction joint
 AUSTRIAN TUNNELING 343

Anyhow by interpreting our measuring results a very

interesting fact has been discovered. One should
assume that the separated shotcrete sections are
not capable of transmitting tangential stresses.
However, to our amazement tangential stresses in
the shotcrete were measured up to 35o t/m 2 . This
means that the interrupted shotcrete lining exerts
still some remarkable arch effect, its normal forces
bridging over the space of the open joints obviously
inside the rock.

The use of shotcrete has been reduced in the course

of the development of the NATH from the sole primary
stabilizing means to a secondary one : The shotcrete
has to prevent the rock between the anchoring points
from loosening and has a distributing function.
However its main and most important task remains the
stabilizing of newly exposes rock surfaces by a
first quick hardening protective layer.

Another very interesting example for the application

of the NATM were the large size underground works in
Tarbela in Pakistan. Whilst the circular shaped
tunnels upstream and downstream of the gate chambers
are supported by a conventional steelsupport and in
some tunnels by a combination of shotcrete and steel-
support the gate chambers and 3 gate shafts have
been executed according to the principles of the
NATM.

The gate passages and transitions with a maximal

cross-section of 44o m2 were situated in all kinds
344 SHOTCRETE FOR GROUND SUPPORT

Fig. 1 3 Tarbela Dam Project. Transition 1

loiESS-QUERSCHNITT

Fig. 14 Tarbela Dam Project. Measuring section

for Transitions.
 AUSTRIAN TUNNELING 345

of rock as clastic to highly friable gabbros, sugary

limestone, fractured limestones, carbonaceous and
chloritic schist. (Fig. 13).

The support consisted of 25 em shotcrete, TH 44/48

ribs and 6 and 9 m long prestressed full mortar
embedded bolts with 5o tons breaking load. The
bolts have been prestressed to 3o tons.

The predimensioning has been made on the basis of

the shear failure theory and additionally a finite
element computation has been carried out. The
intermediate constructional stages as well as the
influence from the neighbouring cavities with
rock pillars of less than 1 1/2 tunnel diameters
in between have not been considered in the finite
element calculation. Also the very important time
factor could not have been taken into consideration.
So the results of the finite element computation
did naturally not at all correspond with the actual
behaviour monitored by the rockmechanical
measurements.

In each cavity, 4 measuring sections have been

installed equiped with double extensometers conver-
gency bolts, radial and tangential pressure cells
Fig. 14. The development of anchor forces has been
controled by disc load cells, the results thereof
lead us to prestress the anchors to 3o tons instead
of 2o tons as originally foreseen.
346 SHOTCRETE FOR GROUND SUPPORT

What makes the method interesting is its superior

economy compared to conventional methods. In Europe
in Subway constructions e.g. the difference in
costs compared to conventional methods comes up
to 3o %.
For the above mentioned gate passages and transitions
in Tarbela a steelsupport has been calculated which
would have been required instead of the NATM was not
applied. A realistic comparative calculation was
possible with the help of the many measuring results
from the transitions and from the steelsupported
tunnels. Not to mention that it would not have been
possible to install steelsupports with a weight of
4oo kp kg/m and to exert the necessary continuous
control during intermediate constructional stages,
the costs with the executed NATM were only 65 % of
the one the steel supported transitions would come
up to.

We do not yet know the limitation of the applicability

of the method we can only feel it.

In the Tauern tunnel with 1oo m2 cross section 1ooo m

overburden and with r= 0
2o and less and with a
cohesion c = 0 to 1 kp/cm 2 for the rock mass the
method was still very successful!.

In the Arlbergrunnel West road tunnel the situation

is even worse but even with maximal Soo lin m of
anchors per lin m of tunnel i t is the best solution
as long as we find no technical alternative and
better solution to handle economically radial
displacements of So em and more under extremely
high pressures.
 AUSTRIAN TUNNELING 347

L i t e r a t u r e

FENNER, R. Untersuchungen zur Erkenntnis des Ge-

birgsdruckes,
Gllickauf, Ann. 74, Vol. 32, 1938 Essen,
West Germany

RABCEWICZ, L.v. Bolted Supports for Tunnels

Water Power, April/May, 1954; ai1u. Mine
and Quarry Engineering, Februry/March 1955

RABCE\HCZ, L.v. Ankerung im Tunnelbau ersetzt bisher ge-

brauchliche Einbaumethoden
Schweizerische Bauzeitung, Ann. 75, Harch,
1957

MULLER, L. Der Felsbau

published Ferdinand Enke Verlag, Stuttgart,
West Germany

RABCEWICZ, L.v. The New Austrian Tunnelling Method

Water Power, November/December 1964 and
January 1965

SATTLER, K. Neuartige Tunnel-Modellversuche. Ergebnisse

und Folgerungen
Felsmechanik u. Ingenieurgeologie, Suppl.IV,
1968

RABCEWICZ, L.v. Die halbsteife Schale als Mittel zur empi-

risch-wissenschaftlichen Bemessung von
Hohlraumbauten
Rock Mechanics, Suppl. 1, 197o

RABCEWICZ, L.v. Stability of Tunnels under Rock Load

Water Power, June, July and August 1969

NUSSBAUM, H. Recent development of the New Austrian

Tunnelling Method
Preprint, ASCE National Meeting of
Structural Engineering, Cleveland, Ohio,
USA, April 1972

RABCEWICZ, L.v. Die Bedeutung der Messung im Hohlraum-

GOLSER, J. bau
HACKL, E. Bauingenieur, Vol. 47, No. 7, 1972

RABCEWICZ, L. v. Principles of dimensioning the supporting

GOLSER, J. system for the New Austrian Tunnelling
Method
Water Power, March 1973