S1055 Civil Engineering - Deep Tube Tunnels and Shafts

Transport for London
London Underground
Categ o ry 1 Stan d ard
S1055 Civil Engineering –

Deep Tube Tunnels
and Shafts
Issue date: December 2011

Issue No.: A2 Review date: December 2016
MAYOR OF LONDON
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File Ref: S1055 A2 Page 1 of 48
Title : Civil Engineering – Deep Tube Tunnels and Shafts
Number: S1055
Issue no: A2
Contents
1 Purpose ___________________________________________________________________ 3
2 Scope ____________________________________________________________________ 4
3 Requirements _______________________________________________________________ 4
3.1 Inception and design ____________________________________________________ 4
3.2 Construction, installation, testing and commissioning ___________________________ 16
3.3 Inspection ___________________________________________________________ 19
3.4 Analytical Assessment __________________________________________________ 26
3.5 Condition assessment __________________________________________________ 35
3.6 Maintenance _________________________________________________________ 36
3.7 Modifications to existing tunnel and shaft linings _______________________________ 36
3.8 Strengthening and renewal _______________________________________________ 38
3.9 Decommissioning _____________________________________________________ 38
3.10 Evidence of compliance _________________________________________________ 39
4 Responsibilities ____________________________________________________________ 39
5 Supporting information _______________________________________________________ 39
5.1 Background __________________________________________________________ 39
5.2 Safety considerations___________________________________________________ 40
5.3 Environmental considerations _____________________________________________ 41
6 Information References ______________________________________________________ 41
6.1 References __________________________________________________________ 41
6.2 Abbreviations _________________________________________________________ 42
6.3 Definitions ___________________________________________________________ 43
6.4 Requirement owner ____________________________________________________ 46
6.5 Document history ______________________________________________________ 46
7 Attachments _______________________________________________________________ 47
7.1 Attachment 1 - Conceptual design statement for Deep Tube Tunnel and Shaft assets___ 47
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File ref.: S1055 A2 Page 2 of 48

Title : Civil Engineering – Deep Tube Tunnels and Shafts
Number: S1055
Issue no: A2
1 Purpose
1.1 The purpose of this Standard is to define the whole life cycle requirements for Deep
Tube Tunnel and Shaft assets. These assets are collectively defined as ―Deep Tube
Tunnels‖ in the Deep Tube Tunnels Foundation Document which is contained in LU
Standard 1-042 (Asset Condition Reporting).
Note: The Deep Tube Tunnel asset types are numbered and defined in the Foundation
Document as follows:
101 Platform or Concourse Tunnels
102 Station Passageway Tunnels
103 Running Tunnels
104 Cross Passages between Running Tunnels
105 Step Plate Junctions
106 Crossover Tunnels
107 Depot Approach Tunnels
108 Overrun Tunnels
109 Siding Tunnels
110 Inclined Shafts (eg esclator shafts)
111 Vertical Shafts (eg ventilation, access, service, lift and substation shafts)
112 Disused Tunnels
113 Disused Shafts
114 Other Tunnels
115 Miscellaneous Structures (TTMS)
Category 115, Miscellaneous Structures was an interim classification introduced prior

to complete catalogueing of the Deep Tube Tunnel assets. The category should not
be required for future asset classification purposes.
Independent Structural components within a Deep Tube Tunnel e.g. escalator support
steelwork, ladders, shaft landings, gratings etc. are included in LU Standard 1-053
(Civil Engineering – Building and Station Structures)
Subsurface tunnels (i.e. cut and cover tunnels) and associated shafts constructed by
surface methods e.g. sheet piles or diaphragm walls are included in LU Standard 1-
051 (Civil Engineering – Bridge Structures)
1.2 Tunnel Portal structures shall be designed as Earth Retaining Structures in

accordance with LU Standard 1-051 (Civil Engineering – Bridge Structures)
1.3 In defining requirements specifically applicable to Deep Tube Tunnel assets, this
Standard complements LU Standard 1-050 (Civil Engineering - Common
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File Ref: S1055 A2 Page 3 of 48
Title: Civil Engineering – Deep Tube Tunnels and Shafts
Number: S1055
Issue no: A2
Requirements) that defines mandatory requirements generally applicable to all Civil

Engineering assets including the Deep Tube Tunnel assets.
1.4 A supporting Manual of Good Practice G-055 gives guidance and explanation on
Deep Tube Tunnel assets.
2 Scope
2.1 This Standard applies to Deep Tube Tunnel assets owned by, or being constructed
for, LU.
2.2 This Standard defines the requirements for Deep Tube Tunnel assets through the
following lifecycle stages:
a) Inception and design;

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b) Construction, installation, testing and commissioning;

c) Inspection;
d) Analytical assessment;
e) Condition assessment and certification;
f) Maintenance;
g) Strengthening and Renewal; and
h) Decommissioning.
2.3 This standard replaces 1-055 A1.
3 Requirements
3.1 Inception and design

3.1.1 General
The inception and design of new works including works of Strengthening and Renewal
shall ensure that the Deep Tube Tunnel assets will satisfy their Required Duty.
Note: The Required Duty for Deep Tube Tunnels is given in the current Foundation
Documents as follows:
1 Meet railway operating requirements (within the performance specification at

system installation or at the most recent system upgrade).
1.1 Maintain inherent structural integrity (support itself so as not to suffer complete or
partial collapse).
1.2 Support static and dynamic design loads within acceptable stress limits.
1.3 Maintain the planned design envelope and adequate clearance to permit the safe
passage of rail vehicles.
1.4 Provide appropriate access and egress for all planned uses (including Maintenance),
and for reasonably anticipated emergency uses.

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1.5 Sustain a Condition and state so as not to cause unplanned interruption to, or
restriction of, any aspect of the operating railway; this includes externally sourced
wear or damage which is greater than that currently accepted for the asset.
1.6 Sustain a Condition and state so as to maintain all interfacing non-railway services
and facilities at full design capability.
2 Ensure support at asset interfaces without undue wear and tear.
2.1 Minimise the degradation of all interfacing assets (e.g. as evidenced through
Maintenance cycles). This includes interfaces with the railway and adjacent
infrastructure (e.g. track, structures and stations), and dynamic and static assets
(e.g. not contributing to degradation of the signalling equipment).
2.2 Minimise the degradation of all interfacing assets which support non-railway services
or facilities (e.g. as evidenced through Maintenance cycles). This includes interfaces
with dynamic & static assets (e.g. roads, Outside Party buildings, etc).
3 Match the LU policy in respect of realistic user perceptions.
Ensure the asset does not cause undue degradation of interfacing assets, disruption
to railway operations or unacceptable environmental nuisance, and that the asset
provides acceptable appearance and general ambience. This includes visual
evidence of seepage even where this is not a structural problem.
4 Provide resistance against external interference and events.
Asset minimises the likelihood and consequence of asset abuse. Asset abuse
encompasses, vandalism, planned/unplanned work, damage due to external event
(e.g. piling), etc. This applies primarily to new or refurbished assets.
5 Present acceptable environmental impact.
5.1 Present an acceptable societal environmental impact (noise, vibrations, odours,

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ground borne contaminants, etc).
5.2 Provide for ease of cleaning and support environmentally acceptable routes for
disposal of cleaning residues.
5.3 Support (intrinsically and at asset interfaces) appropriate temperature mechanisms to

control temperatures within the range considered societally acceptable by LU policy.
6 Minimise environmental impact throughout lifecycle.
Minimise environmental impact and demands at all stages in the lifecycle; this
includes effects now and into the future, including successive refurbishment, final
decommissioning, and disposal routes.
7 Function within the legal and standards framework.
Ensure the asset functions within the framework defined by legislation (including
environmental); regulatory guidance; LU, Infraco and applicable national and
international standards; and LU and Infraco policies.
8 Ensure safe operation as defined by LU.
8.1 Ensure safe operation and Condition as specified by LU requirements; this includes
passengers, employees and members of the general public.

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8.2 Ensure safe ingress/egress by passengers, general public, employees, and

emergency services in planned & reasonably anticipated emergency scenarios. This
includes the means of transfer from the asset to the principal interfacing assets and
transfer mediums (e.g. walking over trackbed or interaction with tunnel during
evacuation).
8.3 Safeguard the health and safety of passengers, employees and members of the
general public.
9 Provide above within reliability and availability targets.
Provide all aspects of the Required Duty within the defined LU requirements.
10 Ensure Required Duty is performed without incurring excessive or prohibitive

costs to LU.
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Note: The designer should be aware of the best practice guidance on tunnelling published
by the British Tunnelling Society and others referenced in Section 6.1
3.1.2 Inception
All proposals for new works, including Strengthening and Renewal, made by Suppliers
to LU shall be initiated and controlled in accordance with LU Standards 1-538
(Assurance) and 1-050 (Civil Engineering – Common Requirements).
3.1.3 Design process

3.1.3.1 The design shall proceed in a staged manner in accordance with LU Standard 1-538
Assurance).
3.1.3.2 Conceptual Design Statements (CDS) shall be completed for all permanent and
Temporary Works in accordance with LU Standard 1-538 (Assurance) and the
additional requirements given in Attachment 1 of this Standard.
3.1.4 Structure profile and space requirements

3.1.4.1 The design shall determine the minimum internal dimensions for Deep Tube Tunnels
from the space requirements of:
a) Structure profile in accordance with LU Standard 1-156 (Gauging and

Clearances);
b) Plant and services in accordance with LU Standard 1-068 (Station Mechanical
Services, Utility Provision and Energy Management);
Note: Plant and services include tunnel and shaft drainage, ventilation, internal finishes, fire
safety installations and electrical installations (including power supply, emergency
lighting, telecommunications and signalling).
c) Air flow and ventilation from LU Standard 1-067 (Tunnel and Passenger Area
Ventilation);
d) Passenger and personnel spatial requirements in accordance with LU Standard
S1371 (Station Planning);
e) Emergency evacuation in accordance with LU Standard S1371 (Station
Planning);
f) Platforms, architectural finishes and furniture in accordance with LU Standards
1-131 (Premises – Station Platforms) and 1-135 (Premises – Finishes);
g) Construction equipment and operations as determined by the designer;

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h) Maintenance equipment and operations as determined by the designer;

j) Construction tolerances as determined by the designer;
k) Deformation tolerance as determined by the designer; and
l) Cable requirements from LU Standard S1120 (Power Cable Route Design,
Testing and Recovery Requirements).
3.1.4.2 Trackbed in running tunnels
a) The structural design shall provide space and make provision for the trackbed
and for the variation in position of the structure due to tolerances.
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Note: The diameter of the tunnel may need to be enlarged where floating slab trackform is
required. Specific consideration should be given to the load imposed on the tunnel
lining and infill (stage 1) concrete by the support bearings for the floating slab.
b) The structural design shall be coordinated with the track support design, LU
Standards 1-157 (Track – Performace, design and configuration), 1-158 (Track
– Inspection and Maintenance), 1-162 (Conductor rail – Performace, design
and configuration) and 1-163 (Conductor rail – Inspection and maintenance).
c) Where it is necessary for cables to cross tracks the design shall make suitable
provision in a manner which does not encroach on the vehicle envelope nor
endangers cable function.
Note: The type of trackbed and required resilience may influence the tunnel design basis,
for example dowels between the tunnel lining and trackbed may be required to restrict
trackbed movement.
3.1.4.3 Drainage
a) The structural design shall provide space for the drainage system and the
variation in position of the structure due to tolerances.
b) The structural design shall be coordinated with the drainage system design, LU
Standard S1052 (Civil Engineering – Gravity Drainage Systems).
3.1.4.4 Service fixings and connections
a) The design shall comply with the requirements for service fixings and
connections in accordance with LU Standard 1-050 (Civil Engineering –
Common Requirements).
3.1.4.5 Contained structural components
a) The design shall provide space for structural components contained within the
asset and for the variation in position of such structural components due to
tolerances.
b) Structural design shall be coordinated with the design of Contained Structural
Components as defined in LU Standard S1053 (Civil Engineering – Building and
Station Structures).
Note: Requirements for fixing and connection of internal structures are given in 1-050 (Civil
Engineering – Common Requirements).
Contained structural components include:
a) Cable brackets;
b) Cable bridges;
c) Brackets for holding equipment such as water mains, signals ducts and fans;

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d) Noise reduction screens;
e) Emergency and maintenance walkways; and
f) Access stairs and landings.
3.1.4.6 Finishes
a) All finishes shall comply with LU Standard 1-135 (Premises – Finishes);
b) Where the function of the asset includes its use as a part of the ventilation
system the finish shall be as required by LU Standard 1-067 (Tunnel and
Passenger Area Ventilation);
c) The structural design shall provide space for installation or application of
finishing systems consistent with structure tolerances;
d) The structural design shall be coordinated with the design of the finishing
systems to ensure durability, water control and structural integrity of the asset;
e) Finishing systems for new works shall allow inspection of the structure;
f) Finishing systems for existing assets shall not diminish the inspectability of the
structure; and
g) Where no finishing systems are required, the structural elements shall have a
surface finish compliant with Clauses 3.1.8 and 3.1.9 of this Standard.
Note: Requirements for fixing and connection of internal structures are given in 1-050 (Civil
Engineering – Common Requirements).
3.1.5 Alignment
Alignment of tunnels containing track shall be designed in accordance with the
requirements of LU Standards 1-157 (Track – Performance, design and
configuration), 1-158 (Track – Inspection and Maintenance), 1-162 (Conductor rail –
Performace, design and configuration) and 1-163 (Conductor rail – Inspection and
maintenance).
Note: The precise arrangements of tunnels, particularly around junctions, may have a
significant impact on both constructability and structural efficiency. Further guidance
on the layout of tunnel junctions is provided in G-058 (Civil Engineering – Technical
Advice Notes).
3.1.6 Ground investigation information

Ground Investigations and desk top studies for Ground Investigations shall be carried
out in accordance with LU Standard 1-050 (Civil Engineering – Common
Requirements).
3.1.7 Design life

3.1.7.1 The Design Life for Deep Tube Tunnel assets shall be a nominal 120 years.
3.1.7.2 Deep Tube Tunnels assets shall be designed, where practicable, to minimise the
requirement for maintenance interventions other than visual inspections. To support
this requirement the designer shall provide a statement of potential degradation
modes identified during design and a schedule of the expected interventions during
the design life.
Note: To prepare the schedules required under clause 3.1.7.2 the designer will need to
consider all components including structural elements, gaskets and sealing materials
and also the ability of all materials to resist degradation by soil, ground water and the
environment through the Design Life.
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3.1.7.3 All metal structures and steel reinforcement in concrete prone to corrosion shall be
earthed in accordance with LU Standard 1-106 (Earthing and Bonding).
3.1.8 Fire resistance

3.1.8.1 The design shall meet the requirements for fire performance in LU Standard 1-085
(Fire Safety Performance of Materials).
3.1.8.2 The design shall meet the requirements for passive fire resistance to support the fire
safety strategy for the asset in LU Standard 1-083 (Passive Fire Protection
Systems).
3.1.9 Water resistance

3.1.9.1 Deep Tube Tunnel assets shall be designed to be free from all leakage, seepage and
damp patches. To achieve this the design shall include a continuous water barrier
separating the soil from the internal environment of the tunnel.
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Note: While the design intent is for a completely dry tunnel it is recognised that this may be
difficult to achieve both in initial construction and throughout the operational life of a
tunnel or shaft. Therefore this standard includes further requirements to control the
residual risk of water ingress.
3.1.9.2 Where Deep Tube Tunnels have internal finishes which are distinct from the tunnel
structural linings there shall be no leakage, seepage or damp patches in the space
within the finishes. To remove residual risk of water ingress to these areas
consideration shall be given to provision of a water management system between the
structural lining and the internal finishes. The water management system should either
be fully drained or, if there is evidence that the risk of water ingress is very small,
evaporation based systems may be provided. Specific consideration shall also be
given to maintenance of any water management system and also to protection of
architectural finishes and their fixture from damage due to water ingress.
3.1.9.3 Where a water management system is not provided within the structural lining the
design of the tunnel structure shall include design of generic repair techniques to seal
any future leakage or seepage through the lining. This shall include consideration of
any need to make good finishes within the structure.
3.1.9.4 The design shall include measures to prevent leakage at the junction between new
waterproofing and existing assets.
3.1.9.5 Materials specified for waterproofing shall meet the requirements of Clauses 3.1.8
and 3.1.9 of this Standard and LU Technical Specification T0006 (Deep Tube Tunnels
Materials and Workmanship). They shall also be on LU‘s Products Register
(http://www.lu-apr.co.uk). Should a supplier or contractor wish to use a product not on
the register then special approval from the LU Professional Head (Deep Tube
Tunnels) shall be sought and granted before it can be incorporated in to the works.
The product shall then be submitted for formal approval and entry on to the Products
Register as soon as practicable thereafter.
3.1.9.6 The design of water resistance measures shall cater for the effects of long term
ground movements and movements associated with the construction of adjacent
structures, where such construction is reasonably foreseable.
3.1.9.7 Bolted linings shall be provided with a caulking groove and a gasket and all bolts shall
be grommetted.
3.1.9.8 Bolted SGI and fabricated steel linings shall be machined on all joint faces and a
groove shall be provided to accommodate a waterproof seal.

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3.1.9.9 In-situ and sprayed concrete linings shall be protected by an external water resistant
membrane and construction joints shall be provided with water-bars except in the
cases described in clauses 3.1.9.11 and 3.1.9.12 below.
Note: The membrane may be applied as either a solid sheet form or as a sprayed or painted
liquid. Different membrane types have different characteristics. In making a selection
the designer will need to consider factors such as potential creation of water paths
and how the membrane may be repaired during its operational life.
3.1.9.10 Where concrete-lined headings are used locally for structures such as overbridges
and openings into or between existing tunnels the available space may make it
impractical to comply with the requirement to install an external water resistant
membrane. In this circumstance the membrane may be omitted and waterproofing
shall be by means of at least two separate systems not including the concrete itself.
One of the systems shall provide the ability to repeatedly re-inject sealing material
into areas where leakage may occur during the service life of the asset.
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Note: A combination of waterbars, hydrophyllic strips at joints and a reinjectable grout tube
system has been found to be generally satisfactory in the circumstances described in
clause 3.1.9.10.
3.1.9.11 Where sprayed concrete linings are used there may be benefit to LU in using the
concrete outside the membrane to carry a part of the permanent load. This solution is
permitted subject to the designer providing evidence to LU that:
a) the structure will satisfy its Required Duty (clause 3.1.1);

b) that the structure, including permanant works outside a membrane, will be
durable (clauses 3.1.7 and 3.1.8);
c) that all possible cases for distribution of loads between different parts of the
lining structures are addressed;
d) that the structure will satisfy the water resistance requirement (clause 3.1.9);
and
e) that the structure and waterproofing system are sufficiently robust too
withstand any likely movements.
Note: The requirement in clause 3.1.9.12 c) is driven by problems experienced with
cracking developing in very lightly loaded secondary linings. This is believed to be
due to the secondary lining gaining less load than anticipated as a result of the
primary (notionally temporary) lining being capable of carrying a significant part of the
long term load.
3.1.9.12 For the purpose of design of interfacing assets it shall be assumed that the
performance of the tunnel waterproofing system should achieve the following levels:
a) For tunnels containing track, above axis level shall be free from all leakage
seepage and damp patches;
b) For tunnels containing track, below axis level leakage shall be limited to damp
patches minor weeping at joints with less than one litre/day/m² ingress;
c) Shaft water ingress shall be limited to damp patches and minor weeping at
joints with less than one litre/day/m²;
d) Station, passenger and escalator tunnels shall be free from all leakage,
seepage and damp patches; and

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e) Other non-track tunnels shall be assumed to have the same water-resistance

requirements as tunnels containing track.
Note: The requirements for protection against flooding are given in LU Standard S1052
(Civil Engineering – Gravity Drainage Systems).
3.1.10 Structural design

3.1.10.1 All Deep Tube Tunnel assets shall have a structural lining.
3.1.10.2 Structural design for Deep Tube Tunnel linings shall be in accordance with the
principles set out in BS EN 1990:2002 + A1:2005 (Eurocode – Basis of Structural
Design). The designer shall establish the appropriate limit states and verify that none
of these limit states is exceeded
Note: Eurocodes do no explicitly cover the design of tunnels. The designer may apply rules
derived from appropriate Eurocodes but particular care must be taken to ensure that
the application is appropriate to the context. This includes identification of appropriate
limit states and selection of appropriate partial factors. The Tables 1 and 2 present
values of partial factors which have been found appropriate for the majority of London
Underground tunnel design scenarios.
The design loads QA, are determined from the nominal loads QK according to the equation QA
= fl.QK where fl is the minimum partial factor for each type of loading as given in
Table 1.
Nominal dead and superimposed Dead Loads shall be combined with the Live Loads
using the minimum partial factors in Table 1
The calculated resistance, RA*, determined from material strengths and measured
section properties, shall be calculated from the following expression:
RA* = function (fk/ m)
where fk is the characteristic strength of the lining materials and m is the partial
factor of safety on material strength. Minimum values of m shall be as stated in Table
2.
Load Ultimate (ULS) Serviceability (SLS)

Dead Construction materials 1.4 1.0
Super-imposed dead Soil, overburden 1.4 1.0
hydrostatic Pressure 1.0 1.0
(beneficial effect)
hydrostatic Pressure 1.1 1.0
(adverse effect)
Grouting pressure (arising from adjacent works) 1.2 1.0
Horizontal earth horizontal pressure 1.1 1.0

pressure (adverse effect)
horizontal pressure 1.4 1.0
(beneficial effect)
Imposed loads 1.6 1.0
Table 1 - Partial factors for load
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Load Ultimate (ULS) Serviceability

(SLS)
Concrete 1.5 1.0
Reinforcement 1.15 1.0
SGI 1.15 1.0
Bolts 1.15 1.0
Table 2 - Partial factors for materials
3.1.10.3 No part of the lining or support shall encroach within the structure profile under any
conditions of loading or deflection, as stated in Clause 3.1.4.1 of this Standard.
3.1.10.4 Structural analysis methods shall be justified and sensitivity analyses shall be
undertaken.
3.1.10.5 The designer shall validate computer programs used for structural analysis.
3.1.10.6 Openings in tunnels may be designed as arches or beams. Both shall be considered
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and the most efficient adopted unless there are clear benefits to LU to do otherwise.
3.1.10.7 Where openings are formed using steel members encased in concrete consideration
shall be given to the load carrying capacity of the concrete.
Note: The construction of large steel members may pose significant buildability issues and
safety risk in a tunnel and so if such members are proposed it must be rigoroously
demonstrated that they are necessary and that they are the optimum solution when
construction issues are considered.
3.1.10.8 In new build tunnels openings shall be designed to use an opening set with provision
for the safe removal of temporary infill panels. The formation of openings into new
build tunnels by methods such as stitch drilling, cutting or breaking is not acceptable.
3.1.10.9 Where new openings are to be formed in existing tunnels the opening may be formed
either from inside the tunnel by sequential replacement of the existing lining or from
outside the lining by the use of a ―bolt on the back‖ opening set. In the design of an
opening into an existing tunnel consideration shall be given to the capacity of the
existing lining to carry part, or all, of the load.
Note: In some situations it may be possible to enhance the capacity of the existing
structure at an opening through measures such as the introduction of additional bolts
or dowels.
3.1.10.10 Headwalls may be designed as either arches or beams. Both shall be considered
and the most efficient adopted unless there are clear benefits to LU to do otherwise.
3.1.10.11 Where new works are to be formed using steelwork encased in concrete (commonly
referred to as ―squarework‖) consideration shall be given to the load carrying capacity
of the concrete.
3.1.11 Loading
3.1.11.1 The structure shall be designed to carry and transfer design loads and load effects for
the Design Life.
3.1.11.2 The designer shall define loads and load effects for each element of design.

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3.1.11.3 Evaluation of ground and water pressures shall take account of the construction
method, the relative rigidity of the lining and the interaction of the lining with the
ground.
3.1.11.4 A minimum surface surcharge of 75.0kN/m² shall be used for the permanent
load cases unless it is known that a greater loading will be applied.
Note: The maximum surface surcharge may not give rise to the most onerous load case.
3.1.11.5 The design shall include load from grouting carried out for construction, Maintenance
or repair including loads that may arise from the execution of ground improvement
measures, or measures to control settlement.
3.1.11.6 The design shall take account of the following:
a) changes in long-term Groundwater level as defined by LU; and

b) seasonal variation in Groundwater level
3.1.11.7 Deep Tube Tunnel assets shall have a design capacity to carry and transfer a radial
pressure equal to the unfactored overburden pressure together with bending stresses
produced by a change in diameter of 1.15% .
Note: This ensures that the lining is capable of withstanding some post construction
deformation and/or poor geometrical control.
3.1.11.8 In Deep Tube Tunnel assets containing track all structures, cladding, cladding support
frames and fixings of the same shall be designed to resist both pressures and
suctions of 0.2kN/m2 using a load factor γf or γfl as appropriate of 1.0.
Note: Combination of loads depends on structural form and construction sequence and may
include:
a) Superimposed loads based on traffic loading, loads due to existing buildings and
foundations over and adjacent to the tunnel and any specified future loads;
b) Short and long term soil and hydrostatic loads;
c) The structural requirements for resisting buckling;
d) Loads produced by long and short term ground yield or squeeze;
e) Load from grouting operations planned as part of construction;
f) Loads from adjacent tunnelling operations and excavations;
g) Loads from openings and extensions to the linings;
h) Long and short term loads induced by the construction procedure;
j) Temperature and shrinkage;
k) Long term variation in Groundwater levels;
l) Handling, erection and TBM rams where applicable;
m) Accidental (collision) load;
n) Seismic;
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o) Compressed air;

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p) Mitigation of ground movement;
q) Flotation;
r) Internal loads; and
s) Load effects created by construction tolerances, such as steps, lips, roll and broken
joints for segmental linings.
This list is not exhaustive and other items may be required on a case by case basis.
3.1.11.9 Collision loading

Any structure or support that is at risk of destruction or disproportionate damage from
impact by a rail vehicle shall be designed for collision load.
3.1.11.10 The design shall specify measures to validate the design concept during
construction.
Note: This requirement arises becuase soil structure interaction in tunnels is difficult to
model reliably in design. Validation may be by means of monitoring to demonstrate
that loading and deflections are in accordance with the designer‘s expectations.
3.1.12 Impact on operational railway and adjacent structures

Note: The requirements for assessing impact and mitigation are given in LU Standard 1-050
(Civil Engineering – Common Requirements).
3.1.12.1 The designer shall determine the potential ground movement associated with the
construction method for the following purposes:
a) to demonstrate that the environmental effects of the tunnelling-induced ground

movement have been considered and taken account of in design;
b) to draw attention to those zones where the implementation of the design is
likely to cause ground movement;
c) to assess the risks of damage associated with the design, to investigate
alternatives, and modify the design as necessary;
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d) or if avoidance is not possible, to design protective measures against the likely
damage, which measures could include settlement mitigation such as
compensation grouting that could themselves have effects requiring
assessment; and
e) to indicate where the purchase of property is required for demolition or
structural modification.
3.1.12.2 The ground movement expected to arise from tunnelling activities shall be estimated
by empirically calibrated methods.

Number: S1055
Issue no: A2
Note: In most cases relatively simple forms of analysis are appropriate and preferred for
reasons of simplicity and ease of validation. The use of complex numerical analyses
may be appropriate for complex problems such as junctions but such tools should first
be validated by comparison with other methods or case history data.
Case history evidence of particular value for current tunnel construction methods in
London includes that from the King‘s Cross station upgrade (for sprayed concrete and
timber supported headings) and the Channel Tunnel Rail Link (for tunnel boring
machines). Further information on these projects is available in London
Underground‘s Core Asset Information System (CAI).
The requirements for assessing impact and mitigation are given in LU Standard 1-050
(Civil Engineering – Common Requirements). Reference may be made to CIRIA
Special Publication 200, 2001: Volume 1 (of 2) Projects and Methods: Building
Response to Tunnelling, Case Studies from Construction of the Jubilee Line
Extension, London. Editors J B Burland, J R Standing, F M Jardine
3.1.13 Provision for maintenance

3.1.13.1 The design shall incorporate provisions to facilitate the inspection and Maintenance
operations necessary for the achievement of the Required Duty for the Design Life.
3.1.13.2 As part of the design, the designer shall produce a plan for inspection, Maintenance
and, if appropriate, instrumentation and monitoring of the asset to ensure
serviceability throughout the Design Life.
3.1.13.3 The design shall demonstrate the asset can be cleaned:
a) to reduce the risk of vermin infestation and fire;

b) to reduce the environmental risk to system users and staff;
c) to promote a positive customer perception of the underground environment;
d) to remove obscuration of structural elements and so facilitate inspection; and
e) to fulfill the requirements of LU Standard 1-160 (Cleaning of the track
environment).
3.1.14 Temporary works
3.1.14.1 Temporary Works required for the construction of the permanent works shall be fully
compatible with the continuing safe and reliable operation of the adjacent facilities.
Note: Also refer to LU Standard 1-354 (Customer Facing Aspects of Temporary Works at
Stations) and for spatial constraints refer to LU Standard S1371 (Station Planning).
3.1.14.2 Any loads which Temporary Works impose on new assets shall be allowed for in the
design.
3.1.14.3 Existing assets which will be required to sustain loads imposed by the Temporary
Works associated with the construction of new assets shall be checked for their
ability to do so and if necessary, additional support shall be designed.
3.1.15 Design documents

3.1.15.1 A design report shall be prepared in accordance with LU Standard 1-050 (Civil
Engineering - Common Requirements).
3.1.15.2 The design report shall describe any requirements for instrumentation and monitoring
including full details of purpose, installation requirements, and frequency of readings.
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Note: Further requirements for design documents and checking are given in LU Standard 1-
538 (Assurance).
3.1.16 Construction documents

Construction documents shall be prepared in accordance with LU Standard 1-050
(Civil Engineering - Common Requirements).
3.2 Construction, installation, testing and commissioning

3.2.1 General
3.2.1.1 LU Standard 1-552 (Contract QUENSH Conditions) shall be complied with during all
construction, installation, testing and commissioning work.
3.2.1.2 Construction installation, testing and commissioning work, including Strengthening and
Renewal, shall put into effect the design requirements as defined in Section 3.1 of
this Standard.
3.2.1.3 No new or Strengthening and Renewal construction work shall start until the design
for that work has been approved in accordance with LU Standards 1-538 (Assurance)
and 1-050 (Civil Engineering – Common Requirements).
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3.2.1.4 A system to control and manage the construction process shall be maintained.
Note: This system is required to enable LU:
a) to discharge their responsibilities to the Office of Rail Regulation (ORR);
b) to discharge their responsibilities to maintain safe structures and operating railway

systems during construction works;
c) to satisfy itself that the construction is in accordance with the design; and
d) to satisfy itself in respect of the adequacy of the system for the recording of
construction data and information that may be relevant to the subsequent
Maintenance, Strengthening and Renewal and eventual decommissioning.
3.2.1.5 Procedures shall be in place for controlling any changes to the design during the
construction, installation, testing and commissioning phases including staged and
temporary construction work. Such procedures shall ensure that:
a) proposed design changes are not implemented until they have been duly
considered and approved by a person competent to appreciate their impact on
construction methodology and their implications for the safety of the
operational railway; and
b) records are made of the design changes and their approval.
3.2.1.6 At the end of construction the drawings shall record the works as built.
3.2.1.7 Adjacent buildings, structures, utilities and facilities shall be protected from the effects
of construction work in accordance with LU Standard 1-050 (Civil Engineering –

Number: S1055
Issue no: A2
Note: In complex situations it may be helpful to prepare a suite of documents to describe

how this is done. Typically these would include:
a) an Agreement in Principle for the method of assessment;
b) an assessment report;
c) a mitigation proposals report; and
d) an instrumentation and monitoring plan.
3.2.1.8 Sufficient testing of systems, sub-systems, materials and components shall be carried
out to give assurance that they are in accordance with those specified in the
approved design. This testing requirement shall be described in an Inspection and
Test Plan.
3.2.1.9 All necessary attendance during site visits shall be afforded to LU to enable LU to
discharge its responsibilities in respect of its duties including verification.
3.2.1.10 A design capability shall be made available throughout construction of any tunnelling
works to ensure and certify implementation of the design intent.
Note: Ensuring implementation of the design intent includes interpretation of monitoring data
and modification of the design if necessary.
3.2.2 Work sites and access

The designer shall determine the location and size of the working sites required for the efficient
and safe servicing of construction activity.
Note: Factors to be considered includes safe personnel access and escape, safe materials
and spoil access, separation from the operational railway. In the case of sprayed
concrete tunnelling works particular consideration should be given to the proximity
and adequacy of concrete batching facilities.
3.2.3 Construction methods

3.2.3.1 The construction method(s) shall lead to the provision of the asset defined in the
documentation for implementation within the specified tolerances and of the specified
dimensions and quality.
3.2.3.2 Before any modifications are made to a construction method the design shall checked
and if necessary modified.
3.2.4 Materials
3.2.4.1 All construction materials supplied to the works shall comply with the requirements of
LU Standard 1-050 (Civil Engineering – Common Requirements) and LU Technical
Specification T0006 (Deep Tube Tunnels Materials and Workmanship).
3.2.4.2 LU maintains a Products Register (http://www.lu-apr.co.uk). Products on that register

are deemed approved for use on the Underground. Should a supplier or contractor
wish to use a product not on the register then special approval from the LU
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Professional Head (Deep Tube Tunnels) shall be sought and granted before it can be
incorporated in to the works. The product shall then be submitted for formal approval
and entry on to the Products Register as soon as practicable thereafter.
3.2.4.3 Conventionally reinforced concrete shall have cover as required in LU Standard 1-

050 (Civil Engineering – Common Requirements). The cover requirements of LU
Standard 1-050 do not apply to steel fibre reinforced concrete in Deep Tube Tunnel
assets.

Number: S1055
Issue no: A2
3.2.4.4 The use of polymer reinforcement for structural reinforcement of Deep Tube Tunnel
structures is not permitted.
Note: This requirement is due to the potential for polymer fibre to creep and to become fire
damaged. It does not prohibit the use of polymer fibres in concrete for other purposes
such as fire protection.
3.2.4.5 The requirements of LU Standard 1-050 with respect to the minimum reinforcement in
each face for concrete below ground do not apply to Deep Tube Tunnel assets.
3.2.4.6 The requirements of LU Standard 1-050 for a maximum crack width of 0.2mm only
applies to Deep Tube Tunnel assets where the concrete forms part of the permanent
works, is conventionally reinforced, in contact with the ground and not protected by a
membrane.
3.2.5 Instrumentation and monitoring
Where appropriate to the scope of work, instrumentation and monitoring shall be

used:
a) to verify the predicted ground movement due to the work and to determine the
effects which such ground movement will have on LU and adjacent assets;
b) to determine the impact of the work on third party assets;
c) to establish monitoring base readings sufficiently in advance of the work to
ensure underlying and seasonal environmental trends are understood; and
d) to trigger the implementation of contingency plans if the results of monitoring so
indicate.
Note The factors which may influence the monitoring data should be considered to
determine an appropriate period and frequency for baseline monitoring. This decision
making process will include an element of engineering judgement to account for the
possible effects of any underlying environmental trends in the assets under
consideration.
Further guidance on the design and operation of monitoring systems suitable for use
in the underground construction is given by the British Tunnelling Society in its report
―Monitoring Underground Construction: A best practice guide‖
3.2.6 Geotechnical processes

Before excavation commences tests shall be performed to confirm that geotechnical
processes required for the works have brought about the intended changes in ground
properties.
Note: Geotechnical processes permanently or temporarily improve the natural ground and
Groundwater conditions:
a) to make tunnelling safer; and
b) to reduce and control ground movement.
3.2.7 Reinstatement
3.2.7.1 Except where the provision of the asset requires otherwise the working sites,
highways, pavements used or affected by the provision of the asset, shall be
reinstated to the Condition, alignments and levels at least equivalent to those which
existed prior to the commencement of the works.
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3.2.7.2 All utility systems affected by the provision of the asset shall be reinstated to a
standard at least equivalent to that existing prior to the commencement of the works.
3.2.7.3 Working shafts and tunnels shall be backfilled in accordance with the design without
adversely affecting the safety of:
a) the operational railway and infrastructure;

b) those carrying out the work; and
c) those affected by the construction work.
3.3 Inspection
3.3.1 General
3.3.1.1 Inspections of Deep Tube Tunnels shall be undertaken for the following purposes;
a) to provide information necessary to manage Maintenance of Deep Tube Tunnel

assets;
b) to confirm that Deep Tube Tunnel assets are safe for railway operations and
for public and Outside Party use;
c) to provide the information necessary to assess the Condition of the Deep Tube
Tunnel assets in a consistent and accurate manner;
d) to provide information enabling the Asset Register to be maintained as an
accurate record of the physical features of the Deep Tube Tunnel assets;
e) to provide all the necessary information on Deep Tube Tunnel assets to meet
the requirements for Analytical Assessment and the Asset Condition
Assessment and Certification (ACAC) process; and
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f) to monitor and identify defects and the causes and effects of deterioration.
3.3.1.2 Where defects are observed a more detailed investigation is necessary to ensure
that appropriate information is available to meet the asset Condition Assessment and
Maintenance obligations.
3.3.1.3 Any usage of Deep Tube Tunnel assets or development of defects which might place
at risk the operational railway, passengers, staff, or the public shall be identified,
made safe, recorded, and brought to the immediate attention of the LU Professional
Head (Deep Tube Tunnels).
Note: Knowledge gained through recent assessment and inspection programmes have
identified a number of defects which, if found, are a cause of particular concern.
These include:
a) At openings in pre 1960 tunnels any deformation to lintel beams, in particular web
buckling or any distortion or fracture of the lintel close to the support points.
b) At openings in pre 1960 tunnels without lintel beams any relative displacement of
segments above the opening into the tunnel or down into the opening. This segment
displacement may sometimes be made more obvious by displacement of the bolts in
the joints above the edges of the opening.
c) Spalling of unbolted pre-cast concrete segments adjacent to the radial joints or

cracking across the centre of these segments.
d) Any evidence of sand or silt ingress into a tunnel.
e) Corrosion sufficent to cause the effective loss of bolts.

Number: S1055
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f) Missing bolts in rings containing an opening or in the first three rings to either side
of an opening.
Identifying whether any of these defects is present should be a particular focus of any
Deep Tube Tunnel inspection. If such defects are found they should be brought to the
immediate attention of the LU Professional Head (Deep Tube Tunnels).
It should also be noted that the absence of some or all bolts from circle joints in a
tunnel section remote from openings or other structures does not constitute a defect
unless the absence of the bolt gives rise to water ingress. These circle joint bolts are
not required for structural purposes except during construction.
3.3.1.4 A review the Asset Register for each Deep Tube Tunnel asset and updating the
records shall be carried out as part of the reporting process.
3.3.1.5 Inspection reports and proforma shall be retained for the life of the asset.
3.3.1.6 No inspection shall commence unless previous inspection reports and asset files
have been reviewed to establish as far as possible information about the asset and
likely hazards.
3.3.1.7 Where the asset is normally covered by finishes that may be taken down temporarily ,
or permanently, for reasons unconnected with inspection, there shall be a procedure
for ensuring that the exposed asset or asset part is inspected during the period of
exposure.
3.3.2 Types of inspection

The following types of inspection of the Deep Tube Tunnel assets shall be carried out:
a) Principal;
b) Special; and
c) Inspections for Analytical Assessment
3.3.3 Principal Inspections
3.3.3.1 These are a close inspection of all inspectable parts of the asset, carried out to give
detailed visual confirmation on condition necessary for the management of the
assets.
3.3.3.2 Where necessary inspection shall be facilitated by cleaning surfaces or removing

non-structural finishes.
3.3.3.3 The guidance on inspection access below is based on what has been found to be
satisfactory in the majority of situations for Deep Tube Tunnel assets in good
condition. Where particular Condition concerns are identified using these
approaches adequate access shall be provided to place the inspector within touching
distance of the affected area. This may be done as part of a follow up visit.
Note: The ideal method of inspection is to gain ―hands on‖ contact with all accessible parts
of the structure. The feasibility of achieving this depends on safety and efficiency
considerations.
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A range of access techniques may be appropriate for these inspections. These

include: standing on the floor or track, use of existing access platforms or stairs, fixed
scaffold towers, track trolley mounted scaffold towers, roped access and confined
space entry
Experience gained in recent years has found that the following approaches have
resulted in satisfactory inspections:
a) In tunnels of up to 4.572m (15 feet) diameter with no finishes inspection from a

position standing on the floor or track;
b) In tunnels of over 4.572m (15 feet) diameter with no finishes inspection of the
parts up to 5m above floor level from a position standing on the floor or track. Scaffold
towers or other appropriate means of access should then be used to inspect the
upper areas. The arrangements should result in a viewing distance of no more than
3.5m;
c) In lift shafts inspection of the parts up to 5m above the floor level from the shaft
bottom and the remainder from the top of the lift car. All to be done under appropriate
local control arrangements for the lift;
d) In spiral stair shafts inspection from the stairs with a viewing distance of no
more than 3.5m;
e) In shafts up to 4.572m (15 feet) diameter with ladder or stair access inspection
from the ladder or stairs with a viewing distance of no more than 3.5m;
f) In shafts over 4.572m (15 feet) diameter with ladder or stair access inspection
from the ladder or stairs for those parts of the asset within 3.5m. Supplementary
access provision (commonly scaffold tower or roped access) is used for the
remaining parts in order to achieve a viewing distance of no more than 3.5m; and
g) In shafts with no access provision, inspection of the lower 5m from the base
where access is available. The remaining parts should be inspected using
supplementary access provision (commonly a scaffold tower or roped access) to
achieve a viewing distance of no more than 3.5m).
Experiments have also been conducted with inspections at height using cameras on
telescopic masts under the control of the inspector. These can be a helpful tool but in
practice it has been found that there are relatively few situations where this technique
alone is adequate for an inspection. Various forms of scanning technology are
currently in development and there remains potential for these to be a part of future
inspection regimes.
In Deep Tube Tunnels with removable finishes inspection may be through inspection
hatches in the finishes or by the removal of selected parts of the finishes. The extent
of any removal of finishes should be sufficient to provide reasonable confidence that
the inspection objectives are satisfied.
In Deep Tube Tunnels with fixed finishes the underlying structure may not be
inspectable. In these cases the inspection should concentrate on identifying evidence
which may be indicative of concerns with the main structure. This may include
seepages through the finishes or cracking of finishes.
3.3.3.4 Principal Inspections shall identify and record visible development of defects or any
other visible change to the structure. Particular attention shall be given to any change
which may affect safety.
3.3.3.5 The Principal Inspection report shall:
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a) confirm that all parts of the asset have been inspected;

b) record the extent and severity of any defects found;
c) identify the extent and severity of any changes in Condition, use, or
environment since the last inspection;
d) draw attention to any observed factors which may affect the safety of the
asset;
e) identify where further investigation or other action is needed; and
f) record what means of access were used for the inspection.
3.3.4 Special Inspections
3.3.4.1 Special Inspections shall be close inspections of an asset, or particular areas of an
asset.
Note: The scope of Special Inspections may include intrusive investigations.
3.3.4.2 Special Inspections shall be carried out following defect notification or a report of an
Incident that causes damage to a Deep Tube Tunnel asset, or has the potential to
affect adversely the ability of the asset to perform its Required Duty. Special
inspections may also be initiated in response to assessments or other observations
where an increased risk is identified.
3.3.4.3 Sufficient information shall be collected to enable the safety of the asset to be
assessed and for the full reporting of the any Incident.
3.3.4.4 The frequency and scope of all Special Inspections shall be agreed by the
Professional Head (Deep Tube Tunnels).
3.3.4.5 The frequency of Special Inspections shall be dependent on the assessed ris ks.
3.3.4.6 The reporting for Special Inspections shall be as for Principal Inspections modified to
suit the particular nature of the inspection.
3.3.5 Inspections for Analytical Assessment

An inspection for Analytical Assessment shall provide the physical information about an asset
necessary for the assessment of the asset to be undertaken in accordance with
Section 3.4 of this Standard.
Note: Information collected during an inspection for assessment is likely to include but may
not be restricted to:
a) the form of construction;
b) the construction materials;
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c) dimensions;
d) structural Condition including deformation; and
e) any other changes which have resulted in different conditions from those applying
at the time of any previous inspection.
Features which are commonly of particular relevance to assessment include tunnel

circularity, deformation at openings, longitudinal discontinuities and seepages .
3.3.6 Inspection frequency

3.3.6.1 The frequency of inspections shall be consistent with timely identification of defects
and deterioration such that risk to railway safety is maintained ALARP.
3.3.6.2 A 12 year inspection plan shall be prepared and maintained to define the schedule of
inspections.
3.3.6.3 The frequency of inspections defined in the inspection plan shall ensure that
information is available to meet the requirements for asset Condition Assessment and
Maintenance.
3.3.6.4 Inspections of Deep Tube Tunnel assets shall be undertaken as follows:
a) The first Principal Inspections shall be undertaken one year after an asset
enters service. The second Principal Inspection shall be undertaken at a time
of half the normal Principal Inspection frequency after the asset enters service.
The third Principal Inspections shall be undertaken at a time no greater than the
normal Principal Inspection freuquency after the asset entered service.
Thereafter Principal inspections shall be undertaken at the frequencies shown
in Table 3;
Note: Thus for a bolted cast iron tunnel the first five Principal Inspections are due to be
undertaken after 1, 6, 12, 24 and 36 years in service.
b) Special Inspections at frequencies as required by Clause 3.3.4.4; and

c) Inspections for Analytical Assessment when assessment is required
Structural asset type Type of inspection/maximum
period between inspections
(years)
Bolted cast iron Deep Tube Tunnels including 12
Shafts
All other Deep Tube Tunnels including Shafts 4
(including concrete, masonry and flexible (non
bolted) iron)
Table 3: Principal Inspection frequency
3.3.7 Inspection reports

3.3.7.1 Inspection reporting shall maintain a consistent and repeatable standard, which shall
ensure comparability in Condition Assessments across the LU system.
Note: Inspection reports should typically record:
a) Asset number;
b) Location and means of access;

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c) Ring number;
d) Construction details and drawing numbers;
e) Type of lining;
f) Shape;
g) Ground conditions;
h) Water ingress and whether affecting in-tunnel equipment;
j) Connecting assets;
k) Inspection and Maintenance summary;
l) Defect description with clarifying sketches;
m) Defect Priority, noting any requiring action before next inspection;
n) Extent and severity scores ;
o) Item scores;
p) Element ratings;
q) Condition rating;
r) ACAC classification as determined by inspection alone;
s) Safety action taken;
t) Further recommended action such as work order generation or further review; and
u) Auditable sign off.
This is not an exhaustive list and other items may be required on a case by case basis.
3.3.7.2 Inspection reports shall capture, in a consistent and auditable manner, the information
required for the execution of subsequent activities.
3.3.7.3 All structures shall be visually identified within the inspection report through the
provision of general photographs.
3.3.7.4 All defects with a score indicating a Condition rating that is worse than B2 (see Table
4) shall be visually identified within the Inspection Reports through the recording of
asset numbers, defect location within the numbered asset and sketches and
photographs of the defect.
3.3.8 Graphic defect notation

3.3.8.1 Consistent and readily comprehensible graphical defect notations shall be used when
showing defects on sketches or overlaying existing drawings.
3.3.8.2 The graphical defect notations shall provide the means for recording defects in a
consistent and repeatable manner.
Note: The graphical defect notations should be used within the following groups:
a) Deformation, bulging and dislocation;

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b) Corrosion and rusting;
c) Fracture, cracking, spalling and lamination;
d) Defective, missing, displaced nuts and bolts;
e) Exposed rebar;
f) Cleanliness and contamination;
g) Water ingress (active seepage, dampness);
h) Vegetation;
j) Evidence of vehicle impact (including rail traffic); and
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k) Repairs.
This list is not exhaustive and other items may be required on a case by case basis.
Guidance on graphic defect notation historically used by LU is given in the Manual of Good
Practice G-055.
3.3.9 Defect classification system

3.3.9.1 The defect classification system shall include indices to record the extent and
severity of the defect.
3.3.9.2 The defect classification system shall include Classifications for the recommended
action and the priority of the recommended action.
3.3.9.3 Inspections shall report defects in accordance with the defect classification in Table
4.
1. Extent 2. Severity
A- Less than 5% 1- No ‗significant defect‘
B- Between 5% and 10% 2- ‗Minor‘ - defects of a non-urgent nature.
C- Between 10% and 20% 3- ‗Heavy‘ - defects of an unacceptable nature. Action
D- Greater than 20% required within the next two annual maintenance
programmes.
4- ‗Severe‘ - defects where action is needed. These
shall be reported immediately to the supervisor.
Action required within the next annual maintenance
programme.

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3. Recommended action 4. Priority

C- Replace I- Immediate
P- Paint H- High (within 12 months)
R- Repair M- Medium (within 2 years)
M- Monitor L- Low (before next Principal Inspection)
I- Inspect R- Review (at next Principal Inspection)
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Table 4 - Defect classification
3.3.10 Condition rating

3.3.10.1 Inspection reports shall contain a Condition rating.
3.3.10.2 For each Item, extent and severity classification as derived in Section 3.3.11 shall be
scored in accordance with Table 5 and summated to give an Item score.
Extent Score Severity Score

A =4 1 =4
B =3 2 =3
C =2 3 =1
D =1 4 =0
Table 5 - Extent and Severity ratings
3.3.10.3 All Item scores shall be added together and the overall Element rating calculated as
follows:
T otalitemscore
x 12.5 Overallelementrating(%)
No. of itemsscored
3.3.10.4 The overall Condition rating for the asset shall be the worst Element rating.
3.3.11 Disused Deep Tunnel assets

In respect of inspection and reporting disused Deep Tube Tunnel assets shall be
treated in the same way as their in-use counterparts.
3.4 Analytical Assessment

3.4.1 General
An Analytical Assessments shall be carried out to determine the degree to which the
assets remain safe and fit to fulfil the structural element of their Required Duty in their
current environment and condition.
3.4.2 Purpose
3.4.2.1 Analytical Assessments shall be carried out:
a) before any change in use, function, or duty of the asset takes place;
b) as soon as possible after either or both of the following:

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I) inspection indicates that the asset may have a reduced structural

capacity;
II) any reported Incident, observation or event indicates that the asset may
have a reduced structural capacity.
c) when an existing Deep Tube Tunnel asset is likely to be affected by any work
adjacent to the asset;
d) to assess the effect of ground movement and changes in loading which have
the potential to affect the asset;
Note: Details on assessing the impact of ground movements on operational railway and
adjacent structures are given in LU Standard 1-050 (Civil Engineering – Common
Requirements).
e) to assess the effect of changes in hydrostatic loading due to changes in

groundwater level; and
f) to provide input in respect of structural performance into the condition
assessment of the asset in accordance with Section 3.5 of this Standard.
3.4.2.2 Analytical Assessment is not required if it can be demonstrated:
a) that an existing Analytical Assessment applied to the asset has demonstrated

successful fulfilment of the Required Duty, and no events have occurred
rendering the assessment invalid; or
b) that there are other assets for which Analytical Assessments have
demonstrated satisfactory performance for their Required Duty and that those
assets are similar to the asset in question in regard to all matters having an
influence on structural performance.
Note: In clause 3.4.2.2 b), demonstration of similar structural performance should include
comparison of the lining type, lining material, lining condition, geometric shape, ground
conditions, depth below ground level, surface surcharge and proximity of adjacent
structures.
3.4.3 Assessment process control

3.4.3.1 A process shall be devised to control the Analytical Assessment process, including
fieldwork and investigations, to achieve the purpose set out in Clause 3.4.1.
3.4.3.2 An Approval in Principle for Analytical Assessment document shall be prepared.

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Note: It is recommended that prior to commencing the assessment agreement is obtained

from the LU Professional Head (Deep Tube Tunnels).
3.4.3.3 The Approval in Principle for Analytical Assessment shall contain the following as a
minimum:
a) the identity of the structure;
b) a description of the structural form and materials;
c) the purpose of the assessment;
d) a list of further investigations and surveys required;
e) a list of available records (e.g. previous assessment reports);
f) the identity of the competent person responsible for doing the assessment;

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g) the proposal for checking;
h) a method of analysis for assessment;
i) a description of the proposed works affecting the asset including programme;
j) the pass/fail criteria; and
k) a list of relevant standards
3.4.3.4 A Specific Concern or Condition Classification shall not be assigned to an asset

following Analytical Assessment unless all practicable design approaches have be
exhausted.
Note: Initial assessment should generally be carried out using simple methods (e.g. closed
form analysis). More complex methods, including sophisticated numerical analysis,
should only be used where it is essential to model complexity or to achieve better
precision.
Experience has shown that it is more efficient to start assessment with a simple stiff
(cylinder, no joints) ring, then if the assessment fails consider a flexible (jointed) ring.
If all closed forms fail then try numerical analysis.
Shallow and closely spaced tunnels may fail closed form analysis but usually pass
numerical analysis
Iterations of analysis may consider whether:
a) the analysis assumptions are inappropriate or unjustifiably conservative; and
b) the input data such as material or geometrical information are inaccurate.
3.4.4 Investigation and study

3.4.4.1 Investigations and studies shall be carried out to obtain all the necessary information
for the application of the assessment methodology.
3.4.4.2 Detailed information under the following general headings shall be obtained:
a) the form of construction;

b) the dimensions;
c) the construction materials;
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d) the nature and Condition of the components;

e) structural Condition, evidence of deformation and structural behaviour;
f) environmental and other changes imposing different conditions from those
applying at the last inspection for Analytical Assessment or from the initial
design;
g) for all segmental Deep Tube Tunnels the condition of the segment-to-segment
joints;
h) ground and groundwater conditions;
j) surface loading conditions; and
k) any adjacent structures which have the potential to affect the assessment or
the load carrying capacity of the tunnel.

Number: S1055
Issue no: A2
Note: Investigations may include intrusive investigation and material testing, however
where there is knowledge of similar assets or where further testing is unlikely to yield
reliable data (e.g. brick cores do not give reliable data and leave a potential water
ingress path) these are not to be encouraged. Studies should include reviews of
monitoring data, operational data, Incident reports and information from Outside
Parties. The Maintenance and inspection history may also be relevant.
3.4.5 Inspection
Inspection for Analytical Assessment shall be carried out in accordance with Section
3.3.5 of this Standard.
3.4.6 Assessment methodologies

3.4.6.1 Information obtained from inspection, investigation and study shall be used to assess
the tunnel and shaft linings.
3.4.6.2 The ability of the Deep Tube Tunnel asset to resist the following loading categories
and deforming effects shall be assessed:
a) Live and Dead Loads;

b) soil and variable hydrostatic loading;
c) long- and short-term ground yield or squeeze;
d) the known effects of adjacent construction work;
e) track loading; and
f) localised unequal loading caused by ground improvement or ground movement
control measures.
3.4.6.3 Local contact stresses at the radial joints of segmental linings shall be included in the
assessments.
3.4.6.4 In bolted segmental linings local stresses around bolts shall be considered where the
lining is subject to imposed distortion.
3.4.6.5 The analytical tools shall take account of:
a) the loads and actions influencing the ability of the structure safely to fulfil the
structural element of its Required Duty;
b) material strength parameters;
c) critical failure modes;
d) the reliability of the dimensional data available; and
e) the reliability and accuracy of the data in respect of the relevant ground,
groundwater and lining parameters.
3.4.6.6 Structural analysis methods shall be justified and sensitivity analyses shall be
undertaken.
3.4.6.7 Through assessment the supplier shall ensure that the asset is capable of sustaining
the loading and deforming effects given in 3.4.6.2, 3.4.6.3 and the axial thrust
resulting from a radial thrust equal to vertical pressure at axis level together with
bending stresses induced by a deformation of the tunnel, δ where δ = (actual radius –
design radius) and is the most onerous of the following departures from the designed
shape of the lining:
δ equal to 1% for tunnels entirely within cohesive ground and less than 4.572m (15 feet)
internal diameter or 2% for all other tunnels;
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Number: S1055
Issue no: A2
δ equal to measured insitu value (where available); or
δ calculated from the sum of the measured (existing) deformation and the predicted future
deformation.
Note: A review of survey data across the LU network has shown that it is appropriate to
assume that for tunnels designed as circular:
Ovalisation is less than 1% for all lining less than 15 feet internal diameter in
cohesive ground; or
Ovalisation is less than 2% for all linings in non-cohesive or mixed ground, at depths
less than 40m or greater than15 feet internal diameter
3.4.6.8 In the event that the tunnel does not meet the Required Duty:
a) Where this results from cl. 3.4.6.7 cl. a) a comprehensive deformation survey
to determine the actual deformation shall be considered; or
b) Where failure results from cl.3.4.6.6 cl. b) or c) the assessor shall judge
whether existing deformation results from the original build or from subsequent change
and reassess accordingly.
3.4.6.9 If the initial Analytical Assessment does not demonstrate that the asset is capable of
fulfilling the structural element of its Required Duty, the initial assessment process
shall be critically reviewed to determine the following:
a) if a minor adjustment of load or material factors, not compromising safety or

ability to perform Required Duty, would render the analysis satisfactory;
b) the consequences and tolerability of the effect of failure;
c) if the failure of the initial assessment to demonstrate that the asset is adequate
is linked to its failure to deal adequately with the reality of the situation in terms,
for example, of complexity of underground spaces, interfacing structures,
shapes, soil property variations, depth variations;
d) if there are such significant factors not capable of being dealt with by the initial
Analytical Assessment, whether:
I) there are analytical methods which would more reliably take account of
them;
II) their application would be likely to demonstrate the adequacy of the
asset;
III) such methodologies are compatible with the reliability of the data in
respect of ground and lining which are available or can be obtained.
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3.4.6.10 An advanced Analytical Assessment shall be undertaken following the completion of

an initial Analytical Assessment when one or more of the following apply:
a) where the output from the Initial Analytical Assessment indicates that the asset
does not comply with this standard;
b) where a need to analyse in more detail the structural capacity of a specific
section of a tunnel asset is identified;
c) where the inspection, desk study or initial Analytical Assessment identifies that
there is, or may be, a structural Specific Concern;
d) where there is excessive deformation;
e) complex tunnel layouts, situations of asymmetrical loading, tunnels with less
than one diameter separation.

Number: S1055
Issue no: A2
3.4.6.11 An advanced Analytical Assessment shall be performed using a finite element or other
method applied to a representative soil and structure model.
Note: Representative soil models should allow variation of parameters with depth and
stress history. Representative structure models should include the effect of joints.
3.4.7 Grey cast iron linings

3.4.7.1 Grey cast iron linings shall be assessed using a permissible stress approach. The
appropriate parameters, for Grade 10 cast iron, that shall be used are provided in
Table 6.
Note: This is because there is no design code available for cast iron structures.
3.4.7.2 Assessment loads shall be nominated loads.
Property Value
2
Cast iron permissable bending tensile strength (N/mm ) 38
2
Cast iron permissable compressive strength (N/mm ) 150
2
Cast iron permissable shear strength (N/mm ) 44
2
Cast iron Young‘s modulus (N/mm ) 100000
Cast iron Poisson‘s ratio 0.26
Wrought iron bolt ultimate tensile strength (N/mm²) 342
Wrought iron bolt ultimate shear strength (N/mm²) 137
Wrought iron bolt permissable tensile strength (N/mm²) 114
Wrought iron bolt permissable shear strength (N/mm²) 46
Table 6 - Material properties - grey cast iron linings and wrought iron bolts
Note The range of strength of wrought iron is described in historical sources such as
catalogues and data books from the period of manufacture and can also be confirmed
by testing. The material properties are similar to a modern grade 4.6 steel.
The wrought iron values presented in Table 6 are derived from recent testing of a
sample of 42 wrought iron tunnel bolts. This testing gave results within the range
expected from historical sources. The characteristic ultimate tensile strength obtained
from the testing was 342N/mm2 (with a mean 369N/mm2). The ultimate shear strength
is taken as being the ultimate tensile strength multiplied by 0.4. The yield stress is
taken as half of the ultimate stress. The permissable values are derived by dividing
the yield stress by a factor of 1.5.
3.4.7.3 The analysis shall consider a variation in Young‘s modulus of 12.5% of the nominal
value shown in Table 6.
3.4.8 Other materials

Other materials shall be assessed using Limit State principles, strength parameters
and partial factors given in the relevant European Standard, except where partial
factors are specified in this Standard. The assessor shall establish the appropriate
limit states and verify that none of these limit states is exceeded.
3.4.9 Assessment loads

3.4.9.1 The assessment loads QA, are determined from the nominal loads QK according to
the equation QA = fl.QK where fl is the minimum partial factor for each type of
loading as given in Table 7.
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Number: S1055
Issue no: A2
3.4.9.2 Nominal dead and superimposed Dead Loads shall be combined with the Live Loads
using the minimum partial factors in Table 8.
Loading Material ULS+ SLS++

Dead Concrete, steel and brickwork see Table 8
Super-imposed dead filling materials, soil 1.2 1.0
hydrostatic Pressure (beneficial effect) 1.0 1.0
hydrostatic Pressure (adverse effect) 1.1 1.0
Grouting pressure (arising 1.2 1.0
from adjacent works)
Horizontal earth pressure - horizontal pressure (adverse effect) 1.1 1.0
- horizontal pressure (beneficial effect) 1.2 1.0
Live loads 1.4 1.0
The use of ‗adverse' and ‗beneficial' above shall be taken in the context of the overall effect on
the lining assessment, and not just maximum or minimum loads on the lining
Table 7 - Partial factors on loads (γfl) for assessment
3.4.9.2 Nominal dead and superimposed Dead Loads shall be combined with the Live Loads
using the minimum partial factors in Table 8.
Note: The use of the lower factor may be more appropriate in the assessment of maximum
bending moments due to distortion, while the larger value may be more suitable for
assessment of maximum compressive stresses where bending is not an issue, and
joint assessment.
Materials ULS SLS

SGI 1.15 1.0
Concrete (plain) 1.05 1.0
Reinforced concrete 1.05 1.0
Brickwork 1.15 1.0
Steel 1.05 1.0
Table 8 - Partial factors on material dead loads for assessment
3.4.9.3 Assessment load effects

The assessment load effects SA, shall be obtained from the assessment loads, QA,
by the relationship:
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a) SA = f3 x (effects of QA)
= f3 x (effects of fl.QK)
where f3 shall equal 1.1.
b) For those materials where the calculated resistance is determined on a
permissible stress basis, the following shall be applied:
SA = (effects of QK)
Note: f3 is a factor that takes account of inaccurate assessment of the effects of loading
such as unforeseen stress distribution in the structure, inherent inaccuracies in the
calculation model, and variations in the dimensional accuracy from measured values.

Number: S1055
Issue no: A2
In using the f3 factor care is required to ensure that load effects are not
overestimated: for example by re-allowing for effects already allowed for in the
applied load factors stipulated by code, or by using measured dimensions in
conjunction with code factors allowing for inaccuracies in such data.
3.4.9.4 Calculated resistance

a) The calculated resistance, RA*, determined from material strengths and
measured section properties, shall be calculated from the following expression:
RA* = function (fk/ m)
where fk is the characteristic strength of the lining materials as shown in Tables
9 to 12 and m is the partial factor of safety on material strength. Minimum
values of m shall be as stated in Table 13.
b) For those materials where the calculated resistance is determined on a
permissible stress basis, the following shall be applied:
RA* = function (fp)
Where fp is the material permissible stress
3.4.9.5 Assessment resistance
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a) The assessment resistance, RA, shall be determined from the calculated

resistance, RA*, multiplied when required by a condition factor, Fc as follows:
RA = Fc.RA*
b) The value of Fc adopted shall be justified.
c) Fc shall not be greater than 1.
d) If any defect can be explicitly modelled (for example by reducing section
properties) then Fc shall be taken as 1 in an assessment which includes such
modelled defects.
Note: Fc is a factor selected by the assessor that takes account of deficiencies recorded in
the asset inspection that are not covered by the application of the f3 factor.
A condition factor should only be used in cases where the defect is due to causes
that are other than the applied load, for example:
a) The defect is due to incorrect construction;
b) The defect is due to material deterioration;
c) The defect is due to impact or intervention (for instance structural alterations or

fixings for services);
d) The defect is due to a fire;
e) The defect is due to any other action from the inside of the tunnel over a limited
extent of time whose effects are no longer progressing at the time of the assessment.
Guidance on the selection of Fc may be found in the Manual of Good Practice G-055
(Deep Tube Tunnels and Shafts).
For cases where the defect is due to applied load, specific study and investigation is
necessary.

Number: S1055
Issue no: A2
3.4.9.6 Structural adequacy

The structure shall be deemed capable of carrying the assessment load when the
capacity of the structure, modified by the condition factor, is greater than the
assessment load effects, i.e.:
RA ≥ SA
Grade 500/7 600/3

Tensile strength (N/mm2) 320 370
Compressive strength (N/mm2) 350 380
2
Young‘s modulus (N/mm ) 169000 174000
Poisson‘s ratio 0.275 0.275
Table 9 - Material characteristic strengths (f k) - spheroidal graphite cast iron
Grade 20 30 40 50 60
Characteristic compressive 25 37 50 60 72
strength, fck,cube(N/mm2)
Young‘s modulus (N/mm2) (Short
term) 24000 26000 28000 30000 32000
(Long term) 12000 13000 14000 15000 16000
Poisson‘s ratio 0.2 0.2 0.2 0.2 0.2
Table 10 - Material characteristic strengths (f k,cyl) – concrete
Note: Young‘s Modulus – The values of Young‘s Modulus are the mean values for normal
weight concrete. Where in special circumstances as accurate an assessment as
possible of actual behaviour is required, possible variations in the above values
should be considered. Where deflections are of great importance, tests should be
carried out on concrete made with the aggregate used in the structure. In other
cases, experience with a particular aggregate, backed by general test data will often
provide a reliable value. With unknown aggregates, it is advisable to consider a range
of values equivalent to mean +/- 6000N/mm² for short term effects and mean +/- 3000
N/mm² for long term effects.
Type Average Compressive Characteristic Strength

Strength of brick of brickwork (BS 5628)
(N/mm2) (N/mm2)
Blue engineering brick 100 24
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Red engineering brick 36 11.5

Brindled engineering brick 71 19
Table 11 - Material characteristic strengths (f k) - engineering brickwork
Note: Laboratory testing of samples of old tunnel brickwork to obtain strength parameters
for masonry is problematic becuase of the difficulties in recovering adequately
representative samples without disturbing the mortar bedding. For this reason such
testing is not recommended and the results from any such testing should be treated
with caution.
Period Pre-1961 Modern

Number: S1055
Issue no: A2
Yield Strength (N/mm2) 230 250

Young‘s modulus (N/mm2) 205000 205000
Poisson‘s Ratio 0.26 0.26
Table 12 - Material characteristic strengths (fk) - structural steel
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Note: The values given above assume that the structural steel is mild steel. Increased yield
strengths may be used if justified by testing or evidence from construction records.
Materials ULS SLS

SGI 1.25 1.0
Concrete 1.50 1.0
Steel reinforcement 1.15 1.0
Brickwork 2.5 1.0
Table 13 - Partial factors on material strength for assessment (γm)
3.4.10 Assessment of clearance and space requirements

Running and Station tunnels shall maintain the clearance requirements in LU
Standards 1-157 (Track – Performance, design and configuration), 1-158 (Track –
Inspection and Maintenance), 1-162 (Conductor rail – Performace, design and
configuration) and 1-163 (Conductor rail – Inspection and maintenance).
3.5 Condition assessment

3.5.1 General
3.5.1.1 This Section identifies specific requirements and processes for establishing the Asset
Condition Assessment and Certification (ACAC) of Deep Tube Tunnel assets, which
shall apply in conjunction with the general requirements for ACAC identified in LU
Standard 1-050 (Civil Engineering - Common Requirements) for all civil assets.
3.5.1.2 This section shall be read in conjunction with LU Engineering Standard 1-031 (Asset
Condition Assessment and Certification) and the Foundation Documents for Deep
Tube Tunnels contained in LU Standard 1-042 (Asset Condition Reporting).
3.5.1.3 Condition Assessment and Condition Classification of Deep Tube Tunnel assets shall
be based on the following information:
a) The analytical assessment of the asset
b) The latest Principal Inspection report and, where applicable, the latest Special
Inspection report.
c) Maintenance activities undertaken since the previous ACAC report was compiled.
3.5.2 Asset condition classification

3.5.2.1 The data described in 3.5.1.3. shall be collected and processed. The ACAC
Classification of individual Deep Tube Tunnel assets shall be determined by
identifying the applicable Generic Concern(s) and the corresponding ACAC
Classification (A to E2) given in the Foundation Documents.

Number: S1055
Issue no: A2
3.5.2.2 The method of allocation of the Modern Equivalent Asset Value (MEAV) shall be
undertaken in accordance with the Foundation Document.
3.5.2.3 Where two or more Generic Concerns are applicable to an asset then the more
onerous ACAC classification shall apply.
Note: E2 is the most onerous ACAC classification and A the least onerous.
3.5.2.4 The compliant Asset Condition Assessment and Certification shall be used to create
an Asset Condition Report (ACR) compliant with LU Standard 1-042 (Asset Condition
Reporting).
3.6 Maintenance
3.6.1 General
3.6.1.1 Maintenance work shall be undertaken as required to ensure assets meet their
Required Duty.
3.6.1.2 Assets that fail to meet the Required Duty shall have appropriate risk mitigations
imposed, or shall have restricted operation imposed or shall be withdrawn from
service.
3.6.2 Maintenance work

3.6.2.1 Maintenance work shall be preventative or remedial action, including repairs to
damage and defects.
3.6.2.2 Maintenance work shall be justified on the principles of whole lifecycle asset
management.
Note: Guidance on Maintenance works is given in the Manual of Good Practice G-050 (Civil
Engineering - Common Requirements).
3.6.2.3 Maintenance action shall be based on:
a) inspection reports (Section 3.3 of this Standard);

b) Analytical Assessment (Section 3.4 of this Standard); and
c) Condition Assessment (Section 3.5 of this Standard).
3.7 Modifications to existing tunnel and shaft linings

3.7.1 Cutting, grinding, drilling, fixing to and supporting from bolted linings
Where during the service life of the asset fixings and connections are required for
which provision was not made in the design and construction of the asset, the
process set out in S1063 (Civil Engineering – cutting, grinding, drilling, fixing to and
supporting from existing structures) shall be operated to control modifications to
existing structures and thus satisfy the requirements of 1-050 (Civil Engineering –
File ref.: S1055 A2

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Number: S1055
Issue no: A2
3.7.2 Modifications to bolted linings

3.7.2.1 Fixings shall be attached to the circle joint bolts where practicable.
3.7.2.2 To avoid disturbing the existing bolts approved clamp fixings shall be used
where practicable.
3.7.2.3 Existing bolts shall not be further tightened without consent from the LU
Professional Head (Deep Tube Tunnels).
3.7.2.4 Where bolts are replaced then they should be either the same strength and
grade as existing or grade 4.6 black bolts.
Note: Unless otherwise specified as part of a design bolts should be tightened to be finger
tight plus one quarter turn. Care should be taken to ensure that the threads are clean
prior to tightening.
3.7.2.5 The drilling of holes up to 10mm diameter in bolted cast iron linings solely for
the purpose of grouting is permitted subject to the following conditions:
a) the segment shall be inspected by a competent person prior to drilling and
works shall only proceed if the segment is found to be un damaged
b) no hole shall be drilled in a flange or within 50mm of a flange
c) no more than two holes shall be drilled per segment (including any incomplete
holes)
d) any damage to the lining which occurs shall be reported to the LU Professional
Head (Deep Tube Tunnels). No further drilling works shall be undertaken without
the written agreement of the Professional Head.
3.7.2.6 The drilling of blind holes in bolted cast iron linings solely for the purpose of
providing electrical earthing points is permitted subject to the following
conditions:
works shall only proceed if the segment is found to be undamaged
b) the hole shall be drilled into the side of the flange and in the pitch circle of the
bolts mid way between bolts
c) no more than one hole shall be drilled per segment (including any incomplete
holes)
d) the hole diameter shall be no larger than the existing bolt holes
e) any damage to the lining which occurs shall be reported to the LU Professional
Head (Deep Tube Tunnels). No further drilling works shall be undertaken
without the written agreement of the Professional Head.
3.7.2.7 The drilling of blind holes in bolted cast iron linngs solely for the purpose of installing
survey monuments is permitted subject to the following conditions:

works shall only proceed if the segment is found to be undamaged
b) no hole shall be drilled in a flange or within 50mm of a flange
c) no more than two holes shall be drilled per segment (including any incomplete
holes)
d) the depth of the hole shall be no more than 10mm
e) the diameter of the hole shall be no more than 5mm
f) any damage to the lining which occurs shall be reported to the LU Professional
Head (Deep Tube Tunnels). No further drilling works shall be undertaken
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without the written agreement of the Professional Head.

Number: S1055
Issue no: A2
Note: The situations described in clauses 3.7.2 to 3.7.4 are exempt from the general
prohibition on drilling cast iron structures in LU Standard 1-050 (Civil Engineering –
Common Requirements) clause 3.10.2. In all other cases the prohibition on cutting,
grinding and drilling of cast iron structures mandated by 1-050 applies. The
requirements of clause 3.7.1 of this standard also apply in these situations.
It is never acceptable to drill the internal surface of a flange (ie drilling radial to the
tunnel axis) as this area may be highly stressed. This is the reason why drilling in
flanges must be parallel to the tunnel axis and in the pitch circle of the bolts.
Consideration should be given to whether asbestos may be present in caulking of the

lining joints. If present there is a risk that it would be disturbed if a hole is drilled all the
way through a flange.
3.7.3 Modifications to expanded pre-cast concrete linings
No cutting, drilling, fixing or grouting works shall be undertaken to expanded

pre-cast concrete tunnel linings.
Note: These linings are readily identified by the absence of bolts connecting the segments
together.
3.8 Strengthening and renewal

3.8.1 General
Strengthening and Renewal work shall be controlled to ensure assets meet the
Required Duty.
3.8.2 Strengthening and renewal

3.8.2.1 Strengthening and Renewal work shall be corrective action to address life-expired
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assets or elements in accordance with the programme for lifecycle management or a

change in use, function or duty of the asset or element.
3.8.2.2 Strengthening and Renewal work shall be justified on the principles of whole lifecycle
asset management.
3.8.2.3 Strengthening and Renewal work shall meet the requirements of Sections 3.1 and 3.2
of this Standard.
3.8.2.4 A decision to undertake Strengthening and Renewal work shall be based on
a) inspection reports (Section 3.3 of this Standard); and

b) Analytical Assessment (Section 3.4 of this Standard).
3.9 Decommissioning
3.9.1 General
3.9.1.1 No asset shall be decommissioned without prior approval in accordance with the
requirements of LU Standard 1-538 (Assurance).
3.9.1.2 The design and implementation of decommissioning works shall ensure that railway
safety is maintained following decommissioning of the asset.

Number: S1055
Issue no: A2
3.9.2 Planning and implementation

3.9.2.1 All decommissioned Deep Tube Tunnel assets shall be either backfilled or maintained.
In selecting which approach is to be followed consideration shall be given to
maintaining risk to railway operations ALARP.
3.9.2.2 If the asset remains accessible following decommissioning, continued inspection and
Condition Assessment shall be undertaken in accordance with Sections 3.3 and 3.5
of this Standard.
3.9.2.3 Planning and implementation of decommissioning shall follow the requirements of

Sections 3.1 and 3.2 of this Standard.
3.9.3 Interfacing assets and systems

3.9.3.1 The impact of decommissioning on interfacing structures and systems shall be
evaluated to ensure that the risks to railway operations associated with all aspects of
decommissioning are reduced to ALARP.
3.10 Evidence of compliance

Compliance with the requirements of this Standard shall be demonstrated to LU by
each party contracted to LU. Additionally LU may audit compliance as part of its
surveillance regime.
4 Responsibilities
4.1 The Professional Head (Deep Tube Tunnels) shall be responsible for ensuring that a
co-ordinated programme of audit and inspection is implemented to ensure compliance
with this and other related standards.
4.2 The Professional Head (Deep Tube Tunnels) shall have sole responsibility for this
standard.
4.3 The LU Procurement Agent shall be responsible for incorporating the requirements of
this LU Standard in any contract to which it is relevant and shall stipulate that a
programme of audits are implemented by the contractor which ensures that these
requirements are complied with. This programme and its results shall be available for
verification by the Professional Head (Deep Tube Tunnels).
4.4 The supplier shall be responsible for incorporating the requirements of this LU
Standard in any contract to which it is relevant and shall stipulate that a programme of
audits are implemented by the Supplier which ensures that these requirements are
complied with.
5 Supporting information
5.1 Background
5.1.1 This Standard is one of a suite of Standards, which cover the whole life cycle of Civil
Engineering assets. Other Standards in this suite have a bearing on the activities
covered by this Standard. In many cases a direct reference to another Standard is
given; in other instances the need to refer to another Standard is implied.
5.1.2 The complete suite of Civil Engineering Standards comprises the following
documents;

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Number: S1055
Issue no: A2
Number Title
1-050 Civil Engineering – Common Requirements
S1051 Civil Engineering – Bridge Structures
S1052 Civil Engineering – Gravity Drainage Systems
S1053 Civil Engineering – Building and Station Structures
1-054 Civil Engineering – Earth Structures
S1055 Civil Engineering – Deep Tube Tunnels and Shafts
1-056 Civil Engineering – Pumping Systems
S1057 Civil Engineering – Miscellaneous Assets
S1060 Civil Engineering – Bridges and Structures inspection standard
S1061 Civil Engineering – Bridges and Structures Assessment
5.1.3 The following Manuals for Good Practice have also been prepared to give guidance
and explanation for each of the above Standards:
Number Title
G-050 Civil Engineering – Common Requirements
G0051 Civil Engineering – Bridge Structures
G-052 Civil Engineering – Gravity Drainage Systems
G0053 Civil Engineering – Building and Station Structures
G-054 Civil Engineering – Earth Structures
G-055 Civil Engineering – Deep Tube Tunnels and Shafts
G-056 Civil Engineering – Pumping Systems
G0057 Civil Engineering – Miscellaneous Assets
G-058 Civil Engineering – Technical Advice Notes
5.1.4 The following technical specifications for materials and workmanship have been
prepared:
Number Title
T-0001 Civil Engineering - Track and Off-track Gravity Drainag
T-0002 Civil Engineering - Pump Drainage Systems
T-0003 Critical Pump Sites Control Panel Specification
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T-.0004 Non-Critical Pump Sites Control Panel Specification
T-0005 Technical Specification – Bridges and Structures – Materials and
Workmanship
T-0006 Technical Specification - Deep Tube Tunnels – Materials and Workmanship
5.2 Safety considerations

5.2.1 Safety aspects shall be considered throughout the design process and due account
taken of the Construction (Design and Management) Regulations 2007.
5.2.2 Some of the existing Deep Tube Tunnel assets have already passed a 120 year
Design Life, and were constructed without known Standards and with primitive
methods and have been the subject of phases of repair.
5.2.3 In view of these considerations this Standard requires a structured approach to Deep
Tube Tunnel asset management based on standard procedures of Inspection and
Assessment of the existing Deep Tube Tunnel assets to reduce the safety risks in
accordance with ALARP principles.

Number: S1055
Issue no: A2
5.3 Environmental considerations

All activities including planning, design, procurement, construction, installation, testing,
commissioning, operation, Maintenance, decommissioning and disposal must comply
with current environmental legislation, approved Codes of Practice and authoritative
guidance literature issued by relevant statutory bodies.
6 Information References
6.1 References
References in the text are made to latest editions unless specific editions are cited.
Where references are made to other corporate engineering documents which are not
yet published, existing documents shall be followed until new documents have been
authorised for use.
Note: References to particular EC Directives and Regulations, Acts of Parliament, Statutory

Instruments or Common Law are made only if the subject demands them. Users of
LU Standards are bound by all the relevant requirements of the law, regardless of
whether or not there is any reference to them in the Standards.
Statutory documents
Document no. Title
SI 2007/320 Construction (Design and Management) Regulations 2007

HS(G)153/2 Railway Safety Principles and Guidance, Part 2 Guidance on the
Infrastructure, HMRI, HMSO 1996
SI 1998 no. 2307 Health and Safety The Lifting Operations and Lifting Equipment Regulations
1998 (LoLER )
SI 1996/1656 The work in compressed air regulations 1996; Health and safety
SI 2005/1093 Control of Vibration at Work Regulations 2005
SI 1997/1713 The Confined Spaces Regulations 1997
British Standards
Document no. Title
BS 6164: 2011 Code of practice for safety in tunnelling in the construction industry
BS EN Eurocode — Basis of structural design
1990:2002
LU company documents
Document no. Title
1-042 Asset Condition Reporting (ACR)
1-691 Information
1-085 Fire Safety Performance of Materials
1-083 Passive Fire Protection Systems
1-023 Infrastructure Protection
1-067 Tunnel and Passenger Area Ventilation
1-068 Station Mechanical Services, Utility Provision and Energy Management
1-131 Premises – Station Platforms
1-135 Premises – Finishes
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Number: S1055
Issue no: A2
1-156 Gauging and Clearances

1-157 Track – Performance, Design and Configuration
1-158 Track – Inspection and Maintenance
1-162 Conductor Rail – Performance, Design and Configuration
1-163 Conductor Rail – Inspection and Maintenance
1-106 Earthing and Bonding
1-120 Cable Activities
1-166 Off Track System Requirements – Cleaning
1-371 Station Planning
1-538 Assurance
British Tunnelling Society (BTS) and other best practice guidance

Document no. Title
Available at Occupational exposure to nitrogen monoxide in a tunnel
www.britishtunnelling.org.uk environment: Best Practice Guide (BTS)
Available at Tunnelling and Pipejacking:Guidance for Designers
www.britishtunnelling.org.uk Internal dimensions for pipejacks and tunnels below 3.m diameter
and indicative drive lengths (BTS and agreed by The Health and
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Safety Executive and The Pipejacking Association)
Available at The management of hand-arm vibration in tunnelling: Guide to
www.britishtunnelling.org.uk Good Practice (BTS)
ISBN: 9780727733863 Closed-Face Tunnelling Machines and Ground Stability (BTS)
Details at
www.britishtunnelling.org.uk
ISBN: 9780727729866 Tunnel Lining Design Guide (BTS)
Details at
Available at The Joint Code of Practice for Risk Managment of Tunnel Works
www.britishtunnelling.org.uk in the UK (BTS and ABI)
ISBN: 9780727734778 Specification for Tunnelling, 3rd edition (BTS)
Details at
ISBN 9780727741189 Monitoring underground construction: A best practice guide (BTS)
Details at
ISBN 0717610683 Safety of New Austrian Tunnelling Method (NATM) tunnels (Health
and Safety Executive)
ISBN 0727725122 Sprayed Concrete Linings (NATM) for Tunnels in Soft
Ground, an ICE Design and Practice Guide
CIRIA C671 Tunnels: inspection, assessment and maintenance
CIRIA C699 Guidance on catastrophic events in construction
6.2 Abbreviations
The following abbreviations are created:
a) within London Underground's Glossary of Terms 1-622;

b) from published sources that are clearly identified.
Abbreviation Definition Source

Number: S1055
Issue no: A2
Abbreviation Definition Source

ACAC Asset Condition Assessment and Certification a
ALARP As Low As Reasonably Practical a
CDS Conceptual Design Statement a
EC European Commission a
ED Engineering Directorate a
IDW Identified Work a
LU London Underground a
MEAV Modern Equivalent Asset Value a
SGI Spheroidal Graphite Iron a
SLS Serviceability Limit State a
TBM Tunnel Boring Machine a
ULS Ultimate Limit State a
6.3 Definitions
The following topic specific definitions are created:
a) within the engineering function and are listed in 1-622;

b) from published sources.
Term Definition Source
ACAC the process through which the overall Condition of the total a
population of Operational Assets is determined and recorded;
and provides evidence that they have been managed to an
agreed Asset Management Regime.
Analytical the numerical evaluation of an asset(s) through a formally a
Assessment defined and industry recognised analytical process to assess
whether an asset meets its Required Duty as set out in LU
Standards or, where no LU Standards exist, through
compliance with British Standards or standard industry
practices, accepted by LU. Analytical Assessments include
structural and hydraulic analysis.
Asset Register a group of information sources, which in combination, permit a a
maintaining supplier to identify its engineering asset base and
the attendant safety, legal and commercial risks over the whole
life of the assets.
Condition The state of an asset in terms of its ability to meet its Required a
Duty on account of its physical or other attributes
Condition the evaluation of the Condition of an asset(s) through a a
Assessment formally defined and controlled process. The process shall
include all relevant information, site inspection surveys and
Analytical Assessments where required by this or any other LU
Standard.
Condition the grading of a Generic Concern, ranging from E1/2 to A a
Classification Condition Classification as defined in LU Standard 2-01015-
001. For the avoidance of doubt, the completed Condition
Classification must include the analytically assessed capacity.
Contained structural components contained within the Deep Tube Tunnel a
Structural assets, for example escalator support steelwork, ladders, shaft
Components landings, gratings etc.
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Number: S1055
Issue no: A2

Dead Load loading due to the weight of the materials forming the structure a
or structural elements but excluding superimposed Dead Load
materials.
Defect Advice an unplanned inspection carried out as a result of an Incident, a
Inspection or a report of an Incident, that has caused damage to the
structure.
Design Life the period for which the asset has been designed to withstand a
the combined effects of all the deteriorating forces to which it
may reasonably be expected to be exposed before it becomes
more economic to replace the element than to repair it
assuming that regular Maintenance is undertaken.
Element the summation of the Items inspected and scored in a
accordance with Section 3.3 of this Standard.
Foundation a set of Controlled Type 1 Information issued periodically by a
Documents LU, which comprise the Asset Definition, Required Duty,
Generic Concern List, the Basis of MEAV Calculation and
Specific Concern List.
General a visual check of those parts of the structure that are readily a
Inspection accessible.
Generic Concern a concern (expressed in terms of failure to meet Required a
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Duty) which acts as a basic prompt for Suppliers to develop
Specific Concerns for the Operational Assets for which they
shall be responsible. Generic Concerns lists are circulated to
all Suppliers as part of the process to assure the ACAC is
complete, as Controlled Type 1 Information.
Grey Asset means those Assets which have a grey assets condition a
category ( as described in Category 1 Standard E1501 ) as
categorised in the Asset Condition Assessment 2000/01;
Grey Civil Asset Operational Asset or Operational Asset parts which do not a
have a completed Condition Assessment, which includes a full
asset Analytical Assessment.
Ground exploration and recording of the location and characteristics of a
Investigation soil, rock and ground conditions.
Groundwater all water below the surface of the ground and in the saturated a
zone and in direct contact with the ground or sub-soil
Incident an event which results in damage to a structure a
Inspection for a close inspection of all parts of the structure where member a
Analytical sizes are determined and the extent of any deterioration is
Assessment recorded so that the current structural capacity of members
can be accurately calculated.
Item part of a structure that is inspected and scored in accordance a
with Section 3.3 of the relevant asset-specific Civil
Engineering standard. Examples of Items are given in the
Inspection Proformas of the relevant asset-specific Civil
Engineering Manual of Good Practice.
Limit State state beyond which the structure no longer satisfies the design a
performance requirements
Live Load Loading due to rail vehicles, highway vehicles and pedestrians a

Number: S1055
Issue no: A2

Maintenance the undertaking of preventative or corrective action, or both, a
including repairs, to ensure that the condition of the asset
continues to meet the Required Duty over the service life of
the asset.
MEAV to enable the proportion of each asset type with a particular a
Condition to be classified and recorded, a common currency is
required. This is the Modern Equivalent Asset Value, which is
the current estimated cost of an asset, or part of an asset, on
the basis of replacement or renewal with an asset that meets
all mandatory Standards and legislative and/or statutory
requirements, and will perform the Required Duty. The basis for
calculating MEAVs for all Operational Assets is classified as
Controlled Type 1 Information. The MEAVs for all Operational
Assets will vary dependent on the quantity and type of assets
within each Supplier; hence this is classified as Controlled
Type 2 Information
Operational Asset An asset that is used or in existence for the delivery of, or a
direct support to, the railway service. This includes a fixed
asset that is not currently used for the railway service.
Outside Party an individual, organisation or company whose assets or a
business could be affected by LU works or who is proposing
works on his own land or as part of his business which may
have an effect on LU assets or services. The definition does
not include those working as Suppliers (or within the supply
chain of a Supplier) to LU or tenants of LU.
Principal These are a close inspection of all inspectable parts of the a
Inspection asset, carried out to give detailed visual confirmation on
condition necessary for the management of the assets.
Required Duty a statement of the requirements placed on an Operational a
Asset type in order to deliver satisfactory service to the
railway and supporting services and is classified as Controlled
Type 1 Information. The Required Duty is prepared in
accordance with a generic guidance list and includes the full
range of functions and interactions with other ACAC
Operational Asset types. The Required Duty is not limited to
engineering aspects of performance.
Serviceability state which correspond to Conditions beyond which specified a
Limit State service requirements for a structure or structural Element are
no longer met
Site Investigation determination of physical characteristics of sites as they affect a
design and construction of building and civil engineering works
and stability of neighbouring structures.
Special a close inspection of a whole structure or particular area or a
Inspection defect causing concern in a structure.
Specific Concern a concern expressed as a statement of how a particular a
Operational Asset type, Operational Asset type element or
individual Operational Asset fails to meet its Required Duty.
Each Specific Concern shall be linked to a Generic Concern as
part of the process to assure the ACAC is complete.
Strengthening and corrective action to address life-expired assets or elements in a
Renewal accordance with the programme for lifecycle management or a
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change in use, function or duty of the asset or element.

Number: S1055
Issue no: A2

Superimposed The weight of all materials forming loads on the structure but a
Dead Load which are not structural elements, e.g. ballast, rails and their
fixings, sleepers, cables and cable racks.
Temporary Works site installations, not forming part of the permanent works that a
are necessary for the progress of the work in safety.
Ultimate Limit state associated with collapse or with other similar forms of a
State structural failure. Generally corresponds to the maximum load-
carrying resistance of a structure or structural part.
6.4 Requirement owner

Paragraph Owner
number
All LU Professional Head (DeepTube Tunnels)
6.5 Document history

Edition Date Changes Author
R11 August 2007 Standard 2-01304-006 re formatted and re-
numbered to 1-055, no technical changes
have been made to the content other than
changing references to other Standards
where their numbers have changed.
A1 October 2007 Authorised for use. Previous authorisation
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is valid
S1055 A2 December 2011 1-055 reformatted and renumbered in Neil Moss
accordance with modified numbering
system. Technical changes to take account
of the findings of the PPP DeepTube Tunnel
Knowledge and Inspection Programme,
new materials and practices developed or
applied in LU tunnelling projects and the
introduction of Eurocodes.

Number: S1055
Issue no: A2
7 Attachments
7.1 Attachment 1 - Conceptual design statement for Deep Tube Tunnel

and Shaft assets
A conceptual design statement shall be prepared to describe the following
requirements:
a) Name of design organisation.

b) Identification of structure: location, description and function.
c) Title of scheme.
d) Name of Supplier or Outside Party.
e) Proposed date of project start and completion.
f) Brief description of existing Conditions with reference to:
I) Site Investigation reports;
II) Environmental conditions (including possible changes);
III) Proposed additional surveys or investigations; and
IV) Appraisal of conditions in terms of tunnelling methodology.
g) Description of proposed works and method of construction with justification for
the choice. Include general arrangement and scheme drawings.
I) alignment;
II) geometrical layout of structures;
III) structure and lining type;
IV) method of construction;
VI) special finishes or features;
VII) clearance from other structures or special constraints imposed by
adjacent operations ;
VIII) zone of influence; and
IX) environmental impact of construction.
h) Design criteria:
I) design concept;
II) loads and load combinations with appropriate partial safety factors;
III) soil parameters;
IV) durability;
V) Design Life to first Maintenance;
VI) water resistance; and
VII) Standards and codes of practice to be used in design, including
Temporary Works (state any departures).
j) Proposed method of structural analysis.
k) Design check category.
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Number: S1055
Issue no: A2
l) Functional requirements:
I) space requirements;
II) Maintenance facilities;
III) access;
IV) fire resistance and surface spread of flame; and
V) security arrangements.
m) Maintenance requirements including ease of repair.
n) Brief description of other structural forms considered and reasons for their
rejection.
o) Construction Aspects:
I) working sites;
II) access for plant and materials;
III) routes for construction traffic;
IV) delivery periods;
V) track possession or speed restriction;
VI) limitations on hot and cold working at site;
VII) Temporary works; and
VIII) Formation of openings in existing linings.
p) The potential for ground movement associated with construction.
q) Operational and Construction Safety.
r) Construction period.
s) Construction cost estimates.
t) Noise and Vibration - Note vibration effects on key signalling equipment rooms
can be a key design consideration.
u) Flooding risk
v) Risks to the operational railway and passengers
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Transport for London

Categ o ry 1 Stan d ard

S1055 Civil Engineering –

Issue date: December 2011

Provided by IHS Licensee=Bechtel/5974135050, User=Bauer, Anthony

Provided by IHS Licensee=Bechtel/5974135050, User=Bauer, Anthony

File ref.: S1055 A2 Page 2 of 48

101 Platform or Concourse Tunnels

102 Station Passageway Tunnels

103 Running Tunnels

104 Cross Passages between Running Tunnels

105 Step Plate Junctions

106 Crossover Tunnels

107 Depot Approach Tunnels

108 Overrun Tunnels

109 Siding Tunnels

110 Inclined Shafts (eg esclator shafts)

112 Disused Tunnels

113 Disused Shafts

114 Other Tunnels

115 Miscellaneous Structures (TTMS)

Category 115, Miscellaneous Structures was an interim classification introduced prior

1.2 Tunnel Portal structures shall be designed as Earth Retaining Structures in

Requirements) that defines mandatory requirements generally applicable to all Civil

a) Inception and design;

b) Construction, installation, testing and commissioning;

3.1 Inception and design

1 Meet railway operating requirements (within the performance specification at

File ref.: S1055 A2 Page 4 of 48

2 Ensure support at asset interfaces without undue wear and tear.

3 Match the LU policy in respect of realistic user perceptions.

4 Provide resistance against external interference and events.

5 Present acceptable environmental impact.

5.1 Present an acceptable societal environmental impact (noise, vibrations, odours,

ground borne contaminants, etc).

5.3 Support (intrinsically and at asset interfaces) appropriate temperature mechanisms to

6 Minimise environmental impact throughout lifecycle.

7 Function within the legal and standards framework.

8 Ensure safe operation as defined by LU.

File ref.: S1055 A2 Page 5 of 48

8.2 Ensure safe ingress/egress by passengers, general public, employees, and

9 Provide above within reliability and availability targets.

10 Ensure Required Duty is performed without incurring excessive or prohibitive

3.1.3 Design process

3.1.4 Structure profile and space requirements

a) Structure profile in accordance with LU Standard 1-156 (Gauging and

File ref.: S1055 A2 Page 6 of 48

h) Maintenance equipment and operations as determined by the designer;

Contained structural components include:

File ref.: S1055 A2 Page 7 of 48

d) Noise reduction screens;

e) Emergency and maintenance walkways; and

f) Access stairs and landings.

3.1.6 Ground investigation information

3.1.7 Design life

File ref.: S1055 A2 Page 8 of 48

3.1.8 Fire resistance

3.1.9 Water resistance

File ref.: S1055 A2 Page 9 of 48

a) the structure will satisfy its Required Duty (clause 3.1.1);

File ref.: S1055 A2 Page 10 of 48

e) Other non-track tunnels shall be assumed to have the same water-resistance

3.1.10 Structural design

Load Ultimate (ULS) Serviceability (SLS)