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2
The Evolution of and Factors Affecting
Underground Development
U
nderground space use has evolved as villages and towns have grown
into cities. Water, energy, sewage, and wastes that were once carted in
and out of town on street surfaces are now transported via underground
conduits. Urban dwellers are often unaware of the connections between essential
utility services and structures in the buildings where they live and work and the
underground supporting infrastructure and services. Consequently, there is a lack
of public appreciation of how critical underground resources are to the proper
functioning and high standards of living in U.S. urban areas.
The underground has always provided physical foundation support for build-
ings and other surface structures. Early building foundations may have been
simple sets of stones selected and placed by hand into shallow excavations.
Today, foundations for large buildings and skyscrapers may include deep pilings,
conduits for geothermal heating and cooling, and multiple levels of basement
space that may provide, for example, shopping concourses, underground park-
ing, utility plants, and high-quality storage. Well-designed foundations take into
account the soil, rock, groundwater, and other site-specific conditions, and help
buildings resist major seismic and extreme wind effects. Hard-won experience,
artful skills, and knowledge from many science and engineering disciplines con-
tribute to the development of the processes and procedures used today to site,
design, and build large structures.
Although cities grow upwards and outwards, their growth is dependent on
underground building foundations and utility infrastructure. In most municipali-
ties, planning and zoning of surface and air spaces are through local governments.
Unfortunately, underground space is not similarly planned and zoned, and an
explicit value for underground space is not generally recognized (Sterling et al.,
37
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38 UNDERGROUND ENGINEERING FOR SUSTAINABLE URBAN DEVELOPMENT
2012). Formal planning and control of underground space by municipalities is a
responsibility to be recognized and acted upon in the United States if sustainable
urban development is to be realized. In some countries such as China, planning
of underground space is a special focus for responding to urban growth, and such
plans have been developed by almost every large Chinese city over the past few
years (Guo et al., in press).
This chapter traces the evolution of urban underground space and illustrates
how the progressive and piecemeal development of underground space poses
significantly more restrictions on future development than in the cases of surface
facilities and infrastructure development.
EXPANSION OF THE UNDERGROUND IN THE PAST CENTURY
Sewage systems are placed underground to use gravity to drain sewage
away from buildings. Water distribution systems are often placed underground
to protect them against freezing and other damage. Telecommunications and
electric power supply systems may be placed below ground according to local
precedent, in consideration of the value placed on maintaining a secure and resil-
ient infrastructure, for reasons related to surface aesthetics, or to minimize the
effect of installation on property values. Concern regarding uncoordinated plan-
ning of underground space is not new. In 1914, George Webster, chief engineer
and surveyor of Philadelphia, lamented that few large cities planned the space
beneath streets, or charted the utilities and services placed there (Webster, 1914).
He noted the importance of understanding what the underground was required to
accommodate and discussed the need to plan for
• water, hot water, steam, sewer, refrigerating, and gas pipes; electrical
conduits; pneumatic tubes; and as yet undetermined future services;
• galleries for pipes and conduits;
• vaults under sidewalks in the public right-of-way as a part of new building
construction;
• subways for transit systems and passengers;
• tunnels beneath underground services to accommodate movement of peo-
ple between business establishments without the need to cross streets or venture
into weather; and
• underground freight movement services to connect freight terminals with
commercial businesses and industrial establishments.
Webster advocated that underground space should be planned to facilitate
future installations and minimize the costs and delays caused by future instal-
lations. He advocated for an official authoritative body to regulate underground
usage, and he predicted that without such controls new large underground instal-
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THE EVOLUTION OF AND FACTORS AFFECTING UNDERGROUND DEVELOPMENT 39
lations would come at greater cost and challenge when engineers were forced to
work around existing infrastructure.
As we progress into the 21st century, the underground is used for all the pur-
poses listed above, and many of the problems predicted a century ago have been
realized. Table 2.1 describes the estimated lengths of major underground utility
services in the United States, totaling approximately 10.8 million miles (17.4
million kilometers). Underground infrastructure has expanded to accommodate
growing populations and new infrastructure services (and their multiple provid-
ers) but is still installed beneath the same public rights-of-way. As traffic becomes
more congested with population growth, underground utility work that must be
accessed from the surface results in increased traffic problems and expense. It has
been reported that approximately 4 million holes are dug in the United Kingdom’s
roads and sidewalks by utilities at a cost of approximately $2.25 billion1 per year
and consequent indirect costs of approximately $4.5 billion per year (Farrimond,
2004). Analogous costs in the United States could well be many times larger.
Wastewater systems have also been expanded and the underground now
accommodates large wastewater transport systems (e.g., sanitary and stormwater
sewer systems; combined sewer systems) and combined sewer overflow (CSO)
interceptor and storage tunnel systems with large diameter openings. Most seg-
ments of wastewater and drainage systems are designed to flow by gravity
through pipes and tunnels and are therefore dependent on closely controlled
vertical alignments. These systems are generally placed beneath the hodgepodge
of existing shallow utility infrastructure, and they may block usage of that under-
ground space for future services including rapid transit subways and high speed
rail (HSR). Protecting access opportunities for such services argues for plan-
ning and permitting with a goal of preserving underground corridors for major
high-value urban infrastructure. Foresight is vital to sustainability because such
complex infrastructure is often not needed until much later in a city’s evolution.
ENGINEERING THE UNDERGROUND FOR SUSTAINABILITY
Tunneling, a component of many underground construction projects, shares
many properties with other types of construction done in urban societies. Certain
challenges, however, may become amplified in an underground setting (Wood,
2000). For example
• there is greater dependence on the ground and understanding ground
properties in terms of risk (see Box 1.3) to the construction project itself, other
infrastructure, worker health and safety, the environment, and economic interests;
• there is higher interdependence between planning and project design
1 Based on 2008 exchange rates.
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40 UNDERGROUND ENGINEERING FOR SUSTAINABLE URBAN DEVELOPMENT
TABLE 2.1 Estimated Lengths of Major U.S. Underground Utility Services
Transmission (miles) Distribution/ Service (miles) Total (miles)
Collection (miles)
Gas 2,359,080
Gathering .........................41,000 1,212,688 780,392
(DOE, 2006) (PHMSA, 2005) (PHMSA, 2005)a
Interstate ........................250,000
Intrastate ..........................75,000
Hazardous Liquid.............160,868 160,868
(PHMSA, 2003)
Oil 177,200
Gathering ........................35,000
(Pipeline 101, 2001)
Crude................................65,942
(BTS, 2004)
Product ............................76,258
Water ...............................660,000 995,644 (EPA, 2007) 854,364 (EPA 2,510,008
(Brongers, 2002) 2007)b
Sewer 1,224,000
Public 724,000 (EPA, 2006)
Private 500,000
Electric ............................167,643 600,000c 400,000d 1,167,643
(NERC, 2006)
Telecom 3,194,921
Underground Cable
Metallic 382,472 (FCC, 2006)
Fiber 217,266
Buried Cable
Metallic 2,178,320
Fiber 217,322
Conduit System
Trench 199,541
Grand Total 10,793,719
aThe total number of gas services in the United States, according to PHMSA (2005), is 63,523,945.
This number was then converted to miles by taking an average length of one service line to be 65 ft.
bThe total number of water services in the United States, according to EPA (2007), is about 69,545,307.
This number was then converted to miles by taking an average length of one service line to be 65 ft.
cEleven U.S. utilities reported a total of 296,093 miles (Sterling et al., 2009). However, the length of
underground electrical distribution is expected to be much less than for gas or water, which are fully
underground. A figure of 600,000 miles is assumed as the U.S. total.
dThis figure is a rough estimate based on underground electric service being less than half the length
of underground water services.
SOURCE: Adapted from Sterling et al., 2009.
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THE EVOLUTION OF AND FACTORS AFFECTING UNDERGROUND DEVELOPMENT 41
that arises from the need to stabilize the ground and exclude groundwater or
contaminants;
• there are potentially fewer construction methods available given geologic
and anthropogenic constraints;
• logistics can be more challenging because of restricted access and address-
ing worker safety (workers may be great distances from access points); and
• the expertise and time involved from project inception and completion
can be great and may include that associated with community buy-in of a project
and government compliance issues.
An underground project requires a systems perspective, such as illustrated in
Figure 2.1, that emphasizes interactions between interrelated systems including
those associated with land use, intermodal transportation, environmental, cultural,
and socio-economic systems. This type of approach highlights the unique
combination of skills, knowledge, management, and leadership required for
successful infrastructure planning, construction, operation, and maintenance for
a sustainable urban environment. Figure 2.1 represents a good start to the kind of
thinking necessary, but sustainability of engineered systems within urban systems
needs to be designed for much greater complexity and adaptability, such as is
done for Complex Adaptive System of Systems (CASoS) engineering. CASoS
FHWA Initiatives
A Systems Perspective
land
development Land Use
proposal System
road Transportation
improvement System
proposal
wetland Water Resources
functions and System, example
dynamics
Other Natural,
ecosystems with long-term Cultural Resource
system sustainability Systems
Interacting Systems
Support multiple goals
& improve quality of life
FIGURE 2.1 A systems perspective toward a foundation of interacting systems (shown
at bottom/base of this graphic) that includes land use, intermodal transportation, natural,
cultural, and socio-economic systems deliver quality of life and multiple benefits for the
long-term. SOURCE: FHWA, 2008.
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42 UNDERGROUND ENGINEERING FOR SUSTAINABLE URBAN DEVELOPMENT
BOX 2.1
Complex Adaptive Systems of Systems Engineering
An initiative at Sandia National Laboratory has been the development of
an engineering framework to solve large complex problems that combine phys-
ical, social, and technical systems called Complex Adaptive Systems of Sys-
tems (CASoS). CASoS broadly include physical infrastructure, government,
people, and ecosystems. They are complex, real or abstract entities composed
of systems, and change over time because of interactions within the system
or environment (Glass et al., 2008). CASoS engineers use a set of defined
iterative processes to solve problems, exploit opportunities, achieve goals, or
answer questions in consideration of choices, intended and unintended costs
and benefits, uncertainties, and how the system might be altered to yield bet-
ter outcomes. Bringing about change in CASoS can be accomplished using
conceptual models, system measurements, observational and experimental
design, pattern recognition, policy investigation, engineering processes, real-
time problem definitions (especially in times of crisis), and communication,
and building the required intellectual capacity to conduct CASoS engineering
focused on applications (Glass et al., 2008). The CASoS framework includes
designing a computational model for the context, implementing the model in an
actual environment, and reviewing actions at each step for correction, adapta-
tion, and “fit performance” at each stage of action. The figure is a simplified
diagram of the elements to be considered in CASoS engineering.
engineering considers the interdependencies and vulnerabilities of systems to
reduce risk and maximize security and health (Glass et al., 2011), as described
in Box 2.1.
Given such systems of systems approaches, the team that designs, constructs,
and manages underground infrastructure needs to be interdisciplinary, and spe-
cific expertise will be required to respond to specific challenges (see Appendix
C). However, it will be necessary for team members to be able to understand how
each component of the project is part of a system of systems.
POLICY, ECONOMIC, AND HUMAN BEHAVIORAL DRIVERS THAT
INFLUENCE DECISION MAKING
Electric power lines were already being buried in New York in the late 1800s
(Schewe, 2007), but overhead electric lines are still common in cities across the
United States. What factors drive acceptance of underground placement of infra-
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THE EVOLUTION OF AND FACTORS AFFECTING UNDERGROUND DEVELOPMENT 43
Figure Simplified diagram developed at Sandia National Laboratories of CASoS engineering
application space as a simplified network. The diagram illustrates how CASoS engineering
considers the relationships of the CASoS, the goals of engineering (termed aspirations), and
elements that can influence the system (perturbations). Items in black represent existing ap-
plications for a specific CASoS and those in red represent those in development. SOURCE:
Glass et al., 2011.
structure? In the past century, acceptance of underground utility installation has
evolved to be based on a combination of environmental, cost, and performance
issues. Long-term performance of underground facilities has yet to be quantified
or demonstrated, yielding a source of uncertainty and unknown risk for decision
makers. Triple-bottom-line cost estimates—analyses of social, environmental,
and economic costs and benefits—for underground facilities may provide per-
suasive justification for underground installation, but direct and indirect impacts
need to be considered for a true lifecycle engineering design.
Higher costs of underground utility installation may make the underground
less attractive to the private sector, and government stakeholders often display
mixed acceptance to underground installations, sometimes depending on their
relationships with utility providers. The long-term outlook of community deci-
sion makers has a role in the acceptance of underground utilities. A decision
to bury utilities is best made based on real costs and experience, rather than
whether stakeholders “like” underground facilities. Technological advances in
underground installation processes, system monitoring, and in the development
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44 UNDERGROUND ENGINEERING FOR SUSTAINABLE URBAN DEVELOPMENT
of cost-effective utilidors (underground utility corridors that house multiple utili-
ties such as water, sewer, power, and telecommunications) create advantages and
incentives to place utilities underground.
Decision making related to the placement of major transportation systems
often occurs among people with competing interests. Political views, commu-
nity lifestyle preferences, and commercial interests in design and construction
contracts influence decision making in many communities in the United States.
Disruptions related to construction and operation and the impact of projects on
taxes can dissuade public acceptance for underground installation. The public
may also be concerned about security, fearing that mass transportation systems
may allow access to a neighborhood for a large number of unknown people.
Government officials may be concerned with the “success” of a project—
that major cost overruns and construction issues are limited and that the finished
infrastructure is perceived by the public to have been a wise investment. Some
politicians may be concerned that successful completion occurs before the next
election cycle to reserve credit for success to the incumbents. Negative and
positive experiences of other cities may influence how costs and risks of design
options are accepted. Unfortunately, there are few detailed follow-up assess-
ments of major infrastructure investments with data suitable for triple-bottom-line
analyses. Without such information, too much focus may be placed on initial cost
and too little on long-term performance and urban benefits.
The decision to place technical systems such as energy-related facilities,
roads and railroads, shopping centers, waterworks, and wastewater treatment
underground is based, often primarily, on technical data related to operational
and environmental considerations, and considerations associated with safety,
hygiene, disaster prevention, land use, and maintenance costs. Scandinavian
experience with underground sewage treatment plants and hydropower facili-
ties, for example, has led to a strong preference for underground infrastructure
by the public, utility company, and government stakeholders, driven by the cli-
matic, topographic, and geological environments (Parker, 2004).2 U.S. efforts
to develop underground facilities have been modest in comparison; adoption of
new approaches is often inhibited by existing administrative controls, design
guidelines, codes of practice, and labor practices (NRC, 2011).
A systematic analysis of the networks of decision makers and how the
flow of information through the networks facilitates or inhibits decision making
may be informative and a powerful tool if carefully applied (e.g., Butts, 2009).
Whereas the number of stakeholders indicates that the web of networks in the
case of urban system analysis is complex, even complex networks are not random
2 For example, the Høvringen and Ladehammeren underground sewage treatment plants in Trod-
heim, Norway (Nordmark, 2002; Broch, 2006); the Skullerud water treatment plant in Oslo, Norway
(Holestöl and Palmström, 1996); and the Juktan hydropower station in Sweden (Rundgren and
Martna, 1989).
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THE EVOLUTION OF AND FACTORS AFFECTING UNDERGROUND DEVELOPMENT 45
in their formation and activity and may be studied to inform decision making.
Albert and Barabási (2002) describe the statistical mechanics and dynamics of
networks that at one time seemed random, and Watts (2004) summarizes findings
about networks, network organizations, and the collective dynamics within net-
works than can, among other things, foster or inhibit information dissemination.
There are extensive literature and computational analyses of analogous complex
sociotechnical systems that can be applied to this discussion. For example Carley
and others (2009) use quantitative analysis techniques to determine how learn-
ing occurs within networks that result in change, and Cataldo and others (2008)
explore modeling how different types of software engineering decisions constrain
other software engineering decisions and drive the need to coordinate activities.
For the sake of this discussion, networks are simplified into two categories:
(1) technical networks involved in the design, construction, operation, and main-
tenance of underground space and (2) organizational networks of government
agencies, private-sector entities, and community groups that pay for construc-
tion, endure disruptions, and benefit from completed underground facilities. Ideal
decision making occurs with continuous interaction between these two networks
during all phases of infrastructure life cycle. Identifying the right kind of informa-
tion to share with the right agents within the right networks to facilitate change
that promotes sustainability is difficult, and there is no singular methodology that
will work in all urban systems, or possibly within a single urban system over time
given the individual and dynamic nature of the networks.
Sustained support of infrastructure investment requires an understanding of
how the press and public will perceive the project and associated activities, and
how information can be transferred to them. The commitment of political leader-
ship for the duration of project construction, operation, and maintenance is also
needed. Public satisfaction with investment in infrastructure requires transpar-
ent communication including accurate representation of the value and risks of
investment such as those associated with project cost and scheduling. Difficulties
sustaining public support for investment decisions may lead to overpromising on
design, analysis, and construction in order to get projects under way.3 It may be
possible to develop and use tools to raise the collective awareness in the com-
munity of the benefits and costs associated with underground infrastructure. For
example, geotechnical databases have been developed for multiple communi-
ties around the world that can visually display the relationships between built
infrastructure and the geologic environment (Reeves, 2010; Thompson, 2010).
These may be applied for educational and planning purposes. As explored fur-
ther in Chapter 5, the comparative assessment of sustainability for underground
and surface space-use options requires that adequate data and case examples be
3 For example, the multibillion-dollar “Stuttgart 21” project in Germany has generated much opposi-
tion by those who believe the project is overambitious and overpriced (Ward, 2010).
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46 UNDERGROUND ENGINEERING FOR SUSTAINABLE URBAN DEVELOPMENT
documented so that whole life cycle and triple bottom line impacts of competing
options can be evaluated.
User Acceptance of Underground Institutional, Commercial, and
Industrial Facilities
Institutional, commercial, and industrial underground facilities have come
to be viewed differently by those who work or spend long periods in the facility
than by those who choose to use the facility for shorter periods of time. Work-
ers desire spaces that are as comfortable and safe as aboveground facilities. The
lack of access to natural light, ventilation, and a spatial frame of reference (e.g.,
a view) is the most often cited detriment (Carmody and Sterling, 1993). Hence,
worker acceptance may depend on the extent to which the facility is underground
or windowless, and the type of environment expected for their work in a conven-
tional facility. On the other hand, user acceptance revolves around convenience
and safety perceptions, in addition to comfort. Both workers and users can be
strongly influenced by quality of design, maintenance, operation, and security.
Private and public stakeholder acceptance may be affected strongly by location
and design—e.g., does placing all or part of a structure underground enhance its
attributes in that location? If so, then costs and user concerns are weighed against
the benefits of constructing the facility in that location. Hotels in the Washing-
ton, D.C., area, for example, often build several levels underground for parking,
meeting, and ballroom spaces. Architectural height restrictions in the D.C. area4
mean that the “windowed” space aboveground is at a premium. Underground
space development is the result of codes in place to preserve the aboveground
environment. The environment draws people to the area, and the well-designed
and safe underground space draws usage (see Box 2.2).
Driving Forces
It is difficult to assess what driving forces are the most important in either
advancing or hindering the development and use of underground facilities. Most
large urban areas within the United States and around the world exhibit the
growth of underground facilities as urban development intensifies. In this regard,
one might conclude that no special policies or drivers need to be in place to
cause development of the underground—it will happen as a natural result of land
use, environmental pressures, and the need to upgrade transportation and utility
services for a growing city. The downside of this laissez-faire approach is the
chaotic development of the underground, project by project, even when it is well
understood in principle that expanded underground uses will follow later. This
4 DC ST § 6-601
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THE EVOLUTION OF AND FACTORS AFFECTING UNDERGROUND DEVELOPMENT 47
BOX 2.2
The Arthur M. Sackler Gallery and the National Museum of
African Art, Smithsonian Institution, Washington, D.C.
The Arthur M. Sackler Gallery (an Asian art museum) and National Mu-
seum of African Art at the Smithsonian Institution in Washington, D.C., are
placed underground in the courtyard adjacent to the Smithsonian “Castle”
on the National Mall. The function fits an underground structure well—the
appearance of the iconic Smithsonian building is preserved, no open space
on the National Mall is covered, and museum workers are already used to
working in above-ground windowless buildings. High design quality and in-
teresting gallery spaces provide an attractive environment for the public. The
figure demonstrates use of space design, art, and natural lighting to create a
dramatic, pleasant environment.
Figure A sculpture by Xu Bing occupies and can be viewed on each of the four levels of the
Arthur M. Sackler Gallery in a beautifully designed space that makes clever use of skylights
and artificial lighting. The sculpture as viewed looking down from upper level of four levels.
Note the fountain at the bottom of the sculpture that reflects natural light from the skylight four
stories above. Credit: Andrea S. Norris.
section examines some of the drivers that can either promote or inhibit develop-
ment of an expanded and well-ordered underground environment.
Urban planners may plan the city in only two dimensions (with the use of
height controls or floor-area ratios used to control building heights) and ignore
the importance of the underground in major urban areas. Without federal, state,
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56 UNDERGROUND ENGINEERING FOR SUSTAINABLE URBAN DEVELOPMENT
restrict public rights-of-way. The installation of horizontal soil anchors or “nails”
provides lateral support for deep foundations and walls against the pressure of
surrounding soil and groundwater, but requires the placement of tiebacks in holes
on the sides of an excavation that can extend 30 to 35 feet into adjacent soil or
rock. Although tiebacks generally serve no structural post-construction function,
they often are left in place and may compromise other uses of the underground
in their locations.
Foundation design and construction could include sustainable practices such
as the use of removable anchors, if feasible. A longer term approach to foundation
design might include designing foundations so that they are more readily reus-
able or repurposed once the surface infrastructure outlives its useful life. Current
practices for reconstruction often include demolition of surface and foundation
structures when new construction occurs. A visionary approach to foundation
design requires consideration of urban sustainability holistically. It accounts for
the collective impact of individual design and construction decisions on future
use of the urban underground. Designs may take into account long-term plan-
ning for the urban area as a whole, for example, avoiding specific designs in an
area zoned for future underground transportation. This approach will be more
successful when the urban underground is incorporated into urban growth plans
as part of a functioning and evolving system of systems. Optimal planning may
sometimes call for preserving the underground for future use.
Institutional Management of Underground Space
As has been described, decisions related to individual underground infra-
structural elements are seldom made using a systems management approach in
which above- and belowground infrastructure, combined, comprise an integrated
system. Governance and institutional management of urban underground space
that guides decision making in the United States is fragmented at best, and
nonexistent at worst. Public policies that govern urban underground use, with
few exceptions, are not well formed. The primary focus of urban planning is
the provision of services under the constraints of available surface and air rights
and resource development. A great challenge to governance is that ownership of
underground utilities, services, and structures is vested in a variety of public and
private parties. This and the lack of frameworks for valuation of underground
space by municipalities are among issues that frustrate better urban underground
planning and management. Municipalities typically allow subsurface operations
in their jurisdiction through permitting processes, but lack authority to regulate.
Permission to cut into an existing street for any purpose, for example, may require
a permit, but the permit typically does not include conditions specific to the utility
or service being installed. Further, submission of as-built records of installations
may not be required.
Comprehensive mapping of the locations of buried utilities and services
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THE EVOLUTION OF AND FACTORS AFFECTING UNDERGROUND DEVELOPMENT 57
are rarely available, and as-built records of existing underground facilities may
be either publicly unavailable or inaccurate. It is therefore difficult to plan new
installations without disturbing existing buried services. According to the Com-
mon Ground Alliance,7 a utility is hit or damaged in the United States every 60
seconds (Landes, 2008). Available technologies to detect and map underground
infrastructure to minimize striking and damaging their systems during construc-
tion activities are not employed often enough.
A national 811 number—the “call before you dig” line8—was launched in
2007 to reach 62 call centers connected with parties that have buried services
in their coverage areas. This is a first step in developing institutional manage-
ment of urban underground space. A positive outcome of CBYD is the sharing
of utility and services data by interested parties. The governance gap can begin
to close when public policy requires accounting for the use and optimization of
underground urban space for the benefit of the people, the economy, and sustain-
able development.
PLANNING AND GOVERNANCE FOR SUSTAINABILITY
Some cities around the world have made greater progress planning and
governing underground space. Helsinki, Finland, a notable example, has identi-
fied and protected its prime near-surface rock resources and has developed deep
common utility tunnels that limit interference with shallower, people-oriented
underground infrastructure, such as that used for transit, pedestrian connections,
and parking. This strategy moves away from the more common practice of plac-
ing utilities directly beneath the surface. Montreal, Canada, has established
the framework by which a largely private network of underground pedestrian
connections in the downtown area has turned a northern-climate city into an
extensive indoor city that is comfortable and accessible in the harshest winter
weather. Perhaps the most ambitious underground planning at the time of writ-
ing is being undertaken by the City State of Singapore. The extreme shortage of
land and natural resources of this island nation makes use of underground space
an important component of overall planning (Hulme and Zhao, 1999). Effec-
tive underground space use in Singapore preserves surface space for other uses,
including recreation.
The European Construction Technology Platform promotes the concept of a
multidimensional city in which people move vertically above and below ground
as well as horizontally (ECTP, 2005). Box 2.6 demonstrates European Union
7 The Common Ground Alliance is an association dedicated to public safety through damage
prevention practices. For more information see http://www.commongroundalliance.com/Template.
cfm?Section=About_CGA.
8 For more information see http://www.call811.com.
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58 UNDERGROUND ENGINEERING FOR SUSTAINABLE URBAN DEVELOPMENT
BOX 2.6
A Strategic Research Agenda for the European Construction
Sector
The European Construction Technology Platform (ECTP)a developed a
strategic research agenda for the underground construction sector for the next
25 years that takes into account innovations driven by the market and long-
term societal visions (ECTP, 2005). According to the ECTP, future models for
urban planning must incorporate new ways to think about underground space
and construction concepts so that underground space use can be expanded
downward as far as imagination and technologies will allow. Underground
infrastructure will be more appealing when directly and conveniently linked to
improved surface space and to high-capacity transportation systems that are
efficient alternatives to surface transport. The figure is a schematic of what the
platform termed a multidimensional city.
The ECTP suggests that all aspects of construction (e.g., organization of
supply chains, contractual arrangements, service industries, underground ar-
chitecture, specialized vehicles, technologies for excavation, social business,
and the safety and security industry) must be reviewed and revamped to im-
prove work within an underground environment and to provide supervision and
protect against hazards. The ECTP’s research agenda includes a vision and
short- and long-term research priorities intended to meet the needs of clients
(e.g., through efficient use of the underground and improving our understand-
ing and ability to control the ground itself), allow cities to become sustainable
(reducing resource consumption, environmental and anthropogenic impacts,
improving safety and security, and enhancing the quality of life), and cause
a transformation in the construction sector itself (through increased compe-
tiveness, a new knowledge-based construction process driven by clients,
information and communication technologies and automation, state-of-the-art
construction materials, and attractive work environments) (ECTP, 2005).
aSee http://www.ectp.org/ (accessed October 6, 2011).
recognition of the importance of urban underground space and its vision for the
impact on city livability possible with integrated space resource planning.
Growing urban populations have resulted in development of marginal lands
(i.e., weak and soft soils) and underused industrial and commercial facilities
and associated poor environmental conditions (e.g., pollution, hazardous waste,
and contaminated ground). Underground development may also encroach on
marginal lands, and developers and contractors must deal with issues such as
hazardous waste removal or remediation. This warrants thoughtful and extended
consideration by owners, urban planners, developers, and the public about the
geotechnical and geo-environmental issues related to all urban construction,
about underground space development specifically, and about the explicit valua-
tion of underground space as a resource.
Effective planning and infrastructure investment decisions require that rele-
vant administrators and planners accept the need and responsibility for integrated
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THE EVOLUTION OF AND FACTORS AFFECTING UNDERGROUND DEVELOPMENT 59
FIGURE A new multidimensional city as envisioned by the Focus Area of Underground
Construction of the European Construction Technology Platform. SOURCE: ECTP, 2005, p. 9.
long-term planning, and information archiving is needed that ensures information
resources are available in a useful form. This implies that both reliable geologi-
cal and three-dimensional records from multiple sources of existing structures in
the underground need to be developed, registered to a common spatial reference,
and maintained. Visualization for underground planning is needed particularly in
complicated geologies, with significant topographic variations, and when mul-
tiple levels of underground facilities are considered (Reeves, 2010). The ability
to archive, search, manage, and display complex three-dimensional databases at
appropriate degrees of complexity for planning and detailed design tasks would
greatly aid the ability to effectively plan urban underground space use. Some
aspects of the databases and software needed to undertake this task exist, but
many complications remain in terms of permission to access detailed private
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60 UNDERGROUND ENGINEERING FOR SUSTAINABLE URBAN DEVELOPMENT
utility data and to manage the uncertainty and varying quality of available data
(Reeves, 2010). This discussion is continued in more detail in Chapter 6.
To consider explicit cost-benefits in infrastructure decisions, it is important
to establish a methodology to quantify the value of subsurface space opportuni-
ties as a resource in urban environments. This would allow comparison of the
value of underground space on a par with other urban resources, for example
linked to an increasing market value of surface land property. Value for future
uses would also encompass the fact that the nature of previous use (e.g., existing
infrastructure) can force new infrastructure systems to be placed in increasingly
difficult ground conditions, presenting problems for engineers and constructors,
and creating additional difficulties related to scheduling and cost control. Effec-
tive planning and governance can help efficiently optimize use of underground
resources and obtain the most value from the underground resource for the long
term. Governance approaches include zoning subsurface vertical and horizontal
space, reserving corridors for major transportation systems, and coordinating
utility space use requirements in the public rights-of-way.
LONG-TERM MANAGEMENT OF THE UNDERGROUND
There are many fabled successes in underground infrastructure (e.g., the
New York City and Boston subway systems) and more recent successes in under-
ground infrastructure development—the Washington, D.C., Metro, the Metro-
politan Atlanta Rapid Transit Authority, and the Chicago Transit Authority. The
record of accomplishments extends to the creation of underground utility systems.
However, the legacy of more than a century of abandoned or unmapped subsur-
face infrastructure also presents great problems (Sterling et al., 2009). Positions
of abandoned utilities, foundations, tanks, and construction or demolition debris
are not recorded or their records discarded. Positions of active utilities can be
uncertain or improperly recorded. This situation is not unique to the United
States, and some parts of the world have an even longer legacy of abandoned
buried infrastructure. A reasonable step toward sustainable planning practices
would be the development of a geographic information system database with
information about locations of underground infrastructure and artifacts. A 10-year
research program is under way in the United Kingdom to develop a prototype
multi-sensor ground penetration radar tool that would locate and map buried
utilities and services. Three-dimensional maps would then be made in conjunc-
tion with the British Geological Survey.9 More reliably documenting all things
underground in a searchable database system that includes tools for visualiza-
tion—and documenting other unrecorded services encountered during under-
ground construction—would vastly improve the ability of planners to maximize
9 See http://www.mappingtheunderworld.ac.uk/ (accessed September 15, 2011).
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THE EVOLUTION OF AND FACTORS AFFECTING UNDERGROUND DEVELOPMENT 61
the use of the underground while minimizing the cost of building and maintaining
underground infrastructure.
From 1972 to 1994, the U.S. National Committee on Tunneling Technol-
ogy within the National Research Council served as the national organization to
stimulate advances in tunneling technology and subsurface use (see Appendix
C). The committee did not have oversight responsibilities, but it did serve to
shape technology, practice, and education and training. Membership included
representatives from government, industry, and academe. Its purpose was to
promote coordination of activities, including assessment, research, development,
education, training, and dissemination of information. It also served as the U.S.
adherent to the International Tunneling Association. There has been no similar
body since, and in 2012 no official bodies in the United States carried the respon-
sibility of overseeing and approving use of the underground to manage it in the
most sustainable manner. The lack of planning for systematic and sustainable
use of the underground results in significant added costs and schedule difficul-
ties as new services are installed in very congested urban underground space.
The United States envisions installation of High Speed Railroad (HSR) systems,
some of them underground, as built in other parts of the world. Grade-separated
freight movement systems (for example, railroad tracks and truck roadways)
could also be placed underground as part of sustainable urban development.
The cost of these or any future underground infrastructure in urban settings will
increase because of the inability to plan effectively around existing infrastructure.
Research opportunities to develop a framework and management approach to
planning, documenting existing conditions, setting land use requirements, and
issuing permits for approved uses of the urban underground can be found in
Chapter 7.
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