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By Henry H. Thomas

In Tasmania a tailrace tunnel to handle water discharged from a turbine generator has been successfully driven by a machine tunneling method similar to that described in the July 1962 issue of Civil Engineering. The Hydro-Electric Commission, Tasmania, is constructing a high- head (2750 ft) power project that will utilize the storage in the Great Lake (1,150,000 acre-ft) at an elevation of 3380 ft. The underground power station will house six vertical shaft turbo-generators, each rated at 50,000 kw. The tailrace tunnel, 16 ft diam and 14,600 ft long, was driven through a reasonably homogeneous hard mudstone. It was decided to excavate this mechanically in the hope of saving some money on excavation and a considerable sum on the ultimate lining of the tunnel. Mechanical engineers from Tasmania worked with the firm of James S. Robbins and Associates of Seattle, Wash., which designed and supplied the "mole."

Jan 4, 1963

By Thomas E. Howard

Tunneling is at the threshold of a new era. An exciting new technology is becoming available. And, supplying the increasing quantities of minerals required by a growing and socially advancing world population, together with providing the subsurface facilities attendant to the rapid urbanization of the more developed countries of the world, will require underground excavation during the next decades on a scale that would have seemed fantastic a few years ago. It is estimated that world mineral consumption will increase fivefold by the year 2000. Projections for the United States indicate that domestic consumption of nonfuel minerals may increase two to three times by the end of the century. Meeting these requirements will entail opening up many new underground mines, even if present trends toward surface mining continue. And, at least in the United States, new factors that are becoming increasingly important may modify these trends. We are depleting our shallow easy- to-find and easy-to-mine mineral deposits; and, if we are to avoid becoming dangerously dependent on imports, we must turn more and more toward deeper deposits that are not amenable to surface mining. Growing public concern with environmental quality is apparently leading toward increasingly stringent regulation of surface mining which also will tend to make underground mining economically more attractive. The world market for underground construction is also growing rapidly. The most conservative projections indicate that in the United States alone more than $7.0 billion will be spent on excavation for underground facilities during the next ten years. And these estimates do not include any of the bold, imaginative new applications for underground excavation that have been proposed, such as extensive underground power transmission, the Chicago Deep Tunnel plan, and the Northeast Corridor Transportation project. There can be little doubt then that the market for tunnels for conventional applications is increasing rapidly and that the trend will continue. It

Jan 1, 1970

By [Dipl. -Ing. ] Karl Angerer

The "New Austrian Tunneling Method" is one of the most significant developments in European tunneling in the last 15 years. I hope this report will show the significance of this tunneling method, which was developed in Austria exactly 18 years ago and which is now used in many European countries. In Austria from 1948 to 1953, the Moll tunnel with a length of 11.6 km (about 7.3 miles) was constructed as a part of the Kaprun power plant. Depth of overburden varied from 1000 to 1400 m, and there were many rock bursts in calcareous-schist formations. Here for the first time it was found that a thin concrete lining would help to prevent rock bursts if it was sprayed on the rock soon after blasting. During construction of the Prutz-Imst tunnel in Austria from 1953 to 1956, the shotcrete lining was sprayed on the phyllite surface a certain distance behind the blasting face to prevent rapid rock decomposition. This method was also tried in soft-rock sections of the tunnel where steel and wood supports usually were necessary. To prevent loosening of the rock, application of the sprayed concrete was tried immediately after blasting. This method made it possible to tunnel through very soft ground. Where necessary, the shotcrete was supplemented by steel arches and mesh reinforcement. At that time (1953-1956), the machines and equipment for guniting or spraying concrete were being improved rapidly and it became possible to spray aggregates up to 25 mm in diam. Hardening accelerators brought quicker strength and better adhesion of the shotcrete-this also made it possible to use the method in wet tunnels. If the tunnels are extremely wet or flowing with water, it is necessary to seal off the wet rock or drain the water, using, for instance, the Oberhasli method. After these first successful steps with the new Austrian method, large portions of the Schwarzach power plant in Austria were designed and built. At this operation, shotcrete was used almost exclusively for tunneling work. It was on this site where, for the first time, a tunnel 120 m long with a 45-sq- m section was driven through overburden without one piece of timber

Jan 1, 1970

By D. U. Deere

The title of this chapter is "Indexing Rock for Machine Tunneling" or, a simplified approach to a very difficult problem. I do not think that we can divorce the considerations for conventional tunneling from that of the requirements in terms of geologic information that is necessary for machine tunneling. Experience has shown that in conventional tunneling, the rate of progress achieved in driving a tunnel and the cost involved can be almost directly related to the general rock quality and to the water conditions actually encountered. The very method selected for driving the tunnel or perhaps adapted during the construction period, that is, full-face, top-heading and bench, or multiple-drift, is largely determined by the degree of severity of the adverse geological features. The amount and type of support required to stabilize the rock behind the advancing face are also directly related to the ground conditions. The support may range from bald-headed to rock bolts placed as needed- perhaps pattern rock bolting, light steel sets, all the way to closely spaced heavy steel sets with full lagging and invert struts. At times crown bars, spiling, and breast boarding must be used to advance the face. Shotcrcte applied immediately to the arch and upper walls is a fairly recent advance in providing both temporary and permanent support. Ground-water inflows can further reduce the rate of advance, causing stability problems and reducing the overall efficiency of the mining crew. Required pumping may also be very expensive depending on the grade of the tunnel and the amount of water. And in shafts, of course, there is the pumping problem. To offset the adverse effect of the ground-water inflows, one must often resort to grouting ahead of the face. But this very operation which helps cut down the water inflow also increases greatly the time required for mining, and of course, there is additional cost involved in the actual operation. The conditions described above do not occur uniformly throughout the rock mass but rather they are concentrated

Jan 1, 1970

By John M. McAnerney

In 1955, the U.S. Army started to experiment in Greenland with tunneling in glacial ice and later in frozen glacial moraine. By 1960, long adits and experimental rooms had been successfully excavated. Full mechanization with coal-cutting machinery was most efficient in ice but drilling and blasting were necessary in bouldery moraine. In 1963, the U.S. Army Cold Regions Research and Engineering Laboratory, (USA CRREL; redesignated U.S. Army Terrestrial Sciences Center July 1, 1968) started a tunnel in the frozen silt of central Alaska near Fairbanks. The original adit of 360 ft (109 m) was successfully driven in the permafrost by a twin-rotor tunnel-boring machine, the Alkirk Cycle Miner. The workings were enlarged in 1966 and 1967 by standard mining techniques in which jackhammers, steam points, and augers were compared. A mechanical coal cutter was tried to supplement drilling and blasting. In 1968, airblasting techniques were used successfully for breaking out the frozen silt. All mine products were loaded mechanically and hauled by self-dumping shuttle car. Pneumatic methods of transport were tried for both dust removal and for conveying blast products up to 3-in. maximum size. Studies of the effects of natural winter ventilation through a shaft showed that tunnel closure could be reduced by lowering the adjacent ground temperature. It is concluded that underground openings in frozen ground should be cut and maintained at well below freezing temperatures to hold deformation to a minimum. HISTORICAL BACKGROUND This chapter deals with aspects of tunneling not previously discussed in the conference papers in this book. The chief differences are that the three tunnels lie entirely within frozen material and are relatively small, since they were constructed mainly for research. The primary objectives of the research were to develop underground shelters for military per-

Jan 1, 1970

By Leonard Greenburg, William B. Harris, Gustäv Werner

HAULAGE in tunneling operations generally has been done with electric locomotives. As a rule, on short hauls the source of electricity is a storage battery mounted on the locomotive, which, of course, must be removed and recharged periodically. Where the distance from the recharging point to the tunnel face is very long, and where loads are heavy, trolley-driven locomotives are used. Diesel engines have been used in mining and tunneling operations in Europe for a number of years. The recent reports of studies in Belgium1 and by the Bureau of Mines in this country2-4 have indicated the potentialities of this form of power for haulage, mucking, bulldozing and many other underground operations. The hazards attending the use of Diesel engines in more or less closed spaces have long been known. The exhaust constituents that may create a harmful or objectionable environment are carbon monoxide, oxides of nitrogen and sulphur, carbon dioxide, aldehydes and smoke. Lack of precise information regarding the concentration of these gases and the ventilation requirements to reduce them to safe levels has to some extent suppressed their general acceptance in tunneling and mining work. Not until the work of the Bureau of Mines referred to above, and certain experience gained in the construction of the Delaware Aqueduct,‡ has there been available the requisite information regarding the conditions under which their use may be permitted. This paper concerns itself with the successful operation of Diesel engines underground in the construction of certain parts of the Delaware Aqueduct, and describes the conditions under which Diesel engines have been found to operate with a minimum production of noxious gases. The test data reported were obtained during the operation of Diesel engines over a period of two years.* STUDIES BY THE NEW YORK STATE DEPARTMENT OF LABOR Exhaustive tests were made by the Division of Industrial Hygiene, of the composition of the exhaust gases given off by a Diesel engine mounted on. a test block. These tests showed that certain quantities of the gases are discharged from the exhaust. On the basis of these figures, preliminary requirements of design and control

Jan 1, 1942

By N. E. Norman, R. Stier

The mining industry is continually seeking out new and better underground mining techniques. One of the most recent-also, perhaps, the most significant-of the new concepts in underground mining is the use of mechanical rock-boring machines. And one of the problems that concerns us all in this matter is the cost of mechanical rock tunneling. To help answer the oft-quoted question "What will it cost me?" the following pages deal with the operating costs of so-called "medium to medium hard rock" boring machines-i.e., those designed to meet the drilling requirements in 8000 psi to 25,000 psi rock. A few machines are capable of drilling hard rock above 25,000 psi, but the economics of mechanical tunneling in rock that hard is limited at the present time. [ ] For mechanical rock tunneling, there are five main cost factors influencing the expense: Capital Investment, Cutters, Labor, Power Requirements, and Maintenance. These factors give us a good basic picture of the cost of excavation, although muck handling, erecting supports, and other costs directly related to conventional tunneling and mechanical boring enter into the final picture.

Jan 6, 1967

By T. L. Johnston

MUCH has been said and written about deep mine shafts and deep drill holes as man in his search for mineral wealth digs deeper into the earth's crust. Each year some new extra depth is heralded as a record, but with unlimited possibilities of going still deeper. In contrast to "digging deep," "mining high" is limited by the height of the mountains (Mt. Everest being the maximum with its 29,000-ft. elevation) and also by the extent of human endurance. An ex- ample of what might be called near- stratosphere mining in what is probably the highest mine worked by compressed air in the world is seen in a recent project in the Andes mountains of southwestern Bolivia.

Jan 1, 1939

By E. van Walsum

Tunneling methods through rock have, since the successful development of explosives, relied almost solely on blasting. Over the last ten years, rock-tunneling machines (moles) have been developed and some major projects have been carried out successfully with the use of such machines, which rely on the destruction of rock by mechanical means rather than blasting. Various other basically new methods are presently under study, such as the use of laser beams, water jets, etc. For practical purposes, there are presently only two methods commercially available: 1) blasting or 2) tunneling by mole. A contractor would choose at present either one method or the other. Both methods have their advantages and disadvantages (Fig. 1). The thought has occurred that the next practical development in rock- tunneling technology might be a combination of the best features of the mole technique and those of the blasting technique. A preliminary evaluation of this approach indicated that there is definitely a good potential for fruitful developments along these lines. My purpose is to place on record some of the thinking and some of the ideas which were developed along these lines and to point out certain areas where development efforts are required. In trying to find an improved tunneling technique, we looked in particular for the following qualities: 1) safety, 2) continuity, 3) uniformity, 4) automation, and 5) flexibility. TUNNELING BY BLASTING Conventional tunneling by means of blasting proceeds generally in recurring sequences of events: 1) drilling, 2) loading, 3) firing, 4) mucking-out, and supplementary operations (such as scaling and lining). These four operations (drilling, loading, firing, mucking) proceed one after another.

Jan 1, 1970

By John F. Sulzbach, Donald K. Walker, John F. Abel

With the increasing military significance of the arctic, the U.S. Army Corps of Engineers' ice- tunneling research program has been instituted to determine the feasibility of excavating large under- ice openings. Such openings would provide for year- around storage of material and housing of personnel, independent of surface weather conditions. This unique ice mining operation has been carried on in the tunnels at Camp Tuto, Greenland, during the summers of 1955, 1956, 1957 and 1958 by the U.S. Army Snow, Ice, and Permafrost Research Establishment (USA SIPRE), Wilmette, Ill. Supervisory personnel for the tunneling projects principally have been civilian mining engineers and mining engineering students from Colorado School of Mines. They have been employed under contract between USA SIPRE and the Denver Research Institute (DRI) of the University of Denver, Denver, Colo. Laborers have been enlisted military personnel attached to the U.S. Army Polar Research & Development Center (USA PR&DC) , Ft. Belvoir, Va.

Jan 6, 1959

By W. C. Schafer

In tunneling or mining where hydraulic shields, moles, or rock boring equipment is used lasers such as those shown guide the production machine by providing a continuous and visible line and grade reference. In this application the laser may be mounted in the heading, preferably somewhere above spring line. If we view the circular heading as a compass in the vertical plane with 0º referencing at the crown of the heading and 180º on the invert, then it might be said that the laser may be mounted anywhere from 270º through 0º to 90º. The laser is generally mounted 2 to 3 ft off the wall or the crown of the heading by means of a bracket that may be attached directly to the liner plate. In cases where no liner plate is used, then brackets may be bolted directly into the ribs, or grouted directly into the rock. Once the laser is in position the beam is projected to the face. Two points must be surveyed upstream between the laser and the face which define line and grade. Targets may be suspended beneath each of these points approximately 2 to 3 ft. These targets may be circular or rectangular with a surface area which approximates 16 sq in. Each of these two targets should have a ½ to ¾ in. hole drilled directly in their center. When the laser is adjusted so that the beam passes through the holes in each of the two targets, the laser beam itself will parallel the center line of the tunnel and become a visible line and grade reference over the total beam projection.

Jan 1, 1970

By Z. T. Bieniawski

Tunneling in coal mines includes driving the main haulageways or roadways which serve as the development entries. Although constituting the lifelines of these mines, little attention has been paid to development entries in the United States in terms of systematic pre-construction planning and design. Coal mine tunnels, as the terminology is used in Europe and elsewhere, are understood in the United States to be the main development entries, either in room-and-pillar mining or in longwall mining. These development entries are not tunnels in the traditional sense since they usually are of a multi-entry type involving entries and cross-cuts, and their intersections. Thus, the design of coal mine tunnels is intertwined with the design of coal pillars. This paper summarizes the results of a three-year research project aimed at improving the design of development entries in U.S. coal mining. A design approach has been developed for this purpose and design procedures for roof support in main entries and for pillar sizing are proposed.

Jan 1, 1984

Later this month (June 24-27) in San Francisco, the Society of Mining Engineers of AIME, together with the American Society of Civil Engineers, the Canadian Institute of Mining & Metallurgy and the Engineering Institute of Canada, is sponsoring the second biannual Rapid Excavation and Tunneling Conference. The dominant theme of the Conference is the practical application of techniques and research relating to underground rapid excavation and tunneling. In the following pages, ME gives highlights of many of the 24 technical sessions and some of the papers being presented. The full proceedings of the Conference will be published by SME-AIME later this year.

Jan 6, 1974

By Thomas Adair

Moderator-Thomas Adair is now a tunnel consultant with Perini Corp., Spring Lake, N.J. He has had 40 years experience in tunnel and shaft-sinking work in both soft and hard rock, as well as subaqueous rock. He has used moles in various locations and has traveled around the world studying the problems. SOME BRIEF COMMENTS ON "MOLES" by Thomas Adair We of the Perini Corp. have been, over the past 15 years, in the forefront of the battle to develop the mechanized miner. We have contributed much to pioneer, develop, and promote the use of the mining machine. Our money and talent have not been spared in this effort. However, we are sorry to say that as of the present time (1968), at least from the economic stand- point, this effort has not been very rewarding. But, I must say to those who are presently involved in the work of building mining machines, do not be discouraged. There is money in it. We of Perini Corp. know because we put it in there. It has been estimated that during the next 15 years, some $20 billion will be spent on underground excavation; more than 13 thousand miles of sub- surface tunnels will be excavated throughout the nation. An aggressive, properly structured research and development effort would produce, within the next five or ten years, a better excavation technology and improved boring system capable of reducing present costs drastically, with a resultant great saving. The time for this effort is now, but where the enabling money for this effort will come from, I have no idea. Machine builders should be encouraged to design and develop a shield- type boring machine capable of continuous mining through varying types of ground or rock by incorporating the possibility of making minor modifications such as change of bit type, power package, etc. Such a machine could

Jan 1, 1970

By C. E. Morris, S. R. Pollack

Current -vo1tage -temperature characteristics were studied for Al-A12O3-Al, Au structures. The oxide film was grown by gaseous oxidation in an 0, glow discharge. The electron-transfer mechanism was identified as tunneling and the barrier heights and thickness were determined. It was found that the barrier height at the parent aluminum-oxide interface is 1.5 ev and the built-in vloltage with an aluminum counter electrode is 0.35 v. The growth mechanism of the oxide is also discussed and it is suggested that Mott&apos;s theory is not applicable in describing the growth. Discrepancies were observed in the detailed comparison of tunneling theory, based on a trapezoidal model, with the data, and several possible explanations are discussed. THEORETICAL analyses of electron tunneling from one nonsuperconducting metal to another through an extremely thin insulating film have been presented.1-6 These calculations relate the current density, J, to the voltage, V, between the two metals, and to the temperature, T. The results of these calculations indicate that the magnitude of J and the detailed shape of the J-V characteristic will in general depend most strongly upon such properties of the insulating film as the thickness, the dielectric constant, and the structure of the electron energy barrier profile. The experimental results of many7-11 workers have corroborated the main features of these calcu- lations and have in fact been used to determine properties of the thin insulating film. It has been demonstrated, for example, that the tunneling current formulation of simmons4 is adequate to describe the observed J-V characteristic over approximately 10 orders of magnitude of current. Furthermore, from these observations and analyses, insight into the nature of the A1-A12O3 (thermally grown) interface region has been obtained.&apos;&apos; The temperature dependence of the tunnel current has also been studied and, although a self-consistent set of tunneling parameters can be chosen to describe these data at low voltages (i.e., <0.5 v), the tunneling parameters are different from those obtained from higher voltage (i.e., of the order of 1 to 5 v) measurements." We have measured the effect of temperature and voltage upon the tunnel current at higher applied voltages and find that the theory is inadequate to describe all of the effects reported here. A discussion of the origin of this inadequacy is presented following a description of the samples used for these experiments, and the experimental results. SAMPLE PREPARATION Metal-insulator-metal structures were fabricated in the following way. A 99.999 pct A1 charge was used to deposit, in vacuo, thirty films, 2000Å thick, onto a 1 by 2 in. glass substrate (7059 Corning glass). Prior to deposition the substrate was glow-discharged for final cleanup and then baked at 200°C for 2 hr at a pressure of 5 x 10-7 torr. The pressure during deposition of the metal films was 2 X 10-6 torr and the deposition rate was 50 to 100Å per

Jan 1, 1965

By William B. Harris, Leonard Greenburg, Gustav Werner

Haulage in tunneling operations generally has been done with electric locomotives. As a rule, on short hauls the source of electricity is a storage battery mounted on the locomotive, which, of course, must be removed and recharged periodically. Where the distance from the recharging point to the tunnel face is very long, and where loads are heavy, trolley-driven locomotives are used. Diesel engines have been used in mining and tunneling operations in Europe for a number of years. The recent reports of studies in Belgium1 and by the Bureau of Mines in this country2-4 have indicated the potentialities of this form of power for haulage, mucking, bulldozing and many other underground operations. The hazards attending the use of Diesel engines in more or less closed spaces have long been known. The exhaust constituents that may create a harmful or objectionable environment are carbon monoxide, oxides of nitrogen and sulphur, carbon dioxide, aldehydes and smoke. Lack of precise information regarding the concentration of these gases and the ventilation requirements to reduce them to safe levels has to some extent suppressed their general acceptance in tunneling and mining work. Not until the work of the Bureau of Mines referred to above, and certain experience gained in the construction of the Delaware Aqueduct, ‡ has there been available the requisite information regarding the conditions under which their use may be permitted. This paper concerns itself with the successful operation of Diesel engines underground in the construction of certain parts of the Delaware Aqueduct, and describes the conditions under which Diesel engines have been found to operate with a minimum production of noxious gases. The test data reported were obtained during the operation of Diesel engines over a period of two years.* Studies by the New York State Department or Labor Exhaustive tests were made by the Division of Industrial Hygiene, of the composition of the exhaust gases given off by a Diesel engine mounted on a test block. These tests showed that certain&apos; quantities of the gases are discharged from the exhaust. On the basis of these figures, preliminary requirements of design and control

Jan 1, 1943

By Gustav Werner, Leonard Greenburg, William B. Harris

Haulage in tunneling operations generally has been done with electric locomotives. As a rule, on short hauls the source of electricity is a storage battery mounted on the locomotive, which, of course, must be removed and recharged periodically. Where the distance from the recharging point to the tunnel face is very long, and where loads are heavy, trolley-driven locomotives are used. Diesel engines have been used in mining and tunneling operations in Europe for a number of years. The recent reports of studies in Belgium1 and by the Bureau of Mines in this country2-4 have indicated the potentialities of this form of power for haulage, mucking, bulldozing and many other underground operations. The hazards attending the use of Diesel engines in more or less closed spaces have long been known. The exhaust constituents that may create a harmful or objectionable environment are carbon monoxide, oxides of nitrogen and sulphur, carbon dioxide, aldehydes and smoke. Lack of precise information regarding the concentration of these gases and the ventilation requirements to reduce them to safe levels has to some extent suppressed their general acceptance in tunneling and mining work. Not until the work of the Bureau of Mines referred to above, and certain experience gained in the construction of the Delaware Aqueduct, ‡ has there been available the requisite information regarding the conditions under which their use may be permitted. This paper concerns itself with the successful operation of Diesel engines underground in the construction of certain parts of the Delaware Aqueduct, and describes the conditions under which Diesel engines have been found to operate with a minimum production of noxious gases. The test data reported were obtained during the operation of Diesel engines over a period of two years.* Studies by the New York State Department or Labor Exhaustive tests were made by the Division of Industrial Hygiene, of the composition of the exhaust gases given off by a Diesel engine mounted on a test block. These tests showed that certain&apos; quantities of the gases are discharged from the exhaust. On the basis of these figures, preliminary requirements of design and control

Jan 1, 1943

By Gerald Sherman

IN the southern field of the anthracite region of Pennsylvania, many of the coal seams dip at angles of 40° to 50° from the horizontal. For transportation purposes, "tunnels" are driven across the coal measures and, occasionally, "rock gangways," beside the seams and parallel with them. The use of gangways driven in country rock appears to be increas-ing, as they avoid the maintenance&apos; of long gangways in coal, which eventually are driven to the colliery boundaries, and permit mining from a number of intermediate blocks without interference. The rock consists of slates or sandstones of moderate hardness, which may range into very hard, highly siliceous, fine-grained conglomerates. In this distinctly bedded formation,&apos; the direction of the heading, whether parallel with or across the structure, makes it necessary to distribute the drill holes in a different pattern to break the ground, but does not change loading conditions. In 1932, practically all the mucking was done by hand, and it was the established custom to use four men on two drills for drilling and breaking the ground, and five for loading it, out. A driver and mule was needed in addition, to assemble the rock cars at a siding or branching track in the rear, pending their final disposal. This might occupy the driver&apos;s whole time, or if the length of haul were short, he might be able to do other useful work. It was thought possible in 1932 to reduce the cost of driving such headings in rock by mechanical loading, and to investigate this subject a scraper loader was used in a section of tunnel then being driven. Opera-tions while driving 195 ft. of this tunnel using a scraper loader were care-fully observed. Time studies were made of the loading, and records made of the routine of breaking ground, but not in such detail. Tunnels or gangways in the colliery are 7 ft. high above the rails, by 10 ft. wide, which requires a minimum of 8 ft. in height, broken to allow for rails and ties. This cross section is of sufficient size to permit the use of any one of several types of power loaders, but for this demonstration if was found most convenient to use a scraper loader.

Jan 1, 1936

By Allan T. Fisk, Carl R. Peterson, Richard E. Brooks, James J. Olson

Development of a continuous drill-and-blast excavation capability in mining and high-speed tunneling has been a long recognized goal. Ideally, a machine to meet the challenge should simultaneously perform drilling, explosive loading, initiation, mucking, ventilation, and other functions while remaining at the face, since the elimination or modification of the cyclic nature of the system would significantly improve the advance rate and economy of drill-and-blast tunneling. The Rapidex continuous spiral drill-and-blast concept, one of the continuous excavation schemes presently under evaluation in the US Bureau of Mines&apos; Bedded Deposits subprogram, utilizes an unusual blasting pattern that provides effective fragmentation and involves a partially self-shielding geometry that permits a lightly shielded machine to remain at the face during blasting.

Jan 6, 1977

By John L. Miles

John L. Miles (Arthur D. Little, 1nc.)—Pollack and orris" have reported measurements on electron tunneling through A1-A12O3-A1 sandwiches in which the oxide was formed by gaseous oxidation in a glow discharge. From these measurements they deduced the asymmetry of the barrier and, since this is small, conclude that the mechanism suggested by Mott19 for the growth of oxide in thin A12O3 films is inapplicable. In earlier papers20 Pollack and Morris report similar work for oxide films grown thermally. In this case they find a greater asymmetry and conclude that the Mott mechanism is valid. I would like to point out that both these conclusions are quite unjustified. Mott suggests that the growth of the oxide film on aluminum results from the passage of ions through the already present film of oxide under the action of an electric field. This field results from a constant voltage which is in effect a contact potential between metal on one side of the barrier and adsorbed oxygen ions on the other side of the barrier. The theory does not require that the oxide grown is nonuniform either in stoichiometry or structure. It does however specifically assume that the partial layer of ionized oxygen on the surface remains adsorbed on the surface of the growing oxide. In other words, the so-called "built-in field" remains in the oxide only as long as the ionized oxygen is present. When a counter electrode of aluminum is deposited on the oxide, it will react with the adsorbed oxygen on the surface of the oxide, thus forming a small additional amount of oxide. It is clear, then, that there is no requirement in the Mott theory of oxide growth which would necessitate tunneling currents through an Al-A1203-A1 sample to be different when the polarity is reversed. Neither does the theory eliminate the possibility that some additional mechanism could cause the tunneling barrier to be asymmetric and hence tunneling currents to be a function of polarity in such a sandwich. Thus these tunneling-currents measurements are not germane to the question of whether the Mott mechanism is the true method of growth of aluminum oxide films. In fact, it is not surprising that there should be a difference between the oxide properties at the two interfaces (with resulting asymmetry in the tunneling barrier) since the growth conditions and growth rates must have been quite different at these two positions. S. R. Pollack and C. E. Morris (authors&apos; reply)— The point raised by Miles above is one has caused some confusion in the past. The following is an attempt to clarify this point. The built-in field which is responsible for the growth of the thermal oxide at low temperatures arises, according to Mott, because of the passage of electrons from the Fermi surface of the oxidizing metal to surface states introduced by the adsorbed oxygen. It is assumed that the energy of these surface states lies below the Fermi energy of the metal. Electrons therefore continue to flow from the metal to the surface until the built-in electric field raises the potential energy of the surface states to the value of the Fermi energy in the metal, at which time equilibrium is obtained between the surface states and the metal. That is in equilibrium as many excess electrons pass from the metal to the surface per unit time as vice versa. The surface of the oxide prior to deposition of a metallic counterelectrode can then be pictured as follows. The Fermi energy lies in the energy gap of the oxide and is essentially pinned at the energy of the oxygen surface states. The vacuum work function of the oxide is then given by the sum of the electron affinity of the oxide (i.e., the difference in energy between the vacuum and the conduction-band minimum) plus the energy difference between the conduction-band minimum and the Fermi energy. The deposition of a metal onto the surface of the oxide can result in a transfer of electrons across the extremely thin oxide only if there is a contact potential difference between the deposited metal and the parent metal or oxide. That is if the vacuum work function of the deposited metal differs from that of the parent metal, then charge can be redistributed across the oxide in order to equilibriate the Fermi energy across the structure. (It should be

Jan 1, 1965