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Impact of underground construction and TBM tunnelling on surface structures

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 Seminar on Kolkata East-West Metro.

Impact of underground construction and TBM tunnelling on surface

Structures in Kolkata East-West Metro.

Dr. Alvaro Casasus

Associate Director, Geotechnical, AECOM, Gurgaon, India.
Harvinder Rana
Design Engineer, Geotechnical, AECOM, Gurgaon, India.

ABSTRACT: Kolkata East West Metro includes the contract UG-1. Design and Construction of
Underground Section from Howrah Maidan Station to West end of Central Station in Kolkata. The
project includes two bored tunnels mined with two Earth Pressure Balanced TBMs and with a
drive length of 3,100 meters approximately. The ground is made of one upper layer of soft clay
and another deeper one of stiff clay presenting also some silty sandy pockets. Through that
ground the TBMs mined at depths varying from 10 to 30 meters depth and underneath various
structures, including flyovers with deep foundations, rail tracks, dilapidated buildings and heritage
structures. This paper summarises and reviews the methodology followed to evaluate the impact
caused by the tunnel excavation on those structure, the problem faced during mining and
preventive measures taken on site to minimize the structural impact.

1 INTRODUCTION required in order take the proper measures

Excavating tunnels in clay is a challenging
work, especially when the tunnels are crossing
an old city like Kolkata, having many ancient
buildings, old structures and monuments. Also it
is a very congested city, with traffic and people
on the streets which makes difficult the access
with machinery for any intervention from the
ground surface.
As far as the ground is concerned, the clay is
a soft material which has a visco-elastic-plastic
behaviour, due to the consolidation
phenomenon, and presenting, most of the time,
a low Young’s modulus which makes it prone to
high strains under stresses.
Mining tunnels through such material makes
it necessary to take into account the
settlements that happen, in the influence area,
due to tunnel construction. These Settlements
will be time dependent, and will affect the
adjacent structures. That affection will depend
on the stiffness of the clay and how efficiently
the control of the TBM parameters is done.
In any case an impact assessment of the
structures has to be done to know in advance
how much the ground settlement will be
damaging the structures. Thus classification
this damage with some engineering approaches
1
before, during and after mining the tunnel.
2 GEOLOGICAL AND GEOTECHNICAL
PROPERTIES OF KOLKATA EAST
WEST METRO
Kolkata is located over the "Bengal basin", a
pericratonic tertiary basin.
The quaternary sediments in Kolkata consist
of clay, silt, and several grades of sand and
gravel. These sediments are sandwiched
between two clay beds: the lower one at a
depth of 250–650 meters; the upper one 10–
40 meters of thickness.
The East West Metro alignment is located in
the upper clay layer, and the ground is divided
into four layers, the first one is called “made
ground” and presents a thickness of 2 to 5
meters. This is classified as Unit 1 and is it
formed by cohesion less material with 12Mpa of
E modulus and 28 degrees of friction angle.
The second layer is soft clay, classified as
Unit 2, it is an organic silty clay/ clayey silt
material, with a thickness of around 15 meters
and a long term E modulus of 8 Mpa.
The third layer it is formed by a stiff clay, it is
a silty clay/clayey silt material, this layer goes
 Seminar on Kolkata East-West Metro.
up to 40 meters deep and it is classified as Unit
3A. The drained E modulus of this layer is equal
to 55Mpa at average.
In the alignment there are also some pockets
of silty sandy material, Unit 3B, with same E
modulus as Unit 3A but higher permeability.
In the figure 2 it can be seen a general
scheme of the ground.
Figure: 2 Ground profile Kolkata East West Metro
3 CONCEPT OF VOLUME LOSS
When a continuous ground is excavated, its
in situ stresses redistributes along the periphery
of the excavated area, experiencing a reduction
on radial stresses and an increment on
tangential ones, this stresses redistribution will
create radial strains which will cause
deformations which we know as convergences.
The ground will close inwards to the opening
and this closure is what we define as volume
loss. If this phenomenon is allowed without any
support, the ground will keep closing until it
reaches a new stresses in equilibrium state.
However, if the ground strength parameters are
not able to resist those stresses then the
excavated opening will collapse.
In tunnelling what is done is; we place a
support/lining to resist the percentage of
stresses, which the ground cannot resist. But
there is a gap of time and space in between the
moment when the tunnel is excavated and the
lining/support is placed. During this mentioned
gap, the ground is free to deform and volume
loss will take place in this period of time.
In the case of tunnels mined with a TBM
machine, Earth Pressure Balanced (EPB), like
in the Kolkata East West Metro, the spatial gap
in between the ground excavation and
installation of the support, is equal to the length
of the shield. In our particular case it is a
Herrenknecht EPB with a shield length of 7,594
millimetres. On the other hand the cutter head
2
diameter, tunnel excavated diameters, is equal
to 6,380 millimetres (mm), while the tail of the
shield has a diameter of 6,330 mm, hence from
the cutter head to the tail shield there are 25
millimetres of gap in which the ground can
close freely. The reason of having a tapered
shield instead of a straight one is to reduce the
ground friction and the possibility of getting
trapped in case the ground closes around it.
Finally the segmental lining ring is placed
right at the end of the shield, that ring has an
external diameter of 6,100 mm, so from the
shield tail to the outer face of the segmental
lining there is another gap of 115 mm. This gap
is filled with what it is called, liquid A and liquid
B. Liquid A is a cement grout and liquid B
sodium silicate to accelerate the gel time of the
grout, to give confinement to the segment and
stop deformations as soon as possible.
Hence can be assumed that the last 115 mm
of gap will not create any volume loss, since it
is filled with the cementitious grout, however it
may also produce some ground loss because of
the grout shrinkage and improper filling of the
gap, this loss is termed as tail loss.
There is another volume loss to take into
account, the face excavation volume loss, once
the tunnel is excavated the ground on the
excavated face will try to extrude inside the
tunnel tube. This phenomena can be controlled
as long as the proper face pressure is used.
Figure 1: Volume loss scheme along the TBM
So we can conclude here is; the only volume
loss which cannot be controlled in an EPB
machine is the shield loss. The convergences
that take place from the cutter head up to the
shield tail in the case of the EPB used in the
Kolkata East West Metro UG-1 can be up to a
maximum of 25 mm. This figure represents a
volume loss of 1.56%. During the impact
assessment on the structures a volume loss of
1.5% was considered systematically.
The volume loss in the excavated face can
contribute around 0.1% to 0.2% more, as
 Seminar on Kolkata East-West Metro.
mentioned above it will depend very much on
the operational face pressure the EPB is using.
Having a gap of 25 mm in which the ground
can freely close around the shield does not
mean it will do it totally, that will depend on the
ground parameters and stresses.
Dr. Kirsch (1898) presented the elastic
solution for the stresses around a circular hole
made in a loaded infinite plate. Later Brady –
Brown, based in Kirsch solutions, developed
formulations for calculating displacements
around the circular opening.
= [(1 + ) ( )( 4 ) cos 2 ]
(1)
This formulation can be used for
computations of the maximum radial
displacement as per ground parameters and
stresses and the maximum volume loss, by
integration of those displacements along the
circular opening.
If the displacements are higher than 25
mm then the ground will close around the
shield, acting this one as temporally
supported until the segmental ring is
placed and the gap is filled with cement
grout. If the gap is filled properly more
displacements of the ground should not
happen, j ust the one equivalent to the
grout shrinkage, which is not more than a
few mi llimetres.
Considering 12 meters depth in Unit 2 and
the long term E modulus, applying equation (1)
we obtain a maximum radial deformation of the
tunnel equal to 53 mm. Here we have to call the
attention on the elastic analysis done; we are
not taking into account the plastic deformation
of the clay.
These 53 mm deformation implies that the
ground will close around the shield and the
shield will act as temporally support until the
ground reaches the shield tail where the
segmental ring will be installed and the 115 mm
gap will be filled with the cement grout.
As already it has been indicated, if the void
is properly filled, not more as 25 mm ground
inwards deformation should happens and the
volume loss would be around 1.5%.
Now if we consider the layer Unit 3A, as
already discussed, the long term E modulus is
equal to 55 Mpa, doing the same exercise, for a
depth of 25 meters we can expect a maximum
elastic deformation of the ground equal to 19
3
mm, that represents a volume loss of 0.83%,
and the ground will not close around the shield,
being the final gap to fill with grout equal to
115 + 25 19 = 121 millimeters.
On the other hand what we have analysed
so far are long term or drained E modulus
parameters for the different layers, here we are
going to discuss what happens with the short
term or undrained parameters.
As it is well known that the deformations on
clays have a time dependent behaviour and
that happens because of the consolidation
phenomenon.
According with Karl von Terzaghi's Principle,
in clays when there is an increment of stresses
at the very beginning this increment will be
producing an increment in the pore pressure
only, remaining the effective stresses constant.
However little by little the stresses from the
water are dissipated into the ground particles,
increasing the effective stresses and the
deformations. That phenomenon is known as
consolidation and the time it takes to happened
depends on the ground permeability and the
level of stresses.
The conclusion is that the deformation of the
clays is also linked with the time the clays
remain unsupported.
If we consider undrained or short term
parameters for the Kolkata clays then we will
have a reduction on 25% of the deformations.
Since according with the GIR the undrained E
modulus is 25% higher than the drained one.
Considering this maximum deformation of 42
and 16 mm in Units 2 and 3A can be calculated
respectively.
4 PREDICTION OF GROUND
SETTLEMENTS ON THE SURFACE
The volume loss created during boring of the
tunnel will end up creating ground settlements
on the surface. Those settlements will depend
on the quantity of volume loss and type of
ground.
For that prediction, different software based
on Finite Element or Finite Differences
approach or an accepted empirical method
based on the Gaussian curve settlement
distribution proposed by Peck (1969) can be
used.
= (2)
 Seminar on Kolkata East-West Metro.

The representation of equation (2) can be each tunnel independently and adding the
seen in Figure 3. settlements, represented by each Gaussian
curve, in the overlapping zone.
Following the previous calculations the
Gaussian curves for two tunnels mined in Unit
2, at 12 meters depth is presented in Figure 4,
and two tunnels in Unit 3A at 25 meters depth is
presented in Figure 5.

Figure: 3 Ground settlements profile

Integrating the equation (2) we obtain the

total volume of settlements on the surface,
which is equal to the tunnel volume loss.

= =

(%) Figure: 4 Gaussian curves for two tunnels mined in

4 Unit 2 (12 m Deep)

Finally we obtain the expression of the

maximum settlement on the surface which it is
linked to the ground volume loss.

0.313 (%)
=
(3)
The parameter represents the distance of
the Gaussian curve inflexion point to the tunnel
axis, and it is equal to:

(4)
is a parameter depending on the type of
ground. For the Kolkata East West Metro,
contract UG-1 impact assessment, that value
was taken as 0.5, being as per the literature the Figure: 5 Gaussian curves for two tunnels mined in
most suitable value for clays. That value was Unit 3A (25 m Deep)
checked afterwards with the actual ground
settlements realizing that was it was fitting quite We can draw the conclusion that in Kolkata
well the settlements points in the theoretical East West Metro, contract UG-1, the ground
Gaussian curve sometimes. However in some settlements caused because of twin tunnels
stretches was found that smaller values were excavation, will be expected in the range of 15
better fit. to 30 millimetres.
To take into account the settlements
produced by the two tunnels the methodology
followed was to consider the Gaussian curve of

4
 Seminar on Kolkata East-West Metro.
5 IMPACT ASSESSMENT OF
GROUND SETTLEMENTS ON THE
STRUCTURES
In Kolkata Metro tunnelling impact
assessment was done for all the structures
falling on the tunnels influence area. In that
area both shallow structures foundations,
heritage and old dilapidated buildings, as well
as deep structures foundations, flyovers and
other buildings were assessed. For that
assessment both analytical and numerical
approaches were used.
5.1 Assessment of Structures on Shallow
Foundations
The analytical approach followed was based
on J. B. Burland et al. (2002) Ref.1, and Marco
D. Boscardin et al. (1989) Ref. 2. The
assessment methodology is based on
representing the building, affected by the
settlements, as a thick Timoshenko Beam;
shear deformation is not neglected. The beam
will be simple supported in both ends and a
punctual load will be applied to the centre.
This approach gives reasonable estimation
of strains on the building based on the
displacement of ground and it has been proven
by Boscardin and Cording with results from field
tests.
Figure: 6 Schematic Representation of a building
for impact assessment.
The assessment is based on calculating the
shear and tensile stresses imposed on the
building because of the beam deflection that is,
the ground settlements.
= 1+
18
(5)
3
= +
12 2 Figure: 8 Representation of building as fixed beam.
(6)
5
Equations (5) and (6) allow calculating the
shear and bending stresses on the building
once the ground settlements are predicted.
The methodology is finalized categorising
the building damage depending on the
maximum composed tensile strain imposed to
the building. In the Figure 7 it can be seen that
classification.
Figure: 7 Damage chart based on maximum strain.
According with the methodology from
categories Negligible to slight no further study
of the impact is required. However from
Moderate to Very Severe a detailed analysis of
the tunnel structure interaction is required and
measures to reduce the impact has to be put in
place.
It should be noted that this approach
considers the tunnel passing right below the
building which is not always the case.
While assessing the impact of the tunnels on
the influence area located structures, in Kolkata
Metro, it was realized that some of them were in
a different position, with the tunnel crossing
below on the structures edges. Under those
circumstances applying Burland’s equations (5)
and (6) in an accurate way is complicated, so
another formulation, based in the same
approach was develop by General Consultant
team (GC), in other to check the impact on
those structures.
The methodology is based on considering
the buildings as a thick beam fixed in both ends
and applying a vertical displacement equal to
the ground settlement in one of them.
 Seminar on Kolkata East-West Metro.

The formulation we arrive for shear and negative friction will happens, the ground will
bending strain can be found below: slide along the pile imposing on this an extra
axial force, equal to the limit ground – pile
8 adhesion force; , and reducing the
+ length of pile resisting the foundation forces,
5
that will end up in increasing the pile
(7) settlements. Determining the length of pile in
which the negative friction will take place is the
+ right way of determining the settlements on
piles. In the figure below it can be seen the
(8) phenomenon in which the pile has been
considered as a rigid body; elastic deformations
on it had been neglected. The circle is showing
5.2 Assessment of Structures on Deep the pile length in which negative friction will take
Foundations place.
Tunnelling in the vicinity of piles will impact
those in two different ways, one will be
structurally impact, increasing bending
moments and axial forces, and the other will be
affecting the bearing capacity of the pile
through the ground friction reduction.
The impact will depend on the position of the
pile with respect the tunnel centre, when the
tunnel passes beside the pile, it will deform the
ground creating bending moments on the piles
because of the imposed displacements. Also a
reduction in friction because of horizontal Figure: 10 Ground settlements profile versus pile
stresses relaxation will take place, reducing the settlement. Negative friction.
pile capacity, H. G. Poulus Ref. 3. That lost in
capacity may end up in settlements on the 6 IMPACT ASSESSMENT ON
plies. KOLKATA EAST WEST METRO UG-1

In this section the impact assessment done in

the most important structures along the tunnel
alignment in Kolkata East West Metro UG-1 is
detailed.
Colvin Court Building
The building is basically load bearing brick
masonry structure with steel beam supporting
the floor slab. This G+3 storied building, with
shallow foundations, is mainly for Eastern
Railway’s senior officer’s Bungalows.
Figure: 9 Lateral impact of a tunnel in piles.

However assessing the settlements that

piles founded structure will suffer because of
the excavation of a tunnel is not an easy task.
The main difficulty it’s in the understanding and
quantification of the pile – ground interaction.
Using numerical models will overestimate those
settlements unless the code can simulate the
ground sliding along the pile. Here comes the
concept of negative friction, the movements of
the pile and the ground will be different,
Picture: 1 Colvin Court front view
whenever the vertical displacement of the
ground is higher than the one of the pile, then
6
 Seminar on Kolkata East-West Metro.
Figure: 10 Plant view tunnels and Colvin Court
The tunnels crossed below the building at a
depth of 14.5 meters, inside the Unit 2 layer.
For the impact assessment 1.5% of volume loss
was considered and a maximum of 30
millimetres settlements was expected with a
negligible damage in the building. However the
TBMs were in the “learning curve” at that
moment, during that initial situation the TBM
parameters are not yet adjust in the optimum
way. The final maximum settlement recorded
was 70 millimetres, around 3.5% of volume
loss. The damages on the building were under
slight category in the end, some cracks, less
than 5 millimetres thick, were reported.
Bankim Setu Bridge
This is a RCC bridge which crosses the
Buckland road over the train tracks, and it is
founded on 25 meters long piles.
Picture: 2 Bankim Setu Bridge
The tunnels cross below the bridge at 24
meters below the ground level and the nearest
pile to the tunnels is at 3.83 meters of horizontal
distance. The tunnels are in the Unit 3A, the
stiff clay with SPT around 30, E modulus
around 50 Mpa and 250Kpa of undrained shear
strength.
7
Figure: 11 Position of tunnels with respect Bankim
Setu Bridge piles.
To assess the impact of the tunnels on the
structure a FEM model was done using Plaxis
2D. The results on the model predicted a single
pile maximum settlement of 15 millimetres,
while the actual settlement after the tunnels
crossed the area was 5 millimetres maximum.
That shows the, already discussed, limitations
of the FEM software to simulate properly the
interaction between pile and ground, not being
possible to simulate the detaching of the ground
from the pile structure in the negative friction
length. At this stage TBMs were running
smoothly, after the learning period, and
settlements on the ground were showing
volume losses less than 1.5%. No damage was
reported on the referred bridge. However as
precaution the bridge was closed to the traffic
during the period of time the TBMs were mining
beneath.
DRM Building
This is a G+2 building, structure, which is
formed by load bearing external brick masonry
walls with steel column inside the building
supporting steel beams and floor slabs, the
foundation consists on a continuous shallow
foundation. The building is mainly occupied by
GRPF police station at ground floor level and
DRM office at first and second floor level.
Figure: 12 Plan view of DRM building respect
tunnels.
 Seminar on Kolkata East-West Metro.

The tunnels depth along the building varies simply supported made up of composite
from 27 to 30 meters and the layer in which the structure, steel and concrete.
tunnels mined is Unit 3A, stiff clay with SPT
values up to 50.

Figure: 14 Plan view of Brabourne Road Flyover

Picture: 3 DRM Building view
GC did the impact assessment of this
structure, predicting total ground settlements of
around 30 millimetres and damage on the
building in the very slight category.
respect tunnels.
The effect of tunnelling on the pile
foundations has been simulated with 2D finite
element modelling approaches. The analysis
was carried out for different sections under
Brabourne flyover to assess the settlements on
the flyover piles. The ground parameters at this
point belong to very stiff clay with SPT values
up to 70.

Figure: 13 Settlements prediction below DRM

building.
Even though predicted settlements were a
bit high, the position of the tunnels were
favourable, the differential settlements suffered
by the building were around 3.5 millimetres.
Because of operational constrains this
building could not be evacuated during the
mining process, however preventive measures
were implemented like horizontal nets to
prevent any spalls from falling down. The TBMs
Figure: 15 Brabourne Road Flyover cross section
crossed the building registering settlements as
From the analysis it was observed that the
predicted and no major damages on the
maximum settlement in the pile is equivalent to
building were reported.
the maximum settlements in the ground which
Brabourne Road Flyover
was predicted to be 20 mm.
This flyover is located along the tunnel
alignment after Hoogly River. The tunnels pass
beneath 6 piers of the road flyover. The ground
layer crossed is stiff clay, Unit 3A, in this
section. The crown of the tunnel at this location
varies from 30 to 32 meters deep. Clear
spacing between the pile bottom and tunnel
crown varies from 7.5 meters to 9 meters. The
superstructure of Brabourne Flyover Bridge is
8
 Seminar on Kolkata East-West Metro.
Figure: 16 FEM analyses for piles settlement
However after the TBMs crossed below the
flyover, a maximum of 10 mm settlement was
observed during real time ground monitoring.
The software predicted higher values of
settlements in the piles as it does not allow the
piles to detach from the soil. This results in the
movement of piles together with the mesh
resulting in higher settlements.
The TBMs crossed the bridge without any
damages reported. However as precaution the
bridge was cut to the traffic during mining.
Dilapidated buildings along Raja
Woodmount St.
There are some buildings nearby Brabourne
Road Flyover which were a concern during
mining beneath them because of the poor
condition of them. The structure of those
buildings was in a quite bad state being the
buildings a risk itself before the tunnels crossed
below them.
Figure: 17 Plan view of Dilapidated buildings
along Raja Woodmount St.
Also the ground layer crossed was stiff clay,
Unit 3A, in this section. The crown of the tunnel
at this location varies from 30 to 32 meters
deep.
The previous assessments of these buildings
showed maximum settlements of 20
millimetres, with 1.5% volume loss, and an
impact category of negligible. However because
of the poor condition of the building evacuating
them during the mining process was considered
as a protective measure.
The actual settlements recorded after the
TBMs crossed was up to 7 millimetres, and no
damage on the buildings, beyond the ones they
already had before the TBMs, was reported.
That means a volume loss around 0.7%, and it
can be back calculated an E modulus of around
90 Mpa. that gives an idea about the stiffness of
the clay in that stretch.
9
Picture: 4 Dilapidated buildings along Raja
Woodmount St. view
Writers Building and St. Andrews Church
At the time of writing this paper there is still a
challenge pending in the project, and this is
crossing the heritage buildings; Writers and St.
Andrews Church.
Writers building is an edifice with a great
political significant and memories of Indian
Independence Movement. Both buildings are
founded with shallow foundations 1.5 to 2.0
meters deep.
The twin tunnels will pass beneath the
buildings edges at a depth of 17 meters from
the ground surface before entering in New
Mahakaran Station.
Figure: 18 Plan view of Writers and St. Andrews
Church with respect to the tunnels.
At this location the TBMs will be mining
partially in Unit 3A, 3B and Unit 2 on the tunnel
crown. The SPT values are ranging from 10 in
the Unit 2 up to 30 in Unit 3A.
The contractor has prepared a FEM using
Plaxis 2D to assess the expected settlements in
Writers Building, from this model they have
obtained a maximum settlement of around 22
millimetres on the ground surface. With those
settlements they have performed an impact
assessment obtaining a maximum tensile stress
of 0.114% falling the building under the slight
category of damage. That means that non-
 Seminar on Kolkata East-West Metro.
structural cracks on the building are expected,
being any possible damage easily repair
afterwards.
Figure: 19 Writers Building FEM settlements
assessment.
7 PRE-EMPTIVE AND MIITGATION
MEASSURES
During mining below all the critical buildings
and structures some pre-emptive and mitigation
measures were put in place to minimize the
settlements and the consequences of those in
the structures.
Summarized of these measures is presented
below:
1. Reducing time; it was quickly learnt the
time dependant behaviour of the clay,
finding that reducing the gap of time
between excavating a ring and placing
the lining the settlements were also
reduced. That happened especially in the
unit 2.
2. According with previous point, stoppages
of TBM should be avoided in the vicinity
of any sensitive structure.
3. TBM parameters has to be control in a
very close manner, face pressure, volume
of material excavated and volume and
pressure of grout injected in the annular
gap are directly related with the
settlements on the ground surface.
4. Propping in buildings, this measure
consist on place some propping in
arches, windows, big structural spans,
near pillars,… the main objective of these
is to make the building more rigid as
structure not following the ground
settlements and reducing the cracking.
This measure is complemented with the
next one.
5. Peripheral surface grouting along the
buildings, this measure will aim to fill any
gap which can exist or create during/after
mining in between the ground and the
buildings foundation. It consists on
10
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injecting a low pressure grout, 1 to 2 bars
with a cement water ratio of 0.5 in weight.
This measure was applied in all the
critical buildings showing good results.
Figure: 20 Peripheral grouting scheme.
6. Buildings evacuation and bridges traffic
cut; whenever was possible all the critical
buildings crossed by the TBMs were
evacuating while the machines were
mining and all the bridges were cut to the
traffic.
7. Continuous monitoring of ground and
structures movements during mining; that
was done during the whole mining
process and in almost real time for the
most critical structures.
8 REFERENCES
Ref 1. Burland J.B., Standing J.R. and Jardine
F.M. (eds): Building response to tunneling.
Case studies from the Jubilee Line Extension,
London.
Ref 2. Boscardin, M.D. and Cording E.G.
(1989): Building Response to Excavation
Induced Settlement.
Ref 3. Poulos, H.G. and Deng, W. (2004). An
Investigation on Tunnelling-Induced
Reduction of Pile Geotechnical Capacity.
Ref 4. Kirsch G. Die theorie der elastizitat und
die bedurfnisse der festigkeitslehre. Veit Ver
Deut Ing 1898; 42: 797-807.