Specifying The Real Value of Volume Loss (VL) and Its Effect

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Bull Eng Geol Environ (2016) 75:485–501

DOI 10.1007/s10064-015-0788-8

ORIGINAL PAPER

Specifying the real value of volume loss (VL) and its effect
on ground settlement due to excavation of Abuzar tunnel, Tehran
Mohammad Reza Baghban Golpasand1 • Mohammad Reza Nikudel1 •

Ali Uromeihy1

Received: 11 November 2014 / Accepted: 29 April 2015 / Published online: 24 September 2015
 Springer-Verlag Berlin Heidelberg 2015

Abstract Volume loss (VL) is one of the most important specified as the real value of volume loss, which occurred
geological and geotechnical features of ground settlement during Abuzar tunnel excavation.
due to tunneling. This parameter is mostly influenced by
engineering geological properties of the tunnel route. Pre- Keywords Volume loss  Tehran alluvia  Abuzar tunnel 
ceding studies about this parameter have led to suggesting Monitoring data  Ground settlement due to tunneling 
approximate ranges of values that are specified based on FLAC 3D
engineering geological characteristics of the tunnel route
and assigned for VL in semi-empirical methods. According
to those studies, a wide range of quantities are assigned for Introduction
volume loss, and considering other related factors, the
evaluated corresponding ground settlements also have a The construction of new transport and utility infrastruc-
wide range; then it is necessary to specify a definite tures in urban environments frequently involves the exca-
quantity for VL. In the present study, this parameter has vation of shallow tunnels in soft ground. Tunnel
been evaluated using several methods including the semi- construction, however, particularly in such conditions, can
empirical method, numerical method, and real values cause ground movements and has the potential to damage
obtained via performing back analysis on real settlements. existing buildings and other structures.
The real values of VL were determined based on the field- Many surface and sub-surface structures make under-
measured settlements, obtained using instrumentation and ground construction works very delicate due to the influence
monitoring methods, and performing back analysis of ground deformation, which should be controlled to
according to other required parameters. In the next stage, acceptable levels. Independent of the excavation method, the
the obtained results have been compared, and finally the surface and sub-surface ground deformations should be pre-
real value of VL has been specified. According to the dicted, and remedial precautions against any damage to the
numerical modeling performed using FLAC 3D code, the existing structures should be planned prior to construction.
resulting values for VL were 0.55–0.64 %. Measured Ground settlement due to tunneling has been continually
maximum settlements of ground (Smax), induced by Abuzar studied by several researchers. Most of these studies are
tunnel excavation, were on average 8–12 mm, thus the based on the seminal work of Peck (1969), who analyzed
corresponding volume loss was calculated as about several case studies and illustrated that the transverse
0.34–0.62 %. Finally, considering the other factors affect- profile of these surface settlements can be described by a
ing the volume loss, the value of VL = 0.5 ± 1 % was Gaussian curve. This topic has also attracted many
researchers in the last 40 years, and many notable review
papers have been published (e.g., Cording and Hansmire
& Mohammad Reza Nikudel 1975; Mair 1996; Mair and Taylor 1997; Attewell et al.
nikudelm@modares.ac.ir; nikudelm@yahoo.com
1986; Rankin 1988; Franzius 2003; Leca and New 2007;
1
Department of Engineering Geology, Tarbiat Modares Guglielmetti et al. 2008; Palmer and Mair 2011; Marshall
University, PO Box 14115-175, Tehran, Iran et al. 2012; Chakeri et al. 2013).

123
486 M. R. B. Golpasand et al.

Leca and New (2007) pointed out that the engineering and New (1982) proposed a linear relationship between i
geological characteristics of soil, including its geological, and z0, and suggested the simple historical relationship
hydro-geological, and geotechnical conditions, in addition between these two parameters:
to tunnel geometry and depth, excavation methods, and the i ¼ kz0 ð2Þ
quality of workmanship and management, are the basic
parameters affecting the ground deformations due to where k as the trough width parameter is believed to be
tunneling. largely independent of the construction method and is
Tunnel construction method is dependent firstly on the estimated based on the engineering geological properties of
ground conditions (geological, geotechnical, and hydroge- soil.
ological characteristics) and secondly on operational Mair and Taylor (1997) summarized a wide range of
parameters such as time and cost constraints and con- field data and suggested that 0.4 \ k \ 0.6 for clays and
struction requirements. Tunnels in soft ground (sands and 0.25 \ k \ 0.45 for sands and gravels are rational values.
clays) often are excavated using TBM-EPB to prevent the Considering the cohesion of soil, Guglielmetti et al. (2008)
unexpected ground settlement. Moreover, application of proposed that k = 0.5 for cohesive materials with c [ 0
pressurized face tunneling techniques have had an efficient and k = 0.3 for cohesionless materials with c = 0.
consequence in poor soil conditions in recent years (Gol-
pasand et al. 2013).
Maximum ground settlement

Settlement analysis Several empirical methods have been suggested for the
prediction of the maximum surface settlement (Smax). A
Semi empirical predictions for maximum settlement have simple and very applicable method to calculate Smax has
been performed using the Gaussian curve approach, which been proposed by O’Reilly and New (1982):
is a classical and conventional method (Peck 1969). The 
Smax ¼ 0:313VL D2 =i ð3Þ
settlement parameters used in semi-empirical estimations
and notations are presented in Fig. 1. where, D is the diameter of the tunnel, and VL is the vol-
The theoretical settlement (Gaussian) curve is presented ume loss. i has been defined previously. In the present
by the following equation: study, this equation will be used to evaluate Smax .
S ¼ Sv;max expðx2 =2i2 Þ ð1Þ
where S is ground surface settlement at selected point Volume loss (VL)
(mm); Sv, max is the maximum ground surface settlement
above tunnel center line (Tunnel CL); x is the cross-sec- All sub-surface excavations give rise to ground movement
tional distance from the selected point to the center line of inward to the tunnel. Thus, it will always be necessary to
the tunnel (in meters), and i is the transverse distance remove a larger volume of soil than the volume of the
between the center line of the tunnel and the point of finished void. The ratio of this extra volume of excavated
inflection in meters (Hasanpour et al. 2012). Since that i soil (DV) over the volume of finished void (At) per unit
has been considered through x direction, it has been length is termed the ‘‘volume loss’’ (VL).
marked with the ix symbol in Fig. 1. Several equations DV
have been proposed to calculate this parameter. O’Reilly VL ¼  100 ð4Þ
At

Fig. 1 Transverse aspect of ground settlement due to tunneling

123
Specifying the real value of volume loss (VL) and its effect on ground settlement due to… 487

This parameter stems from the relaxation and the con- VL ¼ VFace þ VShield þ VTail ð8Þ
vergence of the soil around TBM inward the tunnel as
where: VFace , VShield and VTail are the face loss, shield loss,
illustrated in Fig. 2. The volume loss causes the settlement
and tail loss, respectively. Physical concept and the posi-
trough at the surface and in undrained conditions; the
tion of the volume loss components are shown in Fig. 3.
volume of this settlement trough (Vs) is equal to (DV) in
Lanathan proposed analytical methods to determine the
unit length:
amount of each of the components of volume loss. The
Vs ¼ DV ð5Þ methods are associated with the empirical parameters that
Then, considering Eqs. (4) and (5), the volume loss may are obtainable using some geotechnical properties of soil
be expressed as: and geometrical dimensions of the shield. It should be
noted that some of these parameters are dependent on the
VS
VL ¼  100 ð6Þ empirical values and are associated with high uncertainty.
At
Therefore, the use of this method has been limited in any
or situations so another solution should be selected to specify
Vs the real value of volume loss.
VL ¼ ð7Þ Measured (real) settlements of ground due to tunneling
pD2 =4
could be used to achieve the goal. These settlements are
Preceding studies indicates that the value of VL depends reliable and applicable data can be used to determine the
mainly on the geological and geotechnical characteristics value of volume loss really taken place through tunnel
of the soil as well as the method of excavation. Many excavation. In present study, measured settlements derived
studies have been done around this issue, and several val- from Abuzar tunnel (east of Tehran) have been used to
ues (or ranges) have been proposed for it based on soil specify the real value of volume loss. For this purpose, the
types. Some of these studies are presented in Table 1. ground settlements are firstly evaluated using semi-empiri-
As shown in this table, based on the geological and cal and numerical methods. In the next stage, the evaluated
geotechnical characteristics of soil and the method of settlements are compared to the measured settlements in
tunnel excavation, VL can be variable between 0.2 and 2 %. order to achieve the real value of volume loss that occurred in
According to the importance of variation of volume loss the route of Abuzar tunnel located on Tehran’s recent alluvia.
(VL) on the prediction of ground settlement due to tun- Performing this method on Tehran’s recent alluvia to eval-
neling and high dependence of maximum ground settle- uate the real value of VL can be considered an innovation of
ment (Smax) on this parameter, it is necessary to evaluate this study. In previous studies on ground settlement due to
this parameter exactly. tunneling in Tehran’s recent alluvia, the approximate values
Loganathan (2011) stated that volume loss in mecha- of VL have been estimated according to the recommenda-
nized tunneling has three main components, including face tions of researchers. Based on the estimated VLs, relatively
loss, shield loss, and tail loss. The total volume loss is high values of settlements have been resulted in semi-em-
obtainable through the following equation. pirical method (e.g., Hosseini et al. 2012). As will be noted in
the present study, the real values of VL that occurred in
Ground Surface Tehran’s recent alluvia due to excavation of Abuzar tunnel
VS are less than the estimated values of VL.
The results of this study can be used in other tunneling
projects. Many urban tunnels, such as metro, transporta-
Settlement Trough tion, and water conveyance tunnels, have been studied or
Excavation Line are being constructed on the Tehran Plain. Given the
similarities between geotechnical properties of the host
V materials of the adjacent projects, the results of this study
can be used in those projects.
At

Projects description

The Abuzar water conveyance tunnel, with a length of


approximately 4000 m, has been drilled (mechanized
Fig. 2 Inward displacement of the ground around the tunnel due to
excavation using EPB-TBM machine) in south-east Teh-
stress relief ran. The tunnel is circular shaped, and its outer and inner

123
488 M. R. B. Golpasand et al.

Table 1 Proposed values of VL (%)


References Excavation method Soil type Proposed VL (%)

O’Reilly and New EPB/slurry TBM Dense sand 0.2–1


(1982) Soft clay 1–2
Very sandy clay 0.5–1
Leblais and Bochon EPB TBM for 9.25 m diameter tunnels Dense, fine sands at depths ranging from 22 0.2–0.9
(1991) to 52 m
Dense, fine sands, tunnel crown being only 0.8–1.3
4.1–7.2 m below the ground surface
Mair (1996) Open-face tunneling Stiff clays, (London clay) 1–2
Closed-face tunneling earth pressure Soft clays 1–2
balance/slurry shields Sands 0.5
Ata (1996) Slurry shields Medium-to-dense sands below the water 0.2–1
table
Sugiyama et al. (1999) Slurry TBM, for 5.85 m diameter tunnels Sandy soil with low cohesion 0.85
Mostly cohesive soil 0.45–0.78
Guglielmetti et al. EPB/slurry TBM Sands (c = 0) 1
(2008) Clays (c [ 0) 0.8
Loganathan (2011) EPB/shield tunneling Clay 1.15
Toan (2012) Closed face tunneling (EPB or slurry shields) Sand \0.5
Soft clay 1–2
McCabe et al. (2012) EPB/slurry TBM Glacial tills such as DBCa 0.21–1.66
Zhang et al. (2013) EPB/shield tunneling Sandy cobble ground 0.78–0.96
Gui and Chen (2013) Double-O-Tube (DOT) shield tunneling (twin Silty clay (ML & CL) 0.71
tunnels) Silty Clayey sand (SM & CL) 1.05–1.82
a
Well-graded, stiff glacial outwash till containing about 35 % fines (particles smaller than 0.06 mm), large stone boulders, and lenses of sand or
gravel

Fig. 3 Various ground loss


components (Loganathan 2011)

diameters are 4.200 and 3.700 m, respectively. In this developed in the Tehran desert. This quaternary overbur-
study, part of the tunnel from chainage 0?100 to chainage den typically consists of alluvial deposits with an extensive
0?500 has been considered because of the low thickness of range of grain sizes from cohesive fine-grained (clayey and
tunnel overburden in this part and availability of instru- silty clay) to cohesionless coarse-grained (sand or gravel)
mentation and monitoring data of the ground settlement materials.
induced by Abuzar tunnel excavation. Rieben (1966) identified the Tehran alluvia into four
categories, based on geological factors as A, B, C, and D
alluvia. The A alluvia is the oldest, and D alluvia is the
Geological setting youngest of them. Geological properties of Abuzar tunnel
in southeast Tehran is shown in Fig. 4. Simple descriptions
The Tehran metropolitan area has developed on neogene of the engineering geological characteristics of the men-
and quaternary sediments originating from adjacent hills tioned four groups of alluvia are presented in Table 2.
and mountains. Geological findings confirm that the qua- According to Fig. 4 and Table 2, it is found that Abuzar
ternary and Pliocene alluvia and moraine deposits have tunnel is located in the D alluvia. It is worth noting that due

123
Specifying the real value of volume loss (VL) and its effect on ground settlement due to… 489

Fig. 4 Geological properties of Abuzar tunnel route (JICA 2000)

to the proximity of the tunnel to the eastern mountains of engineering tests were also carried out on collected field
Tehran and low thickness of the alluvial layers, it is prob- samples. Performing some in situ experiments have been
able that the tunnel route would encounter the C alluvia. shown in Fig. 5. The results of some laboratory and in situ
Engineering geological studies on the Tehran alluvia tests are presented in Table 3.
have shown that grain size and shape, sedimentary age,
cementation, grain contact type, faults, fractures, and
weathering affect the geotechnical properties of these Soil classification
materials (Cheshomi et al. 2009). Asghari et al. (2003) and
Fakher et al. (2007) discussed the effects of these factors. The results of geotechnical studies were used to classify
Engineering behavior of each of these alluvia categories the soils in the Abuzar tunnel route. Based on the rec-
is mainly dependent on the engineering geological char- ommendations of the ITA (2000) and DAUB (1997), fine
acteristics of them so specification of these characteristics grain content is the main factor for soil classification in
is necessary. Based on these requirements, subsurface mechanized tunneling. In this study, according to the
exploratory investigations have been done to specify their grain size distributions (content of fine and coarse parti-
geotechnical parameters. cles) and other geotechnical parameters, soils were clas-
sified into three engineering geological types (soil types)
that are described in Table 4. The weak and unnatural soil
Geotechnical studies layer of FILL on top of the tunnel must also be consid-
ered. The graphs of particle size distributions of the
Because of the importance of the project and the high risk identified soil types are shown in Figs. 6, 7, and 8. As
to the existing buildings and other municipal utilities, seen in this figure, Since the Abuzar tunnel was excavated
adequate geotechnical exploratory practice was conducted using TBM-EPB, the particle size distribution graphs of
before tunnel construction. These studies include site soil groups is superimposed on Thewes (2007) charts to
investigations (borehole and test-pits drilling), in situ tests, identify the method and necessities of soil conditioning
and laboratory geotechnical practices (physical and during mechanized excavation of the tunnel. As will be
mechanical tests). noted later, the vast majority of Abuzar tunnel is located
Extensive in situ tests were performed during the field in ET-2 and ET-3 groups that fall in parts IV and V in
investigations to evaluate shear strength parameters and Thewes charts; then the foam is mostly necessary for soil
deformability modulus of host soil. Laboratory index and conditioning. Thewes classification and his

123
490 M. R. B. Golpasand et al.

Table 2 Comparison of Tehran alluvia based on the Rieben (1966) classification (after Cheshomi et al. 2009)
Characteristic Alluvium
A B C D

Age 5 Ma 700 ka 50 ka 10 ka
Lithology Homogeneous Heterogeneous conglomerate Alluvial fan Recent alluvial
conglomerate
Cementation Strongly cemented Variable, but usually weekly cemented Moderately cemented Non-cemented
Grain size Clay to 100–250 mm Very variable up to several metres Clay to 100–200 mm Clay up to several
metres
Dip of layer () 0–90 0–15 0 0
Thickness Maximum 1200 m Maximum 60 m (thickness decreases Maximum 60 m \10 m
toward south)
Sedimentary Fluvial Fluvioglacial and periglacial Fluvial Fluvial
environment
Other name (local Hezardareh alluvial North Tehran heterogeneous alluvial Tehran alluvial Recent alluvial
name) formation formation formation

Fig. 5 Performing in situ tests


for the Abuzar project. Plate
load test, in situ shear test

Plate Load Test In situ Shear test

Table 3 Results of laboratory


Chainage (m) Level (m) In situ test Laboratory tests
and in situ test (SCE 2011)
In situ shear test Plate load test Direct shear test Triaxial test
c (kPa) u () E(MPa) c (kPa) u () c (kPa) u ()

0 1–3 20 33
245 6–8 40 22 40 30 25
500 2–4 19 35
0 1–3 75 10 22
245 1–3 50 17 15
500 1–3 16 18
500 8–10 45 28 20 20 20
0 3–5 8 28
0 3–5 16 18
245 3–5 12 30
500 3–5 15 30

123
Specifying the real value of volume loss (VL) and its effect on ground settlement due to… 491

Table 4 Properties of the engineering geological types (SCE 2011)


Engineering Fill ET-1 ET-2 ET-3
geological
types

Description Very soft sandy CLAY Clayey Silty clayey SAND with gravel & rarely Clayey SILT, silty CLAY with sand
or SILT (filled soil) GRAVEL sandy CLAY (or SILT) with gravel & very sandy CLAY (or SILT)
with SAND
Passing 200 Various 12–30 % 30–60 % [60 %
Soil type – GC, GM, GM- SC, SM & CL CL, ML & CL-ML (rarely CH)
(USCS) GC, GW

ET-1 Table 5 Recommendations for soil conditioning (Thewes 2007)


100
90 Group Conditioning necessities
80
70 I Not suitable for EPB tunneling
Passing (%)

60
II Foam ? Polymers ? Fines, no water pressure
50
Mean
40 III Foam ? Polymers, water pressure \2 bar
30 Cu=122
Cc=1.22
IV Foam
20
10
V Water for consistency, foam for stickiness
0
0.001 0.01 0.1 1 10 100
Grain Size (mm)
Table 6 Gradation properties of soil types
Fig. 6 Graphs of particle size distributions of ET-1
Soil types ET-1 ET-2 ET-3

ET-2 D10 (mm) 0.018 0.0035 0.0022


100
90 D30 (mm) 0.22 0.018 0.007
80
D50 (mm) 1.2 0.1 0.02
70
Passing (%)

60 D60 (mm) 2.2 0.22 0.03


50 Coefficient of uniformity (Cu) 122.22 62.85 13.63
40
Mean Coefficient of curvature (Cc) 1.22 0.42 0.74
30
20 Cu=62
10 Cc=0.42
0 Based on the boreholes and test-pits information and the
0.001 0.01 0.1 1 10 100
Grain Size (mm) results of the geotechnical studies, also considering the
classification of soils in the tunnel route, the engineering
Fig. 7 Graphs of particle size distributions of ET-2 geological profile of the Abuzar tunnel route is designated
and illustrated in Fig. 9. According to this figure, Abuzar
ET-3
tunnel has been driven mainly into ET-2 and ET-3 soil
100
types; then it can be said that the tunnel face and over-
90
80 burden are made up of over 30 % fine grain materials. It is
70 also seen that the groundwater level is lower than the
Passing (%)

60
50
tunnel route. In other words, excavation of Abuzar tunnel
40 has been conducted in a dry and unsaturated zone.
30 Mean
Physical and mechanical properties of the engineering
20 Cu=13.6
10 Cc=0.74 geological types are presented in Table 7. The data in this
0 table have been edited and refined according to the pre-
0.001 0.01 0.1 1 10 100
Grain Size (mm) ceding studies and the information derived from adjacent
boreholes and test-pits. According to the results of
Fig. 8 Graphs of particle size distributions of ET-3
geotechnical studies and the engineering geological profile
of tunnel route, it can be said that physical and mechanical
recommendations for soil conditioning are presented in properties of soils in the tunnel route are relatively the
Table 5. The gradation parameters of the soil types are same and significant changes in geotechnical properties of
presented in Table 6. soil through Abuzar tunnel are not seen.

123
492 M. R. B. Golpasand et al.

Fig. 9 Engineering geological section of study area (SCE 2011)

Table 7 Geotechnical parameters of the engineering geological types (SCE 2011)


Unit Cohesion (kPa) Angle of internal friction () Young’s modulus (MPa) Poisson’s ratio Density (kg/m3)

Fill 8 20 15 0.35 1700


ET-1 15 35 65 0.3 1900
ET-2 20 30 40 0.32 1800
ET-3 30 25 25 0.35 1800

Ground settlement due to Abuzar tunnel relatively different values suggested for this parameter
excavation were presented in Table 1. According to the engineering
geological characteristics of the materials in the Abuzar
To evaluate the ground settlement induced by Abuzar tun- tunnel route, a wide range of values can be assigned to VL,
nel excavation using the semi-empirical method, the pro- consequently, varied corresponding maximum ground set-
cedures introduced by Peck (1969) and O’Reilly and New tlements (Smax) can be obtained based on the estimated
(1982) were used. Three hypothetical points with various values of VL. Given Eq. (3) and the studies of Ercelebi
depths on the tunnel route were selected for the settlement et al. (2011), there is a simple linear relationship between
evaluation, and the required parameters were determined the two parameters of VL and Smax. Figure 10 shows the
based on geological and geotechnical characteristics of the linear variation of Smax against VL for various z0 in the
soil. According to Guglielmetti et al. (2008) and O’Reilly Abuzar tunnel route. The settlement toughs in various
and New (1982), and considering the engineering geologi- values of VL and z0 have been shown in Figs. 11, 12, and
cal section of the tunnel route, the following values were 13.
selected to evaluate the ground displacement: As shown in Fig. 10, the maximum ground settlements
(Smax) vary between around 4 to 55 mm. These resultant
k ¼ 0:43
values are assumed to be the predicted maximum ground
z0 ¼ 5:0; 6:0 and 7:0 m settlement.
D ¼ 4:35 m According to main aim of this study, the predicted
maximum ground settlement must be compared with the
To evaluate exactly the ground displacement, it is neces- results of numerical methods and the real (measured) set-
sary to specify a deterministic value of VL. Several and tlements to specify the real value of VL.

123
Specifying the real value of volume loss (VL) and its effect on ground settlement due to… 493

variaon of maximum ground selement the finite difference method, was used for modeling. It was
60
assumed that the soil layers are homogeneous and iso-
50
tropic. A model was constructed based on the recommen-
40 dations of Lambrughi et al. (2012) and Dias and Kastner
Smax (mm)

30 (2013). Geometrical characteristics of the model are shown


20 z0=5m in Fig. 14. Because of symmetry conditions (geometry and
Z0=6m loading), only half of the tunnel has been modeled.
10 Z0=7m
This model is made up of 18,600 zones and 20,418 grid
0
0 0.5 1 1.5 2 points and has been fixed by appropriate boundaries along
VL (%) the x, y, and z directions to prevent of any movement,
whereas the upper surface in the z direction is free to move.
Fig. 10 Linear variation of Smax against to the VL with various Z0
In addition, the bottom boundary in the z direction has been
fixed too. Boundary conditions of the model are indicated
Numerical method in Fig. 15.
Excavation and advancing of TBM were simulated with
Numerical modeling is one of the most useful and current respect to the actual processes that take place during the
methods used to evaluate the ground settlement induced by tunnel construction. The mechanized tunneling is a
shallow tunneling. In this study, FLAC 3D (Fast Lagrange sequential process, thus all of its sequences have been
Analysis of Continua in 3-Dimensions), which is based on considered during numerical modeling. The excavation

Fig. 11 Variation of predicted Distance from Center Line (m)


values of Smax against VL in 0.0
Abuzar project (Z0 = 5 m) -10 -5 0 5 10

-10.0 VL=0.2
VL=0.4
VL=0.6
-20.0
VL=0.8
VL=1
-30.0
VL=1.2
Z0=5 m
VL=1.4
-40.0
VL=1.6
VL=1.8
-50.0 VL=2

Selement (mm)
-60.0

Fig. 12 Variation of predicted Distance from Center Line (m)


values of Smax against VL in 0.0
Abuzar project (Z0 = 6 m) -10 -5 0 5 10

-10.0 VL=0.2
VL=0.4
VL=0.6
-20.0
VL=0.8
VL=1
-30.0
VL=1.2
Z0=6 m
VL=1.4
-40.0
VL=1.6
VL=1.8
-50.0 VL=2

Selement (mm)
-60.0

123
494 M. R. B. Golpasand et al.

Fig. 13 Variation of predicted Distance from Center Line (m)


values of Smax against VL in 0.0
Abuzar project (Z0 = 7 m) -10 -5 0 5 10

-10.0 VL=0.2
VL=0.4
VL=0.6
-20.0
VL=0.8
VL=1
-30.0
VL=1.2
Z0=7 m VL=1.4
-40.0
VL=1.6
VL=1.8
-50.0 VL=2

Selement (mm)
-60.0

• Repeating the above steps.


In this study, according to the technical data obtained
from the Abuzar tunnel project, the required input infor-
mation was prepared, and construction and solving of the
model was performed accordingly. Technical parameters of
EPB, lining rings, and injection grout are as follows:
The presence of the shield has been simulated for a
longitudinal extension of 9 m, and the distance between
front-shield and segment was considered to be equal to
7.5 m. Its interaction with the soil is modeled by interface
elements that represent planes along which sliding or
separation can occur. The tunnel lining (segment) was set
at 9 m from the tunnel face. It consists of concrete pre-
Fig. 14 Geometric dimensions of the constructed numerical model fabricated lining rings with an outer diameter of 4.20 m
and a length of 1.5 m. For such a segment, one can adopt
curved shell elements to simulate its action. Technical
sequences, which were integrated into the model, are
properties of the shield and segment elements are presented
explained below:
in Table 8. Geotechnical properties of soil layers, used for
• Excavation of the tunnel equal to the length of segment construction of the model, were presented previously in
(1.5 m) having diameter of 4.352 m; Table 7.
• Generation of EPB machine elements for new excava- The grouting pressure was modeled as a linearly varied
tion length of the tunnel; normal stress applied to the excavation wall 1.5 m in
• Application of the face pressure on the new excavation length (length of a segmental ring) behind the shield. Value
face of the tunnel; of grouting pressure was selected according to the site
• Allowing for relaxation and movement (convergence) information. Given the low thickness of overburden in the
of the soil, equal to the gap between the outer diameter studied area, the pressure of the grouting was applied equal
of shield and the inner diameter of the tunnel; to 65 kPa. Vertical stress was applied corresponding to
• Application of the grout pressure on the converged gravitational loading, and the ratio of horizontal to vertical
section of the tunnel; stress was considered at the rest of pressure coefficient
• Generation of lining ring elements performed after 9 m (k0 = 1-sin u). Soil layers were modeled by an elastic-
excavation of the tunnel; perfectly plastic constitutive model based on Mohr–Cou-
• Solving the model to reach the unbalanced forces to lomb failure criterion. The constitutional equation of
10E-5; Mohr–Coulomb failure criterion is given following:

123
Specifying the real value of volume loss (VL) and its effect on ground settlement due to… 495

Fig. 15 Boundary conditions of


constructed model

Table 8 Technical properties


Thickness (m) Young’s modulus (GPa) Poisson’s ratio Density (Kg/m3)
of the shield and segment
Segment 0.25 18.0 0.25 2500
Shield 0.35 200 0.20 7800

sf ¼ c þ rn tanðuÞ ð9Þ Location of the selected points and their maximum z-dis-
placements are shown in Figs. 17 and 18, respectively. The
where sf and rn are the shear strength and total vertical trough of the settlement was created using the results of
stresses that have been related together using the soil shear numerical modelling (ground settlements in the transverse
strength parameters, cohesion (c), and friction angle (u). section shown in Figs. 17 and 18), and is shown in Fig. 19.
Deformability characteristics of materials are expressed in
terms of the following equations:
E Instrumentation and monitoring of the ground
K¼ ð10Þ
3ð1  2#Þ settlement
E
G¼ ð11Þ Tunneling in urban areas causes ground settlement that
2ð1 þ #Þ
leads to displacement and deformation in buildings and
where K and G are the elastic constants including bulk pipelines. Because of the high sensitivity of the existing
modulus and the shear modulus of soil, respectively, rela- structures along the tunnel route, advanced instrumentation
ted to the soil elasticity characteristics, Young’s modulus and precise monitoring systems are necessary. The objec-
(E), and Poisson’s ratio, (t). The elastic constants, K and G, tives for instrumentation during tunnel excavation will
are used in FLAC3D rather than Young’s modulus and change depending on the size and type of construction,
Poisson’s ratio because it is believed that bulk and shear geotechnical conditions, and the project schedule (Ghor-
moduli correspond to more fundamental aspects of material bani et al. 2012). In the present research, maximum
behavior than do Young’s modulus and Poisson’s ratio Greenfield settlement of the ground (Smax) occurring due to
(Itasca 2006). To model the weight of over-ground neigh- Abuzar tunnel excavation, was measured using leveling
boring structures, 20 kPa uniform pressures were applied and instrumentation methods. For this purpose, several
on the upper surface of the model. benchmarks, called LPS, were selected on the natural
The balanced condition was obtained at the end of each ground surface along the tunnel centerline and levelling
excavation stage, and the specified displacements were devices were installed on these benchmarks. Installation of
taken over the whole model. The results of numerical benchmarks and leveling of the point were implemented
modelling are presented in Figs. 16, 17, and 18. As shown with respect to the principals recommended by Dunnicliff
in Fig. 16, maximum z-displacement on the ground surface (1993). Locations of the leveling points are shown in
(Smax) is between 8 and 10 mm. To evaluate exactly the Fig. 20. Measurement of the displacements of the points
displacement of ground surface in the transverse section, was started before the passing of TBM from the point and
six points were selected in the ground surface areas of the continued until the level of the points reached a constant
model, and z-displacements of these points were recorded. value, so the maximum settlement of the points (Smax) was

123
496 M. R. B. Golpasand et al.

Fig. 16 Contours of
z-displacements in the end of
tunnel excavation (units in
meters)

Fig. 17 Location of selected


points

recorded. The values of maximum settlement of leveling Table 9. These quantities have been calculated using
points and corresponding actual VL in each of points are measured settlements induced by Abuzar tunnel excavation
presented in Table 9. and solving Eq. (3), considering the linear relationship
between Smax and VL. In this process, the trough width
parameter (k) was assumed: k = 0.43.
Discussion on real VL It is seen that the real volume losses that have occurred in
the surrounding soil are between 0.36 and 0.62 %. This
As seen in Table 9, the maximum settlements of the points means that for ground displacement equal to 8–12 mm due to
(Smax) induced by Abuzar tunnel excavation are between 8 Abuzar tunnel excavation, the VL must be between 0.36 and
and 12 mm. The quantities of VL, corresponding to each of 0.62 % in the surrounding soil. Column diagram of actual VL
the LPS points are presented in final, right-hand column of in each of the measuring points is shown in Fig. 21.

123
Specifying the real value of volume loss (VL) and its effect on ground settlement due to… 497

Fig. 18 Displacements of
selected points (units in meters)

2
shows the comparison between predicted and measured
(real) parameters of ground settlement due to Abuzar tun-
0 nel excavation. Evaluation of VL using the results of
-40 -30 -20 -10 0 10 20 30 40
-2
numerical modelling will be discussed in next part.
The difference between predicted and measured settle-
-4
ments, takes place because the real VL occurring in the
-6 surrounding soil is lower than predicted. It seems that this
phenomenon occurred due to local cementation of Tehran
-8
alluvia (Table 2) and the lower diameter of Abuzar tunnel.
-10 As cited previously, local natural cementation has taken
place in Tehran’s recent alluvia through geological factors.
Fig. 19 Settlement trough of ground displacement in transverse
section This phenomenon has caused an increase in the strength
and deformability characteristics of soil and reduction of
soil movement (relaxation) around the outer skin of shield,
Comparison of the real quantities of VL with the values and consequently, causes a decrease in VL for the sur-
in Table 1 indicates that the real VLs are relatively lower rounding soil of Abuzar tunnel. Golpasand et al. (2014)
than the ranges of this parameter proposed in Table 1. In studied the effect of the engineering geological character-
other words, the actual values of VL in the surrounding soil istics of Tehran’s recent alluvia on ground settlement due
during Abuzar tunnel excavation are lower than the aver- to excavation of the EWL7TM tunnel (East–West lot of
age value of this parameter given in Table 1. Table 10 line 7 Tehran Metro). They concluded that natural

Fig. 20 Location of monitoring


points on the tunnel profile
(SCE 2011)

123
498 M. R. B. Golpasand et al.

Table 9 Measured displacements of check points


Leveling point Chainage (m) Depth to tunnel axis, Z0 (m) Z0/D Overburden (m) Smax (mm) Actual VL (%)

LPS-1 0?100 5.04 1.16 2.86 10 0.39


LPS-2 0?140 5.15 1.18 2.97 9 0.36
LPS-3 0?190 5.35 1.23 3.17 10 0.41
LPS-4 0?220 5.63 1.29 3.45 9 0.39
LPS-5 0?280 6.86 1.58 4.68 12 0.62
LPS-6 0?330 6.69 1.54 4.51 10 0.51
LPS-7 0?375 6.56 1.51 4.38 8 0.40
LPS-8 0?450 6.86 1.58 4.68 9 0.47
LPS-9 0?500 7.07 1.63 4.89 8 0.43
Tunnel diameter D = 4.35 m

0.70 0.62
confining stresses and results in further relaxation of soil
0.60 0.51 0.53 toward the shield and segment that eventually leads to an
0.47 increase of the VL.
0.50 0.41 0.40
0.39 0.39
0.36
0.40
VL (%)

0.30
0.20 Evaluation of VL using the concept of gap
0.10
0.00 Gap is an effective parameter in ground displacement due
to mechanized tunneling. Lee et al. (1992) have explained
the concept of this parameter and the method to calculate it.
Meassuring Points Physical scheme of the gap parameter, its creation in
mechanized tunneling, and displacement of soil inward this
Fig. 21 Variations of VL through the tunnel route
space are shown in Fig. 23.
According to Loganathan (2011), it is possible to eval-
uate VL using the gap parameter and geometrical charac-
Table 10 Comparison between the predicted and measured values of teristics of TBM. In this approach, VL can be estimated
V Ls using the degree of soil movement toward the shield and
Predicted (Semi-empirical methods) Measured (Occurred) segment with acceptable proximity. Since the measurement
of this movement is not possible during mechanized
VL (%) Smax (mm) VL (%) Smax (mm)
excavation, the results of numerical modeling are used in
0.2–2 5–55 0.36–0.62 8–12 this approach. This subject has been illustrated previously
in Figs. 2 and 3 with emphasis on the main effect of the
changes in initial stresses due to tunnel excavation. Based
cementation of the alluvia caused a decrease in ground on this and using the geometrical characteristics of a cir-
displacement. cular tunnel and TBM, Loganathan (2011) suggested the
According to Leca and New (2007) the diameter of the following equation to calculate VL.
tunnel is one of the most important factors of tunnel sta- 2
bility and ground settlement due to tunneling. Therefore, it p R þ g2 pR2
VL ¼  100 ð12Þ
can be said that the relatively lower diameter of Abuzar pR2
tunnel is one of the main factors that has caused a decrease where
in ground displacement by reducing the VL. g is the gap parameter and R is the tunnel radius.
Variation of VL with depth of tunnel is another impor- According to Loganathan (2011), the volume loss
tant objects about this parameter. According to Table 9, VL obtained from Eq. (12) involves the volume losses that
mostly increases with depth. This is shown in Fig. 22. This took place at the face of the tunnel, around the shield, and
can be explained by the increase of the initial confining around the segment as shown in Fig. 3.
stresses with the increase of depth. In other words, Given the Figs. 2, 3, and 12, Eq. (12) can be represented
increasing the depth causes an increase of the initial in simpler notation as below:

123
Specifying the real value of volume loss (VL) and its effect on ground settlement due to… 499

0.70 Geometrical dimensions of TBM used in the Abuzar


y = 0.0823x - 0.0534 project is from site information. The outer diameter of the
0.60 R² = 0.6234
front shield is 4.352 m. Considering the convergence of the
VL (%)

0.50
inner wall of the tunnel toward the shield and segment is as
much as 12–14 mm, the quantity of VL can be evaluated
0.40 according to following equation:
A0  A1
0.30 VL ¼  100
4 5 6 7 8 A1
Z0 (m) p  2:1762  p  ð2:169  2:170Þ2
¼  100
Fig. 22 Variations of VL with increasing of the depth p  ð2:169  2:170Þ2
¼ 0:55 %  0:64 % ð14Þ

A 0  A1 This means that, due to soil displacement inward to the


VL ¼  100 ð13Þ tunnel as much as 12–14 mm, volume loss equal to
A1
VL = 0.55–0.64 % occurred in the surrounding soil. It
where: should be noted that due to the application of a rational
A0 is the tunnel area in cross section before tunnel value of face pressure, soil displacement in the tunnel face
excavation and soil convergence, and A1 is the tunnel area is negligible, thus it has no considerable influence on the
in cross section after tunnel excavation and soil conver- total quantity of volume loss. Figure 24 shows the soil
gence. This equation was presented formerly by Attewell displacement that occurred in the tunnel face. It is seen that
et al. (1986). In this method, the difference between soil displacement into the tunnel is between 0 and 2 mm.
diameters of the front shield and the shield (Fig. 23) is a This value is lower than the soil displacement around the
significant parameter; then Eqs. (12) and (13) are arranged shield and segment. This means that the major portion of
on the basis of the geometrical parameters. volume loss in Abuzar tunnel occurred due to soil dis-
In this study, soil movement into the tunnel has been placement toward the shield and segment, as seen by the
considered the main factor to evaluate VL. For this purpose, results obtained from numerical modelling.
the results of the numerical method should be noted again
(Fig. 16). As seen in this figure, radial displacement of the
tunnel’s inner wall toward the shield and segment through Comparison of findings
the tunnel’s length, occurred in the range of 12 to 14 mm.
In other words, considering the geometrical characteristics Various values of VL have been obtained in the preceding
of the any parts of the tunnel and the several stages of parts of the paper, and we next compare them. As cited
mechanized tunneling, such as grout injection, equal dis- previously, engineering of the geological situation of tun-
placement occurred through the entire length of the tunnel, nel route is one of the most important factors affecting the
both at the shield and segment districts, so it can be written: value of VL. According to Table 1, VL = 0.2–2 % was
VShield ¼ VTail . This means that equal volume loss occurred suggested. These values are mostly in relation with semi-
around the shield and around the segment. empirical methods. Using numerical methods,

Shield
0.019
Soil Displacement
Gap

Front Shield
Shield
4.352

TBM
4.314

Front Shield

Fig. 23 Soil displacement inward the space between the shield and the tunnel’s inner wall

123
500 M. R. B. Golpasand et al.

Fig. 24 Soil displacement in


the tunnel face (units in meters)

Table 11 Comparison between values obtained from different For this objective, the VL was evaluated using semi-
methods
empirical and numerical methods and their results were
Parameter Predicted values Measured (real) values compared to the calculated VLs obtained using back anal-
Semi-empirical Numerical ysis methods performed on the real settlements. The real
settlements were obtained via measurement of ground
Smax (mm) 5–55 8–9 8–12 displacements along Abuzar tunnel performing installation
VL (%) 0.2–2 % 0.64–0.55 % 0.36–0.62 % and monitoring methods.
Analysis of findings indicates high similarity between
VL = 0.64–0.55 %, and based on measured (real) settle- the results of numerical modelling with the measured (real)
ments and executing the back analysis, VL = 0.36–0.62 % settlements. This means that the volume losses obtained
was derived. Comparison of these quantities is illustrated in from real settlements and numerical modelling are true and
Table 11. It is seen that the results of numerical modelling credible values for this parameter.
show high consistency with real values in both Smax and Comparison of the real VLs, obtained both from mea-
VL. According to Table 11, it can be simply deduced that sured settlements and from numerical modelling, with the
due to excavation of Abuzar tunnel, volume loss approxi- VLs proposed in semi-empirical methods, shows that the
mately equal to VL = 0.5 ± 0.1 % has taken place in the real VLs are lower than the average of this parameter
tunnel route. In other words, VL = 0.5 ± 1 % can be suggested by semi-empirical methods. These differences
accepted as the real volume loss in Abuzar tunnel. can occur for two reasons:
1. Local cementation of Tehran alluvia due to geological
Conclusion agents;
2. Relatively lower diameter of Abuzar tunnel.
It is important to specify the real value of volume loss (VL) in Eventually, considering the results obtained from sev-
mechanized tunneling. This parameter significantly controls eral methods and comparing them, the volume loss equal to
the ground settlement due to tunneling and is affected highly VL = 0.5 ± 0.1 % is recommended as the real value of VL
by engineering geological factors. Several methods have been that took place due to Abuzar tunnel excavation.
suggested to determine this parameter. In this study, the real
value of this parameter, occurring due to excavation of Acknowledgments Authors would like to express their sincere
Abuzar tunnel (Tehran) and its influence on ground settle- appreciation to SCE Institute for providing access to the instrumen-
ment due to excavation of this tunnel, was investigated. tation database of the Abuzar project.

123
Specifying the real value of volume loss (VL) and its effect on ground settlement due to… 501

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