ASIA 2014 – Fifth International Conference on

Water Resources and Renewable Energy Development in Asia

Colombo – Sri Lanka - 11 to 13 March 2014

Innovative Rehabilitation Scheme for Segmental Water

Transmission Tunnel Lining at Fault Crossing

M. Safi S. Esfahani
Moshanir Power Engineering Consultants Moshanir Power Engineering Consultants
& Shahid Beheshti University PO Box 19395-4691
PO Box 19395-4691 Tehran
Tehran I.R. Iran
I.R. Iran

Abstract
Water transmission tunnel structures are considered as important lifelines and should continue safe operation.
One of the most important design challenges in seismic resistant design is the crossing of active faults. Safety of
the tunnel lining at fault crossing should be satisfied by providing sufficient capacity for dissipation or
absorption of permanent displacement. In this paper fault crossing strategies have been evaluated, focusing on
specially designed segmented one-pass water transmission tunnel lining in fault zone with joints able to
withstand some displacement while retaining their water-tightness. Two-pass tunnel lining in fault zone may
reduce cross-sectional area if excavated diameter is kept constant. This could accommodate more displacement
by leaving an annular gap between the two rings. A simplified method for determining the forces caused by non-
uniform settlements as a beam continuously supported by springs has been used to model active fault
displacement on segmental tunnels. These models cannot simulate the opening of ring joints but can predict
bending moments in the lining in axial direction. A more comprehensive three dimensional rock structure
interaction model has been used to verify the behaviour of the proposed flexible lining with increased ring gap
space. The design has been used as a case study for a long water transmission segmented TBM excavated tunnel
and the results have been discussed.

Keywords: Segmental Tunnel, Fault Crossing, One Pass Lining, Large Displacement

Introduction
Tunnelling in fault zones in general is associated with frequently changing ground and ground water conditions
together with large and occasionally long lasting displacements. Mountain tunnels, being situated deep within
rock layers, have generally been assumed to be sustainable against damage from earthquakes. Previous studies
have found earthquake damage in tunnels to be localized at sections with two important characteristics: those
running through displaced faults, which were damaged by shear forces that developed during the earthquake,
and those near surface slopes (especially at portal sections), which were damaged owing to slope failures. Fault
displacement effects on tunnel are important both in excavation stage and long term behaviour of constructed
lining. Even though most of the tunnel lining design codes and guidelines neglect the fault displacement
induced loads on linings but lifeline deign codes present some analysis and construction solutions to reduce the
damages induced by long term fault displacements especially in seismically active regions. In the design stage
the recently used methods of analysis allow the relatively precise design of the excavation and support for a
wide range of ground and boundary conditions. The uncertainties inherent in the ground model however make it
difficult to assign appropriate excavation and support measures to each location along the alignment prior to
construction. To successfully tunnel through fault zones, the final decisions on excavation and support methods
have to be made on site. Without of objective criteria, the assignment of appropriate construction methods on
site is also extremely difficult. A large number of reports on lining failures, extensive repairs or reshaping due to
an overestimation of the ground quality or underestimation of the deformation magnitude show this.

1
 ASIA 2014 – Fifth International Conference on
Water Resources and Renewable Energy Development in Asia
Colombo – Sri Lanka - 11 to 13 March 2014

Flexible Lining at Fault Crossing

When fault displacement occurs in such depths, huge amounts of loads are applied to lining due to considerable
difference between linings and highly stressed surrounding rock. In these conditions, strengthening the lining
will not only solve the problem but also increases the loads induced in section and are an uneconomic design
method. So, a perfect design will try to make the lining compatible with ground displacement and consequently
reduce the design loads.
Using of joints in lifelines and pipes has been suggested by ASCE design guidelines where potential movements
are exist. It will facilitate the compatible structural response to deformation without any excess design loads.
Also, analysis procedures have been explained in these guidelines assuming some levels of simplifications. This
method has also been proposed by FHWA-NHI-09-010 tunnel design guideline. In pipes and lifelines different
structural joints and connections are used to create required degrees of freedom. Implementing this method in
tunnels is not as easy as in pipes especially because of the relatively large dimensions of tunnels and
applicability of the method.
Considering the segmental composition of lining, creating of joints along the tunnel done by cutting small slots
between segment rings which will make them independent in longitudinal direction and act as longitudinal
joints. These joints will not tolerate longitudinal bending moment when fault displacement happens as the
segment rings will not push against each other. Figure 1 shows the displacement mechanism proposed by
current guidelines.

Figure 1: Schematic view of pipe deformation due to fault displacement

Flexural Nonlinear Beam Model

To determine the slot width which has to be cut between rings to prevent contact between them, a simplified
analysis model was performed in SAP2000 analysis software. In this analysis the mechanical properties of
reinforced concrete segments and surrounding earth were assumed to be linear elastic and model was developed
using beam elements for lining and horizontal and vertical springs for surrounding rock and moment relaxation
joints. Then, estimated fault displacements were applied to the beam as boundary conditions. Finally, rotation
difference between rings at joints along the beam multiplied by the ring’s diameter was used to determine the
enclosure of rings and consequently calculate the safe distance between rings which prevent the contact between
them. After several analyses considering different joint distances the safe width for slots to be cut between rings
was determined as 9cm. To improve the stability of the rings this slots were cut at every two rings sequence.

3D Nonlinear Interaction Model

Modeling of lining as beam will provide information on general behavior of lining when subjected to fault
displacement but will not illustrate the details about what happens to segments as they deform. It will be an
important subject especially when the serviceability factors such as water tightness and post disaster
configuration of segments will influence the operation of tunnel. A thorough 3D simulation can:
First, investigate the real behavior during such complex event by employing detailed 3dimensional geometry of
components and considering nonlinear material and contact behaviors and
Second, illustrate the final exact configuration of deformed geometry to investigate the serviceability factors.
 ASIA 2014 – Fifth International Conference on
Water Resources and Renewable Energy Development in Asia
Colombo – Sri Lanka - 11 to 13 March 2014

Figure 2: Simplified model for tunnel-fault interaction analysis

Figure 3: Loads applied to obtain fault deformation

Case study

Project Description
Tehran-Karaj pressurized tunnel is a critical national project which aims to provide domestic water for Tehran.
The tunnel is 13km in length passes through different geological conditions in a highly active seismic region
(Fig.4). Seismic design considerations were adopted in design of segmented concrete lining but detailed seismic
investigations and excavation condition assessment data showed that long term displacement of one of the faults
crossing the tunnel has to be investigated specifically.

Figure 4: Geological cross section

Double shields TBM were utilized for excavation of tunnel and segmental concrete lining was installed to
provide stability, water tightness and convey pressurized water. Along the tunnel path several faults intersect
with tunnel axis. The most important fault was Pourkan-Vardij inverse fault. In crushed zone of this fault
progressive collapse of heading face and squeezing of crushed rock was observed. In the worst case, the overall
displacement of fault planes estimated as 1.15m using empirical relations.

Figure 5: Pourkan-vardij Fault trace and schematic formation

3
 ASIA 2014 – Fifth International Conference on
Water Resources and Renewable Energy Development in Asia
Colombo – Sri Lanka - 11 to 13 March 2014

Model Definitions and Parameters

Surrounding earth was modeled using 3D solid elements with 40m in length and 25m in width and 50m in
height. Length of the ground was determined based on the crushed zone length of the fault which had been
measured based on the excavation conditions. Also, width and height of the model was determined such that no
considerable stress changes distribution exist after analysis. This geometry was discretized using 3D tetrahedral
C3D4 elements. To realistically model the compressive inclined fault, the excavation was modeled as an
inclined hole in earth geometry.

Figure 6: Geometry and meshing of surrounding rock

Also, nonlinear Drucker-Prager yield criterion was adopted for mechanical behavior of rock (Table1). Its
parameters were obtained from geotechnical tests and excavation time parameters.

Table 1: Drucker-Prager behavior parameters

Property Crushed zone

Young’s Modulus (GPa) 100 MPa
Poisson Ratio 0.25
Density (ton/m3) 2.6
40
Shear Hardening (d) 300 kPa
Dilation Angle 30
Flow stress ratio 1

3D model of lining was also composed of detailed geometry of segments put together and connected by steel
bolts to form the load bearing rings installed by TBM.

Figure 7: Geometry of rings and arrangement of rings in reality and model

 ASIA 2014 – Fifth International Conference on
Water Resources and Renewable Energy Development in Asia
Colombo – Sri Lanka - 11 to 13 March 2014

As for joints, the 10cm distance between every 2 rings was also considered in model. The geometry was
discretized using C3D8R hexahedral solid elements. In this study, Concrete Damaged Plasticity nonlinear
behavior was used to simulate the nonlinear behavior of concrete segments. Behavior models and involving
parameters are shown in Table 2 and Fig. 8.

Table 2: Damaged plasticity model parameters

Damaged plasticity model parameters values estimated for concrete segments
Young’s Modulus (GPa) 19.7
Poisson Ratio 0.19
Density (ton/m3) 2.5
Dilation Angle 36
Flow potential eccentricity 1
1.12
K 0.666

5
 ASIA 2014 – Fifth International Conference on
Water Resources and Renewable Energy Development in Asia
Colombo – Sri Lanka - 11 to 13 March 2014

Figure 8: Concrete damaged plasticity model in Abaqus: (a) Nonlinear uni-axial tension behavior, (b) Nonlinear uni-
axial Compression behavior, (c) Cyclic behavior, (d) Yield surface in plane stress

Also, penalty friction behavior and hard normal behavior were adopted for contact between segments and
ground. Friction coefficient was assumed equal to 0.7 for simulation.
To apply fault displacement, a 3rd degree polynomial equation was applied to vertical displacement DOF of top
and bottom nodes of the ground model. This equation interpolated so that each end of the tunnel experience a
57.5 cm vertical displacement to opposite directions to simulate the total 115cm fault displacement conditions
along the 32m fault core.

Analysis Results
A Nonlinear EXPLICIT analysis was performed using ABAQUS software. Initial and deformed shapes of
model are shown in Fig.9.

Figure 9: Initial and deformed shape of model

Plastic strain in surrounding ground and maximum principal stress (compressive) in lining are shown in Fig.10.
 ASIA 2014 – Fifth International Conference on
Water Resources and Renewable Energy Development in Asia
Colombo – Sri Lanka - 11 to 13 March 2014

Figure 10: Plastic strain distribution contours (Left), Maximum principal compressive stress contours (Right)

As a result of nonlinear behavior definition for concrete, compressive and tensile damages can be obtained.
These damages are related to degradation of modulus of elasticity as a result of crushing of concrete in
compression and cracking in tension. To investigate the effectiveness of the sequential joints method a
comparison between jointed and continues rings has been presented in Fig.11&12.

Figure 11: Deformed shape (4X scaled) of jointed (left) and continues (right) rings

Figure 12: Compressive damage distribution in jointed (left) and continues (right) rings

Concluding remarks
An innovative fault crossing countermeasure and its 3D nonlinear finite element analysis were presented in this
paper. Nonlinear parameters and behaviors were involved in simulation and results were obtained. Important
results can be summarized as follows:
- Behavior of fault especially at core and crushed zone is very complex and what was considered for its

7
 ASIA 2014 – Fifth International Conference on
Water Resources and Renewable Energy Development in Asia
Colombo – Sri Lanka - 11 to 13 March 2014

deformation function was just a logical assumption based on the literature and guidelines. Also, most of
the assumptions made such as considering the entire fault’s displacement in crushed zone were
conservative to obtain worst results.
- Comparing simplified beam model and 3D analysis, it is concluded that the results of both methods
comply with each other especially in linear domain.
- Displacements and rotations in segments are disappeared by creating flexible joints and no
considerable longitudinal stresses have been developed in the structure.
- Considering fault’s dip in model results in both vertical displacement and compressive stresses exist in
inverse faults.

- Figure 13: Execution procedure for providing flexible joint in segmental lining

- Transverse deformations induced by fault displacement are transferred to surrounding ground and no
extra stress and strain is developed in concrete segments.
- Maximum stress and strain due to ovaling deformation of ring are 20Mpa and 0.1% respectively. These
values are acceptable considering failure modes and ultimate limit state. Also, it should be noted that
the direction of stress vectors are in 90 degrees phase difference with service loads and will not
influence the design loads.
- Distribution of compressive damage in continues rings (existing condition) shows that small amounts
of fault displacement may have disastrous effects on strength and stability of lining structure while the
sequentially jointed lining is able to tolerate much more displacement without entering to plastic
regions and develop cracking and crushing.

Figure 14: Execution procedure for sealing flexible joint in segmental lining
 ASIA 2014 – Fifth International Conference on
Water Resources and Renewable Energy Development in Asia
Colombo – Sri Lanka - 11 to 13 March 2014

Acknowledgment
The supports by Tehran Regional Water Company, Moshanir Consultant Company, Hara Institute, Sahel
Consulting Engineers and Shahid Abbaspour Campus of Shahid Beheshti University and also Mr. Eng. Ehsan
Nasiri are gratefully appreciated.

References
[1] Tomasz Jankowiak, Tomasz Odygowski, Identification of Parameters of Concrete Damage Plasticity Constitutive Model, 2005

[2] ABAQUS Theory Manual, version 6.3, Hibbitt Karlson & Sorensen, Inc, 2006

[3] FHWA-HRT-05-067: Seismic Retrofitting Manual for Highway Structures, Federal Highway Administration, ,2004

[4] FHWA, Technical Manual for Design and Construction of Road Tunnels, Federal Highway Administration, 2004

[5] W.L.Wang, Assessment of Damages in Mountain Tunnels due to the Taiwan Chi-Chi Earthquake, 2001.

[6] K. Keshvarian et. al., Seismic Isolation of Tunnel Lining. A Case Study of the Gavoshan Tunnel in the Morvarid Fault in Iran, 2011.

[7] ASCE Committee on Gas and Liquid Lifeline, Advancing mitigation technologies and disaster response for lifeline systems, ASCE
2004.

The Authors

Mohammad Safi, is an assistant professor at the Power and Water University of Technology got his BS and MSC in
structural engineering at Tehran University and PhD at Tehran Poly-technique, Iran and Post Doctorate at university of
Waterloo, Canada. He has joined the Power and Water University of Technology as a faculty member in structural
engineering group since 2001 and has published more than 60 papers in international journals and conferences. He is also the
head of structures and concrete dam department at Moshanir power engineering consultants.

S. Esfahani, graduated in civil engineering form Sharif University of Technology in 1981. He has been working in Moshanir
Power Engineering Consultant for 30 years and now is the deputy of dam and hydropower plant of this company and has
been engaged in various projects in dam and hydropower area.