Consideration of the limitations of NATM methodology in urban area tunnelling

T. Ishibashi Kobe Construction Bureau, Hanshin Expressway Public Corporation Y. Setoguchi Kobe Construction Bureau, Hanshin Expressway Public Corporation T. Aoki Takatoriyama Tunnel Project, Taisei Corporation T. Izumi Takatoriyama Tunnel Project, Tobishima Corporation ABSTRACT: In recent years, with the rapid development of public infrastructure in urban areas, the number of tunnel projects using the mountain method has increased near residential areas. This may be because the incorporation of NATM into the mountain method can make tunnel construction more efficient and economical. However, in urban districts where overburden depth is particularly small, it is difficult to form ground arches and maintain the viability of the cutting face, so much support work has to be done, increasing the cost and lengthening the time required for the project. This is particularly true for settlement countermeasures, for which there are currently no specific design and construction methods. To address these problems with NATM in urban areas, analytical approaches and construction and measurement examples were used as the bases for considering the effectiveness of reinforcement methods and the limits of NATM application. 1. INTRODUCTION In recent years, NATM with various auxiliary methods had been applied with increasing frequency in reinforcement projects in Japanese urban areas. Tunneling methods are roughly divided into two categories: the mountain methods, which include the NATM method, and the urban tunnel methods, which include the shield method. Each of these methods has had its own technical advances, and the differences between the two are becoming less distinct. This is particularly true for cost aspects in urban areas, where NATM has come into increasing use. However, compared with shield methods, there is currently no NATM design method that has been established for urban areas, and there are some reports of ground settlement being greater than expected and cost and time overruns occurring because of the use of various reinforcement methods. For example, if we consider cases such as Japanese cities where transportation networks are dense and construction is done in mountainous areas in un-cemented ground conditions , we can see that it is an urgent matter to reduce the influence of tunnel construction on traffic and keep down costs that affect tunnel construction. This paper discusses issues and limitations associated with the use of NATM in urban areas by examining the case of the Takatoriyama Tunnel project, a 1.2km-long, two-lane highway tunnel that has more than 1000 homes above it. The minimum overburden depth is almost 4m since the tunnel is located beneath embanked valleys. 2. THE EFFECT OF REINFORCEMENT WORKS Numerous researchers have discussed t h e evaluation of the looseness of surrounding ground as it concerns a tunnel's structural stability. For example, Tanimoto et a l1) formulated basic concepts for support design by investigating the spread of inelastic zones using ground competence factors, initial stress and support intensity that were derived from a strain-softening model (Fig. 2-1). In addition, they cited examples of various Japanese tunnels where there had occurred an enormous amount of deformation because the allowances had been too lenient, and established the relation between initial deformation rate and support pressure, and the relation between convergence measurements and the loose region 2)3) . By considering the tunnel's effect as settlement, we can roughly divide the methods for suppressing it as follows (Fig 2-2). (1) Enhancement of support stiffness behind the cutting face (2) Enhancement of ground strength around the tunnel periphery ahead of the cutting face

(3) Enhancement of ground strength ahead of the cutting face A n analysis using finite element method was conducted with a three-dimensional axi-symmetric model. Based on these results, and examples of actual projects and measurements , we considered the effectiveness of each type of method. 2.1 Effect of enhancing the support stiffness behind the cutting face According to the analysis, not only did the enhancement of support stiffness suppress settlement (the settlement after the cutting face passed), it also played a major role in suppressing the preconsolidation settlement ( the settlement before the cutting face passed) (Fig. 2-3). However, when the cutting face was delicate and the ground was soft, we noticed that even if supports were built near the perceived cutting face, the real cutting face (solid ground ahead of the soft region) acting as part of the true support tended to be in a more interior region than the perceived cutting face. In effect , this means that the positions of the supports and the true cutting face became widely separated. In this case, the more distant the supports were from the true cutting face, settlement (especially preconsolidation settlement) increased dramatically (Fig. 2-4). Near the site where there was stress released by excavation, the insertion of extremely strong supports helped t o suppress settlement. Thus, it appears to be extremely important that the cutting face function as part of the support, known as half dome effect of cutting face. Furthermore, since this three-dimensional analysis used an axi-symmetric model, tunnel supports such as shotcrete and steel supports had to be cylindrical in shape. In other words, the supports should be enclosed quickly; even if they were of high strength, if they were not enclosed in a timely manner, the legs of the supports would sink and the convergence would increase such that pressure inside supports would not adequately be conveyed to the ground. Thus, the loose area would expand, load would increase, and deformation would quickly get out of hand. In-situ measurements showed that in some cases at another sites 3), the ground conditions and the lack of pressure inside supports caused loosening to occur or induced contact with weak ground in the fault zone when major deformation occurred. Expressed in terms of initial deformation rate, Tunnels A and B in Figure 2-5 are examples of 2.2 Effect of enhancing ground strength around the tunnel periphery ahead of the cutting face this phenomenon where major deformation occurs as the support legs sink into the ground.

By enhancing ground strength ahead of the cutting face it became possible to suppress preconsolidation settlement (Fig. 2-6). However, a

the pipe-roof protection method, and the prelining method. Considering the principles of these methods, it would be difficult for the structure of the previously mentioned method (where steel pipes are installed) to act like a shell. In addition, when the steel pipe acts as a beam, the soundness of the ground that supports this pipe plays an important role in suppressing subsidence. This shows examples of steel pipe behaviors in the umbrella and pipe-roof protection methods when there was contact with soft ground. In the heavily weathered granitic sections where the deformation modulus is only about 20N/mm2, the pipes in the pipe-roof protection method tend to show increased displacement in proportion to the weakness of the ground (Fig. 2-7). In this zone, since sidewall concrete was laid as leg reinforcement, the degree of settlement after the cutting face passed did not increase, and the locations where displacement and settlement originated tended to be more forward. This might have been because the ground that provides the reaction force from the supporting point when the ground that supports the steel pipes is loose, tended to move from in front of the cutting face to the interior region. In the case of the umbrella method in another site that in some sections came into contact with alluvial layers, there was more thrust of the alluvial layers from the front of the cutting face than even in un-cemented ground of the Osaka layer, so this produced a large displacement (Fig. 2-8). In this zone, 114.3mm steel pipes were set in the upper half of the 120-degree region, and support legs were reinforced with jet grout. This comparison shows that there are no doubts as to whether this was actually able to provide the important function of supporting the cutting face. 2.3 Effect of enhancing ground strength ahead of the cutting face The analysis showed that reinforcing the area that was next excavated ahead of the cutting face had little effect in suppressing settlement because the next excavation released the load again (Fig 2-9). However, this was a comparison with a case in which there was not large looseness when the cutting face was excavated; as mentioned earlier, if this were done under conditions in which settlement suppression were an issue, reinforcement which maintains the viability of the ground would have significance for settlement suppression.

pre-condition of the analysis was that a shellshaped wall would be constructed that was continuous ahead of the cutting face. Recently, the main methods have been the umbrella method (a grouting forepiling method using long steel pipes),

With the mountain method, there is sometimes an issue with how much inside pressure is to be exerted, but installing lock bolts and cable bolts in the cutting face can exert inside pressure there. However, measurements have shown this value to be about 6t/bolt (Fig. 2-10). This means that even if one bolt were used for each 2m2 in a 70m2 tunnel surface, it would produce an inside pressure (Pi) of only 0.03N/mm 2. Thus as we can see in the graph (Fig 2-1), the support intensity becomes 0.1, considering the condition of an initial earth pressure (Po) of 0.3N/mm2 (overburden depth 20m), and a certain degree of loosening occurs ahead of the cutting face. It means that it is difficult for NATM method to keep the cutting face stability in soft ground compared with shield method, even if consider the half dome effect of it.. 2.4 Limits to the

application of NATM When considering the ap plication of the mountain method in urban areas, especially where there are regulations for settlement, the smaller the ground competence factor, the greater would be its effect on the ability to produce inside pressure in the cutting face. This would be one of limiting factors in the application of NATM, but not of the shield tunnel method. 3. PROJECT AT TAKATORIYAMA The Takatoriyama tunnel is a mountain method tunnel having a total length of about 2km, of which 1,243m is a two-lane highway tunnel in an urban area (mountain section 511m, urban section 732m) (Fig. 3-1). Generally speaking, this is a typical urban tunnel on which there is a shallow (4 to 40m) overburden in the urban section, and there is a dense collection of over 1000 homes that might be affected by tunnel excavation. Therefore, not only did structural safety have to be maintained during excavation, but it was also extremely important to keep effects, such as those on the ground surface, to a minimum. Near the end of the construction zone, plans were made to have18m overburden depth under the residential area in the large tunnel intersecting section where the main tunnel and ventilation duct tunnel cross each other. Here, we would like to describe how the construction process was selected and d iscuss the measurements based on an example of construction of a large tunnel intersecting section. 3.1 Geological conditions The zone in question is a fault fracture zone of very noticeably weathering Rokko granite that has been affected by a nearby fau lt. The granites are so decomposed that they can be picked apart by hand or are even turning into clay; thus, their strength and deformation characteristics are even worse than those of un-cemented ground. According to the results of a plate bearing test that was conducted in a pilot tunnel, the ultimate bearing capacity is 1.6N/mm2, and the deformation modulus is 20 to 40N/mm 2. 3.2 Design of primary supports 3.2.1 Fundamental targets When designing intersecting sections, the safety of the complex three-dimensional tunnel structure must be ensured and effects on the ground surface

must be minimized. However, such examples of the large tunnel intersecting section with low overburden are rare in urban areas, and no design method for minimizing the effect on the ground surface has been established. Therefore, we decided to use the following design methods (see also Fig. 3-2): (1) Based on information obtained from actual results (measurements), etc., of a standard cross-

the urban section, the lining concrete was considered to be ultimate structure; thus, three dimensional shell-spring model analysis that took the dependence of the primary supports and earth and water pressure into account, was used for the designing. 3.2.2 Primary support patterns The area of the excavation cross-section of the large tunnel intersecting section was 1.4 times

section in front of the intersecting area, we made a tentative selection of primary support and construction methods. (2) A survey of the stability of the tunnel structure during its construction consisted of a structural analysis that assumed a loaded weight acting on the primary supports, then detailed specifications were designed so that the stress of the support members fell within the allowable values. Structural analysis was conducted using a three-dimensional shellspring model that took the construction process into consideration. (3) A survey of the effects on ground surface consisted of three-dimensional FEM estimate analysis. The effectiveness of tentative selection of primary support and construction methods were checked . (4) Since the tunnel was a low-overburden tunnel in

greater that the standard cross -section zone (that is, 170m2/120m2 = 1.4) but the overburden was only half as large, at 20m vs. 40m, and the deformation modulus was also lower. Therefore, if the construction method in the intersecting section were the same one used for the standard cross section area, there was a danger that the excavation of the main tunnel alone would have an excessive impact (at least twice as high) on the ground surface. For that reason, to design tentative support patterns we took the following measurement results obtained in the standard section. (1) About 50% of the crown settlement caused excavation to affect the ground surface. (2) Crown settlement was 10 to 20mm, and convergence was 20 to 40mm. In the soft ground that was severely affected by the fault, there was a large lateral load from the side that tended to be about the same as the vertical load. (3) Using the measurements taken from an inclinometer that was placed along the long steel pipe, we compared enhancement effects. As a result, we found that double pipes in the lap zone had a greater effect in suppressing settlement than did changing the pipe diameter and pitch, and the lap zone was 20 to 40% more effective than the single zone in suppressing crown settlement (Fig 33). Whole lapping exhibited behavior that was closer than single lap to shell, and was more effective in suppressing preconsolidation settlement. (4) The supports generated an axial force of nearly

100t, and the ratio of leg settlement to crown settlement was approximately 0.4 to 1.0; leg settlement accounted for a large proportion of the total settlement. This was especially true in weak ground, where there was a danger of expansion of settlement due to lack of ground strength in the leg sections, and an increase in the load that would act on the supports. (5) Overall preconsolidation settlement tended to be large, and accounted for about 70% of total settlement. This indicated the existence of about 2 to 3m of loose region toward the cutting face. The loose region could be roughly estimated from the regression of convergence through A-type measurements 3). In this construction zone, the measurements taken in the weak zone showed a separation of 2.5-3D (D: representative tunnel diameter) from the cutting face was required in the regression, indicating the occurrence of a loose region of about 3 to 6m (Fig. 3-4). Using the above information as a reference, we employed the following construction methods in the large tunnel intersecting section: - To suppress preconsolidation settlement ahead of the cutting face, we used long steel whole lapping (Fig 3-5) - To reinforce the cutting face, we used shotcrete and friction-type lock bolts. - To suppress the settlement of the settlement after the cutting face passed, we used the side drift tunneling method. It should be noted that based on the results of the previously mentioned structural checks, we took the following counterplans before opening the intersecting section to eliminate instability from the tunnel structure: - The settlement analysis indicated the occurrence of extra settlement at the time the intersecting section was opened, so some of the lining concrete was pre-laid to suppress deformation. - The structural survey of the primary supports showed that there was a danger of an excessive amount of stress occurring in some sections when opening if there were only primary supports, and this might have some effect on both the ground surface and tunnel instability. Therefore, to reinforce the opening, temporal lining concrete (design thickness t=40cm) of the RC structure was laid inside of the primary supports. 3.3 Behaviors during the construction of the intersecting sections 3.3.1 Measurement protocol and behavior during construction

When the intersecting sections were built, the stability of the tunnel structure at each stage of the construction process had to be confirmed. For this purpose, A-type measurements were taken of inside crown settlement, convergence, and ground surface settlement, B-type measurements were taken of the stress of the primary supports, temporal lining concrete, sidewall concrete and displacement in the ground (see locations in Fig. 3.1) to make the construction as careful as possible. 3.3.2 Behaviors during construction During the excavation of the main tunnels, the suppression of effects of this large tunnel construction on the ground surface reached the same level as that of the standard cross-section. Despite the fact that the ground became weaker as the excavated area increased, A-type measurements in the tunnel showed that both inside crown settlement and convergence were about 5 to 10mm, which was less than the results of the settlement analysis (Fig. 3-6). A -type measurements inside the tunnel showed the settlement of the ground surface at the time of the main tunnel excavation to be about 50% and we determined that we could form an ground arch by suppressing the loosening in the ground around the tunnel by adapting the auxiliary methods mentioned before. Additionally, earth displacement measurements taken at the location of the long steel forepiling showed that preconsolidation settlement, at about 10 to 15mm, was only half that of the standard cross section. Reinforcement of the legs, cutting face and whole lapping of the long steel forepiling work were found to suppress effects on the ground surface.

However, while the analysis indicated that extra settlement might occur during the opening of the intersecting sections, the actual measurements showed the inside crown settlement to be about half of the analysis value, and the stress on the primary supports was found to be, as predicted by the analysis, reduced in the central part of the opening (cross-section A2) and increased in both side sections (cross -sections A1 and A3; see Fig. 3-7). The area where the opening-induced load increased did not reach all the way to the opposite side of the tunnel opening, and the range of effect in the axial direction of the main tunnel could be kept at about 2 to 3m; thus, there was not a lot of loosening in the ground, and we believe that it was possible to substitute the load that was lost during excavation of the opening with temporal lining concrete with high stiffness. 4. DISCUSSION The findings that we obtained from examples and analyses of urban large tunnel crossing construction were as follows: (1) When the purpose was to suppress tunnel effects, the viability of the cutting face was a major factor. In addition, it was important to suppress the settlement of the legs of the upper supports by, for example, enclosing the tunnel structure at an early stage. This means that the cutting face reinforcement using friction-type rock bolts were effective for maintaining the viability of the cutting face. (2) In NATM, the inside pressure acting on the cutting face was less than with the shield method; if the intention is to suppress displacement of weak ground, ground competence factor would have to be raised by improving it.

(3) The temporal lining concrete that was laid inside the primary support of the main tunnel to reinforce the opening, helped to maintain the stability of the tunnel structure and suppress effects on the ground surface. (4)Tunnel behaviour in the intersecting sections matched the one obtained from the previously conducted analysis, and there were no doubts about whether the duct tunnel could be excavated and the intersecting sections opened without increasing the looseness of the ground. Therefore, we believe the design and construction methods used here can be made more effective and used widely in the future. 5. CONCLUDING REMARKS It appears that mountain method will come into increasing use in urban areas that have very severe construction conditions. Considering the scale of construction, ground conditions, and local environments, we feel that more measurement data will have to be acquired and analysed in order to promote suitable applications of NATM. From our viewpoint, one of the most important issues is using this wealth of data that will allow NATM which does not cause much loosening to be applied and design methods that use reinforcement techniques to be established. Therefore, it would be wonderful if the findings we have made in the present study were used for reference 6. ACKNOWLEDGEMENTS We would like to thank everyone who provided guidance and assistance with this study, especially the Technical Committee for Tunnel Foundations and the members of its Operations Panel.

7. REFERENCES - Chikaosa Tanimoto,: NATM-1, Morikita Shuppan Co. Ltd., 1984 - Chikaosa Tanimoto,: NATM as an observational construction. Soil and Foundations, Vol.30, No.7,pp.63-70, 1982 - Chikaosa Tanimoto & Naoya Yoshioka: Measuring of convergence measurement in tunneling . Extra issue of Materials Science, Vol. 40, pp.630-636, 1991 - Aoki et al.: Design and construction of large tunnel intersecting section in an area beneath a densely populated residential area. The 2000 Annual Meeting on Construction Technology, 2001