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Tunnelling and Underground Space Technology 18 (2003) 537545

Soil disturbance of Shanghai silty clay during EPB tunnelling


Yongfu Xua,b,*, Dean Sunb, Jun Sunc, Deming Fud, Ping Donge
a
Department of Civil Engineering, Shanghai Jiaotong University, Shanghai 200030, PR China
b
Department of Civil Engineering, Nagoya Institute of Technology, Nagoya 466-8555, Japan
c
Department of Underground Works and Engineering, Tongji University, Shanghai 200092, PR China
d
Shanghai Research Institute of Tunnel Construction Technique, Shanghai 200233, PR China
e
Department of Earth Science, Nanjing University, Nanjing 210008, PR China

Received 1 October 2002; received in revised form 29 May 2003; accepted 5 June 2003

Abstract

The disturbance of Shanghai silty clay during earth pressure balance (EPB) tunnelling has been studied through field monitoring,
field measurement and laboratory test. The soil disturbance during tunnelling consists of two parts: stress disturbance, which is
the change of effective stress; and strain disturbance, which is caused by the soil movement. The definition of stress disturbance
degree of Shanghai silty clay is given by the change in the in situ effective stress before and just after tunnelling at the same
site. According to the changes in the static cone penetrometer resistance, the extent of stress disturbance in a transverse section
is determined. The relationships between the mechanical properties and stress disturbance degree are also studied.
2003 Elsevier Science Ltd. All rights reserved.

Keywords: Soil disturbance; Earth pressure balance (EPB) tunnelling; Stress disturbance; Stress disturbance degree; Mechanical property;
Shanghai silty clay

1. Introduction To date, extensive research work on soil disturbance


during EPB tunnelling appears to be sparse. Researches
With an increasing need for underground development on soil disturbance due to sampling have published
in China, EPB tunnelling has become a major construc- many results (Ladd and Lambe, 1963; Nakase et al.,
tion method, especially in urban areas. It is essential to 1985; Baligh et al., 1987; Clayton and Siddique, 1998;
protect the pre-existing structures and underground Shogaki and Kaneko, 1994; Carrubba, 2000). Soil dis-
works from damage during tunnelling in urban areas. turbance during EPB tunnelling is similar to sampling
Most researchers to date have focused on the assess- disturbance (Xu and Sun, 1999). Soil disturbance during
ment of ground surface settlement above the tunnel and EPB tunnelling is comprised of the change in effective
its effect on the settlement, in particular the differential stress (stress disturbance) and the soil movement (strain
settlement, of adjacent buildings (Mair et al., 1996). It disturbance). Rowe and Lee (1993) have studied soil
may be appropriate for buildings supported on shallow disturbance due to the change in pore water pressure
foundations to study the effect of the ground surface and deformation induced by an earth balance shield
settlement above the tunnel on settlement of adjacent tunnelling.
buildings. However, knowledge of only surface settle- Recently, civil engineering constructions, especial in
ment may be inadequate for buildings that are supported the underground works construction have been devel-
on pile foundations (Chen et al., 1999). For pile foun- oping rapidly in China. Many cities in China are
dations, soil disturbance during tunnelling may play an planning to begin the construction of metro projects.
important role in influencing the response of pile sup- Shanghai Bund Sightseeing Tunnel has been constructed
porting structures (Mair and Taylor, 1998). after and beneath the Shanghai Metro Tunnel-Line 2.
As shown in Fig. 1, the Shanghai Bund Sightseeing
*Corresponding author. Tunnel passes beneath the Bund scenic area and passes
E-mail address: yongfuxu@hotmail.com (Y. Xu). in the vicinity of the Shanghai Orient Pearl Television

0886-7798/03/$ - see front matter 2003 Elsevier Science Ltd. All rights reserved.
doi:10.1016/S0886-7798(03)00083-X
538 Y. Xu et al. / Tunnelling and Underground Space Technology 18 (2003) 537545

The Shanghai Bund Sightseeing Tunnel was construct-


ed with a precast concrete lining, which is composed of
six segmental concrete pieces connected by steel bolts
in the circumferential and longitudinal directions. The
outer diameter of the tunnel lining is 7.48 m, and the
thickness of the lining is 0.36 m. The length of each
lining section is 1.2 m.
The EPB machine is a second-hand apparatus from
France, and re-equipped by the machine factory of
Shanghai Tunnel Engineering Co. Ltd. The shield body
is 7.65 m in outside diameter and 8.935 m in length.
The corresponding physical gap (Gp), defined by Lee
et al. (1992), was 170 mm. Pressurized grout was
injected into the tail void synchronized with the pushing
Fig. 1. Plane figure of the Shanghai Bund Sightseeing Tunnel.
action of the shield. Segmental concrete lining sections
were installed at the back of the shield with the lining
Tower, which is the highest tower in Asia. In order to erector. The time required for each excavation cycle was
evaluate the vulnerability of adjacent buildings and on average approximately 1 hym of tunnel advancement.
underground works, stress disturbance of Shanghai silty Two 12-h shifts were adopted in the project. The normal
clay during EPB tunnelling of the Shanghai Bund tunnel advancement rate was approximately 10 myday.
Sightseeing Tunnel has been studied. The degree of
stress disturbance and the induced changes in mechani-
3. In situ instrumentation
cal properties of Shanghai silty clay are discussed.
In order to study the soil disturbance and ground
2. Engineering background
responses in close proximity to the tunnel, an instru-
mentation array of section 1 was carefully designed and
The construction of the Shanghai Bund Sightseeing installed around the approaching tunnel. Items monitored
Tunnel was started in March 1998 and finished in May include surface and subsurface ground movements, pore
1999. The Shanghai Bund Sightseeing Tunnel trends water pressure and earth pressure. The detailed layout
from Chenyis Square on the west near Nanjing West of the instrumentation is described as follows.
Road in Puxi beneath the Huangpu River to the Shanghai
International Conference Centre in Pudong (Fig. 1). It Surface and subsurface settlement markers were
was excavated by an EPB tunnel boring machine installed along the alignment every 2 m over the
(TBM). The Shanghai Bund Sightseeing Tunnel consists centreline and in several cross-sections (including
of two straight lines at both ends and one curve line in sections 1, 2, 3 and 4 in Fig. 1) for measurement of
the middle section, and its length is approximately 400 the ground surface settlement (Fig. 1). An auto-level
m. The longitudinal gradient of this tunnel is up to was employed to monitor the surface movements.
4.8%. The thickness of the overburden soil in the middle Initial readings were taken when the EPB shield was
of the Huangpu River is approximately 5.27.0 m. at a distance of at least five times the tunnel diameter
For a detailed design of the Shanghai Bund Sightsee- before reaching the monitoring points.
ing Tunnel, a comprehensive geotechnical investigation Three extensometer casings were installed around the
was completed, which consisted of undisturbed sam- tunnel as shown in Fig. 2. The interval of magnetic
pling, cone penetration tests, in situ vane shear tests and rings in each casing was 2 m. The movements at the
pressuremeter tests. The soils in the upper 3040 m are top of each casing were also carefully monitored so
very soft silty clays deposited during the Holocene that the magnetic ring readings can be calculated by
period (approx. 15 000 to 20 000 years ago) as shallow combining these two sets of readings.
sea and Yangtze deltaic sediments. The underlying fine The extensometer casings were also used as inclinom-
sand and silty clay strata were deposited in the Pleisto- eter casings. Thus, inclinometer readings in the direc-
cene period. According to the site investigation results, tions along the centreline and perpendicular to the
Shanghai soils can be differentiated into a number of tunnel alignment were taken in the casings as shown
well defined strata based on physical properties and soil in Fig. 2.
types. The soil properties of Shanghai soil strata near Three vibrating-wire piezometers (w1 , w2 and w3) for
instrumentation section 1 (Fig. 1) are summarized in pore water pressure measuring and three earth pres-
Table 1. The Shanghai Bund Sightseeing Tunnel is sure cells (p1, p2 and p3) for earth pressure measuring
situated within highly compressible and very soft silty were installed in the vicinity of the tunnel (section 1
clay deposits layer 4 and layer 5-1. in Fig. 1) at the depth of 11 m as shown in Fig. 2.
Y. Xu et al. / Tunnelling and Underground Space Technology 18 (2003) 537545
Table 1
Physico-mechanical properties of Shanghai soil

Layer Soil name Water Unit Specific Void Plasticity Cohesion Friction Undrained shear Coefficient of Degree Modulus of
content weight density ratio index ccu (kPa) angle strength earth pressure at of compressibility
w (%) g(kNym3) Gs e Ip fcu (8) cu (kPa) rest K0 sensitivity St E12 (MPa)
1 Fill
2-1 Silty clay 32.7 18.3 2.73 0.933 16.5 y y y y y 4.76
2-2 Sandy clay 33.2 18.3 2.72 0.942 14.8 9.4 32.6 y 0.36 7.52
4 Silty clay 50.7 17.2 2.75 1.378 20.1 16.8 15.5 43.7 0.60 2.81 2.58
5-1 Clay 37.7 18.1 2.73 1.038 14.7 14 18.3 64.0 0.60 2.85 3.95
5-2 Silty clay 34.3 18.2 2.72 0.962 14.2 13.6 28.7 80.8 0.44 2.90 4.90
6 Silty clay 21.3 20.2 2.72 0.593 12.9 29 36 y y y 7.74
7 Fine sand 23.8 19.5 2.70 0.678 10.7 0 43.8 y 0.41 y 13.9
y Means no data.

539
540 Y. Xu et al. / Tunnelling and Underground Space Technology 18 (2003) 537545

to calculate sd9 and s09 are written as follows:

s9dss90yuw (2a)

s90sgshsygwhw (2b)

where uw is the maximum value of the excess pore


water pressure induced by tunnelling, gs and gw are the
unit weights of soil and water, respectively, hs and hw
are the heights of soil-stratum and underground water
above the tunnel spring line. Here, it is assumed that
hsshw. Using Eqs. (1), (2a) and (2b), the stress
disturbance degree (SDD) can be calculated at the
monitoring points where the changes in pore water
pressure and earth pressure are shown in Fig. 3. The
average unit weight of soils used here is gss18.3 kNy
Fig. 2. Layout of instrumentation in section 1. m3. The values of the stress disturbance degree (SDD)
are 0.197, 0.219 and 0.274 at the points of p1, p2 and
Three static cone penetration tests and six vane shear p3, respectively, and decrease with the increases in the
tests were performed around the tunnel before and distance between the monitoring points and tunnel axial
after the passing of TBM. line.
The instantaneous stress disturbance of Shanghai silty
4.2. Extent of stress disturbance
clay in close proximity to the tunnel during EPB
tunnelling is mainly studied in this paper.
Change in peak undrained shear strength occurs due
4. Stress disturbance during tunnelling to the stress disturbance in tunnelling (Baligh et al.,
1987; Xu and Sun, 1999). The extent of the stress
4.1. Stress disturbance degree disturbance during tunnelling can be determined by the
changes in the peak undrained shear strength of soils
Stress disturbance consists of the changes in pore before and just after tunnelling. The undrained shear
water pressures and total stresses. The changes in pore strength can be measured using the field static cone
water pressures and total stresses are shown in Fig. 3 penetration tests (SCP). Thus, the extent of stress
for the Shanghai silty clay. The buried depth of the disturbance during tunnelling can be determined from
monitoring points is approximately 11 m. Symbols p1, the results of SCP tests before and just after tunnelling.
p2 and p3, and w1, w2 and w3, drawn in Fig. 2, are the The typical results of static cone-penetration tests are
locations where earth pressure and water pressure were shown in Fig. 4. The locations of the SCP tests are
measured. It is seen that the pore water pressures and shown in Fig. 2 (i.e. AA, BB and CC line). It is seen
total stresses increase with the decrease in distance
between the monitoring points and the tunnel axial line
in transverse section from Fig. 3. The pore water
pressure and earth pressure increase before the shield
cutter face reaches the measured section, and decrease
after the shield cutter head passes through the measured
section. The increases and decreases in earth pressure
and water pressure synchronize. The maximum changes
in earth pressure and water pressure occur at points of
p3 and w3, and are 32 and 25 kPa, respectively.
The stress disturbance degree (SDD) is defined as:

s9d
SDDs1y (1)
s90

where sd9 is the effective stress of soils just after


tunnelling, s90 is the initial effective stress, which is the
effective stress of soils before tunnelling. The formula Fig. 3. Stress change during shield tunnelling.
Y. Xu et al. / Tunnelling and Underground Space Technology 18 (2003) 537545 541

Fig. 4. Results of static cone-penetration tests in situ.

from Fig. 4 that the static point resistance decreases resistance occurs at the depth of 2 m in AA line, at 4.3
during tunnelling. In Fig. 4, psd is the static point m in BB line and at 6.5 m in CC line in section 1. At
resistance after tunnelling, and ps0 is the static point the depth of 13 m in line CC, the measured static point
resistance before tunnelling. According to the measured resistance just after tunnelling is nearly equal to that
results shown in Fig. 4, the changes of static point before tunnelling and keeps constant. The boundary
542 Y. Xu et al. / Tunnelling and Underground Space Technology 18 (2003) 537545

unconfined compression strength (qu0) before and just


after tunnelling, while the residual unconfined compres-
sion strength measured before tunnelling (qur0) is nearly
equal to that measured just after tunnelling (qurd). The
change in the peak unconfined compression strength at
point C-1 during tunnelling is very little, which is
consistent with the fact that point C-1 is at the edge of
the stress disturbed region determined by the results of
SCP tests. The largest change in the measured unconfi-
ned compression strength occurs at point A-2, located
in the centre of the stress disturbance region. The ratio
of (qu0yqud)yqu0 is shown in Fig. 5 at the related
locations, here qu0 and qud are the peak unconfined
compression strength before and just after tunnelling.
The larger is the stress disturbance degree (SDD) in the
measured positions where the larger change occurs in
unconfined compression strength, and where the larger
is the (qu0yqud)yqu0. The ratio of (qu0yqud)yqu0 gives
an expression to the stress disturbance degree during
tunnelling.

5. Variation in soil mechanical properties during


Fig. 5. Extent of stress disturbance during tunnelling obtained from tunnelling
the results of the static cone-penetration tests and the vane shear tests.
In order to study the influence of the stress disturbance
between disturbed and undisturbed areas is the outline on strength and modulus of deformation during tunnel-
through those points, where no change in the measured ling, many soil samples of Shanghai silty clay were
static point resistance occurs. The stress disturbance collected from the layer 4 (Table 1) using thin-wall
range is depicted in Fig. 5. samplers. The length of the sampler was 50 cm, the
The results of vane shear tests measured before and wall thickness was 1.5 mm and the inside diameter was
just after tunnelling are shown in Table 2. The testing 60 mm.
points are marked in Fig. 2 (e.g. A-1, A-2, etc.). It can The test programs were designed as follows (Fig. 6).
be seen that there are large decreases in the peak K0-consolidation tests were performed to eliminate the

Table 2
Results of vane shear tests before and just after tunnelling

Testing Peak unconfined compression Residual unconfined Change in peak


points strength (kPa) compression strength (kPa) unconfined compression
strength
Before After Before After (qu0yqud)yqu0
tunnelling tunnelling tunnelling tunnelling
(qu0) (qud) (qur0) (qurd)

A-1 64.4 41.8 17.1 16.4 0.35


A-2 58.8 30.5 14.7 14.5 0.48
B-1 55.2 38.1 15.5 14.6 0.31
B-2 60.4 34 16.4 14.5 0.44
C-1 60 52.8 16.5 16.4 0.12
C-2 58 38.5 15.8 15.5 0.34

Fig. 6. Laboratory test programs to study stress disturbance during tunnelling.


Y. Xu et al. / Tunnelling and Underground Space Technology 18 (2003) 537545 543

effects of stress disturbance. The undrained shear


strengths and the initial modulus of deformation were
obtained from triaxial compression tests on the K0-
consolidated samples.

5.1. Changes in undrained shear strength due to excess


pore water pressure

It is assumed that the parameters of shear strength


expressed by effective stress are constant and are inde-
pendent of excess pore water pressure. According to the
MohrCoulomb failure criterion, the relationship of two
effective principal stresses is written as:

1qsinf9 9 2cosf9 9
s91fs s3fq c0 (3)
1ysinf9 1ysinf9
Fig. 7. Undained shear strength vs. excess pore pressure measured in
situ by the vane shear tests.
where s91f and s93f are the major and minor effective
principal stresses before tunnelling, respectively; c90 and kPa, f9s308 and cr9s14 kPa. The vane shear tests are
f9 are the effective cohesion and the effective angle of shown in Fig. 7 during driving of the Shanghai Bund
internal friction. Owing to excess pore pressure in EPB Sightseeing Tunnel. From Fig. 7, it is seen that the
tunnelling, the effective principal stresses are given by: undrained shear strength of the disturbed soils varies
between the values calculated by Eqs. (6) and (7). This
1qsinf9 0 2cosf9 9 indicates that the soil microstructure is partly damaged
s01fs ,s3fq c0 (4)
1ysinf9 1ysinf9 due to excess pore pressure in tunnelling.

s03fss93fyuw (5) 5.2. Changes in undrained shear strength and defor-


mation modulus due to stress disturbance
where uw is the excess pore pressure induced by tunnel-
ling. From Eqs. (4) and (5), the undrained shear strength In order to study the effect of stress disturbance on
is obtained as: mechanical properties of Shanghai silty clay, the stress
state in situ was simulated by K0-consolidation tests in
s01fys03f s91fys93f sinf9 the laboratory. If the vertical effective stress in situ is
cIuds s y uw sv09 and the vertical effective stress in the K0-consoli-
2 2 1ysinf9
dation test is svd9, the stress disturbance degree (SDD)
sinf9
scu0y uw (6) is calculated from Eq. (1).
1ysinf9 The relationships between stress disturbance degree
(SDD) and the initial tangent modulus of deformation,
where cIud and cu0 are the undrained shear strength of the undrained shear strength and the axial strain at the
disturbed soil and undisturbed soil, respectively. peak deviator stresses of Shanghai silty clay are shown
If the clay microstructure will be damaged and cohe- in Figs. 810, respectively. From Fig. 8, it is seen that
sion will be reduced during tunnelling, the cohesion of the initial tangent modulus of deformation decreases
the disturbed soil with damaged microstructure is nearly with increasing the stress disturbance degree (SDD) and
equal to the effective residual cohesion (cr9). Hence Eq. a power function relationship exists between the stress
(6) can be written as follows: disturbance degree (SDD) and initial tangent modulus,
i.e.
sinf9 cosf9
cIIudscu0y uwy c90yc9r. (7)
Eti
1ysinf9 1ysinf9
sa(SDD)n (8)
s9v0
where cudII is the undrained shear strength of disturbed
soil with structure damaged. Eq. (6) gives the undrained where Eti is the initial tangent modulus of Shanghai
shear strength of the soils disturbed by the excess pore silty clay disturbed by tunnelling; sv09 is the vertical
pressure, and the influence of the microstructure damage effective stress in situ; a and n are statistical constants.
on undrained shear strength is considered in Eq. (7). Here, as0.25, nsy0.49 for Shanghai silty clay. The
For Shanghai silty clay (layer 4), cu0s32 kPa, c09s26 relationship between the stress disturbance degree
544 Y. Xu et al. / Tunnelling and Underground Space Technology 18 (2003) 537545

Fig. 8. Measured relationships between stress disturbance degree Fig. 9. Measured relationship between the stress disturbance degree
(SDD) and initial tangent modulus of deformation in the laboratory, (SDD) and undrained shear strength in the laboratory, the solid line
the solid dots are experimental data and the solid line is the regressing is the regressing line.
line.
6. Conclusions
(SDD) and undrained shear strength is shown in Fig. 9,
and can be expressed by: The definition of the stress disturbance degree (SDD)
during EPB tunnelling is presented based on the varia-
cudsbSDD.m (9) tion in the in situ effective stresses before and after
tunnelling. In the Shanghai Bund Sightseeing Tunnel,
where cud is the undrained shear strength of disturbed the stress disturbance degree (SDD) spans from 0.197
soils; b and m are statistical constants, and bs25.6, to 0.274 at points located side distance from 3Ry2 to
msy0.2 for Shanghai silty clay. The relationship 7Ry2 (R is the tunnel radius), respectively, from the
between the axial strain at peak deviator stress and tunnel centre, when the maximum change in pore water
stress disturbance degree (SDD) can be described by pressure occurs. The static cone penetrometer resistance
hyperbola from Fig. 10, and is written as: before and after tunnelling decreases with the stress
disturbance degree. According to the depths of changes
1 d in the static cone penetrometer resistance measured
scq (10)
p SDD around the tunnel, the extent of stress disturbance in
close proximity to the Shanghai Bund Sightseeing Tun-
where p is the axial strain at the peak deviator stress; nel was obtained.
c and d are statistical constants and cs0.05, ds0.002
for Shanghai silty clay.
The changes in unconfined (undrained) shear
strength, initial tangent modulus and axial strain at peak
deviator stress are induced by the changes in the effec-
tive stress, which occurs in the EPB tunnelling. The
changes in effective stress are due to the soil disturbance
in tunnelling. The soil disturbance in tunnelling is the
basic reason for the changes in soil mechanic properties.
Controls in tunnelling process and compensation grout-
ing are the main means to limit the changes in soil
mechanical properties. Controls in tunnelling processes
can well diminish the soil disturbance induced by
tunnelling. Controls in tunnelling processes mainly con-
sist of the controls in soil pressure at face, controls in
driving speed and rate of discharge and controls in
shield pose. Compensation grouting will improve the
disturbed soils and diminish the strain disturbance and Fig. 10. Measured relationship between the stress disturbance degree
can therefore effectively limit the changes in soil (SDD) and axial strain at peak deviator in the laboratory, the solid
mechanic properties. dots are experimental data and the solid line is the regressing line.
Y. Xu et al. / Tunnelling and Underground Space Technology 18 (2003) 537545 545

Stress disturbance during EPB tunnelling causes var- of Technology, for his kind help and valuable input to
iation in the mechanical properties of soils around the this paper.
tunnel. According to experimental results, the changes
in the undrained shear strength, initial tangent modulus References
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