You are on page 1of 10

Tunnelling and Underground Space Technology 28 (2012) 287–296

Contents lists available at SciVerse ScienceDirect

Tunnelling and Underground Space Technology

journal homepage:

Analysis of ground movement due to metro station driven with enlarging

shield tunnels under building and its parameter sensitivity analysis
Jiangfeng Liu a,⇑, Taiyue Qi b, Zhanrui Wu b
Laboratoire de Mécanique de Lille (LML), Ecole Centrale de Lille, BP 48, F-59651 Villeneuve d’Ascq Cedex, France
School of Civil Engineering, Southwest Jiao Tong University, Chengdu 610031, PR China

a r t i c l e i n f o a b s t r a c t

Article history: Using expanding excavation based on shield tunnel can be regarded as a new approach to construct a
Received 21 November 2010 metro station, especially when traditional methods cannot be implemented. This paper focuses on the
Received in revised form 6 December 2011 ground movement property caused by shield tunneling and expanding construction. Ground movement
Accepted 22 December 2011
property and construction influence scope, which happens during the construction process, are obtained
Available online 14 January 2012
by large numbers of numerical calculations and monitoring measurements. Results show that expanding
excavation is the main factor which affects ground movement, and its influence will increase as the sta-
bility of surrounding rock deteriorates. Besides, horizontal displacement and vertical displacement
Shield tunneling
Expanding excavation
(uneven settlement) are the two important factors which lead to building deformation and cracks; there-
Ground movement fore, more attention should be given to these areas where the maximum displacement may occur during
Building deformation the construction process. Analysis of the two parameters, length to diameter ratio and depth to diameter
ratio, indicates their relationship with safety of tunnel and building. Influence degree and scope of ground
settlement are obtained due to change of the two parameters. The practical importance of this analysis is
that we can judge whether building and tunnel are in a dangerous zone and thereby adopt relevant pre-
reinforcements to ensure their safety. Later with the comparison of numerical simulation and in-situ data,
we verify the accuracy of simulation.
Ó 2011 Elsevier Ltd. All rights reserved.

1. Introduction this subject, are mostly about construction schemes. For example,
Nakamura et al. (2003) introduced a method to excavate a rectangu-
At present, when building a metro station, conventional pro- lar cross-section for the Kyoto Municipal Subway. Shirai et al. (2005)
cesses and technologies cannot be implemented smoothly because reported a new technology, namely using the large-diameter curved
of restrictions caused by surrounding environment (e.g., launching pipe roof construction method to construct large underground
and receiving shafts cannot be constructed on the line because of spaces. Kunihiko and Kenichi et al. (2006) presented that a large
the existence of buildings and underground utilities). However, diameter shield tunnel was used for the construction of subway,
these problems can be effectively solved when the shield tunneling and he also described a non-cut-and-cover method which was used
method or the expanding shield tunnels method are utilized to con- for cutting the ground between two large-diameter shield tunnels.
struct a metro station directly. Meanwhile, construction period can Hiroshi et al. (2006) showed that shield tunneling is utilized to build
be shortened significantly and construction quality will also be im- the Central Circular Shinjuku Route of Tokyo Metropolitan Express-
proved, which will definitely bring practical and economic signifi- way, and the space enlargement method was adopted to construct
cance (Lu, 2007; Li, 2007; Liu, 2010). Both shield tunneling and branch connections and ramps. Hiroshi (2007) described an Open-
expanding construction will induce disturbance to the surrounding Cut Method which was used for the construction of enlarging road
rock and cause ground movement; however, what exactly the two shield tunnel. However, there is little research about the effect of
processes ‘‘contribute’’ to the ground movement is still unknown; this construction method on the ground movement property are
besides, considering the existence of a building, when H/D and L/D few. This paper presents a detailed research on such problems, with
change (H is the depth of tunnel, L is the horizontal distance be- the background of a left line platform tunnel of Dongshankou metro
tween tunnel and building, D is diameter of shield tunnel), the influ- station Guangzhou metro line 6 in China.
ence of two construction processes on stratum movement is also
unknown. Currently, some published papers, which are related to 2. Engineering situation

⇑ Corresponding author. Tel.: +33 0668259478. The use of expanding excavation based on shield tunnels is
E-mail address: (J. Liu). adopted in an under-construction left line platform tunnel of

0886-7798/$ - see front matter Ó 2011 Elsevier Ltd. All rights reserved.
288 J. Liu et al. / Tunnelling and Underground Space Technology 28 (2012) 287–296

Dongshankou metro station Guangzhou metro line 6, China. The in contrast to shield tunneling, ground settlement caused by
distance from the tunnel vault to the ground surface is 18.800– expanding construction is larger. As shown in Table 2, in the
19.845 m, and the distance between invert and ground is places of surface, depth of 1D, depth of 2D and vault, the settle-
27.045–27.534 m. The left line of station crosses a six storied ment caused by expanding construction accounts for 54.96%,
building of the Second Light Industry Group. The terrane through 54.80%, 53.70%, and 50.86% of the total settlement. With the in-
which the left line platform tunnel passes consists mainly of mod- crease of depth (above the vault), ground settlement rises sharply.
erately weathered zones and silky weathered zones. The top of After expanding construction, the settlement amount of surface,
tunnel crosses mainly through strong weathered zones, and it goes depth of 1D, depth of 2D and vault are 9.17 mm, 10.11 mm,
partly through fully weathered zones. The formation parameter 14.47 mm, and 20.84 mm respectively. It can be seen clearly that
and the geological section map are shown in Table 1 and Fig. 1, the settlement value of vault is two times bigger than surface
respectively. subsidence.

3. Model building 4.2. Stratum settlement trough and three-dimensional ground

subsidence surface
According to the construction scheme and geological data,
FLAC3D is used to build a three-dimensional model. Model dimen- Based on the same reason as in chapter 4.1, section of y = 26 m
sion is 98 m  50 m  35 m, number of grid cells are 89,000, see is chosen to analyse. Stratum settlement trough and three-dimen-
Fig. 2. When modeling, shell element and cable element are used sional ground subsidence are shown in Figs. 3–6.
to simulate primary lining and rock bolts; besides we adopt beam According to settlement curves at different depths of stratum
element to simulate columns and beams. The live load of every (see Figs. 4 and 5), the shape of surface settlement curves is gentler,
floor is according to the code for design of building foundation and its distribution range is quite bigger. With the depth increasing
(The National Standards Compilation Group of People’s Republic (above the vault), the form of settlement curves become precipi-
of China, 2002). Live load of top floor is 0.5 kN/m2, and the aver- tous, and their distributions are narrower. In addition, ground set-
aged live load of other floors is 2.25 kN/m2. Considering the gravity tlement of the same cross-section is not completely symmetrical
of wall which transmits to the framework of the beam, the applied along the axis, which can be seen clearly from Figs. 4–6. The rea-
load to each floor is 4.9 kN/m2. sons for this phenomenon are likely to be skew intersection of
The following assumptions are used when simulating: (1) building and tunnel axis, and on the other hand it has some rela-
Ground surface and each soil layer represent in homogeneous tionships with formation lithology, construction methods, ground-
and horizontal layered distribution; (2) Groundwater seepage is water and other factors.
overlooked, and deformation of soil itself has no relation with Horizontal and vertical displacements of stratum are the two
time; (3) Soil is isotropic and elastic-perfectly plastic material, most important factors which induce building deformation. By
which complies with Yield Criterion of Mohr–Coulomb; (4) We analyzing the calculation results, the maximum horizontal dis-
adopt deformation compatibility to calculate deformation of build- placement and disturbance range to stratum, caused by shield tun-
ings and foundation, as well as foundation and soil. neling and expending construction, are generalized in Table 3. This
data can be used to predict ground movement before construction.
4. Ground movement property induced by shield tunneling and When the maximum horizontal displacement occurs close to
expanding excavation underground utilities and architectural pile foundation, monitor-
ing must be strengthened and relevant Pre-reinforcement should
In urban areas, it is essential to protect pre-existing structures be adopted to ensure their normal usage and safety.
and underground utilities from damage due to ground movement
caused by the construction of a metro station. Therefore, it is par- 4.3. Horizontal displacement of stratum
ticularly important to know the influence degree and scope as a re-
sult of a metro station construction. This section will focus on this As indicated in chapter 4.1, Z-direction displacement (differen-
problem. tial settlement) and X-direction displacement of stratum (Stretch
and squeeze) may lead to building deformation and cracks, while
4.1. Key points displacement Y-direction displacement only has smaller influence on building
deformation because of its little value.
In order to analyse influence degree of shield tunneling and In X-direction the shape of curve represents in stretch and
expanding construction on the ground settlement, some points squeeze, and it expresses changes in wave shape (see Figs. 7–10).
of key parts are extracted from the model, such as ground sur- Because of skew intersection of building and tunnel axis, horizon-
face, distance from ground surface 1D, 2D and 3D (namely tunnel tal displacements of stratum are not completely symmetrical about
vault). We define these points as Key Points, and then we extract the centerline during the construction process. Horizontal dis-
the vertical displacement of these points during the construction placements relative to the tunnel axis are in the opposite direction,
process, see Table 2. During the process of shield tunneling, it and the horizontal displacement caused by expanding excavation
drives 1.4 m for each step, and the total steps are 25; during is larger than the displacement caused by shield driving. With
the process of expanding construction, it excavates 0.7 m per the increase of buried depth, the curve becomes more precipitous,
step, and total steps are 50. The intersection location of the and during the range of 6 m from the tunnel axial, horizontal dis-
building and tunnel axis is at the position of y = 26 m (longitudi- placement of stratum increases gradually; while the distance is
nal); therefore these key points are chosen from the section of more than 6 m, the variation tendency is the opposite. The influ-
y = 26 m. ence range of horizontal movement decreases as the depth of stra-
As presented in Table 2, shield tunneling only has a smaller ef- tum increases (see Fig. 10), and the position of the maximum
fect on surface subsidence when comparing with expanding exca- horizontal displacement are different in different buried depths
vation. During the process of shield tunneling, surface subsidence (see Table 3). In the working-yard, ground surface cracks occur
of the sixth step, the fourteenth step, the eighteenth step and the mostly at the position around 9.5 m from the tunnel axis, which
twenty-fifth step are 1.45 mm, 3.35 mm, 3.81 mm and 4.13 mm, coincides with the position of the maximum horizontal displace-
respectively, and all these values are less than 10 mm. However, ment (see Table 3).
J. Liu et al. / Tunnelling and Underground Space Technology 28 (2012) 287–296 289

Table 1
Soil properties (according to exploration data).

Geotechnical name Height Natural Shear test Compression Modulus of Modulus of

(m) density q coefficient a1 2 compression deformation E0
Directly quick shear test Consolidated quick shear
(g/cm3) (MPa 1) Es1 2 (MPa) (MPa)
Cohesive Internal Cohesive Internal
strength c friction strength c friction
(kPa) angle u (°) (kPa) angle u (°)
Layer of artificial filled soil 2.11 2.01 24.30 13.20 18.90 21.60 0.40 4.18 6.0
Layer of alluvial-diluvialsoil 7.2 2.00 28.5 14.4 26.10 20.3 0.36 5.04 7.5
Clasolite-completely 1.59 2.00 25.2 13.2 42.0 25.6 0.54 3.57 15.0
weathered zone of rock
Clasolite-strongly 5.13 2.17 80 25 100.0
weathered zone of rock
Clasolite-moderately 3.51 2.46 200 35 4.09  103
weathered zone of rock
Clasolite-silky weathered 12.21 2.58 300 40 13.2  103
zone of rock

Note: 4.09  103 MPa and 13.2  103 MPa are modulus of elasticity.

Fig. 1. Stratigraphic column.

Fig. 2. FD model and skeleton map of excavation. Note: P1 – outline of upper bench excavation; P2 – outline of lower bench excavation; P3 – area of shield driving; P4 –
segment; P5 – influence area due to of pre-grouting with sleeve valve pipes; P6 – influence area of large-pipe-shed.
290 J. Liu et al. / Tunnelling and Underground Space Technology 28 (2012) 287–296

Table 2
Some key points displacement.

Construction process Construction step Ground surface Buried depth of 1D Buried depth of 2D Buried depth of 3D (Vault)
Shield tunneling The sixth step 1.45 1.68 2.83 4.57
The tenth step 2.55 2.95 5.11 8.76
The fourteenth step 3.35 3.81 6.14 9.79
The eighteenth step 3.81 4.28 6.51 10.09
The twenty-fifth step 4.13 4.57 6.70 10.24
Expanding excavation The sixth step 4.67 5.17 7.52 11.06
The twentieth step 5.24 5.83 8.71 13.32
The twenty-eighth step 7.29 8.16 12.30 18.38
The thirty-sixth step 8.14 9.07 13.41 19.74
The forty-sixth step 9.04 9.99 14.37 20.75
The fiftieth step 9.17 10.11 14.47 20.84
Proportion Expanding excavation 54.96% 54.83% 53.41% 50.86%

Fig. 5. Stratum settlement at different buried depths (expanding excavation). Note:

Buried depth of 2D, 3D mean that the stratum at a distance of two or three times of
shield tunnel’s diameter to ground surface.
Fig. 3. Ground surface settlement happened in different construction process.

Fig. 6. Three-dimensional subsidence surface.

Fig. 4. Stratum settlement at different buried depths (shield driving). conditions. As in chapter 4.1, key points are chosen to analyse the
effect of formation condition on ground movement, see Table 4. It
is clear that the influence of expanding excavation construction
4.4. Analysis of ground movement happened in different geological on ground movement increases gradually as condition of surround-
conditions ing rock becomes deteriorated. For instance, from IV class sur-
rounding rock to VI class surrounding rock, ground settlement
Considering the complexity of formation condition in different caused by expanding construction accounts for 60%, 70%, and 75%
places of China, we choose three different formation conditions to of the total settlement. Especially for VI class surrounding rock, hor-
simulate. This section focuses on ground settlement property due izontal displacement, caused by expanding excavation, accounts for
to construction of a metro station occurred in different geological more than 80% of the total displacement. Therefore, it is essential to
J. Liu et al. / Tunnelling and Underground Space Technology 28 (2012) 287–296 291

Table 3
Sphere of influence due to construction.

Position Construction Ground Buried Buried

stage surface depth depth
(m) 2D (m) 3D (m)
Position of the Shield tunneling ±10 ±7 ±5
maximum & Expanding
horizontal excavation
displacement occurs
Influence range of Shield tunneling ±20 ±10 ±7
horizontal heave of
Expanding ±25 ±15 ±10
Influence range of Shield tunneling ±12 ±10 ±7
ground subsidence
Expanding ±18 ±12 ±9

Fig. 9. Horizontal displacement of stratum (buried depth 3D).

Fig. 7. Horizontal displacement of stratum (ground surface).

Fig. 10. Horizontal displacement of stratum of different buried depth (expanding

5. Parameter sensitivity analyses of ground movement under

existence of building

As indicated before, length to diameter ratio (L/D) and depth to

diameter ratio (H/D) are the two important factors which have a
close relationship with ground movement. In this section parame-
ter sensitivity analysis of these two factors is analysed in detail
and relevant conclusions are obtained. The so-called ‘‘parameter
sensitivity’’ that is, when one parameter is fixed, the research objec-
tive will change with variation of other parameters. Some research-
ers have carried out similar research on this aspect. Neaupanea and
Adhikarib (2005) used diameter to depth ratio (D/Z) to predict the
horizontal ground movement. Zhang et al., (2006) adopted R (radius
of tunnel), H (buried depth) and u (soil friction angle) to research
the relationship between surface settlement and these three fac-
tors. Liao et al. (2006) obtained the relationship between H (the
Fig. 8. Horizontal displacement of stratum (buried depth 2D). depth of underground tunnel), L (the horizontal distance between
the tunnel and the building) and settlement of the upper building.

adopt some pre-reinforcement measures before expanding excava- 5.1. Effect of building location on the ground movement
tion when formation condition is worse than IV class. Besides, mon-
itoring measurement is an effective way to assure construction In order to better understand the effect of the horizontal dis-
safety. placement L on the ground movement, here we chose the lengths
292 J. Liu et al. / Tunnelling and Underground Space Technology 28 (2012) 287–296

Table 4
Some key points’ displacements of different surrounding rock classification.

Surrounding rock classification Construction process Settlement (mm) Horizontal displacement (mm)
Ground surface Buried depth of 1D Buried depth of 2D Stretching Compression
IV-grade After shield driving 2.0 3.0 3.37 1.0 2.0
After expanding excavation (mm) 5.0 7.5 8.29 1.5 4.9
Proportion (expanding excavation) 60% 60% 59% 32% 59%
V-grade After shield driving 3.0 4.0 4.9 1.0 2.3
After expanding excavation (mm) 10.0 12.0 14.9 5.0 15.19
Proportion (expanding excavation) 70% 67% 67% 80% 85%
VI-grade After shield driving 5.0 7.5 10.2 7.0 3.9
After expanding excavation (mm) 20.0 30.0 41.7 40.0 90.0
Proportion (expanding excavation) 75% 75% 76% 83% 96%

of (L) 5 m (L/D: 0.78), 15 (L/D: 2.34), 25 m (L/D: 3.90) and 35 m (L/

D: 5.47) to analyse, and H (H/D 1.56) is 10 m. Construction pro-
cesses are shield tunneling and expanding excavation. In order to
clarify changes in surface settlement of the building and the top
of tunnel, we chose two monitor points A and B to analyse (see
Fig. 11).
Fig. 12 represents the settlement curve of point A which hap-
pens during the process of shield tunneling. When the ratio (L/D)
is less than 2, the horizontal distance L between tunnel and build-
ing exerts a greater effect upon the surface subsidence (above the
tunnel); when L/D exceed 3.1, the shape of curve tends to be
smooth, which indicates that the ratio of L/D (when L/D > 3.1) only
has a slight effect upon ground settlement. For the process of
expanding construction, within range of 2.8, L/D has a bigger effect
on surface subsidence; when the ratio is more than 3.9, ground
movement is little affected by it (L/D).
Based on the settlement curve of point B (see Fig. 13), in the
course of shield tunneling, the smaller the ratio of L/D, the steeper
the curve, and the greater influence of the ratio on the settlement Fig. 12. Settlement curve of point A (H/D is constant).
of building. While the ratio exceeds 2.3, the shape of the curve be-
comes gentler, namely, the ratio has a slight effect on the subsi-
dence of building. When the ratio overtakes 4.1, subsidence of
point B is less than 1.5 mm; it means that the rate of L/D only
has a tiny effect on the building settlement. As for expanding con-
struction, when the ratio is less than 3.4, it will exert a strong influ-
ence on the building subsidence. When the ratio is more than 3.4,
the settlement curve tends to be smooth. While the L/D is above

Fig. 13. Settlement curve of point B (H/D is constant).

4.4, the settlement of point B is no more than 2.0 mm; it means

that building settlement is insignificantly affected by the ratio.

5.2. Impact of tunnel’s depth on ground movement

Improvement of knowledge about influence of a tunnel depth

on surface subsidence is also particularly important. In this section,
we chose the depths of (H) 5 m (H/D: 0.78), 15 m (H/D: 2.34), 25 m
Fig. 11. Schematic diagram of the relative position of building and tunnel. (H/D: 3.9) and 35 m (H/D: 5.47) to analyse, and L is 10 m (L/D:
J. Liu et al. / Tunnelling and Underground Space Technology 28 (2012) 287–296 293

Table 5
Parameters table ground movement under building.

Variable Monitoring Construction Ratio Larger Smaller Slight

parameter point stage
L/D A Shield 0–1.4
Expanding 0–2
B Shield 0–1.6
Expanding 0–2.4
Fig. 14. Settlement curve of point A (L/D is constant). >3.1
H/D A Shield 0–2.2
Expanding 0–2.6
B Shield 0–1.5
Expanding 0–2

5.3. Analysis table of parameter sensitivity

In order to reflect intuitively the relationship between H/D, L/D

Fig. 15. Settlement curve of point B (L/D is constant).
and the safety of the tunnel and building, research results are sum-
marized in Table 5. Comparing with the table, we can predict and
judge intuitively the safety case of building and tunnel due to
1.56). Similar to the previous situation, construction processes are
shield tunneling and expanding construction, and adopt relevant
also shield tunneling and expanding construction.
reinforcement measures before construction. This conclusion has
According to settlement curve of point A (see Fig. 14), during
been used successfully in Dongshankou metro station, which will
shield tunneling, the shallower the depth of the tunnel, the steeper
be analysed in detail in Section 6.
the curve becomes. While H/D exceeds 3.1, the curve becomes
smooth, which indicates that the ratio of H/D (H/D > 3.1) only has
a little effect on ground movement. When the ratio of H/D is above 6. Comparison of numerical simulation and in situ monitoring
3.9, the subsidence of point A is less than 2.0 mm; it means that data
surface settlement is seldom affected by the buried depth of tun-
nel. For the expanding construction, within the scope of 3.7, the 6.1. Layout of measuring points
rate will affect greatly on the surface subsidence of the tunnel’s up-
ward side; when the ratio is more than 3.7, the form of subsidence The station is located in the intersection between Shuqian Road
curve turns to be gentle, which means that ground movement and Zhongshan Road, while the platform tunnel is under the build-
above the tunnel is lightly affected by it (H/D). When the H/D is ings of Shuqian Road. Measuring points are difficult to fix as the de-
more than 4.4 (less than 5.47), the subsidence of point A is stable sign drawing because of heavy traffic flow. Therefore, we make some
at the 7.8 mm; therefore, when the H/D exceeds 4.4, the ratio has adjustments when arranging the monitoring points, see Fig. 16.
scarcely impact on surface subsidence.
Fig. 15 shows the settlement curve of point B which occurs 6.2. Monitoring Results
within the process of shield driving. It is quite interesting to note
that subsidence of point B is greatly affected by the tunnel’s depth According to exploration data, the distance between the plat-
within the range of 2.2. When the ratio exceeds 3.4, the form of form tunnel of the left line and the surface is 18.80–19.85 m (H/
curve becomes gradual. It means that influence of ratio H/D on D 2.9–3.1). The building is on the top of station. Comparing with
the settlement of point B also decreases gradually. During the pro- Table 5, it is within the range of a relatively large influence region.
cess of expanding construction, when the H/D is less than 2.8, it Therefore, it needs to take some pre-reinforced measures before
will affect point B’s subsidence greatly. While the ratio is more construction. When constructing, before expanding excavation, a
than 3.9, the settlement curve tends to be gentle, and ground sur- construction shaft is utilized to fix large pipe shed along longitudi-
face settlement near the building is hardly affected by it (H/D). nal direction of tunnel within a certain range of the tunnel’s vault
294 J. Liu et al. / Tunnelling and Underground Space Technology 28 (2012) 287–296

(during the range of 120°); and two rows of horizontal sleeve valve
pipes are set up within range of the tunnel’s vault (during the
range of 120°), with the purpose of grouting to the rock of tunnel’s
vault. Specific process is presented in Fig. 17. The whole aim is to
ensure the stability of host rock during the construction process.
Now the platform of left line has been completed and it does not
have any problems during the construction process; in addition,
the building deformation is also under control. This could indicate
that the pre-reinforcement measures have played a good role (Liu
et al., 2010).
The monitoring data is shown in Table 6. In order to verify the
accuracy of numerical simulation, we chose section I (horizontal)
and section II (longitudinal) to analyse, see Fig. 16. Section I is near
to the boundary of the metro station and the running tunnel, and
section II is close to the central line of the metro station. Compar-
ison of numerical simulation and monitoring data are presented in
Figs. 18–20, which provide a verification of the predictions ob-
tained from the finite difference analysis.

6.3. Interpretation of result Fig. 17. Specific construction process.

Based on the obtained results of measurements, the maximum the existence of building will affect adjacent ground movement, and
settlement of taken points is 14.06 mm and the minimum surface on the other hand movement of stratum and ground surface will also
settlement is 8.3 mm, which are among the permissible range of exert some influence on building deformation, leading to stress
+10–30 mm, see Table 6. It means that these pre-reinforcements redistribution of building interior load. The displacement of four
have played a good control effect on ground settlement. In addition, building monitoring points J4, J5, J12 and J15 are larger than adjacent
monitoring values dovetail nicely with the result of simulation, see surface monitoring points. For example, the displacement of moni-
Figs. 18–20; however, the calculated amount of settlement from toring point J12 is 14.6 mm (12.9 mm), while the displacement of
FLAC3D is a little smaller than the results of local surveys. The reason monitoring point D9 is 12.8 mm (11.1 mm), see Figs. 18 and
is that the effect of underground water is not considered when per- 19(the value which is presented in parenthesis is simulation value).
forming calculation, and the soil parameters are deemed to be un- It means that existence of the building really has an effect on the sur-
changed at grade. Meanwhile, there are some uncertainties of face settlement. In addition, differential settlement of building really
solum condition and underground water state during the construc- occurs during construction process, see Fig. 18. For instance, dis-
tion process. In transverse section, both monitoring data and simu- placements of four building monitoring points J4, J5, J12 and J15 (lo-
lation value are in accordance with the law of settlement trough (Liu cated at the four corners of the building) are 10.3 mm (9.0 mm),
et al., 2008), and their values are not completely symmetrical along 11.46 mm (10.0 mm), 14.6 mm (12.9 mm), and 12.21 (9.7) mm,
the axis, see Fig. 19. In the longitudinal section, ground settlement of respectively. The maximum differential settlement of the length
monitoring points decreases gradually with vertical distance, see direction and the width direction are d1 = 4.3 mm (3.9 mm),
Fig. 20. This is largely due to consolidation settlement of stratum d2 = 2.39 mm (3.2 mm). According to the Code for Building Ground
(Lin et al., 2011; Zangerl et al., 2008a,b). Sill and Foundation Design (GB50007 – 2002), the allowable differ-
Tunnel-soil-building interaction is a complicated process, one as- ential settlement of frame structure are shown in Table 7.
pect may affect another during construction process (Cheng et al., As this building has been built for many years and the soil is al-
2007; Burd et al., 2000; Keshuan and Lieyun, 2008). On the one hand ready compressed to a certain extent, it is considered as medium

Fig. 16. Layout of ground monitoring points. Note: YDK14 (km) + 869.602 (m); ZDK14 (km) + 960.702 (m).
J. Liu et al. / Tunnelling and Underground Space Technology 28 (2012) 287–296 295

Table 6
Monitoring Report of ground settlement (Donshankou station).

Instrument DSZ2 + FS1 Monitoring 2009.3.1

Number Date
Number of Settlement Accumulated Settlement Warning Controlling
monitoring of this settlement rate value value
points time (mm) (mm) (mm/d) (mm) (mm)
D8 0.3 11.3 0.15 24 30
D9 0.2 12.8 0.1 24 30
D10 0.4 11.2 0.2 24 30
D11 0.6 10.1 0.3 24 30
D12 0.4 10.3 0.2 24 30
D13 0.8 10.9 0.4 24 30
D14 0.7 10.2 0.35 24 30
D15 0.4 9.5 0.2 24 30
D16 0.3 9.1 0.15 24 30
D17 0.2 8.6 0.1 24 30
D18 0.3 8.3 0.15 24 30
J4 0.3 10.3 0.15 24 30 Fig. 20. Monitoring points settlement of section II (longitudinal). Note: Monitoring
J5 0.2 11.46 0.1 24 30 points presented in Fig. 19 are DJ15, D8, D9, DJ12 and D10. Monitoring points
J12 0.22 14.6 0.11 24 30 presented in Fig. 20 are D10, DJ12, J11, B4, DB4 and DJ4. These points are distributed
J15 0.18 12.21 0.09 24 30 around section I and section II.

Note: Settlement ‘‘ + ’’ means rise, ‘‘ ’’ means decline, D represents monitoring

points of ground settlement, J represents monitoring points of building Warning
value is 80% of control value (30 mm).
Table 7
Allowable differential settlement of frame structure.

Soil type Medium and low High compressive

compressive soils soils
Allowable differential 0.002L 0.003L

Note: L is the distance between two pile foundation.

in length; d1 = 4.3 mm (3.9 mm) < 80 mm; and the allowable differ-
ential settlement of the building is [0.002  14,000 mm] = [28 mm]
in width; d2 = 2.39 mm (3.2 mm) < 28 mm. This means that ad-
vanced large pipe shed and sleeve-valve-pipe grouting have played
a good role in controlling differential settlement of building. Mean-
while, the monitoring values and numerical results dovetail nicely.

7. Conclusions

Fig. 18. Settlement of monitoring points (monitoring data and simulation value).
In this article, at first we analyse the ground movement prop-
erty caused by shield tunneling and expanding excavation. Consid-
ering the different formation condition of China, we chose three
different formation conditions to analyse; and then we conducted
some research on parameter sensitivity analysis about L/D and H/D
under existence of building. Finally, accuracy of numerical simula-
tion is verified by comparing with in situ monitoring data. The re-
sults of the present study are summarized below:

– For the two factors of shield driving and expanding excavation,

expanding excavation is the principal factor which influences
ground movement. This influence is particularly obvious when
the stability of surrounding rock becomes deteriorated. E.g.,
for different formation condition, ground settlement caused
by expanding construction account for 60% (IV-grade), 70% (V-
grade) and 75% (VI-grade) of the total settlement, see Table 4.
– Research indicates that building deformation and cracks are
mainly caused by uneven settlement, stretch and squeeze of
stratum. Therefore, monitoring measurement is extremely
Fig. 19. Monitoring points settlement of section I (transverse). important, especially for these positions where the maximum
displacement happened, see Table 3.
and low compressive soils. Therefore, the allowable differential set- – By comparing with Table 5, it is easy for us to predict and judge
tlement of adjacent piles is 0.002L. For this building, its length and the safety of a tunnel and any adjacent building before con-
width are 40 m and 14 m, respectively. Hence, the allowable differ- struction, which is particularly important in urban area. Further,
ential settlement of the building is [0.002  40,000 mm] = [80 mm] this study can help us to determine whether it is essential to
296 J. Liu et al. / Tunnelling and Underground Space Technology 28 (2012) 287–296

take some relevant pre-reinforcement measures to ensure con- Li, W., 2007. Study on Design and Constructions Schemes for Metro Station Based on
NATM by Using Sh1e1d Tunnel. Dissertation for Master’s Degree, Southwest
struction safety. At present, we have successfully applied this
Jiaotong University (in Chinese).
conclusion to Dongshankou metro station. Liao, H.J., Qing, W.C., Zhang, Z.G., Mochizuki, A., 2006. Research on the effect of
– Analysis is performed on the basis of both in situ data and underground tunnelling on the settlement of the building and the ground
numerical simulation, which can assist us to verify the accuracy surfaces. Tunnelling and Underground Space Technology 21 (3–4), 290.
Lin, C.G., Zhang, Z.M., W, S.M., 2011. Case study of long-term ground settlements
of numerical data and to understand the influence of construc- induced by slurry shield tunnelling. Advanced Materials Research 243–249,
tion on ground movement. 3078–3081.
Liu, J.F., 2010. Research on the Ground Movement Law Due to Metro Station Driven
with Enlarging Shield Tunnels [D]. Dissertation for Master’s Degree, Southwest
The use of shield tunneling and expanding excavation for metro Jiaotong University (in Chinese).
station construction is a new construction method in China. Be- Liu, H.Y., Small, J.C., Carter, J.P., 2008. Full 3D modeling for effects of tunnelling on
sides, Dongshankou station is the first station which adopts this existing support systems in the Sydney region. Tunnelling and Underground
Space Technology 23 (4), 399–420.
method to construct a metro station. There are not too many expe- Liu, J.F., Qi, T.Y., Kuang, W.T., 2010. Analysis on ground settlement caused by
riences which can be used for reference; therefore, we hope we can enlarging shield tunnelling. Railway Standard Design 4, 80–82 (in Chinese).
supply some useful information to the following projects. Lu, M.L., 2007. Study on Schemes and Risk Analysis of the Expanded Metro Station
under Shield Running Tunnel. Dissertation for Doctor’s Degree, Beijing Jiaotong
University (in Chinese).
Nakamura, H., Kubota, T., Furukawa, M., Nakao, T., 2003. Unified construction of
running track tunnel and crossover tunnel for subway by rectangular shape
References double track cross-section shield machine. Tunnelling and Underground Space
Technology 18 (2–3), 253–262.
Burd, H.J., Houlsby, G.T., Augarde, C.E., Liu, G., 2000. Modelling tunnelling-induced Neaupanea, K.M., Adhikarib, N.R., 2005. Prediction of tunnelling-induced ground
settlement of masonry buildings. Geotechnical Engineering 143 (1), 17–29. movement with the multi-layer perceptron. Tunnelling and Underground Space
Cheng, C.Y., Dasari, G.R., Chow, Y.K., 2007. Finite element analysis of tunnel -soil- Technology 21 (2), 151–159.
pile interaction using displacement controlled model. Tunnelling and Shirai, S., Kano, M., Watabe, S., Hujiya, T., Ito, Y., Nakamura, M., Akiyama, H.,
Underground Space Technology 22 (4), 450–466. Yamamoto, Y., 2005. Construction of non-open-cut large underground space by
Hiroshi, N., 2007. Construction of enlarging road shield tunnel for the non-open-cut the large-diameter curved pipe roof. Construction Machinery and Equipment
method. In: The Fourth China–Japan Exchange of Shield Driving Tunnel 489 (41), 40–43.
Technique, China, pp. 265–273. The National Standards Compilation Group of People’s Republic of China. Technical
Hiroshi, N., Takuya, M., Akio, M., 2006. Space Enlargement Methods of Shield Code for Building Ground Sill and Foundation Design (GB5007-2002).
Tunnels for Constructing Branch Connections-Examples of the Open Cut Zangerl, C., Eberhardt, E., Evans, K., Loew, S., 2008a. Consolidation settlements above
Method and the Non-Open Cut Method. Technical Research Report of Hazama deep tunnels in fractured crystalline rock: Part 2 – Numerical analysis of the
Corporation (CD-ROM), vol. 38. Gotthard highway tunnel case study. International Journal of Rock Mechanics
Keshuan, M., Lieyun, D., 2008. Finite element analysis of tunnel-soil-building and Mining Sciences 45, 1211–1225.
interaction using displacement controlled model. In: 7th WSEAS Int. Conf. on Zangerl, C., Evans, K., Eberhardt, E., Loew, S., 2008b. Consolidation settlements
Applied Computer & Applied Computational Science (ACACOS’08), Hangzhou, above deep tunnels in fractured crystalline rock: Part 1 – Investigations above
China, pp. 306–311. the Gotthard highway tunnel. International Journal of Rock Mechanics and
Kunihiko, T., Kenichi, Y., 2006. The state of affairs of large diameter shield tunnel Mining Sciences 45, 1195–1210.
method for subway and the recent trend of shield technology in Japan. In: Zhang, Y.T., Tao, L.J., Bian, J., Guo, J., 2006. Numerical modeling of shield tunnelling
International Symposium on Underground Excavation and Tunnelling, Bangkok, based on the stress release ratio method. In: The 10th IAEG International
Thailand, pp. 57–66. Congress, Nottingham, United Kingdom.