Tunnel Convergence Monitoring - From Concept To Implementation

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Tunnel Convergence Monitoring - From Concept to Implementation
Research · August 2015

DOI: 10.13140/RG.2.1.3015.8569
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Asif Riaz
National University of Sciences and Technology
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Tunnel Convergence Monitoring for Nahakkai Tunnel
Tunnel Engineer Asif - March’ 15) Page 1


 This document provides the basic understanding of Tunnel convergence

monitoring with special application conditions to Nahakkai Tunnel.
 Document contains the references from international practices, standard
practices and personal experience of author home and abroad.
 Procedures and practices have specially been picked up which suits the working
environments of young underground construction industry.
 Application process can always be improved according to the site conditions.
 Application of the convergence monitoring process must be mutually agreed by
client, consultant & contractor before implementation.
 All the suggestions / comments are welcomed at asiftunnelengineer@gmail.com


TABLE OF CONTENTS
Ser Topic Page (s)
Part – I (Tunnel Convergence Monitoring during excavation – Concept)
1. 1-2
Overview
2. 3
Monitoring Methods
4
a. Tape Extensometers
5
b. Extensometers
6
c. Geodetic Surveying
7
d. Optical 3D monitoring by Robotic Total Station
8-9
e. Optical 3D monitoring by Manual Total Station
10
f. Tunnel Profilometers
11
g. Crack Gauge
3.
Part – II (Proposed Modalities for Nahakkai Tunnel – Implementation)
12
a. Methodology
12-20
b. 3D Optical Measurement
21-22
c. Crack Gauges / Shotcrete Strain meters
23
d. Extensometers

TUNNEL CONVERGENCE MONITORING DURING EXCAVATION
1. Overview. Underground excavation is a unique construction field with full of

uncertainties and risks. Underground construction practices and augmented by various
interdisciplinary techniques to overcome the associated risks. Even one unit of advance in
tunnel construction under uncertain geology will have certain effects comprising several
uncertain factors.
a. Tunnel excavation will lead to changes in the rocks surrounding the excavation in
many ways, for example:-
i. Localized mechanical deformation (noticeable block displacement occurs).
ii. Alteration in the stress distribution.
iii. Changes in the water flow and hydraulic properties of the surrounding rock mass
(hydraulic properties of the rock have been altered by block matrix deformation
or joint dilation / closure).
b. During tunnel excavation, convergence, i.e., a

tendency for reduction of the section area of the
void formed is observed due to the stress
redistribution around the excavation free
surface.(Figure 1-1) This deformation
accumulates with a gradually decreasing rate
until an equilibrium level is obtained, its
amplitude depends on:-
i. The rock mass conditions
Figure 1-1 (Tunnel Deformation due to
ii. The support system Stress redistribution)
iii. The excavation procedure
iv. On the state of stress.

c. At the face position about one third of the total

radial closure of the tunnel has already occurred
and the tunnel face deforms inwards. This
means that when we excavate a tunnel part of
the radial displacement has already occurred in
the rock mass which has not yet excavated. The
tunnel face has then a stabilizing effect, the
convergence or the rock surrounding the tunnel
is a function of the distance from the tunnel
Figure 1-2 (Insitu stresses acting on
face. (Figure 1-2) tunnel from rock mass )
d. Deformation
Deformations of usual interest in tunneling are movement of the tunnel wall
(inward movement, settlement, heave and often 3D displacement), deformation in
the ground (around the tunnel and ahead of the tunnel excavation face) and
deformation at, or near, ground surface, on structures and utilities (settlement, tilt,
lateral displacement and usually 3D displacement). Typically, the majority of ground
deformation takes place ahead and close to the tunnel face, from about one tunnel
diameter ahead of the face up to about 1.5 diameters behind the face.(Figure 1-3)
Figure 1-3 (Tunnel Deformation ahead of excavation face)
Its necessary that tunnel is monitored frequently and accurately against any
convergence /deformation throughout the construction life cycle.

2. Monitoring Methods
Ground deformation monitoring has different objectives in mountain tunnels and urban
tunnels. In mountain tunnels, the main objective of deformation measurements during
construction is to ensure that ground pressures on the temporary support system are
adequately controlled, i.e., there exists an adequate margin of safety against roof collapse,
bottom heave, failure of the excavation face, yielding of the support system, etc. Control of
ground pressures ensures a safe and economical tunnel structure, well adapted to the inherent
heterogeneity of ground conditions. The key parameter controlling ground deformation around
a tunnel is the ratio of the rock-mass strength to the overburden (geostatic) pressure, thus
recognizing the important role of depth, especially in tunnels excavated in weak rocks.
a. Instrumentation. Deformation monitoring in tunneling project is performed with

instruments installed or operated either from the ground surface or from within the
tunnel.
 Instruments installed from the ground surface prior to tunnel excavation have the
advantage that their operation and repeatability can be checked by several zero-
deformation (base) measurements.
 Instruments installed from within the tunnel are necessarily put in place as the
tunnel advances and thus an appreciable portion of the actual ground deformation
is not recorded (which has occurred prior to instrument installation).
As, the majority of ground deformation takes place ahead and close to the tunnel face,
from about one tunnel diameter ahead of the face up to about 1.5 diameters behind the
face. Thus, instruments placed on the tunnel wall (e.g., 3D optical reflector targets) or
installed in the ground from the tunnel wall (e.g., rod extensometers) should be put in
place as early as possible.
b. Measurement of tunnel wall deformation. Tunnel wall deformation is usually measured
with tape extensometers, installed extensometers, geodetic surveying (total stations)
and laser scanners (profilometers).

 Tape Extensometers
Tape extensometers measure the
distance between reference points (hooks)
bolted on the tunnel wall. Typical tape
extensometers is shown in figure 2-1.
Figure 2-1 (Typical Tape Extensometers)

 The accuracy of such measurements is
typically 0.2mm for distances up to 10 –
15m.
 The method is easy to use. (Figure 2-2)
 Equipment / method is easy to maintain.
 It only allows measurement of movements
along a specific line.

Figure 2-2 (Schematic Diagram – Measurements
by Extensometer)
 It obstructs the construction process during the time of reading. (Figure 2-3)
Figure 2-3 (Practical Measurement by tape extensometer)

 Extensometers
Extensometers record the deformation of target positions in the ground. These
instruments can be installed either from the ground surface (before the tunnel face reaches
the area of the instrument) or from inside the tunnel (radially from the tunnel wall or along
the tunnel axis ahead of the excavation face. The precision of the measurement is of the
order of 0.01 mm. These measurements can be used to assess the extent of the zone of
influence around a tunnel. First a bore hole is made on a selected location and then the
extensometer is inserted with all the allied accessories (figure 2-4). Extensometer measures
the strain movements of the rock and store in the inbuilt memory. Data is collected via
computer. Data is than plotted through software to get the idea of the deformation of the
critical point.(figure 2-5)
Figure 2-4 (Typical layout of the extensometer) Figure 2-5 (Plotting of data on software)
 Measurement accuracy by extensometer is in sub

millimeters.
 If the data transfer is via wireless than there is 0%
disturbance to the excavation work.
 Partial disturbance can be observed only if manual
data collection is practiced i.e; data transfer with
lifting platform (Figure2-6).
 Measurement of local deformations at selective
points
 The longest extensometer is fixed in stable rock for
accurate deformation measurements with respect
to the stable rock mass. Figure 2-6 (Data transfer from
Extensometers)

 Geodetic Surveying. In most present-day tunneling applications, movement of the

tunnel wall is measured in three dimensions by routine geodetic surveying using total
stations.
Optical reflector targets are
installed at sections along the
tunnel (e.g., every 10 – 20 m).
Typically 5–7 reflectors are
installed in each section: at the
crown, mid crown, and at the
wall sides. (Figure2-7).
Figure 2-7 (Practical Measurement by Total Station via optical mirrors)
 As tunnels are usually long, the fixed (stable)

reference positions are located typically
outside the tunnel, often at distances of 1 km
and usually out of sight from inside the
tunnel. (Figure2-8)
Figure 2-8 (Optical Mirror fixed outside the

Tunnel - Stable Reference Point)
 Thus, measurement of the targets inside the

tunnel is obtained by placing the total station
on pre-defined brackets (typically bolted on
the tunnel wall) and successively moving the
instrument forward (towards the tunnel
excavation face) while measuring targets.
(figure 2-9).
Figure 2-9 (Wall bracket for Total Station)
 As the brackets used for positioning the instrument often move, following long-term
displacement of the tunnel wall, corrections are necessary.

 Optical 3D Monitoring by Robotic Total Station

 Robotic Total Stations are used for gathering real time data for the 3D (three
dimensional) movements.
 It is preferred against manual 3D geodetic survey when continuous mobility of survey
crew is not feasible and real time data acquisition is required.
 Theodolite operation is based upon

electronic distance meter(EDM)
 Robotic Total Stations (automated
motorized) are fixed temporarily on special
bases as shown in figure 2-10.
Figure 2-10
 On specific intervals, motorized theodolites
read the targets installed on their assigned
radius.
 Data is transferred though communication
means to linked data base and then
processed to see the abnormalities.
Figure 2-11
 Motorized total station can be fixed on the
crown (roof) as shown in figure 2-11.

 Conveniently, total station is mounted on the
bracket on the wall of tunnel (lined or
unlined) as shown on figure 2-12.
Figure 2-12

 Optical 3D Monitoring by Total Station – Manually Operated

 Optical instruments; Primarily Total stations are used.
 Procedure by total station is similar to Robotic Total Station except that Total station is
not robotic / automated and has to be used manually.
 Total station is placed on the center line of the tunnel.
 Total station measures the readings of the targets.
 Targets reflect the movement of the rock mass with respect to the longitudinal or
transverse deformation.
Figure 2-13 (Measurement by the Total Station)

 Bi-flex targets are used as targets. Various types of the bi-flex targets can be used as per
the availability / suitability.
 Some of the commercially available bi-flex targets are illustrated below.
(Commercially available bi-flex targets)

 Total station is moved subsequently forward on pre-designated points (Fixed RDs

/TMs). Figure 2-14(a)
Figure 2-14(a)
 Data is logged manually on printed forms.
 Data should preferably be recorded to give some graphical output for better
comprehension.
 On periodic intervals, total station must satisfy the own position through back
calculations from fixed points outside the tunnel. Figure 2-14(b)
Figure 2-14(b)

 Laser scanners (or tunnel profilometers).

Laser scanners are a recent development in measuring the geometry of tunnel walls
in cross-section (and thus assessing the deformation in the interval between two
measurement epochs).
 Laser scanners are fully digitized photogrammetric measuring devices producing
stereoscopic digital images of the tunnel surface.
 Use of laser scanner halts the construction cycle. Figure 2-15
Figure 2-15 (Measurement by the Laser Scanner)

 Results are precise.
 Sophistication in equipment is prominent. Figure 2-16
Figure 2-16 (Equipment involved in Laser Scanning)

 Crack Gages / Shotcrete Strain meters
 Crack gage are also called as strain gages or joint meters.

 These are installed on the structures and typically used to monitor the cracks in
concrete, plaster or natural joints for changes.
 First appearance of a crack can be an

indication of the structural distress and its
growth in either direction is an indication of
increasing stress.
 Typical description of the gage is illustrated

Figure 2-17
in figure 2-17.
 Movement is determined by observing the

position of the cross on the upper plate with
respect to the grid (Figure 2-18)
Figure 2-18
 Further date can be registered and digitized.
 Circumstances for the use of Strain gages:-

o Cracks are too narrow to be observed by human eye.
o Cracks are widening too slowly.
o Restricted places where human entrance is difficult.
o Requirement of real time monitoring

Proposed Modalities for Tunnel Convergence Monitoring of Nahakkai Tunnel
1. Overview. Nahakkai Tunnel is a road tunnel and being constructed in medium

overburden strata. Mainly geology consists of sedimentary rocks. Project geology doesn’t
indicate any major fault zone encounter on the alignment of whole tunnel. However
sedimentary rock conditions, adoption of observational design approach and project
requirement monitoring of tunnel during the whole construction life cycle is must. It is necessary
to adopt a convergence monitoring system which includes easy, reliable and international
recognized standard measurement procedures.
2. Methodology for Nahakkai Tunnel

Three (3) step tunnel monitoring methodology is suggested for under-construction
Nahakkai Tunnel.
Throughout the
Selected Areas Critical Sections
Tunnel Length
• 3D Optical • Shotcrete Strain • Extensiometer
instrumentation gages • 3D Optical intrumentation
Data measured through any step must be logged and observed with the previous record.
Data logging can be manual or digitized. However, digitized data will give more insight to the
future planning inputs.
3. 3D Optical measurements
The essential requirements of any instrument are reliability, simplicity, easy and fast
installation, operation and calibration without any effect on construction work; the instrument
must be durable in the long term and not prone to damage during and after installation.

a. Equipment
i. Total Station.
 Total station available on site is sufficient in measuring the convergence
points until unless it is not effecting the excavation or other main tasks
adversely. Figure 3-1
 Preferably data must be stored in Total station and then transferred
digitally through software to computer for accuracy.
 Recording of target positions via total station depends largely on the
ability of the expert surveyor.
Figure 3-1 (Total Station Leica 06)
ii. Bi-flex targets. Bi-flex targets will be used to fix on the walls and crown of
the tunnel.
1) Purpose of any bi-flex target would be to present a relative static
target which can be aimed by total station anytime conveniently.
2) Target would be fixed to the walls and crown by means of making a
drill hole and inserting a rod to a sufficient length, rod is normally 30-
60 cm long.

3) Outer edge of the rod will have

screw or socket arrangements
to hold the main target.
4) Typical arrangement of the bi-
flex target is as illustrated in
figure 3-2
Figure 3-2 (Fixing assembly - biflex targets)
 Targets are available in various design and sizes.

 Few pictures of the bi-flex targets are illustrated in the figures 3-3
through 3-6.
Figure 3-3
Figure 3-4
Figure 3-5 Figure 3-6

b. Crew.
i. One chief surveyor along with one helper is sufficient for taking down specific
interval readings. However target installation may need more men and utility
vehicle to fix the targets on upper edges of walls and crown.
ii. It is desirable that separate crew should be employed for taking the reading.
Main surveyor team conducting the regular tunnel survey may not be
involved to avoid the disturbance to tunnel construction.
iii. Dedicated monitoring team will be independent in taking the reading and
then processing it as well, producing neutral output.
iv. Wisely employed crew can optimize the site work cycle by conducting
monitoring survey while other work is going on.
c. Fixing of Bi-Flex Targets.

i. Bi-flex targets should be minimum 3 in numbers at one particular cross
section.
ii. Ideally, should be 5 at one cross section and numbers can be increased per
cross section if critical sections are encountered.
iii. Arrangement of targets varies site to site and condition to condition.
iv. Globally, most adopted arrangements of bi-flex targets are as under (Also
illustrated in figure :-
a) 3 Point Targets
b) 4 Point Targets
c) 5 Point Targets

3 Point Targets 4 Point Targets
5 Point Targets
Figure 3-7 (Arrangements of biflex targets)
d. Reading Procedure. Readings are
normally carried out by one surveyor
(and one rod-man) without any effect
on construction work and spend 3 to 5
minutes per cross-section. (Figure 3-8).
Figure 3-8 (Optical measurement under process)

The three-dimensional coordinates of arbitrarily arranged displacement points are

determined in an absolute reference system by optic-trigonometric surveying of
targets in repeated measurement cycles. This is achieved by also including a number
of reference points which are considered stable in the survey. The measuring
instrument is positioned to provide the best possible lines of sight to the targets.
Illustrated in figure 3-9
Figure 3-9 (Bi-flex monitoring procedure)
e. Reading intervals
i. Preferably, targets must be read once daily. This interval can be extended to
more than 24 hour if the geological sections are presenting stable strata
continuously.
ii. Reading intervals vary site to site and condition to condition. A structured
reading interval can be crashed and imposed by strict reading measurements
once encountered the worst geological section or enforced by any other site
condition or even contractual conditions.
iii. Reading interval can be understood as under:-

Hypothetical Example
Date: 1st April'15.
Tunnel excavation face = At RD 400+00.
24 hour monitoring cycle = from RD 400+00 to 350+00
from 030+00 till Portal Face
Date: 1st May'15.
Tunnel excavation face =At RD 500+00.
24 hour monitoring cycle =from RD 500+00 to 450+00
from 050+00 till Portal Face
iv. Readings must be tabulated onsite and within the data logging system at
site office.
v. Tabulated data can be converted into graphs or other presentable forms for
better comprehension.
d. Evaluation.
i. The acquired data will be transferred to the recording mechanism (manual
or digitized). Evaluation can be achieved if whole data is programmed to
produce a graphical output; else it has to be compared manually with
previous interval readings.
ii. Bench marks for the deflection / convergence are required to be evaluated.
These bench marks can be graded as “Allowable Convergence Limits”. These
values can be either evaluated via theoretical design or empirical design
methods. Allowable convergence limits must be set in consultation with
following:-
a) Client
b) Consultant / designer
c) Site supervision team
d) Contractor

iii. Evaluation is the most important part of convergence monitoring. It is

desirable that monitoring team be actively involved in the evaluation phase.
This will have certain added advantages:-
a) Complete update of site conditions.
b) Removal of any anomaly in recorded data from site.
c) Identification of critical areas immediately.
iv. Schematic diagram from monitoring to evaluation / analysis is shown in figure
3-10
(Figure 3-10 Schematic diagram from monitoring till evaluation)

v. Various graphical outputs are illustrated below in figure 3-11a & 3-11b:-
(Figure 3-11a – 3 point monitoring output) (Figure 3-11b – 2 point monitoring output with flexible
allowable convergence limit - Curved)

vi. Sample output graphical representation of 3 point target methodology is

illustrated in figure 3-12 showing various relative measurement
combinations:-
(Figure 3-12 – 5 point monitoring output with relative measurement combinations)

3. Crack Gages / Shotcrete Strain meters

a. Installation Points
i. Crack gages will be installed at selected intervals.
ii. Intervals of installation point will be decided with mutual consent of resident
engineer(ex-site monitoring team / consultant) and site engineer (ex-contractor)
iii. Potential points of installation are picked up by appearance of cracks in shotcrete.
iv. Gauges will be installed on shotcrete and typically used to monitor the cracks in
concrete, plaster or natural joints for changes.
v. Particular places / circumstances which can dictate the installation of crack /
strain monitoring gauges can be:-
a) Cracks which are too narrow to be observed by human eye.
b) Cracks are widening too slowly.
c) Restricted places where human entrance is difficult.
d) Requirement of real time monitoring
e) As directed by consultant.
b. Monitoring / Reading
i. As the crack gages are suggested to be installed at critical sections so their
monitoring will be on intervals lesser than 72hours.
ii. Gauges will be numbered as per the RD / TM reference. Numbering system must
be easy to recognize / relate. System should also have flexibility to enter new
strain gages at the same distance location. For example, Strain gauge installed at
RD 210+00 will be numbered as under:-
1 strain Gauge within one specific unit distance
Location - RD 210+00
1st Strain gauge - SG 01+210
2 or more strain Gauges within one specific unit distance
Location - RD 345+00
1st Strain gauge - SG 01+345
2nd Strain Gauge - SG 02+345 and so on

iii. Monitoring primarily will be to check for the gauge width expansion.
iv. First appearance of a crack can be an indication of the structural distress and its
growth in either direction is an indication of increasing stress. (Figure 4-1)
v. Movement is determined by observing the position of the cross on the upper
plate with respect to the grid. (Figure 4-1)
Figure 4-1 (Typical Strain gauge)
c. Evaluation
i. Monitored date will be logged into tables / small software.
ii. Data should be recorded in tabulated form.
iii. Recording procedure must give us graphical output.
iv. Data will be much useful if collaborate with other monitoring / convergence
devices etc.
Figure 4-1a (Crack gauge installed on shotcrete – on existing crack to monitor against its further expansion)

4. Extensometers
a. Description
i. Extensometers are the special monitoring devices.
ii. Extensometers will give typically the deformation behavior of Rock mass.
iii. These instruments can be installed either from the ground surface (before the
tunnel face reaches the area of the instrument) or from inside the tunnel (radially
from the tunnel wall or along the tunnel axis ahead of the excavation face.
iv. The precision of the measurement is of the order of 0.01 mm. These
measurements can be used to assess the extent of the zone of influence around a
tunnel.
v. Data is collected via computer than it is plotted on software to get the idea of the
deformation of the critical point.(figure 2-5)
vi. Equipment is linked via cables to the monitoring displays which give the live
convergence data.
5. Monitoring & Evaluation
Since the equipment is sensitive and special so its monitoring and evaluation will be
authorized to installing company. While ordering / installing the supplier firm must be asked for
its monitoring software too.
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See discussions, stats, and author profiles for this publication at: https://www.researchgate.

Tunnel Convergence Monitoring - From Concept to Implementation

Research · August 2015

Tunnel Information Modelling (TIM) View project

The user has requested enhancement of the downloaded file.

Tunnel Engineer Asif - March’ 15) Page 1

Tunnel Engineer Asif - March’ 15) Page 2

 This document provides the basic understanding of Tunnel convergence

Tunnel Engineer Asif - March’ 15) Page 3

Tunnel Engineer Asif - March’ 15) Page 4

Ser Topic Page (s)

Part – I (Tunnel Convergence Monitoring during excavation – Concept)

Tunnel Engineer Asif - March’ 15) Page 5

TUNNEL CONVERGENCE MONITORING DURING EXCAVATION

1. Overview. Underground excavation is a unique construction field with full of

b. During tunnel excavation, convergence, i.e., a

Tunnel Engineer Asif - March’ 15) Page 6

c. At the face position about one third of the total

Figure 1-3 (Tunnel Deformation ahead of excavation face)

Tunnel Engineer Asif - March’ 15) Page 7

a. Instrumentation. Deformation monitoring in tunneling project is performed with

Tunnel Engineer Asif - March’ 15) Page 8

Figure 2-1 (Typical Tape Extensometers)

typically 0.2mm for distances up to 10 –

 The method is easy to use. (Figure 2-2)

 Equipment / method is easy to maintain.

 It only allows measurement of movements

along a specific line.

Figure 2-3 (Practical Measurement by tape extensometer)

Tunnel Engineer Asif - March’ 15) Page 9

 Measurement accuracy by extensometer is in sub

Tunnel Engineer Asif - March’ 15) Page 10

 Geodetic Surveying. In most present-day tunneling applications, movement of the

Figure 2-7 (Practical Measurement by Total Station via optical mirrors)

 As tunnels are usually long, the fixed (stable)

Figure 2-8 (Optical Mirror fixed outside the

 Thus, measurement of the targets inside the

Tunnel Engineer Asif - March’ 15) Page 11

 Optical 3D Monitoring by Robotic Total Station

 Theodolite operation is based upon

Tunnel Engineer Asif - March’ 15) Page 12

 Optical 3D Monitoring by Total Station – Manually Operated

Figure 2-13 (Measurement by the Total Station)

(Commercially available bi-flex targets)

Tunnel Engineer Asif - March’ 15) Page 13

 Total station is moved subsequently forward on pre-designated points (Fixed RDs

Tunnel Engineer Asif - March’ 15) Page 14

 Laser scanners (or tunnel profilometers).

Figure 2-15 (Measurement by the Laser Scanner)

Figure 2-16 (Equipment involved in Laser Scanning)

Tunnel Engineer Asif - March’ 15) Page 15

 Crack Gages / Shotcrete Strain meters

 Crack gage are also called as strain gages or joint meters.

 First appearance of a crack can be an

 Typical description of the gage is illustrated

 Movement is determined by observing the

 Circumstances for the use of Strain gages:-

Tunnel Engineer Asif - March’ 15) Page 16

Proposed Modalities for Tunnel Convergence Monitoring of Nahakkai Tunnel

1. Overview. Nahakkai Tunnel is a road tunnel and being constructed in medium

2. Methodology for Nahakkai Tunnel

Tunnel Engineer Asif - March’ 15) Page 17