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Abstract: This paper presents a method to quantify uncertainty using simulation techniques and approximate
geotechnical methods. Unknown soil conditions are major contributors to uncertainty in any underground construction
project. Soil conditions are unknown because generally soil samples taken from vertical boreholes show only the soils
present in the discrete borehole locations. The soil profiles between the boreholes therefore contribute to project uncertainty, and construction practitioners must make assumptions about these soil profiles for construction planning and
scheduling purposes. Analytical and simulation methods are presented to accurately predict soil profiles between boreholes and reduce uncertainty in a rough and ready fashion. These methods use existing borehole data to create an analytical model for soil prediction, which is then incorporated with a process interaction simulation model of the
construction project using special purpose simulation concepts and advanced geotechnical characterization techniques.
The application of these methods to an Edmonton tunnel construction project is also detailed. Construction engineers or
managers can use these simulation methods to strengthen the geological data obtained for the construction project.
Key words: borehole data, construction, risk, soil families, soil profiles, soil transitions, special purpose simulation, tunnelling, uncertainty.
Rsum : Cet article prsente une mthode pour quantifier lincertitude lors de lutilisation de techniques de simulation
et de mthodes gotechniques approximatives. Des conditions de sol inconnues sont le principal facteur dincertitude de
tout projet de construction souterrain, Les conditions de sols sont inconnues parce que les chantillons de sol, pris de
forages verticaux, ne montrent gnralement que les sols prsents aux endroits spcifiques du forage. Les profils de
sols entre les forages contribuent donc lincertitude du projet et les constructeurs doivent poser des hypothses sur les
profils de sols lors de la planification et de ltablissement de lchancier de construction. On prsente des mthodes
analytiques et de simulation afin de prdire prcisment les profils de sols entre les forages et ainsi rduire
lincertitude un niveau gnral et acceptable . Ces mthodes utilisent les donnes de forage existantes pour crer
un modle analytique de prdiction des sols, lequel est ensuite incorpor dans un modle de simulation de processus
dinteraction du projet de construction utilisant des concepts de simulation spciale et des techniques de caractrisation
gotechniques avances. Lutilisation de ces mthodes lors dun projet de percement dun tunnel Edmonton est expliqu en dtail. Les ingnieurs ou les gestionnaires de construction peuvent utiliser ces mthodes de simulation pour soutenir les donnes gotechniques obtenues pour le projet de construction.
Mots cls : donnes de forage, construction, risque, familles de sols, profils de sols, transitions de sols, simulation spciale, percement de tunnels, incertitude.
[Traduit par la Rdaction]
AbouRizk et al.
360
Introduction
Tunnel construction projects are considered to be highrisk projects. Identifying and quantifying uncertainty factors
in tunnel construction helps the project planners, engineers,
and constructors to mitigate risks during construction. Soil
conditions are major contributors to uncertainty in any underground construction projects. For typical utility tunnel
construction, soil samples from vertical boreholes spaced
about 300500 m apart show only the soil types that are
present in the borehole locations. The soil profiles between
the boreholes are therefore uncertain. Practitioners must
Received 3 July 2003. Revision accepted 20 November 2003. Published on the NRC Research Press Web site at http://cjce@nrc.ca
on 6 April 2004.
J.Y. Ruwanpura. Department of Civil Engineering, ENF 232, The University of Calgary, 2500 University Drive NW, Calgary, AB
T2N 1N4, Canada.
S.M. AbouRizk.1 Department of Civil and Environmental Engineering, 220 Civil Engineering Building, University of Alberta,
Edmonton, AB T6G 2G7, Canada.
M. Allouche. Research Associate, Hole School of Construction, 220 Civil Engineering Building, University of Alberta, Edmonton,
AB T6G 2G7, Canada.
Written discussion of this article is welcomed and will be received by the Editor until 31 August 2004.
1
doi: 10.1139/L03-105
346
make assumptions about the soil profiles between the boreholes for construction purposes. There are various factors
considered in predicting soil conditions in an area. The
availability of a particular soil type, the start and end elevations of the soil layers, the thicknesses of the soil layers, and
the distribution of the soil layers between the boreholes and
water table are some of the major factors that can affect tunnel construction productivity.
This paper describes analytical methods to quantify and
reduce uncertainty in tunnel construction projects. This analysis helped the Asset Management and Public Works Department of the City of Edmonton to reanalyze the soil
profiles for a major tunnelling project in Edmonton, Alberta.
The soil profiles predicted using the analytical methods explained in the following sections were found to be accurate
during soil exploration and tunnel construction. Although
these methods are not a replacement for comprehensive
geotechnical investigation, construction engineers or managers can use them to confirm, validate, or complement such
investigations.
Fig. 1. Special purpose simulation (SPS) tunnel template model layout with some input parameters, statistics and cost planning outputs.
AbouRizk et al.
347
348
According to ARC data, there are 59 soil families in the Edmonton study area. The most common families are given in
Table 1. The most common family in the Edmonton area is
851, which consists of soil type 8 (Lake Edmonton) the
surficial soil type, followed by soil type 5 (glacial clay till)
and soil type 1 (bedrock 1). This step provided a sound database of soil data in the Edmonton area.
Clustering the soil families
Any area can be divided into various soil clusters (groups)
depending on different dependant variables (Isaaks and
Srivastava 1989). In this study, the area was divided into various clusters based on the surficial soil type, irrespective of
the soil types under the surficial soil layer. However, there
could be several families of soils under one surficial soil; Table 2, for example, lists all the soil families where soil 8 is
the surficial soil. In Edmonton, there are 7 different soil
clusters: cluster 5 (CL5), cluster 6 (CL6), cluster 7 (CL7),
cluster 8 (CL8), cluster 9 (CL9), cluster 10 (CL10), and cluster 11 (CL11). There are 9 different soil families under CL5,
4 soil families under CL6, 10 soil families under CL7, 30 soil
families under CL8, and 1 soil family each under CL9, CL10,
and CL11 for the Edmonton study area. This clustering allows researchers to identify the coexistence of some soil
families with others.
AbouRizk et al.
349
Layer 1
Layer 2
Layer 3
Layer 4
Layer 5
Layer 6
79
76
18
14
8
6
6
5
5
8
8
5
7
8
8
8
8
7
5
5
1
5
5
7
5
5
5
1
3
1
6
5
2
6
6
5
1
5
5
5
1
3
1
51,BH2
points along the tunnel path provide a distribution of a particular soil family from the start of the tunnel to the end of
the tunnel.
n
[2]
BH =1
1/dBH
BH =1
= 18/32
= 0.5625
34.80
33.48
3.96
3.08
2.64
2.64
2.20
1.76
1.76
1.76
1.76
1.32
1.32
0.44
0.44
0.44
0.44
0.44
0.44
0.44
0.44
0.44
0.44
0.44
0.44
0.44
0.44
0.44
0.44
0.44
100.00
Percentage
Total No.
79
76
9
7
6
6
5
4
4
4
4
3
3
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
227
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
Layer 1
5
5
5
7
5
5
5
7
5
9
6
9
1
5
5
5
5
5
5
6
9
6
7
7
7
7
7
9
9
5
Layer 2
1
3
6
5
2
6
6
5
2
1
5
5
4
6
3
2
3
6
1
8
5
5
5
5
6
8
5
5
6
Layer 3
1
5
1
5
5
1
3
3
3
3
5
5
5
5
5
5
9
1
2
6
6
1
5
1
6
5
Layer 4
1
3
1
1
1
1
1
2
1
3
3
2
5
1
5
5
6
Layer 5
1
1
5
3
5
Layer 6
1
2
Layer 7
Layer 8
Layer 9
350
Can. J. Civ. Eng. Vol. 31, 2004
AbouRizk et al.
351
[3]
WCEVT,
=
WFT, soil family A WFMinimum, soil family A
soil family A
352
Fig. 4. Weighted coexistence value (WCEV) of the soil families for sample tunnel.
and analysis is a clear indication of the validity of the methodology proposed for tunnel construction projects. Engineers
can use this method to explore the soil types along the tunnel path in addition to the usual geological explorations performed.
Ruwanpura and AbouRizk (2001) briefly discuss the soil
transitions along the tunnel trajectory, which is explained in
the next section. Another method to handle uncertainty explains how the prediction of soil families could assist in deducing the soil profiles between the boreholes logically to
determine the soil transitions along the tunnel path. Based
on the prediction and the two new boreholes, the tunnel
length between boreholes TH99-3 and TH99-1 can be divided
into seven sections. These seven sections are shown in
Fig. 6b and are listed below: (i) section 1 165 m in soil
family 85651, (ii) section 2 99 m in soil family 85251,
(iii) section 3 30 m in soil family 8565251, (iv) section
4 37 m in soil family 8565251, (v) section 5 271 m of
soil family 85251, (vi) section 6 52 m of soil family
85251, and (vii) section 7 54 m of soil family 8565251.
Using the prediction analysis of the soil families, it is possible to reduce the uncertainty of the soil conditions between
the boreholes by identifying the extent of each soil family.
The analysis proved that soil type 6 does not exist continuously. Because of the analysis and the availability of new
boreholes, it is easy to determine the soil profiles between
the boreholes more accurately and logically. Figure 6b
shows the most likely profiles of soil 2 and 6 within soil
type 5 along the tunnel path based on the soil family prediction methodology. Figure 6b can be divided into several segments to determine the transition from one soil to another
and the modeling algorithms for these soil transitions. These
algorithms can then be implemented using special purpose
simulation, as explained in the next section. The results
shown in this section further prove that this technique is very
useful in predicting the noncontinuous soil layers (soil pockets) along the tunnel path.
Predicting soil transitions along the tunnel path
Predicting soil transitions along a tunnel path is a challenging task. The boreholes driven for a tunnel construction
project only provide a handful of deterministic data points at
discrete locations in either the tunnel alignment itself or adjacent to the tunnel trajectory. The borehole data determine
soil types at discrete locations and produces deterministic
estimates of the type of material and the elevations of each
of the soil layers in the boreholes. Predicting soil compositions between the boreholes are generally achieved using approximate methods, as demonstrated by Ruwanpura et al.
(2001a).
A major deficiency of approximate methods is the determination of transition points from one soil type to another
when soil composition is mixed (e.g., clay material and
sand). This section describes an approach for modeling the
transition of soils between the boreholes for simulation purposes, and the hightlights of this approach are as follows:
1. develop an approach for calculating the transitional
probabilities to determine the transition from one soil
type to another in the tunnel trajectory
2. develop modeling algorithms based on the soil transition
patterns included in the database of soil transition scenarios
3. design of a tunnel construction simulation tool to incorporate the modeling algorithms
4. apply the tunnel simulation tool to an actual project to
validate its accuracy
Modeling transitional probabilities
Figure 7 shows a typical scenario of soil type transitions
among three borehole locations along the path of a hypothet 2004 NRC Canada
AbouRizk et al.
353
Fig. 5. (a) Preliminary boreholes; (b) approximate estimate of the soil types between the boreholes; and (c) analytical estimate of the
soil types between the boreholes.
[4]
PTop( A) =
N Top( A)
TTop
PTop(B / A) =
N BA
nB
354
Fig. 6. (a) Location of all boreholes for NEST tunnel and (b) assumed soil profiles between the boreholes.
T
T
T
C
B+
B
B
P(A/A)
P(A/B)
P(B/A)
P(B/B)
0.83
0.75
0.75
0.67
0.50
0.50
0.00
0.17
0.25
0.25
0.33
0.50
0.50
1.00
1.00
0.67
0.67
0.50
0.40
0.40
0.17
0.00
0.33
0.33
0.50
0.60
0.60
0.83
AbouRizk et al.
355
356
Center
Bottom
Soil type B
Soil type A
Soil type B
Soil type A
0.214
0.286
0.667
0.500
0.333
0.500
0.400
0.313
3
2
6
6
3
6
2
5
Soil type B
0.600
0.688
3
11
AbouRizk et al.
357
Conclusions
The methods to reduce uncertainty explained in this paper
provide some logical input for the industry practitioners to
plan future tunnel construction projects. These methods not
only provided a database of borehole information collected
from two sources but also a logical method to assess uncertainty about soil types between the boreholes. Users can implement these methods using simulation to predict the
2004 NRC Canada
358
Fig. 11. Profiles of the actual tunnel and its transition scenarios.
Fig. 12. Tunnel advance rate actual versus new modeling approach.
various possible transitions between the boreholes, which reduce the uncertainty in assuming the soil content between
the boreholes.
The prediction of soil types has been identified during the
implementation of the special purpose simulation template
as a major factor in reducing uncertainty and improving tunnel construction operations productivity. The soil prediction
methodology uses an analytical approach in predicting soil
types that are beneficial to the project planners and engineers. The analysis is presented with the goal of demonstrating how this analysis could be useful for construction
purposes. This analysis also compliments the geotechnical
explorations conducted for tunnel construction projects as
tested in the NEST project. After the preliminary soil characterization, the concept of soil families was introduced
along with soil clusters commencing from the surficial soil
type in any given area. The probability analysis predicted the
combination of soil families and their distribution, and
thereby identified the existence of soil families along the
tunnel path. This prediction method provides insight into
two areas. First, since the prediction of the soil families is
established using an analytical method, it will provide further research to developing an analytical method to predict
the elevation of the soils using the concept of soil families.
An accurate prediction of soil elevations could further allow
the end users to determine the distribution of the soil profiles between the boreholes. Second, this method enables the
project engineers to further analyze the geological explorations for construction purposes.
The NEST tunnel analysis also proved how the prediction
of soil families could aid in accurately assessing the soil
profiles to determine the soil transitions along the tunnel
path for simulation purposes. The use of this analysis for actual tunnel construction will reduce the uncertainty of the
project by logically investigating the soil types in the tunnel
path before beginning actual construction. It also provides
an opportunity for the construction engineers and managers
to get acquainted with possible soil type occurrences along
the tunnel path that can be useful for applications in project
scheduling and estimating for tunnel construction operations. Although the application of this method was limited to
Edmonton geology, the method can be used for any other
2004 NRC Canada
AbouRizk et al.
city or area provided that the city or area has adequate published data or borehole data from past tunnel construction
projects.
This paper also presented the development of algorithms
to predict the soil transition points along a tunnel path using
transitional probabilities. This new approach predicts the
transition points along the tunnel using an analytical method
rather than using approximations or assuming arbitrary transition points. The soil composition and boring rates are calculated, based on the transition points, to arrive at the tunnel
construction productivity. Several soil transition combinations, which are implemented within a special purpose tunnelling simulation template for many scenarios, have been
presented. With this new approach, the end users can specify
the borehole data rather than approximating soil data for a
specific tunnel section. Based on the soil data input and the
user inputs, the template determines the best modeling scenario between the two boreholes and predicts soil transition
points and productivity values. This method also enables the
end users to specify the boring rate calculation method for
production purposes. The tunnel construction productivity is
determined through an analytical method based on the soil
transition points along the tunnel. The validated case study
proved that these modeling algorithms not only provide a
logical approach to predicting productivity based on the
transition of soils but also provide an accurate prediction
given the fact that the end user inputs the actual data. The
successful development and application of the soil transition
modeling algorithms, thus, reduce the risk and uncertainty in
predicting the tunnel advance rate and productivity. The application of these algorithms within special purpose simulation to future tunnel construction projects will provide better
project planning and decision-making for engineers before
actual construction begins.
The prediction of soil families and soil transitions could
also be extended to more advanced levels. The analysis
shown in this paper limits the prediction to major soil types.
However, there are various minor soil types within a major
soil category. For example, shale, clayshale, sandstone, bentonite, and siltstone are within the bedrock major category.
The prediction of these individual soil types along a tunnel
path could provide better inputs for the simulation model.
Further, a soil has various properties such as plasticity, moisture content, compressive strength, and granularity, and the
boring rate would differ based on the soil properties. The
following are recommended for further research:
1. Extend this soil prediction study to minor soil types to
predict the probability of their existence and their elevations.
2. Study the properties of the soils and develop an analytical model that could be added to the SPS tunnel template to derive boring rates.
3. All the soil transition scenarios depicted in paper show
somewhat smooth transition curves from one borehole
to another. It is possible to assume that there are many
transitions between the two boreholes rather than a
smooth transition from one soil to another. As there is
an uncertainty in predicting the shape of the profile between the boreholes, further analysis is required to determine the exact nature of the soil profile between the
boreholes, as a future embellishment.
359
Acknowledgements
This research was conducted under the Natural Sciences
and Engineering Research Council of Canada (NSERC)/Alberta Construction Industry Research Chair in Construction
Engineering and Management. This work was funded by a
number of Alberta construction companies and by the
NSERC under project CRDPJ 249188-01, Productionbased framework for construction planning and execution.
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