AGS/IMM Technical Meeting 2002 on

Underground Excavation in Urban Environment

Principles of Tunnel Lining Design

Dr. Morgan W. W. Yang

Maunsell Geotechnical Services Ltd.

 Basics

GROUND

equilibrium Interaction compatibility

SUPPORTS
 Tunneling is An Art

GROUND

TUNNELING

PLANNING DESIGN CONSTRUCTION

Interaction Among Planning, Studies
and Design Process

PLANNING STUDIES
FINANCIAL P S GROUND
PROJECT DEMAND
LOGISTICS ACCESS
LAYOUT AD HOC
OPERATION

D
DESIGN
PERMANENT SUPPORTS
TEMPORARY SUPPORTS
METHODS OF CONSTRUCTION
MEANS OF CONSTRUCTION
 Tunneling Procedure
Site investigation
Geology Line and orientation of the tunnel

Ground characteristics:
Geotechnical Primary stress, strength, water
Fissures, anisotropy, etc
investigations
Excavation method
Experience, Structural method
estimation
Statical system analysis
Mechanical model
By pass
Safety concept, failure hypothese Design criteria

Yes No

Risk assessment Concept aspects

Driving the tunnel

In situ monitoring:
Field deformations stop?
measurements

Yes No

For actual state only, Safe

Unknown safety margin

After H. Duddeck, Guidelines for the design of tunnels

 Options for Tunneling
A. M. Muir Wood (2000), Tunnelling: Management by design

-----------------------------------------------------------------------------------------------------
Ground type Excavation Support
-----------------------------------------------------------------------------------------------------
Strong rock Drill-&-blast or TBM Nil or rockbolts +
Str onger ground

Weak rock TBM or roadheader Rockbolts, shorcrete etc.

Squeezing rock Roadheader Varity of means of support

depending on conditions
OC clay Open-face shielded TBM Segmental lining or
roadheader shotcrete etc.

Str onger support

Weak clay, EPB closed-face machine Segmental lining
silty clay

Sands, gravels Closed-face slurry machine Segmental lining

After A. M. Muir Wood (2000), Tunnelling: Management by design

 Development of Design Model
-----------------------------------------------------------------------------------------------------
1. Research model Explanation of phenomena
Study actual loads and materials
Analysis of parameters
Establishing correspondence between
theory and experiment

2. Technical model Developed for practical design

Selection of dominant factors
Idealization of loading, physical
characteristics and safety criteria
No attempt precisely to model reality
Lack of precise correspondence between
theory and full scale test accepted

After A. M. Muir Wood (2000), Tunnelling: Management by design

 Types of Ground Model
-----------------------------------------------------------------------------------------------------
1. Geological structure Fundamentally a descriptive model which establishes
limits of variability of salient factors

2. As (1) + simple RQD or similar simplified representation of rock

qualitative factors quality or selected relevant parameters for soil

3. As (2) + monitoring Simplest basis for informal support

4. As (3) + quantitative Adequate for analysis based on continuum-

discontinuum or on elasto-plastic models of
increasing complexity
-----------------------------------------------------------------------------------------------------

After A. M. Muir Wood (2000), Tunnelling: Management by design

 Fundamental of Tunneling

Stress States of Ground

Initial Tertiary
Secondary

Convergence-Confinement

NMT TBM
NATM
Characteristics of Ground
Elastic Solution of Initial Stresses
Ground surface
x x

y y
y
z

x x=y
z
y y

Governing Equations Solutions

x xy
x
+
y
=0 y = ry
x xy
+ =r z =x = y
y x 1
2 ( x + y ) = 0
Elastic Solution of Secondary Stresses
y
r
r
r

aa x=y

Kirschs solutions
r = y [(1 2 )(1 + ) + (1 4 2 + 3 4 )(1 ) cos( 2 )]
1
2
= y [(1 + 2 )(1 + ) (1 + 3 4 )(1 ) cos( 2 )]
1
2

r = y [ (1 + 2 2 3 4 )(1 ) sin( 2 )]
1
2
r
=
a
Radial Stress Distribution
1.5
Radial stress

=1.5
=1.5, =90 deg.

=1.0, =90 deg.

=0.5, =90 deg.

Stress
=0.0, =90 deg.
r
1.0

=1
r /y

r=5a
0.5

=0.5
=0
0.0

1 2 3 4 5 6 7 8 9 10
r/a
Radial distance
Kirschs solutions
Tangential Stress Distribution
3.0
Tangential stress

=1.5, =90 deg.

=1.0, =90 deg.

=0.5, =90 deg.

Stress
2.5 =0.0, =90 deg.

r=5a
/y

2.0

1.5 =1.5, 1, 0.5, 0

1.0

1 2 3 4 5 6 7 8 9 10
r/a
Radial distance
Kirschs solutions
 Secondary Stress States
At the periphery of the opening :
Only tangential stress but zero radial stress
Biaxial stress state => uni-axial stress state

1
1 l in
e
r e
ilu
Fa

Rb
A B 3 A
B
3
0
Coulomb Criteria
Plastic Solutions of Secondary Stresses
y
1
Rb r
rp = 1
1 a r0
r0
1
Rb r
p = 1
1 a
a
2 y Rb
r0 =
+1 Plastic zone

1 + sin
Elastic zone
=
1 sin

Mohr Coulomb
2 y ( 1) + Rb
1 /( 1) Model
r0 = a
+ 1 R b
c

0 rp Rb p
 Radius of Plastic Zone

Plasticity Radius
3.0
Plastic zone

=1, =25 deg. =250

=1, =30 deg.

=1, =35 deg.

2.5 =1, =40 deg.
=300
=1, =50 deg.

=1, =60 deg.

=1, =70 deg.

=350
=1, =80 deg.
r0 /a

y 2.0

r0 =400
r0
1.5

=500
a

1.0
Plastic zone
0 1 2 3 4 5 6 7 8
Elastic zone y /Rb Initial stress
 Stress Distribution (=1)
2.0
Elastic solution:

1.8
0=Rb
Plastic solution (=25 deg, 0 /R b =1):

Plastic solution (=25 deg, 0 /R b =2):

1.5

Stress
0=2Rb
1.3
Tangential Stress
r=5a
/y

1.0
y
Radial Stress
r0 0.8
Plastic solution (=25 deg, 0 /R b =1):
r0 r

0.5 Elastic solution: r

Plastic solution (=25 deg, 0 /R b =2):

r

a
0.3

Plastic zone
0.0

Elastic zone 1 2 3 4 5 6 7 8
r/a Radial distance
 Solutions of Tertiary Stresses
y

r0
r0
pa

Plastic zone

Elastic zone

1
Rb r r 1
rp = 1 + p a
1 a a
Rb 2 y 2R a
Rb r
1
r
1
pa = +( + 2 b )( ) 1
p = 1 + p a 1 +1 1 r
1 a a
2 /( 1)
2 y ( 1) + Rb
1 /( 1)
(1 + ) 2 y ( 1) + Rb
r0 = a ua = ( y r 0 )
+ 1 p a ( 1) + Rb E + 1 p a ( 1) + Rb
pressure
Characteristic Curve of Ground
1.0
Characteristic curve
0.9 y /R b =0.5, =35 deg

y=2Rb y /R b =2, =35 deg

0.8 y /R b =2.8, =35 deg
P a / y Support

0.7
y
0.6
y=2.8Rb
r0
0.5 r0
y=0.5Rb pa
0.4

0.3 a

0.2
Plastic zone

0.1 Elastic zone

0.0

0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 5.0
[E/(1+u)R b ]*(u a /a)
Radial displacement
 Typical Characteristic Curve of Ground
pa

Support pressure A
Initial stress of ground

Elastic Plastic stable ground Plastic unstable ground

C
Pamin

uamax D ua
0

Ground deformation pressure Ground loosening pressure

Radial displacement

Elastic deformation => Development of plastic zone => Initiation of instability

 Convergence-Confinement Method

Support pressure
pa
Characteristic curve of ground
Characteristic curve of support
Psmax

Pa1

0
ua
ua0 ua1

Radial displacement
1. Limit convergence to acceptable values, compatible with
excavation and the ultimate purpose of the structure
2. Control decompression of the surrounding ground, which
always leads to a serious deterioration in its mechanical
properties
3. Optimize support quantities and cost by applying only
enough confining pressure to keep convergence within
acceptable limits
 Fundamental Principles of NATM
1. Maintain strength of the rock mass
Avoid detrimental loosening by careful excavation and by immediate
application of support and strengthening means. Shotcrete and rockbolts
applied close to the excavation face help to maintain the rock mass.

2. Rounded tunnel shapes

Avoid stress concentrations in corners where progressive failure
mechanisms start.
 Fundamental Principles of NATM

3. Flexible thin lining

The primary support shall be flexible in order
to minimise bending moments and to
facilitate the stress rearrangement process
without exposing the lining to unfavourable
sectional forces. Additional support
requirement shall not be added by increasing
lining thickness but by bolting.

4. In situ measurements
Observation of tunnel behaviour during
construction is an integral part of NATM.
With the monitoring and interpretation of
deformations, strains and stresses it is
possible to optimise working procedures and
support requirements.
New Austrian Tunneling Method

The NATM constitutes a method where the surrounding rock

or soil formations of a tunnel are integrated into an overall
ring-like support support structure. Thus the formations will
themselves be part of this supporting structure.
 Behavior of ground mass
1. Ground mass is the most important material for
the stability of a tunnel.

Tates Cairn Tunnel, HK

 Behavior of ground mass
2. Tunnel support contributes mostly by providing
a measure of confinement.

Copenhagen Metro

FE model of ground-
lining interaction
 Behavior of ground mass
3. A lining placed in an excavated opening in an
elastic rock mass at the time that 70% of all
latent motion has taken place will experience
stresses from release of the remaining 30% of
displacement.

Lining segments

Segmental lining of FE Model to simulate

Copenhagen Metro the installation of segments
Schematic support vs deformation during excavation
and support installation

pa
Support pressure Initial ground stress
1

2
Ground state at time of temp support installed

3
Ground state at time of temp support to load

4
Ground state at time of perm support installed

5
Ground state at time of perm support to load

6
Equilibrium and compatibility

D
0
ua

Radial displacement
 Analytical methods
Proof
Active loads
Pwall
Lining deformation profile

Ground reactions
(passive load at
Pinvert interaction zone)

Elastic closed form solutions

Beam-spring models
Beam-continuum models
Empirical techniques
Tunnel Lining Design Model 1

v=H
H
h=0v
R

Full overburden spring model

 Tunnel Lining Design Model 2

H h

Two dimensional continuum model

 Tunnel Lining Design Model 3

h
R

Active ground pressure derived from

three dimensional analysis
Tunnel Lining Design Model 4

Empirical approach
 Design for different conditions
1. Section with the deepest overburden
2. Section with the shallowest overburden
3. Section with the highest groundwater table
4. Section with the lowest groundwater table
5. Section with maximum surcharge
6. Section with eccentric loads
7. Section with future development
8. Soft ground section
9. Mixed ground section

Reservoir
Load factors and loading combinations

1. Particular environment and behavior

of underground structure
2. Carefully evaluate design load cases
and factors for each tunnel design
3. Rock loads to be derived from rock-
structure interaction assessments
Construction methods and stages

1. Drill and blast method

2. Mechanized method
3. NATM
4. NMT
 TBM Tunnels
Open TBM
for rock

E. P. B. M. Shielded TBM
for soil TBM
for weak rock

Slurry TBM
for soil
Shield TBM
 Immediate Ground Support
Cutterhead chamber

Annular void grouting to

control and restrict
settlement at surface and
to securely block the lining
ring in position

TBM shield Segmental lining with annular grout

 Evolution of settlements along a shield
Distance

d1: settlement caused by the face

d2: settlement caused by the overcut

d3 : settlement induced by
post shied/grout loss
d4
settlement induced by lining
Displacement

deflection and long-term

settlement
Face

Cutterhead and shield Segmental lining with annular grout

 Design Steps for TBM tunnels
Step 1: Define geometric parameters
Alignment, excavation diameter, lining diameter,
lining thickness, width of ring, segment system,
joint connections

Step 2: Determine geotechnical data

Shear strength of soil, deformation modulus,
earth pressure coefficient

Step 3: Select critical sections

Influence of overburden, surcharge,
groundwater, adjacent structures
 Design Steps for TBM tunnels
Step 4: Determine mechanical data of TBM
Total thrust pressure, number of thrusts,
number of pads, pad dimensions, grouting
pressure, space for installation

Step 5: Define material properties

Concrete: strength, elastic modulus
Reinforcement: type, strength
Gasket: type, dimensions, elasticity

Step 6: Design loads

Soil pressure, water pressure, construction loads
 Design Steps for TBM tunnels
Step 7: Design models
Empirical model, analytical model, numerical
model

Step 8: Computational results

Response: axial force, moment, shear
Deformation: deflection
Detailing: reinforcement, joints, groove
Double-O Tunnels
Multi-Circular Face Shield Tunneling

Double-O Tunnels H&V Shield Tunnel

 Assembly of Precast Segments

Assembly of Segments Perspective View of Tunnel