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710

tunnelling

J.H. Shin and D.M. Potts

Abstract: A two dimensional model is commonly employed in practice for the analysis of tunnelling. Such analyses

are computationally cheap and are useful for assessing the sensitivity of the problem to the construction method, study-

ing the influence of varying soil conditions, and (or) finding appropriate locations for placing measuring instruments.

However, simulating the three dimensional nature of tunnelling in two dimensions requires certain simplifications, in-

cluding the use of empirical parameters to represent the construction sequence. In many cases the choice of parameter

values are arbitrary and often not fully explained. In addition, the modelling methods are often only applicable for un-

drained or fully drained soil conditions where no time-dependent behaviour is involved during tunnel construction. In

this paper an alternative two dimensional approach termed the “time-based modelling method” is proposed that can

simulate both the three dimensional effects at the tunnel heading and the time-dependent behaviour during construction.

It is proposed that the new approach is appropriate for the analysis of tunnelling in a relatively permeable soil and, as

an example, the method is applied to the analysis of a new Austrian tunnelling method (NATM) tunnelling problem in

decomposed granite soil. The results are compared with field data and excellent agreement is obtained.

Key words: numerical modelling, time-dependent behaviour, NATM tunnelling, decomposed granite soil.

Résumé : Un modèle bidimensionnel est communément utilisé en pratique pour analyser le percement de tunnel. De

telles analyses coûtent peu cher de calcul et sont utiles pour évaluer la sensibilité du problème à la méthode de cons-

truction, permettant d’étudier l’influence des conditions variables du sol et/ou de trouver les localisations appropriées

pour la mise en place des instruments de mesure. Cependant, la simulation à deux dimensions de la nature tridimen-

sionnelle du percement d’un tunnel requiert certaines simplifications, comprenant l’utilisation de paramètres pour repré-

senter la séquence de la construction. Dans plusieurs cas, les valeurs des paramètres choisis sont arbitraires et souvent

pas pleinement expliquées. De plus, les méthodes de modélisation sont souvent applicables seulement pour les condi-

tions de sol non drainées ou complètement drainées, là où il n’y a pas de comportement dépendant du temps

d’impliqué durant le percement du tunnel. Dans cet article, on propose une approche alternative bidimensionnelle ap-

pelée « méthode de modélisation fonction du temps » qui peut simuler tant les effets tridimensionnels au front

d’avancement du tunnel que le comportement fonction du temps durant la construction. On considère que la nouvelle

approche convient à l’analyse du percement de tunnel dans un sol relativement perméable, et comme exemple, la mé-

thode est appliquée à l’analyse du problème de percement du tunnel du NATM dans le sol de granite décomposé. Les

résultats sont comparés avec les données de chantier, et une excellente concordance est obtenue.

Mots clés : modélisation numérique, comportement fonction du temps, percement du tunnel du NATM, granite décomposé.

a sequential release of the out-of-balance forces along the

A two dimensional (2D) plane strain model is commonly excavation boundary, due to the removal of soil from within

employed in practice for the analysis of tunnelling. Such the tunnel. The timing of the installation of a lining is mod-

analyses are useful for assessing the sensitivity of the con- elled by using empirical parameters, which account for the

struction method, studying the influence of varying soil con- construction sequence. There are several approaches to mod-

ditions, and (or) finding appropriate locations for placing elling 3D effects in two dimensions. These methods can be

measuring instruments. broadly categorized in terms of the factors controlling the

Simulating the three dimensional (3D) nature of tunnel- 3D effect, namely: the stress control method (percentage un-

ling in two dimensions requires certain simplifications. In loading factor, Panet and Guenot 1982); the stiffness control

Received 13 March 2001. Accepted 9 November 2001. Published on the NRC Research Press Web site at http://cgj.nrc.ca on

22 May 2002.

J.H. Shin1 and D.M. Potts.2 Department of Civil and Environmental Engineering, Imperial College of Science, Technology and

Medicine, Imperial College Road, London SW7 2BU, England.

1

Present address: Seoul Metropolitan Government of Korea, GIS Division, Information Planning Bureau, 37 Seosomoon-dong

Jung-gu, Seoul, Korea.

2

Corresponding author (e-mail: d.potts@ic.ac.uk).

Can. Geotech. J. 39: 710–724 (2002) DOI: 10.1139/T02-009 © 2002 NRC Canada

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method (stiffness reduction factor, Swoboda 1979); and the Fig. 1. Time-dependent behaviour during tunnelling.

displacement control methods (volume loss, Potts and

Addenbrooke 1997; gap parameter, Rowe and Kack 1983).

Generally, the results from these 2D analyses are dependent

on empirical parameters. However, as exact rules for the se-

lection of the empirical parameters do not exist, experience

from field measurements and an understanding of the nu-

merical modelling methods are needed to estimate them.

Although these approaches are frequently used in practice,

they are only applicable for situations where the soil behaves

either undrained or fully drained. In cases where time-

dependent behaviour is involved, the situation becomes more

complicated and cannot be simply modelled in two dimen-

sions using the above approaches, as the empirical parame-

ters no longer have constant values. Thus, involvement of

time-dependent behaviour during construction requires addi-

tional numerical modelling considerations.

To consider time-dependent effects properly, a 3D coupled

consolidation analysis is required. However, such analyses

are, at present, difficult to perform and computationally ex-

pensive. The 2D modelling methods mentioned above are

not applicable for modelling time-dependent problems with-

out modification, as it is difficult to define the empirical pa-

rameters when time-dependent effects are significant during

construction. It is, therefore, appropriate to devise an alter-

native 2D modelling concept to account for the 3D effects at

the tunnel heading and the time-dependent behaviour during

tunnel construction.

In this paper, such a concept is proposed for the analysis

of new Austrian tunnelling method (NATM) tunnels con-

structed in relatively permeable soils. In principle, the

method is applicable to tunnels constructed in all types of

soil, from those that behave undrained during construction to

those that behave fully drained. It could also be extended to

consider shield driven tunnels, however, such tunnels are be-

yond the scope of this paper.

few papers (e.g., Samarasekera and Einsenstein 1992). How-

Time-based approach for the modelling of ever, analyses to investigate the combined effects of pore-

tunnelling water pressure change and the behaviour of young shotcrete

have rarely been made. This paper considers only the time-

In NATM tunnelling, there are several sources of time-

dependent behaviour arising due to the dissipation of excess

dependent behaviour. In addition to the effects of time-

pore-water pressures, the stiffness of the shotcrete lining,

related changes in pore-water pressures, creep behaviour,

and the tunnel advance rate. These time-dependent processes

and construction characteristics are also important. The

are modelled directly by using the coupled finite element

time-dependent material properties of a sprayed concrete lin-

procedure (pore pressure dissipation), by including the time-

ing, such as the creep of the young concrete and its harden-

dependent behaviour of material properties (stiffness of the

ing with time, may affect the resulting time-dependent

lining), and by a suitable excavation process (advance rate).

behaviour. As a sprayed concrete lining gains most of its

The effect of time-dependent behaviour can be examined

strength in the first few days, time-dependent properties in-

by considering two simple limiting cases of advance rate, as

fluence only short-term behaviour. The practice of NATM

shown in Fig. 1. In one case, it is assumed that construction

tunnelling has also highlighted the significance of the tunnel

occurs so rapidly that no time-dependent behaviour occurs,

advance rate (Fuente et al. 1998), where the general trend is

and in the other, construction is so slow that significant

that the faster the advance rate, the larger the reduction in

changes in pore-water pressure occur during construction.

maximum settlement (short term).

As shown in Fig. 1a, the tunnel convergence, C(x, t), where

Time-dependent behaviour at the tunnel heading is clearly x is the distance from the tunnel face and t is time, is larger

a 3D problem. Early studies using a 2D modelling method for any value of x with the slower advance rate than with the

assumed that time dependency due to tunnelling results en- higher advance rate. The difference is attributable to time-

tirely from the viscous properties of the soil (Hanafy and dependent behaviour. In general, it is therefore convenient to

Emery 1982 and Cividini et al. 1991). Until now, time- express the time-dependent tunnel convergence as

dependent behaviour, which relies on pore-water pressure

generation and dissipation, has been analyzed only in a very [1] C(x, t) = Cf(x) + Ct(t)

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where Cf(x) represents the convergence if the tunnel is con- as a tunnel progresses, this unloading process can be ex-

structed quickly with no time effects and Ct(t) is the addi- pressed as a function of time (Sakurai 1978). In this paper, it

tional convergence due to time effects. If the tunnel advance is assumed that the unloading is progressive and similar to

rate, Ar, is known, then the distance from the tunnel face can the time-displacement behaviour during construction. While

be expressed as a function of time (x = Art) and conse- the convergence or radial deformation at the excavation

quently, so can the total convergence (C(x, t) = C(t)). As the boundary is the most appropriate measure of displacement to

radial stress in the soil immediately adjacent to the tunnel examine in this respect, such data is scarce due to the diffi-

decreases as the tunnel convergence increases, and as the lat- culty involved in measuring it. Consequently surface or

ter can now be expressed in terms of time, then the charac- subsurface settlements are considered instead. Generally,

teristic curve can also be plotted in terms of time as shown field measurements (Nyren 1998) have revealed that short-

in Fig. 1b. Consequently, use can be made of the conver- term time-settlement curves are similar to the longitudinal

gence–confinement concept (Panet and Guenot 1982), based settlement profiles, which can be represented by an error

not on displacement, but on time as shown in Fig. 1b. To im- function (cumulative probability function). Based on these

plement this time-based confinement concept in a 2D analy- field observations, an error function is considered here to

sis, it is necessary to define the whole tunnelling process in represent the time-dependent unloading due to tunnel exca-

terms of time, including the unloading due to excavation, the vation. If the time span of tunnel construction is T, and the

lining installation process, and the time-dependent material total out-of-balance stress to be unloaded is divided into N

properties. equal increments, then an error function type of unloading

procedure can be expressed using the following step-wise

Expression of excavation unloading in terms of time form:

In numerical modelling, the excavation process is com-

monly simulated by a sequential release of the out-of- n{σ ο} 2 tn − t 2

π ∫0

balance forces on the excavation boundary due to the re- [2] {σ(t n )} = 1 + e dt

moval of soil from within the tunnel. It is often assumed that 2N

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where n is the nth increment and tn is the time required to Fig. 3. Determination of model parameters.

reach the nth increment, {σ(tn)} is the time-dependent out-

of-balance stress on the excavation boundary at time tn, and

{σo} is the initial total out-of-balance stress on the tunnel ex-

cavation boundary.

Equation [2] fits the range –(T/2) < t < (T/2) by assuming

that *σ(–T/2)* = 0 and *σ(T/2)* = *σo*. The time range of

the curve is modified to 0 < t < T and shown in Fig. 2a. As

eq. [2] indicates full unloading at an infinite time, truncation

of t was made such that at t = T, σ(T)/σo = 0.1%. In eq. [2],

it is necessary to define T; the time required to release all of

the out-of-balance forces due to excavation.

To express the whole tunnelling process in terms of time,

it is also necessary to represent the lining installation in the

context of time. This can be achieved by defining a specific

time, t*, which indicates the time to installation of the lin-

ing. In terms of T, t* can be expressed as

[3] t* = αT

where α is the time-based confinement factor.

In a NATM tunnel, once a sprayed concrete lining is

placed, it hardens with time. This behaviour has often been

modelled using a time-dependent stress–strain function

(Vollstedt and Duddeck 1978). However, the effect can also

be modelled using a laboratory formulae for the stiffness– accurate simulation of the rapid increase in shotcrete

time relationship (Soliman et al. 1994). An empirical for- stiffness that occurs just after installation. The time-based

mula proposed by Weber (1994) is employed here and it is approach also requires the analysis to include coupled con-

of the following form: solidation.

c

Determination of modelling parameters

E(t) = aE28e t

0.6

[4] The two parameters, T and α, must be defined for time-

based 2D modelling. These are essentially empirical parame-

where E(t) is the time-dependent elastic Young’s modulus of ters. Ideally T and α can be estimated from field measure-

the concrete, E28 is the elastic Young’s modulus of the con- ments of surface settlement with time from a similar site to

crete after 28 days, a and c are constants depending on the that under consideration, as shown in Fig. 3a. The parameter

type of cement and water content, and t is time. T is associated with the tunnel advance rate. If the influenc-

ing distance, L (see Fig. 3b) in the direction of the tunnel

Proposed modelling method axis at the tunnel heading can be expressed in terms of the

The whole tunnelling procedure described in terms of tunnel depth, then T can be determined by using the tunnel

time is summarized in Fig. 2. The approach assumes that advance rate as shown in Fig. 3b, which can be obtained

simulation of tunnel excavation takes place over a finite from the construction plan, as

number of solution increments each of which is assigned a

time step. This approach requires two parameters: T and α. η Z0

[5] T =

The physical meaning of T is the time period over which the Ar

3D effects due to tunnel excavation take place. The lining in-

stallation starts at time t* (= αT) and then the lining stiffness where Ar is the advance rate, Z0 is the tunnel depth (i.e., the

increases exponentially with time, according to eq. [4]. Over distance from the ground surface to the tunnel axis level),

each time step (increment) the shotcrete stiffness is assumed and η is an empirical factor. If the rate is slow, the influenc-

to be the average of the values at the beginning of the step ing time span will be longer than if it is fast. The influencing

and the end of the step, these latter values being evaluated distance can be obtained from field data. For example, from

from eq. [4]. It should be noted that the use of the error the work of O’Reilly and New (1982), Hurrell and Attewell

function in eq. [2] gives smaller time steps for equal-sized (1984), and Rankin (1988), it can be shown that field data

load increments in the middle of the time range, T, as op- suggest the influencing distance is approximately 0.9–1.8Z0.

posed to those for load increments at the beginning and at Attewell and Hurrell (1985) also reported that the influenc-

the end of the time period. This is beneficial for modelling ing distance is typically in the range of (1~2)Z0, giving an

the shotcrete stiffness, as the smaller time steps are usually average value of η = 1.5. Clearly, as more field data be-

associated with lining installation and therefore allow a more comes available, more refined estimates of η can be made.

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Fig. 4. Unloading percentage-increment-time step. changes of pore-water pressure is expected to depend on the

soil permeability, six cases of permeability are considered.

The 2D finite element model used for this study is shown

in Fig. 5. A single horse-shoe-shaped tunnel is considered. A

small strain nonlinear elastic model combined with a

nonassociated Mohr-Coulomb plastic model was employed

to model the weathered granite. The soil parameters used are

shown in Table 1 and in Appendix A (Table A1). The fill–al-

luvium was modelled as linear elastic with a Young’s modu-

lus E = 1.5 × 104 kPa and a Poisson’s ratio µ = 0.35. The

lining had a Young’s modulus given by eq. [4] with pa-

rameters as follows: E28 = 1.5 × 107 kPa; a = 1.062 and

c = –0.446 (after Weber 1994); a Poisson’s ratio, µ = 0.15;

and a thickness of 0.25 m.

While it is usual to assume that soil permeability remains

constant throughout an analyses, it is known that permeabil-

ity is dependent on void ratio, which is dependent on mean

For present purposes a value of η = 1.5 will be assumed, but effective stress (Lambe and Whitman 1969; Vaughan 1989).

it must be noted this value may vary from site to site. Thus Vaughan (1989) pointed out that when there are significant

the T value can be evaluated from the construction plan, changes in effective stress along flow paths, the variation of

e.g., planned advanced rate. Once the T value has been de- permeability with effective stress has a dominant effect on

termined, the corresponding time step required for the nth in- the distribution of pore-water pressure at steady state. He in-

crement of the analysis, dtn (= tn – tn–1), based on equal- dicated that predictions based on the conventional assump-

sized load increments, can be calculated using the unloading tion of a constant permeability are usually far from reality,

percentage-increments time-step curve based on the error and one of the main causes of discrepancy is the effect of

function as shown in Fig. 4. For illustrative purposes, this nonlinearity in permeability. During the equalization period,

figure is based on 100 solution increments. In practice, ap- during and after tunnel construction, the effective stresses

preciably fewer increments are likely to be used (i.e., 20 to are likely to be changing in the ground. It is therefore appro-

30). priate to use a nonlinear permeability model that allows the

The parameter α can be evaluated from field data or other permeability to vary during an analysis in response to

more rigorous 3D numerical analyses. As the unloading pro- changes in effective stress. Addenbrooke (1996) compared

cess due to excavation is assumed to follow the shape of an the long term steady state pore-water pressure profiles above

error function with time, approximate evaluation of α can a 34 m deep permeable tunnel predicted with a linear (per-

also be made based on the longitudinal ground surface set- meability reducing with depth) and a nonlinear permeability

tlement profile. A conservative estimation of undrained set- model (permeability varying with effective stress as defined

tlement above the tunnel face, for tunnels constructed in the next paragraph). The nonlinear model produced pore

without face support, has been recommended (Attewell and pressure profiles more consistent with field data than the lin-

Woodman 1982; Lake et al. 1992) as 0.5Smax, where Smax is ear model.

the maximum surface settlement once the tunnel construc- For the analyses in this paper, the log law permeability

tion has passed beyond the influencing distance. Accord- model proposed by Vaughan (1989) was employed to repre-

ingly, in such cases, if the longitudinal settlement trough can sent the flow behaviour of the soil

be assumed to be represented by an error function, t* = 0.5T [6] k = koe–Bp′

can be assumed. However, as Nyren (1998) pointed out, in

many cases this assumption may be conservative, and result where ko is the coefficient of permeability at zero mean

in too large displacements. Ideally, site specific settlement effective stress, p′ is the mean effective stress, and B is a ma-

data should be used if it is available. Figure 3 shows the terial property with units of m2/kN.

evaluation scheme for the parameters T and t* from a longi- A 2D flow condition with a static groundwater table is as-

tudinal settlement trough. sumed. The excavated tunnel boundary is prescribed as per-

A 2D plane strain analysis of a longitudinal tunnel section meable. Analysis cases and model parameters are listed in

and (or) a simplified representative 3D analysis can also be Table 2. The geometry and material properties are based on

used to estimate the parameters T and α. If neither field data those found on the Seoul subway in Korea (Shin and Yoo

nor the results from analyses are available, care must be 1985).

taken when assuming values for design purposes. To investigate the effect of construction duration, i.e., Ar,

three cases with T = 15, 30, and 50 days are considered, cor-

Parametric study responding to Ar = 1.84, 0.92, and 0.55 m/day, respectively.

To evaluate the time-based 2D modelling method and in- The influence of time-dependent effects during construction

vestigate the effect of time-dependent behaviour during tun- is examined by considering results at the end of construction

nelling, a parametric study has been performed. The (short term). Figure 6a shows the variation of short term vol-

parameters considered are the tunnel construction duration ume loss with permeability, where the volume loss is defined

(advance rate), lining installation time, and time-dependent as the excess volume of soil excavated above the volume of

lining properties. As the time-dependent behaviour due to the tunnel divided by the latter and expressed as a percent-

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Fig. 5. Soil-tunnel profile and finite element mesh. EL-00, EL-08, EL-20, EL-32, and EL-50 are elevation levels.

Bulk unit weight, Coefficient of earth Angle of shearing Angle of

Soil stratum γ (kN/m3) pressure at rest, Ko Cohesion, c′ (kPa) resistance, ϕ ′ (°) dilation, υ (°)

a a

Fill–alluvium 15.7 0.54 0.00

Decomposed granite soil 19.6 0.45 c′ = 2 + 0.67Z1b ϕ ′ = 23 + 0.622Z1 21

Highly to moderately 21.5 0.42 c′ = 10 + 7.5Z2b 42 21

weathered granite

Moderately weathered to 24.5 0.35 c′ = 100 + 500Z3b 56 28

unweathered granite

a

The fill–alluvium is assumed to be linear elastic.

b

Z1, Z2, and Z3 are defined on Fig. 5.

Advance rate, Time span of tunnel Coefficient of Lining installation Minimum time

Analysis cases Ar (m/day) construction, T (days) permeability time (days) step, daysa

Effect of advance 1.84 15 k1 – k6b t* = 0.3T 0.675 (30)

rate 0.92 30

0.55 50

Effect of lining 1.84 15 k2, k4 t* = (0.3, 0.4, 0.5)T 0.675 (30)

installation time

Effect of time 1.84 15 k2, k4 t* = 0.5T 0.226 (30)

dependent stiffness 0.675 (10)

1.153 (6)

1.806 (4)

a

Numbers in parenthesis are increments.

b

Nonlinear permeability model: ki = koi e –β p′ , β = 0.0043, where ko1 = 1.9 × 10–6 m/s, ko2 = 1.9 × 10–7 m/s, ko3 =

1.9 × 10–8 m/s, ko4 = 1.9 × 10–9 m/s, ko5 = 1.9 × 10–10 m/s, and ko6 = 1.9 × 10–11 m/s.

age. The coefficients of permeability stated on the horizontal ing excavation is essentially undrained whereas if the per-

axes are the approximate values at the top of the decom- meability is greater than 10–7 m/s it is drained. The results

posed granite soil. The results show that if the permeability are replotted using a nondimensional time factor, Tv, which

is between 1.0 × 10–7 and 1.0 × 10–10 m/s, then time- is analogous to the conventional consolidation time factor:

dependent drainage effects are involved during construction.

They also indicate that, over the range of permeabilities, the

cvT kT

greater the advance rate, the smaller the volume loss. For [7] Tv = =

soils with a permeability less than 10–10 m/s, behaviour dur- Hd2

γ wHd2m v

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Fig. 8. Effect of time-dependent stiffness of shotcrete lining (Ar = 1.84 m/day, t* = 0.5T ).

level, cv is the coefficient of consolidation, Hd is the length of Tv in which significant time-dependent drainage takes

of the drainage path taken as the depth of the tunnel axis be- place during excavation is 0.01 < Tv < 1.0. This curve also

low the ground water level (= 12 m), mv is the average coef- shows the appropriate conditions for assuming drained or

ficient of compressibility in the decomposed granite above undrained soil behaviour. For instance, if Tv < 0.01, un-

the tunnel (= 3.0 × 10–5 m2 /kN), and γ w is the bulk unit drained excavation can be assumed, and total stress analysis

weight of water (= 9.81 kN/m3). All three curves then plot as is applicable. Short term settlement due to excavation can be

a unique curve, as shown in Fig. 6b. It shows that the range dealt with separately from the long term behaviour. Alterna-

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tively, if Tv > 1.0, free drainage takes place and steady-state loads applied per increment than an analysis with a small

seepage conditions are reached during construction. Conse- number of increments. The time step corresponding to each

quently, consolidation behaviour would be involved in the increment will also vary between analyses. As explained

so-called short term behaviour (during construction). In this previously, and indicated in Fig. 4, for each analyses the

case, it is appropriate to consider the effect of ground water time step will vary from increment to increment with the

movement when modelling tunnelling. smallest time steps occurring for increments when the lining

In principal, the above recommended values of Tv defin- is installed. Consequently, while the time steps for each in-

ing the limits to undrained or fully drained soil behaviour crement are not constant for a particular analysis they will

during tunnel construction should apply to other soil types be smaller the more increments that are employed. In partic-

and tunnelling methods. However, the present work has been ular, the smallest time step used in an analysis will reduce as

restricted to a NATM tunnel of one size. Clearly further the number of increments increases.

work is required before the general nature of the above val- The results of the different analyses are plotted in terms of

ues of Tv can be completely verified. In this respect, it is an- tunnel volume loss versus the size of the minimum time step

ticipated that the Tv values could be slightly dependent on used in the analysis in Fig. 8b. This time step corresponded

the size and shape of the tunnel. to the increment immediately after the lining was con-

The effect of lining installation time was investigated and structed and its value is listed in Table 2. The use of a larger

the results are shown in Fig. 7. As the installation of the lin- number of increments, which gives a shorter time step, re-

ing is delayed, i.e., an increase in α, the short term volume sults in a slight increase in volume loss. The effect on sur-

loss has increased significantly, which implies that early face settlements is even less significant. These results also

placement of the lining reduces volume loss, however, hoop imply that once the lining is placed, behaviour is not that

forces are inversely proportional to the magnitude of the vol- sensitive to its time-dependent stiffness. Similar findings

ume loss. were obtained by Desari et al. (1996) who indicated that the

To examine the effect of modelling the time-dependent early placement of the shotcrete has a more significant effect

stiffness of the shotcrete lining and in particular the effect of on subsequent behaviour than its time-dependent stiffness.

the stepwise approximation used to represent the variation of

lining stiffness with time, a series of analyses were under- Comparison with 3D analyses

taken each with a different number of solution increments

over which tunnel excavation was carried out. As noted Three dimensional finite element analyses were performed

above, the empirical formula expressed by eq. [4] was used to calibrate the model parameters for the 2D modelling,

to represent the time-dependent stiffness of the shotcrete and Shin(2000). Model parameters for the time-based approach,

Fig. 8a shows the resulting variation of shotcrete stiffness T and α, were assessed from the longitudinal settlement pro-

E(t) with time. As each increment of excavation in a particu- file obtained from a 3D analysis with no coupled consolida-

lar analysis represents a constant amount of unloading ap- tion. Figure 9a shows the longitudinal settlement profile at

plied to the tunnel boundary, the magnitude of the the ground surface. It is clear that the longitudinal settlement

incremental unloading will depend on the number of incre- curve is very similar to an error function.

ments employed to fully excavate the tunnel. Hence, an anal- Determination of the parameters T and α from these

ysis with a large number of increments will have smaller curves is complicated by the fact that it is not easy to define

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Fig. 10. Typical geological profile and tunnel location in the Seoul Subway.

the beginning and end points of the settlement curves as the from residual soil to weathered rock, were encountered at

settlements tend to be asymptotic to the S = 0 and S = Smax the tunnel face. Weathering of the granite decreases with

values. From the 3D finite element results presented in depth without the development of core stones. The ground-

Fig. 9a, it can be estimated, using the actual advance rate water table is located at 8 m below the ground surface. The

Ar = 2 m/day, that settlements start at about t = –6 days and soil permeability at the tunnel spring line is approximately

end at t = 9 days giving a total period T of 15 days and a 1.0 × 10–8 m/s. The evaluated time factor for the problem is

corresponding α of 0.4 (i.e., 6/15). In contrast, the fitted er- 0.3 (from Hd = 12 m, mv = 3.0 × 10–5 m2/kN, and γ w = 9.81

ror function curve indicates t values at the start and end of kN/m3). Therefore, with 0.01 < Tv < 1.0, drainage effects are

the settlements of –8.5 and 10 days, respectively, giving a T coupled with tunnel excavation, which is the situation where

of 18.5 days and an α of 0.46. It can therefore be concluded time-dependent effects during tunnelling are significant. The

that T is between 2–3 weeks and α is in the range 0.4–0.46. horse-shoe-shaped tunnel geometry and dimensions are such

To avoid this ambiguity, and to provide a robust approach that typically a single tunnel system, which contains two

for practical application, it seems sensible to define the start railway tracks, has a height of 8.2 m and a width of 10.6 m,

of the time period when S/Smax = 0.1% and the end when giving a cross sectional area of 66.5 m2 (the equivalent cir-

S/Smax = 99.9%. For the data given in Fig. 9 this gives t = cular tunnel would have a diameter, D = 9.2 m), and a twin

15.2 days and α = 0.46. tunnel system, each tunnel containing a single railway track,

To evaluate time-dependent predictions, 3D coupled con- has a height of 7.2 m, giving a cross sectional area of

solidation analysis were also preformed. The groundwater 40.7 m2. The tunnels were designed to act as drains. A

table was assumed to coincide with the ground surface. Con- sprayed concrete lining was employed.

fined flow with a fully permeable excavated tunnel boundary

was employed. Figure 9b compares the distribution of pore- Soil models

water pressures three weeks after tunnel excavation for the The problem domain to be analyzed includes several

2D and the 3D analyses. The results indicate that by allow- types of material, ranging from soil to weathered rock.

ing an appropriate construction time, a good prediction of The gradual variation of weathering with depth was mod-

time-dependent behaviour can be obtained. elled by considering a continuous variation of material

properties from soil to weathered rock. As for the para-

Application to tunnelling in decomposed metric study described above, a relatively simple soil

granite soil model assuming isotropic elastic behaviour pre-yield,

combined with a Mohr-Coulomb plasticity model, was

Tunnelling in decomposed granite soil used to represent the top fill–alluvium stratum and the

The proposed time-based modelling method was applied weathered rock. The behaviour of the decomposed granite

to a tunnelling problem in decomposed granite soil. The tun- soil and the highly weathered granite is likely to be signif-

nel considered is from Seoul subway lines 3 and 4 (Shin and icant during tunnel excavation, since this soil appears at

Yoo 1985). The geological profile is shown in Fig. 10. Sub- the tunnel face and immediately above the tunnel. Thus

way alignment is typically 15–30 m below the ground sur- particular attention was given to the modelling of the be-

face, and consequently, various weathered granites, ranging haviour of these strata.

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Fig. 11. Yielding of residual soil. Fig. 12. Modelling of finite permeable lining.

granite soil and the highly weathered granite (from 8 to

32 m below ground level), the nonlinear elastic model pro-

posed by Jardine (1985) was employed. In this model, the

variation of secant shear and bulk moduli are represented by

periodic logarithmic functions of strains. Model parameters

were evaluated from two different tests; seismic cross hole

tests (Lee et al. 1990), and drained triaxial tests (Lee 1991)

and are presented in Appendix A.

Yielding of residual soils was identified by Vaughan

(1988) and Leroueil and Vaughan (1990). They have shown

that bonding can allow the soil to exist in the “structure per-

mitted” space (see Fig. 11a), which is outside the state

boundary surface of the same soil when reconstituted. This

gives rise to increased strength and stiffness. Maccarini

(1987) indicated that the yield curves of residual soils are

centered on the mean effective stress axis.

A decomposed granite soil usually has a bonded-structure

caused by the cementation of clay particles and relic bond-

ing (Lee 1991; Irfan 1996). In addition, triaxial tests on a de-

composed granite (Lee 1991) indicate that the yield surface

of the decomposed granite soil is centered on the mean ef-

fective stress axis, as shown in Fig. 11b. Thus, the general

framework of a structured soil, described above, is applica-

ble to the decomposed granite soil. By plotting the plastic

potential strain vectors on the yield surface, Lee (1991) also

indicated that the soil presents nonassociated plastic flow be-

haviour. To account for this behaviour, a model proposed by

Lagioia et al. (1996) was used. The model is an advanced

critical state type model incorporating yield and plastic po-

tential functions for bonded-soils. This model employs the

hardening–softening rule proposed by Gens and Nova

(1993) and Lagioia and Nova (1995), which takes account of

the bonded-structure. The mathematical expression of this

model and material parameters used are presented in Appen-

dix A. These values were determined based on the triaxial

test results of Lee (1991).

Again the nonlinear permeability model proposed by

Vaughan (1989) and given by eq. [6] was employed to repre-

sent the flow behaviour of the decomposed granite soil (ko =

1.9 × 10–8, B = 0.0043). Modelling of the tunnel lining is

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shown in Fig. 12. For the analyses, the lining had a finite the second tunnel agrees with the general trend of field

permeability, kl which was defined as a ratio kl/ks = 0.1 observations. Overall, the predicted results show good

where ks is the initial soil permeability at the tunnel axis agreement with the measurements.

level.

Conclusions

Modelling of construction

Both a single tunnel (horse-shoe-shaped) and twin tunnels A 2D modelling technique termed the “time-based

were considered. The construction sequence was simulated method” has been proposed for the analysis of NATM tun-

using the time-based approach. In practice, bench excavation nels that simulates the 3D effects at the tunnel heading in-

was employed for each tunnel, with an upper bench being volving time-dependent behaviour. In this approach, the

excavated some 5 m ahead of a lower bench. Clearly, such a tunnelling procedure and material properties are expressed

two-stage excavation process is a complicated 3D tunnelling in terms of time. In addition, two essentially empirical pa-

problem, and 2D modelling of it requires assumptions about rameters are required, one associated with the tunnel ad-

an additional time parameter that defines the excavation se- vance rate and the other with the installation of the tunnel

quence. This is beyond the scope of this paper, and conse- lining. These can be determined from field data and (or)

quently, full face excavation was assumed for the analysis. simple 3D numerical analysis, if it is available. The ap-

The parameters T and α were evaluated from both field proach improves on current 2D modelling methods in that it

data and the tentative 3D finite element analysis described can give a better understanding of the simulation of 3D ef-

previously. The tunnel depth Z0 is 20 m and the target ad- fects at the tunnel heading in two dimensions and provides a

vance rate was 2 m/day, although construction records indi- better modelling scheme for a soil for which time-dependent

cate that the average advance rate was approximately behaviour is important during construction. In addition, the

1.85 m/day. Adopting values of η = 1.5 (as discussed previ- evaluation of the model parameters is relatively simple.

ously), Z0 = 20 m, and Ar = 2 m/day gives T = 15 days. As Guidelines for the applicability of numerical modelling

noted previously, the 3D finite element analysis indicates assuming either a fully drained or undrained tunnel excava-

that α = 0.46, and consequently, this value has been adopted tion have been identified using the tunnelling time factor, Tv

for the present analysis. The significance of the values of T (= cvT/Hd2). When Tv < 0.01 an undrained assumption (i.e.,

(or η) and α has been discussed previously where it was total stress analysis) is valid, and when Tv > 1.0 the assump-

shown that the most significant parameter is the value of α. tion of fully drained excavation is appropriate; otherwise

The importance of T (or η) increases with soil permeability. time-dependent effects due to equalization of pore-water

As the soil is permeable, a drained condition (i.e., zero pressures become combined with the unloading procedure in

pore-water pressure along the excavated tunnel boundary) the short term. The time-based approach is useful in cases

was assumed. The lining was modelled using isotropic elas- where the ground has an intermediate range of permeability,

tic beam elements with a stiffness varying with time as in such that the equalization of pore-water pressures due to tun-

the parametric study described above. nelling combines with the unloading procedure due to exca-

vation.

As an example, the time-based method was applied to the

Results of the analyses problem of tunnelling in a decomposed granite soil. Coupled

The symmetric geometry of a single tunnel in a green consolidation analyses, employing an advanced constitutive

field site was used, and therefore only half of the problem model for the soil, were performed. The predicted surface

was analyzed. The finite element mesh is shown in Fig. 5. settlements showed excellent agreement with the field data

Figure 13a compares the settlement troughs obtained from for a horse-shoe-shaped tunnel.

field measurements and the analysis. Although the field data

does not cover the whole settlement profile, the numerical

results show excellent agreement with the available field Acknowledgments

measurements plotted. Figure 13b shows the corresponding

The work presented in this paper was funded by the Seoul

lining response from the analysis.

Metropolitan Government, an Overseas Research Award,

Figure 14a shows the profile of the twin tunnel section and the British Council. Their support is gratefully acknowl-

and its finite element mesh. The tunnel geometry considered edged.

is the scenario of two tunnels running side by side at the

same depth. The pillar width between the tunnels is 12 m.

Excavation was simulated sequentially, assuming that the ex- References

cavation of the first tunnel was followed immediately by that Addenbrooke, T.I. 1996. Numerical analyses of tunnelling in stiff

of the second tunnel. The time-based modelling scheme was clay. Ph.D. thesis, Imperial College, University of London, U.K.

again employed, using T = 15 days and α = 0.46 for each Attewell, P.B., and Hurrell, M.R. 1985. Settlement development

tunnel. Figure 14b compares numerical results with field caused by tunnelling in soil. Ground Engineering, 18(8): 17–20.

data. The maximum predicted settlement after the excavation Attewell, P.B., and Woodman, J.P. 1982. Predicting the dynamics

of the first tunnel is 14 mm. Excavation of the second tunnel of ground settlement and its derivatives caused by tunnelling in

moves the settlement trough away from the first tunnel and soil. Ground Engineering, 15(8): 13–22; 36.

increases the maximum settlement to 24 mm. The volume Cividini, A., Gioda, G., and Carini, A. 1991. A finite element anal-

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respectively. The slightly larger volume loss calculated for In Computer methods and advances in geomechanics. Edited by

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G. Beer, J.R. Booker, and J.P. Carter. A.A. Balkema, Rotter- ceedings: Tunnelling ‘82, Brighton, The Institution of Mining

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Desari, G.R., Rawlings, C.G., and Bolton, M.D. 1996. Numerical Panet, M., and Guenot, A. 1982. Analysis of convergence behind the

modelling of a NATM tunnel construction in London clay. In face of a tunnel. In Proceedings: Tunnelling’82, Brighton, The In-

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the United Kingdom, their magnitude and prediction. In Pro-

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Appendix A

parameters 1515 1485 2×10–4 0.955 0.818 9.0×10–3 0.35 9706

Bulk modulus R S Tm (%) δ λ ε v min (%) ε v max (%) Kmin (kPa)

parameters 475 465 2×10–4 0.848 0.872 5.0×10–3 0.5 6438

Table A2. Material parameters for the post- strain) against stress ratio (ηs = q/p′, where q is the deviator

yield model. stress = σ1 – σ3):

Decomposed granite soil α M

[A2] d = µ s(M − ηs) s + 1

Plastic potential parameters ηs

αp 0.1

µp 0.9999 where αs is a parameter which represents the closeness to the

Mp 1.5 ηs = 0 axis. By using the normality condition and carrying

out integration of eq. [A2], the plastic potential function,

Yield surface parameters

P(σ′), was obtained and a similar expression was then as-

αf 0.0001

sumed for the yield function, F(σ′), (see Lagioia et al.

µf 2.3 (1996)). In the case of µ σ ≠ 1,

Mf 1.16

K2

Hardening parameters η′ (1− µ s )( K1 − K2 )

Bp 0.02 1 + s

ξ P(σ′) p′ K2

−

0.01

[A3] =

ρm 2000 F(σ′) p′H K1

1 +

pso exp(5 + 0.07Z1)a

K1

pmo 30 + 0.3Z1

pto 10 + 0.1Z1 where

a

Z1 is the depth below the top of the decomposed

K1 µ s(1 − α s) 4α (1 − µ s) η

granite soil, see Fig. 5.

= 1 ± 1 − s 2

and η′s = s

2

K 2(1 − µ s

) µ s (1 − α s

) M

Nonlinear elastic model

The elastic stiffness parameters are given by where (±) is (+) for K1 and (–) for K2. In the case of µs = 1,

λ αs

ε η

K log v P(σ′) p′ − s

(1 − α s) ′ (1 − α s ) 2

[A1a] = R + S cos δ [A4] = − e 1− α s ηs + 1

p′ Tm F(σ′) p′H αs

γ where p′H is the state parameter. For the work presented in

3G Ed this paper, the model has been extended to general stress

[A1b] = A + B cos α log space by assuming that both the plastic potential and the

p′ 3C m

yield functions can be described by the Matsuoka and

Nakai’s surface (see Potts and Zdravkovic 1999).To define

where G is the secant shear modulus, K is the secant bulk the yield and plastic function surfaces, three parameters, i.e.,

modulus, p′ is the mean effective stress (= (σ1′ + σ2′ + σ3′)/3), M, αs, and µs, are required for each surface.

A, B, Cm, α, γ, R, S, Tm, δ, and λ are constants, and εv and εd The state parameter p′H is given by:

are the volumetric and deviatoric strains, respectively, de-

fined as εd = 2 [{(ε1 – ε2)2 + (ε1 – ε3)2 + (ε2 – ε3)2 }/6]1/2 and [A5] p′H = ps + pm + pt

εv = ε1 + ε2 + ε3, where ε1, ε2, and ε3 are principal strains.

where ps is the conventional hardening parameter for an

Lagioia, Puzrin, and Potts (L,P&P) model unbonded soil, and pm and pt are additional hardening pa-

Initially, L,P&P considered triaxial compression condi- rameters governing the magnitude of the bonding. They can

tions for the development of the model. The L,P&P model be expressed as:

assumes that the plastic strain rates give a straight line, with εp + ξ J

slope µs, in a diagram of dilatancy (d = dε pv/dε pd , where ε pv is [A6] ps = pso exp v

B

the plastic volumetric strain and ε pd is the plastic deviatoric p

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[A7] pm = pmo exp[−ρm (ε pv) 3 ] where pso, pmo, and pto are initial values of the hardening pa-

rameters; ρm and ρt are parameters defining the rate of bond

degradation; J is the deviatoric stress invariant; and ξ and Bp

are material parameters.

[A8] pt = pto exp[−ρt (ε pv)]

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