Geotech Geol Eng

https://doi.org/10.1007/s10706-019-00856-7 (0123456789().,-volV)
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ORIGINAL PAPER

Prediction of Ground Settlement Due to Excavation

of a Quasi-Rectangular Shield Tunnel Based on Stochastic
Medium Theory
Gang Wei . Xin-hai Zhang . Yin-feng Xu . Zhe Wang

Received: 12 July 2018 / Accepted: 14 March 2019

Ó Springer Nature Switzerland AG 2019

Abstract In this study, a method for calculating the
ground loss-induced ground settlement during quasi-
rectangular shield (QRS) tunnelling was investigated.
Based on stochastic medium theory, an equation for
calculating QRS tunnelling-induced transverse ground
settlement was derived. A tunnelling face convergence
mode coefficient, a, was introduced to make the
derived equation applicable to various tunnelling face
convergence modes. A modified equation for calcu-
lating the longitudinal variation in the ground loss
ratio (e) was proposed to calculate e for any arbitrary
cross-section in the tunnelling direction. On this basis,
the proposed equation was longitudinally expanded,
and an equation for calculating the three-dimensional
(3D) ground settlement was obtained. A simplified
model for additional grouting pressure was estab-
lished, and the influence of additional grouting
pressure on surface deformation was analysed. In
addition, the proposed method was used to calculate
the QRS tunnelling-induced ground settlement, and
the results were compared with actual measurements.
It is found that the predicted ground settlement
obtained using the proposed method matches the
actual measurements relatively well and reflects the
3D variations in the ground settlement. As a increases,
the maximum ground settlement increases and the
width of the ground settlement trough decreases,
whereas the positions of the inflection points of the
settlement curve remain unchanged. The horizontal
distance between the inflection points is approxi-
mately twice the width of the tunnel.
Keywords Quasi-rectangular shield tunnel  Ground
settlement  Stochastic medium theory  Convergence
of tunnelling face
1 Introduction

G. Wei  Y. Xu In recent years, numerous large cities in China have

Department of Civil Engineering, Zhejiang University constructed subway tunnels. Shield tunnelling has
City College, Hangzhou 310015, China been widely applied to tunnelling construction of
urban metro tunnels because it is easy to achieve full-
X. Zhang (&)
College of Civil Engineering and Architecture, Zhejiang face cutting and reasonable structural force. However,
University, Hangzhou 310058, China space restriction always occurs during single circular
e-mail: 1437659927@qq.com shield tunnelling of a double line interval tunnel. A
new construction technology method is urgently
Z. Wang
College of Civil Engineering and Architecture, Zhejiang needed.
University of Technology, Hangzhou 310014, China

123

Because they combine the advantages of circular
shields (reasonable structural stress and ease of
mechanized construction) and rectangular shields
(high cross-section utilization efficiency), quasi-rect-
angular shields (QRSs) have become a new choice for
building urban subways and efficiently utilizing
underground space. In 2002, the world’s first double
track subway tunnel with a quasi-rectangular shape
was constructed for the Kyoto Municipal Subway
(Nakamura et al. 2003). In 2015, a Chinese-made
11.83 m 9 7.267 m quasi-rectangular earth pressure
balance shield was used for the first time to construct a
trial section near the transfer tracks at Chenpodu
Station during the first phase of the construction of the
Ningbo Rail Transit Line 3 in Ningbo, China. The
length of the quasi-rectangular shield is 11.46 m. The
cutterhead is composed of two oppositely rotating
spokes and an eccentric multi-axis drive cutter, which
is located at the centre of the cutting plane of the shield
machine, and is designed to cut the part that cannot be
reached by the main cutter. There are four groups with
two grouting pipes in each group arranged in the top of
the arch, the upper hance, the lower hance and the
bottom of the arch. Two screw conveyors are used for
soil dumping in the shield with two sets of segment
assembly mechanical arms. Compared with a single
Fig. 1 Entrance of rectangular shield tunnel
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Geotech Geol Eng
circular shield, the QRS has a larger tunnelling face.
As shown in Fig. 1, the area of excavation is 71.98 m2,
and consequently, QRS tunnelling results in greater
ground settlement and affects a larger area. Therefore,
research on methods of predicting QRS tunnelling-
induced ground settlement can provide important
guidance and are applicable to the protection of the
environment and facilities around the tunnel.
Therefore, in this paper, based on the theory of a
stochastic medium, a calculation model of the surface
deformation caused by soil loss will be established.
The goal of this study is to predict the ground surface
settlement, and then study the behaviour of it.
2 State of the Art
Shield tunnelling unavoidably causes ground loss,
which results in ground settlement. Researchers
around the world have conducted extensive and
valuable investigations of circular shield tunnelling-
induced ground settlement, mainly by means of the
following methods: (1) empirical equation-based
methods, which are represented by the Peck equation
(Peck 1969); (2) theoretical analyses (Sagaseta 1988);
(3) the stochastic medium method (Han and Li 2007;
Geotech Geol Eng
Yang et al. 2004); (4) the boundary element method
(Liao et al. 2006); (5) the finite element method
(Chehade and Shahrour 2008); and (6) the model test
method (He et al. 2012). In terms of content of
research, Chakeri et al. (2013) discussed the effects of
important properties such as tunnel depth, overburden
pressure, tunnel dimension and face pressure using
empirical, theoretical and numerical methods to
predict surface settlement. A new method of surface
settlement prediction is based on the results of
complex processing of field data, and the results of
construction numerical modelling have been estab-
lished by Novozhenin and Vystrchil (2016). Sharghi
et al. (2017) completed a numerical modelling of the
Tabriz subway, line 2, using FLAC3D software, and
they studied the effect of the grout properties on the
surface settlement. Fang et al. (2014) established
empirical relationships between surface and subsur-
face settlement troughs based on field measurement
data. They proposed an empirical method based on the
normal distribution function to estimate the magnitude
and extent of subsurface settlement associated with
shield tunnelling.
To satisfy the requirements of the development of
various types of underground space, Japan set a trend
of developing shields with special cross-sections in the
1990s. The double-O-tube (DOT) shield is a shield
with a special cross-section that has been relatively
extensively studied worldwide. The main results of
these studies are centred on DOT shield tunnelling-
induced solid deformation (Gui and Chen 2013; Wei
et al. 2012a, b, c; Ye et al. 2015). For instance,
considering the friction between the cutter facade, the
side of the tunnel and the soil using the Mindlin
solution, a 3D formula for total soil deformation was
derived by Wei et al. (2012b). The theoretical
solutions of soil deformations that consider the rolling
of the DOT shield machine were derived by Zeng and
Huang (2016), based on the stochastic medium theory.
In addition, engineering applications of the DOT
shield (Chow 2006; Fang et al. 2012), the internal
force of the lining of a tunnel with a DOT (Hu et al.
2009) and the effects of DOT shield tunnelling on the
buildings in the surrounding area (Wei et al. 2012b)
have been investigated.
As a newly introduced special method for shield
tunnelling, QRS tunnelling has been relatively less
extensively studied in China. Of the Chinese research-
ers, Zheng and Zhang (2015) were the first to study
QRS tunnels. In 2015, they investigated the mechan-
ical properties of the segment joints of a QRS tunnel
using numerical simulations. Later, other researchers
also studied the mechanical conditions of the segments
and seams of QRS tunnels using field tests (Liu et al.
2016b; Wang et al. 2016). In recent years, a few
studies of QRS tunnelling-induced soil deformation
have been reported. For example, Tang et al. (2016)
analysed QRS tunnelling-induced stratum deforma-
tion by simulating QRS tunnelling using Abaqus. By
studying field test data, Si et al. (2017) analysed the
basic pattern of QRS tunnelling-induced soil settle-
ment. However, to date, Chinese researchers have not
published the results of theoretical calculations of
QRS tunnelling-induced soil settlement. Therefore, it
is vital to investigate the relevant methods.
In this study, a QRS tunnelling-induced ground loss
model will be established and several convergence
modes of the QRS tunnelling face are described. Based
on two-dimensional stochastic medium theory, a
modified equation for calculating variations in the
ground loss will be introduced to derive an equation
for calculating the three-dimensional (3D) QRS tun-
nelling-induced ground settlement. A simplified
model for additional grouting pressure will be estab-
lished, and the influence of additional grouting
pressure on surface deformation will be analysed. In
addition, a case study of an engineering project will be
performed. The predicted ground settlement will be
compared with the measurements.
The layout of this paper is as follows: in the third
section, the calculation model of surface subsidence
caused by soil loss based on stochastic media theory is
established. The calculation formula of ground settle-
ment is derived by considering the convergence mode
and vertical soil loss rate of the shield tunnel
excavation. In the fourth section, using the experi-
mental section of the quasi-rectangular shield tunnel in
Ningbo as an example, the horizontal and longitudinal
surface settlement curves are calculated and compared
with the measured values; then, the influence of
correction coefficient m, additional grouting pressure
and the convergence mode are analysed to surface
settlement. Section 5 provides the conclusion of this
paper.
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3 Methodology
3.1 Assumptions and Model
In this study, shield tunnelling-induced ground settle-
ment is investigated. It is assumed that the shield
advances along a straight line in normally consoli-
dated soft soil. The scenario in which the tunnelling
direction deviates from a straight line is not consid-
ered. In addition, it is assumed that the soil does not
drain or become consolidated and that its density
remains constant. Because ground loss is the main
cause of ground settlement and to simplify the
calculation process, only ground loss-induced ground
settlement is considered; other influencing factors
(e.g., bulkhead additional thrust, friction between the
shield shell and the ground and additional grouting
pressure) are not considered.
To simplify the calculation, both the shape of the
QRS tunnelling face and its contour after it converges
are simplified to a shape made up of two semicircles
and a rectangle, as shown in Fig. 2. The convergence
area of the QRS tunnelling face can be divided into
four regions, namely, D1, D2, D3 and D4. In Fig. 2, the
x-axis represents the transverse horizontal distance
from the central axis of the tunnel; the z-axis
represents the calculated depth; w1 and w2 represent
the depth of the axis of the tunnelling face and the
0
W1
W2
D1 S
Fig. 2 QRS tunnelling-induced soil convergence model
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Geotech Geol Eng
depth of the axis of the tunnelling face after it
converges, respectively; S represents the distance
between the centres of the left and right semicircles;
and R represents the radius of each semicircle that
constitutes part of the contour of the tunnelling face
(R can be set to a half the height of the contour of the
tunnelling face).
3.2 Modes of Convergence of the QRS Tunnelling
Face
In stochastic medium theory, the formation of a
ground settlement trough is considered a result of the
convergence of the tunnelling face. Based on the
assumptions made about the mode of convergence of
the tunnelling face, the regions of convergence are
integrated to calculate the soil displacement. There-
fore, the mode of convergence of the tunnelling face
directly affects the accuracy of the calculation of the
ground settlement.
Research has shown that QRS tunnelling faces
typically converge in the following three typical
modes: (1) In the traditional theoretical method, the
tunnelling face is presumed to isometrically (uni-
formly) converge in the radial direction (Verruijt and
Booker 1998). Figure 3a shows the mode of conver-
gence of the QRS tunnelling face according to
traditional theory (g represents the equivalent ground
x
D3
Convergence cross-section
Excavated cross-section
D2
D4
Geotech Geol Eng

tunnelling face after it converges (w2) can then be

expressed as w2 ¼ w1 þ ag=2, where the value of a is
in the interval [- 1, 1]. When the tunnelling face
converges uniformly (see Fig. 3a), a = 0. For the
extreme scenario in which the tunnel sinks to the
bottom of the excavation boundary (see Fig. 3b),
a = 1. For the extreme scenario in which the tunnel
rises to the top of the excavation boundary (see
Fig. 3c), a = - 1. Actually, under most working
conditions, the tunnelling face converges in a mode
that goes through the three typical modes.

3.3 Derivation of an Equation for Calculating

Transverse Ground Settlement

Stochastic medium theory was first proposed by the

Polish researcher Litwiniszyn (1957) in the 1950s.
Later, Chinese researchers Yang et al. (2004) con-
ducted in-depth research on this theory and used it to
predict tunnelling-induced surface displacements.
Based on probability and statistics, stochastic
medium theory treats a tunnel excavation as the sum
of an infinite number of micro-elements. Therefore,
the effects of a tunnel excavation on the ground are
equal to the sum of the effects of a large number of
micro-elements that constitute the tunnel excavation
in question, as shown in Fig. 4.
According to stochastic medium theory, the ground
settlement at the calculation point with an x coordinate
Fig. 3 Schematics of three typical modes of convergence of the
tunnelling face of x as a result of the complete collapse of the
infinitesimal tunnel excavation micro-element at point
loss parameter). (2) Some studies have shown that the (n, g) below the ground is
soil surrounding a tunnel actually moves non-isomet-
rically in the radial direction, as shown in Fig. 3b, and
the tunnel may sink to the bottom edge of the
excavation boundary (Loganathan and Poulos 1998).
(3) A QRS tunnel has a larger load-bearing area in the
vertical direction, and its vertical movements under
load are more complex (Liu et al. 2016a). Syn-
chronous grouting affects the upward motion of the
tunnel segments. Figure 3c shows the extreme sce-
nario in which the tunnel rises to the top of the
excavation boundary.
To describe the difference between the modes of
convergence of the QRS tunnelling face, a tunnelling
face convergence mode parameter, a, is introduced.
The relationship between the depth of the axis of the
tunnelling face (w1) and the depth of the axis of the
Fig. 4 Schematic of stochastic medium theory

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  qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
tan b p tan2 b 2 f = t?R; u ¼ w1  R2  ðn  tÞ2 ; v ¼ w1 þ
df ðn; g; xÞ ¼ exp  ð x  n Þ dgdn
g g2 qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ð1Þ R2  ðn  tÞ2 ; e1 ¼ t; f1 ¼ t þ ðR  g=2Þ; u1 ¼ w2
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
where b represents the main influencing angle of the  ðR  g=2Þ2 ðn  tÞ2 ; and v1 ¼ w 2 þ
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
soil overlying the tunnel. From reference (Han and Li
20
ðR  g=2Þ2 ðn  tÞ2 .
2007), we know that tan b ¼ 50u , where u represents
the internal friction angle of the soil (u can be set to the ZZ Z l Zn
weighted average of the internal friction angles of the f ðn; g; xÞdr ¼ f ðn; g; xÞdgdn ð5Þ
overlying soil). D3 j m
Let the coordinates of the centres of the left and right
semicircles that constitute part of the contour of the where the bounds of the double integral are j ¼ t;
QRS shield be (- t, w1) and (t, w1), respectively, and l ¼ t; m ¼ w1  R; and n ¼ w2  ðR  g=2Þ.
the coordinates of the centres of the left and right ZZ Zl1 Zn1
semicircles that constitute part of the contour of the f ðn; g; xÞdr ¼ f ðn; g; xÞdgdn ð6Þ
QRS shield after the convergence of the QRS tun-
D4 j1 m1
nelling face be (- t, w2) and (t, w2), respectively. The
four regions of soil convergence are integrated. The where the bounds of the double integral are j1 ¼ t;
following equation for calculating the QRS tunnelling- l1 ¼ t; m1 ¼ w2 þ ðR  g=2Þ; and n1 ¼ w1 þ R.
induced transverse ground settlement is thus obtained:
ZZ 3.4 Longitudinal Expansion of the Equation
WðxÞ ¼ f ðn; g; xÞdr ð2Þ
D1 þD2 þD3 þD4 The volume of ground loss, Vloss , refers to the actual
volume of excavated soil minus the design volume of
where excavated soil, which is generally calculated by
ZZ Z b Zd multiplying the area of the tunnelling face by the
f ðn; g; xÞdr ¼ f ðn; g; xÞdgdn ground loss ratio, e. Let the area of the QRS tunnelling
D1 a c face be A. Then, the volume of the QRS tunnelling-
Zb1 Zd1 induced ground loss is
 f ðn; g; xÞdgdn ð3Þ
Vloss ¼ Ae ¼ eðpR2 þ 2RSÞ ð7Þ
a1 c1
Based on the geometric relationships shown in
where the bounds of the double integral are
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi Fig. 2, we know that
a ¼ t  R; b ¼ t; c ¼ w1  R2  ðn þ tÞ2 ;
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi Vloss ¼ gS þ pgð1  g=4Þ ð8Þ
d ¼ w1 þ R2  ðn þ tÞ2 ; a1 ¼ t  ðR  g=2Þ; Using Eqs. (7) and (8), the relation between g and e
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
b1 ¼ t; c1 ¼ w2  ðR  g=2Þ2 ðn þ tÞ2 ; and is obtained
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
d1 ¼ w2 þ ðR  g=2Þ2 ðn þ tÞ2 . 2ðpR þ SÞ  2 ðpR þ SÞ2 peRðpR þ 2SÞ
g¼ ð9Þ
p
ZZ Zf Zv
f ðn; g; xÞdr ¼ f ðn; g; xÞdgdn Based on computed tomography, under set working
D2 e u
conditions, if e at each longitudinal cross-section in the
Zf1 Zv1 tunnelling direction (along the y-axis), e(y), is
 f ðn; g; xÞdgdn ð4Þ obtained, then, the ground settlement at each longitu-
dinal cross-section can be calculated. By combining
e1 u 1
these ground settlements, the total ground settlement
where the bounds of the double integral are e = t; in the longitudinal direction is obtained (Wei 2010).

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Geotech Geol Eng
By assuming that the cavity formed as a result of the
ground loss has a cylindrical shape and is evenly
distributed along the tunnelling direction (the longi-
tudinal direction), Sagaseta (1988) determined the
variation in the ground settlement above the axis of the
tunnel along the tunnelling direction, and then derived
the following equation for calculating the variation in e
in the longitudinal direction (Wei 2010):
" #
emax y
eðyÞ ¼ 1  pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð10Þ
2 y2 þ h2
where emax represents the maximum e when the ground
settlement tends to become stable; h represents the
depth of the axis of the tunnel.
To derive Eq. (10), it is assumed that ground loss
mainly occurs at the depth of the tunnel axis, and soil
has not been drained and consolidated. The assump-
tion is significantly different from the actual engi-
neering situation. Therefore, a correction coefficient,
m, is introduced to modify the equation to calculate the
variation in e in the longitudinal direction;
2 3
emax 6 y 7
eðyÞ ¼ 41  qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi5 ð11Þ
2 2
y2 þ ðmhÞ
According to Eq. (11), as y ???, eðyÞ = 0, and as
y ? - ?, eðyÞ ¼ emax . This means that in the area
ahead of the tunnelling face, e gradually decreases to 0
(i.e., it exceeds the range of impact), whereas in the
area behind the tunnelling face, e gradually increases
and eventually approaches emax , at which time the
ground settlement tends to become stable. Therefore,
the modified equation still reflects the actual working
conditions. The parameter m is a calculated coefficient
that considers the permeability of soil, speed of shield
advance, excavation face size and so on, rather than
reflecting a certain property of soil. The value of
m needs to be further studied through more measured
data. In this study, the value of m can be obtained from
back analysis of the actual longitudinal ground
settlement measurements.
By substituting Eq. (11) into Eq. (9), we obtain
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2ðpR þ SÞ  2 ðpR þ SÞ2 peðyÞRðpR þ 2SÞ
gðyÞ ¼
p
ð12Þ
Then, by substituting Eq. (12) into Eq. (2), the
equation for calculating the longitudinal ground
settlement is expanded, and the following equation
for calculating the 3D ground settlement is obtained:
ZZ
Wðx; yÞ ¼ f ðn; g; xÞdr ð13Þ
D1 ðyÞþD2 ðyÞþD3 ðyÞþD4 ðyÞ
3.5 Ground Deformation Caused
by the Additional Grouting Pressure
To fill the shield tail gap and reduce surface
settlement, simultaneous grouting or secondary grout-
ing will be used at the shield machine tail. The
additional grouting pressure will be generated around
tunnel lining because the grouting pressure is usually
greater than the formation pressure.
The additional grouting pressure (dp ¼ pdr) acting
on the micro-unit (dr) around the quasi-rectangular
shield tunnel can be decomposed into a horizontal
component force dpy and a vertical component force
dpz. Deformation caused by the additional grouting
pressure during the construction of quasi-rectangular
shield tunnel can be reached through integral calcu-
lation in the Mindlin solution. The integral region is
the range in which additional grouting pressure is
acting (Wei et al. 2018). Figure 5 is a simplified model
of additional grouting pressure.
Surface deformation caused by horizontal compo-
nent force of the additional grouting pressure
(Wy ðx; yÞ) can be calculated by Eq. (14).
x
p 0
y
Range of additional grouting pressure
dσ
z
Fig. 5 The simplified model of additional grouting pressure
123

ZZ
pyðy  fÞ
Wy ðx; yÞ ¼
16pGð1  lÞ

Gt
 4.1 Analysis of the Transverse Ground Settlement
4ð1  lÞð1  2lÞ gð3  4lÞ g
  3 dr
NðN þ gÞ N3 M A trial section of Ningbo Rapid Transit Line 3 was
Surface deformation caused by the vertical com-
ponent force of the additional grouting pressure
(Wz ðx; yÞ) can be calculated by Eq.(15).
ZZ
pz
Wz ðx; yÞ ¼
16pGð1  lÞ
Gt
 
ð3  4lÞ 8ð1  lÞ2  ð3  4lÞ g2 ð3  4lÞg2
þ þ 3þ 3
dr
M N M N
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2 2
where M ¼ ðx  nÞ þ ðy  fÞ þ ðz  gÞ , and
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
N¼ ðx  nÞ2 þ ðy  fÞ2 þ ðz þ gÞ2 ; py and pz rep-
resentt the horizontal component and vertical compo-
nent of additional grouting pressure (p), respectively;
Gt represents the integral region of additional grouting
pressure, which is an annular area from the grouting
point to where additional grouting pressure has
dissipated. G is the shear modulus of soil which can
be obtained by G ¼ ð12lÞE s
2ð1þlÞ , where Es is the modulus
of compressibility for soil, l is Poisson ratio of soil.
Surface deformation caused by the additional
grouting pressure can be reached through the super-
position principle.
Wg ðx; yÞ ¼ Wy ðx; yÞþWz ðx; yÞ
As the distance from the grouting increases, the
pressure of additional grouting will decrease gradually
because of slurry penetration, solidification and
grouting pressure dissipation. Grouting material with
good flowability is usually adopted by quasi-rectan-
gular shield tunnels because of the large cross-section
and the high flat degree of the outer contour. Accord-
ing to the research by Ding et al. (2016), the grouting
pressure tends to be stable and slow down after shield
tail passed. So, the practical effect time of additional
grouting pressure is longer. In this study, the distribu-
tion of additional grouting pressure is simplified, as
shown in Fig. 5, which decrease linearly from the
grouting point until the pressure become zero.
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4 Validation and Analysis
ð14Þ constructed using the QRS tunnelling method. The
QRS tunnelling machine used had a length of 11.46 m,
and its cutter could cut an area of 11,830 mm 9 7267
mm (width 9 height). Each tunnel segment had
external dimensions of 11,500 mm 9 6937 mm
(width 9 height), a thickness of 450 mm and a ring
width of 1200 mm. The soil layer overlying the tunnel
had a thickness of 9.7 m. Distribution of the soil layer
have been tabulated in Table 1. The weighted average
ð15Þ of the internal friction angles of the overlying soil was
2 15.5̊ (Si et al. 2017). The tunnelling machine mainly
drilled in muddy clay. Corresponding physico-me-
chanical parameters of soil from Chen et al. (2017)
have been tabulated in Table 2. As shown in Fig. 6,
The measured data used in this paper are taken from
monitoring cross-section DM21 and DM34 (Si et al.
2017). The distance between these two sections is
about 15.6 m. Monitoring point DM21-5 and DM34-5
are both above the axis of the tunnel.
The simplified geometric dimensions of the tun-
nelling face are as follows: S = 4.56 m and
R = 3.63 m. Through back analysis of the measured
data, it is found that at monitoring cross-section
DM34, emax = 1.5%, a = 0.45 and m = 3. The curve of
the transverse ground settlement at monitoring cross-
section DM34 is calculated using the proposed method
ð16Þ and then compared with the measured curve, as shown
in Fig. 7.
1. As shown in Fig. 7, the curve obtained using the
proposed method matches the measured curve
relatively well, which indicates that the proposed
equation is reliable. The maximum ground settle-
ment at monitoring cross-section DM34 (49 mm)
occurs above the axis of the tunnel. (2) Based on
the calculated curve, the width of the ground
settlement trough at monitoring cross-section
DM34 is approximately 60 m, which is approxi-
mately five to six times the width of the QRS. (3)
By comparing the measured and calculated
curves, it can be found that the measured curve
has a relatively low degree of symmetry, which
indicates that the distribution of the ground
settlement on the two sides of the axis of the
Geotech Geol Eng

Table 1 Distribution of the soil layer overlying the tunnel

Soil layer Layer thickness (m) Soil unit weight, c (kN m-3) Internal friction angle, u (°) Soil cohesion, c (kPa)

 1 Miscellaneous fill 1.5 18.0 17.7 25.0

 3 Silt 1.7 16.4 19.7 9.3
` 1 Clay 0.8 18.3 16.1 14.5
` 2a Silt 4.4 16.5 13.6 8.5
` 2b Muddy clay 8.4 17.2 15.3 10.5

Table 2 Physico-mechanical parameters of soil

Poisson Weighted average density Lateral pressure Compression modulus, Deformation modulus, Eu
ratio, l (kN m-3) coefficient, K0 Es0.1–0.2 (MPa) (MPa)

0.42 17.12 0.67 2.18 109

Fig. 6 Layouts of monitoring cross-section and points (unit: m)

tunnel is non-uniform. This may be a result of the
deviation of the forward movement of the QRS
from a straight line.
4.2 Analysis of the Influence of Grouting Pressure
on Ground Deformation
Figure 8 shows the curve of the ground settlement at
monitoring point DM34-5 on cross-section DM34
above the axis of the tunnel (y = 0 m). In the actual
tunnelling process, the shield advances at a rate of
approximately 3 rings/day (Si et al. 2017). The
monitoring data cover a time span of 39 days (from
59 to 97 days). The shield reaches monitoring cross-
section DM34 at 7 days (x = 0 m). On this basis, the
distance between monitoring cross-section DM34 and
the tunnelling face on each day is calculated, and the
ground settlement at monitoring point DM34-5 can be
calculated by the proposed method.
By comparing the measured data, it can be found
that there is a relatively large difference in ground
settlements after the secondary grouting. The mea-
surements indicate that the ground rises after grouting.
This is the surface deformation due to the additive
grouting pressure. Peak value of observed data is
30.76 mm, which appear at 63 days. At the same time,

123
 Geotech Geol Eng

Distance away from axle wire /m additional grouting pressure action is approximately
0 31 days.
-30 -25 -20 -15 -10 -5 0 5 10 15 20 25 30
By analysing the measured curve in Fig. 8, espe-

Settlement/mm
10
20
30
40
50
Fig. 7 Curve of the transverse ground settlement at monitoring
cross-section DM34
the calculation value without the secondary grouting
effect is 49.50 mm. The difference between them is
18.74 mm.
Bezuijen and Van (2006) assumed that the grouting
pressure has an impact on the area from the shield tail
to the point where the grout solidifies. Within this area,
the grouting pressure linearly decreases in the tunnel’s
longitudinal direction (Liu et al. 2016b). The distri-
bution of additional grouting pressure for the shield
tail simultaneous grouting and the secondary grouting
are both simplified that decrease linearly from the
grouting point until the pressure becomes zero. The
initial additional grouting pressure (pmax) of secondary
grouting at monitoring cross-section DM34 is 16 kPa.
At this monitoring cross-section, the duration of
cially the secondary grouting process, it can be found
that the grouting effect on surface deformation can be
divided into two stages: Grouting effect stage 1, i.e.,
the ground settlement increases approximately lin-
early; Grouting effect stage 2, i.e., the ground settle-
This method
ment decreases approximately linearly. In light of the
Measured value ground settlement process, the effect stage 1 of the
secondary grouting lasts approximately 5 days. The
effect stage 2 of the secondary grouting lasts approx-
imately 26 days (from 65 to 90 days). As shown in
Fig. 8, it can be seen that the ground settlement curve
obtained through the proposed equation matches the
measured curve relatively well.
4.3 Analysis of the Longitudinal Ground
Settlement
Through back analysis of the measured data, it is
found that at monitoring cross-section DM21,
emax = 1.8%, a = - 1 and m = 3. The peak value of
additional grouting pressure is 22 kPa when the shield
tail passes monitoring cross-section DM21. At this
monitoring cross-section, the duration of additional
grouting pressure action is approximately 45 days
(from 27 to 72 days). Figure 9 shows the time-history
curve of the ground settlement at monitoring point
DM21-5 on cross-section DM21 above the axis of the

Fig. 8 Time-history curve Time/d

of the ground settlement at
monitoring point DM34-5 55 60 65 70 75 80 85 90 95 100
25

30 Observed data
Without the secondary grouting effect
35 Author's solution
Settlement/mm

40

45

50
pmax=16kPa

55

60

123
Geotech Geol Eng
0 5 10 15 20
0
5
10
15
Settlement/mm
20
25
30
35
40
Grouting effect
45 stage 1
50
Fig. 9 Time-history curve of the ground settlement at monitoring point DM21-5
tunnel (y = 0 m). The monitoring data cover a time
span of 73 days. The shield reaches monitoring cross-
section DM21 at 23 days (x = 0 m), and the shield tail
passes this cross-section at 27 days (x = 12 m).
According to the actual tunnelling process, the shield
advances at a rate of approximately 3 rings/day (Si
et al. 2017), the distance between monitoring cross-
section DM21 and the tunnelling face on each day is
calculated, and the ground settlement at monitoring
point DM21-5 can be calculated with the proposed
method.
Figure 9 shows a comparison of the curve obtained
through the proposed method and the measured curve.
The measured data show the following: (1) During the
21 days immediately before the arrival of the shield
(within approximately 75 m ahead of the tunnelling
face), the ground started settling, albeit to a relatively
insignificant extent, and the ground settlement devel-
oped relatively slowly. (2) When the shield passed
monitoring cross-section DM21, the ground settle-
ment developed rapidly. (3) After the shield tail passed
monitoring cross-section DM21, the ground started
rising and reached its peak on approximately the 28th
day (approximately 18 m behind the tunnelling face),
after which time the ground started sinking continu-
ously and rapidly. (4) On the 61th day (approximately
140 m behind the tunnelling face), the ground
Time/d
25 30 35 40 45 50 55 60 65 70 75
Author's solution
Without the shield tail
simultaneous grouting effect
Observed data
Grouting effect stage 2
settlement started becoming stable. The ground
settlement ultimately reaches 47 mm.
The time-history curve obtained through the pro-
posed method shows the following. (1) As time
progresses, the ground settlement increases. (2) Before
the arrival of the shield tunnelling face, the ground
settlement is relatively insignificant and increases
slowly. (3) When the shield reaches the monitoring
cross-section (23 days), the ground near the tunnelling
face sinks rapidly and the ground settlement (24 mm)
is half of the final ground settlement. (4) After
tunnelling face passes the monitoring cross-section,
the surface begins to heaves until the shield tail passes
through the monitoring cross-section (27 days). When
the heave reaches its maximum, the surface settlement
value is 7.6 mm. (5) As the shield continues to
advance, the surface settlement increases rapidly, then
eventually becomes stable.
In Fig. 9, it can be seen that the ground settlement
curve obtained using the proposed equation matches
the measured curve relatively well. Likewise, in
Fig. 9, it can be observed that there is a relatively
large difference in the ground loss-induced settlement
(without the shield tail simultaneous grouting effect)
and measured data after the segments of the shield tail.
This is in fact surface deformation due to the additive
grouting pressure used for grouting the shield tail.
123

4.4 Analysis of the Impact of the Correction
Coefficient m
According to the calculation parameters of the mon-
itoring cross-section DM21 above, only change the
value of m in order to study the effect of the correction
coefficient m on the calculated value. Calculate the
total surface settlement and settlement caused by soil
loss through the propose method, when m = 1, m = 2,
m = 3 and m = 4. The minimal surface settlement
value on the total settlement calculation curve
obtained by different m values are 5.3 mm, 7.6 mm,
11.2 mm and 16.3 mm, respectively, and all appear at
29 days. As shown in Fig. 10, the smaller the value of
m, the faster the surface settlement near the excavation
develops that caused by ground loss. The trend of the
total settlement calculation curve obtained by different
m values is consistent. At approximately 27 days, the
difference among the total settlement is largest when
obtained through different m values, and the shield tail
just passes this monitoring cross-section at that time.
When Eq. (10) is not modified, that is m = 1, compu-
tation value in theory is much different than the
monitoring value for total surface settlement. Overall,
the total surface settlement calculated by this method
at m = 3 best agrees with the measured data.
4.5 Analysis of the Impact of the Tunnelling Face
Convergence Mode
The ground settlement at monitoring cross-section
DM21 of the trial section of Ningbo Rapid Transit
Line 3 is calculated using the proposed equation with a
Time/d
25 30 35 40 45 50
5 measured curve for the tunnel in which the tunnel rises
10
Observed data
Calculated by this method when m=1
Calculated by this method when m=2
15 Calculated by this method when m=3
Settlement/mm
Calculated by this method when m=4
20
25
30
Ground loss(m=1)
35 Ground loss(m=2)
Ground loss (m=3)
Ground loss(m=4)
40
45
Fig. 10 Comparison of calculation curves for different value of
correction coefficient m
123
Geotech Geol Eng
Distance away from axle wire /m
-20 -15 -10 -5 0 5 10 15 20
10
Settlement /mm
20
30
40
50
Tunnel rises (α =-1)
Uniform convergence
60
scenario form (α =-1)
Tunnel settles (α =1)
70 Observed data
Fig. 11 Comparison of the modes of convergence of the
tunnelling face at cross-section DM21
equal to - 1, 0 and 1. The results are compared with
the measured data in Fig. 11. The maximal surface
settlement value on the calculation curve obtained by
different convergence mode are 48.1 mm, 57.8 mm,
and 67.3 mm, respectively, and all appear above the
axis of tunnel.
The three calculated ground settlement curves
shown in Fig. 11 demonstrate the following: (1) As
a increases, the maximum ground settlement
increases, the area in which ground settlement occurs
decreases to a certain extent, and ground settlement
tends to occur along the axis of the tunnel. (2) The
positions of the two inflection points of the ground
settlement curve do not vary with a and are always
11 m from the axis of the tunnel on each side, where
the ground settlement is approximately 34 mm. The
distance between the two inflection points is approx-
imately twice the width of the tunnel. (3) Comparing
the measured data and the calculation results shows
55 60 that the calculated curve is more consistent with the
(a = - 1). Therefore, it can be inferred that the mode
of convergence shown in Fig. 3c is more in line with
the actual mode of convergence of the soil at the cross-
section in question.
5 Conclusions
1. In this study, a calculation model for QRS
tunnelling-induced soil deformation was estab-
lished. Based on stochastic medium theory, an
Geotech Geol Eng
equation for calculating the 3D ground settlement
was derived by integrating the expanded longitu-
dinal equation over the region of convergence.
The ground settlement curve obtained using the
proposed method matches the measured curve
relatively well, which indicates that the proposed
equation is reliable.
2. To address the flaw in the derivation of Sagaseta’s
equation, a correction coefficient (m) was intro-
duced to modify the equation for calculating the
longitudinal variation in the ground loss
[Eq. (11)]. The equation for calculating the
ground settlement was expanded in the longitudi-
nal direction using Eq. (11), and an equation for
calculating 3D ground settlement was thereby
obtained. According to the calculation and com-
parison, in this case, the surface settlement
prediction is more accurate when the correction
coefficient m = 3. The case study shows that the
longitudinal ground settlement curve obtained
using the proposed method that consider the effect
of additional grouting pressure is in relatively
good agreement with the measured data. The
proposed method reflects relatively well the
variations in surface settlement caused by the
quasi-rectangular shield tunnel construction.
3. Three modes of convergence were proposed for
the QRS tunnelling face. By introducing a param-
eter (a) that represents the tunnelling face con-
vergence mode, the proposed equation becomes
suitable for calculating the ground settlement in
various scenarios. The value of a is in the interval
[- 1, 1]. When a = 0, the tunnelling face con-
verges uniformly. When a \ 0, the tunnel rises.
When a [ 0, the tunnel sinks. The case study
shows that as a increases, the maximum QRS
tunnelling-induced ground settlement increases
and the width of the settlement trough decreases.
The positions of the inflection points of the
transverse ground settlement curve remain
unchanged no matter how the a changes. The
distance between the left and right inflection
points is approximately twice the width of the
QRS tunnel.
This study has some limitations. For example, the
impact of the instability of excavation face is not
considered. As a result, the calculated results for the
area front of excavation face differ from the measured
curve to a certain extent. In addition, the effects of the
deviation of the forward movement of the QRS from a
straight line on the ground deformation are not
considered. Further studies are necessary to investi-
gate these factors.
Acknowledgements This work was supported by the Public
Technology Project of Science Technology Department of
Zhejiang Province (No. 2016C33051), the Science and
Technology Project of Ministry of Housing and Urban–Rural
Development of People’s Republic of China (No. 2015-K5-026)
and the National Undergraduate Training Program for
Innovation and Entrepreneurship (No. 201713021008).
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