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This Paper investigates theoretically and experiment- Cette etude examine theoriquement et experimentale-
ally the stability of a circular tunnel in a cohesionless ment la stabilite d’un tunnel circulaire dans un sol
soil with support conditions similar to those found pulverulent soutenu dans des conditions semblables a
celles trouvees pendant la construction. L’etude
during construction. The experimental investigation experimentale consista en essais sur modele a petite
consisted of small-scale model tests in the laboratory 6chelle en laboratoire et sur la centifugeuse a grand
and on the Cambridge University large-diameter diametre de l’Universit6 de Cambridge. Tous les
centrifuge. All the model tests were carried out in essais sur modele furent mis a execution sous deforma-
plane strain using Leighton Buzzard sand and tests tion plane en utilisant du sable de Leighton Buzzard,
et l’on rend compte des essais avec et sans surcharge
with and without surcharge loading are reported.
additionelle. Les etudes theoriques sont basees sur
The theoretical studies are based on the upper and les theoremes limites suptrieures et inferieures et on
lower bound theorems and predictions of collapse montre que des previsions de pressions de rupture a
pressures from these theoretical solutions are shown partir de ces solutions sont encadrees Ctroitement par
to bracket closely thevaluesobserved in themodel tests. les valeurs observees en essais sur modtles.
INTRODUCTION
As the face of a tunnel is advanced, a means of supporting the ground close to the face may
be needed. In competent rock, the tunnel will be stable without support, but in soft ground,
with immediate support provided by such means as a shield, the use of compressed air or
clay slurry under pressure may be required; otherwise collapse may occur as a result of gross
plastic deformation of the soil, possibly accompanied by flooding. Once a primary lining,
usually of concrete or cast-iron segments, is in place, instability is unlikely unless the fabric of
the lining deteriorates or the ground in the vicinity of the tunnel is disturbed.
Ground movements during excavation of soft ground tunnels have been discussed recently by
Atkinson and Potts (1976). The present Paper is concerned with the of radial pressures to be
supported by compressed air, bentonite slurry, a shield or by other means in order to achieve
stability. One solution would be to allow for ground pressures close to the average total
stress in the soil before excavation. This would maintain stability and prevent excessive
ground movements and flooding, but the use of such large pressures at depth may be expensive
and, if air pressure is used as the support, may constitute a health hazard.
The support provided by air or bentonite pressure is equivalent to a uniform normal total
stress acting on the exposed periphery and face of the tunnel. The state of stress in the soil
around a shield is rather more complicated but the support provided by a smooth circular
shield may be approximated to a uniform normal total stress provided bending moments in the
Discussion on this Paper closes 1 September, 1977. For further details see inside back cover.
* Department of Civil and Structural Engineering, University College, Cardiff.
t Royal Dutch Shell Research Laboratories, Rijswijk, Netherlands.
204 J. H. ATKINSON AND D. M. POTTS
shield are not large. Thus the state of stress in the soil around a newly excavated circular
tunnel supported by air or bentonite pressure or by a smooth shield, neglecting end effects, may
be approximated to the state of stress associated with a uniform fluid pressure contained within
the heading. The problem is to estimate the magnitude of the pressure required just to cause
the tunnel to collapse and an appropriate margin of safety may then be allowed.
The stability of a shallow circular tunnel in a weightless soil to which a uniform surface sur-
charge pressure was applied was investigated by Atkinson and Cairncross (1973). The present
Paper extends this work for cohesionless soils to cover the more important problems of shallow
circular tunnels in soils whose self weight forces may themselves cause collapse. The approach
to the problem will be through the bound theorems of plasticity theory together with the results
of tests on model tunnels in a sand soil.
prototype structure n times larger than the model. In effect, so far as stress and strain are con-
cerned, a centrifugal mode1 becomes apparently n times larger when accelerated to ng. The
centrifugal mode1 tests were conducted at constant accelerations of 75g; consequently, all
other things being equal, the behaviour of the 60 mm diameter model tunnels should be the
same as the behaviour of a 4.5 m diameter tunnel in Earth’s gravitational field.
The sand used for these mode1 tests was the fraction of dry Leighton Buzzard sand passing a
No. 14 sieve and retained on a No. 25 sieve. This sand has been extensively examined in
laboratory tests at Cambridge in the past and its engineering behaviour is well documented.
Since the sand was dry, pore pressures were everywhere atmospheric, so that total and effective
stresses were everywhere equal. For all tests, samples were prepared by pouring the dry sand
around a pre-formed tunnel; the sand was poured in the direction of the tunnel axis to produce
a homogeneous sample which was isotropic in planes normal to the tunnel axis. A specified
sand density may be obtained by pouring the sand at a predetermined rate. All the results
discussed were taken from mode1 tests in which sand was dense with a voids ratio of approxi-
mately 0.52 and all were conducted in a similar fashion.
The tunnels were constructed with the tunnel pressure approximately equal to the vertical
stress in the soil at the level of the tunnel axis; thus the initial conditions were
UT = y(C+R)+a,
where C is the cover above the tunnel crown as shown in Fig. 1 and y is the unit weight of the
soil. During a particular test the tunnel pressure was reduced in decrements until the tunnel
collapsed; this was, in all cases, a sudden and well defined event accompanied by very large soil
displacements (Atkinson et al., 1975; Potts, 1976). In most tests lead shot were buried in the
sand or markers placed against a transparent front face, and after each decrement of tunnel
pressure a radiograph or a photograph was taken of the apparatus. By observing the move-
ments of the lead shot or of the markers on successive radiographs or photographs the complete
field of displacement and strain in the soil around the tunnel may be calculated (Potts, 1976).
Although soil deformations and strains are not of specific concern here, such observations
may be of considerable importance when they suggest mechanisms of collapse or fields of
stress necessary for stability calculations.
Three series of model tunnel tests have been completed in which such parameters as the
depth of cover C, the initial stress conditions, sand density, stress level and type of loading were
varied. These tests are described in detail by Potts (1976). Further tests on model tunnels in
206 J. H. ATKINSON AND D. M. POTTS
0
0 0 9
0.5 IQ 1.5
CIZR
Fig. 2. Variation of tunnel pressure at collapse with depth of burial for model tunnels with crs=210 kN/m2
IO-
0 0
0 0
I
0 200 400 600
Qs : kN/m2
Fig. 3. Variation of tunnel pressure at collapse with surface pressure for model tunnels with C/2R= 0.5
sand have been carried out in which the tunnels were lined with thin metal tubes and strain
gauges used to measure the loads in the tubes (Potts, 1976) but, for the present, only those tests
in which tunnels contained thin rubber liners will be considered.
For all the model tests the tunnel pressures at collapse are shown plotted against depth of
burial in Figs 2 and 4, and against surcharge pressure ~a in Fig. 3.
THEORETICAL ANALYSIS
The stability of a tunnel may be examined theoretically by making use of the upper and lower
bound theorems for perfectly plastic materials. Strictly these. theorems are true only for
materials whose flow rule is associated and v=$ where Y is the angle of dilation (Hansen,
1958) and + is the maximum angle of shearing resistance. In general the flow rule for real
soils is non-associated and Y< $, and application of the bound theorems to problems in soil
mechanics must be treated with some caution. Nevertheless Davis (1968) has shown that
an upper bound calculated assuming Y= 4 is also an upper bound for the case where Y< 4.
Palmer (1966) has suggested that a lower bound solution based on the Coulomb failure criterion
may still be valid even if the flow rule is non-associated. Application of the bound theorems
involves, firstly, calculation of an admissible stress field, in which case the external loads cannot
cause collapse and, secondly, selection of a mechanism of collapse together with an appropriate
work rate calculation, in which case the external loads must cause collapse. Selection of a
realistic stress field and a realistic collapse mechanism may often be assisted by examination of
soil deformations observed during model tests.
Fig. 4. Variation of tunnel pressure at collapse with depth of burial for model tunnels without surface surcharge
0,
I.%*_l
(b)
Fig. 5. States of stress in plane elements: (a) close to the tunnel; (b) far from the tunnel
al=/N3 . . . . . . . . . . (1)
where
l+sin+
C1=l_sin+
and 4 is the maximum angle of shearing resistance.
The state of stress in a small plane element in the vicinity of the tunnel is illustrated in Fig.
5(a) and the conditions of equilibrium are
~~-!$!-$??-~sin~ = 0 . . . . . .
* (3)
where y is the unit of the soil. In general radial and tangential stresses are not principal
stresses but, in order to obtain a solution, we assume that T,~ = 0, in which case the equilibrium
conditions become
. . . . . . . . (4)
z--yrsinB=O . . . . . . . . * (5)
Examination of soil strains observed during model tests indicates that it is reasonable to assume
that, in the vicinity of the tunnel, principal strain rates are radial and tangential and so, ac-
cepting coaxiality of the directions of principal stress and principal strain rates, it appears
reasonable to assume that principal stresses are also radial and tangential, and hence shear
stresses T,~ may be assumed to be zero.
The state of stress in a small plane element far from the tunnel is illustrated in Fig. 5(b) and
the conditions of equilibrium are
%+%=y ........
In general vertical and horizontal stresses are not principal stresses, but, in order to obtain a
solution, we assume 7XQ=O, in which case the conditions of equilibrium become
afJx
-= 0 . . . . . . . . . .
3X
au
z-
,&-y . . . . . . . . . . (10)
and the failure criterion becomes
1
0% = P.? or OX=-a, . . . . . . . . (11)
P
Consider the field of stress illustrated in Fig. 6. Within the region bounded by the circular
arc AFE principal stresses are radial and tangential, and beyond AFE they are vertical and
horizontal. At the point A the failure criterion is just satisfied and the principal stresses
are tangential and radial; hence, if the tunnel pressure uT is reduced, the stresses at A are
(Jr = (Ta = ug
erg = 01 = jL*a,
At the point E the failure criterion is satisfied and the tangential stress may be found by inte-
grating equation (5) around a circular arc just inside AFE; hence at E the stresses are
uB = u1 = pa,+2yrs
UT = cr’3 = as+-2yrs
CL
UT = ~{(~)~-z[~+~)(~-2,+Y]
-Y} . . . . (12)
Equation (12) relates the tunnel pressure to the surface pressure, the tunnel geometry and the
soil properties.
We have shown so far that when the tunnel pressure is given by equation (12) the states of
stress at A and along EC are statically admissible. By integrating equation (5) around cir-
cular trajectories starting from EC and i.ptegrating equation (4) along radii it may be shown
STABILITY OF A SHALLOW CIRCULAR TUNNEL IN COHESIONLESS SOIL 209
(Potts, 1976) that the stress field is admissible everywhere within the region of soil contained by
the circular arc AFE and that the soil just reaches limiting equilibrium around AFE.
In the region beyond AFE horizontal and vertical stresses are related by
A2lorl\<p . . . . . . . . . . (14)
p
From equations (10) and (13) the state of stress in an element at a depth z is
a_. = a,+yz
a, = ; (0s + V)
Consider the change in the state of stress along a radius across the arc AFE at a point such
as F in Fig. 6. We imagine that the arc AFE represents a discontinuity in the stress field of
finite width containing a large number of fan zones; the arc AFE is not itself a strong discon-
tinuity but the state of stress changes smoothly over a small distance across AFE. The states
of stress across such a discontinuity are statically admissible when
S, < e26tane
. . . . . . . . . . (1%
K‘
where S=+(U~ + u3) either side of the fan zones, S, > S_ and 6 is the change in the direction of
the major principal stress. Noting that S, 2 S_, we see that equation (15) is satisfied for all 6,
including 6 =O, when S, = S_ ; hence the states of stress across the discontinuity are admissible
everywhere around AFE when the values of S=$(ul + u3) just inside and just outside the dis-
continuity are equal.
210 J. H. ATKINSON AND D. M. POTTS
CL?R
Fig. 7. Form of the lower hound solution of equation (16) for tunnels in a weightless soil
At the point F in Fig. 6 [z=r,(l -cos 0)] the values of S just inside and just outside the
discontinuity are given by
si = 3(p+ 1) Cus+?
(1 -cos 0)
I
To continue, it is convenient to examine the two limiting cases when aa=0 and when ~a is
large and y may be assumed to be zero.
Firstly, when y=O, S,= S, when X= l/p and, from equation (14), the failure criterion is not
violated. From equation (12) the lower bound or safe tunnel pressure is given by
1-p
rs
cry. = as
0
-
R
or, since rs = C-k R
. . . . . . . . (16)
This result was obtained1 in slightly different form by Atkinson and Cairncross (1973). How-
ever, they did not examine the stress field in the whole region of soil and the present analysis
confirms their result as a true lower bound within the limits of the assumptions made here.
The form of equation (16) is shown in Fig. 7 as +/us plotted against depth of burial defined
by C/2R, where C is the cover above the tunnel crown. When C= 0 and the crown and surface
coincide uT = us, which must be correct; as the tunnel gets deeper the safe tunnel pressure
reduces rapidly.
Secondly, when us = 0, Si = So when
r+l
-= 1,;
P
1 It should be noted that Atkinsonand Cairncross(l973) definep=(o,-uo,)/(o,+o,)and not p= ol/oa as in this Paper.
STABKITY OF A SHALLOW CIRCULAR TUNNEL IN COHESIONLESS SO11 211
Fig. 8. Form of the lower hound solution from equations (18) and (22) for tunnels without surface surcharge loading
$=&)[($@-z(3-;)-l] . . . . .. . (17)
$--yRsinB=O . . . . . . . . . (18)
At the invert the failure criterion is satisfied, and the tunnel pressure is the minor principal
stress; hence the stresses at C are
At the crown the failure criterion is satisfied and the tunnel pressure is the major principal
stress; hence the stresses at B are
(3, = a1 = 0.r.
u8B = u3 = +T/p
$=(p:_l) . . . . . . . . . (20)
212 J. H. ATKINSON AND D. M. POTTS
For the case when y = 0, the solution uT > 0 is trivial, but for the case when us = 0 and y > 0 the
lower bound or safe tunnel pressure given by equation (20) may exceed that given by equation
(17).
The forms of equations (17) and (20) are shown in Fig. 8 as a,/2yR plotted against depth of
burial defined by C/2R; safe tunnel pressures must lie on or above the hatched line. The
relationship between the two solutions illustrated in Fig. 8 suggests that stresses close to the
tunnel may be critical for deep tunnels.
f$=&&-&++;) . . . . . . .
provided that C/R 2 1/sin 4 - 1. This limitation is necessary to ensure that the apex of the
sliding wedge at B is below the soil surface. It may be noted that the upper bound, or unsafe,
collapse pressure given by equation (21) is independent of the depth of burial and the magni-
tude of any surface pressure.
(4
OS: kN/m’
6)
Fig. 10. Comparisons between model test results and theoretical predictions for the collapse of shallow circular
tunnels for +=SO”: (a) a,=210 kN/m’; (b) C/2R=05; (c) u,=O
The magnitude of the maximum angle of shearing resistance 4 depends on the magnitude of
the state of stress for a particular soil. The sand used in the model tests has been examined in
simple shear tests by Stroud (1971), and from his results a value of 4 of approximately 50” is
appropriate for the stress levels in the soil around the model tunnels at collapse. This rela-
tively large value for + is a consequence of the very low stress levels in the model tests. Equa-
tions (16), (17) (20) and (21) have been evaluated with d= 50” for the various series of mode1
tests and the bounds are shown together with the appropriate experimental results in Fig. 10.
For +=50° the value of u,/2yR from equation (20) exceeds that given by equation (17) for all
depths of burial and hence, in Fig. 10(c) only the lower bound given by equation 20 is shown.
In Figs 10(a) and (b) the experimental results seem to fall very close to the lower bound
solutions. In some instances they lie above, or on the unsafe side of, the theoretical bound,
and this may be due to neglect of y in obtaining equation (16) or to an inappropriate value of
+= 50” for mode1 tests in which the stress levels were raised owing to surface surcharge pres-
sures; if a more conservative value of $= 45” is chosen all the model test results lie between the
214 J. H. ATKINSON AND D. M. POTTS
upper and lower bound solutions. Nevertheless, the lower bound calculation of equation (16)
seems to predict the very small tunnel pressures at collapse with reasonable accuracy.
For the cases where u5=0, the experimental points in Fig. 10(c) obtained from laboratory
and centrifuged models fall between the appropriate upper and lower bounds and, moreover,
the bounds solutions are relatively close to each other. It can be seen that for 4 = 50” the lower
bound given by equation (17) applies only for tunnels at very small depths of burial and the
bound given by equation (20) predominates. This is convenient since equation (20) was ob-
tained without any assumptions about the shear stresses in soil adjacent to the tunnel.
DISCUSSION
Figure 10 clearly indicates the ability of the simple upper and lower bound solutions to
predict the stability of the model tunnels with satisfying accuracy.
The work described in this Paper has been limited to plane strain and thus represents the
conditions in the plane tunnel section away from the tunnel heading. However, recent model
tests conducted by Orme (1975), Argyle (I 976) and Aspden (1976) on headings in sand indicate
that collapse occurs in the cylindrical section of the tunnel away from the heading itself. In
tests where the cylindrical section was lined collapse could only occur at the tunnel face, in
which case the collapse pressure was slightly lower than it was when collapse occurred in the
cylindrical section of unlined headings. In both cases collapse pressures predicted by the
bound calculations presented in this Paper were found to be in good agreement with the experi-
mental results. The calculations therefore seem to be applicable to the three-dimensional as
well as the plane strain situation.
So far only dry sand has been considered, but the theoretical solutions, which are based on
effective stress, may be applied to saturated sands provided that the pore water is stationary
and the pore-water pressures around the tunnel are known. The collapse pressure of a tunnel
in saturated sand is then simply the sum of the pressures predicted by either the upper or lower
bound solutions and the pore-water pressure. The situation will, however, be rather more
complicated if there is a steady state, or transient, seepage.
Clearly the values of the angle of shearing resistance + applicable to the sand used in the
present investigations may not be appropriate for granular soils in the field. To obtain satis-
factory estimates of tunnel stability from the analyses given here a realistic value for 4 for the
field soil at the stress level in the tunnel at collapse should be found from laboratory tests.
It should be noted that while the Paper is entirely concerned with stress at failure, the
theory assumes that the tunnel support can readily adapt itself to the radial deformations of
the ground for compliance with the mechanisms of the upper bound solution and the states
of stress of the lower bound solution. Such deformations cannot be predicted from the theory,
but from the lead shot measurements carried out during the model tests, it was found that
radial displacements prior to collapse remained less than 5% of the original tunnel diameter
(Potts, 1976).
ACKNOWLEDGEMENTS
The research described in the Paper was carried out in the Cambridge University Engineer-
ing Department and was supported by a Transport and Road Research Laboratory research
contract for investigations into the behaviour of tunnels and tunnel linings in soft ground; Dr
Potts was supported by an award from the Science Research Council. The Authors are in-
debted to Dr E. T. Brown for contributions made to the research, and to Professors A. N.
Schofield and J. A. Cheney and to Mr C. Collinson for collaboration in the use of the
Cambridge centrifuge.
STABILITY OF A SHALLOW CIRCULAR TUNNEL IN COHESIONLESS SOIL 215
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