PHD Ochmanski Enc PDF

Numerical analyses of the effects of tunnels construction
The idea underlying the present work is that more advanced numerical
modelling, capable of taking into account constructive details normally
neglected or considered of minor importance, may positively integrate (but
not replace!!!) observation, driving designers and executors to more efficient
and less problematic solutions.
Bearing this goal in mind, the presented dissertation investigates the
outcomes determined by tunnels driven with different technologies, focusing
on the effects of the most relevant technological factors. For this purpose,
the sequence of tunnelling operations has to be rebuilt with a great care and
specific models need to be introduced to simulate factors such as the
injection and hardening of grout, local reinforcement, excavation, etc. The
core of the work is a numerical simulation performed with ABAQUS finite
element code, here applied to simulate the tunnelling mechanisms activated
with two different technologies, a conventional one, making use of
jet-grouting canopies as provisional support, and a mechanized one using the
principle of earth pressure balance. In both cases inspiration has been taken
from two real case histories, a tunnel built near Florence (Italy) representative
of the first type, and EPB shield driven tunnel built in Bangkok (Thailand). For
both cases advanced three-dimensional numerical models have been created
putting a lot of attention to the technological aspects characterizing each
methodology.
The full spectrum of results obtained with numerical simulations is
discussed focusing on the most relevant consequences from the technical
viewpoint, i.e. deformation of the ground level and internal forces in the
structural elements, evaluating with a mechanical analysis the induced by the
different tunnelling operations.
View from the starting shaft at the thrust frame and lining
for the tunnel under dead Vistula River - Gdańsk, Poland.
Photography courtesy of Gdańskie Inwestycje Komunalne Sp. z o. o., 2016
Maciej Ochmański
Silesian University of Technology

Faculty of Civil Engineering, Department of Geotechnics and Roads Doctoral Thesis
Gliwice, POLAND
Numerical analyses of the effects
University of Cassino and Southern Lazio of tunnels construction
Faculty of Engineering, Department of Civil and Mechanical Engineering
Cassino, ITALY Maciej Ochmański
NUMERICAL ANALYSES OF THE EFFECTS
OF TUNNELS CONSTRUCTION
by
Maciej Ochmański
Submitted to the Department of Geotechnics and Roads (SUT)

and Department of Civil and Mechanical Engineering (UCLAM)
in partial fulfillment of the requirements for the degree of
Doctor of Philosophy in Civil Engineering
at the
SILESIAN UNIVERSITY OF TECHNOLOGY (SUT)

and
UNIVERSITY OF CASSINO AND SOUTHERN LAZIO (UCLAM)
March 2016
Author . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Department of Geotechnics and Roads (SUT)
Department of Civil and Mechanical Engineering (UCLAM)
Certified by. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Joanna Bzówka
Associate Professor (SUT)
Thesis Supervisor
Certified by. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Giuseppe Modoni
Associate Professor (UCLAM)
Thesis Supervisor
Numerical analyses of the effects of tunnels construction
by
Maciej Ochmański
Submitted to the Department of Geotechnics and Roads (SUT)

and Department of Civil and Mechanical Engineering (UCLAM)
on March 2, 2016, in partial fulfillment of the
requirements for the degree of
Doctor of Philosophy in Civil Engineering
Abstract
The modern trend of urbanization tends to increasingly push infrastructure be-
low the ground level, also thanks to the development of faster and more effective
methodologies for building tunnels. As typical of geotechnical activities, the im-
pact of tunnelling on the surrounding environment is tremendously affected by
the operational procedures. However, the level of the analysis is rarely able to
manage in a comprehensive and satisfactory manner, all the diverse technolo-
gical factors, leaving design based on their subjective engineering judgement or
rule of thumbs methodologies. Such a poor analytical basis generates a greater
tendency to mitigate the negative effects of tunnelling with feedback processes,
where measurement taken with sophisticated and prompt monitoring networks
dictates countermeasures, following the so called “observational method”.
The idea underlying the present work is that more advanced numerical mod-
elling, capable of taking into account constructive details normally neglected or
considered of minor importance, may positively integrate (but not replace !!) ob-
servation, driving designers and executors to more efficient and less problematic
solutions.
Bearing this goal in mind, the presented dissertation investigates the out-
comes determined by tunnels driven with different technologies, focusing on the
effects of the most relevant technological factors. For this purpose, the sequence
of tunnelling operations has to be rebuilt with great care and specific models
need to be introduced to simulate factors such as the injection and hardening
of grout, local reinforcement, excavation etc. Firstly, a review of the most fre-
quently adopted tunnelling technologies is presented, distinguishing conventional
approaches from those using advanced heading machines. Thereafter, a discus-
sion on the experimental evidences gained from laboratory tests and from the
exam of monitored cases studies is given to identify the basic mechanisms ac-
tivated by tunnelling. The attention is then moved to predictive tools, per-
forming an analytical classification of the methods available to predict ground
deformation induced by tunnelling. The core of the work is numerical simulation
performed with Abaqus finite element code, here applied to simulate the tunnel-
ling mechanisms activated with two different technologies, a conventional one,
making use of jet grouting canopies as provisional support, and a mechanized
III
one using the principle of earth pressure balance. In both cases inspiration has
been taken from two real case histories, a tunnel built near Florence in Italy
representative of the first type, and Earth Pressure Balance (EPB) shield driven
tunnel built in Bangkok (Thailand). These examples represent the benchmarks
of the performed analyses, thanks to the availability of data concerning sub-
soil characteristics, time construction sequence and effects at ground level, that
allow to perform validation. For both cases advanced three dimensional numer-
ical models have been created putting a great care in the technological aspects
characterizing each methodology. The numerical model of the Italian tunnel,
alternates face reinforcement with anchors, individual installation of jet-grouted
columns forming the provisional support at the contour, excavation, insertion of
temporary and final lining. Simulation of the tunnel driven with EPB shield has
been carried out introducing a precise definition of the shield, face pressure, tail
void injection, tunnel lining and backup trailer. Moreover, the subsoil stratific-
ation, the initial hydrodynamic conditions and also the pore pressure transient
variation have been modelled with the use of the non-linear coupled soil model.
For the case of numerical simulation of conventional tunnelling, three in-
creasingly refined and complex constitutive laws have been adopted to describe
the soil behaviour analysing their influence on the obtained results. For the ce-
mented materials, stiffness and strength time-dependency have been introduced.
In particular, for the EPB tunnel a code has been implemented in Fortran lan-
guage to include the irreversible strain taking place during hydration process.
Willing to perform a parametric variation of the gap formed between shield and
soil, and of the face pressure, a script written in a Python programming lan-
guage to speed up the model generation was prepared. The complexity of both
models demanded a high computational power, which has been fulfilled carrying
out simulation on high-end Personal Computer (PC) and one High-Performance
Computing (HPC) cluster node.
The full spectrum of results obtained with numerical simulations is discussed
focusing on the consequences most relevant from the technical viewpoint, i.e.
deformation of the ground level and internal forces in the structural elements,
evaluating with a mechanical analysis the induced by the different tunnelling
operations.
Thesis Supervisor: Joanna Bzówka

Title: Associate Professor (SUT)
Thesis Supervisor: Giuseppe Modoni

Title: Associate Professor (UCLAM)
IV
Analizy numeryczne efektów budowy tuneli
Maciej Ochmański
Wydział Budownictwa. Katedra Geotechniki i Dróg (SUT)

Wydział Inżynierii. Katedra Inżynierii Lądowej i Mechanicznej (UCLAM)
2 marca 2016 r.
Abstrakt
Postępująca urbanizacja ośrodków miejskich wraz z rozwojem coraz bardziej
efektywnych metod drążenia tuneli, wywiera wpływ na coraz większe wykorzy-
stanie przestrzeni pod powierzchnią terenu. Proces drążenia tunelu oddziałuje
na otaczające środowisko, w stopniu zależnym od zastosowanej technologii. Pro-
wadzone analizy, pomimo wykorzystywanych w nich zaawansowanych modeli,
w niewielu przypadkach są w stanie uwzględnić w kompleksowy i zadowalający
sposób wszystkie czynniki związane z procesem drążenia tunelu. Prowadzi to do
tego, że proces projektowania tuneli bazuje w głównej mierze na subiektywnych
założeniach inżynierskich, bądź też na metodach empirycznych. Te wątpliwe
podstawy analityczne prowadzą do tego, iż likwidowanie powstałych negatyw-
nych skutków wywołanych budową tuneli w głównej mierze polega na zasadzie
sprzężenia zwrotnego, tj. na wykorzystaniu informacji uzyskanych z pomiarów
prowadzonych z wykorzystaniem zaawansowanych systemów monitoringu w celu
doboru odpowiedniego środka zaradczego. Jest to tak zwana metoda obserwa-
cyjna.
Teza rozprawy doktorskiej brzmi: “zaawansowane modelowanie numeryczne
uwzględniające szczegóły technologiczne w różnych metodach drążenia tuneli, do
tej pory zaniedbywane bądź uznawane za nieistotne, pozwala na bardziej reali-
styczne powiązanie skutków wywołanych budową tuneli z ich przyczynami, pro-
wadząc do bardziej efektywnych rozwiązań projektowych, jak i wykonawczych.”
W rozprawie doktorskiej przedstawiono badania dotyczące skutków powsta-
łych w wyniku drążenia tuneli przy wykorzystaniu różnych technologii, skupiając
się na wpływie najbardziej istotnych parametrów technologicznych. W tym celu
proces drążenia tunelu należało wiernie odtworzyć, wprowadzając modele po-
zwalające na symulację różnych aspektów technologicznych, np.: iniekcji w części
ogonowej tarczy oraz procesu hydratacji zaczynu cementowego, lokalnego zbroje-
nie ośrodka gruntowego, urabiania gruntu itp. W rozprawie doktorskiej przedsta-
wiono badania literaturowe, które skupiają się na opisie najczęściej stosowanych
technologii, z podziałem na metodę konwencjonalną oraz metodę wykorzystującą
zmechanizowane tarcze drążące. Przeprowadzono analizę danych doświadczal-
nych, bazując na wynikach badań laboratoryjnych oraz studiach przypadków, co
pozwoliło na identyfikację mechanizmów zachodzących podczas drążenia tuneli.
Następnie zwrócono uwagę na narzędzia służące do predykcji efektów wywoła-
nych budową tuneli, przeprowadzając klasyfikację dostępnych metod służących
V
głównie do określania deformacji podłoża gruntowanego. Główną częścią roz-
prawy doktorskiej są analizy numeryczne, przeprowadzone przy wykorzystaniu
programu Abaqus, który bazuje na Metodzie Elementów Skończonych. Autor
wykonał symulacje numeryczne zachodzących podczas budowy tuneli mecha-
nizmów dla dwóch różnych metod drążenia. Pierwsza to metoda konwencjo-
nalna, która wykorzystuje wykonane w technologii iniekcji strumieniowej skle-
pienie wstępne, a druga to metoda wykorzystująca zmechanizowaną tarczę o
wyrównanych ciśnieniach gruntowych (ang. Earth Pressure Balance (EPB)). W
obu analizowanych przypadkach dane zostały zaczerpnięte z dwóch rzeczywistych
tuneli: tunelu drążonego metodą konwencjonalną na przedmieściach Florencji
we Włoszech oraz tunelu wydrążonego tarczą EPB w Bangkoku w Tajlandii.
Przykłady te stanowią swoiste “benchmarki” czyli wzory do naśladowania, na
podstawie których, dzięki danym dotyczącym podłoża gruntowego, parametrom
związanym z technologią drążenia oraz pomierzonych na powierzchni terenu efek-
tom, można było przeprowadzić weryfikację analiz numerycznych.
Na potrzeby wykonania analiz numerycznych zbudowano zaawansowane trój-

wymiarowe modele numeryczne, kładąc nacisk na możliwie najwierniejsze odwzo-
rowanie procesów technologicznych dla każdej z metod drążenia. Model nume-
ryczne dla tunelu drążonego metodą konwencjonalną uwzględnia m.in.: zbrojenie
przodka tunelu w postaci kotew gruntowych, instalację każdej kolumny iniek-
cyjnej w odpowiedniej sekwencji tworząc sklepienie wstępne, urabianie gruntu,
instalację obudowy tymczasowej oraz docelowej. Model numeryczny dla tu-
nelu drążonego tarczą EPB uwzględnia wierne odwzorowanie tarczy drążącej,
ciśnienia podparcia przodka, iniekcję wykonaną w części ogonowej tarczy, obu-
dowę tunelu oraz system zaplecza. Ponadto, uwarstwienie podłoża gruntowego,
warunki hydrodynamiczne oraz ciśnienie wody w porach gruntu dla warunków
przepływu nieustalonego zostały zamodelowane przy zastosowaniu nieliniowego
modelu sprzężonego. W analizach numerycznych do opisu ośrodka gruntowego
wykorzystano trzy modele konstytutywne, charakteryzujące się różnym pozio-
mem złożoności, co pozwoliło na przeprowadzenie analizy wrażliwości otrzyma-
nych wyników w zależności od zastosowanego modelu konstytutywnego. Dla
materiałów scementowanych sztywność oraz wytrzymałość została uzależniona
od przebiegu procesu hydratacji.
Dodatkowo, w przypadku analizy tunelu drążonego tarczą EPB, w języku

programowania Fortran zaimplementowano kod, który pozwolił na uwzględnie-
nie odkształceń nieodwracalnych pojawiających się podczas hydratacji iniekcji
w części ogonowej tarczy. Aby przeprowadzić analizę parametryczną geometrii
pustki, powstałej pomiędzy tarczą a otaczającym ją ośrodkiem gruntowym oraz
ciśnienia podparcia przodka, w języku programowania Python został utworzony
skrypt, który pozwolił na przyspieszenie procesu budowy modelu numerycznego.
Stopień złożoności analizowanych modeli numerycznych wymagał dużej mocy
obliczeniowej, co zostało spełnione przeprowadzając obliczenia na wysokiej klasy
komputerze stacjonarnym oraz na jednym węźle klastra obliczeniowego HPC.
VI
W rozprawie doktorskiej został przedstawiony pełny zakres wyników otrzy-
manych z przeprowadzonych analiz numerycznych, zwracając szczególną uwagę
na deformacje powierzchni terenu oraz siły wewnętrzne w elementach konstruk-
cyjnych tunelu. Dzięki przeprowadzonym symulacjom numerycznym była rów-
nież możliwa analiza zachodzących w ośrodku gruntowym i w elementach kon-
strukcyjnych mechanizmów, wywołanych drążeniem tuneli przy wykorzystaniu
różnych technologii.
Wnioski z przeprowadzonych badan i analiz numerycznych oraz propozycje
dalszych badań przedstawiono w zamykającym pracę rozdziale siódmym.
Promotor: Joanna Bzówka

Tytuł naukowy: dr hab. inż., prof. SUT
Promotor: Giuseppe Modoni

Tytuł naukowy: dr hab. inż., prof. UCLAM
VII
Analisi numeriche degli effetti della costruzione di gallerie
Maciej Ochmański
Sottomesso al Dipartimento di Geotecnica e Strade (SUT)

ed al Dipartimento di Ingegneria Civile e Meccanica (UCLAM)
il 2 marzo 2016, in parziale adempimento dei
requisiti per il titolo di
Dottore di Ricerca
Astratto
Le sviluppo di tecnologie sempre più rapide ed efficienti per la realizzazione delle
gallerie hanno aperto nuovi scenari urbanistici rendendo possibile la realizzazione
di infrastrutture sotterranee in ambienti fortemente antropizzati. Così come per
tutte le opere geotecniche, gli effetti della costruzione di una galleria sull’ambien-
te circostante è un tema di particolare complessità e sebbene sia ben noto come
la particolare tecnica di costruzione utilizzata influisca fortemente sul comporta-
mento del complesso opera-terreno, raramente i modelli concettuali adottati per
la progettazione tengono conto in maniera adeguata di questo aspetto. Sovente
il progettista ricorre a semplici regole o si basa sulla propria esperienza pro-
fessionale. La carenza di robuste basi analitiche si traduce spesso in previsioni
poco accurate con effetti talvolta inattesi. Ne consegue che si renda necessario
accompagnare l’esecuzione con un attento piano di monitoraggio, ricorrendo al
cosiddetto “metodo osservazionale”, mediante il quale i parametri di progetto
vengono continuamente ricalibrati sulla base dei dati provenienti da sofisticate
reti di monitoraggio. L’idea alla base del presente lavoro di tesi è che modelli
numerici avanzati, capaci di considerare i dettagli costruttivi spesso ignorati dai
progettisti o considerati di secondaria importanza, possano integrare (ma non
sostituire!!) le osservazioni, guidando i progettisti ed i costruttori a soluzioni più
razionali ed efficienti.
Questo lavoro è quindi volto ad analizzare il processo di realizzazione di
gallerie concentrandosi sull’influenza dei fattori tecnologici. A tale scopo, la suc-
cessione delle fasi costruttive deve essere ricostruita con grande cura e devono
essere introdotti modelli appropriati per simulare la successione delle fasi di rea-
lizzazione: l’iniezione e l’indurimento delle malte, l’inserimento di rinforzi, le fasi
di scavo, etc.. Inizialmente sono state analizzate le tecniche di realizzazione delle
gallerie più frequentemente adottate, distinguendole gli approcci convenzionali
da quelli completamente automatizzati. Successivamente, analizzando le evi-
denze sperimentali ottenute da studi di laboratorio e dall’osservazione di opere
in vera grandezza, sono stati identificati i meccanismi di base determinati dal-
le differenti lavorazioni. L’attenzione è stata quindi focalizzata sugli strumenti
di previsione, analizzando e classificando i metodi disponibili in letteratura. Il
nucleo del presente lavoro è quindi rappresentato dalla simulazione numerica con-
IX
dotta con il codice agli elementi finiti ABAQUS, tale strumento è stato utilizzato
nella simulazione della realizzazione di gallerie con due differenti metodologie:
la prima più convenzionale con rivestimento provvisorio formato da coronelle di
jet-grouting, la seconda di tipo meccanizzato con l’ausilio della Tunnel Boring
Machine (TBM). In entrambi i casi, si è fedelmente riprodotta la realizzazione
delle gallerie tramite due casi studio presi a riferimento: la prima realizzata in
prossimità di Firenze con la prima tecnologia e la seconda in cui si è impiegato
lo scavo meccanizzato con Earth Pressure Balance (EPB), a Bangkok (Tailan-
dia). Questi esempi costituiscono dei veri e propri “benchmark” per le analisi
condotte, grazie all’ampia disponibilità di dati concernenti le caratteristiche del
sottosuolo, le sequenze di lavorazione e il monitoraggio degli spostamenti a piano
campagna. I modelli numerici tridimensionali adottati per simulare i casi studio
sono stati realizzati ponendo particolare attenzione agli aspetti tecnologici che
caratterizzano le due diverse metodologie di realizzazione. Per ciò che concerne
il tunnel italiano, il modello riproduce fedelmente le fasi di rinforzo del fronte
con l’ausilio di infilaggi, di installazione delle singole colonne di jet-grouting co-
stituenti l’opera di sostegno provvisorio del contorno, di scavo e di realizzazione
del rivestimento temporaneo e definitivo. Il modello utilizzato per simulare la
tecnica di scavo meccanizzato è stato concepito introducendo una dettagliata
simulazione dello scudo, della pressione al fronte, del fluido di iniezione a tergo
del rivestimento e della posa in opera del rivestimento. Le condizioni stratigra-
fiche ed idrodinamiche sono state modellate per mezzo di un’analisi non lineare
accoppiata.
Per ciò che riguarda la tecnica di scavo convenzionale, il comportamento del
terreno è stato simulato adottando tre leggi costitutive di crescente complessità
ed è stata analizzata la loro influenza sui risultati ottenuti. Per il materiale ce-
mentato, si è considerata l’evoluzione della rigidezza e resistenza nel tempo. In
particolare per ciò che riguarda la tecnica di scavo mediante EPB, è stato rea-
lizzato un apposito codice implementato in Fortran che tiene conto delle defor-
mazioni irreversibili indotte dal processo di idratazione delle miscele cementizie.
Allo scopo di analizzare in maniera parametrica l’influenza dello spazio compreso
tra il terreno ed il rivestimento e della pressione al fronte, è stato implementato
un codice in ambiente Python per velocizzare la generazione del modello. L’ele-
vato tempo richiesto per il calcolo è stato ridotto grazie a calcolatori dotati di
elevate prestazioni (PC e HPC).
I risultati ottenuti dalle simulazioni sono stati quindi analizzati criticamente
concentrandosi sugli aspetti di maggiore interesse dal punto di vista tecnico:
cedimenti al piano campagna e sollecitazioni degli elementi strutturali.
Tutore: Joanna Bzówka

Titolo di studio: Professore Associato di Geotecnica (SUT)
Tutore: Giuseppe Modoni

Titolo di studio: Professore Associato di Geotecnica (UCLAM)
X
Acknowledgements
The presented research is a result of work carried out in the period between year
2012 and 2016, at both the Silesian University of Technology and the Univer-
sity of Cassino and Southern Lazio, thanks to the double doctoral agreement.
There is no doubt that a number of people have contributed to make this period
a memorable experience.
Firstly, I would like to express my sincerely thanks to my two Supervisors,
Prof. Joanna Bzówka and Prof. Giuseppe Modoni. I have been very fortunate
that I have found such Supervisors who gave me constant support, guidance,
motivation and pushed me far beyond the limits I could have ever imagine.
There is no brief way to show how much effort they spent to bring this research
to the present form. Without them this research clearly could not be possible
from the beginning up to the end.
Secondly, I would like to thank to all my colleagues from both Universities
who shared with me all the moments which I have had during last few years.
Except colleagues there is a number of other people from all around the world
who were not indifferent to my person. One of such a person that I would
like to distinguish is Dr. Tibor Horváth who is the real source of my tunnelling
passion, who showed me how to maintain equilibrium between passionate work
and relaxing way of life, which undoubtedly saved me from madness.
I would like to acknowledge that I received the scholarship from project
DoktoRIS which is a program for innovative Silesia region co-financed by the
European Union under the European Social Found. It gave me the possibility
to travel between research centres, to present to other people my work and also
to concentrate just on the ongoing research.
Finally, I wish to thank to my family and all friends who gave me support,
infinite patience and kindness during this research. There is a one person that
I would like to express my deepest gratitude and for whom I dedicate this thesis,
Aleksandra.
Maciej Ochmański
Gliwice, March 2016
XI
Table of Contents
Abstract III
Abstract (in Polish) V
Abstract (in Italian) IX
Acknowledgements XI
Table of Contents XIII
List of Figures XVII
List of Tables XXV
List of Acronyms XXVII
List of Symbols XXIX
1 Introduction 1
1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Role of models in tunnelling . . . . . . . . . . . . . . . . . . . . . 3
1.3 Objectives of the research . . . . . . . . . . . . . . . . . . . . . . 6
1.4 Structure of the dissertation . . . . . . . . . . . . . . . . . . . . . 7
1.5 Publications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
2 Review of various tunnelling methods 9

2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
2.2 Conventional methods . . . . . . . . . . . . . . . . . . . . . . . . 10
2.2.1 Working principle . . . . . . . . . . . . . . . . . . . . . . 10
2.2.2 Auxiliary measures . . . . . . . . . . . . . . . . . . . . . . 14
2.2.2.1 Ground improvement . . . . . . . . . . . . . . . 14
2.2.2.2 Ground reinforcement . . . . . . . . . . . . . . . 17
2.2.2.3 Dewatering . . . . . . . . . . . . . . . . . . . . . 18
2.2.3 Applicability . . . . . . . . . . . . . . . . . . . . . . . . . 18
XIII
TABLE OF CONTENTS
2.3 Mechanized methods . . . . . . . . . . . . . . . . . . . . . . . . . 19

2.3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . 19
2.3.2 Classification . . . . . . . . . . . . . . . . . . . . . . . . . 19
2.3.3 Working principle . . . . . . . . . . . . . . . . . . . . . . 20
2.3.4 Construction of EPB/SPB shields . . . . . . . . . . . . . 22
2.3.5 Applicability . . . . . . . . . . . . . . . . . . . . . . . . . 27
3 Experimental evidences of the tunnelling effects 33

3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
3.2 General effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
3.3 Effects of technology . . . . . . . . . . . . . . . . . . . . . . . . . 37
3.3.1 Conventional tunnelling . . . . . . . . . . . . . . . . . . . 37
3.3.2 Mechanized tunnelling . . . . . . . . . . . . . . . . . . . . 45
4 Prediction methods of different tunnelling effects 53

4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
4.2 Empirical methods . . . . . . . . . . . . . . . . . . . . . . . . . . 54
4.2.1 Transversal Settlement profile . . . . . . . . . . . . . . . . 54
4.2.2 Longitudinal settlement profile . . . . . . . . . . . . . . . 57
4.2.3 Trough width . . . . . . . . . . . . . . . . . . . . . . . . . 58
4.2.3.1 Clays . . . . . . . . . . . . . . . . . . . . . . . . 61
4.2.3.2 Sands and gravels . . . . . . . . . . . . . . . . . 63
4.2.3.3 Mixed conditions . . . . . . . . . . . . . . . . . . 64
4.2.4 Volume loss and maximum settlement . . . . . . . . . . . 67
4.2.5 Alternative approaches . . . . . . . . . . . . . . . . . . . . 68
4.3 Analytical and semi-analytical methods . . . . . . . . . . . . . . 69
4.3.1 Ground deformations and stresses . . . . . . . . . . . . . 69
4.3.1.1 Stochastic medium theory . . . . . . . . . . . . . 69
4.3.1.2 Exact elasticity solutions . . . . . . . . . . . . . 70
4.3.1.3 Approximate elasticity solution . . . . . . . . . . 71
4.3.1.4 Plastic solutions . . . . . . . . . . . . . . . . . . 74
4.3.2 Internal forces in the lining . . . . . . . . . . . . . . . . . 76
4.4 Numerical methods . . . . . . . . . . . . . . . . . . . . . . . . . . 78
4.4.1 Finite Element and Difference Methods . . . . . . . . . . 78
4.4.2 Boundary Element Methods . . . . . . . . . . . . . . . . . 80
4.4.3 Discrete Element Methods . . . . . . . . . . . . . . . . . . 81
4.5 The adopted tool . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
5 Tunnelling with jet-grouted canopy 83

5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
5.2 Description of the GNF2 tunnel . . . . . . . . . . . . . . . . . . . 84
5.3 Case study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
XIV
Table of Contents
5.3.1 Geometry . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
5.3.2 Computational models . . . . . . . . . . . . . . . . . . . . 91
5.3.3 Subsoil characterization . . . . . . . . . . . . . . . . . . . 93
5.3.4 Technological aspects . . . . . . . . . . . . . . . . . . . . 99
5.3.4.1 Excavation . . . . . . . . . . . . . . . . . . . . . 99
5.3.4.2 Face reinforcement . . . . . . . . . . . . . . . . . 99
5.3.4.3 Jet-grouted canopy . . . . . . . . . . . . . . . . 99
5.3.4.4 Temporary lining . . . . . . . . . . . . . . . . . 103
5.3.4.5 Final lining . . . . . . . . . . . . . . . . . . . . . 104
5.3.4.6 Computational steps . . . . . . . . . . . . . . . . 105
5.3.4.7 Resume of the input data . . . . . . . . . . . . . 106
5.3.4.8 Technological aspects for the bi-dimensional model108
5.3.5 Technological effects . . . . . . . . . . . . . . . . . . . . . 110
5.3.5.1 Validation and subsoil deformations . . . . . . . 112
5.3.5.2 Structural forces . . . . . . . . . . . . . . . . . . 121
5.3.5.3 Induced mechanisms . . . . . . . . . . . . . . . . 126
6 Tunnelling with EPB shield 131

6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
6.2 Overview of the MRTA Project . . . . . . . . . . . . . . . . . . . 131
6.3 Case study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
6.3.1 Geometry . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
6.3.2 Computational model . . . . . . . . . . . . . . . . . . . . 144
6.3.3 Subsoil characterization . . . . . . . . . . . . . . . . . . . 148
6.3.3.1 Weathered Crust and Backfill Material . . . . . 151
6.3.3.2 Bangkok Soft Clay . . . . . . . . . . . . . . . . . 153
6.3.3.3 Medium Stiff to Stiff Clay . . . . . . . . . . . . . 155
6.3.3.4 Medium Dense to Very Dense Sand . . . . . . . 157
6.3.3.5 Shear stiffness in the small-strain range . . . . . 158
6.3.4 Technological aspects . . . . . . . . . . . . . . . . . . . . 161
6.3.4.1 Shield heading machine . . . . . . . . . . . . . . 161
6.3.4.2 Tail void grout . . . . . . . . . . . . . . . . . . . 164
6.3.4.3 Tunnel lining . . . . . . . . . . . . . . . . . . . . 166
6.3.4.4 Trailer load . . . . . . . . . . . . . . . . . . . . . 167
6.3.4.5 Computational steps . . . . . . . . . . . . . . . . 168
6.3.4.6 Resume of the input parameters . . . . . . . . . 170
6.3.5 Technological effects . . . . . . . . . . . . . . . . . . . . . 175
6.3.5.1 General effects . . . . . . . . . . . . . . . . . . . 175
6.3.5.2 Face pressure . . . . . . . . . . . . . . . . . . . . 185
6.3.5.3 Gap parameter . . . . . . . . . . . . . . . . . . . 191
6.3.5.4 Induced mechanisms . . . . . . . . . . . . . . . . 196
XV
TABLE OF CONTENTS
7 Concluding remarks 199

7.1 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
7.2 Recommendations for further research . . . . . . . . . . . . . . . 202
Appendix A Mathematical framework for used constitutive mod-

els 203
A.1 Linear elastic perfectly plastic model with Mohr-Coulomb failure
criterion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
A.2 Hypoplastic model for granular materials . . . . . . . . . . . . . 206
A.3 Hypoplastic model for clays . . . . . . . . . . . . . . . . . . . . . 211
A.4 Intergranular Strain Concept for hypoplastic models . . . . . . . 218
A.5 Constitutive model for shotcrete and concrete . . . . . . . . . . . 223
A.6 Constitutive model for grout backfilling . . . . . . . . . . . . . . 225
Appendix B Fortran code of constitutive model for tail void grout

backfilling 229
Bibliography 233
XVI
List of Figures
1-1 Tunnel collapse in Poland (Gula, 2016) . . . . . . . . . . . . . . . 2

1-2 Example of knowledge in the mechanics of granular materials . . 4
1-3 Example of improved knowledge in the mechanics of granular ma-
terials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
1-4 Example of finite element model of tunnels implemented in the
present work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2-1 Examples of excavation types . . . . . . . . . . . . . . . . . . . . 11

2-2 Excavation of the Pozzuoli tunnel (own materials) . . . . . . . . 12
2-3 Rolling formwork of the Pozzuoli tunnel (own materials) . . . . . 13
2-4 Controlling a tilt of the Big Ben Tower Clock during tunnelling
for Jubilee Line (Harris et al., 2000) . . . . . . . . . . . . . . . . 15
2-5 Typical construction sequence for full face excavation with jet-
grouting canopy (Ochmański et al., 2015a) . . . . . . . . . . . . . 16
2-6 Example of chosen auxiliary measures applied in the conventional
tunnelling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
2-7 Classification of tunnelling machines after Maidl (2012) . . . . . 20
2-8 Sequence of shield heading after Kolymbas (2008) . . . . . . . . . 21
2-9 Possible measures for face support after Maidl (2012) . . . . . . . 21
2-10 Construction of typical EPB and Hydroshield machines after
www.herrenknecht.com (2015) . . . . . . . . . . . . . . . . . . . . 24
2-11 Cutterheads with various opening ratio and supporting systems . 25
2-12 Flow lines in the excavation chamber and screw conveyor in
the EPB shield after Maidl (2012) . . . . . . . . . . . . . . . . . 26
2-13 Tail void grouting through shield skin . . . . . . . . . . . . . . . 28
2-14 Number of EPB and slurry shields used in the period from 1990
to 2010 after Home (2010) . . . . . . . . . . . . . . . . . . . . . . 29
2-15 Validity ranges for EPB shield after Langmaack (2001) with plot-
ted sample curves from different sites after Pelizza (2011a) and
Langmaack (2002) . . . . . . . . . . . . . . . . . . . . . . . . . . 30
XVII
LIST OF FIGURES
2-16 Validity ranges for slurry shields with sample curves from different
construction sites modified after Krause (1987) and Babendererde
(2015) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
3-1 Soil deformations at failure after Walter et al. (2010) . . . . . . . 35

3-2 Comparison of surface settlements among cases with different
C/D for piston withdrawal equal to 5 mm (Idinger et al., 2011) . 36
3-3 Results from the centrifugal tests for flexible face test after
Messerli et al. (2010) . . . . . . . . . . . . . . . . . . . . . . . . . 37
3-4 Location of reference soil elements and the arching zone
(Lee et al., 2006) . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
3-5 Effects of horizontal face reinforcement studied by Kamata and
Mashimo (2003) . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
3-6 Vectors of displacements at the face (Yoo and Shin, 2003) . . . . 39
3-7 Effects of vertical face reinforcement studied by Kamata and
Mashimo (2003) . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
3-8 Effects of the forepoling studied by Kamata and Mashimo (2003) 41
3-9 Induced settlements in different points for various cases of pipe
roof excavation with and without face reinforcement (Hisatake
and Ohno, 2008) . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
3-10 Contours of settlements after excavation for various configuration
of supports after Juneja et al. (2010) . . . . . . . . . . . . . . . . 43
3-11 Vertical displacements of the chosen benchmark points at the
ground surface (Russo and Modoni, 2006) . . . . . . . . . . . . . 44
3-12 Comparison of surface settlements between New Austrian Tunnel-
ling Method (NATM) and Umbrella Arch Method (UAM) after
Ocak (2008) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
3-13 Mean earth pressure acting on the pressure wall (Song and Zhou,
2008) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
3-14 Distribution of the face pressure along face height for slurry shield
(Bakker et al., 2003) . . . . . . . . . . . . . . . . . . . . . . . . . 48
3-15 Measured pore pressure in the front of the slurry shield (Bezuijen
et al., 2006) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
3-16 Effects of the face pressure and penetration rate on the surface
settlements (Suwansawat, 2002) . . . . . . . . . . . . . . . . . . . 49
3-17 Recorded soil movements induced by heading machine with slurry
support (Dias and Kastner, 2013) . . . . . . . . . . . . . . . . . . 50
3-18 Grout pressure distribution along depth (Bezuijen et al., 2002) . 52
4-1 Gaussian distribution curve after Peck (1969) . . . . . . . . . . . 55

4-2 Fitting with the Gaussian and yield density curves of settlement
data from tunnel in Poland (Celestino and Ruiz, 1998) . . . . . . 56
XVIII
List of Figures
4-3 Longitudinal profile of surface settlements after Attewell and

Woodman (1982) . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
4-4 Various fitting curves with the same value of i after
Marshall et al. (2012) . . . . . . . . . . . . . . . . . . . . . . . . 61
4-5 Characteristic of surface and subsurface trough width for clays . 62
4-6 Characteristic of surface and subsurface trough width for sands . 64
4-7 Examples showing performance of the alternative approaches for
prediction of the surface settlements and distance to the inflection
point . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
4-8 Short and long-term deformations of tunnel lining after Verruijt
and Booker (1996) . . . . . . . . . . . . . . . . . . . . . . . . . . 71
4-9 Pattern of ground deformations and additional boundary condi-
tions applied by Loganathan and Poulos (1998) . . . . . . . . . . 72
4-10 Duddeck model for tunnel analysis expressed as a function of the
subgrade reaction ratio (Bakker et al., 2003) . . . . . . . . . . . . 77
4-11 Definition of computational models for mechanized tunnelling
after Ninić (2015) . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
4-12 Simulation of a excavation with cutterhead by means of Discrete
Element Method (DEM) after Mongillo and Alsaleh (2011) . . . 81
5-1 Network of “High Velocity" railway lines in Italy modified after

www.wikipedia.org (2015) . . . . . . . . . . . . . . . . . . . . . . 84
5-2 View of the part of Sesto Fiorentino city nearby the GNF2 tunnel
modified after www.google.com (2015) . . . . . . . . . . . . . . . 85
5-3 General location and geometry of the studied tunnel after Russo
and Modoni (2006) . . . . . . . . . . . . . . . . . . . . . . . . . . 87
5-4 Detailed geometry with construction sequence of GNF2 tunnel
(Russo and Modoni, 2006) . . . . . . . . . . . . . . . . . . . . . . 88
5-5 Construction schedule for the GNF2 tunnel (Russo and Modoni,
2006) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
5-6 Instrumentation plan used to monitor construction process
of the GNF2 tunnel modified after Russo and Modoni (2006) . . 90
5-7 Three-dimensional Finite Element Method (FEM) discretization
of soil block with applied boundary conditions . . . . . . . . . . . 92
5-8 FEM discretization of chosen cross-section with applied boundary
conditions for 2D computational model . . . . . . . . . . . . . . . 93
5-9 Boundary conditions of the single element tests used for the cal-
ibration of the constitutive models . . . . . . . . . . . . . . . . . 95
5-10 Simulated behaviour of Hochstetten sand in the small-strain range 96
5-11 Results of the simulations with the Mohr-Coulomb constitutive
model for the oedoemeter and drained triaxial tests . . . . . . . . 97
XIX
LIST OF FIGURES
5-12 Results of the simulations with the basic hypoplastic constitutive

model for the oedoemeter and drained triaxial tests . . . . . . . . 97
5-13 Results of the simulations with the basic hypoplastic constitutive
model with Intergranular Strain Concept (ISC) for the oedoemeter
and drained triaxial tests . . . . . . . . . . . . . . . . . . . . . . 97
5-14 Face reinforcement introduced in the computational model . . . . 100
5-15 Installation of jet-grouted canopy . . . . . . . . . . . . . . . . . . 101
5-16 Geometry of the jet-grouted canopy introduced to computational
model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
5-17 Installation sequence of the jet-grouted columns adopted for the
computational steps . . . . . . . . . . . . . . . . . . . . . . . . . 102
5-18 FEM discretization of the supporting system . . . . . . . . . . . 103
5-19 Time evolution of the properties of the cemented materials . . . 104
5-20 Time sequence adopted for the computational steps . . . . . . . . 107
5-21 3D FEM discretization for whole computational model with de-
activated elements intended for excavation and face reinforcement 107
5-22 Simulation of the construction sequence for the bi-dimensional
model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
5-23 Transversal surface settlement profiles . . . . . . . . . . . . . . . 113
5-24 Longitudinal surface settlement profiles . . . . . . . . . . . . . . 114
5-25 Components of the transversal settlement profile . . . . . . . . . 116
5-26 Components of the longitudinal settlement profile . . . . . . . . . 116
5-27 Surface settlements at the end of the simulation . . . . . . . . . . 117
5-28 Comparison between displacement fields for the 3D and 2D com-
putational model . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
5-29 Internal forces in the jet-grouted canopy . . . . . . . . . . . . . . 122
5-30 Internal forces in the temporary lining . . . . . . . . . . . . . . . 122
5-31 Internal forces in the final lining . . . . . . . . . . . . . . . . . . 122
5-32 Comparison of the internal forces with analytical method . . . . 124
5-33 Comparison of internal forces in the jet-grouted canopy computed
with various models . . . . . . . . . . . . . . . . . . . . . . . . . 125
5-34 Comparison of internal forces in the temporary lining computed
with various models . . . . . . . . . . . . . . . . . . . . . . . . . 125
5-35 Comparison of internal forces in the final lining computed with
various models . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
5-36 Settlements induced by the different tunnelling operations . . . . 128
5-37 Displacements computed for the HYPO+ISC model right after
excavation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
6-1 Overview of Bangkok Metropolitan Rapid Transit Authority

(MRTA) Blue Line Project in Bangkok (Sirivachiraporn and Phi-
enwej, 2012) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
XX
List of Figures
6-2 Location of the Lower Central Plain of Thailand (Sinsakul, 2000) 134
6-3 Hydrogeological block diagram of aquifer system in the Bangkok
area (Buapeng and Foster, 2008) . . . . . . . . . . . . . . . . . . 135
6-4 Piezometric pressure in the Bangkok subsoil after Surarak (2010) 135
6-5 Subsoil conditions in the South and North tunnelling sections after
Sirivachiraporn and Phienwej (2012) . . . . . . . . . . . . . . . . 137
6-6 Excavation sequence for North and South contracts (Sirivachira-
porn and Phienwej, 2012) . . . . . . . . . . . . . . . . . . . . . . 140
6-7 Geometry of the analysed reference section between the Thiam
Ruam Mitr and Pracharat Bamphen stations (Suwansawat, 2002) 144
6-8 Python framework of the computational model . . . . . . . . . . 145
6-9 FEM discretization of soil block with applied boundary conditions 147
6-10 Layers of soil block with applied distribution of pore pressure . . 149
6-11 Boundary conditions for the single element tests . . . . . . . . . 150
6-12 Calibration of constitutive model for Weathered Bangkok Clay . 152
6-13 Calibration of constitutive model for Bangkok Soft Clay . . . . . 154
6-14 Calibration of constitutive model for Stiff Clay . . . . . . . . . . 156
6-15 Results of the drained triaxial tests simulations for σ3 equal to
180, 250 and 400 kPa . . . . . . . . . . . . . . . . . . . . . . . . . 157
6-16 Comparison of the parameter Gmax from various laboratory and
in-situ tests with calibrated values after Likitlersuang et al. (2013) 159
6-17 Calibrated stiffness degradation curves for Bangkok subsoil layers 161
6-18 FEM discretization for shield heading machine with applied
boundary conditions . . . . . . . . . . . . . . . . . . . . . . . . . 162
6-19 Boundary conditions for the modes of the filter cake after Nagel
(2009): a) stresses in the three-phase continua, b) impermeable
cake with no filtration, c) no filter cake . . . . . . . . . . . . . . . 163
6-20 FEM discretization and boundary conditions for supporting sys-
tem with tail void backfilling . . . . . . . . . . . . . . . . . . . . 165
6-21 Stiffness and permeability variation with time for grout backfilling 166
6-22 FEM discretization and boundary conditions for supporting sys-
tem with tail void backfilling . . . . . . . . . . . . . . . . . . . . 167
6-23 Computational steps for the simulation of tunnel advance . . . . 169
6-24 Monitored values of the TBM technological parameters for Sec-
tion A after Suwansawat (2002) with the values applied in the
computational model (part A) . . . . . . . . . . . . . . . . . . . . 171
6-25 Monitored values of the TBM technological parameters for Sec-
tion A after Suwansawat (2002) with the values applied in the
computational model (part B) . . . . . . . . . . . . . . . . . . . . 172
6-26 Induced ground deformation by the EPB shield . . . . . . . . . . 176
6-27 Induced change of stresses in the subsoil . . . . . . . . . . . . . . 177
6-28 Induced change of pore pressure in the subsoil . . . . . . . . . . . 177
XXI
LIST OF FIGURES
6-29 Mobilised friction angle during the shield passage . . . . . . . . . 179

6-30 Components of the transversal settlement profile . . . . . . . . . 181
6-31 Components of the longitudinal settlement profile . . . . . . . . . 181
6-32 Internal forces in the tunnel lining at different steps of simulation 185
6-33 Computed lining deformation in the scale 300:1 . . . . . . . . . . 185
6-34 Error arose as a result of prescribed geometry of the excavation
zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186
6-35 Ground deformations for different values of face pressure . . . . . 187
6-36 Stresses in the subsoil and pore pressure for different values of face
pressure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188
6-37 Displacement vectors for different values of face pressure . . . . . 189
6-38 Internal forces in the tunnel lining at the end of simulation for
various face pressure . . . . . . . . . . . . . . . . . . . . . . . . . 190
6-39 Ground deformations for different values of the gap parameters . 193
6-40 Stresses in the subsoil and pore pressure for different values of the
gap parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194
6-41 Internal forces in the tunnel lining at the end of simulation for
different values of gap parameters . . . . . . . . . . . . . . . . . . 195
A-1 Principle of the linear elastic perfectly plastic model after Wood
(2004) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204
A-2 Three-dimensional representation of Mohr-Coulomb failure cri-
terion in the principal stress space (Davis and Selvadurai, 2002) . 204
A-3 1D hypoplastic model after Kolymbas (1999) . . . . . . . . . . . 207
A-4 Comparison between Mohr-Coulomb and Matsuoka-Nakai yield
surfaces: a) principal stress space, b) deviatoric plane (Borja et al.,
2003) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
A-5 Parameters controlling shape of the stress-strain curve during
shearing after Mašín (2014b) . . . . . . . . . . . . . . . . . . . . 210
A-6 Prediction of the drained triaxial test (Suchomel and Mašín, 2011) 211
A-7 Visualization of isotropic normal compression and unloading line
after Mašín (2005) . . . . . . . . . . . . . . . . . . . . . . . . . . 214
A-8 Normalised stress paths of the natural and reconstituted Pisa clay
after Mašín (2007) . . . . . . . . . . . . . . . . . . . . . . . . . . 215
A-9 Influence of selected parameters on the behaviour of hypoplastic
model for clay after Mašín (2014b) . . . . . . . . . . . . . . . . . 217
A-10 Prediction of initial stiffness G0 (Mašín, 2014b) . . . . . . . . . . 221
A-11 Influence of the parameters R, βr and χ on the stiffness degrada-
tion curve after Mašín (2014b) . . . . . . . . . . . . . . . . . . . 221
A-12 Influence of the selected parameters of the ISC by means of cyclic
undrained triaxial test simulation after Mašín (2014b) . . . . . . 222
XXII
List of Figures
A-13 Mechanical behaviour of concrete during uniaxial compression and

tension for damaged plasticity model (Hibbitt and Sorensen, 2001) 223
A-14 Yield surface of damage plasticity model Hibbitt and Sorensen
(2001) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225
A-15 Function of the parameter βE with hydration (Meschke et al., 1996)227
XXIII
List of Tables
4.1 Curve equations to fit settlement trough . . . . . . . . . . . . . . 59

4.2 Settlements trough width parameter . . . . . . . . . . . . . . . . 65
4.3 A range of the volume loss for different construction techniques
and subsoil conditions after Mair and Taylor (1997) . . . . . . . 67
4.4 Summary of the analytical methods for estimation of the ground
deformations and stresses . . . . . . . . . . . . . . . . . . . . . . 75
5.1 Physical properties of Hochstetten sand . . . . . . . . . . . . . . 94

5.2 Parameters of the constitutive models for Hochstetten sand . . . 96
5.3 Parameters of the constitutive models for the jet-grouting material 103
5.4 Parameters of the damaged plasticity model for shotcrete and con-
crete . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
5.5 Values of parameters used for the simulation . . . . . . . . . . . 109
5.6 Parameters of used empirical curves and obtained results . . . . 119
5.7 Parameters of the analytical solution used to obtain internal forces
in the tunnel lining . . . . . . . . . . . . . . . . . . . . . . . . . . 124
6.1 Physical properties and strength parameters for subsoil layers

after Balasubramaniam et al. (1976, 1978); Uddin (1995); Balas-
ubramaniam et al. (2007) . . . . . . . . . . . . . . . . . . . . . . 139
6.2 EPB shields used in the MRTA Project after Suwansawat (2002) 142
6.3 Drive sequence of EPB shields after Suwansawat (2002) . . . . . 143
6.4 Physical parameters and constitutive models parameters for sub-
soil layers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
6.5 Parameters of constitutive model for Weathered Crust and Back-
fill Material . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
6.6 Parameters of constitutive model for Soft Bangkok Clay . . . . . 154
6.7 Parameters of constitutive model for Stiff Clay . . . . . . . . . . 156
6.8 Parameters of constitutive models for dense sand . . . . . . . . . 158
6.9 Parameters of constitutive models for small-strain range . . . . . 160
6.10 Parameters used to simulate tunnelling with the EPB shield for
the MRTA project . . . . . . . . . . . . . . . . . . . . . . . . . . 174
XXV
LIST OF TABLES
6.11 Parameters of used empirical curves and obtained results . . . . 183

6.12 Parameters of the analytical solution used to obtain internal forces
in the tunnel lining . . . . . . . . . . . . . . . . . . . . . . . . . . 184
6.13 Parameters characterizing gap between shield and surrounding soil 191
XXVI
List of Acronyms
ADECO-RS Analysis of the Controlled Deformation in Rock and Soil
ANN Artificial Neural Network
BEM Boundary Element Method
BFGS Broyden, Fletcher, Goldfarb and Shanno
CPU Central Processing Unit
CRS Constant Rate of Strain
DEM Discrete Element Method
DOF Degrees of Freedom
EKATE Enhanced Kratos for Advanced Tunnelling Engineering
EPB Earth Pressure Balance
FDM Finite Difference Method
FEM Finite Element Method
GFRP Glass Fibre Reinforced Plastic
GPU Graphics Processing Unit
HPC High-Performance Computing
ISC Intergranular Strain Concept
MRTA Bangkok Metropolitan Rapid Transit Authority
NATM New Austrian Tunnelling Method
NTM Norwegian Tunnelling Method
OCR Overconsolidation Ratio
XXVII
List of Acronyms
PC Personal Computer
PDE Partial Differential Equation
SCL Sprayed Concrete Lined
SEM Sequential Excavation Method
SPB Slurry Pressure Balance
SPT Standard Penetration Test
TBM Tunnel Boring Machine
UAM Umbrella Arch Method
XXVIII
List of Symbols
C tunnel cover, overburden
D tunnel diameter
R tunnel radius
E Young‘s modulus
G shear modulus
H horizontal displacement
K0 at rest earth pressure coefficient
K trough width parameter
M bending moment
M cs critical state parameter
N normal force
S settlement
S max maximum settlement
VL volume loss per unit length
VS volume of settlement trough per unit length
VT volume of tunnel per unit length
c cohesion
d lining thickness
e void ratio
fcu compressive strength
XXIX
List of Symbols
ftu tensile strength
gt gap at the tail
i distance to inflection point
k coefficient of permeability
o shield overcut
p mean stress
pf ace face pressure
q deviatoric stress
su undrained shear strength
t time
x transversal offset from the tunnel centreline
y longitudinal offset from the tunnel face
z0 depth to tunnel axis
δ ovalization
δt shield conicity
γ ground distortion
γ0.7 shear strain threshold
γs shear strain
h horizontal strain
ν Poisson‘s ratio
ξ reduction coefficient for load reduction method
ρ material density
φ friction angle
ψ dilatancy angle
σh horizontal stress
σv vertical stress
XXX
Chapter 1
Introduction
1.1 Introduction
The continuous progress of civilization concentrates an increasing number of
people in highly urbanized metropolises. This results in a very high population
density, currently with the highest in the Manila city with ∼43,000 people living
per square kilometre (National Statistics Office of the Republic of the Philippines,
2010). This fact rises serious transportation issues which need to be solved to
improve mobility and quality of life in these areas. One of the possible solution
which partly solves the problems is to go underground with transportation lines.
This is not a new concept and is date back up to the year 1904 when the first
underground subway line was opened in the New York City.
The creation of a cavity in the underground space has undoubtedly a signific-
ant impact on the surroundings. One among many effects is a cavity deformation
which propagates through often complex subsoil formations up to the ground
surface. This deformation affects the structures on the ground surface and also
under it like sewers, telecommunication lines, other tunnels etc. which mostly
have a limited ability to absorb it. Inseparable from the cavity deformation are
internal forces in a supporting system. These effects are tremendously affected
by the operational procedures, whose poor control or any negligence may lead
to a failure often connected with fatalities and huge financial costs.
One of the recent example of a tunnel collapse is the case of the tunnel at
the “Powiśle” metro station in Warsaw (Poland) which occurred in August 2012.
Fortunately, there were no victims due to this failure. The 9 m diameter tunnel
was constructed using a conventional tunnelling method with the jet-grouting
canopy. This tunnel was designed to pass under the Wisłostrada tunnel in order
to connect two parts of the “Powiśle” metro station. An accident occurred after
several meters of excavation at the depth of 15 m below the water table. As
its consequence an uncontrolled inflow of water and subsoil material occurred,
flooding the tunnel and the whole station. Flow of the material at the tun-
1
CHAPTER 1. Introduction
Figure 1-1: Tunnel collapse in Poland (Gula, 2016)
nel face after securing failure site and pumping out water is presented in the
Figure 1-1. Possible cause of the accident has been reported as coincidence of
many factors at one time, like complex subsoil conditions, poor site investigation,
incorrectly constructed the jet-grouting canopy and too early excavation after
its execution (Grodecki and Siemińska–Lewandowska, 2012). The presented ex-
ample shows that lack of the knowledge about induced effects by the operational
procedures may lead to severe consequences. Furthermore, it confirms that deep-
ening a knowledge of the operational procedures and their effects is still strictly
necessary.
The operational procedures are analysed at the level which is rarely able to
manage, in a comprehensive and satisfactory manner, all the diverse technolo-
gical factors, leaving design based on their subjective engineering judgement or
rule of thumbs methodologies. This poor analytical basis leads to a greater tend-
ency to reduce the negative effects of tunnelling with feedback processes, where
measurement taken with sophisticated and prompt monitoring networks dictates
countermeasures. This way of handling the possible hazardous situations is so-
called the “observational method”.
With the rapid development in the field of computer science together with the
increase of the computational units efficiency, appears a possibility to perform
analysis including constructive details without introduction of the subjective
assumptions. The idea underlying the present work is that more advanced nu-
2
1.2. Role of models in tunnelling
merical modelling, capable of taking into account constructive details normally

neglected or considered of minor importance, may positively integrate (but not
replace !!) observation, driving designers and executors to more efficient and less
problematic solutions.
1.2 Role of models in tunnelling

In a study like the present one, pretending to push further the accuracy of
theoretical tools and to improve their simulation capability, is inevitable to ask
ourselves what is the contribution of numerical modelling to the solution of prac-
tical problems or, more generally, to the development of geotechnical engineering,
not forgetting this as the true goal of research. Modelling is intimately connec-
ted with knowledge and we often do not realize that pretending to understand
a phenomenology means to be able to establish the most general and accurate
relations between causes and effects. This is what normally happens in practice
with the interpretation of observed mechanisms as a sequence of basic physical
principles interconnected each other, or with the prediction of the outcomes of
a system starting from premises. Researchers continuously move back and forth
from these two actions, as the way that knowledge progresses stems from the
alternative jumping from the real world, observed with experiment, and its vir-
tual interpretation, made of relations interconnected in a logical mathematical
structure.
Geotechnical engineering is obviously not an exception: “In the same way
that we may be surprised to find that prose is what we have been speaking all
out lives, so scientists and engineers are often unaware that almost everything
that they do is concerned with modelling” (Wood, 2004). Not going very far, this
statement can be proved looking at the mechanics of saturated granular matters,
conveniently interpreted with the principles of effective stresses, i.e. a particu-
larization of continuum mechanics (Figure 1-2).
With time one may discover that models, being just a schematic represent-
ation of reality, are inherently affected by limitation, and that their predictive
capability may be fallacious. “All models are wrong, but some of them are use-
ful” (Box, 1976). The obvious logical step to extend validity of simulation is to
modify models, by partly releasing their simplifying assumption, or to totally
replace them with more sophisticated schemes. Since these operations are rarely
easy and, with the progressively increased theoretical complexity, deeper compet-
ence is required from users, one should argue whether pushing forward accuracy
and completeness of models turns into a practical convenience or is just an aca-
demic whim. A cost-effectiveness balance must be made in order to avoid too
complex models to become counterproductive for practitioners. “Models should
always be of only adequate complexity” (Wood, 2004).
3
E
CONTINUUM PREDICTION N
e.g. «Principle of G
effective stresses» I
N
E
S
E
C
R
I
I
E
N
N
Karl Terzaghi (1883-1963) G
C
E
MODELLING
Figure 1-2: Example of knowledge in the mechanics of granular materials
Turning back to the mechanics of granular materials (Figure 1-3), an enlight-

ening example is given by Discrete Element Method that, thanks to increased
power of computers, has become nowadays available at a larger scale. A strong
debate has then arisen among researchers about their usefulness, with fans pre-
tending this methodology to represent the future of analysis in soil mechanics
and skeptics highlighting its limitation. For sure, a practical use of these models
is presently just a wishful thinking, but undoubtedly they may have some valid-
ity to solve small scale problems (i.e. with relatively limited number of particles)
and may help in explaining phenomenon developing at so small scales to be not
supported by experimental evidence.
INFERENCE
S
C
I
E
N
C
S E
C
I
E
N
C
E
VALIDATION / FALSIFICATION
Figure 1-3: Example of improved knowledge in the mechanics of granular

materials
4
1.2. Role of models in tunnelling
Bearing in mind these opposite features, models nowadays used in geotech-

nical engineering, can be classified as:
• Conceptual models aimed at schematically represent situations or phenom-

ena, without pretending to give quantitative information (e.g. geological
model working at very large scale or qualitative models used to provide
students with the basic principles of soil behaviour).
• Quantitative models, introduced to infer relations between input and out-
put variables of geotechnical systems. They can be broadly distinguished
in empirical or theoretical, with a relatively smooth transition from one
class to the other. The former type expresses the cause-effect relations
observed from experiments with mathematical equations, but using just
sound theoretical consideration; the latter class infers the interpreting re-
lations based on theoretical principles.
The numerical analysis performed in the present research for tunnels (high-
lighted by the Figure 1-4) can be classified in the category of theoretical quantit-
ative models. Compared with the previous studies and with the common design
practice, the pursue of higher accuracy has a twofold aim, scientific and tech-
nical. On the technical side, a logical connection is sought between technological
factors and visible effects to improve the executive practice of tunnels, repla-
cing with quantitative relationships the assumptions of practitioners, frequently
Figure 1-4: Example of finite element model of tunnels implemented in the

present work
5
subjective and not supported by evidence, nowadays dictating important choices

made at the construction level. On the other side, there is the scientific goal of
better understanding the interactive mechanisms taking place between retain-
ing structures and surrounding soil, that cannot be investigated otherwise (e.g.
experimentally) due to an evident limitation of the available equipment.
1.3 Objectives of the research
Based on the introduced idea, that more advanced numerical modelling is capable
to create a link between cause and effect which can lead to more efficient and less
problematic solutions, the main aim of this dissertation is to deeply investigate
the outcomes coming from tunnelling with different technologies. Attention is
concentrated on the most relevant technological aspects. For this purpose, the
sequence of tunnelling operations needs to be rebuild and specific models need
to be introduced to simulate factors such as local reinforcement, excavation,
injection and hardening of grout, etc. Bearing this goal in mind, the following
objectives have been defined:
• Carry out a deep literature review concerning on the most frequently ad-
opted tunnelling technologies, distinguishing the conventional approaches
from those using the advanced heading machines. Discussion on the ex-
perimental evidences gained from the laboratory tests and from the exam
of monitored cases studies in order to identify the basic mechanisms activ-
ated by tunnelling. Review of the different predictive tools, distinguishing
those based on the empirical, analytical and numerical approaches. It is
extended with analytical classification of the investigated methods.
• Numerical simulations applied to simulate the tunnelling mechanisms ac-

tivated with two different technologies, the conventional technology, mak-
ing use of the jet-grouting canopies as provisional support, and the mech-
anized technology using the principle of Earth Pressure Balance (EPB). A
great care should be taken during definition of the computational models
in order to reproduce the relevant aspects connected with all technological
operations.
• Critical discussion on the obtained results focusing on the most relevant

from the technical point of view consequences, i.e. deformation of the
ground level and internal forces in the structural elements, evaluating with
a mechanical analysis the induced mechanisms by the different tunnelling
operations.
6
1.4. Structure of the dissertation
1.4 Structure of the dissertation

This dissertation consists of the introductory Chapter 1, five main Chapters,
Conclusions and two Appendixes. The essential Chapters are listed below with
short description of the content.
• Chapter 2 gives the reader an overview about the modern tunnelling meth-
ods. Discussion is carried out separately for the conventional method and
for the tunnels drilled with use of the tunnel heading machines.
• Chapter 3 reviews various experimental evidences in order to understand

the general effects of different technological approaches conducted in the
framework of tunnelling.
• Chapter 4 is devoted to various predictive tools for the most relevant from
the technical point of view technological effects.
• Chapter 5 deals with the computational model for tunnel built using con-
ventional tunnelling method based on the case of GNF2 tunnel (Italy). In
the analysis three increasingly refined and complex constitutive laws have
been adopted to describe the soil behaviour analysing their influence on
the obtained results. Results from the performed numerical analyses are
compared with the field observations. At the end, a possible explanation
of induced mechanisms as results of the different tunnelling operations is
given.
• In Chapter 6 a numerical simulation of the tunnelling carried out with

the mechanized heading machine is presented. For this purpose a three-
dimensional computational model was built based on the history case of the
MRTA project in Bangkok (Thailand). The analysis showing general effects
of this technology is then extended with a parametric study of gap geometry
and face pressure. Finally, as in the previous Chapter the induced effects
obtained from the numerical simulations are evaluated with a mechanical
analysis.
• Chapter 7 presents summary of the most crucial findings, discusses limit-

ations of this work and recommendations for the further research.
7
1.5 Publications
As a result of research concerning on the above goals the following papers have
been published:
• Ochmański, M., 2014. Numerical analysis of tunnel with jet grouting can-
opy. In: Bzówka, J. (Ed.), The 14th Scientific Conference for Civil Engin-
eering PhD Students. Wydawnictwo Politechniki Ślaskiej, Szczyrk, Poland,
pp. 147–156
• Ochmański, M., Modoni, G., Bzówka, J., Croce, P., Russo, G., 2014. Nu-
merical modelling of tunnelling supported by jet grouting canopies. In:
Incontro annual ricercatori di geotecnica cheti 2014. Pescara, Italy
• Ochmański, M., 2014. Three dimensional numerical modelling of tunnels

with jet grouting canopy. In: The 23rd European Young Geotechnical
Engineers Conference. Barcelona, Spain
• Ochmański, M., Bzówka, J., Modoni, G., 2015. Numerical analyses of

tunnel built by using conventional method with jet grouting canopy. In:
Reinforcement, sealing and anchoring of rock massif and building structures
2015. Ostrava, Czech Republic
• Ochmański, M., Bzówka, J., Modoni, G., 2015. Analizy numeryczne tunelu
ze sklepieniem wstępnym wykonanym w technologii iniekcji strumieniowej.
Inżynieria Morska i Geotechnika 36(3), pp. 406–413
• Ochmański, M., 2015. Numerical model for slurry shield TBM tunnel-
ling. In: Bzówka, J. (Ed.), XV Scientific Conference for Civil Engineer-
ing PhD Students. Wydawnictwo Politechniki Ślaskiej, Szczyrk, Poland,
pp. 133–140
• Ochmański, M., 2015. Predictive tools for the ground deformation induced
by EPB tunnelling: a comparative study. In: The 24th European Young
Geotechnical Engineers Conference. Durham, UK
• Ochmański, M., Modoni, G., Bzówka, J., 2015. Numerical analysis of tun-
nelling with jet-grouted canopy. Soils and Foundations 55(5), pp. 929–942
8
Chapter 2
Review of various tunnelling

methods
2.1 Introduction
The most general classification of the various possible tunnelling methodologies
can be found, e.g. in the report of the International Tunnelling and Underground
Space Association (2009). Three tunnelling methods have been distinguished as
follows:
• Conventional method
• Mechanized method
• Cut-and-cover/cover-and-cut method
The first two categories, conventional and mechanized methods, are aimed to
create a cavity working directly in the underground space, i.e. without removing
the buildings or interrupting the possible activities (e.g. transportation) at the
ground level. The difference between these two systems stands in the fact that the
former makes use of typical digging machines and an excavation is preliminarily
supported by ground improvement or reinforcement, while in the latter method
fully mechanized heading machines are used to create a cavity and then segmental
lining is inserted to secure the cavity. The most important technological aspects
of these two methods are presented in this Chapter, reporting the differences
between them and the possible range of application.
On the other hand, the cut-and-cover method is classified as a tunnelling
methodology although its philosophy is totally different from the above two
methods. Here the principle is to excavate a trench in the ground with the
aid of supporting structures (diaphragm walls, slabs etc.), removing whatever is
above and interrupting the current activities taking place at the ground level,
then cover the top of the cavity with a slab and with reported soil. This method
will not be herein analysed, as this dissertation aims to analyse the measures to
9
CHAPTER 2. Review of various tunnelling methods
mitigate the effects on the surrounding environment produced by the first two
mentioned technologies.
2.2 Conventional methods

The conventional tunnelling method is suitable for creating tunnels in almost
all soil and rock types. It consists in the iterative sequence of reinforcement,
excavation and installation of supporting structures. Starting from 1940s, the
conventional tunnelling methods started to develop rapidly taking inspiration
from the techniques previously used by miners in the different countries. Soon
became evident (when Rabcewicz (1944) introduced New Austrian Tunnelling
Method (NATM)) that the technological processes, e.g. shotcreting, could be
controlled to optimize the stresses adsorbed by the lining. Currently, the term
NATM has become a reference for the conventional excavation methods, although
in the literature several other conventional tunnelling methods can be found,
such as Norwegian Tunnelling Method (NTM) (Barton et al., 1992), Sequential
Excavation Method (SEM), Sprayed Concrete Lined (SCL) method (Thomas,
2008) or ADECO-RS which expands to Analysis of the Controlled Deformation
in Rock and Soil (Lunardi, 2008). Behind these methods, there are different
conceptual frameworks which determine design process, construction and a way
of managing on the site. In general, the difference between these methods is that
some of them, e.g. the NATM, are based on the observations carried out during
construction process serving as a criterion to apply suitable countermeasures.
For this reason, the NATM is frequently called “observational method”. On the
other hand, there are methods (e.g. SCL) which are designed to full anticipated
load and fulfil performance criteria.
2.2.1 Working principle

The conventional method basically consists of three main cyclic construction
steps, iteratively carried out:
• Excavation
• Mucking
• Installation of temporary and permanent support system
The whole tunnel face can be excavated at the same time (full-face excav-
ation) or in subsequent steps, each applied to a smaller portions (partial-face
excavation). This difference stems from the fact that large openings are gener-
ally less stable than small ones. For this reason, in the more common practice,
partial-face excavation is applied. On the other hand, full-face excavation pro-
duces, at least in principle, higher constructive performance and tunnelling may
proceed more rapidly. In fact, full-face excavation makes possible to close with
10
2.2. Conventional methods
a supporting ring the contour of the tunnel at a short distance from the tun-
nel face. This aspect is a crucial issue in controlling the movements of ground
produced by shallow tunnels (British Tunnelling Society and Institution of Civil
Engineers, 2004). Excavation is often carried out with auxiliary measures to
increase stability and stand-up time of an excavated zone, which is especially
important in tunnels driven in the soft ground. The latter case can be formed
from several benches with single or double side drifts. Interesting example was
given by Ruzicka et al. (2007) who presented that top heading drive causes more
than twice amount of vertical deformations than the sequence with the side drifts
and an enlargement. An example of tunnel cross-sections with full- and partial-
face excavation is presented in the Figure 2-1. The choice between partial- or
full-face excavation depends significantly on the geotechnical properties of the
soil and on its capability to support shear stresses variation showing limited ef-
fects. In general, the excavation is carried out by using road-headers, excavators,
(a) Full-face excavation with jet grouting canopy (Ochmański et al., 2015a)
(b) Partial-face excavation with benches and temporary drifting

(British Tunnelling Society and Institution of Civil Engineers, 2004)
Figure 2-1: Examples of excavation types
11
cutters or any other kind of machines useful for demolition. Sometimes, excava-
tion can be also performed by using a very popular for rock mass method named
Drill & Blast method. Choosing the most suitable way of face excavation gives
the possibility to create tunnels with practically any cross-sectional shape.
The construction sequence and the round length of excavation determines
the loads carried out by the temporary supporting system. The advance of the
front by excavation proceeds with steps typically variable from 0.5 up to 4.0 m
(International Tunnelling and Underground Space Association, 2009). With re-
gard to partial-face excavation, the heading of tunnel is mostly performed at one
section of the face (see Figure 2-2). However, multiply side drifts make possible
simultaneous heading which increase the advance rate. The excavation sequence
is decided according to the stability at the tunnel face and possible surface sub-
sidence, evaluating the equilibrium state in relation to the advancing rate of the
front.
Immediately after excavation, the construction sequence includes muck re-
moval and installation of the temporary support system. This is especially
important when heading is carried out in the soft ground, as in this case the
stand-up time assured by the surrounding soil is generally limited. The purpose
of support is to provide stability of the excavated zone before the final lining
Figure 2-2: Excavation of the Pozzuoli tunnel (own materials)
12
is installed. Temporary support systems typically consist of several interacting

components such as lattice girders or steel ribs, the latter often associated to
reinforced sprayed concrete. Wire mesh or steel fibres can be used to reinforce
the sprayed concrete in some of the possible many technical issues (British Tun-
nelling Society and Institution of Civil Engineers, 2004). When excavation is
carried out below the water table, waterproofing layer made of PCV sheets or
sprayed membrane can be applied onto the inner surface together with the tem-
porary lining. Typically, the thickness of sprayed concrete ranges from 15 up to
35 cm (Thomas, 2008).
The permanent support system is generally made of cast in-situ concrete with
heavy steel reinforcement. The thickness of this system is at least 25 cm, even
though, ITA Working Group on General Approaches to the Design of Tunnels
(1988) recommends a minimum of 30 cm due to the specific requirements for
combined watertightness and reinforcement. Commonly, the concrete used for
the permanent lining is C20/25 type (Kolymbas, 2008), as it limits the amount of
cracks induced by the hydration process in comparison with higher class concrete.
After the reinforcement cage is placed, concrete is poured in between the rolling
formworks (see Figure 2-3) and the tunnel walls. A common procedure is to
Figure 2-3: Rolling formwork of the Pozzuoli tunnel (own materials)
13
install the final lining at relatively short distance from the tunnel face. However,
there are cases when just the bottom slab is created after the installation of the
temporary lining, whereas the upper part of the final lining is installed after the
whole tunnel is fully excavated.
2.2.2 Auxiliary measures

As already mentioned, the conventional tunnelling method includes not only the
main technological processes, but also various auxiliary activities, which are often
compulsory. In the report on conventional tunnelling (International Tunnelling
and Underground Space Association, 2009), these processes are grouped into
three following classes:
• Ground improvement
• Ground reinforcement
• Dewatering
Another classification refers to the direction of the strengthening elements and

distinguishes the following: a) reinforcement of subsoil ahead of the tunnel face
often called as pre-support; and b) peripherally from the inside of the tunnel.
2.2.2.1 Ground improvement

Among the various ground improvement methods, grouting, jet grouting and the
ground freezing are the mostly used, as they have successfully proved their cap-
ability in many projects. Considering all known ground improvement methods,
the grouting techniques mostly used for tunnelling are: a) consolidation grout-
ing; b) fissure grouting; and c) compensate grouting (International Tunnelling
and Underground Space Association, 2009). The most general aim of grouting is
to improve the response of a soil/rock mass by filling its discontinuities and free
spaces with a binding agent. Grouting minimizes also the inflow/outflow of water
and, at the same time, strengthens the hosting material. This type of grouting
is performed at relatively low pressure mostly using cement with additives as the
filling medium. An alternative is given by the use of chemical products such as
epoxy resins or foams.
Compensation grouting is the name given to techniques used to compensate
negative effects such as settlements. In the case of tunnelling, it is intended to
compensate stress relief and consequent volume loss generated by the tunnel cre-
ation in order not to allow them to propagate to the ground surface. Grouting
is often injected between the tunnel crown and the ground surface in accordance
with the heading advance. An interesting application of this technique is the
construction of the Jubilee Line tunnels (Harris et al., 2000). Here, the com-
pensation grouting was used, for instance, to precisely control the tilt of Big
Ben Clock Tower during the drilling of two nearby tunnels located one above
14
the other. 60 m long pipes were drilled from a shaft located 30 m far from the
tower performing injection in dozen of points through these pipes. In this way,
the grout injected from each point with precisely controlled pressure and amount
(see Figure 2-4) could counterbalance the leaning induced by tunnelling.
An alternative technology is to use a jet-grouting technique to strengthen the
subsoil. The technology consists in creating columns of cemented material by
high pressure injection of grout through the previously drilled borehole (Croce
et al., 2014). This grout injected under a pressure in the range of 20-600 bars
disrupts the soil skeleton, mixing its particles with the cement grout to form a
material subsequently subjected to the hydration process. Injection is carried
out through the nozzles located at the end of the drilling rode. Initially the
small diameter borehole is drilled without injection using a special type of rode
with typical diameter of 15 cm to a intended depth (which determines the length
of column). Afterwards, the grout is injected through the nozzles (2-8 mm of
diameter) and lifted rotationally with lifting speed, which typically can be equal
to 5 mm/s and rotation of 20 rpm. In this technology three different systems
can be distinguished:
• single fluid
• double fluid
• triple fluid
In the single fluid system, the only medium injected through the nozzles is the
grout, while in the double fluid the grout is additionally surrounded by the cone
of compressed air which increases the destructive capabilities of the jet. However,
in the three medium fluid system destructive is the stream of water surrounded
by the cone of compressed air. The grout is injected at relatively low pressure
(a) Big Ben plan layout of grout tube arrays (b) Controlling a tilt of the Tower Clock
Figure 2-4: Controlling a tilt of the Big Ben Tower Clock during tunnelling for
Jubilee Line (Harris et al., 2000)
15
through the nozzle located below one for the water-air injection. Columns cre-
ated with this technique have diameters ranging from a minimum of 0.6 m up
to more than 4.0 m and lengths ranging from few to some dozen meters. This
technique is very popular thanks to the possibility of creating structures of vari-
ous shapes by specific columns arrangement (Croce et al., 2014). For tunnelling,
this technology can be used in two different embodiments. In the former one, a
block of strengthen subsoil through which a tunnel will be excavated can be cre-
ated from the ground surface (Arroyo et al., 2012). This variant can be applied
when the surface ground is free and available for construction and the tunnel
is relatively shallow. The second solution, which is more popular, consists in
the forming of conical shaped roof named “canopy” or “umbrella” from inside of
the tunnel (Russo and Modoni, 2005). This structure is formed from the par-
tially overlapped sub-horizontal columns with a specific columns arrangement
from the advancing front. Typical construction sequence for the tunnel with the
jet-grouting canopy is presented in the Figure 2-5. Firstly, face reinforcement is
created, after the jet-grouted canopy is formed. In the next step temporary re-
inforcement is installed followed by installation of the permanent lining. In this
case face stability is often provided by horizontal jet-grouting columns parallel
to the driving direction installed from the working face.
Another way to strengthen the subsoil used in the tunnelling projects is to
perform soil freezing. This measure is generally used in presence of groundwater.
Among the possible applications, it can be used to create temporary cut-offs, wa-
tertight the soil surrounding an excavation or seal the joints between contiguous
lining segments. Even though it is rare, soil freezing can be sometimes applied as
a long-term measure to increase the residual bearing capacity, but more often it
aims at short-term immediate effects. In all cases, freezing is carried out through
previously drilled pipes connected to a circuit system conveying a cooling fluid.
Figure 2-5: Typical construction sequence for full face excavation with jet-
grouting canopy (Ochmański et al., 2015a)
16
Two mediums are typically used, one is a strong saline solution refrigerated by
a cooling system, the second is the liquid nitrogen sprayed in the zone to be
frozen. The second solution provides a faster freezing effect and is used for smal-
ler projects, while the first requires longer transient times and is thus used for
longer projects. The cooling temperature given to the fluid varies depending on
the soil type. A temperature of −5◦ C for sands can be enough, while for soft
clays it can be even −30◦ C, as reported by Johansson (2009). In the Figure
2-6(a) the freezing of subsoil to create a cross-cut between two parallel tunnels
driven under the Dead Vistula river is shown.
(a) Freezing for the cross-connection (b) Steel pipes for umbrella of Pozzuoli tun-
between two parallel tunnels under the Dead nel (author materials)
Vistula river in Gdańsk (www.gik.gda.pl,
2015)
Figure 2-6: Example of chosen auxiliary measures applied in the conventional

tunnelling
2.2.2.2 Ground reinforcement

Ground reinforcement applied to tunnelling can be classified according to the
region around the tunnel which is intended to be reinforced: a) ahead the tunnel
face; and b) radially along the tunnel axis.
Reinforcement of the tunnel face is a very efficient way to provide required
face stability alongside other measures such as partial-face excavation or various
ground improvement methods. The principle is to horizontally insert structural
elements with one elongated dimension ahead of the whole surface of the tunnel
face in a specific arrangement. As a result, soil ahead of face with height in the
case of full-face excavation often exceeding several meters, is stabilized and its
extrusion is limited. A failure pattern at the tunnel face takes the form of the
wedge which tends to slide inside the cavity under the pressure of the overlying
soil (Horn, 1961). In general, inserted elements work on tensile and in limited
way on bending as the wedge tends to slide inside the cavity. There are various
17
technologies which can be used to reinforce the tunnel face. For example, the
horizontal jet grouting columns, fibreglass reinforced grouted nails, Glass Fibre
Reinforced Plastic (GFRP) anchors or simply steel anchors can be mentioned.
Also a thin layer of shotcrete can be sprayed on the tunnel face in order to
stabilize it, which is a common procedure applied in the NATM method.
Another kind of measure is to create reinforcement along the tunnel contour
and ahead of the tunnel face which is often called as a pre-support. The principle
is to create a cone shaped reinforced material which reduces pressure acting from
the overlaying soil onto the soil wedge ahead the tunnel face. It is proven that
this technique increases face stability, ensure safety for a free span and reduce
face extrusion together with surface subsidence. Thus safe excavation can be
performed. As in the previous case, a number of technologies can be used to
create this kind of reinforcement. Partially overlapped sub-horizontal columns,
an umbrella from grouted steel pipes (see Figure 2-6(b)), soil freezing, a cast in-
situ pre-support, a peripheral slot pre-cutting method, an arch of microtunnels,
steel rods which are so-called spiles, etc. are frequently used for this purpose.
These measures are typically used together with face reinforcement.
Radial reinforcement installed along the tunnel axis strengthens the soil in
the radial direction. It is placed from the inside of the tunnel and made mostly
from the steel anchors. Inserted reinforcement works only as tensile elements. In
the case of face reinforcement, appropriate connection between these elements
and surroundings needs to be ensured, e.g. by additional injection.
2.2.2.3 Dewatering
Dewatering is an important issue in tunnelling and in the case of shallow tun-
nelling it can be carried out from the ground surface by e.g. system of the
interconnected wells. In contrast, for deeper tunnels the drainage system is in-
stalled inside the tunnel section or inside the previously created pilot tunnel. The
watertightness is provided by means of the impermeable membrane placed on the
tunnel walls before installation of the permanent lining. This membrane can be
made of the sprayed flexible polymer membrane or the flexible PVC membrane
placed by hand. During design of the dewatering system care should be taken
on estimation of possible environmental effects and their consequences. One of
such aspects is the surface subsidence as an effect of the subsoil consolidation.
2.2.3 Applicability
The conventional tunnelling method, due to its capabilities, is widely used all
around the world. A wide range of the possible auxiliary measures together with
appropriate design and construction approaches significantly extend its applica-
tion. Currently, the tunnel heading performed within the framework of presented
method can handle with almost all possible to encounter subsoil conditions. The
18
2.3. Mechanized methods
conventional tunnelling method according to International Tunnelling and Un-

derground Space Association (2009) is especially convenient for:
• Difficult subsoil with highly variable ground conditions

• Projects with highly variable shapes of cross-sections
• Projects with a higher risk of water inflow under high pressure
• Projects with difficult access
• Short tunnels
2.3 Mechanized methods

2.3.1 Introduction
The mechanized tunnelling method is a way of digging a tunnel which takes
use of a fully mechanized heading machine. Tunnel heading machines gained
huge popularity throughout successful driving of tunnels all around the world
in various ground conditions. The history dates back up to early 1810s when
Marc Isambard Brunel introduced the idea of a mechanized machine applied
for tunnelling (Bagust, 2006). In the year 1818, Brunel patented two circular
shields. However, first construction was started in the year 1825 when digging of
the Thames tunnel in London has begun. A machine used to dig the tunnel was
different from those patented, it had a rectangular shape and consisted of twelve
contiguous iron frames having a width of 1 m and each divided into 3 sections. In
each section there was a place for one worker, who with the help of timber plates
and spindles secured a hand excavated area. First attempt to use mechanized
machine was not without any difficulties. Several floods which claimed victims
happened during the construction of the Thames tunnel. The first modern shield
machine, with which we are now familiar, was constructed by Belgium engineer
Henri-Joseph Maus in the year 1846. His purpose was to dig a Fréjus railway
tunnel between France and Italy beneath the Alps (Stack, 1982).
2.3.2 Classification
There are several different types of the mechanized tunnel heading machines. In
the literature various classification systems can be found such as the classifica-
tion according to type of support Longchamp (2000) or type of machine (Japan
Society of Civil Engineering, 2006; Maidl, 2012). Among those systems, one
based on the type of used machine presented by Maidl (2012) and illustrated
in the Figure 2-7 seems to be the most comprehensive. From this classification
it can be easily noted that machines can be equipped with or without a shield.
Furthermore, shield machines can be provided with a rotary cutting wheel which
is a distinctive part of the TBM. Therefore, shield and TBM terms can be often
considered as equivalent. Although, it is wrong because shield machines are used
19
in soft ground and weak rock, while TBMs are used in competent rock strata.
The former can be used to carry out full-face excavation (SM-V), i.e. when the
machines are equipped with the cutting wheel; or to partial-excavation (SM-T),
i.e. when a roadheader boom or an excavator is used. In these kind of machines
various types of medium can be applied in order to support the tunnel face. In
this discussion, emphasis is put on the shield machines with full-face excavation,
particularly with two supporting medium: the Earth Pressure Balance (EPB)
and the slurry suspension.
Open tunnel boring machines (Gripper TBM)
Tunnel boring machine (TBM) Extension tunnel boring machines (ETBM)

Tunnel boring machines with shield (TBM-S)
Double shield machines (DSM) Face without support SM-V1

Face with mechanical support SM-V2
Face with compressed air SM-V3
Tunnelling machines Shield machines
with full-face Face with slurry support SM-V4
(TVM) excavation (SM-V)
Face with earth pressure support SM-V5
Without support, with screw conveyor
Shield machines (SM)
Face without support SM-T1
Shield machines Face with partial support SM-T2
with part-face
excavation (SM-T) Face with compressed air SM-T3
Face with slurry support SM-T4
Convertible shield machines (KSM)
Figure 2-7: Classification of tunnelling machines after Maidl (2012)
2.3.3 Working principle

In general, the principle of a tunnel heading machine is to push shield forward
into subsoil by thrust cylinders against the previously installed lining elements.
Excavation is carried out by the rotary cutting wheel installed at the front of
shield. It is common belief that the mechanized tunnelling is a continuous pro-
cess, while it is a cyclic process. Shield heading can be described as a sequence
of two cyclic steps as illustrated in the Figure 2-8. The first step represents
excavation and the second stand-still phase when the installation of segmental
lining is performed. In addition to these general steps, there are many auxiliary
processes depending mostly on the ground conditions which directly determine
a type of the used heading machine.
Further discussion focuses on the shield machines used in the soft ground
tunnelling, starting from the description of possible ways of the tunnel face sup-
port (Maidl, 2012). The tunnel face after excavation needs to be supported in
order to counterbalance the pressure acting from soil, ground water and infra-
structure. Thus, it is a crucial aspect which needs to be considered with a great
care and any negligence may lead to a failure. Five measures, as listed in the
20
Tail gap
Thrust cylinder Lining segment
1 2
Tail
Figure 2-8: Sequence of shield heading: 1 excavation phase, 2 stand-still

phase
Figure 2-7, can be applied to support the tunnel face: a) without any support
or with a natural support; b) with a mechanical support; c) with a compressed
air support; d) with a slurry suspension support; and e) with an earth pressure
support. These measures are illustrated in the Figure 2-9.
The face without any support can be used only in the stable ground conditions
above the ground water table. An example of such conditions is driving through
the impermeable cohesive soil with a high fraction of fine particles. Moreover, in
Slope
Cutting wheel and
support plate Compressed
Air
(a) Without any support or (b) Mechanical support (c) Compressed air support
natural support
Earth chamber
Support fluid
Return line
Screw conveyor
(d) Slurry suspension sup- (e) Earth pressure support

port
Figure 2-9: Possible measures for face support after Maidl (2012)
21
this situation the excavated side walls should be able to stand-up until the final
lining is installed. The stability of a tunnel face and excavated side walls should
be verified by appropriate calculations and optionally extended with field tests.
A second type of the support is purely mechanical one, accomplished by
use of the cutting wheel or steel plates. This type of support used as the only
one to provide face stability is no longer utilized due to the frequent failures.
Nowadays, use of the steel plates is a standard preventing measure applied in
the Slurry Pressure Balance (SPB) machines.
A face support with compressed air is especially useful when tunnel heading
is carried out in conditions with a high water table level. Air pressure uniformly
acts on the face and the excavation chamber and, in some cases, on the already
built part of the tunnel. This kind of support is also used as an auxiliary measure
during an emergency or maintenance, e.g. when the disc cutters need to be
replaced due to the excessive wear.
Machines with the slurry support are used in mixed or coarse grained soil
with the ground water table above the tunnel. During the excavation process
pressurized slurry (e.g. a bentonite suspension) is pumped inside the excavation
chamber to support the tunnel face. This slurry forms a membrane on the surface
of the excavated zone which transfers the slurry pressure to the soil.
The earth pressure support is realized by remoulded excavated soil located
inside the excavation chamber balancing the soil pressure, thus name Earth Pres-
sure Balance (EPB). Control of the muck pressure inside the chamber is carried
out by a screw conveyor which at the same time is responsible for muck re-
moval. Machines using this principle are the most suitable for soils with high
fine content. However, during shield driving through mixed or coarse grained
soil, required torque of the cutting wheel rapidly increases.
2.3.4 Construction of EPB/SPB shields
Tunnelling machines can have a circular or a non-circular section. In the former

case, a shield diameter can vary from meter (micro-tunnelling) even up to
19.25 m, which is the diameter of the largest ever built tunnelling machine by
Herrenknecht to dig the Orlovski tunnel in St. Petersburg (Bobylev, 2015).
However, it has never been launched due to the project cancellation in the year
2012. The largest used machine is the EPB shield with a diameter of 17.5 m
named Bertha, manufactured by Hitachi Zosen to dig the SR99 Alaskan Way
viaduct replacement tunnel (Gonzales and Magro, 2015). Machines with the
non-circular section or with several faces are modern alternative for the former
case. However, their complexity and the cost for one-time use can seriously limit
popularity. One of the first tunnel with the non-circular section was a tunnel
driven in Osaka for a subway station of line-7 (Kuzuno et al., 1996). Several
22
other examples can be found in the literature (Kuzuno et al., 1996; Krčík, 2007;
Wada, 2010), which mostly present cases from Japan and China.
Going into construction details of the tunnelling machines with the slurry
suspension or the EPB support, several essential parts can be distinguished:
a) cutting wheel, b) shield, c) thrust cylinders, d) screw conveyor, e) belt con-
veyor, f) segmental lining, and g) lining erector. Construction details of a typical
EPB and a Hydroshield machine are presented in the Figure 2-10.
First and the most important element is the rotary cutting wheel equipped
with various types of cutters depending on the soil/rock strata. The cutting
wheel is characterized by an opening ratio which is a proportion between opening
area and entire area of the cutting wheel. For the case of the EPB shield this ratio
can lie between 20% and 35% and for the SPB shields it can be even higher than
50% (Guglielmetti et al., 2008). This aspect becomes significant after finding
that support in the case of the EPB machine is realized by muck located inside
the excavation chamber. On the contrary, a support in the SPB machine depends
only on the formation of a filter cake on the surface of the excavated zone. In the
case of an emergency situation like face instability, the EPB machines are much
easier to overcome its consequences. If the excavation chamber is already full of
muck and it will be totally closed on time, further amount of soil cannot enter
inside. After that, auxiliary measures such as grouting, can be applied in order
to resume driving. For the SPB machines things are much more complicated
and require a very experienced machine operator to maintain any particularly
danger situation. However, one possible solution is to equip the cutting wheel
with the supporting plates, as illustrated in the Figure 2-11. These plates provide
additional support to the tunnel face in an emergency situation when the cutting
wheel is stopped. The cutting wheel is driven mostly by several electric motors
located on the large diameter bearing. These motors generate power of several
MW and a torque of hundreds MNm. The screw conveyor is installed in such a
way that it goes through the bearing or below it.
Tunnelling machines are quite often driven through problematic, mixed
ground conditions for which appropriate approach should be used. In the case of
the EPB shield, the machine can operate in three different modes: open mode,
transition mode and closed mode. The open mode is applied when the tunnel
face is self-supporting and water inflow is limited. In this mode, muck does not
fill the excavation chamber and is immediately removed by the screw conveyor.
The close mode is used when driving is carried out through unstable ground
conditions with high water inflow. In this case the muck inside the excavation
chamber is fully pressurized in order to provide stable support for the whole
face; hence the name Earth Pressure Balance shield. The transition mode gives
a possibility to control water inflow when the face is self-supporting. The ex-
cavation chamber is partially or fully filled with the muck which is very slightly
pressurized (10÷20 kPa) just to control water inflow (Maidl, 2012). Modern SPB
23
6 8 9
3
10
4
5 7
1 2
1 Cutting wheel 2 Excavation chamber

3 Bulkhead 4 Mixing arms
5 Screw conveyor 6 Thrust cylinders
7 Erector 8 Tailskin
9 Backfilling 10 Tunnel lining
(a) EPB shield
10 11
6
4
5
2
12
9
1 3
8
1 Cutting wheel 2 Submerged wall

3 Jaw crusher 4 Air cushion
5 Bulkhead 6 Air lock
7 Slurry circuit 8 Thrust cylinders
9 Erector 10 Tailskin
11 Backfilling 12 Tunnel lining
(b) Hydroshield
Figure 2-10: Construction of typical EPB and Hydroshield machines after

www.herrenknecht.com (2015)
24
(a) EPB shield (Grosso, 2011) (b) SPB shield with supporting plates
(Babendererde, 2015)
Figure 2-11: Cutterheads with various opening ratio and supporting systems
machines named Hydroshields are also able to overcome a problem of a sudden

pressure loss, e.g. when they are crossing fault zone. The excavation chamber
is divided with a submerged wall in order to create an air bubble which is used
to absorb any fluctuation of the slurry suspension pressure. The cutting wheel
of the EPB machine which is more massive than in the SPB machine, can be
also equipped with disc cutters and copy cutters. The latter can have regulated
stroke to control an over-excavation gap which purpose is to reduce tail skin
friction.
The cutting wheel is installed in the front of the shield together with the
electric motors, thrust cylinders, screw conveyor, lining erector and many other
elements. Its essential role is to provide stability by supporting the excavation
area and to protect staff against a hazardous environment. The shield has a con-
ical shape which becomes smaller as heading towards to the tail. Its purpose
is to allow ground for slight convergence over the length of the shield which
in consequence reduces skin friction. Nowadays, shields are also equipped with
an airlock which is essential for any maintenance of the cutting wheel.
In order to transport high density muck in the EPB machines, the screw
conveyor proved their applicability in reduction of pressure step between the
excavation chamber and a deploying mechanism (screw conveyor). Percentage
distribution of pressure inside the excavation chamber illustrated by flow and
equipotential lines is shown in the Figure 2-12 as the result of studies conducted
by Maidl (2012). The idea to transport muck from the excavation chamber
with the screw conveyor gives a possibility to control its revolution speed which
directly influences the muck pressure inside the chamber. In order to have the
25
better possibility to control pressure inside the excavation chamber two screws
can be installed. A diameter of the single screw conveyor can go even up to
1.4 m. However, the possibility and precision in controlling the pressure is still
quite limited. Moreover, pressurized muck acting on the soil has a significant
impact on the surroundings and its better understanding will lead to safer and
more effective solutions.
The thrust cylinders are located along the shield circumference and provide
machine advancement by pushing the shield against already installed lining seg-
ments. They can be also used to control direction of tunnel driving by applying
different pressure to cylinders. Thus, the shield should not be very long and
should be slightly smaller than the cavity which is accomplished by the copy
cutters. In general, the thrust cylinders are able to apply up to 3 MN of force
and their stroke varies from 0.8 to 1.5 m (Kolymbas, 2008).
A consequence of shield advancement is formation of a free space inside it,
necessary for installation of the lining segments as already shown in the Figure 2-
8. Steel or fibre reinforced prefabricated lining elements are then placed in
this free space by using the erector which can mechanically or with the use
of a suction plate, grab and position each element. These elements together
Figure 2-12: Flow lines in the excavation chamber and screw conveyor in
the EPB shield after Maidl (2012)
26
with a so-called key element form a closed ring. The lining elements should
be produced with a high accuracy to ensure appropriate load transfer from the
thrust cylinders. Kolymbas (2008) suggests tolerance for the lining elements in
a longitudinal direction equal to 0.3 ÷ 1.0 mm and for the lining thickness equal
to 2 mm. The lining segments are equipped with the rubber gaskets at the joints
in order to provide watertightness. The rubber gaskets are designed with a very
high value of safety factor (∼ 8) and except the ground water pressure, they
must withstand compression generated by the thrust cylinders. It is worth to
mention that cost of the lining is incomparably higher (approx. 80% of the whole
construction, after Kolymbas (2008)) than cost of the tunnelling machine.
One may note that after the shield passage, an annulus gap formed between
the lining extrados and the excavation contour can generate additional ground
deformation around tunnel. To overcome this problem tail void grouting cir-
cumferentially injected through the lining elements or more often through the
nozzles located in the back of the shield skin (see Figure 2-13) is applied. Filling
the annulus gap with grout provides uniform, homogeneous and immediate con-
tact between the lining elements and the surrounding ground. Moreover, it is
an efficient way to avoid puncture load on the lining and also to increase water-
tightness. Grout should be injected with a pressure high enough to completely
fill the whole annulus gap. At this same time, pressure should not exceed a value
after which grout can propagate to the space between the shield skin and the
surrounding ground. The correct grouting pressure should be slightly higher
than the face pressure by the value of around 20 kPa (Pelizza et al., 2010).
Behind the shield, there is a back-up system which ensures uninterrupted
operation of the tunnelling machine. This system provides all necessary measures
like a slurry suspension, soil conditioners, grout to fill a tail void, lining elements,
pressurized air, etc. It also removes redundant slurry/muck through pipe lines
or a belt conveyor. In the case of the SPB machine, the slurry mixed with soil
particles is pumped up to the ground surface and then it is transported to the
separation plant. Its goal is to purify and treat slurry to the state when it can
be reused as a slurry suspension. Average length of the back-up system is in the
range of 70 ÷ 100 m.
2.3.5 Applicability
Home (2010) analysed number of used EPB and slurry shields all over the world
in the period from 1990 to 2010. It can be clearly seen from the Figure 2-14 that
the number of used slurry shields was approximately constant during this period.
Whereas, application of the EPB shields grown rapidly, reaching in the period
2005-2010 around 6 times higher number than for the slurry shields. Despite
the undeniable popularity of the EPB shield, the right decision on the type of
used face support is the most crucial aspect for the success of a whole project.
27
Width due to the Ground Wire brush

gap and conicity Grout
Tailskin
Grout supply line Segmental lining

Grease / rear chamber
Grease / front chamber
(a) Scheme of grouting (Pelizza et al., 2010)
(b) View at the nozzles (Pelizza, 2011b)
Figure 2-13: Tail void grouting through shield skin
Moreover, it is very demanding task and it must be supported with the extensive
deep knowledge of the subsoil conditions. A decision on the best choice of a shield
type is based on the following parameters (Maidl, 2012):
• Grain size distribution curves • Groundwater level

• Bulk density/buoyant bulk density • Atterberg limits
• Friction angle • Uniaxial compressive strength/rock-
• Cohesion mass strength/tensile rock strength
• Stiffness modulus • Quartz content
• Permeability • Abrasiveness
The key element is the grain size distribution and its example is given in the
Figures 2-15 and 2-16, respectively for the validity range of the EPB and the
28
SPB shields. On these plots, sample grain size distribution curves from different
construction sites are also shown.
The EPB machines are suitable to excavate through a wide range of soil
types, especially in fine grained materials with a fine content > 30%. With
higher amount of coarse material, necessary cutterhead torque which provides
sufficient face support increases exponentially. To overcome this issue various
conditioning agents such as water, bentonite, foam or polymers can be added.
They also provide better control of support the pressure realized by muck in-
side the excavation chamber (Maidl, 2012). Driving through the fine grained
materials can also be problematic as clogging may occur. This effect drastically
reduces an advance rate or even totally blocks the cutting wheel. It is largely
connected with adhesion of clay particles, thus a potential risk of clogging can
be classified as a relationship between consistency and plasticity (Thewes and
Burger, 2005). When soil is stiff (consistency index Ic higher than 1), and has
high cohesion and low permeability, there is a possibility to drive a tunnel in
an open mode, without any support. Another aspect is soil permeability and
when it is higher than 1e−3 m/s, intensive conditioning needs to be applied in
order to reduce slurry penetration. In this case, foam can be injected from the
cutting wheel which penetrates inside the soil pores and thus reduces permeab-
ility to the expected value. Also the maximum diameter of grains should be
examined. Their maximum size is often limited by the small opening ratio of
the EPB shield, which allows to pass inside the excavation chamber just cobbles
up to e.g. 1 m. Larger cobbles are crushed by the disc cutters mounted onto
the cutting wheel, while smaller cobbles are partially crushed and discharged by
350
EPB TBMs
300 Slurry TBMs
250
200
Units
150
100
50
0
- - - -
Years
Figure 2-14: Number of EPB and slurry shields used in the period from 1990
to 2010 after Home (2010)
29
CLAY SILT SAND GRAVEL

Fine Medium Coarse Fine Medium Coarse Fine Medium Coarse
100
80 5
Material passing sieve [%]
60 2
40 1
3
20 4
0
0.001 0.01 0.1 1 10 100
Grain size, d [mm]
Izmir Sevilla Avile s

Essen Barcelona Avila
Taipei Valencia Nivel 3 e 6 Botlek
Milano 1998 Valencia Nivel 4 Lyo n
Milano 1996 Valencia Nivel 5 Torino
1 Low rate conditioning
2 Conditioning mainly due to the adhesiveness of soil
3 Conditioning due to the coarse, friction-soil
4 Not suitable for EPB tunnelling
5 If Su,max > 90 − 100kPa or NSP T > 8 − 10 then open shield can be used
Figure 2-15: Validity ranges for EPB shield after Langmaack (2001) with
plotted sample curves from different sites after Pelizza (2011a) and Langmaack
(2002)
the appropriately durable screw conveyor. This part needs to be designed with
a great care as it can be easily damaged. Applicability of the EPB shield when
there is a high water column can be limited due to the difficulties in controlling
the water pressure loss in the excavation chamber and along the screw conveyor.
It is interesting to see (Figure 2-15) that the EPB shields have been successfully
used outside the proposed applicability range, which actually is reserved for the
slurry shields (Maidl, 2012).
The SPB machines are mainly applied to drive through the coarse-grained
and mixed-grained soil (see Figure 2-16) with the ground water table above the
tunnel crown. When subsoil has a high content of fine particles < 0.06mm, dif-
ficulties may arise with separation of these particles from the slurry suspension.
Also the rheological properties of slurry are worsened with the higher content
of fine particles. On the contrary, when driving is carried out through the ex-
tremely coarse material, a special type of slurry (with additives) needs to be
used in order to reduce the slurry penetration. Another solution is to increase
the face pressure to compensate a pressure loss due to the deep slurry infiltration.
30
One of those measures needs to be used to prevent from the face destabilization
(Anagnostou and Kovari, 1996). Moreover, an uncontrolled slurry flow into sub-
soil can occur. Scope of the applicability obviously can be widened by an addition
of filling materials or other additives to the slurry which can improve e.g. rheolo-
gical properties or reduce soil permeability. Furthermore, driving through soil
containing big cobbles is possible by installation of a stone crusher inside the
excavation chamber. The SPB shields can operate in conditions of a high water
column (> 30m) thanks to the fact that pressure in the excavation chamber can
be very precisely controlled (Maidl, 2012). This kind of shields in the period of
1990-2010 became much less popular than the former one, reaching just one-sixth
of all soft soil shields used in tunnelling projects (Home, 2010).
CLAY SILT SAND GRAVEL

Fine Medium Coarse Fine Medium Coarse Fine Medium Coarse
100
80
Material passing sieve [%]
3
60
1
40
2
20
0
0.001 0.01 0.1 1 10 100
Grain size, d [mm]
Zimmerberg Hamburg Thalwil
Hermetschloo Grauholztunnel Portland
Lyon Wesertunnel Wittenberg
1 Ideal field of application
2 Difficult to stabilize working face
3 Costly separation of soil particles from slurry, soil adhesion to the cutting tools
Figure 2-16: Validity ranges for slurry shields with sample curves from different
construction sites modified after Krause (1987) and Babendererde (2015)
31
Chapter 3
Experimental evidences of the

tunnelling effects
3.1 Introduction
Within this Chapter experimental evidences of different tunnelling processes are
discussed. Better understanding of the technological effects induced by the con-
struction process can significantly help to prevent from failure and can lead to
more efficient and less problematic solutions. The most reliable way to do it, is
to analyse and to understand outcomes from the experimental tests. Presented
experimental evidences are based on the various laboratory tests and history
cases. The latter ones can also be classified as experiments, just carried out
in a real scale. Laboratory tests are more favourable since they do not include
all complexity of tunnelling processes and boundary conditions. In these tests
effects of various tunnelling processes can be clearly distinguished, while during
the analysis of data from the history cases, difficulties in separating the effects
of individual processes can arise. Moreover, it can be stated that experimental
evidences are unique benchmarks for numerical models. Although, laboratory
tests have some shortcomings mostly due to the limited possibility of replication
of real situations in contrast to history cases which include all complexity.
Numerous evidences from the laboratory tests supported with the case his-
tories are interpreted in order to show the effects of tunnelling processes having
major impact on the surroundings. In particular, the emphasis is put on the
cases which deal with the shallow tunnels built in soil. There are some tests
performed with the use of different physical models, e.g. small and large scale
models or centrifuge tests, which can be found in the literature. Physical models
have significant advantage over site evidences since they give possibility to per-
form studies before and after the collapse. The importance of this fact cannot
be overlooked. According to characteristics of the physical models and the his-
tory cases, experimental evidences can be divided into two types which deal with:
33
CHAPTER 3. Experimental evidences of the tunnelling effects
a) the mechanized tunnelling and b) the conventional tunnelling. Centrifuge tests

of the mechanized tunnelling are the most popular due to its growing popularity
and difficulties in the modelling of the conventional tunnelling process. However,
few tests for the conventional tunnelling can be found in the literature. Model
tests for the mechanized tunnelling are relatively simple to perform and they give
good approximation of the real behaviour. It can be modelled, e.g. as a with-
drawal of a piston to simulate a drop of the internal pressure and consequently
a face failure. Some of these tests can be applied to analyse and understand the
conventional tunnelling processes, e.g. analysis of the tunnel heading stability,
as both methods are similar in some points. Following sections briefly present
effects of various technological operations, firstly putting attention on general
effects. Later the discussion focuses on the particular effects of technology, such
as the face reinforcement or the pre-support.
3.2 General effects

The most general effect deals with the soil deformation inducted by tunnelling.
Two cases can be emphasised; the first one is describing the situation when
the soil ahead of the tunnel face is moving towards the cavity, and the second
one, when the soil is moving away from the face. These two cases are known
as active and passive modes. In the case of conventional tunnelling, the most
common situation is when soil moves towards the opening described above as
an active mode. However, when the tunnelling is carried out with the support
of the compressed air, soil can tend to move away from the cavity due to the
excess pressure. This effect is well known in the mechanized tunnelling, i.e. when
pressure in the excavation chamber is too high. It can cause a surface heave and
in the worst case a blow-out failure. The most relevant effects from a technical
point of view connected with the toward movement of soil to the opening are
the surface and subsurface settlements. They are related to the volume loss of
ground which occurs after the excavation. It is clear that time of occurrence of
the surface settlement is closely related to subsoil characteristic, an overburden,
technology, a tunnel diameter and many other aspects. In the literature, there
are several experimental studies reported such as tests carried out by Oblozinsky
and Kuwano (2004), Lee et al. (2006), Messerli et al. (2010), Walter et al. (2010),
He et al. (2011) or Idinger et al. (2011). A passive failure was investigated by
Wong et al. (2012). Some of these aspects based on chosen literature positions
are presented below.
Walter et al. (2010) performed centrifuge tests in order to investigate the
effect of the face movement on lining deformations and an overburden collapse.
During tests performed in the sand, the soil deformation, the face pressure and
the lining deformation were measured for two cases: full-face and sequential
excavation. The Figure 3-1 presents a comparison of soil deformation between
34
3.2. General effects
(a) Full face-excavation (b) Sequential excavation (c) Sequential excavation with
an unlined section
Figure 3-1: Soil deformations at failure after Walter et al. (2010)
full-face excavation (a) and sequential excavation (b, c). Shear bands generated
by backward movement of the piston together with a chimney shaped failure
can be clearly seen. Moreover, full-face excavation induces the largest amount
of deformations and the ground surface is influenced in the most significant way.
Clearly, due to the face partition much smaller movements are observed and also
there can be seen noticeable difference when comparing these two cases with the
different lining system. When sequential excavation is adopted, the deformation
ahead of the tunnel face (called the pre-convergence or the pre-deformation)
occurs in the smaller distance from the face (around 2 times) in comparison with
the full-face excavation. This effect has been also proven by e.g. large scale
tests performed by He et al. (2011). During the tests He et al. (2011) found
that for the sequential excavations there is no significant reduction of the crown
settlement, however the displacement of walls can be well controlled. Moreover,
the stress concentration ahead of the face is larger for the case with the full-face
excavation, while concentration of the stress along the tunnel is greater at the
tunnel walls than at the crown.
Face stability by means of the centrifuge test was also studied by Idinger et al.
(2011). The authors performed several tests in order to simulate the shallow
tunnelling in the sandy material for different loads applied to the piston and
different overburdens to a diameter ratio (C/D). The authors also identified the
shear bands and the chimney shaped failure mechanism. There is comparison
of the surface settlement profiles in the longitudinal section along the tunnel
axis obtained from tests for the various ratio C/D presented in the Figure 3-
2. Looking at the results, it is interesting to see that for the shallow tunnel
(C/D = 0.5) face movements induced by the excavation lead to much larger
settlements in comparison with the deeper ones. For the cases C/D = 1.5
35
−1
−2
Settlement, [mm]
−3
−4
−5
before ahead
C/D = 0.5
−6 C/D = 1.0
tunnel face C/D = 1.5
−7
−2 0 2 4 6 8 10 12 14
Distance to tunnel face, [m]
Figure 3-2: Comparison of surface settlements among cases with different C/D
for piston withdrawal equal to 5 mm (Idinger et al., 2011)
and C/D = 1.0 the maximum settlement was observed in a distance around
0.25D = 3 cm ahead of the piston with the value equal to 1 mm, while for
C/D = 0.5 the settlement equals to 5 mm was recorded. Furthermore, there
has been observed limited amount of the settlements behind the piston. These
settlements are caused by the propagation of the deformations induced ahead of
the piston.
There was another study performed by Messerli et al. (2010) who carried out
nine centrifuge tests in order to see effects of overburden stress, an unsupported
span and supporting pressure. The unsupported span was introduced by means
of the latex membrane with very low stiffness as the face imitation. Phases of
the face failure for the case with the flexible membrane are presented in the
Figure 3-3. It was found that the value of pressure measured at the face is lower
than the active earth pressure at the tunnel face, as expected due to the friction
between the lining and the tunnel face and as well bending of the the loading
cell and the arching effect. The arching effect is a well known phenomenon of
a stress transfer from an yielding soil mass to an adjacent non-yielding part. It
was firstly described by Terzaghi (1943) and experimentally proved e.g by Lee
et al. (2006). Centrifuge tests performed by Lee et al. (2006) were supported
by numerical simulations due to the fact that from the experimental tests stress
change in the soil cannot be measured, in contrast to the pore water pressure.
The numerical model is characterized by a reversed dependency. Combining
these two tools a stress transfer from soil masses around the tunnel was obtained
as it is shown in the Figure 3-4. Based on the results, the authors obtained
boundaries of the arching effects. Moreover, positive and negative zones have
been identified as it can be seen from the presented Figure. This Figure can be
36
3.3. Effects of technology
understood in such a way that stresses in the negative arching zone are reduced
and transferred to the positive zones on both sides of the cavity.
3.3 Effects of technology

The effects described above can be limited by using various auxiliary measures
depending on the used tunnelling method.
3.3.1 Conventional tunnelling

The conventional tunnelling is usually carried out with the face reinforcement.
Effects of this technology were studied, e.g. by Leca (1997), Calvello and Taylor
(1999), Hallak (1999), Kamata and Mashimo (2003) and Yoo and Shin (2003)
who performed various small-scale laboratory tests including centrifuge tests,
while Arsena et al. (1991), Lunardi (1991), Lunardi et al. (1992) performed
different field tests. In general, these studies investigate a working principle and
an influence of distribution of the reinforcing elements on the obtained results.
In the following discussion two studies are presented in order to give an insight
on the induced mechanisms.
The failure, due to the ground movement towards to the tunnel which takes
the form of chimney, can be eliminated and the face stability can be increased
by usage of the horizontal or vertical face reinforcements. These measures signi-
ficantly reduce the face extrusion and the propagation of the deformation ahead
the tunnel face and towards the ground surface. Kamata and Mashimo (2003)
performed series of centrifuge tests studying the effects of the reinforcement dis-
tribution and length on the stability. The first set of tests refers to the horizontal
reinforcement (see Figure 3-5). The results show failure states for the case when
the reinforcement covers full section, upper and lower parts for different lengths
(a) Initial state (b) Progressive fail- (c) Progressive fail- (d) Progressive fail-
ure, state 1 ure, state 2 ure, state 3
Figure 3-3: Results from the centrifugal tests for flexible face test after Messerli
et al. (2010)
37
Figure 3-4: Location of reference soil elements and the arching zone
(Lee et al., 2006)
starting from no reinforcement, 0.25D, 0.5D, 1.0D and 1.5D where D is the
cavity diameter. From the presented results it can be noted that the most effi-
cient way to reinforce the tunnel face is to cover the full section. For this case
the reinforcement length has a very limited effect. For the length equal to 1.5D,
1.0D and 0.5D practically no change of the failure state is observed. Very short
reinforcement L = 0.25D causes a slightly larger failure. A very similar effect
no reinforcement
L = 0.25D
L = 0.5D
0.1 D L L = 1.0D
L = 1.5D
D = 80 mm
20 mm
20 mm
1 2 3
(a) Arrangement (b) Failure states: 1 full section, 2 lower half

section, 3 upper half section
Figure 3-5: Effects of horizontal face reinforcement studied by Kamata and

Mashimo (2003)
38
of a reinforcement arrangement is observed for the case when the reinforcement

covers just an upper half of face, while for a lower half effect is very limited for all
lengths. Similar findings are presented by Yoo and Shin (2003), who expressed
the effect of face reinforcement by extrusion of the tunnel face. Displacement
vectors for the reinforced and unreinforced faces are shown in the Figure 3-6.
The authors also demonstrated that it is a very efficient way to limit the surface
subsidence.
(a) Unreinforced face (b) Reinforced face
Figure 3-6: Vectors of displacements at the face (Yoo and Shin, 2003)
The second set of tests performed by Kamata and Mashimo (2003) refers to
the vertical pre-reinforcement for the ground surface with the variable length
reaching different levels of the depth ahead of the tunnel face as it is shown
in the Figure 3-7. The results showing the failure states for various lengths of
the reinforcement with the fixed distribution are shown in the Figure 3-7(b) 1 ,
while the results for various distributions with the fixed length of the reinforce-
ment (160 mm) are given in the Figure 3-7(b) 2 . It is interesting to note that
the vertical reinforcement which reaches level of the face centre and below is the
most efficient, while for the shorter reinforcement the effect is very limited, thus
failure is extensive, similar to the case with no reinforcement. Speaking about
distribution of the reinforcement, obviously the case with 6 bolts with the smal-
lest spacing is the most effective. However, for the case with 3 bolts and more
than the doubled spacing face stability is also ensured. Furthermore, when only
one bolt is used, a small positive effect with no influence of location is observed.
Another technology frequently used in order to limit negative effects of the

tunnelling is the pre-support. Several centrifuge tests aimed to investigate a per-
formance of the pre-supporting system called the forepoling can be found in the
literature, such as: Kamata and Mashimo (2003), Date et al. (2008), Hisatake
39
ground surface
no reinforcement no reinforcement
L = 160, 140 mm 6 bolts (0.1 D)
L = 120 mm 3 bolts (0.25 D)
L = 100 mm 1 bolt (at centre)
L = 80 mm 1 bolt (at edge)
L = 160 mm
L = 80 mm
L = 100 mm
D = 80 mm
L = 120 mm
L = 140 mm
0.1 D
0.1 D 0.1 D 1 2
(a) Arrangement (b) Failure states
Figure 3-7: Effects of vertical face reinforcement studied by Kamata and

Mashimo (2003)
and Ohno (2008) or Juneja et al. (2010). In the analysis carried out by Kamata
and Mashimo (2003), the authors focused on two cases: the forepoling consist-
ing of 1.0 mm bolts with different lengths, and the forepoling made from the
acrylic plate which is characterized by the incomparably higher stiffness than
bolts. Geometry together with the arrangement of reinforcement and results are
presented in the Figure 3-8. The results show that between the shape and the
size of the failure zones obtained from tests where bolts with different lengths
have been applied, no big difference can be observed. Moreover, there was not
observed any change in the failure zone due to change of the forepoling stiffness.
However, from this plot it can be seen that the forepoling drastically decreases
the possibility of the chimney failure and as well increases the length of the free
span which was examined by other researchers. The reason of this small effect
on the face stability lies in the fact that this method influences indirectly on the
face and does not change the ground properties in the face, but it forms the load
bearing structure called “umbrella”. In order to provide sufficient face stability,
the forepoling should be used together with other measures, e.g. the previously
described face reinforcement, which directly increases face stability.
Another centrifuge tests were carried out by Hisatake and Ohno (2008), who
investigated the influence of pipe roof support on ground displacements. For this
40
purpose a special robot was developed to imitate excavation performed by the

roadheader.
no reinforcement no reinforcement
L = 0.25 D bolts L = 1.5 D
L = 0.5 D acrylie plate
L = 1.0 D L = 1.5 D
L = 1.5 D
60o 60o
D = 80 mm
bolt acrylie plate 1 2

0.1 D
(a) Arrangement (b) Failure states
Figure 3-8: Effects of the forepoling studied by Kamata and Mashimo (2003)
2.5 2.5
Case 1: FFE without PRS Case 1: FFE without PRS
2 Case 2: FFE with PRS 2 Case 2: FFE with PRS
Settlement, [mm]
Settlement, [mm]
Case 4: FFE after RCE with PRS Case 4: FFE after RCE with PRS
1.5 1.5
1 1
0.5 0.5
0 0
0 5 10 15 20 25 30 35 40 0 5 10 15 20 25 30 35 40
Excavation distance, [mm] Excavation distance, [mm]
(a) 64 mm from face (b) 92 mm from face
2.5
Case 1: FFE without PRS
2 Case 2: FFE with PRS
Settlement, [mm]
Case 4: FFE after RCE with PRS

1.5
0.5
0
0 5 10 15 20 25 30 35 40
Excavation distance, [mm]
(c) 116 mm from face
Figure 3-9: Induced settlements in different points for various cases of pipe
roof excavation with and without face reinforcement (Hisatake and Ohno, 2008)
41
The presented results (see Figure 3-9) were obtained based on the three tests:
Case 1 - full-face excavation without the pipe roof supports, Case 2 - full-face
excavation with the pipe roof support, Case 3 - full-face excavation after ring-
cut excavation with pipe roof support. The presented results show settlements
measured at three different points, right above the reinforcement system in the
distance from a face equal to 64 mm, 92 mm and 116 mm. Looking on this plot
a positive effect of the pipe roof system can be very clearly seen. It can be stated
that the maximum settlement decreases four times when the pipe roof system
is installed. Another aspect is that settlements during the ongoing excavation
increase non-linearly. It is also interesting to see that the difference between
various types of excavations, the Case 2 vs the Case 4 is negligible.
An effect of the forepoling on induced surface settlements can be presented
by plotting results from the centrifuge tests performed by Juneja et al. (2010).
Contours of settlements obtained after collapse of the tunnel for six tests listed
below are presented in the Figure 3-10.
• AT-1 – no forepoling, the length of unlined tunnel 0 m

• AT-2 – forepoling L=130 mm, the length of unlined tunnel 65 mm
• AT-6 – forepoling L=195 mm, the length of unlined tunnel 97.5 mm
Dashed lines represent unlined portion of the tunnel, while for the lined tunnel,
thick lines are used. From these contours it can be noticed that trough width
is not influenced by the use of the forepoling. What is more, they show that
the forepoling, reduces the length of settlement trough and its maximum value.
Comparing subfigures c) and b) it can be seen that the increase of length (1.0D
to 2.0D) results in 40% reduction of the trough length ahead of the tunnel face.
Making further comparison of the subfigure a) with c)-f), it can be seen that
there is no significant change in the influenced zone between systems composed
of unlined part together with forepoles shorter than 1D and longer than 2D.
A good example which demonstrates effects of the pre-supporting structure
with various technological aspects is a tunnel GNF2 built in the suburbs of
Florence (Russo and Modoni, 2006). The Figure 3-11(a) presents vertical dis-
placements of three benchmark points KR33, KR56 and KR36 recorded on the
ground surface above the tunnel axis. In order to distinguish an effect of each
technological processes, thick lines correspond to the execution of jet-grouted
canopies and thin lines for the execution of excavations. From this plot it can
be seen that during the execution of the jet-grouted canopy for the first span
there is a significant ground surface uplift. The maximum value of uplift equal to
∼80 mm is observed for the first benchmark point KR33. This negative effect is
induced by the excessive injection pressure. For the next two points the amount
42
of uplift is much lower due to the relatively large distance to the working face.
Moreover, during the execution of the subsequent jet grouted canopies, observed
uplift is also lower with the value of around 60 mm for the point KR36. This
lower value of uplift, can be explained firstly by the improvement of the injec-
tion execution, secondly, by the positive effect of previously created canopies
interacting with the subsoil.
140 140 140

forepoles
100 100 100
Y [mm]
Y [mm]
Y [mm]
60 60 60
20 20 20
-20 rigid -20 -20

rigid rigid
lining lining lining
-60 -60 -60
0 40 80 120 0 40 80 120 0 40 80 120
X [mm] X [mm] X [mm]
(a) AT-1 (b) AT-2 (c) AT-3
140 140 140

forepoles
100 100 100
Y [mm]
Y [mm]
Y [mm]
60 60 60
20 20 20
-20 -20 -20

rigid rigid rigid
lining lining lining
-60 -60 -60
0 40 80 120 0 40 80 120 0 40 80 120
X [mm] X [mm] X [mm]
(d) AT-4 (e) AT-5 (f) AT-6
Figure 3-10: Contours of settlements after excavation for various configuration

of supports after Juneja et al. (2010)
43
Recorded vertical displacements along the left side of the tunnel, above pillar
for three benchmark points KR32, KR57 and KR37 are presented in the Fig-
ure 3-11(b) together with an execution of canopies and an excavation for each
span. These three points are relatively far from the execution of jet-grouting
columns for the canopies. Thus effect of this technology is very limited and
time-dependent reduction of the uplift along the middle section drag those three
points and subsidence can be observed. For all three points downward vertical
displacements are recorded with the maximum value of ∼30 mm for the point
KR57. This time-dependent effect is independent of the distance to the working
KR 33 KR 56 KR 36 KR 32 KR 57 KR 37
80 0
−5
60
Settlement, [mm]
Settlement, [mm]
−10
40 −15
20 −20
−25
0
−30
1 2 3 4 5 6 1 2 3 4 5 6
−20 −35
20/2/02 3/4/02 15/5/02 26/6/02 20/2/02 3/4/02 15/5/02 26/6/02
30/1/02 13/3/02 24/4/02 5/6/02 20/1/02 13/3/02 24/4/02 5/6/02
Time, [−] Time, [−]
(a) (b)
30
KR 55 KR 56 KR 57
20
10
Settlement, [mm]
−10
−20
−30
I span
II span
III span
end constr.
(c)
Figure 3-11: Vertical displacements of the chosen benchmark points at the

ground surface (Russo and Modoni, 2006)
44
face and starts after execution of the first canopy for all three points. Moreover,
the progress of this effect is observed after the execution of each subsequent
canopy, however, it is gradually reduced with the distance to the working face.
During the analyses of the effect of the excavation it can be noted that the rate
of settlements is increased.
Finally, observed results are presented in the cross-section composed of three
benchmark points KR55, KR56 and KR57 which are placed in the axis of the
road (see Figure 3-11(c)). In this Figure, several lines are plotted and each of
them presents vertical displacements after execution of the whole span and at the
end of the construction. The first line presents an uplift induced by the passage
of the working face for the first span located above the tunnel axis, while for
both sides, a small amount of subsidence is observed. After the execution of
the subsequent spans the amount of uplift is reduced with the global trend of
downward displacements along the whole section with the maximum value at the
right side. It is worth noting that maximum subsidence is observed on the right
side, in the point KR57 and is equal to about 30 mm.
An effect of the Umbrella Arch Method (UAM) in a reduction of surface
settlements in comparison with the NATM method is presented on the basis
of studies performed by Ocak (2008). The author performed a comparison of
a subsidence between tunnels built using two various conventional methods for
Istanbul Metro between Unkapani and Yenikapi. Results showing comparisons
for three formations, respectively Trakya formation, clay, and clay and Trakya
formation are presented in the Figure 3-12. Looking at plots it can be concluded
that the Umbrella Arch Method (UAM) reduces significantly settlements over
the NATM method. In the same geological formation, a settlement reduction
of about three times is observed. In the case of the tunnel driven in the clayey
subsoil (see Figure 3-12(b)), the excess surface settlements induced by excavation
could not be prevented by the NATM in contrast to the UAM.
3.3.2 Mechanized tunnelling

The effects induced by the mechanized tunnel heading machine are different than
those induced by the conventional technology. In general, we can distinguish
effects connected with the face support which are apparent ahead of tunnel face,
effects induced during the shield passage, effects of the grout backfilling and those
during and after backup trailer passage. Due to the complexity of the mechanized
tunnelling, laboratory tests which investigate particular technological effects are
hardly ever available. In order to demonstrate induced effects, observations
recorded from various case histories are herein presented. Lots of literature
positions can be here refereed, for the tunnel driven with the EPB shield, e.g.
Suwansawat (2002), Tan et al. (2002), Moss and Bowers (2006), Saczynski et al.
(2007), Song and Zhou (2008) and Ocak (2012). Whereas, for the slurry shield
45
0 0
−5 −20
Surface settlement, [mm]

−10 −40
−15 −60
−20 −80
−25 −100
−30 Zone H (UAM) −120
Zone E (NATM) Zone F (UAM)
−35 Zone D (NATM) −140 Zone C (NATM)
−40 −160
−20 −10 0 10 20 −20 −10 0 10 20
Distance to tunnel face, [m] Distance to tunnel face, [m]
(a) Trakya formation (b) Clay
0
−5
−10
−15
−20
−25
−30 Zone G (UAM)
Zone B (NATM)
−35 Zone A (NATM)
−40
−20 −10 0 10 20
Distance to tunnel face, [m]
(c) Clay and Trakya formation
Figure 3-12: Comparison of surface settlements between New Austrian Tun-

nelling Method (NATM) and Umbrella Arch Method (UAM) after Ocak (2008)
observations reported by Bakker et al. (2003), Bezuijen et al. (2006), Dias and
Kastner (2013) and Karl (2015) can be cited.
Pressure acting on the tunnel face generated by the supporting medium
can be indirectly estimated by measurements: a) carried out with the pressure
sensors installed on the bulkhead in the excavation chamber, b) done with the
pressure sensors installed on the front of cutterhead, c) of the cutterhead torque
and thrust force, or d) of the discharged muck volume. The face pressure acting
on the soil induced by the EPB shields was investigated by Song and Zhou (2008)
(see Figure 3-13). The authors analysed two cases. First case for the 5th line of
Guangzhou metro which was drilled in the clayey soil and second case for the
1st line of Chengdu metro for the cobble and sand soil. In both cases the EPB
shields manufactured by Herrenknecht with a diameter of 6.28 m were used. The
face pressure was measured using five sensors installed at the bulkhead. It shall
be noted that measured pressure at the bulkhead is somehow different from the
face pressure acting on the soil. However, it is the most efficient and popular
way to measure it. From observations for both cases it can be seen that the
46
pressure distribution along a cutterhead height is not linear. In the lower part,
the pressure drop can be noted which is a consequence of the muck discharge by
the screw conveyor. The pressure gradient using linear interpolation is estimated
to be equal to 13.8 kPa/m for the clayey soil and 39.3 kPa/m for the sand with
cobbles. For the case of slurry shield, the face pressure measured by means of
gauges installed at the front of the cutterhead can be presented by observations
from the Second Heinenoord Tunnel (Bakker et al., 2003). Distribution along
the face height is presented in the Figure 3-14. It can be seen that it is similar to
that for the EPB shield. However, the pressure drop in the bottom region does
not appear. It can be caused by the measuring technique (gauges installed on
the cutterhead vs gauges at the bulkwall). In this case, the gradient of pressure
is similar to that for the EPB shield driven in the clayey soil and it is equal to
12.5 kPa/m. Finally, the influence of the rotation direction of the cutterhead is
imperceptible and the face is uniformly supported in the horizontal direction. In
both cases the EPB and the slurry shield, vertical gradient of pressure results
from the weight of the supporting medium.
Change of the pressure in the soil measured by means of the piezometers
was investigated by Bezuijen et al. (2006). The pore pressure was measured
with the gauges installed ahead of the tunnel driven with the slurry shield (see
Figure 3-15). These gauges installed on the tunnel track were used until their
destruction, when the shield arrived to their locations. Presented results refer to
the gauge installed in the sandy layer. It can be seen on the presented plot that
during the drilling phase the pore pressure increases above the hydrostatic level,
while, during the stand-still phase pressure decreases to the hydrostatic level.
6 6
5 5
Position along face height [m]
Position along face height [m]
4 4
3 3
2 2
1 1
0 0
0 50 100 150 0 50 100 150
Earth pressure of the sensors [kPa] Earth pressure of the sensors [kPa]
(a) Clayey soil (b) Cobble sand strata
Figure 3-13: Mean earth pressure acting on the pressure wall (Song and Zhou,
2008)
47
Looking from the right side of the plot it is worth to note that when the tunnel
face is relatively far, change of the pore pressure is very limited and it increases
when shield approaches to the gauge. The drop of pressure during stand-still
-4 -3
4 -2 -1
0 1
2 3
4
3
-1
-2
-3
-4
225 250 275 300 325 350 375
Face pressure [kPa]
Figure 3-14: Distribution of the face pressure along face height for slurry shield
(Bakker et al., 2003)
200
measurement PPT 5
190 calculation
180 tunnel distance PPT
170
Pressure, [kPa]
160
150
140 during drilling

φ = φ0 ( 1 + ( x / R) 2 − x / R)
130
120
during stand still
110
100
0 5 10 15 20 25 30 35
Distance from tunnel face, [m]
Figure 3-15: Measured pore pressure in the front of the slurry shield (Bezuijen
et al., 2006)
48
phase is connected with the formation of filter cake at the face surface. When
the cutterhead revolution is stopped and pressure in the excavation chamber is
constant, a filter cake is formed which limits filtration and thus the drop of pore
pressure ahead of the tunnel face is observed. When the drilling is started, the
cutterhead cuts the soil and disturbs formed filter cake.
During shield tunnelling complex equilibrium occurs between pressure gen-
erated by the supporting medium and the surrounding subsoil. It is one
of the source of the ground deformation ahead of the tunnel face, which
according to the chimney mechanism propagates up to the ground surface.
Many researchers investigated this aspect mostly based on the case studies
such as Jancsesz et al. (1999), Suwansawat (2002), Wongsaroj et al. (2006),
Hsiung (2011) and Dias and Kastner (2013). From observations presented by
Suwansawat (2002) effect of the change of the face pressure and the penetration
rate is demonstrated for the EPB shield (see Figure 3-16). The first case cor-
responds to the constant penetration rate, while the second one to the constant
face pressure. In the former one, it can be seen that when the low face pressure
is applied, induced surface settlements are excessive in comparison with that
induced with the high face pressure. In the latter one, the penetration rate has
the opposite effect. For its low value, induced settlements are much smaller than
for the case of the high rate.
Effects induced during and after the shield passage are analysed thanks to ob-
servations recorded during drilling the extension of the line D of subway in Lyon
between Gorge du Loup and Vaise stations (Dias and Kastner, 2013) presented
in the Figure 3-17. An extension was done by two twin tunnels drilled with slurry
0 -5
Large
Surface Settlement,
-10 b -10
-20 -15 Settlement Small Settlement
-30 a -20
[mm]
-25
-40 -30
-50 -35
-60 -40
-70 -45
0 50 100 150 200 250 0 50 100 150 200 250 300 350
250 300
Face Pressure, [kPa]
200 High face pressure 250

Constant face pressure
150 200
Low face pressure
100 150
50 100
0 50
0 50 100 150 200 250 0 50 100 150 200 250 300 350
80 40
35
Penetration Rate,
70
30
Very low penetration rate
60
[mm/min]
50
25
20
40
15
30 10
20 5
10 0
0 50 100 150 200 250 0 50 100 150 200 250 300 350
Ring Number Ring Number
(a) Constant penetration rate (b) Constant face pressure
Figure 3-16: Effects of the face pressure and penetration rate on the surface
settlements (Suwansawat, 2002)
49
shield heading machines. Shields had a length of 6.85 m and a diameter at the
face equal to 6.42 m and at the tail to 6.27 m. Subsequently, presented results
Time
14/07/1993 16/07/1993 18/07/1993 20/07/1993 22/07/1993 24/07/1993
0
Phase 2: Passing
Passing the tail the tail
Surface
-2
9.6m depth
12.3m depth
-4
Settlement, [mm]
-6
Phase 1 : Passing the face
-8
-10
Phase 3 : Maximum of the backfill grouting
-12
(a) Surface and subsurface settlements
Horizontal displacement, [mm]

-4 -2 0 2 4 2 0 -2 -4
20
2m
Tunnel face
15 End of the tail
Distance to the tunnel axis, [m]
Grout injection +11m

Final
10
-5
-10
(b) Horizontal displacements
Figure 3-17: Recorded soil movements induced by heading machine with slurry
support (Dias and Kastner, 2013)
50
concern just on the observations for the drilling process of the first tube. The
surface and the subsurface settlements recorded by an extensometer installed
above the tunnel centreline are presented in the Figure 3-17(a), while horizontal
displacements for two inclinometers located on both sides of tunnel are shown in
the Figure 3-17(b). From these plots, effects of different technological operations
connected with the mechanized tunnelling are very clearly seen. Looking at the
plot of settlements from the left side, it can be noted that the effect of face
support by pressurized slurry is evident as a pre-convergence and a small bump.
During the face passage almost immediate horizontal outward displacements are
measured mostly at the tunnel level. Afterwards, progressive settlements with
constant rate for all three points are observed. This constant rate can be possibly
explained by two factors. First factor is connected with the face support by the
pressurized slurry. The slurry can propagate in the space between the shield and
the surrounding subsoil with gradually decreasing pressure. The second factor
is connected with the conical shape of the shield, larger in the front and smaller
in the tail direction. This vertical movement is connected with the horizontal
outward displacements recorded by both inclinometers. Effect of the injection
is also visible at the inclinometers by progressive outward movements. After
the shield passage, the grout injected through the nozzles installed in the tail
skin of the shield fills a void between extradose of lining and the surrounding
soil. At the beginning small vertical drop is observed followed by gradual upward
movement connected with backfilling. After reaching a peak this effect gradually
decreases. Moreover, it is mostly visible for the deepest measuring point with
the progressive fading up to the ground surface. Described effects refer only to
the short-term response. The long-term effect (after the grout backfilling) is ob-
served as progressive settlement and slight, inward horizontal movements of soil.
These movements are connected with the consolidation and creep phenomena of
soil, and the hydraulic consolidation of grout. An example of grouting pressure
distribution along the depth measured outside lining for the Sophia Rail Tunnel
(Bezuijen et al., 2002) is presented in the Figure 3-18. Observations show that
the distribution of pressure is rather linear along a depth with the hydrostatic
distribution. Its gradient results from self-weight of filling medium. Moreover,
observed drop of the pressure in time is rather limited.
51
0 0
330 30 Hydrostatic
1
grout pressure
2
300 60
3
4
Depth, [m]
0 5
270 90
100 6
7
200
240 120 8 06:20:50
300 08:04:28
instruments 9
09:25:04
06:20:50 400
120 150 10
08:04:28 0 100 200 300 400
09:25:04 180
Pressure, [kPa]
(a) Polar plot (b) Distribution along depth
Figure 3-18: Grout pressure distribution along depth (Bezuijen et al., 2002)
52
Chapter 4
Prediction methods
of different tunnelling effects
4.1 Introduction
As a natural consequence of studies concerning ground response and soil-
structure interaction during tunnelling process (see Chapter 3), many authors
have proposed several different approaches to predict the various tunnelling ef-
fects. The tools for qualitative and quantitative estimation of these effects are
continuously developed together with a significant change of the design philo-
sophy. The importance of these approaches cannot be neglected as their purpose
is to serve in a daily engineering practice, in contrast to those tunnelling experts
who claim that there is no need to use such tools.
The purpose of this Chapter is to give an overview of different possible ap-
proaches developed during years in order to predict effects such as ground de-
formations or stresses in the subsoil. For the scope of this thesis just the basic
explanation of each method is given and most of the mathematical expressions
are omitted for the sake of brevity. For more details reader is referred to the cited
literature positions. The discussion is performed with respect to the following
three approaches:
• empirical
• analytical and semi-analytical
• numerical
The first group refers to the empirical methods which mostly constitute
simple relations derived from observations. However, to this group alternat-
ive approaches can be also included, such as the Artificial Neural Network. The
empirical methods are used almost exclusively to predict ground deformations.
The second group deals with the analytical methods starting from the stochastic
approach, through various elasticity solutions up to the most refined solutions
53
CHAPTER 4. Prediction methods of different tunnelling effects
which include plastic mechanisms in the subsoil. These methods are very fast
and easy for application as they require only a small number of easy to estimate
physical parameters. The last group, termed as the numerical methods, deals
with various approaches developed through years with the increase of computing
power of Central Processing Units (CPUs). Finite Element Method (FEM), Fi-
nite Difference Method (FDM), Discrete Element Method (DEM) or Boundary
Element Method (BEM) can be given as examples. At the present, these meth-
ods give the most complete solution which can include various aspects. However,
they entail numerous factors and assumptions sometimes hard to determine and
verify.
4.2 Empirical methods
4.2.1 Transversal Settlement profile
The most frequently used curve to represent the surface settlements due to tun-
nelling is the Gaussian distribution curve, firstly adopted by Martos (1958), then
by Peck (1969) and Schmidt (1969). The data from different history cases col-
lected by these authors for various technologies and subsoil conditions show that
the surface settlements can be represented with the Gaussian distribution curve
(see Figure 4-1), expressed as:
!
x2
Sx,z0 = Szmax · exp − (4.1)
0
2 · i2z0
where Sx,z0 is the settlement in the transversal section at the ground surface, x
is the offset from the tunnel centre line, Szmax
0
is the maximum surface settlement
above tunnel centreline and iz0 is the distance of the inflection point from tunnel
centreline measured on the ground surface. The last parameter iz0 often called
as a trough width parameter was studied by many authors and is discussed in
the next section of this Chapter. Several other authors (e.g. Rankin (1988),
O’Reilly and New (1982), Mair et al. (1993), Moh et al. (1996)) demonstrated
the capability of this curve to reproduce transversal profile due to tunnelling.
Together with the vertical displacements of the soil, also due to the peculiar
shape of the settlement profile, horizontal displacements are induced. Studies
performed by Martos (1958), Attewell (1978) and O’Reilly and New (1982) have
shown that resultant displacement vectors induced by the underground opening
in the clayey subsoil are directed toward the centre of the cavity. From this
observation, a general expression can be easily given as:
x
Hx,z = · Sx,z0 (4.2)
z0 − z
54
4.2. Empirical methods
where Hx,z is the horizontal displacement in the transversal section at a depth

z from the ground surface and at an offset x, z0 is the distance from the ground
surface to the tunnel axis. Taylor (1995) suggested that, for the conditions with
no volume changes, a point in which vectors of displacements are directed, is
located below the tunnel, giving the distance of 0.175 · z0 /0.325.
Distance to tunnel center line
0 x
− √3i
√3i
−i i
z0
Surface settlement
Horizontal displacements
Horizontal strains
Volume of settlement trough
Figure 4-1: Gaussian distribution curve after Peck (1969)
Another equation written to describe the response of the existing structures

on the ground surface gives a horizontal strain as follows:
∂Hx,z0
H,x,z0 = (4.3)
∂x
The horizontal strain is often used in conjunction with an angular distortion
written in general term as:
∂Sx,z0
γx = (4.4)
∂x
Therefore, the corresponding ground distortion for the Gaussian curve is com-
puted from:
Sx,z0 · x
γx,z0 = − x2
(4.5)
2
i2z0 · e 2iz0
where e is the Euler’s number.
The problem with matching the settlement trough data with the Gaussian
distribution curve was raised by many authors (e.g. Branco et al. (1990)). It
was observed that fitting with this curve gives generally a good correlation (r =
0.9 ÷ 1.0 for 60 cases). However, even with the good correlation (r = 0.99)
55
the equation can lead to significant differences in the estimation of the ground
distortion. Moreover, the ground distortion γ and the horizontal strains H
can be used to estimate building damages, as in the proposed building damage
criterion by Boscardin and Cording (1989). Here the study of Celestino and Ruiz
(1998) can be presented, as the authors tried to describe the settlement trough
profile by fitting various types of curves. Finally, using a yield-density type
curve which is characterized by three degrees of freedom, authors found better
solution than the Gaussian distribution curve. A simple comparison between
these two curves is given in the Figure 4-2. The proposed curve is expressed by
the following equation:
Szmax
0
Sx,z0 = b (4.6)
|x|
1+ a
where Sx,z0 is the settlement in the transversal section at the ground surface
max is the maximum surface settlement
at offset x from the tunnel centreline, Sz0
above the tunnel centreline, a and b are the curve parameters.
1
Settlement, [cm]
3
Observed
4 Yield−density
Gaussian
5
−30 −20 −10 0 10 20 30
Distance from tunnel axis, [m]
Figure 4-2: Fitting with the Gaussian and yield density curves of settlement
data from tunnel in Poland (Celestino and Ruiz, 1998)
Based on the centrifuge tests performed in order to the investigate influence

of tunnelling process on piles located near the tunnel carried out by Jacobsz
et al. (2004), the authors proposed a new equation to describe settlements. The
tests were performed in the dense dry sand for which zones of possible large
settlements were identified. Based on this observations, the authors fitted the
classical Gaussian distributed curve and found that somehow the recorded set-
tlement profile is more narrow. This observation was also confirmed by Mair and
Taylor (1997). Then Jacobsz et al. (2004) proposed a new equation for a curve
in order to fit the settlement profile to the recorded observations expressed as:
1.5 !
1 |x|

Sx,z0 = Szmax
0
· exp − 0
(4.7)
3 i )z0
56
where Sx,z0 is settlement in the transversal section at the ground surface at an

offset x from the tunnel centreline, Szmax
0
is the maximum surface settlement
0
above the tunnel centreline, iz0 is the distance of the inflection point from the
tunnel centreline measured on the ground surface. It differs from the parameter
of the Gaussian curve.
During investigation of tunnelling effects on existing pipelines Vorster et al.
(2005) found a better fit to observed ground settlements by using the modi-
fied Gaussian curve instead its original form. The modified Gaussian curve is
expressed by following relation:
n
Sx,z0 = Szmax · h i (4.8)
0 x 2

(n − 1) + exp α i
2α − 1
n = eα · +1
2α + 1
where Sx,z0 is settlement in the transversal section at the ground surface at offset
x from the tunnel centreline, Szmax0
is the maximum surface settlement above
the tunnel centreline and i is the distance of inflection point from the tunnel
centreline, while, n is the shape function parameter and α is the parameter
which fixes i at the right distance from the tunnel centreline. For n equal to 1
this curve has the same shape as Gaussian curve.
Equations for presented curves are given in the Table 4.1, together with their
components and parameters.
4.2.2 Longitudinal settlement profile

So far just one empirical relation which can estimate a longitudinal settlement
profile can be found in the literature. Attewell and Woodman (1982) based
on the various case histories for tunnels driven in clays, confirmed applicability
of the Gaussian curve (see Equation 4.1). Moreover, in order to describe the
longitudinal settlement profile they introduced the following expression:
! Z−y !
x2 1 y2
Sx,y,z0 = Szmax · exp − · √ exp − dy (4.9)
0
2 · i2x,z0 iy,z0 · 2π 2 · i2y,z0
−∞
where y is the distance ahead of the tunnel face parallel to the tunnel axis and
iy,z0 is the distance of the inflection point from the tunnel face measured on the
ground surface. The longitudinal profile reproduced by the Equation 4.9 is illus-
trated in the Figure 4-3. The authors found that for tunnels without face support
constructed in stiff clays the surface settlement directly above the tunnel face
corresponds to the half of maximum surface subsidence. This assumption is valid
just for this limited conditions, while for the tunnels driven in the cohesionless
material and in the soft clay, the significant amount of subsidence is located be-
57
hind the tunnel face (Nomoto et al., 1995). Also for tunnels driven with the use
of the slurry suspension or the earth pressure balanced support, major amount
of surface settlements is located behind shield which was confirmed by Mair and
Taylor (1997) and Moh et al. (1996). Ata (1996) found that for tunnels driven
with the slurry shield in dense sand overlain by clay, surface settlements above
the tunnel face were in the range of (0.25 ÷ 0.3) · S max and maximum subsidence
occurred during the shield passage. Another observation presented by Yoo et al.
(2009) shows that for tunnels built using the NATM method in weathered soil
and rock amount of settlements above the tunnel face is equal to 0.4 · S max .
translated longitudinal
settlement profile - with face support
y
original ground level
0.5 Smax
S max
longitudinal settlement profile

(cumulative probability form)
- without face support
advancing tunnel
tunnel face
Figure 4-3: Longitudinal profile of surface settlements after Attewell and

Woodman (1982)
4.2.3 Trough width

The trough width designated as i (see Figure 4-1) is one of the most crucial para-
meter which characterizes the shape of surface and subsurface settlement profiles.
An important study was performed by Marshall et al. (2012), who investigated
various shapes of settlements curves and presented a comparison between them.
There are many data in the literature which report values of i parameter for the
Gaussian distributed curve for various soils and tunnelling technologies. That is
why a qualitative comparison of this parameter between different data published
in the literature with curves characterized by three degrees of freedom should be
performed with caution which can be seen from the Figure 4-4.
58
Table 4.1: Curve equations to fit settlement trough
Reference Curve equation Remarks

Component
(curve name, symbol)

x2
S Sx,z = Szmax · exp −
Martos (1958), Peck (1969), 2 · i2z iz – distance to inflection point
Sx,z · x
Schmidt (1969) γx,z = − x2
Si,z = 0.607 · Szmax
G
2i2
z
(Gaussian, G) i2z · e Based on field observations
√
V VS,z = 2π · Szmax · iz
Szmax
S Sx,z =
a, b – curve parameters
1 + xa b
a zt
Celestino et al. (2000) b−1 For stiff clay: D = 0.39 D + 0.31
|x|
Szmax ·b·x· a For porus a
(yield-density, YD) γx,z = −
clay: D = 0.46 zDt + 0.37
G
b
2
b should be always < 1
|x|
a · |x| · a +1
Based on field observations and
2 · π · a · Szmax
V VS,z = numerical simulations
b · sin πb
1.5 !
59
1 |x| i0z
S Sx,z = Szmax · exp − ≈ 0.85 · K − 0.12
3 i0 zt
Jacobsz et al. (2004) − 13
|x| 2
3 q
|x|
K is a width trough parameter for G curve
iz
Szmax · x · e iz
(Jacobsz, J) G γx,z = − Si,z = 0.717 · Szmax
2 · iz |x| Based on the centrifuge tests
√
3 4
V VS,z = Szmax · 9 · · 1.354 · iz
3
n
Sx,z = Sz,max ·
2
S α – parameter which fix i at the right
(n − 1) + exp α ixz
Vorster et al. (2005) x 2 distance from tunnel centre line
2 · α · n · x · eα( iz ) 2α − 1
(modified Gaussian, mG) γx,z = −Szmax · n = eα +1
G αx2 2α + 1
2
iz 2 n + e iz − 1 Based on the centrifuge tests
Z ∞
V no closed form, use: VS,z = Sx,z dx
−∞
S – Settlement profile
G – Ground distortion
V – Volume loss
x**/i
0.2
Sv = 0.303 Smax
0.4
Sv/Smax, [−]
Sv = 0.606 Smax
0.6
Gaussian, i = 3
0.8 Jacobsz, i = 3
Modified Gaussian, i = 3, α = 2
Yield density, i = 3, a = 4.2, b = 2.5
1
0 1 2 3 4
x/i, [−]
x*/i
Figure 4-4: Various fitting curves with the same value of i after
Marshall et al. (2012)
Studies of this parameter founded in the literature can be classified into two
main groups according to the type of soil in which tunnel is built, properly in
sands and clays. The trough width parameter for these types of soil will be
further discussed separately for the surface and subsurface movements.
4.2.3.1 Clays
Together with the introduction of the Gaussian distribution curve, Peck (1969)
proposed a relation between the normalized depth to the tunnel centre and the
normalized distance to the inflection point for various types of soil. This di-
mensionless relation for clays was then expressed in the form of the equation
proposed by Schmidt (1969), as follows:
n
D z0

iz0 = (4.10)
2 D
where iz0 is the trough width parameter at the ground surface, D is the tunnel
diameter and n is the parameter which varies from 0.8 to 1.0, respectively for stiff
to hard clays. It is presented together with other relations in the Figure 4-5(a).
Furthermore, Atkinson and Potts (1977) proposed a relation for overconsolidated
clays and dense sands with a surface surcharge based on the results from model
tests confirmed by real observations of settlements above tunnels in sands and
clays. Another similar approach for the soft ground was presented by Clough
and Schmidt (1981). A relation between the parameter i and a depth to the
61
tunnel axis z0 for tunnels driven in clays was also obtained by O’Reilly and New
(1982). This relation was simplified by Glossop (1978) to the more practical form
iz0 = K · z0 . Both of the authors found that for the tunnels built in clays, the
parameter K can be taken as equals to 0.4 for stiff clays up to 0.7 for soft to silty
clays. These values are in a good agreement with the findings of Rankin (1988).
Furthermore, results of the centrifuge tests reported by Kimura and Mair (1981)
also confirmed that the proposed values are reliable, obtaining the value of the
parameter K equal to 0.5. Another study was performed by Arioglu (1992)
who proposed for all kinds of soils for tunnels driven with the shield heading
machine an alternative relation. The alternative empirical relation derived from
the analytical method was proposed also by Loganathan and Poulos (1998) which
somehow results in a wider trough width near the surface (see Figure 4-5(a)) in
comparison with the other relations. The last relation presented by Sugiyama
et al. (1999) is derived from the centrifuge tests and several history cases which
also includes a dependency on the tunnel diameter.
To describe subsurface deformations, Mair et al. (1993) proposed modification
of the equation introduced by Glossop (1978). Moreover, based on wide field
observations together with the results from the centrifuge tests, Mair et al. (1993)
0 0
O‘Reilly and New (1982) O‘Reilly and New (1982)
1 Mair et al. (1993)

0.1
Mair et al. (1993)
Clough and Schmidt (1981) Clough and Schmidt (1981)
Peck (1969) Moh et al. (1996)
2
0.2
3
0.3
4
5 0.4
z0/D, [−]
z/z0, [−]
6 0.5
7 0.6
8
0.7
9
0.8
10
11 0.9
12 1
0 1 2 3 4 5 6 0 0.2 0.4 0.6 0.8 1 1.2 1.4
i /D, [−] K=i/(z −z), [−]
0 0
(a) Inflection point i0 related to tunnel (b) Subsurface trough width parameter K
depth z0
Figure 4-5: Characteristic of surface and subsurface trough width for clays
62
proposed a convenient relation for the trough width parameter K for tunnels
driven in clays. Resultant displacement vectors are directed towards the point
located under the tunnel. This relation is plotted in the Figure 4-5(b) and
clearly shows that the trough width parameter decreases with the distance to
the ground surface. Another proposition to estimate the trough width parameter
for the subsurface settlements was presented by Moh et al. (1996) who extended
the relation proposed by Schmidt (1969) (see Equation 4.10).
4.2.3.2 Sands and gravels
A very limited number of studies dealing with the trough width parameter
for granular materials can be found in the literature. Available studies have
shown that the shape of settlements trough is significantly narrower than for
the cohesive materials (see Figure 4-6(a)). A relation proposed by Atkinson and
Potts (1977) for clays was also validated by these same authors for dense sands.
Whereas, for tunnels driven in loose sands without the surface surcharge an al-
ternative relation given by Atkinson and Potts (1977) can be used. O’Reilly and
New (1982) introduced another solution to calculate the distance to inflection
point i generally for shallow tunnels built in sands or gravels by simplifying the
equation of Glossop (1978). For this case the trough width parameter K should
be equal from 0.2 to 0.3 (validity range from 6 to 10 m). This relation is in
the accordance with general suggestion given by Peck (1969) and also with the
findings of Rankin (1988). Furthermore, for sands it was also suggested to use
the equation given by Arioglu (1992). More recent studies on wide database of
field observations were presented by Mair and Taylor (1997), who founded that
for the granular materials observations are generally bounded by iz0 = 0.25 · z0
and iz0 = 0.45 · z0 with the mean line iz0 = 0.35 · z0 . Moreover, an another
relation for the granular materials was also derived by Sugiyama et al. (1999).
In order to obtain the subsurface trough width parameter for tunnels driven
in silty sands, the equation proposed by Moh et al. (1996) can be used. For this
kind of soil the parameter m is recommended to be equal to 0.4. A value of
the parameter K decreasing with the distance to the ground surface similarly
to tunnels driven in cohesive soil was also confirmed by Dyer et al. (1996) who
presented data for a tunnel in loose sand overlain by firm to stiff clay layer. A
relation between the parameter K and the distance between surface and tunnel
centreline obtained from different relations/observations are presented in the
Figure 4-6(b). To examine influence of the tunnel size, depth and volume loss on
the surface and subsurface deformations for tunnels driven in the cohesionless
soils, an extensive study was executed by Marshall et al. (2012). In order to study
these aspects, a series of several centrifugal tests were performed. Based on the
relation given by Mair et al. (1993) for clays, an extension to cover granular
materials has been proposed.
63
0 0
O‘Reilly and New (1982) O‘Reilly and New (1982)
1 Moh et al. (1996)
0.1
Moh et al. (1996)
Clough and Schmidt (1981) Clough and Schmidt (1981)
Peck (1969)
2 Marshal et al. (1969)
Marshal et al. (1969) 0.2
3
0.3
4
5 0.4
z0/D, [−]
z/z0, [−]
6 0.5
7 0.6
8
0.7
9
0.8
10
11 0.9
12 1
0 1 2 3 4 5 6 0 0.2 0.4 0.6 0.8 1 1.2 1.4
i0/D, [−] K=i/(z0−z), [−]
(a) Inflection point i0 related to tunnel (b) Subsurface trough width parameter K
depth z0
Figure 4-6: Characteristic of surface and subsurface trough width for sands
4.2.3.3 Mixed conditions

In heterogeneous conditions such as layered subsoil, several authors proposed
relations for the trough width parameter. In the case of two strata Selby (1988)
based on the several numerical simulations in multilayered subsoil confirmed by
O’Reilly and New (1982) and Mair and Taylor (1997), proposed a simple equation
to calculate the distance to inflection point. It can be easily extended to the case
when the tunnel is driven in N strata. Quite often practice (e.g. by Ercelebi et al.
(2011)) is to use an average value of the distance to inflection point. However,
it omits thickness of the layers and thus it can give poor prediction.
64
Table 4.2: Settlements trough width parameter
Curve
Reference Subsurface i-value Details
type
z n
Peck (1969), Schmidt iz0 0 n = 0.8 − 1.0 respectively for stiff to
G =
(1969) R 2R hard clays
For loose sand: iz0 = 0.25 (z0 + R)

Atkinson and Potts Based on model tests and field
G For dense sand and overconsolidated caly:
(1977) observations
iz0 = 0.25 (1.5 · C + D)
Clough and Schmidt Based on field observations from the

G iz0 = 0.5 · D0.2 · z00.8
(1981) USA tunnels
For cohesive soils: Validity range for cohesive soils:

iz0 = 0.43 · z0 + 1.1 3m ≤ z0 ≤ 34m
For noncohesive soils: Validity range for noncohesive soils:
O’Reilly and New (1982) G
iz0 = 0.28 · z0 − 0.1 6m ≤ z0 ≤ 10m
iz0 = K · z0 Based on field observations from the
where K from 0.4-0.7 UK tunnels

D z0 0.88 For all kinds of soils for tunnels driven
Arioglu (1992) G iz0 = 0.9
2 D with shield heading machine
iz = K · (z0 − z)
z For subsurface settlements for clays
Mair et al. (1993) G 3 0.175 + 0.325 1 − z0
K= Based on field observations from
1 − zz0
m Based on field observations from

D z0 0.8 z0 − z Taipei
Moh et al. (1996) G 3 iz =
2 D z0 m = 0.4 for sands
m = 0.8 for silty clays
65

Loganathan and Poulos D z0 0.9
G iz0 = 1.15 From analytical solution
(1998) 2 D

D

C
β For clays: α = 1.5, β = 0.8
Sugiyama et al. (1999) G iz0 = α For sands and gravels: α = 1.0,
2 D
β = 0.7
1
b−1 b
B=
b+1
a
Celestino et al. (2000) YD iz0 = aB stiff clay: D = 0.39 zDt + 0.31
a
porus clay: D = 0.46 zDt + 0.37
b should always be < 1
iz0 Mostly: zit = 0.48 − 0.58

Jacobsz et al. (2004) J = 0.85K − 0.12
zt K = zit for Gaussian curve.
Ks∗ + (∂x∗ /∂z) (z/zt )

K∗ = For noncohesive soil
Marshall et al. (2012) mG* 3 1 − z/zt
∗ ∗int ∗slope ∗slope Based on centrifuge tests
Ks = Ks,C/D + Ks,C/D (C/D) + Ks,V 1
(Vl,t )
*
see section 4.2.3 for explanation about comparison of width through for this type curve with general studies
4.2.4 Volume loss and maximum settlement

A common practice to estimate the volume loss of a tunnel is to assume its value
based on the experience from different sites according to the similar tunnelling
technology and subsoil conditions. Mair and Taylor (1997) proposed an upper
and lower boundary of the volume loss for various construction methods and
subsoil conditions (see Table 4.3).
Table 4.3: A range of the volume loss for different construction techniques and
subsoil conditions after Mair and Taylor (1997)
Volume loss, VL [%]

Construction method Soil
Low High
Dense fine sand 0.2 1.3
Soft clay 1.0 2.0
EPB/slurry shield
Hard sandy clay 0.03 1.0
Dense sands 0.2 1.0
Open-face TBM Stiff clay 1.0 2.0
NATM London clay 0.5 1.5
In the cohesive soils it is generally assumed that the volume loss per unit
length of tunnel VL,t is equal to the volume of the settlement trough VS per
unit length. This assumption stems from that no dilation and thus no change
of volumetric strain appear in the cohesive soils. The volume loss VL is often
expressed in convenient way frequently used by engineers:
VL,t
VL = [%] (4.11)
VT
where VT is the volume of tunnel per unit length. The value of maximum set-
tlement which occurs above the tunnel centreline can be calculated assuming a
certain value of the volume loss. When using the equation given by Peck (1969)
for the circular tunnels, it takes the following form:
D2
Smax = 0.313 · VL (4.12)
iz0
In order to include the subsurface trough width parameter, above equation was
improved by Mair et al. (1993). Moreover, a maximum surface settlement for
a single tunnel was related to overburdeen pressure and surcharge by Herzog
(1985). Based on the field data of tunnels driven with the pressurized shield
machines, Arioglu (1992) correlated the volume loss VL to the stability ratio N ,
introduced by Broms and Bennermark (1967).
On the other hand, an assumption expressed by the equation 4.11 can be
wrong, especially for the cohesionless soils and stiff fissured clays which undergo
67
dilation (Rankin, 1988). Marshall et al. (2012) tackled this issue with a number
of centrifuge tests. Based on them, a non-linear relation for tunnels driven in
cohesionless soils between the volume of settlement trough and the tunnel volume
loss has been proposed.
4.2.5 Alternative approaches
There are alternative empirical approaches for those presented above. One of
such an alternative approach is to use the Artificial Neural Network (ANN) to
predict surface and subsurface deformations. The ANN is a very simple, math-
ematical imitation of a neural system of living organisms (Ochmański et al.,
2015b). It is built in the similar manner as their archetype, with a number of
nodes performing simple mathematical operations. All nodes are connected to
each other with the specific bounds which amplify or decrease signals. Such
a network is trained based on the database of observations which subsequently
can be used for prediction. This method notably depends on the number of
database entries and their quality, which characterise the phenomena to predict.
A number of studies based on the principle of neural networks applied to tun-
nelling can be found in the literature, e.g. Shi et al. (1998), Kim et al. (2001),
Neaupane and Adhikari (2006), Tsekouras et al. (2008) or Boubou et al. (2010).
Prediction of the maximum surface settlements above a tunnel built in Brazil
with the use of the conventional method is presented in the Figure 4-7(a).
An example of other approach without a theoretical background is that
presented by Dindarloo and Siami-Irdemoosa (2015). Based on the 34 case stud-
ies the authors defined a classification method in order to estimate the lower and
300 30
Measured Observed
250 Predicted 25 Lower bound
Settlement, [mm]
Upper bound
200 20
i, [m]
150 15
100 10
50 5
0 0
6000 6100 6200 6300 6400 6500 1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33 35 37 39
Chainage, [m] Case study
(a) Prediction of the maximum settlement (b) Validation of the classification method
with the modular network performed by Shi proposed by Dindarloo and Siami-Irdemoosa
et al. (1998) (2015)
Figure 4-7: Examples showing performance of the alternative approaches for

prediction of the surface settlements and distance to the inflection point
68
4.3. Analytical and semi-analytical methods
upper boundaries of possible surface subsidence. This approach was validated

using the number of 39 cases and its result is presented in the Figure 4-7(b).
4.3 Analytical and semi-analytical methods
The analytical methods for the estimation of tunnelling effects are fast and easy
tools based on the theoretical frameworks. In these methods simplified con-
stitutive relations are introduced to describe behaviour of soil. Thus, just few,
easy to obtain parameters are required. In contrast to the empirical relations,
they are characterized by a consistent framework used to interpret deformations
and stresses in the soil. Moreover, the analytical solutions can be used for the
evaluation of numerical analyses, especially when simple constitutive relations
are applied. However, these methods have several shortcomings which limits
their applicability. In general, by the lack of the possibility to include operations
needed to construct a tunnel, an assumption of an overall effect is made. This
overall effect represents a deformation pattern of the cavity, which then is used
to compute, e.g. far field ground movements and stresses in the whole medium.
It is derived from the fact that deformations in the far field have smooth char-
acteristics. Most of the methods are based on a theory of the linear elasticity
and just in few of them plasticity by means of the Mohr-Coulomb failure cri-
terion has been introduced. However, it needs to be noted that it is a significant
simplification of the mechanical behaviour of soil and thus it significantly limits
their applicability.
At the end of the presented description, all discussed methods are summar-
ized in the tabular form (see Table 4.4).
4.3.1 Ground deformations and stresses
4.3.1.1 Stochastic medium theory
The first approach used to predict the surface settlements by means of the analyt-
ical solution was presented by Litwiniszyn (1957). Author introduced a stochastic
medium theory to describe the shape of surface settlement profile in the trans-
versal direction induced by the coal mining in rock stratum. This theory was
then extended by several authors (e.g. Liu (1993), Liu et al. (1999) or Yang et al.
(2004)) and further simplified by Yang and Wang (2011), in order to describe
ground movements due to the tunnelling. This theory applied to tunnelling as-
sumes that movements near the cavity are equal to the sum of movements of
numerous infinitesimal elements corresponding to the subsoil inducted by excav-
ation.
69
4.3.1.2 Exact elasticity solutions
The exact analytical solution for a circular cavity in the elastic half-plane was
presented by Verruijt (1997). In order to solve this problem, the author used
a complex variable method introduced to the elastic medium by Muskhelishvili
and Radok (1953), together with bipolar co-ordinates suggested, e.g. by Mindlin
(1940). Similarly to the previously described methods, a medium in which the
cavity is created has been assumed to be homogeneous and to behave as linear-
elastic. Furthermore, two boundary conditions were assumed, the first one says
that ground surface is stress free. The second boundary condition defines that
tunnel walls undergo certain prescribed deformations due to the ground loss.
The analytical solution of this problem leads to both, displacement and stress
fields in the medium surrounding the tunnel.
In the modern tunnelling methods, especially when the tunnel heading ma-
chines are used, the cavity can be supported by a pressurized medium (see
Chapter 2). For this case, a theoretical solution in the plane-strain condition
can be obtained applying prescribed boundary conditions to tunnel walls. In the
paper of Verruijt (1998), a solution for the case with prescribed uniform radial
stress applied to the boundary of the cavity instead of deformation is presented.
A more recent study has been carried out by Verruijt and Booker (2000),
who presented a further extension of this exact solution. In this paper the
authors solved the Mindlin‘s problem which deals with the gradient distribution
of stress field in an homogeneous medium induced by load resulting from the
self-weight of soil. The Mindlin‘s issue refers just to the case of shallow circular
tunnel wherein close proximity of a ground surface has significant influence on the
stress distribution in soil. For deep tunnels the solution is much simpler because
horizontal and vertical stresses can be considered as equal. It should be noted
that Mindlin (1940) gave just a partial solution in the form of displacement field
which then was supplemented by Verruijt and Booker (2000), giving formulations
for the stress field.
A last improvement, which can be found in the literature (see Verruijt and
Strack (2008)), introduces an effect of weight loss due to the material extraction.
Load inducted by the self-weight of structural elements of a tunnel does not
compensate unloading due to the soil excavation. To obtain an equilibrium, the
forces directed upward are generated. This phenomena is named the buoyancy
effect, which in general, is evident at the tunnel invert.
All relations corresponding to the highly complex closed-form analytical solu-
tions for the above described problems for both displacement and stress fields
are not presented here and can be found in the mentioned references. Moreover,
in order to improve their usability, small packages freely available in the internet
were introduced by Verruijt (2015).
70
4.3.1.3 Approximate elasticity solution

In order to simplify rather complex closed-form analytical solutions, several ap-
proximate approaches have been introduced. A rapid method to estimate de-
formations in the subsoil due to the material extraction at the shallow depth has
been proposed by Sagaseta (1987). Due to the material extraction, surrounding
medium contracts partially filling empty space which in tunnelling is called the
ground loss. In the proposed solution it is assumed that a cavity is located in
the isotropic, homogeneous and incompressible elastic medium. A deformation
pattern of the cavity wall can be identified as a uniform radial contraction.
Verruijt and Booker (1996) presented a generalization of Sagaseta (1987)
solution which includes the compressibility of soil and an additional deformation
pattern. Soil behaviour is still assumed as the linear-elastic isotropic medium,
however, a Poisson‘s ratio is included as an input parameter. In this solution
final shape of the deformed cavity is a result of the radial contraction induced
immediately after tunnel construction (undrained conditions) and the long-term
ovalization of the lining (see Figure 4-8).
(0,-z0) original shape

x
deformed shape
z
r2
ground level
(x,z)
z0 r1 εR δR
= +
(0,z0)
δR
deformed shape = (a) + (b)
Figure 4-8: Short and long-term deformations of tunnel lining after Verruijt
and Booker (1996)
The presented closed form solution by Verruijt and Booker (1996) was then
extended by Loganathan and Poulos (1998) who tackled the problem of a realistic
ground loss definition induced in the short-term manner (undrained conditions).
An assumption that the radial ground loss is uniform was pointed out to be wrong
by Rowe and Kack (1983). The authors found that it is non-uniform, oval-shaped
due to the non-circular 2D gap around the tunnel. It can be caused by shield
pitching to avoid a diving tendency, a vertical movement of lining after shield
71
passage and a possible soil plastification at the tunnel face. Loganathan and
Poulos (1998) modified a definition of the equivalent undrained ground loss to
incorporate these oval-shaped radial movements around the tunnel (see Figure 4-
9) by introduction of the semi-empirical gap parameter. This parameter was
firstly proposed by Lo and Rowe (1982) and further adopted by other researchers,
e.g. Rowe and Kack (1983). Lee et al. (1992) developed a simple procedure for
the direct estimation of the gap parameter g for tunnels driven in clayey soil.
Moreover, an alternative approach firstly proposed by Chou and Bobet (2002)
can also be used. Its principle is to perform the back analysis from the measured
or estimated ground loss.
x
ε0,0 = 100% ε0 ε(R+H cot β),0 = 25% ε0
ground level εx,z = 0
x
z0
wedge failure
boundary inclinometer
(to measure lateral
actual ground ground movements)
loss, εx,z
εx,z = 50% εx,0

R
tunnel
average ground
loss, ε0
Figure 4-9: Pattern of ground deformations and additional boundary condi-

tions applied by Loganathan and Poulos (1998)
Another approach to obtain the approximate analytical solution comes from

the general series of a stress function in the polar coordinates. Bobet (2001)
expanded the solution presented by Einstein and Schwartz (1979) for deep tun-
nels in dry ground. To obtain a consistent framework for three various cases,
following assumptions have been made:
• circular cross-section R
• plane strain conditions
• frictionless interface between subsoil and support
• ratio depth to radius z0 /R > 1.5
• homogeneous and isotropic subsoil conditions
72
• poroelastic behaviour of subsoil and elastic behaviour of lining

• relatively small lining thickness d R
• undrained conditions (no dissipation of excess pore pressure)
Bobet (2001) addressed this solution for three cases starting from the shallow
tunnel in dry ground, in saturated ground and last in saturated ground with the
air support.
Another elastic solution used to estimate ground deformations imposed by
tunnelling process was proposed by Park (2004). Similar to the studies performed
by Bobet (2001), it was obtained by using general series of a stress function in the
polar coordinates as proposed by Timoshenko and Goodier (1970). Park (2004)
studied both cases, for shallow and deep tunnels together with a different deform-
ation modes included specific boundary conditions at the cavity wall. Moreover,
the undrained short-term conditions with at rest earth pressure coefficient equal
to K0 = 1 and the Poisson‘s ratio νu = 0.5 were adopted.
Park (2005) also presented the studies which extend the analytical solution
of Verruijt and Booker (1996) by redefinition of the ground loss. In this solution,
the long-term ovalization of the tunnel lining was neglected and four different
boundary conditions were applied. These boundary conditions are the same as
in the studies performed by Park (2004).
Taking use of the solution presented by Verruijt and Booker (1996) with equi-
valent ground loss introduced by Loganathan and Poulos (1998), empirical width
trough parameter K was introduced by Yang et al. (2011). Authors modified
definition of ground loss assuming that Gaussian distribution curve characterized
by the parameter K (see Section 4.2.3) is used to describe surface subsidence.
Another aspect, which generally is omitted in the analytical solutions, is the
disturbance of subsoil material during the construction process. Construction
of tunnels leads to the change in the stress state, void ratio, water content, etc.
This problem has been studied by many researchers, however, only some authors
(Zhu et al., 2014) investigated its influence by means of the analytical method
applied to predict ground deformations induced by shield tunnelling.
The recent studies carried out by Franza and Marshall (2015) take use of
the approximate solution Verruijt and Booker (1996) and modifies it in order to
include the non-linear behaviour and volumetric strains of soil. The basic elastic
solution was modified including the following assumptions:
• solution without volumetric strain by assuming ν = 0.5
• ovalization δ equals to radial uniform contraction in order to replicate
observed experimental deformation for elastic medium
• correction factor ξ which includes non-linear behaviour and volumetric
strains
So far, all the presented solutions are used to obtain the displacement field
in a system composed of a one homogeneous layer. Reason for this is that great
73
difficulties arise with the introduction of layered subsoil. A common solution to

handle this problem is to introduce one homogeneous layer with the weighted
average parameters based on e.g. studies of Poulos (1980). However, the dis-
placement controlled boundary integral method, applied for the prediction of
ground deformations in homogeneous and non-homogeneous subsoil due to the
tunnelling process proposed by Zhang et al. (2011) can be found in the literature.
In this solution, the author used the modified elastic layered half-space model
together with a method which includes non-homogeneity of subsoil. As in the
previous methods, solution depends on the applied ground deformation pattern
of a cavity. In the Zhang et al. (2011) solution, the ovalization together with
radial uniform contraction is applied as boundary conditions.
4.3.1.4 Plastic solutions

An important aspect, so far not discussed, is the effect of the soil yielding on
the subsoil deformations. It is a key limitation of all the previously introduced
methods which in certain conditions can significantly change the induced de-
formations.
An extension of Verruijt and Booker (1996) solution which includes plastic
behaviour of material has been given by González and Sagaseta (2001). It has
been introduced based on the results from numerical analyses carried out in
the plane strain conditions using the CRISP software. Two cases have been
considered: open face tunnelling simulated by pressure reduction to zero at the
wall and ideal pressurized tunnelling with grout backfilling. Medium in which
cavity is created has been assumed to behave as linear elastic perfectly plastic.
A goal of these analyses was to isolate the influence of plastic strain on the
ovalization of circular cavity. Thus, as the results of the analyses, the relations
between ovalization/radial contraction and the normalized pressure at the wall
for different values of the overload factor correspondent to the influence of shear
strength have been obtained. Moving out from the local deformations to the far
field movements, an extended solution which includes ovalization introduced by
Verruijt and Booker (1996) has been used to derive general expressions.
Yu and Rowe (1999) studied the plastic behaviour of soil which contracts
around the deep circular and spherical tunnels and proposed closed-form solu-
tions for drained and undrained conditions. In the drained conditions the linear
elastic perfectly plastic model with the Mohr-Coulomb failure surface and the
non-associated flow has been used, while for the undrained conditions an original
Cam-Clay model has been applied.
Furthermore, in order to relate displacements to the parameter describing
the cavity convergence, analyses performed by Yu and Rowe (1999) have been
adapted by Pinto and Whittle (2014).
74
Table 4.4: Summary of the analytical methods for estimation of the ground
deformations and stresses
Solution Def. pattern

References GS Comp. Plast. Results Other
Exac. Aprox. URC O VT
Sagaseta (1987) 3 3 U, S
Mair and Taylor

3 3 3 U
(1993)
Verruijt and Booker

3 3 3 3 U, S
(1996)
Verruijt (1997) 3 3 3 U, S
Verruijt (1998) 3 U,S URS
Loganathan and
3 3 3 3 3 U
Poulos (1998)
Verruijt and Booker

3 3 3 U
(2000)
Bobet (2001) 3 3 3 3 U
González and Sagaseta

3 3 3 3 3 3 U
(2001)
Park (2004) 3 3 3 3 3 U
Park (2005) 3 3 3 3 U
Verruijt and Strack

3 3 3 U, S BU
(2008)
Yang et al. (2011) 3 3 3 3 3 U K
Zhang et al. (2011) 3 3 3 3 U, S LS
Zymnis et al. (2013) 3 3 3 3 3 U, S Anis.
Zhu et al. (2014) 3 3 U Dist.
Franza and Marshall

3 3 3 3 3 U
(2015)
URC – uniform radial contraction S – stresses

O – ovalization URS – uniform radial stresses
VT – vertical translation BU – buoyancy effect
GS – geostatic stress distribution K – empir. width trough para.
Compr. – soil compressibility, ν 6= 0.5 LS – layered stratigraphy
Plast. – plasticity Anis. – anisotropy
U – displacements Dist. – soil disturbance
75
When the plastic zone does not propagate to the ground surface (i.e. in the case
of deep tunnels), a plastic convergence strain can be easily related to the equival-
ent elastic solution which has been done by Pinto and Whittle (2014). However,
there is no analytical solution for the case when the plastic zone propagates up
to the ground surface. To solve this issue, Pinto and Whittle (2014) proposed to
introduce an approximation given by González and Sagaseta (2001). It is based
on the observation that displacements in the plastic zone can be expressed by
a function of 1/z0 β , where zo is the tunnel depth and β is the exponent for the
volumetric compressibility.
4.3.2 Internal forces in the lining

One of the first analytical solution for the estimation of internal forces in the
lining is that proposed by Morgan (1961). In this solution equations relate the
stresses in the lining to the lining stiffness and also to the elastic properties of
ground. Another solution which can be found in the literature is that proposed
by Wood (1975). This author linked the loading acting on a circular tunnel
to the oval shape of cavity deformation. In this solution, shear forces between
the lining and surrounding ground are explicitly introduced, while the bending
moments are related to the introduced stiffness factor. An analytical solution
for the internal forces in circular tunnel was also derived by Bouma (1993). In
this solution it was assumed that the radial and tangential stresses of the soil are
acting on the ring-shaped beam. The soil stiffness was not introduced which in
fact has significant influence on the induced stresses in the lining. The stresses
depend on the relative stiffness between the tunnel lining and the surrounding soil
(Bakker et al., 2003). To solve this issue, the so-called subgrade reaction model
can be used. Several numerical solutions which include the reaction between
the lining and surrounding soil have been proposed, e.g. by Duddeck (1980,
1984, 1991). Sample results obtained by Duddeck (1991) are presented in the
Figure 4-10. The effect of the relative stiffness on the internal forces in the
lining is included be means of the reduction factors applied to the solution which
combines initial soil stresses with an analytical model proposed by (Bouma,
1993). These reduction factors are expressed as:
Eg D 3 Eg D
α= , β= (4.13)
8Eb Ib 2Eb d
where Eg and Eb are the Young‘s moduli, respectively, for soil and concrete
lining, while D is the tunnel diameter. The thickness of the tunnel lining is
designated as d.
76
σt ≠ 0 Mf = γHRmf
σt ≠ 0 Nf = γHRnf
0.14
1
H/R = ∞
H/R = ∞ 0.12
Mf
0.8 Nf
8 8 H
132 % H 0.1 Ek
4
114 % 900 4 900
0.6 100 % 0.08
mf [−]
nf [−]
R EI 134 % R EI
0.06
0.4 110 %
K0 = 0.5
100 % K0 = 0.5
0.04
k r = Es /R 88 % k r = Es /R
0.2
Ek
0.02
0 0
1 10 100 1000 0.1 1 10 100 1000
E R3 Ek R3
α= k [−] α= [−]
EI EI
(a) (b)
Figure 4-10: Duddeck model for tunnel analysis expressed as a function of the
subgrade reaction ratio (Bakker et al., 2003)
The above solution was then simplified by Vrijling (1998) to a more practical
form, especially convenient for a pre-design. For the circumferential normal
forces N and bending moments M , the author proposed following expressions:
σv + σh σv − σh
N = −C0N r + C2N r · cos (2θ) (4.14)
2 2
σv − σh 2
M = −C M r · cos (2θ) (4.15)
2
where C0N , C2N and C M are the factors calculated from:
2 2 (1 + 0.064α) 4
C0N = , C2N = , CM = (4.16)
2 + 1.54β 2 + 0.171α 4 + 0.342α
However, it needs to be note that the above presented subgrade reaction model
has several shortcomings. The subsoil stratification, the construction phases and
the volume loss are not included.
It needs to be noted that several novel methods have been already introduced
such as by Lee et al. (2001), who proposed a solution for the internal forces in
the jointed segmental precast circular tunnel lining.
Above methods refer just to the situation when internal forces are generated
by the geostatic loads acting on the lining extrados. It is important to note
that except the geostatic loads several other components connected with used
technology act on the lining, such as thrust jacking loads, backup trailer loads,
grouting loads etc.
77
4.4 Numerical methods

Third group of tools used to analyse the effects of tunnelling processes are various
numerical tools. These tools represent the most complete solutions for simula-
tion of tunnelling. They give possibility to include most of the complexity of
technology without introducing subjective assumptions. According to the used
approach they can be divided into three groups (sorted from the most to the less
popular):
• Finite Element Method (FEM) and Finite Difference Method (FDM)
• Boundary Element Method (BEM)
• Discrete Element Method (DEM)
Obviously, there are several other methods but their application is limited to very
specific problems which mostly are not connected with geotechnical engineering.
In fact, a numerical method used to solve a problem is in most of the cases
predetermined by the user‘s choice of the software. The various packages give to
the user certain amount of features mostly common for all of them.
4.4.1 Finite Element and Difference Methods

Simulation of tunnelling process using the FEM and FDM are the most popular
ones. Their popularity is derived from a user-friendly interface of the modern
packages, a wide range of features giving possibility to study both the ultimate
and serviceability limit states, and also a relatively low computational effort
needed to obtain results. The FEM is a numerical technique in which the bound-
ary value problems for the partial differential equations are solved by finding the
approximate solutions. The Finite Difference Method (FDM) is a method which
takes use of the difference equations in order to approximate solution for the
differential equations. In the literature there are multitude of examples showing
application of both methods to simulate tunnelling process in both two- and
three-dimensional space.
Simulation of conventional tunnelling process has been carried out, e.g. by
Yeo et al. (2008), Mašín (2009), Svoboda and Mašín (2010), Ninić et al. (2011),
Prazeres et al. (2012), Ochmański and Bzówka (2012), Ng et al. (2015) etc.
The modelling process of this technology is characterized by a relatively low dif-
ficulty level. A complexity mostly arises from the geometry definition, especially
in the three-dimensional space. The simulation process is performed by means of
the subsequent discrete steps in which specific regions are activated/deactivated.
Excavation is simulated by the deactivation of specific finite elements, while in-
stallation of all components forming the supporting system is done by activation
of the finite elements. Nevertheless, the accurate simulation, e.g. of the install-
ation process of jet-grouted canopy can still lead to a great difficulties in the
model definition.
78
4.4. Numerical methods
On the other hand, simulation of tunnelling with the mechanized heading

machine, which in fact is more difficult to perform, has been carried out, e.g. by
Kasper and Meschke (2004, 2006), Nagel (2009), Lambrughi et al. (2012), Do
et al. (2013), Oh and Ziegler (2014), Comodromos et al. (2014), Ninić (2015),
Fargnoli (2015), etc. For the simulation of tunnelling with the mechanized head-
ing machine, two most complete computational models are herein presented. The
first model refers to the definition of simulation introduced in the commercial
code PLAXIS 3DTM , while the second model, the Enhanced Kratos for Advanced
Tunnelling Engineering (EKATE) is constantly developed by the Collaborative
Research Center "Interaction Modeling in Mechanized Tunneling" (SFB 837) at
Ruhr University Bochum in Germany, funded by the German Research Founda-
tion. Definition of the computational model for both cases are presented in the
Figure 4-11.
TBM advance
TBM advance
(a) PLAXIS 3DTM (b) EKATE
Figure 4-11: Definition of computational models for mechanized tunnelling

after Ninić (2015)
The approach introduced in the Plaxis 3DTM (Brinkgreve et al., 2010) sim-
ulates construction process in a very simple manner as a sequence of discrete
steps. Elements which represent soil intended for excavation are deactivated in
a specific step and the conical shield is applied as boundary conditions with
prescribed displacements, gradually increased towards to the back of the shield.
The face pressure is applied on the current tunnel face and respectively updated
according to the deactivation of finite elements. After the shield passage, the
backfill injection with the grout is simulated by applying peripherally pressure
on soil for the length equal to excavation step, together with activation of specific
finite elements representing thin layer of grout. In this step lining is activated in
the same manner as the grout elements.
The EKATE is a process-orientated three-dimensional FEM model for the
simulation of mechanized tunnelling in fully and partially saturated soil intro-
duced by Kasper and Meschke (2004). Main difference between the PLAXIS
79
3DTM and the EKATE models is definition of the shield and the grout back-
filling. The EKATE defines shield as a deformable structural part interacting
with the surrounding subsoil by applied a contact mechanism. It is pushed for-
ward by elongation of the 1D beam elements representing the thrust cylinders,
while pressure for the grout backfilling is applied on the transversal side of fi-
nite elements looking from the shield direction. Moreover, the backup trailer is
introduced in the model by means of the concentrated forces applied in specific
nodes of lining and updated according to the face position. Main features of the
EKATE are summarized in the following list (Kasper and Meschke, 2004; Nagel,
2009; Ninić, 2015):
• face support by slurry, earth paste and air (three phases constitutive frame-
work for subsoil material)
• simulating of the TBM trajectory
• infiltration of grout with time respect
• lining segmentation and connections between single segments
• pressurized fluid film within the steering gap (grout and bentonite flow)
A comparison between these two models for mechanized tunnelling showing

the role of complexity on the ground deformations has been carried out by Ninić
(2015).
4.4.2 Boundary Element Methods

The Boundary Element Method (BEM) is a numerical technique used to solve
boundary value problems expressed in the term of the Partial Differential Equa-
tion (PDE). This method is derived from the discretized integral equation which
constitutes a mathematical equivalent of the original PDE. It is composed of the
two main integral equations, one for the definition of a domain boundary and
the second equation which relates a solution obtained at the boundary to that
in the domain.
Few examples of the Boundary Element Method (BEM) applied to tunnelling
can be found in the literature. Most of them show analyses performed in the bi-
dimensional space. First application presented by Pöttler and Swoboda (1986)
concerns on the model in bi-dimensional space explaining a way to couple beam
elements and boundary elements. Swoboda et al. (1987) performed rheological
analysis of tunnel excavation using coupled FEM and BEM. Similar study has
been carried out by Varadarajan et al. (1987), who performed elasto-plastic
analysis using FEM and coupled FEM-BEM, while analysis for the jointed rocks
has been done by Xiao et al. (1994). The non-linearity has been tackled in the
paper of Venturini and Brebbia (1984), while, Prazeres et al. (2012) presented a
new approach to simulated conventional tunnelling with the BEM in the three-
dimensional space.
80
4.4. Numerical methods
4.4.3 Discrete Element Methods
A numerical method used to compute motion of a large number of small particles

is called the Discrete Element Method (DEM) or the Distinct Element Method.
In the analysis of soil mechanics problems this method is used to simulate the
mechanical behaviour of subsoil material as interaction between their particles.
Considering material as not continuum but as individual very small particles, a
number of mathematical equations describing their motion and interaction in-
creases enormously. Thus the computational effort needed to solve a problem
rapidly increases reducing application just to local, mostly the bi-dimensional
problems. However, development of new technologies to increase computer per-
formance, e.g. Graphics Processing Units (GPUs), gives a very promising future.
To illustrate it, currently, simulation of a one minute motion of 100,000 particles
carried out just with Central Processing Unit (CPU) takes one week, while the
simulation with the use of GPU takes only four hours (Radeke et al., 2010).
Simulations performed with the use of the DEM approach are reported, e.g.
by Rho et al. (2008); Wu and Guan (2010); Mongillo and Alsaleh (2011); He
et al. (2012); Kikkawa et al. (2013), who studied various problems from the
trapdoor problem up to the face stability. Mongillo and Alsaleh (2011) carried
out simulations in a relatively big scale, reproducing performance of soft ground
excavation with the cutterhead. Purpose of these studies was to perform com-
parison between two common types of cutterheads with a different opening ratio
and arrangement of cutters. For this purpose, the authors built the DEM model
which consisted of 400,000 particles with a diameter of 70 mm (see Figure 4-12).
Figure 4-12: Simulation of a excavation with cutterhead by means of DEM

after Mongillo and Alsaleh (2011)
81
4.5 The adopted tool

In order to study technological effects, the FEM commercial code ABAQUSTM
was selected. This code gives to the user wide possibilities to solve various prob-
lems, therefore it has been frequently used in the geotechnical engineering. Each
aspect of the simulation, starting from the model definition through solving pro-
cess, up to the post processing can be very well controlled. Another important
feature of ABAQUSTM code is that it gives possibility to interact with the user
interface by means of the scripts written in the PythonTM programming lan-
guage. It is essential in performing a parametric analysis. Moreover, it can
take advantage from the multi-core processors and GPUs in order to accelerate
computations. The software works under 32 and 64-bits Linux and Windows
environment. Furthermore, it is available on the supercomputer of the ACK
Cyfronet at the AGH University of Science and Technology called Zeus GPGPU
(kdm.cyfronet.pl, 2015), which is a part of Polish Grid Infrastructure PL-GRID
and has been used to carry out some of the computations presented in this work.
82
Chapter 5
Tunnelling with jet-grouted

canopy
5.1 Introduction
In this Chapter, the case study of a tunnel built with the use of the jet-grouted
canopy for the high speed railway line in the centre of Italy is presented. Techno-
logy used to built this tunnel is often referred as the Analysis of the Controlled
Deformation in Rock and Soil (ADECO-RS). The presented description shows
geometric details of the mentioned tunnel, construction methodology, a time
sequence of all works and subsoil characteristics. The purpose of the presen-
ted history case is just to give an inspiration of the geometry and construction
methodology for further analyses. It is dictated by the lack of the results from
the laboratory tests of encountered subsoil, thus faithful reproduction of the
presented case history is not possible.
In the main part of this Chapter, two advanced computational models are in-
troduced by means of the FEM. The first one is created in the three-dimensional
space, while the second one takes use of the bi-dimensional plane strain condi-
tions. The geometrical characterisation of the tunnel, time-dependent mechan-
ical behaviour of both natural and man-made materials, construction sequence
together with a time schedule and several other aspects have been included in
both models in a very detailed manner. The bi-dimensional model represents
the commonly used engineering approach showing its capabilities and limitations
with regard to the three-dimensional equivalent. Within this Chapter, valida-
tion of the presented models has been performed for three different constitutive
models used to simulate the mechanical behaviour of the subsoil material. Af-
terwards, the validated model is used to demonstrate the effects of different
technological processes on the surrounding space. It confirms the experimental
evidences and shows multiple secondary effects. Moreover, mechanical analysis
of the induced mechanisms creates a link between causes and effects.
83
CHAPTER 5. Tunnelling with jet-grouted canopy
5.2 Description of the GNF2 tunnel
Currently in Italy there are eight “High Velocity" railway lines under operational
use which form two main corridors. The former one connects the city of Turin
with Salerno via Milano, Bologna, Firenze, Roma and Napoli, forming North-
South connection. The latter one is still under construction and in the future
will connect Milano with Venezia through Verona (www.wikipedia.org, 2015).
This network is presented in the Figure 5-1. Most of the lines are designed for
Figure 5-1: Network of “High Velocity" railway lines in Italy modified after
www.wikipedia.org (2015)
84
5.2. Description of the GNF2 tunnel
the top speed of 300 km/h, which transported only in the year 2014 more than
42 million people (www.fsnews.it, 2015).
A line between the city of Bologna and Firenze was designed to go through
a small city in the northern suburbs of Firenze, named Sesto Fiorentino. Part
of the line was constructed in a tunnel perpendicularly crossing Fratelli Rosselli
and Antonio Gramsci street, as it is shown in the Figure 5-2. Due to the low
number of passing cars through the former one, the northern part of the tunnel
was constructed in the cut and cover technology. In the case of Antonio Gramsci
street, it was necessary to keep its serviceability and maintain existing buildings
located in the vicinity to this street. To fulfil this requirement, it was decided
to construct the tunnel (later refereed as GNF2) using a very popular in those
times in Italy the ADECO-RS technology, already introduced in the Chapter
2. Description of the construction process, geometry, technological sequence,
subsoil conditions and site measurements are taken from the literature presented
by Croce et al. (2004) and Russo and Modoni (2006).
via
Fra
tel
liR
os
selli
via
An
to
nio
Gr
am
sc
i
GNF2 TUNNEL
C&C SECTIONS
ROADS
Figure 5-2: View of the part of Sesto Fiorentino city nearby the GNF2 tunnel
modified after www.google.com (2015)
85
A site investigation in the vicinity of the considered part of the line has been
carried out by means of the 30 m deep continuous rotary boring. As a result,
a sequence of heterogeneous alluvial layers has been identified. They can be
broadly divided into two main strata, going from the ground surface gravelly soil
and silty soil. The first stratum has a thickness of about 8 m and is composed of
the angular gravel with a fraction of sand (about 25%) and a finer material (from
18 to 40%). To determine a permeability coefficient of soil, the constant head
tests have been carried out. As a result, its value has been estimated to be in the
range from 1e−6 to 1e−4 m/s. Moreover, from the Standard Penetration Tests
(SPTs), the angle of internal friction has been identified to vary from 38◦ to 40◦ .
The second stratum is composed of the clayey and sandy silts of the alluvial and
lacustrine deposits. It is characterized by a very high consistency with Ic ∼ = 1.
The permeability of this layer has been identified using the same tests as for the
overlaid stratum. A value of the permeability coefficient (k) varies from 1e−9 to
1e−8 m/s.
This very short part of the tunnel, having a length of about 50 m, running
below the existing road and the masonry building connects two cut and cover sec-
tions (see Figure 5-3). The tunnel cover (C) is very low and varies from 5 to 7 m.
Due to the subsoil characterization and the tunnel length, it was designed to be
excavated under the provisional support of the jet-grouted canopies. Each can-
opy forms a half frustum of cone made from the sub-horizontal slightly diverged
jet-grouting columns. This complex geometrical shape is dictated by a need of
a free space necessary to create a consecutive canopy. To form the continuous
structure of each canopy, 71 columns reinforced with steel tubes, having an ap-
proximate diameter of 60 cm and a length of 13 m were needed, as presented in
the Figure 5-4. All columns were partially overlapped with the distance between
the axes equal to 0.5 m and were made in the technology of the single fluid
jet-grouting system. For each canopy, the injection had been started from the
lower part of the pillars going up to the tunnel crown, with a sequence specified
as “fresh in hard". It means that each column was formed after the adjacent one
had undergone specified degree of hydration (Croce et al., 2014). The tunnel
has a multi-centred cross section, about 15 m wide and 11 m heigh. The tunnel
along the longitudinal section has been divided into seven spans about 6.4 m
long, which determines the overlap length of consecutive canopies. Thus, each
span was supported at least by the two concentric systems of the jet-grouting
columns. Excavation was performed on the whole area of the face with an ad-
vance length of 1 m. The stability of the tunnel face has been provided by the 99
fibreglass tubes drilled on six concentric circles. Moreover, each of the fibreglass
tube had a length of 24 m and a circular section with a diameter of 5 cm, and
was connected with the surrounding soil by the grout injection at a pressure of
0.5 MPa. The fibreglass tubes are characterized by the Young‘s modulus equal
to 12 GPa and the tensile resistance equal to 500 MPa. This set of anchors has
86
msci ra
Via Antonio G
(a)
(a) Plan view of the tunnel with cut and cover sections
(b) v.Gramsci
11.00
11.0 6.40 6.25

6.40
50.0
49.05
50.0
(b) General longitudinal section of the tunnel
Figure 5-3: General location and geometry of the studied tunnel after Russo
and Modoni (2006)
been installed at the beginning of each span. Immediately after the excavation of
each meter of soil, a secondary lining has been placed on the inner surface of the
excavated cavity except the tunnel face and floor. This supporting system was
combined from two bended IPN200 steel profiles covered with sprayed concrete.
The distance between these profiles was equal to 0.75 m, while sprayed concrete
had a thickness of 30 cm. Finally, at some meters distance from the excavating
front, the final support from the heavy reinforced cast in-situ concrete has been
made. In order to create an uniform cross-section along the tunnel axis its thick-
ness varied from 0.55 to 1.10 m due to the shape irregularity of the jet-grouting
structures. Moreover, since the water table was located below the bottom of the
tunnel, sealing of the front was not necessary.
87
Jet grouting canopy

Jet grouted canopy
Building
Building
Reinforced concrete
Fibreglass tubes
Steel ribs + shotcrete
(a) Longitudinal section with location of a cross-section
Steel ribs
Steel ribs++shotcrete
shotcrete
Jet grouted
Jet grouting canopy
canopy
Concretelining
Concrete lining
Fibreglass
Fibreglass tubes
tubes
(b) Cross-section
Figure 5-4: Detailed geometry with construction sequence of GNF2 tunnel

(Russo and Modoni, 2006)
88
As can be seen from the Figure 5-3, the tunnel along the axis has been
divided into the six spans, while the construction sequence for the generic span
is presented in the Figure 5-4. There were two construction processes carried out
before excavation, the first one was the installation of the face reinforcement by
means of the fiberglass tubes, and the second one was the installation of canopy
made of the sub-horizontal jet-grouting columns. These two measures allowed
to carry out full-face excavation without loosing the face stability. Subsequently,
the excavation was performed in the steps of 1 m, and the installation of the
secondary support composed from the steel elements and sprayed concrete has
been carried out after each step. The last structural element is the final lining
which has been installed in some distance from the tunnel face, estimated to be
equal to the length of the one span. This final support system was installed in
two phases. Firstly, the bottom slab was formed and then pillars and crown were
installed.
The construction schedule, roughly presented in the Figure 5-5, distinguishes
3 phases: creation of a crown from the jet-grouted columns, creation of the
jet-grouting columns forming pillars and excavation phase. From the presented
schedule it can be clearly seen that the time required to construct first span is
much higher compared to the remaining ones. Especially for the last spans, it
can be seen that each construction phases last only few days. This change of the
productivity rate is connected with the improvements of construction process.
The excavation was carried out together with a short time break after finishing
injection for the last column. Thus, material of columns is not fully harden. The
construction of the GNF2 tunnel took around 6 months. It was started at the
end of January and finished at the end of June 2002. It was possible to finish
the construction sooner, however, some delays were encountered at the site.
Figure 5-5: Construction schedule for the GNF2 tunnel (Russo and Modoni,
2006)
89
In order to control the construction process, an area of interest was mon-

itored by several instruments. The monitoring system consisted of the bench-
mark points, extensometers, liquid level gauges, clinometers, inclinometer and
piezometers. Deformation of the ground surface has been measured by means
of the precise optical topographic measurements of benchmark points. 22 points
were installed in a grid covering the interested area as it is shown in the Figure 5-
6. This grid was arranged in such a way that data can be interpreted in the three
longitudinal sections, respectively for the tunnel axis and both of the pillars. In
order to obtain complete view of the ground deformations, two multipoint ex-
tensometers and one inclinometer were installed along the instrumented section.
These instruments have been used to record the subsurface ground deformations,
while five clinometers were used to measure the change of slope during the con-
struction process. Finally, the change of pore pressure distribution was recorded
by means of the two Casagrande piezometers. They were installed at the instru-
mented section at two different depths, respectively 4.5 m and 14.5 m below the
ground surface.
section
d
excavation
d va
section
ire nci 30
cti ng
on
43
Instrumented
32 57
Instrumented
42
SEZIONE S
41
41
29 37
33 C3
56
28
28
36
36
34
C2
.26
40
38
+1
55 C4
82
27 35
35 S2
S2
i
sc
39
C1
39
am
Gr
P2
io
ton
P1
An
S1
Via
S1
C5
Benchmark point Extensometer
Clinometer Piezometer
Figure 5-6: Instrumentation plan used to monitor construction process

of the GNF2 tunnel modified after Russo and Modoni (2006)
90
5.3. Case study
5.3 Case study

5.3.1 Geometry
As presented in the reference case, the tunnel alignment is horizontal and per-
fectly straight. Depth to the tunnel springline (Dsl ) is equal to 14.5 m, as presen-
ted in the Figure 5-4. Due to the lack of the laboratory tests of encountered soil
and to exclude influence of the complex subsoil conditions such as stratification,
ground water flow, etc., it was assumed that the tunnel will be driven in a one
layer of the Hochstetten sand (von Wolffersdorff, 1996). In the presented model
existing structures and infrastructure were not included.
5.3.2 Computational models

Two computational models have been defined in the ABAQUS finite element
code, respectively in the three- and bi-dimensional space. In order to reduce the
computational effort, both of the them take use of the symmetry.
In order to limit the effects of boundary conditions on the results for the three-
dimensional model, the following dimensions of the soil block have been adopted:
length (Ls ) equal to 180 m, width (Ws ) equal to 80 m and depth (Ds ) equal to
80 m. It allows to obtain the accurate results at least at the intermediate portion
of model. The length of the soil block has been adjusted in order to accommodate
15 spans. The number of the spans has been increased in comparison with the
real case. Moreover, presence of the diaphragm walls at each end of the tunnel has
been omitted. Presented conditions meet the requirements of Gunn (1993), who
suggested that the distance from the springline to the bottom of model should
be > 2z0 , and the transversal distance from the axis to the side of the block
should be higher than the triple depth to the axis (z0 ). Obviously, the distances
to boundaries depend on the used constitutive law describing the mechanical
behaviour of subsoil. For the model which can include the initial stiffness non-
linearity in the small-strain range, deformations induced by the tunnelling will
concentrate near the opening and the subsidence profile will be much narrower
in comparison with that obtained for the model which is not able to include this
feature.
The presented geometry of the soil block was discretized with the use of
4-node tetrahedral, fully integrated elements designated as C3D4. A number of
elements needed to cover the whole soil block is equal to 484 thousands refined
in the region of the middle span and coarser near the boundaries. Due to the
used constitutive model to simulate behaviour of the grained material constitut-
ing subsoil as a compressible material with dilatant flow, effects of shear and
volumetric locking were eliminated. Furthermore, taking the benefits from the
fact that the ground water table was not included, normal stress-displacement
analysis has been carried out at each step of the simulation. Thus, the number of
91
Degrees of Freedom (DOF) for each finite element has been decreased together
with the required computational effort. The FEM mesh together with applied
boundary conditions is presented in the Figure 5-7.
Section for 2D model
14.5 m
80 m
3
4
2
180 m
Z
80 m 1 Y
X
1 bottom surface: Uz = 0; U Rx = 0; U Ry =0
2 symmetry surface: Ux = 0; U Ry = 0; U Rz =0
3 k to symmetry surface: Ux = 0; U Ry = 0; U Rz =0
4 front surface: Uy = 0; U Rx = 0; U Rz =0
5 k to front surface: Uy = 0; U Rx = 0; U Rz =0
Figure 5-7: Three-dimensional FEM discretization of soil block with applied

boundary conditions
The 2D simulation of the presented tunnel has been performed in the plain
strain conditions. The sequence of operations has been simulated in the interme-
diate cross-section marked with the green lines in the Figure 5-7. The geometry
of subsoil comes from the chosen cross-section and is represented by a square
with a length of side equal to 80 m. Thanks to the much lower demanded on
the computational effort required to perform analysis, the mesh could be sig-
nificantly refined. The FEM discretization presented in the Figure 5-8 consists
of 21 thousands linear 3-node plane strain triangular fully integrated elements
(CPE3). The mesh is refined in the area of opening which is gradually rarefied
towards the boundaries of model.
In order to perform calculations, two different computers were used. The
former computer was a standard PC, equipped with i7-3930K Intel R
processor
(6 cores - 12 threads) and 64 GB of memory. The latter one, used mostly
for the parametric analyses, was one computational node of the Polish Grid
92
5.3. Case study
14.5 m
80 m
3
2
80 m
1 bottom edge: Uz = 0; U Rx = 0; U Ry = 0
2 symmetry edge: Ux = 0; U Ry = 0
3 k to symmetry edge: Ux = 0; U Ry = 0
Figure 5-8: FEM discretization of chosen cross-section with applied boundary

conditions for 2D computational model
Infrastructure PL-GRID. This node belongs to the supercomputer of ACK Cy-

fronet AGH called Zeus GPGPU and consists of two Xeon X5670 (6 cores) pro-
cessors, 72 GB of memory and 2 GPUs computing modules NVIDIA Tesla M2050
(kdm.cyfronet.pl, 2015). Zeus Cluster consists of 25468 cores of different archi-
tecture.
5.3.3 Subsoil characterization

Due to the lack of results from the laboratory tests of the encountered subsoil
materials, the reference soil of the Hochstetten sand has been chosen for this
analysis. The physical properties of this soil have been assumed according to the
studies of von Wolffersdorff (1996) and they are summarized in the Table 5.1.
The ratio of horizontal to vertical stresses in the initial state has been calculated
using at rest earth pressure coefficient for the normally consolidated materials
93
introduced by Jaky (1944):

K0 = 1 − sin φ (5.1)
where K0 is the earth pressure coefficient at rest and φ is the angle of internal
friction.
Table 5.1: Physical properties of Hochstetten sand
Physical properties
Dry
Parameters Depth Natural voids ratio Perm. Sat. OCR K0∗
density
Units [m] − [kg/m3 ] [m/s] [-] [-] [-]
0-80 0.66 1820 1e−5 1 - 0.455
*
At rest earth pressure coefficient calculated from the Equation 5.1
Results from the drained triaxial tests and oedometric tests for this soil can
be found in the literature (von Wolffersdorff, 1996) and they are later reported
together with the simulated behaviour. The standard triaxial compression tests
represent the behaviour of sand under three different confining pressures properly
for the 100, 200 and 300 kPa. The initial void ratio (ei ) for tested samples has
been measured, respectively, as equal to 0.69, 0.67 and 0.66. The oedometric
tests have been performed for the initial stress equal to 25 and 12.5 kPa, and
respectively the initial void ratio is equal to 0.73 and 0.695. From these tests it
can be concluded that samples represent behaviour of rather loose sand with the
typical shear curves (see Figure 5-11÷5-13).
In order to perform a reliable numerical analysis, the mechanical behaviour of
each subsoil layer must be simulated with a great care including all the relevant
aspects, such as the behaviour during shearing, dilation effect, stiffness in small-
strain range, shape of the stiffness degradation curve, etc. Nowadays, many
various advanced constitutive models exist for the simulation of soil behaviour.
Among them, MIT-E3 model (Whittle and Kavvadas, 1994), MIT-S1 model
(Pestana, 1994), hypoplastic model (Gudehus et al., 2008) or hardening soil-
small model (Benz, 2006) deserve a mention.
Presented analyses are performed using three different constitutive models
starting from the simplest and most commonly used in the practical applications,
linear elastic model with the Mohr-Coulomb failure criterion (see Appendix A.1).
In order to improve a weak capability of this model to predict the ground deform-
ation, variation of the stiffness with a depth has been introduced. It has been
done by relating the Young‘s modulus (E) with the initial effective confining
stress (σh0 ) and it is expressed as follows:
0.6
E σh0 = 1 + 1.2 · σh0

[M P a] (5.2)
94
5.3. Case study
The second model is an advanced constitutive model introduced firstly by

von Wolffersdorff (1996). It simulates the behaviour of granular materials and is
refer latter as basic hypoplastic model. Moreover, to extended basic features of
the presented model, e.g. to include increased stiffness in the small-strain range
and also the ability to include past strain history and several other features,
the extension named Intergranular Strain Concept (ISC) has been used. The
mathematical formulations and explanation of the required parameters of all
used constitutive models are given in the Appendix A.
In order to perform calibration and/or simulation of the mechanical beha-
viour, two simple single element models were built. They were used to perform
simulations of the triaxial compression and oedometer tests. Both of the models
reproduce the axisymmetric conditions and meshed with one 4-node axisymmet-
ric quadrilateral element with bilinear displacement and pore pressure. Geometry
with applied boundary conditions for those two tests are shown in the Figure 5-9.
δ
P
(a) Triaxial compression test (b) Oedometer test
Figure 5-9: Boundary conditions of the single element tests used for the calib-
ration of the constitutive models
The constitutive model with the Mohr-Coulomb yield surface has been calib-
rated based on the presented laboratory tests for three different confining pres-
sures. The simulations results for these tests are given in the Figure 5-11, while
the parameters for the basic hypoplastic constitutive model have been taken
from studies performed by Herle and Gudehus (1999). The authors successfully
simulated behaviour of the Hochstetten sand tested at 0.8 relative density and
proposed parameters of the model. The simulation results of the single element
tests are reported in the Figure 5-12. The parameters of all constitutive mod-
95
els used to simulate behaviour of the chosen reference soil are presented in the
Table 5.2.
Table 5.2: Parameters of the constitutive models for Hochstetten sand
Linear elastic perfectly plastic model with Mohr-Coulomb failure criterion
Parameters φ ψ E ν c0
Units [deg] [deg] [MPa] [-] [kPa]
40.0 10.0 250 0.3 15
Basic hypoplastic model for granular materials
Parameters φc hs n ed0 ec0 ei0 α β

Units [deg] [MPa] [-] [-] [-] [-] [-] [-]
35.0 1000 0.25 0.55 0.95 1.05 0.25 1.50
Intergranular Strain Concept (ISC) for granular materials
Parameters mR mT R βr χ
Units [deg] [MPa] [-] [-] [-]
5.0 2.0 0.0001 0.5 6.0
*
Looking at the results from performed simulations, it can be clearly seen

that there are differences between the stress-strain curves, especially between
the M-C and Hypoplastic models. The ISC model does not change the general
stress-strain curve in the usually considered range (see Figures 5-12(b) and 5-
13(b)). However, it amplifies the effect of non-linearity in the small-strain level,
as presented in the Figure 5-10.
Normalized shear stiffness, G/Gmax [−]
Mohr−Coulomb
1 Hypoplasticity
Hypoplasticity + ISC
0.8
0.6
0.4
0.2
0
−6 −5 −4 −3 −2 −1
10 10 10 10 10 10
Shear strain, γs [−]
Figure 5-10: Simulated behaviour of Hochstetten sand in the small-strain range
96
0.56 1800 0.03
experiments experiments
experiments simulation
1600 simulation
simulation σ3 = 100 kPa
0.55 σ3 = 100 kPa
1400 σ3 = 200 kPa 0.02 σ3 = 200 kPa
σ3 = 300 kPa
v
σ3 = 300 kPa
0.54 1200
0.01
1000
0.53
800
ln(1+e) [−]
0
0.52 600
Volumetric strain, ε [−]
Deviatoric stress, q [kPa]

400 −0.01
0.51
200
0.5 0 −0.02
1 2 3 4 0 0.02 0.04 0.06 0.08 0.1
10 10 10 10 0 0.02 0.04 0.06 0.08 0.1
Axial strain, ε [−]
Vertical pressure [kPa] Axial strain, ε [−] a
(a) Oedometer tests plotted as ln(e + 1) vs (b) Triaxial tests plotted as deviatoric stress (c) Triaxial tests plotted as volumetric strain
mean normal stress vs axial strain vs axial strain
Figure 5-11: Results of the simulations with the Mohr-Coulomb constitutive model for the oedoemeter and drained triaxial
tests
0.56 1800 0.03

1600 simulation
0.55 σ3 = 100 kPa
1400 σ3 = 200 kPa 0.02 σ3 = 200 kPa
σ3 = 300 kPa
v
σ3 = 300 kPa
0.54 1200
0.01
1000
0.53
800
ln(1+e) [−]
0
0.52 600
400 −0.01
0.51
97
200
0.5 0 −0.02
1 2 3 4 0 0.02 0.04 0.06 0.08 0.1
10 10 10 10 0 0.02 0.04 0.06 0.08 0.1
Vertical pressure [kPa] Axial strain, ε [−] Axial strain, εa [−]
Figure 5-12: Results of the simulations with the basic hypoplastic constitutive model for the oedoemeter and drained triaxial
tests
0.56 1800 0.03

1600 simulation
0.55 σ3 = 100 kPa
1400 σ3 = 200 kPa 0.02 σ3 = 200 kPa
σ3 = 300 kPa
v
σ3 = 300 kPa
0.54 1200
0.01
1000
0.53
800
ln(1+e) [−]
0
0.52 600
400 −0.01
0.51
200
0.5 0 −0.02
1 2 3 4 0 0.02 0.04 0.06 0.08 0.1
10 10 10 10 0 0.02 0.04 0.06 0.08 0.1
Vertical pressure [kPa] Axial strain, ε [−] Axial strain, εa [−]
Figure 5-13: Results of the simulations with the basic hypoplastic constitutive model with ISC for the oedoemeter and
drained triaxial tests
5.3. Case study
5.3. Case study
5.3.4 Technological aspects

The following description of each technological aspect introduced in the compu-
tational model is firstly given for the model built in the three-dimensional space,
while for the bi-dimensional model a summarized description of all aspects is
presented at the end, in the separate point. Definition of all presented aspects
have been considered with a great care.
5.3.4.1 Excavation
In order to carry out simulation of the excavation process, the total number
of 45 regions (3 per each span) intended for the excavation has been modelled.
These regions form the final cavity of the tunnel. The geometry of excavation
results from the later defined geometry of the structural elements. The simulation
of excavation process has been performed by deactivation of the specific regions
of the finite elements.
5.3.4.2 Face reinforcement

For each span the face reinforcement formed of fibreglass tubes has been modelled
as 52 one-dimensional beams in accordance with the arrangement presented in
the Figure 5-14(a). Each beam has a circular section with a diameter of 5 cm
and a length of 24 m. These linear elements are fully embedded in the FEM
mesh of the subsoil, thus a rigid connection which represents the injection is
formed. Moreover, these elements are discretized with the 24 beam type, fully
integrated (first order), three-dimensional elements so-called Timoshenko beams
(Hibbitt and Sorensen, 2001) designated in ABAQUS as B32. The mechanical
behaviour has been described as linear elastic with a fail stress. The value of
Young‘s modulus has been assumed as equal to 12 GPa, while the Poisson‘s
ratio and the fail stress representing tensile resistance, respectively as equal to
0.3 and 500 MPa. A view on the modelled face reinforcement for the first span is
presented in the Figure 5-14. Finally, time needed to install all elements forming
the face reinforcement (tf r ) is assumed to be equal to 1 day.
5.3.4.3 Jet-grouted canopy

In the presented computational model very accurate simulation of the installation
process for each jet-grouted column has been introduced. A time sequence and
an arrangement of columns during installation have been assumed in accordance
with the reference case. In this model installation of each column is simulated
as independent part by replacement of soil with a column. This process has
been carried out by putting two parts at the same location, one corresponding
to portion of soil which supposed to be replaced, and one corresponding to the
column. The latter one is initially deactivated and in the specific step and
99
(a) Geometrical arrangement (b) 1D horizontal elements for the first span
Figure 5-14: Face reinforcement introduced in the computational model
time reactivated. From that moment on, the stiffness of soil part which will
be replaced is gradually reduced and at the same time stiffness of cemented
material is increased. This transition is described by the existence functions
presented in the Figure 5-15(a). The time needed for the installation of a one
column (tcol = tend − tstart ) is assumed to be equal to 1.75 hours. To create one
canopy in the conditions of the longitudinal symmetry according to the geometry
presented in the Figure 5-4, 35 columns slightly diverged from the tunnel axis by
the angle of 4.76◦ are needed. The jet-grouting canopy is characterized by the
complex shape formed from the overlapped columns. In order to simplify the
computational model, the geometry defined in the Figure 5-16 has been used to
build a model of canopy. Looking at the longitudinal section it can be seen that
the canopy thickness is larger near the front, along the stretch where one canopy
is created inside another. Thus, the thickness of the canopy is increased to 0.5 m
and at the end of canopy it gradually decreases to 0.32 m. This reduction of
the canopy thickness is dictated by the increasing distance between the axes
of the columns which form a frustum of cone. The installation sequence of
columns has been assumed to alternate, like in the real case. As a result, it
reduces the deformations due to the hardening of the adjacent columns. This
sequence is presented in the Figure 5-17. It can be clearly seen that due to the
limitation of symmetry, the installation of columns is assumed to be carried out
simultaneously by two machines.
After the installation of all columns which form the whole canopy, there is a
time break (tcb ) equal to 2.4 hours. It allows to harden the material of last column
before further excavation. In this model, it is assumed that each column is made
100
5.3. Case study
tstart tend
1
Value [−]
Canopy
Soil
Time [−]
(a) Existence function (b) Induced shear strains during installation
Figure 5-15: Installation of jet-grouted canopy
0.32
I-I II-II I II
0.5
12
I II
(a) Cross section (b) Longitudinal section
Figure 5-16: Geometry of the jet-grouted canopy introduced to computational

model
in the perfectly controlled conditions which eliminate the negative effects like
uplift, which is induced by the pressure increase in the drilled cavity. Thus the
injection pressure was omitted in the model. Deformations after the installation
of each column are induced by the stress redistribution due to the material
replacement with initial null stresses. The amount of the induced shear strains
101
Figure 5-17: Installation sequence of the jet-grouted columns adopted for the
computational steps
is negligible as it is shown in the Figure 5-15(b), thus it is important to simulate

realistic behaviour of soil in the range of the small-strains.
Due to the peculiar local irregularity of its surfaces caused by the soil hetero-
geneity, the interaction between the surrounding soil and the jet-grouted canopy
has been defined as a fully tied connection. It results in a full transfer of normal
and tangential stresses from one to another surface.
Moreover, 8 finite elements have been used through the part thickness. This
amount of elements allows to simulate realistic distribution of the stresses inside
this structural element, thus to compute the normal forces and bending moments
with reasonable accuracy. This issue has been studied by Jie et al. (2013), who
performed simulation of bending for the bi-dimensional beam. Part belonging to
the intermediate span is discretized with the refined mesh. In this span 22400,
8-node cubic, fully integrated elements designated as C3D8 have been used,
while in the remaining spans just 5740, C3D8 elements have been used to build
mesh. Discretization of the canopy for intermediate section is illustrated in the
Figure 5-18(a).
The mechanical behaviour of the jet-grouted material including time-
dependency of the stiffness and strength has been simulated with the linear
elastic model with the Mohr-Coulomb failure criterion. This assumption can be
appropriate, as the real behaviour of this material lies somewhere between soil
and concrete. A definition of the used model is presented in the Appendix A.1.
102
5.3. Case study
Time evolution of the stiffness and strength parameters (see Figure 5-19) have
been calibrated based on the laboratory tests performed by Arroyo et al. (2007).
Moreover, some of the parameters were assumed based on the studies of Croce
et al. (2014). The complete list of all parameters is given in the Table 5.3. The
density of the jet-grouted material has been assumed to be equal to 1800 kg/m3 ,
according to the studies of Croce et al. (2014).
1
3
(a) Canopy and temporary lining (b) Final lining

1 jet-grouted canopy
2 temporary lining
3 upper part of final lining
4 lower part of final lining
Figure 5-18: FEM discretization of the supporting system
Table 5.3: Parameters of the constitutive models for the jet-grouting material
Parameters E28 ν φ c28 ftu,28 µ η

Units [GPa] [-] [deg] [kPa] [kPa] [-] [-]
5 0.3 36 1600 800 1.33 -1.9
5.3.4.4 Temporary lining

The temporary lining composed of sprayed concrete and steel mesh was repro-
duced in the computational model as a solid thin layer of the material placed on
the inner surface of the jet-grouted canopy. It has a thickness of 30 cm and for
each span it is divided into three subparts having a width equal to the length of
the advance step (2 m). Installation of this layer is carried out by the activation
103
of corresponding finite elements in a certain computational step. Due to the

geometrical irregularity, the first part of each span was discretizated with 1038,
4-node tetrahedral fully integrated elements designated as C3D4. Whereas, the
remaining two parts were discretizated with 136, 8-node cubic fully integrated
elements designated as C3D8. A mesh density increases in the intermediate span
reaching the number of 6162, 4-node tetrahedral elements for the first part and
2324, 8-node cubic elements for the remaining two parts. Discretization of the
sprayed concrete layer for the intermediate section is illustrated in the Figure 5-
18(a). Due to the nature of sprayed material, a rigid connection between the
inner surface of canopy and the outer surface of sprayed concrete was assumed.
Thus, a full transfer of stresses occurs in the normal and tangential directions.
The time-dependent mechanical behaviour of the temporary lining was simu-
lated with the damaged plasticity model (see Appendix A.5). Time evolution
of parameters has been calibrated based on the laboratory tests performed by
Thomas (2009) and is presented in the Figure 5-19. All the used parameters are
summarized in the Table 5.4. Moreover, self-weight of the sprayed concrete was
accounted by assuming the material density equal to 2140 kg/m3 . The remain-
ing parameter is a time required to install one part of sprayed concrete (ttl ) and
it is assumed to be equal to 1 day.
1
0.9
0.8
0.7
χ/χ 28 [-]
0.6
0.5
0.4 shotcrete and concrete
0.3 jet grouted material
0.2 experimental data (Arroyo et al, 2007)
0.1 experimental data (Thomas, 2009)
0
0 5 10 15 20 25
Time, [days]
Figure 5-19: Time evolution of the properties of the cemented materials
5.3.4.5 Final lining
The final support made of the cast in-situ concrete is divided into two parts.
Firstly, the lower bottom slab is made, and then the remaining parts (crown and
walls) are constructed. This partition was included in the computational model
by separate geometrical parts, rigidly connected to each other. As in the case
104
5.3. Case study
Table 5.4: Parameters of the damaged plasticity model for shotcrete and
concrete
Damaged plasticity model
Parameters fc,28 ft,28 E28 ν µ η

Units [MPa] [MPa] [GPa] [-] [-] [-]
25 2.5 25 0.3 1.08 -0.92
of the canopy and the shotcrete, parts which belong to the intermediate span
are discretized with refined mesh. In this span 2688, 8-node cubic fully integrate
elements (C3D8) and 4691, 4-node tetrahedral fully integrated elements (C3D4)
have been used, respectively, for the upper and the lower part. Also in this
case, 8 finite elements were used through thickness in the intermediate section.
The numerical discretization for both parts of the final lining is presented in the
Figure 5-18(b). In the remaining spans meshes consist of 972 and 1859 elements,
respectively for the upper part and the bottom slab. Moreover, a fully rigid
contact has been assumed between the inner surface of sprayed concrete and the
outer surface of the final lining, and also between the adjacent parts of the final
lining as they are cast in-situ. The mechanical response of the ageing concrete
has been simulated in the same manner as for the temporary lining. The self-
weight of this cast in-situ concrete is taken into account by assuming its density
as equal to that for the mature concrete, to 2400 kg/m3 . Time needed for the
installation of each part of the final lining (tf l ) has been taken as 1 day.
5.3.4.6 Computational steps

Simulation of the tunnelling process is carried out using a repetitive sequence
of steps reproducing all technological processes of each span. In general, five
steps can be distinguished: installation of the face reinforcement, excavation,
installation of the jet-grouted canopy, installation of the temporary lining and
installation of the final lining. Furthermore, an additional step, in order to check
an equilibrium state, was necessary at the beginning of the simulation. Detailed
definition of all steps is given as follows:
• The geostatic stress field procedure has been applied to check the equi-
librium between initial stress field and applied boundary conditions with
loads. If the initial stresses are approximately known (obtained using the
K0 procedure) and close to the equilibrium state, the resulting displace-
ments of soil are close to nil. Any deviation from this state is eliminated
by the modification of the initial stress state to obtain results which fulfil
assumed tolerance. This stress state is then used for the subsequent static
analysis. The value of convergence tolerance in this analysis is assumed to
105
be equal to 1e−5 . During verification of the equilibrium for the initial state
all the structural elements are deactivated. Moreover, the gravitational
loading as vector of the uniform acceleration in a prescribed direction is
applied to all finite elements which have defined the density. Therefore,
loading of the self-weight is automatically applied after the reactivation of
any structural element.
• Static stress/displacement analysis of the following steps:
– Installation of the 1D elements constituting the face reinforcement.

It is done by reactivation of the horizontal beam elements rigidly
connected with surrounding soil using a formulation for the embedded
elements. The density of these elements is not prescribed, thus their
self-weight is not applied.
– Installation of the jet-grouted canopy by simulation of material re-
placement for each single column with a prescribed installation se-
quence and duration (see Figure 5-17).
– The excavation process by deactivation of a specific finite elements
representing the advance length of 2 m (in the real case 1 m).
– Installation of the temporary lining is done after each excavation step.
It is carried out by activation of the specific finite elements which form
a thin layer on a distance equal to the advance length.
– Installation of the final lining is done after whole span is excavated
and secured with the temporary lining. This part is installed in two
steps; first simulates installation of the bottom slab, while the second
one simulates installation of the remaining part of the support. In-
stallation is performed in the same manner as for the temporary lining
or face reinforcement.
To simulate each span, three steps of excavation and installation of the tem-
porary lining are needed. The total number of steps needed to simulate construc-
tion of one span is equal to 10. The time schedule for one span showing sequence
and duration of each process, is presented in the Figure 5-20 with respect to the
sequence of the adjacent spans.
5.3.4.7 Resume of the input data

The FEM mesh of the above introduced three-dimensional model including all
the structural elements, consists of 686 thousands linear fully integrated tetra-
hedral and cubic elements and together with the contact formulations results
in 987 thousands DOF. The FEM mesh for whole model is presented in the
Figure 5-21. The definition of the presented computational model includes 151
calculation steps of a stress/displacement analysis, respectively one for checking
the equilibrium state and 10 for each span. Each step is divided into several
106
5.3. Case study
Final lining - crown & walls 29.75 1
Final lining - bottom slab start time 19.5 1
Shot. step 3 8.25 1 duration
Exc. step 3 7.25 1
Shot. step 2 6.25 1
Exc. step 2 5.25 1
Shot. step 1 4.25 1
Exc. step 1 3.25 1 Previous span
Canopy 1 2.25 Current span

Next spans
Face reinforcement 0 1
-12 -10 -8 -6 -4 -2 0 2 4 6 8 10 12 14 16 18 20 22 24 26 28 30 32 34
Time [days]
Figure 5-20: Time sequence adopted for the computational steps
Figure 5-21: 3D FEM discretization for whole computational model with de-
activated elements intended for excavation and face reinforcement
gradually increasing increments with the size depending on the calculation sta-
bility of current step. A size of the initial increment has been assumed as equal
to 0.24 hours and a size of the maximum increment as 2.4 hours. In order to
107
perform analysis for each step, a direct equation solver with an unsymmetrical
matrix storage and a full Newton solution technique have been adopted. The
Newton method is the most popular technique for solving the non-linear equi-
librium equations. The convergence rate in comparison with the other methods
named as quasi-Newton is much higher. However, it is time costly since the Jac-
obian must be formed and solved at each iteration. The convergence criterion
for the residual force and the volumetric flux has been selected as equal to 5e−3
which is rather usual/tight for solving such problems. In order to improve the
robustness of the Newton method, a line search algorithm (Nocedal and Wright,
2000) was also used. Another way to reduce the computation time is to apply
a “quasi-Newton” method which in ABAQUS is defined as Broyden, Fletcher,
Goldfarb and Shanno (BFGS) method, or to use the iterative solver. However,
both methods were not possible to adopt due to the chosen constitutive model
which demands to use an unsymmetrical matrix storage. This type of matrix
determines use of the direct method. The computational effort can be lowered
using the reduced integration of finite elements. However, its influence on the
results has not been studied here.
All necessary parameters describing the technological aspects together with
the geometrical characterization needed to build model (except parameters of
the constitutive models) are summarized in the Table 5.5.
5.3.4.8 Technological aspects for the bi-dimensional model

A simulation in the bi-dimensional space has certain shortcomings which impose
to apply several assumptions. These both aspects are briefly presented in the
following list:
• A simulation of the effects of the face reinforcement and thus an analysis

of the face stability is impossible to carry out.
• The three-dimensional arching effect of unloading due to the excavation.
In the 2D space a simulation is performed with the use of the so-called
load reduction method. Its principle is to gradually reduce the stiffness of
elements intended for the excavation.
• Effects of structures installed ahead or before a considered transversal sec-
tion are impossible to analyse.
In the presented model two concentric canopies, the temporary and final
lining systems have been introduced. The geometry of the introduced structural
parts has been taken from the intermediate transversal section of the model
defined in the three-dimensional space and it is presented in the Figure 5-16.
108
5.3. Case study
Table 5.5: Values of parameters used for the simulation
Parameter Symbol Unit Value

A Subsoil
Width Ws m 80
Length Ls m 180
Depth Ds m 80
Number of soil layers - 1
B Tunnel geometry
Distance to tunnel springline z0 m 14.5
Number of spans Ns - 15
Outer diameter Dl m 6.3
Length of excavation advance step Nc - 70
C Face reinforcement
Number of face bolts Nf r - 9
Length of face bolts Lf r m 12
Diameter of cross-section Df r cm 5
Stiffness Ef r GPa 200
Poisson‘s ratio νf r - 0.3
Installation time tf r days 1
D Jet grouted canopy
Number of columns per canopy Nc - 70
Columns diameter Dc m 0.6
Columns length Lc m 12
Overlapped length Oc m 6
Poisson‘s ratio ν - 0.3
Density of soilcrete ρs kN/m3 18
Installation time of one column tcol hr 1.75
Time break after canopy installation tc b hr 2.4
E Temporary lining
Width of one segment Wtl m 2
Layer thickness Ttl m 0.3
Initial stiffness Ei GPa 5
Stiffness after 28 days E28 GPa 5
Poisson‘s ratio νtl - 0.3
Density of shotcrete ρtl kN/m3 21.4
Installation time ttl days 1
F Final lining
Width of one segment Wf l m 6
Segment thickness Tf l m 0.3
Poisson‘s ratio νf l - 0.3
Density of concrete ρf l kN/m3 24
Installation time tf l days 1
109
Moreover, only the most advanced constitutive model to simulate the mechanical
behaviour of the subsoil (hypoplasticity with the ISC) has been introduced in
this model.
The initial stress state in the subsoil was obtained in the same way as for
the three-dimensional model. Moreover, the ground water table was also not
included, thus the conventional stress/displacement analysis was carried out.
Simulation of the construction sequence has been performed in a different way
than in the 3D model. Each step of simulation is presented in the Figure 5-
22. Firstly, the installation of an outer (corresponding to the previous span)
jet-grouted canopy is performed (see Figure 5-22(b)) in the same manner as
in the three-dimensional space, i.g. with a specific installation arrangement of
columns and a time brake after installation (see Figure 5-17). Subsequently,
installation of the inner canopy which represents current span is carried out
similarly after an additional time break (Figure 5-22(c)). This break is necessary
to allow the jet-grouted material to harden to the state when the whole previous
span is finished. Subsequently, excavation process has been simulated (from the
Figures 5-22(d) to 5-22(f)) with the use of the load reduction method introduced
by Panet and Guenot (1982). This way of the simulation gives possibility to
include in a very simplified manner the three-dimensional effect induced by the
tunnel construction which results in a further development of deformations when
the excavation continues. This method consists of an application of the nodal
forces at the excavation boundary, and gradual reduction of their values with
the simulation progress. During the ongoing simulation, different linings are
activated. The corresponding value of nodal forces (p) can be calculated using
the following expression:
p = pr (1 − ξ) (5.3)
where pr is the initial value of the nodal force corresponding to a reaction force,
while ξ is the stepwise parameter gradually decreasing with the ongoing simu-
lation (ξ1 < ξ2 < ξ3 < ξ4 ). In the later simulations, the values of parameter ξ
have been found to give the closest similarity of internal forces in the structural
elements to those obtained from the three-dimensional model.
In order to build a mesh for the subsoil and all structural elements, 12 thou-
sands second order quadrilateral 8-node finite elements with 9 integration points
and 21 thousands 6-node triangular elements with 3 integration points, giving
total number of 158 thousands DOF were used.
5.3.5 Technological effects

The results from simulations of the above introduced computational models
are herein presented. Firstly, validation of the three-dimensional computational
model is performed for three different constitutive models used to simulate beha-
viour of the subsoil material, while validation of the bi-dimensional model is done
110
5.3. Case study
just for the most advanced constitutive law. Influence of the used constitutive
models on the results is demonstrated. In the following part, the induced effects
by the technological operations, important from a technical point of view, i.g.
ground deformations and internal forces in the structural elements are discussed.
Finally, a mechanical analysis of the induced mechanisms is performed in order
ξ - reduction factors
ξ1 < ξ2 < ξ3 < ξ4
(a) Initial state (b) Canopy installation for (c) Canopy installation for
previous span current span
ξ1 ξ2 ξ3
(d) Deactivation of excava- (e) Installation of temporary (f) Installation of bottom

tion elements and applying a lining part of final lining
boundary conditions on the
contour of opening
ξ4
(g) Installation of remaining

final lining
Figure 5-22: Simulation of the construction sequence for the bi-dimensional

model
111
to understand effects of the applied technologies. Within discussion, a great care

is taken to separate the role of each technological aspect.
5.3.5.1 Validation and subsoil deformations
In order to validate the computational model, a comparison in the transversal

and longitudinal section of the surface settlements between the results from the
simulations and data from the monitoring is presented. Due to the fact that
presented case history is used just as an inspiration for the geometry and tech-
nology, only the qualitative comparison can be carried out.
The surface subsidence obtained at the end of the construction process is
firstly checked in the transversal profile, as reported in the Figure 5-23. In this
graph different curves representing the results from the three-dimensional model
with three different constitutive models are plotted. For the reference, results
from the bi-dimensional model with the most advanced constitutive law are also
plotted. For the 3D model, linear elasticity with the Mohr-Coulomb failure cri-
terion (MC ), basic hypoplastic model (HYPO) and hypoplastic model with the
ISC (HYPO+ISC ) are used. For the bi-dimensional model (2D) only the hy-
poplastic model with the ISC has been adopted. Furthermore, these curves are
compared with the recorded data from topographic benchmark points KR55,
KR56 and KR57 (see Figure 5-6). In order to perform a reliable comparison,
a phenomenon of negative uplift recorded by the benchmark points was elim-
inated by filtering data of vertical displacements. This uplift is due to poor
control of the forming process of the jet-grouting columns. The chosen interme-
diate section composed of the listed benchmark points is relatively far from both
diaphragm walls, with the distance of approx. 20 and 30 m. For that reason
this section has been chosen as the most representative for the undisturbed pro-
cess of tunnelling. The maximum value of settlement, as expected was recorded
above the tunnel axis and was equal to 28 mm. Whereas, the settlements of 12
and 19 mm were observed in a distance of 10 m, respectively on the left and on
the right side from the centreline. As already mentioned, here the attention is
focused only on the shape of the subsidence profile. For this reason, all data are
scaled by their maximum values which are reported in the legend. It is inter-
esting to see that subsidence profiles computed with both hypoplasticity models
(3D-HYPO and 3D-HYPO+ISC ) are rather consistent with observations, while
calculations done with the Mohr-Coulomb model show an uplift of the ground
surface. This buoyancy effect is induced by the stress relaxation due to the excav-
ation, simulated as deactivation of the specific finite elements. It is predominant
due to the limited, relatively low stiffness of the subsoil during unloading. Its
value is equal to the stiffness during first loading. Profiles obtained with the
hypoplastic models have the shape of a concave bell similar to that presented
by the observations. However, difference between them can be clearly seen;
112
5.3. Case study
−0.6
−0.4
−0.2
0
0.2
w/wmax, [−]
0.4
0.6 Measured = 28mm
0.8 3D−MC = −42mm
3D−HYPO = 82.5mm
1
3D−HYPO+ISC = 19mm
1.2 2D−HYPO+ISC = 13mm
1.4
−45 −30 −15 0 15 30 45
Distance from tunnel centreline, [m]
Figure 5-23: Transversal surface settlement profiles
they present different propagation of the deformations with the distance from
a centreline. Going into details, the hypoplastic model extended with the ISC
(3D-HYPO+ISC ) gives more stiff response in the small-strain range and slightly
increased non-linearity during the initial loading. Its consequence is higher strain
concentration near the cavity, where the level of shear stress is maximum due to
the excavation. It results in a reduction of deformations at larger distances, and
thus much narrower settlement trough in comparison with that obtained with
the basic version of this model (3D-HYPO).
The longitudinal settlement profile obtained with the use of different con-
stitutive models are reported in the Figure 5-24. In view of the unrealistic
deformation patter produced in the transversal profile with the use of the Mohr-
Coulomb model, the results are herein presented only for the basic hypoplastic
model (3D-HYPO) and the ISC extension (3D-HYPO+ISC ). Moreover, the lon-
gitudinal profile for the bi-dimensional model cannot be obtained in a straight-
forward way. For this purpose subjective assumptions should be made about
the relaxation factor (ξ) for each construction step (see Section 5.3.4.8). Due to
this reason, the results are hardly comparable, and thus are given just for the
three-dimensional model. The mentioned plot presents the surface settlements of
a point located in the centre of the intermediate transversal section as a function
of a current distance to the excavation face. This distance is negative when the
excavation face is before the monitored section. In order to validate model, the
recorded settlements of KR32, KR33, KR56 and KR57 benchmark points (see
Figure 5-6) are plotted in the same manner in the Figure 5-24. Also for these
points recorded the uplift phenomenon was eliminated. Due to the fact that the
real and simulated tunnels have different lengths, respectively 50 and 180 m,
113
data for each point are scaled using the following expression:
w − w0
W = (5.4)
wL − w0
where for recorded data from the observations, w0 and wL refer to the settlements
at the beginning and at the end of the excavation process and w is the current
value of the settlement. For the results obtained from the computational model,
w0 and wL refer to the settlements read at the distance of, respectively, -25 m
and 25 m from the selected intermediate transversal section. This modification
allowed to interpret all data and to perform a comparison between them. In this
manner, data refer to the reference section exactly in the middle of the tunnel
(50 m long) and the settlements induced at larger distances are excluded.
It can be easily seen that the same effect as in the transversal section is
produced by the presented curves. The curve designated as 3D-HYPO shows
a very smooth character, while the curve 3D-HYPO+ISC is much steeper and
more similar to that presented by the observations. It confirms the truth of
a previously introduced statement that strains are more concentrated near the
cavity, and thus much narrower trough can be seen on the ground surface. Both
plots supported by the experimental evidences clearly indicate that increased
nonlinear soil response affects the confinement of deformation near the cavity.
Besides the qualitative validation, just a rough quantitative validation is
performed due to the missing calibration based on the real soil. The constitutive
models used to simulate the mechanical behaviour of soil affect not only the
shape of settlement trough but also the total amount of induced displacements.
Analysing the results, it needs to be underlined that a significant difference
occurs between the amount of the final settlements obtained with the HYPO
−0.2
0.2
w = (w−w0)/(wl−w0), [−]
0.4
0.6
}
0.8
Measured
1
1.2 3D−HYPO
3D−HYPO+ISC
1.4
−45 −30 −15 0 15 30 45
Distance from tunnel face, [m]
Figure 5-24: Longitudinal surface settlement profiles
114
5.3. Case study
and HYPO+ISC constitutive models. The latter one, due to the much stiffer
response in the small-strain range, produces much lower amount of settlements
equal to 19 mm, while the first one results in 82.5 mm. Comparing these values
with the observed ones which range from 9 to 28 mm, it can be stated that the
hypoplastic model with the ISC model gives more realistic response.
Based on the above validation, it is stated that the most realistic model which
gives complete view of the induced mechanisms and the accurate mechanical
behaviour of subsoil is the three-dimensional model with hypoplasticity extended
with ISC (3D-HYPO+ISC ). The further discussion on the subsoil deformations,
structural forces and induced mechanisms are based on this model.
The detailed description of the deformed ground surface at the end of the
simulation is presented in the transversal and longitudinal profiles, respectively
in the Figures 5-25 and 5-26. In both of these figures, four components de-
scribing the deformed ground surface are presented: vertical and horizontal dis-
placements, and horizontal strains together with angular distortions. Firstly,
looking at the transversal profiles it can be seen that the maximum horizontal
displacements equal to ±1 cm are located at the inflection points of the set-
tlement profile, while at the centreline no horizontal movement is observed. It
means that the portion of soil in the zone where inflection of the settlement pro-
file appears, tends to move inward to the tunnel centreline. The estimators used
to describe influence of the tunnelling on the ground surface, and to determine
possible damages of structures and infrastructure, are the horizontal strain and
the angular distortion. The maximum tensile strain appears before an inflection
point of the settlement profile with the value of 0.04%, while at the centreline
the compressive strain appears with the value of about -0.09%. Moreover, the
angular distortion reaches maximum also at the inflection points with the value
of ±0.13 cm/m. All these components of the transversal settlement profile can
be easily connected with the longitudinal profile, since the deformed surface has
a shape of trough. The inflection point of the settlement profile in the longitud-
inal section (see Figure 5-26) is slightly shifted ahead of the tunnel face (+2 m).
As in the case of the transversal profile, the maximum horizontal displacement
having a value of 0.5 cm is recorded at the inflection point. Moreover, at this
point also a null value of the horizontal strain is recorded, while the angular
distortion reaches maximum equal to -0.06 cm/m. The horizontal strains are
positive (tensile) ahead of the tunnel face, and negative (compression) behind it.
Furthermore, the surface subsidence is also presented as a displacement field

of the whole top surface in the Figure 5-27. Position of the reference trans-
versal section and each span are indicated in order to give an idea about the
influenced area. The largest settlements are identified at the starting vertical
plane (model boundary) from which the simulation of construction process is
115
−1.5 −1.5
Horizontal displacements, [cm]

Vertical displacements, [cm]
−1 Vertical displacements −1
−0.5 −0.5
0 0
0.5 Numerical 0.5
1 Gaussian 1
Yield−density
1.5 1.5
Jacobsz
2 Modified Gaussian 2
2.5 2.5
−40 −30 −20 −10 0 10 20 30 40
(a) Vertical and horizontal displacements
−0.2 −0.2
Angular distortion, [cm/m]

Horizontal strain
Horizontal strain, [%]
Angular distortion
−0.1 −0.1
0 0
Numerical
Gaussian
0.1 Yield−density 0.1
Jacobsz
Modified Gaussian
0.2 0.2
−40 −30 −20 −10 0 10 20 30 40
(b) Horizontal strain and angular distortion
Figure 5-25: Components of the transversal settlement profile
−0.5 −0.5 −0.1 −0.1

Numerical
Attewell and Woodman (1982)
0 0
0.5 0.5 −0.05 −0.05
1 1
1.5 Numerical 1.5 0 0

Attewell and
Woodman (1982)
2 2
Vertical displacements Angular distortion
Horizontal displacements Horizontal strain
2.5 2.5 0.05 0.05
−40 −20 0 20 40 −40 −20 0 20 40
Distance from tunnel centreline, [m] Distance from tunnel centreline, [m]
(a) Vertical and horizontal displacements (b) Horizontal strain and angular distortion
Figure 5-26: Components of the longitudinal settlement profile
116
5.3. Case study
performed. However, it is relatively far from the reference section (∼ 45 m) thus

its influence is negligible.
The presented results are now used to check the ability of different empirical
curves to describe ground deformations in both the transversal and longitudinal
section. In engineering practice, empirical curves are applied in the preliminary
design stage for assessing the risk of a possible damage due to the tunnelling.
Vertical displacements for the transversal section are obtained with four empir-
ical curves: the Gaussian distribution curve, the Yield-density curve, the Jacobsz
curve and the modified Gaussian curve. For the longitudinal section, just a rela-
reference section
Figure 5-27: Surface settlements at the end of the simulation
117
tion proposed by Attewell and Woodman (1982) is used. Whereas, the horizontal
displacements corresponding to each curve are calculated based on the expres-
sion proposed by Taylor (1995). For more details about the applied empirical
relations the reader is referred to the Chapter 4. Presented curves are fitted to
get the best match with the results from the numerical analysis and plotted in
the Figures 5-25 and 5-26. At the first glance, it may seem that the transversal
components of the settlement profiles obtained from the different curves give
a good correlations with the numerical analysis. However, looking more care-
fully at the plots, significant differences can be noted. The profiles of vertical
displacements are reproduced quite well for all curves. At the same time the ho-
rizontal displacements are underestimated. Moreover, the profiles of horizontal
strains for all empirical relations are narrower in comparison to that obtained
from the numerical analysis. It can be explained by the assumption of a constant
volume introduced by Taylor (1995). On the other hand, profiles of the angular
distortion for some curves, e.g. the Yield-density, are similar to that from the
simulations. When looking at all components, it can be seen that the best fit
with the data from the numerical analysis is achieved with the Yield-density
curve. A similar characteristic can bee seen from the longitudinal components
obtained with the cumulative probability curve (Attewell and Woodman, 1982).
The vertical displacements are reasonably well fitted to data from the numer-
ical analysis, while the angular distortion differs significantly. In contrast to the
transversal section, there is a lack of the empirical relations for calculation of
the horizontal displacements and strains. The parameters of the fitted empirical
relations together with the corresponding characteristic values are given in the
Table 5.6. From the numerical analysis the volume loss VL at the cavity is larger
than the volume of settlement trough VS , respectively equal to 0.5% and 0.23%.
An explanation for this can be found in the fact that the Hochstetten sand used
in the presented simulation undergoes dilation, which was already explained in
the section 4.2.4. The volume loss fall within a range for similar technology pro-
posed by Mair and Taylor (1997), for the NATM from 0.5 to 1.5%. Moreover,
a distance to the inflection point seems also to be valid as the values obtained
from the fitted curves are consistent with a past experience reported by several
authors, e.g. Moh et al. (1996) (see Section 4.2.3).
In order to complete description of the ground deformations, a comparison
of the displacement fields between the three- and bi-dimensional models is per-
formed. To extend the above description of deformations, vertical displacements
are presented for the 3D and 2D models, respectively in the Figures 5-28(a) and
5-28(b), while in the Figures 5-28(c) and 5-28(d) horizontal displacements are
given. Both of the displacement fields show that the deformation patterns are
not significantly different which is confirmed by the transversal settlement pro-
files presented in the Figure 5-23 (see 2D-HYPO+ISC and 3D-HYPO+ISC ).
However, looking at the extreme values slight differences can be noted. Looking
118
5.3. Case study
Table 5.6: Parameters of used empirical curves and obtained results
Transversal section
Numerical analysis
Parameter H,max a H,min b γmax c VS d /VL e
Unit [-] [-] [-] [%]
−4 −4 −3
2.5e −1.0e 0.65e 0.23/0.50
Gaussian distribution curve (Martos, 1958; Peck, 1969; Schmidt, 1969)
Parameter i H,max H,min γmax VS
Unit [m] [-] [-] [-] [%]
10.0 3.79e−4 −8.52e−4 1.15e−3 0.26
Yield-density curve (Celestino et al., 2000)
Parameter i a b H,max H,min γmax VS
Unit [m] [m] [-] [-] [-] [-] [%]
9.89 11.4 3.8 4.39e−4 −8.5e−4 1.70e−3 0.26
Jacobsz curve (Jacobsz et al., 2004)
Parameter if i0 H,max H,min γmax VS
Unit [m] [m] [-] [-] [-] [%]
10.3 7.0 2.4e−4 −9.0e−4 0.97e−3 0.27
Modified Gaussian curve (Vorster et al., 2005)
Parameter i α n H,max H,min γmax VS
Unit [m] [-] [-] [-] [-] [-] [%]
12.0 1.5 3.24 6.2e−4 −8.5e−4 1.53e−3 0.24
Longitudinal section
Numerical analysis
Parameter H,max H,min γmax
Unit [-] [-] [-]
−4 −4
2.5e −1.0e 0.65e−3
Cumulative probability curve (Attewell and Woodman, 1982)
Parameter i shift γmax
Unit [m] [m] [-]
14.0 -13 0.54e−3
a
maximum horizontal strain (hogging)
b
minimum horizontal strain (sagging)
c
maximum angular distortion
d
volume of settlement trough
e
volume loss at the cavity
f
distance to inflection point calculated from the expression given in the Table 4.2 for
Jacobsz curve (J)
119
at the vertical displacements obtained from the 3D model, the maximum and
minimum values are respectively equal to 3 cm and -2 cm, while for the 2D model
the maximum and minimum values are equal to 2.5 cm and -1.5 cm. Moving to
the horizontal displacements, it can be seen that the maximum value obtained
from the 3D model is equal to 2.5 cm, while that obtained from the 2D model
is equal to 2.0 cm. Here it needs to be noted that in the 2D model a reduction
coefficient (ξ) has been fixed at each construction step starting from the excava-
tion phase, in order to obtain internal forces similar to those from the 3D model.
(a) Vertical displacements in the 3D model (b) Vertical displacements in the 2D model
(c) Horizontal displacements in the 3D model (d) Horizontal displacements in the 2D model
Figure 5-28: Comparison between displacement fields for the 3D and 2D com-
putational model
120
5.3. Case study
Going into details, a value of the reduction coefficient equal to 0.4 has been ap-
plied to simulate excavation of the previous span which is in accordance with
the findings of Wood (1975) and Moller and Vermeer (2006). For the simulation
of the subsequent excavation and installation of the temporary and final lining,
respectively, the values of 0.8 and 0.9 have been assumed.
5.3.5.2 Structural forces
Distribution of the normal forces and bending moments in the different structural
elements, as an effect of the specific construction sequence, is herein presented.
These structural forces are plotted for the jet-grouted canopy, temporary lining
and final lining in the reference transversal section, as it is shown respectively in
the Figures 5-29÷5-31. From these plots each value can be read out orthogonally
to the element axis plotted as dot-dashed line. Moreover, to give the possibility
to perform a comparison among all three structural parts, values are scaled by the
same uniform scale. Unfortunately, the internal forces in the solid elements as the
results of the simulations performed with ABAQUS code could not be obtained
in a straightforward manner, thus some manual calculations have been done.
In order to achieve a satisfactory accuracy of the calculated forces (see Section
5.3.4), all structural parts have 8 finite elements through their thickness. For
each part the horizontal and vertical stresses were read out at the extrados and
intrados, and rotated in order to obtain components perpendicular and parallel
to the element axis. Afterwards, the normal forces and bending moments along
the element axis for each computational step were calculated.
The first created structural element is the jet-grouted canopy. After creating
a whole structure of the canopy, the limited values of the negative normal forces
(compression) along the axis plotted with red dashed line can be seen from
the Figure 5-29. These values are mostly induced by the stress redistribution
due to the contraction of the surrounding soil on a created part and different
self-weight of a replaced material. However, it can be very clearly seen that
further excavation within the current span results in immediate development of
the compression forces plotted with the continuous grey lines. A consequent
increase of the normal forces (upper grey lines) is induced by the construction
and excavation for the subsequent canopies, somehow gradually limited by the
installation of both the temporary and final lining. The state at the end of the
construction is plotted with continuous thick green line having a maximum value
of around -520 kN/m. On the other hand, values of the bending moments along
the axis of the whole canopy are almost equal to 0 and thus they are negligible.
The temporary lining is installed after the canopy in a three subparts. The
presented results (see Figure 5-30) are corresponding to the middle one, through
which the reference section passes. The ability of this support to absorb the
121
external loads transferred from the canopy can be seen as a sudden reduction of
the normal forces development in the canopy after its installation. It is connected
with the immediate generation of the compression forces in the temporary lining.
Axis
Installation
Intermediate steps
End step
100 kNm/m 200 kN/m
(a) Bending moments (b) Normal forces
Figure 5-29: Internal forces in the jet-grouted canopy
Axis
Installation
Intermediate steps
End step
100 kNm/m 200 kN/m
Figure 5-30: Internal forces in the temporary lining
Axis
Installation
Intermediate steps
End step
100 kNm/m 200 kN/m
Figure 5-31: Internal forces in the final lining
122
5.3. Case study
The values obtained right after the shotcrete installation (plotted with a red
dashed line) are higher than those generated in the canopy by self-weight and
stress redistribution. A large development of the normal forces can be observed
after the excavation and installation of the temporary lining within the current
span. For the subsequent spans, a further development of the compression forces
is limited mostly by the presence of the final lining. At the end of the simulation
(green continuous line) of the whole construction process the normal forces reach
their maximum value equal to around -450 kN/m, while the bending moments,
as in the case of the canopy, are negligible.
The final lining is composed of the bottom slab installed after the excavation
of the subsequent span. The remaining crown and pillars which form a complete
structure of the final lining are installed after the excavation of the next span.
This support in comparison with the two previously described structural parts,
takes the most of the stresses (see Figure 5-31), which can be partly explained
by a much larger thickness and a stiffer material. On the other hand, after the
installation of the crown and pillars, a closed ring is formed which absorbs loads
from the below subsoil, which tends to move upward. It can be also noticed that
when the realistic behaviour of the subsoil during unloading is included by the
use of the appropriate constitutive model, this effect becomes very limited. At
the beginning, the whole ring is compressed, while the simulation of consecutive
spans induces the change of this distribution. It can be also seen that with the
excavation progress the normal forces in the tunnel crown become tensile which
is caused by the fact that the most of the horizontal loads from the subsoil in
that region are absorbed by the canopy and temporary lining, while the bending
moment are generated by the vertical loads. The external loads absorbed by
the final lining result at the end of the construction process (green continuous
line) in a distribution of the bending moments similar to the one for the circular
tunnels (negative in the crown and invert, positive in the pillars). The increase
of the positive bending moment in the corner of bottom slab is induced by its
peculiar refracted shape.
As in the case of the ground deformations, the internal forces from the nu-
merical analysis are herein compared with the frequently used at the pre-design
stage analytical solution proposed by Vrijling (1998). The adopted parameters
used for the estimation of the internal forces are summarized in the Table 5.7,
while the results are plotted in the Figure 5-32. In order to perform a valuable
comparison, internal forces obtained from the numerical analysis for all three
structural parts are summed up, separately for the normal forces and the bend-
ing moments. This manipulation was necessary due to the unknown amount of
loads taken by each of the structural parts. Distribution of the bending moments
and normal forces obtained from the analytical solution are rather consistent with
those obtained from the numerical analysis. However, values of the bending mo-
ments are overestimated and the stress concentrations at the lining corners are
123
Table 5.7: Parameters of the analytical solution used to obtain internal

forces in the tunnel lining
Analytical solution of Vrijling (1998)
Parameters σh σv Eg Eb R* d
Units [kPa] [kPa] [MPa] [GPa] [m] [m]
118 260 150 20 7.5 1.0
*
Equivalent radius of tunnel
Explanation for all parameters is given in the Section 4.3.2
not caught. Moving to the normal forces, a significant difference at the tunnel
crown and at the invert can be noted, while at the pillars values obtained from
both solutions are rather similar. The presented analytical solution has certain
drawbacks resulting from the applied theoretical framework, and thus significant
differences between presented solutions are observed. However, for the prelimin-
ary design stage, qualitative and quantitative distribution of the internal forces
is reasonably well estimated.
To show the differences in the structural forces between the three- and bi-
dimensional model with different constitutive laws and to present role of the
simplifications, results are plotted for the end of the construction. Three con-
stitutive models have been used in the 3D computational model: MC, HYPO and
HYPO+ISC. For the bi-dimensional model just one constitutive law designated
as HYPO+ISC was used. From the plotted curves in the Figures 5-33÷5-35
it can be seen that differences between them are rather small and most of the
lines are practically overlapped. Going into details, values of both the normal
Axis
Canopy
Canopy + Shotcrete
Canopy + Shotcrete + Final lining
Vrijling (1998)
-50 +50
0
+50 -500
Figure 5-32: Comparison of the internal forces with analytical method
124
5.3. Case study
Axis
3D−MC
3D−HYPO
3D−HYPO+ISC
2D−HYPO+ISC
200 kN/m
100 kNm/m
Figure 5-33: Comparison of internal forces in the jet-grouted canopy computed

with various models
Axis
3D−MC
3D−HYPO
3D−HYPO+ISC
2D−HYPO+ISC
100 kNm/m 200 kN/m
Figure 5-34: Comparison of internal forces in the temporary lining computed

with various models
Axis
3D−MC
3D−HYPO
3D−HYPO+ISC
2D−HYPO+ISC
200 kN/m
100 kNm/m
Figure 5-35: Comparison of internal forces in the final lining computed with
various models
forces and bending moments are similar, especially for the jet-grouted canopy
125
and for the vertical parts of the shotcrete and final lining. For the latter two
some differences can be seen which are especially evident at the crown and at
the invert of these structural parts.
The explanation for the uniform characteristic of the internal forces between
different models is that they depend mostly on the deformation of the subsoil
around opening and not on the global deformation pattern (see Section 5.3.5.1).
The latter one, which varies from the case to case has rather low importance.
It can be stated that the cavity deformations are not very dependent on the
non-linear response of soil. On the other hand, the variation of the bending
moments at the invert of final lining between the various models is significant.
The largest value which becomes positive is obtained from the MC model due
to the much larger buoyancy effect of the beneath soil. The buoyancy effect is
caused by the relatively low unloading modulus and no stiffness degradation with
strain level. For the remaining HYPO and HYPO+ISC models buoyancy effect
is smaller, especially for the latter one, which definitely shows the importance of
the increased stiffness in the small-strain level.
The another difference is the variation of the normal forces at the crown
of shotcrete layer and at the invert of final lining among the used constitutive
models. Differences are induced by the horizontal loads transferred from the
surrounding soil which contracts inside the created cavity. Moreover, this effect
can be justified by the various stiffness and dilation in the small-strains range,
however, it is not a direct explanation.
To fulfil description of differences between models, results for the three-
dimensional model are compared with the bi-dimensional equivalent. Looking
at the plots it can be seen that for the 2D model, curves for all structural parts
(see green lines) are similar to those curves obtained from the three-dimensional
model with the same constitutive model (HYPO+ISC ).
Such a good result is dictated by the introduced values of the relaxation
factor for each step of the simulation, which gradually reduces loads transferred
from the surrounding soil (see Section 5.3.4.8). Whereas, the total amount of
surface subsidence is just slightly lower than for the three-dimensional simulation
(see Figure 5-23). However, it needs to be underlined that some deviation of the
internal forces can be observed at the invert of the final lining.
5.3.5.3 Induced mechanisms
In order to carry out a fruitful discussion about the induced mechanisms, the
attention is herein given to the subsoil deformations induced during different
stages of the simulation for the 3D model with the HYPO+ISC constitutive
law. Firstly, the sequence of operations is presented connecting each phase with
the induced settlement profiles in the transversal and longitudinal section, as
presented in the Figure 5-36.
126
5.3. Case study
Looking at the transversal profiles, it can be easily noticed that tunnel ad-
vance before reaching the reference section (phase I ) generates very limited
amount of deformations. It is called as the pre-convergence which is an effect
induced by propagation of the cavity deformations ahead of the tunnel and up
to the ground surface. The limited amount of the pre-convergence can be logic-
ally linked to the effects of the face reinforcement and the provisional support
(jet-grouted canopy). The maximum amount of the induced settlements at this
stage in the centreline is equal to about 3 mm, which constitutes about 16% of
the total settlements obtained at the end of the simulation.
Moreover, the curves representing phases I and II are practically over-
lapped. It indicates that the canopy installation generates an negligible effect on
the surroundings. Here, it needs to be noted that the hardening of a material
for each column and the installation sequence have been reproduced in a very
detailed manner. A logical explanation of this effect can be that each column
occupies a very limited space and is installed after the adjacent one has under-
gone a certain degree of hydration. Thus, the cavity created for the column
is supported by the adjacent columns that already gain sufficient stiffness and
strength. A consequence of this observation is that the process of canopy in-
stallation introduced in the numerical model can be significantly simplified, e.g.
by a direct replacement of the soil for the whole canopy with an already harden
material.
On the other hand, the subsequent excavation induces the significant amount
of deformations as can be seen for the phases II , III and IV . In general,
these deformations are induced by the change of the stress-strain equilibrium.
The difference between profile for phase II and III shows just the effect of
the excavation and installation of the temporary lining within a current span.
The curves corresponding to the phases III and IV represent the effect of the
subsequent spans construction. Although, installation of both temporary and
final support generate opposite propagation of the stresses and deformations,
which with the simulation progress become less important.
The above described effects of each construction phase on the ground de-
formations can be very well seen also from the longitudinal profiles (see Fig-
ure 5-36(c)). Looking at this Figure it can be noted that development of the
vertical displacements for the point located at the ground surface (point A), at
the crown of tunnel (point B) and at the invert (point C) in the reference inter-
mediate section, is plotted versus the distance to a current position of the tunnel
face. As a result of excavation, the curves representing points A and B show
downward movements as an effect of the increased loads transferred on the can-
opy and both supporting systems. These two curves are practically overlapped
which indicate that soil above the tunnel rigidly deforms and most of the deform-
ations occur at the base of tunnel. At the same time a gradual uplift presented
127
by the curve corresponding to the point C can be noticed. It is a result of the

finite elements deactivation which are characterized by the self-weight and thus,
a limited buoyancy effect appears. The curve progressively reaches the peak up
to the moment, when the final lining is placed. From that time on, the gradual
reference section reference section
I II
reference section reference section
III IV
(a) Sequence of phases
Distance from tunnel axis [m]

-80 -60 -40 -20 0 20 40 60 80
0.00
0.02
Vertical displacement [m]
(b) Transversal profiles
-0.06 A
-0.05
B Point C
-0.04
Vertical displacement, [m]
-0.03
C
-0.02
-0.01
-45 -35 -25 -15 -5 5 15 25 35 45
0
0.01
0.02
Point A-B
0.03
Longitudinal distance to the face, [m]
(c) Longitudinal profiles
Figure 5-36: Settlements induced by the different tunnelling operations
128
5.3. Case study
downward movement is observed for all three points which can be explained by
the fact that the rigid structure of final lining forms a closed ring. This structure
transfers loads through the bottom slab to the soil below, and thus soil under
the tunnel is not pushed inside the cavity by the canopy feet.
The mechanisms induced by the tunnelling process have been well described
by Mair and Taylor (1997), who mainly identified the extrusion of face and
ground loss of a tunnel cross-section. The latter one was explained as a result
of the lining contraction and the stress variation in the soil around the cavity.
In the case of the simulated tunnel, the induced effects on the tunnel structure
are summarily presented in the Figure 5-37. This Figure shows displacement
vectors obtained right after excavation for a part of the model near the tunnel
face. Looking at these vectors, it can be noted that they enter inside the cavity
from all directions which is caused by the stress relaxation in the surrounding
soil. This effect clearly demonstrates the three-dimensional nature of the induced
phenomena.
The face extrusion propagates ahead and above the cavity through subsoil
up to the ground surface, where is revealed as the downward movement. For
the case when a shallow tunnel is driven in the poor ground conditions, it can
lead even to the funnel failures as analysed by Egger (2001) and observed by
Croce et al. (2004). In the presented case study, the stability of the tunnel
face is provided by the combined role of the jet-grouted canopy and the face
reinforcement (see Figure 5-37(a)). The canopy forms a structure which limits
the propagation of deformations above the tunnel face and also reduces a force
(a) Soil (b) Jet-grouted canopy
Figure 5-37: Displacements computed for the HYPO+ISC model right after
excavation
129
necessary to obtain the stability, while the face reinforcement ties the portion of
soil ahead the tunnel face. Both of these measures significantly limit extrusion
of the face which results in a maximum displacement lower than 5 mm.
Looking at the tunnel contour (see Figure 5-37(a)), in the upper part (crown)
downward movement is observed, while an uplift of the soil is induced at the
bottom (invert). The latter one is partially generated by the change of the stress
state in the subsoil. Here, it needs to be noted that the convergence of the cross-
section and especially downward movement of the crown is significantly reduced
by the canopy and temporary lining. Moreover, some portion of the convergence
appears at the sides of the lower portion of canopy, which is evident by the
horizontal inward displacements. Sides of the canopy and temporary lining at
the bottom are more prone to deformations due to the missing invert. However,
this effect is reduced in the subsequent steps of the simulation, in which the final
lining is installed. The structure of the final lining forms a closed ring.
Finally, it can be seen that most of the induced settlements are connected
with the stresses concentration in the vicinity of the canopy foot, as it is shown
in the Figure 5-37(b). Looking at the field of vectors, it can be concluded that
auxiliary measures such as those adopted to improve the bearing capacity of the
foot of canopy, like micropiles or jet-grouting columns, or reduction of a distance
from the tunnel face to final lining are well motivated. A frequent solution is to
create a tunnel invert in a smaller distance from the excavation face, while the
remaining part is built right after the excavation.
130
Chapter 6
Tunnelling with EPB shield
6.1 Introduction
The influence of various technological aspects with regard to the technology in-
troduced in the Chapter 2 is studied with the reference to a real case study. Con-
sidering the quality and completeness of information available for the Bangkok
Metropolitan Rapid Transit Authority (MRTA) project (Suwansawat, 2002; Sur-
arak, 2010; Sirivachiraporn and Phienwej, 2012; Likitlersuang et al., 2013), this
example has been chosen as a reference for calibrating the numerical model im-
plemented to simulate mechanized tunnelling.
Bearing in mind this goal, a general description of the MRTA project is given
in the first part of this Chapter. The presented analysis is focused on a selected
portion of this project, adopted as a benchmark for the numerical simulations.
The geometrical characteristics of the tunnel, the details of the computational
model and the most relevant technological aspects are firstly introduced. The
characteristics of the subsoil obtained from various field and laboratory experi-
ments are later summarised in order to calibrate the adopted constitutive models.
In the subsequent part, a set of monitoring data is used to validate the computa-
tional model in comparison with the other predictive tools previously introduced
in the Chapter 4. This analysis allows to evaluate the capabilities of the presen-
ted model. Finally, the last part of this Chapter is devoted to a parametric
analysis, where selected technological parameters are parametrically varied to
evaluate their influence.
6.2 Overview of the MRTA Project

The City of Bangkok hosts over 8 million inhabitants in the central districts and
more than 14 million people (constituting 22% of whole country population) in
the whole metropolitan area. Such a huge number of inhabitants concentrated
in a relatively limited space (5,300 inhabitants/km2 ) needs efficient and modern
131
CHAPTER 6. Tunnelling with EPB shield
transportation system. Nowadays, the most efficient solution to move people in

metropolitan areas with a high density of population is to go underground with
transportation lines. The first underground project carried out by MRTA was
started in the year 1998, as a first part of the integrated transportation plan for
Bangkok. The official name of this project was changed in August 1999 to "The
Chaleom Ratchamongkhon Line" by His Majesty the King of Thailand. However,
it was not the first underground project in the history of the city, as tunnelling
dates back to 1970s, when a storm drainage tunnel with a diameter of 3.3 m
and 1.8 km length was built. From that time, various tunnelling methods were
used in different projects including cut-and-cover tunnels, mechanised open-face
shields aided by compressed air, slurry shield tunnels. Finally, the EPB shield
was found to be the most suitable for the Bangkok subsoil.
The MRTA Blue Line Project (Suwansawat, 2002) was built below a net of
heavy traffic roads in the city center. The whole project consists of 18 under-
ground cut-and-cover stations connected by two twin tunnels covering a total
length of about 20 km on each line. The railway starts at Hua Lamphong rail-
way station and ends at the Bang Su railway station (see Figure 6-1). Two
main sections can be distinguished in the project, the North Section (divided
into 2 subsections, A and B, each built by a different contractor) and the South
Section (divided into other two sections, C and D, each built by a different con-
tractor). The metro stations are generally excavated up to a depth of 20 ÷ 30 m,
retaining the surrounding earth with diaphragm walls of 1.0 to 1.2 m thickness.
The platforms used in the stations can be classified as stacked platform, side
platform and centre platform. Generally, stations have a length of 230 m, a
width of 25 m and a depth from 25 to 30 m below the ground surface.
The MRTA Blue Line, successfully completed in July 2003 and opened for
operation on 3 July 2004, has a level of current ridership during weekdays of
about 240,000. Since the year 2012, two extensions of Blue Line are under
construction for a total length of 25 km to finally create a closed loop around
the city center.
From a geologic viewpoint, the city of Bangkok is located in the Lower Central
Plain of Thailand, on the delta of Chao Phraya River (see Figure 6-2) at an
altitude of about 0.5 ÷ 1.0 m above the see level. In the metropolitan area
of Bangkok, the Chao Pray Plain forms a wide basin filled with sedimentary
materials. These deposits form a complex layered system of alluvial, fluvial and
deltaic sediments, as it is shown in the Figure 6-3. The depth of bedrock is not
exactly known, but some authors estimate that it may vary between 400 and
1800 m (Likitlersuang et al., 2013).
The aquifer system in the Bangkok region is very complex and its under-
standing has a significant role for the subsequent studies. According to Ram-
narong and Buapeng (1991), there are eight artesian aquifers named Bangkok,
Phrapadaeng, Nakornluang, Nonthaburi, Sam Khok, Phaya Thai, Thonburi and
132
6.2. Overview of the MRTA Project
Figure 6-1: Overview of MRTA Blue Line Project in Bangkok (Sirivachiraporn

and Phienwej, 2012)
Pak Nam, which are located at the depth of 50, 100, 150, 200, 300, 350, 450 and
550 m, respectively. The water supply for the Bangkok population mostly comes
from the Phrapadaeng and from Phaya Thai aquifers. Water in these aquifers is
almost exhausted and the supply for industry generally comes from the deepest
Thonburi and Pak Nam aquifers. Measurements done by Ramnarong (1983) in
the year 1974 have shown that water level in the Nakornluang aquifer dropped
by 30 m, which somehow increased up to 46 m in the year 1979. Archival re-
cords show that in the year 1954 the amount of pumped water from deep wells
was only about 8,360 m3 /day, then in the year 1974 it drastically increased to
133
Figure 6-2: Location of the Lower Central Plain of Thailand (Sinsakul, 2000)
371,000 m3 /day and then up to 1.4 mln m3 /day in the year 1983. More recent
studies (Ramnarong et al., 1998) estimate a total pumpage rate of about 2.2
mln m3 /day in the year 1997, dropping to 2 mln 3 /day in the year 2001 and 1.7
mln 3 /day in the year 2003.
It is quite obvious that pumping out such a huge amount of groundwater has
a noticeable impact on the subsoil. The water head distribution in the upper
part of sediments clearly indicates a piezometric drawdown in the upper highly
compressible clay layer (see Figure 6-4). Another crucial aspect connected with
the groundwater table drawdown is the subsoil consolidation which was studied
134
Figure 6-3: Hydrogeological block diagram of aquifer system in the Bangkok

area (Buapeng and Foster, 2008)
Figure 6-4: Piezometric pressure in the Bangkok subsoil after Surarak (2010)
135
starting from the year 1968 (Cox, 1968). The total amount of surface settlements
occurred in the region of Bangkok between the years 1933 and 1987 was estimated
to be equal to 1.6 m (Nutalaya et al., 1989). More particularly, in the region of
MRTA project the amount of subsidence was estimated to vary between 80 and
100 cm. The rate of consolidation in the annual period has been reported to vary
between 40 and 150 mm/year in the year 1978, decreasing up to 25-75 mm/year
in the year 1984 (Arup and Int., 1998). The south and west parts of MRTA
project were luckily subjected to the smallest value of settlements. Since the
year 1984 the settlement rate decreased to 15 mm/year due to the restriction of
ground water pumping introduced by the government in the year 1983, which
was confirmed by Ramnarong and Buapeng (1991), who reported a rate of 8-12
mm/year in the year 1989. Irrespective of this fact, in the years 1990 – 1994
the subsidence rate increased due to the further lowering of the groundwater
table. Currently, the whole Bangkok metropolis is undergoing subsidence at
a relatively uniform and constant rate of 5-20 mm/year (Phien-wej et al., 2006;
Aobpaet et al., 2013).
The extensive field and laboratory tests conducted during site investigation
for MRTA project allowed to divide Bangkok subsoil into several geotechnical
layers, as follows:
• Weathered Crust and Backfill Material (BM)

• Bangkok Soft Clay (BSC)
• Medium Stiff to Stiff Clay (MSC)
• Very Stiff to Hard Clay (HC)
• Medium Dense to Very Dense Sand (DS)
The subsoil conditions for North and South Sections are shown in the Fig-
ure 6-5 and each subsoil layer is briefly described below, based on the studies of
Suwansawat (2002); Surarak (2010); Sirivachiraporn and Phienwej (2012).
Weathered Crust and Backfill Material

The shallowest layer of subsoil is composed of a weathered crust from medium to
stiff clay and backfill material typically consists of road construction materials
(bituminous, concrete, loose to medium dense sand and gravel). Its average
thickness falls in the range from 2 to 5 m. The natural water content in this
layer varies from 10 to 25%, while the number of blows during the SPT tests
varies from 2 to 5, typical for particularly weak soils.
Bangkok Soft Clay

The layer of Bangkok Soft Clay was deposited in marine conditions and is gen-
erally described as soft dark grey clay with a trace of sand. Its thickness varies
from 3 to 12 m. Furthermore, the natural water content for this layer falls in the
136
(a) North Section
(b) South Section
Figure 6-5: Subsoil conditions in the South and North tunnelling sections after
Sirivachiraporn and Phienwej (2012)
range from 60 to 105%. Its undrained shear strength was estimated to vary from
10 to 25 kN/m2 . The Overconsolidation Ratio (OCR) values are in the range of
1 to 2 with typical value equal to 1.2. Bangkok Soft Clay is very well investigated
by various authors (Dong, 1998; Seah and Koslanant, 2003; Suits et al., 2003a,b;
Teachavorasinskun and Lukkunaprasit, 2004; Surarak et al., 2012), due to the
fact that foundations of most of the structures are placed in this layer.
137
Medium Stiff to Stiff Clay

Below the Bangkok Soft Clay there is a layer of medium stiff to stiff clay, with
its upper softer part formed of a dark grey to brownish grey coloured clay with
thickness variable from 2 to 4 m. Below, it becomes a stiff yellowish to light
greyish brown clay, up to a depth of 33 m. The water content varies from 31-
62% in upper part and decreases to 15-32% in the lower layer. The undrained
shear strength is found to vary from 26 to 47 kN/m2 for upper layer and from
75 to 162 kN/m2 for lower layer. The blows from the SPT tests vary from 9 to
35. A value of the OCR has been found to be equal to 1.65.
Very Stiff to Hard Clay

The layer of very stiff to hard clay has a colour from light grey to greyish brown
has been found below Medium Dense Sand. It is mostly located in the South
Section and in the North Section single lenses of this clay are present. A thickness
of stiff clay layer falls in the range of 10 to 12 m, while for hard clay it may reach
up to 20 m. The natural water content varies from 15 to 22% and the number
of the SP T blows is greater than 30. A value of the OCR has been estimated as
1.1.
Medium Dense to Very Dense Sand

The layer of sand is located below the stiff clay at the depths from 20 to 40 m.
The soil is a well grained sand with fine content in the range of 17-29%, having
a yellowish brown colour. The natural water content varies from 12 to 25%.
A number of the SP T exceeds 20. A very dense sand was encountered below
the layer of stiff clay up to the end of boreholes. It is a poorly graded silty sand
with silt having a yellowish brown to brownish grey colour. As usual for dense
sands, the number of blows from SPT test exceeds 50. This layer is often chosen
as the bearing layer in which piles tips are submerged.
To give better overview on the subsoil conditions in the vicinity of the

MRTA project, physical properties and some strength properties are given in
the Table 6.1.
138
Table 6.1: Physical properties and strength parameters for subsoil layers
after Balasubramaniam et al. (1976, 1978); Uddin (1995); Balasubramaniam
et al. (2007)
Properties Units BM1 BSC2 MSC3 HC4 DS5
Depth m 0-2 2-14 14-25 25- 25-60

Natural water
% 133±5 126±4 15-32 21±3 23±2
content
Natural voids ratio - 3.86±0.15 3.11-3.64 1.10-1.30 0.6* 0.6*
Grain size
distribution
Sand % 7.5 4 23 - -
Silt % 23.5 31.7 43 - -
Clay % 69 64.3 34 - -
*
Specific gravity - 2.73 2.75 2.74 2.74 2.75*
Liquid limit % 123±2 118±1 46±2 48±14 -
Plastic limit % 41±2 43±0.5 19±2 21±4 -
Dry unit weight kN/m3 5.69 6.18 11.80 16.8* 16.86*
Total unit weight kN/m3 13.03 13.60 17.12 20.0 20.54
Consistency - soft soft stiff stiff -
dark grey
to
brownish
Light
grey up yellowish
grey to
Colour - dark grey dark grey to brown
brownish
yellowish colour
grey
to light
greyish
brown
Degree of
% 95±2 98±2 97±3 98±3 99±1
saturation
Permeability m/s 1e−9 3e−9 1e−9 2e−9 1e−7
OCR - 1.3 1.3 1.65 1.1 1.5
1
2
Bangkok Soft Clay
3
4
Very Stiff to Hard Clay
5
*
Assumed value
139
Eight EPB shields were used to construct 20 km of two twin tunnels with
a cover ranging from 8 to 27 m (Suwansawat, 2002). Each tunnel has an outer
diameter equal to 6.3 m with a 30 cm thick segmental lining and is equipped
with the single-track metro line. As already mentioned, the project is divided
into 2 sections, named North Section and South Section which are divided into
2 subsections.
The North Contract was driven with the use of the four shields, 2 Kawa-
saki shields for Section A and another 2 shields from this same manufacturer
for Section B. The average advance rate of 63 and 72 m/week was respectively
reached for each section with the best weekly rate of 130 and 140 m. For the
South Contract, tunnelling was carried out with four shields, 2 Kawasaki shields
for Section C and 2 Herrenknecht shields for the Section D. Tunnelling perform-
ance was similar to the North Contract, with the average advance rate of 67 and
77 m/week with the best weekly rate of 197 and 200 m, respectively. Parameters
of all EPB shields used for both contracts and drive sequence with alignment
details are summarized, respectively in the Tables 6.2 and 6.3.
The excavation sequence for the North and South contracts is illustrated in
the Figure 6-6. For the Section A, tunnel driving for both lines were started from
Figure 6-6: Excavation sequence for North and South contracts (Sirivachira-
porn and Phienwej, 2012)
140
Thiam Ruam Mit (TRM) station at 23rd April 1999 for Southbound and at 30th
April 1999 for Northbound and finished arriving to Ratchada station. After it,
2nd drive for the southbound line was started from the TRM station and finished
in RAMA IX station. For the northbound driving was executed in the opposite
direction. 1st drive of Section B was started from Ratchada station at 16th
February 1999 for the southbound and at 19th March 1999 for the northbound
arriving to Phayon Yothin station. 2nd drive for both lines was started from
Bang Sue station and finished in Kampheangphet station. After this, 3rd drive
was started at Mo Chit station and finished in Phayon Yothin station. Last
drive was started at this same station as previous (Mo Chit) and finished at
Kampheang Phet. Section C of the South Contract was started at 9th June 1999
for Northbound and at 25th June 1999 for Southbound driving from Rama IX
station to station Sikirit center through completed intermediate stations. Section
D was started at the 24th July 1999 for Southbound and late August 1999 for
Northbound driving from Sikirit station through several completed stations up
to Hua Lampong station.
It is important to note that EPB shields for the North Section were designed
to drive through diaphragm walls with the so called “soft eye", which happen, e.g.
in the Ratchada station. For the South Section the diaphragm walls were broken
by cutters. An alternative use of this methodology was to drive a first tunnel
before station was excavated and then to create a station by use of the single-
track technology, which in fact creates the temporary tunnel section subsequently
removed.
141
Table 6.2: EPB shields used in the MRTA Project after Suwansawat (2002)
EPB Shield 1&2 3&4 5&6 7&8

Section A North B North C South D South
TRM - Ratchada
Ratchada - Bang Sirikit - Hua
Route TRM - Rama IX, Rama IX - Sirikit
Sue Lampong
Depot
Bilfinger &
Operator Nishimatsu Obayashi Kumagai Gumi
Berger
Specification
Manufacturer Kawasaki Kawasaki Kawasaki Herrenknecht
Shield Diameter 6.43 m 6.43 m 6.43 m 6.46 m
Typical Face Pres-
50 kPa 180 kPa 200 kPa 180 kPa
sure
Cutting wheel dia.
not including copy 6.43 m 6.43 m 6.43 m 6.48 m
cutter
Over-excavation Gap 6.5 cm 6.5 cm 6.5 cm 9 cm
Max. Copy Cutter
10 cm 10 cm 10 cm N.A.
Stroke
Overall Length 8.35 m 8.35 m 8.33 m 6.19 m
Articulation Number 1 (4.39/3.94) 1 (4.39/3.94) 1 (4.39/3.94) 1 (3.275/2.915)
Number of Jacks 20 x 200 tonne 20 x 200 tonne 40 x 100 tonne 40 x 100 tonne
Total Thrust Force 35630 kN 35630 kN 35630 kN 28300 kN
8 hydraulic
4 x 180 Kw 4 x 180 Kw 4 x 180 Kw motors powered
Cutter head drive
electric motors electric motors electric motors by 4 x 160 Kw
electric pumps
Opening Ratio of
60% 60% 60% 42%
cutter face
Grouting
Thixotropic Thixotropic Thixotropic Bentonite,
Type of Grouting cement / cement / cement / cement + Fly
bentonite bentonite bentonite Ash
Typical Pressure 2.5 bar 2 bar 2 bar >3 bar
Typical Quantities 1.8 m3 /m 1.8 m3 /m 2.2 m3 /m N.A.
Typical Grout Filling
120% 120% 120% 150%
Ratio
Muck Removal
Screw Conveyor, Screw Conveyor, Screw Conveyor,
Screw Conveyor
Operation Belt Conveyor & Belt Conveyor & Belt Conveyor &
& Pumping
Muck Car Muck Car Muck Car
Max. Screw Con-
312 m3 /hr 312 m3 /hr 312 m3 /hr 200 m3 /hr
veyor
Max. Belt Conveyor 150.0 m3 /hr - - -
Max. Pumping Rate - 150.0 m3 /hr - -
Typical Slurry Ad-
2.5 m3 /m 13.0 m3 /m N.A. 11.0 m3 /m
ditive Volume
Typical Excavated
45.0 m3 /m 55.0 m3 /m N.A. 51.0 m3 /m
Soil Volume
142
Table 6.3: Drive sequence of EPB shields after Suwansawat (2002)
EPB Shield 1&2 3&4 5&6 7&8

Section A North B North C South D South
TRM - Ratchada
Ratchada - Bang Sirikit - Hua
Route TRM - Rama IX, Rama IX - Sirikit
Sue Lampong
Depot
Bilfinger &
Operator Nishimatsu Obayashi Kumagai Gumi
Berger
SB 24-July-99
Tunnelling Start SB 23-Apr-99 SB 16-Feb-99 NB NB 9-Jun-99 SB
NB late August
Date NB 30-Apr-99 19-Mar-99 25-Jun-99
1999
Section Length (SB 6871 m, 1290 m, 4292 m, 2819 m,
7466 m 9888 m
& NB) 631 2459 m
Station Station
excavation excavation Skid TBM thru Skid TBM thru
TBM/Station inter- incomplete, move incomplete, move completed completed
face TBM between TBM between station boxes S8, station boxes S5,
drives except as drives except as S7 S4, S3, S2
noted noted
NB:-
TRM →
Ratchada drive RAT →
thru PRA Phahonyothin
SUT TRM → drive thru Lat
DEPOT Phoa
Driving Sequence Rama IX → Sirikit → Hua
Rama IX → Bang S →
Refer Figure 1 Sirikit Lumphong
TRM KamPP
SB:- Mo C →
TRM → Pahonyothin
Ratchada Mo C → KamPP
TRM → Rama
IX
199 rings from 231 rings from 164 rings from 167 rings from
Best week
both machines both machines both machines one machine
Best Day 41 rings 43 rings 35 rings 33 rings
Twin Tunnels Twin & Stacked
Twin Tunnels 18 Twin Tunnels 18 12-18 m apart Tunnels
Alignment
m apart m apart (<2 m in Asoke
Rd.)
Maximum Cover 22 m 22 m 20 m 27 (SB), 22 (NB)
Minimum Cover 15 m 8m 13 m 8m
Minimum horizontal
200 m 190 m 300 m 200 m
Curve Radius
Maximum Gradient +/ − 4% +/ − 2% +/ − 2% +/ − 3%
SB:-Stiff Clay &
Geological Condi- Stiff Clay & Stiff Clay & Mostly in Stiff
sand NB:-Soft -
tions dense fine sand dense fine sand Clay Layer
Stiff Clay
Max. Water Level
7m 7m 10 m 9m
above Invert
Thiam Ruam
Location of highest Lat Phrao - Sukhumvit -
Mit - Pracharat Silom - Sam Yan
Water pressures Phahonyothin Sirikit
Bumphen
143
6.3 Case study

6.3.1 Geometry
For the simulation of tunnelling, the North part of the project was chosen as ref-
erence. This section is located in the Section A of the MRTA project, between
the stations of Thiam Ruam Mitr and Pracharat Bamphen at around 20+700 km
chainage (see Figure 6-7). The distance between the stations is equal to 1200 m.
The tunnel with a depth to the springline equal to 18 m has a circular cross-
section with a diameter dictated by the shield size together with other technolo-
gical factors, such as overcut. Initially, the excavation diameter has been set up
to 6.52 m.
Thiam Ruam Mitr Pracharat Bamphen
reference section
Figure 6-7: Geometry of the analysed reference section between the Thiam
Ruam Mitr and Pracharat Bamphen stations (Suwansawat, 2002)
6.3.2 Computational model

The computational model has been created with the commercial finite element
code ABAQUSTM , considering that this code opens a wide range of possibilities
for the numerical modelling of various geotechnical problems. The ABAQUSTM
code may also interact with user-friendly interfaces by implementing scripts in
PythonTM programming language. This option is fundamental to iteratively
perform a parametric computation of the tunnel with the mechanized heading
machine. In the Figure 6-8, the diagram showing the working principle of the
implemented script is presented.
144
6.3. Case study
INPUT
PARAMETERS
PREPROCESSING SCRIPT
Part Interaction
Define geometry of: Specify the interactions, such as contact,
1. Soil block between regions of a model.
2. Shield
3. Grout backfilling
4. Lining
5. Wheels of backup trailer Load
Define loads, boundary conditions,
and fields.
Property
Define sections and materials properties,
and assign them to regions.
Mesh
Create a finite element mesh.
Assembly
Create and assemble part instances.
Job
Submit a job for analysis and monitor
its progress.
Step
Create and define the analysis steps
and associated output requests.
SOLVER
POSTPROCESSING
Figure 6-8: Python framework of the computational model
In the ABAQUS/CAE (Complete Abaqus Environment), there are 11 modules

(as listed below) responsible for different modelling tasks (Hibbitt and Sorensen,
2001).
• Part
• Property
• Assembly
• Step
• Interaction
• Load
• Mesh
• Optimization
• Job
• Visualization
• Sketch
145
In the presented case study not all of 11 modules are necessary to build and
run the model, and thus some of them have been omitted in the diagram. With
specific reference to tunnelling with the EPB shields, this framework gives the
possibility to include following aspects:
• precise geometry of shield, lining system and backup trailer

• variable boundary conditions for the face pressure
• variable boundary conditions for the tail void grouting
• loads corresponding to the trailer backup
• surcharge load
• in-situ stress and pore pressure distribution within soil
• realistic behaviour of natural and artificial materials by means of appro-
priative constitutive models
• construction sequence
In the following sections each aspect from the above list is presented in the
details, together with the parameters selected for the simulation of the MRTA
project. Furthermore, the written script automatically creates model based on
the initially prescribed inputs which greatly increases the utility of the presented
framework.
As the soil block in which simulation of tunnelling is performed is symmetric,
this can reduce the size of the studied field and the time for computation. It
means that the tunnel alignment is perfectly straight and no curvature has been
applied. The boundary conditions have been chosen to limit their influence on
the calculation results. Thus, the following distances have been adopted:
• the distance from the bottom of model to the top surface, Ds = 60 m

• the model width from the tunnel axis to the outer surface, Ws = 60 m
• the model length, Ls = 120 m
These conditions meet the requirements of Gunn (1993), who suggested that
a distance from the springline to the bottom of the model should be at least
> 2H while the transversal distance from the axis to the side of the block should
be bigger than three times the depth of the axis H. There is also a more subtle in-
fluence on the optimal distances from the boundary walls on the used constitutive
law describing the soil mechanical behaviour. In fact, the model characterised
by a higher non-linearity, e.g. variable stiffness in the small-strain range, tends
to concentrate deformations near the cavity and to give a narrower subsidence
profile in comparison with linear models.
Another way to validate the distance from the boundaries is to compare
the results between two sets of differently defined boundary conditions (British
Tunnelling Society and Institution of Civil Engineers, 2004). In the first set
displacements are fixed at the boundaries, while in the second one stresses are
fixed. For the well-constructed model differences of displacement and stress
146
6.3. Case study
fields computed at the boundaries between these two sets should be small, as the
real solution lies somewhere between. In the present case these differences were
smaller than 1%. The soil block geometry together with FEM discretization is
presented in the Figure 6-9. The mesh consists of 37694, 8-node linear brick,
stress/displacement and pore pressure elements with a full integration. These
elements are designated in the ABAQUS as C3D8P.
In the current version of the computational model, the structures located at
the ground surface can be simulated as surcharges applied on specified areas.
However, in the present simulation load on the ground surface has been omitted.
As in the previously shown simulation of the conventional tunnel, two differ-
ent computers were used to perform calculations. The first was a standard per-
sonal computer equipped with i7-3930K Intel R
processor (6 cores - 12 threads)
and 64 GB of memory. The second one, mostly used for a parametric analysis
was one of the computational nodes of the Polish Grid Infrastructure PL-GRID.
These nodes belong to the supercomputer of ACK Cyfronet AGH called Zeus
GPGPU and consists of two Xeon X5670 (6 cores) and 72 GB of memory and
18.0 m
6
4
60 m
5 3
Z 120 m
60 m
2 Y
X
1 top surface: u=0

2 bottom surface: Uz = 0; U Rx = 0; U Ry =0
3 symmetry surface: Ux = 0; U Ry = 0; U Rz =0
4 k to symmetry surface: Ux = 0; U Ry = 0; U Rz =0
5 front surface: Uy = 0; U Rx = 0; U Rz =0
6 k to front surface: Uy = 0; U Rx = 0; U Rz =0
Figure 6-9: FEM discretization of soil block with applied boundary conditions
147
2 GPU computing modules NVIDIA Tesla M2050 (kdm.cyfronet.pl, 2015). In

particular, the Zeus Cluster consists of 25468 cores of different architecture.
6.3.3 Subsoil characterization
The most realistic stratigraphy of subsoil is simulated by a block (see Figure

6-9), horizontally divided into four sublayers having thicknesses equal to 2, 12,
11 and 35 m, respectively for Made Ground, Soft Bangkok Clay, Medium Stiff
Clay and Dense Sand. The presented Python interface can reproduce any shape
of the surface between two contiguous layers. In the case of non-horizontal layers
a special care should be placed on the estimation of the initial stress state, as the
simple K0 procedure cannot be used. The physical parameters applied to each
layer taken from the literature (see Table 6.1) are summarized in the Table 6.4.
The initial horizontal effective stresses have been calculated using the at rest
earth pressure coefficient, introduced by Mayne and Kulhawy (1982), as:
K0 = (1 − sin φc ) OCRsin φc (6.1)
where K0 is the earth pressure coefficient at rest, φc is the critical state angle
and OCR is the overconsolidation ratio.
Furthermore, due to the water table drawdown, it was necessary to apply
a specific pore pressure distribution at the boundaries. In the initial step, specific
values of the pore pressure are applied on all soil block surfaces. After equilibrium
Table 6.4: Physical parameters and constitutive models parameters for subsoil
layers
Properties Units BM1 BSC2 MSC3 DS4
Depth m 0-2 2-14 14-35 35-60

Natural voids ratio - 3.86 3.3 1.2 0.6
Dry density kg/m3 580 630 1203 1719
Permeability m/s 1e−9 3e−9 1e−9 1e−7
Saturation - 1.0 1.0 1.0 1.0
OCR - 1.3 1.3 1.65 1.5
K0∗∗ - 0.68 0.59 0.64 0.46
1
2
Bangkok Soft Clay
3
4
5
Intergranular Strain Concept
**
148
6.3. Case study
u [kPa]
2 1 0
12 2
137
11 3
29
hydrostatic distribution
35 4
distribution after water

table drawdown
373
1 Weathered Crust and Backfill Material (BM)

2 Bangkok Soft Clay (BSC)
3 Medium Stiff to Stiff Clay (MSC)
4 Medium Dense to Very Dense Sand (DS)
Figure 6-10: Layers of soil block with applied distribution of pore pressure
has been reached; the surfaces 3 , 5 and 6 (see Figure 6-9) are released and
the fluid may flow through them in both directions. The subsoil profile with the
applied pore pressure distribution is shown in the Figure 6-10.
The mechanical behaviour of granular materials is here simulated with a hy-
poplastic constitutive model, firstly introduced by von Wolffersdorff (1996).
Whereas, the behaviour of a clayey material is simulated with the use of its
counterpart for clays introduced by Mašín (2005) and successively developed by
Mašín (2007, 2012, 2014a). In addition to their basic definitions, the presented
models include another definition of the stiffness in the small-strain range to-
gether with the ability to include past strain history and several other features.
Therefore, the extension of basic models called the ISC introduced by Niemunis
and Herle (1997) is used. Considering that the basic hypoplastic model for gran-
ular materials requires eight material parameters and the ISC extension requires
another five parameters, a total number of thirteen parameters needs to be as-
signed. On the other hand, the basic hypoplastic model for clays requires six
parameters and the ISC extension requires another six parameters; a total num-
ber of twelve parameters needs to be found in order to calibrate this model. The
mathematical formulations together with the explanation of the parameters of
each constitutive model are given in the Appendix A.
The mechanical behaviour of Bangkok subsoil was investigated at different
sites by many researchers. The availability of performed tests depends on the
149
subsoil layer and for most of them is very high. Despite of this circumstance,
only results from few tests can be found for the layer of hard clay and no results
for the dense to very dense sand layers. The performed laboratory and in-situ
tests along the overall tunnel extension can be classified as:
• triaxial compression and extension tests under fully drained conditions

• triaxial compression and extension tests under undrained conditions
• conventional oedometric consolidation tests
• constant rate strain consolidation tests
• in-situ vane shear tests
• in-situ self boring pressiometer tests
Despite of a large number of available experimental tests, just triaxial compres-

sion tests and oedometer tests were used for calibration. Moreover, only the
subsoil layers which appear in this chosen computational section are calibrated,
thus, the layers of a very stiff to hard clay were omitted. The constitutive
models were calibrated based on the triaxial compression and oedometer tests.
Both models reproduce the axisymmetric conditions and meshed with one 4-
node axisymmetric quadrilateral element with bilinear displacement and pore
pressure. Geometry with applied boundary conditions for those two tests are
shown in the Figure 6-11.
δ
P
(a) Triaxial compression test under un- (b) Oedometric consolidation test
drained conditions
Figure 6-11: Boundary conditions for the single element tests
150
6.3. Case study
6.3.3.1 Weathered Crust and Backfill Material (1st layer)

The only available information on the mechanical behaviour of a backfill ma-
terial are the effective parameters used for design. This information includes
the parameters of the Mohr-Coulomb failure criterion and the values of stiff-
ness (Suwansawat, 2002). The values of the effective cohesion and the friction
angle reported by Suwansawat (2002) are respectively equal to 0 kPa and 25◦ ,
while the Young‘s modulus and the Poisson‘s ratio are equal to 5 MPa and
0.3. The calibration of the shallowest subsoil layer is based on the results from
laboratory tests for Weathered Bangkok soft clay, reported in the literature by
Balasubramaniam et al. (1976) and Balasubramaniam and Hwang (1980). These
results pertain to anisotropic consolidation tests with different stress ratios and
undrained triaxial compression tests. The specimens with a diameter of 3.5 cm
and a height of 7.1 cm were cored from samples extracted at the depths of 2.5
to 3.0 m in the Nong Ngoo Hao Airport site. One isotropic and four anisotropic
consolidation tests were carried out. These tests correspond to stress ratios of
η equal to 0.0, 0.16, 0.43, 0.60 and 0.75. Firstly, the samples were isotropically
consolidated with the pressure of 13.8 kPa, then sheared in fully drained condi-
tions until the prescribed stress ratio was reached. The variations of a void ratio
with mean normal stress for all five tests at different stress ratios are plotted in
the Figure 6-12(a).
For the undrained triaxial tests the specimens were pre-sheared at pressures
equal to 103.4, 206.8, 275.8 and 413.7 kPa. The pressure in the chamber was
then kept constant in undrained conditions. In the Figure 6-12(b) the effective
stress paths, similar for all tests, are plotted. The critical state parameter M cs
was found to be equal to 0.9, which corresponds to the critical state friction angle
equal to 23◦ . The relationship between deviator stress and axial strain recorded
during shearing for different consolidation pressure is shown in the Figure 6-12(c).
As already introduced, the hypoplastic constitutive model for clays (see Ap-
pendix A.3) was chosen to simulate the mechanical response of clayey materials.
The required parameters of these models were calibrated performing simula-
tion of oedometer test and triaxial undrained tests under different consolidation
pressures. The position and the slope of the isotropic normal compression line
in the ln(1 + e) vs p space expressed in terms of N cl and λ* was found from the
former tests to be equal, respectively, to 2.2 and 0.2. The slope of the unloading
line κ* was found to be equal to 0.03. The parameter νpp which controls the
shear stiffness was directly calibrated by relating the results from the undrained
triaxial tests to the simulations of those tests having a value of 0.21. The re-
maining parameter αG is so-called coefficient of anisotropy and was taken from
the studies performed by Mašín and Rott (2013) and is equal to 1.2. To show
the performance of calibration, simulations for all tests are plotted as continuous
lines in the Figure 6-12 and all parameters are reported in the Table 6.5.
151
1.6 500
M=0.9
experiments
1.5 simulation
400 σ3 = 103 kPa
1.4

σ3 = 207 kPa
1.3 σ3 = 276 kPa
ln(1+e) [−]
300
σ = 414 kPa
1.2 3
1.1 200
experiments
1 simulation
η = 0.0
η = 0.16 100
0.9 η = 0.43
η = 0.60
η = 0.75
0.8 0
1 2 3
10 10 10 0 100 200 300 400 500
Mean normal stress, p [kPa] Mean stress, p [kPa]
(a) Oedometer tests plotted as ln(e + 1) vs (b) Triaxial tests plotted as stress paths
mean normal stress
200
150
100
experiments
simulation
σ3 = 103 kPa
50 σ3 = 207 kPa
σ3 = 276 kPa
σ3 = 414 kPa
0
0 0.05 0.1 0.15 0.2
Axial strain, εa [−]
(c) Triaxial tests plotted as deviatoric stress

vs axial strain
Figure 6-12: Calibration of constitutive model for Weathered Bangkok Clay
Table 6.5: Parameters of constitutive model for Weathered Crust and Backfill
Material
Basic hypoplastic model for clays
Parameters φc λ* κ* N cl νpp αG
Units [deg] [-] [-] [-] [-] [-]
23.0 0.2 0.03 2.2 0.21 1.2
152
6.3. Case study
6.3.3.2 Bangkok Soft Clay (2nd layer)

Most structures in the city of Bangkok have their foundations resting in the
second layer named Bangkok Soft Clay. Thus, more data can be found in the
literature including triaxial extension tests. This layer is more competent than
the overlying one, as demonstrated for instance by the undrained strength para-
meter Su equal to 20 + 3.5(z − 7) kPa, where z is a depth below ground sur-
face. The effective friction angle is equal to 23◦ and the Young‘s modulus to
6250 + 900(z + 7) kPa (Suwansawat, 2002). The results from the laboratory
tests reported by Balasubramaniam et al. (1976), Likitlersuang (2003) and Seah
and Koslanant (2003) have been used to calibrate the constitutive model of the
Bangkok Soft Clay. Those tests were mostly carried out at the Asian Institute
of Technology and can be grouped into conventional consolidation tests, con-
solidation tests with the Constant Rate of Strain (CRS) and undrained triaxial
compression tests. Various consolidation tests including, e.g. conventional tests
and those with the constant strain rate and radial or vertical flow with strain
rates of 2 − 10e−6 at different consolidation pressures are summarized in the
Figure 6-13(a). Somehow consolidation curves for all tests are similar and mean
isotropic loading and unloading curves can be easily founded. For the sake of
constitutive model calibration, results are presented in the ln(1 + e) vs p space.
For the undrained triaxial tests, specimens were sheared from pre-shear con-
solidation pressures equal to 137.9, 275.8 and 413.7 kPa. The pressure in the
chamber maintained constant with undrained conditions. In the Figure 6-13(b)
the effective stress paths are plotted which after scaling through mean equivalent
pressure are also found to be similar for all tests. The critical state parameter
M cs is found to be equal to 1.15, which corresponds to the critical state fric-
tion angle equal to 28.8◦ . The relationship between deviatoric stress and axial
strain recorded during shearing of specimens for different consolidation pressure
is presented in the Figure 6-13(c).
The required parameters of basic hypoplastic model for clays (Mašín, 2014a)
were calibrated performing simulation of oedemeter test and triaxial undrained
tests under different consolidation pressures. The position and slope of the iso-
tropic normal compression line in the ln(1 + e) vs p space, expressed in terms
of N cl and λ* , was found from the former test and is equal, respectively, to 1.85
and 0.17. The slope of the unloading line κ* was found to be equal to 0.02. The
parameter νpp which controls the shear stiffness was directly calibrated by re-
lating results from the undrained triaxial tests to the simulations of those tests,
having a value of 0.14. The remaining parameter αG , the so-called coefficient
of anisotropy, was taken from the studies performed by Mašín and Rott (2013)
and is equal to 1.2. To show the calibration performance, the simulated curves
for all tests are plotted as continuous lines and shown in the Figure 6-13. The
parameters of the constitutive model are reported in the Table 6.6.
153
1.3 500
M=1.15
experiments
1.2 simulation
400 σ3 = 138 kPa
1.1

σ3 = 276 kPa
1 σ3 = 414 kPa
ln(1+e) [−]
300
0.9
0.8 200
experiments
0.7 simulation
CRS−7
CRS−8 100
0.6 CRS−9
CRS−14
CRS−31
0.5 0
1 2 3
10 10 10 0 100 200 300 400 500
mean normal stress
300
250
200
150
experiments
100 simulation
σ3 = 138 kPa
50 σ = 276 kPa
3
σ3 = 414 kPa
0
0 0.05 0.1 0.15 0.2

vs axial strain
Figure 6-13: Calibration of constitutive model for Bangkok Soft Clay
Table 6.6: Parameters of constitutive model for Soft Bangkok Clay
Units [deg] [-] [-] [-] [-] [-]
28.8 0.17 0.02 1.85 0.14 1.2
154
6.3. Case study
6.3.3.3 Medium Stiff to Stiff Clay (3rd layer)

The mechanical behaviour of the third layer referred as the Medium Stiff to
Stiff Clay is characterized by giving an undrained shear strength Su equal to
120 kPa, an effective friction angle to 26◦ and an undrained stiffness Eu equal
to 52.8 MPa, as reported by Suwansawat (2002). The hypoplastic constitutive
model to simulate the mechanical behaviour of this layer is calibrated with the
results from the laboratory tests reported in the literature by Hassan (1976) and
Seah and Koslanant (2003). These results include conventional oedometer tests,
oedometer tests with the CRS and isotropically consolidated triaxial undrained
tests. The samples with a diameter of 63.5 mm and a height of 20 mm were
cored at a depth of 19.5 m from boreholes drilled along the Bangkok-Chonburi
new highway (see Seah and Koslanant (2003)). Three following series of tests
were then carried out: a conventional oedometer test designated as OED-36,
a consolidation test with radial flow conditions designated as CRS-R-36 and
a consolidation test with vertical flow conditions designated as CRS-V-36. The
tests with radial flow have been performed with the constant rate of strain of
2.2 · 10−6 1/s, while for the tests with vertical flow, the rate of strain was equal
to 3.3 · 10−6 1/s. The variations of the void ratio with mean normal stress for all
three tests are given in the Figure 6-14(a).
For the undrained triaxial tests specimens were sheared from the pre-shear
consolidation pressures equal to 137.9, 275.8 and 413.7 kPa (see Hassan (1976)).
The pressure in the chamber was maintained constant with undrained conditions.
In the Figure 6-14(b) the effective stress paths are plotted which are found to
be similar for all tests. The critical state stress ratio M cs is found to be equal
to 1.2, which corresponds to the critical state friction angle equal to 30◦ . The
relationship between deviatoric stress and axial strain recorded during shearing
for different consolidation pressure is shown in the Figure 6-14(c).
The required parameters of the hypoplastic model for clays (Mašín, 2014a)
were calibrated performing simulation of the oedemeter consolidation test and
the triaxial undrained tests under different consolidation pressure. The position
and slope of the isotropic normal compression line in the ln(1 + e) vs p space,
expressed in terms of N cl and λ* , was found from the former test to be equal,
respectively, to 1.45 and 0.16. The slope of the isotropic unloading line κ* was
found to be equal to 0.01. The parameter νpp , which controls shear stiffness was
directly calibrated by relating the results from the undrained triaxial tests with
the simulations of those tests having a value of 0.25. The remaining parameter
αG , the so-called coefficient of anisotropy was assumed to be equal to 1.2 (Mašín
and Rott, 2013). To show the calibration performance, simulations for all tests
are plotted as continuous lines in the Figure 6-14. Parameters of the calibrated
constitutive model are reported in the Table 6.7.
155
0.8 600
M=1.2
experiments
simulation
500
0.7 σ3 = 69 kPa

σ3 = 276 kPa
400 σ3 = 414 kPa
0.6
ln(1+e) [−]
300
0.5
experiments 200
simulation
0.4 OED−36
CRS−V−36 100
CRS−R−36
0.3 0
1 2 3
10 10 10 0 200 400 600
mean normal stress
600
500
400
300
experiments
200 simulation
σ3 = 69 kPa
100 σ = 276 kPa
3
σ3 = 414 kPa
0
0 0.05 0.1 0.15 0.2

vs axial strain
Figure 6-14: Calibration of constitutive model for Stiff Clay
Table 6.7: Parameters of constitutive model for Stiff Clay
Units [deg] [-] [-] [-] [-] [-]
30.0 0.16 0.01 1.45 0.25 1.2
156
6.3. Case study
6.3.3.4 Medium Dense to Very Dense Sand (4th layer)

For the deepest recognized layer of the Bangkok subsoil, here referred as the
Medium to Very Dense Sand, there is a lack of laboratory tests all over the
depth of deposition which varies from 20 to 40 m. Only few information can be
found in the literature about this subsoil layer (Suwansawat, 2002; Jongpradist
et al., 2012). The former authors reported the design friction angle equal to 36 ◦
and cohesion equal to 0 kPa. Jongpradist et al. (2012) assumed the same value
for the friction angle, while the dilation angle was assumes as equal to 0 ◦ and
a Young‘s modulus equal to 80 MPa. Indeed, the value of the dilation angle is
unrealistic for the dense sand and in the present study it has been calibrated for
the results obtained on the Hochstetten dense sand (von Wolffersdorff, 1996).
Based on the same reference, the initial void ratio was assumed as equal to 0.6.
Based on these parameters, three drained triaxial tests have been simulated
with a linear elastic perfectly plastic constitutive model associated with the
Mohr-Coulomb failure criterion. The confining pressure was set to be equal
to 180, 250, 400 kPa, which falls in the range of initial horizontal effective stress
typical for this layer. The results of the triaxial tests simulations are illustrated
as two plots of:
• Deviatoric stress vs axial strain, Figure 6-15(a)
• Volumetric strain vs axial strain, Figure 6-15(b)
In order to obtain a more realistic response of the dense sand, a more ad-
vanced constitutive model, i.e. the basic hypoplastic model for granular materi-
als (von Wolffersdorff, 1996) was chosen. Its mathematical formulation together
3000 0.1
2500 0.08
Volumetric strain, εv [-]
2000 0.06
1500 0.04
1000 0.02
Hypoplasticity Hypoplasticity
Mohr-Coulomb Mohr-Coulomb
500 σ 3 = 180 [kPa] 0 σ 3 = 180 [kPa]
σ = 250 [kPa] σ = 250 [kPa]
3 3
σ = 400 [kPa] σ = 400 [kPa]
3 3
0 -0.02
0 0.05 0.1 0.15 0.2 0 0.05 0.1 0.15 0.2
Axial strain, ε [-] Axial strain, ε [-]
(a) Deviatoric stress vs axial strain (b) Volumetric strain vs axial strain
Figure 6-15: Results of the drained triaxial tests simulations for σ3 equal to
180, 250 and 400 kPa
157
with the explanation of parameters are given in the Appendixes A.2 and A.4.
The results of the simulations performed with the Mohr-Coulomb model are used
as a reference to calibrate the hypoplastic model. Clearly, the possible range of
the parameters is very wide which results in ability to simulate behaviour of
various granular materials. In order to solve this issue and to have more realistic
and meaningful parameters, some of them were chosen to be equal to parameters
for the Hochstetten dense sand (von Wolffersdorff, 1996). The complete list of
parameters of used constitutive models is reported in the Table 6.8.
Table 6.8: Parameters of constitutive models for dense sand
Parameters E φ ψ c
Units [MPa] [deg] [deg] [kPa]
80 36 14* 0
Basic hypoplastic model for granular materials
Parameters φc hs n ed0 ec0 ei0 α β

Units [deg] [GPa] [-] [-] [-] [-] [-] [-]
36 1.5 0.28 0.55 0.95 1.05 0.25 1.5
*
Calibrated based on the simulation of Hochstetten sand with the hypoplastic model
The simulation of drained triaxial tests with the hypoplastic model in the
same conditions of the Mohr-Coulomb model was performed again and the results
were presented in the two plots of the Figure 6-15.
6.3.3.5 Shear stiffness in the small-strain range
The role of soil stiffness at small-strains, in the range of 1e−2 ÷ 1e−6 has been
investigated by many researchers and discovered to have a meaningful influence
on the ground deformation pattern. In this range, the soil is much stiffer com-
pared with the normally measured one, i.e. above 1e−2 . Nowadays, the value
of the stiffness in the small-strain range (expressed as Gmax ) can be measured
for instance by the local strain transducers or by measuring the velocity of shear
waves. During a numerical simulation of tunnelling process with the use of con-
stitutive model including stiffer response in this small-strain range, the most
evident and tangible effect is the much narrower profile of the surface subsid-
ence with a reduced maximum value. The studies of the parameter Gmax for the
Bangkok subsoil were carried out by Dong (1998), Theramast (1998), Warnitchai
et al. (1996), Teachavorasinskun and Lukkunaprasit (2004), Likitlersuang and
Kyaw (2010), Ratananikom et al. (2013) and Ashford et al. (1996) for the differ-
ent sites around the city of Bangkok. The profile of Gmax values through subsoil
158
6.3. Case study
obtained from the studies of Dong (1998) and Theramast (1998) is presented in
the Figure 6-16.
The mechanical behaviour in the small-strain range is included in the basic
hypoplastic model for both, clays and granular materials, adding an extension
named Intergranular Strain Concept (ISC) (Niemunis and Herle, 1997). This
extension can predict higher stiffness in the small-strain range together with re-
cent stress history effects. Therefore, they can be now used to simulate problems
with the several strain path reversals and during the cyclic loading. Details of
the mathematical formulation with a definition of parameters are given in the
Appendix A.4. The values of the parameters Ag , ng and mR were calibrated on
the basis of the results from experimental tests.
The parameters mrat = mT /mR (for clays) and mT are difficult to calibrate
as they relate G0 to G90 , which correspond respectively to initial shear stiffness
and stiffness after 90◦ change of the stress path direction. However, based on the
studies performed by Richardson (1988), the parameters mrat and mT can be
Seismic cone (Dong, 1998)

Bender element (Theramast, 1998)
5 Downhole (Teachavorasinskun &
Lukkunaprasit, 2004)
Downhole (Ashford et al., 1996)
Downhole (Warnitchai et al., 1996)
Simulation
10
Depth, [m]
15
20
25
30
0 50 100 150 200
Shear modulus, G max [GPa]
Figure 6-16: Comparison of the parameter Gmax from various laboratory and
in-situ tests with calibrated values after Likitlersuang et al. (2013)
159
set to be equal to ≈ 0.7. The remaining parameters R, βr and χ are responsible

for the degradation of the stiffness curve which is often defined by the reference
shear strain threshold γ0.7 defined as the shear strain at the ratio G/Gmax equal
to 0.7. The values of shear strain threshold for different subsoil layers have been
adopted based on the studies performed by Likitlersuang et al. (2013). The
author performed calculations using Vucetic and Dobry (1991) and Ishibashi
and Zhang (1993) methods and obtaining a value of γ0.7 for the Weathered
Crust equal to 8.5e−4 , 7.5e−4 for Bangkok Soft Clay and 1e−3 for the Medium
Stiff to Stiff Clay. A value of the parameter R is set up to 1e−4 and the two
remaining parameters βr and χ, are calibrated based on the above values of the
parameter γ0.7 . The calibrated stiffness degradation curves are shown in the
Figure 6-17 and corresponding parameters of the ISC model for all four layers
are summarized in the Table 6.9. For the Dense Sand all values of parameters
were taken from the literature for the calibrated Hochstetten sand (Niemunis
and Herle, 1997).
Table 6.9: Parameters of constitutive models for small-strain range
Intergranular Strain Concept (ISC) for clays
Parameters Layer R βr χ Ag ng mrat

Units [-] [-] [-] [-] [kPa] [-] [-]
WC1 1e−4 0.023 1.0 1500 0.5 0.7
BSC2 1e−4 0.003 1.0 1500 0.5 0.7
MSC3 1e−4 0.001 1.0 70 1.3 0.7
Intergranular Strain Concept (ISC) for granular materials
Parameters Layer R βr χ mR mT
Units [-] [-] [-] [-] [kPa] [-]
DS4 1e−4 0.5 6 5 2
1
2
Bangkok Soft Clay
3
4
160
6.3. Case study
8 16
γ0.7 γ0.7
Shear stiffness, Gmax [MPa] 7 14
Shear stiffness, Gmax [MPa]

6 12
5 10
4 8
3 6
2 4
1 2
0 0
-1 -2
10-5 10-4 10-3 10-2 10-1 10-5 10-4 10-3 10-2 10-1
Shear strain, γ s [-] Shear strain, γ s [-]
(a) Weathered Crust and Backfill Material (b) Bangkok Soft Clay
200
120
γ0.7
γ0.7
100 150
80
60 100
40
50
20
0
0
-20 −5
10-5 10-4 10-3 10-2 10-1 10
Shear strain, γ s [-] Shear strain, γs [−]
(c) Medium Stiff to Stiff Clay (d) Medium Dense to Very Dense Sand
Figure 6-17: Calibrated stiffness degradation curves for Bangkok subsoil layers
6.3.4 Technological aspects
6.3.4.1 Shield heading machine
The complex geometry of the shield can be precisely reproduced with the com-
putational model. This aspect is crucial as it influences the amount of soil con-
traction during the shield passage. For instance, the model includes an overcut
and a conical shape of the shield together with the tapering off in the back and
they are, at least in principle, related to the contraction of the cavity.
The former aspect is included by simply assuming a larger diameter of the
excavation in the soil block than for the cutter. However, in the presented
161
case, the shield produced by Kawasaki had a perfectly cylindrical shape with a
diameter D equal to 6.52 m and with a length of 8.35 m. Its geometry with the
FEM discretization is presented in the Figure 6-18. The finite element mesh for
this structural part was created with 240, 8-node linear brick, fully integrated,
stress/displacement elements designated as C3D8. During advance, the shield
may slightly pitch due to a heterogeneous interaction between the shield skin
and surrounding soil. Nowadays, shield pitching can be precisely controlled with
hydraulic jacks reducing the possible excess of the volume loss due to the positive
pitch towards to the ground surface. This aspect was omitted in the presented
model assuming that the tunnel alignment is perfectly horizontal.
The deformability of the shield and penetration of the grout (injected through
shield skin) within the gap formed by the shield and surrounding soil is neglected.
These two factors may have an influence on the possible volume loss during shield
passage. Shield deformability may also affect the pattern of soil deformation and
increase the volume loss especially in the region of shield tail. On the other hand,
the penetration of the pressurized grout can reduce volume loss.
1 4 6.52 m
2
3
2.78 m
8.35 m
1 shield
2 pitching angle
3 total self-weight of shield and all equipment
4 face pressure with hydrostatic distribution
5 translation vector for shield advance
Figure 6-18: FEM discretization for shield heading machine with applied
boundary conditions
162
6.3. Case study
The self-weights of all shield components, e.g. cutting wheel, electric motors,
hydraulic jacks, submerged wall, etc., are not included as individual forces but
as resultant concentrated force in the 1/3 of a shield length from the tunnel face.
The total weight of the EPB shield was assumed to be equal to 3000 kN.
To model the pressure acting on the tunnel face, representing the pressurized
earth paste in the excavation chamber, a membrane model with an impermeable
filter cake at the face surface is used (Mueller-Kirchenbauer, 1977). This cake
perfectly seals the surface and transfers the external loads, expressed as the total
stress (σ), i.e. acting simultaneously on the soil skeleton (σ 0 ) and the pore water
(u). This situation gives an increase of the pore pressure which is later dissipated
with time (Nagel, 2009):
σ(z) = p(z)f ace (6.2)
where σ is the total stress as a function of depth z, and p(z)f ace is the distribution
of pressure with a depth. Various possible boundary conditions for different
modes of the filter cake are shown in the Figure 6-19. Due to the self-weight
of the paste, the total stresses applied on the face vary linearly with a depth,
according to the bulk density. Undoubtedly, this schematization is a simplified
representation of the earth paste pressure. In fact, in the real case due to the
muck discharge achieved by the screw conveyor, the pressure drops in the lower
part of the excavation chamber (see Chapter 2). The distribution of the pressure
with a depth applied at the face can be expressed as:
p(z) = pfaxace + z · pfgrad

ace
(6.3)
where p is the linear variation of the face pressure with a depth z, while pfaxace
is the value of face pressure at the tunnel spring line and pfgrad
ace
is the gradient
of pressure calculated from the paste weight. For the presented case the value
Figure 6-19: Boundary conditions for the modes of the filter cake after Nagel
(2009): a) stresses in the three-phase continua, b) impermeable cake with no
filtration, c) no filter cake
163
of pfaxace was assumed to be equal to 120 kPa and the gradient pfgrad
ace
equal to
15.7 kPa/m.
To completely define the shield, a contact interaction between the shield and
soil needs to be included. The contact behaviour in the normal direction has
been modelled using "hard" contact relation with a possible separation after it.
When two surfaces are in contact, pressure is transmitted from one to another
surface without any loss. In the tangential direction, the contact was simulated
using the Coulomb friction model with a constant friction coefficient µ equals to
0.15.
6.3.4.2 Tail void grout
After the passage of shield, a gap is formed between the surrounding soil and
the newly installed lining elements. As this tail void gap can generate significant
subsidence, it needs to be backfilled with the grout. This aspect was widely
discussed in the Chapter 2.
The grout backfill is modelled with a thin layer as can be seen in the Figure
6-20(a). During the shield translation, the layer of grout is activated together
with the lining elements. Its width is assumed to be equal to the width of
lining elements (1.2 m), while its thickness, coming from the shield and lining
geometry, is equal to 18 cm. This layer was meshed with cubic 8-node tri-
linear, displacement and pore pressure fully integrated hybrid elements with
constant pressure (C3D8PH). In the vicinity of the intermediate section, this
layer consists of 640 finite elements, while 40 finite elements are used for each
part of the remaining section. It is noted that the finite element mesh has a great
influence on the simulation of grouting effect. In fact, models with a “poor” mesh
cannot simulate this effect, thus well refined mesh and/or full integration of finite
elements are needed for both, surrounding soil and grout elements.
In the view of the role of the grout backfilling, the mechanical response of
this material should be considered with caution. The model used for grout in the
presented analysis is a linear elastic model with the time-dependent stiffness and
permeability due to the hydration of the cement paste (Meschke et al., 1996).
The model has been implemented in the Fortran code based on the mathematical
framework presented in the Appendix A.6. The implementation of the model
is given in the Appendix B. Early aged grout mortar behaves like water, thus
the Poisson‘s ratio can be assumed to 0.48 (i.e. slightly lower than 0.5, as this
value leads to instability of the calculations). With the hydration process a value
of the Poisson‘s ratio reduces to 0.2. However, in the computational model, its
constant value has been used (0.48), assuming that right after the injection its
influence on the results is the most significant which then somehow fades out.
A similar negative effect to this presented for fully and reduced finite elements
164
6.3. Case study
integration can be observed when the early-age stiffness of grout is relatively

high and thus the expansion due to the applied pressure is limited.
3 3
2 2
1 5
4
(a) Tail void grout (b) Final lining

1 grout backfilling
2 lining elements
3 surrounding soil
4 grouting pressure with hydrostatic gradient
5 jack forces applied on the lining
Figure 6-20: FEM discretization and boundary conditions for supporting sys-
tem with tail void backfilling
To model the change of the permeability with time, the following expression,
proposed by Kasper and Meschke (2004) is used:
k(t) = (k0 − k28 ) e−βt + k28 (6.4)
where t corresponds to the current time, k0 is the initial permeability coeffi-

cient at time 0, k28 is the permeability after 28 days of hydration and β is the
curve shape parameter. The Figure 6-21 shows the variation of stiffness and
permeability with time for different values of the curve shape parameters.
The pressure of grout injected through the nozzles located in the shield skin
is reproduced with two components: the first is the total stress applied at the
transversal side of the grout elements; the second component is the pore pressure
applied at the same elements faces. These conditions can be summarized as:
p(z) = pgrout
ax + z · pgrout
grad (6.5)
165
where p is the linear variation of grout pressure with a depth z, pgrout

ax is the
value of grouting pressure at the tunnel spring line and pgrout
grad is the gradient
of pressure calculated from the weight of grout. A value of 150 kPa was used
for the pgrout
ax and 9.81 kP a/m for the pgrout
grad . The position of these boundary
conditions is updated during step of the shield translation. Conditions at the
previous position (elements) are deactivated and reactivated at the new position.
5
10-2
4 k0
Youngs modulus [GPa]
10-4
Permeability [m/s]
3
10-6
2
1 10-8
k 28
0 -10
−2 −1 0 1 2 10
10 10 10 10 10 0 4 8 12 16 20 24 28
Time [day] Time [day]
(a) Stiffness (b) Permeability
Figure 6-21: Stiffness and permeability variation with time for grout backfilling
6.3.4.3 Tunnel lining
The tunnel lining in the computational model was considered as a ring with
a width of 1.2 m, a thickness of 0.3 m and an outer diameter equal to 6.3 m. The
decomposition of the supporting ring into single lining segments connected with
joints was omitted. This ring is meshed using 8-node linear brick, stress/dis-
placement elements with full integration, designated as C3D8. In the vicinity
of the section chosen for the analysis, this layer consists of 5120 finite elements,
while for the remaining parts, 40 finite elements have been used. The linear
elastic model without a failure was selected to simulate the mechanical response
of prefabricated concrete elements. The value of Young‘s modulus has been as-
sumed to be equal to 31.5 GPa and the Poisson‘s ratio equal to 0.2. This simple
constitutive model is widely used to simulate the mechanical behaviour of con-
crete and the use of more advanced models is unnecessary, since a constitutive
law has minor influence on deformation and internal forces than the surrounding
soil.
166
6.3. Case study
The hydraulic jacks push the shield forward into the soil leaning on the
previously installed lining elements. The forces generated inside those jacks
result from two components: the first is the counteracting force from the face
pressure; the second is the friction between shield and surrounding soil. Since
the value of the force from the second component is difficult to determine, it has
been neglected in the presented analyses. The applied loads and the geometry
together with the FEM discretization of the modelled lining are presented in the
Figure 6-20(b). In order to obtain accurate values of the internal forces in the
tunnel lining, it is necessary to refine mesh up to a minimum number of finite
elements through its thickness. Eight finite elements were used in the presented
model which is in accordance with the findings of Jie et al. (2013). The values
and distribution of applied pressure are equivalent to the pressure applied at the
tunnel face.
6.3.4.4 Trailer load
Due to the lack of the information about the backup trailer for the MRTA project,
the following assumption based on the study performed by Kasper and Meschke
(2004) has been made. The total length of the trailer has been set to 72 m with
the transversal spacing of 3 m and the total weight of 3980 kN. Configuration of
the trailer loads together with geometry are presented in the Figure 6-22(b).
The loads from the backup trailer are simulated as surface pressure acting
on small single 8-node linear brick fully integrated elements (C3D8) representing
trailer wheels. Elements are standing on the inner surface of lining, and thus
loads are transferred from the trailer to the lining system. The contact between
(a) Simulation of trailer wheel (b) Configuration of the backup trailer after
Kasper and Meschke (2004)
Figure 6-22: FEM discretization and boundary conditions for supporting sys-
tem with tail void backfilling
167
these two elements is assumed only via normal forces. In the tangential direction,
frictionless conditions are defined in order to simulate conditions of the rolling
wheel along the rail. During the shield translation, position of trailer wheels
is constantly updated by prescribing specific values of the displacements at the
boundary of the cubic elements. As deformability of single cube is irrelevant, a
perfectly rigid material without a failure criterion was assumed for those finite
elements.
6.3.4.5 Computational steps

The simulation of a tunnel advance is performed using repetitive steps, repro-
ducing two technological aspects: in the 1st step the shield is pushed forward
against the previously installed lining elements; in the 2nd step installation of
the support system is performed. Together with the additional steps required
for the calculation of the initial state and consolidation after tunnel driving, the
computational steps can be defined as:
• Steps to obtain initial state:

– A steady-state coupled pore fluid diffusion/stress analysis for the con-
ditions of a non-vertical hydrostatic equilibrium. This step is com-
pulsory due to the steady-state flow induced by the water table draw-
down. To calculate distribution of effective stresses in the subsoil
layers, a gravitational procedure with assigned values of K0 is used.
In this step, the gravity loading is applied as a vector of acceleration
uniformly acting on all finite elements having a defined density with
the constant magnitude equals to 9.81m/s2 . All structural elements
representing shield, tail void backfilling and segmental lining are de-
activated. Thus, after reactivation of any structural element in the
subsequent step, self-weight based on the material density is included.
– An analysis of the geostatic stress field in order to equilibrate the
previously calculated initial stress field with the applied gravitational
load and fixed boundary conditions. In this step, possible subsoil
deformations (usually in the order of ≈ 1e−3 ÷ 1e−4 ) arising after
the former step are reduced to an acceptable level, negligible for the
further analyses. A reduction to the level of ≈ 1e−5 is achieved by
slight modification of the initial stress state.
• A coupled pore fluid diffusion/stress transient analysis for the simulation
of two repetitive steps:
– Shield advance
– Installation of support system
• A long-term consolidation analysis of the surrounding soil after simulation
of the tunnel driving
168
6.3. Case study
In the former step, the shield advance (see Figure 6-23(a)) is simulated by
applying specific boundary conditions (prescribed displacement) to the back of
the shield.
1
2
2
(a) Shield advance
(b) Lining installation
1 translation of shield with its self-weight

2 translation of backup trailer wheel
3 deactivation of elements for excavation and updating position of face pressure
4 activation of grout and lining elements for new ring and updating position of grout
pressure and forces from hydraulic jacks
Figure 6-23: Computational steps for the simulation of tunnel advance
Further, based on the value of the shield translation, the positions of the external
loads, listed below, are updated.
• shield weight applied at the one node of internal shield surface
169
• forces from hydraulic jacks transferred on the lining elements

• tail void grouting pressure
• concentrated forces from backup trailer
Duration of this step is assumed to be equal to the penetration rate of the shield,
which for the chosen section is equal to 1.5 m/h.
In the second step, the elements constituting excavated part of soil are de-
activated. By this action, loads from the adjacent subsoil are transferred to the
shield. Simultaneously, the elements corresponding to the tail void grout and
lining are activated in the current step. Moreover, the position of the face pres-
sure with the hydrostatic distributed load is updated according to the current
translation of the shield. The final configuration of this step is presented in
details in the Figure 6-23(b). The duration for the second step is chosen to be
equal to 0.5 h, i.e it is equal to the time needed to install the segments of a one
complete ring.
The time duration of the last step, the consolidation after tunnel construc-
tion is determined by the maximum change of the pore pressure per increment
assumed to be equal to 1e−5 kPa.
6.3.4.6 Resume of the input parameters

Some of the parameters characterising the previously described technological
aspects such as the face pressure, grouting pressure, penetration rate have been
selected based on the data obtained from the monitoring (Suwansawat, 2002).
During the shield advance, the following technological parameters have been
recorded:
• Time-position • Face pressure

• Cutter torque • Grouting pressure
• Pitching angle • Grout filling
• Thrust force • Penetration Rate
These recorded data together with the selected values of technological parameters
emphasized with red colour are plotted in the Figures 6-24 and 6-25. The data
from monitoring give a wide spectrum of information, even though some of them
are not introduced in the computational model. The reason for it is the fact that
the model in a specific way, e.g. definition of the EPB shield does not gives the
possibility to measure the resulting thrust force and cutter torque. Moreover,
looking at the values of the pitching angle from monitoring and that assumed,
significant difference can be noted. It is dictated by the fact that parameters
characterizing gap between shield and surrounding soil are missing, thus it is not
reasonable to apply a non-zero value of the pitching angle which changes totally
distribution of deformations along the shield.
170
6.3. Case study
10/01/99
Date [−] monitoring
07/01/99
0 50 100 150 200 250 300 350 400 450 500

Ring Number [−]
(a) Time-position
4
Pitching Angle [degree]
monitoring
simulation
2
−2
0 50 100 150 200 250 300 350 400 450 500
Ring Number [−]
(b) Pitching angle
2000
Thrust Force [Ton]
monitoring
1500
1000
500
0
0 50 100 150 200 250 300 350 400 450 500
Ring Number [−]
(c) Thrust force
200
Cutter Torque [Ton m]
monitoring
150
100
50
0 50 100 150 200 250 300 350 400 450 500
Ring Number [−]
(d) Cutter torque
Figure 6-24: Monitored values of the TBM technological parameters for Sec-
tion A after Suwansawat (2002) with the values applied in the computational
model (part A)
171
Face Pressure [kPa] 300

monitoring
simulation
200
100
0
0 50 100 150 200 250 300 350 400 450 500
Ring Number [−]
(a) Face pressure

Grouting Pressure [kPa]
400
monitoring
300 simulation
200
100
0
0 50 100 150 200 250 300 350 400 450 500
Ring Number [−]
(b) Grouting pressure
300
monitoring
Grout Filling [%]
simulation
200
100
0
0 50 100 150 200 250 300 350 400 450 500
Ring Number [−]
(c) Grout filling

Penetration Rate [mm/min]
150
monitoring
simulation
100
50
0
0 50 100 150 200 250 300 350 400 450 500
Ring Number [−]
(d) Penetration rate
Figure 6-25: Monitored values of the TBM technological parameters for Sec-
tion A after Suwansawat (2002) with the values applied in the computational
model (part B)
172
6.3. Case study
Some of the missing parameters were selected based on the similar studies
performed by Kasper and Meschke (2006), while the remaining ones have been
assumed according to literature information. Here, it needs to be noted that
parameters characterizing the face pressure or the gap between shield and sur-
rounding soil, are more relevant than others. Parameters describing these two
aspects have been chosen for the purpose of a parametric study.
All the necessary parameters describing technological aspects together with
a geometrical characterization needed to build the model (except parameters of
constitutive models) for chosen section of the MRTA project are summarized in
the Table 6.10. Moreover, values obtained from the monitoring data and from the
studies by Kasper and Meschke (2006) are respectively emphasized with green
and blue color.
Finally, the computational model consists of about 59 thousands 8-node brick
fully integrated elements (using linear geometric order). This number of finite
elements, together with the elements for contact and Lagrangian multiplier vari-
ables, results in the 393,000 DOF. A total number of 224 calculation steps have
been introduced to simulate the coupled pore fluid diffusion/stress analysis. In
order to obtain a sufficiently accurate pore pressure distribution at the end of
each step, it was decided to divide calculation steps into several increments. The
minimum number of increments for a stable calculation, depends on the duration
of the phenomenon. It was assumed to be equal to 8 and 12, respectively, for the
excavation and the stand-still phase. Depending on the stability of the calculated
step, the size of increments was changed gradually. The initial size of increment
expressed in seconds was set to 50 and their maximum equivalent was equal to
400. To solve problem, a direct equation solver with the unsymmetrical matrix
storage was used together with the full Newton solution technique. The Newton
method is the mostly used technique for solving non-linear equilibrium equa-
tions. Its convergence rate compared with other methods (e.g. quasi-Newton
methods) is much higher. However, it is time costly since the Jacobian must
by formed and solved at each iteration. The convergence thresholds chosen for
the residual force and volumetric flux were selected as equal to 5e−3 , which is
rather usual for this kind of problems. For the convergence tolerance of strain
constraints in hybrid elements, a value of 10−4 was selected for the volumetric
constrain, and the value of 10−5 for the shear and axial constraints. In order
to improve robustness of the Newton method, a line search algorithm was also
used. Another way to speed up computations is to use previously mentioned
“quasi-Newton” method, or BFGS method included in ABAQUS, or to use iter-
ative solvers. Both methods were not possible to use due to the unsymmetrical
matrix storage which is required by the applied constitutive model, the coupled
pore fluid diffusion and the stress analysis.
173
Table 6.10: Parameters used to simulate tunnelling with the EPB shield for the MRTA project
Parameter Symbol Unit Value Parameter Symbol Unit Value

A Subsoil Initial permeability ki m/s 10−4
Width Ws m 60 Permeability after 28 days k28 m/s 10−8
Length Ls m 120 Density of grout ρ kN/m3 21
Grouting pressure (at the
Depth Ds m 60 kPa 100
tunnel spring line)
Number of soil layers - 4 D Tunnel lining
Distance to tunnel springline Dsl m 18 Outer diameter Dl m 6.3
B Tunnel shield Thickness Tl m 0.3
Shield length Lt m 8.35 Ring width Wl m 1.2
Shield conicity δt m 0 Young’s modulus Elining GPa 31.5
Overcut o cm 1/1.5/5 Poisson’s ratio νlining - 0.2
174
Gap behind shield gt cm 5/10/11.5 Bulk density ρlining kN/m3 25
Total weight of shield Ft kN 3000 E Backup trailer

Face pressure at the tunnel
kPa 60/120/180 Total length Ltr m 72
spring line
Gradient of face pressure ρf ace kP a/m 15.7 Total weight Ftr kN 3980
Coulomb friction coefficient µ - 0.15 Transversal spacing Wtr m 3.0
C Tail void grout Number of concentrated forces - 9
Duration of construction
Ratio of initial stiffness Ei /E28 - 0.6 F
steps
Stiffness after 28 days E28 GPa 5 Penetration rate te m/hr 1.5
Poisson’s ratio ν - 0.48 Time for lining installation tl hr 0.5
Parameters taken from the MRTA project
Parameters taken from (Meschke et al., 1996)
Assumed values
6.3. Case study
6.3.5 Technological effects
Technological effects of tunnelling with the EPB shield based on the presen-
ted case study of the MRTA project are discussed in the following part of this
Chapter. The presented results were obtained from the numerical simulations of
the previously introduced computational model. A crucial aspect of numerical
modelling is validation of a computational model to determine the quality of
obtained results. However, in the presented case, validation could not be fully
performed due to the lack of some relevant technological parameters. For this
reason a comparison of the results with data from monitoring is performed within
a parametric study.
The presented results concern the general effects of tunnelling on the sur-
roundings in terms of subsoil deformations, stresses and pore pressure in the
chosen intermediate section. It is followed by the description of induced internal
forces in the tunnel lining for different simulation phases. This general descrip-
tion of tunnelling effects is extended with a parametric study of the face pressure
and gap parameters showing influence on the induced effects. After it, a possible
explanation of the induced mechanisms by means of the numerical analysis is
given.
6.3.5.1 General effects
The subsoil deformation induced by tunnelling is presented in the Figure 6-26. In

particular, deformation at the ground level is presented by means of the vertical
displacements plotted for a point A (see green line), while deformation at the
crown and at the invert is respectively presented for points B and E, emphasized
with blue and red colours. The vertical displacements are plotted with respect to
the position of the tunnel face showing in this way the complete profiles before,
during and after the shield passage through the reference section. Moreover,
horizontal displacements measured in the reference section through the whole
soil depth are presented for different phases of the simulation. They refer to
a position at a distance of 18 m from the tunnel centreline. The positive values
indicate soil movements in the direction of a tunnel, and the negative values refer
to outward soil movements. The black dashed line represents a situation when the
tunnel face is exactly at the reference section, while the thick grey continuous line
corresponds to a position right after the shield passage. The different thin grey
lines represent the horizontal displacements measured when each trolley of trailer
is passing across the reference section. The last thick and black continuous line
shows the state at the end of the simulation, i.g. after consolidation has occurred.
Whereas, the effective stresses and pore pressure in soil around the cavity are
plotted in the similar way as for the vertical displacements, respectively, in the
Figures 6-27 and 6-28. The description of induced effects is firstly given for the
175
Vertical displacements [cm]

0.5
A −0.5
−1
−1.5
−2
−60 −30 0 30 60 90 120
Distance to face [m]
(b) Vertical displacements

B
C 0
D
E 5
10
15
Depth [m]
shield trailer wheel

is passing is passing 20
tunnel
Point A Shield at 25
ref. section
Point B
After shield
Point C passage 30
Point D Trailer wheel

is passing 35
Point E End simulation
40
−2 −1 0 1 2 3 4
(a) Configuration Horizontal displacements [mm]
(c) Lateral displacements
Figure 6-26: Induced ground deformation by the EPB shield
points located in the vicinity of the tunnel cavity, where the technological effect
should be, at least in principle, more evident.
Looking at the results, it can be seen that profiles for all points have a step-
wise trend. This is caused by the way of simulation, e.g. using discrete steps,
simulating, respectively, stand-still and excavation phases. When the tunnel
face is located close to the reference section, a pre-convergence appears. It is
manifested by a downward movement at the tunnel crown (point B), by a lim-
176
6.3. Case study
350 250
Point B Point B
Point C Point C
300
Point E 200 Point E
250
Deviatoric stress [kPa]

150
Mean stress [kPa]
200
150 100
100
50
50
0
0
−50 −50
−60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120
Distance to face [m] Distance to face [m]
(a) Mean stresses (b) Deviatoric stresses
Figure 6-27: Induced change of stresses in the subsoil
200
Point B
Point D
Point E
150
Point B
Pore pressure [kPa]
100
Point D
50 Point E
0
−60 −30 0 30 60 90 120
(a) (b)
Figure 6-28: Induced change of pore pressure in the subsoil
ited upward movement at the invert (point E) and an inward movement of the
soil above the tunnel seen from plot of the horizontal displacements. At this
same time, both the mean and deviatoric stresses (see Figure 6-27) at the tun-
nel pillar and at the invert slightly increase, while in the tunnel crown exhibit
slight decrease. This observation indicates that an arching effect is triggered
before excavation reaches the reference section. The amount and character of
the pre-convergence depend on the equilibrium between pressurized paste in the
excavation chamber and pressure acting from soil ahead of the tunnel face. This
177
truly technological aspect is later investigated by means of the parametric study

of the supporting pressure. The smaller amount of deformation induced at the
invert in comparison with the tunnel crown is caused by the fact that the stiffness
of material upon unloading is much higher than for primary loading. The degree
of unloading is undoubtedly connected with the ratio between the weights of the
shield and equivalent volume of soil which in the presented case is equal to 0.65.
It is also interesting to see that pressure acting on the tunnel face induces an
increase of the pore pressure along an entire height of the face, as illustrated in
the Figure 6-28. Obviously, with the higher permeability coefficient of soil this
effect will be less evident.
Looking at the subsequent phase, when the excavated face passes through the
reference section (grey vertical rectangular), the lines representing deformation
at the crown and at the invert become horizontal. It means that deformations
induced during this phase are rather limited due to the fact that the shield has
a perfectly cylindrical shape, and thus further deformations during this phase
are ruled by its geometry and rigidity. An effect of the shield geometry and gap
between outer surface of the shield and surrounding soil are later investigated
by means of the parametric study. Moreover, at the beginning of this phase
a sudden drop of both mean and deviatoric stresses is observed at the tunnel
crown, while at the invert and pillar an opposite effect is noted. During the
further shield passage a small increase of this trend occurs which is followed
by a slight increase of stresses at the tunnel pillar. The increase of stresses at
the invert, which was not observed from the simulations for the conventional
tunnel, can be connected with two components. The first component is a load
transferred by the shield from the above soil portion to the beneath one and the
second one is the shield self-weight. In this phase, the change of stress reveals
the arching effect. It is manifested by a transfer of the stresses from the portion
of soil at the crown which undergoes significant relaxation, to the pillars and
below the tunnel. Obviously, the amount of relaxation and thus the induced
arching effect is limited by the shield. Moreover, it is very interesting to see
the mobilised friction angle (φmob ) for this phase (see Figure 6-29). An evident
increase of the mobilised friction angle occurs ahead of the tunnel face and at
the pillars, whereas, above the tunnel crown and under the invert its drop can be
seen within the layer through which tunnel is driven and as well in the overlaid
and underlaid layers.
After the shield has passed, some effects of the grouting pressure are visible
only by the outward movement of soil at the level of tunnel (see thick grey line
in the Figure 6-26(c)) and by the change of the pore pressure distribution. After
activation of grouting elements, the pore pressure at the tunnel crown and at the
invert reaches a value equal to the grouting pressure (hydrostatic distribution),
as can be seen from the Figure 6-28(a). Moreover, the vertical deformation of
the subsoil above the tunnel slightly increase due to the passage of the backup
178
6.3. Case study
Figure 6-29: Mobilised friction angle during the shield passage
trailer, while no further increase of deformation is observed at the tunnel invert.

Each trolley of the trailer is here simulated as a single finite element with an ap-
plied surface pressure. It is marked on the displacement profiles as a grey dashed
vertical line. Then the loads transferred through these elements onto the lining
produce effects on all the displacements profiles, similar to small downwards
bumps. At this phase, no significant change of stress state occurs and the effect
of the backup trailer simulated with single finite elements cannot be seen from
the stress profiles. However, thin lines on the plot of lateral displacements cor-
responding to the states when each trailer wheel is passing on reference section,
show a progressive outward movement, especially evident at the tunnel level.
Finally, the black line shows that no big change of the horizontal displacements
happens during consolidation. At the end, the deformation reaches a residual
steady state and the pore pressure slowly decreases as the shield moves away from
the reference section and as a result of consolidation. This phenomenon, obvi-
ously dependent on the properties of soil, primarily permeability and stiffness,
extinguishes in a time of about 7 days.
The cavity deformation propagates ahead and at both sides of the tunnel,
crossing all subsoil layers and finally reaching the ground surface. Due to this
fact, the effects on the ground surface are slightly different (see point A) than
those at the crown. Settlements of the surface appear much earlier and their
amount is noticeably larger when the tunnel face is located before the reference
section. Moreover, during the shield passage, a reduction of settlements is ob-
served. The slight difference between the vertical displacements at the ground
surface and at the tunnel crown indicates that the movement of the overlaying
179
soil is not rigid. In addition, the settlements at the tunnel invert are higher
than those at the ground surface, which is especially evident when looking at the
phase of the trailer passage. For a rigid movement of overlaid soil, as in the sim-
ulation of the GNF2 tunnel (see Figure 5-36(c)), change of the volumetric strains
is necessary. Analysing the deformation pattern of the settlement trough, it can
be easy to imagine that soil near the concave part of a curve is compressed,
while soil near the convex part is extended. It is similar to the upper deformed
surface of a uniformly loaded beam fixed at both ends. In the presented case the
simulation is performed assuming undrained conditions and thus, the diffusion
of excess pore pressure is very slow. For that reason the development of the
volumetric strains in soil subjected to compression is limited, and as a result of
compression, larger portion of soil is concentrated near the centreline and thus,
an increase of the distance between the crown and invert can be observed.
The detailed description of the deformed ground surface at the end of the
simulation is presented in the transversal and longitudinal profile, respectively in
the Figures 6-30 and 6-31. In both these figures, four components describing the
deformed ground surface are presented: vertical and horizontal displacements,
and horizontal strain together with an angular distortion. Firstly, looking at the
transversal profiles it can be seen that the maximum horizontal displacements
equal to ±0.3 cm are located at the inflection points of the settlement profile,
while at the centreline no horizontal movement is observed. It means that a por-
tion of soil in the zone where the inflection of the settlement profile appears,
tends to move inward to the tunnel centreline. The most typical estimators used
to describe the influence of tunnelling on the ground surface and to determine
possible damages of structures and infrastructure are the horizontal strain and
angular distortion. The maximum tensile strain appears before an inflection
point of the settlement profile with a value of 0.02%, while at the centreline
the compressive strain appears with the value of about -0.08%. Moreover, the
angular distortion reaches maximum also at the inflection points with a value
of ±0.15 cm/m. All these components of the transversal settlement profile can
be very nicely connected with the longitudinal profile, since the deformed sur-
face has a shape of trough. The inflection point of the settlement profile in the
longitudinal section (see Figure 6-31) is significantly shifted ahead of the tunnel
face (+15 m).
Similarly to the case study of the GNF2 tunnel, the presented results are
now used to check the ability of different empirical curves to describe ground
deformations in both the transversal and longitudinal sections. The vertical
displacements for the transversal section are now compared with those computed
with four empirical curves: the Gaussian distribution curve, Yield-density curve,
Jacobsz curve and modified Gaussian curve. For the longitudinal section the sole
relation proposed by Attewell and Woodman (1982) is used, while the horizontal
displacements corresponding to each curve are calculated using the expression
180
6.3. Case study
−1 −0.5

Vertical displacements
−0.5 Horizontal displacements
0 0
0.5 Numerical
Gaussian
1 Yield−density 0.5
Jacobsz
1.5 Modified Gaussian
2 1
−40 −30 −20 −10 0 10 20 30 40
(a) Vertical and horizontal displacements
−0.1 −0.2
Horizontal strain

Angular distortion
−0.1
0 0
Numerical
Gaussian
Yield−density 0.1
Jacobsz
Modified Gaussian
0.1 0.2
−40 −30 −20 −10 0 10 20 30 40
(b) Horizontal strain and angular distortion
Figure 6-30: Components of the transversal settlement profile
−0.5 −0.5 −0.1 −0.1

Numerical Numerical
Attewell and
Attewell and Woodman (1982)
Woodman (1982)
0 0

0.5 0.5 −0.05 −0.05
1 1
1.5 1.5 0 0
2 Vertical displacements
2
Angular distortion
Horizontal strain
2.5 2.5 0.05 0.05
−60 −40 −20 0 20 40 60 −60 −40 −20 0 20 40 60
Distance from tunnel centreline, [m] Distance from tunnel centreline, [m]
(a) Vertical and horizontal displacements (b) Horizontal strain and angular distortion
Figure 6-31: Components of the longitudinal settlement profile
181
proposed by Taylor (1995). For more details about applied empirical relations
the reader is referred to the Chapter 4. Presented curves are fitted to get the best
match with the results from the numerical analysis and plotted in the Figures 6-
30 and 6-31.
Looking at the components of the transversal settlements profile it can be
seen that vertical displacements obtained from all empirical solutions give good
correlations with the numerical analysis. Whereas, the horizontal displacements
are significantly underestimated. Moreover, profiles of the horizontal strains for
all empirical relations are narrower in comparison with that obtained from the
numerical analysis. On the other hand, profiles of the angular distortion are
relatively similar to that from the simulations. The most noticeable difference
between the simulation and all empirical curves is the distance from the centreline
where a maximum value is obtained. When looking at all components, it is hard
to decide which curve fits the best with the data from the numerical analysis.
A similar characteristic can be seen from the longitudinal components obtained
with the cumulative probability curve (Attewell and Woodman, 1982). The
vertical displacements are reasonably well fitted to the data from the numerical
analysis, while the angular distortion differs significantly. In contrast to the
transversal section, there is a lack of the empirical relations to calculate the
horizontal displacements and strains. The parameters of the fitted empirical
relations together with the corresponding characteristic values are given in the
Table 6.11.
Finally, the amount of the induced volume loss VL at the cavity for the end
of construction is equal to 0.8% which is equal to the volume of the settlement
trough per one meter of a tunnel VS . This observation is in accordance with
a general statement that in the cohesive soil there is a perfect balance of a
volume between the cavity contraction and the surface settlement. Moreover,
the volume loss equal to the 0.8% fall within a range from 0.03 to 1.0% proposed
by the Mair and Taylor (1997), for the EPB shields driven in similar ground
conditions.
The evolution of normal forces and bending moments in the tunnel lining for
different construction phases is presented in the Figure 6-32. After installation
of the lining (the thick grey continuous line), the grout backfilling acts with
the hydrostatic pressure on the lining extrados generating compression forces
along the whole lining axis. The bending moments in the lining have a heart-
shaped distribution, negative at the crown and at the lower part of pillars, and
positive at the invert and at the upper part of pillars. This unusual distribution
can be connected with non-uniform load being significantly higher in the lower
part of the lining. Subsequently, when the trailer wheel is passing the reference
section, a disturbance of the internal forces in the position of each wheel can
be clearly seen. Whereas, when the shield is moving away from the analysed
ring, the external loads transferred from the surrounding soil generate higher
182
6.3. Case study
Table 6.11: Parameters of used empirical curves and obtained results
Transversal section
Numerical analysis
Parameter H,max a H,min b γmax c VS d /VL e
Unit [-] [-] [-] [%]
−4 −4 −3
1.4e −4.0e 1.64e 0.77/0.79
Gaussian distribution curve (Martos, 1958; Peck, 1969; Schmidt, 1969)
Parameter i H,max H,min γmax VS
Unit [m] [-] [-] [-] [%]
7.0 2.6e−4 −5.8e−4 1.39e−3 0.84
Yield-density curve (Celestino et al., 2000)
Parameter i a b H,max H,min γmax VS
Unit [m] [m] [-] [-] [-] [-] [%]
5.79 7.0 3.3 2.3e−4 −5.8e−4 2.07e−3 0.78
Jacobsz curve (Jacobsz et al., 2004)
Parameter if i0 H,max H,min γmax VS
Unit [m] [m] [-] [-] [-] [%]
7.25 4.0 1.6e−4 −6.0e−4 1.43e−3 0.72
Modified Gaussian curve (Vorster et al., 2005)
Parameter i α n H,max H,min γmax VS
Unit [m] [-] [-] [-] [-] [-] [%]
7.0 0.8 1.51 3.1e−4 −5.8e−4 1.64e−3 0.74
Longitudinal section
Numerical analysis
Parameter H,max H,min γmax
Unit [-] [-] [-]
−4 −4
1.5e −1.5e 0.25e−3
Cumulative probability curve (Attewell and Woodman, 1982)
Parameter i shift γmax
Unit [m] [m] [-]
10.0 -15 0.6e−3
a
maximum horizontal strain (hogging)
b
minimum horizontal strain (sagging)
c
maximum angular distortion
d
volume of settlement trough
e
volume loss at the cavity
f
distance to inflection point calculated from the expression given in the Table 4.2 for
Jacobsz curve (J)
183
compression and more oval-shaped distribution of the bending moments. At

the end of the construction (see black thick line), due to the soil consolidation,
the pressure acting on the lining is evidently reduced at the crown and invert.
Whereas, distribution of the bending moments takes a more oval shape. As
in the case of the ground deformations, the internal forces obtained from the
numerical analysis are herein compared with those computed at the pre-design
stage with the analytical solution of Vrijling (1998). The parameters used for the
estimation of internal forces are summarized in the Table 6.12, while the results
are plotted in the Figure 6-32. It is immediate to see that the distribution of
the bending moments and normal forces obtained from the analytical solution
is consistent with the one obtained from the numerical analysis. However, the
normal forces are significantly overestimated along the whole axis of the lining,
while the bending moments are comparable. At the tunnel crown and invert,
the analytical solution gives double the value of the numerical solution, while at
the pillars similar values are obtained.
A deformation pattern of the tunnel lining overlapped with the undeformed

profile, reported in the Figure 6-33, shows that in the middle, where the reference
section is located, deformations are smaller in comparison with those from the
remaining part of lining. Here, it needs to be noted that in the reference section
a refined mesh is applied. At the end, the initial circular shape of the lining is
deformed, giving a flattened oval shape, with a diameter larger in the horizontal
than in vertical direction. The loads acting from the overlaid soil tend to push
the lining crown inside the cavity. At this same time, the soil buoyancy below the
tunnel pushes the lining invert upwards. It is expected that the amount of lining
ovalization will be lower if the value of a coefficient K0 will be higher than in the
presented case study (slightly overconsolidated soil with K0 = 0.64 and OCR =
1.65). This deformation pattern is consistent with the experimental evidences,
however, amount of the induced deformation is very limited (< 0.5 cm).
Table 6.12: Parameters of the analytical solution used to obtain internal

forces in the tunnel lining
Analytical solution of Vrijling (1998)
Parameters σh σv Eg Eb R* d
Units [kPa] [kPa] [MPa] [GPa] [m] [m]
202 261 25 31.5 3.15 0.3
*
Equivalent radius of tunnel
Explanation for all parameters is given in the Section 4.3.2
184
6.3. Case study
Lining axis After first

(–) compression trailer wheel
After lining
(+) extension installation After last
trailer wheel
During first
trailer wheel After consolidation
Vrijling (1998)
+ +
00
00
-1
+1
00
0
00
+1
-1
(a) Normal forces in kN/m (b) Bending moments in kNm/m
Figure 6-32: Internal forces in the tunnel lining at different steps of simulation
zone of
refined mesh
}
undeformed lining
deformed lining
Figure 6-33: Computed lining deformation in the scale 300:1
6.3.5.2 Face pressure
An influence of the face pressure is here investigated by means of a parametric

study. Three values of pressure have been assigned. The first value, later called a
reference value, is equal to 120 kPa, i.e. the one taken from the monitoring data,
while the remaining two values reproduce a reduction (60 kPa) or an increase
(180 kPa) of the face pressure. The resulting subsoil deformations from the
185
performed simulations are illustrated in the Figure 6-35, whereas, a stress state
and a pore pressure distribution are given in the Figure 6-36.
From the vertical displacements obtained at the tunnel crown (see point
B in the Figure 6-35(c)), it can be seen that the different value of the face
pressure affects only the pre-convergence, whereas, during and after the face
passage, the difference between results is negligible. The latter one, is an negative
effect resulting from the shortcomings of the introduced computational model.
Introduced in the computational model a way to simulate advance of shield in
certain situations (low face pressure), may results in upward displacements at
the tunnel crown. This negative effect is an error resulting from the initially
prescribed geometry of the excavation zones which does not change with the soil
deformation. It is evident when the transversal contraction of the excavation
zones ahead of the tunnel face due to the pre-convergence, is larger than caused
by the overcut contraction of soil on the shield during its passage. This situation
happens when the tunnel face is supported with relatively low pressure, thus
the pre-convergence effect is triggered by excessive face extrusion. For better
explanation, this error is illustrated in the Figure 6-34, showing the state from
the numerical solution and its real counterpart. A possible approach to overcome
presented issue is simply to filter deformation data, or to introduce a remeshing
rule for each step of the simulation. The second one, results in a redefined FEM
mesh of the excavation zones which now includes new finite elements generated
between a theoretical shape of excavation and deformed one due to the pre-
convergence.
monitored
Phase 1 point pre-convergence
0
Vertical displacements [-]
Phase 2
ref. deformed
section excavation zone
Phase 2
Smax Phase 1
translated simulation
shield
real behaviour
−60 −30 0 30
excavated zone
(a) Simulation phases (b) Vertical displacements at the tunnel crown
Figure 6-34: Error arose as a result of prescribed geometry of the excavation

zones
186
6.3. Case study
2 2 2
+ FP + FP


0 0
A 0
−2 −2 −2
- FP - FP
−4 −4 −4
−6 −6 −6
−60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120
Distance to face [m] Distance to face [m] Distance to face [m]
B (b) Point A (c) Point B (d) Point C
C
D
0 0
E
5 5
10 10 + FP
- FP
15 15
+ FP
shield trailer wheel - FP
Depth [m]
Depth [m]
is passing is passing 20 20
tunnel tunnel
simulation higher
+FP ‒ 25 25
observations face pressure
Fp = 60 kPa lower 30 30
-FP ‒
face pressure
Fp = 120 kPa 35 35
Fp = 180 kPa
40 40
−6 −4 −2 0 2 4 6 −6 −4 −2 0 2 4 6
Horizontal displacements [mm] Horizontal displacements [mm]
(a) Configuration (e) Lateral displacements at D = 0 m (f) Lateral displacements at the end of consolidation
Figure 6-35: Ground deformations for different values of face pressure
187
450 450 450

- FP
400 400 400
350 350 350
Mean stress [kPa]
Mean stress [kPa]
Mean stress [kPa]

300 300 - FP 300
250 250 250
200 200 200
A 150 150 150 + FP
100 + FP 100 100
50 50 50
+ FP
0 0 0
- FP
−50 −50 −50
−60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120
(b) Point B (c) Point C (d) Point E
B 140 140 240

- FP - FP
C 120 120 200
D

100 100
160
E 80 80
120
60 60 + FP
+ FP 80 + FP
40 40
20 20 40
- FP
0 0 0
−60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120
shield trailer wheel Distance to face [m] Distance to face [m] Distance to face [m]
is passing is passing (e) Point B (f) Point C (g) Point E
simulation higher
+FP ‒
observations face pressure 300 300 300
250 250 250

Pore pressure [kPa]
Pore pressure [kPa]
Pore pressure [kPa]

Fp = 60 kPa lower
-FP ‒
face pressure 200 200 200
Fp = 120 kPa 150 150 150
Fp = 180 kPa 100 100 100
50 50 50
(a) Configuration 0 0 0
−60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120
(h) Point B (i) Point D (j) Point E
Figure 6-36: Stresses in the subsoil and pore pressure for different values of face pressure
188
6.3. Case study
In spite of the above described error, effects of the face pressure are still
evident and induced mechanism can be well understand. In order to better
illustrate this effect, resulting displacement vectors of soil for different values
of face pressure are presented in the Figure 6-37. The lower value of the face
pressure provokes the deformation of soil at a bigger distance ahead of the face.
Moreover, displacement vectors ahead and around the shield are directed towards
the cavity with dominant direction towards the back of the shield. On the
contrary, a higher pressure on the face results in an increased stability, which
can turn even into outward movements. The direct effect is the reduction of the
deformation due to the limited pre-convergence which can be seen from both,
profiles of the vertical displacements and the lateral movements. It is also very
interesting to see what happen with the stress state (see Figure 6-36) when the
face pressure is changed. Increase of the face pressure above the reference value
(120 kPa) entails reduction of the stresses at the pillar and invert, while for
the crown a smaller stress drop can be noticed. At the same time, the increase
of pore pressure ahead of the tunnel face along its entire height can be noted.
An opposite effect is observed for the case with the lower face pressure. This
observation can be explained that the increase of a face pressure leads to lower
redistribution of the stresses ahead and around the opening, thus it can be stated
that the arching effect is limited. Here, it is important to note that the stress
redistribution is not only affected before and during shield passage, but also
after, when the backup trailer passes and the residual state is reached.
An effect of the face pressure variation on the internal forces generated in the
tunnel lining is separately presented for the normal forces and bending moments,
computed at the end of the simulation in the Figure 6-38. From this plot each
value can be read out orthogonally to the element axis plotted as grey dot-dashed
line. When a value of the face pressure increases above the reference value,
compression forces are generated along the whole lining axis. At this same time,
(a) Fp = 60 kPa (b) Fp = 120 kPa (c) Fp = 180 kPa
Figure 6-37: Displacement vectors for different values of face pressure
189
Fp = 60 kPa
(–) compression Fp = 120 kPa
(+) extension Fp = 180 kPa
+ FP - FP Vrijling (1998)
- FP + FP
+ 0
+
00
00
-1
+1
00
0
00
+1
-1
Figure 6-38: Internal forces in the tunnel lining at the end of simulation for
various face pressure
distribution of the bending moments becomes more oval giving higher values of
the negative bending at the crown and invert, and the lower positive bending
values at the tunnel pillars. Whereas, the pressure reduction develops the tensile
forces causing that element along whole axis is stretched. The corresponding
distribution of the bending moments shows that the lining extrados is stretched
almost along whole axis. A very limited value of the negative bending is observed
in the tunnel crown. Referring to the previous statement that increase of the face
pressure limits the arching effect at least around the shield, the observed increase
of the normal forces in lining with the increase of the face pressure is clearly
compatible. Here, it needs to be noted that a significant role is played by the
mechanical behaviour of soil in the undrained conditions. The reduced amount of
the stresses redistributed during the shield passage is revealed behind the shield
acting on the lining extrados. This results in a more uniformly compressed lining
and more smooth distribution of the bending moments.
The internal forces obtained from this parametric study of the face pres-
sure are here also compared with the analytical solution of Vrijling (1998). The
adopted parameters used for this solution are the same as for the comparison
performed within description of the general effects (see Table 6.12), while results
are plotted in the Figure 6-38. A distribution of the normal forces and bend-
ing moments obtained from the analytical solution are consistent with those
obtained from the numerical analyses. Moreover, a very good convergence of
the used solution can be noted with the results from the numerical analysis for
190
6.3. Case study
Fp = 180 kPa. Finally, the distribution of the bending moments is also very
similar, however, slightly lower values in the pillars from the numerical solution
are observed.
6.3.5.3 Gap parameter
The influence of gap parameters on the obtained results is here investigated with
a parametric study. In order to be as much comprehensive as possible, five sets
of parameters have been taken into account to characterize the gap between
shield and the surrounding soil. All adopted sets of parameters are listed in the
Table 6.13, together with the assigned values.
Table 6.13: Parameters characterizing gap between shield and surrounding

soil
Parameters Shield conicity Overcut Gap at tail

Symbols δt o gt
Units [cm] [cm] [cm]
Set #1 0 5 11.5
Set #2 0 1.5 5
Set #3 0 1.5 10
Set #4 0 1 10
Set #5 3.5 1.5 10
The induced ground deformations are depicted in the Figure 6-39, while the
stress state and pore pressure around the cavity are presented in the Figure 6-40.
In these graphs, the results corresponding to each set of parameters are plotted
with continuous lines using different colours and thickness according to the legend
from the Figure 6-39(a). The line thickness increases with the increase of the
theoretical width of a gap between the surrounding soil and the lining extrados.
Looking firstly at the ground deformation, it can be noted that different
gap parameters for the perfectly cylindrical shield (set #1 – #4) have a slight
effect on the pre-convergence, while for the shield with a conical shape uplift is
observed during this phase. It is interesting to see that when the tunnel face is
at the reference section, the conical shield induces significantly larger amount of
horizontal outward movements of soil (see Figure 6-39(e)).
The role of the overcut is mostly evident when the tunnel face passes near the
reference section. Looking at the line thickness, it can be seen that for the set
with the highest value of the overcut (set #1 - thickest line), the largest amount
of deformation is induced. Moreover, when the shield with the nil conicity (δt
parameter equal to 0) passes the reference section, no additional deformation is
induced, as confirmed by the approximately horizontal line. On the contrary,
the simulation with a non-zero value of conicity, gives a significant development
191
of deformation during this phase. Moreover, the differences between the results
obtained for the sets #2 and #3 are negligible, which indicate that there is no in-
fluence of the parameter g on the induced ground deformation. The explanation
here can be given as the circumstance that new finite elements activated after
the shield passage, totally fill the empty void and limit any further deformation.
Consecutively, the data available from monitoring are plotted in the same
Figures with continuous lines and circle dots. At the first glance, it can be
noted that very limited amount of data from the observations were available.
Looking at the vertical displacements of ground surface (see Figure 6-39(b))
it can be noted that deformations induced when the tunnel face is before the
reference section and also during shield passage are much smaller than those
obtained from all sets. However, after the shield passage, the amount of induced
settlements is with the accordance to that for the set #4 (smallest value of
the overcut). Moving to the comparison of lateral displacements at the end of
construction (see Figure 6-39(f)) between the monitoring data and the results
from the simulations, similar behaviour can be seen. At the tunnel level, the
influence of grouting can be seen as an outward movement, while the soil above
tunnel tends to move inside the created cavity. The reason why the amount of
deformations obtained from the numerical simulation is much smaller than that
shown by monitoring data, can be due to the different distances at which results
are computed. In fact, while for the numerical model, the results are read at
the distance of 18 m from the tunnel axis, the monitoring data are read at the
distance of ∼9 m.
Considering the change of stress and pore pressure around the cavity (see
Figure 6-40), differences between various sets are the most evident during the
shield passage through the reference section and when it is behind it (≥ 0). In
general, increase of the overcut entails reduction of both mean and deviatoric
stresses at the invert, while a smaller stress drop or even stress increase of both
invariants can be noted at the tunnel crown. It is interesting to see that change
of the gap parameters practically does not influence the mean stress at the pillar,
while deviator stress increases. For the conical shield (set #5) slightly different
behaviour is observed. For most of the points, even stronger effect than for the
overcut can be noted. However, deviator stress at the tunnel invert increases
which is an opposite effect to that observed for the overcut. In contrary to the
ground deformation, role of the parameter gt can be herein clearly seen. When its
value decreases (see set #3 vs set #2), a stress drop at the tunnel invert is very
clearly seen, while at the tunnel crown smaller stress reduction in comparison
with the set with larger value of gt is observed. Moreover, for the tunnel pillar
deviator stress increases and at this same time mean stress decreases. At the end,
it needs to be noted that the pore pressure distribution along the entire height
of the face during the whole simulation is not influenced by the gap parameters.
192
6.3. Case study
4 4 4
2 2 2 +o

-o
0 0 -o 0
A -o
−2 −2 −2
−4 −4 −4
+o
−6 −6 +o −6
−8 −8 −8
−10 −10 −10

−60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120
B Distance to face [m] Distance to face [m] Distance to face [m]
C (b) Point A (c) Point B (d) Point C
D
E
0 0
5 5
10 10
+o -o
shield trailer wheel
15 15
is passing is passing
+o
Depth [m]
Depth [m]
-o
simulation 20 20
tunnel tunnel
observations
25 25
Set #1 (gt = 11.5 cm, δt = 0 cm, o = 5.0 cm)

30 30
Set #2 (gt = 5.0 cm, δt = 0 cm, o = 1.5 cm)
Set #3 (gt = 10.0 cm, δt = 0 cm, o = 1.5 cm)
35 35
Set #4 (gt = 10.0 cm, δt = 0 cm, o = 1.0 cm)
Set #5 (gt = 10.0 cm, δt = 3.5 cm, o = 1.5 cm)
40 40
−6 −4 −2 0 2 4 6 −6 −4 −2 0 2 4 6
(a) Configuration Horizontal displacements [mm] Horizontal displacements [mm]
(e) Lateral displacements at D = 0 m (f) Lateral displacements at the end of consolidation
Figure 6-39: Ground deformations for different values of the gap parameters
193
350 350 350 -o

300 300 300
250 250 250
Mean stress [kPa]
Mean stress [kPa]
Mean stress [kPa]

200 200 200 +o
150 150 150

A 100 100 100
50 +o 50 50
0 0 0
-o
−50 −50 −50
−60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120
(b) Point B (c) Point C (d) Point E
B 250 250 250

C
D

200 200 200
-o
E 150 150 +o 150
+o
100 100 100
-o
50 +o 50 50
0 -o 0 0
−60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120
shield trailer wheel Distance to face [m] Distance to face [m] Distance to face [m]
is passing is passing (e) Point B (f) Point C (g) Point E
simulation
observations 300 300 300
250 250 250

Pore pressure [kPa]
Pore pressure [kPa]
Pore pressure [kPa]

Set #1 (gt = 11.5 cm, δt = 0 cm, o = 5.0 cm)
200 200 200
Set #2 (gt = 5.0 cm, δt = 0 cm, o = 1.5 cm)
Set #3 (gt = 10.0 cm, δt = 0 cm, o = 1.5 cm) 150 150 150
Set #4 (gt = 10.0 cm, δt = 0 cm, o = 1.0 cm) 100 100 100
Set #5 (gt = 10.0 cm, δt = 3.5 cm, o = 1.5 cm)
50 50 50
(a) Configuration 0 0 0
−60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120 −60 −30 0 30 60 90 120
(h) Point B (i) Point D (j) Point E
Figure 6-40: Stresses in the subsoil and pore pressure for different values of the gap parameters
194
6.3. Case study
The gap geometry has also significant influence on the distribution of internal
forces generated in the tunnel lining. This effect is separately presented for the
normal forces and bending moments generated at the end of the simulation (see
Figure 6-41). When the value of overcut increases, compression forces are gener-
ated along the whole lining axis. At this same time, distribution of the bending
moments becomes more oval, giving the higher values of negative bending at
the crown and at the invert. With a reduction of the overcut, the compression
of whole lining is decreased and the tensile forces are generated mostly in the
crown and partially in the pillars. It is worth noting that overcut, in contrast
to the conicity, does not influences the bending moments in the pillars. The
shield conicity slightly affects the values of bending moment at the invert and
at the crown, while it significantly changes distribution of the normal forces in
the lining. At the crown and invert, relatively high values of tensile force are
generated. Moreover, an effect of a decreased value of the parameter gt is mani-
fested by the reduction of the compression forces along the whole axis which
can even turn into extension. The parameter gt also affects distribution of the
bending moments, especially between the crown and pillars where the increase of
the positive values can be noticed. This effect can be connected with a notable
increase of the stress deviator in the pillar of soil.
Set #1 (gt = 11.5 cm, δt = 0 cm, o = 5.0 cm)

(–) compression Set #2 (gt = 5.0 cm, δt = 0 cm, o = 1.5 cm)
(+) extension
Set #3 (gt = 10.0 cm, δt = 0 cm, o = 1.5 cm)
Set #4 (gt = 10.0 cm, δt = 0 cm, o = 1.0 cm)
Set #5 (gt = 10.0 cm, δt = 3.5 cm, o = 1.5 cm)
+o Vrijling (1998)
-o
-o
+o
+ +
0
00
00
-1
+1
00
0
00
+1
-1
Figure 6-41: Internal forces in the tunnel lining at the end of simulation for
different values of gap parameters
These observations are difficult to explain in a straightforward manner. How-

ever, what is clear is that with the increase of the distance between the shield
195
skin and surrounding soil (sum of δt and o), a cavity contraction is larger. This
leads to different stress distribution around the opening. In general, with a larger
overcut, stress at the crown and pillar increases, while at the invert decreases.
This observation can indicate that the arching effect is revealed closer to the
cavity in the overlaid soil, and at this same time at a greater distance from the
tunnel invert. It can be visualized by a stretched oval in vertical direction trans-
lated downward with respect to the tunnel centre point. The increase of the
normal forces in the lining with the increase of the overcut is undoubtedly con-
nected with the mechanical behaviour of soil in the undrained conditions. In the
drained conditions larger contraction of the soil on the shield skin leads to more
prominent soil relaxation, and thus, stress redistribution around cavity. How-
ever, in the presented case very slow dissipation of the excess pore pressure leads
to more elastic behaviour of soil and smaller relaxation. After installation of the
lining, more significant amount of loads is transferred on this supporting system,
which is manifested by the higher normal forces and a smoother distribution of
the bending moments.
Generated internal forces for different sets of the gap parameters are com-
pared with the analytical solution of Vrijling (1998). Adopted parameters used
for this solution are the same as for the comparison performed within descrip-
tion of the general effects (see Table 6.12), while results are plotted within the
Figure 6-41. Distribution of the normal forces and bending moments obtained
from the analytical solution are also consistent with those obtained from the
numerical analyses. Moreover, a very good convergence of the used solution can
be noted with the bending moments obtained from the numerical analysis for
set #3. Distribution of the normal forces is also very similar but values along
the whole axis are almost twice higher than from the numerical solution.
6.3.5.4 Induced mechanisms
The mechanisms induced by the construction of the tunnel driven with the EPB
shield are now summarized based on the previous observations. In general, the
effects can be distinguished among those determined ahead of the tunnel face,
those induced during the passage of the shield through the reference section, and
those occurring after this passage, when the lining is placed.
As a consequence of the excavation, extrusion is induced at the front together
with a ground deformation of the soil portion located ahead of the tunnel face.
The stress relaxation induces a sort of the pre-convergence propagating through
the surrounding soil and reaching the ground surface. Thus, when the tunnel face
is exactly in the reference section, there is a pattern of displacements oriented in
the direction of cavity, with the maximum values right above the crown. From
a technical viewpoint, attention should be paid to the face pressure, as errors
produced under certain circumstances may turn into serious consequences. In
196
6.3. Case study
general, the pre-convergence is connected with the slight increase of the stresses
ahead of the tunnel, as the arching effect is triggered at this phase. At the
same time, as the pre-convergence appears, an increase of the pore pressure is
seen when the tunnel is driven through cohesive soil with a low permeability.
The hydrostatic pressure applied at the face surface results in a pore pressure
increase at the very short distance ahead of the face. A very limited drop can be
observed during the stand-still phase, when the tunnel lining is placed. This ef-
fect is in accordance with the observations carried out by Bezuijen et al. (2006).
The amount and character of the pre-convergence depend on the equilibrium
between the pressurized paste in the excavation chamber and pressure acting
from soil ahead of the tunnel face. Lower values of the face pressure provoke the
deformation of soil at a bigger distance ahead of the face. Moreover, the displace-
ment vectors ahead and around the shield are directed towards the cavity with
a dominant direction towards the back of the shield. When the higher pressure
is applied to the tunnel face, the stability is increased, and extrusion is limited,
which can turn even into outward movements. These outward movements of the
soil ahead are manifested at the ground surface by an uplift. The direct effect of
the face pressure increase is the reduction of the deformation due to the limited
pre-convergence which can be seen from both, profiles of the vertical displace-
ments and the lateral movements. The equilibrium state at the tunnel face has
an influence on the stress state which can be directly connected with the amount
of the arching effect around the cavity. This mechanism is significantly affected
by the mechanical behaviour of soil in the undrained conditions.
When the shield passes near the reference section, the surrounding ground
contracts on the shield skin. The arching effect is fully revealed in terms of
stresses around the cavity, where it reaches a residual state. Contraction is qual-
itatively and quantitatively ruled by the shield geometry and over excavation at
the front of the shield. It is obvious that larger amount of contraction is induced
when the over-excavation is larger. For the case with a perfectly cylindrical
shield, deformation is induced only when the tunnel face is in close proximity
to the reference section, while during the further shield passage no additional
deformation is induced. On the contrary, the simulation with the conical shield,
gives a progressive development of deformation reaching twice higher amount in
comparison with the case for the equivalent overcut. All above aspects have a
significant influence on the internal forces activated in the tunnel lining as a con-
sequence of the change of stresses around the cavity. The gap geometry greatly
affects the required cutterhead torque and thrust force necessary to push for-
ward the shield. Therefore, in pursuit of the lowest possible ground loss induced
by the shield passage, the reduction of this gap may lead to significantly lower
advancing rates.
In the next phase, after the lining has been installed, the gap formed at the
extrados with the surrounding soil is filled with grout, pressure is transferred
197
from the soil to the lining system. However, the internal forces generated in the
lining result not only from the soil pressure, but also from the thrust forces, the
grout pressure and the backup trailer running in the tunnel. Right after the in-
stallation of the lining, the hydrostatic pressure of the grout acting on the tunnel
lining induces a compression along the whole lining axis and generates bending
moments having an heart-shaped distribution. At the same time, grouting lean-
ing on extrados of the lining pushes the surrounding soil outwards. Subsequently,
the soil pressure is fully transferred on the lining. In undrained conditions, the
compression forces generated in the tunnel linings are significantly affected by
the equilibrium state at the tunnel face and by the gap geometry. When a higher
pressure is applied at the tunnel face, compression forces in the lining are also
higher. The same situation is observed for a larger shield overcut. This mech-
anism can be explained by the fact that in undrained conditions, typical of low
permeability soil, the induced deformation in the range of small-strain results
in the truly elastic behaviour. Thus, when higher face pressures are applied,
proportionally higher loads are transferred from the soil onto the lining. In this
stage also the effect of the trailer trolley can be observed as a local change of
the internal forces. With the progress of consolidation, the pore pressure around
cavity tends to reach the initial state. However, no meaningful changes of the
ground deformation are observed in this phase.
198
Chapter 7
Concluding remarks
7.1 Conclusions
The true goal behind the present dissertation is to link the technological factors of
tunnelling to visible effects, considering in this way execution as a part strictly
complementary to design that requires rational analysis and is not left, as is
typically done in practice, to empirical consideration. With this aim numer-
ical simulation of conventional and mechanized tunnelling has been performed
increasing as much as possible the level of accuracy to account for the most
relevant technological factors. The sequence of tunnelling operations has been
rebuilt with a great care for two case studies assumed as benchmarks and spe-
cific models have been introduced to simulate the injection and hardening of
grout, local reinforcement, excavation, face support, subsoil stratification, initial
hydrodynamic conditions and also pore pressure transient variation, etc.
As a general comment, the performed study has shown that numerical mod-
elling, if carried out with sufficient accuracy and realistic models, gives a detailed
and complete description of the complex interactive mechanisms activated during
tunnelling between soil and structural elements. In this sense, modelling has the
same function of physical experiments, with the non-negligible difference that
many outcomes cannot be seen from the latter because of intrinsic limitations of
the equipment.
In the first analysed case study, dealing with a conventional tunnel built with
the provisional jet-grouting support, the three-dimensional simulation performed
with an advanced constitutive model of the different materials, has shown the
combined role of the different supporting systems (jet-grouting canopy, provi-
sional and permanent lining, face reinforcement) in limiting the deformation of
the surrounding soil, reducing settlements and stabilizing the cavity. The inter-
action between these structures has been also explained in terms of growth of
the internal forces with respect to each tunnelling operation. In particular, the
jet-grouted canopy adsorbs a large part of the loads coming from the upper soil
199
CHAPTER 7. Concluding remarks
with a system of compressional forces acting all along the structure. These forces
are activated in a cross section even before excavation reaches this section, pos-
sibly due to a relaxation of the beneath soil. The shotcrete installed right after
excavation, creates with the upper canopy a unique structure capable of absorb-
ing the loads produced by further excavation of the soil ahead of the considered
cross section. After installation of the final lining, the development of internal
forces in the supporting systems is practically stopped, which indicates that the
final lining, forming a closed and thus stiffer ring, carries every additional load.
This aspect is not secondary at all, as the major kinematic effect observed from
the simulation is a rigid downward movement of whole tunnel structure, basic-
ally stemming from deformations of the soil near the feet of canopy. In order to
remedy this negative effect, a possible solution can be the reinforcement of the
canopy foundation or the installation of the final invert, as soon as possible.
Sometimes there is an optimal level of accuracy for the computational model,
beyond which complexity becomes unnecessary or even harmful. For instance,
the installation of jet grouting columns, here reproduced closely fitting its time
sequence, has shown to be not necessary. In fact, the relatively fast hardening
of the jet-grouted material enables the whole canopy to absorb loading soon
after its execution. On the other side, the non-linear response of soil from the
early part of loading is very important and needs to be reproduced with a high
accuracy. Models not taking into account stiffness degradation in the small-
strain range, result in a wider propagation of deformations around the cavity
and higher ground settlements. As expected, the modelling of soil response
with a linear elastic perfectly plastic model, although appealing for its simplicity
generates stress relaxation after excavation, which turns into unrealistic ground
heave. However, on the other hand, the internal forces induced in the structural
elements are rather well predicted, even with this simple model. The distribution
of internal forces can be also obtained with the bi-dimensional models provided
with simplifying assumptions, i.e. giving appropriate values of the unloading
factor for each phase of simulation.
Finally, it is worth noting that jet-grouting canopies present very often im-
perfection, whose role has not been taken into account. The current experience
has shown that defects can arise from the wrong estimation of the technological
effects (Flora et al., 2013) or from the inaccurate control of the execution process
(Croce and Modoni, 2007). Omitting this aspect may lead to wrong prediction
and severe consequences.
In the second case study, a tunnel driven with the EPB shield is considered.
Here, a complex phenomenology is generated including mechanisms occurring
ahead of the tunnel face, deformation induced by the passage of the shield
through the reference section and by the installation of the final lining.
One of the most remarkable effects occurring ahead of the tunnel cavity
is pre-convergence. The character and amount of this soil deformation which
200
7.1. Conclusions
propagates through whole subsoil up to the ground surface, is ruled by the equi-
librium between the pressurized paste filling the excavation chamber and the
pressure acting from soil ahead of the tunnel face. Moreover, during this phase
a three-dimensional effect is generated producing a stress transfer from one por-
tion of the soil to another (arching effect). It is triggered at a degree depending
on the equilibrium near the face. In the simulated hydrodynamic conditions,
an increase of pore pressure is observed shortly before the arrival of the shield.
With the low face pressure, deformation of soil extends at a bigger distance,
while when higher pressures are applied, the stability of the face increases and
the inward extrusion turns into outward movement.
During the shield passage through the reference section, a contraction of the
cavity occurs ruled by the shield overcut and their conicity. This contraction
induces a stress redistribution which turns into varied structural forces in the
tunnel lining. This effect is also ruled by the undrained ground conditions,
which due to the low permeability, prevent from the development of the negative
volumetric strains. After the initial phase, during the consolidation, the arching
effect is fully revealed and the stresses around the cavity reach a residual state.
An important aspect concerns the gap left around the lining, greatly affecting
the torque and thrust force applied on the cutterhead to push the shield forward.
In the subsequent phase, when the segmental lining is installed and the gap
between surrounding soil and extrados of the lining is filled with grout, higher
stresses are transferred from the shield skin to the supporting system. The
structural forces in the lining are induced not only by the soil pressure, but also
by the grouting pressure, the jack thrusts and a backup trailer. The grouting
pressure injected behind the shield, while pushed outwards the surrounding soil,
induces a compression along the whole axis lining and generates bending mo-
ments with a heart-shaped distribution. The amount of lining compression is
significantly affected by the equilibrium state at the tunnel face and by the gap
geometry which is especially evident in the undrained subsoil conditions. With
the increase of face pressure and/or shield overcut, higher compression forces are
generated, while the distribution of bending moments becomes more smooth.
This increase of compression can be explained considering that in undrained
conditions the induced strains are relatively small, and the behaviour can be
assumed as elastic. In this phase, a local change of the structural forces is due
to the loads from the backup trailer running in the lining intrados. Finally, with
the progress of soil consolidation, the pore pressure around cavity goes back to
its initial hydrodynamic state, until no further development of soil deformation
is noted.
Finally, performance of the empirical rules of thumbs utilized in the prelim-
inary design stage to predict ground deformation and structural forces have been
checked based on the results from both case studies. Despite the questionable
basis of these methods, they are in substantial agreement with the results ob-
201
CHAPTER 7. Concluding remarks
tained with the numerical model. Obviously, these empirical solutions refer to
single aspects (e.g. ground settlements) and do not account for any technological
factor.
7.2 Recommendations for further research

After this work, some recommendations arise for further research. With regard
to the tunnelling with the jet-grouted canopy, the following improvement could
be achieved:
• The constitutive model for the jet-grouted material and shotcrete should
take into account creep, as this effect may induce an additional settlement
and a redistribution of the stress in the lining.
• Perform an extensive parametric study in order to systematically investig-
ate the role of:
– canopy geometry, e.g. diameter of columns, overlapping length of
canopies
– arrangement of the face reinforcement
– geometry and installation of shotcrete and final lining
For the tunnelling with the EPB shield, the following aspects can be improved:
• The modelling of excavation can be improved by introduction of the Ar-
bitrary Lagrangian Eulerian (ALE) adaptive meshing.
• The gap around the shield could be more realistically modelled including
a thin film of grout and slurry penetrating in a gap between shield and
surroundings soil.
• The joints between lining segments should be included.
• Partial saturation of soil to simulate a stand-still phase during support
with the air pressure, can be introduced.
• The constitutive model for grout backfilling (e.g. a time-dependent Pois-
son‘s ratio and strength) can be improved to investigate its role on the
results.
• Investigation of the following effects of:
– shield weight, filter cake definition, grouting pressure, backup trailer
– subsoil conditions, e.g. driving through inclined stratum
– initial hydrodynamic conditions
It is here noted that all these improvements are difficult to introduce and
they increase the calculation time, which can make them impossible to simulate.
A user-friendly interface could be created integrating the model generation with
a post-processor. The latter one should give the possibility to read automatically
results and present them in the manner suitable for engineers not familiar with
complex numerical modelling.
202
Appendix A
Mathematical framework for

used constitutive models
A.1 Linear elastic perfectly plastic model with Mohr-

Coulomb failure criterion
The linear elastic perfectly plastic model with the Mohr-Coulomb failure criterion
is one of the simplest and the first approximation of soil mechanical behaviour.
It is composed from two general components, the linear elasticity according to
the Hooke‘s law and a perfectly plastic failure defined by the Mohr-Coulomb
criterion (Coulomb, 1776). The principle of this model is presented in the Figure
A-1. In the initial state a material response is linear elastic, however, when the
yield stress defined by a failure criterion is reached, a perfectly plastic flow occurs.
When the stress state is inside the failure surface f < 0, a reversible elastic strain
is generated. During this plastic flow an irreversible strain is generated. The
primary loading and unloading is simulated with the same material stiffness, thus
the slopes of the lines presenting these two states are equal. This constitutive
model involves five parameters (Hibbitt and Sorensen, 2001):
• Young‘s modulus, E
• Poisson‘s ratio, ν
• Effective cohesion, c0
• Effective friction angle, ϕ0
• Angle of dilatancy, ψ
The first two parameters E and ν describe the linear elastic response for
the isotropic material. The next two parameters c0 and ϕ0 are responsible for
the size and location of the failure surface, while the remaining parameter ψ
defines behaviour of material during the plastic flow. The Mohr-Coulomb failure
criterion expressed in the three-dimensional principal stress space (σ1 ≥ σ2 ≥ σ3 )
203
APPENDIX A. Mathematical framework for used constitutive models
Stress
Perfectly plastic flow
Yield stress
Primary loading
Unloading/reloading
Elastic response
Strain
Figure A-1: Principle of the linear elastic perfectly plastic model after Wood
(2004)
takes the form of (Hibbitt and Sorensen, 2001):
fM C = (σ1 − σ3 ) + (σ1 + σ3 ) sin ϕ0 − 2c0 cos ϕ0 = 0 (A.1)
where σ1 , σ2 and σ3 are the principal stresses where the compressive stresses
are taken as negative. The Mohr-Coulomb yield criterion can be visualized
by the hexagonal surface in the space of principle stress as it is shown in the
Figure A-2. Position of the surface apex can change on the hydrostatic axis in-
dicating cohesive and non-cohesive behaviour. Moreover, the cohesive behaviour
is simulated when apex is located at the negative part of the hydrostatic pres-
sure, while the non-cohesive behaviour occurs when it coincides with the origin
σ1
Space
diagonal
σ3
σ2
Figure A-2: Three-dimensional representation of Mohr-Coulomb failure cri-
terion in the principal stress space (Davis and Selvadurai, 2002)
204
A.1. Linear elastic perfectly plastic model with Mohr-Coulomb failure criterion
of the stress space. When the stress state reaches the failure surface f = 0, the
plastic flow occurs immediately. Two possible scenarios can happen, the first
named as associated flow rule corresponds to the situation when the plastic flow
develops in the normal direction to the yield surface (ϕ0 = ψ 0 ). If the vector of
plastic flow is not normal to the yield surface, the so-called non-associated flow
is applied. This case corresponds to the situation when the angle of dilatancy is
lower then the friction angle (ϕ0 > ψ 0 ).
The elastic relation of stress-strain in the rate formulations are expressed as
(Wood, 2004):
σ̇ = De ˙e (A.2)
where De is the isotropic elastic stiffness matrix of material, ˙e is the elastic strain
rate, and σ̇ is the stress rate. In order to introduce perfectly plastic behaviour,
strain needs to be decomposed in the reversible and irreversible part (Wood,
2004), expressed as:
˙ = ˙e + ˙p (A.3)
where ˙p refers to the irreversible component of the plastic strain rate. Combining
two previous equations, general expression is derived as:
σ̇ = De (˙ − ˙p ) (A.4)
In the next step, taking the use of the plastic potential function g, component
of plastic strain rate can be defined as:
∂g
˙p = λ (A.5)
∂σ
where λ is the multiplier which determines amount of the plastic flow. For the
classic associated law, plastic potential g is equal to the failure criterion f . The
constitutive relations introduced in the ABAQUSTM code take use of the non-
associated flow. It is defined as the flow potential function which takes form
of the hyperbolic function in the meridional stress plane and elliptic function
of Menetrey and Willam (1995) in the meridional plane. Moreover, this model
includes the possibility to limit tensile stress by the use of the so-called tension
cut-off defined as a Rankine surface. This surface has a form of the perpendicular
plane to the axis of the principal stress and can be expressed as:
fR = σ − σt (A.6)
where σt is the stress value of the tension cut-off which defines maximum tension
allowed in the material.
For more details and complete formulation of the elasto-plastic constitutive
matrix, reader is refereed respectively to Hibbitt and Sorensen (2001) and Potts
and Zdravkovic (1999). For the smooth hyperbolic approximation of the Mohr-
205
Coulomb failure criterion which eliminates implementation problems, reader is

refereed to Abbo and Sloan (1995).
In order to include change of the stiffness and strength in time, e.g. for
the case of the cemented materials which undergo hydration process, relation of
Weber (1979) can be applied. It takes the following form:
χ (t) = χ28 · ξ · eη/t (A.7)
where t is the time, χ28 is the value of parameter after 28 days of hydration,
ξ and η are the material constants, calibrated based on the experimental tests.
Definition of the relation between the compressive and tensile strength has been
assigned according to Neville (2012), who proposed following expression:
0.67
ftu = 0.30 · fcu (A.8)
where ftu is the tensile strength, while fcu corresponds to the compressive
strength.
A.2 Hypoplastic model for granular materials
Hypoplasticity in contrast to elasto-plasticity does not decompose strain into two

components, respectively, into the reversible (elastic) and irreversible (plastic)
parts. In a very simple manner, concept of the hypoplasticity is herein explained
based on the 1D simplified model (Kolymbas, 1999). This concept has been
derived from the following equation:
∆σ = E1 ∆ − E2 |∆| (A.9)
where E1 > E2 > 0. According to the above equation, during loading (∆ > 0)
a value of stiffness is equal to E = E1 − E2 , while in unloading is equal to
E = E1 + E2 . Comparing these two values, it can be easily seen that during
unloading, stiffness is higher than during loading, which is demonstrated in the
Figure A-3(a). This explains main feature of the hypoplasticity, i.e. no strain
decompositon. A dependency of the stiffness on the stress level can be introduced
by replacing E1 with C1 σ, and E2 with C2 σ, which results in:
∆σ = C1 σ∆ − C2 σ|∆| (A.10)
where C1 > C2 > 0. In order to demonstrate simulated behaviour using the

above equation, a value of C1 was assumed to be equal to −800 and a value of
C2 to be equal to −400. In this very simple manner stress dependent non-linear
stiffness during both loading and unloading is obtained.
206
A.2. Hypoplastic model for granular materials
0 0
−0.2
−0.4
E = E1 - E2 −0.5
−0.6
ε [%]
ε [%]
−0.8
−1 −1
−1.2
E = E1 + E2
0 100 200 300 0 100 200 300

2
σ [kN/m ] σ [kN/m2]
(a) Linear inealstic consitutive law (b) Hypoplastic consitutive law
Figure A-3: 1D hypoplastic model after Kolymbas (1999)
The hypoplastic constitutive model for granular materials introduced by von

Wolffersdorff (1996) is herein presented. This model is developed based on the
constitutive relations and the hypoplastic theory proposed by Gudehus (1996)
and Bauer (1996). The state variables of the current stress and the void ratio
are introduced in order to describe the behaviour of granular material in the
asymptotic state.
The general form of a hypoplastic equation is expressed as tensorial equation
of stress rate (Lanier et al., 2004):
T̊ = L : D + NkDk (A.11)
where T√ is the second-order stress rate tensor and D is the rate of strain with
kDk = trD2 , while L and N are respectively the linear and nonlinear operators,
both depending on the actual stress state. L is the fourth-order tensor, while
N is the second-order tensor. Alternatively, T can be expressed as matrix of
principal stress:  
σ11 σ12 σ13
σ21 σ22 σ23 
 
σ31 σ32 σ33
In order to include a dependency on the stress level and density, called re-
spectively barotropy and pyknotropy, a modification of the Equation A.11 was
proposed by Gudehus (1996). A modified equation takes the form of:
T̊ = fs L : D + fs fd NkDk (A.12)
where fs and fd are the coefficients responsible for the barotropy and pyknotropy.
207
In the hypoplastic model proposed by von Wolffersdorff (1996), the deviatoric

yield curve of Matsuoka and Nakai (1985) is adopted. This failure surface called
Matsuoka-Nakai is a smooth approximation of the Mohr-Coulomb yield surface,
as can be seen from the Figure A-4.
Figure A-4: Comparison between Mohr-Coulomb and Matsuoka-Nakai yield

surfaces: a) principal stress space, b) deviatoric plane (Borja et al., 2003)
With the above applied yield surface, the tensorial stress rate equation takes the
form of (Kolymbas, 1999):
1 h √ i
T̊ = fb fe : F 2 D + a2 T̂tr T̂ : D + fd aF T̂ + T̂∗ trD2 (A.13)
trT̂2
with:
T T∗
T̂ = , T̂∗ =
trT
√ trT∗
3 (3 − sin ϕc )
a= √
2 2 sin ϕc
s
1 2 − tan2 ψ 1
F = tan2 ψ + √ − √ tan ψ
8 2 + 2 tan ψ cos 3ϑ 2 2
q
√ trT̂∗3
tan ψ = 3trT̂∗2 3 tan ψ = − 6 h i3/2
trT̂∗2
α
e − ed

fd =
ec − ed
208
A.2. Hypoplastic model for granular materials
β
ec

fe =
e
hs

ei0
β
1 + ei

3p
1−n √ ei0 − ed0 α −1
2
fb = 3+a −a 3
n ec0 ei hs ec0 − ed0
where trT denotes the sum of the components T1 + T2 + T3 , T∗ is the deviatoric

part of the stress tensor defined as T∗ = T − 13 (trT). In the above relations
8 parameters are introduced, as follows:
• critical state friction angle, ϕc
• parameters controlling the shape of limiting void ratio curves, hs and n
• reference maximum void ratio, ei0
• reference critical state void ratio, ec0
• reference minimum void ratio at the state of maximum density, ed0
• parameter which controls the dependency of peak friction angle on relative
density, α
• parameter which controls the dependency of soil stiffness on relative dens-
ity, β
The critical state friction angle ϕc can be estimated from the angle of repose.
Measurement of the repose angle is simply done by slow vertical lifting of a funnel
filled with dry sand in loose state over a flat surface (Miura et al., 1998). As
a result, heap of a material is formed and thus, the repose angle can be easily
measured. Moreover, Herle and Gudehus (1999) proved that the measured values
well correspond to the values obtained from the simple shear test. However, it is
not suitable method to measure the critical state friction angle (Mašín, 2014b).
The maximum and minimum void ratios (ei , ed ) limit possible stress state
expressed in the plane e-p, according to the following relation (Bauer, 1996):
n
ei ec ed 3p

= = = exp − (A.14)
ei0 ec0 ed0 hs
where p is the mean stress. The most convenient way to obtain the values of the
parameters hs , n and ec0 which control the position and slope of the compression
line is to perform an oedometric test on dry or fully saturated loose soil (Mašín,
2014b). From these tests, a compression index can be derived and subsequently
the parameters hs and n can be obtained by using the following formulas:
1/n
ne

hs = 3p (A.15)
Cc

e1 Cc2
ln e2 Cc1
n= (A.16)
ln p2 /p1
where Cc is the compression index. The initial void ratio can be taken as a value
of the parameter ec0 . The pressure dependent maximum limit ei0 is difficult to
209
measure and can be assumed to be equal to 1.2ec0 (Herle and Gudehus, 1999).
Whereas, the second pressure dependent limit ed0 , which controls the minimum
void ratio, can be assigned to be equal to 0.5ec0 , in accordance with Herle and
Gudehus (1999).
The best way to calibrate the remaining two parameters α and β is to perform
a single element test simulating drained triaxial compression tests, and calibrate
them in accordance with the results obtained from the experimental tests. It is
the most convenient way, as the parameters α and β control the peak friction
angle and initial slope of the q − curve. Influence of these parameters on the
shape of stress-strain curve is presented in the Figure A-5.
450 400
400 350
350 300
300 q [kPa] 250
q [kPa]
250
200
200
150
150 α=0.05
100 α=0.10 100 β=0.5
α=0.13 β=1.0
50 α=0.15 50 β=1.5
α=0.20 β=2.0
0 0
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0 0.02 0.04 0.06 0.08 0.1 0.12 0.14
εs [-]’ εs [-]’
(a) Influence of α (b) Influence of β
Figure A-5: Parameters controlling shape of the stress-strain curve during

shearing after Mašín (2014b)
In order to calibrate the constitutive model, the minimal set of the experi-
mental tests according to Mašín (2014b) can be used:
• measurement of repose angle, ϕc

• one oedometer test on loose sample to obtain the parameters hs , n and ec0
• one drained triaxial compression test on dense sample to obtain the para-
meters α and β
The remaining parameters can be calculated according to the previously presen-

ted relations. To demonstrate capabilities of the presented hypoplastic model
and efficiency of the above simple calibration procedure, the results from the
prediction of the drained triaxial test carried out by Suchomel and Mašín (2011)
are given in the Figure A-6.
A FEM implementation written in the FORTRAN programming language for
two commercial codes PLAXISTM and ABAQUSTM was carried out by Gudehus
et al. (2008). This implementation is freely available on the website of soilmod-
els.info project, at web address www.soilmodels.info.
210
A.3. Hypoplastic model for clays
1200 0.02 experiment a1

1000 experiment a2
0 experiment a3
q [kPa] 800 -0.02 experiment a4
εv [-]
600 -0.04
400 experiment a1 -0.06
experiment a2
200 experiment a3 -0.08
experiment a4
0 -0.1
0 0.05 0.1 0.15 0.2 0.25 0.3 0 0.05 0.1 0.15 0.2 0.25 0.3
εa [-] εa [-]
(a) Experiments
1200 0.02
1000 0
800 -0.02
q [kPa]
εv [-]
600 -0.04
400 hypoplasticity a1 -0.06 hypoplasticity a1
hypoplasticity a2 hypoplasticity a2
200 hypoplasticity a3 -0.08 hypoplasticity a3
hypoplasticity a4 hypoplasticity a4
0 -0.1
0 0.05 0.1 0.15 0.2 0.25 0.3 0 0.05 0.1 0.15 0.2 0.25 0.3
εa [-] εa [-]
(b) Prediction
Figure A-6: Prediction of the drained triaxial test (Suchomel and Mašín, 2011)
A.3 Hypoplastic model for clays

A hypoplastic constitutive model for clays has been firstly introduced by Mašín
(2005). The author developed this model based on the general hypoplastic frame-
work of Gudehus (1996), by introduction of the traditional critical state concept.
In order to eliminate interrelated L and N tensors (see Equation A.12), which
limit the stress conditions, the general hypoplastic equation which defines stress-
strain relation modified by Mašín (2005) is expressed as:
m

T̊ = fs L : D − fd Y kDk (A.17)
kmk
where m is the hypoplastic flow rule expressed by the second-order tensor and
Y is the scalar equal to f + 1 where f stands for the stress function. fs is the
factor of barotropy, while fd is the factor of pyknotropy.
In the presented model the following expression of the hypoelastic tensor L
was introduced:
L = 3 c1 I + c2 a2 T̂ ⊗ T̂ (A.18)
211
where I is the fourth-order unity tensor, c1 and c2 are the factors defined later
(see Equations A.30 and A.31), while a is the material parameter defined as:
√
3 (3 − sin ϕc )
a= √ (A.19)
2 2 sin ϕc
where ϕc is the critical state friction angle.
In this model, as in the model for granular materials, Matsuoka-Nakai yield

surface was introduced (Matsuoka and Nakai, 1985). Taking this yield surface
expressed by means of the stress invariants, the scalar factor Y takes the form
of:  
− (I1 I2 ) / (I3 ) − 9
Y = (1 − Yi )   + Yi (A.20)
9 − sin2ϕc / 1 − sin2ϕc − 9
√
where Yi is equal to 3a/(3 + a2 ).
The flow rule in the presented hypoplastic model is defined by the tensorial
quantity m and for the case of the Matsuoka-Nakai criterion it takes the following
form: " !#
a ∗ T̂ 6T̂ : T̂ − 1
m=− T̂ + T̂ − (A.21)
F 3 (F/a)2 + T̂ : T̂
where T̂∗ is defined as T̂∗ = T̂ − 1/3 and F is a factor defined as:

s
1 2 − tan2 ψ 1
F = tan2 ψ + √ − √ tan ψ (A.22)
8 2 + 2 tan ψ cos 3θ 2 2
where
√ √ tr T̂∗ · T̂∗ · T̂∗
tan ψ = 3kT̂∗ k, cos 3θ = − 6 h i3/2 (A.23)
T̂∗ : T̂∗
Presented definition of a tensorial quantity m results that at the critical state,
a strain increment occurs in the radial direction in the octahedral plane.
In order to include a model dependency on the mean stress level called baro-
tropy expressed as factor fs , the isotropic normal compression line according to
Butterfield (1979) was applied. This compression line plotted in the ln (1 + e)
vs p space is expressed by the following equation:
ln (1 + e) = N − λ∗ ln p (A.24)
where N cl and λ∗ are the parameters, respectively defining the position and slope
of the isotropic normal compression line, while p is the mean stress pressure.
Based on this assumption and several mathematical operations of the barotropy
212
factor fs was derived as:
trT 2
√ −1
fs = − 3 + a − fdi a 3 (A.25)
λ∗
where fdi is the value of the pyknotropy factor at the isotropic normally com-
pressed state and is equal to fdi = 2α , where α is the factor derived from the
pyknotropy definition.
A dependency of soil behaviour on the density called pyknotropy expressed
by the factor fd was defined firstly assuming following properties of fd :
• fd = 0 for p = 0
• fd = 1 when the critical state is reached
• fd = const. > 1 when the isotropic normally compressed state is reached
According to Mašín and Herle (2005), this dependency should be constant along
the normal compression line, thus following expression has been introduced:
α
p

fd = (A.26)
pcr
where the parameter pcr is the mean stress at the critical state line for current
void ratio. As barotropy factor, pyknotropy factor is also derived based on the
critical state line which takes the slightly modified form:
pcr
ln (1 + e) = N − λ∗ ln 2 (A.27)
pr
where pr is the reference pressure taken as 1 kPa. Thus, pyknotropy factor is

derived as:
2trT ln (1 + e) − N α

fd = − exp (A.28)
3pr λ∗
where κ∗ defines the slope of isotropic unloading line in the ln (1 + e) vs p space.
Finally, based on these assumptions and after mathematical operations, the
factor α was derived as:
" !#
1 λ∗ − κ∗ 3 + a2
α= ln ∗ √ (A.29)
ln 2 λ + κ∗ a 3
where the parameters N cl , λ∗ and κ∗ control the position and slope of the iso-
tropic normal compression and isotropic unloading lines as presented in the Fig-
ure A-7. These parameters are equivalent to the parameters of the Modified
Cam-clay model (λ and κ) plotted in the e vs ln p space.
213
ln (1+e)
N
Isotr. normal compression line
Isotr. unloading line

current state
κ* 1
Critical state line λ*

1
pcr p*e ln p
Figure A-7: Visualization of isotropic normal compression and unloading line

after Mašín (2005)
Finally, mathematical formulations of the factors c1 and c2 are as follows:

√
3 3 + a2 − 2α a 3
c1 = (A.30)
9r
3
c2 = 1 + (1 − c1 ) (A.31)
a2
where r is the ratio between bulk modulus for the isotropic compression and
shear modulus for the undrained shear, both in the isotropic normally compressed
state.
The effect of structure was introduced into the hypoplastic model for recon-
stituted soil by Mašín (2007). Proposed method is based on the modification of
barotropy and pyknotropy definition. Moreover, the critical state line is slightly
modified. The original pyknotropy factor fd has been replaced with expression:
α
2p

fd = (A.32)
sp∗e
where sp∗e is the Hvorslev equivalent pressure for the structured material and
s is a sensitivity. The sensitivity rate ṡ is defined as:
k
ṡ = (s − sf ) ˙d (A.33)
λ∗
where k and sf are the model parameters, and ˙d is the damage strain rate,
defined as: s
A
˙ = (˙ν )2 +
d
(˙s )2 (A.34)
1−A
214
where A is the parameter controlling relative importance of the volumetric and

shear components. The modified critical state line with introduced structure
takes the form of:
p

∗ ∗
ln (1 + e) = N + λ ln s − λ ln (A.35)
pr
while the barotropy factor fs has been redefined accordingly:

3p √ −1
fs = Si ∗
3 + a2 − 2α a 3 (A.36)
λ
where
s − k (s − sf )
Si = (A.37)
s
Moreover, after introduction of the above modifications, the scalar factors c1 and
α are redefined accordingly:
√
2 3 + a2 − 2α a 3
" !#
1 λ∗ − κ∗ Si 3 + a2
c1 = , α= ln ∗ √ (A.38)
9rSi ln 2 λ + κ∗ Si a 3
Prediction of the mechanical behaviour for the natural and reconstituted Pisa
clay with the introduced extension is presented in the Figure A-8
2 2
A135 A90 A60
1.5 1.5 A135 A90
A60
A30 A30
SOMS nat.
1 A180 1 A180
A0 A0
0.5 R90 R60 R30 0.5 R90 R60 R30
q/p*e
q/p*e
R0 R0
0 0 SOMS rec.
R315 R315
-0.5 A280 A315 -0.5 A280 A315
-1 -1
experiment, reconstituted hypo., reconstituted
-1.5 experiment, natural -1.5 hypo., natural
0 0.5 1 1.5 2 2.5 3 3.5 0 0.5 1 1.5 2 2.5 3 3.5
p/p*e p/p*e
(a) Experiments (b) Prediction
Figure A-8: Normalised stress paths of the natural and reconstituted Pisa clay
after Mašín (2007)
In order to extend presented model by the ability to predict effect of the small-
strain stiffness anisotropy, Mašín and Rott (2013) introduced in the stiffness
matrix L based on the definition given by Graham and Houlsby (1983). Thus,
the following three coefficients are introduced:
Gpp Ep νpp
αG = , αE = , αν = (A.39)
Gtp Et νtp
215
where αG is the ratio of horizontal to vertical shear modulus, αE is the ratio of

horizontal to vertical Young‘s modulus and finally, αν is the ratio of horizontal
to vertical Poisson‘s ratios.
In the basic version of model, introduced by Mašín (2005), five following
parameters are required:
• critical state friction angle, ϕc

• parameter controlling slope of the isotropic normal compression line, λ∗
• parameter controlling slope of the isotropic unloading line, κ∗
• parameter controlling position of the isotropic normal compression line,
N cl
• ratio between bulk modulus in isotropic compression and shear modulus in
undrained shear, r
The modification introduced by Mašín (2007) in order to account the structure

effect requires additional three parameters:
• parameter controlling rate of the structure degradation, k

• parameter controlling relative importance of volumetric and shear compon-
ents, A
• sensitivity, sf
while the modification, which includes the stiffness anisotropy (Mašín and Rott,
2013), introduces in the basic version three following parameters:
• ratio of horizontal to vertical shear modulus, αG

• ratio of horizontal to vertical Young‘s modulus, αE
• ratio of horizontal to vertical Poisson‘s ratio, αν
which can be reduced just to one parameter αG .

A calibration procedure of the presented model is now described according
to the suggestion given by Mašín (2014b). A value of the critical state friction
angle ϕc can be obtained from the undrained triaxial shear test preferably on the
reconsituted, normally consolidated sample. A value of the ϕc can be found by
measuring a slope of the critical state line in the q vs p space, designated as the
parameter M cs . Then, the critical state friction angle can be simply calculated
by using relation sin ϕc = 3M/(6 + M ). A calibration of the parameters N cl ,
λ∗ and κ∗ should be done based on the isotropic compression/oedoemetr test
on the undisturbed sample. The parameter N cl , which controls vertical position
of the isotropic compression line, can be calibrated by simply fitting a line into
the results from the experimental test. A calibration of the parameter λ∗ , which
controls slope of the isotropic normal compression line, can be done by a direct
measurement of a slope of the isotropic compression line from the laboratory
results in the ln (1 + e) vs ln p space. Whereas, the parameter κ∗ cannot be
directly measured. Thus, the best way to calibrate it, is to perform a parametric
216
study by the simulation of the oedometric test and by fitting to the results from
the experimental tests.
Influence of the parameter κ∗ on the predicted behaviour during the loading
and unloading is presented in the Figure A-9(a). Influence of the ratio κ∗ /λ∗
on the shape of state boundary surface is presented in the Figure A-9(b). It
can be noted that for high values of this ratio, the state boundary surface has
an unrealistic shape. Moreover, the undrained stress paths for different values
of above ratio are given in the Figure A-9(c). A calibration of the remaining
parameter r can be carried out by fitting the simulated curve during shearing
plotted in q vs s space to the results from the undrained shear test on the
undisturbed sample. Influence of the parameter r is presented in the Figure A-
9(d).
Parameters used in the extension of Mašín (2007), which introduce the struc-
ture effect, can be calibrated using the following procedure. Firstly, the para-
meter controlling a rate of the structure degradation k should be calibrated
1.05 0.6
experiment
1 κ*=0.005
κ*=0.010 0.4
0.95 κ*=0.015
0.9 κ*/λ*=0.05
0.2 κ*/λ*=0.09
ln (1+e) [-]
0.85 κ*/λ*=0.14
q/p*e
κ*/λ*=0.18
0.8 0 κ*/λ*=0.23
κ*/λ*=0.27
0.75 κ*/λ*=0.32
-0.2
0.7
0.65 -0.4
0.6
0 1 2 3 4 5 6 7 0 0.2 0.4 0.6 0.8 1 1.2
ln p/pr [-] p/p*
e
(a) Influence of κ∗ (b) Influence of κ∗ /λ∗ on the shape of state

boundary surface
0.6 140
0.4 120
100
0.2
80
q/p*
q [kPa]
e
0 κ*/λ*=0.05
κ*/λ*=0.09 60
κ*/λ*=0.14
-0.2 κ*/λ*=0.18 40
κ*/λ*=0.23 test r25oc
-0.4 κ*/λ*=0.27 r=0.33, hypo., basic
κ*/λ*=0.32 20
r=0.5, hypo., basic
r=0.75, hypo., basic
0 0.2 0.4 0.6 0.8 1 1.2 0
p/p*
e
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08
εs [-]
(c) Influence of κ∗ /λ∗ on the undrained stress (d) Influence of r

path
Figure A-9: Influence of selected parameters on the behaviour of hypoplastic

model for clay after Mašín (2014b)
217
preferably based on the isotropic compression test on the undisturbed sample.

Knowing a value of k, the parameter controlling relative importance of the volu-
metric and shear components A can be calibrated based on the experiment for
which significant shear strains occurs. Finally, the sensitivity parameter sf is
calibrated based on the compression test on the undisturbed sample performed
up to a very high level of strains.
There are three parameters controlling the stiffness anisotropy: αG , αE , αν ,
where the latter two can be approximated using the empirical formulations.
A ratio of the horizontal to vertical Young‘s modulus αE can be calculated using
1/0.8
formula αE = αG . A parameter expressed as the ratio of the horizontal to
vertical Poisson‘s ratios αν can be assumed as equal to the ratio of the horizontal
to vertical shear modulus αν = αG . A remaining ratio of the shear modulus αG
can be estimated based on the complex relation describing model dependency
on the mean effective stress, the ratio of mean stress to deviatoric stress and K0
conditions introduced by Mašín and Rott (2013). However, in the engineering
practice, it is convenient to set a constant value of αG .
As in the case of the hypoplastic model for granular materials, the FEM
implementation written in the FORTRAN programming language for two
commercial codes PLAXISTM and ABAQUSTM has been done by Gudehus
et al. (2008). It is freely available on the website of soilmodels.info project
(www.soilmodels.info).
A.4 Intergranular Strain Concept for hypoplastic

models
Intergranular Strain Concept (ISC) is an extension, firstly introduced in the

hypoplastic model for granular materials (von Wolffersdorff, 1996) by Niemunis
and Herle (1997). The concept of the ISC was also introduced in the hypoplastic
model for clays (Mašín, 2014a). Hypoplastic models with this extension are able
to predict realistic stiffness in the small-strain range and also the recent stress
history.
This extended model redefines a strain definition in a way that the strain is
now considered as a result of deformations which occurred at the intergranular
interface layer and as a result of the skeleton rearrangement. A deformation
which occurs at the interface layer is called an intergranular strain δ, which
is in fact, a state variable expressed by means of the symmetric second-order
tensor. Definition of the extension starts from the expression of the normalized
magnitude of the intergranular strain δ as:
kδk
ρ= (A.40)
R
218
A.4. Intergranular Strain Concept for hypoplastic models
where R is the constant maximum value of the intergranular strain which is

independent on the stress level. The direction of the intergranular strain designed
as δ̂ is defined as: 
 δ for δ 6= 0
δ̂ = kδk (A.41)
0 for δ = 0
The general stress strain relation can be expressed as:
T̊ = M : D (A.42)
where M is a representation of the stiffness by means of the fourth-order tensor

which is calculated from the L and N tensors (see Equation A.11), and function of
the intergranular strain. Tensor M is calculated using an interpolation expressed
as:
M = [ρχ mT + (1 − ρχ ) mR ] fs L+

ρχ (1 − m ) f L : δ̂ ⊗ δ̂ + ρχ f f Nδ̂ for δ̂ : D > 0
T s s d
+ (A.43)
ρχ (mR − mT ) fs L : δ̂ ⊗ δ̂ for δ̂ : D ≤ 0
while an evolution of the intergranular strain tensor δ is governed by the following

equation: 
 I − δ̂ ⊗ δ̂ρβr : D for δ̂ : D > 0
δ̊ = (A.44)
D for δ̂ : D ≤ 0
where I is the fourth-order unity tensor and δ̊ is the objective rate of the inter-
granular strain.
In the case of the hypoplastic model for clays some modifications were needed
(Mašín, 2014a). The author modified expressions for the parameters controlling
increase of stiffness, as follows:
λ ∗ κ∗
ng
p 4Am αG 1

mR = pr Ag (A.45)
λ∗ + κ∗

pr 2pαE 1 − νpp − 2 ααE2 νpp
2
ν
mT = mrat mR (A.46)
where Am is defined as follows:

!
4αw α2 4αE

2 2
Am = νpp − 2αE + 2 E2 − 1 + νpp + 2αE + 2αE + 1 (A.47)
αν αν αν
For the brevity some of the equations are omitted here, thus for details the reader
is refereed to Mašín (2014a).
The presented extension introduces following five parameters for sandy soil
and six for clays:
219
• size of the elastic range defined in the strain space, R

• parameter which influences evolution of intergranular strain, βr
• parameter controlling degradation rate of the stiffness curve, χ
• hypoplastic model for granular materials (von Wolffersdorff, 1996):
– parameters controlling increase of stiffness, mR and mT
• hypoplastic model for clays (Mašín, 2014a):
– parameters quantifying influence of mean stress on the initial shear
modulus, Ag and ng
– ratio of the G90 /G0 , mrat
The above sets of parameters can be calibrated based on the monotonic or cyclic
loading laboratory tests depending on the analysed problem. The calibration
procedure proposed by Mašín (2014b), used to calibrate the ISC extension, is
herein given.
For the case of the continuous monotonic loading and when the several strain
path reversal occurs, following calibration procedure can be used. Initial stiffness
G0 can be obtained from the measurement of velocity propagation of the shear
waves by means of, e.g. bender elements. When the model for granular materials
(von Wolffersdorff, 1996) is used, the initial stiffness can be estimated using the
following linear function:
G0 ∼ p1−n (A.48)
while for the model applied to clays, the following relation proposed by Wroth
and Houlsby (1985) for G0 can be used:
ng
p

G 0 = p r Ag (A.49)
pr
Both of the relations are plotted in the Figure A-10 in order to demonstrate pre-
dicted behaviour. The second parameter mT , which controls increase of stiffness
is difficult to calibrate. However, the ratio mR /mT is equal to the ratio G0 /G90 ,
where G90 is the initial shear stiffness after change of a strain path direction for
90◦ , which in fact, cannot be measured by means of the bender elements. First
way to do it, is to use an accurate equipment, such as local strain transducers,
to perform tests with direction change of the strain path. Another way is to
use the empirical relation of Richardson (1988), derived from the experiments
mT ≈ 0.5mR .
The remaining three parameters, respectively R, βr and χ, control stiffness
degradation curve. According to the suggestion of Mašín (2014b), they need to be
calibrated based on a parametric study. Influence of the parameter R responsible
for size of the elastic range is presented in the Figure A-11(a). Whereas, influence
of the two other parameters βr and χ are given in the Figures A-11(b) and A-
220
A.4. Intergranular Strain Concept for hypoplastic models
11(c). Due to the similar influence of the R and βr on the degradation curve,
the second parameter can be set to be equal to 1e−3 .
1200 60
1000 50
800 40
G0 [MPa]
G0 [MPa]
600 30
400 20
experiment PhM14
200 10 experiment PhM17
von Wolffersdorff, n=0.25 experiment PhM21
linear dependency model
0 0
0 1000 2000 3000 4000 5000 0 50 100 150 200 250 300 350
p [kPa] p [kPa]
(a) for granular materials (b) for clays
Figure A-10: Prediction of initial stiffness G0 (Mašín, 2014b)
140 140
exp., 226gUC exp., 226gUC
120 exp., 25gUC exp., 25gUC
exp., 23gUE 120
exp., 23gUE
R=1.e-5 βr=0.1
100 R=5.e-5 100 βr=0.033
R=1.e-4 βr=0.3
G [MPa]
G [MPa]
80 80
60 60
40 40
20 20
0 0
1e-06 1e-05 0.0001 0.001 0.01 1e-06 1e-05 0.0001 0.001 0.01
εs [-] εs [-]
(a) Influence of R (b) Influence of βr
140
exp., 226gUC
120 exp., 25gUC
exp., 23gUE
χ=1
100 χ=0.5
χ=2
G [MPa]
80
60
40
20
0
1e-07 1e-06 1e-05 0.0001 0.001 0.01
εs [-]
(c) Influence of χ
Figure A-11: Influence of the parameters R, βr and χ on the stiffness degrad-

ation curve after Mašín (2014b)
221
A calibration based on the cyclic tests is preferred when the effect of cyclic
loading is intended for the analysis (Mašín, 2014b). However, using the results
from the cycling loading tests, e.g. cyclic undrained triaxial test, it is difficult to
distinguish the role of each parameter. Possible solution to tackle this problem
is to initially prescribe the value of the parameter R = 1e−3 , as in the case of
calibration for the monotonic loading and the parameter χ = 1. In the next
step, calibration of the parameter mR should be performed based on the meas-
urements obtained with the bender elements, together with the assumption of
mT = 0.5mR . The remaining parameter βr , is then used to control a cyclic be-
haviour. Influence of the parameter mR is presented in the Figures A-12(a) and
A-12(b) based on the simulation of a cyclic undrained triaxial test. Whereas,
influence of the parameters βr and χ based on the same test are given in the Fig-
ures A-12(c) and A-12(d). Looking at these plots, it is easy to note that studied
parameters have very similar influence and thus, it is impossible to distinguish
the role of each performing cyclic tests.
100 100
no istr. mR =8
mR =5 mR =10
50 50
q [kPa]
q [kPa]
0 0
-50 -50
-100 -100
0 50 100 150 200 250 0 50 100 150 200 250
p [kPa] p [kPa]
(a) (b)
βr=0.033 χ=2
100 βr=0.1 100 χ=1
βr=0.3 χ=0.5
50 50
q [kPa]
q [kPa]
0 0
-50 -50
0 50 100 150 200 250 0 50 100 150 200 250

p [kPa] p [kPa]
(c) (d)
Figure A-12: Influence of the selected parameters of the ISC by means of cyclic
undrained triaxial test simulation after Mašín (2014b)
222
A.5. Constitutive model for shotcrete and concrete
An implementation in the FEM code, as a part of the implementations for

hypoplastic model for granular materials and clays, is freely available on the
website of soilmodel.info project (Gudehus et al., 2008).
A.5 Constitutive model for shotcrete and concrete

In order to describe mechanical behaviour of the sprayed concrete of a temporary
lining and cast in-situ concrete for a permanent lining, the so-called concrete
damage plasticity model proposed by Hibbitt and Sorensen (2001) has been
used. This model offered by ABAQUS code is intended to simulate mechanical
behaviour of the quasi-brittle material like reinforced concrete. The pre-failure
state is described using the linear elastic Hook‘s law giving a linear response of
the material with the time-dependent stiffness and value of the Poisson‘s ratio. In
this model, a description of the failure state distinguishes tensile cracking (failure
during tension) and crushing (failure during compression) of the material. These
two failure states are presented in the Figure A-13. It can be clearly seen that
after reaching the failure stress during the uniaxial compression designated as
σc0 , the linear elastic behaviour is followed by the nonlinear due to the micro-
cracking of the material. During the uniaxial tension σt0 , the linear elastic
pre-failure state is followed by a sudden linear drop of the stress state which
smoothly passes into a residual state. Behaviour for both states are defined in
the presented model as functions of the post-failure stress vs strain. However, in
spite of the simplicity, these behaviours were omitted and the perfectly plastic
behaviour has been assumed for both states.
σt
σc
σt0
σcu
σc0
E0
E0
(1-dc)E0
(1-dc)E0
εcpl εcel εc εtpl εtel εt
(a) Uniaxial loading in compression (b) Uniaxial loading in tension
Figure A-13: Mechanical behaviour of concrete during uniaxial compression

and tension for damaged plasticity model (Hibbitt and Sorensen, 2001)
In the presented model, a yield function defined by Lubliner et al. (1989) and
then modified by Lee and Fenves (1998) has been used. Modification of the yield
function takes into account a different evolution of the strength under tension
223
and compression. This yield function is expressed as:

1
F = (q − 3αp + β () hσmax h − γ h−σmax h) − σc (c ) (A.50)
1−α
with
(σb0 /σc0 ) − 1 σc
α= , β= (1 − α) − (1 + α)
2 (σb0 /σc0 ) − 1 σt
3 (1 − Kc )
γ=
2Kc − 1
where σmax is the maximum principal effective stress, σb0 /σc0 corresponds to
the ratio of the initial equibiaxial compressive yield stress to the initial uniaxial
compressive yield stress, Kc is the ratio of the second stress invariant to the
tensile meridian, σt is the effective tensile cohesion stress and σc is the effective
compressive cohesion stress. This yield function in the deviatoric plane, for two
values of the parameter Kc is presented in the Figure A-14(a), while in the plane
stress it is presented in the Figure A-14(b). The plastic flow in this model is
assumed as the non-associated, based on the Drucker-Prager hyperbolic function.
The flow potential G is expressed as:
q
G= (σt0 tan ψ)2 + q 2 − p tan ψ (A.51)
where ψ is the dilation angle, σt0 is the uniaxial tensile stress at the failure state
and is the eccentricity parameter. The non-associated plastic flow results in
a non-symmetric stiffness matrix of material.
In this model, a technique of viscoplastic regularization of the constitutive
equations has been introduced in order to get rid of the convergence difficulties.
It results in a positive tangent stiffness for the softening material when very small
time increments are applied. However, in the presented simulations material is
modelled as perfectly plastic, thus, the softening and hardening behaviour is
omitted. A value of the parameter µ, which controls regularization, has been
taken as default.
Presented model requires seven following material parameters:
• Young‘s modulus, E
• dilation angle, ψ
• eccentricity of flow potential,
• the ratio of initial equibiaxial compressive yield stress to initial uniaxial
compressive yield stress, σσc0
b0
• the ratio of the second stress invariant to the tensile meridian, Kc

• viscosity parameter, µ
224
A.6. Constitutive model for grout backfilling
uniaxial tension σ2
σ10
σ1
uniaxial compression
biaxial
tension
(σb0,σb0) σc0
biaxial compression
(a) Deviatoric plane (b) Plane stress
Figure A-14: Yield surface of damage plasticity model Hibbitt and Sorensen
(2001)
In order to estimate stiffness and strength parameters during the hydration

process, the same relation as for the linear elastic model has been used (see
Section A.1).
A.6 Constitutive model for grout backfilling

A simple constitutive model for the mechanical behaviour of hardening grout
was used based on the viscoplastic constitutive model introduced by Meschke
et al. (1996). Herein presented model is a linear elastic isotropic model without
a failure criterion with introduced time-dependency of the Young‘s modulus.
In the proposed model, dependency of the Young‘s modulus on the time has
been introduced according to CEB-FIB (1990) and is expressed as:
E (t) = E28 · βE (t) (A.52)
where E(t) is the Young‘s modulus in a function of time t, E28 is the modulus
after 28 days of hydration and βE (t) is the coefficient introducing the time-
dependency. In order to accurately describe the stiffness evolution in respect to
hydration, Meschke et al. (1996) proposed the following relation:

I (t) = c t + d t2 for t ≤ tE
βE

 E E
 −0.5
bE
βE (t) =

β II (t) = a +
E E t−∆tE for tE < t ≤ 672 h (A.53)

β III (t) = 1.0

for t > 672 h
E
225
where aE , bE , cE and dE are the shape constants, tE defines the duration of

early age hydration and ∆tE is the parameter responsible for the horizontal shift
of curve. From the above equation, it can be seen that the parameter βE is
defined in the three regions, from 0 to tE , from tE to 28 days and above 28
days. The parameter βE (t), defined in these three regions, is presented in the
Figure A-15. The parameters cE and dE can be calculated as:

2β II II
∂βE
cE = E − (A.54)

tE ∂t t=t
E

II
∂βE II
tE − βE
∂t
t=tE
dE = (A.55)
t2E
An upper bound of the horizontal shift parameter ∆tE can be expressed as:
bE aE
r
δtE ≤ tE − 1+ tE − 1 (A.56)
2aE bE
The remaining two parameters aE and bE are derived from the stiffness after 24
hours and 28 days. Expressions used to calculate these coefficients are following:
∆tE 2
28−

E1
1− 24
∆tE E28
1− 24
aE = ∆t
2 (A.57)
28− 24E E1
1− ∆tE E28
1− 24
bE = (672 − ∆tE ) (1 − aE ) (A.58)
In the FEM formulation, the stress state needs to be calculated in the incre-
mental form. In order to calculate it, at the beginning tn and at the end tn+1 of
specific time interval, Equation A.52 takes the form of the following integral:
Z tn+1
χ = E28 βE (t) dt (A.59)
tn
Introducing a definition of βE (t), the symbolical solution of this integral yields:


t2n+1 −t2n t3 −t3
Z tn+1 cE


 2 + dE n+13 n for tn+1 ≤ tE
2
t −t 2 3 3
t −t
βE (t) dt = cE E 2 n + dE E 3 n + ϕ (tn+1 ) − ϕ (tE ) for tn+1 > tE > tn
tn 

ϕ (t
n+1 ) − ϕ (tn ) for tn ≥ tE

(A.60)
226
A.6. Constitutive model for grout backfilling
where ∆t = 1 − ∆te and

√ √
ln aE ∆t + aE ∆t + bE
p
(aE ∆t + bE ) ∆t
ϕ (t) = − ∆tE 3/2
(A.61)
aE aE
The above relations ensure that the irrecoverable part of strain resulting from
ageing is correctly accounted and after unloading only the part of strain is re-
covered.
The presented model involves totally five parameters:
• initial Young‘s modulus after 24 hours, E1

• Young‘s modulus after 28 days of curing, E28
• parameter response for the curve horizontal shift, ∆tE
• parameter defining duration of the early stage hydration, tE
It is also very convenient to use the ratio E1 /E28 to describe the initial stiffness.
In order to use this model in the FEM code, an implementation using the
FORTRAN language has been carried out and it is given in the Appendix B.
0.8
0.6 βEI βEII βEIII

β E, [−]
0.4
0.2
0 0
1 2 3 4
10 ΔtE 10 10 10 10
tE Time, [hours]
Figure A-15: Function of the parameter βE with hydration (Meschke et al.,

1996)
227
Appendix B
Fortran code of constitutive

model for tail void grout
backfilling
1 ! ================================================================
2 !
3 ! ABAQUS UMAT f o r L i n e a r E l a s t i c I s o t r o p i c M a t e r i a l
4 ! with time−dependent e l a s t i c i t y modulus based on t h e
5 ! f o r m u l a t i o n s p r e s e n t e d by Meschke e t a l . ( 1 9 9 6 ) :
6 ! " Numerical a n a l y s e s o f t u n n e l l i n i n g s by means
7 ! o f a v i s c o p l a s t i c m a t e r i a l model f o r s h o t c r e t e "
8 !
9 ! S u b r o u t i n e w r i t t e n by :
10 ! M a c i e j Ochmanski
11 ! m a c i e j . ochmanski@gmail . com
12 ! SUT − S i l e s i a n U n i v e r s i t y o f Technology ( Poland )
13 ! UCLAM − U n i v e r s i t y o f C a s s i n o and Southern L a z i o
14 !
15 ! ================================================================
16 SUBROUTINE UMAT(STRESS ,STATEV,DDSDDE, SSE , SPD, SCD,
17 1 RPL,DDSDDT,DRPLDE,DRPLDT,
18 2 STRAN,DSTRAN, TIME,DTIME,TEMP,DTEMP,PREDEF,DPRED,CMNAME,
19 3 NDI ,NSHR,NTENS,NSTATV, PROPS,NPROPS,COORDS,DROT,PNEWDT,
20 4 CELENT,DFGRD0,DFGRD1,NOEL,NPT,LAYER, KSPT, KSTEP, KINC)
21 !
22 INCLUDE ’ABA_PARAM. INC ’
23 !
24 CHARACTER∗80 CMNAME
25 !
26 DIMENSION STRESS(NTENS) ,STATEV(NSTATV) ,
27 1 DDSDDE(NTENS,NTENS) ,DDSDDT(NTENS) ,DRPLDE(NTENS) ,
28 2 STRAN(NTENS) ,DSTRAN(NTENS) ,TIME( 2 ) ,PREDEF( 1 ) ,DPRED( 1 ) ,
29 3 PROPS(NPROPS) ,COORDS( 3 ) ,DROT( 3 , 3 ) ,DFGRD0( 3 , 3 ) ,DFGRD1( 3 , 3 ) ,
30 4 EELAS( 6 ) , EPLAS( 6 ) , FLOW( 6 )
229
APPENDIX B. Fortran code of constitutive model for tail void grout backfilling
31 !
32 DIMENSION DSTRAN_TD(NTENS)
33 !
34 ! ================================================================
35 ! INPUT PARAMETERS OF CONSTITUTIVE MODEL
36 ! ================================================================
37 !
38 E_28 = PROPS( 1 ) ! Young ’ s modulus f o r 28 day
39 E_1 = PROPS( 2 ) ∗ E_28 ! R a t i o o f E_1/E_28
40 ENU = PROPS( 3 ) ! Poisson ’ s r a t i o
41 T_E = PROPS( 4 ) ! Parameter o f Meschke model
42 DT_E = PROPS( 5 ) ! Parameter o f Meschke model
43 TY_T = PROPS( 6 ) ! I f hours = 1 , sec . = 2
44 PI = 4 . D0∗DATAN( 1 . D0)
45 !
46 IF (TY_T.EQ. 1 ) THEN
47 DIM_TIME = 1
48 ELSE IF (TY_T.EQ. 2 ) THEN
49 DIM_TIME = 3600
50 END IF
51 !
52 ! ================================================================
53 !
54 TIME_GS = STATEV( 4 0 )
55 STATEV( 4 0 ) = STATEV( 4 0 ) + DTIME
56 TIME_GE = STATEV( 4 0 )
57 !
58 A_E_A = (1 −((28 −DT_E/24)/(1 −DT_E/ 2 4 ) ) ∗ (E_1/E_28 ) ∗ ∗ 2 )
59 A_E_B = ((1 −((28 −DT_E/24)/(1 −DT_E/ 2 4 ) ) ) ∗ ( E_1/E_28 ) ∗ ∗ 2 )
60 A_E = A_E_A/A_E_B
61 B_E = (672−DT_E)∗(1 −A_E)
62 !
63 B_E_II = (A_E + B_E/ (T_E−DT_E) ) ∗ ∗ ( − 0 . 5 )
64 d_B_T = B_E/ ( 2 ∗ ( (T_E−DT_E) ∗ ∗ 2 ) ∗ ( (A_E+(B_E/ (T_E−DT_E) ) ) ∗ ∗ ( 1 . 5 ) ) )
65 C_E = ( 2 ∗ B_E_II/T_E) − d_B_T
66 D_E = (d_B_T∗T_E−B_E_II ) / (T_E∗ ∗ 2 )
67 !
68 DT_0 = (TIME_GS/DIM_TIME)−DT_E
69 DT_1 = (TIME_GE/DIM_TIME)−DT_E
70 !
71 T_0 = TIME_GS/DIM_TIME
72 T_1 = TIME_GE/DIM_TIME
73 !
74 FI_0_A = s q r t ( (A_E∗DT_0+B_E) ∗DT_0) /A_E
75 FI_0_B = LOG( abs ( ( 1 / s q r t ( (B_E/ (A_E∗DT_0) ) + 1 ) ) + 1 ) )
76 FI_0_C = LOG( abs ( ( 1 / s q r t ( (B_E/ (A_E∗DT_0))+1)) −1))
77 FI_0 = FI_0_A − B_E∗ (FI_0_B−FI_0_C ) / ( 2 ∗A_E∗ ∗ ( 3 / 2 ) )
82 FI = FI_1 − FI_0
230
83 !
84 ! ================================================================
85 IF (T_1 . LE .T_E) THEN
86 BE_T = (C_E∗ (T_1∗∗2−T_0∗ ∗ 2 ) / 2 ) + (D_E∗ (T_1∗∗3−T_0∗ ∗ 3 ) / 3 )
87 ELSE IF ( (T_1 .GT.T_E) .AND. (T_E.GT. T_0) ) THEN
88 FI_0_A = s q r t ( (A_E∗ (T_E−DT_E)+B_E) ∗ (T_E−DT_E) ) /A_E
89 FI_0_B = LOG( abs ( ( 1 / s q r t ( (B_E/ (A_E∗ (T_E−DT_E) ) ) + 1 ) ) + 1 ) )
90 FI_0_C = LOG( abs ( ( 1 / s q r t ( (B_E/ (A_E∗ (T_E−DT_E) ) ) + 1 ) ) − 1 ) )
96 FI = FI_1 − FI_0
97 BE_T = (C_E∗ (T_E∗∗2−T_0∗∗2)/2)+(D_E∗ (T_E∗∗3−T_0∗∗3)/3)+ FI
98 ELSE IF (T_0 .GE.T_E) THEN
99 BE_T = FI
100 END IF
101 !
102 XI = E_28 ∗ BE_T
103 !
104 ! ================================================================
105 ! ELASTIC STIFFNESS MATRIX ( i n terms o f E , v )
106 ! ================================================================
107 !
108 DO K1=1 ,NDI
109 DO K2=1 ,NDI
110 DDSDDE(K2 , K1)=(E_28 ∗ (ENU) ) / ( ( 1 +ENU)∗(1 −2∗ENU) )
111 END DO
112 DDSDDE(K1 , K1)=(E_28∗(1−ENU) ) / ( ( 1 +ENU)∗(1 −2∗ENU) )
113 END DO
114 DO K1=NDI+1,NTENS
115 DDSDDE(K1 , K1)=(E_28)/(2∗(1+ENU) )
116 END DO
117 !
118 ! ================================================================
119 ! STRESS CALCULATION
120 ! ================================================================
121 !
122 DO K1=1 ,NTENS
123 DO K2=1 ,NTENS
124 DSTRAN_TD(K1) = (1 −(XI / (E_28∗DTIME/DIM_TIME) ) ) ∗DSTRAN(K1)
125 STRESS(K2)=STRESS(K2)+DDSDDE(K2 , K1 ) ∗ (DSTRAN(K1)−DSTRAN_TD(K1 ) )
126 END DO
127 END DO
128 !
129 ! ================================================================
130 ! SOLUTION−DEPENDENT STATE VARIABLES
131 ! ================================================================
132 !
133 STATEV( 1 ) = DTIME
134 STATEV( 2 ) = TIME( 1 )
231
APPENDIX B. Fortran code of constitutive model for tail void grout backfilling
135 STATEV( 3 ) = TIME( 2 )

136 STATEV( 4 ) = A_E
137 STATEV( 5 ) = B_E
138 STATEV( 6 ) = FI_0
139 STATEV( 7 ) = FI_1
140 STATEV( 8 ) = BE_T
141 STATEV( 9 ) = XI
142 STATEV( 1 0 ) = FI_0
143 STATEV( 1 1 ) = FI_1
144 STATEV( 1 2 ) = 1−(XI / ( E_28∗DTIME/DIM_TIME) )
145 ! ================================================================
146 RETURN
147 END
232
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Numerical analyses of the eﬀects of tunnels construction

Silesian University of Technology

Submitted to the Department of Geotechnics and Roads (SUT)

Doctor of Philosophy in Civil Engineering

SILESIAN UNIVERSITY OF TECHNOLOGY (SUT)

Submitted to the Department of Geotechnics and Roads (SUT)

Thesis Supervisor: Joanna Bzówka

Thesis Supervisor: Giuseppe Modoni

Wydział Budownictwa. Katedra Geotechniki i Dróg (SUT)

Na potrzeby wykonania analiz numerycznych zbudowano zaawansowane trój-

Dodatkowo, w przypadku analizy tunelu drążonego tarczą EPB, w języku

Promotor: Joanna Bzówka

Promotor: Giuseppe Modoni

Sottomesso al Dipartimento di Geotecnica e Strade (SUT)

Tutore: Joanna Bzówka

Tutore: Giuseppe Modoni

Abstract (in Polish) V

Abstract (in Italian) IX

Table of Contents XIII

List of Figures XVII

List of Tables XXV

List of Acronyms XXVII

List of Symbols XXIX

2 Review of various tunnelling methods 9

2.3 Mechanized methods . . . . . . . . . . . . . . . . . . . . . . . . . 19

3 Experimental evidences of the tunnelling effects 33

4 Prediction methods of different tunnelling effects 53

5 Tunnelling with jet-grouted canopy 83

6 Tunnelling with EPB shield 131

7 Concluding remarks 199

Appendix A Mathematical framework for used constitutive mod-

Appendix B Fortran code of constitutive model for tail void grout

1-1 Tunnel collapse in Poland (Gula, 2016) . . . . . . . . . . . . . . . 2

2-1 Examples of excavation types . . . . . . . . . . . . . . . . . . . . 11

3-1 Soil deformations at failure after Walter et al. (2010) . . . . . . . 35

4-1 Gaussian distribution curve after Peck (1969) . . . . . . . . . . . 55

4-3 Longitudinal profile of surface settlements after Attewell and

5-1 Network of “High Velocity" railway lines in Italy modified after

5-12 Results of the simulations with the basic hypoplastic constitutive

6-1 Overview of Bangkok Metropolitan Rapid Transit Authority

6-29 Mobilised friction angle during the shield passage . . . . . . . . . 179

A-13 Mechanical behaviour of concrete during uniaxial compression and

4.1 Curve equations to fit settlement trough . . . . . . . . . . . . . . 59

5.1 Physical properties of Hochstetten sand . . . . . . . . . . . . . . 94

6.1 Physical properties and strength parameters for subsoil layers

6.11 Parameters of used empirical curves and obtained results . . . . 183

ADECO-RS Analysis of the Controlled Deformation in Rock and Soil

ANN Artificial Neural Network

BEM Boundary Element Method

BFGS Broyden, Fletcher, Goldfarb and Shanno

CPU Central Processing Unit

CRS Constant Rate of Strain

DEM Discrete Element Method

DOF Degrees of Freedom

EKATE Enhanced Kratos for Advanced Tunnelling Engineering

EPB Earth Pressure Balance

FDM Finite Difference Method

FEM Finite Element Method

GFRP Glass Fibre Reinforced Plastic

GPU Graphics Processing Unit

HPC High-Performance Computing

ISC Intergranular Strain Concept