Underground Excavation Design Principles

AGS/IMM Technical Meeting 2002 on AGS/IMM Technical Meeting 2002 on
Underground Excavation in Urban Environment Underground Excavation in Urban Environment

Principles of Tunnel Lining Design
Principles of Tunnel Lining Design
Dr. Morgan W. W. Yang Dr. Morgan W. W. Yang
Maunsell Maunsell Geotechnical Geotechnical Services Ltd. Services Ltd.
Basics
GROUND
equilibrium compatibility
SUPPORTS
Interaction Interaction
Tunneling is An Art
GROUND
PLANNING DESIGN CONSTRUCTION
TUNNELING
Interaction Among Planning, Studies
and Design Process
P
D
S
PLANNING
PLANNING
FINANCIAL
PROJECT
LOGISTICS
LAYOUT
OPERATION
STUDIES
STUDIES
GROUND
DEMAND
ACCESS
AD HOC
DESIGN
DESIGN
PERMANENT SUPPORTS
TEMPORARY SUPPORTS
METHODS OF CONSTRUCTION
MEANS OF CONSTRUCTION
Tunneling Procedure
Tunneling Procedure
Site investigation
Line and orientation of the tunnel
Ground characteristics:
Primary stress, strength, water
Fissures, anisotropy, etc
Excavation method
Structural method
Statical system analysis
Design criteria
Yes No
Driving the tunnel
In situ monitoring:
deformations stop?
Yes No
By pass
Geology
Geotechnical
investigations
Experience,
estimation
Mechanical model
Safety concept, failure hypothese
Risk assessment
Field
measurements
For actual state only,
Unknown safety margin
Safe
Concept aspects
After H. Duddeck, Guidelines for the design of tunnels
Options for Tunneling
A. M. Muir Wood (2000), Tunnelling: Management by design
-----------------------------------------------------------------------------------------------------
Ground type Excavation Support
-----------------------------------------------------------------------------------------------------
Strong rock Drill-&-blast or TBM Nil or rockbolts +
Weak rock TBM or roadheader Rockbolts, shorcrete etc.
Squeezing rock Roadheader Varity of means of support
depending on conditions
OC clay Open-face shielded TBM Segmental lining or
roadheader shotcrete etc.
Weak clay, EPB closed-face machine Segmental lining
silty clay
Sands, gravels Closed-face slurry machine Segmental lining
S
t
r
o
n
g
e
r

s
u
p
p
o
r
t
S
t
r
o
n
g
e
r

s
u
p
p
o
r
t
S
t
r
o
n
g
e
r

g
r
o
u
n
d
S
t
r
o
n
g
e
r

g
r
o
u
n
d
After A. M. Muir Wood (2000), Tunnelling: Management by design
Development of Design Model
-----------------------------------------------------------------------------------------------------
1. Research model Explanation of phenomena
Study actual loads and materials
Analysis of parameters
Establishing correspondence between
theory and experiment
2. Technical model Developed for practical design
Selection of dominant factors
Idealization of loading, physical
characteristics and safety criteria
No attempt precisely to model reality
Lack of precise correspondence between
theory and full scale test accepted
Types of Ground Model
-----------------------------------------------------------------------------------------------------
1. Geological structure Fundamentally a descriptive model which establishes
limits of variability of salient factors
2. As (1) + simple RQD or similar simplified representation of rock
qualitative factors quality or selected relevant parameters for soil
3. As (2) + monitoring Simplest basis for informal support
4. As (3) + quantitative Adequate for analysis based on continuum-
discontinuumor on elasto-plastic models of
increasing complexity
-----------------------------------------------------------------------------------------------------
Fundamental of Tunneling
Fundamental of Tunneling
Stress States of Ground
Initial
Tertiary
Secondary
Convergence-Confinement
NMT
TBM
NATM
Characteristics of Ground
Characteristics of Ground
Elastic Solution of Initial Stresses
Elastic Solution of Initial Stresses
y
z
x
x
x
=
y
x
y
y
Ground surface
0 =
y x
xy
x
r
x y
xy
x
=
0 ) (
2
= +
y x

Governing Equations Solutions Governing Equations Solutions
ry
y
=
y x z
= =
1
y
Elastic Solution of Secondary Stresses
Elastic Solution of Secondary Stresses
Kirsch Kirsch s solutions s solutions
| | ) 2 cos( ) 1 )( 3 4 1 ( ) 1 )( 1 (
2
1
4 2 2
+ + + =

y r
| | ) 2 cos( ) 1 )( 3 1 ( ) 1 )( 1 (
2
1
4 2

+ + + =

y
| | ) 2 sin( ) 1 )( 3 2 1 (
2
1
4 2

+ =

y r
x
=
y
a
r
r
r
a
a
r
=
Radial Stress Distribution
Radial Stress Distribution
1 2 3 4 5 6 7 8 9 10
r/a
0.0
0.5
1.0
1.5
r

/
y
Radial stress
=1.5, =90 deg.
=1.0, =90 deg.
=0.5, =90 deg.
=0.0, =90 deg.
r=5a
=1.5
=1
=0.5
=0
r
S
t
r
e
s
s
Radial distance
Tangential Stress Distribution
Tangential Stress Distribution
1 2 3 4 5 6 7 8 9 10
r/a
1.0
1.5
2.0
2.5
3.0
y
Tangential stress
=1.5, =90 deg.
=1.0, =90 deg.
=0.5, =90 deg.
=0.0, =90 deg.
r=5a
=1.5, 1, 0.5, 0
S
t
r
e
s
s
Radial distance
Secondary Stress States
Secondary Stress States
At the periphery of the opening :
Only tangential stress but zero radial stress
Biaxial stress state => uni-axial stress state
1
3
1
3
F
a
i
l
u
r
e

l
i
n
e
R
b
Coulomb Criteria
0
A
B
B A
Plastic Solutions of Secondary Stresses
Plastic Solutions of Secondary Stresses
c

0
R
b
rp
) 1 /( 1
0
) 1 (
1
2
+
=
b
b y
R
R
a r
(
(
|
.
|
\
|
1
1
1
a
r R
b
rp
1
2
0
+
b y
r
R
(
(
|
.
|
\
|
1
1
1
a
r R
b
p
sin 1
sin 1
+
=
r
0
a
r0
Elastic zone
Plastic zone
Mohr Coulomb Mohr Coulomb
Model Model
Radius of Plastic Zone
Radius of Plastic Zone
0 1 2 3 4 5 6 7 8
y
/R
b
1.0
1.5
2.0
2.5
3.0
r
0

/
a
Plastic zone
=1, =25 deg.
=1, =30 deg.
=1, =35 deg.
=1, =40 deg.
=1, =50 deg.
=1, =60 deg.
=1, =70 deg.
=1, =80 deg.
=25
0
=30
0
=35
0
=40
0
=50
0
r
0
a
r0
Elastic zone
Plastic zone
P
l
a
s
t
i
c
i
t
y

R
a
d
i
u
s
Initial stress
Stress Distribution (
Stress Distribution (
=1)
=1)
1 2 3 4 5 6 7 8
r/a
0.0
0.3
0.5
0.8
1.0
1.3
1.5
1.8
2.0
y
Elastic solution:
r
Plastic solution (=25 deg,
0
/R
b
=1):
r
Elastic solution:

0
/R
b
=1):

0
/R
b
=2):

0
/R
b
=2):
r
0
=R
b
0
=2R
b
r=5a
r
0
a
r0
Elastic zone
Plastic zone
Radial Stress
Tangential Stress
S
t
r
e
s
s
Radial distance
Solutions of Tertiary Stresses

Solutions of Tertiary Stresses
a
b
rp
p
a
r
a
r R
1 1
1
1

|
.
|
\
|
+
(
(
|
.
|
\
|
a
b
p
p
a
r
a
r R
1 1
1
1

|
.
|
\
|
+
(
(
|
.
|
\
|
) 1 /( 1
0
) 1 (
) 1 (
1
2
+
+
+
=
b a
b y
R p
R
a r
1
2
) )(
1
2
1
2
(
1
+
+
+
r
a R R
p
b
y
b
a
) 1 /( 2
0
) 1 (
) 1 (
1
2
) (
) 1 (
+
+
+
+
=
b a
b y
r y a
R p
R
E
u
r
0
a
y
r0
Elastic zone
Plastic zone
p
a
Characteristic Curve of Ground

Characteristic Curve of Ground
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
P

a

/

y

y
/R
b
=2, =35 deg

y
/R
b
=2.8, =35 deg
y
=2.8R
b
y
=2R
b
y
=0.5R
b
r
0
a
r0
Elastic zone
Plastic zone
p
a
S
u
p
p
o
r
t

p
r
e
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 5.0
[E/(1+u)R
b
]*(u
a
/a)
0.0
0.9
1.0
Characteristic curve

y
/R
b
=0.5, =35 deg
Radial displacement
s
s
u
r
e
Typical Characteristic Curve of Ground
Typical Characteristic Curve of Ground
u
a
A
Elastic Plastic stable ground
p
a
C
D
Ground loosening pressure Ground loosening pressure Ground deformation pressure
0
u
amax
P
amin
B
Initial stress of ground Initial stress of ground
Plastic unstable ground
S
u
p
p
o
r
t

p
r
e
s
s
u
r
e
Radial displacement
Elastic deformation => Development of plastic zone => Initiation Elastic deformation => Development of plastic zone => Initiation of instability of instability
Convergence
Convergence
-
-
Confinement Method
Confinement Method
u
a
p
a
Characteristic curve of ground
0
u
a1
P
a1
u
a0
Characteristic curve of support
P
smax
1. Limit convergence to acceptable values, compatible with
excavation and the ultimate purpose of the structure
2. Control decompression of the surrounding ground, which
always leads to a serious deterioration in its mechanical
properties
3. Optimize support quantities and cost by applying only
enough confining pressure to keep convergence within
acceptable limits
Radial displacement
S
u
p
p
o
r
t

p
r
e
s
s
u
r
e
Fundamental Principles of NATM
1. Maintain strength of the rock mass
Avoid detrimental loosening by careful excavation and by immediate
application of support and strengthening means. Shotcrete and rockbolts
applied close to the excavation face help to maintain the rock mass.
2. Rounded tunnel shapes
Avoid stress concentrations in corners where progressive failure
mechanisms start.
3. Flexible thin lining
The primary support shall be flexible in order
to minimise bending moments and to
facilitate the stress rearrangement process
without exposing the lining to unfavourable
sectional forces. Additional support
requirement shall not be added by increasing
lining thickness but by bolting.
4. In situ measurements
Observation of tunnel behaviour during
construction is an integral part of NATM.
With the monitoring and interpretation of
deformations, strains and stresses it is
possible to optimise working procedures and
support requirements.
New Austrian Tunneling Method
The NATM constitutes a method where the surrounding rock
or soil formations of a tunnel are integrated into an overall
ring-like support support structure. Thus the formations will
themselves be part of this supporting structure.
Behavior of ground mass
1. Ground mass is the most important material for
the stability of a tunnel.
Tates Cairn Tunnel, HK
2. Tunnel support contributes mostly by providing
a measure of confinement.
Copenhagen Metro
FE model of ground-
lining interaction
3. A lining placed in an excavated opening in an
elastic rock mass at the time that 70% of all
latent motion has taken place will experience
stresses from release of the remaining 30% of
displacement.
Lining segments
Segmental lining of
Copenhagen Metro
FE Model to simulate
the installation of segments
Schematic support
Schematic support
vs
vs
deformation during excavation
deformation during excavation
and support installation
and support installation
u
1
a
D
0
Initial ground stress Initial ground stress
S
u
p
p
o
r
t

p
r
e
s
s
u
r
e
2
Ground state at time of temp support installed Ground state at time of temp support installed
3
Ground state at time of temp support to load Ground state at time of temp support to load
4
5
Ground state at time of perm support to load Ground state at time of perm support to load
6
Equilibrium and compatibility Equilibrium and compatibility
a
p
Radial displacement
Ground state at time of perm support installed Ground state at time of perm support installed
Analytical methods
Analytical methods
Elastic closed form solutions
Beam-spring models
Beam-continuum models
Empirical techniques
Active loads
Ground reactions
(passive load at
interaction zone)
Lining deformation profile
P
roof
P
wall
P
invert
Tunnel Lining Design Model 1
R
h
=
0
v
=H
H
Full overburden spring model
Full overburden spring model
R
v
H
Two dimensional continuum model
Two dimensional continuum model
R
v
H
h
Active ground pressure derived from
Active ground pressure derived from
three dimensional analysis
three dimensional analysis
R
v
Empirical approach
Empirical approach
Design for different conditions
Design for different conditions
1. Section with the deepest overburden
2. Section with the shallowest overburden
3. Section with the highest groundwater table
4. Section with the lowest groundwater table
5. Section with maximum surcharge
6. Section with eccentric loads
7. Section with future development
8. Soft ground section
9. Mixed ground section
Reservoir
Load factors and loading combinations
Load factors and loading combinations
1. Particular environment and behavior
of underground structure
2. Carefully evaluate design load cases
and factors for each tunnel design
3. Rock loads to be derived from rock-
structure interaction assessments
Construction methods and stages
Construction methods and stages
1. Drill and blast method
2. Mechanized method
3. NATM
4. NMT
TBM Tunnels
TBM
E. P. B. M.
for soil
Open TBM
for rock
Shielded TBM
for weak rock
Slurry TBM
for soil
Shield TBM
Shield TBM
Immediate Ground Support
Immediate Ground Support
Annular void grouting to
control and restrict
settlement at surface and
to securely block the lining
ring in position
Cutterhead chamber
Segmental lining with annular grout
TBM shield
Evolution of settlements along a shield
Distance
D
i
s
p
l
a
c
e
m
e
n
t
Cutterhead and shield
Segmental lining with annular grout
F
a
c
e
d
1
: settlement caused by the face
d
2
: settlement caused by the overcut
d : settlement induced by
post shied/grout loss
d
4
3
settlement induced by lining
deflection and long-term
settlement
Design Steps for TBM tunnels
Step 1: Define geometric parameters
Alignment, excavation diameter, lining diameter,
lining thickness, width of ring, segment system,
joint connections
Step 2: Determine geotechnical data
Shear strength of soil, deformation modulus,
earth pressure coefficient
Step 3: Select critical sections
Influence of overburden, surcharge,
groundwater, adjacent structures
Step 4: Determine mechanical data of TBM
Total thrust pressure, number of thrusts,
number of pads, pad dimensions, grouting
pressure, space for installation
Step 5: Define material properties
Concrete: strength, elastic modulus
Reinforcement: type, strength
Gasket: type, dimensions, elasticity
Step 6: Design loads
Soil pressure, water pressure, construction loads
Step 7: Design models
Empirical model, analytical model, numerical
model
Step 8: Computational results
Response: axial force, moment, shear
Deformation: deflection
Detailing: reinforcement, joints, groove
Double
Double
-
-
O Tunnels
O Tunnels
Multi-Circular Face Shield Tunneling
Double-O Tunnels
H&V Shield Tunnel
H&V Shield Tunnel
Assembly of Precast Segments
Assembly of Segments
Perspective View of Tunnel
Perspective View of Tunnel

Underground Excavation Design Principles

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AGS/IMM Technical Meeting 2002 on AGS/IMM Technical Meeting 2002 on

Underground Excavation in Urban Environment Underground Excavation in Urban Environment

Plastic solution (=25 deg,

Plastic solution (=25 deg,

Plastic solution (=25 deg,

Solutions of Tertiary Stresses

Characteristic Curve of Ground

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