LECTURE 17 - OUTLINE

Tunnelling in Urban Environment

Applications of Numerical Methods

ROCK MECHANICS 2
Giovanni Barla
Politecnico di Torino

(a) Typical analyses in ground engineering

drained conditions
undrained conditions
(b) Boundary Conditions
(c) Simulation of excavation and construction
stages
(d) Stability and ground movements in near surface
tunnelling: fundamental concepts

STRUCTURAL AND GEOTECHNICAL ENGINEERING DEPARTMENT

FEM
FEM ANALYSIS:
ANALYSIS: Classes
Classes of
of problems
problems
Drained
and
Undrained
Drained and Undrained Behaviour
Behaviour
In this course the ground constitutive behaviour was expressed in
the following forms:

1) []=[Ct] []
2) []=[Cs] []
3) []=[Cep] []

where, in general, the finite element

solutions have been found by using
relationships between increments of
total stress and strain, because the
equilibrium equations are expressed
in terms of total stress. Also, for CILE
materials we have:

[]=[C] []

where: []T = [x, y, z, xy, xz, yz]

[]T = [x, y, z, xy, xz, yz ]
are increments of total stress and strain, with the [C] matrix

containing the elastic constants

FEM
FEM ANALYSIS:
ANALYSIS: Classes
Classes of
of problems
problems
Drained
and
Undrained
Drained and Undrained Behaviour
Behaviour
The FEM formulation presented so far can therefore be used to
analyse the following two classes of problems:

Fully drained problems

in which there is no change in pore fluid pressure (pf=0). This implies

that changes in effective and total stress are the same, i.e. [] = [],
and that the [C] matrix contains the effective constitutive behaviour. For
example, for isotropic linear elastic behaviour [C] will be based on drained
Youngs modulus E and drained Poissons ratio

Fully undrained problems

where the [Ct], [Cs] and [Cep] matrix are expressed in terms of total stress
parameters. For isotropic linear elastic behaviour [C] is based on an undrained
Youngs modulus Eu and an undrained Poissons ratio u. In such a case, if the
ground is saturated there would be no volume change. For an isotropic elastic
soil this would be modelled by, ideally, setting the undrained Poissons ratio u
equal to 0.5. However, as can be seen by inspection of the [C] matrix, this
results in severe numerical problems as all terms of the [C] matrix become
infinite. To avoid such indeterminate behaviour it is usual to set the undrained
Poissons ratio to be less than 0.5, but greater than 0.49.

POINT
POINTLOADS
LOADSAND
ANDSIMPLE
SIMPLESTRESS
STRESSDISTRIBUTIONS
DISTRIBUTIONS
1/30 L

BOUNDARY
BOUNDARYSTRESSES
STRESSES

2/30 L

=0

=20

Stress boundary conditions have

to be converted into equivalent
nodal forces:

Se [H]eT [fs]edS

Example of stress boundary

conditions

xp

Point loading axesi

yG
Global axes

In many computer codes the

calculation of the equivalent nodal
forces is performed automatically
for generally distributed boundary
stresses and for arbitrarily shaped
boundaries

yp

= 0
L

1/20L

xG

= 20
=0

1/20L 1/30L

= 0
LL

2/30L 1/60L 2/30L 1/60L

= 20
=0

2/30L 1/30L

Equivalent nodal forces for element side with 2 nodes and 3 nodes

SIMULATION
SIMULATIONOF
OFINITIAL
INITIALCONDITIONS
CONDITIONS

SIMULATION
SIMULATIONOF
OFEXCAVATION
EXCAVATION
Zone to be
excavated

Gravity loading : there are two possible ways to introduce the gravitational
stresses in a model. In most FEM codes the calculation of nodal forces
corresponding to body forces is performed automatically. In particular, this is
the case for the gravitational stresses:

1. Set the initial state of stress and specify

the elements to be excavated in the shaded
portion A

Perform a stress analysis where all the elements in the mesh are subjected to
gravity loading, with appropriate boundary conditions being introduced as shown in
the exampe below:

x
z
xz

z=z, x=k0 z

u=0
0

z
z

v=0

Set the initial stresses in the model as computed directly versus depth z:
i.e. z=z, x=k0 z, xz=
if the ground surface is horizontal

2. Determine the equivalent nodal forces

T to be applied to the excavation boundary
to simulate removal of the elements (note: no
displacements or changes in stress occur if
material is removed, but replaced by
tractions T which are equal to the internal
stresses in the soil mass that act on the
excavated surface before A is removed)

A
B

3. Apply the traction -T at the excavation

boundary, when material is removed by
deactivating the elements in zone A

-T

Note: the color intensity in the above figure

shows the increase in vertical stress z versus
depth z

Simulation of excavation

SIMULATION
SIMULATIONOF
OFEXCAVATION
EXCAVATION--EXAMPLE
EXAMPLE
Gradual destressing at the tunnel boundary

SIMULATION
SIMULATIONOF
OFEXCAVATION
EXCAVATION

Excavation surface

The simulation of the excavation is performed

in multiple stages

Radial displacement

I = node on the excavation surface

j = elements around node i
m= number of elements around node i

1
[R0]i = m
[R0]j
j=1

hB

[R0]j =Ve [B]Te [C]e [B]e [u]e dV

Nodal
NodalForces
Forces

Nodal Forces applied at tunnel boundary

SIMULATION
SIMULATIONOF
OFCONSTRUCTION
CONSTRUCTION

Many geotechnical problems involve the placing of new material, such as

embankment construction and back filling or tunnel lining installation,
etc. Simulation of such activities in a finite element analysis is possible.
However the code must be able to accomodate a number of provisions,
such as activation or deactivation of elements depending on the
simulation sequence to be simulated. Let us see this with an example
dealing with embankment construction
1. All elements in the embankment are deactivated
up to the stage when the embankment is to be
constructed

Layer 3
Layer 2
Layer 1

h
h

h
h

2. In increment 1, layer 1 is to be constructed and

therefore, at the beginning of the increment, all the
elements in this layer are reactivated (i.e. added to
the active mesh) and assigned a constitutive model
appropriate to the material behaviour during placing.
Self weight forces are then assumed for these
elements and the equivalent nodal forces calculated
and added to the incremental right hand side vector.
The global stiffness matrix and other boundary
conditions are assemled and a solution found.

SIMULATION
SIMULATIONOF
OFCONSTRUCTION
CONSTRUCTION

3. The incremental displacements calculated for the

nodes connected to the constructed elements, but
not connected to those elements forming the original
ground (i.e. all active nodes above line AB) are
zeroed. A new constitutive model appropriate to the
behaviour of the fill once placed is then assigned to
the elements just constructed. Any material state
parameters are then calculated and any stress
adjustments made .

4. The procedure for construction of layers 2 and 3

follows similar steps. The final result is obtained by
accumulating the results for each increment of the
analysis. Clearly the results of the analysis will
depend on the number and therefore thickness of
construction layers.

Procedure for deactivating the elements

Layer 3
Layer 2
Layer 1

h
h

h
h

The deactivated elements (GHOST ELEMENTS)

in the active mesh are given a very low stiffness.
These elements do contribute to the element
equations and all degrees of freedom remain active.
Their effect on the solution depends on the stiffness
that they assume. Most software that use this
approach automatically set low stiffness values for
the ghost elements, or encourage the user to set
low values. However care must be taken that the
resulting Poissons ratio does not approach 0.5.

TUNNELS IN URBAN ENVIRONMENT

TUNNELS IN URBAN ENVIRONMENT

Tunnels in urban environment are near surface tunnels and in most cases
they are constructed in soft ground. Given that construction techniques
(by open face tunnelling and closed face tunnelling - TBM) have already
been discussed, the following topics will be addressed in the following:
Stability
Ground Movements

UNDRAINED STABILITY,
STABILITY In low permeability clayey soils undrained
stability is of more importance during tunnel excavation, but in the case
of a standstill drained conditions could become more relevant.
For undrained stability conditions, the stability ratio N can be defined as:

N=

s
C

s
C

LINING

s + C + D t
cu

67

(Broms and Bennemark,1967; Peck,1969)

where:
= unit weight of soil
z = depth to the tunnel axis (C+D/2)
s = surface surcharge pressure (if any)
t = tunnel support pressure (if any)
cu = undrained shear strength at tunnel axis level

P
(a) Tunnel heading in soft ground

(b) Two dimensional idealization

TUNNELS IN URBAN ENVIRONMENT

TUNNELS IN URBAN ENVIRONMENT

Based on the stability ratio N, Cesarin e Mair (1981) geve a set of curves
to compute the displacement at the surface, crown and face
as follows:
Stability Ratio

N=

s + C +

D
t
2

cu

(s- t)/cu

DRAINED STABLITY, for c=cohesion and =friction angle, the

stability at the face in terms of t can be evaluated as follows:
t = c' cot '+Q

D
+ Qs ( s + c' cot ')
2

Derived on the basis of the three-dimensional

conditions shown in the figure below, where
instabilty phenomena occur ahead of the face
and Q e Qs can be computed vs

67

In the diagram the following

displacements are given:
(s), surface displacement
(c ) crown displacement
(c ) face displacement
for different N values , given by (s- t)/cu

Instability Conditions at the face in a cohesive

ground (Leca and Dormieux,1990)

Q e Qs parameters for evaluating the stability

conditions vs depth H, for different values of
(Leca e Dormieux,1990)

TUNNELS IN URBAN ENVIRONMENT

TUNNELS IN URBAN ENVIRONMENT

in a Weak Rock Mass (RMR gives the rock mass conditions)

Onset of
Plastic Zone
Mode 1(localised)

Mode 3
Mode 2 (all around)

STRESS RELIEF

Plastic Zone
at the sidewalls
Mode 1-1

Mode 1-2

Mode 1-1.1

Mode 1-1.2

Mode 2-1

Mode 2-2

Plastic Zone
at the crown

Loading Conditions represnted by height Ht,

for different RMR values and for increasing
overburden C (D=10m, K0=1)

Onset of Plastic Zone around a tunnel in urban environment for different Ko values
and as stress relief takes place around it (the ground is ideally plastic and c=0
and is 35 (Wong and Kaiser,1991)

TUNNELS IN URBAN ENVIRONMENT

GROUND MOVEMENTS

Loading Conditions represented by height Ht,

for different RMR values and for increasing
overburden C (D=10m, K0=0.5)

TUNNELS IN URBAN ENVIRONMENT

GROUND MOVEMENTS

The development of the surface settlement trough above and ahead of the advancing heading has
been studied by many authors based on observation and measurements in situ. The TRANSVERSE
SETTLEMENT trough immediately following tunnel construction is well described by a Gaussian
distribution curve given by (Schnidt,1969; Peck,1969):

y2
s ( y ) = smax exp 2
2i

s(y) = settlement
smax = maximum settlement on the tunnel centre-line (y=0)
i
= horizontal distance from the tunnel centre-line to the
point of inflexion of the setllement through

y
point of inflexion

z
Settlement above advancing tunnel
heading

Gaussian curve used to describe the

transverse settlement trough

3D visualisation of settlement above tunnel heading

(Attewell et al.,1986; Mair et al.,1993)

TUNNELS IN URBAN ENVIRONMENT

GROUND MOVEMENTS

TUNNELS IN URBAN ENVIRONMENT

GROUND MOVEMENTS

PARAMETER i: The following relationship is proposed to evaluate the

i parameter:
i i==KKzz0

Original ground level

where K is a trough width parameter and z0 is the depth of tunnel (is broadly
independent of tunnel construction method and of tunnel diameter, except
for very shallow tunnels where the cover to diameter ratio is less than 1). K
is as follows for different ground conditions:
K

z
smzx

0.5 smzx
Longitudinal settlement profile
(cumulative probability form) without face support

The settlement along the tunnel

axis (LONGITUDINAL
SETTLEMENT) can be written
as follows:

ground conditions
Advancing tunnel

0.4 - 0.5
0.6 - 0.7
0.2 - 0.3

clays
soft clays (cu= 0-20 kPa)
sands and gravels

Tunnel face

S=

x Xf
1
smax erf
2
kz0 2

x X s
erf

kz 2

where:

erf ( z ) = 2

) e
z

t 2

dt

Error function

TUNNELS IN URBAN ENVIRONMENT

GROUND MOVEMENTS
VOLUME OF THE SURFACE SETTLEMENT TROUGH Vs: The volume

of surface settlement trough (per metre length of tunnel) Vs can be calculated

by integrating the equation for s(y) to give:
VVs==22i issmax2.5
i smax
s
max 2.5 i s
max

TUNNELS IN URBAN ENVIRONMENT

GROUND MOVEMENTS
NOTE: The above considerations and results for surface settlements
development above a tunnel hold true for all cases where no instability
phenomena occur as depicted in the figures below

The volume loss (some time referred as ground loss) is the amount of ground
lost in the region close to the tunnel, primarily due to one or more of the following
components: deformation of the ground towards the face resulting from stress
relief; passage of the shield (overcutting edge); tail void (gap between the tailskin
of the shield and the lining); deflection of the lining, consolidation. It can be
expressed as follows:

Vs = Vl

D 2
4

The following values are generally assumed for Vl based on experience (Mair,1997):
stiff clays (no stabilising pressure at the face): 1-2%
stiff clays (with stabilising pressure at the face): 1-1.5%
sand (EPB o SS): 0.5-2.0%

Typical Roof Instability for a near surface tunnel

Maximum shear strain curves above a tunnel

during excavation (Hansmire e Cording,1985)