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Tunnelling and Underground Space Technology

Tunnelling and Underground Space Technology 22 (2007) 19


incorporating Trenchless Technology Research

www.elsevier.com/locate/tust

Groundliner interaction in rock tunneling


Moorak Son
a

a,*

, Edward J. Cording

Korean Intellectual Property Oce, Construction Technology Exam., Government Complex, Daejeon Building 4, Dunsan-dong, Seo-gu, Daejeon, South Korea b Department of Civil and Environmental Engineering, University of Illinois at Urbana-Champaign, 205 N. Mathews Avenue MC-250, Urbana, IL 61801, United States Received 20 March 2005; received in revised form 15 August 2005; accepted 20 March 2006 Available online 2 May 2006

Abstract Tunnel constructions are gradually increasing because of the development and upgrade of infrastructures such as highway, subway, railway, and many other facilities. Most of tunnels are excavated either by using drilling and blasting or by using tunnel excavation machines such as TBM (tunneling boring machine) or Shield. NATM (new Austrian tunneling method) is one of most frequently used tunneling methods and it uses drilling and blasting to excavate a tunnel in rock. While tunnel excavation using TBM or Shield machines produces quite a regular and smooth tunnel excavation surface, the tunnel excavation using drilling and blasting results in a very irregular and rough excavation surface. The stress behavior in a shotcrete tunnel liner installed along the excavation surface is very dependent on the surface status and tunnel engineer should consider the surface condition for the design of a shotcrete tunnel liner. Numerical analyses are conducted to investigate the eect of the irregularity of tunnel excavation surface on the response of the shotcrete tunnel liner. For the investigations, the controlled parameters include the irregularity of the excavation surface, the stiness of the surrounding ground, and the coecient of earth pressure at rest. The investigations show that the response of a shotcrete tunnel liner is highly dependent on the parameters and for the same earth pressure condition the eect is more evident when the irregularity is more severe and the surrounding ground is less sti. 2006 Elsevier Ltd. All rights reserved.
Keywords: Rock tunnel; Excavation surface irregularity; Shotcrete liner; Groundliner interaction; Flexibility

1. Introduction Tunnel is a main underground structure and is widely used for transportation transfer, water passage, and other purposes such as electricity or communication cable installation. With the development and upgrade of infrastructures, tunnel construction is increasing all over the world and tunnel engineer is more aware of the importance of the safety and economics of tunnel construction. In relation to tunnel construction, Peck (1969) stated three issues, which are rst, maintaining stability and safety during construction, second, minimizing unfavorCorresponding author. Tel.: +82 11 9831 6940; fax: +82 42 472 3519. E-mail addresses: moorakson@empal.com (M. Son), ecording@uiuc. edu (E.J. Cording). 0886-7798/$ - see front matter 2006 Elsevier Ltd. All rights reserved. doi:10.1016/j.tust.2006.03.002
*

able impact on 3rd parties, and nally performing intended function over the life of a project. Among the issues, the rst issue is directly related to the appropriate design of tunnel support system. In rock tunneling, the tunnel excavation conducted either by using drilling and blasting or by using tunnel excavation machines such as TBM or Shield. NATM (new Austrian tunneling method), which is widely used for a tunnel construction, uses the drilling and blasting method to excavate a tunnel in rock and a shotcrete liner and rock bolts are used as a main support system. The tunnel excavation using drilling and blasting results in a relatively irregular tunnel excavation surface, compared with tunnel excavation machines using TBM or Shield. The level of the irregularity depends on blasting method, rock stiness, rock joint characteristic, scaling, and workmanship.

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As Hoek and Brown (1980) indicated, the irregularity of tunnel excavation surface may induce high stress concentration in an excavation support such as a shotcrete liner installed along the irregular excavation surface and it may result in the cracking and collapsing of the liner. Even though, some emphasis was put on the irregularity of a shotcrete liner thickness, most liners are designed under the assumption that the tunnel is excavated with a smooth surface, so that the liner has a uniform thickness along the tunnel excavation perimeter. Besides that most physical model tests performed to investigate the behavior of a shotcrete tunnel liner, which includes the work by Fernandez et al. (1975), had also a uniform liner thickness. To better understand the eect of the irregularity of the tunnel excavation surface on the response of a shotcrete tunnel liner and to provide a general background for the design of the tunnel liner, this paper investigates the response of a shotcrete tunnel liner under the various conditions of tunnel excavation surface, rock stiness, and earth pressure status, considering the groundliner interaction. 2. Design of tunnel liner Peck (1969) stated that a liner is said to be exible if it interacts with the surrounding ground in such a way that the pressure distribution on the liner and the corresponding deected shape results in negligible bending moments at all points in the lining, and a liner is said to be rigid if it deects insignicantly under the loads imposed by the ground with very little groundstructure interaction. Whether a liner is exible or rigid depends on the relative stiness between ground and liner and a tunnel diameter. For example, a liner may be said exible with a sti surrounding ground and a large diameter, but the same liner may be said rigid with a soft surrounding ground and a small diameter. Peck et al. (1972) introduced the denition of stiness ratios, which are the exibility ratio and the compressibility ratio, for tunnel liners with analytic works by Burns and Richard (1964) and Hoeg (1968). The exibility ratio is the exural stiness ratio between the ground and the liner, and the exural stiness is dened as the resistance of a change in shape under a state of pure shear as shown in Fig. 1. The exural stiness of the ground can be obtained by measuring the diametral change (DD/D) under a state of pure shear with a uniform external pressure, P, as shown in Fig. 1a. The diametral strain of the imaginary circle in ground (Fig. 1a) is given by DD P 1 t D E 1

Fig. 1. Ground and liner under a state of pure shear (after Peck et al., 1972).

where D is the diameter of the imaginary circle, E is the Youngs modulus of the ground, and m is the Poissions ratio of the ground. Under a state of pure shear with a uniform external pressure, P, the diametral strain of the circular tunnel liner (Fig. 1b) is given by DD PR3 D 6E l I l 3

and the exural stiness of the liner to consider the plane strain eect is dened as follows: P 6E l I l DD=D R3 1 t2 l 4

where El is the elastic modulus of the liner, Il is the moment of inertia of the liner of the cross section per unit length along the tunnel axis of the liner, and R is the radius of the liner. The exibility ratio (F) is obtained by dividing the exural stiness of ground by that of the liner and is dened as follows: F
E 1t 6E l I l R3 1t2 l

The compressibility is the extensional stiness ratio between the ground and the liner, and the extensional stiness of the ground and the liner can be obtained by measuring the diametral change (DD/D) for a uniform external pressure, P, as shown in Fig. 2. The diametral strain of the imaginary circular tunnel in ground (Fig. 2a) is given by DD P 1 t1 2t D E and the extensional stiness is dened as follows: P E DD=D 1 t1 2t 6

and the exural stiness of the ground is dened as follows: P E DD=D 1 t 2

where D is the tunnel diameter, E is the Youngs modulus of the ground, and m is the Poissions ratio of the ground.

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1 2t1 C F 0:51 2t2 C 2 3 2t 1 2tC F 0:55 6t1 2tC 6 8t 14 1 1 2tC F 0:51 2tC 2 Nn 3 2t 1 2tC F 0:55 6t1 2tC 6 8t 15 Jn

Fig. 2. Ground and liner under a state of uniform compression (after Peck et al., 1972).

The moment and thrust that are theoretically determined are based on the assumption that the liner has a uniform thickness along the tunnel perimeter and there is no slippage at the contact between the ground and the liner. The theoretical values of the moment and thrust at the tunnel crown and springline are plotted and compared with the results of numerical analyses under various conditions in the following section. 3. Numerical analysis Numerical analyses are run to investigate the response of the liner in rock tunneling. As mentioned previously, rock tunneling with drilling and blasting induces a tunnel excavation surface irregular and rough. The irregularity of the excavation surface may result in the thrust and moment increase in the liner installed along the tunnel excavation perimeter due to the stress concentration. However, the theoretical relationship for the groundliner interaction is based on the assumption that the tunnel excavation surface is smooth enough with no irregularity and the liner thickness is uniform along the tunnel perimeter. In rock tunneling excavated with drilling and blasting, it is dicult to make the tunnel excavation surface completely smooth, though it is possible to reduce the level of irregularity. Accordingly, it is quite important to investigate the thrust and moment change in a shotcrete tunnel liner due to the irregularity and to provide some reasonable concepts for designing and installing a shotcrete tunnel liner for a tunnel in rock, which is excavated with drilling and blasting. Numerical analyses are performed with the 2-D Universal Distinct Element Code (UDEC 3.1, 2000). The advantages of the numerical analysis are that many dierent conditions can easily be considered under limited time, cost, and space, and reproducible analyses are possible. These characteristics enable the eects of various parameters on the responses of a shotcrete tunnel liner installed along the irregular tunnel excavation surface to be investigated. A tunnel is assumed to have a circular shape with the diameter of 10m and to be constructed at the depth of 30 m below the ground surface (Fig. 3). Considering the symmetric condition of the tunnel, a quarter portion of the tunnel is used for the numerical tests (Fig. 4a4d). The boundary condition for the ground and liner was roller supports at the left vertical and bottom horizontal boundaries and the ground stress was applied at the right and top

For the uniform external pressure, P, the diametral strain of the circular tunnel liner (Fig. 2b) is given by DD PR D El t 8

and the extensional stiness of the liner in plane strain is dened by as follows: P El t DD=D R1 t2 l 9

where El is the elastic modulus of the liner and R and t are, respectively, the radius and the thickness of the liner. The compressibility ratio (C) is obtained by dividing the extensional stiness of ground by that of the liner and is dened as follows: C
E 1t12t El t R1t2 l

10

A tunnel liner should be designed safe and stable for the thrust and moment induced by the external load. Because of the interaction between the ground and the liner, the thrust and moment in the liner are aected by the exibility and compressibility ratios as Burns and Richard (1964) have shown. For a given condition, the measure of moment and thrust in the liner can be theoretically obtained as follows:    PR2 1 2t C MomentM 1 K o 1 L n 6F 2  11 0:51 K o 1 J n 2N n cos 2h ThrustT PR2 f1 K o 1 Ln 2 1 K o 1 J n cos 2hg

12

where Ko is the earth pressure coecient at rest, h is the angle measured in counterclockwise from horizontal plane, F is the exibility ratio and C is the compressibility ratio. Ln 1 2tC 1 1 1 2t C 13

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Fig. 4b. Numerical geometries of a tunnel with the irregularity of I = 5 cm.

Fig. 3. Geometries and conditions of a tunnel used for numerical parametric studies.

boundaries (Fig. 4a). The ground and the liner were modeled separately with ner meshes in the liner and analyses were performed under plane strain conditions for both ground and liner. The ground and liner was assumed as isotropic, homogeneous, weightless, and elastic elements. The ground/liner contact model was chosen so that when the contact normal stress exceeds the maximum tensile strength of the contact or the contact shear stress exceeds the contact shear strength, which is a combination of cohesive (C) and frictional strength (/), the contact loses strength. Before losing the strength, the ground/liner contact model has a linear stressdisplacement relationship with the slope of the contact normal stiness for the normal

Fig. 4c. Numerical geometries of a tunnel with the irregularity of I = 15 cm.

Fig. 4a. Numerical geometries and boundary conditions of a tunnel with no irregularity (I = 0 cm).

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Fig. 4d. Numerical geometries of a tunnel with the irregularity of I = 30 cm.

stress condition and with the slope of the contact shear stiness for the shear stress condition. After losing the strength, the contact has only a frictional shear resistance. The properties of ground and liner, which are elastic modulus and Poissons ratio, and the properties of the ground/liner contact, which are normal stiness, shear stiness, friction angle, tensile strength, and cohesive strength were selected based on the reasonable eld values (Table 1). With the given conditions, numerical parametric studies were performed on the eect of the irregularity of tunnel excavation surface on the thrust and moment change in a shotcrete tunnel liner. The controlled parameters include ground stiness (E), irregularity (I, see Fig. 4d), and coecient of earth pressure at rest (Ko) (Table 1). The parametric studies were performed investigating the normalized  M moment ratio cZR2 and the normalized thrust ratio   T induced in a shotcrete tunnel liner due to the irregucZR larity of tunnel excavation surface, where c = unit weight of the ground, Z = tunnel depth to the springline, and R = tunnel radius, and the variations of the normalized
Table 1 Properties and parameters used for the numerical parametric studies Shotcrete liner Youngs modulus (El) Poissons ratio (ml) Thickness (t) Irregularity (I) Ground Youngs modulus (E) Poissons ratio (m) Earth pressure coecient (Ko) Contact between ground and liner Contact normal stiness (Kn) Contact shear stiness (Ks) Friction angle (/) Tensile strength (rt) Cohesive strength (c) 21 GPa 0.15 10 cm 0, 5, 15, and 30 cm 2.1, 21, 105, and 210 GPa 0.25 0.5, 1.0, and 2.0 5.0e6 kPa/m 5.0e6 kPa/m 45 1.0e3 kPa 1.0e3 kPa

values were observed and compared among others with the exibility ratio change. Peck et al. (1972) stated from their study that the normalized moment and thrust ratios increases as the depth of tunnel burial and approaches the fully buried condition at a dimensionless depth (Z/D, where D = tunnel diameter) of 1.5. The dimensionless depth in this paper is three (Z = 30 m and D = 10 m), which is deep enough to allow the fully buried condition. Besides the numerical parametric studies, theoretical normalized moment and thrust ratios, which are based on the irregularity of I = 0 cm, were also calculated and plotted for dierent ground stiness and earth pressure coecient at rest to compare with the results of the numerical parametric tests and to point out the eect of the excavation surface irregularity. For the theoretical calculations, it was assumed that there was no slippage at the contact between a shotcrete tunnel liner and a surrounding ground and the theoretical values were similar to the results of the irregularity of I = 0 cm. The results of the parametric studies, together with the theoretical calculations, will provide fundamental and useful information for investigating the responses of a shotcrete tunnel liner installed along a tunnel surface excavated with drilling and blasting. 3.1. Eect on the moment in tunnel shotcrete liner Fig. 5 shows the relationship between the exibility ratio and the normalized moment ratio at the tunnel crown for Ko = 0.5, 1, and 2. With increasing of the coecient of earth pressure at rest, the normalized moment ratio increased signicantly for the irregularity of I = 15 and 30 cm, when compared with no irregularity case, which is I = 0 cm. However, there was relatively slight increase for the irregularity of I = 5 cm. The increase of the normalized moment ratio was highly dependent on the irregularity height and the earth pressure coecient, and the larger the irregularity height and the earth pressure coecient, the bigger the increase of the normalized moment ratio. As the exibility ratio increases, the normalized moment ratio experienced a signicant drop at F = 192,400 (E = 21 GPa, fair to good rock with RMR  60 80), when compared with the ratio at F = 19,240 (E = 2.1 GPa, poor to fair rock with RMR  4060), and then it was gradually decreasing and nally became close to zero with high increase of the exibility ratio. The investigation indicates that the increase of the normalized moment ratio was more evident with the larger irregularity height and the lower exibility ratio and implies that if a shotcrete tunnel liner becomes relatively exible compared with the surrounding ground, the induced moment in the shotcrete liner is less aected by the tunnel excavation surface and earth pressure conditions. In other words, for a given shotcrete liner condition, the eect of the irregularity on the response of the shotcrete liner could be more significant of the poor rock condition than the good condition in rock quality.

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Fig. 5. Relationship between exibility ratios and normalized moment ratios at tunnel crown.

Fig. 6 shows the relationship between the exibility ratio and the normalized moment ratio at the tunnel springline for Ko = 0.5, 1, and 2. With decreasing of the coecient of earth pressure at rest, the normalized moment ratio increased signicantly for the irregularity of I = 15 and 30 cm, as it did at the crown. The increase of the normalized moment ratio was also highly dependent on the irregularity height and the earth pressure coecient. Similar trends as at the tunnel crown were found for the relationship between the exibility ratios and the normalized moment ratios. However, the change of induced moment due to the irregularity height and the earth pressure coecient was relatively smaller than that at the tunnel crown. 3.2. Eect on the thrust in tunnel shotcrete liner Fig. 7 shows the relationship between the exibility ratio and the normalized thrust ratio at the tunnel crown for Ko = 0.5, 1, and 2. The increase of the normalized thrust ratio was also highly dependent on the irregularity height and the earth pressure coecient, and the increase of the ratio was more evident for the larger irregularity height and earth pressure coecient. For all the cases of the earth pressure coecients, the normalized thrust ratio increased

around twice when the irregularity height varied from I = 0 cm to I = 30 cm. As the exibility ratio increases, the normalized thrust ratio also experienced a signicant drop at F = 192,400 (E = 21 GPa, fair to good rock with RMR  6080), when compared with the ratio at F = 19,240 (E = 2.1 GPa, poor to fair rock with RMR  4060), and then it was gradually decreasing and nally became close to zero with the high increase of the exibility ratio. The increase of the normalized thrust ratio was also more evident with the lower exibility ratio. The investigation also implies that if a shotcrete tunnel liner becomes relatively exible compared with the surrounding ground, the induced thrust in the shotcrete is less aected by the tunnel excavation surface and earth pressure conditions. Fig. 8 shows the relationship between the exibility ratio and the normalized thrust ratio at the tunnel springline for Ko = 0.5, 1, and 2. With decreasing of the coecient of earth pressure at rest, the normalized thrust ratio increased. The increase of the normalized thrust ratio was also highly dependent on the irregularity height, but the change of the ratio was relatively smaller than that at the tunnel crown. Similar trends as at the tunnel crown were found for the relationship between the exibility ratios and the normalized thrust ratios.

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Fig. 6. Relationship between exibility ratios and normalized moment ratios at tunnel springline.

3.3. Analysis of test results Table 2 summarizes the normalized moment and thrust ratios obtained from the numerical tests with varying the irregularity and the earth pressure coecient for a given condition (E = 2.1 GPa and F = 19,240). The results indicate that the normalized thrust ratios increased around 1.52 times when the irregularity height increased from 0 cm to 30 cm and the earth pressure coecient varied from 0.5 to 2.0. The normalized moment ratio was also aected signicantly with the variation of the irregularity and the earth pressure coecient. The results of the numerical tests show that both the induced moment and thrust in a shotcrete tunnel liner were signicantly dependent on the irregularity of tunnel excavation surface and the earth pressure coecients at rest. Besides that the result provides a fact that when one makes tunnel design and construction, the eect of the tunnel surface irregularity and the earth pressure coecient at rest should be taken into consideration, together with the relative stiness between the tunnel liner and the surrounding ground. It is always true that a better understanding of the interaction between a liner and a surrounding ground can only make tunnel design and construction more economically and safely.

4. Conclusions The structural behavior of a shotcrete liner was investigated numerically with the controlled parameters including ground stiness, irregularity, and coecient of earth pressure at rest, and the following conclusions are drawn from the test results with the conditions and assumptions given in this study. (1) The investigations indicated that the response of a shotcrete tunnel liner is highly dependent of the irregularity of tunnel excavation surface, the stiness of surrounding ground, and the state of earth pressure. (2) The increase of the normalized moment and thrust ratios was highly dependent on the irregularity height and the earth pressure coecient at rest, and the larger the irregularity height and earth pressure coecient, the bigger the increase of the normalized moment and thrust ratios at the tunnel crown. (3) Irregularity of tunnel excavation surface can increase the moment and thrust in a shotcrete tunnel liner. The increase was more evident as the irregularity height to liner thickness ratio increases to 1.5 and 3.0, and it became relatively slight when the ratio

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Fig. 7. Relationship between exibility ratios and normalized thrust ratios at tunnel crown.

Fig. 8. Relationship between exibility ratios and normalized thrust ratios at tunnel springline.

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Table 2a Normalized moment ratios at tunnel crown (TC) and springline (TS) for various irregularity (I) and earth pressure coecient (Ko) conditions (for the case of F = 19,240 and E = 2.1 GPa) Ko 0.5 1.0 2.0 I = 0 cm TC 0.01e 3 0.01e 3 0.05e 3 TS 0.03e 3 0.01e 3 0.02e 3 I = 5 cm TC 0.01e 3 0.22e 3 0.47e 3 TS 0.23e 3 0.22e 3 0.19e 3 I = 15 cm TC 0.36e 3 1.04e 3 2.75e 3 TS 1.20e 3 1.04e 3 0.71e 3 I = 30 cm TC 0.54e 3 1.58e 3 3.97e 3 TS 1.84e 3 1.58e 3 1.09e 3

Table 2b Normalized thrust ratios at tunnel crown (TC) and springline (TS) for various irregularity (I) and earth pressure coecient (Ko) conditions (for the case of F = 19,240 and E = 2.1 GPa) Ko 0.5 1.0 2.0 I = 0 cm TC 0.08 0.32 0.80 TS 0.40 0.32 0.17 I = 5 cm TC 0.11 0.36 0.95 TS 0.47 0.36 0.22 I = 15 cm TC 0.15 0.50 1.24 TS 0.60 0.50 0.29 I = 30 cm TC 0.17 0.57 1.40 TS 0.68 0.57 0.34

decreases to 0.5. The result implies that the moment and thrust in a shotcrete liner is highly dependent on the irregularity height to liner thickness ratio. (4) The normalized moment and thrust ratios were highly dependent on the exibility ratio. As the exibility ratio increases, the normalized moment and thrust ratios experienced a signicant drop at F = 192,400 (E = 21 GPa, fair to good rock with RMR  6080) for all the cases of the irregularity and the earth pressure coecient, when compared with the ratio at F = 19,240 (E = 2.1 GPa, poor to fair rock with RMR  4060), and then it was gradually decreasing and nally became close to zero with the high increase of the exibility ratio. (5) From the relationship between the exibility ratios and the normalized moment and thrust ratios, it was found that if a shotcrete tunnel liner becomes relatively exible compared with the surrounding ground, the induced moment and thrust in the shotcrete liner may be less aected by the tunnel excavation surface and earth pressure conditions. For a given shotcrete liner condition, the eect of the irregularity on the response of the shotcrete liner could be more signicant of the poor rock condition than the good condition in rock quality. (6) The moment and thrust induced in a shotcrete tunnel liner are dependent on both the level of tunnel excavation surface irregularity and the exibility ratio between a liner and a surrounding ground. The

increase of the thickness of the tunnel liner may reduce the eect of the surface irregularity, but it may induce the liner stier, decreasing the exibility ratio of the liner and increasing the moment and thrust in the tunnel liner. (7) For tunnel design and construction, both the level of tunnel surface irregularity and the exibility ratio between a shotcrete tunnel liner and a surrounding ground should be taken into consideration, together with the earth pressure conditions. References
Burns, J.Q., Richard, R.M., 1964. Attenuation of stresses for buried cylinders. In: Proceedings, Symposium on SoilStructure Interaction, Tucson, pp. 833858. Fernandez, G., Mahar, J., Cording, E.J., 1975. Shotcrete: Structural Testing of Thin Liners. Technical Research Report, University of Illinois at Urbana-Champaign. Hoeg, K., 1968. Stresses against underground structural cylinders. Journal of the Soil Mechanics and Foundation Division 94 (4), 833858. Hoek, E., Brown, E.T., 1980. Underground Excavations in Rock. The Institution of Mining and Metallurgy, London, England. Peck, R.B., 1969. Deep excavations and tunneling in soft ground. In: Proceedings of the Seventh International Conference on Soil Mechanics and Foundation Engineering, Mexico City, State-of-the-Art, pp. 225290. Peck, R.B., Hendron, A.J., Mohraz, B., 1972. State of the art of soft-ground tunneling. In: Proceedings of the North American Rapid Excavation and Tunneling Conference, Chicago, IL, pp. 259286. UDEC 3.1 Theory and Manual, 2000. Itasca Consulting Group Inc., MN.