(07826) - Design of Underground Structures - Zhen-Dong Cui, Zhong-Liang Zhang, Li Yuan, Zhi-Xiang Zhan and Wan-Kai Zhang

Zhen-Dong Cui · Zhong-Liang Zhang ·
Li Yuan · Zhi-Xiang Zhan · Wan-Kai Zhang
Design of
Underground
Structures
Design of Underground Structures
Zhen-Dong Cui • Zhong-Liang Zhang •
Li Yuan • Zhi-Xiang Zhan •
Wan-Kai Zhang
Design of Underground
Structures
123
Zhen-Dong Cui Zhong-Liang Zhang
China University of Mining and Technology China University of Mining and Technology
Xuzhou, Jiangsu, China Xuzhou, Jiangsu, China
Li Yuan Zhi-Xiang Zhan

China University of Mining and Technology China University of Mining and Technology
Xuzhou, Jiangsu, China Xuzhou, Jiangsu, China
Wan-Kai Zhang
China University of Mining and Technology
Xuzhou, Jiangsu, China
Funded by National Key Research and Development Program (Grant No. 2017YFC500702)
and Fundamental Research Funds for the Central Universities (2018ZZCX04).
ISBN 978-981-13-7731-0 ISBN 978-981-13-7732-7 (eBook)

https://doi.org/10.1007/978-981-13-7732-7
Jointly published with China Architecture & Building Press, Beijing, China
The print edition is not for sale in China Mainland. Customers from China Mainland please order the
print book from: China Architecture & Building Press, Beijing, China.
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Preface
With the rapid development of economy, the metro, light rail, high-speed railway,
highway, hydropower, mining, municipal transportation, high-rise buildings, and
underground commercial buildings have made great progress. Urban underground
space has a wide range of uses, including residential, transportation, commerce,
culture, production, disaster prevention, and other uses. Reasonable development
and utilization of underground space can not only expand urban space and save land
resources but also alleviate traffic congestion and improve urban environment. It is
also conducive to urban disaster reduction and prevention. It is not only an
important measure to effectively solve urban population, environment, resources,
and other issues but also an important way to achieve sustainable urban
development.
This textbook is suitable for senior undergraduates and postgraduate students
majoring in urban underground space engineering, construction engineering,
highway engineering, railway engineering, bridge and tunnel engineering, water
conservancy and hydropower engineering, etc. It can also be used as a reference for
relevant professional engineers and technicians.
There are 17 chapters in this book. Chapters 1–6 mainly introduce the basic
concept of underground structures, load types and determination methods, the
elastic foundation beam theory, mechanics calculation methods for underground
structures, numerical analysis methods for underground structures, and the relia-
bility theory for underground structures. Chapters 7–17 introduce the design of
shallow-buried structures, the design of attached underground structures, the design
of underground continuous walls, the design of foundation pit retaining structures,
the design of shield tunnel structures, the design of open caisson structures, the
design of immersed tube structures, the design of pipe-jacking, pipe-roofing, and
box culvert structures, the design of integral tunnel structures, the design of
anchor-sprayed lining structures, and the design of special underground structures.
This book mainly refers to the relevant textbooks and literatures of underground
structures, and combines with new specifications, engineering cases, and numerical
simulations, highlighting the basic concepts, basic theories, and basic methods
of the underground structure design. In particular, it should be emphasized that this
textbook was compiled on the basis of three textbooks: Underground Building
v
vi Preface
Structures (China Architecture & Building Press, 2005), Rock Underground

Building Structures (China Architecture & Building Press, 1979), and Earth
Underground Building Structures (China Architecture & Building Press, 1982).
I would like to express my acknowledgements to those who have contributed to the
compilation of the abovementioned textbooks.
This textbook has been prepared with the combined effort of all researchers in
the group under Prof. Zhen-Dong Cui’s leading, in which Zhong-Liang Zhang, Li
Yuan, Zhi-Xiang Zhan, Wai-Kai Zhang, and others Wen-Bin Zhu, Tong-Tong
Zhang, Dong-Tai She, Chen-Yu Hou, Yan-Jun Wang, Shi-An Dai, Chong Xu, and
Xu-Bing Xu all have involved in this comprehensive work in this textbook. The
cover picture was selected by my eldest son Bo-Jun Cui from many photos taken by
Zhi-Xiang Zhan in the site of Xuzhou Subway Tunnels. In addition, the chinese
version of the textbook (China Architecture & Building Press, 2017) was complied
by Zhen-Dong Cui, Zhong-Liang Zhang, Shan-Shan Hua, Si-Cheng Fan, Zheng
Li, Yin-Xi Jiang, Jia-Qiang Yang, Wan-Kai Zhang, Jun-Lin Liu, Wen-Hao Guo
and Kun He.
In the process of compiling this book, although the author strives to highlight the
key points, refine the content systematically, and give consideration to both
scientificalness and practicability, due to the limited time and level, there must be
some shortcomings and errors in the book. Readers are invited to criticize and
correct them.
Xuzhou, People’s Republic of China Prof. Dr. Zhen-Dong Cui

January 2019
Contents
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Underground Space and Structures . . . . . . . . . . . . . . . . . . . . . . 1
1.1.1 Prospect of the Underground Space . . . . . . . . . . . . . . . 1
1.1.2 Concept of Underground Structures . . . . . . . . . . . . . . . 5
1.2 Classification and Forms of Underground Structures . . . . . . . . . 6
1.2.1 Classification of Underground Structures . . . . . . . . . . . 6
1.2.2 Forms of Underground Structures . . . . . . . . . . . . . . . . 8
1.3 Characteristics of Underground Structures . . . . . . . . . . . . . . . . 17
1.3.1 Engineering Characteristics of Underground
Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
1.3.2 Design Features of Underground Structures . . . . . . . . . 18
1.4 Design Program and Contents of Underground Structures . . . . . 19
1.4.1 Design Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
1.4.2 Design Contents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
1.4.3 Principle of Calculation . . . . . . . . . . . . . . . . . . . . . . . 22
1.5 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
2 Loads of Underground Structures . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.1 Load Type, Combination, and Determining Method . . . . . . . . . 27
2.1.1 Load Type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.1.2 Load Combination . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
2.1.3 Load Determination Method . . . . . . . . . . . . . . . . . . . . 29
2.2 Computation of Rock and Soil Pressure . . . . . . . . . . . . . . . . . . 30
2.2.1 Calculation of Earth Pressure . . . . . . . . . . . . . . . . . . . 31
2.2.2 Calculation of Surrounding Rock Pressure . . . . . . . . . . 60
2.3 Initial Crustal Stress, Release Load, and Excavation Effect . . . . 71
2.3.1 Determination of Initial Crustal Stress . . . . . . . . . . . . . 72
2.3.2 Calculation of Release Load . . . . . . . . . . . . . . . . . . . . 73
2.4 Elastic Resistance of Stratum . . . . . . . . . . . . . . . . . . . . . . . . . . 74
2.5 Structural Self-weight and Other Loads . . . . . . . . . . . . . . . . . . 75
2.6 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
vii
viii Contents
3 Elastic Foundation Beam Theory . . . . . . . . . . . . . . . . . . . . . . . . . . 79

3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
3.1.1 Characteristics of Elastic Foundation Beam . . . . . . . . . 79
3.1.2 Types of Elastic Foundation Beam . . . . . . . . . . . . . . . 80
3.2 Calculation of Elastic Foundation Beam by Winkler’s
Assumption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... 81
3.2.1 Basic Assumptions . . . . . . . . . . . . . . . . . . . . . . . . ... 81
3.2.2 Basic Equations of Elastic Foundation Beam Based
on Winkler’s Assumption . . . . . . . . . . . . . . . . . . . ... 82
3.2.3 Computation of Short Beam Based on Winkler’s
Assumption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... 85
3.2.4 Computation of Long Beam Based on Winkler’s
Assumption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... 97
3.2.5 Computation of Rigid Beam Based on Winkler’s
Assumption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
3.3 Computation of Foundation Beam Based on the Elastic
Semi-infinite Plane Body . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
3.3.1 Basic Assumptions . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
3.3.2 Basic Equation of Foundation Beam Based
on the Assumption of the Foundation Being
Elastic Semi-infinite Plane Body . . . . . . . . . . . . . . . . . 104
3.3.3 Use of Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108
3.4 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
4 Mechanical Calculation Methods for Underground Structures . . . . 115

4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
4.1.1 Design Methods for Underground Structures . . . . . . . . 115
4.1.2 Design Models for Underground Structures . . . . . . . . . 116
4.2 Load-Structure Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
4.2.1 Design Principle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
4.2.2 Calculation Principle . . . . . . . . . . . . . . . . . . . . . . . . . 123
4.3 Stratum-Structure Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
4.3.2 Calculation of Initial Ground Stress . . . . . . . . . . . . . . . 126
4.3.3 Constitutive Models . . . . . . . . . . . . . . . . . . . . . . . . . . 128
4.3.4 Element Modes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
4.3.5 Simulation of Construction Process . . . . . . . . . . . . . . . 141
4.4 Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
4.5 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
Contents ix
5 Numerical Analysis Methods for Underground Structures . . . . . . . 151

5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
5.1.1 Concept of Numerical Analysis Methods
for Underground Structures . . . . . . . . . . . . . . . . . . . . . 151
5.1.2 Classification of Numerical Analysis Methods
for Underground Structures . . . . . . . . . . . . . . . . . . . . . 153
5.1.3 Comparison Between Elastic Mechanics Analysis
and Continuous Medium Numerical Analysis . . . . . . . . 155
5.2 Common Numerical Analysis Methods and Software
for Underground Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . 156
5.2.1 Finite Difference Method . . . . . . . . . . . . . . . . . . . . . . 157
5.2.2 Finite Element Method . . . . . . . . . . . . . . . . . . . . . . . . 160
5.2.3 Boundary Element Method . . . . . . . . . . . . . . . . . . . . . 173
5.2.4 Discrete Element Method . . . . . . . . . . . . . . . . . . . . . . 174
5.3 Examples of Numerical Computing Software Applications . . . . 178
5.3.1 Finite Element Analysis of Shield Tunnel
Excavation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178
5.3.2 Finite Element Analysis of Shield Tunnel Under
Train Load . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188
5.3.3 Discrete Element Analysis of Direct Shear
Test on Soil Interface . . . . . . . . . . . . . . . . . . . . . . . . . 194
5.4 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204
6 Reliability Theory for Underground Structures . . . . . . . . . . . . . . . 207

6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207
6.1.1 Development of Reliability Theory . . . . . . . . . . . . . . . 207
6.1.2 Uncertainties of Underground Structures . . . . . . . . . . . 209
6.1.3 Reliability Analysis Characteristics of Underground
Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
6.2 Basic Principles of Reliability Analysis . . . . . . . . . . . . . . . . . . 212
6.2.1 Basic Random Variables . . . . . . . . . . . . . . . . . . . . . . . 212
6.2.2 Limit State of Structures . . . . . . . . . . . . . . . . . . . . . . . 213
6.2.3 Reliability of Underground Structures . . . . . . . . . . . . . 215
6.3 Approximate Methods for Reliability Analysis . . . . . . . . . . . . . 220
6.3.1 Overview of Reliability Analysis Methods . . . . . . . . . . 220
6.3.2 Central Point Method . . . . . . . . . . . . . . . . . . . . . . . . . 222
6.3.3 Checking Point Method . . . . . . . . . . . . . . . . . . . . . . . 226
6.3.4 JC Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234
6.3.5 First-Order Asymptotic Integration Method . . . . . . . . . 236
6.3.6 Monte Carlo Method . . . . . . . . . . . . . . . . . . . . . . . . . 239
6.3.7 Reliability of Structural Systems . . . . . . . . . . . . . . . . . 244
6.4 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252
x Contents
7 Design of Shallow-Buried Structures . . . . . . . . . . . . . . . . . . . . . . . . 253

7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253
7.1.1 Straight Wall and Arch Lining Structures . . . . . . . . . . 253
7.1.2 Rectangle Frameworks . . . . . . . . . . . . . . . . . . . . . . . . 254
7.1.3 Beam–Slab Structures . . . . . . . . . . . . . . . . . . . . . . . . . 256
7.2 Calculation of Rectangle Frameworks . . . . . . . . . . . . . . . . . . . 257
7.2.1 Load Calculation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258
7.2.2 Internal Force Calculation . . . . . . . . . . . . . . . . . . . . . . 260
7.2.3 Anti-floating Checking . . . . . . . . . . . . . . . . . . . . . . . . 266
7.3 Section Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266
7.4 Detailing Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267
7.4.1 Forms of Reinforcement . . . . . . . . . . . . . . . . . . . . . . . 267
7.4.2 Concrete Cover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267
7.4.3 Transverse Force Reinforcement . . . . . . . . . . . . . . . . . 268
7.4.4 Distributed Reinforcement . . . . . . . . . . . . . . . . . . . . . . 269
7.4.5 Stirrup . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270
7.4.6 Rigid Joints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270
7.4.7 Setting of Deformation Joints . . . . . . . . . . . . . . . . . . . 272
7.5 Calculation of Closed Framework on Elastic
Foundation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274
7.5.1 Framework Under Symmetrical Loading . . . . . . . . . . . 275
7.5.2 Framework Under Dissymmetrical Loading . . . . . . . . . 279
7.6 Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280
7.7 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290
8 Design of Attached Underground Structures . . . . . . . . . . . . . . . . . . 291
8.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291
8.1.1 Characteristics of Attached Underground
Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293
8.1.2 Forms of Attached Underground Structures . . . . . . . . . 296
8.1.3 Structure of Attached Underground Structures . . . . . . . 301
8.2 Design of Beam–Slab Structures . . . . . . . . . . . . . . . . . . . . . . . 305
8.2.1 Roof . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305
8.2.2 Side Wall . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 310
8.2.3 Foundation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314
8.2.4 Load-Bearing Interior Wall (Column) . . . . . . . . . . . . . 316
8.2.5 Example of Beam–Slab Structural Design . . . . . . . . . . 318
8.3 Assembled Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
8.3.1 General Situation of Assembled Structures . . . . . . . . . . 326
8.3.2 Design Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327
Contents xi
8.4 Entrance and Exit of Attached Underground Structures . . . . . . . 330

8.4.1 Indoor Entrance and Exit . . . . . . . . . . . . . . . . . . . . . . 330
8.4.2 Outdoor Entrance and Exit . . . . . . . . . . . . . . . . . . . . . 331
8.4.3 Ventilation Lighting Hole . . . . . . . . . . . . . . . . . . . . . . 332
8.5 Research and Development of Attached Underground
Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 334
8.5.1 Questions to Be Studied . . . . . . . . . . . . . . . . . . . . . . . 334
8.5.2 Development of Attached Underground Structures . . . . 336
8.6 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 336
9 Design of Underground Continuous Walls . . . . . . . . . . . . . . . . . . . 339
9.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 339
9.1.1 Construction Method of Underground Continuous
Walls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340
9.1.2 Characteristics and Applicable Occasions of
Underground Continuous Walls . . . . . . . . . . . . . . . . . . 341
9.2 Design of Underground Continuous Walls . . . . . . . . . . . . . . . . 342
9.2.1 Slot Amplitude Design and Stability Checking . . . . . . . 342
9.2.2 Design of the Guide Wall . . . . . . . . . . . . . . . . . . . . . . 344
9.2.3 Design of the Thickness and Depth of Underground
Continuous Walls . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
9.2.4 Static Calculation of Underground Continuous
Walls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347
9.3 Detailed Design of Underground Continuous Walls . . . . . . . . . 365
9.3.1 Concrete Engineering Design . . . . . . . . . . . . . . . . . . . 365
9.3.2 Reinforcement Design . . . . . . . . . . . . . . . . . . . . . . . . 366
9.3.3 Joint Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367
9.4 Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 375
9.4.1 General Situation of Engineering . . . . . . . . . . . . . . . . . 375
9.4.2 Engineering Geological Conditions . . . . . . . . . . . . . . . 375
9.4.3 Calculation of the Load and Earth Pressure . . . . . . . . . 375
9.4.4 Check of the Basal Heave Stability . . . . . . . . . . . . . . . 380
9.4.5 Check of the Basal Anti-seepage Stability . . . . . . . . . . 381
9.4.6 Check of the Stability Against Overturning of the
Underground Continuous Wall . . . . . . . . . . . . . . . . . . 383
9.4.7 Check of the Global Stability . . . . . . . . . . . . . . . . . . . 384
9.4.8 Calculation of Axial Forces and Internal Forces of the
Underground Continuous Wall . . . . . . . . . . . . . . . . . . 385
9.5 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 390
xii Contents
10 Design of Foundation Pit Retaining Structures . . . . . . . . . . . . . . . . 391

10.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391
10.1.1 Concept and Characteristics of the Foundation Pit
Engineering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391
10.1.2 Types and Applicable Conditions of the Foundation
Pit Retaining Structure . . . . . . . . . . . . . . . . . . . . . . . . 391
10.1.3 Design Principles and Contents of the Foundation Pit
Retaining Engineering . . . . . . . . . . . . . . . . . . . . . . . . 395
10.1.4 Horizontal Loads and Earth Pressure Acting on the
Retaining Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . 396
10.2 Cement–Soil Pile Walls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397
10.2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397
10.2.2 Calculation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 398
10.2.3 Structural Requirements of Cement–Soil Pile Walls . . . 402
10.3 Soil Nailing Walls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 403
10.3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 403
10.3.2 Structural Size Determination of Soil Nailing Walls . . . 403
10.3.3 Design of Parameters . . . . . . . . . . . . . . . . . . . . . . . . . 404
10.3.4 Calculation of the Bearing Capacity of Soil Nails . . . . . 404
10.3.5 Checking of the Stability . . . . . . . . . . . . . . . . . . . . . . 410
10.4 Row Pile-Retaining Structures . . . . . . . . . . . . . . . . . . . . . . . . . 411
10.4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
10.4.2 Cantilever Support Structures . . . . . . . . . . . . . . . . . . . 412
10.4.3 Monolayer-Retaining Structures . . . . . . . . . . . . . . . . . . 415
10.4.4 Multilayer-Retaining Structures . . . . . . . . . . . . . . . . . . 420
10.5 Stability of the Foundation Pit Support . . . . . . . . . . . . . . . . . . 423
10.5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423
10.5.2 Overall Stability Analysis . . . . . . . . . . . . . . . . . . . . . . 423
10.5.3 Analysis of the Rotational Stability of the Retaining
Structure around the Lowest Anchor Point . . . . . . . . . . 424
10.5.4 Analysis of the Stability of the Bottom Heave . . . . . . . 425
10.5.5 Analysis of the Anti-seepage Stability . . . . . . . . . . . . . 426
10.6 In-Site Monitoring and Informatization Construction of
Foundation Pits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 428
10.6.1 Role of the Monitoring and the Prediction . . . . . . . . . . 428
10.6.2 Design Principles of the Monitoring System . . . . . . . . 429
10.6.3 Monitoring Contents . . . . . . . . . . . . . . . . . . . . . . . . . . 430
10.6.4 Analysis and Evaluation of Monitoring Results . . . . . . 432
10.6.5 Warning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 433
10.6.6 Protection of Measuring Points . . . . . . . . . . . . . . . . . . 434
10.7 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 435
Contents xiii
11 Design of Shield Tunnel Structures . . . . . . . . . . . . . . . . . . . . . . . . . 437

11.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 437
11.2 Design Process of the Shield Tunnel Lining . . . . . . . . . . . . . . . 438
11.2.2 Design Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 438
11.3 Design of the Lining Structure . . . . . . . . . . . . . . . . . . . . . . . . . 439
11.3.1 Forms and Structures of the Lining . . . . . . . . . . . . . . . 439
11.3.2 Prefabricated Reinforced Concrete Segment . . . . . . . . . 445
11.3.3 Loads Calculation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 446
11.3.4 Design Models of Shield Tunnels . . . . . . . . . . . . . . . . 449
11.3.5 Internal force calculation methods for the lining
structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 451
11.3.6 Design of Lining Section . . . . . . . . . . . . . . . . . . . . . . 460
11.4 Tunnel Waterproofing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 464
11.4.1 Anti-permeability of Linings . . . . . . . . . . . . . . . . . . . . 465
11.4.2 Manufacturing Accuracy of Linings . . . . . . . . . . . . . . . 465
11.4.3 Basic Technical Requirements for Joint
Waterproofing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 466
11.4.4 Secondary Lining . . . . . . . . . . . . . . . . . . . . . . . . . . . . 466
11.5 Example of the Shield Tunnel Design . . . . . . . . . . . . . . . . . . . 466
11.6 Application of FEM for the Tunnel Computing Model . . . . . . 479
11.7 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 490
12 Design of Open Caisson Structures . . . . . . . . . . . . . . . . . . . . . . . . . 493
12.1 Introduction of Open Caisson Structures . . . . . . . . . . . . . . . . . 493
12.1.1 Concept, Characteristics, and Application of Open
Caisson Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . 493
12.1.2 Classification of Open Caisson Structures . . . . . . . . . . 494
12.1.3 Design Principle of Open Caisson Structures . . . . . . . . 494
12.1.4 Construction Steps of the Open Caisson Structure . . . . 495
12.2 Structures of the Open Caisson . . . . . . . . . . . . . . . . . . . . . . . . 496
12.2.1 Shaft Lining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 496
12.2.2 Cutting Edge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 498
12.2.3 Groove . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 500
12.2.4 Internal Parting Wall and Base Girder . . . . . . . . . . . . . 500
12.2.5 Dredging Well . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 501
12.2.6 Bottom Sealing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 501
12.2.7 Roof . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 501
12.3 Design and Calculation of the Open Caisson Structure . . . . . . . 502
12.3.1 Calculation of the Subsidence Coefficient . . . . . . . . . . 502
xiv Contents
12.3.2
Check of the Bottom Open Caisson . . . . . . . . . . . . . . . 502
12.3.3
Calculation of the Shaft Lining . . . . . . . . . . . . . . . . . . 504
12.3.4
Check of the Cutting Edge of the Open Caisson . . . . . 507
12.3.5
Calculation of the Bottom Concrete of the Open
Caisson . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 513
12.3.6 Calculation of the Bottom Plate of the Open
Caisson . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 515
12.3.7 Check of the Anti-floating Stability of the Open
Caisson . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 516
12.4 Caisson Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 516
12.4.1 Main Structures of the Caisson . . . . . . . . . . . . . . . . . . 519
12.4.2 Design Condition and Method for the Caisson
Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 519
12.4.3 Attentions for the Caisson Structure Design . . . . . . . . . 520
12.5 Example of the Caisson Structure Design . . . . . . . . . . . . . . . . . 528
12.6 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 551
13 Design of Immersed Tube Structures . . . . . . . . . . . . . . . . . . . . . . . 553
13.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 553
13.1.1 Main Construction Methods for Underwater Tunnels . . . . 554
13.1.2 Construction of the Immersed Tube Tunnel . . . . . . . . . 555
13.1.3 Design of the Immersed Tube Tunnel . . . . . . . . . . . . . 557
13.2 Design of the Immersed Tube Structure . . . . . . . . . . . . . . . . . . 558
13.2.1 Types and Structures of the Immersed Tube
Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 558
13.2.2 Loads Acting on the Immersed Tube Structure . . . . . . . 559
13.2.3 Buoyancy Calculation of the Immersed Tube
Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 562
13.2.4 Calculation of the Immersed Tube Structure . . . . . . . . . 565
13.2.5 Application of the Prestress . . . . . . . . . . . . . . . . . . . . . 567
13.3 Waterproof Measures of the Immersed Tube Tunnel . . . . . . . . . 569
13.3.1 Water Stopping Band . . . . . . . . . . . . . . . . . . . . . . . . . 570
13.3.2 Waterproof of Steel Shells and Steel Plates . . . . . . . . . 572
13.3.3 Rolled Waterproof Material and Waterproof
Coating . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 573
13.4 Design of Deformation Joints and Element Joints . . . . . . . . . . . 573
13.4.1 Arrangement and Structures of Deformation Joints . . . . 573
13.4.2 Design of the Element Joints . . . . . . . . . . . . . . . . . . . 576
13.5 Foundation of the Immersed Tube Tunnel . . . . . . . . . . . . . . . . 578
13.5.1 Geological Conditions and the Foundation of the
Immersed Tube Tunnel . . . . . . . . . . . . . . . . . . . . . . . . 578
Contents xv
13.5.2 Foundation Treatment of the Immersed Tube

Tunnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 579
13.5.3 Foundation of the Immersed Tubes on the Weak Soil
Layer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 583
13.6 Immersing of the Tubes and the Underwater Connection . . . . . . 586
13.6.1 Methods for Immersing of Tubes . . . . . . . . . . . . . . . . 586
13.6.2 Underwater Connection . . . . . . . . . . . . . . . . . . . . . . . 588
13.7 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 591
14 Design of Pipe-Jacking, Pipe-Roofing, and Box Culvert
Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 593
14.1 Pipe-Jacking Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 593
14.1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 593
14.1.2 Classification of Pipe-Jacking . . . . . . . . . . . . . . . . . . . 594
14.1.3 Calculation of Pipe-Jacking . . . . . . . . . . . . . . . . . . . . . 595
14.1.4 Main Equipment for the Pipe-Jacking Construction . . . 603
14.1.5 Major Technical Measures for the Pipe-Jacking
Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 607
14.1.6 Example of the Pipe-Jacking Design . . . . . . . . . . . . . . 610
14.2 Pipe-Roofing Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 616
14.2.1 Characteristics and Application Range of the Pipe-
Roofing Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 616
14.2.2 Mechanical Analysis for the Pipe-Roofing Structure . . . 618
14.2.3 Pipe-Roofing Construction . . . . . . . . . . . . . . . . . . . . . 620
14.3 Box Culvert Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 621
14.3.1 Structure Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 621
14.3.2 Design of the Box Culvert Structure . . . . . . . . . . . . . . 622
14.3.3 Location of the Settlement Joint . . . . . . . . . . . . . . . . . 629
14.3.4 Jacking Construction Method of the Culvert . . . . . . . . 629
14.3.5 Example of the Box Culvert Structure . . . . . . . . . . . . . 630
14.4 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 633
15 Design of Integral Tunnel Structures . . . . . . . . . . . . . . . . . . . . . . . 635
15.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 635
15.1.1 Concept of Integral Tunnel Structures . . . . . . . . . . . . . 635
15.1.2 Classification of Integral Tunnel Structures . . . . . . . . . 636
15.2 General Technology Requirements for Integral Tunnel
Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 640
15.2.1 Section and Geometry Size of Lining Structures . . . . . 640
15.2.2 Lining Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 643
15.2.3 General Detailing Requirements of Lining
Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 646
xvi Contents
15.3 Calculation Methods for Integral Tunnel Structures . . . . . . . . . . 647

15.4 Semi-lining Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 648
15.4.1 Calculation Diagrams for Semi-lining Structures . . . . . 651
15.4.2 Internal Force Calculation Method for Semi-lining
Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 652
15.4.3 Elastic Fixed Coefficients of Skewbacks . . . . . . . . . . . 657
15.4.4 Calculation of Arch Ring Displacements . . . . . . . . . . . 659
15.5 Straight Wall and Arch Lining Structures . . . . . . . . . . . . . . . . . 661
15.5.1 Calculation Diagram for Straight Wall and Arch
Lining Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . 661
15.5.2 Internal Force Calculation Method for Straight Wall
and Arch Lining Structures . . . . . . . . . . . . . . . . . . . . . 663
15.5.3 Design Example of Straight Wall and Arch Lining
Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 674
15.6 Curved Wall and Arch Lining Structures . . . . . . . . . . . . . . . . . 697
15.6.1 Calculation Diagram for Curved Wall and Arch
Lining Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . 699
15.6.2 Internal Force Calculation Steps for Curved Wall and
Arch Lining Structures . . . . . . . . . . . . . . . . . . . . . . . . 702
15.7 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 706
16 Design of Anchor-Sprayed Lining Structures . . . . . . . . . . . . . . . . . 711

16.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 711
16.2 Classification of Surrounding Rock . . . . . . . . . . . . . . . . . . . . . 712
16.2.1 Surrounding Rock and Its Classification Basis . . . . . . . 712
16.2.2 Classification Method of Surrounding Rock . . . . . . . . . 713
16.3 Anchor-Sprayed Lining Design . . . . . . . . . . . . . . . . . . . . . . . . 716
16.3.1 Design with Local Action Principle . . . . . . . . . . . . . . . 717
16.3.2 Design with Whole Action Principle . . . . . . . . . . . . . . 720
16.3.3 Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 724
16.4 Supervisory Control Design of the Anchor-Sprayed Lining . . . . 725
16.4.1 Purpose, Principle, and Method of Monitoring
Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 725
16.4.2 Contents and Means of Monitoring and Measuring . . . . 726
16.5 Feedback for Construction Information . . . . . . . . . . . . . . . . . . . 727
16.6 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 729
17 Design of Special Underground Structures . . . . . . . . . . . . . . . . . . . 731
17.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 731
17.2 Dome Vertical Wall . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 731
17.2.1 Lining Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 731
17.2.2 Lining Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 733
Contents xvii

17.3 Portal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 735
17.3.1 Forms of Portal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 735
17.3.2 Lining Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 736
17.4 End Wall . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 742
17.4.1 Forms of the End Wall . . . . . . . . . . . . . . . . . . . . . . . . 742
17.4.2 Calculation for the End Wall . . . . . . . . . . . . . . . . . . . . 743
17.5 Bifurcation Tunnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 744
17.5.1 Forms of Bifurcation Tunnels and Joints . . . . . . . . . . . 745
17.5.2 Detailing Requirements . . . . . . . . . . . . . . . . . . . . . . . . 748
17.6 Vertical Shaft and Inclined Shaft . . . . . . . . . . . . . . . . . . . . . . . 749
17.6.1 Vertical Shaft . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 749
17.6.2 Inclined Shaft . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 759
17.7 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 762
Appendix A: Tables for Calculating the Elastic Foundation Beam . . . . . 763

Appendix B: Major Published Works of the Book Author . . . . . . . . . . . 841
Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 845
About the Author
Prof. Dr. Zhen-Dong Cui is the Dean of Institute of

Geotechnical Engineering, China University of Mining
and Technology. In July 2008, he obtained the Ph.D.
from School of Civil Engineering, Tongji University,
Shanghai, China. Since then, he had been a Postdoc-
toral Research Fellow in the Hong Kong University of
Science and Technology for 1 year. He joined Shanghai
Institute of Geological Survey in 2009. In July 2010, he
joined CUMT as an associate professor and was
promoted to full professor in 2013. Supported by
China Scholarship Council, from August 2015 to
August 2016, as a visiting scholar, he researched and
studied in the Department of Civil, Environmental and
Architectural Engineering, University of Colorado
Boulder.
He won Nomination of 100 Excellent Doctoral
Dissertations in China in 2011. He won Shanghai
Excellent Doctoral Dissertations in 2010 and Excellent
doctorate thesis of Tongji University in 2009. In 2015,
he was awarded the third prize of Shanghai Natural
Science. In 2003, he was awarded the second prize of
Natural Science of the Ministry of Education. In 2008,
he was awarded the second prize of Progress of Science
and Technology in Shanghai. In 2012, he was selected
as Qinglan Project for Outstanding Young Teachers of
Jiangsu Province and in 2016, he was selected as 333
Talent Project in Jiangsu Province. In 2014 and in
2017, he was twice selected as Young Academic
Leader of China University of Mining and Technology.
In 2015, he was awarded as Excellent Innovation Team
Leader of China University of Mining and Technology.
xix
xx About the Author
His research interests focus mainly on the urban

subway tunnel, the deformation of soft foundation, the
soil dynamics, the centrifuge model test, and the
artificial frozen soil. In the past 5 years, he took charge
of National Natural Science Foundation of China
(NSFC), Jiangsu Natural Science Foundation of China,
Outstanding Innovation Team Project in China Univer-
sity of Mining and Technology, and Special Fund for
China Postdoctoral Science Foundation. He published
more than 60 papers, in which 37 English papers
(indexed by SCI) have been published in Engineering
Geology, Natural Hazards, Computers and Geotech-
nics, Cold Regions Science and Technology, Environ-
mental Earth Sciences, International Journal of Rock
Mechanics and Mining Sciences, etc. He has applied
for eight national invented patents, among which four
patents have been awarded. He is the Associate Editor
of Arabian Journal of Geosciences, the specialized
committee member of the soft soil engineering of the
geotechnical engineering branch of the Civil Engineer-
ing Society of China, the member of International
Society for Soil Mechanics and Geotechnical Engi-
neering (ISSMGE), and the member of International
Association for Engineering Geology and Environment
(IAEG).
List of Figures
Fig. 1.1 The urban rail transit in China by 2018. (https://www.

transitmap.net/china-metro-evolution). . . . . . . . . . . . . . . . . . . .. 3
Fig. 1.2 Hong Kong–Zhuhai–Macao Bridge. (http://cn.chinadaily.
com.cn/2018-01/08/content_35455208.htm) . . . . . . . . . . . . . . .. 4
Fig. 1.3 Que’ershan tunnel. (http://www.sohu.com/a/305766671_
100264374) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 4
Fig. 1.4 Diagram of underground structure . . . . . . . . . . . . . . . . . . . . . .. 6
Fig. 1.5 The forms of underground structures. a Rectangular;
b Trapezoid; c Straight wall and arch ring; d Curved wall
and arch ring; e Inverted arch; f Circular; g Polygon. . . . . . . . . 8
Fig. 1.6 Shallow-buried structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Fig. 1.7 Attached underground structure . . . . . . . . . . . . . . . . . . . . . . . . . 10
Fig. 1.8 Open caisson structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Fig. 1.9 Construction process of underground continuous wall
structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Fig. 1.10 Subway shield tunnel structure . . . . . . . . . . . . . . . . . . . . . . . . . 11
Fig. 1.11 Immersed structure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Fig. 1.12 Foundation pit retaining structure . . . . . . . . . . . . . . . . . . . . . . . 12
Fig. 1.13 Pipe-jacking structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Fig. 1.14 Semi-lining structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Fig. 1.15 On-wall lining structure. a Thick-arch and thin wall lining
structure; b Straight wall and arch lining structure; c Curved
wall and arch lining structure . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Fig. 1.16 Off-wall lining structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Fig. 1.17 Anchor-sprayed lining structure . . . . . . . . . . . . . . . . . . . . . . . . . 15
Fig. 1.18 Dome structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Fig. 1.19 Multi-arch lining structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Fig. 1.20 Composite lining structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Fig. 1.21 Elastic resistance of the stratum . . . . . . . . . . . . . . . . . . . . . . . . . 24
Fig. 2.1 Relationship between the earth pressure and the displacement
of retaining wall . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 31
xxi
xxii List of Figures
Fig. 2.2 Limit equilibrium state of soil. a Active earth pressure;

b Passive earth pressure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Fig. 2.3 Calculation of static earth pressure . . . . . . . . . . . . . . . . . . . . . . 34
Fig. 2.4 Calculation of Coulomb earth pressure . . . . . . . . . . . . . . . . . . . 35
Fig. 2.5 The case with distributed loads at surface . . . . . . . . . . . . . . . . . 37
Fig. 2.6 Equivalent internal friction angle . . . . . . . . . . . . . . . . . . . . . . . . 39
Fig. 2.7 Calculation scheme considering the cohesion . . . . . . . . . . . . . . 40
Fig. 2.8 Rankine limit equilibrium state . . . . . . . . . . . . . . . . . . . . . . . . . 42
Fig. 2.9 Calculation of active earth pressure for layered soil. . . . . . . . . . 44
Fig. 2.10 Calculation of active earth pressure for overloaded
on the fill . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
Fig. 2.11 Active earth pressure under uniform and locally uniform
overload. a Full uniform overload on top of pit wall;
b Uniform overload at L off top of pit wall; c Uniform
overload with L1 in width at L off top of pit wall . . . . . . . . . . . 48
Fig. 2.12 The active earth pressure under the concentrated force . . . . . . . 48
Fig. 2.13 Lateral pressure caused by concentrated load on the top of pit
wall ðl ¼ 0:5Þ: a Lateral pressure caused by concentrated
load on the top of pit wall; b Lateral pressure along the wall
on both sides of the action point of concentrated load . . . . . . . . 49
Fig. 2.14 The lateral pressure under the linear load . . . . . . . . . . . . . . . . . 50
Fig. 2.15 The lateral pressure under strip loads. . . . . . . . . . . . . . . . . . . . . 50
Fig. 2.16 The active pressure under irregular surface conditions . . . . . . . . 51
Fig. 2.17 Calculation of earth pressure and pore water pressure . . . . . . . . 53
Fig. 2.18 Water pressure distribution around the wall ① Pressure
headline in front of wall; ② Pressure headline behind wall;
③ Hydrostatic pressure headline . . . . . . . . . . . . . . . . . . . . . . . . 54
Fig. 2.19 Distribution of unbalanced water pressure acting on
supporting structure. a Triangular distribution; b Trapezium
distribution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
Fig. 2.20 Comparison of u by different test methods . . . . . . . . . . . . . . . . 60
Fig. 2.21 Calculation of vertical surrounding rock pressure for
shallow-buried structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
Fig. 2.22 Calculation of vertical surrounding rock pressure of
deep-buried structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Fig. 2.23 Computing model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Fig. 2.24 Elastoplastic model for calculating surrounding rock
pressure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Fig. 2.25 Excavation boundary node . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
Fig. 2.26 Deformation law of lining structure under external force . . . . . . 74
Fig. 2.27 Self-weight calculation of arch ring structure . . . . . . . . . . . . . . . 76
List of Figures xxiii
Fig. 3.1 Classification of elastic foundation beam. a Short beam;

b Infinite long beam; c Semi-infinite long beam; d Rigid
beam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 80
Fig. 3.2 Local elastic foundation model . . . . . . . . . . . . . . . . . . . . . . . .. 82
Fig. 3.3 The load on the elastic foundation beam . . . . . . . . . . . . . . . . .. 83
Fig. 3.4 The initial parameters of the beam and the coordinates of the
loading point . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
Fig. 3.5 A length of distributed load on the beam . . . . . . . . . . . . . . . . . 92
Fig. 3.6 Full span of distributed load on the beam . . . . . . . . . . . . . . . . . 93
Fig. 3.7 Loads distributed on the short beam . . . . . . . . . . . . . . . . . . . . . 95
Fig. 3.8 The infinite beam under the concentrated force P . . . . . . . . . . . 97
Fig. 3.9 Loads distributed on the long beam . . . . . . . . . . . . . . . . . . . . . . 99
Fig. 3.10 The infinite beam under the concentrated bending
moment m . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
Fig. 3.11 Semi-infinite beam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Fig. 3.12 Computation of rigid beam . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
Fig. 3.13 Calculation of foundation beam based on the assumption
of the foundation being elastic semi-infinite plane body . . . . . . 104
Fig. 3.14 Foundation settlement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Fig. 3.15 Uniform load q0 distributed on the whole beam . . . . . . . . . . . . 109
Fig. 3.16 Concentrated load P on the beam . . . . . . . . . . . . . . . . . . . . . . . 110
Fig. 3.17 Bending moment m on the beam . . . . . . . . . . . . . . . . . . . . . . . . 111
Fig. 3.18 A concentrated force P is loaded on Point o of the infinite
elastic foundation beam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
Fig. 3.19 A uniform load q is distributed on the whole beam . . . . . . . . . . 113
Fig. 3.20 Four concentrated forces loaded on the beam . . . . . . . . . . . . . . 113
Fig. 4.1 Schematic diagram of convergence limit method . . . . . . . . . . . . 122
Fig. 4.2 The yield criterion in the principal stress space and the p
plane. a Yield surface in principal stress space; b The yield
line in the plane p . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
Fig. 4.3 Material strength under various stress conditions . . . . . . . . . . . . 133
Fig. 4.4 Material hardening type. a Isotropic hardening model;
b Kinematic hardening model; c Mixed hardening model . . . . . 134
Fig. 4.5 The loading and unloading criterion . . . . . . . . . . . . . . . . . . . . . 137
Fig. 4.6 Generalized Kelvin model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
Fig. 4.7 The creep curve of the generalized Kelvin model . . . . . . . . . . . 138
Fig. 4.8 The elastic aftereffect of the creep of the generalized Kelvin
model. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
Fig. 4.9 Time-space effect diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
Fig. 5.1 Numerical analysis methods commonly used in geotechnical
engineering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154
Fig. 5.2 One-dimensional difference grid with a step of h . . . . . . . . . . . 158
Fig. 5.3 Finite difference grid of a two-dimensional continuum . . . . . . . 159
xxiv List of Figures
Fig. 5.4 Tension step bar. a Schematic diagram; b Finite element

model; c Element . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
Fig. 5.5 Schematic diagram of the cantilever beam. a Concentrated
load on cantilever beam; b Discretized finite element model;
c Element and node number relationship . . . . . . . . . . . . . . . . . . 166
Fig. 5.6 ADNIA analysis flow chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172
Fig. 5.7 Jointed rock roadway . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
Fig. 5.8 Solution flow chart of PFC . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177
Fig. 5.9 Finite element model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179
Fig. 5.10 Soil distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179
Fig. 5.11 Displacement after ground stress balance . . . . . . . . . . . . . . . . . . 181
Fig. 5.12 Shield tunnel excavation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181
Fig. 5.13 Vertical displacement after excavation of whole model . . . . . . . 182
Fig. 5.14 Vertical displacement after excavation of lining . . . . . . . . . . . . 183
Fig. 5.15 Vertical displacement paths . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184
Fig. 5.16 Vertical displacements on different paths . . . . . . . . . . . . . . . . . . 184
Fig. 5.17 Soil displacements of upper and lower model surface
at 40 m . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
Fig. 5.18 Horizontal displacement of the model . . . . . . . . . . . . . . . . . . . . 186
Fig. 5.19 Horizontal displacements on different paths . . . . . . . . . . . . . . . . 187
Fig. 5.20 Vertical stress distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
Fig. 5.21 Vertical stress on different paths . . . . . . . . . . . . . . . . . . . . . . . . 188
Fig. 5.22 Train size . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
Fig. 5.23 Reference points and paths for analysis of results . . . . . . . . . . . 192
Fig. 5.24 Nephograms of uz and ux at the surface under different loads
when the load propagating to the midpoint of the model . . . . . . 193
Fig. 5.25 Variation of acceleration with time at monitoring point 1
under different loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
Fig. 5.26 Measuring circle distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
Fig. 5.27 Force chains distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
Fig. 5.28 Stress value comparison . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
Fig. 5.29 Distribution of shape and force chain before and after shearing
of model A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
Fig. 5.30 Velocity distribution of model A after shearing . . . . . . . . . . . . . 199
Fig. 5.31 Distribution of shape and force chain before and after shearing
of model B . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
Fig. 5.32 Velocity distribution of model B after shearing . . . . . . . . . . . . . 200
Fig. 5.33 Shear stress–displacement relationship of model B in direct
shear test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201
Fig. 5.34 Distribution of shape and force chain of model C . . . . . . . . . . . 201
Fig. 5.35 Velocity vector distribution of model C with different shear
displacements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
List of Figures xxv
Fig. 5.36 Shear stress–displacement relationship of model C

(300 kPa) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
Fig. 5.37 Shear stress–displacement relationship of the three models
(300 kPa) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
Fig. 5.38 High-speed railway embankment section . . . . . . . . . . . . . . . . . . 203
Fig. 6.1 2D domain and limit state . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
Fig. 6.2 Relationship between failure probability and reliability
index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
Fig. 6.3 Limit state surface and central point with three normal random
variables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224
Fig. 6.4 Limit state surface and checking point with three normal
random variables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
Fig. 6.5 L-shaped retaining wall . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230
Fig. 6.6 Equivalent normalization of nonpositive random variables in
the JC method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234
Fig. 6.7 Logic diagram of the series model . . . . . . . . . . . . . . . . . . . . . . . 246
Fig. 6.8 Logic diagram of the parallel model . . . . . . . . . . . . . . . . . . . . . 246
Fig. 6.9 Logic diagram of the series–parallel model . . . . . . . . . . . . . . . . 247
Fig. 7.1 The straight wall and arch lining structure . . . . . . . . . . . . . . . . . 254
Fig. 7.2 The rectangle frameworks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255
Fig. 7.3 Double-span rectangle framework with open holes . . . . . . . . . . 255
Fig. 7.4 Double-span beam–column rectangle framework . . . . . . . . . . . . 256
Fig. 7.5 Double-storey and multi-span framework . . . . . . . . . . . . . . . . . 256
Fig. 7.6 The planar graph of an underground classroom . . . . . . . . . . . . . 257
Fig. 7.7 Subway passage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257
Fig. 7.8 Calculation diagram of loads . . . . . . . . . . . . . . . . . . . . . . . . . . . 260
Fig. 7.9 Calculation diagram of the rectangular framework . . . . . . . . . . . 261
Fig. 7.10 The calculation diagram of the longitudinal beam and
column . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
Fig. 7.11 Simplified computational model . . . . . . . . . . . . . . . . . . . . . . . . . 262
Fig. 7.12 Calculation diagram of the closed framework . . . . . . . . . . . . . . 263
Fig. 7.13 Calculation diagram and basic structure . . . . . . . . . . . . . . . . . . . 263
Fig. 7.14 Calculation diagram of design moment . . . . . . . . . . . . . . . . . . . 265
Fig. 7.15 Calculation diagram of design shear . . . . . . . . . . . . . . . . . . . . . 265
Fig. 7.16 The framework with supports . . . . . . . . . . . . . . . . . . . . . . . . . . 267
Fig. 7.17 Form of reinforcement in the closed framework . . . . . . . . . . . . 268
Fig. 7.18 Distributed reinforcement layout . . . . . . . . . . . . . . . . . . . . . . . . 270
Fig. 7.19 Rigid joint structural diagram . . . . . . . . . . . . . . . . . . . . . . . . . . 271
Fig. 7.20 Reinforcement layout at the frame Joint . . . . . . . . . . . . . . . . . . 271
Fig. 7.21 The stirrup at the corner . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272
Fig. 7.22 Caulking deformation joint . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273
Fig. 7.23 Attached deformation joint . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273
Fig. 7.24 Embedded deformation joint . . . . . . . . . . . . . . . . . . . . . . . . . . . 274
xxvi List of Figures
Fig. 7.25 Special deformation joint . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274

Fig. 7.26 Single-span symmetric framework . . . . . . . . . . . . . . . . . . . . . . . 275
Fig. 7.27 Two-span symmetric framework . . . . . . . . . . . . . . . . . . . . . . . . 278
Fig. 7.28 Three-span symmetric framework . . . . . . . . . . . . . . . . . . . . . . . 279
Fig. 7.29 Calculation diagram and basic structure . . . . . . . . . . . . . . . . . . . 280
Fig. 7.30 Moment diagram under different forces . . . . . . . . . . . . . . . . . . . 282
Fig. 7.31 Moment diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283
Fig. 7.32 Calculation diagram of the framework . . . . . . . . . . . . . . . . . . . . 283
Fig. 7.33 Basic structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284
Fig. 7.34 Loads and calculation diagram. . . . . . . . . . . . . . . . . . . . . . . . . . 285
Fig. 7.35 Moment diagram ðkN mÞ . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
Fig. 7.36 Final moment diagram ðkN mÞ . . . . . . . . . . . . . . . . . . . . . . . . 289
Fig. 8.1 Attached underground structure . . . . . . . . . . . . . . . . . . . . . . . . . 292
Fig. 8.2 Beam and slab structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297
Fig. 8.3 Slab–column structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298
Fig. 8.4 Box structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299
Fig. 8.5 Frame structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300
Fig. 8.6 Arch shell structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300
Fig. 8.7 The exterior wall and inner frame structure . . . . . . . . . . . . . . . . 301
Fig. 8.8 Calculating diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308
Fig. 8.9 Calculating diagram. a Compression-bending member; b Half
frame; c Overall framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . 312
Fig. 8.10 Sketch of calculation of load-bearing inner wall with
door holes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317
Fig. 8.11 Plan diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318
Fig. 8.12 Reinforcement result . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324
Fig. 8.13 Calculation diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325
Fig. 8.14 Internal force calculation diagram . . . . . . . . . . . . . . . . . . . . . . . 325
Fig. 8.15 The actual reinforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
Fig. 8.16 Structure for entrance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333
Fig. 8.17 Configure of oblique structural steel bar . . . . . . . . . . . . . . . . . . 334
Fig. 9.1 Construction procedure. a Guide wall; b Drill the unit groove;
c Install joint pipes; d Clear the bottom sediment;
e Reinforcement cage; f Pour concrete; g Pull out joint pipes;
h Drill the next . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340
Fig. 9.2 Section of the guide wall. a Board; b C; c L;
d Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
Fig. 9.3 The free stability at the bottom of the sheet pile . . . . . . . . . . . . 346
Fig. 9.4 The fixed end (cantilever sheet pile) . . . . . . . . . . . . . . . . . . . . . 346
Fig. 9.5 The fixed end (sheet pile with supports) . . . . . . . . . . . . . . . . . . 347
Fig. 9.6 Imagine beam method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 348
Fig. 9.7 Sketch of Yama Mayo Hodan’s precise solution . . . . . . . . . . . . 348
Fig. 9.8 Schematic diagram of approximate solution . . . . . . . . . . . . . . . . 349
List of Figures xxvii
Fig. 9.9 Schematic diagram of domestic general solution . . . . . . . . . . . . 351

Fig. 9.10 Calculation diagram of elastic method . . . . . . . . . . . . . . . . . . . . 352
Fig. 9.11 Fundamental hypotheses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353
Fig. 9.12 Supporting internal force changing with the excavation
process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 357
Fig. 9.13 Calculation diagram of a cantilevered underground after the
first excavation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362
Fig. 9.14 Basic program diagram of the cantilevered underground wall
calculation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 363
Fig. 9.15 Forms of joints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 368
Fig. 9.16 Direct joint. 1—First phase project; 2—Second phase project;
3—Reinforcement; 4—Joint . . . . . . . . . . . . . . . . . . . . . . . . . . . 368
Fig. 9.17 Construction procedure. 1—Inverted groove; 2—Concrete
wall; 3—Excavated section; 4—Unexcavated section;
5—Chain pipe; 6—Reinforcement cage; 7—Pour concrete;
8—Hole . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369
Fig. 9.18 Forms of joints. a Circle; b Circle with gaps; c Shape with
wings; d Convex shape . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370
Fig. 9.19 Joints made of the joint box . . . . . . . . . . . . . . . . . . . . . . . . . . . 370
Fig. 9.20 Joints made of diaphragms. 1—Reinforcement cage (during
the construction); 2—Reinforcement cage (completed
construction); 3—Chemical fabric; 4—Steel diaphragm;
5—Connecting reinforcement . . . . . . . . . . . . . . . . . . . . . . . . . . 371
Fig. 9.21 Joints made of precast elements . . . . . . . . . . . . . . . . . . . . . . . . . 372
Fig. 9.22 Wave plate joints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 372
Fig. 9.23 Steel sheet pile joints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
Fig. 9.24 Direct joints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
Fig. 9.25 Joins connected through steel plates . . . . . . . . . . . . . . . . . . . . . 374
Fig. 9.26 Joints connected through cutter blocks . . . . . . . . . . . . . . . . . . . 374
Fig. 9.27 Calculation diagram of soil pressure . . . . . . . . . . . . . . . . . . . . . 377
Fig. 9.28 Distribution map of soil pressure . . . . . . . . . . . . . . . . . . . . . . . . 378
Fig. 9.29 Calculation diagram of the basal heave stability . . . . . . . . . . . . 380
Fig. 9.30 Calculation diagram of the basal anti-seepage stability . . . . . . . 382
Fig. 9.31 Calculation diagram of the basal anti-confined water . . . . . . . . . 382
Fig. 9.32 Calculation diagram of the stability against overturning . . . . . . 383
Fig. 9.33 Calculation diagram of the first support . . . . . . . . . . . . . . . . . . . 386
Fig. 9.34 Calculation diagram of the second support . . . . . . . . . . . . . . . . 387
Fig. 9.35 Calculation diagram of the third support . . . . . . . . . . . . . . . . . . 387
Fig. 9.36 Calculation diagram of the fourth support . . . . . . . . . . . . . . . . . 388
Fig. 9.37 Diagram of the strut axial forces and internal forces of
retaining structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 389
xxviii List of Figures
Fig. 10.1 The lateral earth pressure graph proposed by Terzaghi and
Peck. (a) Sand; (b) Soft to medium hard clay; (c) Hard clay . . . 397
Fig. 10.2 The checking of the stability . . . . . . . . . . . . . . . . . . . . . . . . . . . 399
Fig. 10.3 Grille structure. 1––Cement–soil-mixing pile; 2––Centerline;
3––Calculated perimeter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 402
Fig. 10.4 Calculation of the uplift bearing capacity of soil nails.
1––Soil nail; 2––Surface of shotcrete . . . . . . . . . . . . . . . . . . . . 406
Fig. 10.5 Calculation drawing of the soil nailing wall . . . . . . . . . . . . . . . 407
Fig. 10.6 Checking of the integral sliding stability of soil nailing walls.
1––Soil nail; 2––Surface of shotcrete . . . . . . . . . . . . . . . . . . . . 411
Fig. 10.7 Distribution of the earth pressure . . . . . . . . . . . . . . . . . . . . . . . . 412
Fig. 10.8 Calculation diagram of the monolayer-retaining structure . . . . . 416
Fig. 10.9 Basic principle of the equivalent beam method . . . . . . . . . . . . . 417
Fig. 10.10 Calculation diagram of the equivalent beam method . . . . . . . . . 418
Fig. 10.11 The support load 1/2 sharing method. . . . . . . . . . . . . . . . . . . . . 421
Fig. 10.12 The calculation diagram of the elastic fulcrum method . . . . . . . 422
Fig. 10.13 Overall stability analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 424
Fig. 10.14 Checking of the rotational stability around the lowest anchor
point . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 425
Fig. 10.15 Calculation diagram of the anti-heave . . . . . . . . . . . . . . . . . . . . 426
Fig. 10.16 Checking of the anti-quicksand . . . . . . . . . . . . . . . . . . . . . . . . . 427
Fig. 10.17 Checking of the anti-uprush . . . . . . . . . . . . . . . . . . . . . . . . . . . . 427
Fig. 11.1 Reinforced concrete box segment . . . . . . . . . . . . . . . . . . . . . . . 442
Fig. 11.2 Reinforced concrete flat-plate segment . . . . . . . . . . . . . . . . . . . . 442
Fig. 11.3 Load calculation sketch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 446
Fig. 11.4 Calculation model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 452
Fig. 11.5 Load distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454
Fig. 11.6 Moment redistribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454
Fig. 11.7 Rotating spring model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 455
Fig. 11.8 Schematic diagram of multi-hinged ring structure . . . . . . . . . . . 456
Fig. 11.9 Rod 1–2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457
Fig. 11.10 Rod 2–3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458
Fig. 11.11 Rod 3–4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 459
Fig. 11.12 Stress and strain of the lining . . . . . . . . . . . . . . . . . . . . . . . . . . 462
Fig. 11.13 The calculation model of linings . . . . . . . . . . . . . . . . . . . . . . . . 463
Fig. 11.14 The distribution of soil layers and tunnel parameters . . . . . . . . . 467
Fig. 11.15 The internal force diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 470
Fig. 11.16 The reinforcement diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . 475
Fig. 11.18 Models for tunnel calculation . . . . . . . . . . . . . . . . . . . . . . . . . . 479
Fig. 11.19 Load-structure model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 480
Fig. 11.21 The first deformation of the lining . . . . . . . . . . . . . . . . . . . . . . . 482
List of Figures xxix
Fig. 11.22 The distribution diagram of the principal stress . . . . . . . . . . . . . 482

Fig. 11.23 The distribution diagram of the axial force . . . . . . . . . . . . . . . . 483
Fig. 11.24 The distribution diagram of the moment . . . . . . . . . . . . . . . . . . 483
Fig. 11.25 The axial force distribution diagram of springs . . . . . . . . . . . . . 484
Fig. 11.26 New calculation model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 484
Fig. 11.27 Deformation diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 485
Fig. 11.31 The axial force distribution diagram of springs . . . . . . . . . . . . . 487
Fig. 11.32 The model mesh diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 487
Fig. 11.33 The vector diagram of the deformation . . . . . . . . . . . . . . . . . . . 488
Fig. 12.1 Plane form of the open caisson. a Circular open caisson with
single dredge well; b Square open caisson with single dredge
well; c Rectangular open caisson with single dredge well;
d Square open caisson with double dredge wells;
e Round-ended open caisson with double dredge wells;
f Rectangular open caisson with multi-dredge wells . . . . . . . . . 495
Fig. 12.2 The construction steps of the open caisson structures . . . . . . . . 496
Fig. 12.3 Schematic diagram of the open caisson structure . . . . . . . . . . . . 497
Fig. 12.4 The schematic diagram of the section type of the shaft lining.
a, b Vertical shaft lining; c, d Step shaft lining; e Conical shaft
lining; f Inverted conical shaft lining . . . . . . . . . . . . . . . . . . . . . 498
Fig. 12.5 The schematic diagram of the cutting edge. a Cutting edge of
concrete; b Angle steel cutting edge (unit: m); c Cutting edge
of steel plate (unit: mm) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 499
Fig. 12.6 Types of the cutting edge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 499
Fig. 12.7 The open caisson supporting on Point 1 . . . . . . . . . . . . . . . . . . 503
Fig. 12.8 The open caisson supporting on Points 2 and 3 . . . . . . . . . . . . . 504
Fig. 12.9 The vertical internal force of the shaft lining . . . . . . . . . . . . . . . 505
Fig. 12.10 Computing model of the shaft lining . . . . . . . . . . . . . . . . . . . . . 506
Fig. 12.11 External forces acting on the cutting edge . . . . . . . . . . . . . . . . . 508
Fig. 12.12 The vertical reaction RV acting on the unit width of the cutting
edge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 509
Fig. 12.13 The soil reaction acting on the slope of the cutting edge . . . . . . 510
Fig. 12.14 The cutting edge is in the adverse situation of inward
deflection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 511
Fig. 12.15 A horizontal frame of the cutting edge of a rectangular open
caisson . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 512
xxx List of Figures
Fig. 12.16 A schematic diagram of shear calculation of the underwater

bottom concrete . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 515
Fig. 12.17 Operational principle of pneumatic caisson . . . . . . . . . . . . . . . . 517
Fig. 12.18 Composition of the main body of the caisson . . . . . . . . . . . . . . 519
Fig. 12.19 The relationship between the internal dimension of the caisson
and risers (unit: mm). Note U is the external
diameter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525
Fig. 12.20 A schematic diagram of the open caisson (unit: mm) . . . . . . . . 528
Fig. 12.21 The diagram of water pressure and active earth pressure . . . . . . 530
Fig. 12.22 The distribution of frictional resistance acting on the
shaft lining. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 531
Fig. 12.23 Position of the supporting points (unit: mm) . . . . . . . . . . . . . . . 532
Fig. 12.24 The difference of the bending moment of the shaft lining . . . . . 532
Fig. 12.25 Calculation diagram when the cutting edge bending inward
(unit: mm) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 534
Fig. 12.26 Calculation diagram when the cutting edge bending outward
(unit: mm) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 536
Fig. 12.27 Moment distribution coefficients . . . . . . . . . . . . . . . . . . . . . . . . 538
Fig. 12.28 The moment distribution diagram and moment diagram . . . . . . 539
Fig. 12.29 The reinforcement of the reinforced concrete floor
(unit: mm) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 548
Fig. 13.1 The construction procedures of the immersed tube . . . . . . . . . . 556
Fig. 13.2 The construction drawing of the immersed tube . . . . . . . . . . . . 556
Fig. 13.3 Cross section of immersed tunnel (unit: m) . . . . . . . . . . . . . . . . 558
Fig. 13.4 The settlement friction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 561
Fig. 13.5 An example of the assumption of subgrade reaction . . . . . . . . . 562
Fig. 13.6 The anti-tipping moment acting on the freeboard . . . . . . . . . . . 563
Fig. 13.7 Round, octagonal, and basket shaped section . . . . . . . . . . . . . . 563
Fig. 13.8 The outer dimension of the immersed tunnel (unit: m) . . . . . . . 565
Fig. 13.9 The cross section of Almendares tunnel . . . . . . . . . . . . . . . . . . 568
Fig. 13.10 The cross section of the underwater tunnel in Lafontaine . . . . . 569
Fig. 13.11 The rubber waterstop . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 571
Fig. 13.12 The rubber waterstop with steel flanges. 1—Steel flange
(0.7 mm) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 571
Fig. 13.13 The structures of waterproof steel plate.
1—Waterproof steel plate; 2—Seal; 3—Filler;
4—Transverse bolt; 5—Concrete cushion . . . . . . . . . . . . . . . . . 572
Fig. 13.14 Contraction cracks on the side wall of the tube section . . . . . . . 574
Fig. 13.15 Deformation joints and element joints . . . . . . . . . . . . . . . . . . . . 574
List of Figures xxxi
Fig. 13.16 The step deformation joints (unit: mm). 1—The outside of the
immersed tube; 2—The inside of the immersed tube; 3—Roll
waterproof material coating; 4—Rubber waterstop with steel
flanges; 5—Asphalt waterproofing; 6—Asphalt filler;
7—Reinforced concrete cover . . . . . . . . . . . . . . . . . . . . . . . . . . 575
Fig. 13.17 The waterproofing of the step deformation joint. 1—Tube
wall; 2—Deformation joint; 3—Rubber waterstop with steel
flanges; 4—Waterstop steel plate . . . . . . . . . . . . . . . . . . . . . . . . 576
Fig. 13.18 The rigid joint (unit: mm). 1—Rubber pad; 2—Back sealing
concrete; 3—Steel membrane; 4—Reinforcement concrete
cover; 5—Anchor bolt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 577
Fig. 13.19 The common flexible joint . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 577
Fig. 13.20 The construction drawing of the joint with GINA and
OMEGA water stopping bands . . . . . . . . . . . . . . . . . . . . . . . . . 578
Fig. 13.21 Distribution of the pressure acting on the bottom surface
of the groove . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 578
Fig. 13.22 The methods for the foundation treatment of the immersed
tube tunnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 580
Fig. 13.23 The scraping and laying machine. 1—Buoyant box; 2—Sand
and stone inlet pipe; 3—Screed board; 4—Sand-gravel
cushion; 5—Anchor block; 6—Bottom of grooves; 7—Steel
rail; 8—Mobile steel beam . . . . . . . . . . . . . . . . . . . . . . . . . . . . 580
Fig. 13.24 The prefabricated support plate . . . . . . . . . . . . . . . . . . . . . . . . . 581
Fig. 13.25 Sand-jetting method. 1—The prefabricated support plate;
2—Sand-jetting bracket; 3—Sand-jetting pipe; 4—Sand
cushion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 582
Fig. 13.26 Sack-filling method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 582
Fig. 13.27 Mortar grouting method (unit: mm) . . . . . . . . . . . . . . . . . . . . . . 583
Fig. 13.28 Sand flow method. 1—Barge; 2—Sucker mouth; 3—Buoyant
boxes; 4—Sand hole . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 583
Fig. 13.29 Sand hole. 1—Sand pipe; 2—Valve; 3—Ball valve . . . . . . . . . 584
Fig. 13.30 Displacement method with sand (unit: m). 1—Sand layer;
2—Bottom elevation of the tunnel . . . . . . . . . . . . . . . . . . . . . . . 584
Fig. 13.31 Load-transferred path for the underwater concrete.
1—Underwater concrete; 2—Pile. . . . . . . . . . . . . . . . . . . . . . . . 585
Fig. 13.32 Load-transferred path for the mortar bag. 1—Sand and stone
cushion; 2—Mortar bag . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 586
Fig. 13.33 Adjustable pile head method (unit: mm). 1—Steel-pipe pile;
2—Pile shoe; 3—Water cement slurry; 4—Adjustable pile
head; 5—Precast concrete pile; 6—Guiding pipe;
7—Polyester bag; 8—Mud-jacking pipe; 9—Control valve . . . . 587
Fig. 13.34 The divided and coupled hanging-sinking methods with
crane ships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 588
xxxii List of Figures
Fig. 13.35 The divided and coupled hanging-sinking methods

with buoys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 588
Fig. 13.36 The divided and coupled hanging-sinking methods with
buoyant boxes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 589
Fig. 13.37 Hanging-sinking method helped by steel beams fixed on
boats. 1—Positioning tower; 2—Deck barge; 3—Positioning
cable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 589
Fig. 13.38 Hanging-sinking method helped by workbench across the
tunnel line. 1—Positioning rod; 2—Pull-in jack . . . . . . . . . . . . 590
Fig. 13.39 Pulling-sinking method. 1—Pull-in jack; 2—Windlass;
3—Steel cable; 4—Ballast water . . . . . . . . . . . . . . . . . . . . . . . . 590
Fig. 13.40 The hydraulic pressure connecting method . . . . . . . . . . . . . . . . 591
Fig. 14.1 The construction schematic diagram of pipe-jacking
method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 594
Fig. 14.2 The external force on the pipe . . . . . . . . . . . . . . . . . . . . . . . . . . 596
Fig. 14.3 The relationship of H/D1-Kp. 1—Clay (dry); 2—Sand or
harden clay (moisture or saturated); 3—Plastic clay; 4—Flow
plastic clay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 598
Fig. 14.4 The stress–strain curve of the soil behind the thrust wall . . . . . 600
Fig. 14.5 The thrust wall without sheet pile . . . . . . . . . . . . . . . . . . . . . . . 602
Fig. 14.6 The thrust wall with sheet pile. . . . . . . . . . . . . . . . . . . . . . . . . . 602
Fig. 14.7 The resistance curve . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 603
Fig. 14.8 The hand-digging tool . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 603
Fig. 14.9 The crushing tool . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 604
Fig. 14.10 The muddy water balanced tool . . . . . . . . . . . . . . . . . . . . . . . . . 604
Fig. 14.11 The tool with three segments and two hinges. 1—The foot
blade; 2—Grid; 3—Floodlight; 4—Plastron; 5—Vacuum
manometer; 6—Inspection window; 7—High-pressure water
room; 8—Vertical hinge; 9—Oil cylinder of rectifying
deviation; 10—Squirt; 11—Small watertight door; 12—The
entering grid; 13—The door of drawing-in; 14—Pit; 15—The
entering of suckers; 16—Union; 17—Oil cylinder of
rectifying deviation; 18—Horizontal hinge; 19—Sucker;
20—Pneumatic valve; 21—Large watertight door;
22—Sucker valve; 23—The ring of slurry; 24—The pit of
cleaning; and 25—Pipes; 26—Air pressure . . . . . . . . . . . . . . . . 605
Fig. 14.12 The multi-cutter earth pressure balance tool. . . . . . . . . . . . . . . . 605
Fig. 14.13 The relay ring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 606
Fig. 14.14 The component of the relay ring . . . . . . . . . . . . . . . . . . . . . . . . 607
Fig. 14.15 The water pressure on the wall of the working well . . . . . . . . . 612
Fig. 14.16 The earth pressure on the wall of the working well . . . . . . . . . . 612
Fig. 14.17 The pipe-roofing method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 617
Fig. 14.18 The types of locks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 618
List of Figures xxxiii
Fig. 14.19 The calculation of pipe-roofing . . . . . . . . . . . . . . . . . . . . . . . . . 618

Fig. 14.20 The box culvert with gentle slope . . . . . . . . . . . . . . . . . . . . . . . 621
Fig. 14.21 The box culvert with steep slope . . . . . . . . . . . . . . . . . . . . . . . . 621
Fig. 14.22 Box culvert structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 622
Fig. 14.23 The distribution of the vertical earth pressure . . . . . . . . . . . . . . 623
Fig. 14.24 The lateral pressure calculated by arch . . . . . . . . . . . . . . . . . . . 625
Fig. 14.25 The internal water pressure in the free-flow box culvert . . . . . . 626
Fig. 14.26 The external hydrostatic pressure . . . . . . . . . . . . . . . . . . . . . . . . 626
Fig. 14.27 The uniform pressure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 627
Fig. 14.28 The single tunnel culvert constructed by filling . . . . . . . . . . . . . 631
Fig. 14.29 The calculation of the box culvert . . . . . . . . . . . . . . . . . . . . . . . 632
Fig. 15.1 The lining form of the tunnel structures. a Semi-lining
structures; b Straight wall and arch lining structures; c Curved
wall and arch lining structures; d Anchor-sprayed lining
structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 636
Fig. 15.2 Composite lining structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . 638
Fig. 15.3 Multi-arch lining structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . 639
Fig. 15.4 Lining section of cutting circular arch . . . . . . . . . . . . . . . . . . . . 641
Fig. 15.5 Lining section of three-centered pointed circular arch . . . . . . . . 641
Fig. 15.6 The diagram of semi-lining structures . . . . . . . . . . . . . . . . . . . . 651
Fig. 15.7 Reasonable skewback types. a Inclined skewback; b Broken
line skewback . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 651
Fig. 15.8 Calculation diagram of semi-lining structures. a Element;
b Calculation diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 652
Fig. 15.9 Calculation diagram and basic structure of symmetric
problems. a Calculation diagram; b Basic structure . . . . . . . . . . 653
Fig. 15.10 Calculation diagram and basic structure of asymmetric
problems. a Calculation diagram; b Basic structure . . . . . . . . . . 654
Fig. 15.11 Calculation diagram for internal forces of the arbitrary section
of arch rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 656
Fig. 15.12 Internal force diagram of the moment and axial force of the
semi-lining structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 657
Fig. 15.13 Calculation of the unit displacement of the skewback
section . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 657
Fig. 15.14 Calculation diagram of the unit displacement of the basic
structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 659
Fig. 15.15 Straight wall and arch lining structures. a Basic parts;
b Expanded foundation structures . . . . . . . . . . . . . . . . . . . . . . . 661
Fig. 15.16 Calculation diagram of straight wall and arch lining
structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 663
Fig. 15.17 The diagram of the side wall when it is short beam . . . . . . . . . 670
Fig. 15.18 The diagram of the side wall when it is long beam . . . . . . . . . . 672
xxxiv List of Figures
Fig. 15.19 The diagram of the side wall when it is rigid beam . . . . . . . . . . 672
Fig. 15.20 The section size of the straight wall and arch lining
structure (m) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 674
Fig. 15.21 The load structure diagram of the straight wall and arch lining
structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 678
Fig. 15.22 Corrected contour of the straight wall and arch lining
structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 696
Fig. 15.23 Moment and axial force diagram of the straight wall and arch
lining structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 696
Fig. 15.24 Assumed distribution of the elastic resistance . . . . . . . . . . . . . . 700
Fig. 15.25 Calculation diagram of the curved wall and arch lining
structure. a General diagram; b Under active loads; c Under
passive loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 701
Fig. 15.26 The internal force diagram of the structure under active loads
and passive loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 703
Fig. 15.27 Calculation diagram of the largest elastic resistance rh . . . . . . . 705
Fig. 15.28 Calculation chart for Problem 15.5 . . . . . . . . . . . . . . . . . . . . . . 707
Fig. 16.1 Anchor rod reinforcing dangerous rock at arch
top. 1—Anchor rod; 2—Fissure. . . . . . . . . . . . . . . . . . . . . . . . . 717
Fig. 16.2 Anchor rod reinforcement of the dangerous rock at
side wall . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 718
Fig. 16.3 Shotcrete local reinforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . 719
Fig. 16.4 Principle calculation of composite arch . . . . . . . . . . . . . . . . . . . 721
Fig. 16.5 Internal force calculation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 721
Fig. 16.6 Calculation of shotcrete composite arch . . . . . . . . . . . . . . . . . . . 723
Fig. 17.1 Separated dome vertical lining . . . . . . . . . . . . . . . . . . . . . . . . . . 732
Fig. 17.2 End-wall portal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 735
Fig. 17.3 Wing-wall portal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 736
Fig. 17.4 Post portal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 737
Fig. 17.5 Bench portal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 737
Fig. 17.6 Ring-frame portal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 737
Fig. 17.7 Calculation diagram of the portal wall . . . . . . . . . . . . . . . . . . . . 739
Fig. 17.8 Stability computation of the portal wall . . . . . . . . . . . . . . . . . . . 740
Fig. 17.9 Planar graph of the end wall . . . . . . . . . . . . . . . . . . . . . . . . . . . 742
Fig. 17.10 Horizontal and vertical calculated span of the end wall . . . . . . . 743
Fig. 17.11 End wall of the large-span and high-sidewall portal.
1––Longitudinal rib; 2––Horizontal rib; 3––Two-way slab;
4––Long anchor; 5––Lining. . . . . . . . . . . . . . . . . . . . . . . . . . . . 744
Fig. 17.12 Perpendicular bifurcation tunnel. a Cross; b T shaped;
c L shaped . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 745
List of Figures xxxv
Fig. 17.13 Skew bifurcation tunnel. a Bidirectional cross;

b Unidirectional cross; c Trifarious cross. . . . . . . . . . . . . . . . . . 746
Fig. 17.14 Hybrid bifurcation tunnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 746
Fig. 17.15 Radial bifurcation tunnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 746
Fig. 17.16 Joint forms. a Sidewall intersection; b Vault intersection;
c Arch intersection; d Cylindrical joint; e Reserve holes in
sidewalls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 747
Fig. 17.17 Arch rib . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 749
Fig. 17.18 Vertical shaft . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 750
Fig. 17.19 Calculation drawing of internal force . . . . . . . . . . . . . . . . . . . . . 754
Fig. 17.20 Calculation drawing of rectangular shaft . . . . . . . . . . . . . . . . . . 755
Fig. 17.21 Calculation drawing of elliptical shaft . . . . . . . . . . . . . . . . . . . . 756
Fig. 17.22 Forms of the walling crib . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 757
Fig. 17.23 Biconical walling crib . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 758
Fig. 17.24 Calculation diagram of the inclined shaft . . . . . . . . . . . . . . . . . . 761
Fig. 17.25 Inclined shaft with the foundation for steps . . . . . . . . . . . . . . . . 762
List of Tables
Table 1.1 The available underground space resources for effective

utilization in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 5
Table 1.2 Classification of the underground structures by
functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 7
Table 1.3 Classification of underground structures by buried
depth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 8
Table 1.4 The lining materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 23
Table 2.1 Reference value of shear strength index of soil
(unit of u0 is and that of c0 is kPa) . . . . . . . . . . . . . . . . .. 59
Table 3.1 Values of hyperbolic trigonometric function u . . . . . . . . . .. 95
Table 3.2 Values of hyperbolic trigonometric function u . . . . . . . . . .. 99
Table 4.1 The development stages of the underground structure
design theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
Table 4.2 The underground engineering structure design methods . . . . 120
Table 5.1 Comparison of several commonly used numerical analysis
methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156
Table 5.2 Parameters of soils and structures in the model . . . . . . . . . . 180
Table 5.3 Material parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
Table 5.4 Load form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
Table 5.5 Model parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204
Table 7.1 Load type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258
Table 7.2 Minimum thickness of concrete cover . . . . . . . . . . . . . . . . . 268
Table 7.3 Minimum reinforcement ratio (%) . . . . . . . . . . . . . . . . . . . . 269
Table 7.4 Maximum spacing of the stirrup (mm) . . . . . . . . . . . . . . . . . 270
Table 7.5 Formulas for the framework with two hinges . . . . . . . . . . . . 276
Table 8.1 Grade of the material strength . . . . . . . . . . . . . . . . . . . . . . . 302
Table 8.2 Impermeability grade of the waterproof concrete . . . . . . . . . 302
Table 8.3 Minimum thickness of the structure member
(Unit: mm) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302
Table 8.4 Minimum thickness of the protective layer . . . . . . . . . . . . . . 303
Table 8.5 Minimum reinforcement ratio of stressed steel bars for
reinforced concrete structure members . . . . . . . . . . . . . . . . . 304
xxxvii
xxxviii List of Tables
Table 8.6 The value of b . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307

Table 8.7 The value of a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307
Table 8.8 Relationship between M 2 =M 1 and l2 =l1 . . . . . . . . . . . . . . . . 310
Table 8.9 Load combination of the sidewall in wartime . . . . . . . . . . . . 311
Table 8.10 Improvement factor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314
Table 8.11 Calculated results of moment and actual reinforcement . . . . 320
Table 8.12 Actual reinforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323
Table 8.13 Internal force calculation results . . . . . . . . . . . . . . . . . . . . . . 326
Table 9.1 Physical properties of soil layers . . . . . . . . . . . . . . . . . . . . . 376
Table 10.1 Common support forms and their application
conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 392
Table 10.2 Support structure selection table . . . . . . . . . . . . . . . . . . . . . . 395
Table 10.3 Safety grade and importance coefficient . . . . . . . . . . . . . . . . 396
Table 10.4 The standard value of the ultimate bond strength . . . . . . . . . 406
Table 10.5 The foundation pit monitoring project table . . . . . . . . . . . . . 432
Table 11.1 Outer diameters of tunnels and corresponding empirical
tapers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 445
Table 11.2 Coefficient of elastic compression for strata . . . . . . . . . . . . . 448
Table 11.3 Typical methods of shield tunnels in different
countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 450
Table 11.4 Coefficient table of internal forces . . . . . . . . . . . . . . . . . . . . 453
Table 11.5 Internal forces caused by PK . . . . . . . . . . . . . . . . . . . . . . . . 454
Table 11.6 Deformation coefficients in different load conditions at the
horizontal diameter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 464
Table 11.7 The calculation result of the internal force . . . . . . . . . . . . . . 471
Table 11.8 The distribution of soil layers at the shallowest
covering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 478
Table 11.9 The material parameters of the tunnel . . . . . . . . . . . . . . . . . . 478
Table 12.1 Vertical tensile force and minimum reinforcement ratio
of the open caisson . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 505
Table 12.2 Characteristics of each member of caisson structure . . . . . . . 520
Table 12.3 Design conditions and necessary information about the
caisson structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 521
Table 12.4 The relationship between the mining area of the caisson
and the number of airlocks . . . . . . . . . . . . . . . . . . . . . . . . . . 526
Table 12.5 Standard components’ sizes of the pneumatic caisson
(unit: m) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 527
Table 12.6 Stratigraphic conditions of the open caisson . . . . . . . . . . . . . 529
Table 12.7 The moments of the horizontal shaft lining frame
(Design value) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 540
Table 12.8 The moments of the horizontal shaft lining frame (standard
value) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 541
Table 12.9 The horizontal reinforcement of the shaft lining . . . . . . . . . . 542
List of Tables xxxix
Table 12.10 The crack width of the shaft lining . . . . . . . . . . . . . . . . . . . . 544

Table 12.11 The data about the self-weight of the open caisson . . . . . . . 552
Table 13.1 Construction differences between shield method and
immersed tube method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 555
Table 13.2 Loads acting on the immersed tube structure . . . . . . . . . . . . 560
Table 14.1 The frictional coefficient between the pipe wall and
the soil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 599
Table 14.2 The coefficient of soil quality . . . . . . . . . . . . . . . . . . . . . . . . 599
Table 14.3 The coefficient of active and passive earth pressure . . . . . . . 601
Table 14.4 Mix proportion of thixotropic slurry . . . . . . . . . . . . . . . . . . . 609
Table 14.5 The relationship of particle size to the amount
of bentonite . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 609
Table 14.6 Physical and mechanical parameters of soil layers . . . . . . . . 611
Table 14.7 The Protodyakonov coefficient . . . . . . . . . . . . . . . . . . . . . . . 624
Table 15.1 The minimum thickness of the lining section (cm) . . . . . . . . 640
Table 15.2 Summary of geometry size calculation of
lining structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 642
Table 15.3 The tunnel lining materials . . . . . . . . . . . . . . . . . . . . . . . . . . 645
Table 15.4 The tunnel portal materials . . . . . . . . . . . . . . . . . . . . . . . . . . 645
Table 15.5 The width of deformation joints (mm) . . . . . . . . . . . . . . . . . 647
Table 15.6 The calculation methods of the integral tunnel
structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 649
Table 15.7 The coordinates of the arch ring . . . . . . . . . . . . . . . . . . . . . . 688
Table 15.8 The moment of the arch ring . . . . . . . . . . . . . . . . . . . . . . . . 688
Table 15.9 The axial force of the arch ring . . . . . . . . . . . . . . . . . . . . . . 688
Table 15.10 The internal force of the side wall . . . . . . . . . . . . . . . . . . . . 690
Table 15.11 Strength checking of the vault section . . . . . . . . . . . . . . . . . 691
Table 15.12 The coordinate of the arch ring . . . . . . . . . . . . . . . . . . . . . . 694
Table 15.13 The moment of the arch ring . . . . . . . . . . . . . . . . . . . . . . . . 695
Table 15.14 The axial force of the arch ring . . . . . . . . . . . . . . . . . . . . . . 695
Table 15.15 The internal force of the side wall . . . . . . . . . . . . . . . . . . . . 698
Table 15.16 The strength checking of the vault section . . . . . . . . . . . . . . 699
Table 16.1 Surrounding rock classification of highway tunnels . . . . . . . 715
Table 17.1 Materials for the wall of the portal . . . . . . . . . . . . . . . . . . . . 738
Table 17.2 Minimum section thickness of the portal wall . . . . . . . . . . . 739
Table 17.3 Design specification of the portal wall . . . . . . . . . . . . . . . . . 741
Table 17.4 Design and calculation parameters of the portal . . . . . . . . . . 742
Table 17.5 Parameters of the lining in the vertical shaft. . . . . . . . . . . . . 751
Table 17.6 Section internal force coefficients k and l . . . . . . . . . . . . . . 756
Table 17.7 Lining parameters of the transverse gallery and
the air duct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 760
Table A.1 Hyperbolic trigonometric function u1 u4 . . . . . . . . . . . . . . 764
Table A.2 Hyperbolic trigonometric function u5 u8 . . . . . . . . . . . . . . 766
xl List of Tables
Table A.3 Hyperbolic trigonometric function u9 u15 . . . . . . . . . . . . . 768

Table A.4 Coefficients of r, Q and M for the foundation beam under
uniformly distributed load. . . . . . . . . . . . . . . . . . . . . . . . . . . 769
Table A.4-1 Uniformly distributed load r . . . . . . . . . . . . . . . . . . . . . . . . 770
Table A.4-2 Uniformly distributed load Q . . . . . . . . . . . . . . . . . . . . . . . . 771
Table A.4-3 Uniformly distributed load M . . . . . . . . . . . . . . . . . . . . . . . . 772
concentrated load . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 773
Table A.5-1a t ¼ 0 concentrated load r . . . . . . . . . . . . . . . . . . . . . . . . . . . 774
Table A.5-1b t ¼ 0 concentrated load Q . . . . . . . . . . . . . . . . . . . . . . . . . . 776
Table A.5-1c t ¼ 0 concentrated load M . . . . . . . . . . . . . . . . . . . . . . . . . . 778
bending moment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 798
Table A.6-1a t ¼ 1 bending moment r . . . . . . . . . . . . . . . . . . . . . . . . . . . 799
Table A.6-1b t ¼ 1 bending moment Q . . . . . . . . . . . . . . . . . . . . . . . . . . . 801
Table A.6-1c t ¼ 1 bending moment M . . . . . . . . . . . . . . . . . . . . . . . . . . . 803
Table A.7 Variable angle h of the foundation beam under uniform
load q0 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 820
Table A.8 Variable angle h of the foundation beam under two
symmetric concentrated loads . . . . . . . . . . . . . . . . . . . . . . . . 821
Table A.8-1 t = 0 two symmetric concentrated loads P . . . . . . . . . . . . . . 822
List of Tables xli

symmetric bending moments . . . . . . . . . . . . . . . . . . . . . . . . 826
Table A.9-1 t = 0 two symmetric bending moments m . . . . . . . . . . . . . . 827
antisymmetric concentrated loads . . . . . . . . . . . . . . . . . . . . . 831
Table A.10-1 t = 0 two antisymmetric concentrated loads P . . . . . . . . . . . 832
antisymmetric bending moments . . . . . . . . . . . . . . . . . . . . . . 836
Table A.11-1 t = 0 two antisymmetric bending moments m . . . . . . . . . . . . 837
Introduction
1
1.1 Underground Space and Structures
1.1.1 Prospect of the Underground Space
The earth which human beings live on is a sphere of crust and deep mantle and
core. The crust is a thick lithosphere with surface of weathered rocks and different
thickness soil. Both rock and soil layers are entities in a natural state. The under-
ground space is formed by nature or artificial excavation. The natural underground
space can be divided into Karst caves, melting caves, wind erosion caves, and sea
caves based on the genesis. The artificial underground space includes two types.
One is the mine tunnel for developing of underground mineral deposits and the
other is the underground cavern for the construction needs. The development and
utilization of underground space have developed new living space for human
beings, which can satisfy some space requirements that cannot be realized on the
ground. Therefore, the underground space is regarded as a valuable natural
underground resource.
Human beings have never been stopping the development and utilization of
underground space. In ancient times, the natural caves have been used as the
dwelling places. Then, with the development of the technology, human beings
gradually learned to construct and use underground structures. The mausoleum,
underground granary, and underground mining cavern built in ancient China
already have a considerable technical standard and scale. Take the well-preserved
Daye old mine in Hubei, China as an example. It is regarded as the wisdom
crystallization of the working people in the Western Zhou Dynasty more than
3000 years ago. The vertical wells, inclined wells, lane, and mutual interpenetration
are in fairly high construction levels, which reflects the leading level of the
underground engineering in our ancient country. Other examples are the pyramid in
Egyptian and the Euphrates River diversion tunnel in Babylon, which indicates that
ancient humans have reached a relatively high level of underground structure
construction.
© China Architecture & Building Press and Springer Nature Singapore Pte Ltd. 2020 1
Z.-D. Cui et al., Design of Underground Structures,
https://doi.org/10.1007/978-981-13-7732-7_1
2 1 Introduction
Since the European Renaissance in the fifteenth century, the industrial revolution
and science and technology began to take the lead of the world. The development
and utilization of underground space have entered a new development period. The
widespread utilization of gunpowder in the seventh century has made it possible to
excavate tunnels in hard rock stratum, which expanded the field of development and
utilization of underground space. Countries all over the world have paid attention to
the underground structures such as the London underground tunnel built in 1613, the
Mediterranean Biscay Tunnel built in 1681, the Vietnam Tunnel built in 1843, the
world’s first Underground Railroad built in 1863 in London, the road tunnel through
Alpen, Die Mountain, France and Italy opened in 1871, Japan Seikan Tunnel
between Hokkaido and Honshu Island built in 1988, the English-French Channel
Tunnel built in 1994 and the world’s longest and deepest Gotthard Basis
Tunnel opened in Switzerland in 2016. With the increasing demand of the under-
ground engineering structure, the construction technology is constantly innovating
since the twenty-first century. Until 2017, more than 50 countries in the world
including more than 170 cities have built subways. The total line mileage is nearly
10,000 km. All kinds of underground power stations have grown rapidly. There are
more than 400 underground hydroelectric power stations in the world, generating up
to 4.5 billion watts. Moreover, a large number of underground repositories have also
been built throughout the world.
Compared to Europe, United States, and other developed countries and areas,
the development of the urban underground space in China started late. However,
the strong national power and economic needs have succeeded China into a veri-
table country of underground space development and utilization. China has become
one of the main forces to promote and lead the development and utilization of
underground space in the world. A large number of underground structures need to
be built in the construction of large-scale infrastructure in China such as the west
development, high-speed railway, expressway, large hydropower station,
south-to-north water diversion, west–east gas transmission, and other projects.
Moreover, the urban underground structures, such as subway engineering, munic-
ipal engineering, river-crossing, and sea-crossing tunnels have been also increasing
in modern urban construction.
Urban rail transit is an all-encompassing term for local rail systems, such as
metros, monorail, and trams. By the end of 2017, a total of 35 cities in China had
rail transit systems in operation as shown in Fig. 1.1. The total length of operation
line is about 5000 km including 165 urban rail transit lines, and more than 6000 km
of lines are under construction. Compared with other countries, the total length of
rail transit in China ranked first with the shortest construction process. In Beijing,
the length of urban rail transit has increased from 200 km in 2008 to more than
600 km in 2017. Its 22 lines can carry over 10 million passengers each day, which
has greatly eased the traffic pressure on Beijing, home to more than 20 million
residents.
The 55-km-long Hong Kong–Zhuhai–Macao Bridge as shown in Fig. 1.2, the
world’s longest sea bridge at present, connects Hong Kong on the east of the Pearl
River Delta with Macao and Zhuhai on the west. It costs about 120 billion yuan
1.1 Underground Space and Structures 3
Fig. 1.1 The urban rail transit in China by 2018. (https://www.transitmap.net/china-metro-

evolution)
($18.8 billion). Once operational, it will cut the journey time between Hong Kong
and Zhuhai by car from 4 h to less than 60 min. The 2.74-km-long Gongbei tunnel
in the Zhuhai Special Economic Zone in South China’s Guangdong Province is a
key part of the bridge. The tunnel, designed as a two-storey facility with six lanes,
incorporates three tunnels of different structures: open excavation on artificial
islands and land as well as underground excavation in ports. The most difficult
segment of the tunnel is the 255-m underground excavation, mainly due to soft
ground and underground water. Hence, the construction of the project combines the
curve pipe-roofing method and artificial freezing method to prevent underground
4 1 Introduction
Fig. 1.2 Hong Kong–Zhuhai–Macao Bridge. (http://cn.chinadaily.com.cn/2018-01/08/content_

35455208.htm)
water from flowing into the tunnel, marking a great breakthrough in the core
technologies of the link.
The Que’ershan Tunnel as shown in Fig. 1.3, stretching 12,997 km on National
Highway No 317, in Ganzi, Sichuan Province, opens to traffic on September 26,
2017. It is said to be the world’s highest tunnel on a highway. The tunnel, whose
highest point is 4378 meters above sea level, was completed 15 years after the
launch of the project. With the tunnel, it takes only 10 min to pass through the
perilous and steep Que’ershan Mountain that stands 6168 m above the sea level.
Fig. 1.3 Que’ershan tunnel. (http://www.sohu.com/a/305766671_100264374)

1.1 Underground Space and Structures 5
Table 1.1 The available underground space resources for effective utilization in China
Depth (m) Effective available space (m3) Available building area (m2)
2000 11.5 1014
3.83 1014
1000 5.8 1014 1.92 1014
500 2.9 1014 0.96 1014
100 0.58 1014 0.19 1014
30 0.18 1014 0.06 1014
The project is expected to become a new impetus for the economic and social
developments of the remote Tibetan regions.
As a natural underground resource that has not been fully exploited, the
underground space has great potential for development. According to the con-
struction technology and cost for maintaining human beings at present, the rea-
sonable development depth of underground space should be within 2 km. Since
some support conditions are needed in the process of excavating the underground
space, it is generally accepted that some rock mass with 1–1.5 times of the cavern
size should be retained between the two adjacent caverns. Take it as 1.5 times and
the total amount of the available underground space resources for reasonable
development within 2 km depth are 4.12 1017 m3. Furthermore, 80% of the earth
surface is occupied by oceans, forests, deserts, rivers and lakes, glaciers, and per-
manent snow. The total amount of the available underground space resources
around the world for effective utilization are 0.824 1017 m3. In China, the arable
land, urban, and rural residential area occupied about 15% of the total area of land.
According to the above calculation method, the total amount of the available
underground space resources for effective utilization within 2 km depth are
1.15 1015 m3. Assuming the average height each floor 3 m, the equivalent
building area is about 3.83 1014 m2. The available underground space resources
and building area of different exploitation depths are shown in Table 1.1.
It can be seen that the underground space resources available for effective uti-
lization are still enormous. The development and utilization of underground space
resources have been the most realistic way to solve the contradiction problem
between human development and land resources. It can be said the twenty-first
century will be a new era for human beings to develop and utilize underground space.
1.1.2 Concept of Underground Structures
The underground structures are constructed to provide some use in the underground
space with the upper stratum (mountain or soil layer). In order to develop and
utilize the underground space, the excavation of the stratum is the first step with the
requirements. Meanwhile, the excavation will change the initial stress state of the
stratum, which includes the release of the earth pressure and increasing deformation
with the time. Therefore, the permanent support lining structure must be constructed
6 1 Introduction
Fig. 1.4 Diagram of

underground structure
along with the excavation. The underground lining structure can not only bear the
loads from the earth pressure, the dead weight of the structures, the earthquake and
explosion loads but also prevent the weathering and collapse of structure and
surrounding stratum, as well as waterproof and moistureproof. In order to satisfy
the operating requirement, some internal structures such as beams, columns, and
walls need to be built inside the underground structures. So the underground
structures include the lining structures and internal structures, as shown in Fig. 1.4.
Moreover, the design and calculation of the internal structures are similar to the
ground structures.
1.2 Classification and Forms of Underground Structures
1.2.1 Classification of Underground Structures
1. Classification by geology conditions
(1) Underground structures of rock stratum
The structures are constructed in rock stratum such as tunnels through mountains.
(2) Underground structures of soil layer
The structures are constructed in soil layers such as the city subway.
(3) Underground structures of water
The structures are submerged or suspended in water.

1.2 Classification and Forms of Underground Structures 7
2. Classification by functions (Table 1.2).

3. Classification by contact with ground structures
(1) Attached underground structures
The basement part of the ground structure is called the attached underground
structure. In order to coordinate with the form of the ground structure, the periphery
structure of the attached underground structures often adopts the underground
continuous wall or sheet piles. The internal structures can adopt the frame structure,
the beam–slab structure or girderless floor structure forms. Moreover, the basement
part is also the box foundation of the high buildings.
(2) Single building structure
The single underground structure is constructed in the stratum independently and

less related to other ground structures. Since the structure plane is usually square or
rectangular, the beam–slab structure form is often adopted when the top roof is
flattened. In order to save material, the top can be arch form such as the straight wall
and arch lining structure in the underground civil air defense shelters. If the
structure plane is a strip such as the subway and other large or medium structures,
the rectangular frame structure form is often adopted.
4. Classification by buried depth
The classification of underground structures by buried depth is summarized in

Table 1.3.
5. Classification by support forms
(1) Protective support
The protective support structures cannot prevent the deformation or bear the loads
of the surrounding rocks. Instead, the aim of the protective support structures is to
Table 1.2 Classification of the underground structures by functions
Serial Application Functions
no.
1 Industry and civil use Underground houses and industrial buildings
2 Commercial use Underground commercial, playground, library, etc.
3 Transportation Tunnel, subway, underground parking, etc.
4 Water conservancy and Water conveyance tunnels of power station and agriculture
hydropower drainage tunnel
5 Municipal engineering Water supply, sewage, pipeline, landfill, etc.
6 Underground storage Storage of food, underground cold, oil, and nuclear waste
7 Civil air defense and Civil air defense fortifications, military command posts,
military underground arsenals, underground hospitals, etc.
8 Mining tunnel Mine transportation roadway and mining roadway
9 Others Other special underground buildings
8 1 Introduction
Table 1.3 Classification of underground structures by buried depth

Types Depth range (m)
Small Medium Large transportation Mining
structures structures structures structures
Shallow-buried 0–2 0–10 0–10 0–100
Medium-buried 2–4 10–30 10–50 100–1000
Deep-buried >4 >30 >50 >1000
prevent further deterioration or destabilization of the surrounding rocks by

enclosing the rock surface. It is the lightest excavation support that is usually
constructed with sprayed cement mortar, sprayed concrete, and local anchor rod.
(2) Structural support
In order to satisfy the requirements of construction and structures and prevent the
local fall-block, collapse, and even global instability of the surrounding rocks, the
sprayed concrete, anchor rod, mesh reinforcement, and molded concrete are often
used in the structural support lining structures.
(3) Bearing support
In the bearing support lining structures, the requirements of the surrounding rocks,
the service load, the structure load, and other loads should be satisfied to guarantee
the stability of surrounding rock and lining structures.
6. Classification by section forms
The underground structures can be divided into the following types as shown in
Fig. 1.5 according to the section forms of the structures.
1.2.2 Forms of Underground Structures
The forms of the underground structure are determined according to the usage
requirement of the engineering, the geology, and construction conditions. When the
structure is a closed space form with width within 10 m, it is usually known as cavern,
when the width is between 10 and 35 m, it is called underground hall, and it is called
underground square when the width is greater than 35 m. Similarly, when the under-
ground structure is vertical perpendicular to the stratum (the inclination angle a ¼ 90 ),
Fig. 1.5 The forms of underground structures. a Rectangular; b Trapezoid; c Straight wall and
arch ring; d Curved wall and arch ring; e Inverted arch; f Circular; g Polygon
it is known as the shaft, and when inclination angle a [ 45 , it is called inclined shaft.
When the length of the underground structure is much larger than its width and height,
it is called tunnel for connecting two positions. The underground structure forms are
originally restricted by the operating requirement. For example, the underground
pedestrian passageway can be rectangular or arch structure with single span. Since the
surrounding rock pressure is directly related to the geology conditions, the circular
section form is preferred if the geology condition is poor. In addition, the structural
forms should also adapt to the construction method such as the prefabricated structure
in shield method, the cast-in-place anchor-sprayed lining structure in mining method.
According to the differences in geology conditions, the underground structure forms
can be divided into two kinds of soil layers and rock stratum.
1. Underground structures of soil layers
(1) Shallow-buried structure
The thickness of the covering soil on the shallow-buried structure is generally only
5–10 m. The shallow-buried structure as shown in Fig. 1.6 is usually constructed
with open-cut and backfill method with plane of square or rectangular. The beam–
slab structure form is often adopted when the top roof is flattened. Moreover, the
single-span or multiple-span structures with plane of strips are often used in the
underground command posts. In order to save material, the top can be arch form
such as the straight wall and arch lining structure in the underground civil air
defense shelters.
(2) Attached underground structure
The attached underground structure as shown in Fig. 1.7 is usually the basement
part of the ground structure, which includes the outer bearing wall, the inner wall
(or column), the top, and bottom of slab or beam–slab forms.
(3) Open caisson structure
The open caisson structure is an open wellbore-like structure with horizontal section
of square or circular as shown in Fig. 1.8. Based on its own dead weight, the
structure is sinking in place. The excavation is at the bottom and drainage on the top
Fig. 1.6 Shallow-buried

structure
10 1 Introduction
Fig. 1.7 Attached

of open caisson structure. After the excavation, the bottom and cover are closed
sequentially.
(4) Underground continuous wall structure
The construction process of the underground continuous wall structure is shown in

Fig. 1.9. The excavation and construction of the bottom, top, and internal structures
are conducted under the enclosure of the underground continuous walls.
Fig. 1.8 Open caisson

structure
Fig. 1.9 Construction process of underground continuous wall structure
(5) Subway shield tunnel structure
The shield method is suitable for underground structures above medium-buried

depth. The section forms of the prefabricated lining structure can be circular,
square, semicircle, oval, double circle, and three circle, in which the circular is the
most commonly used as shown in Fig. 1.10.
(6) Immersed tube structure
The immersed tube structure as shown in Fig. 1.11 is suitable for the construction
of the river-crossing pipelines and railway tunnels. The precast pipe sections with
both ends of temporary sealing walls are hauled to the predetermined water, sunk
into the pre-excavated ditch or the riverbed, and then connected as a whole.
(7) Foundation pit retaining structure
The foundation pit is an open underground space that is excavated for the con-
struction. As shown in Fig. 1.12, the foundation pit retaining structures are vertical
temporary retaining wall structures that are set around the foundation pit to bear the
water and earth pressure mainly caused by the excavation unloading.
Fig. 1.10 Subway

shield tunnel structure
12 1 Introduction
Fig. 1.11 Immersed

structure
Fig. 1.12 Foundation pit

retaining structure
(8) Pipe-jacking structure
The pipe-jacking structure is placed in the underground layers with a jack as shown
in Fig. 1.13. It is often used in the areas where the urban pipelines are deep buried,
the traffic route is close near, and the displacement and groundwater are strictly
restricted. The section form of the pipe-jacking structure is usually circu-
lar. Moreover, the rectangular or multi-span box structure can also be used.
2. Underground structures of rock stratum
The underground structure forms of rock stratum mainly include the straight wall
and arch lining structure, the curved wall and arch lining structure, and the circular
arch lining structure. Moreover, there are also several other forms such as the
anchor-sprayed lining structure, the dome structure, and the composite lining
structure. The arch ring lining structure is the most commonly used structure form
due to its following advantages.
Fig. 1.13 Pipe-jacking
structure
(1) The load of underground structures which is mainly in the vertical direction is
larger than that of the ground structures. Therefore, the mechanical behavior of
the arch structure is superior to that of the flattened top structure. For example,
the moment of the arch ring lining structure is smaller under the vertical load.
(2) The inner contour of the arch ring lining structure is relatively smooth. The
operating requirement of underground structure can be satisfied as long as the
proper adjustment of the arch curvature. Moreover, the arch ring lining
structure is superior than the circular structure with more convenient con-
struction arrangement and less clearance waste.
(3) Since the arch ring is mainly used to bear the loads, it is suitable to select the
construction materials with poor tensile and good compressive properties such
as the brick, stone, and concrete which are usually low cost, durable, and easy
to maintain.
There are several commonly used structure forms in the rock stratum such as the
arch ring lining structure, the anchor-sprayed lining structure, and the dome
structure.
(1) Semi-lining structure
The semi-lining structure as shown in Fig. 1.14 is often used in the stable or
basically stable hard rock stratum. When there is no joint development of the
surrounding rocks, the caverns can only be reinforced with top lining, not con-
sidering the sidewall.
(2) On-wall lining structure
The overbreak between the lining structure and the surrounding rock should be
tightly backfilled in the on-wall lining structure. According to the rock conditions, it
can be divided into the thick-arch and thin wall lining structure, the straight wall
and arch lining structure and the curved wall and arch lining structure as shown in
Fig. 1.15a, b, and c, respectively.
In the thick-arch and thin wall lining structure, most of the force from the vault
passes to the rock through skewbacks, which can greatly reduce the force on the
Fig. 1.14 Semi-lining

structure
14 1 Introduction
Fig. 1.15 On-wall lining structure. a Thick-arch and thin wall lining structure; b Straight wall
and arch lining structure; c Curved wall and arch lining structure
sidewall and diminish the thickness of the sidewall. The straight wall and arch
lining structure mainly consists of the arch ring, the sidewall, and the bottom three
parts. The overbreak between the lining structure and the surrounding rock should
be tightly backfilled. It is widely used in the tunnel portal structures or in the
unstable rock stratum with horizontal pressure. If there is larger vertical and hori-
zontal pressure of the underground structure, the curved wall and arch lining
structure can be adopted. When the rock stratum is poor at the cavern bottom or
there is water inflow or swelling rock stratum, the curved wall and arch lining
structure with inverted arch bottom should be used.
(3) Off-wall lining structure
As shown in Fig. 1.16, the overbreak between the lining structure and the sur-
rounding rock is not backfilled in the off-wall lining structure. It is used in the stable
or basically stable surrounding rocks and only the arch ring skewback is connected
to the rock stratum. Since the off-wall lining structure has better waterproof, drai-
nage and moistureproof behaviors, it is generally used in the storage structures with
higher moistureproof requirements.
Fig. 1.16 Off-wall lining

structure
Fig. 1.17 Anchor-sprayed

lining structure
(4) Anchor-sprayed lining structure
In the construction of the underground structures, the sprayed concrete, sprayed

concrete with steel wire mesh, sprayed concrete with anchor rod, or sprayed con-
crete with anchor rod and steel wire mesh can be used to reinforce the surrounding
rocks. These reinforcements are known as the anchor-sprayed support as shown in
Fig. 1.17. The anchor-sprayed lining support can be temporary support or perma-
nent lining structure. It is widely used in the highways, railways, mines, municipal,
hydropower, and national defense fortifications.
(5) Dome structure
The dome structure is a circular thin wall spatial structure as shown in Fig. 1.18.
The spherical cap and the wall can be connected as a whole or separated. Though
the construction of the dome structure is complicated, the mechanical behavior is
good. It is widely used as the underground oil tank and underground return yard
lining structure in the rock stratum with stable sidewall or little horizontal pressure.
Fig. 1.18 Dome structure

16 1 Introduction
Fig. 1.19 Multi-arch lining structure
(6) Multi-arch lining structure
The multi-arch lining structure as shown in Fig. 1.19 is mainly used in the medium
and short tunnels with narrow terrain spacing requirements between the two tun-
nels. According to the forms of middle wall structure, it can be divided into the
integral and composite middle wall structure types.
(7) Composite lining structure
The composite lining structures consist of primary support and secondary lining.
The waterproof layer as shown in Fig. 1.20 is added between the primary support
and secondary lining when the waterproof requirement is high. It is generally
accepted that the function of the composite lining structures is to reinforce and
stabilize the surrounding rock and make full use of its self-bearing capacity.
Therefore, the composite lining structures allow a certain deformation of the sur-
rounding rock, which can reduce the thickness of the lining structures.
Fig. 1.20 Composite lining

structure
1.3 Characteristics of Underground Structures 17
1.3 Characteristics of Underground Structures
1.3.1 Engineering Characteristics of Underground Structures
The actual construction of underground structure is extremely complicated. It is not

only related to structure forms, section sizes, and lining materials, but also to the
engineering geology and hydrogeology and construction methods. Therefore, it is
difficult to strictly calculate the internal force of the underground structure based on
the actual conditions. In order to analyze the internal force of the structure, a
simplified model of the structure is obtained according to the main factors of the
stress and deformation of the structures. The simplified model of the structure is
called the calculation diagram which can reflect the actual operating state of the
structures.
Since the underground structure is constructed in the stratum, both the con-
struction process and late operating are affected by the stress, the deformation, and
the vibration of the stratum, which are closely related to the geology conditions.
There are great differences between the underground and ground structures. If the
design theory and method of the ground structures are used to solve the under-
ground structure problems, it is obvious that some mechanical phenomena cannot
be correctly explained. Therefore, the design of the support lining structure cannot
be reasonable and reliable.
The location, the form, and the construction of the underground structures must
consider the geology conditions. In addition, the design of the underground
structures is based on the limited rough data from prior geology investigation. It is
necessary to obtain more detailed geology conditions in the construction process.
Therefore, there is generally a special pattern in the design and construction of
underground structures. That is, design ! construction and monitoring ! infor-
mation feedback ! design modification ! construction modification or rein-
forcement ! monitoring after the construction. According to the engineering
experience of the various existed underground structures, the engineering charac-
teristics of the underground structures include the following eight aspects.
(1) Since the original stratum space is replaced by the underground structures, the
load of the original stratum is also borne by the structures. In the design and
construction process of the underground structures, the self-bearing capacity
of the stratum should be made full use to control the deformation of the
underground structures and reduce the engineering cost.
(2) The stratum load on the underground structures is varied with the construction
process. The design should consider the worst load conditions.
(3) The stratum load on the underground structures should be determined by the
geology conditions of the stratum. In the soil layer, it can be calculated as the
loose continuum. In the rock stratum, the structure, the texture, the joints, and
the fissures of the rock mass should be identified first. Then, it can be cal-
culated as continuum or discontinuum.
18 1 Introduction
(4) The state of the groundwater has a great influence on the design and con-
struction of underground structures. The distribution and variation of the
groundwater should be clarified before design, such as the hydrostatic pres-
sure, the hydrodynamic pressure, the flow direction, and the corrosion of the of
groundwater on the structures.
(5) The stress conditions of the underground structure from the beginning con-
struction to the normal use and the long-term operation should be considered
in the design process. The reaction force from the surrounding stratum on the
structures should be made reasonable use to save construction costs.
(6) The geology condition obtained in the prior design process may be different
from that in the actual construction. Therefore, the design should be modified
dynamically according to the actual construction.
(7) The surrounding rock of underground structure is not only the source of loads,
but also part of the bearing system for the structures in some cases.
(8) When the underground structure is buried deep enough, the vertical pressure
of the surrounding rock on the structure is always less than the deadweight of
the overlying stratum due to the arching effect. The loads on underground
structures are related to many natural and engineering factors. It is difficult to
quantify the loads due to the randomness and obvious time-space effect.
1.3.2 Design Features of Underground Structures
Compared with the design methods of ground structures, the design features of the
underground structures are summarized in the following several aspects:
1. Foundation design
(1) The rebound and compressibility stress–strain behaviors of soil should be
considered in the settlement calculation of deep foundations.
(2) The anti-floating problem of foundation bottoms should be considered in the
underground engineering in high water level areas.
(3) The design of thick foundations such as the raft foundation should be based on
the load of structures, the superstructures, and the performance of the strata.
The thickness and reinforcement of the foundations should be determined
according to the collaborative work methods of the superstructures and the
foundations.
2. Design of the wallboard structures
The design of the wallboard in the underground structures is much more compli-
cated than that of the ground structures. The loads considered on the wallboard of
the underground structures include the vertical load (permanent load and various
live loads), horizontal load (earth pressure, water pressure and earthquake load
1.3 Characteristics of Underground Structures 19
when and after constructing), and internal force of deformation (temperature stress
and expansion stress). The design of the wallboard structures should consider the
worst combination and boundary conditions according to different construction and
the final use stages.
3. Design of open-cut and mined underground structures
The precast reinforced concrete parts or the cast-in-place reinforced concrete

structures can be used in the open-cut structures, while the cast-in-place concrete
arch structures are often adopted in the mined underground structures.
4. Setting of the deformation joints
Waterproof is the biggest problem of setting deformation joints in underground

structures. So, the deformation joints are generally avoided as far as possible though
the uneven deformation of the lining structures may be induced by the uneven
loads. In design of the underground structures, the settlement joints are also avoided
as far as possible. Instead, for the foundation with local reinforcement or larger
stiffness, the increase of local foundation loads or settlement and the construction of
sequence adjustment are usually adopted to keep the overall balance and make the
settlement consistent.
Since the variation of the environmental temperature of the underground
structure is smaller than that of the ground structure, the distance between the
temperature expansion joints can be widened. In addition, some structural measures
can be adopted to control the temperature deformation and fracture, avoiding the
waterproof problems of deformation joints.
5. Other special requirements
The design of underground structures should also consider the waterproof, erosion
resistance, fire prevention, mildewproof, and other special requirements.
1.4 Design Program and Contents of Underground

Structures
In the construction of the underground structure, the investigation, design, and

construction must conform to the basic construction procedures. The design of the
underground engineering can be divided into process design, planning design,
architectural design, protection design, structure design, and equipment design. The
structure design is an important part of the underground engineering, which can be
divided into preliminary design and technical design two stages.
20 1 Introduction
1.4.1 Design Program
1. Preliminary design
The aims of the preliminary design are to solve the problems in the technical
feasibility and economic rationality of the design scheme and propose the invest-
ment, materials, construction, and other indicators. Based on the operating
requirements, the preliminary design of the underground structure includes the
following contents.
(1) Determination of the engineering protection grade, “three defense” require-

ment and standard of static and dynamic loads.
(2) Determination of the buried depth and construction methods.
(3) Preliminary design of the loads.
(4) Selection of the construction materials.
(5) Selection of the structure forms and arrangements.
(6) Estimation the size of the structure span, height, thickness of top, bottom, and
sidewall.
(7) The diagram of the preliminary structure design.
(8) Estimation of the engineering material quantity and finance.
The structure forms and main sizes are generally selected by the engineering
analogy. The data can be obtained based on the experiences and lessons of similar
construction engineering. The internal force can also be calculated by looking up
tables or similar methods if necessary. The reinforcements can be determined initially
according to the economically reasonable steel ratios. Only the preliminary design
drawings of the underground structure attached with the instructions are approved by
the departments concerned, the next technical design can be conducted.
2. Technical design
The aim of the technical design is to solve the problems related to the structure
strength, stiffness, stability, seismic and crack resistance, and provide the size and
connection details of the structural components in the construction. It mainly
includes the following seven aspects.
(1) Loads calculation
The loads of the structure, which include the static load, the dynamic load, the live
load, and other load, are calculated according to the stratum category, the usage, the
protection grade, the earthquake level, and the buried depth.
(2) Calculation diagram
The calculation diagram is drawn according to the realistic conditions of the

structures and calculation tools.
1.4 Design Program and Contents of Underground Structures 21
(3) Internal force analysis
The internal force of the structure section is obtained with reasonable calculation
methods for the structure internal force.
(4) Internal force combination
Based on the calculation of internal force under different loads, consider the worst
combination and obtain the largest internal force of each control section for design.
(5) Reinforcement design
The design of the stress bars is obtained by the calculation of the section strength
and crack of the structures, especially the distributing and erect steel bars.
(6) Structural working drawing
The structural working drawing includes the structural planar drawings, the rein-
forcement drawings, the joint details, and embedded parts drawings for wind, water,
electricity, and other internal equipments.
(7) Materials, engineering quantity, and engineering financial budget.
1.4.2 Design Contents
The design of underground structure should be advanced in technology, reasonable

in economy, and safe applicable. The main design contents of the underground
structure include the design of transverse structures, longitudinal structures, exits,
and entrances.
1. Design of transverse structures
In general, the structure is longer in the longitudinal direction and the section along
the longitudinal is usually the same. So it can be assumed that the load along the
longitudinal direction is uniform in a certain section. The force of the structure is
transferred along the lateral direction since the lateral size is not large compared
with the longitudinal size of the structure. The spatial structure can be simplified as
the plane strain problem of unit linear meter along the longitudinal direction for
calculation.
The design of transverse structure mainly includes the load determination, the
calculation diagram, the internal force analysis, the section design, and construction
drawing.
22 1 Introduction
2. Design of longitudinal structures
The section size and reinforcement of the structure will be obtained in the design of
transverse structures. However, the details of the reinforcement need to be deter-
mined by the design of longitudinal structures, such as the steel ratios, the seg-
ments, and the length of the reinforcement in the longitudinal direction. The
calculation of the longitudinal structures needs to be conducted to check the internal
force and settlement of structure in the longitudinal directions and determine the
position of the settlement joints especially in the soft soil foundations and poor
geology conditions such as the active faults and ground fissures.
The engineering practice shows that when the tunnel is too long or the con-
struction maintenance is not enough, the concrete will be greatly damaged. Coupled
with the change of temperature near the tunnel portal, there will be circumferential
cracks along the longitudinal direction, which may result in seepage of the
underground structures. In order to guarantee the normal usage of the underground
structure, the expansion joints must be set along the longitudinal direction. The
settlement joints and expansion joints are all known as the deformation joints.
It can be seen from the existing underground engineering accidents that most of
the accidents are caused by the ill-considered cracks in the design of longitudinal
structures. So it should be fully considered in the design and construction process.
3. Design of exits and entrances
In general, the exits and entrances of the underground structures are small in size
but various in forms such as the ramp, shaft, inclined shaft, staircase, and elevator.
Moreover, there are dust-cleaning facilities and protective closed doors in the portal
of the civil air defense shelters. On the usage aspect, whether peacetime or wartime,
the exits and entrances of the underground structures are the key parts which need
to be paid more attention. The bearing capacity of the exits and entrances should
match the main structures.
1.4.3 Principle of Calculation
1. Usage of codes
There are many kinds of codes, technical measures, and regulations in the design of
the underground structures at present. Some even use the design codes of the
ground structures. The design should comply with the mandatory provisions of
related codes.
2. Design standard
(1) The loads of the underground structures should be determined according to the
applications, the protection levels, the earthquake grades, and so on. In
addition, all of the underground structures should withstand the static loads of
normal use.
1.4 Design Program and Contents of Underground Structures 23
Table 1.4 The lining materials

Materials Cast-in-place concrete Precast reinforced concrete Brick Cement mortar
Strength C15 C20 Mu7.5 M5
(2) The strength grade of the underground lining materials should not be lower
than that of Table 1.4 required.
The steel materials are generally of RPB235 and RHB335 class. The integral
engineering structures with local anti-gun or bomb layers should use concrete over
C30 level.
(3) Since the underground lining structures are generally statically indeterminate
structures, the internal force is the calculated by the structural mechanic
method in the elastic stage. When the blast load is considered, the redistri-
bution of internal force caused by plastic deformation is allowed.
(4) Principle of the section calculation
The section of the structure should be calculated according to the principle of

reliability, which generally includes the checking of the strength, the crack (crack
resistance or width), and the deformation. For the concrete and masonry structures,
only the strength calculation is need and the stability checking is optional if
necessary.
Besides the strength calculation, the checking of crack width is generally needed
when it is the reinforced concrete structure under the static loads. The crack width
should be less than 0.10–0.20 mm according to the importance of the structures.
But the permeable crack is not allowed. For more important structures, the crack is
not allowed and the checking of the crack resistance is needed.
Only the strength calculation is need when the reinforced concrete structure is
under explosion dynamic loads because that the structure is allowed cracks but no
collapse in explosion cases.
(5) Material strength index
Generally, the material strength index should conform to the specified values in the
codes for industrial and civil structures. The specialized codes for the water con-
servancy, transportation, and civil air defense and national defense should also be
considered in different cases. It is generally accepted that the material strength
should be improved when the structure is under the dynamic loads.
3. Calculation theory
(1) Calculation theory
The calculation theory of the underground structures is mainly based on the local
deformation theory with Winkler’s assumption and common deformation theory of
elasticity.
24 1 Introduction
Fig. 1.21 Elastic resistance of the stratum
The most obvious difference between underground and ground structures is that
the underground structure is surrounded by soil layers. The lining structures will
produce deformation under the active loads. Since the underground structure is close
contacting with stratum, the structures will be subjected to the reaction force from the
stratum, which is known as the elastic resistance as shown in Fig. 1.21. The value and
distribution of the passive elastic resistance are related to the deformation of the
lining structures. Different from other active loads, the elastic resistance restricts the
deformation and improves the stress conditions of the structures.
The elastic resistance of arch ring and circular structures is remarkable, while it
is small and often neglected for rectangular structures in the soft soil. Whether or
how the elastic resistance is considered, the calculation should be based on the
stratum conditions and structure forms.
(2) Calculation methods
The calculation methods of underground structures of soil layer include the general
structural mechanics method, the elastic foundation beam method, and the matrix
analysis method. Moreover, the finite element method of continuum mechanics has
been developed to calculate the internal force of the structure and stratum, along
with the elastoplastic, nonlinear, and viscoelastic methods. In recent urban con-
structions, more and more complex structures such as the deep foundation pit
become the key of engineering projects. Multiple disciplines such as the soil
mechanics, foundation engineering, structural mechanics, and in-situ testing tech-
nology are involved together. Indeed, there will be more realistic calculation
methods with the development of science and technology.
1.5 Summary
(1) The underground structure is constructed to provide some use in the under-
ground space with the upper stratum (mountain or soil layer). There are load
bearing and enclosure protection two functions of the underground structure. It
can be classified according to the geology conditions, use functions, burial
depth, support forms, contact with the ground structures, and section forms.
1.5 Summary 25
(2) The forms of the underground structures are determined according to the usage
requirements of the engineering, the geology, and construction conditions. The
commonly used lining structures include shallow-buried structure, attached
underground structure, open caisson structure, underground continuous wall
structure, shield tunnel structure, immersed structure, foundation pit retaining
structure, pipe-jacking structure, semi-lining structure, on-wall lining struc-
ture, off-wall lining structure, anchor-sprayed lining structure, dome structure,
composite lining structure, and multi-arch lining structure.
(3) The main design contents of the underground structures include the design of
transverse structures, longitudinal structures, exits, and entrances.
Problems
1:1 Briefly describe the concept and characteristics of underground structure.

1:2 Briefly describe the classification and forms of the underground structures.
1:3 Briefly describe the differences between the underground and ground
structures.
1:4 Briefly describe the design program and contents of the underground
structures.
Loads of Underground Structures
2
The loads on underground structures are complex and the determination method is
not perfect enough, which should be studied further. The load action mechanism
of underground structures is different from that of the structures on the ground or
in the air. Underground structures are buried underground and their loads come
from the stratum itself. The strata pressure acting on the underground structures is
complex, which is related to many factors, such as the duration between exca-
vation and support, mechanical properties of rock and soil, the original strata
pressure, the excavation size, the groundwater level, and the construction
methods.
2.1 Load Type, Combination, and Determining Method
2.1.1 Load Type
Underground structures are subjected to various loads during the construction and
use. The use function of underground structures is also realized in the process of
bearing various loads. Design of underground structures is based on the load and
load combination, through scientific and reasonable structure form, using a certain
amount of material, so that the structure can meet the reliability requirements within
the specified design reference period and under the specified conditions, that is, to
ensure the safety, applicability, and durability of the structure. Therefore, for the
design of underground structures, it is necessary to accurately determine the various
actions loaded on structures. Concentrated and distributed forces imposed on
structures (direct action) and the causes resulting in the deformation of structures
(indirect action) are collectively called actions.
The loads acting on underground structures can be classified into static load,
dynamic load, and live load according to their existing state.
https://doi.org/10.1007/978-981-13-7732-7_2
28 2 Loads of Underground Structures
1. Static load
Static load is also called dead load, which refers to the long-term load on the
structure. Its size, direction, and action point remain unchanged, such as the weight
of the structure itself, the earth pressure, and the groundwater pressure.
2. Dynamic load
For underground structures with a certain protective capability, the explosive shock
wave pressure load of atomic weapons and conventional weapons (bombs, rockets)
should be considered, which is the instantaneous dynamic load. When designing
underground structures in seismic fortified areas, the dynamic loads under seismic
waves should be calculated according to different types. The shield tunnel bears the
dynamic load of the subway for a long time during its operation.
3. Living load
Living load refers to the variable load that may exist during the construction and use
of structures, and its size and position may change, such as floor load (weight of
crowd, objects, and equipment), crane load, rockfall load, the loads of deposits and
vehicles near the ground on the underground structure, and temporary loads in the
construction and installation process.
4. Other loads
Among the various factors that cause internal force and deformation of structures,
besides the above main loads, there are usually internal forces caused by restraint of
shrinkage of concrete materials (including early concrete shrinkage and later drying),
the internal force of underground structures caused by the temperature changing,
such as shallow-buried structures affected by soil temperature gradient, the tem-
perature rising of hydration heat during concrete pouring and the temperature
dropping in the heat dissipation stage, and the internal force caused by the uneven
settlement of the structure with different stiffness on the soft foundation.
The influence of material shrinkage, temperature change, structural settlement,
and fabrication errors of assembled structures on the internal force of the structure is
complex, and it is often difficult to calculate accurately. Generally, it is solved by
increasing the safety factor and taking measures for construction. The factors
mentioned above are not taken into account when calculating the internal forces of
structures for small- and medium-sized projects, but for large structures these
factors should be estimated.
2.1.2 Load Combination
These kinds of loads may not act on the structure at the same time, so the most
disadvantageous combination is needed. First, the internal forces of each component
2.1 Load Type, Combination, and Determining Method 29
section under individual loads are calculated, and then the most disadvantageous
combination of internal forces is carried out to obtain the maximum internal forces of
each design control section. The most disadvantageous load combination generally
has three situations: (1) static load; (2) combination of static load and living load;
(3) combination of static load and dynamic load, which includes dynamic load of
atomic explosion and gun (explosion) projectile. When considering the dynamic
load, some buildings on the ground may be blown down by the shock wave. Whether
the collapse load of the buildings should be considered in the calculation of the
structure should be determined according to the relevant regulations.
2.1.3 Load Determination Method
Load determination is generally determined according to the codes and design

standards used.
1. Usage of codes
There are many kinds of codes, technical measures, and regulations in the design of
the underground structures at present. Some even use the design codes of the
ground structures. The design should comply with the mandatory provisions of
related codes.
2. Design standard
(1) The loads of the underground structures should be determined according to the
applications, the protection level, the earthquake grade, and so on. In addition,
all of the underground structures should withstand the static loads of normal use.
(2) The selection of structural materials for underground structures should gen-
erally meet the requirements of codes and engineering practice.
(3) Since the underground lining structures are generally statically indeterminate
structures, the internal force is calculated by the structural mechanic method in
the elastic stage. When the blast load is considered, the redistribution of
internal force caused by plastic deformation is allowed.
(4) Principle of section calculation.
The section of the structure should be calculated according to the principle of relia-
bility, which generally includes the checking of the strength, the crack (crack resis-
tance or width), and the deformation. For the concrete and masonry structures, only
the strength calculation is need and the stability checking is optional if necessary.
Besides the strength calculation, the checking of crack width is generally needed
when the reinforced concrete structure is under the static loads. The crack width
should be less than 0.10–0.20 mm according to the importance of the structures.
But the permeable crack is not allowed. For more important structures, the crack is
not allowed and the checking of the crack resistance is needed.
Only the strength calculation is needed when the reinforced concrete structure is
under explosion dynamic loads because the structure is allowed cracks but no
collapse in the explosion case.
(5) Safety factor
The safety factor of the structure under static load can be determined by relevant
codes.
For underground structures, if the construction conditions are poor and the
quality and load variations are not easy to be guaranteed, additional safety factor 1.1
should be considered for concrete and reinforced concrete structures.
The safety factor of crack resistance under static load is not less than 1.25, which
can be improved depending on the importance of the project.
Under the action of explosive load, the safety factor of the structure can be
reduced appropriately in order to make the structure design economical and the
reinforcement reasonable, because the explosion time is short and the load is large.
(6) Material strength index
Generally, the material strength index should conform to the specified values in the
codes for industrial and civil structures. The specialized codes for the water con-
servancy, transportation, and civil air defense and national defense should also be
considered in different cases. It is generally accepted that the material strength
should be improved when the structure is under the dynamic loads.
2.2 Computation of Rock and Soil Pressure
The determination of load is a prerequisite for the calculation of Engineering

Structures. The loads on underground structures include structural self-weight, strata
pressure, elastic resistance, groundwater hydrostatic pressure, vehicle and equipment
weight, and other service loads. For the underground structure which serves as the
foundation of the superstructure, the vertical load from the superstructure is also the
main load that must be considered. In addition, it may be subjected to some additional
loads, such as grouting pressure, local rock fall load, construction load, temperature
change, or temperature stress and shrinkage stress caused by concrete shrinkage.
Sometimes special occasional loads, such as earthquake or explosion, need to be
considered. Some of these loads have great influence on the design and calculation of
underground structures, such as the weight of the superstructure, but the calculation
method is simple and clear. Although the analysis and calculation of some loads, such
as temperature and shrinkage stress, are complex, they do not control the safety of
underground structures. Although the self-weight of the structure itself must be
calculated, the calculation of the self-weight of the equal straight members, such as
walls, beams, plates, and columns, is simple. When the arch ring structure is of equal
or variable cross section, the calculation is slightly complicated. A brief introduction
will be given later.
2.2 Computation of Rock and Soil Pressure 31
The strata pressure including earth pressure and surrounding rock pressure is a
critical load for most underground projects. One reason is that the strata pressure
often becomes the controlling factor for the design and calculation of underground
structures; the other is that the complexity and uncertainty for the calculation of the
strata pressure which makes geotechnical engineers not dare to take it lightly. The
strata pressure acting on underground structures includes vertical pressure and
horizontal pressure.
2.2.1 Calculation of Earth Pressure
Earth pressure is the result of interaction between soil and retaining structure, which
is closely related to the displacement of structure. Taking the retaining wall as an
example, the earth pressure acting on the back of retaining wall can be divided into
static earth pressure, active earth pressure (often referred to as earth pressure), and
passive earth pressure (often referred to as earth resistance). Among them, the
active earth pressure is the smallest and the passive earth pressure is the largest. The
static earth pressure is between them. The relationship between the earth pressure
and the displacement of retaining wall is shown in Fig. 2.1.
If the stiffness of the wall is very large and the wall does not move or rotate, then
the earth pressure behind the wall is called static earth pressure. Its value can be
calculated according to the theory of no lateral deformation of the elastic defor-
mation body or other approximate methods, and the corresponding stress state in
the soil is called elastic equilibrium state.
If the rigid wall rotates outward around the bottom of the back of the wall by the
action of the soil behind the wall (Fig. 2.2a) or moves parallel, the earth pressure
acting on the back of the wall decreases gradually from the value of static earth
pressure until a sliding surface appears in the soil, and the soil above the sliding
surface (sliding wedge) will slide downward and forward along this sliding direc-
tion. At the moment when the sliding wedge is about to slide, the earth pressure
acting on the back of the wall decreases to the minimum, which is called active earth
Fig. 2.1 Relationship

between the earth pressure
and the displacement of
retaining wall
Fig. 2.2 Limit equilibrium state of soil. a Active earth pressure; b Passive earth pressure
pressure, and the corresponding stress state in the soil is called active limit equi-
librium state. On the contrary, if the wall is subjected to the external force (Fig. 2.2b)
and the backfill behind the wall is squeezed, the earth pressure will gradually
increase from static pressure until a sliding surface appears in the soil, and the sliding
wedge will be pushed upward and backward along a sliding face, causing damage. In
this instant, the earth pressure acting on the back of the wall increases to its maxi-
mum value, which is called passive earth pressure, and the corresponding stress state
in the soil is called passive limit equilibrium state. Therefore, the active and passive
earth pressures are two kinds of earth pressures acting on the back of the wall when
the backfill is in two different ultimate equilibrium states.
The accurate calculation of earth pressure is quite difficult and complicated.
After introducing some simplified assumptions, the earth pressure with two kinds of
limit equilibrium states can be calculated. But for the case between the two limit
equilibrium states, it is impossible to calculate the corresponding earth pressure
only by using the static equilibrium condition according to the classical earth
pressure theory, because it is an indeterminate problem. The complexity of earth
pressure calculation also lies in that soil is composed of three phases: soil skeleton,
pore water, and gas. The combination of different mineral components, skeleton
structures, and pore water components makes the soil in which different regions
have different physical and mechanical properties. Because of the inhomogeneity
and anisotropy of natural soil, the nonlinearity of stress–strain relationship and the
viscous change of deformation with time, the nature of soil itself is very complex.
The Coulomb earth pressure theory and Rankine earth pressure theory commonly
used in engineering are subordinate to the theoretical system of load-structure
method. The so-called load-structure method is a method for structural internal
force analysis and section calculation under known external loads. The structure
refers to the lining structure of the tunnel and the supporting structure of the
retaining soil. The main load is stratum pressure, including other loads. On the
premise of known external loads, the internal force of the structure is analyzed by
structural mechanics method, and then the reinforcement or cross-sectional
checking calculation is carried out. Obviously, this calculation method is consistent

with the method used in calculating the ground structure. However, as the most
important load on the underground structure of the soil layer, the earth pressure is
variable and uncertain. With the idea of load-structure method, the earth pressure is
regarded as an independent and invariable load, which is an approximate solution.
Nevertheless, Coulomb theory and Rankine theory are still the most widely used
and practical lateral earth pressure calculation methods, which are favored by
engineers.
With the development of computer technology and the improvement of calcu-
lation means, the numerical calculation methods such as matrix displacement
method and finite element method have been greatly developed. The calculation
theory of underground engineering has also taken a big step forward from the
original load-structure method and entered the theoretical stage of stratum-structure
method. Unlike the load-structure method, the stratum-structure method no longer
regards the stratum as a load, but as a part of the structure, and the stratum itself can
bear a part of the load. The safety of underground structures depends on not only
the bearing capacity and stiffness of structures but also the stability of foundation
around the underground structure. The strata pressure acting on the underground
structure is related to the relative stiffness between structure and stratum. For
example, in the Loess Plateau area, even if the tunnel is excavated without lining,
the tunnel will not necessarily collapse. If the lining structure is conducted, the
strata pressure acting on it is very small, which shows that the soil has its own
bearing capacity.
1. Classical earth pressure theory
For the shallow-buried underground structure in the soft soil areas, its vertical earth
pressure can be calculated easily by the column theory. The vertical earth pressure
is the total weight of the whole soil column on the top of the structure.
The classical lateral earth pressure theory mainly includes Coulomb earth
pressure theory and Rankine earth pressure theory, which are still used in the design
of underground structures. Elastic theory is generally used to calculate the static
earth pressure, which can also be called classical theory. Although the classical
earth pressure theory mentioned above has many shortcomings, it is still widely
used in engineering calculation.
(1) Static earth pressure
Under the earth pressure, the retaining structure has no any deformation and dis-
placement (moving or rotating), the fill behind the structure is in elastic equilibrium,
and the lateral earth pressure acting on the structure is called static earth pressure P0 .
The static earth pressure can be solved according to the stress state of
semi-infinite elastic body. At any depth z below the filling surface, a unit is taken at
Point M (a tiny cube near Point M) and the forces acting on the element body are
shown in Fig. 2.3. Among them, the vertical self-weight stress is rz , whose value is
equal to the weight of the soil column.
Fig. 2.3 Calculation of static

earth pressure
rz ¼ cz ð2:1Þ
where c is the specific gravity of soil; z is the depth from the surface to point M.
The other is lateral compressive stress. The filling is blocked by the retaining
wall and cannot move laterally. At this time, the force acting on the wall by the soil
is the static earth pressure. Under the condition of no lateral displacement, the
relationship between the lateral earth pressure and the vertical earth pressure of
semi-infinite elastic body is as follows:
p0 ¼ K0 rc ¼ K0 cz ð2:2Þ
l
K0 ¼ ð2:3Þ
1l
where K0 is the coefficient of static earth pressure; l is the Poisson’s ratio, which is
usually determined by experiments.
The coefficient of static earth pressure is related to the type of soil. For the same
kind of soil, it is also related to its void ratio, water content, compression condi-
tions, and degree of compression. In engineering, the coefficient of earth pressure is
usually determined not by Poisson’s ratio of soil, but directly by experience. For
clay, K0 ¼ 0:50:7; for sand, K0 ¼ 0:340:45, which can be determined by the
empirical Formula (2.4).
K0 ¼ a sin u0 ð2:4Þ
where u0 is the effective internal friction angle; a is the empirical coefficient, which
is 1.0 for sand and silt and 0.95 for clayey soil and silty clay, respectively.
The effective internal friction angle of soil should be determined by triaxial
consolidation undrained shear test, and can also be calculated by the following
empirical formula (Formula (2.5)) when there is no condition for test:
pffiffiffiffiffiffiffi
u0 ¼ ucu þ ccu ð2:5Þ
where ucu (º) and ccu (kPa) are the internal friction angle and cohesion of soil by
triaxial consolidation undrained shear test, respectively.
When the filling surface behind the wall is horizontal, the static earth pressure is
distributed in a triangle. The static earth pressure can be calculated by Formula
(2.6). The resultant action point is located at h=3 away from the heel of the wall.
1
P0 ¼ ch2 K0 ð2:6Þ
2
where h is the height of the retaining wall.

The above formulas are applicable to normal consolidated soils. If it belongs to
overconsolidated soil, the lateral static earth pressure will increase, and the static earth
pressure can be estimated by the following semi-empirical formula (Formula (2.7).
pffiffiffi
K0 ¼ Rða sin u0 Þ ð2:7Þ
pc
R¼
p
where R is over consolidation ratio; pc is the pre-consolidation pressure of soil; p is

the self-weight of soil.
(2) Coulomb earth pressure

1) Basic assumptions of Coulomb theory
Coulomb theory was put forward by (Coulomb, C.A.) in 1773. It is mainly used for
the calculation of retaining walls. The basic assumptions of the calculation are as
follows (Fig. 2.4):
① The soil behind the retaining wall is homogeneous isotropic cohesionless soil;
② The retaining wall is rigid and long, which belongs to plane strain problem;
Fig. 2.4 Calculation of Coulomb earth pressure

③ When active earth pressure or passive earth pressure occurs in the soil behind
the retaining wall, the sliding wedge is formed and the sliding surface is the
plane passing through the heel of the wall;
④ The soil surface at the top of the wall can be either horizontal or inclined, and
the angle between the inclined surface and the horizontal surface is b;
⑤ The tangential forces at both the sliding surface BC and the back of the wall AB
satisfy the limit equilibrium conditions, respectively. That is
T ¼ N tan u
T 0 ¼ N 0 tan d
where T and T 0 are tangential frictions at both the sliding surface and the back of
the wall, respectively; N and N 0 are the normal earth pressures at both the sliding
surface and the back of the wall, respectively; u is the internal friction angle of soil;
d is the friction angle between the soil and the back of the retaining wall.
2) Calculation method of earth pressure by Coulomb theory
When the sliding wedge is in the limit equilibrium state, it is not difficult to obtain
the formulas for calculating the active pressure Pa and passive earth pressure Pp
acting on the retaining wall by applying the static equilibrium condition.
sinðh uÞ
Pa ¼ W ð2:8Þ
sinða þ h u dÞ
sinðh þ uÞ
Pp ¼ W ð2:9Þ
sinða þ h þ u þ dÞ
1
W ¼ cAB AC sinða þ bÞ ð2:10Þ
2
where W is the self-weight of slide wedge.

AC is a function of h, so Pa and Pp are both functions of h. With the change of h,
the active earth pressure must be generated on the sliding wedge where Pa is the
largest. However, the passive earth pressure will inevitably occur on the slip surface
where Pp is the smallest. Thus, by the derivative of Pa and Pp with respective to h
and ddPh ¼ 0, the angle h between the most dangerous slip surface and the horizontal
plane can be solved and the Coulomb active and passive earth pressures can be
obtained.
1
Pa ¼ ch2 Ka ð2:11Þ
2
1
Pp ¼ ch2 Kp ð2:12Þ
2
sin2 ða þ uÞ
Ka ¼ h qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffii2 ð2:13Þ
ðubÞ sinðu þ dÞ
sin2 a sinða dÞ 1 þ sin sinða þ bÞ sinðadÞ
sin2 ða uÞ
Kp ¼ h qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffii2 ð2:14Þ
ðubÞ sinðu þ dÞ
sin2 a sinða þ dÞ 1 sinsinða þ bÞ sinða þ dÞ
where c is the specific gravity of soil; h is the height of retaining wall; Ka is the
coefficient of Coulomb active earth pressure; Kp is the coefficient of Coulomb
passive earth pressure.
The coefficient of Coulomb active earth pressure Ka and the coefficient of
Coulomb passive earth pressure Kp are both the functions of geometric parameters
ða; bÞ and mechanical parameters of soil layer ðu; dÞ.
The angle between the direction of Coulomb earth pressure and the normal of the
back of the wall is d. But the direction of the two angles d is opposite between the
normal line and the active earth pressure and the passive earth pressure, respec-
tively, as shown in Fig. 2.4. In the absence of overload on the ground, the action
points are both at h=3 away from the heel of the wall.
When the distributed load q acts on the surface of soil body at the top of wall, as
shown in Fig. 2.5, the ground overload should be added to the self-weight of the
sling wedge. That is,
1
W ¼ cAB AC sinða þ bÞ þ qAC cos b
2 ð2:15Þ
1 2q sin a cos b
¼ cAB AC sinða þ bÞ 1 þ
2 ch sinða þ bÞ
Fig. 2.5 The case with distributed loads at surface

Introducing the coefficient Kq , Formula (2.15) can be simplified,which can be

expressed in a form similar to Formula (2.10).
2q sin a cos b
Kq ¼ 1 þ ð2:16Þ
ch sinða þ bÞ
1
W ¼ cKq AB AC sinða þ bÞ ð2:17Þ
2
Similarly, according to the static equilibrium condition, the active and passive
earth pressures considering the overloading can be derived.
1
Pa ¼ ch2 Ka Kq ð2:18Þ
2
1
Pp ¼ ch2 Kp Kq ð2:19Þ
2
The angle between the direction of the earth pressure and the normal line of the
back of wall is still d. Because of the trapezoidal distribution of earth pressure, the
action point is located at the trapezoidal center and the heel height is as follows.
h 2pa þ pb
ZE ¼ ð2:20Þ
3 pa þ pb
where pa and pb are the strength of earth pressure at the top and the heel of the wall,
respectively.
3) Equivalent internal friction angle of clay

Coulomb earth pressure theory is derived from the condition of non-cohesive soil,
without considering the cohesion c. Therefore, when the retaining structure is in the
clay layer, the favorable influence of cohesion should be considered. The equivalent
internal friction angle uD can be calculated in engineering practice, as shown in
Fig. 2.6. The method of equivalent internal friction angle actually considers the
beneficial effect of cohesion by increasing the internal friction angle.
There are many conversion methods for the equivalent internal friction angle.
According to experience, when cohesion increases by 10 kPa, the internal friction
angle can be increased by 3°–7° with an average increase of 5°. It can also be
converted according to the principle of the equal shear strength of soil.

c
uD ¼ arctan tan u þ ð2:21Þ
ch
Fig. 2.6 Equivalent internal

friction angle
In addition, it can be converted by the Rankine earth pressure theory. The earth
pressure based on the Rankine earth pressure theory and considering c and u is
same as that based on the converted equivalent internal friction angle uD . That is
u u u
ch tan2 45 D ¼ ch tan2 45 2c tan 45 ð2:22Þ
2 2 2
The equivalent internal friction angle uD can be obtained by Formula (2.22).
" sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi#
u 2c u
uD ¼ 90 2 arctan tan 45

1 tan 45 þ ð2:23Þ
2 ch 2
The equivalent internal friction angles obtained by the above three conversion
methods are different from each other, and each conversion method has its short-
comings. It can also be seen from Fig. 2.6 that the strength value of the converted
equivalent internal friction angle only coincides with the original curve at one point.
Before this point, the conversion strength is on the low side; after this point, the
conversion strength is on the high side, resulting in the results of low strength
conservative and high strength dangerous. Therefore, the Coulomb earth pressure of
clay can be calculated directly by the following method instead of the equivalent
internal friction angle method.
4) Coulomb active earth pressure formula for clayey soil
The method of Code for Design of Building Foundation in China is an improve-

ment of Coulomb theory. It takes into account the cohesive force of soil and can be
applied to the general situation that the surface of fill is an inclined plane with
uniform overload.
As shown in Fig. 2.7, under the action of active earth pressure, when the dis-
placement of retaining wall reaches a certain value before leaving the filling, the
backfill behind the wall will produce a slip surface BC and destroy. At the moment
of failure, the sliding wedge is in the limit equilibrium state. At this time, the forces
Fig. 2.7 Calculation scheme

considering the cohesion
acting on the sliding wedge ABC are as follows: the self-weight of the wedge G and
the uniformly distributed overload q on the filling surface in vertical direction; the
counterforce R on the sliding surface BC whose direction is clockwise angled u
with the normal line of the BC plane; the cohesion c LBC on the sliding surface BC
which is opposite to the downward direction of the wedge, and the counterforce Pa
of the back of the wall AB to the wedge which is counterclockwise angled d with
the normal line of the wall. According to the derivation process of the Coulomb
earth pressure formula, the formula of active earth pressure recommended by the
code for foundation can be obtained.
1
Pa ¼ ch2 Ka ð2:24Þ
2
sinða þ bÞ n
Ka ¼ 2
Kq ½sinða þ bÞ sinða dÞ þ sinðu þ dÞ
sin a sinða þ b u dÞ

sinðu bÞ þ 2g sin a cos u cosða þ b u dÞ 2 Kq sinða þ bÞ

sinðu bÞ þ g sin a cos uÞ Kq sinða bÞ sinðu þ dÞ þ g sin a
1
o
cos uÞ2
ð2:25Þ
2c
g¼ ð2:26Þ
ch
where Pa is the resultant force; Ka is the coefficient of active earth pressure for
clayey soil and silt, calculated by Formula (2.25); a is the angle between the wall
back and the horizontal plane; b is the angle between the fill surface and the
horizontal plane; d is the friction angle between the wall back and the fill; u is the
internal friction angle of soil; c is the cohesion of soil; c is the specific gravity of
soil; h is the height of retaining wall; q is the uniformly distributed overload which
is calculated by the load strength on unit horizontal projection surface; Kq is the
coefficient of considering the effect of uniformly distributed overload on the fill.
2q sin a cos b
Kq ¼ 1 þ ð2:27Þ
ch sinða þ bÞ
When the active earth pressure is calculated by Formula (2.24), the dip angle
between the rupture plane and the horizontal plane is

sin b Sq þ sinða u dÞ
h ¼ arctan ð2:28Þ
cos b Sq cosða u dÞ
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Kq sinða dÞ sinðu þ dÞ þ g sin a cos u
Sq ¼ ð2:29Þ
Kq sinða þ dÞ sinðu dÞ þ g sin a cos u
(3) Rankine earth pressure theory
Rankine earth pressure theory was put forward by British scientist Rankine in 1857.
The basic assumptions of Rankine’s theory are as follows.
① The back of the retaining wall is vertical, and the wall surface is smooth,
regardless of the friction between the wall and the soil;
② The surface of the backfill behind the retaining wall is horizontal, and the soil
can extend to infinity downward and along the horizontal direction, that is,
semi-infinite space;
③ The backfill behind the retaining wall is in the ultimate equilibrium state.
Rankine earth pressure theory is derived from the stress state of elastic half-space
and the limit equilibrium theory of soil. In an elastically homogeneous half-space,
the vertical and horizontal stresses at any point away from the surface depth are
shown in Formulas (2.30) and (2.31), respectively.
rz ¼ cz ð2:30Þ
rx ¼ K0 rz ð2:31Þ
If a vertical and smooth wall is inserted into an elastic homogeneous space, the
original stress state in the soil will not be affected because it has neither friction nor
displacement, as shown in Fig. 2.8b. Formulas (2.30) and (2.31) are still suitable for
calculating the vertical and horizontal stresses of the soil at the wall and rx in the
formulas is the value of static earth pressure. In general, the lateral pressure coef-
ficient is less than 1.0 in the case of non-overconsolidation, that is, rz [ rx . So the
vertical stress rz is the maximum principal stress and the lateral horizontal stress rx
is the minimum principal stress. In the molar stress circle, it is in elastic equilibrium,
as shown in the circle II of Fig. 2.8d.
Fig. 2.8 Rankine limit equilibrium state
When the wall moves to the left, as shown in Fig. 2.8a, the soil on the right side
will be in a tensile state. The earth pressure acting on the back of the wall will
gradually decrease and the circle of molar stress will gradually expand to reach the
limit equilibrium. The soil will enter the Rankine active earth pressure state. The
shear strength envelope of the soil is tangent to the molar circle I in Fig. 2.8d. At
this time, the lateral earth pressure acting on the back of the wall is less than the
initial static earth pressure and more less than the vertical earth pressure rz , and
becomes the minimum principal stress pa . The vertical earth pressure rz is the
maximum principal stress, and its value can still be calculated by Formula (2.30).
The shear failure occurs in the soil behind the wall, and the angle between the shear
failure plane and the horizontal plane is 45 þ u=2.
Similarly, when the wall moves to the right, as shown in Fig. 2.8c, the soil on
the right side will be in a squeezing state, and the earth pressure acting on the back
of the wall will increase and begin to enter the Rankine passive earth pressure state.
Corresponding to Fig. 2.8d, Mohr circle III is tangent to the shear strength envelope
of soil. At this time, the lateral earth pressure rx acting on the back of the wall
exceeds the vertical earth pressure rz and becomes the maximum principal stress pp .
However, the vertical earth pressure rz becomes the minimum principal stress. The
angle between the shear failure surface and the level of the soil behind the wall is
45 u=2.
According to the limit equilibrium condition of soil and the relationship between
the Mohr circles, it is not difficult to obtain
s ¼ sf ð2:32Þ
ðr1 r3 Þ=2
sin u ¼ ð2:33Þ
ðr1 þ r3 Þ=2 þ c cot u
Formula (2.33) is rewritten to the relationship between the maximum principal

stress and the minimum principal stress.
1 þ sin u cos u
r1 ¼ r3 þ 2c ð2:34Þ
1 sin u 1 sin u
1 sin u cos u
r3 ¼ r1 2c ð2:35Þ
1 þ sin u 1 þ sin u
where s is the shear stress on a slope of soil; sf is the shear stress at failure of soil
under normal stress r; r1 and r3 are the maximum and minimum principal stresses,
respectively; c and u are the shear strength parameters of soil, in which c is the
cohesion of soil; and u is the internal friction angle.
Under the Rankine active earth pressure, the maximum principal stress is the
vertical earth pressure that r1 ¼ c z, and the minimum principal stress is the active
earth pressure; similarly, under Rankine’s passive earth pressure, the maximum
principal stress is the passive earth pressure that r1 ¼ pp , while the minimum
principal stress is the vertical pressure that r3 ¼ rz ¼ cz, which are substituted into
Formulas (2.35) and (2.34), respectively, and the Rankine active and passive soil
stresses are as follows:
8
> u u
< pa ¼ cz tan2 45 2c tan 45
2 2
> u u ð2:36Þ
: pp ¼ cz tan2 45 þ
þ 2c tan 45 þ
2 2
Introducing the active earth pressure coefficient Ka and the passive earth pressure
coefficient Kp , let
u
Ka ¼ tan2 45 ð2:37Þ
2
u
Kp ¼ tan2 45 þ ð2:38Þ
2
Substitution of Formulas (2.37) and (2.38) into Formula (2.36), respectively,
yields
pffiffiffiffiffi
pa ¼ czKa 2c Ka ð2:39Þ
pffiffiffiffiffiffi
pp ¼ czKp þ 2c Kp ð2:40Þ
The active earth pressure strength of cohesive soil consists of two parts. The first
one is the lateral pressure caused by the weight of soil cz, which is proportional to
the depth z, showing triangular distribution. The second one is the negative lateral
pressure caused by the cohesion c, which reduces the lateral earth pressure.
In the active state, when z z0 ¼ 2cc tan 45 þ u2 , then Pa 0, which is tension
stress. If the possibility of tension stress between the wall back and soil is not
considered, the total active earth pressure on the wall back can be obtained as
follows:
1 pffiffiffiffiffi 2c2
Pa ¼ ch2 Ka 2ch Ka þ ð2:41Þ
2 c
where h is the height of wall back.

For layered soil behind the retaining wall, the active earth pressure can still be
calculated according to Formula (2.39). However, attention should be paid to the
sudden change in the distribution of earth pressure at the interface of two layers of
soil due to the different shear strength indexes, as shown in Fig. 2.9. The calculation
method is as follows:
Point a: pa1 ¼ 2c1 Ka1
Above Point b (in the first layer of soil): p0a2 ¼ c1 h1 Ka1 2c1 Ka1
Below Point b (in the second layer of soil): p00a2 ¼ c1 h1 Ka2 2c2 Ka2

where Ka1 ¼ tan2 45 u21 and Ka2 ¼ tan2 45 u22 .
The meaning of the remaining symbols is shown in Fig. 2.9.
As shown in Fig. 2.10, when the continuous uniform load q acts on the fill
surface of retaining wall, the vertical stress rz at the depth z can be increased by q in
the calculation. kz in Formulas (2.39) and (2.40) is replaced with ðcz þ qÞ, the
calculating formula with the overload on the fill surface for clay can be obtained.
Fig. 2.9 Calculation of

active earth pressure for
layered soil

active earth pressure for
overloaded on the fill
pffiffiffiffiffi
pa ¼ ðcz þ qÞKa 2c Ka ð2:42Þ
where q is the overload on the ground.

When there is no fixed overload, the uniform load q ¼ 1020 kPa is generally
preferable, considering the factors such as construction surcharge, vehicle dynamic
load, etc. occurring at any time.
The height of the action point of earth pressure from the heel of the wall is as
follows:

1 2c u
zE ¼ h tan 45 þ ð2:43Þ
3 c 2
In the passive state, the earth pressure shows trapezoidal distribution, and the
total passive earth pressure is as follows:
1 pffiffiffiffiffiffi
Pp ¼ rh2 Kp þ 2ch Kp ð2:44Þ
2
The horizontal action point of earth pressure is trapezoidal center and the height
away from the heel is as follows:
" 2c
u #
1 1 þ 3 ch tan 45 þ 2
zE ¼
u h ð2:45Þ
3 1 þ 2 2c
ch tan 45 þ 2
In the calculation theory of Rankine earth pressure, it is assumed that the back of
the wall is vertically smooth and the surface of the fill is horizontal. Therefore, there
is a certain discrepancy with the actual situation. Because of the friction angle
behind the wall that u ¼ 0, the calculated earth pressure for Pa is larger and for Pp
is smaller than the actual value, respectively.
2. Earth pressure under special circumstances

(1) Calculation of earth pressure of layered soil
In engineering practice, soil is often composed of different soil layers, and single
homogeneous soil layer is only a special case. The various earth pressure calcu-
lation theories mentioned above are all for the case of single homogeneous soil. In
order to solve the earth pressure calculation of layered soils, the common method is
to convert the layered soils into equivalent layers. Specific calculations are also
divided into two cases.
1) Calculating earth pressure of No. i soil layer based on the physical and
mechanical index of No. i soil layer
The height of soil layers above No. i layer is converted into their equivalent soil
height according to the specific gravity c.
8
> h01 ¼ h1 cc1
>
> i
>
> h02 ¼ h2 cc2
>
< i
.. ð2:46Þ
> .
>
> 0 ci1
>
> h ¼ h i1 c
>
: 0
i1 i
hi ¼ hi cci ¼ hi
i
The total height of 1i soil layers is
X
i
Hi ¼ h0j ð2:47Þ
j¼1
Then, the earth pressure is calculated by ci , ui , ci , and Hi . The distributed earth

pressure between Hi1 and Hi chosen from the calculated earth pressure is the earth
pressure of No. i soil layer. The calculated earth pressure can reflect the distribution
law of each soil layer.
2) Calculating earth pressure according to the weighted average index of 1i soil
layers
Because the earth pressure is not only related to the thickness of each layer, but also
to the values of c and u of 1i soil layers and the slip surface has to pass through
all the above soil layers, the weighted average value of c and u of 1i soil layers is
conducted when calculating the earth pressure of No. i soil layer.
ci is related to the length of the slip surface passing through each soil layer, so
the weighted average of the thickness of the soil layer, i.e.,
P
i
cj h0j
j¼1
ci ¼ ð2:48Þ
Hi
But ui is the friction angle, and its effect is directly related to the positive
pressure on the surface or related to the gravity c z. We have
0 0 0
Zh1 Zh2 Zhi ZHi
ci z tan u1 dz þ ci z tan u2 dz þ þ ci z tan ui dz ¼ dzi
ci z tan u
0 h01 h0i1 0
ð2:49Þ
That is
1 1 02 1 02
ci tan u1 h02 02 02
1 þ ci tan u2 h2 h1 þ þ ci tan ui hi hi1
2 2 2
1 2
¼ ci tan u i Hi ð2:50Þ
2
Because h00 ¼ 0.
We have
P
i
tan uj h02
j h 02
j1
j¼1
i ¼
tan u ð2:51Þ
Hi2
The weighted average value of the internal friction angle of 1 i soil layers is
obtained as follows:
P
i
tan uj h02 02
j hj1
j¼1
i ¼ arctan
u ð2:52Þ
Hi2
i , and Hi , the earth pressure of No. i soil layer is calculated,

Based on ci , ci , u
which can reflect the comprehensive average effect of the above soil layers. The
method of calculating earth pressure by means of average index cannot reflect the
influence of soil layer characteristics on the magnitude of earth pressure. In order to
reflect this effect, the strength limit value calculated by multiplying the calculated
earth pressure value by the weighted average parameter can be divided by the actual
strength limit value sf1 of the soil layer.
i þ ci
sf ¼ r tan u ð2:53Þ
sf1 ¼ r tan ui þ ci ð2:54Þ

Among them, the value of r can adopt the self-weight stress at the middle point
of No. i soil layer. When there is overload on the ground, the influence caused by
the overload on the ground should also be considered.
(2) Calculation of earth pressure with overload on the ground

1) Lateral pressure resulted from the overload on the ground
The lateral pressure on the enclosure structure under the uniform and local uniform
overload can be calculated by the diagram shown in Fig. 2.11.
2) Lateral pressure resulted from the concentrated load

For the lateral pressure generated by the concentrated load on the enclosure
structure, it can be calculated as shown in Fig. 2.12.
Fig. 2.11 Active earth pressure under uniform and locally uniform overload. a Full uniform
overload on top of pit wall; b Uniform overload at L off top of pit wall; c Uniform overload with L1
in width at L off top of pit wall
Fig. 2.12 The active earth pressure under the concentrated force
3) Lateral pressure with overload determined by elasticity theory

① Under concentrated load, the lateral pressure is calculated according to the
elastic theory as shown in Fig. 2.13.
② Under the action of linear load, the lateral pressure is calculated according to
the elastic theory as shown in Fig. 2.14.
③ Under strip loads, the lateral pressure is calculated according to the elastic
theory as shown in Fig. 2.15.
4) Cohesive soil pressure under various ground loads
When the shear strength parameters of soil are c and u and those between back of
wall and the soil are c0 and u0 , the active earth pressure pa has the following
relationship with the inclination angle d of the active earth pressure.
" 2 #12
1 2 k 0
Pa ¼ cH Ka cos2 u0 þ sin u0 þ g0 ð2:55Þ
2 Ka sin a

k0
d ¼ arctan tan u0 þ g0 ð2:56Þ
Ka sin a cos u0
where Ka is the coefficient of active earth pressure.
Fig. 2.13 Lateral pressure caused by concentrated load on the top of pit wall ðl ¼ 0:5Þ: a Lateral
pressure caused by concentrated load on the top of pit wall; b Lateral pressure along the wall on
both sides of the action point of concentrated load
Fig. 2.14 The lateral

pressure under the linear load

pressure under strip loads
sinða þ bÞ n
Ka ¼ 2 2 0
k2 ½sinða þ bÞ sinða u0 Þ
sin a sin ða þ b u u Þ
þ sinðu þ u0 Þ sinðu bÞ þ 2k1 g sin a cos u cosða þ b u u0 Þ
sin a cosða þ b uÞ sinða þ b u u0 Þ
þ k1 g0 þ F sinðu bÞ
sinða þ bÞ
0 0
12 )
00 sin a cos u sinða þ b u u Þ 0
2 k2 sinða þ bÞ þ k1 g þ F sinða u Þ
sinða þ bÞ
h0 sin a cos b
k0 ¼ 1
H sinða þ bÞ
2c
g¼
cH
2c0
g0 ¼
cH
When c0 ¼ 0, then g0 ¼ 0, the active earth pressure pa has the following rela-
tionship with the inclination angle d of the active earth pressure:
1
Pa ¼ cH 2 Ka ; d ¼ u0
2
sinða þ bÞ n
Ka ¼ 2 k2 ½sinða þ bÞ sinða dÞ
sin a sin2 ða þ b u dÞ
þ sinðu þ dÞ sinðu bÞ þ 2k1 g sin a cos u cosða þ b u dÞ
þ F sinðu bÞ 2½k2 sinða þ bÞ sinðu bÞ þ k1 ðg sin a cos uÞ
1
o
ðk2 sinða dÞ sinðu dÞ þ k1 g sin a cos u þ F sinða dÞÞ2
2c
g¼
cH
5) Lateral earth pressure under irregular surface conditions
When the outside surface of the wall is irregular, the calculation of earth pressure on
the retaining structure is shown in Fig. 2.16.
Fig. 2.16 The active pressure under irregular surface conditions

The active earth pressure on the retaining structure is as follows:

pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
cos b
cos2 b cos2 u
pa ¼ cz cos b pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð2:57Þ
cos b þ cos2 b cos2 u
pffiffiffiffiffi )
p0a ¼ Ka cðz þ h0 Þ 2c Ka
pffiffiffiffiffi ð2:58Þ
p00a ¼ Ka cðz þ h00 Þ 2c Ka
where b is the angle between the surface slope and the horizontal plane; Ka is the
coefficient of active earth pressure; h0 is the distance between the surface level and
the intersection point of the surface slope and the supporting structure. When the
surface is a complex geometric figure, the wedge test method can be used, which
can be obtained by numerical analysis and Coкoлoвcкий graphics.
3. Calculation of earth pressure and pore water pressure considering groundwater
(1) Separate and combining calculation of earth pressure and pore water pressure
The load acting on the retaining wall structure includes not only the earth pressure
but also the pore water pressure below the groundwater level. When calculating
pore water pressure, the specific gravity of water is usually that cw ¼ 10 kN/m3.
Pore water pressure is related to the quantity of groundwater recharge, seasonal
variation, depth of retaining wall during excavation, drainage treatment methods,
and other factors.
Separate and combining of earth pressure and pore water pressure methods are
usually conducted to calculate the pore water pressure and earth pressure under the
groundwater level. For sand and silt, the principle of soil and water separation can
be used, i.e., the earth pressure and pore water pressure can be calculated separately,
and then the two can be added together. The clay can be calculated according to the
site conditions and engineering experience by soil and water separation or soil and
water combination.
1) Calculation of soil and water separation
Separate calculation of soil and water is that the earth pressure is calculated by the
effective gravity and the pore water pressure is calculated by the hydrostatic
pressure, respectively, which are added together to obtain the total lateral pressure,
as shown in Fig. 2.17.
The effective stress principle is used to calculate the earth pressure. The earth
pressure and pore water pressure are calculated separately, that is
pffiffiffiffiffi
pa ¼ c0 HKa0 2c0 Ka0 þ cw H ð2:59Þ
Fig. 2.17 Calculation of earth pressure and pore water pressure
qffiffiffiffiffiffi
pp ¼ c0 HKp0 þ 2c0 Kp0 þ cw H ð2:60Þ
where c0 is the effective gravity of soil; Ka0 is the active earth pressure coefficient
calculated according
to the effective stress intensity index of soil and
0
Ka0 ¼ tan2 45 u2 ; Kp0 is the passive earth pressure coefficient calculated
0

according to the effective stress intensity index of soil and Kp0 ¼ tan2 45 þ u2 ; u0
is the effective internal friction angle of soil; c0 is the effective cohesion of soil; and
cw is the gravity of water.
The concepts of the above methods are clear, but there are still some difficulties
in practical use; sometimes, it is difficult to obtain effective strength index.
Therefore, in many cases, the total stress method is used to calculate soil pressure,
coupled with pore water pressure, that is, the total stress method.
pffiffiffiffiffi
pa ¼ c0 HKa 2c Ka þ cw H ð2:61Þ
pffiffiffiffiffiffi
pp ¼ c0 HKp þ 2c K p þ cw H ð2:62Þ
where Ka is the active earth pressure coefficient

calculated
according to the total
stress intensity index of soil and Ka ¼ tan2 45 u2 ; Kp is the passive earth
pressure coefficient
calculated
according to the total stress intensity index of soil
2 u
and Kp ¼ tan 45 þ 2 ; u is the internal friction angle determined by consolidated
undrained (consolidated fast shear) or unconsolidated undrained (fast shear); c is the
cohesion determined by the consolidated undrained or unconsolidated undrained
method; and other symbols have the same meaning as above.
2) Calculation of soil and water combination
Combining calculation of soil and water is that the total soil and water pressure is
calculated by the saturated gravity of soil. This is a popular method at present in
China, especially for clay soil, which has accumulated some experience.
pffiffiffiffiffi
pa ¼ csat HKa 2c Ka ð2:63Þ
pffiffiffiffiffiffi
pp ¼ csat HKp þ 2c Kp ð2:64Þ
where csat is the saturated

gravity
of soil; Ka is the coefficient of active earth
pressure and Ka ¼ tan2 45 u2 ; Kp is the coefficient of passive earth pressure and

Kp ¼ tan2 45 þ u2 ; u is the internal friction angle determined by consolidated
undrained shear or unconsolidated undrained shear according to total stress method;
and c is the cohesion determined by consolidated undrained shear or unconsolidated
undrained shear according to total stress method.
(2) Calculation of water pressure with steady seepage
1) Calculation of seepage water pressure by flow net method
During foundation pit construction, the water head difference between inside and
outside the retaining wall is formed by dewatering in the retaining wall. Ground-
water will flow from outside the pit to inside the pit. If it is steady-state seepage, the
water pressure for separate calculation of soil and water pressure acting on the
retaining wall can be determined by the flow net method.
Figure 2.18 is an example of the water pressure acting on the enclosure structure
according to the flow net method. Assuming that the insertion depth of the wall h is
Fig. 2.18 Water pressure distribution around the wall ① Pressure headline in front of wall;
② Pressure headline behind wall; ③ Hydrostatic pressure headline
equal to the head difference h0 , the flow net diagram is drawn according to the
hydraulic method (Fig. 2.18b), and the water pressure acting on the wall can be
calculated according to the flow net. According to hydraulics, we have
H ¼ hp þ he ð2:65Þ
where H is the total water head at some point, which can be obtained from flow net
chart; hp is the pressure water head of a certain point; and he is the position water
head of a certain point and he ¼ z h0 .
The water pressure p acting on the wall is expressed by the pressure water head
as follows:
p
¼ hp ¼ H he ¼ H ðz h0 Þ ¼ xh0 þ h0 z ð2:66Þ
cw
where x is the remaining percentage (or ratio) of the total water head difference at a
certain point, which can be obtained from the flowchart; z is the elevation of a
certain point; h0 is the elevation of the foundation pit bottom; and h0 is the total
head difference.
The water pressure distribution before and after the wall calculated by the flow
net is shown in Fig. 2.18a. The total water pressure acting on the wall is represented
by the shadow line in the figure.
2) Determination of water pressure with seepage by linear proportion method
When calculating seepage water pressure, the straight-line proportional method can
also be used approximately. That is, the head loss in seepage is assumed to be
evenly distributed along the seepage contour of retaining wall.
Si
Hi ¼ h0 ð2:67Þ
L
where Hi is the total seepage head at a point i on the contour line of the retaining
wall; L is the total seepage length of the converted back retaining wall contour; Si is
the converted length from point i along the retaining wall contour to the down-
stream end point; and h0 is the head difference between upstream and downstream.
3) A sketch of the calculation of water pressure
Generally, the unbalanced water pressure acting on the supporting structure under
the groundwater level can be determined according to the water pressure distri-
bution shown in Fig. 2.19. Figure 2.19a is a triangular distribution, which is suit-
able for the case of groundwater seepage. If there is no seepage, the trapezoidal
distribution can be considered, as shown in Fig. 2.19b.
Fig. 2.19 Distribution of unbalanced water pressure acting on supporting structure. a Triangular
distribution; b Trapezium distribution
(3) Test method and index of shear strength of soil
The shear strength of soils can be determined either by effective stress method or by
total stress method, each of which has its own characteristics.
The formula for determining the shear strength of soil by effective stress method
is as follows:
sf ¼ c0 þ r0 tan u0 ¼ c0 þ ðr uÞ tan u0 ð2:68Þ
where sf is the shear strength of soil; c0 is the effective cohesion of soil; u0 is the
effective internal friction angle of soil; r is the normal total stress; and u is the pore
water pressure.
Effective stress is that when the soil is subjected to force, part of which is borne
by the fluid in the pore, which is called pore water stress; part of which is borne by
the skeleton, which is called effective stress. After research by many scholars in
many years for sand or clay, the principle of effective stress has been widely
recognized in the field of soil mechanics. Effective shear strength index of soil,
namely, effective cohesion c0 and effective internal friction angle u0 , is stable in test
results and less affected by test conditions.
The shear strength of soil is determined by the total stress method as follows:
sf ¼ c þ r tan u ð2:69Þ
where sf is the shear strength of soil; r is the normal total stress; c is the cohesion of
soil determined by the total stress method; and u is the internal friction angle of soil
determined by the total stress method.
Total stress method does not involve pore water stress, but only simulates the
actual consolidation state of soil to determine strength.
The commonly used test methods for determining shear strength can be divided
into in situ test and laboratory test. In situ test includes vane shear test and cone
penetration test, among which vane shear test can directly measure the shear
strength of natural state of soil. Cone penetration method can be converted into
shear strength of soil based on empirical formula.
Laboratory tests can be divided into direct shear apparatus and triaxial apparatus
according to the use of instruments. According to the test conditions, they can also
be divided into consolidation or non-consolidation, drainage or non-drainage.
(1) Direct shear apparatus slow shear and triaxial apparatus consolidation drainage
shear. During the test, there is no excess pore water pressure due to sufficient
drainage. The drainage conditions of the two tests are the same and the
effective force is applied. The strength indexes obtained are all effective
strength indexes.
(2) The main difference between direct shear apparatus and triaxial apparatus is
the control of drainage conditions. The triaxial apparatus can completely
control the drainage conditions of soil samples and can be truly undrained.
Because of the limitation of direct shear apparatus, it is difficult to achieve true
undrained. Therefore, when the shear strength index of soil is measured by
direct shear apparatus, when the permeability of soil is large, the rapid shear of
direct shear apparatus is only equivalent to triaxial drainage, and only when
the permeability coefficient of soil is small, the fast shear test results of direct
shear apparatus are close to triaxial undrained test.
(3) Direct shear apparatus consolidation quick shear and triaxial consolidation
undrained shear. Under normal stress, the two test methods can make the soil
fully consolidated, while under shear stress, the triaxial apparatus test can
achieve undrained drainage. The drainage conditions of the direct shear
apparatus test are similar to the rapid shear of the direct shear apparatus. That
is to say, when the permeability of the soil is large, it is equivalent to drainage,
and the permeability of the soil is very small, it is close to undrained.
Although the direct shear test has some obvious shortcomings, such as com-
plicated stress conditions and uncontrollable drainage conditions, the direct shear
test is widely used for quick shear and consolidation shear tests to obtain the shear
strength index of soil due to its simple instrument and operation and a lot of
practical experience. The consolidation fast shear index is generally recommended,
because the consolidation fast shear is carried out after consolidation under vertical
pressure, so that the test results reflect the natural strength of normal consolidated
soil. The condition of sufficient consolidation also reduces the disturbance of the
sample and the influence of thin sand layer in the soil sample to a minimum, so that
the test index is relatively stable.
After using direct shear apparatus to measure the total stress intensity index of
soil by consolidation fast shear test or fast shear test, there still exists the problem of
using the peak value of strength parameter or discounting the peak value.
According to the Code for Design of Foundation in Shanghai, the shear strength
index is determined by the peak value of consolidation quick shear or the peak
value of quick shear with direct shear apparatus. This index is suitable for calcu-
lating earth pressure and overall stability.
There are many shortcomings in direct shear test, such as the failure to control
the drainage conditions of soil samples, the artificial fixing of shear surface, and the
uneven distribution of stress on shear surface. The triaxial test does not have these
shortcomings. When triaxial tests are carried out, the tests under unconsolidated,
undrained, or undrained conditions can be carried out to provide two kinds of shear
strength indices, i.e., total stress and effective stress.
When there is no reliable shear strength test data, it can be selected by referring
to Table 2.1.
The results obtained from different test methods are quite different. As for the
selection of strength index values, drainage consolidation will enhance the strength
of soil in varying degrees, such as internal friction angle u, for normal consolidated
soil, ucd by drainage shear being the largest, ucu by consolidation undrained shear
being the second, and uu by unconsolidated undrained shear being the smallest, as
shown in Fig. 2.20. The cohesion c is also different, which is larger by the fast
shear.
The effective stress method takes into account the influence of pore water
pressure. The effective indexes can be determined by direct shear, triaxial drainage
shear, and consolidated undrained shear (pore pressure measurement). Therefore, in
the calculation of strength and stability of practical engineering, appropriate test
methods should be selected according to soil conditions and engineering charac-
teristics, so as to estimate the stability and safety of foundation or building and
control different test conditions to obtain different strength indicators. For example,
when considering the calculation or stability analysis of strength increase caused by
soil consolidation, the effective strength index should be used to determine the shear
strength of soil at any degree of consolidation; when the foundation is high plastic
saturated soft soil with large thickness and low permeability, and the construction
speed of the building is faster, the drainage consolidation degree of the soil layer
during construction is expected to be very small, and fast shear should be adopted.
The strength index of the test is used to check the strength and stability of the
foundation of the building; if the clay layer is very thin and the construction period
of the building is very long, it is expected that the clay layer can be fully drained
and consolidated during the construction period, but after the completion of a large
number of live loads will be constructed rapidly (such as silos), or there may be
sudden live loads (such as wind) or changes in the stress of the foundation (such as
changes in groundwater level). In these cases, the fast consolidation shear index is
adopted, and the fast shear index and undrained shear index are considered to be
applied to check and control the natural slope or soft soil foundation or embank-
ment soil of normal consolidated soil which may be destroyed rapidly. Of course,
the abovementioned situations are not very accurate concepts. For example, there
are no quantitative values for speed, thickness of soil layer, load size, and con-
struction speed, which must be mastered according to the actual situation with
actual experience or regional experience. For example, in the deep excavation of
soft soil, the undrained index should be adopted when considering the control
checking calculation of pit bottom uplift and even overall sliding stability.

Table 2.1 Reference value of shear strength index of soil (unit of u0 is and that of c0 is kPa)
Soil type Void ratio
0.4 * 0.5 0.5 * 0.6 0.6 * 0.7 0.7 * 0.8 0.8 * 0.9 0.9 * 1.0 1.0 * 1.1 1.1 * 1.2
Silty sand 0 0 0
c ¼0 c ¼0 c ¼0
u0 ¼ 34 36 u0 ¼ 32 34 u0 ¼ 30 32
Silt c0 ¼ 3 6 c0 ¼ 2 4 c0 ¼ 0 3 c0 ¼ 0
2.2 Computation of Rock and Soil Pressure
u0 ¼ 23 25 u0 ¼ 22 24 u0 ¼ 21 23 u0 ¼ 19 21
Silty clay c0 ¼ 30 40 c0 ¼ 20 30 c0 ¼ 15 20 c0 ¼ 10 15 c0 ¼ 6 10
u0 ¼ 18 20 u0 ¼ 16 18 u0 ¼ 14 16 u0 ¼ 12 14 u0 ¼ 10 12
Clay c0 ¼ 40 50 c0 ¼ 30 40 c0 ¼ 15 20 c0 ¼ 5 10
u0 ¼ 14 16 u0 ¼ 12 14 u0 ¼ 10 12 u0 ¼ 8 10
Mucky soil c0 ¼ 6 10 c0 ¼ 6 10
0
u ¼ 10 12 u0 ¼ 10 12
59
Fig. 2.20 Comparison of u

by different test methods
2.2.2 Calculation of Surrounding Rock Pressure
1. Surrounding rock pressure and its influencing factors
(1) Concept of surrounding rock pressure
Before the excavation of the cavern, the rock mass in the stratum is in a complex
original stress equilibrium state. After excavation, the original stress equilibrium
state in surrounding rock is destroyed, and the stress redistributes, so that the
surrounding rock is deformed. When the deformation develops to the limit defor-
mation of rock mass, the rock mass will be destroyed. If the surrounding rock is
lined or enclosed in time to prevent the surrounding rock from continuing to deform
and collapse, the surrounding rock will produce pressure on the lining structure, that
is, the so-called surrounding rock pressure. Therefore, the surrounding rock pres-
sure refers to the pressure acting on the lining structure or supporting structure,
which is located around the underground structure and is deformed or destroyed. It
is the main load acting on the underground structure.
Surrounding rock pressure can be divided into vertical pressure, horizontal
pressure and bottom pressure. For general horizontal caverns, the vertical pressure
of surrounding rock is the main content of the study of surrounding rock pressure.
In hard rock strata, the horizontal pressure of surrounding rock is small and neg-
ligible, but the effect of horizontal pressure of surrounding rock should be con-
sidered in soft rock strata. The pressure at the bottom of surrounding rock is the
pressure acting on the bottom of lining structure from bottom to top. The main
reason is that a stratum expands after it meets water, such as gypsum, shale, etc. or
that the pressure at the bottom of sidewall causes the stratum at the bottom to
protrude into the cavern.
(2) Factors affecting the pressure of surrounding rock
There are many factors affecting the pressure of surrounding rock, which are mainly
related to the structure of rock mass, the strength of rock, the action of groundwater,
the size and shape of cavern, the type and stiffness of support, the construction
method, the buried depth of cavern, and the supporting time. Among them, one of
the key factors of rock mass stability is the type and characteristics of rock mass
structural planes.
2. Calculation method of surrounding rock pressure

(1) Surrounding rock pressure calculated according to loose body theory
1) Vertical surrounding rock pressure
The calculation of surrounding rock pressure based on loose body theory began in
the early twentieth century. Considering the existence of cracks and joints in rock
mass, rock mass is cut into independent blocks which are not connected with each
other. Therefore, rock mass can be assumed to be loose. However, the rock block
combination cut by various weak planes is not exactly the same as the real theo-
retical loose body, which requires that the real rock mass be replaced by a special
loose body with certain characteristics, so that the calculation method of this special
loose body is exactly the same as that of the ideal loose body.
The ideal intergranular shear strength of loose body is as follows:
s ¼ r tan u ð2:70Þ
In cohesive rock mass, the shear strength is as follows:
s ¼ r tan u þ c ð2:71Þ
where u is the internal friction angle; r is the normal stress on the shear plane; and
c is the cohesion among particles in rock mass.
Rewrite Formula (2.71) as follows:
c
s ¼ r tan u þ ð2:72Þ
r
Let fk ¼ tan u þ rc , we have
s ¼ r fk ð2:73Þ
Comparing Formula (2.73) with Formula (2.71), they are the same in form.
Therefore, rock mass with a certain cohesive force can also be treated as a com-
pletely loose body. Only fk ¼ tan u þ rc for rock mass with cohesive force replaces
tan u for completely loose body.
① Vertical surrounding rock pressure on shallow structure
When the overburden stratum of underground structure is thin, it is generally

considered that the weight of all the overburden rock mass acts on the underground
structure. At this time, the surrounding rock pressure on the underground structure
is the weight of the overburden rock column (Fig. 2.21a).
q¼cH ð2:74Þ
where q is the concentration of vertical surrounding rock pressure; c is the rock

mass gravity; and H is the thickness of the overburden above the roof of the
underground structure.
It can be seen that the surrounding rock pressure calculated by Formula (2.74) is
the most disadvantageous situation. In fact, when the stratum covered above the
underground structure slides downward, the fixed strata on both sides will inevi-
tably provide friction to the sliding body to prevent it from sliding. As long as the
sum of the reaction force provided by the underground structure and the friction
force provided by both sides can overcome this slide, the surrounding rock pressure
acting on the underground structure is only the difference between the weight of the
rock column and the friction force provided by both sides.
Because the overburden above the underground structure cannot slide along the
wall regularly as shown in Fig. 2.21a, some simplified treatment is carried out for
the convenience of calculation. It is assumed
that a slip surface is formed from the
bottom corner of the cavern at an angle 45 u2 to the sidewall of the structure,
and that the slip surface extends to the surface, as shown in Fig. 2.21b. Only the
rock mass within the slip plane is likely to slide, while the rock mass outside the slip
plane is stable. Taking ABCD as a downward sliding rock mass, its resistance is the
sum of frictional forces along both sides of AB and CD. Therefore, the total pressure
acting on the underground structure is as follows:
Q ¼ G 2F ð2:75Þ
Fig. 2.21 Calculation of vertical surrounding rock pressure for shallow-buried structure
where G is the total weight of ABCD body; F is the friction between AB or CD

plane and G.
From geometric relationship,
u
2a1 ¼ 2a þ 2h tan 45 ð2:76Þ
2
G ¼ 2a1 Hc
So,
h ui
G ¼ 2 a þ h tan 45 cH ð2:77Þ
2
It can be seen from the foregoing that the horizontal pressure on the AB (or CD)
plane is triangular and its maximum value is at Point A (or D).
u
eA ¼ eD ¼ cH tan2 45 ð2:78Þ
2
The total horizontal force on the AB (CD) plane:
1 u
E ¼ cH 2 tan2 45 ð2:79Þ
2 2
The friction resistance on AB (CD) surface:
1 u
F ¼ E tan u ¼ cH 2 tan2 45 tan u ð2:80Þ
2 2
Substitute Formulas (2.77) and (2.80) into Formula (2.75):
h ui u
Q ¼ 2cH a þ h tan 45 cH 2 tan2 45 tan u ð2:81Þ
2 2
The concentration of surrounding rock pressure is

Q H 2 u
q¼ ¼ cH 1 tan 45 tan u ð2:82Þ
2a1 2a1 2
Formula (2.82) is a formula for calculating the surrounding rock pressure con-
sidering the effect of friction. It can be seen that q varies with the depth H of the
underground structure. In order to understand its variation, Formula (2.82) takes the
first derivative of H and makes it zero, so that the depth of maximum surrounding
rock pressure can be obtained as follows:
a1
Hmax ¼ ð2:83Þ
tan2 45 u2 tan u
The total pressure of surrounding rock at this depth is
ca21
Qmax ¼ ð2:84Þ
tan2 45 u2 tan u
Surrounding rock pressure concentration is

ca1
qmax ¼ ð2:85Þ
2 tan2 45 u2 tan u
From Formulas (2.84) and (2.85),
1
qmax ¼ cHmax ð2:86Þ
2
Thus, at the depth of Hmax , the friction resistance is half of the weight of the
whole rock column. From Formula (2.81), when H ¼ 2Hmax is substituted, Q ¼ 0.
This shows that the friction resistance has completely overcome the weight of rock
mass sliding.
In fact, it cannot be considered that when the burial depth of underground
structure H [ 2Hmax , there is no surrounding rock pressure on underground
structure. This is because the object of study is loose surrounding rock, not a rigid
block. For a rigid block, as long as the friction can overcome its gravity, the block
will not move, and the structure under it will not bear the action of the block force.
For the sliding loose body, although the frictional resistance on both sides has
exceeded the total weight of the rock column, the rock blocks far away from the
frictional surface (especially in the middle of the span) will fall off because of their
self-weight.
② Vertical surrounding rock pressure on deep-buried structure
The so-called deep-buried structure means that the buried depth of the underground
structure is so large that the friction resistance on both sides far exceeds the weight
of the sliding column. Therefore, there is no accidental factor that can destroy the
overall stability of rock columns. Surrounding rock pressure of deep-buried
structure is to study the pressure phenomenon in a local area above the underground
cavern. As shown in Fig. 2.22, the stability of ABCDE rock mass is guaranteed due
to the characteristics of deep-buried structure, which is called rock arch. Because it
has the function of unloading pressure on both sides of rock mass, it is also called
unloading arch. At this time, only the weight of rock mass below AED produces
pressure on the structure, so it is called pressure arch.

vertical surrounding rock
pressure of deep-buried
structure
a. Curve shape of pressure arch

Pressure arch can be naturally stable and balanced, and it will be a reasonable arch
axis on which any point is moment-free. The nonuniformity of rock mass weight
caused by the shape of pressure arch curve itself is neglected.
It is assumed that the axes of the arch are subjected to uniform loads and the
centrality is q. According to the theory of moment-free at each point of the pressure
arch axis, the following equations can be established as shown in Fig. 2.23:
1
Hy qx2 ¼ 0 ð2:87Þ
2
where H is the horizontal thrust generated by the vault of pressure arch.

It can be seen that the pressure arch is a quadratic parabolic curve.
b. Height of pressure arch

From Fig. 2.23, it can be seen that the force to balance the thrust H of the vault is
the horizontal reaction T at the arch foot. When T H, the pressure arch can remain
Fig. 2.23 Computing model

stable, while T is provided by the friction force formed by q. The whole vertical
reaction of q at the arch foot are as follows:
A ¼ qa1 ð2:88Þ
The horizontal friction formed by A is
T ¼ Afk ¼ qa1 fk ð2:89Þ
When T = H, the pressure arch is in the limit equilibrium state, then the equation
of the pressure arch is
x2
y¼ ð2:90Þ
2fk a1
Considering the safety of pressure arch, it can be considered that T2 ¼ H, while

the arch foot only balances the horizontal thrust of the vault with half of the
horizontal resistance, which is substituted into Formula (2.87) to obtain a pressure
arch equation with a considerable safety factor of 2.
x2
y¼ ð2:91Þ
fk a1
When x ¼ a1 , the height of pressure arch can be obtained by Formula (2.91):

a1
h1 ¼ ð2:92Þ
fk
where h1 is the height of pressure arch.

Formula (2.92) is an old formula for calculating the surrounding rock pressure of
underground structures, which has been applied since the beginning of the twentieth
century. It is called Prussian formula.
The height of any point on the pressure arch curve is

x2
hx ¼ h1 y ¼ h1 1 2 ð2:93Þ
a1
Therefore, when the overburden layer above the underground structure is thick
enough, the unloading arch plays the role of transferring the weight of rock mass to
both sides of the cavern, so only the weight of rock mass in the pressure arch acts
on the structure.
In the design of underground structures, the difference in load concentration
caused by pressure arch curve is often neglected. The pressure of vertical sur-
rounding rock is uniformly distributed and calculated according to h1 .
q ¼ ch1 ð2:94Þ
where q is the vertical pressure concentration of surrounding rock acting on the

underground structure.
Formula (2.92) shows that fk is an important physical quantity to characterize the
properties of rock mass, which determines the influence of rock mass properties on
the degree of pressure arch. In addition, fk is a comprehensive index of rock mass
resistance to various kinds of damage, which also known as the hardness coefficient
or the Prussian coefficient of rock. If fk is large, the rock mass can resist various
kinds of damage, such as impact, blasting, excavation, and so on. fk can be
expressed as
For loose rock mass : fk ¼ tan u

c
For viscous rock mass : fk ¼ tan u þ
r
1
For lithologic rock mass : fk ¼ Rc
10
where Rc is the ultimate compressive strength of rock (MPa).

Because the structure of rock mass is very complex, the same kind of rock mass
also shows different resistances to various kinds of damage because of different
development conditions of cracks, bedding, and joints. fk should be judged by
experience in combination with the site and various geological facts.
2) Horizontal surrounding rock pressure
There are vertical and horizontal surrounding rock pressures acting on underground
structures, and the calculation of vertical surrounding rock pressures is as men-
tioned above. Generally speaking, the vertical surrounding rock pressure is a load
that cannot be neglected in underground structures, while the horizontal sur-
rounding rock pressure is only considered for the softer strata which fk 2.
The lateral wall of underground structure bears the horizontal pressure of sur-
rounding rock like a retaining wall. Therefore, in order to calculate the horizontal
surrounding rock pressure, the vertical surrounding rock pressure concentration at
this point can
be calculated
first, and then multiplied by the lateral pressure coef-
ficient tan2 45 u2 to obtain the horizontal surrounding rock pressure concen-
tration. Therefore, the pressure concentration of horizontal surrounding rock at any
depth is
u
ez ¼ cz tan2 45 ð2:95Þ
2
The pressure of horizontal surrounding rock distributes triangularly along with
the depth.
If the rock mass is composed of multilayers along with the structural depth, the
horizontal surrounding rock pressure of each layer must be calculated by layers.
3) Surrounding rock pressure at bottom
Building underground structures in some soft rock strata may cause uplift at the
bottom of the tunnel due to the action of the axial pressure at the bottom of the
lining sidewall or the swelling of some rock strata, such as clay stratum and gyp-
sum, in case of water. This kind of action on the bottom of liner gun due to the
upheaval of surrounding rock is called the pressure of surrounding rock at the
bottom. In terms of numerical value, the pressure of the surrounding rock at the
bottom is generally much lower than that of the horizontal surrounding rock.
Because underground engineering is generally constructed in medium-hard sur-
rounding rock, it is usually not necessary to take into account the pressure at the
bottom of the surrounding rock. If necessary, you can refer to the relevant literature,
which will not be described in details here.
(2) Calculating surrounding rock pressure based on elastoplastic body theory
Figure 2.24 shows various deformation areas around underground circular caverns.
Assuming that R is the radius of the inelastic deformation zone, and that a range is
defined with the infinite radius (considerably larger than a), hydrostatic pressure p is
applied on the boundary of this range, and stress rR is applied on the boundary of
radius R. In this case, the stress in the elastic region can be described according to
the solution of the thick-walled cylinder in the elastic theory.
8
< rr ¼ p 1 R22 þ r R22
r
Rr
ð2:96Þ
: rh ¼ p 1 þ R22 r R22
r Rr
According to the elastic–plastic theory, the stress in the non-elastic deformation

zone can be solved as follows:
Fig. 2.24 Elastoplastic

model for calculating
surrounding rock pressure
8
< 2 sin u
rr ¼ pb þ c cot u ar 1sin u c cot u
ð2:97Þ
: rh ¼ p þ c cot u r 1sin u 1 þ sin u c cot u
2 sin u
b a 1sin u
where pb is the counterforce of support to the surrounding cavern, also being the
pressure of rock on support, both of which are equal in size;p is the original stress at
the location of the cavern and p ¼ cH (c is specific gravity of rock and H is the
burying depth); a is the radius of the cavern; R is the radius of the inelastic
deformation zone.
At the interface between elastic and inelastic regions, rr and rh satisfy not only
Formula (2.97) in the inelastic deformation region, but also Formula (2.96) in the
elastic deformation region.
For the inelastic deformation region, from Formula (2.97), we can obtain
2ðpb þ c cot uÞ r 1sin u

2 sin u
rr þ rh ¼ 2c cot u ð2:98Þ

1 sin u a
For the elastic deformation region, from Formula (2.96), we have
rr þ rh ¼ 2p ð2:99Þ
At the junction of elastic and inelastic regions, i.e., r ¼ R, the stress state should
be a constant value. Therefore, Formulas (2.98) and (2.99) should be equal.
pb þ c cot u r 1sin u
2 sin u
p¼ c cot u ð2:100Þ
1 sin u a
So,
1sin u
p þ c cot u 2 sin u
R¼a ð1 sin uÞ ð2:101Þ
pb þ c cot u
It can also be rewritten as follows:

a 1sin
2 sin u
u
pb ¼ ½ðp þ c cot uÞð1 sin uÞ c cot u ð2:102Þ
R
The symbolic meaning in the form is the same as before.
Formula (2.102) is the well-known modified Fenner formula. It shows the
relationship between the size of inelastic deformation zone and the reaction of
support to surrounding rock when the rock mass properties and burial depth are
determined.
(3) Determining surrounding rock pressure by its classification and empirical

formula
According to theoretical analysis and engineering practice, the nature, size, and
distribution of surrounding rock pressure are related to many factors, such as
geological structure, rock mass structure characteristics, groundwater condition,
initial stress state, shape and size of caverns, supporting means, and construction
methods. Because of many factors, the determination of surrounding rock pressure
has become a very complex problem. The method of determining the surrounding
rock pressure based on the theory of loose body and elastic–plastic is proposed by
abstracting and simplifying some assumptions of rock mass, and its application
scope has certain limitations. In order to better solve various practical pressure
calculation problems, empirical formulas and data derived from engineering anal-
ogy are put forward to estimate the surrounding rock pressure.
1) Vertical surrounding rock pressure
The comprehensive empirical formula of vertical pressure of surrounding rock is as

follows:

H
q ¼ K Lþ c ð2:103Þ
2
where q is the uniformly distributed vertical surrounding rock pressure (kPa); c is

the rock mass gravity (kN/m3); K is the pressure coefficient of surrounding rock; L
is the width of the cave (m); and H is the height of the cave (m).
The pressure coefficient of surrounding rock is adopted as follows:
Grade I surrounding rock: K ¼ 0;

Grade II surrounding rock: K ¼ 0:050:10 (Ignoring the influence of H=2, when
2a\10 m, K ¼ 0 is preferable for Grade II surrounding rock),
Grade III surrounding rock: K ¼ 0:100:20 (For Grade III surrounding rock, when
2a\4 m, K ¼ 0 is preferable),
Grade IV surrounding rock: K ¼ 0:300:40;
Grade V surrounding rock: K 0:55:
2) Horizontal surrounding rock pressure
e ¼ kq ð2:104Þ
where e is the uniformly distributed horizontal surrounding rock pressure (kN/m2);

k is the coefficient of lateral pressure.
The lateral pressure coefficient is adopted as follows:
Grade I–II surrounding rock: k ¼ 0;

Grade III surrounding rock: for Class III1, k 0:10 0:15; for Grades III2 and III3,
k 0:15 0:25,
Grade IV surrounding rock: k 0:25 0:40,
Grade V surrounding rock: k 0:40.
3) Scope of application
① The above empirical formulas are applicable to the surrounding rock pressure
of underground structures under deep burial conditions, while the shallow
burial conditions are relatively simple and can be referred to the relevant
codes;
② It is suitable for underground structures with spans less than 15 m, H=L 2:5,
and arched tops;
③ For Grades III and IV surrounding rock, the influence of uneven pressure
should be considered according to geological structure and backfilling
condition;
④ For Grade V surrounding rock, because of the great change of geological
conditions and the great difference of surrounding rock pressure, the lower
limit value is given by the formula. The specific application can be determined
by referring to other relevant formulas and practical experience.
2.3 Initial Crustal Stress, Release Load, and Excavation

Effect
Initial crustal stress field generally includes self-weight stress field and tectonic
stress field, while only self-weight stress field exists in soil layer. For surrounding
rock below Grade IV, shotcrete layer will provide support resistance to surrounding
rock in the process of co-deformation with surrounding rock, so that the defor-
mation of surrounding rock can be controlled, so as to keep the surrounding rock
stable. At the same time, the shotcrete will be squeezed from the surrounding rock.
This kind of extrusion force is caused by the deformation of surrounding rock, often
referred to as “deformation pressure.”
Surrounding rocks below Grade IV generally exhibit plastic and rheological
characteristics, and the development of deformation after excavation often lasts for
a long time. When using molded concrete to support surrounding rock, disturbing
surrounding rock and not close to surrounding rock mass when replacing the
original temporary support can cause loose pressure. When the collapse develops to
a certain extent, lining will be close to surrounding rock, and with the continuous
development of surrounding rock deformation, lining will also be squeezed, so as to
withstand deformation pressure. It can be seen that the transfer of deformation
pressure between surrounding rock and support is a process of gradual development
with time. Such phenomena are often referred to as time effects.
In finite element analysis, the deformation pressure is usually determined
simultaneously in the calculation process. As a simulation of excavation effect, the
direct applied load is the released load on the excavation boundary.
Fig. 2.25 Excavation boundary node
The released load can be determined by the known initial crustal stress or the
stress field corresponding to the previous excavation. First, the stress of each node
on the excavation boundary is predicted and assumed to be linearly distributed.
Then, the stress direction of each node on the excavation boundary is reversed
(changing its symbols) to obtain the release load, as shown in Fig. 2.25.
2.3.1 Determination of Initial Crustal Stress
The determination of initial crustal stress often requires special study. For rock
strata, the initial crustal stress can be divided into two parts: self-weight crustal
stress and tectonic crustal stress, while the soil layer generally has only self-weight
crustal stress. If it is assumed to be uniformly or linearly distributed stress and
superposed with gravity stress, the formula for calculating initial crustal stress can
be obtained as follows:
rx ¼ a1 þ a4 z rz ¼ a2 þ a5 z sxz ¼ a3 ð2:105Þ
where a1 a5 are the constants and z is the vertical coordinate.

For soft soil stratum, the vertical component of initial crustal stress can be taken
as self-weight stress, while the horizontal component is usually calculated by the
horizontal lateral pressure coefficient K0 given by experience. The initial formula is
as follows:
X
rz ¼ ci H i rx ¼ K0 ðrz Pw Þ þ Pw ð2:106Þ
2.3 Initial Crustal Stress, Release Load, and Excavation Effect 73
where rz and rx are vertical and horizontal initial crustal stresses, respectively; ci is
the specific gravity of No. i soil layer above the calculation point; Hi is the cor-
responding thickness; and pw is the pore water pressure of the calculation point.
2.3.2 Calculation of Release Load
For each excavation stage, the expression of finite element analysis can be written
as follows:
½K i fDdgi ¼ fDFr gi þ fDFa gi ði ¼ 1. . .LÞ ð2:107Þ
where L is the number of excavation stages; ½K i is the total stiffness matrix of soil
P
and structure in No. i excavation stage, calculated by ½K i ¼ ½K 0 þ ik¼1 ½DK k ;
½K 0 is the initial total stiffness matrix of soil and structure when excavation begins;
½DK k is the increment or decrease of the rigidity of soil and structure in No. k
excavation stage, which is used to reflect the excavation, filling, and construction or
demolition of the element of soil; ½DFr i is the equivalent nodal force of the released
load on the excavation boundary at No. i excavation stage; ½DFa i is the equivalent
nodal force of additional dead weight in No. i excavation stage; and fDdgi is the
increment of node displacement in No. i excavation stage.
When the incremental initial strain method is used to solve the problem, for each
excavation step, the expression of the finite element analysis of the incremental
loading process is as follows:
½K ij fDdgij ¼ fDFr gi aij þ fDFa gij ði ¼ 1 L; j ¼ 1 M Þ ð2:108Þ
where M is the number of incremental loading for each excavation

Pj
step;½K ij ¼ ½K i1 þ n¼1 ½DK in is the stiffness matrix of the first incremental step
applied to No. i excavation step; aij is the load release coefficient at the excavation
P
boundary of No. j incremental step in No. i excavation, and M j¼1 aij ¼ 1 when the
excavation boundary load is completely released; fDFa gij is the equivalent nodal
force of No. j incremental step in No. i excavation; and fDdgij is the node dis-
placement increment of No. j incremental step in No. i excavation.
In the incremental loading process, the excess plastic strain caused by material
yield is transferred in the form of initial strain after some rock and soil enter the
plastic state, and is shared by all the elements in the whole system. In each time
step, the initial strain corresponding to the excess plastic strain of each element acts
in the form of equivalent nodal force and is treated as the additional load of the
node when calculating again. Then the iteration operation is carried out until the
final calculating time of the time step, and the given accuracy requirement is
satisfied.
When tension failure occurs in soil elements, and tension or shear failure occurs
in joint and contact surface elements, it can also be treated according to the same
principle as the method mentioned above. After the element is destroyed, the stress
of the element along the direction of failure needs to be transferred, which is treated
as equivalent nodal force in the calculation process, and then iterated.
2.4 Elastic Resistance of Stratum
Underground structures are subjected to active loads (such as surrounding rock

pressure, curved wall arch structure shown in Fig. 2.26), and under active loads
(vertical loads being greater than horizontal loads), the deformation of underground
structures is shown as dashed lines.
In the vault, its deformation is backward to the stratum. In this area, the rock and
soil mass has no restraint effect on the structure, so it is called “detachment zone”.
In the foot of the side arch and the sidewall, the structure produces compression
deformation to the stratum. Because the structure is in close contact with the rock
and soil mass, the rock and soil mass will stop the deformation of the structure, thus
producing the reaction force to the structure, which is customarily referred to as the
reaction force. The existence of elastic resistance and stratum elastic resistance is
one of the remarkable characteristics of underground structure which is different
from ground structure. Because the ground structure can deform freely under the
action of external force, and the underground structure is constrained by the stratum
under the action of external force, the interaction between structure and stratum
must be considered in the design of underground structure, which brings the
Fig. 2.26 Deformation law

of lining structure under
external force
2.4 Elastic Resistance of Stratum 75
complexity of the design and calculation of underground structure. On the other

hand, due to the existence of elastic resistance, the deformation of the structure is
limited, so that the stress conditions of the structure can be improved, so that its
deformation is small and its bearing capacity is increased.
Since elastic resistance is caused by the interaction between structure and stra-
tum, the magnitude and distribution of elastic resistance is not only determined by
the deformation of structure, but also closely related to the physical and mechanical
properties of stratum. How to determine the magnitude of elastic resistance and its
range of action (resistance area), there are two theories at present: one is the theory
of local deformation, which holds that the external force applied at a certain point of
elastic foundation will only cause the settlement of the point; the other is the theory
of common deformation, which holds that the external force of a point on elastic
foundation will not only cause the settlement of the point but also cause a certain
area nearby. Base subsidence. The latter theory is more reasonable, but because the
local deformation theory is relatively simple to calculate and generally can meet the
requirements of Engineering accuracy, so the local deformation theory is mostly
used to calculate the elastic resistance at present.
In the theory of local deformation, based on the well-known Winkler’s
assumption, it is considered that the elastic resistance of strata is proportional to the
structural displacement.
r ¼ kd ð2:109Þ
where r is the elastic resistance strength (kPa); k is the coefficient of elastic

resistance (kN/m3); d is the displacement of the calculated point of soil body (m).
For various underground structures and different media, the values of elastic
resistance coefficients are different, which can be determined according to engi-
neering practice experience or referring to relevant codes.
2.5 Structural Self-weight and Other Loads
When calculating the static load of a structure, the self-weight of the structure must
be taken into account. The self-weight of equi-straight rods, such as walls, beams,
slabs, and columns, is simple to calculate and is not introduced. Next, the calcu-
lation method of arch ring self-weight of lining structure is emphatically introduced.
(1) The weight of lining structure is simplified as vertical uniform load. When the
cross section of arch ring is equal cross-sectional arch, the weight load of
structure is
q ¼ cd0 ð2:110Þ
Fig. 2.27 Self-weight

calculation of arch ring
structure
where c is the specific gravity of materials (kN/m3); d0 is the thickness of the vault
section (m).
(2) The self-weight of the structure is simplified as vertical uniform load and
triangular load.
As shown in Fig. 2.27, when the arch ring is a variable cross-sectional arch, the
following three approximate formulas can be used for the self-weight of the
structure.

q ¼ cd0
ð2:111Þ
Dq ¼ c dj d0
(
q ¼ cd0
d ð2:112Þ
Dq ¼ c cosju d0
j
(
q ¼ cd0
ðd0 þ dj Þuj 2d0 sin uj ð2:113Þ
Dq ¼ sin uj c
Underground structures may encounter other loads, such as grouting pressure,

concrete shrinkage stress, underground hydrostatic pressure, temperature difference
stress, and seismic load, besides earth pressure, structural self-weight, and elastic
resistance. The calculation of these loads can be referred to the relevant literature.
2.6 Summary 77
2.6 Summary
(1) Because of the complexity of the environment in which underground struc-

tures exist, the loads acting on underground structures are diverse, uncertain,
and random. Loads acting on underground structures can be divided into static
load, dynamic load, and living load according to their existing state. Under-
ground structures are subjected to the structural self-weight, the strata pres-
sure, the elastic resistance, the groundwater hydrostatic pressure, the vehicle
and equipment weight, and other loads.
(2) In the design of underground structures, the section internal forces of each
component under individual loads are calculated first, then the most unfa-
vorable combination of internal forces is carried out, and the maximum
internal forces of each design control section are obtained.
(3) Earth pressure is the result of interaction between soil and retaining structure.
It can be divided into static earth pressure, active earth pressure, and passive
earth pressure. Elastic theory is generally used to calculate static earth pres-
sure, while Coulomb theory and Rankine theory are the main classical theories
of lateral earth pressure. The calculation of water and soil pressure considering
groundwater includes the calculation of water and soil pressure, the calculation
of water and soil pressure, and the calculation of water pressure in steady
seepage.
(4) Surrounding rock pressure refers to the pressure acting on the lining structure
or supporting structure, which is located around the underground structure and
is deformed or destroyed. To determine the surrounding rock pressure
according to loose body theory and elastic–plastic theory has certain limita-
tions, because it is proposed by abstracting and simplifying some assumptions
of rock mass. The empirical formula derived from engineering analogy can
better solve various practical pressure calculation problems.
Problems
2:1 What are the types of loads on underground buildings?
2:2 Briefly describe the calculation principle of underground building load.
2:3 What kinds of earth pressure can be divided into? What is the size
relationship?
2:4 How is the static earth pressure determined?
2:5 What are the basic assumptions of Coulomb’s theory? Give the general
formula for calculating earth pressure.
2:6 How to determine the earth pressure in cohesive soil using Coulomb theory?
2:7 Briefly describe the basic assumptions of Rankine earth pressure theory.
2:8 How to calculate the earth pressure of layered soils?
2:9 How to calculate the earth pressure under different ground overloads?
2:10 How is the horizontal pressure calculated when considering groundwater?
2:11 Briefly describe the concept of surrounding rock pressure and its
influencing factors.
2:12 Briefly describe two theoretical methods for calculating wall rock pressure.
What is the difference between the two?
2:13 Briefly describe the basic concept of the elastic resistance? What factors
affect the value of the elastic resistance?
2:14 How to determine the elastic resistance?
2:15 Briefly describe Winkler’s assumption.
2:16 How to consider the initial crustal stress, release load and excavation effect?
Elastic Foundation Beam Theory
3
3.1 Introduction
3.1.1 Characteristics of Elastic Foundation Beam
The elastic foundation beam is a beam placed on a certain elastic foundation and
each point of the beam closely linked to the foundation, such as railway sleepers,
reinforced concrete strip foundation beams, etc. Through this kind of beam, the load
acting on it will be distributed to a large area of foundation. Even if the foundation
with low bearing capacity can bear heavy load, it can also reduce the deformation of
the beam, improve its rigidity and reduce its internal force.
Elastic foundation beam theory has important applications in the design and
calculation of underground structures. For example, for the calculation of the
straight wall lining structure of tunnel, the lining is regarded as an arch ring sup-
ported on two vertical elastic foundations. The straight wall parts can be calculated
by elastic foundation beam theory. Take another example, it is also necessary to use
the elastic foundation beam theory to calculate the longitudinal internal force of the
shallow underground passage.
The elastic foundation beam of the underground structure can be flat or vertical.
The foundation media can be solid materials such as rock, clay, and so on and can
also be water, oil, and other liquid media. The elastic foundation beam is the
statically indeterminate beam and there is a set of special computational theories. In
the calculation of elastic foundation beams, there are two common assumptions:
(1) Winkler’s assumption; (2) Assumption of foundation being elastic semi-infinite
body.
Three are two differences between the elastic foundation beam theory and the
ordinary beam. (1) The ordinary beam is connected to a foundation only at the
limited support and its support reaction is a limited unknown force. Therefore, the
ordinary beam is the statically determinate structure or finite indeterminate struc-
ture. The elastic foundation beam is continuously contacted with the foundation and
https://doi.org/10.1007/978-981-13-7732-7_3
80 3 Elastic Foundation Beam Theory
its reacting force is continuously distributed. That is to say, the elastic foundation
beam has infinite fulcrums and infinite unknown counterforce. Therefore, the elastic
foundation beam is an infinitely statically indeterminate structure. Thus, it can be
seen that the number of statically indeterminate times is infinite or limited, which is
a major difference between the elastic foundation beam and the ordinary beam.
(2) The support of the ordinary beam is usually considered as a rigid support, that
is, the deformation of the foundation is omitted, and only the deformation of the
beam is considered. However, the elastic foundation beam must consider the
deformation of the foundation at the same time. In fact, the beam and the foundation
are deformed together. On the one hand, the foundation is subsided by the pressure
of the beam and in turn, the displacement of the beam is limited by the opposite
pressure of the foundation. The displacement of the beam and the settlement of the
foundation must be equal to each other, so as to meet the continuous deformation
conditions. Thus, it can be seen whether the deformation of the foundation is
considered or omitted, which is another major difference between the elastic
foundation beam and the ordinary beam.
3.1.2 Types of Elastic Foundation Beam
In engineering practice, by the comparison of calculation and analysis, the foundation

beam can be classified according to different converted lengths k = al (a is the elastic
scale value of the beam, which shows the relative stiffness of the beam and the
foundation) and then simplified by different methods. The elastic foundation beam is
divided into three types. The purpose of the division is to simplify the calculation.
1. Short beam
As shown in Fig. 3.1a, when the converted length of the elastic foundation beam
1\k\2:75, it belongs to the short beam, which is the general situation of the
elastic foundation beam.
Fig. 3.1 Classification of elastic foundation beam. a Short beam; b Infinite long beam;
c Semi-infinite long beam; d Rigid beam
3.1 Introduction 81
2. Long beam
The long beam is divided into the infinite long beam (Fig. 3.1b) and the
semi-infinite long beam (Fig. 3.1c). When the converted length of the elastic
foundation beam k 2:75, it belongs to the long beam. If the converted lengths
between the load point and beam ends are not less than 2.75, the effect of the load
on the beam ends is ignored and the beam is called the infinite beam. If the
converted length between the load point and one beam end is not less than 2.75, the
effect of the load on the one beam end is ignored. However, the effect of the load on
the other beam end cannot be ignored. The beam is called the semi-infinite beam.
The finite beam can be divided by two semi-infinite beams.
3. Rigid beam
When the converted length of the elastic foundation beam k 1, the elastic foun-
dation beam belongs to the rigid beam and it is considered that the beam is
absolutely rigid. That is EI ! 1 or a ! 0.
3.2 Calculation of Elastic Foundation Beam by Winkler’s

Assumption
3.2.1 Basic Assumptions
In 1867, E. Winkler put forward the assumption that the settlement of any point on
the foundation surface is proportional to the pressure on the unit area of the point.
r
y¼ ð3:1Þ
k
where y is the settlement of the foundation; k is the elastic foundation coefficient

(kPa/m), which is also called the elastic compression coefficient or the elastic
resistance coefficient and its physical meaning is the pressure required to create a
unit settlement of the foundation; r is the pressure intensity on unit area (kPa).
The assumption is that the foundation is actually simulated as a series of inde-
pendent springs on the rigid support, as shown in Fig. 3.2. When a point on the
foundation surface is subjected to pressure r because the spring is independent of
each other, only y is generated locally at this point, but there is no settlement in other
places. Therefore, this foundation model is called the local elastic foundation model.
The elastic foundation beam is calculated by Winkler’s assumption, the actual
elastic deformation of the beam itself can be considered, so the shortcoming in the
assumption of the linear distribution of the counterforce is eliminated. The disad-
vantage of Winkler’s assumption is that it does not reflect the continuity of foun-
dation deformation. When the foundation surface is subjected to pressure at a
certain point, it not only causes settlement locally but also generates settlement in
the adjacent area. Because the continuity of foundation is not considered, Winkler’s
Fig. 3.2 Local elastic foundation model
assumption cannot fully reflect the actual deformation of the foundation beam,
especially for the dense thick soil foundation and the whole rock foundation, which
will cause a greater error. However, if the upper part of the foundation is the thinner
soil layer and the lower part is the hard rock, the foundation condition is similar to
the spring model in Fig. 3.2 and a satisfactory result will be obtained.
Among the computing theories of the elastic foundation beam, three other
assumptions are required in addition to the assumption of the above local elastic
foundation model.
(1) In the process of deformation of the foundation beam under the external load,
the bottom of the beam and the surface of the foundation are always closely
linked, that is, the settlement or uplift of the foundation is equal to the
deflection of the beam everywhere.
(2) Because the friction between the beam and the foundation has little influence
on the calculation results, it can be omitted and the counterforce of the
foundation is perpendicular to the contact face.
(3) The ratio of the height to the span of the foundation beam is relatively small
and accords with the assumption of the flat section. Therefore, the calculation
of the deformation and internal force of the beam in the Material Mechanics
can be directly applied.
3.2.2 Basic Equations of Elastic Foundation Beam Based

on Winkler’s Assumption
1. Differential equation of the deflection curve of elastic foundation beam
Figure 3.3 illustrates one elastic foundation beam with equal cross section and the
beam width b = 1 m. According to Formula (3.1), the foundation counterforce
r ¼ Ky, where K ¼ b k.
3.2 Calculation of Elastic Foundation Beam by Winkler’s Assumption 83
Fig. 3.3 The load on the elastic foundation beam
The positive directions of the angular variation, the displacement, the bending
moment, the shear force, and the load are shown in Fig. 3.3. The differential
equation of the deflection curve of elastic foundation beam is deduced as follows.
The microsection shown in Fig. 3.3b is taken from the elastic foundation
P beam
shown in Fig. 3.3a. According to the equilibrium condition of the force Fy ¼ 0,
we can get
ðQ þ dQÞ Q þ qð xÞdx rdx ¼ 0
After simplification,
dQ
¼ r qðxÞ ð3:2Þ
dx
P
According to the equilibrium condition of the bending moment M ¼ 0,
ðdxÞ2 ðdxÞ2
M ðM þ dM Þ þ ðQ þ dQÞdx þ qð xÞ r ¼0
2 2
Omitting the two order trace, we can get
dM
Q¼ ð3:3Þ
dx
From Formulas (3.3) and (3.2),
dQ d2 M
¼ 2 ¼ r qðxÞ ð3:4Þ
dx dx
Under the coordinate system and the force condition shown in Fig. 3.3, if the
effect of the shear force on the deflection of the beam is not counted, the knowledge
of Material Mechanics is obtained.
9
dy >
h¼ >
>
dx >
>
>
=
dh d2 y
M ¼ EI ¼ EI 2 ð3:5Þ
dx dx > >
>
>
>
dM d3 y >
;
Q¼ ¼ EI 3
dx dx
Substituting Formula (3.5) into Formula (3.4) yields
d4 y
EI ¼ Ky þ qðxÞ ð3:6Þ
dx4
Let
rffiffiffiffiffiffiffiffi
K
a¼ 4 ð3:7Þ
4EI
d4 y 4 4a4
þ 4a y ¼ qðxÞ ð3:8Þ
dx4 K
where a is the elastic scale value of the beam; E is the elastic modulus of the beam;
I is the section inertia moment of the beam.
Formula (3.8) is the differential equation of the deflection curve of elastic
foundation beam.
In order to facilitate the calculation, the variable x is replaced by a variable ax in
Formula (3.8). The two variables have the following relation:
dy dy dðaxÞ dy
¼ ¼a ð3:9Þ
dx dðaxÞ dx dðaxÞ
d4 y 4
4
þ 4y ¼ qðaxÞ ð3:10Þ
dðaxÞ K
Formula (3.10) is the differential equation of the deflection curve of elastic

foundation beam whose variable x is replaced by the variable ax. The calculation of
the elastic foundation beam based on Winkler’s assumption can be attributed to the
solution of the differential Formula (3.10). When the solution of y is solved, the
angular variation h, the bending moment M and the shear force Q can be obtained
by Formula (3.5). It will be multiplied by ground counterforce. y times K is the
foundation counterforce.
2. Homogeneous solution of the differential equation of the deflection curve

Formula (3.10) is a constant coefficient, linear, nonhomogeneous differential equa-
tion and its general solution is composed of the homogeneous solution and the special
solution. Its homogeneous solution is the general solution of the following formula:
d4 y
þ 4y ¼ 0 ð3:11Þ
dðaxÞ4
The characteristic equation of Formula (3.11) is
r4 þ 4 ¼ 0
The roots of the characteristic equation are
r1;2 ¼ 1 i; r3;4 ¼ 1 i
The general solution of the homogeneous Formula (3.11) is
y ¼ eax ðA1 cos ax þ A2 sin axÞ þ eax ðA3 cos ax þ A4 sin axÞ ð3:12Þ
Introducing the hyperbolic sine and hyperbolic cosine,
eax eax eax þ eax

shax ¼ ; chax ¼
2 2
Formula (3.12) becomes
y ¼ C1 chax cos ax þ C2 chax sin ax þ C3 shax cos ax þ C4 shax sin ax ð3:13Þ
Formula (3.13) is the homogeneous solution of the differential equation Formula

(3.10). Four undetermined constants ðC1 ; C2 ; C3 and C4 Þ and the additional item
(effect by the loads) are determined in Sects. 3.2.3, 3.2.4, and 3.2.5 for the elastic
foundation beam divided by the short beam, the long beam, and the rigid beam,
respectively. The final solution of the differential equation Formula (3.10) is the
combination of the general solution and the additional item.
3.2.3 Computation of Short Beam Based on Winkler’s

Assumption
1. Initial parameters and introduction of hyperbolic trigonometric functions
Figure 3.4 illustrates a foundation beam with equal section. Assuming there are the
displacement y0 , the variable angle h0 , the bending moment M0 , and the shear force
Fig. 3.4 The initial parameters of the beam and the coordinates of the loading point
Q0 at the left end of the beam and the four parameters are called the initial
parameters, whose positive directions are shown in Fig. 3.4, respectively.
Formula (3.13) is differentiated by each order and the boundary conditions at the
left end of the beam are considered, in addition, when x ¼ 0; chax ¼ cos ax ¼ 1
and shax ¼ sin ax ¼ 0, we can get
9
y0 ¼ C 1 >
>
>
>
h0 ¼ að C 2 þ C 3 Þ =
ð3:14Þ
M0 ¼ 2EIa2 C4 >
>
>
>
;
Q0 ¼ 2EIa3 ðC2 þ C3 Þ
Formula (3.14) is solved,

9
C1 ¼ y0 >
>
>
>
1 1 >
C2 ¼ h0 3 Q0 > >
>
=
2a 4a EI
1 1 ð3:15Þ
C3 ¼ h0 þ 3 Q0 > >
>
2a 4a EI >
>
>
>
1 >
;
C 4 ¼ 2 M0
2a EI
The four constants C1 ; C2 ; C3 and C4 in Formula (3.13) are shown by the four
initial parameters y0 ; h0 ; M0 and Q0 . Substituting Formula (3.15) into Formula
(3.13) yields
1
ðchax sin ax þ shax cos axÞ
y ¼ y0 chax cos ax þ h0
2a ð3:16Þ
1 1
M0 2 shax sin ax Q0 3 ðchax sin ax shax cos axÞ
2a EI 4a EI
For the convenience of calculation, the mark is introduced

9
u1 ¼ chax cos ax >
>
>
u2 ¼ chax sin ax þ shax cos ax =
ð3:17Þ
u3 ¼ shax sin ax >
>
>
;
u4 ¼ chax sin ax shax cos ax
where u1 ; u2 ; u3 and u4 are hyperbolic trigonometric functions and their values can
be obtained from Table A.1. The relationships of the four trigonometric functions
are as follows:
9
du1 du1 dðaxÞ du1
¼ ¼a ¼ au4 >
>
>
>
dx dðaxÞ dx dðaxÞ >
>
>
>
du2 du2 dðaxÞ du2 >
>
¼ ¼a ¼ 2au1 >
>
=
ð3:18Þ
¼ ¼a ¼ au2 >>
>
>
dx dðaxÞ dx dðaxÞ >
>
>
>
>
¼ ¼a >
¼ 2au3 ;
Substituting Formula (3.17) into Formula (3.16), replacing EI by Formula (3.7),

conducting successive order derivatives by Formula (3.5), and paying attention to
Formula (3.18) yield
9
1 2a2 a >
y ¼ y 0 u 1 þ h0u2 M0 u3 Q0 u4 > >
>
2a K K >
>
>
>
2a 3
2a 2 >
h ¼ y0 au4 þ h0 u1 M0 u2 Q0 u3 >
=
K K ð3:19Þ
K K 1 >
>
M ¼ y0 2 u3 þ h0 3 u4 þ M0 u1 þ Q0 u2 > >
>
2a 4a 2a >
>
>
>
K K >
Q ¼ y0 u2 þ h0 2 u3 M0 au4 þ Q0 u1 ;
2a 2a
Formula (3.19) is the solution of the homogeneous differential equation with
initial parameters. One of the obvious advantages of this formula is that each item in
the formula has a clear physical meaning. In the first line of Formula (3.19), u1
denotes the deflection equation when the original point has unit deflection and the
1
other three initial parameters is zero; 2a u2 denotes the deflection equation when the
original point has unit variable angle and the other three initial parameters is zero;
2
2aK u3 denotes the deflection equation when the original point has unit bending
moment and the other three initial parameters is zero; Ka u4 denotes the deflection
equation when the original point has unit shear force and the other three initial
parameters is zero. Another notable advantage is that in four undetermined con-
stants y0 ; h0 ; M0 and Q0 , two parameters can be directly obtained from two
boundary conditions at the origin point and the other two undetermined initial
parameters are determined by the boundary conditions at the other end of the beam.
In this way, the work of determining the parameters is simplified.
2. Boundary conditions
The general solution of basic differential equation of Formula (3.19) includes four
initial parameters y0 ; h0 ; M0 and Q0 which can be solved by the four boundary
conditions of the elastic foundation beam. The boundary conditions of different
support conditions at the beam ends are as follows.
(1) Boundary conditions at fixed end of the beam
The vertical displacement y ¼ 0; the variable angle h ¼ 0, that is, d y

dx ¼ 0. If the
fixed end has a given settlement and a given angle, the boundary conditions y ¼ the
given settlement and ddyx ¼ the given angle.
(2) Boundary conditions at simply supported end of the beam

2
The vertical displacement y ¼ 0; the bending moment M ¼ 0, that is d y
dx2 ¼ 0. If the
simply supported end has a given settlement and a given bending moment, the
2
boundary conditions y ¼ the given settlement and d y
dx2 ¼ the given value.
(3) Boundary conditions at free end of the beam
2 3
The bending moment M ¼ 0, that is ddxy2 ¼ 0; the shear force Q ¼ 0, that is d y
dx3 ¼ 0.
If the free end of the beam has a given bending moment and a given shear force, the
2 3
boundary conditions ddxy2 ¼ the given value and ddxy3 ¼ the given value.
It is seen that two boundary conditions can be written at each end of the beam
and four boundary conditions can be written at both ends of the beam, so that four
undetermined constants can be solved exactly.
3. Additional items caused by external loads

Taking the elastic foundation beam shown in Fig. 3.4 as an example, when the
initial parameters y0 ; h0 ; M0 and Q0 are known, the displacement y, the variable
angle h, the bending moment M, and the shear force Q of each section left to the
concentrated force P can be calculated by Formula (3.19). However, for those of
each section right to the concentrated force P, the additional item caused by the
external load should be added to Formula (3.19).
The additional items caused by the concentrated force P, the bending moment M,
and the distributed load q are solved as follows.
(1) The additional item caused by the concentrated force P

As shown in Fig. 3.4, the coordinate origin is moved to the action point of the
concentrated force P. The displacement, the variable angle, the bending moment,
and the shear force of each section right to the concentrated force P can also be
solved by Formula (3.19). Because only the effect of P is considered, the four initial
parameters at its action point are
yx1 ¼ 0; hx1 ¼ 0; Mx1 ¼ 0; Qx1 ¼ P
The y0 ; h0 ; M0 and Q0 of Formula (3.19) are replaced by yx1 ; hx1 ; Mx1 and Qx1 ,
which yields
a 9
y¼ Pu4aðxx1 Þ > >
>
K >
>
2 >
>
2a >
h¼ Pu3aðxx1 Þ =
K ð3:20Þ
1 >
>
M ¼ Pu2aðxx1 Þ > >
>
>
2a >
>
;
Q ¼ Pu1aðxx1 Þ
where the hyperbolic trigonometric functions u1 ; u2 ; u3 and u4 all have the sub-
script aðx x1 Þ, which denotes that these functions change with the variable
aðx x1 Þ.
Formula (3.20) is the additional item caused by the concentrated force P. The
displacement, the variable angle, the bending moment, and the shear force of each
section left to the concentrated force P (Fig. 3.4) are obtained only by Formula
(3.19) and Formula (3.20) is not needed. Therefore, when x\x1 , Formula (3.20)
does not exist.
(2) The additional item caused by the concentrated bending moment M

When only the bending moment M is loaded on the beam shown in Fig. 3.4, the
coordinate origin is moved to the action point of the concentrated bending moment
M. The method is the same as that of the derivation of Formula (3.20) and the four
initial parameters at its action point are
yx2 ¼ 0; hx2 ¼ 0; Mx2 ¼ M; Qx2 ¼ 0
The y0 ; h0 ; M0 and Q0 of Formula (2.19) are replaced by yx2 ; hx2 ; Mx2 and Qx2 .
The additional item caused by the concentrated bending moment M is obtained
9
2a2
y¼ Mu3aðxx2 Þ >
>
>
>
K >
>
3 >
=
2a
h¼ Mu2aðxx2 Þ ð3:21Þ
K >
>
>
>
M ¼ Mu1aðxx2 Þ >
>
>
;
Q ¼ aMu4aðxx2 Þ
where the hyperbolic trigonometric functions u1 ; u2 ; u3 and u4 all have the sub-
script aðx x2 Þ, which denotes that these functions change with the variable
aðx x2 Þ. When x\x2 , Formula (3.21) does not exist.
(3) The additional item caused by the distributed load q

As shown in Fig. 3.4, the displacement, the variable angle, the bending moment,
and the shear force of the section xðx x4 Þ can be solved by considering the
distributed load to infinite concentrated loads qdu, which is substituted into For-
mula (3.20), yielding
9
Zx4 >
a >
>
y¼ u4aðxuÞ qdu > >
>
K >
>
x3 >
>
>
>
Z x4 >
>
2a2 >
>
h¼ u3aðxuÞ qdu >
>
>
>
K >
=
x 3
Zx4
ð3:22Þ
>
>
1 >
M¼ u2aðxuÞ qdu >
>
>
>
2a >
>
x3 >
>
>
>
Zx4 >
>
>
>
Q ¼ u1aðxuÞ qdu > >
>
>
;
x3
where the hyperbolic trigonometric functions u1 ; u2 ; u3 and u4 change with the

variable aðx uÞ. If x is considered as the constant, dðx uÞ ¼ du and combined
with Formula (3.18), then
9
1 d >
>
u4aðxuÞ ¼ u1aðxuÞ >
>
a du >
>
1 d >
>
>
=
2a du ð3:23Þ
1 d >
>
u2aðxuÞ ¼ u >
a du 3aðxuÞ > >
>
>
1 d >
>
;
2a du

9
Zx4 >
1 d >
>
y¼ u qdu >
>
K du 1aðxuÞ >
>
>
>
x3
8 >
>
2 x 39 >
>
Z4 >
1 <h i x4 dq = >
>
>
¼ qu1aðxuÞ 4 u1aðxuÞ du5 >
>
>
K: x3 du ; >
>
x3 >
>
>
>
Zx4 >
>
a d >
>
h¼ u4aðxuÞ qdu >
>
>
>
K du >
>
x3 >
>
8 2 x >
39 >
Z >
>
a < h i x4
4
dq = >
>
>
>
K: x3 du ;>>
=
x 3
ð3:24Þ
Zx4 >
>
1 d >
>
M¼ 2 u qdu >
>
2a du 3aðxuÞ >
>
>
>
x3
8 2 x 39 >
>
>
>
< h i Z4 = >
>
1 x 4 dq >
>
¼ 2 qu3aðxuÞ 4 u3aðxuÞ du5 >
>
>
2a : x3 du ; >
>
x3 >
>
>
>
Zx4 >
>
1 d >
>
Q¼ u2aðxuÞ qdu >
>
>
>
2a du >
>
>
39 >
x3
8 2 x >
>
< h i Z = >
>
1 x4
4
dq >
>
>
2a : x3 du ; >
>
;
x3
Formula (3.24) is the additional item caused by the distributed load. From
Formula (3.24), the additional items caused by four different distributed loads are
solved, including (1) there is a length of uniform load on the beam; (2) there is a
length of triangular distributed load on the beam; (3) the uniform load is distributed
on the full span of the beam, and (4) the triangular load is distributed on the full
span of the beam.
(1) The additional item caused by a length of uniform load on the beam
As shown in Fig. 3.5, there is a length of uniform load on the beam q0 , so q ¼ q0 ,

dq ¼ 0, which are substituted into Formula (3.24) and the additional item is
du
obtained
Fig. 3.5 A length of

distributed load on the beam
q0 h i 9
y¼ u1aðxx4 Þ u1aðxx3 Þ >
>
K >
>
q0 a h i >
>
>
h¼ u4aðxx4 Þ u4aðxx3 Þ >=
Kh i ð3:25Þ
q0 >
M ¼ 2 u3aðxx4 Þ u3aðxx3 Þ >
>
2a h >
>
i >
>
q0 >
;
Q¼ u2aðxx4 Þ u2aðxx3 Þ
2a
(2) The additional item caused by a length of triangular distributed load on the
beam
As shown in Fig. 3.5, there is a length of triangular distributed load on the beam
(when x ¼ x3 ; q ¼ 0, when x ¼ x4 ; q ¼ DqÞ and q ¼ x4Dq dq Dq
x3 ðu x3 Þ; du ¼ x4 x3 ,
which are substituted into Formula (3.24) and the additional item is obtained
h i i 9
Dq 1 h >
>
y¼ ðx4 x3 Þu1aðxx4 Þ þ u2aðxx4 Þ u2aðxx3 Þ >
>
K ðx 4 x 3 Þ 2a >
>
h i h i >
>
aDq 1 >
>
h¼ ðx4 x3 Þu4aðxx4 Þ u1aðxx4 Þ u1aðxx3 Þ >
>
K ðx 4 x 3 Þ a =
h i h i ð3:26Þ
Dq 1 >
M¼ 2 ðx4 x3 Þu3aðxx4 Þ þ u u4aðxx3 Þ > >
>
>
2a ðx4 x3 Þ 2a 4aðxx4 Þ >
h i h i > >
>
Dq 1 >
>
Q¼ ðx4 x3 Þu2aðxx4 Þ þ u3aðxx4 Þ u3aðxx3 Þ >
;
2aðx4 x3 Þ a
(3) The additional item caused by the uniform load distributed on the full span of
the beam
As shown in Fig. 3.6, when the uniform load q0 is distributed on the full span of the
beam, so x3 ¼ 0 and the coordinate distance x of any section of the beam is always
Fig. 3.6 Full span of

distributed load on the beam
less than or equal to x4 . The subscript x4 of each function u in Formula (3.25)

is changed to x and the additional item caused by the uniform load distributed on
the full span of the beam is obtained
q0 9
y¼ ð1 u 1 Þ >
>
>
K >
>
q0 a >
>
h¼ u4 >
=
K ð3:27Þ
q0
M ¼ 2 u3 > >
>
>
2a >
>
q0 >
>
Q ¼ u2 ;
2a
(4) The additional item caused by the triangular load distributed on the full span of
the beam
As shown in Fig. 3.6, when the triangular load is distributed on the full span of the
beam, so x3 ¼ 0 and the coordinate distance x of any section of the beam is always
less than or equal to x4 . The subscript x4 of each function u in Formula (3.26) and
the x4 of the multiplier (x4−x3) in the first middle brackets of Formula (3.26) are
changed to x. So the additional item caused by the triangular load distributed on the
full span of the beam is obtained
9
Dq 1
y¼ x u2 > >
>
Kl 2a >
>
>
>
Dq >
>
h¼ ð1 u1 Þ >
=
Kl ð3:28Þ
Dq >
>
M ¼ 3 u4 >
>
4a l >
>
>
>
Dq >
>
Q ¼ 2 u3 ;
2a l
In the calculation of lining structures, there are the uniform load, the triangular
distributed load, the concentrated load, and the movement load for the common
loads shown in Fig. 3.6. According to these loads, the formula of the displacement,
the variable angle, the bending moment, and the shear force is as follows:
9
1 2a2 a q0 Dq 1 >
y ¼ y0 u1 þ h0 u2 M0 u3 Q0 u4 þ ð1 u1 Þ þ x u2 > >
>
2a K K K Kl 2a >
>
>
>
a 2a 2 >
>
>
>
þ jjx1 Pu4aðxx1 Þ jjx2 Mu3aðxx2 Þ >
>
K K >
>
>
>
2a 3
2a 2
q0 a Dq >
>
h ¼ y0 au4 þ h0 u1 M0 u 2 Q0 u3 þ u4 þ ð1 u 1 Þ >
>
K K K Kl >
>
>
>
2a 2
2a 3 >
=
þ jjx1 Pu3aðxx1 Þ jjx2 Mu2aðxx2 Þ
K K >
>
>
K K 1 q0 Dq >
>
M ¼ y0 2 u3 þ h0 3 u4 þ M0 u1 þ Q0 u2 2 u3 3 u4 >
>
2a 4a 2a 2a 4a l >
>
>
>
1 >
>
jjx1 Pu2aðxx1 Þ jjx2 Mu1aðxx2 Þ >
>
2a >
>
>
>
K K q0 Dq >
>
Q ¼ y0 u2 þ h0 2 u3 M0 au4 þ Q0 u1 u2 2 u3 >
>
2a 2a 2a 2a l >
>
>
>
jjx1 Pu1aðxx1 Þ jjx2 aMu4aðxx2 Þ ;
ð3:29Þ
Formula (3.29) is the equation of elastic foundation beam based on Winkler’s

assumption, which is often used in the calculation of lining structures. The positive
directions of the displacement y, the variable angle h, the bending moment M and
the shear force Q, and the external loads are shown in Fig. 3.6.
The symbol jjxi in Formula (3.29) indicates that the additional item exists only
when x xi .
For the additional items caused by a length of uniform load or a length of
triangular load distributed on the beam shown in Fig. 3.5, Formulas (3.25) and
(3.26) are not added to Formula (3.29).
Example 3.1
Figure 3.7 illustrates the foundation beam, 4 m in length l and 0.2 m in width
b. EI = 1333 kNm2. The elastic compression coefficient k = 40,000 kN/m3. The
two ends of the beam are free. Calculate the bending moment of the sections 1 and
2 of the beam.
(1) Looking up values of the hyperbolic trigonometric function

For b ¼ 0:2 m, the value of K is
K ¼ bk ¼ 0:2 40;000 ¼ 8000 kN=m2
The elastic scale value a can be obtained by Formula (3.7)

Fig. 3.7 Loads distributed

on the short beam
rffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
K 8000
a¼ 4 ¼ 4 ¼ 1:107 m1
4EI 4 1333
The values of u can be obtained from Table A.1, summarized in Table 3.1.
(2) Determination of initial parameters y0 ; h0 ; M0 and Q0

By the boundary conditions at the left end of the beam, obtaining
M0 ¼ 0; Q0 ¼ 0
The other two initial parameters y0 and h0 can be determined by Formula (3.29)
according to the boundary conditions at the right end of the beam M ¼ 0 and
Q ¼ 0.
Because there exists a length of uniform load on the beam in this example, the
Formula (3.25) is added to Formula (3.29). As shown in Fig. 3.7,
x1 ¼ 3 m; x3 ¼ 0; x4 ¼ 2 m, the following formulas can be obtained:
K K 1 q0 h i
y0 u þ h 0 u Pu þ u u3 ¼ 0
2a2 3 4a3 4 2a 2aðxx1 Þ 2a2 3aðxx4 Þ
K K q0 h i
y0 u2 þ h0 2 u3 Pu1aðxx1 Þ þ u2aðxx4 Þ u2 ¼ 0
2a 2a 2a
Substituting the values of a, K and u into the above two formulas, we can get
Table 3.1 Values of hyperbolic trigonometric function u

x ðmÞ ax u1 u2 u3 u4
1 1.1 0.7568 2.0930 1.1904 0.8811
2 2.2 −2.6882 1.0702 3.6036 6.3163
3 3.3 −13.4048 −15.5098 −2.1356 11.2272
4 4.4 −12.5180 −51.2746 −38.7486 −26.2460
8000 38:7486 8000 26:2460 40 2:0930

2
y0 3
y0
2 1:107 4 1:107 2 1:107
20
þ ð3:6036 ð38:7486ÞÞ ¼ 0
2 1:1072
8000 51:2746 8000 38:7486
y0 h0 40 0:7568
2 1:107 2 1:1072
20
þ ð1:0702 ð51:2746ÞÞ ¼ 0
2 1:107
Solving the formulas
y0 ¼ 0:00247 m; h0 ¼ 0:0001188
(3) Bending moments at sections 1 and 2
Adding Formula (3.25) to Formula (3.29), the additional item caused by the
concentrated force P has no effect on the bending moments at sections 1 and 2. So,
we can obtain
K K q0 h i
M ¼ y0 u 3 þ h 0 u4 þ u3að Þ u3
2a2 4a3 2a2 xx 4
Substituting the values of a, K, y0 , h0 , and u into the above formula, the bending
moments at sections 1 and 2 are calculated.
1) The bending moment at the section 1
Section 1 is 1 m away from the original point ðx ¼ 1 m) and it is within the uniform
load, so x4 ¼ x. The bending moment at section 1 is
8000 8000
M ¼ 0:00247 2
1:1904 0:0001188 0:8811
2 1:107 4 1:1073
20
þ ½0 1:1904 ¼ 0:270 kN m
2 1:1072
2) The bending moment at the section 2
Section 2 is outside the uniform load in the right hand, so x4 ¼ 2 m, x ¼ 3 m. The

bending moment at section 2 is
8000 8000
M ¼ 0:00247 2
ð2:1356Þ 0:0001188 11:2272
2 1:107 4 1:1073
20
þ ½1:1904 ð2:1356Þ ¼ 7:957 kN m
2 1:1072
3.2.4 Computation of Long Beam Based on Winkler’s

Assumption
1. Computation of the infinite beam under the concentrated force P
For the foundation beam shown in Fig. 3.8, when the lengths between the action
point of the concentrated force and both ends of the beam satisfy al 2:75, the
beam can be regarded as infinite long beam. The action point of the concentrated
force may be not in the symmetric cross section of the beam. If the lengths between
the action point of the concentrated force and both ends of the beam are long
enough, the action point can be regarded as the symmetry point of the beam.
When x tends to 1, the settlement of the beam is close to 0. Therefore,
A1 ¼ A2 ¼ 0. Formula (3.12) changes to be
y ¼ eax ðA3 cos ax þ A4 sin axÞ ð3:30Þ

y
By the symmetry condition of the beam h ¼ d dx ¼ 0, we can obtain that
x¼0
A3 ¼ A 4 . R1
P
By the static equilibrium condition Fy ¼ 0: KA3 0 eax ðcos ax þ
sin axÞdx ¼ P2 , we can get A3 ¼ A4 ¼ 2K
Pa
, which is substituted into Formula (3.30)
and combined with Formula (3.5) and Formula (3.7),
Fig. 3.8 The infinite beam under the concentrated force P

9
Pa ax
y¼ e ðcos ax þ sin axÞ >
>
>
>
2K >
>
2 >
>
Pa ax >
>
h¼ e sin ax =
K ð3:31Þ
Pa ax >
M¼ e ðcos ax sin axÞ >
>
>
>
4a >
>
P ax >
>
>
;
Q ¼ e cos ax
2
Introducing the mark u and letting,
9
u5 ¼ eax ðcos ax sin axÞ >
>
>
u6 ¼ eax cos ax =
ax ð3:32Þ
u7 ¼ e ðcos ax þ sin axÞ > >
>
;
u8 ¼ eax sin ax
The equation for calculating the right half part of the infinite beam under the
concentrated force P is
9
Pa
y¼ u7 > >
>
>
2K >
>
2 >
>
Pa >
h¼ u8 >
=
K ð3:33Þ
P >
>
M ¼ u5 >
>
4a >
>
>
>
P >
>
Q ¼ u6 ;
2
The values of u5 u8 can be obtained from Table A.2 and the relationship
among them is as follows:
9
du5
¼ 2au6 >
>
>
>
dx >
>
>
>
du6 >
¼ au7 >=
dx ð3:34Þ
du7 >
¼ 2au8 >
>
>
dx >
>
>
>
du8 >
¼ au5 > ;
dx
The equation for calculating the left half part of the infinite beam under the
concentrated force P can be obtained by replacing the variable x in Formula (3.31)
with −x and changing the sign of Q and h.
Fig. 3.9 Loads distributed on the long beam
Example 3.2
Figure 3.9 illustrates the foundation beam, 0.2 m in the width
b. E = 2108 kN/m2, I = 2500 10−8 m4. The elastic compression coefficient
k = 15 104 kN/m3. Solve the deflection and bending moment of the point B.
(1) Judging the type of the elastic foundation beam
The width of the beam is 0.2 m and the K is
K ¼ bk ¼ 0:2 15 104 ¼ 30;000 kN/m2
According to Formula (3.7), the elastic scale value of the beam a is

rffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
4 K 4 30;000 1
a¼ ¼ ¼ 1:1
4EI 4 2 108 2500 108 m
The distance between the beam end and the load closest to the end is 2.6 m, so
ax ¼ 1:1 2:6 ¼ 2:86 [ 2:75
Therefore, the beam is regarded as the infinite long beam.
(2) Looking up values of the hyperbolic trigonometric function
The coordinate origin is placed in the points A, B, C, and D, respectively. The

values of u can be obtained from Table A.2, summarized in Table 3.2.
(3) Calculating the deflection and the bending moment of the point B
From Formula (3.33), we can obtain the deflection and the bending moment of the
point B
Table 3.2 Values of Distance between loads and the ax u5 u7

hyperbolic trigonometric point B
function u x ðmÞ
0 0 1.0000 1.0000
1 1.1 −0.1457 0.4476
2 2.2 −0.1548 0.0244
Pa X 100 1:1
y¼ u7 ¼ ð1 þ 2 0:4476 þ 0:0244Þ ¼ 0:00355 m
2K 2 30;000
PX 100
M¼ u5 ¼ ð1 2 0:1457 0:1548Þ ¼ 12:59 kN m
4a 4 1:1
2. Computation of the infinite beam under the concentrated bending moment m
For the foundation beam shown in Fig. 3.10, when the lengths between the action
point of the concentrated bending moment and both ends of the beam satisfy
al 2:75, the beam can be regarded as infinite long beam and the action point can
be regarded as the symmetry point of the beam.
The equation of the beam caused by the concentrated bending moment m is
deduced as the same as that of the beam caused by the concentrated force P.
When x tends to 1, the settlement of the beam is close to 0. Therefore,
A1 ¼ A2 ¼ 0. On the symmetric surface of the beam by antisymmetric condition,
yjx¼0 ¼ 0, from Formula (3.30), we can get A3 ¼ 0. Formula (3.30) changes to be
y ¼ A4 eax sin ax ð3:35Þ

P R1
By the static equilibrium condition MðoÞ ¼ 0: KA4 0 xeax sin axdx ¼ m2 , we
ma2
can get A4 ¼ K ,
which is substituted into Formula (3.35) and combined with
Formulas (3.5) and (3.7)
9
ma2
y¼ u8 >
>
>
>
K >
>
3 >
>
ma >
h¼ u5 =
K ð3:36Þ
m >
>
M ¼ u6 >
>
2 >
>
>
ma > >
Q¼ u ;
2 7
Fig. 3.10 The infinite beam under the concentrated bending moment m
Fig. 3.11 Semi-infinite

beam
The equation for calculating the left half part of the infinite beam under the
concentrated bending moment m can be obtained by replacing the variable x in
Formula (3.36) with −x and changing the sign of y and M.
3. Semi-infinite beam
For the foundation beam shown in Fig. 3.11, if the length of the beam from the
coordinate origin to the right is infinite, the beam is called the semi-infinite beam.
The concentrated load Q0 and the bending moment M0 are loaded on the coordinate
origin. The calculating theory of the semi-infinite beam is the same as that of the
infinite beam. R1
P
By the static equilibrium condition MðoÞ ¼ M0 : K 0 xeax ðA3 cos ax þ
A4 sin axÞdx ¼ M0 ,
2a2 M0
A4 ¼ ð3:37Þ
K
P R1
By the static equilibrium condition Fy ¼ 0: K 0 eax ðA3 cos ax þ
A4 sin axÞdx ¼ Q0 ,
2aQ0
A3 þ A 4 ¼ ð3:38Þ
K
2
2a M0
Solve both Formulas (3.37) and (3.38), A3 ¼ 2a K ðQ0 þ aM0 Þ, A4 ¼ K ,
which are substituted into Formula (3.30) and combined with Formulas (3.5) and
(3.7), yielding the equation of deformation and internal force of the semi-infinite
beam under loads of initial parameters Q0 and M0 ,
9
2a >
y¼ ðQ0 u6 M0 au5 Þ >>
>
K >
>
>
>
2a2 >
=
h¼ ðQ0 u7 þ 2M0 au6 Þ
K ð3:39Þ
1 >
>
>
M ¼ ðQ0 u8 M0 au7 Þ > >
>
a >
>
>
Q ¼ ðQ0 u5 þ 2M0 au8 Þ ;
3.2.5 Computation of Rigid Beam Based on Winkler’s

Assumption
For the rigid beam, there is no elastic deformation and the movement and rotation
of the rigid body are only produced. For the foundation, based on Winkler’s
assumption, the counterforce of the foundation at any point is in direct proportion to
the settlement of this point. Therefore, the displacement of both the beam and the
foundation shows linear distribution, so does the foundation counterforce. The
assumption of the linear distribution of the counterforce is only applicable to the
absolute rigid beam on the Winkler’s foundation.
For the rigid beam shown in Fig. 3.12, there exist initial parameters y0 and h0 at
the beam end. In addition, there is the trapezoid load distributed on the beam.
Obviously, the counterforce of the foundation is also trapezoid and r ¼ Ky0 þ Kh0 x
(0 x l).
According to the equilibrium condition of the static beam, the deformation and
internal force of the rigid beam can be obtained.
9
y ¼ y 0 þ h0 x >
>
>
>
h ¼ h0 >
>
>
=
1 1 1 1 ð3:40Þ
M ¼ Ky0 x2 þ Kh0 x3 qx2 Dqx3 >
2 6 2 6l >
>
>
>
1 1 >
>
2
Q ¼ Ky0 x þ Kh0 x qx Dqx 2 ;
2 2l
3.3 Computation of Foundation Beam Based

on the Elastic Semi-infinite Plane Body
3.3.1 Basic Assumptions
According to the Winkler’s model, the settlement of the foundation only occurs
within the base of the beam and it has no effect on the soil outside the base area, so
the model belongs to the local deformation model.
In fact, the foundation deformation will not only occur in the loading area but
also will occur within a certain range outside the loading area. In order to reflect this
continuous deformation, in the calculation of underground structures, the elastic
semi-infinite plane assumption is often adopted, which is called the common
deformation model.
In order to eliminate the shortcoming of not considering the continuity of the
foundation in Winkler’s assumption, another assumption is put forward that the
foundation is regarded as a homogeneous, continuous, and elastic semi-infinite
body. The so-called semi-infinite body is an object that occupies the second half of
the whole space, that is, the upper surface is a plane and it extends around and down
infinitely.
3.3 Computation of Foundation Beam Based on the Elastic … 103
Fig. 3.12 Computation of rigid beam
The advantages of this assumption include that on the one hand, it reflects the
continuous integrity of the foundation; on the other hand, it simplifies the foun-
dation from geometry and physics. Therefore, the known conclusions about the
classical problem of semi-infinite elastic body in Elastic Mechanics are taken as the
basis of calculation.
Of course, this model is also not perfect. For example, the elastic hypothesis
does not reflect the inelastic properties of the soil; the homogenization hypothesis
does not reflect the inhomogeneity of the soil; the hypothesis of the semi-infinite
body does not reflect the stratification of the foundation. In addition, this model is
more complex in mathematical processing, so it is also limited in application.
After using the above hypothesis, the calculation problem of the foundation
beam can be divided into three types: the space problem, the plane stress problem,
and the plane strain problem. The latter two problems are called plane problems. In
the space problem, the foundation is simplified as a semi-infinite space body. In the
plane problem, the foundation is simplified as a semi-infinite plane body.
The cross-section size of underground structure along the longitudinal direction
is generally equal, so in the actual calculation, the space problem can often be
simplified as a plane problem.
3.3.2 Basic Equation of Foundation Beam Based

on the Assumption of the Foundation Being Elastic
Semi-infinite Plane Body
For the foundation beam with equal cross section shown in Fig. 3.13a, 2l in length.
The downward direction of the external load qð xÞ is positive and the upward
direction of the foundation counterforce rð xÞ is positive. The coordinate origin is
taken at the middle point of the beam.
Figure 3.13b illustrates the pressure loaded on the beam which is equal to the
foundation counterforce. But the direction is opposite. Taking the problem of plane
stress as an example, the basic equations are written as follows.
1. Differential equation of deflection curve of the beam
According to Formula (3.6), the differential equation of deflection curve of the

beam is
d4 y ð x Þ
EI ¼ rð xÞ þ qðxÞ ð3:41Þ
dx4
Introducing dimensionless coordinates f ¼ xl ; q; r and y are all regarded as the
function of f and Formula (3.41) changes to be
d4 y ð f Þ l 4
¼ ½qðfÞ rðfÞ ð3:42Þ
df4 EI
Fig. 3.13 Calculation of foundation beam based on the assumption of the foundation being
elastic semi-infinite plane body
2. Equilibrium equation
P P
By the static equilibrium condition Fy ¼ 0; MðoÞ ¼ 0, we can get
9
Zl Zl >
>
>
rð xÞdx ¼ qð xÞdx>
>
>
>
=
l l
ð3:43Þ
Zl Zl >
>
>
>
xrð xÞdx ¼ xqð xÞdx>
>
>
;
l l
Considering f ¼ xl, Formula (3.43) can be written as

9
Z1 Z1 >
>
>
rðfÞdf ¼ >
qðfÞdf>
>
>
=
1 1
ð3:44Þ
Z1 Z1 >
>
>
>
frðfÞdf ¼ fqðfÞdf>
>
>
;
1 1
3. Foundation settlement equation
Figure 3.14 illustrates that a concentrated force P is acted on the interface of an

elastic half infinite plane (uniformly distributed along thickness). The dotted line
represents the settlement curve of the interface. The point B is the base point by
arbitrarily selecting. wð xÞ represents the settlement of any point K relative to the
base point B.
It is set to the problem of plane stress, according to the solution of the
semi-infinite plane body in the elastic theory,
2P s
wð xÞ ¼ ln ð3:45Þ
pE0 r
Fig. 3.14 Foundation

settlement
As shown in Fig. 3.13b, the load rð xÞ is distributed on the interface of an elastic

semi-infinite plane. The relative settlement wð xÞ of any point K on the foundation
surface is solved by Formula (3.45) and the settlement of the point K caused by the
force rðx þ r Þdr is
2rðx þ r Þdr s
ln
pE0 r
Therefore, the settlement of the point K caused by the whole pressure right to the
point K is
Zlx
2 s
rðx þ r Þ ln dr
pE0 r
0
Similarly, the settlement of the point K caused by the whole pressure left to the
point K is
Zl þ x
2 s
rðx r Þ ln dr
pE0 r
0
The total settlement of the point K caused by the whole pressure at the bottom of
the beam is the sum of the above two formulas, that is,
Zlx Zl þ x
2 s 2 s
wð xÞ ¼ rðx þ r Þ ln dr þ rðx r Þ ln dr ð3:46Þ
pE0 r pE0 r
0 0
Formula (3.46) is the equation of foundation settlement. It is assumed that the

base point of the settlement is very far away and s can be regarded as a constant
when Formula (3.46) is integrated.
Introducing dimensionless coordinates f ¼ xl, we can get q ¼ rl, K ¼ sl, dr ¼ ldq.
Then, Formula (3.46) changes to be
Z1f Zl þ f
2l K 2l K
wðfÞ ¼ rðf þ qÞ ln dq þ rðf qÞ ln dq ð3:47Þ
pE0 q pE0 q
0 0
The differential equation of the deflection curve of the beam (Formula 3.42), the
equilibrium integral equation (Formula 3.44), and the integral equation of the
foundation settlement (Formula 3.47) are obtained.
The deflection of the beam is the same as the foundation subsidence at any point
of the interface, that is, wðfÞ ¼ yðfÞ, substituting Formula (3.47) into Formula
(3.42),
2 1f 3
4 Z Zl þ f
d 4 K 2l K
rðf þ qÞ ln dq þ rðf qÞ ln dq5
df4 q pE0 q
ð3:48Þ
0 0
3
pE0 l
¼ ½qðfÞ rðfÞ
2EI
Formula (3.48) is the continuous condition shown by rð xÞ. For an unknown
function rð xÞ, this is a differential–integral equation.
Generally speaking, when calculating the semi-infinite elastic foundation beam,
if the foundation counterforce rð xÞ is used as a basic unknown function, the basic
equation is the continuous equation (Formula 3.48). In addition, the equilibrium
equation (Formula 3.44) and the boundary condition of the beam must also be
satisfied.
The above continuous equation is deduced according to the plane stress problem.
E
If it is a plane strain problem, E and E0 in Formula (3.48) should be replaced by 1l 2
E0
and 1l 2 , respectively. E0 and l0 are the elastic modulus and Poisson’s ratio of the
0
foundation, respectively. E and l are the elastic modulus and Poisson’s ratio of the
foundation beam, respectively. For the space problem, it can also be derived.
Because Formula (3.48) is complex, the approximate solution by the chain bar
method and series method or the finite element method are usually used to solve to
the foundation counterforce. In this chapter, the series method is used to solve this
problem.
The foundation counterforce rðfÞ is expressed by an infinite power series and
only the first 11 items are taken in the calculation.
rðfÞ ¼ a0 þ a1 f þ a2 f2 þ a3 f3 þ þ a10 f10 ð3:49Þ
P The foundation P counterforce rðfÞ must satisfy the equilibrium conditions

Fy ¼ 0 and MðoÞ ¼ 0. Substituting Formula (3.49) into Formula (3.44) and
integrating, we can obtain two equations including the coefficient ai .
Substituting Formula (3.49) into Formula (3.48) and considering the boundary
condition of the beam, let the coefficients of f with the same power at the right and
the left sides of the equation be equal and we can obtain 9 equations including the
coefficient ai . Therefore, we can get 11 equations together and the 11 coefficients of
a0 a11 can be solved. Finally, substituting the solved 11 coefficients into Formula
(3.49), the equation of the foundation counterforce can be obtained.
When the foundation counterforce rðfÞ is solved, the bending moment M ðfÞ, the
shear force QðfÞ, the variable angle hðfÞ, and the deflection yðfÞ of the beam can be
easily solved.
In order to simplify the calculation, the load on the foundation beam can be
decomposed into two groups of symmetric and antisymmetric groups. Under the
action of symmetric loads, only the items of the double power in Formula (3.49) are
needed and 5 equations are obtained. Adding the first equations in Formula (3.44),
we can get the total 6 equations and the coefficients a0 ; a2 ; a4 ; a6 ; a8 and a10 can be
solved. Under the action of antisymmetric loads, only the items of the odd power in
Formula (3.49) are needed and 4 equations are obtained. Adding the second
equations in Formula (3.44), we can get the total 5 equations and the coefficients
a1 ; a3 ; a5 ; a7 and a9 can be solved.
For the sake of simple calculation, the foundation counterforce, the shear force,
and the bending moment under the different loads are made into tables, shown in
Tables A.4 to A.6. The coefficient of the variable angle h when calculating the
foundation beam are summarized in Tables A.7 to A.11.
3.3.3 Use of Tables
When we use the Tables A.4 to A.6, the flexibility index t of the foundation beam
should be first calculated. In the problem of plane stress, the flexibility index is

E0 l 3
t ¼ 3p ð3:50Þ
E h
In the problem of plane strain, the flexibility index is

E 0 ð 1 l2 Þ l 3
t ¼ 3p ð3:51Þ
E 1 l20 h
If the influence of l and l0 is neglected, an approximate formula can be used for

calculating the flexibility index of the foundation beam.

E0 l 3
t ¼ 10 ð3:52Þ
E h
where l is the half length of the beam and h is the height of the beam section.
1. Uniform load q0 distributed on the whole beam
Figure 3.15 illustrates the counterforce r, the shear force Q and the bending
moment M. According to the value of the flexibility index t of the foundation beam,
the counterforce coefficient r, the shear force coefficient Q, and the bending

moment coefficient M of the 1/10 points of the right half beam can be looked up in
Fig. 3.15 Uniform load q0

distributed on the whole beam
Table A.4. Then the counterforce r, the shear force Q, and the bending moment
M of the corresponding sections can be solved by the conversion formula
(Formula 3.53).
9
r¼r q0 = >
0l
Q ¼ Qq ð3:53Þ
>
0 l2 ;
M ¼ Mq
Because of the symmetry, the counterforce r, the shear force Q, and the bending
moment M of each section in the left half beam are equal to those of the corre-
sponding section in the right half beam but the shear force Q should change the
positive and negative sign.
The interpolation is not needed when we look up the tables. r ; Q and M can be
looked up in Table A.4 based on the value of t in the table closest to the calculated
value.
If the uneven distribution load is acted on the beam, it can be changed into a
number of concentrated loads and then look up the table.
2. Concentrated load P on the beam
Figure 3.16 illustrates the counterforce r, the shear force Q, and the bending
moment M. According to the value of the flexibility index t and the value of the
, the shear force
elastic scale a of the foundation beam, the counterforce coefficient r
and the bending moment coefficient M
coefficient Q, can be looked up in Table A.5.
Fig. 3.16 Concentrated load

P on the beam
The value of a in the vertical line on the left of each table and the value of f in the
horizontal line on the top of each table correspond to the load on the right half beam.
The value of a in the vertical line on the right of each table and the value of f in the
horizontal line at the bottom of each table correspond to the load on the left half beam.
At both ends of the beam ðf ¼ 1Þ; r is infinity. When the right (left) half beam is
loaded, the value of Q with * in the tables b corresponds to the adjacent section of the
left (right) edge of the load. For the adjacent load surface at the right (left) side of the
load, the value of Q with * minus 1 is needed. The conversion formulas for solving the
counterforce r, the shear force Q and the bending moment M are as follows:
P 9
>

r¼r >
l =
>
Q ¼ QP ð3:54Þ
>
;

M ¼ MPl
In the conversion formula of the shear force Q, the positive sign corresponds to
the load on the right half beam and the negative sigh the load corresponds to the
load on the left half beam.
3. Bending moment m on the beam
Figure 3.17 illustrates the counterforce r, the shear force Q and the bending
moment M. If the flexibility index of the beam is not equal to zero, according to the
value of the flexibility index t and the value of the elastic scale a of the foundation
beam, the counterforce coefficient r and the bending
, the shear force coefficient Q,

moment coefficient M can be looked up in Table A.6.
Fig. 3.17 Bending moment

m on the beam
The value of a in the vertical line on the left of each table and the value of f in the
horizontal line on the top of each table correspond to the load on the right half beam.
The value of a in the vertical line on the right of each table and the value of f in the
horizontal line at the bottom of each table correspond to the load on the left half beam.
At both ends of the beam ðf ¼ 1Þ; r is infinity. When the right (left) half beam is
loaded, the value of M with * in the tables c corresponds to the adjacent section of the
left (right) edge of the load. For the adjacent section at the right (left) side of the load,
the value of M with * plus 1 is needed. The conversion formulas for solving the
counterforce r, the shear force Q, and the bending moment M are as follows:
m9
r ¼
r >
l2 >
>
=
m ð3:55Þ
Q¼Q
l > >
>
;
M ¼ Mm
where the positive direction of the moment m is clockwise. In the conversion

formulas of the counterforce r and the moment M, the positive sign corresponds to
the load on the right half beam and the negative sign to the load corresponds to the
load on the left half beam.
If the flexibility index of the beam is equal to zero or near to zero, it is con-
sidered that the beam is rigid and does not deform. Both the counterforce r and the
shear force Q are independent of the position of the moment m. According to the
value of f, the counterforce coefficient r and the shear force coefficient Q can be
looked up in Tables A.6-4a and A.6-4b. The bending moment M is dependent on

the position of the moment m. For each section at the left side of the load, the value
is summarized in Table A.6-4c. For each section at the right side of the load,
of M
the value of M plus 1 is needed. The conversion formulas are as follows
m9

r¼r >
l2 >
>
=
m ð3:56Þ
Q¼Q
l>>
>
;
M ¼ Mm
The counterforce coefficient r and the bending

, the shear force coefficient Q,
moment coefficient M can be looked up according to the values of t and a calculated
near to those of t and a in the tables and there is no need for interpolation.
When a beam is loaded with a number of loads, the counterforce, the shear force,
and the bending moment can be calculated separately according to each load. Then,
the calculated counterforce, the shear force, and the bending moment are
superimposed.
3.4 Summary
(1) The calculation of the underground structure is closely related to the theory of
the elastic foundation beam. The elastic foundation beam is an infinitely
statically indeterminate structure. The calculated models include the local
elastic foundation model and the elastic semi-infinite plane body model.
(2) The basic equation of the elastic foundation beam based on Winkler’s
assumption is a constant coefficient, linear, nonhomogeneous differential
equation, and its general solution is composed of the homogeneous solution
and the special solution.
(3) According to the introduction of initial parameters and hyperbolic trigono-
metric functions, the boundary conditions and the additional items caused by
the loads, the short beam is calculated and the equations of the deflection
curve, the variable angle, the bending moment and the shear force are
obtained.
(4) Under some special conditions, the calculation of the short beam can be
simplified and the calculating methods for the infinite long beam and
semi-infinite long beam are obtained, respectively.
(5) In order to eliminate the shortcoming of not considering the continuity of the
foundation in Winkler’s assumption, the assumption of the elastic
semi-infinite plane body regards the foundation as a homogeneous, continu-
ous, and elastic semi-infinite body.
3.4 Summary 113
Fig. 3.18 A concentrated force P is loaded on Point o of the infinite elastic foundation beam
Fig. 3.19 A uniform load q is distributed on the whole beam
Fig. 3.20 Four concentrated forces loaded on the beam
Problems
3:1 Answer the difference between two calculation models of the elastic founda-
tion beam.
3:2 Answer the difference between the elastic foundation beam and the ordinary
beam.
3:3 As shown in Fig. 3.18, a concentrated force P is loaded on Point o of the
infinite elastic foundation beam. Please solve the equations of the deformation
and the internal forces.
3:4 As shown in Fig. 3.19, both ends of an elastic foundation beam are simply
supported on rigid supports and a uniform load q is distributed on the whole
beam. Please solve the equations of the deformation and the internal forces.
3:5 As shown in Fig. 3.20, four concentrated forces are loaded on the infinite
beam. Please solve the deformation and the bending moment of Point B. It is
known that k ¼ 3000 N/cm3 , E ¼ 2 107 N/cm2 , I ¼ 2500 cm4 .
Mechanical Calculation Methods
for Underground Structures 4
4.1 Introduction
4.1.1 Design Methods for Underground Structures
The construction of early underground engineering was based on the experience. In

the early 19th century, the calculation theory was gradually formed, which was used
to guide the design and the construction of the underground structures. The design
theory of the underground structures is closely associated with the geotechnical
development. The development of soil mechanics promotes the theory progress of
the surrounding rock stability and the surrounding rock pressure in loose strata,
while the development of rock mechanics promotes the calculation theory of the
surrounding rock pressure and the substructure design.
In the early stage of the calculation theory of underground structures, people
calculated the underground structures only based on the calculation method of the
ground structures, which can be classified as the load structure method, like the
calculation of the internal force of the frames and the straight wall and arch
structures and so on. However, since the environmental conditions of underground
structures are totally different from those of the ground structures, it is difficult to
correctly explain various mechanical phenomena and processes of the underground
engineerings by employing the design theory and the method of the ground
structures to solve various problems encountered in the underground engineerings.
After a long time of practice, people have gradually realized the facts that under-
ground structures and ground structures are different in stress and deformation
characteristics. So, the theory of underground structures was formed taking the
constraint of strata on stress and deformation of the structures into account. In the
mid-20th century, with the emergence of new supporting structures and the
developments of rock and soil mechanics, the testing instruments, the computer
technology and the numerical analysis methods, the research on the underground
structure engineering was greatly promoted. So, the theory of the underground
structures was gradually forming a perfect discipline. The developments of
https://doi.org/10.1007/978-981-13-7732-7_4
116 4 Mechanical Calculation Methods for Underground Structures
underground structure design theory can be roughly divided into four stages, as
shown in Table 4.1.
At present, the mainly used method in the underground engineerings is the
engineering analogy design method, which is developing towards the direction of
quantification, precision and science.
Another kind of content of the underground structure design theory is the limit
equilibrium analysis of rock mass, which is about the instability of unstable block
caused by the developments of joint fissures in rock mass and generally used as the
analytical method combining engineering geology and mechanical calculation.
Based on the engineering geology, this method is mainly used to study the shape
and size of the rock mass and its collapse conditions. Then the supporting
parameters are determined according to the limit equilibrium theory.
At the same time, the important progress has been made in the application of
reliability theory in the underground structure design and the implementation of the
probabilistic limit design. It is a reasonable way to adopt the dynamic reliability
analysis that the feedback data can speculate the stability and the reliability by using
the field monitoring information, so as to optimize the design of the supporting
structure. Considering the randomness of the main influencing factors and the crite-
rion itself, the method can be classified into the category of reliability. In the com-
putational analysis method research, the great development has been made in a series
of new theoretical analysis methods of the supporting structure of underground
engineering in recent years, such as stochastic finite element method, Monte-Carlo
simulation method, randomized block theory, stochastic boundary element method
and so on. The stochastic finite element method includes perturbation theory, Neu-
man method,maximum entropy method, response surface analysis and so on.
It should be noted that due to the complexity of the soils and rocks, the
underground structure design theory is still in the stage of continuous development
and various design methods need to be improved. The design and the calculation
methods in the later stages generally cannot negate the results in the earlier stages.
All kinds of calculation methods have their applicability and limitations. Thus,
designers should have a deep understanding when choosing the calculation
methods.
4.1.2 Design Models for Underground Structures
From the 1970s, while developing the theory of underground building structure
calculation, scholars in various countries have also been committed to exploring the
research of the underground building structure design models. Different from the
ground structures, the design of the underground building structures cannot com-
pletely rely on calculations. The medium on the rock has experienced many tectonic
movements in the long geological period and there are many factors affecting its
physical and mechanical properties. Since these factors have not been fully rec-
ognized yet, the theoretical calculation results are greatly different from the actual
situation and it is difficult to be used as the design basis. Nowadays, designing
Table 4.1 The development stages of the underground structure design theory
Development Time Background Typical theories and viewpoints Advantages and disadvantages
stages
Rigid structure Early Most underground structures are arch Theory of compression line: The theory The calculation theory did not consider the
19th masonry structures constructed with holds that the underground structure is an bearing capacity of surrounding rocks. At
4.1 Introduction
century masonry materials. The tensile strength of arch structure composed of some rigid that time, the buried depth of underground
such building materials is very low and blocks and the active load is the formation engineering was not large. So, the theory
there are many joints in the structures, pressure. When the underground structure is was considered to be correct. The
which are prone to fracture. In order to in the limit equilibrium state, it is a calculation method of the compression line
maintain the stability of the structure, the three-hinge arch static system composed of hypothesis lacked a theoretical basis and
sectional area of the underground structure absolute rigid bodies. The hinge locations was generally conservative, and the
at that time was designed to be large and the are assumed to be at the bottom of the wall designed thickness of the lining was often
elastic deformation of the structure under and at the top of the arch respectively and much larger
stress was small the internal forces can be calculated
according to the static principle. According
to this calculation theory, the pressure acting
on the supporting structure is the gravity of
the overlying rock mass
Elastic The late Concrete and reinforced concrete materials Theory of loosening pressure: According to The development of this theory was based
structure 19th to appeared gradually and were used to the theory, when the buried depth of the on supporting technology at that time.
mid-20th construct underground engineering, so that substructure is large, the pressure acting on Because the excavation and support needed
centuries the underground structure had greater the structure is not the gravity of the a long time, the support and surrounding
integrity. Since then, the internal force of overlying strata but the gravity of the loose rock could not be intimately contacted in
the underground structure was calculated by rock mass within the collapsed volume of time. One part of the surrounding rock
the method of statically indeterminate the surrounding rock, i.e., the loosening broke and collapsed finally and the loose
structure mechanics according to the elastic pressure surrounding rock stress was formed.
continuous arch frames. The load acting on However, no one realized the collapse
the structure was the active formation wasn’t the only reason for forming
pressure and the elastic reaction of the strata surrounding rock pressure and collapse
was considered didn’t always occur. What’s more, it was
not realized that stabilizing surrounding
rock could give full play to the self-bearing
capacity of surrounding rocks
117
(continued)
Table 4.1 (continued)
118
Development Time Background Typical theories and viewpoints Advantages and disadvantages
stages
Continuous Since the People recognized that the underground Theory of continuum mechanics: Based on The theory reflects the joint action of the
medium mid-20th structure and strata were a whole under the principle of rock mass mechanics, this supports and surrounding rocks and accords
century stress. With the progress of rock mechanics theory holds that the surrounding rock with the mechanical principle of the
being an independent discipline, the method pressure released by the deformation of the underground structures. However, it is
of calculating the internal forces of tunnel after excavation will be shared by difficult to accurately obtain the calculated
underground structures with continuum both the supporting structures and parameters of rock and soil, such as the
mechanics theory gradually developed. The surrounding rocks. On the one hand, the original rock stress, rock mass mechanical
elastic, elastoplastic and viscoelastic supporting structure provides supporting to parameters and construction factors. In
solutions of surrounding rock gradually the surrounding rock, which causes its stressaddition, people lack sufficient
appeared adjustment to reach a new balance. On the understanding of the constitutive relation of
other hand, because the supporting structure the rock and soil materials and the criteria of
prevents the surrounding rock from the failure and instability of surrounding rocks.
deformation, it must be deformed by the Therefore, the current calculation results
reaction force from the surrounding rock based on the combined action can only be
used as a design reference basis
Contemporary Since the With the emergence of new types of New Austrian design theory: The theory The new Austrian method is not very
support theory mid-20th supports such as bolt and shotcrete and the holds that the surrounding rock itself has the mature in design theory. At present, the
century rise of the new Austrian tunnel design and ability of “self-supporting”. If the correct commonly used method is: the empirical
construction method, the modern support design and construction method can be statistical analogy method is used to do the
theory of underground engineering based on adopted and this self-supporting ability can design ahead and then people continuously
the principle of rock mass mechanics and be maximized used and the best economic detect the stress and strain conditions of
the interaction of the support and effect can be achieved the surrounding rocks in the construction
surrounding rock finally came into being process to adjust the supporting measures
according to its development trend
4 Mechanical Calculation Methods for Underground Structures
4.1 Introduction 119
underground building structures still needs experiences and practices and it is still
difficult to found design models of underground engineering structures.
International Tunnel Association (ITA) established the study group of the tunnel
structural design models in 1978 to collect and summarize the current methods to
design underground building structures used in the member states. The results are
summarized in Table 4.2.
(1) Referring to the practical experiences of the tunnel engineering to make the
engineering analogy.
(2) The field measurements and laboratory tests, such as the convergence—con-
straint method based on hole displacement measurements.
(3) The action-reaction model, such as the calculation method of the elastic
foundation ring and elastic foundation frame.
(4) The continuum model, including the analytical method and the numerical
method. The analytical method includes a closed solution and approximate
solution. The numerical method mainly includes finite element method.
According to the practice of underground structure design for many years, the
design methods adopted in China can be approximately divided into the following
four models.
1. The load-structure model
The load-structure model uses load structure method to calculate the internal force
of lining, which is used to design the section of components. The load on the lining
structure is mainly the formation pressure generated by the weight of loose rock and
soil after excavation. This method is basically the same as that used in the design of
the ground structures. It shoud be noted that the constraint of the surrounding
stratum media on the structure deformation need to be considered when calculating
the internal force of lining.
2. The stratum-structure model
The calculation theory of the stratum structure model is the stratum structure
method. The principle is to treat the lining and stratum as a whole and calculate the
internal forces of lining and stratum respectively on the premise of satisfying the
condition of deformation compatibility. Thus, the stability of stratum can be
checked and the section design can be carried out.
3. The experiential analog model
The design of the underground structures is affected by many complex factors.

Even if a rigorous theory is adopted in the internal force analysis, the rationality of
Table 4.2 The underground engineering structure design methods
120
Methods Shield tunneling of soft soil Soft soil tunnel supported by Deep buried tunnel in the hard Frame structure of
Regions anchor and shotcrete steel rock the open-cut method
arch
Austria Elastic foundation ring Elastic foundation ring, finite The experiential method Elastic foundation
element method, frame
convergence-constraint
method
Former Elastic foundation ring with the covering Same as the left one Fully supported elastic Elastic foundation
West thickness less than 2D and without foundation ring, finite element frame
Germany support on the top, fully supported elastic method, continuous medium and (Simplified bottom
foundation ring with the covering convergence method pressure distribution)
thickness more than 3D, finite element
method
France The elastic foundation ring, the finite The finite element method, The continuum model, the –
element method the action-reaction model, convergence method, the
the experiential method experiential method
Japan The elastic foundation ring with partial The elastic foundation ring Elastic foundation fracture, finite Elastic foundation
support with partial support, the element method, the method of fracture, finite
experiential method with the characteristic curve element method
test, finite element method
China The free deformation or elastic foundation The primary support: the The primary support: the The
ring finite element method, the experiential method moment-distribution
convergence method The permanent support: method to compute
The second phase support: action-reaction model. the box frame
elastic foundation ring Large cavern: the finite element
method
Switzerland – The action- reaction model The finite element method, –
convergence method
(continued)
4 Mechanical Calculation Methods for Underground Structures
Methods Shield tunneling of soft soil Soft soil tunnel supported by Deep buried tunnel in the hard Frame structure of
Regions anchor and shotcrete steel rock the open-cut method
arch
UK The elastic foundation ring, The convergence—constraint The finite element method, the The box frame
4.1 Introduction
Muir way method convergence-limit method, the

The experiential method experiential method
USA The elastic foundation ring The elastic foundation ring, The elastic foundation ring, The continuous
action-reaction model Proctor-White method, the finite framework on the
element method, the experiential elastic foundation
method with bolt supporting
121
the calculated results often needs to be judged and improved by the experiential
analogy. Thus, experiential design methods often occupy a certain position. The
experiential analogy model is the design model of the underground structure
completely depending on the experience.
4. The convergent constraint model
The calculation theory of convergent constraint model is also the stratum structure
method, which is often called the convergent constraint method or the characteristic
line method.
Figure 4.1 is a schematic diagram of the principle of the convergent constraint
method. In the figure, the ordinate represents the formation pressure borne by the
structure and the abscissa represents the radial displacement around the hole. Their
values are generally measured and calculated by the arch vault. The curve ① is the
formation convergence line and curve ② is the characteristic line of support. The
vertical coordinate ðPe Þ of the intersection of the two curves is the ultimate for-
mation pressure acting on the supporting structure. The abscissa ðue Þ is the final
displacement of the lining deformation.
Generally, the lining should be built after a period of time after excavation. So,
in Fig. 4.1, the value of u0 represents the initial free deformation value of strata
around the hole that has occurred before the lining construction.
At present, the first three models are mainly used in the design and calculation of
the underground building structure in China, including the load-structure model, the
stratum- structure model and the experiential analog model. The design of the
underground building structure in China pays more attention to the theoretical
calculation. Based on the differences of interaction between lining and stratum, the
closed analytical solution and numerical method can be classified into the load
structure method and the stratum structure method respectively. In addition to some
engineering with the experience of the analogy, the design process of underground
structures generally has to carry out force calculation and analysis. The load
structure method is still widely used, which is mainly applicable to the shallow
buried tunnel in the soft surrounding rock. Although the stratum structure method is
Fig. 4.1 Schematic diagram

of convergence limit method
still in the development stage, it is widely used in some important or large specific
engineering research and analysis at present. As mentioned above, due to the
particularity of the underground structure, the design of the tunnel support still
needs engineering experiences in many cases.
4.2 Load-Structure Method
The load-structure model holds that the action of strata on the structure only pro-
duces the load acting on the underground building structure including the active
formation pressure and the passive formation resistance. The lining produces
internal force and deforms under the load. The corresponding calculation method is
called the load-structure method. In early years, the elastic continuous frame
method (including arch), the assumed resistance method and the elastic foundation
beam method (including curved beam) can be attributed to the load structure
method. The assumed resistance method and the elastic foundation beam method
have formed some classical calculation methods. The calculation method belonging
to the elastic foundation beam method can be divided into the local deformation
theory calculation method and the common deformation theory calculation method
according to the different stratum deformation theory. The local deformation theory
is commonly used because of its simple calculation process.
The calculation method in the code for highway tunnel design (2004-11-01,
issued by the ministry of communications of the People’s Republic of China) is
mainly introduced here.
4.2.1 Design Principle
The design principle of the load-structure model is that the action of strata is mainly
applied on the lining structure after tunnel excavation. It should be able to with-
stand the action of the formation pressure and other loads safely and reliably. In the
calculation, the formation pressure is calculated by the stratigraphic classification or
the practical formula. Then, the internal force of lining is calculated according to
the calculation method of structure on elastic foundation, and the structure section is
designed.
4.2.2 Calculation Principle
1. Basic unknowns and basic equations

The displacements of the joints of lining structures are taken as basic unknowns.
According to the principle of minimum potential energy or the principle of varia-
tion, the equilibrium equation of the whole system can be obtained as:
½K fdg ¼ fPg ð4:1Þ
where fdg is a vector consisting of the displacement of the joints of the lining
structure, namely fdg ¼ ½d1 d2 . . .dm T ; fPg is the vector composed of the point load
of the lining structure, namely fPg ¼ ½P1 P2 . . .Pm T ; ½K is the global stiffness
matrix of the lining structure, which is m m square matrix; m is the total number
of nodal degrees of freedom.
The matrix fPg, ½K and fdg can be composed of the element load matrix fPge ,
element stiffness matrix fkge and element displacement vector matrix {d}e. There-
fore, when using the finite element method for analysis, it is necessary to divide the
element, establish the element stiffness matrix fkge and the element load matrix fPge .
When the axis of the load-bearing structure of the tunnel is curved, the curve can
be simulated by the broken line element. It just needs to determine the length of the
bar element when the element is divided. The thickness d of the bar is the thickness
of the load-bearing structure. The width of the bar element is 1 m. The corre-
sponding bar cross-sectional area is A ¼ d 1ðm2 Þ; the bending moment of inertia
1
is I ¼ 12 1 d3 ðm4 Þ; The elastic modulus EðkN=m3 Þ is taken as the elastic
modulus of the concrete.
2. Element stiffness matrix
The nodal displacement of the beam element in the local coordinate system is
T
fdg ¼ ui ; vi ; hi ;
uj ; vj ; hj . The corresponding nodal force is ff g ¼ X i ; Y i ; M i ;
X j ; Y j ; M j T . There is

f ¼ ½ke fdg ð4:2Þ
2 EA 3
l 0 0 EA
l 0 0
6 12EI 6EI
0 12EI 6EI 7
6 0 l3 l2 l3 l2 7
6 6EI 4EI
0 6EI 2EI 7
6 7
½k ¼ 6 0EA
e l2 l
EA
l2 l
7 ð4:3Þ
6 l 0 0 0 0 7
6 l 7
4 12EI 6EI 0 12EI
6EI 5
0 l3 l2 l3 l2
6EI 2EI
0 l2 l 0 6EI
l2
4EI
l
where ½ke is the stiffness matrix of beam element in local coordinate system; l is the
length of the beam element; A is the cross-sectional area of the beam; I is the
bending moment of the beam; E is the elastic modulus of the beam.
For the whole structures, the local coordinate system adopted by each element is
different. When establishing the global matrix, the element stiffness matrix ½ke in
the local coordinate system should be converted into the element stiffness matrix
½ke in the global coordinate system according to Formula (4.4)
4.2 Load-Structure Method 125
½ke ¼ ½TT ½ke ½T ð4:4Þ

2 3
cos b sin b 0 0 0 0
6 sin b cos b 0 0 0 07
6 7
6 0 0 1 0 0 07
½T ¼ 6
6 0
7 ð4:5Þ
6 0 0 cos b sin b 077
4 0 0 0 sin b cos b 05
0 0 0 0 0 1
where ½T is the transposed matrix; b is the angle between the local coordinate
system and the global coordinate system.
3. Formation reaction mode
The elastic resistance of the formation is given by the following equations:
Fn ¼ Kn Un ð4:6Þ
Fs ¼ Ks Us ð4:7Þ

Knþ Un 0
Kn ¼ ð4:8Þ
Kn Un \0

Ksþ Us 0
Ks ¼ ð4:9Þ
Ks Us \0
where Fn and Fs are normal and tangential elastic resistance, respectively; Kn and
Ks are the corresponding elastic resistance coefficients of surrounding rock;
K þ ; K are elastic resistance coefficients of compression zone and tensile zone,
respectively, usually taking Kn ¼ Ks ¼ 0
After the rod element is determined, the stratum spring element can be deter-
mined, which is only set on the joint of the rod element. The stratum spring element
can be set along the entire section or only on some joints. When the stratum spring
element is set along the whole section, the iterative method should be used to
analyze the deformation to determine the exact location of the resistance zone.
It should be pointed out that the load-structure method is used for the integral
lining of the deep buried tunnel, the integral or compound lining of the shallow
buried tunnel and the lining of the open tunnel. In addition, when using the
load-structure method to calculate the internal force and deformation of the tunnel
lining, the elastic resistance should considered to reflect the constraints of the rock
and soil deformation on the lining structure. The local deformation theory can be
used to determine the degree and distribution of elastic resistance for backfilled
lining structures.
4.3 Stratum-Structure Method
The stratum-structure model takes the underground structure and stratum as a whole
under stress and deformation. The deformation of the underground building
structure and the surrounding strata is calculated according to the continuum
mechanics. Not only the internal force and deformation of lining structure are
calculated, but also the stress of surrounding stratum is calculated. It fully reflects
the interaction of the surrounding strata and the underground building structure.
However, because the surrounding strata and the simulation of the interaction
between the strata and structures are complex, the stratum-structure model is still in
the development stage. In many engineering applications, it only serves as an
auxiliary means. Compared with the load-structure method, the stratum-structure
method fully considers the interaction between the underground structure and the
surrounding stratum. Combined with the specific construction process, it can fully
simulate the internal force of the underground structure and the surrounding strata
in each construction and the deformation of surrounding strata,which is more
consistent with the engineering practice. Therefore, the stratum-structure method
will be widely used and developed in the future research.
The stratum-structure method mainly includes the following parts: the rational
simulation of strata, the structure simulation, the simulation of the construction pro-
cess, the interaction between the structure and surrounding strata during the con-
struction and the simulation of the interaction between the strata and the structure.
The calculation method in the code for design of highway tunnels (2004-11-01,
issued by the ministry of communications of the People’s Republic of China) is
mainly introduced here.
The design principle of the stratum-structure method is that the lining and the
stratum are regarded as a unified system under the common stress. The internal
forces of lining and stratum are calculated separately under the conditions of
deformation coordination. Therefore, the stability of the formation can be checked
and the structure sessions can be designed.
At present, the calculation method is mainly the finite element method, which is
suitable for the design of underground building structures in soft rock or stable
stratum.
4.3.2 Calculation of Initial Ground Stress
According to the determination method of initial ground stress in Chap. 2, the initial
self-weight stress and tectonic stress can be calculated according to the following
steps.
4.3 Stratum-Structure Method 127
1. The initial self-weight stress
The initial self-weight stress is usually calculated by the finite element method or
the method of given horizontal lateral pressure coefficient.
(1) The finite element method
The initial self-weight stress is calculated by the finite element method and trans-
formed into an equivalent joint load.
(2) The method of given horizontal lateral pressure coefficient
After the horizontal lateral pressure coefficient is given, the initial self-weight stress
can be calculated by the following equations
X
rgz ¼ ci Hi ð4:10Þ
rgx ¼ K0 ðrz pw Þ þ pw ð4:11Þ
where rgz is the initial self-weight stress in the vertical direction; rgx is the initial
self-weight stress in the horizontal direction; ci is the severity of the layer i rock
above the calculation point; Hi is the thickness of layer i rock above the calculation
point; pw is the pore water pressure at the calculation point. Without considering the
change of groundwater head, pw can be determined by the hydrostatic pressure at
the calculation point, namely pw ¼ cw Hw (where cw is the severity of the
groundwater; Hw is the water level difference of groundwater).
2. The tectonic stress
The tectonic stress can be assumed to be uniformly or linearly distributed.

Assuming that the direction of action of the principal stress remains unchanged, the
general expression of two-dimensional strain is
8 s
< rx ¼ a1 þ a4 z
rs ¼ a2 þ a5 z ð4:12Þ
: z s
sxz ¼ a3
where a1 a5 are constant coefficients; z is the vertical coordinate.
3. The initial ground stress
The initial ground stress can be obtained by superimposing the initial self-weight
stress with the tectonic stress.
4.3.3 Constitutive Models
1. The rock element
(1) The elastic model
For a plane strain problem, the stress increment of the isotropic elastomer can be
expressed as:
8 9 2 E E l2 E2 38 9
Eh Ev lvh ð1 þ lhh Þ
< Drx =
0 v uh h
0 < Dex =
6 E E l Eð10 þ l Þ E0
7
fDrg ¼ Drz ¼ ½DfDeg ¼ 4 h v vh Ev2 ð1l2hh Þ
0 5: Dez ;
: ;
hh
E0 E0
Dszx 0 0 Ghv Dczx
ð4:13Þ
where Ev is the elasticity modulus in the vertical direction ðzÞ; Eh is the elasticity
modulus in the horizontal direction ðx; yÞ; lvh is the Poisson’s ratio of in the vertical
plane where the vertical strain causes horizontal strain; lhh is the Poisson’s ratio in
the horizontal plane; Ghv is the shear modulus in the vertical plane.
The stress increment of isotropic elastic material can be expressed as
8 9 2 l 38 9
< Drx = 1 1l 0 < Dex =
Eð1 lÞ 6 l 1 0 7
fDrg ¼ Drz ¼ ½DfDeg ¼ 4 1l 5 Dez
: ; ð1 þ lÞð1 2lÞ 12l : ;
Dszx 0 0 2ð1lÞ
Dczx
ð4:14Þ
(2) The nonlinear elastic model
The assumption of Duncan–Chang model is adopted. The constitutive relation can

be described approximately by the hyperbola
e1
r 1 r3 ¼ ð4:15Þ
a þ be1
It is also assumed that there is a hyperbolic relationship between axial strain e1 and
lateral strain e3 . There is
e3
e1 ¼ ð4:16Þ
f þ de3
where a, b, f, d are parameters determined by experiments.

Under different stress states, the elastic modulus can be expressed as:

n
Rf ð1 sin uÞðr1 r3 Þ 2 r3
Ei ¼ 1 Kp0 ð4:17Þ
2c cos u þ 2r3 sin u p0
where Rf is the break ratio and less than 1 (which is generally between 0.75 and
1.0); c is the cohesive force of soil; u is the internal friction angle of soil; p0 is the
atmospheric pressure and usually takes 100 kPa; K; n are parameters determined by
experiments.
The expression of Poisson’s ratio under different stress states is

G F lg rp03
li ¼ ð4:18Þ
ð1 AÞ2
ðr r3 Þd
A¼ n h 1 i ð4:19Þ
r3
Kp0 p0 1 R2cf ð1sin uÞðr1 r3 Þ
cos u þ 2r3 sin u
where G, F, d are parameters determined by experiments.

The elastic matrix ½D of the stress state can be determined according to Ei
and li .
(3) The elastic-plastic model
The elastoplastic constitutive relationship of geotechnical materials includes the

following four parts: (1) Yield conditions and failure conditions are used to
determine whether the material is plastic yield and failure; (2) The hardening law is
used to determine the change of the stress state after yield; (3) The flow rule is used
to determine the direction of plastic strain; (4) Loading and unloading criteria are
used to indicates the working state of the material.
It is difficult to get an analytical solution to the elastic-plastic problem of
underground engineering. However, the finite element method has been applied
successfully in this field.
1) Yield conditions and failure conditions
The yield condition is the condition that the stress must satisfy when a point in the
body begins to occur plastic deformation. The yield condition is also called yield
criterion. Take the ideal elastoplastic model as an example. Under unidirectional
stress, when the stress is less than the yield limit rs , the material is in an elastic
state. When stress reaches rs , the material enters a plastic state. Therefore, the
equation r ¼ rs is the yield condition under unidirectional stress. In complex stress
states, the yield condition should generally be a function of six stress components,
which can be expressed as

F rx ; ry ; rz ; sxy ; syz ; szx ¼ C ð4:20Þ
where C is the constant related to the material; F is the yield function as one scalar
function.
If the six components of the stress can lead F\C, it indicates that the point is in
an elastic state. If F ¼ C, it indicates that the point is in a plastic state.
For an ideal elastic-plastic materials, the beginning of the yield of materials
means the beginning to break down. Therefore, the yield condition is also called the
failure condition. For strain hardening (softening) materials, the yield surface
expands (shrinks) or shifts after the initial yield. Therefore, the failure surface of
such materials is a yield surface representing the ultimate state.
Assume that the material is isotropic and the change of coordinate direction has
no effect on the yield condition. Therefore, the yield conditions can be expressed by
the principal stresses r1 ; r2 ; r3 or the invariants of stress tensor I1 ; I2 ; I3 or the
invariants of deviatoric tensor of stress J1 ; J2 ; J3 , such as
F ðr1 ; r2 ; r3 Þ ¼ C ð4:21Þ
The image of this formula reflected in the principal stress space is called yield
surface (Three-dimensional space composed of principal stresses r1 ; r2 ; r3 ), which
is a space surface composed of some yield stress points. The space region sur-
rounded by the yield surface is called the elastic region. The stress points in the
elastic region are in the elastic state. The stress points at the yield surface are in a
plastic state.
A line that satisfies the equation r1 ¼ r2 ¼ r3 at each point in the principal
stress space is called space diagonal. Any plane perpendicular to space diagonal is
called the p plane. Obviously, on the p plane, each point satisfies the equation
r1 þ r2 þ r3 ¼ const. The plane composed of the space diagonal and the generatrix
of the space curved surface is called the meridian plane. The intersection line
between the yield plane and the p plane is called the yield curve on the p plane. The
intersection line between the yield plane and the meridian plane is called the yield
curve on the meridian plane.
For geotechnical and concrete materials, the yield condition is affected by the
hydrostatic stress and generally expressed as
F ðI 1 ; J 2 ; J 3 Þ ¼ C ð4:22Þ
The specific form of the yield condition is shown in the following several
commonly used yield criteria for geotechnical materials.
① Mohr–Coulomb yield criterion
According to Mohr–Coulomb yield criterion, when the stress state reaches the
following limit, the material yields, which is
s ¼ cr tan u ð4:23Þ
where s is maximum shear stress; r is the normal stress acting on the same plane
and assume that the tensile stress is positive; c is the cohesive force of the materials;
u is the internal friction angle of the materials.
When r1 r2 r3 , the expression of Formula (4.23) in the principal stress
space is
1 1
F ðr1 ; r2 ; r3 Þ ¼ ðr1 r3 Þ þ ðr1 þ r3 Þ sin u c cos u ¼ 0 ð4:24Þ
2 2
The yield surface of Mohr–Coulomb yield criterion in the principal stress space
is an irregular hexagonal cone, as shown in the Fig. 4.2a. The vertex of the conic is
on the hydrostatic stress axis, r1 þ r2 þ r3 ¼ c cot u. Figure 4.2b represents the
yield line in the p plane.
With the invariant of stress tensor and the invariant of deviatoric tensor of stress,
Mohr–Coulomb yield criterion can be expressed as

I1 pffiffiffiffiffi 1
sin u þ J2 cos h pffiffiffi sin h sin u ¼ c cos u ð4:25Þ
3 3

1 2r2 r1 r3
h ¼ arctan pffiffiffi ð4:26Þ
3 r1 r3
Fig. 4.2 The yield criterion in the principal stress space and the p plane. a Yield surface in
principal stress space; b The yield line in the plane p
where h is called the lode angle (0° h 60°); the invariants I1 , J2 are
I1 ¼ r1 þ r2 þ r3 ð4:27Þ
1h i
J2 ¼ ðr1 r2 Þ2 þ ðr2 r3 Þ2 þ ðr3 r1 Þ2 ð4:28Þ
6
② Drucker–Prager yield criterion
Because the Mohr–Coulomb yield surface is a conical surface, its angle is easy to
generate singular points in numerical calculation, which causes difficulties in the
numerical calculation. In order to obtain a smooth yield surface which is closed to
the Mohr–Coulomb yield surface, Drucker–Prager took the hydrostatic pressure of
geotechnical materials into consideration and modified the Von Mises criterion in
1952. Therefore, Drucker–Prager put forward the following yield criterion.
pffiffiffiffiffi
F ¼ aI1 þ J2 k ¼ 0 ð4:29Þ
where a, k are the material constants. For the plane strain state, a and k are
pffiffiffi
sin u 3c cos u
a ¼ pffiffiffipffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ; k ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð4:30Þ
3 3 þ sin2 u 3 þ sin2 u
In the principal stress space, the Drucker–Prager yield surface is a regular

conical surface, as is shown in Fig. 4.2a. Its transversal in the p plane is a circle, as
is shown in Fig. 4.2b. The material constants a and k are chosen to make the
Drucker–Prager yield surface closed to the Mohr–Coulomb yield surface, such as
2 sin u 6c cos u
a ¼ pffiffiffipffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ; k ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð4:31Þ
3 3 sin u 3 sin u
In each section, the Drucker–Prager yield circle coincides with the outer vertex
of the hexagon of the Mohr–Coulomb yield surface, corresponding to the failure
under compression, such as
2 sin u 6c cos u
a ¼ pffiffiffipffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ; k ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð4:32Þ
3 3 þ sin u 3 þ sin u
In each section, the Drucker–Prager yield circle coincides with the inner verteces
of the hexagon of the Mohr–Coulomb yield surface, corresponding to the tensile
failure.
2) The hardening law
The hardening law is a functional relationship that stress components must satisfy
when the material enters the plastic state after the initial yield. The functional
relationship is also called the strengthening condition, loading condition or the
following yield criterion to differ from the initial yield conditions. The graph of the
strengthening condition in stress space is called the strengthening surface or loading
surface.
As the Fig. 4.3a shows, under unidirectional stress, when the stress in the
material exceeds the initial yield point A and enters the plastic state point B, it will
be unloaded and then loaded again. The stress-strain relationship will still change
according to the elastic law. Until the highest stress point B is reached before
unloading, the material enters the plastic state again. Stress point B is the new yield
point of material after plastic deformation, which is called the strengthening point.
The stress at the new yield point B is higher than that at the initial yield point A.
This phenomenon is called machining strengthening or strain strengthening.
However, the stress at the subsequent yield points and the initial yield point of the
ideal elastic-plastic material are equal, or the loading surface and the initial yield
surface are the same. Therefore, there is no machining strengthening phenomenon.
Figure 4.3b represents the initial and subsequent yield surfaces of brittle materials
such as rock and concrete in a two-dimensional stress plane.
Under the complex stress condition, the loading condition can be uniformly
expressed as
F ðfrg; K Þ ¼ 0 ð4:33Þ
where K represents the function of plastic strain.

According to the change of yield surface shape and size, the hardening law of
materials can be divided into three types, as is shown in Fig. 4.4.
Fig. 4.3 Material strength under various stress conditions

Fig. 4.4 Material hardening type. a Isotropic hardening model; b Kinematic hardening model;
c Mixed hardening model
① The isotropic hardening model
The material should be isotropic under the initial stress. When the plastic state is
reached, the material is strengthened but it still remains isotropic. The shape and
center position of the loading surface remain unchanged in the stress space. With
the increase of the strengthening degree, the shape of the initial yield surface
expands similarly. The loading surface is determined only by the maximum stress
point which it has ever reached and has nothing to do with the loading history. As is
shown in Fig. 4.4a, strengthening condition can be represented as
Fðrij Þ kðep Þ ¼ 0 ð4:34Þ
where kðep Þ is the function of the effective plastic strain ep . The relationship of the
effective plastic strain and principal plastic strain is:
pffiffiffi qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
p 2 p 2 2 2
e ¼ e1 ep2 þ ep2 ep3 þ ep3 ep1 ð4:35Þ
3
The isotropic strengthening model is convenient for mathematical processing.

Besides, if the stress direction or the ratio of each stress component does not change
much in the loading process, the calculation result of the isotropic strengthening
model is in good agreement with the actual condition. Therefore, the isotropic
strengthening model is widely used.
② The kinematic hardening model
Under loading conditions, the shape and size of the yield surface do not change. But
there is the rigid translation in the stress space, as is shown in Fig. 4.4b. The loading
surface of the kinematic hardening model can be expressed as

F rij aij k ¼ 0 ð4:36Þ

Obviously, F rij aij k ¼ 0 is the initial yield surface. After the plastic
deformation occurs, the loading surface moves with aij which is called the transport
tensor.
The Bauschinger effect can be considered in the following strengthening model,

which is required for cyclic loading or for problems where reverse yielding may occur.
③ The mixed hardening model
As is shown in Fig. 4.4c, the mixed hardening model is a combination of the

isotropic hardening model and the kinematic hardening model. In the process of
plastic deformation, the loading surface not only has rigid parallel motion, but also
expands uniformly in all directions. The loading surface can be expressed as

F rij aij kðep Þ ¼ 0 ð4:37Þ
3) The flow rule
The direction of plastic strain is consistent with that of stress under uniaxial stress.
In the three-dimensional stress state, because there are 6 stress components and 6
strain components, the determination of plastic strain’s direction is more compli-
cated. The flow rule assumes that the plastic strain increment depij is proportional to
the stress gradient Q of the plastic potential
@Q
depij ¼ dk ð4:38Þ
@rij
where dk is a positive scaling factor and is also called the plastic multiplier. The
plastic potential is a function of stress Q ¼ Qðrij Þ.
The plastic potential function in the principal stress space is a curved surface
where the vector of plastic strain increment is consistent with the outer normal
direction of the surface. The plastic strain energy WP at any point is equal. When the
plastic potential surface is consistent with the yield surface, it is called the law of
associated flow rule and F Q. Therefore, there is
@F
depij ¼ dk ð4:39Þ
@rij
In this case, the vector of the plastic strain increment is perpendicular to the yield
surface, and this relation is called the orthogonal condition. When the plastic
potential surface is inconsistent with the yield surface, it is called the non-associated
flow rule. Geotechnical materials generally do not follow the associated flow rule.
At present, the associated flow rule is still used in the elastoplastic analysis of
geotechnical engineering. The reason is that the plastic potential function cannot be
determined, and the elastic-plastic matrix obtained from the non-associated flow
rule is asymmetric, which leads to a great increase in the calculation work.
4) The loading and unloading criteria
For the unidirectional force, there is only one stress component. After the material
reaches the yield state, it can be judged to be loaded or unloaded according to the
increase or decrease of the stress component.
① The loading and unloading criterion for ideal plastic materials
The stress point of ideal plastic material cannot be located outside the yield surface
without strengthening. When the stress point remains at the yield surface, known as
loading, the plastic deformation can continue to increase. The processing of the
stress point retreating from the yield surface into the yield surface is called
unloading. Assuming that the yield condition is Fðrij Þ ¼ 0, when the stress reaches
the yield state, slight change of the yield function caused by the stress increment is
@F
dF ¼ Fðrij þ drij Þ Fðrij Þ ¼ drij ð4:40Þ
@rij
When F ¼ 0; dF ¼ 0, it is called loading, representing the new stress point

maintained on the yield surface.
When F ¼ 0; dF\0, it is called unloading, representing the new stress point
retreating from the yield surface into the yield surface.
As is shown in Fig. 4.5a, in the stress space the component of the n vector in the
@F
normal direction outside the yield plane is proportional to @r ij
. dF\0 represents the
vector of the stress increment dr pointing into the yield surface, which is unloading.
dF ¼ 0 represents n dr ¼ 0 and stress points can only vary along the yield sur-
face, which is loading.
② The loading and unloading criterion for reinforcement materials
The loading surface of the reinforcement materials can be extended out of the yield
surface. Therefore, when dr changes along the loading surface, it only means that
the stress state of one point transitions from one plastic state to another plastic state
but it cannot cause new plastic deformation. This process is called neutral load
changing. It’s loading when dr is pointing out of the plane. When dr points into the
loading plane, it is unloading, as is shown in Fig. 4.5b. The loading and unloading
criterion of the reinforcement materials can be expressed as the change dF of the
yield function determined by Formula (4.40).
When F ¼ 0; dF [ 0, it is loading and represents a new stress point moving to
an extended yield surface.
When F ¼ 0; dF ¼ 0, it is neutral variable loading and represents a new stress
point remaining on the yield surface.
When F ¼ 0; dF\0, it is unloading and represents a new stress point retreating
fris the cross-sectional area ofom the yield surface into the yield surface.
Fig. 4.5 The loading and unloading criterion
Fig. 4.6 Generalized Kelvin model
5) The viscoelastic model
Generalized Kelvin model of three elements consists of the elastic element and
Kelvin model in series, as is shown in Fig. 4.6.
The constitutive relation is
g gE1 E 1 E2
r_ þ r ¼ e_ þ e ð4:41Þ
E1 þ E2 E1 þ E2 E1 þ E2
1) The creep
The creep equation after the lining construction is

1 1 E
g2 t
eðtÞ ¼ þ 1e r0 ¼ r0 JðtÞ ð4:42Þ
E1 E 2
where JðtÞ is the creep compliance; r0 is stress constant.

The creep curve of the generalized Kelvin model is shown in Fig. 4.7. When
t ¼ 0, there is e ¼ Er01 in the generalized Kelvin body, which is the instantaneous
deformation independent of time. When t ! 1, there is e ¼ Er01 þ Er02 , which
represents that the final creep of the generalized Kelvin body is finite. It becomes
the sum of two spring elements’ instantaneous deformation.
2) The creeping property
Considering the unloading when r0 reaches t1 , the creep is et¼t1 ¼

h i
r0 r0 E2
E1 þ E2 1 exp g t 1
h i
When t ¼ t1þ and t [ t1 , et [ t1 ¼ e1 Er01 exp Eg2 ðt1 tÞ
Therefore, when t [ t1 and it is unloading, and e will decrease continuously. If
t ! 1, then e ¼ 0, which means all creep being restored, as is shown in Fig. 4.8.
Therefore, the creep of the Kelvin body is all elastic aftereffect without viscous
flow.
2. The beam element
It is the same as “the calculation of element stiffness matrix” in the load structure
method above.
3. The bar element
Suppose that the joint displacement of the bar element in the local coordinate
T
system is fdg ¼ ui ; vi ; uj ; vj and the corresponding joint force is

f ¼ X i ; Y i ; X j ; Y j T . There is
ff g ¼ ½kfdg ð4:43Þ
Fig. 4.7 The creep curve of the generalized Kelvin model

Fig. 4.8 The elastic aftereffect of the creep of the generalized Kelvin model
where ½k is the element stiffness matrix of the bar in the local coordinate system.
There is
2 EA
3
l 0 EA
l 0
6 0 0 0 07
½k ¼ 6
4 EA
7 ð4:44Þ
l 0 EA
l 05
0 0 0 0
where l is the length of the bar; A is the cross-sectional area of the bar; E is the
elastic modulus of the bar.
4. The contact surface element
The contact surface is simulated by the joint element without thickness. When the
normal and tangential coupling effects are not considered, an incremental expres-
sion is

Dss Ks 0 Dus Dus
¼ ¼ ½K e ð4:45Þ
Drn 0 Kn Dun Dun
where Ks is the tangential stiffness of the contact surface; Kn is the normal stiffness
of the contact surface.
The stress-strain relationship of contact surface materials is generally nonlinear
and often in the plastic state. When the Mohr–Coulomb yield condition is adopted
for an ideal plastic material with the associated flow rule, for the plane strain
problem, the plastic matrix of the contact surface element shear slip can be derived
as follows:

1 Ks2 Ks S1
½Dp ¼ ð4:46Þ
S0 Ks S1 S21
where S0 ¼ Ks þ Kn tan2 u; S1 ¼ Kn tan u; u is the internal friction angle of the

contact surface.
For the contact surface element in a nonlinear state, the relation between stress
and relative displacement is
Dun
ss ¼ Ks Dus rn ¼ Kn vm ðDun \vm Þ ð4:47Þ
vm Dun
where vm is the maximum allowable embedding amount of contact surface ele-

ment in the normal direction.
4.3.4 Element Modes
1. The one-dimensional element
Regarding one dimensional

linear
element with two joints, when the joint dis-
placement is fdg ¼ ui ; vi ; uj ; vj , the displacement at any point on the element is
X
u¼ N i ui ð4:48Þ
where N is the interpolation function and there are
1n 1þn
N1 ¼ ; N2 ¼ ð4:49Þ
2 2
2. The triangular element
Regarding triangular
element with three joints, when the joint coordinate is
xi ; yi ; xj ; yj ; xm ; ym , the joint displacement is fdg ¼ ui ; vi ; uj ; vj ; um ; vm and the

corresponding nodal force is fFg ¼ Xi ; Yi ; Xj ; Yj ; Xm ; Ym . The displacement of
any point within a cell in linear displacement mode is
u
¼ ½Nfdg ð4:50Þ
v

Ni 0 Nj 0 Nm 0
½N ¼ ð4:51Þ
0 Ni 0 Nj 0 Nm
8
< ai ¼ xi ym xm yi
bi ¼ y j y m ð4:52Þ
:
ci ¼ xm xi
1
where ½N is the matrix of shape functions; Ni ¼ 2D ðai þ bi x þ ci yÞ; D is the unit
area.
3. The quadrilateral element
When a four-joint isoparametric element is adopted and the displacement of the

joint is fdg ¼ ½u1 ; v1 ; u2 ; v2 ; u3 ; v3 ; u4 ; v4 T , the displacement pattern can be given
by a bilinear interpolation function, which is
u ¼ N1 u1 þ N2 u2 þ N3 u3 þ N4 u4
ð4:53Þ
v ¼ N1 v1 þ N2 v2 þ N3 v3 þ N4 v4
where N is interpolation function, namely

8
>
> N1 ¼ 14 ð1 nÞð1 gÞ
>
< N ¼ 1 ð 1 þ nÞ ð 1 gÞ
2 4 ð4:54Þ
>
> N3 ¼ 1
4 ð 1 þ nÞ ð 1 þ gÞ
>
: 1
N4 ¼ 4 ð1 nÞð1 þ gÞ
4.3.5 Simulation of Construction Process
1. General expressions
The simulation of the excavation process is generally realized by applying loads on

the excavation boundary. A relatively complete construction stage is called the
construction step and each construction step consists of a number of incremental
steps. The loads of the excavation corresponding to the construction step can be
gradually released in the contained incremental step to simulate the construction
process. In the specific calculation, the released load amount of each incremental
step can be controlled by the release coefficients.
For the state of each construction stage, the finite element analysis expression is

½Ki fDdgi ¼ fDFr gi þ DFg i þ DFp i ði ¼ 1. . .LÞ ð4:55Þ
X
i
½Ki ¼ ½K0 þ ½DKk ði 1Þ ð4:56Þ
k¼1
where L is the total number of construction steps; ½Ki is the total stiffness matrix of
rock and soil mass and structure in construction step i; ½K0 is the initial total
stiffness matrix of the rock and soil mass and structure; ½DKk is the increment or
decrement in the geotechnical mass or structural stiffness in the construction step k
to reflect the excavation and filling of geotechnical elements and the construction or
dismantling of structural elements; fDFr gi is the equivalent joint force of the
released load at the excavation boundary in the construction step i; fDFg gi is the

equivalent joint force of added self-weight in the construction step i; DFp i is the
equivalent joint force of incremental load in the construction step i; fDdgi is the
increment of joint displacement in the construction step i.
For each construction step, the finite element analysis expression of the incremental
loading process is

½Kij fDdgij ¼ fDFr gi Daij þ DFg ij þ DFp ij ði ¼ 1. . .L; j ¼ 1. . .M Þ ð4:57Þ
X
j
½Kij ¼ ½Ki1 þ ½DKin ð4:58Þ
n¼1
where M is the number of the incremental load for each construction step; ½Kij is
the stiffness matrix when the load increment step j is applied in the construction
step i; aij is the released load coefficient of the excavation boundary corresponding
to the load increment step j in the construction step i; when the excavation boundary
P
load is completely released, there is M j¼1 aij ¼ 1; DFg ij is the equivalent joint
force of the newly added unit weight in the construction step i and the increment
step j; fDdgij is the joint displacement increment in the construction step i and

increment step j; DFp ij is the equivalent joint force of the incremental load in the
construction step i and increment step j.
2. Simulation of the excavation process
The excavation effect can be simulated by setting the released loads on the exca-
vation boundary and transforming it into the equivalent joint force. The expression is
½K DK fDdg ¼ fDPg ð4:59Þ
where K is the stiffness matrix of the system before excavation; DK is the part
stiffness being removed in the excavation process; DP is the equivalent joint force
of the excavation released load.
The element stress method or Mana method can be used to calculate the released
loads of the excavation.
3. Simulation of filling process
The filling effect consists of two parts. One is the change in global stiffness and the
other is the increment of the self-weight load of the newly added element. The
equation is

½K þ DK fDdg ¼ DFg ð4:60Þ
where K is the stiffness matrix of the system before filling; DK is the stiffness of the
newly added solid element; DFg is the equivalent joint load of the self-weight of the
newly added entity element.
4. Construction and demolition of structure
The effect of the structure construction is reflected in the increment of the overall
stiffness and the effect of the added weight of the structure on the system. The
equation is
n o
½K þ DK fDdg ¼ DFgs ð4:61Þ
where K is the stiffness matrix of the system before the construction; DK is the
stiffness of the newly added structure; DFgs is the equivalent joint load applied to the
self-weight of the structure.
The effect of structure demolition includes the decrease of the overall stiffness and
the release of the internal force of the support. The release of the supporting internal
force can be achieved by applying a reverse internal force. The equation is
½K DK fDdg ¼ fDF g ð4:62Þ
where K the stiffness matrix of the system before the construction; DK is the
stiffness of the newly added structure; DF is the equivalent joint force of the internal
force of the dismantled structure.
5. Application of an incremental load
The external load applied in the construction process can be represented by the
incremental load applied in the corresponding incremental step. The equation is
½KfDdg ¼ fDF g ð4:63Þ
where K the stiffness matrix of the system before the incremental load is applied;
DF is the equivalent joint force of the incremental load applied.
4.4 Example
The example of the load-structure method can be found in the integral tunnel
structure. The design example of the stratum-structure method is given here.
1. Introduction
As mentioned before, the stratum-structure method mainly includes the following

parts: rational simulation of strata, structure simulation, the simulation of the
construction process, interaction between the structure and surrounding strata
during the construction and the simulation of the interaction between the strata and
the structure. According to different types of underground building structures,
corresponding reasonable simplification can be carried out and the relatively suit-
able constitutive model can be used for the numerical simulation.
2. Simulation of the strata
The stratum structure method considers the strata and the structure as an organic
whole. Therefore, the reasonable simulation of the stratum has a very important
influence on the deformation and internal force of the structure and surrounding
stratum.
After years of development, a variety of models have been developed for
stratigraphic materials. There are isotropic linear elastic model, nonlinear elastic
and elastoplastic models or transverse anisotropy and orthotropic linear elastic
model. Considering the time effect of surrounding strata, viscoelastic and vis-
coelastoplastic models are developed. Due to the seepage of groundwater in the
surrounding rock and soil, the seepage coupling model has been developed suc-
cessively. Considering the change of pore water pressure in the soil, the consoli-
dation model is developed.
Elastoplastic model and viscoelastic model are widely used for the nonlinear and
time effect of the rock mass. There are many yield criteria for elastoplastic models,
such as Drucker–Prager yield criterion, Mohr–Coulomb yield criterion, Cam-Clay
model and many hardening criteria. Viscoelastic models include Maxwell model,
4.4 Example 145
Kelvin model and three elements model and so on. The above models reflect many
properties of the rock mass irreversible, dilatancy, strain softening and anisotropy
and so on. Soil medium, nonlinear elasticity, Cambridge model, consolidation
model and viscoelastoplastic model are widely used.
The joints, cracks and other common geological phenomena in the rock mass are
generally contact surface materials and the joint element simulation is adopted.
The physical and mechanical parameters of the surrounding stratum model can
be obtained by the laboratory tests, the field tests and the reverse analysis.
3. Simulation of construction process
(1) The time-space effect
The support theory of underground engineering is based on the interaction between

strata and support. The supporting role is not to bear the load passively, but to give
full play to the stability of the formation itself. Therefore, starting from effectively
limiting the displacement of surrounding rock deformation, the support structure
should be constructed in time. The time-space effect of tunnel construction is
illustrated below.
With the tunneling of the tunnel and the advancement of the working face, the
surrounding rock deformation and the redistribution of stress within a certain range
are restricted by the supports. The deformation of surrounding rock cannot be
released freely and fully, and the stress redistribution cannot be completed quickly.
The actual measurement shows that the space constraint effect of the tunneling
surface can disappear completely and the stress can be fully released when the
distance is about 2–3 times of the diameter or span of the tunnel after the working
surface. The release of the stress and redistribution are a process after excavation,
which is the time effect. That is, the effect of rheological aging of the rock mass.
Even after the space effect disappears, the deformation continues to develop. It is
obvious that there is a coupling of two effects near the working surface. Therefore,
in a certain distance away from the working surface, if the surrounding rock cannot
get timely support and treatment, the deformation of surrounding rock cannot be
effectively controlled with the gradual disappearance of the surface constraint and
the rheological effect of the surrounding rock. As a result, the rock mass breaks.
The space effect on the tunneling surface turns into the “semicircular dome”
constraint on the axis of the tunnel and the “ring” constraint on the cross-section of
the tunnel, as is shown in Fig. 4.9. “Semicircular dome” refers to the curved shape
of the radial deformation of the cave wall from the excavation face. Displacement
release coefficient is generally used to describe the “semicircular dome”. Dis-
placement release coefficient has a direct influence on the shape of the tunnel
section, the formation load, the rock mass material characteristics, the buried depth,
the construction method and other factors.
Fig. 4.9 Time-space effect

diagram
The research methods of time-space effect mainly include the numerical simu-
lation and field measurement. There are two kinds of numerical simulation. One is
the simulation of two-dimensional or axisymmetric problem and the other is
three-dimensional simulation. The two-dimensional problem emphasizes the char-
acteristics of the surrounding rocks, which considers nonlinearity, plasticity, creep,
stress path and discontinuity. The effect on the working surface can be simulated by
the displacement release coefficient according to the measured data. Due to the
complexity of the geometric model and the limitation of the computer, the 3D
problem focuses on the space characteristics of the underground structures. Elastic
and viscoelastic models are generally adopted.
(2) Calculation of the initial ground stress
The initial ground stress can be calculated by the finite element method and the
horizontal lateral pressure coefficient method. For rock strata, the initial ground
stress is divided into the self-weight ground stress and the tectonic ground stress.
The self-weight ground stress is obtained by the finite element method. The tectonic
stress can be assumed to be uniformly distributed or linearly distributed. For the
layers of soft soil, the horizontal lateral pressure coefficient is often used to cal-
culate the initial ground stress.
4.4 Example 147
(3) The finite element simulation of the construction process
The excavation process of underground engineering mainly includes the excava-

tion distribution of rock and soil mass and the layered setting of supporting
structures. The finite element equation is used to simulate the mechanical mor-
phology of the above mentioned different construction stages. It can be written as
ð½K0 þ ½DKi ÞfDdi g ¼ fDFir g þ fDFin gði ¼ 1. . .M Þ ð4:64Þ
where M is the total number of the construction stages; ½K0 is the initial total
stiffness matrix of rock and soil mass before excavation; ½DKi is the increment or
decrement of the stiffness of rock and soil mass and supporting structure in the
construction process. Its value is the stiffness after the rock and soil mass element is
removed and the support structure element is set or removed. ½DFir is the boundary
incremental joint force array released by the excavation. The initial excavation is
determined by the self-weight of rock and soil mass, tectonic stress of crustal
deformation, groundwater load and overloading on the ground. The subsequent
excavation steps are determined by the current stress state. ½DFin is the joint load
array added in the construction process; fDdi g is the incremental displacement
array of joints generated at any construction stage.
At each construction stage, the displacement di , strain ei and stress ri are
X
i X
i X
i
fdi g ¼ fDdk g; fei g ¼ fDek g; fri g ¼ fr0 g þ fDrk g ð4:65Þ
k¼1 k¼1 k¼1
where r0 is the initial stress; Ddk is the incremental stress at each construction stage.
When the material is elastoplastic, incremental initial stress method is adopted.
The nonlinear analysis of the tensile failure or joint failure of the rock and soil
element and the tensile failure or shear failure of the contact surface element can
come down to the calculation of the initial stress method.
In the construction process, partial excavation refers to different excavation
methods, such as benching tunneling construction method and side heading method
and so on. Different excavation stages were used to simulate the calculation. Partial
unloading is caused by the excavation face forward. Different stress release coef-
ficients can be selected in the same excavation stage according to experience or
measured displacements. Besides, it can reflect the change of the different con-
struction stages. Partial support refers to different support timing, such as the bolt,
the shotcrete, the secondary lining, the grouting and the advanced support. Different
supports are set in different construction stages to simulate the calculation. Obvi-
ously, it has both spatial and temporal two implications.
(4) The grouting simulation
In the process of construction, grouting is a common method to reinforce the

stratum. In construction simulation, the material replacement method is usually
used for simulation. The strata after grouting are simulated with new materials to
reflect the change of mechanical properties of the materials.
4. Simulation of structures
The simulation of the underground building structure has a great influence on the
internal forces of the structure. Bolt and shotcrete support is generally simulated by
the bar element and can also adopt the method of increasing c, u of the surrounding
rock of anchor reinforcement areas. The lining structures can also be simulated by
the quadrilateral isoparametric element. Generally, the underground continuous
wall and pile can also be simulated by the beam element. The elastoplastic model,
the viscoelastic model and any other temperature-dependent constitutive relation-
ship can be used for both rod and beam elements.
The uniform ring model and the beam spring model and so on can be used in the
structural design of shield tunnels. The beam spring model fully reflects the con-
nection and stress characteristics of the structure. The straight (curved) beam ele-
ment can be used to simulate the beam spring model. The spring element simulation
can be used between the segments and at the joint.
5. The interaction of the strata and structures
(1) The simulation of the interaction between strata and structures
The interaction between supporting structures and strata can be simulated by the
contact surface element. Besides, nonlinear constitutive relationships can be
established by using the contact surface element of the plasticity theory
The yield condition of the contact surface is
F ðss ; rn Þ ¼ f ðss ; rn Þ ð4:66Þ
When the Mohr–coulomb principle is adopted, the yield condition is
F ¼ ss þ lrn c ð4:67Þ
where l ¼ tan u, u being the angle of internal friction between structure and soil
mass; c is the cohesive force between structure and soil mass.
When the stress acting on the contact surface reaches the yield condition, the
contact surface will produce plastic deformation. The plastic deformation after yield
obeys the law of flow. The plastic part of the contact surface displacement
4.4 Example 149

increment can be expressed as Ddps ; Ddpn . Adopting the associated flow rule, the
increment of plastic displacement is:
@F @F
Ddps ¼ Dk ¼ Dk; Ddpn ¼ Dk ¼ Dkl ð4:68Þ
@ss @rn
where Dk is a positive proportional constant.

If the plastic deformation continues when the contact surface yields, then the
stress state will satisfy the yield condition changing from ðss ; rn Þ to
ðss þ Dss ; rn þ Drn Þ
@F @F
DF ¼ Dss þ Drn ¼ 0 ð4:69Þ
@ss @rn

Dss k 0 Ddes Dds Ddps
¼ s ¼ ½k
e
ð4:70Þ
Drn 0 kn Dden Ddn Ddpn
The relationship of stress and strain in the plastic state is

Dss Dds
¼ ½k
ep
ð4:71Þ
Drn Ddn
2
1 l ks kn lks kn
½k ¼
ep
ð4:72Þ
ks þ l2 kn lks kn ks kn
(2) The interaction between double linings
There are two ways to simulate the interaction between double linings. One is the
contact surface element and the other is the spring element. When the spring
element is used in the simulation, radial and annular springs are used to simulate
normal and shear actions between two layers. Spring parameters of the spring
element are selected according to experiments and experiences.
4.5 Summary
(1) There are various calculation models of underground structure, which can be
roughly summarized as the following four calculation models: the
load-structure calculation model, the stratum-structure calculation model, the
experiential analog calculation model and the convergence constraint calcu-
lation model.
(2) The load-structure calculation method determines formation pressure firstly

according to the stratigraphic classification or the practical formula. Then the
internal forces of lining are calculated according to the calculation method of
structures on the elastic foundation. Finally, the structure section will be
designed.
(3) The stratum-structure calculation model regards the lining and the stratum as
the unified system to bear the load. The internal forces of the lining and the
stratum are calculated separately under the conditions of deformation coor-
dination. The stability of stratum is checked and the cross section is designed.
(4) The constitutive models of geotechnical materials mainly include the elastic
model, the nonlinear elastic model, the elastoplastic model and the viscoelastic
model. The elastoplastic model consists of the following four components:
yield conditions and failure criterias, hardening laws, flow rules and loading
and unloading criteria.
Problems
4:1 Briefly describe the development of calculation theory of underground

structures.
4:2 Briefly describe the types and meanings of calculation methods of under-
ground structures.
4:3 Briefly describe the basic meaning and main differences of the load-structure
method and the stratum-structure method.
4:4 Briefly described the calculation process of the load-structure method and the
stratum-structure method.
Numerical Analysis Methods
for Underground Structures 5
5.1 Introduction
With the rapid development of transportation industry and the continuous

advancement of urbanization in China, the underground structure engineering has
been widely used in the fields of roads, railways, and municipal constructions. The
rock mass and groundwater are usually the main loads of underground structures,
and these loads are difficult to calculate accurately. The excavation and support of
underground structure engineering are very complicated. Although methods like
empirical analogy and elastoplastic analysis have been conducted in the stability
analysis and support design, due to the intrinsic complexity of underground
structures, the application range and solving ability are still limited. Especially
for large-span underground structures like complex engineering sections and partial
excavation, it is impossible to simulate and analyze the process of excavation and
support accurately regardless of empirical analogy or elastoplastic analysis. The
popularity of computers in recent years has brought new opportunities, especially in
the fields of the design, calculation and the construction process simulation of un-
derground structures. The numerical analysis of the underground structure by com-
puter can make it more reasonable in design and safer in construction.
5.1.1 Concept of Numerical Analysis Methods

for Underground Structures
The numerical analysis is a numerical method (approximate methods) that solves

various scientific and engineering problems through computers. Taking the theory
and method of solving mathematical problems in the digital computer as the research
object, it evaluates the accuracy of the obtained solution. The numerical analysis is
widely used in interdisciplinary fields such as science and engineering computing,
information science, management science, and life science.
https://doi.org/10.1007/978-981-13-7732-7_5
152 5 Numerical Analysis Methods of Underground Structures
In order to understand the actual problems of certain science and engineering,

mathematical models of the problem are first established based on the laws of
physics and mechanics, which are generally algebraic equations and differential
equations. An important aspect of scientific computing is to study the numerical
calculation methods of these mathematical problems, and then calculate the
required results on the computer through the calculation softwares. The numerical
analysis includes interpolation and approximation methods of functions, differential
and integral calculation methods, linear equations and nonlinear equations, ordinary
differential, and partial differential numerical solutions. The process can be sum-
marized as Practical Problem ! Mathematical Model ! Numerical Calculation
Method ! Programming ! Result Calculation.
With the rapid development of computer technology, it has become a reality to
stimulate and reproduce the excavation steps of the underground structure engi-
neering and the engineering state (stability and deformation) with the combination
of numerical analysis methods, computer graphics, image technology, and visual-
ization technology. This technology of engineering state simulation and process
graphic display is called computer simulation technology.
Inside the rock and soil, the underground structure is often difficult to observe
directly, while the computer simulation technology can display the internal process
and is of great practical value. For example, collapse and roof fall often occur
during the excavation of the underground engineering. The direction and density of
faults, fissures, and joints can be known by geological prospecting. The mechanical
properties of the rock mass can be known through small experiments, so are the
mechanical properties and strength conditions of the interlayer and the boundary.
All these data can be stored in the computer. In the numerical model, not only the
geological structural planes such as faults, joints and fractures in the rock mass, but
also the construction process such as stepped excavation and support can be sim-
ulated to reveal the stress and displacement under the circumstances of different
construction steps, construction techniques, and support. In particular, simulating
and displaying the excavation process of the cavern, some unstable parts of the roof
and side walls falling or slipping provides a reliable basis for the support design
through the discontinuous analysis. These are all difficult to achieve with analytical
methods.
The reliability and application range of numerical analysis of underground
structures depend on three conditions: (1) The constitutive relationship between the
rock and soil and the supporting structures, which represents the relationship between
structural load and deformation characteristics; (2) An effective numerical method,
which is a guarantee for improving numerical calculation analysis; (3) The prepro-
cessing and postprocessing system. The preprocessing system can transform engi-
neering problems into mathematical models in a simple and intuitive way and the
postprocessing system can show the results of numerical analysis more intuitively.
The development of numerical analysis programs in early times mainly focused on
the numerical calculation methods. Most of their preprocessing and postprocessing
systems were not very powerful and some were not developed at all. It not only made
the numerical analysis time-consuming and laborious but also made the engineers feel
that numerical analysis is unfathomable, which is difficult to promote and

popularize numerical analysis programs. At present, with the speed increase and
memory expansion of computers, the preprocessing and postprocessing systems of
numerical analysis systems have been developed, especially the graphic display. It
makes the modeling and data processing of numerical analysis convenient and easy
with the object-oriented operating environment and powerful graphic display
function of some commercial software and professional software at home and abroad.
Most of the preprocessing and postprocessing systems use object-oriented pro-
gramming technology to develop a human–machine dialogue system. Users only need
to click the mouse to perform modeling and data processing.
Anyway, the underground structure engineering is different from ground struc-
ture engineering. Although users do not have to understand complicated calculation
theory, let alone go through the programming process. In order to solve engineering
problems through numerical analysis techniques, enough engineering experience is
needed. More importantly, the basic assumptions, application premise and scope of
various numerical analysis methods are required. In addition, you should under-
stand some application software of geotechnical engineering at home and abroad.
Only in this way, the problems can be analized and solved by appropriate
numerical methods and calculation programs. The purpose of numerical analysis is
to provide a reference and prediction for underground engineering excavation and
design.
The numerical analysis method of the geotechnical engineering is an emerging
technology in the process of development and exploration. Therefore, actual pro-
jects can neither completely rely on numerical analysis, nor can it totally negate the
numerical analysis technique. At present, geotechnical numerical analysis can be
taken as a credible technology in stimulating the formation mechanism, developing
process and trend of geotechnical engineering, and providing a lot of important
information and scientific guidance for design and construction. However, the
results of geotechnical numerical simulations cannot be simply considered quan-
titative. In view of the problems that it cannot be truly quantitatively analyzed in
numerical simulations of geotechnical engineering, the uncertainties must be fully
recognized. In the whole process of numerical analysis of geotechnical engineering,
attention should be paid to the prototype investigation of the scene. That is the
natural history analysis of engineering geology. The biggest advantage of this
method is that it can determine the engineering geological conditions through
relevant survey and research, and then build a model that can represent the char-
acteristics of complex geotechnical bodies on the basis of prototype investigation
for numerical analysis.
5.1.2 Classification of Numerical Analysis Methods

Material mechanics, structural mechanics, and elastic mechanics are the classical
mechanical calculation methods for studying three different geometrical forms of
rods, rod systems and continuums, respectively. Based on the three basic equations
(equilibrium equation, physical equation, and geometric equation) and boundary
conditions that strictly satisfy the structure, the method gives the solution of the
problem by finding the analytic function that can characterize the internal force or
displacement of the structure. This classical mechanics method that uses analytic
functions to characterize structural mechanical behavior is an analytical method.
The numerical analysis method is an approximate method developed on the basis
of analytical analysis method. The numerical analysis method can be divided into
three categories according to the satisfied conditions, as shown in Fig. 5.1.
1. Continuous medium numerical analysis method
The theoretical basis of the continuous medium numerical analysis method is elastic
or plastic mechanics. Therefore, it is necessary to meet the basic equations and
boundary conditions of the structural engineering during the derivation of formula.
Various approximate solutions different from elastic mechanics are used when
solving the problems. Such numerical analysis methods include Finite Difference
Method (FDM), Finite Element Method (FEM), and Boundary Element Method
(BEM), which are suitable for stress analysis and displacement solution of con-
tinuous medium in underground engineering.
2. Noncontinuous medium numerical analysis method
The theoretical basis of the noncontinuous medium numerical analysis method is

the Newton motion law, which does not satisfy the continuous condition of dis-
placement of the structure, but it can find the displacement of the structure in
equilibrium or the failure mode when it is impossible to be in equilibrium. Although
the structure is not constrained by the displacement continuity, it should satisfy the
Numerical analysis
method of
Non-continuous
Continuous medium Mixed media
media numerical
numerical analysis numerical analysis
analysis
Finite Boundary Finite element and Boundary element and

Finite element
difference element discrete element discrete element
method
method method coupling coupling
Discrete Discontinuous
element deformation
method analysis
Fig. 5.1 Numerical analysis methods commonly used in geotechnical engineering

constitutive relationship of a given element and interface. Such numerical analysis

methods include Discrete Element Method (DEM) and Discontinuous Deformation
Analysis (DDA), which can be used to analyze the discontinuous deformation in the
jointed rock mass, such as the separation and slippage of the rock mass near the
cavern.
3. Mixed medium numerical analysis method
The mixed numerical analysis method is a coupling of continuous and discontin-

uous analysis methods. In some areas of the underground structure (e.g., areas near
the cavern), the separation of the surrounding rock mass due to the excavation is
discontinuous, while in other areas (e.g., areas away from the cavern), the rock mass
is generally still continuous. Therefore, it makes sense to consider the coupling
analysis of two different mechanical media. At present, the commonly used cou-
pling methods include the coupling of finite element and discrete element, the
coupling of boundary element, and discrete element. Inside the rock mass where
discontinuous deformation may occur, the discontinuous medium method is used to
simulate, while the rock mass far from the cavern is generally in a continuous state,
which can be analyzed by continuous medium model. In the long run, the mixed
medium numerical analysis method will be an important direction for the devel-
opment of geotechnical engineering.
5.1.3 Comparison Between Elastic Mechanics Analysis

and Continuous Medium Numerical Analysis
In order to understand the solving ideas of the continuous medium numerical

analysis method and its fundamental difference compared with the elastic analysis
method, it is necessary to review the elastic mechanics method.
The elastic mechanics is to take a “microelement” in the analysis area (contin-
uous structure), and then establish the equilibrium differential equation based on the
equilibrium condition after the stress analysis. The microelement characterizes the
equilibrium equation of the computational region since it is random. Similarly, the
geometric equation is established according to the deformation conditions generated
by the microelement under the stress, which is obviously a differential equation as
well. It constitutes three basic equations of elastic mechanics together with the
physical equations that characterize the relationship between stress and strain. The
basic equation generally is a function of the three-dimensional coordinates ðx; y; zÞ.
Therefore, the solution of the elastic mechanics is adapted to both the basic equation
and the boundary condition, which constitutes the only solution. It can be seen that
the solution to the problem of elastic mechanics engineering is essentially solving a
set of differential equations with boundary conditions.
The idea of solving differential equations of elastic mechanics is to find a set of
“global functions” containing the parameters to be determined according to the stress
conditions of the problem. The function characterizes the displacement or stress field
distribution of the calculation region, which obviously meets the boundary condi-
tions. Substituting these functions into the basic equations for solving and deter-
mining the integral parameters according to the boundary conditions, so the global
stress function and displacement function of the project are determined.
In general, it is very difficult to solve the differential equations of engineering
structures. Only under the circumstance of simple structure shape (e.g., circular
caverns, rectangular simply supported plates) and simple load (e.g., hydrostatic
pressure, uniform load) can an analytical solution be obtained. Therefore, in order
to solve complex engineering problems, different approximate solutions such as
numerical solutions are proposed for the solution of differential equations.
According to the methods of solving differential equations, the numerical solutions
are divided into “finite difference method”, “finite element method”, “boundary
element method”, and “discrete element method”.
5.2 Common Numerical Analysis Methods and Software

In recent decades, with the development of computer applications, numerical

calculation methods have been widely applied in the analysis of geotechnical engi-
neering problems, which has greatly promoted geotechnical mechanics. The
numerical methods used in geotechnical mechanics mainly include finite difference
method, finite element method, weighted residual method, boundary element method,
discrete element method and discontinuous deformation analysis method (Table 5.1).
The following is a brief introduction of the solving techniques and corresponding
softwares of several numerical analysis methods of geotechnical engineering.
Table 5.1 Comparison of several commonly used numerical analysis methods

Numerical analysis Basic Solving Discrete ways Applicable
methods principles methods conditions
The finite difference The Newton Explicit Dividing element in Continuous medium,
method (FDM) motion law difference the whole area large deformation
The finite element The minimum Solving Dividing element in Continuous medium,
method (FEM) thermal equation the whole area small deformation,
energy set heterogeneous
principle material
The boundary The Belli Solving Dividing element on Homogeneous
element method reciprocal equation the boundary continuous medium,
(BEM) theorem set small deformation
The discrete The Newton Explicit Dividing element by Discontinuous
element method motion law difference joint distribution medium, large
(DEM) characteristics deformation, low
stress level
The discontinuous The minimum Solving Dividing element Discontinuous
deformation potential equation based on the actual medium, large
analysis method energy set situation of joint deformation
(DDA) principle cutting
5.2 Common Numerical Analysis Methods and Software … 157
5.2.1 Finite Difference Method
Proposed by British scholar South Well, the basic idea of the FDM is to express the
basic equations and boundary conditions of the problem with the difference
equations. So, the problem of solving differential equations is transformed into
solving algebraic equations. The FDM discretizes the actual physical process in
time and space, and decomposes the problem into a limited number of finite dif-
ference quantities. These difference quantities are approximately assumed to be
small enough so that the performance and physical processes of the object are
uniform within the variation range of the difference quantities and it still can
describe the physical phenomena. The principle of the FDM is to discretize the
actual continuous physical process, and then replace the derivative with the finite
difference quotient of the function at some specific points. Therefore, the difference
equations corresponding to the original differential equations can be established.
Since the differential equations are converted into algebraic equations, they can be
solved by using an “explicit” time stepping method. Simple in principle and easy to
program, the FDM can handle some relatively complicated problems. It has been
widely used since the late 1940s.
1. Theoretical basis and differential equation
(1) One-dimensional finite difference expression
It is natural to use difference formula to represent differential formula approximately.

For a one-dimensional problem, if there is a function y ¼ yðxÞ, the derivative of y to
x can be expressed as
dy Dy yðx þ DxÞ yð xÞ
¼ y ¼ lim ¼ lim ð5:1Þ
dx Dx!0 Dx Dx!0 Dx
If Dx does not tend to be zero but takes a sufficiently small finite value h, the
derivative of the function at x ¼ xn is approximately represented by three forms:
forward difference, backward difference, and center difference.
9
Dy yn þ 1 yn >
¼ >
>
Dx n h >
>
>
>
Dy yn yn1 =
¼ ð5:2Þ
Dx h >
>
n >
>
Dy yn þ 1 yn1 >
>
>
¼ ;
Dx n 2h
The meaning of the symbols in the formula is shown in Fig. 5.2. High-order
differentials are often used in differential equations, and differential expressions of
Fig. 5.2 One-dimensional

difference grid with a step of h
higher order differentials can be derived in a similar way. Take the central differ-
ence as an example:

D2 y ðyn þ 1 yn Þ=h ðyn yn1 Þ=h yn þ 1 2yn þ yn1
¼ ¼ ð5:3Þ
Dx2 n h h2
3
D y yn þ 2 2yn þ 1 þ 2yn1 yn2
¼ ð5:4Þ
Dx3 n 2h3
(2) Two-dimensional finite difference expression

Let the two-dimensional function f ¼ f ðx; yÞ be a continuous function in a
two-dimensional elastomer, which can be a displacement component or a stress
component. Assume that f is the displacement component of the x direction, then
u ¼ uðx; yÞ. A grid is divided on the elastomer by two sets of parallel lines that are
equally spaced apart and parallel to the coordinate axis, as shown in Fig. 5.3.
This function is on a grid line parallel to the x-axis, for example, on 3-0-1, which
only changes with changes in the x-coordinate. At the neighboring node 0, the
difference formula for the first and second derivatives of the functions u to x is

@u u1 u3
¼ ð5:5Þ
@x 0 2h
2
@ u u1 þ u3 2u0
2
¼ ð5:6Þ
@x 0 h2
Fig. 5.3 Finite difference

grid of a two-dimensional
continuum
Similarly, the difference formula for the first and second derivatives of the
functions u to y is

@u u2 u4
¼ ð5:7Þ
@y 0 2h
2
@ u u2 þ u4 2u0
¼ ð5:8Þ
@y2 0 h2
Using the same method, a finite difference expression of any order partial dif-
ferential equation at any point can be obtained. The center difference formula is
used in Eqs. (5.5)–(5.8).
(3) Establishment of the elastic algebra equations
As mentioned above, the FDM is to convert solving differential equation into

solving algebraic equations. Therefore, divide the structure area into grids first, and
then transform the basic differential equations at each node in the region into
algebraic equations according to Eqs. (5.5)–(5.8). These equations contain the
displacement values of the nodes inside the region, as well as nodes at the
boundary. Thus, each of the unknown value of the contained nodes can be solved
through the algebraic equations established.
2. Common FDM softwares
The most famous and commonly used FDM software is FLAC (Fast Lagrangian
Analysis of Continua). With powerful calculation functions and extensive simula-
tion capabilities, especially its unique advantages in the analysis of large defor-
mation problems, it is an internationally famous geotechnical analysis software
developed by Itasca. Various constitutive models and structural elements are pro-
vided by the software for geotechnical and support systems. FLAC has two versions
of 2D and 3D computing software, which are FLAC2D and FLAC3D, respectively.
As the extension of FLAC2D, FLAC3D not only includes all the functions of
FLAC but also develops to be able to simulate and calculate the force and defor-
mation of engineering structures in three-dimensional rock, soil, and other media.
FLAC can simulate structures built by soil, rock, and other materials that the
plastically flow may happen when they reach the yield limit. It divides the compu-
tational region into some four-node plane strain isoparametric elements, each of which
follows a defined linear or nonlinear constitutive relationship for a given boundary
condition. If the elemental stress causes the material to yield or show plastic flow, the
element grid and structure will deform as the material does, which is the so-called
Lagrangian algorithm. The Lagrangian algorithm is very suitable for simulating large
deformation problems. FLAC uses a finite difference format to solve the control
differential equations of the field and applies a discrete model of the mixed elements,
which can accurately simulate the yield, plastic flow, softening, and large deforma-
tions of the materials. In addition, it has unique advantages in the fields of elastoplastic
analysis, large deformation analysis, and simulation of construction process. In the
process of calculation, FLAC adopts the dynamic relaxation method of discrete ele-
ments, which does not have to solve large simultaneous equations or form a matrix.
Therefore, it is easy to calculate without occupying too much memory.
5.2.2 Finite Element Method
The FEM was proposed by Zienkiewicz in the 1950s. Based on the principle of
minimum total potential energy variation, it can easily handle various nonlinear
problems and simulate the complex construction process in geotechnical engi-
neering, making it the most practical and widely used numerical simulation method
in engineering technology. The FEM discretizes the continuous solution domain
into a combination of finite number of elements, analytically simulating, or
approximating the solution region. Since the elements of different geometries can
be combined in different ways, they can be adapted to the solution domain of
various complex geometries. The principle of the FEM is to use the hypothetical
approximation function of each element to represent the unknown field function.
The approximation function of the element is represented by the value of the
unknown field function at each element node and the interpolation function. This
makes the node value of the unknown field function a new unknown, turning a
continuous infinite degrees of freedom problem into a discrete finite one. As long as
the node unknown is solved, the field function of the element combination can be
determined. As the number of elements increases, the approximate solution con-

verges to the exact solution. According to the types of the unknown selected, the
FEM can be divided into displacement type, balance type, and hybrid type. The
displacement FEM is easier to implement on the computer and generalize to
nonlinear and dynamic effects, making it more widely used than other types.
1. Finite element solution

Referring to the structural static problem, steps of solving the general continuous
medium problems by FEM can be described as follows:
(1) Discretization of the structure. The first step of the FEM is to divide the
structure or solution domain into many small parts or elements. Therefore,
when starting the analysis, the structure must be modeled with appropriate
finite elements, and the number, type, size, and position of the element must
be determined.
(2) Selecting the appropriate interpolation mode or displacement mode. Since
the displacement solution of a complex structure cannot be accurately known
in advance due to a randomly given load, some assumed solutions of the
elements are used to approximate the unknown solution. The hypothetical
solution must be simple and should meet certain convergence requirements.
Usually, the solution or interpolation mode is taken as a polynomial form.
(3) Derivation of the element stiffness matrix and the load vector. According to
the assumed displacement mode, the stiffness matrix and the load vector of
the element can be derived through the equilibrium condition or the appro-
priate variational principle.
(4) Obtaining the total equilibrium equations from the element equations. Since
the structure is composed of several finite elements, each element stiffness
matrix and load vector should be assembled in an appropriate manner to
establish a structural equilibrium equation as follows:
½K fU g ¼ fPg ð5:9Þ
where ½K is the stiffness matrix of the overall structure; fUg is the node
displacement vector for the overall structure; fPg is the node force vector.
(5) Solving the displacement of the unknown node. Modifying the structural
equilibrium equation according to the boundary conditions of the problem,
the overall structural equilibrium Eq. (5.9) can be transformed into a set of
equations. When the node displacement fUg is solved, the strain and stress
of the element can be calculated using the relevant equations of solid
mechanics or structural mechanics.
The shortcoming of the FEM is that the overall stiffness matrix needs to be
formed, which often requires huge storage capacity. It is difficult to handle sin-
gularity problems (e.g., the problem of intermittent stress) due to the only dis-
placement coordination on adjacent interfaces. With the speed increase and memory
expansion of computer, the FEM is considered to be one of the best ways to solve
various practical problems. In particular, the FEM considers the inherent charac-
teristics of underground rock engineering such as geological discontinuities in
different media and rock masses, making it the most effective numerical analysis
method. For the principle of the FEM, the “Finite Element Method” edited by
Wang Xucheng can be referred. The following two examples are taken to introduce
the process of solving the one-dimensional problem and the plane problem by the
FEM, respectively.
Example 5.1
Find the displacement and stress of the step bar shown in Fig. 5.4a using the finite
element method. Rod cross-sectional area Að1Þ ¼ 2 104 m2 , Að2Þ ¼ 1 104 m2 ,
length of each section Lð1Þ ¼ Lð2Þ ¼ 0:1 m, the material elastic modulus
Eð1Þ ¼ Eð2Þ ¼ 2 105 MPa, and the tensile force acting on the rod end
F3 ¼ 100 N.
Solution
(1) Element division
According to the plane assumption of the material mechanics, it can be assumed
that the points on the same cross section have the same displacement and stress, i.e.,
the displacement is only related to the axial coordinate of the section. Therefore, the
step bar can be regarded as two “one-dimensional element”. The cross-sectional
area and material properties of the same element are unchanged. Each element has
two nodes, which are respectively located at the two ends of the element, and the
Fig. 5.4 Tension step bar. a Schematic diagram; b Finite element model; c Element
adjacent two elements are connected by a common node, represented by line

segments. The step bar shown in Fig. 5.4a is simplified as a finite element model
composed of two one-dimensional elements and three nodes. As shown in
Fig. 5.4b, ① ② are the element numbers and 1, 2, 3 the node numbers. Take the
node displacement as the basic unknown, and the stress can be calculated with the
node displacement.
(2) Element analysis

Determine the element interpolation function (shape function). In this example,
there are two nodes per element, and the linear interpolation can be used. Fig-
ure 5.4c shows a typical element diagram. The two node numbers are respectively
i and j, and the horizontal direction coordinate is X. Let the displacement of the
node with the coordinate x in the element be ae ðxÞ, according to the linear inter-
polation relationship, it is recorded as:
X
n
ae ðxÞ ¼ Ni ðnÞai ¼ Nae ð5:10Þ
i¼1
where n is the number of element nodes; Ni is the shape function, N1 ¼ 12 ð1 nÞ,

N2 ¼ 12 ð1 þ nÞ; n is the natural coordinate of the node within the element,
n ¼ 2l ðx xc Þ, l is the element length; xc is the overall coordinates of the element
center point, xc ¼ x1 þ2 xn .
(3) Element equation

Establish an element equation. According to the relationship between the defor-
mation and the tensile force (Hooke’s law),
9
Ae E e e e

e>
a i a j ¼ P i =
le ð5:11Þ
e e
AE >
aej aei ¼ Pej ;
l e
where Pei and Pej are the nodal forces acting on node i and j of element e respec-
tively, written in the form of the matrix:

Ae E e 1 1 aei Pei
¼ ð5:12Þ
le 1 1 aej Pej
Simplified as
K e ae ¼ Pe ð5:13Þ
where K e is element characteristic matrix, which is often called element stiffness

matrix in mechanical problems; Pe is nodal force array of the element,

T
Pe ¼ Pei Pej .
So far, the element equation cannot be solved because the nodal force array Pe is
unknown. The components Pei and Pej are the forces acting on the node i and j of
element e, which are forces between elements. The relationship between the
mentioned nodal force and the node load can only be determined by “grouping” the
elements together.
(4) Holistic analysis

In order to obtain the overall equations, the element equations must be extended
according to the correspondence between the partial freedom ðai ; aj Þ and the overall
degrees of freedom ða1 ; a2 ; a3 Þ. Specifically, the expansion equation for element 1 is
2 38 9 8 9
ð1Þ ð1Þ 1 1 0 < a1 = < Pð11Þ =
A E 4 1 1 0 5 a2 ¼ Pð1Þ ð5:14Þ
lð1Þ : ; : 2 ;
0 0 0 a3 0
where each upper corner code indicates the element serial number, and the lower
corner code indicates the total degree of freedom degree.
The expansion equation for element 2 is
2 38 9 8 9
0 0 0 < a1 = < 0 =
Að2Þ Eð2Þ 4 ð2Þ
0 1 1 5 a2 ¼ P2 ð5:15Þ
lð2Þ : ; : ð2Þ ;
0 1 1 a3 P3
Since the displacements on the common nodes of adjacent cells are the same, the
expanded equations of the cells can be added. Add the above two formulas:
2 Að1Þ Eð1Þ ð 1Þ ð 1Þ 38 9 8 9
lð1Þ
A lð1EÞ 0 < a1 = < P 1 =
6 A ð 1Þ E ð 1Þ ð 1Þ ð 1Þ
A E ð 2Þ ð 2Þ ð 2Þ ð 2Þ 7
4 þ A lð2EÞ A lð2EÞ 5 a2 ¼ P2 ð5:16Þ
l ð 1Þ l ð 1Þ : ; : ;
0
ð 2Þ ð 2Þ
A lð2EÞ Að2Þ Eð2Þ a3 P3
l ð 2Þ
The above assembly process can be recorded as
X
N X
N
Kea ¼ Pe ð5:17Þ
e¼1 e¼1
where N is the number of elements of the finite element model.

The result can be simplified as
Ka ¼ P ð5:18Þ
where K is the overall stiffness matrix; P is the overall node load array.
It should be pointed out that for a common node, in addition to the force acting
on the node by the adjacent elements, there may be an external load acting on the
node. If there is no external load on a node, such as node 2 in this example, it means
that the force of each adjacent element acting on the node is balanced, that is, the
joint force of the node is 0. If there is an external load on a node, such as node 3 in
this example, the internal forces acting on the node are balanced with the external
load of the node:

Að2Þ Eð2Þ Að2Þ Eð2Þ
ð 2 Þ a2 þ a 3 þ P3 ¼ 0 ð5:19Þ
l lð2Þ
That is to say, the meaning of each component of the array P is the external load
of each node. Substitute the known values:
2 38 9 8 9
4 4 0 < a 1 = < P1 =
106 4 4 6 2 5 a2 ¼ 0
: ; : ;
0 2 2 a3 1
The formula above is the overall linear equation of the problem. However, the
unique solution cannot be obtained because the matrix is singular. This singularity
is due to the fact that overall equations only consider the force balance condition.
The displacement of the system cannot be determined based only on the force
balance. For example, the system can still be in a force equilibrium state with any
rigid displacement. In order to obtain a unique solution for the displacement of each
node, it is necessary to eliminate the possible rigid displacement. In other words, the
displacement boundary condition must be included.
The displacement boundary condition of this problem is a1 ¼ 0, then there are
only two degrees of freedom a2 and a3 to be solved. That is to say, an equation can
be eliminated. For example, by subtracting the first equation and substituting
a1 ¼ 0:

6 2 a2 0
106 ¼
2 2 a3 1
The solution is a2 ¼ 0:25 106 m, a3 ¼ 0:75 106 m.

(5) Calculating the element stress

According to the material mechanics, the relationship between the strain ee ðxÞ and
the displacement ae ðxÞ at any point of the element is
dae ðxÞ
ee ðxÞ ¼ ¼ Bae ð5:20Þ
dx
where B is the strain matrix.

The stress–strain relationship is
re ðxÞ ¼ Ee ee ðxÞ ¼ Ee Bae ð5:21Þ
For element 1
a1 þ a2 2 105 ð0 þ 0:25Þ 106

rð1Þ ¼ Eð1Þ ¼ ¼ 0:5 MPa
lð1Þ 0:1
For element 2
ða2 þ a3 Þ 2 105 ð0:25 þ 0:75Þ 106

rð2Þ ¼ Eð2Þ ¼ ¼ 1 MPa
lð2Þ 0:1
Example 5.2
As shown in Fig. 5.5a, a cantilever beam has a width of 1 m, a length of 2 m and a
thickness t. The outer end of the plate is subjected to a vertical downward external
Fig. 5.5 Schematic diagram of the cantilever beam. a Concentrated load on cantilever beam;
b Discretized finite element model; c Element and node number relationship
load. Let the Poisson’s ratio l ¼ 1=3, and the elastic modulus is E. Find the joint
displacement and the stress on the element are obtained by the FEM.
Solution
(1) Element division
This is a plane stress problem of elastic mechanics, which can be discretized by a
three-node triangular element. The area of the triangular is A. The division of the
discretized element and element number are shown in Fig. 5.5b. The node uses two
numbers, one is the overall number of the node, and the four nodes are uniformly
numbered 1, 2, 3, and 4. The equilibrium equation of the node is established
accordingly. The second is the local number of the node in the counterclockwise
order, each numbered as i, j, m for element analysis. The relationship between node
overall numbers and the element is shown in Fig. 5.5c. The load acting on the
structure and the reaction force of the support are applied to the joint after dis-
cretization. Therefore, the nodes 1 and 4 on the fixed end support surface of the
cantilever beam can be simplified as hinge support.
(2) Element analysis

The shape function of element I:
x
0 y 0 1 2x y 0
N ¼ I 2
x
0 2 0 y 0 1 2x y
The shape function of element II:

1 2x 0 1y 0 1 þ 2x þ y 0
N ¼
II
0 1 2x 0 1y 0 1 þ 2x þ y
(3) Element equation

The element strain matrix B
2 3 21 3
b 0 bj 0 bm 0 0 0 0 1b 0
1 4 i b
B¼ 0 ci 0 cj 0 cm 5 ¼ 4 0 0 0 1
a 0 1a 5
2A c 1 1
i bi cj bj cm bm 0 b a 0 1a 1b
2 3
1 l 0
E 4
D¼ l 1 0 5
1 l2 0 0 1l
2
The stress matrix S

21 l 3
b 0 0 a 1b la
E 6
S ¼ DB ¼ 4
l
b 0 0 1
a lb 1a 7
5
1 l2 1l 1l
0 2b 2a 0 1l
2a 1l
2b
K e ¼ BT DBtA ¼ BT StA
2 1 3
b 0 0
6 7
6 0 0 1 72 3
6 b 7 1 0 0 l
1b la
6 7 b a
abt E 6 6 0 0 1a 7
76 7
76 1a 7
l
¼ 6 4b 0 0 1
a lb 5
2 1l 6 0
2 1
0 7 7
6 a 1l 1l
6 7 0 0 1l 1l
61 0 1a 7
2b 2a 2a 2b
4 b 5
0 1a 1b
2 1 l l 3
b2 0 0 ab b12 ab
6 7
6 0 1l 1l
0 1l 7
1l
6 2b2 2ab 2ab 7 2ab
6 7
6 0 1l 1l
0 1l
2a2 2b2 7
1l
abEt 6 6 2ab 2a2 7
7
¼
2 ð 1 l2 Þ 6 l
6 ab 0 0 1 l
ab 1
a2
7
7
6 a2 7
6 1 1
1l 7
6 b2 1l 1l l
ab 1l
b2 þ 2a2
l
ab þ 2ab 5
7
4 2ab 2a2
l
l
ab 1l
2b2 1l
2ab a12 1l
ab þ 2ab
1 1l
a2 þ 2b2
Substitute a ¼ 1 m and b ¼ 2 m
2 1 3
4
6 1l 7
6 0 8 7
6 7
Et 6 7
1l 1l
6 0 4 2 7
K ¼
I
6 7
1 l 6 l2
2 0 0 1 7
6 7
61 1l 1l l2 32l 7
4 4 4 2 4 5
l2 1l
8 1l
4 1 1þl
4
9l
8
The element stiffness matrices of element I and element II are equal. K I is a

symmetric matrix, and K I ¼ K II
(4) Overall analysis

2 32l 1þl
3
4 4 14 1l
4 0 0 1l
2 l2
6 1þl 9l 7
6 4 l2 1l 0 0 1l 1 7
6 8 8 4 7
6 1þl 7
6 14 l2 32l
4 0 1l
2 1l
4 0 4 7
6 1l 7
Et 6 1l 0 9l
l2 1 1 þ2 l 0 7
6 4 8 8 7
K¼ 6 7
1 l2 6 0 0 1l l2 32l 1þl 1
1l 7
6 2 4 4 4 4 7
6 1l 7
6 0 0 1l 1 1þl 9l
l2 8 7
6 4 4 8 7
6 1l 1l 0 1þl
14 l2 32l
0 7
4 2 4 4 4 5
l2 1 1þl
4 0 1l
4 1l
8 0 9l
8
Consider the boundary conditions. At four supports, there is:
u1 ¼ v 1 ¼ u4 ¼ v 4 ¼ 0
For the constraint that the node displacement is 0, the modified main diagonal
element is changed to 1, and the other elements are changed to 0. The modified
element stiffness equation is
2 38 9 8 9
1 0 0 0 0 0 0 0 >> u1 >> >
> 0 > >
60 1 0 0 0 0 0 07 > v1 >
> > >
> 0 > >
6 7>
>
>
>
>
>
>
>
>
>
>
>
60 0 K33 K34 K35 K36 0 07 >
> u >
> >
> 0 >
>
6 7>
<
2>
= >
< >
=
60 0 K43 K44 K45 K46 0 07 v P
6 7 2
¼ 2
60 0 K53 K54 K55 K56 0 07 u > > 0 >
6 7>
> 3>
> > > > P>
>
60 0 K63 K64 K65 K66 0 07 >
> v >
> >
> >
>
6 7>
> 3>
> >
> 2 >
>
40 0 0 0 0 0 1 5
0 >> u >
> >
> 0 >
>
> 4
: ; : > > >
;
0 0 0 0 0 0 0 1 v4 0
Substitute the overall stiffness matrix K

2 3
32l
0 1l 1l 8 9 8 0 9
> >
> u2 >
4 2 4 >
6 7 > > > >
>
Et 6 0 98l
l2 1 7< v2 = < P2 =
6 8 7 ¼
6
1 l 4 1l
2
l2 32l 1 þ l 7> u > > 0 >
5>: 3> ; > > >
2 4 4
v : P> ;
1l 1 1þl 9l 3 2
4 4 8
Substitute l ¼ 1=3
8 9 8 9
>
> u2 >
> >
> 1:50 >
>
< = P< =
v2 8:42
¼
>
> u > Et > 1:88 >
: 3> ; >
: >
;
v3 8:99
The node displacement vector of the structure is
fdg ¼ ½ u 1 v 1 u2 v 2 u3 v 3 u4 v 4 T
P
¼ ½ 0 0 1:50 8:42 1:88 8:99 0 0 T
Et
(5) Element stress

The formula for calculating the element stress from the node displacement is
re ¼ Se de
21 l 3
b 0 0 a 1b lb
E 6
S¼ 4
l
b 0 0 1
a lb 1a 7
5
1 l2 1l 1l
0 2b 2a 0 1l
2a 1l
2b
For element I:
21 1
3
2 0 0 3 12 13
9E 6 1 7
SI ¼ 4 6 0 0 1 16 1 5
8 1 1
0 6 3 0 13 16
8 9
> 1:50 >
>
> >
>
21 3> 8:42 > 8 9 8 9
2 0 0 1
3 12 13 >>
>
>
>
>
>
> > 4:50 > > 0:844 >
P 9E 6 7 < 0 = 3P < = P < =
rI ¼ 61 0 0 1 16 1 7
Et 8 4 6 5> 0 > ¼ 16t > 1:50 > ¼ t > 0:281 >
>
> >
> : ; : ;
0 1 1
0 13 16 >> >
> 8:42 1:580
6 3 >
> 0 >
>
>
: >
;
0
For element II:

2 3
bi lci bj lcj bm lcm
E 6 lb
SII ¼ 4 i ci lbj cj lbm cm 7 5
2ð1 l2 ÞA 1l 1l 1l 1l 1l 1l
ci 2 bi 2 cj 2 bj 2 cm b m
2 2 2
3
a 0 0 lb a lb
E 6 la
¼ 4 0 0 b la b 7 5
2ð1 l2 ÞA 1l 1l 1l 1l
0 2 a 2 b 0 2 b 2 a
2 2 2
3
1 0 0 3 1 3
9E 6 1 7
¼ 43 0 0 2 13 2 5
16
0 13 23 0 23 13
8 9
> 0 >
>
> >
>
2 3>>
> 0 >>
> 8 9 8 9
3 0 0 2 3 2 > >
< 1:50 >
> = 3P > < 4:50 > < 0:844 >
= P> =
P 3E 6 7
rII ¼ 4 1 0 0 6 1 65 ¼ 1:50 ¼ 0:289
Et 16 > 8:42 >
> > 16t >
: ; t>
> : >
;
0 1 2 0 2 1 >>
>
>
>
> 2:23 0:418
>
> 1:88 >
>
>
: >
;
8:99
2. Common FEM softwares
The finite element software for geotechnical analysis can be roughly divided into
two categories: general finite element software and geotechnical engineering soft-
ware. At present, there are many well-known general finite element programs in the
world, such as ANSYS, ABAQUS, ADINA, etc. Among them, ANSYS has very
powerful functions in the analysis of linear structure problems. ABAQUS and
ADINA are famous for their nonlinear analysis, which are suitable for geotechnical
engineering problems. The finite element software for geotechnical engineering
mainly includes GeoStudio, MidasGTS, PLAXIS, etc. Here is a brief introduction
to some of the commonly used ones.
(1) Named after China’s ancient computational tools abacus (ABACUS), ABA-
QUS is a powerful finite element software for engineering simulations that
solves problems ranging from relatively simple linear analysis to complex
nonlinear problems. ABAQUS has two main solver modules
ABAQUS/Standard and ABAQUS/Explicit. It also includes a graphical user
interface that fully supports the solver, namely the pre- and post-human
interaction module ABAQUS/CAE. In addition to solving a lots of structural
(stress/displacement) problems, ABAQUS can solve many problems in other
engineering fields, such as heat conduction, mass diffusion, thermoelectric

coupling analysis, acoustic analysis, geotechnical analysis (fluid infiltration/
stress coupling analysis), and piezoelectric media analysis. ABAQUS can
better reflect most of the stress and strain characteristics of the soil with the
included constitutive models such as Mohr–Coulomb model, Drucker–Prager
model and Cam-Clay model (Modified Cam-Clay model). The modified
Cam-Clay model is not available in many other general finite element soft-
wares. ABAQUS also provides a second development interface that gives users
the flexibility to define material properties and functions. In addition, ABA-
QUS contains a pore pressure element for fluid infiltration and stress coupling
analysis of saturated and unsaturated soils. ABAQUS has a strong contact
surface function, which can correctly simulate the interaction between soil and
structure such as disengagement and slip. With the function of birth–death
element, ABAQUS can accurately simulate the boundary conditions caused by
filling or excavation. In conclusion, ABAQUS can solve most geotechnical
problems and has good applicability in geotechnical engineering.
(2) ADINA (Automatic Dynamic Incremental Nonlinear Analysis) is an automatic
dynamic incremental nonlinear numerical software with perfect numerical
calculation function. In addition to solving simple linear problems, it can also
solve nonlinear complex problems of multi-field coupling. It can be used to
solve engineering problems in many fields such as thermal, mechanical, and
fluid structure coupling. ADINA has elements including rod element, shell
element, tube element, 2-D element, 3-D element, beam element, plate ele-
ment, Spring element, etc. Material constitutive models include D-P model,
Mohr–Coulomb model, Cam-Clay model, and concrete material model. All
these can effectively reflect the stress–strain relationships of common materials
in geotechnical engineering. ADINA has solvers such as direct, iterative,
sparse and multi-gate and convergence criteria of force, displacement, and
energy. When dealing with nonlinear problems, different types of iterative
algorithms can be selected according to the nonlinear characteristics of the
problem, such as BGFS matrix update method and complete Newton method.
The analysis process of ADNIA is basically the same as that of finite element
analysis. Auxiliary settings such as initial conditions, constraint equations,
birth–death element, contact, degrees of freedom, time functions, analysis time
steps, solution methods, and postprocessing files for numerical solution can be
set in any step of the main flow as shown in Figure 5.6.
Building a Defining SetTing

Material Auxiliary Operation Result
geometric element Meshing boundary
properties settings result analysis
model groups conditions
Fig. 5.6 ADNIA analysis flow chart

5.2.3 Boundary Element Method
Proposed by Brebbia in the 1960s, the BEM is also known as the boundary integral
equation method. Taking the boundary integral equation as the governing equation,
the boundary integral equation is solved into linear algebraic equations by inter-
polating the discrete elements on the boundary.
The principle of BEM is to consider the boundary value problem as the problem
of solving the boundary integral equation. By dividing the unit on the boundary, the
three-dimensional problem can be transformed into a two-dimensional problem and
then transformed into a one-dimensional problem. Solving the numerical solution of
the boundary integral equation and then finding the field variable at any point in the
region, so it is also called the boundary integral equation method. Compared with
the FEM, the BEM only needs to discretize and integrate the boundary, which has
the advantages of reduced dimension, simple input data, less computational
workload, and high precision. It is suitable for solving problems in infinite or
semi-infinite domain, especially the problem of equivalent homogeneous sur-
rounding rock in underground engineering. The BEM can be divided into three
categories.
(1) Direct expression of the BEM. In such expressions, the unknown elements in
the integral equation are real physical variables. For example, in the elastic
problem, the solution of the integral equation can directly derive all the tension
and displacement on the boundary of the system, and the tension and dis-
placement inside the object can be derived from the boundary value by
numerical integration.
(2) Semi-direct expression of the BEM. This method uses an unknown function
like the stress function in elastic mechanics or the flow function in fluid
mechanics to write an integral equation expression. After finding the solution
of the function, the internal stress distribution can be calculated by appro-
priately deriving. Such approximation methods are called semi-direct methods.
(3) Indirect expression of the BEM. In the indirect expression, the integral
equation is completely represented by the unit singular solution of the dif-
ferential equation. The singular points corresponding to these singular solu-
tions are distributed at the boundary with a certain intensity. For example, the
unit singular solution can be the “free space Green’s function” of the differ-
ential equation, which means that the BEM is closely related to the Green’s
function method. The singularity density function itself has no specific
physical meaning. However, once the density function is obtained from the
numerical solution of the integral equation, the values of the solution
parameters at any point in the object can be obtained by performing integral
calculation.
Each solution is connected to the basic solution. The basic solution of the
unknown field (unknown function) is produced by the unit concentration source.
Since it represents the field produced by the unit’s centralized source, the basic
solution is also called the point source function. For any field problem in engi-
neering and physics, the unknown function is usually sought through known
boundary conditions and physical laws (expressed by mathematical equations). For
example, for the elastic static problem, the theory of elastic mechanics is used to
find the displacement field and stress field of the elastic body with the known
external forces and constraints. For the heat conduction problem, the thermody-
namic law is used to solve the temperature field inside the object with the known
heat source and other boundary conditions. For the electrostatic field problem, the
basic law of the electrostatic field is used to solve the potential field with the known
power source and other boundary conditions. If the external force, heat source, and
power source are collectively considered as the source, a certain source produces a
certain field with a given physical law and boundary conditions. The basic solution
is the field produced by the centralized source of the unit and the field generated by
any source can be found by the superposition principle. Since the superposition
principle is only established under the condition of a linear operator, the mathe-
matical procedure used to reflect the physical laws must be linear. According to the
superposition principle, the fields generated by multiple centralized sources should
be equal to the sum of the fields generated by the respective centralized sources. If it
is a distribution source, its corresponding field should be equal to the result of
integrating by distribution density.
The BEM is favored by researchers because it can handle the singularity
problem conveniently due to the singularity of its basic solution. The main dis-
advantage of the BEM is that the unknown number will increase for the calculation
area composed of multiple media. When performing nonlinear or elastoplastic
analysis, in order to adjust the internal imbalance force, elements need to be divided
in the calculation domain. So, the BEM is not as flexible as the FEM. At present,
researchers have coupled the BEM and the FEM in order to solve some complex
geotechnical problems more easily.
5.2.4 Discrete Element Method
Proposed by Cundall in 1971, the DEM is a noncontinuous medium numerical

method. The basic principle of DEM is based on Newton’s second law of motion. It
can not only simulate the motion of the block after the force but also simulate the
deformation state of the block. The basic idea of the DEM can be traced back to the
statically indeterminate structure analysis. Analyzed as an escaped body, any block
will be subjected to the force and moment of the adjacent elements. Explicit equa-
tions system can be established to describe the motion of the whole system based on
the rigid body motion equation of each element. According to Newton’s second law
Fig. 5.7 Jointed rock

roadway
of motion and the corresponding constitutive model, it can visually reflect the
changes of various mechanical parameters such as force field, displacement field and
velocity field with the combination of iterative calculation and CAD.
Generally, the rock can be regarded as a continuous medium. The problems of rock
mechnics can be analyzed and calculated by elastic or plastic mechanics. However, in
some cases, the rock mass cannot be considered as a continuous medium, such as the
roadway in the underground jointed rock mass, as shown in Fig. 5.7. In this case, it
is not appropriate to use the mechanical method of processing the continuous medium
to perform the calculation. Therefore, the DEM emerged as a numerical method for
handling jointed rock masses.
In recent decades, the DEM has developed rapidly and has become an important
numerical method for solving geotechnical problems. The rock mass structure in the
project is usually discontinuous, so the movement and stress of the rock mass
formed are mostly geometric or nonlinear problems. As a result, it is difficult to
handle with the FEM or BEM, which are mainly for continuum mechanics prob-
lems. Fully considering the discontinuity of the rock mass structure, the DEM is
suitable for solving this kind of problem. In addition to the stability study of slopes,
stope, and roadway and the analysis of the microstructure of granular media, the
DEM has been extended to dynamic processes such as earthquakes, explosions, and
physical processes such as groundwater seepage and heat transfer.
Assuming that the volume of the entire object is filled with the medium, the
FDM, the FEM, and the BEM are all continuum mechanical methods. As a result,
some physical quantities of the object like stress, deformation, and displacement are
continuous. Thus, a continuous function can be used to represent their spatial
variation. In fact, this assumption is relative to any medium. Especially for rock
engineering, due to the existence of joints, cracks, pores, etc., the continuity and
discontinuity of the actual rock mass structure are relative. Although the FEM and
the BEM discretize the interior or boundary of the problem domain, it is still
required to maintain overall integrity during the calculation process. On the con-
trary, the DEM completely emphasizes the discontinuity of rock mass. The solution
domain consists of a number of rock mass units, which can be either face-to-face or
face-to-point contact. Not only the material elastic parameters need to be input but
also the tangential stiffness, normal stiffness, cohesion, internal friction angle of the
structural plane should be determined. It also allows the blocks to slip or be pulled
apart after pulling, even falling freely. It can be said that the DEM is another
extreme assumption of the actual rock mass structure (opposed to the completely
continuous assumption of the continuum mechanics method). Therefore, it is par-
ticularly suitable for stress analysis of jointed rock masses and is widely used in
mining engineering, tunnel engineering, slope engineering, and mining mechanics.
The coupling of DEM and other numerical methods (e.g., FEM, BEM) can better
exploit the advantages of the respective methods. For example, the BEM, the FEM
and the DEM are used to consider the influence of far-field stress, the plastic
deformation and the discontinuity of near-field deformation respectively, greatly
extend the scope of problem-solving.
Perfectly adopting to the fracture discontinuity of geotechnical soil and has
important, the DEM is applied in simulating large deformation failure. The main
numerical calculation simulation software includes PFC (Particle Follow Code)
particle flow program, UDEC (Universal Discrete Element Code) general discrete
element program and 3DEC (Three-Dimension Discrete Element Code)
three-dimensional discrete element program. PFC numerical simulation technology
is mainly used for the analysis of mechanical properties of granular materials, such
as the stability, deformation, and constitutive relationship of granular agglomerates,
which is specifically used to simulate large deformation problems of solid
mechanics. It simulates the motion of particle media and its interactions through
spherical (or heterogeneous) discrete elements and determines the position and
velocity of the particles at each moment by the translational and rotational motion
equations. The process of solving with the PFC numerical model is shown in
Fig. 5.8. It is a process of continuous feedback. The preliminary particle model is
established to define its boundary and initial conditions, and the operation is
brought to equilibrium. After the balance, the result is satisfactory. If the result is
unreasonable, the external variable needs to be reapplied. Establish a preliminary
granular model to specify its boundary and initial conditions, then make it run to
equilibrium. If the result is reasonable, the force or speed is applied to the walls or
particles, and the model result is obtained. If the result is unreasonable, the external
variable needs to be re-applied.
Three basic problems for model parameters need to be solved in order to
establish a numerical simulation by PFC: (1) composition of particles; (2) properties
of materials and contact behaviors; (3) boundaries and initial conditions. The
Fig. 5.8 Solution flow

chart of PFC Start
Model establishment:
1. Generate a collection of particles and
make it dense
2. Define contact types and material
properties
3. Specify boundaries and initial conditions
Run to initial equilibrium
Not satisfied
with the Test model to get
result feedback
Reasonable model
Apply variables (for example):

1.Change the boundary conditions
2. Remove some of the particles
Operate, calculate
Test model To get

Need more feedback
testing
Reasonable result
Need to study Yes

parameters
No
End
particle model is established to determine the location of the particles and the
distribution of the particle size. The contact behaviors and associated material
properties govern the model response after the disturbance, and the boundary and
initial conditions define the original state. After defining the original state, the
model calculation reaches the initial equilibrium state. Applying the variable to
make the disturbance, the model is calculated and rebalanced in this process. The
result of the algebraic equation is realized by a series of calculation time steps using
the time advancement method. The calculation time step speed is related to the
computer efficiency. The final time step number adopts the default value, which can
also be set as a reasonable value.
PFC is divided into PFC2D and PFC3D two versions. There are only two force
components and one torque component in PFC2D, while three force components and
three torque components in PFC3D. The spatial force component and the two plane
moment components cannot be considered in the equation of motion or the force–
displacement rule. So accurately speaking, the essence of the three-dimensional
simulation is two-dimensional simulation. Compared with the UDEC (Universal
Discrete Element Program) and 3DEC (3D Discrete Element Program) methods, the
PFC program has three advantages: (1) It has high potential efficiency because the
contact between the circular particles is judged easier than the contact between the
angular particles; (2) The target being simulated is essentially free of distortion; (3) It
is possible to simulate a broken block because bonded particles are used in the block.
On the contrary, the UDEC or 3DEC program cannot simulate a broken block.
5.3 Examples of Numerical Computing Software

Applications
5.3.1 Finite Element Analysis of Shield Tunnel Excavation
1. Research Background
The finite element analysis of the shield tunnel excavation is different from that of
general engineering and structures to some extent. The established finite element
model gradually changes during the process of excavation. Both the geometric
model and the original stress will change after the excavation. It has become an
essential problem to simulate the shield tunnel excavation characteristics of dif-
ferent stages in an appropriate way. There is no doubt that the FEM is a simple and
effective way to analyze the construction problems of shield tunnel. However, it
also involves factors that need to be further considered, such as the changes of soil
stress and strain after excavation and unloading, the selection of constitutive model,
the determination of basic parameters, etc. As a functional finite element software,
ABAQUS is very suitable for analyzing the deformation and settlement of shield
tunnels. Its constitutive model can highly reflect the true characteristics of soils and
simulate the interactions between soils and structures, making it capable of dealing
with specific problems in civil engineering.
2. Calculation model
A 3D finite element model was established according to the Shanghai Metro Line 8
project, as shown in Fig. 5.9. The dimensions of the model in the three directions
were 50 m wide in the X direction, 44 m deep in the Y direction, and 60 m in the
Z direction. The buried depth and the outer diameter of the shield tunnel were
13.8 m and 6.2 m, respectively, and the thickness of the segment was 0.35 m.
5.3 Examples of Numerical Computing Software Applications 179
Fig. 5.9 Finite element

model
The soil, the lining segment, and the shield machine in the model were all
simulated by solid elements. The interaction between the soil and the lining tube
was simulated by tie contact, so was the interaction between the soil and the shield.
Horizontal constraint were perpendicularly applied on the front, the rear, the left
and the right faces of the model. For the bottom boundary of the model, a vertical
constraint in the Y direction was applied. The soil was simulated with the Drucker–
Prager model, and the lining segment and the shield machine were simulated with
the elastic model.
Considering the unevenness of the soil layers, three kinds of soil gray muddy
clay, gray silty clay and sand were used, as shown in Fig. 5.10. Taking one-half of the
Fig. 5.10 Soil distribution

Table 5.2 Parameters of soils and structures in the model

Soils and structures Thickness Density Young’s Poisson’s Cohesion Friction
(m) q (kg/m3) modulus ratio l c (kPa) angle u (°)
E (MPa)
Gray muddy clay 20 1700 3 0.25 11 9.5
Gray silty clay 22 1800 4.5 0.25 17 16.5
Sand 22 1900 11 0.3 9 30
Lining 0.35 2500 40,000 0.3 – –
Shield machine 0.25 7500 21,00,000 0.3 – –
tunnel axis length as the interface between the two lower lying soils, the upper soil was
gray silty clay. The soil parameters were shown in Table 5.2.
The initial earth stress is the ground stress caused by the self-weight stress and
ground load of the soil. As the basis for the tunnel excavation calculation, the initial
earth stress directly affects the subsequent calculation. After long-term consolida-
tion of the soil, the soil layers have reached a steady state, so the initial displace-
ment is assumed to be zero.
The settlement is caused by the construction process of the shield tunnel. The
numerical simulation needs to be simplified compared with the engineer-
ing practice. In the actual process, the assembly of the segments is a combination of
multiple blocks into one ring, while it is simplified into a multi-ring assem-
bly process in the model. During the excavation, the soil layers will be disturbed
and the original stress distribution will be destroyed. Therefore, stress release was
considered in the model. In order to minimize the impact of the construction, the
grouting measures were applied at the same time as assembling the segments.
Moreover, the grouting pressure was also taken into consideration in the model. The
model grid was manually divided, and the grid around the tunnel was relatively
dense. The C3D8R element of the solid three-dimensional eight-node was selected,
and the total number of model elements was 22,620.
In practical engineering, the soil has basically completed consolidation settle-
ment under its own weight and external load. As mentioned before, it is necessary
to construct a initial earth stress field before tunnel excavation. After reaching the
ground stress balance in the model, the soil deformation was on the order of
10−5 m, as shown in Fig. 5.11.
In the actual tunnel construction engineering, the excavation of the shield tunnel is
a complicated process. It involves many steps, including the removal of the soil
in the excavation area, the installation of the lining segments and the grouting of
the gap in the tunnel over-excavation part. The excavation is the cycle process of
the above steps. Precise simulation of the construction process can reflect the actual
tunnel and soil deformation. The excavation process of the shield tunnel during the
simulation mainly includes several aspects. The first one is the excavation of the
working face soil. The soil of the excavation part needs to be softened before
Fig. 5.11 Displacement after ground stress balance
excavation due to the stress release during the excavation process. The second is
the assembly of lining rings. The contacts between the soil and the lining
are activated when the lining element is formed, which creates the interaction between
the tunnel and the soil. The third is the grouting of the shield tail. The grouting
pressure is applied on the tunnel and the soil. The tunnel excavation simulation
process is completed under the action of such a cyclical construction, as shown
in Fig. 5.12.
Fig. 5.12 Shield tunnel excavation

3. Result analysis
This model simulated the vertical settlement caused by the excavation of shield
tunnel on the uneven underlying soil layer. The excavation distance is 56 m. The
excavation, lining installation, and grouting simulation of the soil were alternated
with the excavation length per cycle being 2 m. The vertical displacement after the
excavation is shown in Fig. 5.13. It can be seen that the soil displacement around
the tunnel was relatively large. Different positions of the shield tunnel construction
illustrated different trends of soil displacement. The soil above the shield tunnel
produced a subsidence displacement, while the soil below the shield tunnel pro-
duced a floating displacement. The maximum subsidence displacement was
−0.201 m and the maximum floating displacement was 0.134 m. The displacement
of the soil from the tunnel to the ground surface was gradually reduced. The
displacement of the soil from the tunnel to the bottom of the model showed the
same trend with a minimum at the bottom of the model relatively. The closer to the
excavated soil, the larger the displacement produced. The displacement gradually
decreased along the excavation direction, indicating that the displacement has a
cumulative effect. The main influence range of vertical displacement was about
14 m below the tunnel. It can be seen that the excavation of the shield tunnel has a
significant impact on the longitudinal settlement distribution. So, it is very neces-
sary to study the longitudinal settlement caused by the shield tunnel construction.
The vertical displacement of the lining segments after the excavation is shown in
Fig. 5.14. It can be seen that the displacement deformation tendency of the tunnel
segment is consistent with that of the soil around the tunnel. Moreover, the upper
part of the segment had a downward displacement while the lower part of the
Fig. 5.13 Vertical displacement after excavation of whole model

Fig. 5.14 Vertical displacement after excavation of lining
segment an upward displacement. The displacement in the middle of the segment is

relatively small, indicating a tendency of a circular to elliptical shape. The maxi-
mum subsidence displacement of the upper part was −0.205 m, and the maximum
floating displacement of the lower part was 0.135 m. The displacement of the two
ends of the segment was decreasing toward the middle of the segments. The dis-
placement trends of the different positions of the segments are slightly different.
It can be seen from Fig. 5.13 that the vertical displacement distribution was
uneven and varied with the position. So, it is necessary to take the displacement of
several positions for further analysis. The displacement paths along the axis of the
tunnel are shown in Fig. 5.15. Four paths were all on the vertical symmetry plane.
Paths 1, 2, 3 and 4 denote the soils on the ground surface, the upper surface of the
tunnel, the middle of the tunnel, the lower surface of the tunnel, respectively.
Considering the influence of the boundary, the final 4 m of the soil in the model
was not excavated.
The vertical displacements of the four paths after the excavation are shown in
Fig. 5.16. With the excavation starting on the right side of the model at the position
60 m, the vertical displacement of the ground surface (path 1) is relatively flat. The
displacement of the first excavation position was relatively large, which might be
affected by the subsequent excavation process, the grouting pressure, and the un-
even stiffness of underlying soils. The vertical displacement of the soil on the upper
surface of the tunnel (path 2) shows obvious differences. During the excavation
process, the soil gets disturbed and part of the tress is released, making a certain
displacement of the soil. At position 40 m, the displacement of the soil reaches a
peak. Then, the displacement gradually decreases with the increasing distance,
reaching another local peak at position 46 m. After this, it increases with the
Fig. 5.15 Vertical displacement paths
0.16
0.12
0.08
0.04
Displacement (m)
0.00
-0.04
Path 1
-0.08
Path 2
-0.12 Path 3
Path 4
-0.16
-0.20
-0.24
0 4 8 12 16 20 24 28 32 36 40 44 48 52 56 60 64
Distance (m)
Fig. 5.16 Vertical displacements on different paths
increasing distance. The position 30 m is on the interface of the underlying soil.

The obvious settlement difference is not at the interface, but about position 40 m in
the clay part. The sedimentation of the sand on the left side is more uniform
compared with the clay part on the right. The soil displacement (path 3) in the
middle of the tunnel is also relatively flat, and the settlement value is relatively
small. After the tunnel is excavated, the soil in the upper part of the tunnel is
compressed downward, and the soil in the lower part of the tunnel rebounds
upward. As a result, the absolute value of the soil displacement in the middle of the
tunnel is relatively small. Similar to path 2, the vertical displacement of the soil on
the lower surface of the tunnel (path 4) is floating displacement. It shows a gradual
increase from left to right, with a peak at position 40 m, and then decreases
gradually. In general, the displacement of the sand on the left side of the interface is
smaller than that of the clay on the right, and the rebound ability of the clay is
stronger. The peak position is also about 40 m similar to path 2, which may be
related to the initial excavation, the soil stiffness, and the effect of the soil to be
excavated on the soil excavated. Therefore, tunnel excavation has a significant
impact on soil settlement. It is necessary to control the construction process.
Since the vertical displacement of the soil around the tunnel is large, the vertical
displacements of the 21 excavation cycles of the soil on the upper surface of the
tunnel (path 2) and the soil on the lower surface of the tunnel (path 4) are extracted
and analyzed as shown in Fig. 5.17. Based on what has been mentioned, it can be
seen that at position 40 m of the model, the soil segment on the upper and lower
surfaces of the tunnel are the largest, with the soil on the upper surface of the tunnel
in a subsidence state and the soil on the lower surface of the tunnel in a floating
state. Therefore, the soil displacements at position 40 m of the upper and lower
surfaces of the tunnel (path 2 and path 4) are extracted for analysis. After the 21
excavation cycles of the upper surface of the tunnel, the settlement of the soil
accumulated from −0.025 to −0.189 m and the sedimentation accumulated from
−0.012 to 0.134 m. The soil settlement displacement increased greatly in the third
cycle. During the whole excavation process, the settlement of the soil did not show
large fluctuations. In addition, the settlement rate of the soil was large at the
beginning and then gradually decreased to be constant.
The horizontal displacement after the model calculation is shown in Fig. 5.18.
The horizontal displacement is relatively small compared to the vertical displace-
ment after excavation. The horizontal displacement mainly occurs in the soil around
the tunnel with a tendency to spread outward. The horizontal displacement of the
0.20
0.15
0.10
Displacement (m)
0.05
0.00 Path 2
Path 4
-0.05
-0.10
-0.15
-0.20
0 2 4 6 8 10 12 14 16 18 20 22
Period
Fig. 5.17 Soil displacements of upper and lower model surface at 40 m

Fig. 5.18 Horizontal displacement of the model
initial excavation site is relatively large, and gradually decreases toward the
excavation direction. As a result, the influence of the vertical displacement is
generally considered while the horizontal displacement being ignored.
The horizontal displacements on the four paths are shown in Fig. 5.19. The
horizontal displacements of path 1, 2, and 4 are all 0 m. The horizontal dis-
placement of path 3 varies widely, with a minimum of −0.018 m and a maximum
of 0.123 m. The minimum displacement and maximum displacement values appear
at the end point and the starting point of the excavation, respectively, which is
related to the ovalization of the tunnel and the increase of the horizontal diameter.
With the excavation of the tunnel, the deformation of the initial excavation portion
gradually increases. Therefore, certain reinforcement measures should be taken for
the original excavation. The horizontal displacement of the sand part is smaller than
that of the clay part, which may be affected the soil property and the excavation.
The vertical stress of the model after the excavation is shown in Fig. 5.20. The
vertical stress increases from the top to the bottom of the model, with a significant
difference around the interface. The vertical stress of the soil above the tunnel is
obviously layered, while the soil below the tunnel shows great unevenness of the
vertical stress. This is the combined results of uneven underlying layers and tunnel
excavation. Near the interface between the two soils, the vertical stress of the sand
is larger than that of the clay part at the same depth, which may be related to the
bigger density of sand. The vertical stress distribution of the soil in the lower layer
is not as even as that in the upper soft soil.
0.14
0.12
0.10
0.08
Displacement (m)
0.06 Path 1
Path 2
0.04 Path 3
Path 4
0.02
0.00
-0.02
-0.04
0 4 8 12 16 20 24 28 32 36 40 44 48 52 56 60 64
Distance (m)
Fig. 5.19 Horizontal displacements on different paths
Fig. 5.20 Vertical stress distribution
The vertical stress distribution on different paths are shown in Fig. 5.21.
The vertical stress of the ground surface (path 1) is relatively uniform at about
−1.5 105 Pa, which is consistent with the vertical displacement distribution of
the surface. The vertical stress of the soil on the upper surface of the tunnel (path 2)
-1.0x105
-1.5x105
-2.0x105
Path 1
-2.5x105
Path 2
Vertical stress (Pa)
5
-3.0x10 Path 3
-3.5x105 Path 4
-4.0x105
-4.5x105
-5.0x105
-5.5x105
-6.0x105
-6.5x105
-7.0x105
0 4 8 12 16 20 24 28 32 36 40 44 48 52 56 60 64
Distance (m)
Fig. 5.21 Vertical stress on different paths
is also relatively uniform with slight local fluctuations. The vertical stress distri-
bution of the soil in the middle of the tunnel (path 3) is relatively regular at around
−5.2 105 Pa, which is also consistent with the vertical displacement distribu-
tion. The vertical stress of the soil on the lower surface of the tunnel (path 4) shows
obvious nonuniformity, which varies between −4.9 105 and −6.5 105 Pa. Due
to the unevenness of the underlying soil, the soil stress changes distinctly during the
excavation. Especially in the clay part, the vertical stress fluctuates greatly. The
distribution of vertical stress is also affected by the uneven underlying soil and the
excavation process.
5.3.2 Finite Element Analysis of Shield Tunnel Under Train

Load
Since the dynamic response of subway shield tunnel under train load is compli-
cated, the model will be simplified when using theoretical methods, making it
difficult to describe the tunnel dynamic model accurately and comprehensively. In
recent years, with the development of science and technology, more attention has
been paid on the transient response of subway shield tunnels through numerical
simulation. A tunnel model consisting of rails, track beds, linings, and soils was
established using ADINA software, with the rails, track beds, and linings stimulated
by elastic models and the soil simulated by porous elastic media. With the trainload
simulated as the moving point load form, the effects of load speed and load
frequency on the transient response of the shield tunnel are studied using five kinds
of load forms.
Generally, the soil is divided into three types according to the dynamic strain
generated after the vibration of the soil: e\104 , the soil is considered as an elastic
model; e ¼ 104 to 102 , the soil is considered elastoplastic; e [ 102 , the soil is
considered as plasticity. For soil deformation under vibration loads, the soil strain is
generally smaller than 104 , which can be considered as the elastic model. The
calculation assumptions are shown as follows:
(1) The soil is isotropic with small deformation. The elastic model is selected for
the soil because of the transient response and no accumulation of plastic
deformation occurs.
(2) Different from the layered soil in the actual situation, the soil around the tunnel
is regarded as a uniform soil without stratification in order to analyze the
response law of the soil around the shield tunnel under the vibration load.
(3) The displacement coordination conditions are satisfied on different interfaces.
No detachment at the interface between the soil, the lining, the track bed and
the rail.
(4) Since the actual lining has seams, in order to simplify the model and reduce
the calculation, it is assumed that the mechanical properties of the lining do
not change along the tunnel direction.
(5) The load generated by train operation can be considered as a dead load or
periodic load moving at a constant speed.
Since the actual stratum should be regarded as a semi-infinite space soil medium,
only the limited soil can be intercepted during the modeling, which is called the
truncated boundary. However, the boundary of the limited soil will become the
reflection boundary, which means the wave will reflect and affect the calculation
results.
At present, the methods of truncated boundary in numerical calculation mainly
include the viscoelastic boundary, the infinite element, the transmitting boundary
and the large-scale truncation. The viscoelastic boundary is setting a spring–
damping system on the boundary to absorb the waves propagating to the boundary.
Similar to the viscoelastic boundary, the infinite element ensures that the wave
propagates to infinity with no reflection. The transmitting boundary is a boundary
that satisfies certain conditions so that the wave passes through the boundary
without being reflected. Large-scale truncation is to make sure large enough range
of soil so that the effects of reflected wave on the boundary can be reduced. Since
the wave propagates in the medium with an attenuation, as long as the range is large
enough, the wave on the truncating boundary is negligible to meet the calculation
requirements. However, if the selected soil range is too large, it may increase the
calculation costs.
It is generally believed that in the modal analysis, the width of the model should
be no less than 15 times the diameter of the shield tunnel to make sure the fre-
quency of the entire model stable. If the truncated boundary is used instead of
artificial boundary conditions, the width of the model should be three times the
thickness of the analyzed soil layer, and the height of the model should reach 2/3 of
the thickness of the soil layer. Therefore, the size of the selected finite element
model was: depth 100 m, vertical tunnel direction 300 m, tunnel running direction
600 m. The tunnel had a depth of 18 m, and the outer diameter and the inner
diameter were 6.2 m and 5.5 m, respectively. The material parameters are shown in
Table 5.3.
As an important property of engineering materials, the damping is not negligi-
ble. With the damping, the waves cannot propagate indefinitely in the soil med-
ium, so does the attenuation along the propagation distance. The damping of soil
media is generally divided into two types: geometric damping and material
damping. The geometric damping is mainly reflected in the near field while the
material damping distributed in the far field. However, little information about the
damping that can be obtained in structural dynamic analysis, making it difficult to
accurately determine the damping matrix. In order to quantify the damping, Ray-
leigh damping is generally considered by expressing the damping matrix as the sum
of the mass matrix and the stiffness matrix under certain coefficients.
Rayleigh damping can be expressed as
½C ¼ a½M þ b½K ð5:22Þ
where ½C is the damping matrix; ½M is the mass matrix; ½K is the stiffness matrix;
a and b are the mass and stiffness factor of the damping.
If the damping ratio n is known, the damping coefficients a, b can be obtained.
According to the mode orthogonal condition, for the i-order mode natural frequency
of the structure xi , the following relationship should be satisfied:
a bxi
ni ¼ þ ði ¼ 1; 2 . . . nÞ ð5:23Þ
2xi 2
Table 5.3 Material parameters

Soil and structure Density q (kg/m3) Elastic modulus E (MPa) Poisson’s ratio l
Soil 1870 207 0.35
Lining 2500 35000 0.2
Track bed 3500 50000 0.22
Rail 7850 200000 0.25
According to Eq. (5.23), it is only necessary to determine two natural fre-

quencies of model xi , xj and the corresponding damping ratio ni , nj , and the
damping coefficient can be obtained:
a bxi a bxj
ni ¼ þ ; nj ¼ þ ð5:24Þ
2xi 2 2xj 2
Damping coefficients a and b are

2xi xj xi nj xj ni 2 xi ni xj nj
a¼ ; b¼ ð5:25Þ
x2i x2j x2i x2j
If the damping
ratio ni is considered to remain constant over a range of frequencies
xi xj , then for a certain damping ratio ni , Eq. (5.25) can be simplified as
2xi xj 2
a¼ n; b¼ n ð5:26Þ
xi þ xj xi þ xj
The general idea of Rayleigh damping is to determine the two circular fre-
quencies of the model xi , xj , and then determine the damping coefficients a, b
according to Eq. (5.26).
Owning to the predomination of the first few modes, after determining the
damping ratio n, two of the first few modes were selected to determine the damping
coefficients a, b. Taking the vertical vibration of the subway as focus, the modal
analysis was first carried out in Adina to extract the whole system mode. Select the
frequencies corresponding to the two modes of the vertical vibration with the
largest mass to determine the damping coefficients a, b. The damping ratio
n ¼ 0:05, and the Rayleigh damping coefficients a ¼ 0:05529, b ¼ 0:04516.
Here the load applied to the rail is selected as a moving point load with a
constant speed. The load generated by the train can be regarded as a lot of point
loads. In practice, a train has eight wheels, and each wheel is corresponding to a
point load. Since the front two wheels are close, they can be simplified into one
load. The distance between the front and rear wheels in one train is 15 m.
The distance between the rear wheel of the front train and the front wheel of
the rear train is 5 m (front view is shown in Fig. 5.22). Assume that all point
Fig. 5.22 Train size

loads are equal and the weight of one train is G when fully loaded, then each point
load F0 ¼ G=4. Take G ¼ 800 kN, and F0 ¼ 200 kN.
Select the load form as

2p
F ¼ F0 sin t dðx vtÞ ð5:27Þ
f
For comparative analysis of the effects of load velocity v and frequency f, the
load patterns taken in this model are shown in Table 5.4.
Six reference points and six paths were selected for the analysis of the calcu-
lation results, as shown in Fig. 5.23.
3. Result analysis
Figure 5.24 shows the nephogram of uz and ux at the midpoint of the model under
five loads at the midpoint of time. It can be seen that the distribution of uz and ux
Table 5.4 Load form

Load number Amplitude F0 (kN) Velocity v (m/s) Frequency f (Hz)
F1 200 28 0
F2 200 56 0
F3 200 83 0
F4 200 28 5
F5 200 28 30
20m
20m
Point 3
Path 3 Point 2
Path 2 Point 1
Path 1
F 20m
Point 4 20m
Path 4
Point 5
Path 5
Point 6
Path 6
z
y x
Fig. 5.23 Reference points and paths for analysis of results

(a) F1 : uz (b) F1 : ux
(c) F2 : uz (d) F2 : ux
(e) F3 : uz (f) F3 : ux
(g) F4 : uz (h) F4 : ux
(i) F5 : uz (j) F5 : ux
Fig. 5.24 Nephograms of uz and ux at the surface under different loads when the load propagating
to the midpoint of the model
under F1 shows a certain symmetry. However, under F2 and F3 , a peak in the

direction of load movement appeared. It compresses the vibration wave in front of
the load with a large number of vibration waves lagging behind the load. This
phenomenon is caused by the Doppler Effect. The higher the load velocity, the
more obvious the Doppler effect, which means the load velocity has a great
influence on the response of the tunnel.
Figure 5.25 shows the variation of the acceleration az and ax at monitoring point
1 under F1 , F2 , F3 , F4 and F5 . It can be seen that the magnitude of az or ax
increases gradually with the load speed increases. After comparing az and ax under
F1 , F4 and F5 , the magnitude of az or ax decreases with the increase of the load
frequency. Especially when the load frequency is 30 Hz, the response amplitude is
only 1/20 of the dead load. Therefore, an increase in the load velocity increases the
response of the model while an increase in the load frequency reduces the response
of the model. The main reason is that the monitoring point 1 has a certain distance
from the load source. The higher the frequency, the faster the load component
decays, and the shorter the propagation distance, the smaller the dynamic response
of the soil caused by a certain distance. In fact, the frequency of the vibration
wave propagating to the monitoring point 1 is about 0.8 Hz, which is also the
main reason for the smaller response of the model under F4 and F5 compared
with F1 .
After comparing the magnitude of az and ax under F1 , F2 , F3 , F4 , and F5 , it can
be seen that the magnitude of ax is about half of az , indicating that the vertical
vibration response is the most important part. The vibration response ax along the
tunnel running direction is closely related to the load velocity and cannot be neg-
ligible. However, ax is not available in 2D model due to the limitations. 3D model
can describe the dynamic response caused by train operation more reasonably.
5.3.3 Discrete Element Analysis of Direct Shear Test on Soil

Interface
As a heterogeneous material, the interface displacement of the soil layers will form
a shear band with a certain range of particle rotation rather than obvious shear
fracture surface. The study of the shear zone can deepen the understanding of the
mechanical properties of soil interface. In order to study the shear band produced by
the direct shear test, a double-layer shear model for particle soils was established
with PFC. The shear shapes and shear stress–displacement curves were observed
for selecting better shear mode and size of the model.
6 3
2
4
ax (mm/s2)
2
az (mm/s2)
0
0
-1
-2 -2
-4 -3
0 5 10 15 20 0 5 10 15 20
t (s) t (s)
(a) F1 : az (b) F1 : ax
30 15
20 10
ax (mm/s2)
10 5
az (mm/s2)
0 0
-10 -5
-20 -10
0 2 4 6 8 10 0 2 4 6 8 10
t (s) t (s)
(c) F2 : az (d) F2 : ax
45 20
15
30
10
15 5
ax (mm/s2)
az (mm/s2)
0 0
-5
-15
-10
-30 -15
0.0 1.3 2.6 3.9 5.2 6.5 0.0 1.3 2.6 3.9 5.2 6.5
t (s) t (s)
(e) F3 : az (f) F3 : ax
Fig. 5.25 Variation of acceleration with time at monitoring point 1 under different loads
1.5 1.0
1.0
0.5
0.5
az (mm/s2)
ax (mm/s2)
0.0
0.0
-0.5
-0.5
-1.0 -1.0
0 5 10 15 20 0 5 10 15 20
t (s) t (s)
(g) F4 : az (h) F4 : ax
0.4 0.2
0.1
0.2
az (mm/s2)
ax (mm/s2)
0.0
0.0
-0.1
-0.2 -0.2
0 5 10 15 20 0 5 10 15 20
t (s) t (s)
(i) F5 : az (j) F5 : ax
Fig. 5.25 (continued)
The parameters required to initially establish the particle flow model included
particle size, expansion factor of the particle size, particle gradation, particle con-
nection mode, parameters corresponding to the connection method, particle friction
coefficient, etc. These parameters determined the macroscopic mechanical index
such as the internal friction angle, cohesion, and Young’s modulus of the material
in the established model, which requires calibration to select the appropriate ones.
What mainly needed to calibrate is the relationship between particle friction coef-
ficient and particle connection parameters and macroscopic mechanical indexes.
The particle size was trial calculated according to the size and experience of the
model. After the preliminary results were obtained, the particle size and the
expansion factor were used for calibration. Moreover, other parameters can be
determined based on the appropriate particle size and the number of model parti-
cles from the preliminary stimulated results.
The length and height of the sample were 400 mm 200 mm, and the width of
the shear surface was 300 mm. Considering the friction of the research interface,
the length of the lower case was 435 mm so that the shear displacement can be
35 mm. In the direct shear tests, the shear displacement was 18 mm and the time
step of the shear operation was 400,000. The shearing force was measured at the
right side of the upper shearing box.
3. Results analysis
The problem of double-layer foundation bearing uniform strip load can be regarded as
the plane strain problem, which can reflect the influence of the soil stiffness variable
on the mechanical properties of the double-layer soil. The thickness of the hard crust
shall not be less than 1.5 m based on the definition. According to the “Code for
Design of Building Foundations” GB50007-2011, the ratio of the thickness of the
hard crust to the width of the strip load shall not be less than 0.25. The stress diffusion
phenomenon will not be significantly enhanced when the ratio is greater than 0.5. So,
the width of strip load was selected to be 2 m. In terms of the additional stress
coefficient under the strip load of the homogeneous foundation, the stress coefficient
is less than 0.3 when the soil depth reaches twice of the load width and the ratio of the
distance from the horizontal direction to the load center point to the load width is
greater than 0.5. Therefore, the thickness of the lower layer was 3 m, and the overall
width of the foundation model was 10 m in order to reduce the boundary effect.
20 measuring circles with a radius of 0.25 m were set at the interface, as shown
in Fig. 5.26. By measuring the average vertical stress in the measurement circle, the
stress distribution at the interface of the clay model was compared with that of the
double-layer soil model.
As shown in Fig. 5.27, the soft clay was subjected to a strip-shaped uniform load
of 200 kPa. When the ratio of the average unbalanced force to the average contact
force was less than 0.015, the strong chains were formed under load and the force
chains were concentrated. For the double-layer soil model in the same conditions,
the strong chains were also generated, but the distribution of the force chains
changed at the interface. The lower layer is weaker than the upper layer, so the force
chains were more dispersed and weaker.
As shown in Fig. 5.28, the vertical stress distribution of the clay and the
double-layered soil models were measured along the measuring circles. It can be
clearly seen that the vertical stress at the interface of the double-layer soil model is
more dispersed and the peak value is smaller than that of the clay model. The
PFC2D model results can reflect the difference between the upper and lower stress
distributions caused by the changes of the double-layer soil stiffness, which makes
it able to perform variable analysis of the double-layer shear test model.
(a) Clay (b) Double-layer soil
Fig. 5.26 Measuring circle distribution

(a) Clay (b) Double-layer soil
Fig. 5.27 Force chains distribution
120
110 Clay
100 Double-layer soil
90
80
Stress (kPa)
70
60
50
40
30
20
10
0
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
Position
Fig. 5.28 Stress value comparison
The preliminary work of the particle flow simulation of the double-layer soil
shear test is: perform a direct shear simulation of clay model with the upper and
lower boxes in the same size, which is called model A; then according to the
selected size, the clay direct shear simulation is carried out with the upper and lower
soil boxes in different sizes, which is called model B; finally, a direct shear test
simulating the interface between sand and clay soil is called model C. The interface
changes and shear bands are observed, as well as the shear stress–displacement
relationships.
(1) Direct shear test of model A
As shown in Figs. 5.29 and 5.30, with the lower box moving to the right and the
upper box fixed, the volume change of the upper soil sample could be observed
when the normal stress was applied. The force chain distribution diagram before
shearing showed the equilibrium stress state of the sample. In the case of dense
(a) Pre-shear shape (b) Pre-shear force chain distribution
(c) Post-shear shape (d) Post-shear force chain distribution
Fig. 5.29 Distribution of shape and force chain before and after shearing of model A
(a) Whole model (b) Interface
Fig. 5.30 Velocity distribution of model A after shearing
sample particles, there would be partial local stress. However, the ratio of the
unbalanced force of the particle to the contact force was less than 1%, which can be
regarded as the equilibrium initial state. When shearing, the force chain ran through
the entire shear plane, and the deflection and inhomogeneous distribution of the
velocity vector direction appeared at the interface.
(2) Direct shear test of model B
Figure 5.31 is the distribution of shape and force chain before and after shearing of
model B and Fig. 5.32 is the velocity distribution of model B after shearing.
Although the model B produced a relatively obvious stress concentration on the left
side before shearing, the force chain distribution shown in the shearing process was
reasonable. The velocity vector at the interface was more uniform, indicating that
the interface was more evenly stressed. The irregular shape of the soil box causes
(a) Pre-shear shape (b) re-shear force chain distribution
(c) Post-shear shape (d) Post-shear force chain distribution
Fig. 5.31 Distribution of shape and force chain before and after shearing of model B
(a) Whole model (b) Interface
Fig. 5.32 Velocity distribution of model B after shearing
stress concentration, which can be eliminated by improving the soil sample gen-
eration method. As shown in Fig. 5.33, the shear stress–displacement relationship
of model B is relatively stable, and the direct shear test results show that the
cohesive force of the soil sample is 25.18 kPa and the internal friction angle is
21.22°, which is very close to the selected viscosity of the original sample.
Therefore, a direct shear test design without changing the area of the sheared
surface is reasonable.
(3) Direct shear test of model C
As shown in Figs. 5.34 and 5.35, when the shear displacement was 18 mm, the
displacement vector of the particles at the interface was uneven, and the particles
rotated in a small range. When the shear displacement was 35 mm, the displacement
220
50kPa
200
100kPa
180 200kPa
160 300kPa
Shear stress (kPa)
400kPa
140
120
100
80
60
40
20
0
0 2 4 6 8 10 12 14 16 18
Shear displacement (mm)
Fig. 5.33 Shear stress–displacement relationship of model B in direct shear test
(a) Pre-shear shape (b) Pre-shear force chain distribution
(c) Shear displacement 18mm (d) Shear displacement 18mm
(e) Shear displacement 35mm (f) Shear displacement 35mm
Fig. 5.34 Distribution of shape and force chain of model C

(a) Whole model (18mm) (b) Interface (18mm)
(c) Whole model (35mm) (d) Interface (35mm)
Fig. 5.35 Velocity vector distribution of model C with different shear displacements
vector of the particles at the interface was substantially even. Although the particles
kept rotating, the interface friction is basically achieved.
As shown in Fig. 5.36, under the action of 300 kPa normal stress, the shear
stress–displacement relationship of model C was not an ideal plastic model. Instead,
it exhibited a certain softening and finally reached a stable shear stress.
As shown in Fig. 5.37, comparing the shear stress–displacement diagrams of the
three models under the same shear condition, it is found that the difference between
200
180
160
140
Shear stress (kPa)
120
100
80
60
40
20
0
0 5 10 15 20 25 30 35
Fig. 5.36 Shear stress–displacement relationship of model C (300 kPa)

200
Model a
180
Model b
160 Model c
140
Shear stress (kPa)
120
100
80
60
40
20
0
0 2 4 6 8 10 12 14 16 18
Fig. 5.37 Shear stress–displacement relationship of the three models (300 kPa)
Fig. 5.38 High-speed

railway embankment section
model A and B is not large. Although the shear failure zone is in the lower clay
from the shear shape of model C, the curve of shearing is different from that of clay.
It can be seen that the properties of the soil layer do affect the results of the shear
test. The shearing of the soil layer and the shearing of the homogeneous soil will
show different shear behaviors.
Table 5.5 Model parameters

Material E (MPa) c (kPa) u w m k j M a0 k (m/s)
(°) (°)
Pile 30 5 30 5 0.32 – – – – 2 10−5
Subgrade – – – – 0.3 0.143
0.021 1 30 1 10−8
Embankment 10 15 30 0 0.3 – – – – 2 10−5
5.4 Summary
(1) The numerical analysis is numerical methods (approximate methods) that

solves various scientific and engineering problems through computers. Taking
the theory and method of solving mathematical problems in digital computer
as the research object, it evaluates the accuracy of the obtained solution.
(2) The numerical analysis methods of underground structures can be divided into
three categories: continuous medium numerical analysis method, discontinu-
ous medium numerical analysis method, and mixed medium numerical anal-
ysis method. The method of numerical analysis of continuous medium
includes FDM, FEM, and BEM. The numerical analysis methods of discon-
tinuous medium include DEM and DDA.
(3) The solution steps of the finite element method mainly include: discretization
of the structure, selecting the appropriate interpolation mode or displacement
mode, derivation of the element stiffness matrix, and the load vector, obtaining
the total equilibrium equations from the element equations, and solving the
displacement of the unknown node.
Problems
5:1 Briefly describe the concept of numerical analysis methods for underground
structures.
5:2 Briefly describe the classification of numerical analysis methods for under-
ground structures.
5:3 Briefly describe the characteristics of common numerical analysis methods for
underground structures.
5:4 High-speed railways in soft soil areas use gravel pile reinforcement methods to
improve the bearing capacity of the foundation. Use ABAQUS software to
establish a two-dimensional finite element model of the high railway
embankment as shown in Fig. 5.38, and analyse the consolidation settlement
of the soft soil foundation. The diameter of the gravel pile r = 1 m,
the spacing s = 2.2 m, and the penetration depth H = 10 m. Use the Mohr–
Coulomb model for embankment filling and gravel piles, and the modified
5.4 Summary 205
Cambridge model for subgrade soft soil. The parameters required for the
Mohr–Coulomb model are: internal friction angle u, expansion angle w,
Young’s modulus E, cohesion c and Poisson’s ratio m. The parameters required
for the Cambridge model are: the slope of the initial consolidation curve k, the
slope of the rebound curve j, the slope of the critical state curve M, and the
initial yield surface size a0 and Poisson’s ratio m. The relevant geotechnical
parameters of embankment fill, pile, and soft soil are shown in Table 5.5.
Reliability Theory for Underground
Structures 6
6.1 Introduction
6.1.1 Development of Reliability Theory
Reliability research has been developed for about 60 years. According to some
scholars, its development can be roughly divided into three stages.
1. Preliminary stage: During the 1930s and 1940s, especially in the Second World
War, electronic equipments on various weapons and equipments often failed,
causing the equipments to lose functions. For example, 70% of electronic
equipments on US Navy ships failed due to “accidents”, which made people
notice and begin to study the law of these “accidents”. This is the question of
reliability.
2. The second stage: The development stage of reliability engineering technology
was in the 1950s and 1960s. During this period, many developed countries in
the world have carried out deep research on product reliability issues, and
generally determined the theoretical basis and research direction of reliability
research, which began to enter engineering applications. For example, the rel-
evant US departments jointly established the AGREE(Advisory Group on
Reliability of Electric Equipment) in 1952. In 1958, 1959, and 1968, the United
States promulgated various standards for the reliability of military and civilian
products, and held various academic conferences. In the late 1960s, 40% of
universities in the United States set up courses in reliability engineering.
Moreover, Japan and the former Soviet Union have also published academic
works on reliability during this period, which both paid attention to the study of
reliability theory and the application of reliability in engineering. The United
Kingdom, France, Italy, and some countries in Eastern Europe also did organize
research on reliability engineering during this period.
https://doi.org/10.1007/978-981-13-7732-7_6
208 6 Reliability Theory for Underground Structures
3. The third stage: In the 1970s and 1980s, reliability research was further
developed. Many international academic institutions and reliability management
institutions were established. In addition, a large number of reliability standards
were promulgated, and a number of masters and doctoral students have been
cultivated.
China’s reliability research started late, and some preliminary studies were
carried out in the late 1950s and early 1960s. In the middle of the period, there were
few studies on reliability. It was not until the late 1970s that attention was paid to
reliability research. From the late 1970s to the early 1980s, reliability academic
organizations have been established in various industries. In 1988, the “China
Reliability Engineering Professional Management Committee” was established.
A number of monographs have been published in the academic field, and some
reliability standards have been developed. However, most of the research work in
this period has focused on mathematics, electronics, aviation, machinery, and
automotive and ground engineering structures.
China’s structural reliability research has developed rapidly. In 1985, the com-
pilation and publication of the “Uniform Standard for Architectural Structure
Design” was completed. In addition, various departments such as railways, high-
ways, water transport, and hydraulic ports have successively issued unified stan-
dards for reliability design of industrial structural engineering, which indicates that
the reliability design method of structural engineering in China has gradually
entered the practical stage. The reliability research of geotechnical engineering is a
difficult problem, which lags far behind the structural reliability research, both at
home and abroad. Foreign geotechnical reliability studies began in the late 1960s,
represented by professors at the University of Illinois, Stanford University, Mas-
sachusetts Institute of Technology, and Ohio State University. At the same time,
Australia, Hong Kong, Japan, and Western Europe have also developed successful
research including stability evaluation of offshore platforms, geotechnical slopes,
and retaining wall design. During this period, there are some different views in the
international engineering and academic circles. Since the geotechnical reliability
research is not yet mature, the number of researchers and the fields involved are
expanding, making the number of papers increase rapidly. Especially, many new
achievements have been made in the analysis of geological exploration data, and
some research monographs have been published.
The research on geotechnical reliability in China began in the early 1980s, the
research content of which covers various aspects such as foundation bearing
capacity, soil slope stability, foundation settlement, and pile foundation. With the
deepening of the research on reliability theory and calculation methods, the research
on the reliability of civil engineering is bound to be further developed.
6.1.2 Uncertainties of Underground Structures
Due to the particularity of the formation conditions, construction environments and

functions, the underground structures have a large degree of randomness, dis-
creteness, and uncertainty. Therefore, it is difficult for the calculation and analysis
of underground structures based on traditional deterministic mechanics and math-
ematical analysis methods to reflect their true mechanical behaviors accurately.
Generally speaking, the uncertainty factors in the underground building struc-
tures are mainly reflected in the characteristics of the formation, the assumptions of
the structural mechanics calculation models, construction factors, and environ-
mental factors.
1. Uncertainty of characteristic parameters of formation media
The formation has been subjected to the influence of natural geological tectonic
movement and human activities in a long geological time, making it characterized
by heterogeneity, nonlinearity, anisotropy, and random dispersion in most cases. In
engineering practice, the engineering properties of the formation are very complex
and easy to change, that is, the dielectric properties are even different in the con-
struction areas of an underground structure. Generally, the uncertainty of formation
parameters is derived from the spatial variability, experimental error, analytical
error, and statistical error of the medium.
2. Uncertainty of rock mass classification
In the design of underground building structures, designers often need to carry out
preliminary design of the structures according to the types of geotechnical medium,
making the division of geotechnical categories crucial. However, various
geotechnical classifications have a set of specifications or standards according to the
engineering services department. These standards and specifications are usually
determined based on a large amount of experience, which has a certain degree of
uncertainty. Sometimes different understanding and processing of standards by
different engineers may also cause the randomness of rock and soil classification,
which leads to uncertainty in the design of underground structures.
3. Uncertainty of the analysis model
In the analysis and calculation of underground structures, both analytical and

numerical methods involve the mechanical behavior models, the calculation ranges
and boundaries of both the structures and the surrounding geotechnical medium.
Generally speaking, the mechanical behavior models obeyed by the medium are
usually determined by the stress–strain relationships obtained by laboratory
experiments, such as elastic model, elastoplastic model, viscoelastic model.
Although these models are fixed after determining their forms, the parameters and
the model still have great differences in accurately reflecting the properties and
parameters of the medium. The uncertainty caused by this is called the uncertainty
of the mechanical models. In addition, in the analysis and calculation of under-
ground structures, it is often necessary to make simplifying assumptions about the
surrounding ranges, boundary conditions, and ground development division. The
uncertainty caused by those is called the uncertainty of the calculation models.
4. Uncertainty of load and resistance
Through the study of underground structure loads, it can be seen that loads and
resistances are the main uncertain factors affecting the analysis of underground
structures. The loads involved in the construction and design of underground
structures include well-defined load factors and other unknown factors. The
well-defined factors are general loads, The construction loads, including con-
struction personnel loads, material loads, mechanical equipment loads, etc., are
variable loads that change with time and can be described by stochastic process
models. Other dead loads and live loads can be analyzed and processed using
mathematical statistics methods and measured data on the basis of a large amount of
data and measured work. As a result, the probability distribution function and
statistical parameters of these loads can be obtained.
5. Uncertainty in the construction of underground structures
There are many uncertain factors affecting the construction of underground struc-
tures. For example, in the process of underground excavation and backfilling, the
disturbances, support structures, boundary conditions, and loads of the soil layer are
constantly changing with a lot of uncertainty.
6. Uncertainty of natural conditions
The mechanical properties of geotechnical media are closely related to natural

conditions, such as heavy rain, mudslides, and various vibrations. When the natural
conditions change greatly, the properties of the geotechnical medium will usually
change greatly. Unexpectedly serious accidents may occur if the impact is not
adequately estimated or if the rules are not well understood. Therefore, the
uncertainty of natural conditions on the slope of rock and soil is difficult to simulate
using the deterministic analysis method.
6.1.3 Reliability Analysis Characteristics of Underground

Structures
The uncertainty should be considered in the design of underground structures

because that it is much more complicated than the upper structures. In general, the
following aspects should be considered when conducting reliability analysis of
underground structural engineering.
1. Variability of surrounding geotechnical properties
The geotechnical medium around the underground structures is a product of nature

with a high degree of regional differences. In addition, the physical and mechanical
properties of the rock and soil in the same area are also complex and have field
effects of space and time.
2. Impacts of the underground structure scales
Due to the variation of geotechnical medium in the underground structures, the

scope of the study in the project is generally large. The nature of the rock and soil
only by one or a few points cannot fully represent the nature of the soil within the
entire geotechnical research range. The spatial average characteristics should be
considered through the average geotechnical characteristics within a certain range.
In addition, the lab tests are mostly small-sized test pieces, which is much smaller
than the volume of the study range. This is the most basic difference between
reliability analysis in underground construction and upper structure engineering.
3. Different meanings of limit state and failure mode
The limit state of structural design is divided into the bearing capacity limit state
and the normal use limit state. The limit state of the bearing capacity in the
foundation design includes the narrow limit state of the bearing capacity caused by
the overall instability, and the damage of the upper structures caused by the local
damage or excessive deformation of the rock and soil. This can be regarded as the
generalized bearing capacity limit state.
4. Nonlinear characteristics of the limit state equation
There are many constitutive models of rock mass with high nonlinear character-
istics. Under different stress levels, rock and soil will exhibit different deformation
characteristics, and the corresponding limit state equations may also be nonlinear.
When using the second-order moment to calculate the reliability index, it is nec-
essary to take a point of the failure surface (checking point) as a linearization point
instead of linearizing the mean point of the basic variable.
5. Correlation of soil indexes
The indexes describing the properties of the rock and soil are correlated. There is
cross-correlation between different indexes, that is, the correlation between the
random variables of the two random fields. Also, there is an autocorrelation of the
same index, that is, the correlation between two random variables at different
locations in the same random field. As a certain soil property parameter of a random
variable, it has not only values of the mean and the variance, but also the auto-
correlation functions. The cross-correlation problem of soil can be considered in the
calculation method. When using the second-order moment method, the covariance
of the relevant variables will appear in the formula. These covariances must be
analyzed according to the nature of the variables and the measured values.
6. Application of theories and methods of probability and mathematical statistics
The study of the reliability of underground structures began in the 1950s. In 1956,
American scholar Casa Gland proposed the risk calculation problem in civil and
foundation engineering, and applied probability theory and mathematical statistics
to the risk of underground engineering. In recent years, based on the reliability,
more and more underground structures are designed and optimized. It can not only
achieve the unity of safety and economy but also reflect the safety degree of the
project more reasonably and comprehensively.
6.2 Basic Principles of Reliability Analysis
6.2.1 Basic Random Variables
The structural reliability theory is generated and developed considering the exis-
tence of many uncertainties in the design of engineering structures. Uncertainty
means that the result of occurrence is uncertain. So, it needs to be analyzed and
inferred using uncertainty theory and method. The uncertainty affecting structural
reliability in structural design is usually divided into randomness, ambiguity, and
imperfection of knowledge. The current structural reliability theory mainly focuses
on the reliability under random uncertainty.
To analyze the reliability of the structure, relevant design parameters need to be
considered. The design parameters of the structure are mainly divided into two
categories. One is the direct action imposed on the structures or the indirect action
that causes the external or restrained deformation of the structures, such as the
weight of the crowd, the equipment, the vehicle and wind, snow, ice, earth pressure,
water pressure, and temperature applied to structures. The internal forces and
deformation of the structures caused by these effects are called action effects or load
effects. The other type is the ability of the structures and its materials to withstand
the action effects, which is called resistance. It depends on the strength of the
material, the size of the section, and the connection conditions.
In fact, the specific values of the parameters are unknown and can be considered
as random variables. Usually, the informations obtained and used are the statistical
laws of random variables, which constitute the basic conditions and contents of
structural reliability analysis and design. Therefore, in structural random reliability
analysis and design, the parameters are basic random variables to determine the
structural design performance. They are expressed in a vector form
X ¼ ðX1 ; X2 . . .Xn ÞT , in which Xi ði ¼ 1; 2; 3. . .nÞ is the cumulative distribution
function and probability density function for the i-th basic random variable.
When the fitting of the probability distribution is tested, it can be regarded as
known, such as a normal distribution, a lognormal distribution, and so on.
6.2 Basic Principles of Reliability Analysis 213
6.2.2 Limit State of Structures
If the entire structure or part of the structure exceeds a certain state, it cannot meet a
certain functional requirements of the design specification. This specific state is
called the limit state of the structure. The structural limit state is a critical state in
which the structural work is reliable and unreliable. The reliability analysis and
design of the structure are based on whether the structure reaches the limit state.
The limit states can generally be divided into the following two categories:
1. Load capacity limit state
This extreme state corresponds to the deformation of the structures or components

achieving the maximum load carrying capacity or unsuitable for continued bearing.
When a structure or component exhibits one of the following states, it is considered
to exceed the load capacity limit state:
(1) The entire structure or part of it is out of balance as a rigid body like over-
turning and sliding;
(2) The structural component or its connection is broken due to the strength of the
material being exceeded (including fatigue damage), or unsuitable for con-
tinued bearing due to excessive plastic deformation;
(3) The structure is transformed into a mobile system;
(4) The structure or component loses stability like buckling.
2. Normal use limit state
This limit state corresponds to the situation that structures or components meet a
specified limit for normal use and durability. When a structure or component has
one of the following states, it is considered to have exceeded the normal use limit
state:
(1) Deformation that affects normal use or appearance;

(2) Local damages or cracks that affect normal use or durability;
(3) Vibrations that affect normal use;
(4) Other specific states that affect normal use.
The above two limit states should be considered separately in the structure
design to ensure the structure has sufficient safety, durability, and applicability. The
usual practice is to first design the structure with the load capacity limit state and
then check it with the normal use limit state.
A functional function or a limit state equation of the structure can be established
based on the functional requirements of the structure and the flags of the respective
limit states.
Assume that X ¼ ðX1 ; X2 . . .Xn ÞT are n basic random variables that affect the
structure function. X can be the geometry of the structure, the physical and
mechanical parameters of the materials and the role of the structure, etc. The ran-
dom function which is also called functional function or failure function of the
structure, can be expressed as
Z ¼ gð X Þ ¼ gðX1 ; X2 . . .Xn Þ ð6:1Þ
Z [ 0 indicates that the structure is in a reliable state, Z\0 indicates that the
structure is in a failed state, and Z ¼ 0 indicates that the structure is in a limit state.
Thus, for the load capacity limit state, the random variable Z represents the safety
margin of a function of the structure. The specific form of the performance function
gð X Þ can be obtained by methods such as mechanical analysis. Performance
functions that represent the same meaning are not unique in forms. They can be
expressed in the form of stress or internal forces.
In particular, Equation
Z ¼ gð X Þ ¼ gðX1 ; X2 . . .Xn Þ ¼ 0 ð6:2Þ
is called the limit state equation. It represents a n 1 dimensional hypersurface in

the n-dimensional basic random variable space. The surface is called the limit state
surface (or failure surface).
The limit state plane divides the problem domain X into two areas: the reliable
domain Xr ¼fxjgð xÞ [ 0g and the failure domain Xf ¼fxjgð xÞ 0g.
Z ¼ gð X Þ [ 0; 8X 2 Xr ð6:3Þ
Z ¼ gð X Þ 0; 8X 2 Xf ð6:4Þ
The limit state surface is the boundary of Xr and Xf , and the limit states in
Eqs. (6.3) and (6.4) are acceptable regardless of the regions. Depending on the
convenience of handling a given problem, some or all of the limit states may be
selected as a reliable domain or a failure domain. Figure 6.1 is a description of the
two-dimensional situation. In the future, Xr and Xf will be simply expressed as
Z [ 0 or Z 0 in the relevant formula.
The simplest function with only two random variables R and S and the limit state
function can be expressed as
Z ¼ gðR; SÞ ¼ R S ð6:5Þ
Z ¼ gðR; SÞ ¼ R S ¼ 0 ð6:6Þ
where R is the resistance and S is the structural load effect. Note that Z is a random
variable, and Eqs. (6.2) to (6.4) and (6.6) are all established in a certain probability.
Fig. 6.1 2D domain and

limit state
6.2.3 Reliability of Underground Structures
The ability of a structure to perform a predetermined function within a specified time

and under specified conditions is referred to as structural dependability. The prob-
ability that a structure will perform a predetermined function within a specified time
and under specified conditions is called the reliability of the structure. Structural
reliability is a measure of the probability of structural dependability. The “specified
time” here refers to the design reference period of the structure, the “specified
conditions” refers to the predetermined construction conditions and applicable
conditions of the structural design, and the “predetermined function” refers to the
various functional requirements that the structure needs to complete. It can be seen
that using probabilities to measure the degree of reliable security is more in line with
people’s habits. For engineering structures, there are three specific reliability scales:
reliable probability pr , failure probability pf , and reliability index b.
The probability that a structure completes a predetermined function is repre-
sented by reliable probability pr or ps ; while the probability that a structure cannot
perform a predetermined function is represented by failure probability pf . The
reliability and failure of the structure are two incompatible events, and their sum
events are inevitable events, that is, the following relationship exists:
pr þ pf ¼ 1 ð6:7Þ
Therefore, both pr and pf can be used to indicate the reliability of the structures.
Sometimes pf is used for convenience in calculation and expression. The main
problem of structural reliability analysis is to process the random information of the
structures to determine the failure probability of the structures.
Considering that the structural function Z is a continuous random variable, let the
probability density function of Z be fZ ðzÞ. According to the meaning of reliable
probability and failure probability
Zþ 1
pr ¼PfZ [ 0g ¼ fZ ðzÞdz ð6:8Þ
0
Z0
pf ¼PfZ 0g ¼ fZ ðzÞdz ð6:9Þ
1
Make the joint probability density of the random variable X¼ðX1 ; X2 . . .Xn ÞT be
fX ð xÞ ¼ fX ðx1 ; x2 . . .xn Þ, and FX ð xÞ ¼ FX ðx1 ; x2 . . .xn Þ is the joint cumulative dis-
tribution function. The failure probability of the structure can be expressed as
Z Z Z Z
pf ¼ dFX ðxÞ ¼ fX ðxÞdx¼ fX ðx1 ; x2 . . .xn Þdx1 dx2 . . .dxn ð6:10Þ
Z 0 Z 0 Z 0
If each Xi is independent, the probability density function of Xi is fXi ðxi Þ, then

Z Z
pf ¼ fX1 ðx1 ÞfX2 ðx2 Þ. . .fXn ðxn Þdx1 dx2 . . .dxn ð6:11Þ
Z 0
For the structural function gðR; SÞ shown in the equation, let the joint probability
density function of the resistance R and the structural load effect S be fRS ðr; sÞ, and
the joint cumulative distribution function be FRS ðr; sÞ. The failure domain Xf is
simply represented by R S.
ZZ ZZ
pf ¼ P fR Sg ¼ dFRS ðr; sÞ ¼ fRS ðr; sÞdrds ð6:12Þ
RS RS
If R and S are independent of each other, the probability density functions are
fR ðr Þ and fS ðsÞ, and the cumulative distribution functions are FR ðr Þ and FS ðsÞ
respectively, then
Zþ 1 Z s Zþ 1
pf ¼ Pf R S g ¼ fRðr ÞfS ðsÞdrds ¼ FR ðsÞfS ðsÞds ð6:13Þ
1 1 1
or
Zþ 1 Zþ 1 Zþ 1
pf ¼ fR ðr ÞfS ðsÞdsdr ¼ ½1 FS ðr ÞfR ðr Þdr ð6:14Þ
1 r 1
According to Formula (6.9), the failure probability pf of the structure depends on

the distribution form of the function Z. Assume that Z obeys a normal distribution
with a mean
value of lZ and a standard deviation of rZ . Thus, Z can be expressed
as Z N lZ ; r2Z . The probability density function of Z is
" #
1 ð z lZ Þ 2
fZ ðzÞ ¼ pffiffiffiffiffiffi exp ð6:15Þ
2prZ 2r2Z
The curve is shown in Fig. 6.2. pf is the area of the shaded part under the
probability density curve in Fig. 6.2.
Through Y ¼ ðZ lZ Þ=rZ , Z can be converted to a standard normal distribution
variable Y N ð0; 1Þ, and its probability density function and cumulative distribu-
tion function can be expressed as
2
1 y
uð yÞ ¼ pffiffiffiffiffiffi exp ð6:16Þ
2p 2
Zy
Uð yÞ¼ uð yÞdy ð6:17Þ
1
Substituting Formula (6.15) into Formula (6.9) and combining Formulas (6.16)
and (6.17), the failure probability of the structure becomes
l
Z0 " # Z
Z rZ
1 ð z lZ Þ 2 lZ
pf ¼ pffiffiffiffiffiffi exp dz ¼ u ð y Þdy ¼ U ð6:18Þ
2prZ 2r2Z rZ
1 1
As can be seen from Fig. 6.2, the standard deviation rZ can be used to measure
the distance from the origin Z to the mean lZ
lZ
b¼ ð6:19Þ
rZ
Fig. 6.2 Relationship

between failure probability
and reliability index
where b is a dimensionless number which is called the structural reliability index.

Therefore, Formula (6.18) can be expressed as
pf ¼ UðbÞ ¼ 1 UðbÞ ð6:20Þ
Figure 6.2 and Formula (6.20) give a one-to-one correspondence between b and
failure probability pf . The relationship between b and the probability of reliability
pr is
pr ¼ UðbÞ ð6:21Þ

If the performance function is Z ¼ R S, assume R N lR ; r2R and

S N lS ; r2S . Since Z is a linear function of R and S which obeys a normal
distribution. lZ ¼ lR lS , r2Z ¼ r2R þ r2S . Therefore, according to Formula (6.19),
the reliability index is
l lS
b ¼ pRffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ffi ð6:22Þ
l2R þ l2S
If the performance function isin the form of Z ¼ ln R ln S, and R and S obey
lognormal distribution ln R N llnR ; r2lnR , ln S N llnS ; r2lnS , where llnR and
llnS are the average values of ln R and ln S, and llnR , llnS are the standard deviation
of ln R, ln S, respectively, Z also obeys the normal distribution. It can be proved
that for the lognormal random variable X, the relationship between the statistical
parameter of the logarithm ln X and its own statistical parameters is:
1
llnX ¼ ln lX lnð1 þ dX Þ ð6:23Þ
2
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi

rlnX ¼ ln 1 þ d2X ð6:24Þ
where dX is the variation coefficient of X.

According to Formula (6.19), the reliability indicator is
l llnS
b ¼ plnR
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð6:25Þ
l2lnR þ l2lnS
When the structural resistance R and the load effect S are both lognormal random
variables, according to Formulas (6.23) and (6.24), the reliability index is
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
lR lnð1 þ d2S Þ
ln pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ffi
lS lnð1 þ d2R Þ
b ¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ð6:26Þ
ln 1 þ d2R 1 þ d2S
When dR and dS are both less than or approximately equal to 0.3, For-
mula (6.26) can be simplified as
lnðlR =lS Þ
b qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð6:27Þ
d2R þ d2S
The reliability index defined above is based on the assumption that the perfor-
mance function Z obeys a normal distribution or a lognormal distribution. In
practical engineering problems, the performance function of the structure may not
obey the normal distribution. When the basic variables of the structural perfor-
mance function are not normal distribution or lognormal distribution, or the per-
formance function of the structure is a nonlinear function, the structural indexes
may be difficult to express with the statistical parameters of the basic variables.
Thus, the exact relationship between the failure probability and the reliability index
may no longer meet Formula (6.7), but an approximate relationship. For-
mula (6.20) is used to calculate the reliability index from the failure probability pf .
b ¼ U1 ðpf Þ ð6:28Þ
whereU1 ðÞ is the inverse of the standard normal distribution function.

However, when the failure probability of the structure is less than or equal to
103 , the failure probability of the structure is no longer sensitive to the probability
distribution of the performance function Z. It can be directly assumed that the
performance function Z obeys the normal distribution, and then directly calculates
the reliability index.
Example 6.1
Assume that the performance function of a structure have n normal random vari-
ables X1 ; X2 . . .Xn which are independent of each other, and the corresponding mean
and standard deviation are lXi and rXi ði ¼ 1; 2. . .nÞ, respectively. The performance
P
function is Z ¼ a0 þ ni¼1 ai Xi . Find reliability indexes of the structures
Solution
Since Z is a linear function of the normal random variable Xi ði ¼ 1; 2. . .nÞ, it is
known from the properties of the normal distribution P that Z also obeys a normal
distribution. With the mean value lZ ¼ a0 þ ni¼1 ai lXi and the variance
P
r2Z ¼ ni¼1 a2i r2Xi , the structural reliability index is
Pn
lZ a0 þ i¼1 ai lXi
b¼ ¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Pn 2 2
rZ ar
i¼1 i Xi
6.3 Approximate Methods for Reliability Analysis
6.3.1 Overview of Reliability Analysis Methods
1. Four levels of reliability analysis
According to the applications of probability theory and mathematical statistics

method in underground structure engineering, the reliability analysis of under-
ground structure engineering can be divided into four levels.
(1) Semi-empirical semi-probability method
Consider the influence of the uncertainty using statistics method, the design
expression is modified by introducing some empirical parameter correction coef-
ficients. At present, the “Code for Design of Building Foundations”
(GB50007-2011) “Code for Geotechnical Investigation” (GB50021-2001) is at this
level.
(2) Approximate probability design method
The probability of failure can be approximated with this kind of methods, such as
the central point method, the checking point method in the first-order
second-moment method, the central safety coefficient method and partial coeffi-
cient method in practical design method.
(3) Full probability method
It is characterized by the use of probability and statistics theory to derive the joint
probability distribution model of all uncertain parameters in the limit state equation.
It can be used to solve the true failure probability. The Monte Carlo method and the
multiple dimensionality reduction method used in the reliability analysis can be
regarded as an approximation algorithm based on this level. Reliability analysis that
belongs to this level can only be achieved when analyzing simple problems under
ideal conditions.
(4) Generalized reliability analysis
It is not only to analyze the safety and failure probability in the design stage but also
to consider the economic and social benefits in time. Meanwhile, it is expected to
absorb the theory and results of cost and benefit analysis in building economics, and
analyze the expectation of economic loss caused by the destruction of underground
building structure engineering system after completion.
2. Reliability analysis method
The methods for calculating structural reliability mainly include the first-order
second-moment method, the second-order second-moment method, the
6.3 Approximate Methods for Reliability Analysis 221
second-order fourth-moment method, the progressive integration method, the

response surface method, and the Monte Carlo simulation method. The following
provides a brief introduction to several commonly used reliability methods.
(1) First-order second-moment method
The nonlinear function is expanded into Taylor series and taken to the primary
term. Then the solving equation is obtained according to the definition of the
reliable index, which generates the first-order second-moment method for solving
the reliability. When calculating the reliability, the basic random variable distri-
bution probabilities and their correlations need to be considered. Therefore, the
first-order second-moment method is divided into the central point method, the
design checking point method, the JC method, and so on. The central point method
does not take the probability distribution of variables into consideration. The basic
checking point method only deals with normal random variables. The JC method,
mapping method, and practical analysis method can also deal with other probability
distribution random variables.
Only the mean value and variance of the basic variables are used in the
first-order second-moment method, making it the simplest and most common
method for calculating reliability. Mastering first-order reliability method can
deepen the understanding of reliability indicators and facilitate the study of other
calculation methods.
(2) Second-order second-moment method
The first-order second-moment method for structural random reliability analysis is

simple and easy to use with a clear concept, which has been widely used. However, it
does not consider the local properties of the function near the design checking point.
When the nonlinearity of the performance function is high, the error can be large. In
addition to the gradient of the nonlinear performance function, the second-order
second-moment method considers the nonlinear properties such as the concave state
and curvature of the limit state surface near the checkpoint by calculating its second
derivative, which can improve the accuracy of reliability analysis.
Since the geometrical characteristics of the limit state surface at the checking
point have a great influence on the structural reliability analysis, when the integral is
used to calculate the failure probability of the structure, the nonlinear function can
be expanded into Taylor series at the checking point and taken the quadratic terms.
The quadratic function surface can replace the original failure surface. Moreover,
the characteristics of the integrand function at the checkpoint can be used. Consider
the secondary derivative value of the performance function at the checking point,
and directly obtain the approximation asymptotic integral value of the failure
probability at the key point. Such second-order second-moment methods are based
on the second-order second-moment method and can make a second correction to
the results of first-order analysis.
(3) Progressive integration
At the most possible point of failure, the logarithm of the basic variable probability
density function is transformed into a Taylor series and taken the quadratic term.
Same to the performance function. The obtained super-cut plane or quadratic
hypersurface is used to approximate the actual failure surface. The asymptotic
integral of the failure probability can be completed by using the results of the
second-order second-moment method and the second-order second-moment
method. In the basic random variable space, the asymptotic integral method is
used to calculate the failure probability of the structure, which only need the first
and second derivatives of the logarithm of the probability density function of the
basic random variable. The transformation of the variable space and the cumulative
distribution function of the variable are not necessary. This method increases the
cumbersomeness of the problem.
(4) Response surface method
The limit state equations of the structures are generally based on the resistance-load
effect model. Most existing reliability calculation methods are based on analytical
expressions of performance functions. However, for some complex structural sys-
tems, the relationship between the input and output of a basic random variable may
be highly nonlinear. Sometimes there is no explicit analytical expression. When
calculating the reliability of such complex structures, the reliability analysis model
cannot be determined in advance, making it difficult to use methods like the JC
method.
The response surface method provides a reliable modeling and calculation
method for solving the reliability analysis of complex structural systems. The
method replaces implicit or complex functions with known functions containing
unknown parameters, which can be determined by interpolation regression. The
determination of the interpolation point is generally based on the experimental
design. If the number of random variables is large, the number of trials will increase
accordingly. When using the response surface method for reliability analysis, the
quadratic polynomial can be used to replace the performance function of the large
complex structures. The interpolation expansion point and coefficient can be
adjusted by iteration, which can generally meet the accuracy requirements of actual
engineering and has high calculation efficiency.
6.3.2 Central Point Method
The definition of the structural reliability index is based on the assumption that the
structural performance function obeys the normal distribution or the lognormal
distribution. By using the normal distribution probability function or the lognormal
distribution function, the relationship between the structural reliability index and the
structural failure probability can be established. However, the structural
performance functions in practical engineering may be nonlinear, and most basic

random variables do not obey normal distribution or lognormal distribution. In this
case, the structural function usually does not obey the normal distribution or the
lognormal distribution. In fact, it is very difficult to determine the probability dis-
tribution, making it impossible to directly calculate the reliability index of the
structure. Nevertheless, it is relatively easy to determine the characteristic param-
eters of the random variables such as mean value, variance, etc. If the structural
reliability analysis is based on the characteristic parameters of the basic random
variables and their respective probability distribution functions, it is practical in
engineering, which is the approximate calculation method of reliability indexes.
1. The basic principle of the central point method
Proposed in the early stage of structural reliability research, the central point
method is to expand the nonlinear performance function at the average value (also
called the center point) of the random variables and take the primary term. Then
approximate the mean value and standard deviation of the performance function.
Finally, directly calculate the mean value (first moment) and standard deviation
(second moment) of the performance function according to the concept of the
reliability index. Therefore, the method is also called the mean first-order
second-moment method.
Assume that X1 ; X2 . . .Xn are n normal random variables which are independent
of each other, and the mean and standard deviation are lXi and rXi ði ¼ 1; 2. . .nÞ,
respectively. The performance function is Z ¼ gð X Þ ¼ gðX1 ; X2 . . .Xn Þ. The per-
formance function Z is expanded to the Taylor series at the mean value point of the
random variables and taken the primary term
n
X
@g
ZL ¼ gðuX1 ; uX2 . . .uXn Þ þ ð Xi u X i Þ ð6:29Þ
i¼1
@Xi u xi
The mean value and variance of ZL
uZL ¼ EðZL Þ ¼ gðuX1 ; uX2 . . .uXn Þ ð6:30Þ
n
X
2 @g 2
r2ZL ¼ E½ZL EðZL Þ ¼ r2Xi ð6:31Þ
i¼1
@Xi u xi
Thus, the structural reliability index
uZL gðuX1 ; uX2 . . .uXn Þ

b¼ ¼ sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð6:32Þ
rZL Pn @g
2 2
i¼1 @Xi rXi
l xi
2. Geometric meaning of reliability indexes
Assume that a limit state equation with multiple normal random variables:
Z ¼ gð X Þ ¼ gðX1 ; X2 . . .Xn Þ ¼ 0
Then, in the n-dimensional space, it represents a nonlinear failure plane, which

divides the space into two parts, the safety zone gðX1 ; X2 . . .Xn Þ [ 0 and the
non-safe zone gðX1 ; X2 . . .Xn Þ\0. The reliability index b is the shortest distance
from the origin O to the failure surface which is also called limit state surface
gðX1 ; X2 . . .Xn Þ ¼ 0. For a nonlinear failure plane, since the distance is not unique, a
tangent plane approximation is used instead of the nonlinear failure plane. The
central point method takes the tangent plane approximation near the center point
instead of the nonlinear failure surface, and then the reliability index b is the
shortest distance from the origin O to the tangent plane at the center point P: b¼OP.
For the three-dimensional space, the limit state surface is shown in Fig. 6.3.
3. Advantages and disadvantages of the central point method
The biggest advantage of the central point method is that it is easy to calculate
without too much numerical calculation. It can directly give the relationship
between the reliable index b and the characteristic parameters of the random
variable. The obtained reliability index b for measuring the reliability of the
structure has a clear physical concept and geometric meaning. It is suitable for the
analysis of the reliability of the normal use limit state of b ¼ 1 2. But there are
also obvious disadvantages:
(1) The method does not consider the information about the distribution type of
the basic variables, but directly takes the first moment and the second moment
of the random variables. Since the central point method is based on the normal
distribution variable, when the actual variable distribution is different from the
Fig. 6.3 Limit state surface

and central point with three
normal random variables
normal distribution, the calculation results of the reliability (or failure prob-
ability) will be different, or even generate an error.
(2) When the performance function is a nonlinear function, it is unreasonable to
unfold at the average value of the random variable. Since the average value of
the random variable is not on the limit state surface, the expanded linear limit
state plane may deviate to a large extent from the original limit state surface.
The degree of approximation depends on the degree of difference between the
linear approximation of the limit state surface and the true limit state surface.
In general, the closer the center point is to the limit state surface, the smaller
the difference. However, due to the requirements of structural reliability, the
central point generally has a considerable distance from the limit state surface.
Therefore, for the nonlinear function problems, the calculation error of the
reliability index is inevitable.
(3) For the limit state equations with the same mechanical meaning and different
mathematical expressions, the obtained structural reliability index values may
be different.
Example 6.2
The straight cross-section straight rod bears an axial tensile force P = 100 kN. The
yield limit fy and diameter d of the rod-setting material are random variables, and
the mean value and standard deviation of the two variables are lf y ¼ 290 N/mm2 ,
rf y ¼25 N/mm2 , ld ¼ 30 mm, rd ¼ 3 mm, respectively. Figure out the reliability
index of the rod.
Solution
The limit state equation of this rod is

Z ¼ g fy ; d ¼ 0
According to Formula (6.32), the reliability index of the rod is

g lf y ; ld
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
b ¼ s 2 2 ffi
@gðlf y ;ld Þ @g ð l ;l Þ
@fy r2f y þ @d
f y d
r2d
The limit state equation expressed by the axial force
pd2
Z ¼ g fy ; d ¼ fy P ¼ 0
4
The reliability index of the rod becomes
plf y l2d 4P p 290 302 4 100 103

b¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ffi¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ¼ 2:3517
2 2 2 2
pld l2d r2f y þ 4l2f y r2d p 30 30 25 þ 4 290 3
The limit state equation expressed in terms of stress is
4
Z ¼ g fy ; d ¼ fy 2 P ¼ 0
pd
The reliability indicator of the rod is
3
plf y ld 4Pld p 290 303 4 100 103 30
ffi ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ¼ 3:9339
b ¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
p2 l6d r2f y þ 64P2 r2d p2 306 252 þ 64 1002 106 32
6.3.3 Checking Point Method
The checking point method actually takes the design checking point as a lin-
earization point when expanding the performance function using the Taylor series.
According to the geometric meaning of b in the central point method, the checking
point method can also be understood as that when the limit state equation
gðX1 ; X2 . . .Xn Þ¼0 is a nonlinear surface, it does not take a linear approximation by
the tangent of the center point, but a linear
approximation by a tangent plane

passing through a point X ¼ X1 ; X2 . . .Xn on gðX1 ; X2 . . .Xn Þ ¼ 0 to reduce the
error of the central point method. This particular point is called the checking point
or design point. The reliability indicator b is the shortest distance from the origin
O to the tangent plane at the checking point P.
It is assumed that the basic variables Xi are independent of each other and obey
the normal distribution. Now, Xi is normalized to Xi0 by coordinate transformation,
and Xi0 obeys the standard normal distribution N ð0; 1Þ. The specific steps are as
follows:
Assume the performance function is Z ¼ gðX1 ; X2 . . .Xn Þ
After being normalized:
X i lX i
Xi0 ¼ ð6:33Þ
rXi
Transform X space into X 0 space

Z 0 ¼ g0 ðX 0 Þ ¼ g0 X10 ; X20 . . .Xn0 ð6:34Þ
In the X 0 space, it is easy to write the tangent plane equation on the surface
T
Z 0 ¼ 0 through the checking point X 0 ¼ X0 1 ; X0 2 . . .X0 n :

Xn
@g0
g0 X0 1 ; X0 2 . . .X0 n þ ðX0i X0 i Þ ¼ 0 ð6:35Þ
i¼1
@X0i X0
T
Since X0 ¼ X0 1 ; X0 2 . . .X0 n is a point on Z0 ¼ 0

g0 X0 1 ; X0 2 . . .X0 n ¼0 ð6:36Þ
Then the tangent plane equation is simplified as

Xn
@g0
ðX0i X0 i Þ ¼ 0 ð6:37Þ
i¼1
@X0i X0
The distance from the origin to the tangent plane represented by Formula (6.37)
is the reliable index b

P @g0
ni¼1 @X0 i
X0 i

b ¼ sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2ffi
X0
ð6:38Þ
Pn @g0

i¼1 @X0i
X0
Let

@g0

@X0 i
X0
ai ¼ sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2ffi ð6:39Þ
Pn @g0

i¼1 @X0i
X0
It can be proved that ai is the direction cosine from the origin to the checking
point X0 , thus
X0 i ¼ai b ð6:40Þ
Back to the X space
Xi ¼ uXi þ ai brXi ð6:41Þ

Since
@g0 @g
¼ rXi ð6:42Þ
@X0i X0 @Xi X i
Substituting Formula (6.42) into Formula (6.39),

@g
@X i
r0 Xi
X
ai =
2 1=2 ð6:43Þ
n
P @g 0
@Xi r Xi
X
i¼1
In addition,

g X1 ; X2 . . .Xn ¼ 0 ð6:44Þ
When the performance function gðX1 ; X2 . . .Xn Þ ¼ 0 is a linear function,

Eqs. (6.41), (6.43), and (6.44) can be used to solve 2n þ 1 equations, and 2n þ 1
unknowns including Xn , ai ði ¼ 1; 2. . .nÞ and b can be solved.
For example, the simplest linear equation is
gðR; G; LÞ ¼ R G L ¼ 0 ð6:45Þ
where R is total resistance to the structure, G is dead load effect, and L is live load
effect.
All three variables follow a normal distribution, which is obtained by
Formula (6.43):

@g @g @g
rR ¼ rR ; rG ¼ rG ; rL ¼ rL
@R X @G X @L X
then
rR rG rL
aR ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2 2 2
; aG ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2 2 2
; aL ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
rR þ rG þ rL r R þ rG þ rL rR þ r2G þ r2L
2
According to Formula (6.41)
R ¼ uR þ aR brR ; ; G ¼ uG þ aG brG ; L ¼ uL þ aL brL
Substitute R , G , L into Formula (6.45)

!
r2R þ r2G þ r2L
lR lG lL b pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ¼0
r2R þ r2G þ r2L
then
l lG lL
b ¼ pRffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
r2R þ r2G þ r2L
b is the shortest distance from the coordinate origin to the limit state surface in
the standard normal space X0, that is, the length of the line segment from the normal
direction of the tangent plane of the limit state surface to the origin. In Figure 6.4,
the normal foot P is the required checking point.
However, when the function gðX1 ; X2 . . .Xn Þ¼0 is a nonlinear function, the
iterative method is usually used to solve the above equations. The specific calcu-
lation steps are:
1. List the limit state equation gðX1 ; X2 . . .Xn Þ¼0 and determine the mean value lXi
and the standard deviation rXi of all the basic variables Xi .
2. Assume the initial value of Xi . Generally, Xi0
¼ lXi , b0 ¼ 0.
3. Find the direction cosine according to Formula (6.43).

@g
@X i
r0 Xi
X
ai =
2 1=2
n
P @g 0X

@Xi r i
i¼1 X
4. Calculate the new value of Xi according to Formula (6.41)
Xi ¼ uXi þ ai brXi
5. Substitute the limit state equation gðX1 ; X2 . . .Xn Þ ¼ 0 to figure out.
Fig. 6.4 Limit state surface

and checking point with three
normal random variables
6. Repeat steps 3 to 5 until the difference between bi and bi1 is less than the
allowable error.
7. Calculate the probability of failure according to Formula (6.20).
pf ¼ PfY\ bg ¼ UðbÞ
The checking point method is undoubtedly superior to the central point method.
Therefore, in the actual reliability calculation of the project, the checking point
method is the basis for solving the reliability indicator. However, the results of this
method are only accurate if the statistical variables are independent normal vari-
ables and have linear limit state equations. In underground engineering, random
variables do not all follow a normal distribution, and some obey the extremum I
distribution. For the reliability analysis of such limit state equations, it is generally
necessary to quantify or transform non-normal random variables into normal ran-
dom variables. There are three commonly used methods: the equivalent normal-
ization method, the mapping transformation method, and the practical analysis
method. The equivalent normalization method is recommended by the Joint
Commission on International Structural Safety (JCSS), which is simplified as the JC
method. Due to space limitations, the JC method is introduced here, and the other
two methods can refer to the relevant literatures.
Example 6.3
An L-shaped retaining wall is shown in Fig. 6.5. The severe of the fill
c ¼ 17:4 kN=m3 , the mean value of internal friction angle l/ ¼ 34
, the variation
coefficient d/ ¼ 0:10. The mean value of friction angle between substrate and soil
lh ¼ 30
, the variation coefficient dh ¼ 0:10. The sum of the discounted height of
filling and overload behind the wall is 6.7 m. It is assumed that the bearing capacity
Fig. 6.5 L-shaped retaining

wall
failure can be neglected, so are the influence of the passive earth pressure on the
overturning stability and the slip stability before the soil control wall. Estimate the
failure probability of the retaining wall as a whole.
Solution
(1) Calculate in overturning mode
The overturning moment formed by active earth pressure is

1 2
/ 2 1 2 2
/ 6:7
M0 ¼ c tan 45 H d¼ 17:4 6:7 tan 45
2 2 2 2 3

/
¼ 872:2127 tan2 45

2
The resistance moment is known as 510 kN m=m.

Then the limit state equation of the overturn mode is

/
g1 ð X Þ ¼ 510 872:2127 tan2 45
¼0
2
Assume the initial value of Xi and b:
/ 0 ¼ Xi0

¼ l/ ¼ 34
; b0 ¼ 0
The direction cosine of the overturning mode:

@g1 rX
@Xi X i
a /1 ¼ sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2ffi ¼ 1
Pn @g1

i¼1 @Xi X rXi
The coordinates of the checking point:
r/ ¼ l/ d/ ¼ 34 0:1 ¼ 3:4
/ ¼ l/ þ a/1 b1 r/ ¼ 34 3:4b1
Bring it to the limit state equation:

2
34 3:4b1
510 872:2127 tan 45 ¼0
2
b1 ¼ 5:5318
pf 1 ¼ 1 Uð5:5318Þ ¼ 1:585 108
(2) Calculate in slip mode:
The horizontal force that drives the wall to slip:

1 2 2
/ 1 2 2
/
F ¼ cH tan 45 ¼ 17:4 6:7 tan 45
2 2 2 2

/
¼ 390:543 tan2 45

2
Base friction:
R ¼ W tan h ¼ 296 tan h
Then, the limit state equation of the slip mode is

/ 2
g2 ð X Þ ¼ 296 tan h 390:543 tan 45 ¼0
2
The first iteration:

Assume the initial value of Xi and b:
/ 0 ¼ l/ ¼ 34
; h 0 ¼ lh ¼ 30
; b0 ¼ 0
The direction cosine of the slip mode:

@g2
/ 0 2
/ 0 1
r / ¼ 390:543 2 tan 45 sec 45 3:4
@/ /0 2 2 2
¼ 905:6331

@g2
rh ¼ 296 sec2 h 0 rh ¼ 1184
@h h 0
905:6331
a/1 ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ¼ 0:6075
905:63312 þ 11842
1184
ah1 ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ¼ 0:7943
905:63312 þ 11842
/ ¼ l/ þ a/1 b1 r/ ¼ 34
2:0655b1
h ¼ lh þ ah1 b1 rh ¼ 30
2:3829b1

34
2:0655b1
g2 ð X Þ ¼ 296 tanð30
2:3829b1 Þ 390:543 tan2 45
¼0
2
b1 ¼ 2:332772
The second iteration:
/ 1 ¼ 34
2:0655b1 ¼ 29:1817
h 1 ¼ 30
2:3829b1 ¼ 24:4412
The direction cosine of the slip mode:

@g2
/ 1 2
/ 1 1
r/ ¼ 390:543 2 tan 45 sec 45 3:4
@/ /1 2 2 2
¼ 1047:7801

@g2
rh ¼ 296 sec2 h 1 rh ¼ 1071:4249
@h h 1
1047:7801
a/2 ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ¼ 0:6992
1047:78012 þ 1071:42492
1071:4249
ah2 ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ¼ 0:7150
1047:78012 þ 1071:42492
/ ¼ l/ þ a/2 b2 r/ ¼ 34
2:3773b2
h ¼ lh þ ah2 b2 rh ¼ 30
2:145b2

30
2:145b2
g2 ð X Þ ¼ 296 tanð30
2:145b2 Þ 390:543 tan2 45
¼0
2
b2 ¼ 2:314667
pf 2 ¼ 1 Uð2:314667Þ ¼ 0:0104
Both limit states have /, which can be expected to be related, in the single mode
boundary:
0:0104 Pf 0:0104 þ 1:585 108

From this example, it can be found that it is the slip of the retaining wall that
plays the controlling role, and the failure probability of the system is close to the
failure probability of this control mode.
6.3.4 JC Method
Proposed by Rakwitz and Fissley, the JC method is suitable for the calculation of
structural reliability indicator under random distribution with random variables.
China’s “Unified Standard for Building Structure Design” and “Railway Engi-
neering Design Standards” all use the JC method for structural reliability
calculation.
The basic concept of the JC method is to “equivalently normalize” non-normal
random variables before using the checking point method. The conditions for
“equivalent normalization” are: (1) At checking point Xi , when the distribution

function FX0i Xi of normal distribution variable X0i (mean value lX0i , variance
rX0i ) is the same as that of original non-normal distribution variable

FXi Xi (mean value lXi , variance rXi ). (2) At checking point Xi , the distribution

probability density function fX0i Xi of the equivalent normal distribution variable

X0i is equal to the probability density function fXi Xi of the original non-normal
distribution variables.
The above two conditions are shown in Fig. 6.6.
According to the condition (1), the condition
that
the
probability distribution
function is equal at the checkpoint: FX0i Xi ¼ FXi Xi
or

X lX0i
FXi Xi ¼U i
rX0i
Fig. 6.6 Equivalent normalization of nonpositive random variables in the JC method

Then the average of the equivalent normal distribution lX0i

lX0i ¼ Xi U1 FXi Xi rX0i ð6:46Þ
According to the condition

(2), the probability density function is equal at the
checking point: fX0i Xi ¼ fXi Xi
or

1 Xi lX0i
fXi Xi ¼ u
rX0i rX0
1 i
u U FXi Xi rX0i
fXi Xi ¼
rX0i
Then

Xi lX0i
rX i ¼u =fXi Xi ¼ u U1 FXi Xi =fXi Xi ð6:47Þ
rX0i
where UðÞ is the standard normal distribution function,U1 ðÞ is the inverse of the
standard normal distribution function, and uðÞ is the density function of the
standard normal distribution.
In the limit state equation, after obtaining the mean value lX0i and variance rX0i
of the equivalent normal function of the non-normal random variable, b can be
calculated from Eqs. (6.41), (6.43), and (6.44). However, lX0i and rX0i are calcu-
lated by the checking point Xi which needs to be obtained, so Eqs. (6.41), (6.43),
(6.44), (6.46), and (6.47) restrict mutually. Generally, the iterative method is used to
calculate b, which can converge when the accuracy requirement is met. The main
steps of the calculation are as follows:
1. 1. Give the limit state equation gðX1 ; X2 . . .Xn Þ ¼ 0, and determine the distri-
bution type and characteristic parameters lXi and rXi of all the basic variables
Xi ;
2. Assume the initial value of Xi . Generally, Xi0
¼ lXi and b0 ¼ 0.

3. For the non-normal variable Xi , the mean value lX0i and variance rX0i of the
equivalent normal variable are calculated according to Eqs. (6.46) and (6.47) at
the checking point, and the mean value lXi and standard deviation rXi of the
original variable are replaced, respectively;
4. Find the direction cosine according to Formula (6.43):

Pn
@g r0Xi
i¼1 @Xi
X
ai ¼ 2 2 #1=2
Pn
4 @g r0X
i¼1 @Xi i
X
5. Calculate b according to Formulas (6.41) and (6.44):
gðl0X1 þ a1 br0X1 ; l0X2 þ a2 br0X2 þ þ l0Xn þ an br0Xn Þ ¼ 0
6. Calculate the new value of Xi according to Formula (6.41)
Xi ¼ l0Xi þ ai br0Xi
7. Repeat step 3 to 6 until the difference between bi and bi1 is less than the
allowable error.
8. Calculate the probability of failure according to Formula (6.20):
pf ¼ PfY\ bg ¼ UðbÞ
In the above mentioned checking point method and JC method, the basic vari-
ables in the performance function are independent of each other. However, in the
actual underground building structure engineering problem, there may be correla-
tion between the random variables affecting the structural reliability. For example,
there is a negative correlation between the cohesive force of the soil and the internal
friction angle, and the positive relationship between the bulk density and the
compressive modulus or cohesion. Studies have shown that the correlation between
random variables has a significant impact on the reliability of the structures.
Therefore, if the variables are related, they should be fully considered in the
structural reliability analysis. In order to consider the correlation between random
variables, the covariance matrix is generally used to transform the relevant variable
space into an unrelated variable space. For the most widely used JC method, the
correlation between the variables and their distribution types should be considered.
The improved JC method is used for reliability analysis, which can refer to the
relevant literature for details.
6.3.5 First-Order Asymptotic Integration Method
In the first-order second-moment method and the second-order second-moment

method, it is necessary to perform a normal transformation or an equivalent
normalization on the basic random variables. Sometimes it is difficult to find out the
probability distribution of a random variable, which may generate an error.
It is the most direct method to calculate the failure probability of the structures
by integrating the probability density function of the basic variables on the failure
domain. However, the integral of multidimensional and the shape of failure region
is complex. Since the key to the failure probability is mainly the integral near the
maximum possible point of structural failure, as long as the integral is localized and
concentrated in the failure domain near the point, an approximate result of the
failure probability integral can be obtained.
Assume the structural performance function Z ¼ gX ð xÞ and the joint probability
density function of the basic random variable X ¼ ðX1 ; X2 Xn ÞT is fX ð xÞ. Then,
the failure probability pf of the structure can be defined by Formula (6.10).
For the following derivation, rewrite Formula (6.10) as
Z Z Z
pf ¼ fX ð xÞdx ¼ exp½ln fX ð xÞdx ¼ exp½hð xÞdx ð6:48Þ
gX ð xÞ 0 gX ð x Þ 0 gX ð xÞ 0
where
hð xÞ ¼ ln fX ð xÞ ð6:49Þ
Let x be a point on the limit state surface, where hð xÞ is expanded into a Taylor
series and taken the quadratic term
1
hð xÞ hðx Þ þ ðx x ÞT rhðx Þ þ ðx x ÞT r2 hðx Þðx x Þ
2 ð6:50Þ
1 T 1
¼ hð x Þ þ v Bv ðx x BvÞT B1 ðx x BvÞ
2 2
where
v ¼ rhðx Þ ð6:51Þ
1
B ¼ r 2 hð x Þ ð6:52Þ
Substitute Formula (6.50) into Formula (6.48)

Z
vT Bv 1 T 1
pf fX ð xÞ exp exp ðx x BvÞ B ðx x BvÞ dx
2 2
g X ð xÞ 0
ð6:53Þ
It can be seen that the difference between the integrand function and the prob-
ability density of normal distribution with the mean value x þ Bv covariance
1pffiffiffiffiffiffiffi
matrix B is only the factor n=2 .
ð2pÞ det B
The first-order asymptotic integration method of structural failure probability is

to replace the boundary of the integral region in Formula (6.53), i.e., the limit state
plane Z ¼ gX ð xÞ ¼ 0 is replaced with the super-cut plane at point x . The perfor-
mance function Z is expanded into a Taylor series at x and taken the primary term.
Consider gX ðx Þ ¼ 0
ZL ¼ ðX x ÞT rgX ðx Þ ð6:54Þ
The mean value and variance of ZL
lZL ¼ ðX x ÞT rgX ðx Þ ð6:55Þ
r2ZL ¼ ½rgX ðx ÞT BrgX ðx Þ ð6:56Þ
Therefore, the reliability index of the sec first-order second-moment method
lZL ½rgX ðx ÞT Bv

bL ¼ ¼ q ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ffi ð6:57Þ
r2ZL
½rgX ðx ÞT BrgX ðx Þ
Substitute Formula (6.57) into Formula (6.53), the first-order failure probability
T
pffiffiffiffiffiffiffiffiffiffi v Bv
pfL ¼ ð2pÞn=2 det B fX ðx Þ exp UðbL Þ ð6:58Þ
2
In order to minimize the error between Formulas (6.58) and (6.48), point x on
the limit state surface should make hðx Þ the maximum value
max hð x Þ
ð6:59Þ
s:t gX ð x Þ ¼ 0
According to the Lagrange multiplier method of solving the optimization

problem, the introduction of the multiplier k is one of the resident conditions of the
x ;kÞ
functional Lðx; kÞ ¼ hð xÞ þ kgX ð xÞ, that is, @Lð@x ¼0
1 v
rgX ðx Þ ¼ rhðx Þ ¼ ð6:60Þ
k k
Substitute Formula (6.60) into Formula (6.57), there is
pffiffiffiffiffiffiffiffiffiffi
bL ¼ vT Bv ð6:61Þ
when bL is a large positive value, uðbL Þ bL UðbL Þ. Therefore, substitute

Formula (6.61) into Formula (6.58)
T u pffiffiffiffiffiffiffiffiffiffi
vT Bv
rffiffiffiffiffiffiffiffiffiffi
n=2
p ffiffiffiffiffiffiffiffiffiffi v Bv ðn1Þ=2 det B
pfL ð2pÞ det BfX ðx Þ exp pffiffiffiffiffiffiffiffiffiffi ¼ ð2pÞ fX ðx Þ T
2 v Bv
T v Bv
ð6:62Þ
If each random variable

Q of X is independent, and its joint probability density
function is fX ð xÞ ¼ ni¼1 fXi ðxi Þ, Formula (6.49) can be rewritten as
X
n
hð x Þ = lnfXi ðxi Þ ð6:63Þ
i¼1
Therefore,

@hðx Þ f 0Xi x i
¼ ; i ¼ 1; 2; . . .; n ð6:64Þ
@xi f X i ðx i Þ

@ 2 hðx Þ f 00Xi x i f 02Xi x i
¼ 2 ; i ¼ 1; 2; . . .; n ð6:65Þ
@x2i fXi ðx i Þ fXi ðxi Þ
2
and @@xhið@xx jÞ ¼ 0ði 6¼ jÞ 。
The calculation steps of the first-order asymptotic integration method can be
summarized as
1. Solve x and optimize the problem by solving Formula (6.59);

2. Calculate v, using Formulas (6.49) and (6.51);
3. Calculate B, using Formulas (6.49) and (6.52);
4. Calculate pfL , using Formula (6.62).
6.3.6 Monte Carlo Method
1. The principle of the Monte Carlo method
The calculation method of structural reliability is an important research content in

the reliability theory, which involves the application of structural reliability theory
in engineering and the correct evaluation of the safety and reliability of structures.
The reliability calculation method based on the first-order second-moment theory
has considerable approximation to the problems of non-normally distributed ran-
dom variables and nonlinearly expressed limit state functions. It is often encoun-
tered in reliability analysis. Therefore, it is necessary to find an effective and
accurate method for calculating structural reliability. As a result, the numerical
simulation method of structural reliability based on the Monte Carlo method has
been payed attention.
The characteristics of the Monte Carlo method are obvious. In the numerical
simulation of structural reliability, the convergence speed of the simulation has
nothing to do with the dimension of the basic random variable. The complexity of
the limit state function is independent of the simulation process, and there is no
need to linearize the state function or to make the random variable “equivalent
normal”. This method has the ability to solve the problem directly. At the same
time, the error of the numerical simulation can also be easily determined to guar-
antee the number and accuracy of the simulation. Therefore, the above character-
istics determine that the Monte Carlo method will play a greater role in structural
reliability analysis. However, when the structural damage probability of actual
engineering is usually less than the following magnitude order, the number of
simulations of the Monte Carlo method will be quite large, which will occupy a
large amount of calculation time. It is the main problem of the method in structural
reliability analysis. With the rapid development of computers and the improvement
of numerical simulation methods, this problem will be better solved.
This section focuses on Monte Carlo simulations, especially some basic methods
of sampling.
The probability of failure of the engineering structure can be expressed as
Z
pf ¼ PfGð X Þ\0g ¼ f ð X Þdx ð6:66Þ
Df
The reliability indicator of its structure is
b ¼ U1 ð1 pf Þ ð6:67Þ
whereX ¼ ðX1 ; X2 . . .Xn ÞT is the vector with n-dimensional random variables;

f ð X Þ ¼ f ðx1 ; x2 . . .xn Þ is the joint probability density function of the basic random
variable X. When Qn X is a set of independent random variables,
f ðx1 ; x2 . . .xn Þ ¼ i¼1 f ðxi Þ;Gð X Þ is a set of structural limit state functions. When
Gð X Þ\0, it means that the structure is destroyed. Df is the failure area corre-
sponding to Gð X Þ. UðÞ is the cumulative probability function of the standard
normal distribution.
Thus, Formula (6.66) expressed by the Monte Carlo method can be expressed as
1X N
^
^pf ¼ I G X i
ð6:68Þ
N i¼1

where N is the total number of sampling simulations. When G X ^ i \0,

^ ^ 00 00
I G Xi ¼ 1, otherwise, I G Xi ¼ 0. ^ indicates the sampled value. There-
fore, the sampling variance of Formula (6.68) is
1
^2 ¼
r ^pf ð1 ^pf Þ ð6:69Þ
N
when 95% confidence is chosen to guarantee the sampling error of the Monte
Carlo method
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
^pf ð1 ^ pf Þ
jp^f pf j Za=2 r
^¼2 ð6:70Þ
N
Or expressed by relative error e

sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
j^pf pf j ^pf ð1 ^ pf Þ
e¼ \2 ð6:71Þ
pf N^ pf
Considering that pf is usually a small amount, Formula (6.71) can be approxi-

mated as
2 4
e ¼ pffiffiffiffiffiffiffiffi and N ¼
N^pf ^pf e2
when e ¼ 0:2, N must meet the condition
N ¼ 100=^pf ð6:72Þ
This means that the number of samples N is inversely proportional to ^pf . Since ^
pf
is generally a small amount. For example, when ^pf ¼ 103 , N ¼ 105 is required to
obtain a sufficiently reliable estimate of pf . The probability of failure of an engi-
neering structure is usually small, which means that N must be large enough to give
the correct estimate. Obviously, such a direct Monte Carlo method is difficult to
apply to the actual reliability analysis of engineering structures. Only by the vari-
ance reduction technique to reduce the number of sampling simulations N can the
Monte Carlo method be applied in reliability analysis.
2. Sampling variance reduction technique
(1) Dual sampling technique
Assume that U is a set of samples uniformly distributed in interval ½0; 1, and the
corresponding basic random variable is X ðU Þ which obeys the distribution of the
probability density function f ðx1 ; x2 . . .xn Þ. There are also I U and X ðI U Þ, and
U and X ðU Þ are negatively correlated. The simulation estimate for Formula (6.66)
is
1
^pf ¼ ½^pf ðU Þ þ ^pf ðI U Þ ð6:73Þ
2
Obviously, Formula (6.73) is an unbiased estimate of pf , and the variance of the

simulated estimate is
( " #)
1 ^pf ðU Þ þ Var½^pf ðI U Þ þ
Varð^pf Þ ¼ Var
4 2Cov½^pf ðU Þ; ^
pf ð I U Þ ð6:74Þ
1 1
\ fVar½^pf ðU Þ þ Var½^pf ðI U Þg ¼ r2
4 2
where p^f ðU Þ and ^pf ðI U Þ^pf are negatively correlated. That is,
Cov½^pf ðU Þ; ^pf ðI U Þ\0. Therefore, the simulated estimated variance is always
smaller than the sampling variance of the Monte Carlo method. It should be noted
that the dual sampling technique does not change the original sampling simulation
estimation process. It only utilizes the negative correlation of the sampling samples,
and the number of sampling simulations is reduced by N. Therefore, the dual
sampling technique is combined with other variance reduction techniques. The
sampling simulation efficiency will be further improved.
(2) Conditional expectation sampling technique
Assume that if there is a basic random variable xi , there is a conditional expectation

Eðpf jxi Þ which is also a random variable. Then, the simulation is estimated as
E½Eðpf jxi Þ ¼ ^pf ð6:75Þ
The corresponding estimated variance is
Var½Eðpf jxi Þ ¼ E½Eðpf jxi Þ2 ^pf

n h i o 2
¼ E E ðpf jxi Þ2 Covðpf jxi Þ þ Var ^ pf E ^
pf ð6:76Þ
n h i o
¼ Var ð^pf Þ E½Var ðpf jxi Þ þ E E ðpf jxi Þ2 ^
p2f

Since p^2f in E p^2f is the expected variable, there is
2 3
Z Z Z
6 7
E p^2f ¼ ^p2f fpf ð X Þdx ¼ 4 ðpf jxi Þ2 fpf jxi ðY ÞdY5fxi ð xÞdx
xi pf jxi
2 3
Z h i
6 7
¼ E4 ðpf jxi Þ2 fpf jxi ðY ÞdY5 ¼ E Eðpf jxi Þ2
pf jxi
where Y ¼ fx1 ; x2 ; . . .; xn gT . Then

Var½Eðpf jxi Þ ¼ Varð^pf Þ E½Varðpf jxi Þ\Varð^ ^2

pf Þ ¼ r ð6:77Þ
Therefore, the conditional expectation sampling technique reduces the variance

of the sampling simulation. In addition, it is beneficial to the calculation of the
censored distribution probability of Formula (6.66).
(3) Important sampling technique
Assume that there is a sampling density function hð X Þ that satisfies the following
relationship
Z
hð X ÞdX ¼ 1 hð X Þ 6¼ 0; X 2 Df ð6:78Þ
Df
Then Formula (6.66) can be written as an importance sampling form.

Z Z
f ðX Þ
pf ¼ f ð X ÞdX ¼ hð X ÞdX ð6:79Þ
hð X Þ
Df Df
The unbiased estimate of Formula (6.79) is

1X N î
f X
î
^pf ¼ I G X ð6:80Þ
N i¼1 î
h X
where Xbi is the sample vector taken from the sampling density function hð X Þ. The
sampling simulation variance is
Z
î
f2 X
Varð^pf Þ ¼ p2f
dx ^ ð6:81Þ
^
h Xi
Df
when the sampling density function is

Z
f ðXÞ f ðX Þ
hð X Þ ¼ ¼ X 2 Df ð6:82Þ
f ð X ÞdX p^f
Df
the simulated variance of Formula (6.80) is minimized. It should be said that

Formula (6.81) only provides the selection path of hð X Þ, which is very difficult
actually. It depends on the distribution form of random variables, the limit state
function, and the accuracy of sampling simulation. However, Formula (6.80) has
upper and lower limits, which can be obtained by the Cauchy–Schwarz inequality
20 12 3 " #
Z
1 4@ ^ A 25 1 f ðXÞ 2
f X dX ^pf Varð^pf Þ p^f ^
p ð6:83Þ
N N hð X Þ max;X2Df f
Df
Similarly, Formula (6.83) can also be expressed as the ratio of the joint prob-
ability density function f ð X Þ of the random variable to the sampling probability
density function hð X Þ

f ðX Þ f ðX Þ
^pf X 2 Df ð6:84Þ
hð X Þ hð X Þ max;X2Df
This expression gives the construction limits of the sampling function hð X Þ.

Obviously, Formula (6.79) is the upper limit of the sampling function hð X Þ, which
requires hð X Þ to satisfy the ratio of f ð X Þ=^pf in the failure region Df . All sample
samples fall within Df (see Formula (6.78)). At the same time, the upper limit of
Formula (6.84) is

f ðX Þ f ðX Þ
¼ ð6:85Þ
hð X Þ max;X2Df hð X Þ
where X is the maximum likelihood point on the structural limit state function.
Considering that the ratio of Formula (6.85) is always greater than or equal to ^ pf ,
and f ð X Þ can always find such a point in the gradient direction of X to satisfy the
condition of Formula (6.82). Then, the point is selected as the subfield center of the
failure region so that the sampling average obtained from the subfield within a
given confidence level will satisfy Formula (6.82). This observation is very useful
for constructing the sampling function hð X Þ, which implies that the sampling center
may be in the gradient direction of X and near the failure zone X .
In fact, the above observations have been partially reflected in the existing
importance sampling method. However, how to effectively determine the impor-
tance sampling density functions (types and parameters) is still an urgent problem
to be solved.
6.3.7 Reliability of Structural Systems
The underground structure is statically indeterminate due to its specific surrounding

environments. The previous reliability analysis methods are mainly for the relia-
bility of a single structural member (component) or a section in the component. In
fact, the structure of the underground structure is very complicated. From the
materials of the components, there are brittle materials, ductile materials, single
materials, and various materials. There are many types of failure modes. For
example, the single failure modes of the retaining structure including overturning,
slipping, and bearing capacity, or a combination of the three. From the perspective
of the system consisting of structural components, there are series systems, parallel
systems, and hybrid systems. For example, for the retaining structure of
the foundation pit, if one support in the supporting system is damaged, it is likely to
cause entire instability of the foundation pit. The supporting system of the foun-
dation pit is a series system. This section mainly introduces the analysis methods of
structural system reliability.
1. Basic concept
(1) Failure characteristics of structural components
The components constituting the entire structure (connections are also regarded as
special components) can be divided into brittle and ductile components two types
due to their different materials and mechanical properties.
The brittle component completely loses its function after failure. For example,
once a rigid component in a tunnel project is destroyed, the bearing capacity is lost.
The ductile component retains its original function after failure. For example, the
flexible lining used in the tunneling work has a certain yielding platform, which can
maintain the bearing capacity and continue to deform before the yield bearing
capacity is reached.
Different properties of component failures cause different impacts on the relia-
bility of the structural system.
(2) Failure model of structural system
The structure consists of various components. Due to the different constructing

ways and failure properties of the components, each kind of failure has its own
particularities. However, if various structural failures are modeled, they can be
merged into three basic forms: series model, parallel model, and series–parallel
model.
1) Series model
If any component in the structure fails, the entire structure fails. The structural
system with this logical relationship can be represented by a series model.
A series model can be used for failure analysis of all statically indeterminate
structures. For example, the segments in a tunnel can be viewed as a series system,
where each segment can be viewed as a component of a series system. As long as
one of the components fails, the entire system fails. For a statically fixed structure, it
has nothing to do with the reliability of the structural system whether its compo-
nents are brittle or ductile. Figure 6.7 is a logic diagram of the series model.
2) Parallel model
If one or more components fail in the structure, the remaining components or the
failed ductile components can still maintain the function of the overall structure,
then such structural systems are parallel systems.
Fig. 6.7 Logic diagram of the series model
Fig. 6.8 Logic diagram of the parallel model
The failure of the hyperstatic structure can be represented by a parallel model.

Figure 6.8 is a logic diagram of the parallel model. There are k paths between the input
and the output, and the entire system is destroyed only when all the paths are blocked.
For parallel systems, the properties of the brittle or ductile components will affect the
reliability of the system and its computational model. The brittle components will be
taken out of the system one by one after failure, which leads to the reliability order of
the components should be considered when calculating the reliability of the system.
The ductile component will still maintain its original function in the system after its
failure, so only consider the final failure mode of the system.
3) Series–parallel model
In the statically indeterminate structure composed of ductile components, if the final

failure of the structure is not limited to one type mode, such a structural system can
be represented by the series–parallel model, as shown in Fig. 6.9.
(3) Correlation between components and failure modes
The reliability of the components depends on the load effect and resistance of the
components, which leads to the correlation between the components and the failure
modes. In the same structure, the load effects of the components are derived from
the same load. Therefore, there should be a high degree of correlation between the
load effects of the different components. In addition, some or all of the components
Fig. 6.9 Logic diagram of the series–parallel model
within the structure may be made of the same batch of materials, causing a certain
correlation between the resistance of the components. It can be seen that in the same
structure, there is a certain correlation in the failure of different components.
Therefore, when evaluating the reliability of the structural system, it is necessary to
consider the correlation between the failure modes. The existence of correlations
makes the analysis of the reliability of the structural system very complex, which is
also the difficulty of the structural system reliability calculation theory.
2. Reliable upper and lower limits of the structural system
In special cases, the reliability of the structural system can only be calculated by the
probability method. The working state of each component is Xi , the failure state is
Xi , the failure probability of each component is pfi , and the failure probability of the
structural system is pf .
For a series system, assume that the system has n components, when the working
state of each component is completely independent, then
!
Y
n Y
n
pf ¼ 1 p Xi ¼1 ð1 pfi Þ ð6:86Þ
i¼1 i¼1
When the working state of the components is completely relevant:

pf ¼ 1 p min Xi ¼ 1 minð1 pfi Þ ¼ max pfi ð6:87Þ
i21;n i21;n i21;n
In general, the actual structural system may be between the above two extreme
cases. Therefore, the failure probability of the general series system will also be
between the calculation results of the above two extreme cases
Y
n
max pfi pf 1 ð1 pfi Þ ð6:88Þ
i21;n
i¼1
It can be seen that for a statically determined structure, the reliability of the
structural system is always less than or equal to the reliability of the component.
For a parallel system, when the working state of each component is completely
independent, then
!
Y
n Y
n
pf ¼ p i
X ¼ pfi ð6:89Þ
i¼1 i¼1
When the working state of the components is completely relevant:

pf ¼ p min Xi ¼ min pfi ð6:90Þ
i21;n i21;n
In general
Y
n
pfi pf min pfi ð6:91Þ
i21;n
i¼1
Obviously, for a statically indeterminate structure, when the failure mode of the
structure is unique, the reliability of the structural system is always greater than or
equal to the reliability of the component. When the failure mode of the structure is
not unique, the reliability corresponding to each failure mode of the structure is
always greater than or equal to the reliability of the component.
3. Basic expression of failure probability of structural system
Assuming that there are m failure modes obtained by the above method, and its
performance function is the same as Formula (6.1), the failure probability of the
structural system is

pfs ¼ P [ m
i¼1 ZLi \0 ð6:92Þ
If the performance function is nonlinear, the first-order second-moment method

can be used to linearize each nonlinear performance function into ZLi ði ¼ 1; 2. . .mÞ
at each checking point. The failure probability of the structure is approximated as

pfs ¼ P [ m
i¼1 ZLi \0 ¼ 1 Um ðb; qÞ ð6:93Þ
T
where b ¼ ðb1 ; b2 . . .b
n Þ is a reliable index vector composed of reliable indexes of
failure modes, q ¼ qij mm is a linear correlation coefficient matrix between
functional functions, Um ðÞ represents the m-dimensional standard normal distri-
bution function.
The structural reliability index b of each failure mode can be calculated by the
JC method, the mapping transformation method or the practical analysis method. If
the JC method is used to calculate b, the linear correlation coefficient between

failure modes is calculated by:

Pn Pn
@gi @gj
qx0 x0
k l @Xk @Xl rx0k rx0l
k¼1 l¼1 p
qij ¼ ð6:94Þ
rZi rZj
where
X Xn 1=2
n @gi @gi
rZi ¼ qx0k x0l rx0k rx0l ;
k¼l l¼1 @Xk @Xl p
X X 1=2
n n @gj @gj
rZj ¼ qx0k x0l rx0k rx0l
k¼1 l¼1 @Xk @Xl p
qx0k x0l qxk xl is the linear correlation coefficient between the equivalent nor-
malized random variables X0k and X0l .
After determining vector b and matrix q, the structural failure probability in
Formula (6.92) is calculated by:
Zb1 Zb2 Zbm

pfs ¼ 1 um ðZ; qÞdz1 dz2 . . .dzm ð6:95Þ
1 1 1
where um is the m-dimensional standard normal probability density function,

1 1 1 T
um ðz; qÞ ¼ pffiffiffiffiffiffim pffiffiffiffiffiffiffiffiffiffiffiffiffi exp zq z
2p detðqÞ 2
detðÞ indicates the value of the determinant, and q1 is the inverse matrix of q.
It can be seen from Formula (6.95) that the failure probability of the structural
system is a high-dimensional integral, which is difficult to solve in practical
engineering. Therefore, it is necessary to study a method that is simple in calcu-
lation and accurate to meet the requirements of engineering applications. At present,
the practical methods of engineering include two types: the interval estimation
method and the point estimation method. The interval estimation method is to use
the basic method of probability theory to delineate the upper and lower limits of the
failure probability of the structural system, mainly including the “wide boundary
method” and the “narrow boundary method”; some scholars have proposed a
narrower limit estimation formula. However, the narrower the boundary, the more
complicated the calculation, but the accuracy is limited. Therefore, there are not
many practical applications. The point estimation method is to convert the complex
high-dimensional integral problem with multiple integral boundaries into a simple,
general method-solvable problem through appropriate approximation, so as to

obtain an approximate solution to the problem.
4. Interval estimation method for failure probability of structural system
The wide boundary formula for the failure probability of a structural system is
Y
n
max pfi pfs 1 ð1 pfi Þ ð6:96Þ
i
i¼1
where
pfi ¼ Uðbi Þ ð6:97Þ
where bi is the reliable index of the i-th failure mode.

The wide boundary formula only considers the failure probability of a single
failure mode rather than the correlation between the failure modes. Therefore, in
general, the wide boundary formula is suitable for roughly estimating the reliability
of the structural system.
The improved narrow boundary formula is
!
X
m X
i¼1 X
m X
m
pfi þ max pfi pfij ; 0 pfs pfi max pfij ð6:98Þ
j\1
i¼2 j¼1 i¼1 i¼1
where pfi is calculated by Formula (6.97), and pfij indicates the probability that both
failure modes fail. Different with Formula (6.96), Formula (6.98) considers the
probability that both failure modes fail, though the resulting boundary is narrow.
Therefore, it is called the narrow boundary method.
When both failure modes fail, failure probability pfij can be expressed as

pfij ¼ u2 bi ; bj ; qij ð6:99Þ

where u2 bi ; bj ; qij represents the two-dimensional normal distribution func-
tion. The specific expression is
Zbi Zbj

u2 bi ; bj ; qij ¼ u2 xi ; xj ; qij dxi dxj ð6:100Þ
1 1

where u2 xi ; xj ; qij dxi dxj is expressed as
2 3
1 x2i þ x2j 2qij xi xj
u2 xi ; xj ; qij ¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffi exp4
5
2p 1 q2ij 2 1 q2ij
Equation (6.100) can also be expressed as the one-dimensional integral:
Zqij

u2 bi ; bj ; qij ¼ uðbi Þu bj þ u2 bi ; bj ; z dz ð6:101Þ
0

Equations (6.100) and (6.101) are both exact expressions of u2 bi ; bj ; qij .
In order to get specific results, numerical integration is needed and the amount of
calculation is large. Therefore, various approximate calculation methods are often
used in engineering.
5. Point estimation method for failure probability of structural systems
The interval estimation method is one of the estimation methods of structural

system failure probability. Especially the narrow boundary method is widely used
in past research and analysis. However, many practical calculations show that when
there are many failure modes of the structural system or the linear correlation
coefficient between the failure modes is large ðq [ 0:6Þ, the upper and lower limits
of the narrow boundary method will be significantly widened. It is difficult to
obtain an accurate estimate of the failure probability. Therefore, many studies focus
on the point estimation method for the failure probability of structural systems.
Probabilistic Network Evaluation Technique (PNET) is one of the early methods
for estimating the failure probability of structural systems. This method first divides
all the main failure modes into groups according to the degree of closeness of each
other, and selects a failure mode with the highest probability of failure as the
representative failure mode in each group. Then each representative failure mode is
assumed to be independent of each other. Failure probability of the structural
system pf :
Y
k
pf ¼ 1 ð1 pfi Þ ð6:102Þ
i¼1
where k is the number of groups.

The key to the PENT method is the selection of the grouping criterion q0
(correlation coefficient). If q0 is too large, it will get a conservative result. On the
contrary, if q0 is too small, it will get a risky result. In order to get accurate results,
the value of q0 should be appropriate. However, in the current situation, it is
generally based on experience to choose q0 , such as q0 = 0.7 or 0.8.
6.4 Summary
(1) The development of reliability is roughly divided into three stages. The
development of reliability in China started late, but it developed rapidly.
(2) Due to the particularity of the formation conditions, construction environments
and functions, the underground structures need to consider the influences of
surrounding formation, structural mechanics calculation model assumptions,
construction and environmental uncertainties in order to perform reliability
analysis.
(3) The reliability of the structure is the probability that the structure performs the
predetermined function within the specified time and under the specified
conditions. There are three indexes for measuring the reliability: the reliability
probability pr , the failure probability pf , the reliability indicator b.
(4) Probability theory and mathematical statistics methods can be used to
approximate the failure probability of the failure mechanism. The methods for
calculating structural reliability mainly include the first-order second-moment
method, the second-order second-moment method, the second-order
fourth-moment method, the progressive integration method, the response
surface method, and the Monte Carlo simulation method.
Problems
6:1 Briefly describe the indexes that describe the reliability.
6:2 Briefly describe the uncertainties and characteristics of underground
structures.
6:3 Briefly describe the methods of structural reliability analysis.
6:4 Briefly describe the advantages and disadvantages of the central point method.
6:5 Briefly describe how to use the checking point method for reliability analysis.
6:6 There is a thin-walled steel beam subjected to permanent loading. The limit
state equation is Z ¼ gðW; f ; M Þ ¼ Wf M ¼ 0. It is known that the bending
moment M obeys a normal distribution, lM ¼ 130000, dM ¼ 0:07. The sec-
tion resistance moment W also obeys a normal distribution. lW ¼ 54:72,
lW ¼ 0:05. The steel strength f obeys a normal distribution, lf ¼ 3800,
df ¼ 0:08. Find the failure probability pf of the steel beam.
Design of Shallow-Buried Structures
7
7.1 Introduction
According to the buried depth, the buildings buried in the soil can be divided into
the deep-buried structure and the shallow-buried structure. Contents of this chapter
focus on the design of the shallow-buried structure, which mainly introduces the
design and calculation of the shallow-buried rectangle framework.
The shallow-buried structure is the underground structure with thin overbur-
den or with the thickness of covering layer in soft soil layer less than the structure
size. So, it cannot meet the conditions of forming the pressure arch
(Hsoil ð22:5Þh1 , h1 is the height of the pressure arch). The factors to determine
which buried method to choose include functional requirements of the construction,
environmental conditions, geological conditions, protection grade, construction
capability and so on.
The cut and cover method is widely used in the construction of the general
shallow-buried structure for economy. However, when it is strict in the ground and
environmental conditions, the underground excavation, such as the pipe roof
method and box culvert jacking method, also will be a good choice in the
construction.
The forms of the shallow-buried structure can be generally divided into three
types as follows: the straight wall and arch lining structure, the rectangle frame-
work, and the beam–slab structure. And the above forms can be used in any
combination.
7.1.1 Straight Wall and Arch Lining Structures
The straight wall and arch lining structure is generally used in the structures with
the span of 1.5–4 m like small underground channels and early civil air defense
shelters. The walling is generally constructed of either bricks or rubbles. And there
are brick arches, precast reinforced concrete arches, and cast-in-place concrete
https://doi.org/10.1007/978-981-13-7732-7_7
254 7 Design of Shallow-Buried Structures
Fig. 7.1 The straight wall and arch lining structure
arches according to the span length of the arches. The former two arches are widely
used in the civil air defense shelters with smaller span, the other one is common in
the project with larger span.
From the structural force analysis, the arch structure is mainly subjected to the
axial pressure, in which the bending moment and the shear force are small. As a
result, the arch can give full play to characteristics of brittle materials, such as
concrete and rock.
The common used arch axes are semi-circular arch, secant-circular arch, parabolic
arch, etc. Several common straight wall and arch lining structures are shown in Fig. 7.1.
7.1.2 Rectangle Frameworks
With the increasing of the complexity and span length, as well as the improving
requirement structural integrity and waterproofing, the application of the concrete
rectangle frameworks become more and more extensive in the underground
architecture especially in subway tunnels and stations. The shallow-buried rectangle
framework has the advantages including efficient utilization, economic excavating

sections, and simple construction.
Both top and bottom slabs of the rectangle frameworks are horizontal compo-
nents, in which the bending moment is larger than that in the arch. They are usually
made of reinforced concrete structures.
In the subway project, the closed framework can be single span, double span, or
multi-span based on the functional requirement, load, and span. The parts of sta-
tions need to be made of the multi-storey and multi-span framework under some
circumstances.
1. Single-span rectangle framework
The single-span rectangle framework is appropriate for the construction, of which

the span length is usually less than 6 m. The access of the subway station or the
civil air defense shelter is shown in Fig. 7.2a.
2. Double-span and multi-span rectangle framework
When the span length is large or there is special requirement of utilization and
technology, the structure can be designed as double-span or multi-span rectangle
framework. The double-span tunnel is shown in Fig. 7.2b. In order to improve the
conditions of ventilation and save materials, the midfeather is able to open the holes
Fig. 7.2 The rectangle frameworks
Fig. 7.3 Double-span rectangle framework with open holes

Fig. 7.4 Double-span beam–column rectangle framework
The midfeather can also be replaced with beams and columns. In fact, if the hole
on the midfeather is large enough, the function of midfeather is the same as the
beams and columns, as shown in Fig. 7.4.
3. Multi-storey and multi-span framework
Some of underground powerhouses must use the multi-storey and multi-span

framework due to process requirements. Some parts of subway stations use the
multi-storey and multi-span frameworks to transfer for passengers as shown in
Fig. 7.5.
7.1.3 Beam–Slab Structures
Beam–slab structures are commonly used in the shallow-buried structures, such as

underground hospitals, classrooms and command posts, etc. In the engineering at low
groundwater levels or with the low protection degree, top and bottom slabs are
cast-in-place concrete beam–slab structures, while the enclosure and partition walls are
Fig. 7.5 Double-storey and multi-span framework

Fig. 7.6 The planar graph of an underground classroom
brick walls. And in the engineering at high groundwater level or with the high protection
degree, the reinforced concrete rectangle frameworks are often adopted, except internal
partition walls. A planar graph of an underground classroom is shown in Fig. 7.6.
Besides the above three structures, for some buildings with large spans like
underground halls and underground warehouses, it also takes the shell or plate
structures.
7.2 Calculation of Rectangle Frameworks
Structural calculation usually includes three aspects: load calculation, internal force
calculation, and section design. This section will introduce the calculation of the
single-storey rectangle framework through the subway passage as shown in
Fig. 7.7.
Fig. 7.7 Subway passage

7.2.1 Load Calculation
The loads of underground structures include static, live, special and accidental loads
like seismic load, as shown in Table 7.1. Static load is constant load which have a
long-term effect on the structures, such as structural weight, earth pressure and
groundwater pressure, etc. Live load is a variable load which possibly exists in the
service life or construction, such as the crowd, vehicles, equipments and the
materials or machinery in the construction, etc. Special load is a load which results
from the effects of the conventional weapons or the nuclear explosions. The
underground structure in the earthquake zone is also affected by the seismic load.
The special loads are in accordance with the different levels of protection as re-
quired in the relative regulations of the civil air defense shelters.
1. Load on the top slab
This load includes overlying pressure, water pressure, self-weight, road live load
and special loads.
(1) Overlying pressure
As the shallow-buried structure, the calculation of overlying pressure only need to

sum of the soil weight including the pavement materials above the top slab in the
construction by the bearing area of the top slab. If there is the soil below the
groundwater level, its floating weight should be used. The overlying pressure can
be determined by:
X
qs ¼ ci hi kN=m2 ð7:1Þ
i
where ci is the unit weight of soil of the ith layer; hi is the thickness of soil of the ith
layer.
(2) Water pressure
The water pressure can be determined by the following formula:
Table 7.1 Load type

Serial number Load names Load types
1 Water and soil pressure, structure weight Static load
2 Ground overload Live load
3 Special load Accidental load
4 Blast load Accidental load
5 Seismic load Accidental load
7.2 Calculation of Rectangle Frameworks 259

qw ¼ cw hw kN=m2 ð7:2Þ
where cw is the unit weight of water; hw is the distance from the ground water level
to the surface of the top slab.
(3) Self-weight of the top slab

q0 ¼ c0 d kN=m2 ð7:3Þ
where c0 is the unit weight of the top slab; d is the thickness of the top slab.
(4) The special load of the top slab qttop

(5) The ground overload qover
In summary, the load on the top slab is:
qtop ¼ qs þ qw þ q0 þ qttop þ qover

X ð7:4Þ
qtop ¼ ci hi þ cw hw þ c0 d þ qttop þ qover
i
2. Load on the bottom slab
Compared with civil air defense shelters, the structural stiffness of soil foundation is
softer. So, assume that the foundation reaction is linear distribution. The load on the
bottom slab can be determined by:
P
P
qbottom ¼ qtop þ þ qtbottom ð7:5Þ
L
P
where P is the weight of walls and columns between the two slabs; L is the width
of the cross section as shown in Fig. 7.8; qtbottom is the special load on the bottom
slab.
3. The load on sidewalls
The load on sidewalls includes lateral pressure, water pressure and special loads.
(1) The lateral soil pressure

!
X u
es ¼ ci hi tan2 45 ð7:6Þ
i
2
where u is internal friction angle of soil layer; ci is the unit weight of soil. If the soil
layer is under the groundwater level, it should take the floating weight.
Fig. 7.8 Calculation diagram of loads
(2) The lateral water pressure

ew ¼ wcw h ð7:7Þ
where w is the reduction factor depending on the soil permeability. For the sand,
w ¼ 1; for the clay, w ¼ 0:7.
So the load on sidewalls can be determined as follows:
qside ¼ es þ ew þ qtside ð7:8Þ
where qtside is the special load on side walls.

In addition to loads described above, there are structure internal forces caused by
temperature variation, nonuniform settlement, and material shrinkage. As it is
difficult to consider these forces, appropriate technology measures are usually taken
in constructions, such as adding some structural reinforcement, setting the expan-
sion joints and settlement joints and so on.
If the underground structures are in the earthquake zone, the seismic load
should be considered.
7.2.2 Internal Force Calculation
The rectangle framework under static loads can be analyzed as the framework on
the elastic foundation. In this section, taking the reaction force on the elastic
foundation as load at the bottom of the framework, the internal force is calculated
on the basis of the general plane frame.
1. Calculation diagram
The framework in the shallow-buried underground structures, such as subway

tunnels, river-crossing tunnels, and antiaircraft tunnels, always has the much shorter
transverse section than the longitudinal section. The load in the longitudinal
direction can be considered as constant. When L=B [ 2 (L and B is longitudinal
length), the longitudinal inhomogeneous deformation can be ignored. Thus, the
structural stress problem is transformed into the plane strain problem. Taking the
load in longitudinal unit length, the structure is calculated as a rectangular frame-
work with a constant section. The calculation diagram is shown in Fig. 7.9a.
In general, top and bottom slabs of the frameworks are much thicker than
partition walls. As the stiffness of the mid-partition wall is relatively small, the
partition wall (midfeather) can be regarded as the two-force bar only under axial
force, i.e., Fig. 7.9b can replace Fig. 7.9a. When the middle parts are the longi-
tudinal beam and the column, the longitudinal beam can be regarded as the internal
support, the column is regarded as the beam support as shown in Fig. 7.9c.
The calculate diagram of the longitudinal beam and column is shown in Fig. 7.10.
It should take the effect of both ends of the wall into account and regard the
framework as the spacial box structure, if its transverse width is close to its lon-
gitudinal length. When the box structure is calculated by the approximate method,
the top slab, the bottom slab, and the sidewall can all be regarded as the elastic
supporting plates.
Fig. 7.9 Calculation diagram of the rectangular framework
Fig. 7.10 The calculation diagram of the longitudinal beam and column
2. Section selection
From structural mechanics, it can be learnt that the size of component section or at
least the ratio of the inertia moment in component section must be known in advance
for the calculation of statically indeterminate structures. However, there is a conflict,
caused by the structural mechanics theory, that the size of section is based on the
internal forces. In order to solve this problem, the section size is always assumed
on the base of previous experience or approximate method of calculation first. Then
check whether the section is appropriate through calculation. If the section is not
appropriate, repeat the process until the section size satisfies the conditoins.
3. Calculation method
Neglecting the line displacement effects, the calculation mode can be simplified as
shown in Fig. 7.11. Then calculate by the moment distribution method.
The closed framework in the formation under static load is generally calculated
on the basis of the framework on the elastic foundation. The elastic foundation can
be considered as the Winkler foundation or the elastic semi-infinite plane.
This section will introduce the calculation method of the closed framework on
the elastic foundation.
The closed framework in the shallow-buried structure, like subway tunnels,
underwater tunnel, and antiaircraft tunnels, generally is plane strain problem as
shown in Fig. 7.12. In the calculation, a unit width is taken along the longitudinal
direction as the calculation unit. The same unit width is intercepted from the
foundation and regarded it as a flexible semi-infinite plane.
The calculation diagram of the framework for the internal force analysis is
shown in Fig. 7.13. The difference from the general plane framework is that the
bottom slab is subjected to the unknown foundation elastic reaction, which makes
the analysis complex.
Fig. 7.11 Simplified

computational model
Fig. 7.12 Calculation diagram of the closed framework
Fig. 7.13 Calculation diagram and basic structure
The internal force calculation of plane frame on elastic foundation still adopts
the force method in structural mechanics. And it needs to consider the bottom slab
as the elastic foundation beam. When the plane closed frame under the uniform load
q, as shown in Fig. 7.13a, is calculated by the force method, the beam can be cut in
the center as shown in Fig. 7.13b and the equations of force method can be listed as
follows.
8
< d11 x1 þ d12 x2 þ d13 x3 þ D1P ¼ 0
>
d21 x1 þ d22 x2 þ d23 x3 þ D2P ¼ 0 ð7:9Þ
>
:
d31 x1 þ d32 x2 þ d33 x3 þ D3P ¼ 0
The coefficient dij refers to the displacement in the xi direction under the excess
force xj ; DiP means the displacement in the xi direction under the external load.
dij ¼ d0ij þ bij

Dij ¼ D0iP þ biq ð7:10Þ
X Z Mi Mj
0
dij ¼ ds
EJ
where d0ij is the displacement of the framework under the unit force (not including
the bottom slab); bij is the displacement of the bottom slab at the incision in the xi
direction calculated by the elastic foundation beam under the unit force xj ; D0iP is the
displacement of the framework under the external load (not including the bottom
slab); biq is the displacement of the bottom at the incision calculated by the elastic
foundation beam under the external load q.
Substitute the obtained coefficients and free terms into the governing equation of
force method to solve the unknown force xi and then draw the internal diagram.
4. Calculation of design moment, shear force, and axial force
(1) Design moment
When solving the statically indeterminate structures according to the calculation

diagram, what can be obtained directly is the internal force at the joint (i.e., the
internal force at the intersection of the component axis). Then the internal force at
any section of the rod can be obtained through the equilibrium condition. As shown
in Fig. 7.14, although the moment at the joint is larger than that in the adjacent
section, the corresponding section height is the height of the sidewalls. Therefore,
the actual unfavorable section (moment is large and the section height is small) is
the section at the edge. The moment of this section is called the design moment.
According to the equilibrium conditions of the isolator, the design moment can be
determined as follows:

b q b 2
Mi ¼ MP QP þ ð7:11Þ
2 2 2
Fig. 7.14 Calculation diagram of design moment
where Mi is the design moment; MP is the calculation moment; QP is the calculation

shear force; b is the width of the support; q is the uniform load on the component.
For the sake of simplicity in design, Formula (7.7) can be approximately
replaced by the following formula:
b
Mi ¼ MP Qp ð7:12Þ
2
(2) Design shear force
For the same reason, the unfavorable section is still at the edge of the support for the
shear (Fig. 7.15). According to the conditions of the isolator, the design shear
force can be calculated from the following formula:
q
Qi ¼ QP b ð7:13Þ
2
Fig. 7.15 Calculation

diagram of design shear
(3) Design axial force
The design axial force caused by static load is calculated by the following formula:
Ni ¼ NP ð7:14Þ
where NP is calculated axial force caused by static load.

The design axial force caused by special load should be calculated by the fol-
lowing formula:
Nit ¼ Npt n ð7:15Þ
where Npt is the calculated axial load caused by special load, n is the reduction
coefficint, which takes 0.3 for the top plate and 0.6 for the bottom plate or the side
wall.
The design axial forces by the above two cases are added to get the final design
axial force of each component.
7.2.3 Anti-floating Checking
In order to ensure that the structure does not float due to buoyancy of groundwater,
anti-floating needs to be checked according to the following formula after the
design is completed:
Qw
K¼ 1:051:10 ð7:16Þ
Qb
where K is the anti-floating safety factor; Qw is the sum of the weight of structure,
equipment and overburden; Qb is the groundwater buoyancy.
When the framework has been constructed but no equipments installation and
backfilling soil, Qw should only take the weight of structures.
7.3 Section Design
The section selection and strength calculation of the underground structures, in

addition to special requirements, are usually based on the relevant specifications for
concrete structures.
Under the special load and other loads, it is necessary to consider the
improvement in the strength of the materials under the dynamic load when checking
the strength of the components through the bending moment and axial force.
In the framework with supports as shown in Fig. 7.16, the section height at the
two ends of the component can use h þ S3 when checking, where h is the section
7.3 Section Design 267
Fig. 7.16 The framework

with supports
height of the component and S is the length of the support parallel to the axis of the
component. Meanwhile, the value of h þ S3 should not exceed section height of the
component h1 .
The components of the underground closed rectangle framework (the top slab,
sidewall, and the bottom slab) are usually regarded as eccentric compression
components when checking.
7.4 Detailing Requirements
7.4.1 Forms of Reinforcement
Figure 7.17 shows the form of reinforcement in the closed framework, which is
consisted of the transverse force reinforcement and the longitudinal distributed
reinforcement. The reinforcement can be made into the welding net for convenient
construction, such as the reinforcement in the subway passageway.
In order to improve the stress conditions of the closed framework, the brackets
are usually arranged at the corners and supported by steel bars. When the load is
large, it is necessary to check the shear strength, and allocate stirrup and
bend reinforcements.
For the sake of improving the anti-shock dynamic performance, it is a suitable
way to allocate the double reinforcement in the sections.
7.4.2 Concrete Cover
The underground structure contacts with soil and water outside and the humidity is
relatively high inside. As a result, the minimum thickness of concrete cover, as
shown in Table 7.2, is generally 5–10 mm thicker than the ground structures.
Fig. 7.17 Form of

reinforcement in the closed
framework
Table 7.2 Minimum thickness of concrete cover

Component name Diameter of reinforcement Thickness of concrete cover
(mm) (mm)
Wall and annular d 10 1520
structure 12 d 14 2025
14 d 20 2530
Beam and column d\32 3035
d 32 d þ ð510Þ
Foundation Cushion 35
70
7.4.3 Transverse Force Reinforcement
The transverse force reinforcement ratio should not less than that shown in
Table 7.3. When calculating the percentage of reinforcement, the area of concrete
should be the calculation area.
The reinforcement ratio of the main reinforcement in flexural components and
large eccentric compression components shall not be larger than 1.2% generally.
And the maximum shall not exceed 1.5% in special cases.
The main reinforcement requires thin and dense. The diameter and type of the
reinforcement should not be too much in a structure for convenient construction.
7.4 Detailing Requirements 269
Table 7.3 Minimum reinforcement ratio (%)

Force types Minimum reinforcement ratio
(%)
Compression Whole longitudinal reinforcement 0.6
components Normal longitudinal 0.2
reinforcement
Tensile reinforcement in flexural components, eccentric Large of 0.2 and 0.45 ft =fy
tension components, axle tension components
Note 1. The longitudinal reinforcement ratio of compression components should be reduced by 0.1
in the table when the reinforcement is HRB400 or RRB400. And when the concrete strength level
is C60 or above, it should increase 0.1
2. The reinforcement in the eccentric tension components should be regarded as the longitudinal
reinforcement at the side of compression components
3. The whole and one side longitudinal reinforcement ratio of compression components and one
side reinforcement ratio of axle tension components and small eccentric tension components
should be calculated through the full cross-sectional area. For the flexural components and big
eccentric tension components, the calculation area should be reduced by the compression flange
area
Usually, the diameter of the main reinforcement shall be less than or equal to
32 mm under normal conditions. For the flexural component, the diameter is more
than or equal to 10–14 mm. And it is more than or equal to 12–16 mm for the
eccentric compression component.
The spacing of the reinforcement should be not more than 200 mm and not less
than 70 mm. But sometimes the spacing of the local reinforcement can be properly
relaxed for convenient construction.
7.4.4 Distributed Reinforcement
Due to the concrete shrinkage, temperature difference, uneven settlement, and other
factors, a certain number of structural reinforcements are required.
The sectional area of the longitudinal distributed reinforcement should not be
less than 10% of the main reinforcement. And the reinforcement ratio of the lon-
gitudinal distributed reinforcement should not be less than 0.15% in the top and
bottom slabs.
The longitudinal distributed reinforcement shall be placed along inner and outer
sides of components around the frameworks, and the spacing is about 100–
300 mm. Besides, the distributed reinforcement at the frame corner should be
properly encrypted and thickened. Its minimum diameter should be around 12–
14 mm, as shown in Fig. 7.18.
Fig. 7.18 Distributed

reinforcement layout
7.4.5 Stirrup
There is no need to place the reinforcement in the underground structures because

the sectional thickness is often large. If the calculation is needed, Table 7.4 and the
following provisions can be referred.
(1) The spacing of the stirrup should not be larger than 15d in the bandaging
skeleton frame and 20d in the welding skeleton frame (d is the minimum
diameter in the compression reinforcement). Meanwhile, the spacing should not
be larger than 400 mm.
(2) In the length of the non-welded joints on the main reinforcements, the spacing
of the stirrup should not be larger than 5d when it is the tensile reinforcement.
While it is the compression reinforcement, the spacing should not be larger than
10d (d is the minimum diameter in the main reinforcement).
(3) The stirrup in the framework is trough with straight hook, which is mostly used
in the top and bottom slab. And the hooks must be arranged on the compression
section. The L-shaped stirrup is normally used in the sidewall.
7.4.6 Rigid Joints
The joint structure at the corner of the framework should not only ensure the
integrity with strength, stiffness and crack resistance, but also be convenient for
construction.
Table 7.4 Maximum spacing of the stirrup (mm)

Sequence Thickness of slab and wall V [ 0:7ft bh0 V 0:7ft bh0
1 150\h 300 150 200
2 300\h 500 200 300
3 500\h 800 250 350
4 h [ 800 300 400
Fig. 7.19 Rigid joint structural diagram
If the corner is a right angle, the stress concentration will be serious, as shown in
Fig. 7.19a. To solve this problem, an inclined support can be added at the joint, as
shown in Fig. 7.19b. The ratio of the vertical length to the horizontal length is
preferable 1/3 and the size of the inclined support is dependent on the span of the
frameworks.
The layout principle of reinforcements at the frame joint is as follows:
(1) Along the inner side of the joints, the tension reinforcement in the horizontal
component cannot be bent freely (Fig. 7.20a). The straight reinforcement
should be placed along the inclined support (Fig. 7.20b) or just be welded on
the transverse welding of the sidewall (Fig. 7.20b).
(2) The bending radius of the reinforcement, which is placed along the outside of
frame corner, must be more than 10d (d is the diameter of the reinforcement
used), as shown in Fig. 7.20b.
Fig. 7.20 Reinforcement layout at the frame Joint

Fig. 7.21 The stirrup at the

corner
(3) If there is no connection between the inside and outside reinforcements when
the tension occurs at the inner of the corner, the concrete will spall easily. So, it
is better to placed enough stirrups at the corner as shown in Fig. 7.21.
7.4.7 Setting of Deformation Joints
In order to prevent the structural damage caused by uneven settlement, temperature

changes, and concrete shrinkage, it is necessary to set deformation joints at regular
intervals longitudinally. And the spacing of deformation joints is about 30 m.
The deformation joint is divided into two types: one is to prevent the structural
damage caused by temperature changes or concrete shrinkage, called expansion
joints; another is to prevent the uneven settlement caused by different structures (or
adjacent parts with different loads) and bearing capacities of foundations, called the
settlement joint.
For the sake of expansion and settlement, the width of deformation joints is
generally between 20 and 30 mm. And joints are filled with elastic and waterproof
materials.
There are three main categories of structural way for deformation: caulking,
attached, embedded.
1. Caulking
Figure 7.22 shows the caulking deformation joint, in which the materials are
asphalt sandy slab, asphalt slab, and so on. The inner groove of the structure is filled
with asphalt, epoxy resin, or coal tar to reduce the possibility of seepage and
prevent the gap between the slab and structures. Besides, the waterproof layer can
also be attached to the exterior of the structure as shown in Fig. 7.22b.
Fig. 7.22 Caulking deformation joint
The advantages of the caulking deformation joint are economic and convenient
for construction, but the water resistance in pressurized water is poor. So, it is only
suitable for areas with less groundwater or engineering with low waterproof
requirements.
2. Attached
Figure 7.23 shows the attached deformation joint, which is fixing rubber plates and
bolts on the structure.
This method is also called the removable deformation joint. The rubber plate can
be disassembled after aging, but it is not easy to make rubber plates and steel plates
close contacted. This joint can be used in general underground engineering.
3. Embedded
Figure 7.24 shows the embedded deformation joint. When pouring concrete, the
rubber or plastic water stop belt are put in the structure. The advantage is that the
water resistance is reliable, but there is still a problem in the rubber aging. This
method is commonly used in large projects.
Fig. 7.23 Attached deformation joint

Fig. 7.24 Embedded deformation joint
The copper plate can be set at the middle of place, where there is water pressure
and the surface temperature is higher than 50 °C. But the cost is high, and the
construction diagram is shown in Fig. 7.25.
While the waterproof requirement and water pressure are high, the combination
of above three methods can be adopted. This method has the great waterproof
performance, but takes many construction procedures and costs high.
7.5 Calculation of Closed Framework on Elastic

Foundation
For the mechanical solution of plane framework, when the ratio of longitudinal length
to span is more than or equal to 2, it becomes the plane strain problem. Take 1 m
wide unit along the longitudinal direction to calculate. While the structure span is
large and the foundation is hard, the closed framework can be regarded as the bottom
slab and the foundation can be calculated as elastic semi-infinite plane framework.
This assumption is called the elastic foundation of the frame, the mechanical solution
Fig. 7.25 Special deformation joint

7.5 Calculation of Closed Framework on Elastic Foundation 275
is better than the solution calculated with the uniform distribution of reaction to
reflect the actual stress conditions.
7.5.1 Framework Under Symmetrical Loading
1. Single-storey single-span symmetric framework
The single-storey single-span framework is shown in Fig. 7.26a. The mechanical

solution of the assumed framework on the elastic foundation can be set up by the
calculation diagram shown in Fig. 7.26b. The connection between the superstruc-
ture and the bottom slab is regarded as hinged connection. Applying an unknown
force on the framework, the original closed framework becomes double span. The
following force method equation is listed based on the continuous deformation
conditions.
d11 x1 þ D1P ¼ 0 ð7:17Þ
d11 and D1P in Formula (7.17) can be calculated. As a framework under the
symmetrical loading, it is convenient to calculate the angular displacement at the
point A on the framework and then on the bottom slab. The algebraic sum of two
angular displacements is equal to D1P .
The calculation process of the single-storey single-span framework includes the
following steps.
(1) Force method equation
The closed framework is divided into the framework with two hinges and the
foundation beam, and the force method equation is listed according to the con-
tinuous deformation conditions.
(2) Solution of free terms and coefficients
Solving the angular displacement and strain on the framework with two hinges and
the foundation beam can be based on the formulas shown in Table 7.5, which can
simplify the calculation procedure.
Fig. 7.26 Single-span symmetric framework

Table 7.5 Formulas for the framework with two hinges

Conditions Diagrams Calculation formulas of displacement and angular
displacement

(1) Symmetry MBA
F
þ MBC
F FK
2 þ K2 MAB
1
hA ¼ 6EK1 þ 4EK2
h i
(2) Dissymmetry 3K2 1 6K2 1
hA ¼ 3K1 þ 2 hP MBC
F
þ K1 þ 1 M 6EK 2
q0 3
(3) h¼ l þ 6lx2 þ 4x3
24EI
q0 3
y¼ l x 2lx3 þ x4
24EI
(4) Left side

h i
P b 2 2 bx2
h ¼ EI 6l ðl b Þ 2l
h i
P bx 2 2 bx3
y ¼ EI 6l ðl b Þ 2l
Right side
h 2
i
P ðxaÞ 2
h ¼ EI 2 þ 6lb ðl2 b2 Þ bx2l
h 3
i
P ðxaÞ bx3
y ¼ EI 6 þ bx 2 2
6l ðl b Þ 6l
(5) Left side

h i
m xl2 l a2
h ¼ EI 2l a þ 3 þ 2l
h i
m x3 lx a2 x
y ¼ EI 6l ax þ 3 þ 2l
Right side
h i
m xl2 l a2
h ¼ EI 2l x þ 3 þ 2l
h i
m x3 x2 lx a2 x a2
y ¼ EI 6l 2 þ 3 þ 2l 2

(6) m x2 l
h¼ xþ
EI 2l 3

m x3 x2 lx
y¼ þ
6EI 6l 2 3

(7) m l xl2
h¼
EI 6 2l

m x3
y¼ lx
6EI l
(continued)

Conditions Diagrams Calculation formulas of displacement and angular
displacement
(8) hF ¼ mh
EI (angular displacement at the lower end)
2
yF ¼ mh
2EI (horizontal displacement at the lower end)
2
(9) hF ¼ Ph
2EI (angular displacement at the lower end)
3
yF ¼ Ph
3EI (horizontal displacement at the lower end)
Explanation The angular displacement h and the fixed-end moment M F take the clockwise
as positive. K ¼ Il
Formula in Condition (1) is used in the symmetry condition for solving hA
Formula in Conditon (1) is used in the symmetry condition for solving hA
and MBA
F
must be equal to zero
To solve the angular displacement at the section
F shown in Figure A, calculate the moment and
then take the BC as the simple supported beam
shown in Figure B
Follow Conditions (4)–(7) to solve the angular
displacement hE
Follow Condition (3) to get hF
The finally angular displacement at the section
F can be solved as follows: h ¼ hE þ hF
(3) Internal force diagram of the framework
The moment on the framework with two hinges can be solved through the moment
distribution method. And the internal force on the foundation and the subgrade
reaction can be obtained by the look-up tables.
2. Two-span symmetric framework
To solve the internal force in the two-span framework shown in Fig. 7.27a, the
basic structure diagram is conducted as shown in Fig. 7.27b. Add the unknown
force x1 on the hinged joints A and D. And then the middle rod is disconnected at
point F with adding the unknown force x2 . As a result of symmetry, this rod is only
under axial force. According to the continuous deformation conditions of each
section, the force method equations can be listed as follows:
(
d11 X1 þ d12 X2 þ D1P ¼ 0
ð7:18Þ
d21 X1 þ d22 X2 þ D2P ¼ 0
Fig. 7.27 Two-span symmetric framework
Free terms and coefficients in Formula (7.18) can be solved as follows:

D1P is algebraic sum of two angular displacements at the point A between the
framework and foundation beam under external loads. D2P is a half of algebraic sum
of the vertical displacements at the point F and the midpoint of the foundation
beam under external loads, shown in Fig. 7.27c.
d11 is the algebraic sum of the angular displacements at the point A between the
framework and foundation beam under force x1=1, shown in Fig. 7.27d. d22 is a
half of algebraic sum of the vertical displacements at the point F and the midpoint
of the foundation beam under force x2=1, shown in Fig. 7.27e. d12 is the algebraic
sum of the angular displacements at the point A between the framework and the
foundation beam under force x2=1, shown in Fig. 7.27e. d21 is a half of algebraic
sum of the vertical displacements at the point F and the midpoint of the foundation
beam under force x1=1.
From the displacement reciprocal theorem, there is
d12 ¼ d21 ð7:19Þ
The above coefficients and free terms of the frameworks and foundation beams can
be calculated by relevant tables. Calculation of the framework can refer to Table 7.5.
3. Three-span symmetric framework
Figure 7.28a is a three-span symmetric framework, and Fig. 7.28b is the essential
structure plan. Add the unknown force x1 on the hinged joints A and D. Two middle
rods is cut off at the points H and F, which are added the unknown force x2 .
According to the continuous deformation conditions of each section, the force
method equations can be listed as follows:
Fig. 7.28 Three-span symmetric framework

8
>
> d11 x1 þ d12 x2 þ d13 x3 þ d14 x4 þ D1P ¼0
<
d21 x1 þ d22 x2 þ d23 x3 þ d24 x4 þ D2P ¼0
ð7:20Þ
>
> d x þ d32 x2 þ d33 x3 þ d34 x4 þ D3P ¼0
: 31 1
d41 x1 þ d42 x2 þ d43 x3 þ d44 x4 þ D4P ¼0
Free terms and coefficients in Formula (7.20) can be solved as follows:

D1P is the relative angular displacement between the framework and foundation
beam at the point A; D2P is the relative vertical displacement at the point F; D3P is
the relative angular train at the point F; D4P is the relative horizontal displacement at
the point F, shown in Fig. 7.28a.
d11 is the relative angular displacement between the framework and foundation
beam at the point A; d21 is the relative vertical displacement at the point F; d31 is the
relative angular train at the point F; d41 is the relative horizontal displacement at the
point F, shown in Fig. 7.28b. Similar to the above principle, we can know the
meaning of d in Fig. 7.28c–e.
From the displacement reciprocal theorem, there are
d12 ¼ d21 ; d13 ¼ d31 ; d14 ¼ d41 ; d23 ¼ d32 ; d24 ¼ d42 ; d43 ¼ d34
In the underground construction, the stiffness of the middle vertical rod is much
smaller than the sidewall. So, we can assume that there no moment and shear
force in the middle vertical rod. So, the basic structure can be simplified that the
middle vertical rod is hinged at the ends.
7.5.2 Framework Under Dissymmetrical Loading
For the symmetrical framework under dissymmetrical loading, the operation steps
are same as the above symmetrical situation. It is worth noting that the unknown
force in the basic structure should be dissymmetrical. Besides, free terms and
coefficients in formulas can be got from the table.
7.6 Example
Example 7.1
A single-span closed reinforced concrete frame channel is placed on an elastic
foundation and the geometric dimensions are shown in Fig. 3.29a. The following
conditions are given: the uniform load on the beam is 20 kN/m, elastic modulus of
materials E ¼ 3:0 104 MPa, Poisson’s ratio l ¼ 0:2 and deformation modulus of
foundation E0 ¼ 80 MPa, Poisson’s ratio l0 ¼ 0:3. Assuming that it is a plane
strain problem, please draw the moment diagram of the framework.
First Solution
Based on the basic structure shown in Fig. 7.29b, it can be known that x3 ¼ 0 for
the symmetrical structure. The governing equations are expressed as follows:

x1 d11 þ x2 d12 þ D1P ¼ 0
x1 d21 þ x2 d22 þ D2P ¼ 0
First, solve coefficients dij and free terms DiP . As a result of the equal section of
the components, the diagram multiplication can be used.
2 3 3 18 0 ð3 þ 2Þ 1 10
d011 ¼ 2 3 ¼ ; d22 ¼ 2 1 ¼
3 2EI EI EI EI
0 1 40 3 360 0 40 293:333
D1P ¼ 2 3 ¼ ; D2P ¼ 2 2 1 40 3 1 ¼
2 EI EI 3 EI
Then, solve bij and biq . It is necessary to solve the flexibility index t in the elastic
foundation.
3
E0 ð1 l2 Þ l 3 80 ð1 0:22 Þ 2:0
t ¼ 10 ¼ 10 ffi1
E 1 l20 h 3:0 104 ð1 0:32 Þ 0:6
Fig. 7.29 Calculation diagram and basic structure

7.6 Example 281
Under the unit force x1 ¼ 1, the moment at the point A mA ¼ 3 kN m

(clockwise). According to the elastic foundation theory, hA can be calculated by
following formula when a ¼ 1 and f ¼ 1.
ml
hA1 ¼ hAm
EI
where m are two symmetric moments on the beam; hAm is the coefficient of angular
displacement in the elastic foundation beam under the symmetric moment.
Substituting values, there are
3 2 5:712
hA1 ¼ 0:952 ¼ ðclockwiseÞ
EI EI
1 2 1:904
hA2 ¼ 0:952 ¼ ðclockwiseÞ
EI EI
Under the unit force x1 ¼ 1, the relative line displacement along the x1 direction
at the framework incision is:
34:272
b11 ¼ 2 3 hA1 ¼
EI
Under x2 ¼ 1, the relative line displacement along the x1 direction at the
framework incision is:
1 11:424
b12 ¼ 2 1 hA1 ¼ 2 1 5:712 ¼
EI EI
Similarly, under x2 ¼ 1, the relative line displacement along the x2 direction at
the framework incision is:
1:904 3:808
b22 ¼ 2 1 hA2 ¼ 2 ¼
EI EI
Under x1 ¼ 1, the relative line displacement along the x2 direction at the
framework incision is:
1:904 11:424
b21 ¼ 2 3 hA2 ¼ 6 ¼
EI EI
As shown in Fig. 7.30, under the external loads, the deformation of the elastic
foundation beam will cause displacements along x1 and x2 directions at the
framework incision. The effects of the load R and moment M at the two ends of the
foundation beam should be considered separately when the calculation is carried
out. Calculating the angular displacement at the point A caused by the symmetrical
moments is the same as the above. The angular displacement caused by the
symmetric reaction forces R is:
Fig. 7.30 Moment diagram under different forces
Rl2
hAR ¼ hAR
EI
where R is the value of the symmetric concentrated forces on the beam, taking the
downward direction as positive; hAR is the calculation coefficient of the elastic
foundation beam under the symmetric concentrated forces.
ql
RA ¼ ¼ 40 kN, mA ¼ 40 kN m,
2
40 22 40:32 40 2 76:16
hAR ¼ 0:252 ¼ ; hAm ¼ 0:952 ¼ :
EI EI EI EI
The relative displacements along the directions x1 and x2 caused by the defor-
mation of elastic foundation beam under the external force q are:

40:32 76:16 215:04
b1q ¼ 2 ðhAR þ hAM Þ 3 ¼ 6 ¼
EI EI EI
b1q 215:04 71:68
b2q ¼ ¼ ¼
h 3EI EI
Sum up the corresponding values obtained above, and the coefficients and free
terms are obtained as follows:
18 34:272 52:272 9 11:424 20:424

d11 ¼ d011 þ b11 ¼ þ ¼ ; d21 ¼ d021 þ b21 ¼ þ ¼
EI EI EI EI EI EI
0 10 3:808 13:808 0 360 215:04 575:04
d22 ¼ d22 þ b22 ¼ þ ¼ ; D1P ¼ D1q þ b1q ¼ ¼
EI EI EI EI EI EI
0 293:333 71:68 365:013
D2P ¼ D2q þ b2q ¼ ¼
EI EI EI
Substituting the above values into the governing equations gives

7.6 Example 283
Fig. 7.31 Moment diagram

52:272x1 þ 20:424x2 575:04 ¼ 0
20:424x1 þ 13:808x2 365:013 ¼ 0
So, x1 ¼ 1:593 kN, x2 ¼ 24:079 kN m:

With the values of x1 and x2 , the moment of the bottom slab can be calculated by
the method called the elastic foundation beam, as shown in Fig. 7.31.
Second solution
Take the statically indeterminate upper rigid framework and the bottom slab as a
basic structure for the same problem. Separate the upper rigid frame and the bottom
slab. Then, based on the same reaction force at the incision (Fig. 7.32b) or
deformation coordination (Fig. 7.32c), the unknown displacements or forces at the
incision can be solved and the internal force of the framework and bottom slab by
the displacement or force method. The advantage of this basic structure is that the
existing formulas or solved the related constants can be used to simplify the
calculation.
According to the basic structure as shown in Fig. 7.33b, apply the unknown
force x1 on the symmetrical structure and the governing equation is:
Fig. 7.32 Calculation diagram of the framework

Fig. 7.33 Basic structure
d11 x1 þ D1P ¼ 0
D1P : for the upper rigid framework, the angular displacement h0Ap at point A can
be calculated based on Table 7.5. As the end moments MAB F
¼ MBAF
¼ 0 and
2
F
MBC ¼ qð12
2lÞ
¼ 26:67 kN m, h0Ap ¼ 6EI26:67
þ 4EI
¼ 8:89
EI ðclockwiseÞ:
3 4
For the bottom slab,
3
E0 ð1 l2 Þ l 3 80 ð1 0:22 Þ 2:0
t ¼ 10 ¼ 10 ffi1
E 1 l20 h 3:0 104 ð1 0:32 Þ 0:6
Rl2 40 22 40:32
h00Ap ¼ hAR ¼ 0:252 ¼ ðclockwiseÞ
EI EI EI
8:89 40:32 31:43

So D1P ¼ h0Ap þ h00Ap ¼ ¼ :
EI EI EI
d11 : for the upper framework, as MAB

F
¼ 1; MBA
F
¼ 0; MBC
F
¼ 0, the formula of
the
angular displacement
from Condition (1) in Table 7.5 is:
K2
K1 ¼ EI4 EI3 ¼ 0:75 .
ð2 þ 0:75Þð1Þ 0:917
h0A1 ¼ ¼ ðclockwiseÞ
6E 3I þ 4E 4I EI
For the bottom slab, when t ¼ 1; a ¼ 1 and f ¼ 1, it can be obtained from the
table of elastic foundation beam that hAm ¼ 0:952 and then h00A1 ¼ 0:952
12 1:904
EI ¼ EI (anti-clockwise). So,
0:917 1:904 2:821

d11 ¼ h0A1 þ h00A1 ¼ þ ¼ ;
EI EI EI
7.6 Example 285
Fig. 7.34 Loads and calculation diagram
Substituting the above values into the governing equation gives:

x1 ¼ 31:43
2:821 ¼ 11:14:
Calculate the moment of two hinged rigid frame under the even load q ¼
20 kN=m2 and the moment x1 ¼ 11:14 kN m. Moreover, the moment of the
bottom slab can be obtained according to the reaction and moment at the points
A and D. The final result is the same as the first solution.
Example 7.2
A double-span symmetrical framework is shown in Fig. 7.34a, as well as the
geometric size and loads. The following conditions are given: the elastic modulus
of materials in the bottom slab, of which the thickness is 0.5 m E ¼ 2 104 MPa,
elasticity modulus of foundation E0 ¼ 3:7 MPa. Assuming that it is a plane strain
problem, please draw the moment diagram of the framework.
Plot the mechanical diagram as shown in Fig. 7.34b based on Fig. 7.34a.
Assuming that rigid joints at points A and D are hinged, cut off the middle vertical
rod at the bottom and apply the unknown forces x1 and x2 . According to the
continuous deformation condition, the equation of column force method can be
expressed as follows:
d11 x1 þ d12 x2 þ D1P ¼ 0

d21 x1 þ d22 x2 þ D2P ¼ 0
(1) D1P
From Fig. 7.34c, there are

1 2 1
MBC
F
¼ ql ¼ 48:3 8:22 ¼ 270:64 kN m ðclockwiseÞ
12 12
1 1 1
MBA
F
¼ q1 l2 q2 l2 ¼ 16 4:732
12 30 12
1
ð83:6 16Þ 4:732 ¼ 80:24 kN m ðanti-clockwiseÞ
30
1 1 1
MAB
F
¼ q1 l 2 þ q2 l2 ¼ 16 4:732
12 20 12
1
þ ð83:6 16Þ 4:732 ¼ 105:45 kN m ðclockwiseÞ
20
According to Condition (1) in Table 7.5, there is
80:24 þ 270:64 ð2 þ 2:6I 4:73

8:2 I Þ 105:45 70:43
h0A ¼ I 2:6I
¼ ðanti-clockwiseÞ
6E 4:73 þ 4E 8:2 EI
The angular displacement at the end ponit A of the foundation beam can be
calculated as follows:
First, it is necessary to solve the flexibility index t. Without considering the
effects of v and v0 (Poisson ratio of the foundation beam and foundation), an
approximate formula can be expressed as.
3
E0 l 3 3700 8:2
t ¼ 10 ¼ 10 7
¼ 1:02 ffi 1
E h 2 10 0:5
According to Fig. 7.34c, the angular displacement h00A of the foundation beam
with a ¼ f ¼ 1can be obtained as
198:03 4:12 430:19

h00A ¼ 0:252 ¼ ðclockwiseÞ
1:95EI EI
Then,
70:43 430:19 500:62

D1P ¼ ¼
EI EI
(2) D2P
The vertical displacement D0F at the point F can be solved based on Fig. 7.34c. The
moment diagram is shown in Fig. 7.35a. Without considering the compression of
the montant, the vertical displacement at the point F is equal to which at the point
E. So, the rod BC shown in Fig. 7.34a can be regarded as a simply supported beam.
7.6 Example 287
Fig. 7.35 Moment diagram ðkN mÞ
According to the formula of beam deflection curve in material mechanics, the

vertical displacement at the point F can be obtained as follows:
5ql4 Ml2 5 48:3 8:24 201:81 8:22 441:23

D0F ¼ 2 ¼ 2 ¼ ðdownÞ
384 2:6EI 16 2:6EI 384 2:6EI 16 2:6EI EI
According to Fig. 7.34c, the vertical displacement at the middle point of the
foundation beam can be solved. When t ¼ 1; a ¼ 1 and f ¼ 1, there is:

0:252
D00F ¼ 0:036 þ 0:071 þ 0:105 þ 0:137 þ 0:167 þ 0:194 þ 0:217 þ 0:235 þ 0:247 þ
2
198:03 4:12 4:1 1074:38
¼ ðupÞ
1:95EI 10 EI
As a result,
D0F þ D00F 441:23 þ 1106:55 757:81

D2P ¼ ¼ ¼
2 2EI EI
(3) d11
The angular displacement as shown in Fig. 7.34d can be calculated based on

Condition (1) in Table 7.5. MBA
F
¼ 0; MBC
F
¼ 0; MAB
F
¼ 1, so

2 þ 2:6I
8:2 I
4:73
ð1Þ 1:38
h0A ¼ I
¼ ðclockwiseÞ
6E 4:73 þ 4E 2:6I
8:2
EI
In Fig. 7.34d, the angular displacement at the end A of foundation beam can be
obtained as.
1 4:1 2:002
h00A ¼ 0:952 ¼ ðanti-clockwiseÞ
1:95EI EI
Then,
1:38 2:002 3:382
d11 ¼ h0A þ h00A ¼ þ ¼
EI EI EI
(4) d22
Based on Figs. 7.34e and 7.35b, the vertical displacement can be obtained as
follows:
Pl3 Ml2 1 8:23 0:513 8:22

D0F ¼ 2 ¼ 2
48 2:6EI 16 2:6EI 48 2:6EI 16 2:6EI
2:76
¼ ðupÞ
EI
Based on Fig. 7.34e, the vertical displacement at the middle point of the foun-
dation beam can be obtained as

0:252
D00F ¼ 0:036 þ 0:071 þ 0:105 þ 0:137 þ 0:167 þ 0:194 þ 0:217 þ 0:235 þ 0:247 þ
2

0:5 4:12
0:41 þ ½ð0:053 0:098 0:134 0:162 0:184 0:199 0:209
1:95EI

0:218 0:5 4:12 5:505
0:215 0:217 Þ 0:41 ¼ ðdownÞ
2 1:95EI EI
Then,
D0F þ D00F 2:76 þ 5:505 4:133
d22 ¼ ¼ ¼
2 2EI EI
(5) d12 and d21
The angular displacement at the end A of the foundation beam with MAB
F
¼ MBA
F
¼
Pl 18:2
0 and MBC ¼ 8 ¼ 8 ¼ 1:025 can be obtained as
F
1:025 0:404
h0A ¼ I
¼ ðanti-clockwiseÞ
6E 4:73 þ 4E 2:6I
8:2
EI
0:5 4:12 0:5 4:12 2:026
h00A ¼ 0:252 þ ð0:218Þ ¼ ðanti-clockwiseÞ
1:95EI 1:95EI EI
So,
2:026 0:404 1:622

d12 ¼ h0A þ h00A ¼ ¼
EI EI
7.6 Example 289
Fig. 7.36 Final moment

diagram ðkN mÞ
From the displacement reciprocal theorem, there is
d12 ¼ d21 :
(6) The unknown force x1 and x2
Substituting all coefficients and free terms obtained above into the equation of force
method gives
3:382 1:622 500:62 1:622 4:133 757:81

x1 þ x2 ¼ 0; x1 þ x2 ¼0
EI EI EI EI EI EI
So,
x1 ¼ 74:03 kN m, x2 ¼ 153:83 kN
(7) Moment
The final moment shown in Fig. 7.36 can be obtained by the superimposition of
Figs. 7.35a, c multiplied by x1 and Fig. 7.35b multiplied by x2 .
7.7 Summary
(1) The shallow-buried structure is the underground structure with thin overbur-
den or with the thickness of covering layer in soft soil layer less than the
structure size. So, it cannot meet the conditions of forming the pressure arch
(Hsoil ð22:5Þh1 , h1 is the height of the pressure arch). The forms can be
generally divided into three types as follows: the straight wall and arch lin-
ing structure, the rectangle framework, and the beam–slab structure. And the
above forms can be used in any combination.
(2) The design of the rectangle framework contains load calculation, internal force
calculation, and section design. The retailing requirements include form of
reinforcement, cover concrete, transverse force reinforcement, distributed
reinforcement, stirrup, and rigid joint.
(3) When the ratio of longitudinal length to span is more than or equal to 2,
the framework calculation can be regarded as the plane strain problem. Take
1 m wide unit along the longitudinal direction to calculate. While the structure
span is large and the foundation is hard, the closed framework can be regarded
as the bottom slab and the foundation can be calculated as elastic semi-infinite
plane framework.
Problems
7.1 Please list several normal shallow-buried structures and describe their
characteristics.
7.2 Please describe the calculation principle of the rectangle framework and how to
make sure the calculation diagram.
7.3 Please describe the application of shallow-buried structures.
7.4 Please describe how to consider the stratum load in shallow-buried structures.
7.5 Please describe the differences between shallow-buried structures with elastic
foundation and without elastic foundation.
7.6 Please describe the differences between the design and calculating moment of
joints and how to calculate the design moment of joints.
7.7 Please describe the assumptions of the foundation reactionof the closed
framework.
7.8 Please describe the conditions that the foundation can be regarded as a
semi-infinite elastic plane.
Design of Attached Underground
Structures 8
8.1 Introduction
As shown in Fig. 8.1, the attached underground structure refers to the basement built
under a sturdy building according to certain protection requirements, which is also
called air defense basement or accessorily built air raid basement. It corresponds to
the independently built underground civil air defense work (single building type).
In addition, the underground structure formed by the construction of the ground
building above the built excavation work or the excavation work in the existing
ground building is also called the attached underground structure. Nowadays, a
large number of attached underground construction structures in engineering
practice are basements designed and constructed at the same time with upper
buildings. They generally adopt the combination of peacetime and wartime, which
can be used as underground parking lots, markets, equipment rooms, and can also
be reserved for civil air defense when combined with air defense.
After the Second World War, many countries attached great importance to the
construction of air defense basement. Some countries stipulate that the basements of
new houses and public buildings should be built in accordance with the population
quota, which should be designed, constructed, and completed by the state in
peacetime. Some countries provide financial subsidies to encourage the private
construction of air defense basements under residential buildings. In China, air
defense basement is the focus of civil defense fortifications. The National Civil Air
Defense Department stipulates: Newly built civil buildings with 10 or more floors
or with a depth of foundation of 3 m or more, and residential buildings in major air
defense cities (including overall demolition), the air defense basements with
specified resistance level should be built according to the ground floor area; with the
exception of civil buildings in development zones, industrial parks, bonded areas,
and important economic areas, the air defense basements with specified resistance
level should be built according to the determined proportion of the total floor area of
one-time planning.
https://doi.org/10.1007/978-981-13-7732-7_8
292 8 Design of Attached Underground Structures
Fig. 8.1 Attached underground structure
According to the technical requirements of civil air defense tactics, the classi-
fications of air defense basements are as follows.
1. Resistance classification
Air defense basement resistance class: 4, 4B, 5, 6, 6B.
The resistance level of the civil air defense project is mainly used to reflect the
ability of resisting the air attack of the enemy. Its nature is similar to the seismic
intensity of the ground buildings, which is a reflection of national fortification
ability. For the nuclear weapons, the resistance level is classified according to the
magnitude of the ground overpressure of the nuclear shock wave. For the con-
ventional weapons, the resistance level is classified according to the blast
destructive effect of the charge weight. There is a certain relationship between the
resistance level of the civil defense fortifications and their building types, but it is
not directly related. Although there is some connection between the using function
and resistance level, there is no one-to-one correspondence between them. Air
defense basement resistance level is 4, 4B, 5, 6, 6B. For the personnel shelter
engineering, the resistance level of nuclear weapons can be 5, 6 or 6B.
2. Fortified weapons classification

① Conventional weapons: 5, 6 (Class B air defense basement);
② Nuclear weapons: 4, 4B, 5, 6, 6B (Class A air defense basement).
3. Chemical defense classification
The chemical defense classification is based on the different protection standards

and protection requirements of chemical weapons for civil air defense projects. The
defense level also reflects the defensive capability against the biological weapons
and the radioactive contamination. The level of the chemical defense is determined
by the function of the civil air defense, and it is not directly related to the resistance
level. The current codes include the protection standards and requirements of the
chemical defense grades of A, B, C and D.
Because the attached underground structure is easy to achieve the combination
of peacetime and warfare, it is a promising type of urban civil air defense con-
struction, and it is convenient to provide constant humidity, constant temperature,
quiet and clean conditions, and modern urban construction in the future. It will play
its full role in the future modern urban construction. Therefore, in the following
cases, priority should be given to the construction of the attached underground
structure: ① buildings with large amount of fill in low-lying areas; ② buildings
with deep foundations; ③ new high-rise buildings; and ④ plain area buildings with
high population and lack of vacant land.
8.1.1 Characteristics of Attached Underground Structures
The attached underground structure is a part of the whole building and a form of
protective structure, which is different from the general basement structure and the
single underground structure. Because the air defense basement is attached to the
ground building, it becomes a part of the ground building and can be constructed in
conjunction with the basis construction.
Comparing with the basic construction of the air defense basement and the single
building, it has the following characteristics:
① Save land and investment;

② Easy to combine peacetime with wartime, easy to transfer personnel and
equipment to underground structure rapidly in wartime;
③ Enhance the seismic resistance of superstructures;
④ The upper building has a certain protective effect against the nuclear shock
wave, optical radiation, initial nuclear radiation and artillery bombs during
wartime;
⑤ The cost of the attached underground structure is lower than that of the
single-built air defense basement;
⑥ Combined with the basis construction for simultaneous construction, it is
convenient for construction management and operation maintenance;
⑦ Long construction period, large amount of earthwork, complicated structure,
affecting the construction speed of the ground buildings;
⑧ Fire protection design needs high requirements. It is easy to cause blockage
of the passageway, fire and other unfavorable factors when the ground
building is damaged.
In order to meet this qualification, the ground building (whether multi-storey or

single storey) must meet certain requirements in terms of out-wall materials,
opening ratio and roof structure. The following two conditions must be met:
① When the upper structure is a multi-storey building, the lower out-wall is

masonry or other types of walls with strength not less than that of the ordinary
masonry, and the area of the door and window holes on any out-wall is not
more than half of the wall area;
② When the upper structure is a single-storey building, the proportion of the
materials and the openings used in the out-walls should meet the above
requirements, and the roof shall be of the reinforced concrete structure.
The difference between the air defense basement and the ordinary basement is
that the former should consider the role of weapons specified in wartime (such as
nuclear explosion dynamic load), and it should have a specified level of defense
which can ensure the safety of the hidden personnel, while the ordinary basement
must be transformed to achieve the corresponding protection capacity in wartime.
Comparing with the ordinary basement, the air defense basement has the fol-
lowing characteristics:
1. Bearing explosive dynamic load

The air defense basement should be able to withstand the dynamic load of con-
ventional weapons or nuclear weapons explosion. The explosion loads of con-
ventional weapons and nuclear weapons belong to accidental loads, which have the
characteristics of overpressure, instantaneously increase from zero to peak value,
short and continuous attenuation, and one-off impulse loads. The resistance level of
the air defense basement is mainly used to reflect the ability of resisting the air
attack. The resistance level of nuclear weapons is classified according to the size of
the ground overpressure of the nuclear explosion shock wave. For conventional
weapons, the resistance level is classified according to its explosive damage effect.
2. Generating vibrational motion

The basic feature of the structure stress under explosive load is the generation of the
acceleration, which forces the structure to change from stationary to moving. This
kind of motion has the characteristics of reciprocating and vibration, and its
vibration gradually attenuates under the combined action of the damping force. The
vibration of the structure is the forced vibration during the shock wave action time,
and it becomes the free vibration after the shock wave disappearing. The time of the
shock wave of the nuclear weapon explosion is measured in seconds. The maxi-
mum dynamic displacement occurs in the forced vibration stage. While the time of
the conventional weapon explosion shock wave is measured in milliseconds. The
maximum dynamic displacement generally occurs in the free vibration stage.
3. Improvement of the material strength

Under the action of the explosive dynamic load, the structure of the air defense
basement is subjected to rapid deformation in milliseconds, which is measured in
milliseconds (about 10–100 ms) from force to deformation. Experiments show that
under this kind of load, the strength of materials can generally be increased by 20–
40%, even if the static load stress has reached 65–70% of the yield strength. And
then, the dynamic load is added, and at this time, the increase of the material
strength is the same as that under the instantaneous dynamic load alone, without
affecting the ratio of material strength enhancement. This is a favorable factor for
the air defense basement. Under the action of the explosive dynamic load, the
material strength is taken as the design value of the material dynamic strength,
which is the characteristic of the air defense basement structure design.
4. Reduction of the structural reliability index

The air defense basement structure mainly bears explosive dynamic load, which is a
kind of accidental load. The structure is designed according to the accidental
combination of the load effects or takes protective measures to ensure that the main
bearing structure does not lose its bearing capacity due to the specified accidental
events. The civil air load is much larger than the normal load, and the explosive
dynamic load of the structure is determined based on the resistance requirements
that must be achieved by the project. When calculating the bearing capacity
according to the maximum overpressure value of the ground shock wave corre-
sponding to the protection level specified by the state, only one action is considered,
and overload is not considered. In general, the partial coefficient of the civil air
defense dynamic load is 1.0, which can achieve the resistance that the air defense
basement must meet. Considering both safety and economy, when checking the
bearing capacity of the structure by accidental load combination, the reliability
index value adopted is allowed to be lower than that of the basic combination.
When the load of the air defense basement structure members is controlled by the
civil air defense load, the reliability index of the ultimate limit state is lower than
that of the general industrial and civil building structure members.
5. Design according to working stage of elastic–plastic state

Under the action of the explosive dynamic load, the strain of the structural members
usually increases to the maximum with the time increasing, and then decreases.
Therefore, the plastic deformation of structural members can be considered to
absorb the energy of the explosive dynamic load, and the structural members can be
allowed to enter the stage of elastic–plastic work under the action of explosive
dynamic load. Under the action of the explosive dynamic load, even if the structural
member enters the plastic yield state, as long as the deformation does not exceed the
maximum allowable deformation, after the instantaneous dynamic load disappears,
the vibration deformation of the structural member decreases continuously, and
finally it can reach a static equilibrium state due to the comprehensive effect of the
damping force. At this time, although there are some residual deformations in the
structural components, they still have enough bearing capacity and antivirus sealing
capacity. Because structural members can absorb more energy in the elastic–plastic
stage than in the elastic stage, the material potential can be fully utilized. For
example, the reinforced concrete structure members will undergo great deformation
before they completely collapse after yielding.
In practical engineering, reinforced concrete structure is generally used in the
roof of air defense basement. Considering the work of the structure in the elastic–
plastic stage, it can make full use of the potential capacity of materials and save
steel, which has great economic significance.
6. In general, the deformation checking is not necessary

Because the dynamic load of the nuclear explosion only causes structural defor-
mation in a very short period of time, this deformation will not endanger the safety
of the air defense basement. The structure designed according to the dynamic load
has sufficient rigidity and global stability, and there is no large deformation under
the static load, so it is not necessary to check the structural deformation of the air
defense basement. Under the condition of controlling the ductility ratio, it is no
longer necessary to calculate the crack development of the structural members, but
it can be dealt with separately for the peacetime–wartime combined projects with
high requirements.
Characteristics of the design of the attached underground structure:
① Considering the aboveground and underground comprehensively, the building

materials, plane layout, structural forms, and construction methods of the
aboveground and the underground parts should be consistent as far as
possible;
② The side wall of the attached underground structure should be combined with
the load-bearing external wall of the ground building. The partial basement
should be avoided or reduced as far as possible, and the basement should be
repaired completely;
③ According to the killing effect and factors of the nuclear explosion and the
chemical biological weapons, the requirements for the attached underground
structures are determined;
④ The reinforced concrete structure in the attached underground structure can be
designed according to the elastic–plastic stage;
⑤ The control condition of the design load in peacetime and wartime is taken as
the design basis for the attached underground structure. In the checking cal-
culation, only the strength of the structure is checked, and the structural
deformation and the foundation deformation are not checked separately. Under
the condition of the controlling ductility ratio, the calculation of the crack
development of the structure members is not carried out;
⑥ The design of the attached underground structure should combine peacetime
with wartime and be multipurpose. The basement layout, space treatment, and
structural design should be determined according to the wartime protection
requirements and peacetime utilization. In addition, the contradiction between
the wartime protection requirements and peacetime utilization should be
properly handled in plane layout, heating and ventilation, and moisture proof.
8.1.2 Forms of Attached Underground Structures
The selection basis of the attached underground structure is mainly the type of the
ground building, the wartime protection capability, the geological and hydrogeo-
logical conditions, the requirement of wartime and peacetime utilization, the supply
building materials, and the construction conditions. When designing, the above
conditions should be combined with the plane layout and space treatment for com-
prehensive analysis, after several schemes are compared, and then the form of the
structure is determined. Due to the different design requirements and technical con-
ditions in various countries, there are many forms of attached underground structures.
In China, the main structure forms of the air defense basements are as follows.
1. Beam and slab structure

In addition to being used as the command post and communication room, the air
defense basement mainly serves as the sheltering underground hospital, the ambu-
lance station, the production workshop, the material warehouse, and so on. It
belongs to a large number of air defense works and its protection capability is low.
The upper ground buildings are mostly civil buildings or small and medium
industrial buildings. In the areas with lower groundwater level and better soil quality,
the basement structure, building materials, and construction methods are basically
the same as those of the upper ground buildings. The main load-bearing structures
are roof, wall (column), and foundation. The roof of air defense basement adopts
reinforced concrete beam–slab structure, which is more common in practical engi-
neering. The brick external wall can be used in the areas with low groundwater level,
but not in the areas with high groundwater level. The support of the roof can be beam
or load-bearing wall. When the opening of the room is small, the reinforced concrete
roof is directly supported by the surrounding load-bearing wall, which is the
beamless system. When the large rooms are required in the wartime and peacetime
and the distance between the load-bearing walls is large, the reinforced concrete
beam may be installed in the same direction or in two directions in order to avoid the
roof span being too large. The span of the beam should not be too large, otherwise
the column may be under the beam. The reinforced concrete beam and slab structure
Fig. 8.2 Beam and slab structure

can be constructed by cast-in-place method. This method has good integrity, but
needs template, and the construction progress is slow. Most of the existing projects
have cast-in-place reinforced concrete roofs, as shown in Fig. 8.2.
Cast-in-place or prefabricated reinforced concrete wall panels can be used in
buildings with high requirements for use, high groundwater level, poor geological
conditions, guaranteed material supply, and large formwork or prefabricated
components. With the reform of the wall and the development of the building
industrialization, brick walls may be gradually replaced by prefabricated blocks or
large panels. In some projects in China, it is advisable to adopt the internal
cast-in-place shear wall structure, in which the internal bearing wall is cast-in-place
reinforced concrete. While the external reinforcement, floor and partition wall are
prefabricated reinforced concrete, thus the brick wall is not needed.
2. Slab–column structure
In order to adapt the attached underground structure to the upper ground building or
meet the requirements of normal use, the flat roof of the inner bearing wall and the
beam may not be used, and the roof of the air defense basement adopts the form of a
beamless floor, that is, the slab–column structure, as shown in Fig. 8.3. The exterior
wall can be made of brick or prefabricated members when the groundwater level is
low, and the integral concrete or reinforced concrete members are used when the
groundwater level is high. In this case, if the geological conditions are good, the
separate foundation can be built under the pillar. If the geological conditions are
poor, the raft foundation can be set. In order to make the roof stress reasonable, the
column spacing should not be too large. For example, an air defense basement that
usually has a refrigerator is a pillar structure with a column spacing of 6 m. The
beamless slab–column structure is more favorable for ventilation and lighting, and
can reduce the building height and meet the requirements of large rooms. The effect
of being shops and canteens is also better.
Fig. 8.3 Slab–column

structure
Fig. 8.4 Box structure
3. Box structure
The box structure refers to the structure composed of cast-in-place reinforced
concrete walls and slabs, as shown in Fig. 8.4, which is characterized by good
integrity, high strength, good waterproof and moisture-proof effect, strong protec-
tion ability, but high cost. Therefore, the box structure is generally applicable to the
following situations:
① The defense grade of the fortification is high, and the structure needs to
consider the effect caused by the hit of the conventional weapon;
② The soil condition is poor, and the upper part of the ground is a high-rise building
(frame structure or shear wall structure), which needs a box foundation;
③ The groundwater level is high and the basement is in a saturated soil layer. The
structure must meet high waterproof requirements;
④ According to the usual use requirements, rooms need to be sealed (such as
refrigerators);
⑤ Special construction methods such as open caisson method and underground
continuous wall method are adopted.
The box structure is mostly reinforced concrete space structure. For the con-
venience of calculation, the simplified approximate calculation method is generally
adopted. The box structure is decomposed into longitudinal frame, transverse
frame, and horizontal frame, and then it can be calculated according to the plane
frame. Also, the box structure can be split into roof, floor and wall panels, and are
calculated separately. For the box structure of the air defense basement under the
multi-storey buildings, some design units regard it as the box foundation of the
whole building for design.
Fig. 8.5 Frame structure
4. Frame structure
The frame structure refers to the structural system consisting of reinforced concrete
columns, beams, and plates, as shown in Fig. 8.5. The frame structure is often used
in the case of ground buildings as frames. The external walls of this structure
system only bear the dead weight and live load of soil and water pressure and
dynamic load. The foundation forms are independent foundation, strip foundation,
sheet foundation, pile foundation, etc.
5. Arch shell structure

The arch shell structure means that the roof of the underground structure is arched
or folded-plate structure. Its concrete forms are hyperbolic or drum shell,
single-span or multi-span folded-plate structure, as shown in Fig. 8.6. The arched
shell structure is characterized by good stress, internal space structure, and steel
saving. But the basement depth should be increased, the indoor impression is poor,
and the construction is relatively complicated. The arch shell structure is suitable for
ground buildings with single storey and large span, such as workshop, shopping
mall, auditorium, and canteen, and the attached underground structure below is
used for both peacetime and wartime.
Fig. 8.6 Arch shell structure

Fig. 8.7 The exterior wall and inner frame structure
6. Exterior wall, inner frame structure, and slab–wall structure

The exterior wall and inner frame structure refers to the exterior wall is the
cast-in-place reinforced concrete structure or the brick wall, and the interior the
main beam. The slab–wall structure is similar to the box structure, and the inner and
outer walls are cast-in-place reinforced concrete walls. These two structures can
adopt the construction method of the diaphragm wall. The combination of the
retaining wall and the earth-retaining structure can save the construction cost. This
method is advanced, but the construction technology is demanding. The exterior
wall and inner frame structure is shown in Fig. 8.7.
8.1.3 Structure of Attached Underground Structures
In order to meet the requirements of the defense of nuclear, chemical weapons,

and biological weapons in modern warfare, the section size and reinforcement
scheme of the attached underground structure should be determined by the
requirements of strength and stability. The structure against light radiation and
early radiation should also be checked, and its ductility ratio should be limited so
as not to make the deformation of the structure too large. Meanwhile, it is nec-
essary to ensure that the whole project has sufficient airtightness and integrity. In
addition, due to its working conditions in the soil medium, its structural
requirements are as follows.
1. Strength grade of building materials

The strength grade of the building materials should not be less than the values
summarized in Table 8.1.
Table 8.1 Grade of the material strength

Material Reinforced concrete Concrete Brick Mortar Dressed
type Insulated Others Bricklaying Assembly stone
column sealing
Strength C30 C20 C15 MU10 M5 M10 MU30
grade
Note ① Silicate bricks and blocks shall not be used in the structure of the air defense basement; ②
in the cold regions, very moist soil should use MU15 bricks, and saturated soil should use MU20
bricks
Table 8.2 Impermeability Buried depth (m) Design impermeability grade

grade of the waterproof
concrete <10 P6
10–20 P8
20–30 P10
30–40 P12
2. Structure waterproofing
The structure waterproofing of the attached underground structure is very impor-
tant, which is directly related to the safety, applicability, and durability. Therefore,
it should be combined with prevention, drainage, interception, and blocking.
Generally, the structure waterproofing should adopt the double-layer method of
directly waterproofing and additional waterproofing layer. The underground
structural concrete is the most important defense line, and the minimum imper-
meability standard should not be less than 0.6 MPa. The concrete seepage resis-
tance grade can be selected according to the buried depth of the project in
Table 8.2. The additional waterproofing layer is externally attached to the surface of
the structure and has a protective layer. Its practices include waterproof mortar,
coiled asphalt, and coating waterproofing, and the position should be between the
upstream face or the composite lining.
The minimum thickness of the structure members shall not be less than the
values summarized in Table 8.3.
Table 8.3 Minimum thickness of the structure member (Unit: mm)

Component category Material
Reinforced concrete Concrete Brick masonry Dressed stone masonry
Plate/Shell 200 – – –
Bearing exterior wall 200 200 490 300
Bearing interior wall 200 200 370 300
Nonbearing partition – – 240 –
Note ① The minimum thickness of the structure in this table does not consider the requirement of
preventing the early nuclear radiation. ② The minimum thickness of the roof in this table refers to
the practice section, such as the rib floor, whose thickness should not be less than 100 mm
Table 8.4 Minimum Structure type Position

thickness of the protective
Inner layer (mm) Outer layer (mm)
layer
Cast-in-place 20 20
Precast 15 30
Note ① The outer layer in this table refers to the side in contact
with the soil. ② The concrete protective layer of the structure in
the aggressive medium should be increased appropriately
3. Minimum thickness of the protective layer

The minimum thickness of the concrete protective layer of the stressed steel bar in
the attached underground structure should be increased a little more than that of the
ground structure, because the outside of the underground structure is in contact with
the soil and the relative humidity inside is higher. The minimum thickness of the
concrete protective layer (from the outer edge of the steel bar) can be valued in
accordance with Table 8.4.
4. Deformation seam setting

① In a protective unit of the air defense basement, it is not allowed to set up
settlement joint and expansion joint to meet the protection requirements
(especially for airtightness requirements).
② When the expansion joints and seismic joints need to be installed in the upper
ground buildings, the air defense basement could not be installed. If the
basement is provided with settlement joints and expansion joints, it should be
the same as the peak position of the upper ground building.
③ The settlement joints should be set at the link of the basement outdoor
entrances and exits to the main structure to prevent fracture when uneven
settlement occurs.
④ The maximum spacing of the expansion joints and the width of the settlement
joints, shrinkage joints, and seismic joints in the reinforced concrete structures
should be determined in accordance with the current relevant standards.
5. Ring beam setting

In order to protect the integrity of the structure, the ring beam can be set up in the
following two cases for the hybrid structure:
① When the roof of air defense basement is composed of concrete slab, assembly
integral flat plate or arch structure, the ring beam should be set along the top of
the outer wall and the inner wall. The height of the ring beam is not less than
180 mm, and the width is the same as the thickness of the wall. Three steel bars
with diameter of 12 mm are arranged on the upper and lower sides of the ring
beam. The diameter of the stirrup is not less than 6 mm and the spacing is
greater than 300 mm. The ring beams should be set on the same horizontal plane
and connected with each other, so that they cannot be disconnected. When the
ring beams are used as lintels, the ring beams should be checked separately.
② When the cast-in-place reinforced concrete structure is used for the roof of the
air defense basement, in addition to the ring beam along the same horizontal
plane on the top of the outer wall, it can be arranged at intervals on the inner
partition wall, but the spacing should not be greater than 12 m.
6. Anchorage at the connection of the components

① Anchorage steel bars should be installed at the joint of the reinforced concrete
roof, the inner and outer walls. Generally, the diameter and the spacing of the
steel bars are 8 and 200 mm. The anchorage length extending into the ring
beams should not be less than 240 mm, and that extending into the brick wall
should not be less than 450 mm.
② In addition to the biting of the masonry at the corner of the brick wall and at
the joint of the internal and external walls, the tie bars should be set up along
the height of the wall. The tie ribs should be inserted into the wall 10 m on
each side. When the wall thickness is 490 mm, four steel bars with a diameter
of 6 mm can be set for every 10 bricks.
7. Other detailing requirements

① For the reinforced concrete roof, floor or wall plates with two-way rein-
forcement, the tie bars should be arranged in the shape of quincunx, and the
length should be able to pull the outermost stressed bars. When the binding
steel bar is used as the stressed stirrups, the diameter and spacing should
conform to the calculation and detailing requirements of the stirrups.
② When the continuous beam and frame are within the section height of 1.5
times that of the beam from the edge of the support, the stirrup reinforcement
ratio should not be less than 0.15% and the stirrup spacing should not be larger
than five times the diameter of the main reinforcement. Sealing steels should
be used at the joint of the tensile bars, and the spacing of the stirrups should
Table 8.5 Minimum reinforcement ratio of stressed steel bars for reinforced concrete structure
members
Classification Concrete strength grade
C20 C25–C35 C40–C55 C60–C80
All compressive reinforcement of axially loaded 0.60 0.60 0.60 0.70
compression members
Compressive reinforcement of eccentric compression 0.20 0.20 0.20 0.20
and eccentric tension members
Tensile reinforcement of flexural, eccentric 0.20 0.25 0.30 0.35
compression, and eccentric tension members
Note The minimum reinforcement ratio of the tensile steel bars of the compressive steel bars and
the eccentric compression members is calculated by the full sectional area, while that of the other
compressive steel bars is calculated by the full sectional area after deducting the section area
located at the edge of the pressed side or the flange of the tensioned side
not be greater than five times the diameter of the main reinforcement and
should not be greater than 100 mm.
③ For the reinforced concrete structure members subjected to nuclear explosive
dynamic loads, the minimum reinforcement ratio of the longitudinal bearing
force reinforcement should be in accordance with Table 8.5.
8.2 Design of Beam–Slab Structures
It is mainly used as the air defense basement for personnel sheltering. The roof is
usually composed of integral reinforced concrete beam–slab structure or beamless
structure. Because the roof of the air defense basement bears the load of the nuclear
explosion shock, and the calculation load is very large. In order to make the design
reasonable and use less material, the span of the roof should be limited (for
example, 2–4 m). The support of the roof can be a load-bearing wall or beam. If the
room with large bay is required in normal times, the space between the load-bearing
walls is large, and the beam should be set up. At this time, the section of the beam is
large, which affects the clearance height and increases the construction trouble. The
room with small bay could not set up beams, so that the roof directly transfers the
load to the surrounding load-bearing wall. Because there is no beam, it not only
reduces the building height but also simplifies the construction. Therefore, it is
better to make full use of load-bearing walls.
8.2.1 Roof
1. Load
In the wartime, the load combination of the roof should include the following items.
① The dynamic load caused by the shock wave overpressure of the nuclear
explosion is not only related to the parameters of the compression wave in the
soil but also to the influence of the ground building. There are two cases, the
first is that the ground building meets the conditions specified in Sect. 8.1. For
a large number of the air defense basements with low grades, the ground
building may be considered to have a certain weakening effect on the shock
wave. The second is that the ground building does not meet the above con-
ditions, or if the protection level is slightly higher, the effect of the ground
building is not considered. In the design, the shock wave load is often changed
into the equivalent static loads. The roof of the air defense basement under
residential buildings, office buildings, hospitals, and other types of ground
buildings shall be acted upon in accordance with relevant regulations. For
example, the equivalent static load qj1 can be obtained according to the
overpressure of the ground DP and the thickness of the covered soil layer h.
② The static load above the roof includes the equipment interlayer, the weight of
the floor and the covered soil, and the fixed equipment which does not move in
wartime. Because the fragments of the collapsed superstructure are blown
outside the roof by the shock wave, the weight of the fragments are not
considered in the combination.
③ The dead weight of the roof is estimated based on the initially selected section
size and the material used.
2. Calculating diagram
Before calculating the internal force of the roof, the actual slab and beam should be
simplified to the diagram of the structure calculation, which is the calculation
diagram. In the calculation diagram, the form, location and quantity of the load, the
spans of the slabs, the span size of each slab, and the support conditions of the slabs
should be shown. When selecting the calculation diagram, the calculation should be
simple, and it should be as close as possible to the actual structure stress.
The load acting on the roof is generally taken as the vertical uniform load.
The integral beam–slab structure can be divided into one-way slab structure and
two-way slab structure. When the ratio l2 =l1 of the long side l2 to the short side l1 is
more than two, the plate bends in one direction after being loaded. That is to say,
the bending moment is generated along the short side l1 of the plate, while the
bending moment along the long side l2 is so small that it can be neglected slightly.
That is the one-way slab–beam structure. When l2 =l1 2, the plate produces
bending moments in both directions, that is, the two-way slab–beam structure. For
small bay room, the roof is directly supported on the load-bearing wall, which
generally belongs to the case of two-way slabs.
The roof in the case of multi-row and two-way slabs can be simplified to the
approximate calculation of the single-span and two-way slabs or the one-way
continuous slabs.
The first simplification: For each span with a uniform load, when the spans are
equal or close, the cross section of the intermediate support does not rotate. There-
fore, it can be approximated that each plate is fixed on the intermediate support, while
the side support is simply supported. So the roof can be divided into separate
single-span and two-way slab to calculate. However, the actual support is elastically
fixed, so the calculation results sometimes differ greatly from the actual stress.
The second simplification: First, according to the ratio l2 =l1 , the load acting on
each double plate is approximately divided into two directions l1 and l2 , and then
calculated by two one-way continuous plates which are perpendicular to each other.
The support conditions of the reinforced concrete integral casting roof (or sec-
ondary beam) supported on any support are generally considered as fixed hinges.
When the length of each span is not more than 20%, it can be calculated approx-
imately by the continuous plate with equal spans. When calculating the bending
moment of the mid-span, the calculation span of the span is taken.
8.2 Design of Beam–Slab Structures 307
3. Internal force calculation

① One-way continuous plate: When the span of the continuous plate in both
directions l2 =l1 [ 2, and the load of the two-way plate have been distributed
and simplified to the one-way continuous plate, the internal force can be
calculated as follows.
The calculation of the continuous plate is based on elastic theory and plastic
theory. When the waterproofing requirement is high, the cast-in-place reinforced
concrete roof should be calculated by the elastic method. When the waterproofing
requirement is not high, it can be calculated by the plastic method. The continuous
plate is calculated according to the elastic method. For the case of equal span, it can
be directly calculated according to Handbook for Static Calculation of Building
Structures. For the unequal span case, the bending moment distribution method or
other methods can be used. The continuous plate is calculated based on the plastic
method, and the two cases of equal span and unequal span are introduced as
follows:
For the equal span, when the difference between two spans is less than 20%, the
simplified equations are as follows:
M ¼ bql2 ð8:1Þ
Q ¼ aql ð8:2Þ
where b is the moment coefficient, which can be adopted according to Table 8.6; a
is the shear coefficient, which can be adopted according to Table 8.7; q is the
uniform load acting on the one-way plate; and l is the calculation span of the
continuous slab and takes net span.
For the unequal span, first calculate the internal force diagram according to the
elastic method, and then reduce the negative bending moment of each support by
30%. Correspondingly, increase the positive bending moment in the mid-span, so
that the sum of the average and absolute value of the bearing moment at both ends
Table 8.6 The value of b

Section Mid-span at the First internal Mid-span in the Intermediate
edge support middle support
b +1/11 −1/14 +1/16 −1/14
Table 8.7 The value of a

Section Support at Left side of the first Right side of the first Side of the
the edge internal support internal support intermediate
support
a 0.45 0.60 0.55 0.55
of each span is less than the corresponding adjustment value of the mid-span
bending moment of the simply supported beam (for example, from 30% to 25% or
20%). So, the maximum positive bending moment in the mid-span is not exces-
sively increased due to the too small negative bending moment of the support.
Finally, the shear force is calculated according to the adjusted support moment. The
internal force coefficients in the equations for the equal span are given on the basis
of this principle.
② Multi-column and two-way plate: The calculation is also divided into elastic
method and plastic method. When calculating by the elastic method, it can be
simplified to single-span and two-way plate or to two mutually perpendicular
one-way continuous plates after load distribution. When calculating by the
plastic method, as shown in Fig. 8.8, the bending moment of any two-way
plate can be expressed as follows:
ql21
2M 1 þ 2M 2 þ M I þ M 0 I þ M ‘ þ M 0 ‘ ¼ ð3l2 l1 Þ ð8:3Þ
12
where M 1 is the mid-span bending moment of the parallel direction plate, M 2
is the mid-span bending moment of the parallel direction plate, M I and M 0 I are
the support moment of the parallel direction plate, M ‘ and M 0 ‘ are the support
moment of the parallel direction plate, q is the uniform load acting on the plate,
l1 is the effective length of the short span of the plate and the distance between
the axes is taken, and l2 is the effective length of the long span of the plate and
the distance between the axes is taken.
When there is a free support in the plate, the bending moment of the support
should be zero. In order to understand the proportional relationship between the
mid-span and the bearing bending moment of the two-way plate, the following
suggestions are proposed according to the economic and structure requirements:
Fig. 8.8 Calculating

diagram
(1) The ratio of the positive bending moments in two directions M 2 =M 1 should be
determined by the value of l2 =l1 according to Table 8.8.
(2) The ratio of each bearing to the mid-span bending moment is used in the range
of 1.0–2.5. Meanwhile, it is preferable to use a ratio close to 2.5 for the
intermediate zone.
When calculating the multi-compartment and two-way plate, the moment ratio
can be selected from any compartment, preferably the middle compartment. The
other mid-span and support bending moments can be expressed by any moment like
M 1 . This bending moment M 1 can be obtained by substituting the representative
values of the moments into Formula (8.3). The remaining bending moments can be
calculated by the proportion. In this way, it can be transferred to another adjacent
compartment, where the common bearing moment with the former compartment is
known. The remaining internal forces in the second compartment can be calculated
by the same method, and so on.
4. Section design
The section of the roof of the air defense basement is controlled by the combination
of the dynamic loads in wartime. The strength can only be checked, but the
improvement of the material dynamic strength and the safety factor of the dynamic
load should be considered. When calculating according to the elastic–plastic
working stage, in order to prevent sudden brittle failure of the reinforced concrete
structure and ensure the ductility of the structure, the following conditions shall be
met:
① For the statically indeterminate reinforced concrete beam, slab, and plane
frame structure, the shear strength of the oblique section should be checked for
the section with maximum bending moment and shear force.
② The reinforcement ratio l of the tensile bar should not be greater than 1.5%.
For the flexural and large eccentric compression members, when l > 1.5%,
the ductility ratio ½b should be determined by the following equation:
0:5
½b ð8:4Þ
x=h0
When b < 1.5, 1.5 should still be taken.
③ For the support of the continuous beam and the joint of the steel frame, when
checking the shear strength, the axial compressive dynamic strength Rad of the
concrete should be multiplied by a reduction factor lk of 0.8, and the stirrup
reinforcement ratio should not be less than 0.15%. The sum of the tensile bar
in the mid-span l1 and the tensile bar in the support l2 (l2 takes the average
value when the reinforcement of the two ends of the support is unequal)
should satisfy the following:
Table 8.8 Relationship l2 =l1 l2 =l1

M 2 =M 1 M 2 =M 1
between M 2 =M 1 and l2 =l1
1.0 1.0–0.8 1.6 0.5–0.3
1.1 0.9–0.7 1.7 0.45–0.25
1.2 0.8–0.6 1.8 0.4–0.2
1.3 0.7–0.5 1.9 0.35–0.2
1.4 0.6–0.4 2.0 0.3–0.15
1.5 0.55–0.35 – –
Rad
l1 þ l2 \0:3 ð8:5Þ
Rgd
where Rad is the axial compressive dynamic strength of the concrete and Rgd is the
tensile dynamic strength of the reinforcement.
It should be pointed out that the tensile bars of the two-way plates are stacked
vertically and horizontally, and the mid-span along the short side should be placed
under the long side direction, and the effective heights of the respective sections
should be taken in the calculation.
As the bending moment of the plate decreases gradually from the mid-span to
the both sides, in order to save material, the two-way plate can be divided into three
strips in two directions. The middle strip should be reinforced by the maximum
positive bending moment, and the strips on both sides should be reduced appro-
priately. However, when the middle strip has a small amount of reinforcement or
the span of the plate is small, the plate can be separated.
8.2.2 Side Wall

1. Load combination of the side wall in wartime
① The dynamic load in the horizontal direction formed by the compression wave
can be converted into the equivalent static load by calculation. For a large
number of the sidewalls of the air defense basement, the values can be taken
according to Table 8.9.
② The dynamic load and static load transmitted from the roof can be determined
by the calculation results of the above roof load according to the reaction force
of the roof.
③ The dead weight of the ground building is similar to the shock wave load
acting on the roof, and it is a complicated problem. In practical engineering,
there may be two situations: First, when there are a large number of air defense
basements, the shock wave overpressure is not very large. Only a part of the
ground buildings is destroyed and blown away with the shock wave, and a part
of the residual weight still acts on the basement structure. In this case, it is
suggested to take half of the dead weight of the ground building as a load on
Table 8.9 Load combination of the sidewall in wartime

Soil types Structure materials
Brick/Concrete (kN/m) Reinforced concrete (kN/m)
Gravel soil 20–30 20
Sandy soil 30–40 30
Clay soil Hard plastic 30–50 20–40
Plastic 50–80 40–70
Soft-plastic 90 70
Soil under Groundwater 90–120 70–100
Note (1) Principle of the value selection: minimum value for the dense granule group of the gravel
and sand, and maximum value for conversely. Minimum value for the clay soil with low liquid
index, and maximum value for conversely. Minimum value for the sand soil under groundwater,
and maximum value for the clay soil. (2) The sidewall below the groundwater level and does not
consider the masonry. (3) The sidewall of the brick and plain concrete is calculated according to
the elastic working stage, and that of the reinforced concrete is calculated according to the elastic–
plastic working stage and takes ½b ¼ 2:0: (4) When calculating, the clearance is not more than
3.0 m and the bar is not more than 4.2 m. (5) The groundwater level elevation is considered to be
0.5–1.0 m below the outdoor floor
the sidewall. Second, when the shock wave overpressure is large, the upper
ground buildings are all destroyed and blown away. In this case, the weight of
the ground building acting on the sidewall could not be considered.
④ The dead weight of the sidewall is determined according to the initial
hypothesis of the wall.
⑤ The lateral earth pressure and water pressure, and the lateral earth pressure
acting on the sidewall above the groundwater level are calculated according to
the following equation:
X
n u
ekt ¼ ci hi tan2 45 ð8:6Þ
1
2
where ekt is the lateral compressive strength of the soil at the position k on the side
wall, ci is the unit weight of soil of layer i in natural state, hi is the soil thickness of
each layer, and u is the internal friction angle of the soil layer at position k. In
engineering, the value of u is often increased because the cohesion is not taken into
account.
The lateral pressure of the soil and water on the sidewall below the groundwater
level can be calculated separately. The earth pressure can be calculated according to
Eq. (8.6), but the unit weight of the soil ci should be replaced by that of the soil
soaking c0i , while the lateral water pressure should be calculated according to the
following equation:
eks ¼ cs hs ð8:7Þ
where eks is the water pressure strength of the sidewall at position k and hs is the
distance from the groundwater level at position k.
2. Calculating diagram
In order to facilitate the calculation, the load on the sidewall and its supporting
conditions are often simplified. Thus, the calculation is approximated by the cal-
culation diagram. The basic principles of the simplification are as follows.
The horizontal load on the sidewall, such as the lateral water and earth pressure,
varies with depth and is generally taken as the uniform load in simplification. For
the sake of simplicity and safety, the wall plate subjected to the bending is sim-
plified into the flexural member even without considering the axial pressure on the
top of the wall.
The height of the brick exterior wall: when it is a strip foundation, takes the roof
or ring beam to the indoor floor; when the foundation is the integral floor, takes the
roof or ring beam to the upper surface of the floor.
The supporting conditions are considered in the following cases: In the mixed
structure, when the ratio of the thickness of the brick wall d to the base width d0 is
less than 0.7 ðd=d0 0:7Þ, the upper end is simply supported and the lower end is
fixed. When the foundation is the integral bottom plate, the upper and lower ends
are simply supported. In the reinforced concrete structure, when the roof, the
wallboard, and the bottom plate are separately calculated, the top of the wall at the
joint with the roof is regarded as a hinge, and the bottom of the wall at the joint of
the bottom plate is regarded as a fixed end because the rigidity of the bottom plate is
greater than that of the wallboard. Then the wallboard becomes an axially com-
pressed beam with hinge support at the upper end and fixed at the lower end. This
method of separating the exterior wall from the roof and the bottom plate is rela-
tively simple. The general air defense basement structure is usually calculated by
using the calculation diagram Fig. 8.9. In addition, the joints between the wall top
and the roof are considered as hinges, while the sidewall and the bottom plate are
considered as a whole; The roof, the sidewall, and the floor are also considered as
integral frames (Fig. 8.9).
Fig. 8.9 Calculating diagram. a Compression-bending member; b Half frame; c Overall

framework
The wallboard may be one-way slab or two-way slab depending on the length
ratio of the two directions. When calculating according to the two-way slab, in the
horizontal direction, such as the lengthwise outer wall and the cross wall or the
gable integral masonry (brick wall), or the integral casting (concrete or reinforced
concrete wall), and the cross wall is equal in span, then the cross wall can be
regarded as the fixed support of the longitudinal wall, and the internal force can be
calculated according to the single two-way slab.
3. Internal force calculation

After determining the calculation diagram according to the above principles, the
internal force can be obtained. For the sidewall constructed of brick masonry and
plain concrete, the internal force can be calculated according to the elastic working
stage. When the span is equal, the internal force can be directly obtained by using
Handbook for Static Calculation of Building Structures.
For the sidewall constructed of reinforced concrete, the bending moment cal-
culated by the elastic method can be adjusted according to the elastic–plastic
working stage. More simply, the average value of the bending moment of the
support or the mid-span section calculated by the elastic method can be used as the
calculating bending moment according to the elastic–plastic method.
4. Section design
In the cross-section design of the eccentric compression masonry, when the nuclear
explosive dynamic load and the static load act simultaneously, the load eccentricity
e0 should not be greater than 0:95y, and y is the distance from the center of the
section to the edge of the section where the longitudinal force is located. When
e0 0:95y, the section selection can still be controlled by the compressive strength.
In the section design of the reinforced concrete sidewall, the reinforcement is
generally two way, usually x [ 2a0g and
M
As ¼ A0s ¼ max ð8:8Þ
fyd h0 a0s
where
Mmax ¼ Ne0 ð8:9Þ
h
e0 ¼ e00 þ a0s ð8:10Þ
2
where N is the axial force corresponding to the maximum bending section.

When the axial pressure acting on the wall is not taken into account, and the
bending member is calculated, then Mmax is the maximum bending moment of the
bending interface.
It should be pointed out that in the calculation of the strength and stability of the
sidewall of the air defense basement, the structural element section and
reinforcement obtained from the stage of the dynamic load in wartime and the
normal use in peacetime should be compared, and the larger value should be taken.
Because the sidewall is not necessarily designed by the section controlled by the
wartime dynamic load as the roof.
8.2.3 Foundation
The foundation design of the attached structure is basically the same as the ground
building. When the ground building and the underground building are connected as
a whole, the foundation design is considered together. Some high-rise buildings
take the basement part as the foundation design directly, which is the box foun-
dation, while others unify the ground and underground into a building, and then
redesign the foundation directly under the basement. The box foundation is usually
a fully cast-in-place reinforced concrete structure, which can be used as a basement,
so it serves as both foundation and basement. There are special regulations for the
box foundation basement. If the basement is not used as the foundation, the design
of the ordinary underground space structure is another method. The basement
foundation can be divided into strip foundation, independent foundation, pile
foundation, raft foundation, and beam–slab foundation. Specifically, the type of a
project should be determined according to the use character, load, layer number,
engineering hydrogeology, climatic conditions, materials and construction methods,
foundation cost, and other factors. The selection and design of the foundation types
are detailed in relevant books and specifications. This chapter mainly explains the
impact of the nuclear explosion dynamic load on the foundation.
1. Strip foundation
In the areas with low groundwater level, the strip foundation is usually adopted for
the mixed structures. For the strip foundation of a large number of air defense
basements with small dynamic load, the load combination under the dynamic load
of the nuclear explosion may be disregarded, and only the load combination under
the normal service conditions of the upper ground building should be designed. For
the strip foundation with large dynamic load and single pile foundation, the com-
bination of the dynamic and static load should be considered. When considering the
dynamic load of the nuclear explosion, the bearing capacity of the strip foundation
and the natural foundation of the single column foundation should be checked. The
allowable bearing capacity of the foundation can be increased appropriately. The
improvement factor is shown in Table 8.10.
Table 8.10 Improvement factor

Gravel/Compact and hard plastic mild clay 5
Compact mild clay 4
Fine sand above medium compact 3
Medium compact, waxiness or soft-plastic mild clay, and sand above medium compact 2
2. Integral foundation (floor)

For the integral foundation corresponding to the roof and sidewall mentioned above,
the equivalent static load value of the floor of the air defense basement qj3 shall be
calculated according to the regulations and the thickness of the overburden layer.
In general, the integral foundation is only used in high water level areas, so the
above values are only the equivalent static loads on the floor below the groundwater
level. When considering the effect of the shock wave load, it is similar to the roof
and sidewall. It can be divided into two situations as follows:
(1) For a large number of air defense basements with low level of protection, in
areas with low groundwater level, the whole foundation is set up according to
the needs of the superstructure only because of poor soil quality. The actual
dynamic load on the floor is not large, so it cannot be considered, and it is still
designed according to the normal load under normal working conditions.
However, the bottom plate in saturated soil is subjected to large dynamic
reactions, so the load combination under the shock wave of nuclear explosion
should be considered.
(2) For the air defense basement with higher protection level, the corresponding
shock wave reaction of the base plate is also greater, so the load combination
under the dynamic load of nuclear explosion must be considered.
Based on the above analysis, considering the dynamic load combination of the
floor, the following contents should be included:
It belongs to the first case, that is, the load combination of the basement floor of
a large number of air defense is as follows: ① the dynamic load of nuclear
explosion on the floor is changed into equivalent static load; ② half of the
self-weight of the superstructure refers to the static load from the wall and floor of
the superstructure above ±0.000 elevation in the air defense basement. The reason
for taking half of the self-weight is the same as that in the side wall; ③ The static
load from the roof includes the weight of the roof, the weight of the covering soil,
the weight of the equipment sandwich, and the weight of the equipment which is
not removed in wartime; and ④ wall weight: as the floor weight and bottom
pressure offset, it should not be included.
In the second case, the load combination of the basement floor of the air defense
basement with higher protection level includes ① the dynamic load of nuclear
explosion on the floor, if it is a strip foundation or a single column foundation, is
the dynamic load of nuclear explosion from the wall (column) and is also equivalent
static load; ② the static load from the roof; and ③ weight of wall. The reason for
excluding the self-weight of the superstructure, it is the same as the sidewall.
After determining the floor pressure, we should take the bigger one as the basis of
design according to the comparison of the two combinations in wartime and peacetime.
The calculation sketch of the floor can be separated into one-way or two-way
continuous slabs like the roof, and can also form an integral frame together with the
sidewalls. For the floor with waterproofing requirements, it should be calculated
according to the elastic working stage, without considering the redistribution of

internal forces caused by plastic deformation.
When considering the instantaneous dynamic load of nuclear explosion shock
wave in air defense basement, it is not necessary to check the bearing capacity of the
natural foundation for the whole foundation by the settlement of the foundation and
the overturning of the basement under the shock wave load of nuclear explosion.
8.2.4 Load-Bearing Interior Wall (Column)
1. Load
The load-bearing interior walls (columns) of a large number of air defense base-
ments are subjected to the following loads:
① The partial deadweight of the superstructure (half of which is currently rec-

ommended) should not be included.
② The dynamic load from the roof is generally equivalent to static load.
③ Static load from roof.
④ The weight of the basement wall (column).
In addition to the protective partition wall, the general internal wall (column) does not
bear lateral horizontal load. Therefore, in order to simplify the calculation, the bearing
internal wall (column) is usually constructed approximately according to the central
compression. Under this assumption, when the roof is calculated according to the
elastic–plastic working stage, in order to ensure that the wall (column) does not break
before the roof, the roof support reaction should be multiplied by a factor of 1.25 when
calculating the equivalent static load transferred from the roof to the wall (column). The
support reaction force is chosen when calculated according to elastic working stage.
After determining the load, it is not difficult to calculate the internal force and
select the section.
2. Calculations of load-bearing inner wall with door holes

The stress distribution near the entrance is complex when the entrance opening on
the basement load-bearing inner wall is large. The stress concentration near the
entrance should be calculated according to the theory of stress concentration around
the hole. However, in practical engineering, the approximate method is often used,
and its calculation is as follows:
① The wallboard is regarded as a simple supported beam and bears uniformly

distributed load q (Fig. 8.10). First, the bending moment M and shear Q at the
center of the entrance are obtained. Then the bending moment is transformed
into the axial force N ¼ M=H1 acting on the upper and lower crossbeams of
the door holes. The shear force is distributed according to the stiffness of the
upper and lower crossbeams.
Fig. 8.10 Sketch of calculation of load-bearing inner wall with door holes
JS
QS ¼ Q ð8:11Þ
JS þ JX
JX
QX ¼ Q ð8:12Þ
JS þ JX
② The upper and lower beams are regarded as fixed beams at both ends under
local loads, and the fixed end bending moments of the upper and lower beams
are calculated as follows:
q1 l21
MA ¼ MB ¼ ð8:13Þ
12
q3 l21
Mc ¼ Md ¼ ð8:14Þ
12
③ The above two groups of internal forces are superimposed:
Upper beam:
l1 q1 l21
M ¼ QS ð8:15Þ
2 12
M
N¼ ð8:16Þ
H1
Lower beam:
l1 q3 l21
M ¼ QS ð8:17Þ
2 12
M
N¼ ð8:18Þ
H1
According to the calculated internal force, the stressed steel bar is allocated,
while the inclined section is allocated with stirrups according to QS and QX .
8.2.5 Example of Beam–Slab Structural Design
A regular class A civil air defense basement is located on the first floor of the
basement with a height of 4 m and reinforced concrete structure. The concrete
adopts C35 and the thickness of the roof cover is 0.1 m. The upper floor is a
parking lot. Considering the influence of groundwater level according to the ele-
vation of the roof surface, the civil air defense resistance grade is nuclear grade 6
and constant grade 6. The section area of column is 600 mm 600 mm. The
horizontal (x-direction) and vertical (y-direction) column spacing is 5 m and 6.5 m,
respectively, as shown in Fig. 8.11. Try to reinforce the roof and exterior wall.
Fig. 8.11 Plan diagram

1. Preliminary determination of beam, slab, and wall dimensions

According to the requirements of Code for Design of Civil Air Defense Basement
(GB50038-2005), the thickness of roof is 250 mm.
Under normal service condition, the ratio of height to span of multi-span con-
tinuous beam is estimated and h/l = 1/18–1/12. The horizontal (x-direction) and
vertical (y-direction) column spacing of this basement is 5 m and 6.5 m, so h is
350 mm–500 mm and 450–650 mm, respectively. In the case of civil air defense,
considering the large load, the horizontal (x-direction) beam height h = 700 mm
and the vertical (y-direction) beam height h = 800 mm are taken for calculation.
Because of the large thickness of the slab, the secondary beam is not arranged for
trial calculation.
2. Load calculation
Self-weight of 250 mm thick floor: 25 kN/m3 0:25 m ¼ 6:25 kN/m2
Self-weight of 0.1 m thick cover soil above roof: 18 kN/m3 0:1 m ¼
1:8 kN/m2
Considering that the roof has decoration and painting layer, take the load of roof
decoration as 2 kN/m2
Total dead load: 10:05 kN/m2
According to the Code for Load of Building Structures (GB50009-2012), the
load of parking lot is taken as 4 kN/m2
According to the Code for Design of Civil Air Defense Basement
(GB50038-2005), the civil air defense load is selected as 60 kN/m2
3. Load combination
① Normal operating conditions: Load design value 1:2 10:05 þ 1:4 4¼

17:66 kN/m2
② Civil air defense conditions: Load design value 1:2 10:05 þ 1:0 60 ¼
72:06 kN/m2
4. Internal force and reinforcement calculation

(1) Roof calculation
1) Normal operating conditions
Take one of the spans for calculation, as shown in Fig. 8.11. lx ¼ 5000 mm,
ly ¼ 6500 mm, and k¼lx ly ¼ 0:77. k¼0:8 is chosen for calculation.
According to the structure static manual, the bending moment are calculated as
follows:
Mx ¼ 0:0271ql2 ¼ 0:0271 17:66 52 ¼ 11:96kN m

My ¼ 0:0144ql2 ¼ 0:0144 17:66 52 ¼ 6:36kN m
Mx0 ¼ 0:0664ql2 ¼ 0:0664 17:66 52 ¼ 29:3kN m
My0 ¼ 0:0559ql2 ¼ 0:0559 17:66 52 ¼ 24:70kN m
Table 8.11 Calculated results of moment and actual reinforcement

Moment as n Calculated area q Actual reinforcement
(kN m) As (%)
ð2Þ
Mx ¼ 13:2 0.015 0.015 185 0.080 /10@150ðAs ¼ 524 mm2 =mmÞ,
satisfied
ð2Þ
Mv ¼ 8:8 0.010 0.010 123 0.053 /10@150ðAs ¼ 524 mm2 =mmÞ,
satisfied
Mv0 ¼ 29:3 0.033 0.034 413 0.180 /10@150ðAs ¼ 524 mm2 =mmÞ,
satisfied
Mv0 ¼ 24:7 0.028 0.028 348 0.151 /10@150ðAs ¼ 524 mm2 =mmÞ,
satisfied
Taking Poisson’s ratio of concrete m ¼ 0:2,
Mxð2Þ ¼ Mx þ mMy ¼ 11:96 þ 0:2 6:36 ¼ 13:2 kN m

Myð2Þ ¼ My þ mMx ¼ 6:36 þ 0:2 11:96 ¼ 8:8 kN m
Reinforcement calculation: Taking as ¼ 20 mm, so h0 ¼ 250 20 ¼ 230 mm;

C35 concrete and HRB335 steel bar are selected and fc ¼ 16:7 N/mm2 ;
ft ¼ 1:57 kN/mm2 ; fy ¼ fy0 ¼ 300 N/mm2 .

Minimum reinforcement ratio qmin ¼ max 0:2; 45ft fy ¼ maxf0:2; 0:23g ¼
0:23%;
Minimum reinforcement area As;min ¼ bh0 qmin ¼ 1000 230 0:23% ¼
529 mm2 . By the formulas as ¼ fccdbhM2 , f ¼ 1 1 2as , As ¼ fc fbh As
fy , and q ¼ bh0 ,
0
0
the calculated results are summarized in Table 8.11.
2) Check calculation in normal use stage

① Check deflection

Bc ¼ 3:15 106 0:253 12 1 0:22 ¼ 4:27 103 kN m

f ¼ 0:00182 ql4 Bc ¼ 0:00182 17:66 54 4:27 103 ¼ 4:7 mm \ ½ f ¼ l0 =200 ¼ 30 mm
The deflection meets the requirements of the code.
② Crack calculation
Cracks in the mid-span along the x-direction:
a. Load effect calculation

Mx ¼ qgk þ qqk L2p ¼ ð0:0286 þ 0:0135 0:200Þ ð10:050 þ 4:000Þ 52
¼ 11:010 kN m
b. For round bar: tj ¼ 0:7
c. Calculating the stress of longitudinal tension steel bar under quasi-permanent or

standard load combination

rqk ¼ Mq ð0:87 h0 As Þ ¼ 11:010 106 ð0:87 220 523Þ
¼ 109:991 N/mm
d. Calculation of longitudinal tension reinforcement ratio based on effective ten-

sion concrete section area
Rectangular section area Ate ¼ 0:5 b h ¼ 0:5 1000 250 ¼ 125000 mm2
qte ¼ As =Ate ¼ 523=125000 ¼ 0:0042
Because qte ¼ 0:0042\0:01 and qte ¼ 0:01
e. Calculation of the strain inhomogeneity coefficient of longitudinal tension steel

bar between cracks u
u ¼ 1:1 0:65ftk =ðqte rsk Þ ¼ 1:1 0:65 2:200=ð0:0100 109:991Þ ¼ 0:2
Because u ¼ 0:2\0:2 and u ¼ 0:2
f. Calculating the number of reinforcing bars per unit area n
n ¼ 1000=dist ¼ 1000=150 ¼ 6
g. Calculating the equivalent diameter of longitudinal reinforcement bars in tension

zone deq
X .X
deq ¼ nj dj2 nj vj dj ¼ 6 10 10=ð6 0:7 10Þ ¼ 14
h. Calculating maximum crack width

xmax ¼ acr u rsk Es 1:9c þ 0:08 Deq qte
¼2:1 0:200 109:991=2:0 ð1:9 25 þ 0:08 14=0:0100Þ
¼0:0374 mm 0:30 mm
and the results meet the requirements of code.

Similarly,
Crack of mid-span in y-direction xmax ¼ 0:0230 mm 0:30 mm, meeting the
requirements of code;
Cracks of supports in the upper and lower directions xmax
¼ 0:1260 mm 0:30 mm, meeting the requirements of code;
Cracks of supports in the left and right directions xmax ¼
0:2074 mm 0:30 mm, meeting the requirements of code.
2) Civil air defense condition

For C35 concrete and HRB 335 steel bar: fc ¼ 16:7 N/mm2 , ft ¼ 1:57 N/mm2 , and
fy ¼ fy0 ¼ 300 N/mm2 .
(GB50038-2005): fcd ¼ 16:7 1:5 ¼ 25:05 N/mm2 and fyd ¼ fyd 0
¼ 300 1:35 ¼
2
405 N/mm .
The internal force calculation sketch under civil air defense condition is the same
as that in Fig. 8.11.
lx ¼ 5000 mm, ly ¼ 6500 mm, and k ¼ lx ly ¼ 0:77. k ¼ 0:8 is chosen for
calculation.
The calculation is conducted according to four-side fixed situation by relevant
reference books and the total moment coefficient W ¼ 0:092. So the total moment is
M0 ¼ Wql2x ¼ 0:092 72:06 52 ¼ 165:7 kN m
By relevant reference books, the coefficient of boundary conditions B ¼ 0:658

and a ¼ 0:65.
Mx can be calculated by the following equation:
h X . i
Mx ¼ B M0 Mx0 þ My0 2
The mid-span bending moment: My ¼ aMx

Support moment: Mx0 ¼ 2Mx and My0 ¼ 2My
The data are substituted into the above four formulas and the results are as follows:
Mx ¼ 0:0288ql2x ¼ 0:0288 72:06 52 ¼ 51:9 kN m;

My ¼ 0:65Mx ¼ 0:65 51:9 ¼ 33:7 kN m;
Mx0 ¼ 2Mx ¼ 2 51:9 ¼ 103:8 kN m;
My0 ¼ 2My ¼ 2 33:7 ¼ 67:4 kN m:
Similarly, in the case of air defense, according to the Code for Design of Civil
Air Defense Basement (GB50038-2005), the minimum reinforcement ratio is
qmin ¼ 0:25%. Minimum reinforcement area As;min ¼ bh0 qmin ¼ 1000
230 0:25% ¼ 575 mm2 . The reinforcement is summarized in Table 8.12.
Table 8.12 Actual reinforcement
8.2 Design of Beam–Slab Structures
Moment as n Calculated area As q(%) Actual reinforcement

(kN m)

Mx ¼ 51:9 0.039 0.040 544 0.236 /12@150 As ¼ 754 mm2 mm , satisfied

My ¼ 33:7 0.025 0.026 351 0.152 /12@150 As ¼ 754mm2 mm , satisfied

Mx0 ¼ 103:8 0.078 0.082 1112 0.483 /12@150 + B10@150 As ¼ 1278mm2 mm , satisfied

My0 ¼ 67:4 0.051 0.052 711 0.309 /12@150 As ¼ 750mm2 mm , satisfied
323
Fig. 8.12 Reinforcement

result
Civil air defense condition does not consider structural deformation and cracks,
so the final reinforcement results take the maximum value of the two conditions.
From the comparison of the above calculation results, it can be seen that the
basement civil air defense load combination plays a controlling role, and the
reinforcement results determine the safe civil air defense condition. The rein-
forcement results are shown in Fig. 8.12.
(2) Outer wall calculation

The maximum water level is calculated and the calculation diagram is shown in
Fig. 8.13.
Horizontal load on top of wall P1 ¼ 18 0:1 0:5 ¼ 0:9 kN/m2
Horizontal load at bottom of wall
P2 ¼ P1 þ ½10 þ ð18 10Þ 0:5 4 ¼ 56:9 kN/m2
(GB50038-2005), the civil air defense load is 50 kN/m2 .
Load combination under normal working conditions is that 1:2 0:9 ¼
1:08 kN/m2 and 1:2 59:9 ¼ 68:3 kN/m2 for top and bottom of wall, respectively.
Load combination under wartime conditions is that 1:2 0:9 þ 1:0 50 ¼
51:08 kN/m2 and 1:2 59:9 þ 1:0 50 ¼ 118:3 kN/m2 for top and bottom of wall,
respectively.
The calculation model is shown in Fig. 8.13. The calculation is based on a
one-meter plate, a hinge support on the top of the wall and a fixed support on the
bottom of the wall.

diagram
The calculation method is the same as (1) by comparing the two working
conditions in peacetime and wartime. The calculation process is omitted. The
results are shown in Fig. 8.14. The comparison between the two calculation results
is similar to (1). The combination of civil air defense loads plays a controlling role.
The calculation results are shown in Table 8.13 and Figs. 8.14 and 8.15. The actual
reinforcement is shown in Fig. 8.15.
Fig. 8.14 Internal force

calculation diagram
Table 8.13 Internal force calculation results

Left Middle Right
Upper moment ðkN mÞ 140.16 0.00 0.00
Lower moment ðkN mÞ 0.00 111.50 0.00
Upper longitudinal reinforcement ðmm2 Þ 1325 750 750
Lower longitudinal reinforcement ðmm2 Þ 750 1045 750
Fig. 8.15 The actual

reinforcement
8.3 Assembled Structures
8.3.1 General Situation of Assembled Structures
Assembled reinforced concrete structure is one of the important directions for the
development of building structure in China. It is conducive to the development of
building industrialization, improving production efficiency, saving energy, develop-
ing green environmental protection buildings, and improving and ensuring the quality
of construction projects. Compared with the cast-in-place construction method, the
assembled reinforced concrete structure is advantageous to the green construction,
8.3 Assembled Structures 327
because the assembled construction can better meet the requirements of the green
construction such as saving land, energy, material, water and environmental pro-
tection, and reduce the negative impact on the environment, including reducing noise,
preventing dust, reducing environmental pollution, clean transportation, reducing site
interference, saving water, electricity, materials, and other resources and energy. The
assembled reinforced concrete structure meets the principle of sustainable develop-
ment. Moreover, the assembled structure can continuously complete many or all of
the working procedures in sequence, thus reducing the types and quantities of con-
struction machinery entering the site, eliminating the idle time of the process con-
nection, realizing the three-dimensional intersection operation and reducing the
construction personnel, thereby improving work efficiency, reducing material con-
sumption, reducing environmental pollution, and providing guarantee for green
construction. In addition, the assembled structure reduces construction waste to a
large extent (accounting for 30–40% of the total municipal waste), such as waste steel
bar, scrap iron wire, scrap bamboo wood, scrap concrete, etc.
As a part of the whole building, the attached underground structure can adopt the
reinforced-concrete-shaped members used in the superstructure.
8.3.2 Design Principles
1. Selection of structural types
① Full-assembled structure: In a full-assembled structure, the roof, column, wall,

and foundation are all assembled components manufactured in factories. The
continuity of beams and slabs and the rigid connection between beams and
columns are realized by reserving the connection of reinforcing bars and
adding reinforcing bars and cast-in situ concrete in the joints.
② Prefabricated-cast-in-place structure: Air defense basement structure will bear
a large impact wave load, especially the roof, such as the simple use of fixed
components in the roof of the ground building, may not meet the stress
requirements. One of the ways to solve this problem is to pour another layer of
concrete on the shaped members (prefabricated slabs), which increases the
working height of the roof and correspondingly enhances the bearing capacity
of the roof. When the precast and cast-in situ concrete work together, the
reinforced bar is determined according to the working conditions of the whole
section. In addition, a certain interval can be set between prefabricated
members, in which additional longitudinal and transverse reinforcement bars
can be placed, and then concrete can be poured to ensure its continuity.
In the assembled structure, prefabricated slabs or blocks can be used in the wall.
When prefabricated wallboard is used, its structure is similar to that of roof. When
prefabricated blocks are used to build walls, they are often found in basements in
dry soil. When the wall needs to be strengthened due to bending, a layer of rein-
forced concrete can be poured inside and outside the wall. Whether strip foundation
or column foundation, prefabricated or integral foundation can be adopted, and the

structure of prefabricated foundation is very simple.
On the prefabricated members which cannot meet the cross-section require-
ments, reserve reinforcement bars, and then pour a layer of concrete on them to
reach the cross-section calculation height. This is prefabricated-cast-in situ com-
posite members, referred to as composite members. Composite members are one of
the main types of prefabricated-cast-in-place components with high technical and
economic indicators, which have been widely recommended in some countries,
especially in roof structures. When the basement is a slab–column roof, because of
the complex structure of the column head, the composite members are only used
under certain conditions. Composite members are mostly used in beam–slab
structure, not only in the roof but also in the wall.
The main advantages of prefabricated-cast-in-place structure are as follows:
① Some components are produced in factories, which can ensure the quality,
and are constructed by mechanical assembly with high speed. When
cast-in-place concrete is used, prefabricated components are used as form-
work to save wood.
② The joints are cast-in-place integrally and connected with steel bars, which
have the necessary stiffness to ensure the spatial stability of the structure.
③ The continuity of the assembled structure at the middle support is easy to
realize. The steel bars at these supports are placed before the concrete is
poured, and can be changed according to the need.
④ The joints of the components are all cast-in-place concrete, which ensures the
tightness of the precast components to be connected.
The dynamic and static load experiments of precast-cast-in-place composite beams

and slabs show that there is no obvious difference between the integrity of
precast-cast-in-place composite slabs and the cast-in-place composite slabs under the
loads of a large number of air defense basements, which can ensure the joint work of
the two parts of concrete slabs. Practice shows that this structure is convenient for
construction, shortens construction period, saves formwork, and guarantees quality. It is
feasible to popularize this kind of structure under the existing conditions.
At present, in addition to a large number of stereotyped prefabricated slabs in our
country, because of their good lifting capacity, the prefabricated bi-directional slabs
made according to the size of the Bay are adopted, and then the cast-in situ concrete
layer is made on them, and the bearing steel bar is allocated. This constitutes a
continuous two-way plate.
In the design work, the prefabricated or prefabricated-cast-in-place structure
should be adopted on the premise of meeting the requirements of safety, economy,
and integrity.
2. Several principles in the design of composite plates
Although the application of overlapping structures has gained some experience, it is

still a new subject for civil air defense engineering, which needs further research,
8.3 Assembled Structures 329
development, and improvement. At present, the following principles should be

followed in the design of composite panels in actual civil air defense projects.
① At present, the composite slab structure is only used in a large number of air
defense basements, especially the brick wall bearing hybrid structure, with a
general beam–slab structure roof, the span should not be greater than 4 m. For
the general industrial factory buildings with m-pillar network or large-span
public buildings, if the one-way slab is used, the amount of reinforcement will
be increased. Whether the composite slab is used or not should be considered
as appropriate.
② The load taken in the design should be the total load of the roof, including
dynamic load and static load.
③ When calculating the internal force, the single simply supported or continuous
plate is considered, and the two-way continuous plate is also considered when
conditions permit.
④ The cross section of the laminate consists of prefabricated and
cast-in-place parts. If the structural requirements of the design can be guar-
anteed, the two parts can be regarded as the whole work together for section
design and reinforcement. When calculating according to the design of simply
supported slab, the main bars are all arranged in the prefabricated slab; when
calculating according to the continuous slab, it is advisable to adopt separate
reinforcement, configure the tension steel bar in the middle span in the pre-
fabricated slab, and configure the negative moment steel bar in the support in
the cast-in-place slab.
⑤ Prefabricated boards shall be checked according to the following conditions:
A. The strength of prefabricated slabs is checked according to the standard loads

during fabrication, transportation, and hoisting.
B. The strength and deflection of prefabricated slabs should be checked according
to the construction loads, including the weight of prefabricated slabs and cast-in
situ concrete, and the deflection should not be greater than l0 =200 (l0 is the
calculation span of slabs).
3. Structural requirements
At present, the use of composite slabs in the roof of air defense basement in China
is still in the stage of popularization, which needs continuous improvement and
conservative structural requirements. The following are several structural require-
ments for the use of composite slabs:
① At present, the prefabricated composite slab is limited to solid plywood.

② In order to ensure the integrity of the composite slab, the upper surface of the
prefabricated board should be wooled and made into serrated or grooved teeth.
③ The anchorage structure of composite slab and wall should be handled
according to the requirements of the code.
④ The effective supporting length of one end of the composite plate extending into
the wall should be calculated according to the cast-in situ slab.
⑤ Between the two prefabricated boards on the middle wall, the space should be
left for cast-in situ concrete.
⑥ In order to ensure that the prefabricated slab and cast-in situ slab can be
closely combined to form a whole, besides taking necessary measures in the
design, the construction quality is very important. It is necessary to clean the
surface of the prefabricated slab and the interspace of the prefabricated slab,
such as impurities and oil stains, remove the water, and then brush the plain
cement slurry together, and then pour concrete. Concrete between slab joints
must be poured and tampered.
8.4 Entrance and Exit of Attached Underground

Structures
The entrance of air defense basement is an important part of the whole building. In
wartime, it is easy to be destroyed, resulting in blockage of the mouth, affecting the
use of the entire construction site and the safety of personnel. Therefore, enough
attention must be paid to the design. The following is a brief introduction of the
content related to structural design.
8.4.1 Indoor Entrance and Exit
In order to connect basement with ground buildings, especially to create conditions

for peacetime and wartime integration, each independent air defense basement has
at least one indoor entrance and exit. There are two types of indoor entrances and
exits: staircase type and shaft type. As the main entrance and exit for people, it is
mostly ladder like. Its location is often located near the stairwell of the upper
building. The main entrance and exit are wartime safety entrance and exit, which
can be used to transport goods in peacetime.
1. Ladder type
The staircase entrance located near the stairwell is mainly used in peacetime. It has
a great possibility of collapse and blockage in wartime (or earthquake), which is a
serious problem. As a result, it is difficult to be the main entry and exit in wartime.
The exterior wall of the air defense basement located in the passageway outside the
protective door (protective closed door) is called “air-proof wall”. There is no soil
layer on the outside of the wall. Its thickness should meet the requirements of
preventing early nuclear radiation. At the same time, it is directly affected by shock
wave, and the dynamic load is much larger than that of the general external wall.
Therefore, in the plane design, first of all, we should try to minimize the wall, and
secondly, under possible conditions, we should try to improve the stress conditions
of the wall. For example, fill the outside of the wall to make it non-wall, or arrange
8.4 Entrance and Exit of Attached Underground Structures 331
small rooms (such as ventilator room, washing room, etc.) inside the wall to reduce
the effective length of the wall. In addition, in order to meet the requirement of
using large rooms in peacetime, the partition wall is not constructed temporarily,
and the partition wall is only made according to the design and repaired before the
war. The horizontal loads on this kind of wall are relatively large. It may be
necessary to adopt concrete or reinforced concrete structures. The internal force
calculation of this kind of wall is similar to that of the sidewall. In order to save
material, the reinforced concrete hollow wall can be calculated according to the
elastic–plastic working stage and ½b ¼ 2:0.
The indoor staircase entrance and exit of air defense basement, other wall, staircase
board and rest platform board unrelated to air defense basement except the empty wall,
generally do not consider the dynamic load of nuclear explosion, and can be designed
according to the ground buildings used in normal times. When the air intake is located
at the indoor entrance and exit, the stairwell near the entrance and exit can be properly
strengthened to avoid blockage and overkill and difficult to clean up.
In order to avoid building collapsing and blocking entrances and exits, it is
recommended to set up strong scaffolding.
2. Shaft type
When buildings in urban areas are dense and venues are limited, it is difficult to
locate outdoor safety entrances and exits outside the collapse area, and there is no
condition to connect with air defense branches, or several works are connected
together to use appropriate safety entrances and exits, some units put forward the
scheme of setting up indoor vertical safety entrances and exits, and made a
stereotype map. The shaft is a reinforced concrete square tube structure with inner
diameter, wall thickness of 20 cm, reinforcement diameter of 14 mm, and spacing
of 200 mm. The top of the shaft is under the roof of the ground floor building. In
order to avoid mutual interference, the shaft should be completely separated from
other structures, but this scheme cannot be considered perfect.
8.4.2 Outdoor Entrance and Exit
Each independent air defense basement, including each protective unit of the per-
sonnel shelter room, should have an outdoor entrance and exit, as the main entrance
and exit in wartime, and the outdoor entrance and exit should be arranged as far as
possible within the collapse scope of the ground building. Outdoor entrances and
exits also have two forms: staircase type and shaft type.
1. Ladder type
When outdoor entrances and exits are regarded as the main entrances and exits in
wartime, ladder type is generally adopted for the convenience of personnel entering and
leaving. The camouflage awning installed at the outdoor stepped entrance and exit
should adopt light structure so that it cannot be blown away under the action of shock
wave, so as to avoid blocking the entrance and exit, and other buildings above the
ground should not be built. Because outdoor entrances and exits bear more loads than
indoor entrances and exits, reinforced concrete structures are generally used for the
empty walls of outdoor staircase entrances and exits. In addition to internal forces,
structural reinforcement bars should be allocated in the compression zone, and structural
reinforcement bars should not be less than 1/3–2/3 of the stressed reinforcement bars.
The open section (no roof section) sidewall of outdoor stepped entrance and exit
is designed according to the general retaining wall without considering the action of
dynamic load inside and outside.
When the outdoor entrances and exits are unconditionally located outside the
collapse area of ground buildings and cannot be connected with other basements,
the scheme of setting up a strong scaffold at the outdoor entrances and exits can also
be considered.
2. Shaft type
Outdoor safety entrances and exits generally adopt the shaft type, and should also be
arranged as far as possible outside the collapse scope of ground buildings. When
calculating a shaft, the normal uniform load generated by compression wave in soil is
generally considered, regardless of whether there is a cover or not, and the effect of
internal pressure is not considered. Experiments show that the equivalent static load of
shock wave acting on the wall near the entrance and exit of the vertical shaft outdoor is
smaller than that of the staircase type, but larger than that of the indoor type. The
channel structure outside the first gate is not only subjected to compression wave
external pressure but also to shock wave internal pressure. According to the relevant
literature, the channel structure generally only considers compression wave external
pressure, and does not consider the role of shock wave internal pressure.
When the vertical outdoor entrance and exit cannot be located outside the col-
lapse area of the ground building, it can also be considered to be built on the side of
the external wall of the building, whose height can be at the level of the roof of the
building stratum.
8.4.3 Ventilation Lighting Hole
In order to implement the principle of combining peacetime with wartime and

create conditions for the use of natural ventilation and daylighting in peacetime,
ventilation and daylighting holes can be opened in the basement air wall, but
necessary measures must be taken in design to ensure the basement’s ability to
prevent nuclear explosion shock wave and early nuclear radiation. Based on the
existing experience, the following are introduced:
1. General principles of design

① When the level of protection is higher, the structure bears a larger load, and the
strengthening measures of the window are more complex. Therefore, only a
large number of air defense basements have ventilation and lighting holes. The
air defense basement with a slightly higher grade should not set up ventilation
and lighting holes, but should adopt mechanical ventilation.
8.4 Entrance and Exit of Attached Underground Structures 333
② Too many and too large openings will make it more difficult to deal with the
protection. Therefore, the width of openings in air defense basement should not
be greater than 1/3 of the basement opening size, and should not be greater than
1.0 m.
③ Before the war, the ventilation and lighting wells must be filled with clay.
Because the clay is compact and reliable, it can meet the requirements of
preventing early nuclear radiation.
④ A protective baffle should be installed on the ventilation and lighting tunnel.
Considering the backfilling conditions mentioned above, it can be considered
that the load of the baffle and the wall inside the window well is the same as
that of the side wall, and the calculation of the baffle is basically the same as
that of the protective door.
⑤ Reinforced concrete columns and beams should be used to strengthen the
periphery of the opening, so that the bearing capacity of the sidewall does not
decrease because of the opening. The calculation of columns and beams can be
considered according to the flexural members hinged at both ends of beams.
⑥ Whenever the side walls of ventilation and lighting holes are opened, the girders
on the upper edge of the holes should be checked according to the girders.
2. Structural measures of the cave entrance

① The upper main reinforcement of reinforced concrete columns on both sides of
the opening of brick external wall should be extended into the roof, and the
anchorage length should not be less than 30d (d is the diameter of the main
reinforcement in the column, the same below); if the lower end of the column
is a strip foundation embedded below the indoor ground, 500 mm. For the
reinforced concrete integral foundation, the anchorage length of the main
reinforcement should be no less than 30 d (Fig. 8.16).
② Brick exterior wall should be made up of six leather bricks and three tie bars of
6 mm in diameter along both sides of the opening. The length of one end of
the tie bar extending into the wall is not less than 500 mm, and the other end is
tied with the reinforcement in the column (Fig. 8.16).
Fig. 8.16 Structure for entrance

Fig. 8.17 Configure of oblique structural steel bar
③ In plain concrete exterior walls, reinforced concrete columns are erected along
the walls at both sides of the entrance. The main reinforcements at the upper
and lower ends of the columns should be inserted into the roof and floor,
respectively. The anchorage length should not be less than 30d (Fig. 8.16).
④ The reinforced concrete exterior wall, besides the reinforcement bars set on
both sides of the opening according to the plain concrete exterior wall, should
tie the truncated reinforcement bars in the scope of the opening with the
reinforcement bars around the opening.
⑤ When there are ventilation and lighting holes in reinforced concrete and
concrete exterior walls, oblique structural reinforcement bars should be set at
the four corners of the entrance, three at each corner, 12 mm in diameter. The
length of anchorage at one end is not less than 30d (Fig. 8.17).
The strengthen reinforcement around the opening is based on the following

conditions:
① Equivalent static load of sidewall of air defense basement should be selected
according to regulations; ② the backfill in ventilation and lighting wells should be
considered as clay; ③ the width of the opening is 1.0 m; ④ the calculated height of
reinforced concrete column is 2.6 m; and ⑤ reinforced concrete beams and col-
umns are calculated as flexural members hinged at both ends.
8.5 Research and Development of Attached Underground

Structures
8.5.1 Questions to Be Studied
(1) Waterproof. Because the underground space structure is buried in the soil, and
is surrounded by water in quite a number of cases, the soil and water condi-
tions are complex, the surface water of various chemical elements and
8.5 Research and Development of Attached Underground Structures 335
corrosive media in the water is in fluctuation and pressure on the structure in

the perennial season, the penetration and corrosion of water will cause damage
to the durability, and strength of the maintenance structure. Therefore, the
waterproof and moisture proof of underground buildings has always been an
important aspect worthy of study. The underground structure waterproofing
mainly includes rigid waterproofing and flexible waterproofing.
(2) Computational theory and method. From the practice of underground space
structure, comparing the thickness of structural components, reinforcement
and other aspects, the design of similar projects under similar conditions,
although unified according to the code, but the results of different calculation
methods are quite different. As mentioned above, the problems in the wall-
board and thick plate foundation are mainly reflected in the enclosure structure
and the floor or foundation in contact with the soil. The interaction between
soil and structure is still worthy of further study. The ultimate performance is
the accuracy of calculation theory and model, which tends to conservative
design and calculation in practice.
(3) Combination of peacetime and wartime and protection. It is a design principle
under long-term peaceful conditions to combine peacetime with wartime in the
auxiliary structure. From 1960s to 1980s, the principle of “giving priority to
wartime” made many projects designed to have protective capability and
installed a large number of protective equipment (dust removal, poison fil-
tering, protective door, wave elimination valve) according to wartime
requirements. After several years, because they could not be maintained
regularly and were not in use, most of these equipment was abandoned,
causing great economic losses. We believe that in relatively peaceful times,
underground space protection buildings still adhere to the basic principle of
“peacetime-oriented, peacetime–wartime integration,” and in turbulent and
tense times adhere to the principle of “wartime-oriented, peacetime-wartime
integration.” In order to achieve long-term preparation, it is not an
investment-benefit criterion. Designing non-protective capability in a long
period of peace can effectively transform these projects into projects with
certain protective level in a very short time once they are in a tense state of
readiness. This is the so-called prewar reinforcement project, which is mani-
fested in the functional transformation between peacetime and wartime. This is
a very promising subject to be studied for a long time.
(4) Deep foundation settlement and foundation pit support. Because the attached
structure is often combined with the ground building, some high-rise buildings
have large underground space, such as underground street, garage, subway,
comprehensive pipeline corridor, and other functions, which inevitably
involves the uneven settlement of the building, the setting of deformation
joints, construction methods, and support. Although great progress has been
made in these areas, there are still many problems. The main manifestations
are as follows: less research on the characteristics of soil re-compression after
rebound, inaccurate calculation of settlement, load relationship between
construction method and structure use stage, relationship between support

structure and stability, anti-floating of deep foundation, etc.
(5) Large-span and large-scale underground engineering. With the development of
underground space buildings, the application of large-scale complex structures
and large-span structures in underground space has gradually become a
practical need, which involves a series of related research topics of architec-
ture, structure, equipment, construction, and design theory.
Underground space engineering is an important direction of architectural

development in the twenty-first century, and it is also a new subject of architectural
engineering. In addition to the abovementioned research, soil mechanics, soil–
structure interaction, environmental geotechnical engineering, and earthquake
damage to underground buildings need to be further studied.
8.5.2 Development of Attached Underground Structures
In the twenty-first century, underground space will have a great development, urban
land use shortage and human demand for space resources, underground space will
develop from shallow to sub-shallow and deep layer. In the process of develop-
ment, it will promote the progress of construction, design, and other methods.
Attached underground buildings are easy to construct and meet the requirements
of use, and have good protection methods. Modern war centered on high-tech
weapons gives us many hints and inspirations for the design of attached under-
ground structures, how to classify the attached protective structures into grades and
standards, the targets and scope attacked by high-tech weapons, and the protective
relationship with different types of projects need to be further studied.
8.6 Summary
(1) Attached underground structure refers to the basement built under a stronger
building according to certain protection requirements, also known as “air
defense basement” or “attached civil air defense works”. In addition, the
underground structure formed by the construction of ground buildings above
the excavation works already built or by the construction of excavation works
within existing ground buildings can also be called the auxiliary underground
structure.
(2) The main forms of attached underground structures can be beam–slab struc-
ture, slab–column structure, box structure, frame structure, arch shell structure,
outer wall inner frame, and wall–slab structure.
8.6 Summary 337
(3) The design of beam–slab structure mainly includes the design and calculation
of roof, sidewall, foundation, and load-bearing inner wall.
(4) The entrance design of the attached underground structure includes the indoor
entrance and exit, the outdoor entrance and exit, and the ventilation and
lighting tunnel.
Problems
8:1 What is the attached underground structure? What are the forms, utilizations,
and characteristics of attached underground structures?
8:2 What kinds of loads are attached to underground structures? How to determine
the load of the attached underground structure?
8:3 Briefly describe the main points of the design of the attached underground
structure.
8:4 Briefly describe the importance and characteristics of the entrance structure of
the attached underground structure.
8:5 What are the characteristics of the protective requirements for the roof, wall,
and entrance of the attached structure? How is it structurally handled?
8:6 Briefly describe the main structural requirements of auxiliary underground
structures.
8:7 Briefly describe the calculation method of internal force of bi-directional
continuous plate and multidirectional continuous plate.
Design of Underground Continuous
Walls 9
9.1 Introduction
The underground continuous wall originated from Europe. Since it was first used in
the construction of a reservoir dam in Italy at the year of 1950, the underground
continuous wall has made rapid progress. The underground continuous wall was
first applied in water resources and hydropower engineering around the world, then
extended to the construction, municipal, transportation, mines, railways and envi-
ronmental protection departments. The initial thickness of the underground con-
tinuous wall is generally not more than 0.6 m and the depth is not more than 20 m.
By 1980s, with the improvement of technical equipment, the technology developed
rapidly. In this period, the underground continuous wall with a thickness of over
1.2 m and a depth beyond 100 m was constantly emerging. And there was the
underground continuous wall with ultra-thickness and ultra-depth by 1990s.
Chinese hydropower department first made use of the underground continuous
wall to construct cutoff walls of the dam in Qingdao at the year of 1958, the coal
mine vertical shaft was constructed by the soldier pile wall technology in 1974 and
the underground continuous wall with plates was first used after the Tangshan
earthquake. In the recent decades, the underground continuous wall technology has
obtained great achievements in both engineering practice and theoretical research.
At present, there are lots of projects using the underground continuous wall, such as
the Beijing Wangfujing Hotel, Guangzhou White Swan Hotel, Jin Mao Tower,
Pudong International Financial Hotel, Central Plaza, Changfeng ocean world, and
Helen Hotel. Above all, there is no doubt that the underground continuous wall
plays a more and more important role in underground construction.
https://doi.org/10.1007/978-981-13-7732-7_9
340 9 Design of Underground Continuous Walls
9.1.1 Construction Method of Underground Continuous

Walls
First of all, the guide wall should be excavated and set along the axial direction
of the underground diaphragm wall. Then a long and narrow deep groove is
drilled under the condition of the mud protection and the joint pipe is installed at
both ends of the deep groove. After clearing the bottom sediment, the rein-
forcement cage is put into the groove. Finally, we should pour the concrete into
the groove to form a reinforced concrete wall. Without the pipe joints, we should
connect each wall one by one to form a continuous underground wall. Under-
ground continuous walls have the effect of impervious, retaining and bearing.
The construction procedure of underground continuous walls is shown in
Fig. 9.1.
The characteristic of this method is that the special liquid is always filled with
the groove as the support. This liquid was originally a solution of bentonite and
water, which mixture ratio of should meet the requirements of stability. Recently, in
order to increase the function of stabilizing liquid and prevent its function
decreasing, we use bentonite as well as some additives to form a mixture called
stabilizer or slurry.
Underground continuous walls built with the slurry meet the strength
requirement.
Fig. 9.1 Construction procedure. a Guide wall; b Drill the unit groove; c Install joint pipes;
d Clear the bottom sediment; e Reinforcement cage; f Pour concrete; g Pull out joint pipes; h Drill
the next
9.1.2 Characteristics and Applicable Occasions

of Underground Continuous Walls
There are five main advantages of underground continuous walls as follows:
(1) Reduce environmental impact during construction.

(2) As the large rigidity and good integrity of the underground continuous wall,
the deformation of structure and foundation is relatively small. In other words,
it can be applied to the ultra-deep maintenance structure and also be the main
structure.
(3) Good durability and impermeability.
(4) The top-down construction, which is appropriate for underground continuous
walls, is beneficial to the safety, accelerate the construction progress and
reduce the cost.
(5) Be suitable for various geological conditions.
At the same time, there are also five main disadvantages of underground con-
tinuous walls as follows:
(1) The problem of dealing with the waste mud and soil. This problem may cause
new environmental pollution without being properly handled.
(2) Applicability of geological conditions and construction. When the geological
conditions are complex, the difficulty of construction and the cost will
increase.
(3) The groove wall stabilization problem. There are lots of reasons for this
problem, such as the rise of groundwater level, the existence of the weak layer
and so on.
(4) Usually, the wall is rough. If the requirement for the wall is high, it can be
improved by spraying or sandblasting, which will increase the workload.
(5) It will be an economical way to use the steel sheet pile which is reusable, if the
underground continuous wall is a temporary retaining structure during
construction.
The underground continuous wall is usually suitable for the occasion as follows:
(1) The depth of the foundation pit is more than 10 m.

(2) Soft soil or sand foundation.
(3) Underground works, which are strictly restricted to the ground settlement and
displacement around the foundation pit, are under the construction of dense
buildings or important underground pipelines.
(4) As a part of the main structure with good impermeability.
(5) The reverse construction method is adopted to form a composite structure of
lining and retaining wall.
9.2 Design of Underground Continuous Walls
The main contents of the design and calculation of underground continuous walls
are as follows:
(1) Determine the load of each working condition in the construction process and
service stage, the soil and water pressure of the continuous wall, and the
vertical load from the upper part.
(2) Determine the depth of underground continuous walls to meet the requirement
of piping resistance, heave resistance, global stability and foundation bearing
capacity.
(3) Check the stability of the excavated groove wall. Adjust the length, width and
depth, if necessary.
(4) Internal force analysis and deformation checking of underground continuous
walls including walls and supports.
(5) Design of the section in underground continuous walls, including design of the
reinforcement in the wall and support, the checking of the strength at the
section, the checking of the joint strength and the construction treatment.
9.2.1 Slot Amplitude Design and Stability Checking
1. Slot amplitude design
Slot amplitude refers to the length of groove wall formed by one excavation of
diaphragm wall. Contents of the slot amplitude design include determining the
length of the groove wall and the groove division. In theory, various lengths can be
constructed, and the longer the better, except the size which is less than the length
of drilling machines. The groove length can influence not only the waterproof
performance and integrity, but safety as well. So the actual length needs to be
determined based on the following factors:
① The formation of the soil layer where underground continuous walls are and
the effect of the groundwater level on the stability.
② Thickness, depth, structure (relation between the column and main structure)
and shape (corners and ends) of underground continuous walls.
③ Influence on adjacent structures.
④ Capacity of the crane. Weight and size of the reinforcement cage.
⑤ The actual supply of concrete from the construction units.
⑥ Volume of the mud pool.
⑦ The area of the site that can be occupied and the time that it can work
continuously.
⑧ Model and the minimum excavated length of the groover.
9.2 Design of Underground Continuous Walls 343
In general, the length of the unit groove is based on the minimum excavated
length of the groover (length of an excavated unit). When the construction is not
restricted by the conditions and the site is big enough, the length can increase.
Generally, 5–8 m is enough, but 10 m or more can occur in some special situation.
Calculate the standard length of the unit groove:
L ¼ nW þ nD ð9:1Þ
Adjusting the standard length of the unit groove based on the size of structures,
the formula is as follows:
L ¼ nW nD ð9:2Þ
where L is the length of the unit groove (m); W is the opening width of grab (m);
D is the diameter of the guide hole; n is the number of excavation in unit grooves.
2. Check the stability of the groove wall
Checking the stability of the groove wall is an important part of the underground
continuous wall, there are two methods including the theoretical and the empiri-
cal method. Here, two empirical formula methods are introduced.
(1) Meyerhof Empirical formula
Meyerhof proposed the following formula based on field tests.

The critical depth Hcr of the excavated groove can be calculated by the following
formula:
N cu
Hcr ¼ ð9:3Þ
K0 c0 c01

B
N ¼ 4 1þ ð9:4Þ
L
where cu is the Undrained shear strength of the clay (kPa); K0 is the coefficient of
0 0
earth pressure at rest; c is the effective gravity of the clay (kN/m3); c1 is the
effective gravity of the clay (kN/m3); N is the bearing capacity factor of the strip
foundation; B is the plane width of the groove wall (m); L is the plane length of the
groove wall (m).
The collapse safety factor Fs of the groove wall can be calculated as the fol-
lowing formula:
N cu
Fs ¼ ð9:5Þ
P0m P1m
where P0m and P1m are the horizontal pressure strength of the outside (soil pressure)
and the inner (mud pressure) trough at the bottom of the excavation, respectively.
The transverse deformation D of the excavated groove wall can be calculated by
the formula as follows:
zL
D ¼ 1 l2 K0 c0 c01 ð9:6Þ
Es
where z is the depth the point under consideration (m); Es is the compressive
modulus of the soil (kN/m3); l is Poisson’s ratio of soil.
For the clay, when l ¼ 0:5, Formula (9.6) can be written as follows:
zL
D ¼ 0:75 K0 c0 c01 ð9:7Þ
Es
(2) Empirical formula for the sand
For the sand, the safety factor can be calculated by the formula as follows:
1
2ðc c1 Þ2 tanud
Fs ¼ ð9:8Þ
c c1
where c is the gravity of the sand (kN/m3); c1 is the gravity of the mud (kN/m3); ud
is the internal friction angle of the sand.
From Formula (9.8), we can know that there is no critical depth for the sand and
Fs is a constant.
9.2.2 Design of the Guide Wall
Guide walls are an essential part of the underground continuous wall, which must
be carefully designed.
Forms of guide walls are related to the material. The reinforced concrete guide
wall is the most commonly used, of which the reinforcement ratio is generally low.
Basic sections of guide walls include the board-shaped, the C-shaped, the L-shaped
and the framework as shown in Fig. 9.2. In some special cases, we should design
the special forms based on the basic forms mentioned above.
The thickness of the guide wall is usually 0.15–0.20 m and the depth is about
1.5 m. The guide wall is usually made of C20 concrete, and the horizontal rein-
forcement must be connected to make the guide wall as a whole. The wall surface
should be more than 100 mm above the ground to prevent the surface water flowing
into the groove, which can pollute the mud. The inner wall of the guide wall should
be parallel to the axis of the underground continuous wall and the maximum
Fig. 9.2 Section of the guide wall. a Board; b C; c L; d Framework
allowable deviation from the axis is ±10 mm. The clear distance between the
inner and outer guide wall should be thicker than the underground continuous
wall about 50 mm and the surface of walls should be vertical. The top surface of
the guide wall should be horizontal, the height difference within the full-length
range should be less than 10 mm, and the local height difference should be less
than 5 mm.
9.2.3 Design of the Thickness and Depth of Underground

Continuous Walls
1. Design of thickness
The thickness of the underground continuous wall should be determined by the

specification of the groove machine, the requirement of impermeability, the force
condition of walls and calculation of the deformation. The commonly used wall
thickness of cast-in-place underground continuous walls is 600, 800, 1000 and
1200 mm. And the thickness of prefabricated underground continuous walls should
be less than the width of the groove and 800 mm.
2. Design of depth
We first assume the embedded depth of the underground continuous wall based on
the experience, which usually is 0.7–1.0. The depth also can be calculated first by
the two methods below. In addition, the global stability, the basal heave stability,
the basal anti-seepage stability and so on need to be checked.
(1) the free stability at the bottom of sheet piles
The free stability is that the bottom of the sheet pile has just changed from the
freedom (the embedded depth is too small) to a stable state. Under the three forces
(T, Ea and Ep ), the sheet pile reaches a state of balance as shown in Fig. 9.3, where
Ea is the joint force of the active soil pressure and Ep is the joint force of the passive
soil pressure. So we can get the supporting axialP force T and the
Pembedded depth D
through two equilibrium equations, which are X ¼ 0 and M ¼ 0.
Fig. 9.3 The free stability at

the bottom of the sheet pile
Fig. 9.4 The fixed end

(cantilever sheet pile)
(2) the fixed end at the bottom of sheet piles
When the embedded depth is big or the bottom reaches the hard layer, we can see
the bottom as the fixed end.
The deflection curve of the cantilever sheet pile is the dashed line shown in
Fig. 9.4. In the figure, there is a couple consisting of Ea and Ep . Then we need to
assume that there is a force Ep2 towards the left to keep the structure balance. As a
result, there are two unknown quantities Ep1 and D, which can be calculated by two
equilibrium equations.
For the sheet pile with support, there is an inflection point in the deformation
curve as shown in Fig. 9.5. There are three unknown quantities (T, D and Ep2 ), but
there are only two equilibrium equations. In order to solve this problem, there are
lots of methods and the elastic curve method is a typical method. First, we should
assume an embedded depth. Under the soil pressure (assumed to be known), we can
draw the sheet pile deflection curve based on the beam theory to check whether the
displacement of the action point (under the force T) is the same as the actual
displacement. We can assume that the displacement is zero to simplify the
calculation.
Fig. 9.5 The fixed end (sheet

pile with supports)
If the deflection curve at the point T is not zero, we should assume D again and
get the deflection curve. Repeat the above steps until the displacement at point T is
zero. Because this method is complex, we always adopt the approximate solution of
the elastic curve method. One of the approximate calculation is called the imagine
beam method. For this method, we should find the position of the inflection point
and assume the moment to be zero. Then the sheet pile can be divided into two
beams: the upper part is a simple supported beam and the lower is a one-order
statically determinate frame as shown in Fig. 9.6.
9.2.4 Static Calculation of Underground Continuous Walls
1. Yama Mayo Hodan Method
(1) Accurate solution

This method, in which the axial force and moment of walls don’t change, is based
on some measured phenomenon as follows:
① After the set of next support, the axial force last support almost remains
unchanged or slightly changes.
② The deformation of walls above the point of next support is mostly produced
before the set of next support.
③ The moment of walls above the point of next support is mostly produced
before the set of next support.
Based on these measured phenomena, Yama Mayo Hodan proposed the calcu-
lation method of supporting axial force and wall bending moment not changing
with the excavation process. The schematic diagram is shown in Fig. 9.7, and its
basic assumption is as follows:
Fig. 9.6 Imagine beam method
Fig. 9.7 Sketch of Yama

Mayo Hodan’s precise
solution
① The wall is an infinitely long elastic body in clay.

② The soil pressure at the back of walls is taken as a triangle above the exca-
vation face and is taken as a rectangle below the excavation face (the static soil
pressure on the side of the excavation is offset).
③ The lateral resistance of the soil below the excavation face can be divided into
two parts. The height of the plastic area, which reaches the passive soil
pressure, is l. And the elastic area where the resistance is linear with the
deformation of the wall.
④ The support is the fixed point after setting the support.
⑤ After setting the next support, the axial force of last support remains
unchanged and the wall above the next support keeps the original position.

of approximate solution
As a result, the whole cross-sectional figure can be divided into three regions
including the region between the kth support and the excavation face, the plastic
region and elastic region below the excavation face. Then the elastic differential
equation is established. According to the boundary and continuous conditions, the
formula of axial force, displacement and internal force can be derived. Because the
formula contains the fifth-order unknowns, the calculation is complicated.
(2) Approximate solution
The Japanese scholar proposes the approximate solution to simplify calculation as

shown in Fig. 9.8, the fundamental hypotheses are shown as follows:
① The wall is a finitely long elastic body with the free bottom in clay.
② The soil pressure acting on the back of walls is taken as a triangle above the
excavation face and is taken as a rectangle below the excavation face (the
static soil pressure on the side of the excavation is offset).
③ The lateral resistance of the soil below the excavation face comes from the
passive soil pressure, where ðnx þ fÞ is the value of passive soil pressure
minus static earth pressure.
④ The support is the fixed point after setting the support.
⑥ The point, where the moment is zero, can be seen as a hinge. At the same time,
the shear transfers from the wall below this hinge to the above is ignored.
The approximate solution only needs to use two static equilibrium equations:
X X
Y ¼0; MA ¼0
P
From Y ¼0, we can get the solution:
1 X
k1
1
Nk ¼ gh20k þ gh0k xm Ni fxm nx2m ð9:9Þ
2 i¼1
2
P
From MA ¼0, we can get the solution:
1 3 1
nx ðgh0k f n hkk Þx2m ðgh0k fÞhkk xm
3" m 2
X
k1 X
k1 # ð9:10Þ
1 2 1
Ni hik hkk Ni þ gh0k hkk h0k ¼0
i¼1 i¼1
2 3
where Ni is the axial force at the ith support; h0k is the distance from the point where
the active pressure is zero to the excavation face; hik is the distance from the ith
support to the excavation face; hkk is the distance from the last support to the
excavation face; xm is the distance from the excavation to the hinge.
According to the comparison of calculation results, it is considered that the
approximate solution of the axial force at the support is slightly larger than the
accurate solution, which is more conservative. The approximate solution of the wall
moment is similar to the accurate solution except for the negative moment and the
maximum moment is only 10% larger than the accurate solution, which is more
conservative too.
(3) Some common calculation methods used in China
The fundamental hypotheses are the same as the method proposed by the Japanese
scholar. But it is different in the water and soil pressure at the back of the wall. And
the water pressure below the excavation face is considered to be attenuated to zero.
The soil resistance at the passive side is considered to reach the passive soil
pressure. In order to distinguish from the method proposed by Japanese scholar
which has minus static soil pressure, we use ðwx þ vÞ instead of ðnx þ fÞ as shown
in Fig. 9.9.
According to the static balance condition, we can get the formula about Nk and xm .
P
Y ¼0
X
k1
1 1 1
Ni Nk vxm wx2m þ gh20k þ gh0k xm ðbh0k axm Þxm ¼ 0 ð9:11Þ
i¼1
2 2 2

of domestic general solution
where b ¼ ga
1 2 1 X
k1
1 1
Nk ¼ gh0k xm þ gh0k wx2m vxm Ni bh0k xm þ ax2m ð9:12Þ
2 2 i¼1
2 2
P
MA ¼0
X
k1
1 2 1 1 h0k
Ni ðhik þ xm Þ þ Nk ðhkk þ xm Þ þ vxm þ wx3m gh20k þ xm
2 6 2 3
1 ð9:13Þ
xm 1 x2
gh0k xm þ ðbh0k axm Þ m ¼0
2 2 3

1 1 1 1 1 1 1
ðw aÞx3m gh0k v whkk þ xhkk bh0k x2m gh0k v bh0k hkk xm
3 2 2 2 2 3 2
" #
X
k1 X
k1
1 1
Ni hik hkk Ni þ gh20k hkk h0k ¼0
i¼1 i¼1
2 3
ð9:14Þ
2. Elastic method
The method is shown in Fig. 9.10. The wall is an infinitely long elastic body solved
by the differential equation. The wall as an infinitely long elastic body is solved by
the differential equation. The soil pressure on the active side is known, but there is

diagram of elastic method
only the soil resistance on the passive side below the excavation face. The value of
soil resistance is proportional to the wall displacement. And the other hypotheses
are the same as the method proposed by the Japanese scholar.
Tongji University has modified this method locally. The difference is the con-
sideration of the water and earth pressure on the active side below the excavation
face as shown in Fig. 9.11. The fundamental hypotheses are shown as follows:
① The wall is an infinitely long elastic body.

② The water and soil pressure is known, of which the distribution is assumed be
a triangle.
③ The soil resistance to the wall under the excavation face is assumed to be
linear with the deformation of the wall.
④ The support is the fixed point after setting the support (floor).
Symbol regulation: y is the deformation of the wall (m), kh is the foundation soil
coefficient of horizontal subgrade reaction (kN/m3), Es ¼ kh B is the lateral
elastic modulus of the formation (kN/m2), E is the elastic modulus of the wall
(kN/m2), I is the cross-section moment of inertia per meter in the horizontal
direction of the wall (m4), B is the horizontal length of the wall, which is generally
taken as 1 m, g is the slope of the water and soil pressure.
Formula Derivation:
(1) Establishing the equation of elastic curve
1) The region from the kth support to the excavation face ðhkk x 0Þ
Fig. 9.11 Fundamental

hypotheses
1 Xk
M ¼ gðh0k þ xÞ3 Ni ðhik þ xÞ ð9:15Þ
6 i¼1
" #
d2 y 1 M 1 3
Xk
1
¼ ¼ gðh0k þ xÞ Ni ðhik þ xÞ ð9:16Þ
dx2 EI 6 i¼1
EI
dy1 g 1 X k
¼ ðh0k þ xÞ4 Ni ðhik þ xÞ2 þ C1 ð9:17Þ
dx 24EI 2EI i¼1
g 1 X k
y1 ¼ ðh0k þ xÞ5 Ni ðhik þ xÞ3 þ C1 x þ C2 ð9:18Þ
120EI 6EI i¼1
d3 y 1 1 2
Xk
EI ¼ g ð h 0k þ xÞ Ni ð9:19Þ
dx3 2 i¼1
2) The elastic region below the excavation face ðx 0Þ
d4 y2
EI ¼q
dx4
d4 y 2
EI ¼ gðh0k þ xÞ Es y2
dx4
d4 y 2
EI þ Es y2 ¼ gðh0k þ xÞ ð9:20Þ
dx4
The general solution of the homogeneous equation corresponding to Formula

(9.20) is shown as follows:
y2;1 ¼ Heax cos ax þ Weax sin ax þ Aeax cos ax þ Feax sin ax
The special solution of inhomogeneous equations:

Take y2;2 ¼ Px þ R into Formula (9.20):
Es ðPx þ RÞ ¼ gðh0k þ xÞ
Es Px þ Es R ¼ gh0k þ gx
So
Es Px ¼ gx
Es R ¼ gh0k
g g
y2;2 ¼ Px þ R ¼ x þ h0k
Es Es
When x ¼ 1, EIy002 ¼ 0, and EIy000

2 ¼ 0, so both H and W are zero.
So the general solution of inhomogeneous equation is as follows:
g
y2 ¼ eax ðA cos ax þ F sin axÞ þ ðh0k þ xÞ ð9:21Þ
Es
qffiffiffiffiffiffi
Es
where a¼ 4 4EI
dy2 g
¼ aeax ½ðA F Þ cos ax þ ðA þ F Þ sin ax þ ð9:22Þ
dx Es
d2 y 2
EI ¼ 2EIa2 eax ½F cos ax A sin ax ð9:23Þ
dx2
d3 y 2
EI ¼ 2EIa3 eax ½ðA þ F Þ cos ax ðA F Þ sin ax ð9:24Þ
dx3
Solve the undetermined coefficient according to the continuous condition: y1 ¼
y2 and y01 ¼ y02 at x¼0.
g Xk
Ni 3
y1 jx¼0 ¼ h50k h þ C2
120EI i¼1
6EI ik
g
y2 jx¼0 ¼ A þ h0k ð9:25Þ
Es
Let y1 jx¼0 ¼ y2 jx¼0
g X
k
Ni 3 g
h50k hik þ C2 ¼A þ h0k ð9:26Þ
120EI 1
6EI E s
g 4 Xk
Ni 2
y01 jx¼0 ¼ h0k h þ C1
24EI i¼1
2EI ik
g
y02 jx¼0 ¼ aðA F Þ þ
Es
Let y01 jx¼0 ¼ y02 jx¼0
g 4 X
k
Ni 2 g
h0k hik þ C1 ¼ aðA F Þ þ ð9:27Þ
24EI 1
2EI E s
The internal force at x ¼ 0

From Formula (9.15):
g Xk
M0 ¼ h30k Ni hik
6 i¼1
From Formula (9.23)
M0 ¼ 2a2 FEI
M0
F¼ ð9:28Þ
2a2 EI
g X
k
Q0 ¼ h20k Ni
2 1
Q0 ¼ 2a3 ðA þ F ÞEI
Q0
A¼ F ð9:29Þ
2a3 EI
Substitute Formula (9.28) into Formula (9.29):

Q0 M0 1
A¼ 3 3 ¼ 3 ðQ0 þ aM0 Þ ð9:30Þ
2a EI 2a EI 2a EI
Substitute Formula (9.30) into Formula (9.26):
1 g X
k
Ni 3 g
5
C2 ¼ ð Q0 þ aM 0 Þ h þ h þ h0k ð9:31Þ
2a3 EI 120EI 0k i¼1 6EI ik Es
Substitute Formula (9.28) and (9.30) into Formula (9.27)
1 g 4 X
k
Ni 2 g
C1 ¼ ð Q 0 þ 2aM 0 Þ h þ h þ ð9:32Þ
2a2 EI 24EI 0k i¼1 2EI ik Es
(2) Final form of the elastic curve
1) in the region (hkk x 0)
y1 ¼ Nk A1 þ A2 þ A3 ð9:33Þ
1
Nk ¼ ð y 1 A 2 A3 Þ ð9:34Þ
A1
x 1 x 2 x
A1 ¼ ðhkk þ xÞ3 þ h þ hkk
2a2 EI 6EI 2EI kk aEI
ð9:35Þ
h3 1 hkk
þ kk 3 2
6EI 2a EI 2a EI
X
k1
Ni 2 X
k1
Ni 1 X k1
A2 ¼ hik x ðhik þ xÞ3 þ 2 Ni x
i¼1
2EI i¼1
6EI 2a EI i¼1
ð9:36Þ
1 Xk1 X
k1
Ni 3 1 X k1
1 X k1
þ Ni hik x þ hik 3 Ni 2 Ni hik
aEI i¼1 i¼1
6EI 2a EI i¼1 2a EI i¼1
g g g 4 g
A3 ¼ ðh0k þ xÞ5 þ x h x 2 h20k x
120EI Es 24EI 0k 4a EI
g 3 g g g g ð9:37Þ
h þ h0k h5 þ h2 þ h3
6aEI 0k Es 120EI 0k 4a3 EI 0k 12a2 EI 0k
g Xk
Mx ¼ ðh0k þ xÞ3 Ni ðhik þ xÞ ð9:38Þ
6 i¼1
g X
k
Qx ¼ ðh0k þ xÞ2 Ni ð9:39Þ
2 1
2) in the region (x 0)
g
y2 ¼ eax ðA cos ax þ F sin axÞ þ ðh0k þ xÞ ð9:40Þ
Es
Mx ¼ 2EIa2 eax ðF cos ax A sin axÞ ð9:41Þ
Qx ¼ 2EIa3 eax ½ðA þ F Þ cos ax ðA F Þ sin ax ð9:42Þ
All the above are the derivations of the elastic method.
3. Calculation method of supporting internal force changing with the excavation

process
Such methods consider the variation of the axial force and internal force in the wall
with the construction. The elastoplastic method in the basic design of Japanese
architectural structure belongs to these methods shown in Fig. 9.12. And the basic
characteristics are listed as follows:
Fig. 9.12 Supporting

internal force changing with
the excavation process
① Consider the elastic strain and the support replaced by a spring.

② The soil pressure on the active side can be the measured data and be assumed
the coordinate quadratic function.
③ The region in the soil is divided into two parts including the plastic region of
Rankine passive soil pressure and elastic region where the resistance is linear
with the deformation of the wall.
④ The wall is a finitely long beam. The front support can be free, hinged or fixed.
Symbol regulation:
Region ①: yi ¼ di þ gi
where yi is the displacement at the point i with support, di is the displacement at the
point i before supporting, gi is the displacement at the point i after supporting.
Region ②: yp is the displacement.
Region ③: yc is the displacement.
Establish the elastic cure equation

Region ①:
d4 y i
EI ¼ ai x2i þ bi xi þ Ci
dx4i
so

1 ai x6i bi x5i Ci x4i Ai x3i Bi x2i
yi ¼ þ þ þ þ þ Ci x þ Di
EI 720 120 24 6 2
where 0 xi hi ; i ¼ 1 ðK þ 1Þ; K is the number of supports; the number of

unknown quantities (Ai , Bi , Ci and Di ) is equal to 4ðK þ 1Þ.
Region ②: (The passive soil pressure below the excavation face is the constant.)

d4 y p 2
/
/
EI ¼ c tan 45 þ Z 1 þ 2c tan 45 þ P kþ1
dZ14 t
2 2
where ct is the moist unit weight of the soil (kN/m3).

2

/
Kp ¼ c tan 45 þ ; b ¼ Kp gct
2

/
bS0 ¼ 2c tan2 45
þ ; Zi ¼ 0 l
2
So

1 bZ15 bS0 Z14 E1 Z13 E2 Z12
yp ¼ þ þ þ E 3 Z 1 þ Z4
EI 120 24 6 2
There are four unknown quantities: E1 , E2 , E3 , E4 .

4
Region ③: EI d yc ¼ E y
dZ24 s c
1 az2
yc ¼ ½e ðF1 cos az2 þ F2 sin az2 Þ þ eaz2 ðF3 cos az2 þ F4 sin az2 Þ
EI
rffiffiffiffiffiffiffiffi
4 Es
a¼ ; Z2 ¼ 0 k
4EI
There are four unknown quantities: F1 , F2 , F2 , F4 .

The other unknown quantities: gi and the length of the region ②. The number of
the whole unknown quantities is ð5K þ 13Þ. Helping with ð5K þ 13Þ boundary
conditions and continuous conditions, we can get the solution of these unknown
quantities.
Region ①
(
Null point ½Mi 0 ¼ 0 One
½Qi 0 ¼ 0 One
½Mi hi ¼ ½Mi þ 1 K
½Qi hi þ Ki gi ¼ ½Qi þ 1 K
½hi hi ¼ ½hi þ 1 K
½yi hi ¼ ½yi þ 1 0 ¼ di þ gi
where ½yi hi ¼ di þ gi K
½yi þ 10 ¼ di þ gi K
Region ②
8
> ½Qk þ 1 hk þ 1 ¼ Qp One

>
>
< ½M
k þ 1 hk þ 1 ¼ Mp One

>
> ½hk þ 1 hk þ 1 ¼ hp One
>
:
½yk þ 1 hk þ 1 ¼ yp One

8
< Qp
l ¼ ½Qc
> One
Mp l ¼ ½Mc One
>
:
hp ¼ ½hc One
(
l
yp ¼ ½yc One

l One
Pp l ¼ ½Pc
Region ③: When the front support is hinged
½Mc k ¼ 0 One
½Qc k ¼ 0 One
For example, for the underground continuous wall with four supports, there are
33 unknown quantities and 33 equations, which can be solved by the computer.
4. Theory of the consistent deformation
The theory of the consistent deformation considers the effect of wall displacement
on soil pressure, which is suggested by a Japanese called Senki Ryoma.
The fundamental hypotheses are listed as follows:
① Under the initial state, there is no displacement at the wall and the soil pressure
(including water pressure) is considered at the static state.
② Walls, supports and foundation are assumed to be elastic bodies.
③ The soil pressure on the wall changes with the variation of the displacement of
the wall. The minimum active soil pressure is pa and the maximum passive
soil pressure is pp .
④ kh ,EI and EA=l at different depths should be taken different values based on
the situation of the foundation and walls, respectively.
⑤ Assume that the horizontal support is only under pressure and not under
tension.
The following will illustrate the calculation process of the theory:
(1) Basic formula
The horizontal wall is d, so

p ¼ p0 þ kh d pa \p\pp
where p0 is the static soil pressure on the wall (kN/m2); p is the soil pressure on the
wall (kN/m2); kh is the foundation soil coefficient of horizontal subgrade reaction
(kN/m3); d is the horizontal displacement (m); pa and pp are the active and passive
soil pressure, respectively (kN/m2).
Under the soil pressure coordinated with the wall variation, the basic equation
for reaching the balance state is shown as follows:

kh d ¼ p0b kb d ðp0a þ ka dÞ
Rewrite the upper formula as follows:

kh d ¼ p0b p0a kb þ ka d
where a represents the side of the excavation; b represents the side of the
non-excavation.
When
p0b p0a ¼ p0
kb þ ka ¼ k 0
so
k h d ¼ p0 k 0 d
The formula above is the same as the basic formula in the elastic foundation
beam.
(2) Calculation steps
1) Prepare for calculation

① As shown in Fig. 9.13a, the wall is divided into n nodes. The nodes are
arranged in the position which is ready for horizontal supports and the location
of the floor in the main structure when the wall is a part of the main structure.
② Calculate the stiffness of the underground wall between each node (unit), the
horizontal spring coefficient of the foundation at each node and the stiffness of
the horizontal support.
Ew I
Gw ¼
k
where Gw is the stiffness of the underground wall between two adjacent nodes
(kNm2/m); Ew is the elastic modulus (kPa); I is the inertia moment of the wall
(m4); k is the distance between two adjacent nodes (m).
Ka ¼ ka Bk0
Kb ¼ kb Bk0
where Ka is the horizontal spring coefficient of the foundation to the node at the
excavation side (kN/m); Kb is the horizontal spring coefficient of the foundation to
the node at the non-excavation side (kN/m); ka is the foundation soil coefficient of
horizontal subgrade reaction at the excavation side (kN/m3); kb is the foundation
soil coefficient of horizontal subgrade reaction at the non-excavation side (kN/m3);
0
B is the width of walls (m); k is the distance between the mid-span of the node and
the mid-span (m).
Es A
Ks ¼
l
where Ks is the spring coefficient of the horizontal support (kN/m); Es is the elastic
modulus of the horizontal support (m2); l is the length of the horizontal support (m).
2) Calculation at the first end of excavation
After the first excavation, there is the cantilevered underground wall without sup-
port. And the calculation steps are shown in Fig. 9.13.
① Prepare for calculation mentioned above.

② The standard state at the first of excavation as shown in Fig. 9.13b.
③ Calculate the displacement d01 caused by the effective soil (water) pressure as
shown in Fig. 9.13c.
④ Calculate the soil pressure on the wall according to d01 .
pm1 ¼ p0 d01 k
Fig. 9.13 Calculation diagram of a cantilevered underground after the first excavation
⑤ Soil pressure correction:
pam \pm \ppm
⑥ Repeated calculation: Take the calculation steps ③–⑤ according to the soil
from ⑤ again until the difference between the soil pressure at the beginning
and after the calculation is negligible.
⑦ Calculation of the displacement, soil pressure and the internal force at the wall:
Take the results from ⑥ as values at the first end of the excavation.
The basic program diagram of the cantilevered underground wall calculation is

shown in Fig. 9.14. And the first end of the excavation in the underground wall
with supports is the same.
Fig. 9.14 Basic program

diagram of the cantilevered
underground wall calculation
3) Calculation of the first horizontal support and preloading of the axial force
As shown in Fig. 9.13, we should take the results above as the standard state. Then
we should add the origin axial force Ht , of which calculation steps are the same to
steps shown in Fig. 9.13 except the different standard state and adding the effective
soil pressure form Ht . If there is no origin axial force, it is unnecessary to carry out
this calculation.
4) Calculation of the internal force caused by excavation after setting the first
horizontal support
Take the results mentioned above as the standard state and follow the steps as
shown in Fig. 9.13.
5) The check of the subsequent excavation and the setting of the horizontal
supports only needs to repeat the above steps.
5. Finite element method
The finite element method, which is the most commonly used numerical analysis
method at present, replaces the continuum of infinite elements with the aggre-
gate of finite elements. Specifically, the structure is first divided into elements.
Next, we should write out the nodes on the element and the stiffness matrix
equation of unknown displacements. Then, the foundation soil is taken as a
detachment body and we can establish the flexibility matrix. At the same time,
the stiffness inverse matrix of the foundation is coupled with the structural
stiffness matrix. Finally, we can solve the displacement at every node and the
internal force also can be solved.
The finite element method has become a powerful analytical tool for studying
the interaction between the soil and the structure, and has been successfully applied
to analyze underground continuous wall both at home and abroad. Here are some
advantages to it. First, it can reflect the internal force and deformation of the
underground continuous wall under various boundary conditions, initial states,
structural shapes, different construction stages and different medium conditions.
Second, a part of it can also consider the space work, the anisotropy of soil,
nonlinear of the soil and so on. There are several finite element methods, which is
widely used in the underground continuous wall:
(1) Finite element method of elastic foundation with elastic links
This is a general finite element method. In this method, the wall above the bottom
of the foundation pit is generally regarded as a beam element with the width a unit
wall, and the embedded wall is regarded as the Winker elastic foundation beam.
The variation about the horizontal coefficient of subgrade reaction along the depth
can be linear, constant or other imaginary graphics. Besides, horizontal supports,
various raked anchors, horizontal frame beams and top beams are regarded as
members with the elastic support. As the unit section of these members can be
converted into the sectional area of a unit length, the underground continuous wall
can be analyzed as a plane structure. Retaining structures, which include the
cantilever, the single-layer, the multilayer brace, the multi-anchor and the lattice,
can be simplified as a plane structure through this method. Methods mentioned
above also can be analyzed with this method.
(2) Finite element method of elastic foundation thin plane
In this method, the wall above the bottom of the foundation pit is generally regarded
as the thin plate bending element and the embedded wall is regarded as the thin
plate element on the Winker elastic foundation. The thin plate element can be
isotropic or anisotropy. Supports and anchors can be regarded as the additional
straight rod element. This method is suitable for the underground continuous wall
and the combined structure of the beam, plate and column.
(3) Finite element method of elastic foundation thin shell
In this method, the underground continuous wall and the upper are regarded as the
plane or shell consisting of the triangular thin plate element. And the Winkler
elastic foundation (passive side) and other rods are regarded as the additional
“spring” element where shell element nodes are connecting. This method is suitable
for the underground continuous wall with complex structural layout and force
conditions.
(4) 2D finite element method
The biggest advantage of this method is no need to make assumptions on the soil
pressure at the back of the wall and reflect the interaction of soil and structure. In
order to determine the displacement law of soil during the excavation, this method
mainly simulates the factors, which influence the ground movement around the
foundation pit during the deep excavation, includes formation characteristics,
supporting structure, the shape of the foundation pit and so on. At present, the 2D
finite element method is usually used to study the lateral displacement of the bottom
of the foundation pit and the soil behind the wall, and the wall displacement in the
underground continuous wall.
9.3 Detailed Design of Underground Continuous Walls
9.3.1 Concrete Engineering Design
The design strength grade of cast-in-place concrete in underground continuous

walls should not be lower than C25. Since the concrete is poured in mud, which
means that its strength is slightly lower than in air and the dispersity of the strength
is obvious, the concrete should generally be improved nearly 50 based on structural
design strength grade for the mix design. For important projects, the strength index
of the concrete strength grade should also be multiplied by the reduction factor
about 0.7–0.75 in the design of the sectional reinforcement.
In order to make the concrete have good workability and increase evenly in the
groove, the cement content should not be less than 400 kg/m3, the slump is
18–20 cm and the water–cement ratio should not be more than 0.6.
The thickness of the cover to the main reinforcement in the underground con-
tinuous wall in the mud is generally 7–8 cm. Aggregates used in the concrete
should be the river sand with good granularity and the pebble of which the diameter
is less than 25 mm. If there is the gravel in, the amount of cement and the sand ratio
should be increased. And the ordinary Portland cement or slag Portland cement is
generally seen in engineering.
9.3.2 Reinforcement Design
The reinforcement in the underground continuous wall can be calculated as the

general reinforced concrete member. In order to ensure the quality of engineering,
the reinforcement at the wall surface and the back of the wall should form a cage
with large rigidity, which is not easy to distort when lifting and the concrete can
pass smoothly in. The integral rigidity of the reinforcement cage is ensured by the
setting of longitudinal trusses (general spacing is 2.5–3.0 m), transverse trusses
(general spacing is 5.0–6.0 m) and crossed reinforcement (U16–U18) on the wall
and the back.
As a retaining structure, the longitudinal reinforcement is the main reinforcement
and be arranged on the inside of the reinforcement cage. Because the concrete is
poured in the mud, the main reinforcement should be the deformed reinforcement
and made of steel with good welding. Besides, the reinforcement with hooks is not
suitable. There is no doubt that reinforcement should be well arranged. If the
particle size of aggregates is bigger than 20 mm, the clear spacing between the
reinforcement should be 100 mm. On the contrary situation, the clear spacing
should not be less than the 2–2.5 times the maximum diameter in the reinforcement
or aggregates. When it is necessary to arrange the double reinforcement in one side,
the spacing between the inner and outer should be 80 mm at least.
The main reinforcement should be HRB335, of which the diameter should not be
less than 16 mm. The most commonly used reinforcement is the deformed rein-
forcement of which diameter is less than 32 mm according to the size of the
structure and the requirements of hoisting. For the constructional reinforcement, it
should be HPB300, of which the diameter should not be less than 12 mm. If the
constructional reinforcement is perpendicular to the main reinforcement, we can
adopt the deformed reinforcement or circle reinforcement whose diameter is bigger
than 16 mm. The maximum spacing is less than 300 mm, which can be lower at the
main part.
Reinforcement cage design and production dimensions should be determined
with the size, shape, joint form, and bearing capacity of unit groove. There usually
is a gap that is 15–20 cm between the end of reinforcement and the precast joint.
The thickness of the cover about the main reinforcement is usually 7–8 cm. When
9.3 Details Design of the Underground Continuous Wall 367
the reinforcement cage is L-shaped, T-shaped and polygonal, the thickness of the
cover is generally the maximum value to be convenient for putting into the groove.
In order to the thickness of the design cover and the rigidity of the reinforcement
cage during the swing, it is necessary for designers to properly arrange the cover,
longitudinal trusses, transverse trusses and the cross reinforcement in the plane
where the main reinforcement is. The thickness of protective layer pad is 5 cm and
there is a gap that is 2–3 cm between the pad and the wall. The pad is made of the
thin steel plate and welded on the reinforcement cage. Also, the pad can be made of
the concrete. Chords and slant rods in trusses should be determined with the cal-
culation. We should pay attention to keep the space of catheters.
The longitudinal reinforcement is generally arranged at the place which is
10–20 cm from the bottom of the groove, except for the reinforcement which is not
passing through according to design requirements. The bottom should be designed
to be slightly enclosed to be convenient for putting the reinforcement cage in. The
anchorage length in top reinforcement should be reserved for the ring beam or
superstructure. When the underground continuous wall is connected to the main
structure, the tensile and shear reinforcement embedded in walls and anchor rein-
forcement should be meet the requirement of the force calculation. And the
anchorage length about them should not be less than 30d.
The reinforcement cage can be made in different sections when necessary. The
joint should be arranged at the position where the stress is small. The reserved lap
length of the longitudinal reinforcement at the joint should meet design require-
ments and be staggered with each other. When the main reinforcement is lapping,
the minimum lap length is 45d. When the lap joints are in the same section, the
minimum lap length is 70d and not less than 1.5 m.
In the reinforcement cage production, except points of intersection about vertical
trusses with the horizontal and points of intersection on the reinforcement cage are
welded by spot welding, the others are welded by 50% staggered spot welding. The
temporary banding wires are removed after the cage forms. The reinforcement cage
is not allowed to occur the unrecoverable deformation during the whole con-
struction. If necessary, measures shall be taken to prevent it from floating up in
pouring concrete (for example, there are many reserved holes in the cage).
9.3.3 Joint Design
There are many kinds of joints in the underground continuous wall, which can be
divided into two kinds for simplicity and clarity: construction joints and structure
joints. Construction joints are joints between two adjacent unit walls when the
underground continuous wall is poured. Structure joints are joints between the
completed underground continuous wall and the other component in underground
structures (beams, columns, etc.), shown in Fig. 9.15.
Fig. 9.15 Forms of joints
1. Construction joints
Construction joints should meet the requirements of force condition and imper-
meability, the construction should be simple and the quality should be reliable.
However, at present, there is no best construction scheme meeting all requirements
mentioned and the evaluation of various joints is also limited.
(1) Direct joint
After the unit groove is completed, the reinforcement cage is then installed and the
concrete is poured. The concrete is in direct contact with the unexcavated soil.
When beginning the next excavation, the soil contact with the concrete will be
transformed into an uneven joint face, then there will be forming the direct joint
(Fig. 9.16) in pouring the concrete. As the sediment in the joint face is cleaned
through the grabbing teeth or water jetting, the sediment can’t be clean entirely,
both force condition and the impermeability are poor.
(2) Joints made of Joint pipes
After completing the first phase unit groove, we should put joint pipes into the
groove first. Then, put the reinforcement cage in and pour the concrete. Finally, pull
joint pipes out. At this time, there will be a semicircular surface. There will be a
Fig. 9.16 Direct joint. 1—First phase project; 2—Second phase project; 3—Reinforcement; 4—
Joint
Fig. 9.17 Construction procedure. 1—Inverted groove; 2—Concrete wall; 3—Excavated section;
4—Unexcavated section; 5—Chain pipe; 6—Reinforcement cage; 7—Pour concrete; 8—Hole
joint between two adjacent unit groove with continuous construction, the con-
struction procedure is shown in Fig. 9.17. This joint has become the most common
method for its simple construction.
Joints are generally circular and there are other shapes like the circle with gaps,
the shape with wings, the convex shape and so on (Fig. 9.18). The outer diameter of
the joint pipe should not be less than 93% of the thickness of the design concrete
wall. Except for special cases, When the joint pipes are winged, the mud will
deposit easily and the quality of the project will decrease. So this form of joints is
not common to see and the joint which is convex shaped is the same, except for
special cases.
(3) Joints made of the joint box
The construction method is the same as the joint pipe. After completing the first
phase unit groove, we should put joint boxes into the groove first. Then, put the
reinforcement cage in. As the joint box is open at the side of pouring concrete, the
horizontal reinforcement at the end of the reinforcement cage can be inserted into
the joint box. When the concrete is poured in, the concrete can flow into the box
since the opening of the joint box is shielded by the steel plate welded on the
reinforcement cage, as shown in Fig. 9.19. After the joint box is pulled out, the
excavation of the second phase unit groove begins. Then put the reinforcement cage
in and pour the concrete into the groove to form the joint. This method can make
the horizontal reinforcement in two adjacent unit walls lap together, which also can
make walls become a whole body.
Fig. 9.18 Forms of joints.

a Circle; b Circle with gaps;
c Shape with wings;
d Convex shape
Fig. 9.19 Joints made of the

joint box
(4) Joints made of diaphragms
The diaphragm can be divided into three kinds based on the shape, including the flat
diaphragm, the V-shaped diaphragm and the tenon. According to the connection of
the horizontal reinforcement, it can divided into the lap joint and the non-lap joint
(Fig. 9.20).
Fig. 9.20 Joints made of

diaphragms. 1—Reinforcement
cage (during the construction);
2—Reinforcement cage
(completed construction);
3—Chemical fabric; 4—Steel
diaphragm; 5—Connecting
reinforcement
(5) Joints made of precast elements

Joints made of precast elements can be divided into three kinds based on materials,
including reinforced concrete joints (Fig. 9.21a), joints made of reinforced concrete
and steel (Fig. 9.21b), and steel joints (Fig. 9.21c).
The wave plate joint shown in Fig. 9.22 is applied in the project in Osaka.
Japanese scholars consider that this joint is suitable for the underground continuous
wall in deep depth, besides, it has good impermeability and force conditions.
The method shown in Fig. 9.23 is invented by English, which is waterproof and
bearing the tension with the help of steel sheet pile.
2. Structure joints
(1) Direct joints

The reinforcement is pre-embedded in the underground continuous wall (heat and
bend the origin design connecting steel). When the wall is completed and the
excavated soil emerges from the wall, we should chip the wall at the pre-embedded
reinforcement and then bend the reinforcement into the original shape to connect
with the other reinforcement in underground members (Fig. 9.24). According to the
Japanese data, some experimental results show that the strength will hardly
decrease if avoiding the rapid heating and careful construction. However, as the
connection is often a weak part of the structure, it is necessary to keep the 20%
room in the design. Besides, the reinforcement should not be larger than the grade
of U22 for construction.
Fig. 9.21 Joints made of

precast elements
Fig. 9.22 Wave plate joints
(2) Indirect joints
The reinforcement in the underground continuous wall is welded with which in the
other underground members. The joint includes joints connected through steel
plates (Fig. 9.25) and joints connected through cutter blocks (Fig. 9.26).
(3) Joints connected with the reinforced junction connecting device
This joint is making the use of the pre-embedded conical or straight thread rein-
forcement in the underground continuous wall, and connected by the mechanical
connection. This method is convenient, fast and reliable, which is one of the most
Fig. 9.23 Steel sheet pile

joints
Fig. 9.24 Direct joints
widely used methods at present. But due to the influence of construction technology
and stratum condition on the reserved precision of reinforced junction connecting
device, the requirements about the groove precision, the reinforcement cage pro-
duction and construction control are serious.
(4) Joints by planting reinforced bars
As the pre-embedded reinforcement is limited by various factors, it is difficult to

embed or the pre-embedded reinforcement is deviated from the design position. In
these cases, it is a good way to drill holes in the completed wall and embed the
chemical bolts replacing the pre-embedded reinforcement. This method called the
planting reinforced bars.
Fig. 9.25 Joins connected through steel plates
Fig. 9.26 Joints connected through cutter blocks
In order to ensure the quality of structural joints, connecting members (floors,

beams, etc.) are strengthened around the underground continuous wall and the
reinforcement is added. At the same time, the waterproofing strip should be
installed at the contact face between floors, beams and walls to enhance the
waterproofing capability. It is a good idea to set the shear connector at the
connection.
9.4 Example 375
9.4 Example
9.4.1 General Situation of Engineering
A city subway station in No. 1 line is a transfer station, which is a two-storey

station. The depth of this station is 16.2 m, the span of this station is 193 m from
east to west and 20.3 m from south to north. A square and a high-speed rail station
are on the south. The BRT and a bus station are in the southwest. A park is on the
southeast. A viewing platform and music fountain are on the north. There is the
green space on the northwest.
The excavation depth of this foundation pit is 16.2 m and the depth of the
underground continuous wall with four supports is 31 m, in which the embedded
depth is 14.8 m. Four supports are all the steel supports. And the elevation of them
is −1.5 m, −5.5 m, −9.5 m and −13.2 m, respectively.
9.4.2 Engineering Geological Conditions
This station is located in the lower reaches of the Yangtze River and the terrain is
flat. The physical properties of the soil layer obtained by the survey are shown in
Table 9.1.
9.4.3 Calculation of the Load and Earth Pressure
Calculate the unit weight, cohesion and internal friction angle of the soil layer based
on the weighted average of the thickness about soil layers, as shown in Formulas
(9.43)–(9.45).
Xn
c i hi
c ¼ ð9:43Þ
i¼1
H
X
n
c i hi
c ¼ ð9:44Þ
i¼1
H
Xn
u i hi
¼
u ð9:45Þ
i¼1
H
where c is the weighted average of the unit weight around the underground con-
tinuous wall (kN/m3); c is the weighted average of the cohesion around the
underground continuous wall (kPa); u is the weighted average of the internal
friction angle around the underground continuous wall (°); H is the calculation
depth (m); hi is the thickness of ith soil layer (m); ui is the internal friction of ith
376
Table 9.1 Physical properties of soil layers

Layer Soil layer Unit weight c Cohesion c Internal friction angle Standard value of Depth Side friction qsia
(kN/m3) (kPa) u(°) bearing capacity (m) (kPa)
fk (kPa)
①1 Fill 18.0 0 0 57.6 1.0 57.6
①2 Creek mud 18.0 0 0 57.6 1.8 57.6
② Clay 18.6 19.2 16.3 22 2.7 22
③ Mucky silty clay 17.6 12.3 15.9 9.8 5.0 9.8
④ Mucky slit 18.1 11.6 17.5 23 10.5 23
⑤1 Clay 18.7 16.2 15.6 26 11.5 26
⑥3-1 Silty clay 17.6 18.7 17.1 43 10.0 43
⑤ 3-2 Sandy slit 17.6 18.7 21.1 48 20.5 48
⑦1 Sandy slit 17.9 13.5 30.3 52 7.8 52
⑧1 Clay 18.2 15.6 15.9 29 9.3 29
9 Design of Underground Continuous Walls
9.4 Example 377
soil layer (°); ci is the unit weight of ith soil layer (kN/m3); ci is the cohesion of ith
soil layer (kPa).
We can get the physical properties of soil layers from Table 9.1. The depth of
the underground continuous wall is 31 m, so we can calculate the following:
c1 ¼ 18:247 kN/m3 ; c1 ¼ 12:811 kPa; u1 ¼ 14:944
The excavation depth of foundation pit h1 is 16.2 m and the embedded depth h2
is 14.8 m, so we can calculate the following:
c2 ¼ 18:505 kN/m3 ; c2 ¼ 14:708 kPa; u2 ¼ 16:216
In the general condition, the construction materials at the side of the foundation
pit are overloaded with 20 kPa, and the overloading is converted to the surface soil
equivalent height.
q0 20
h0 ¼ ¼ ¼ 1:096 m
c1 18:247
The soil pressure is calculated based on the Rankine’s soil pressure theory. The
active soil pressure, due to the weight of the soil and the overloading, is at the back
of the wall. And there is the passive soil pressure in the foundation pit. As there are
the clay and silt in the range of calculation, it is a good idea to estimate water and
soil pressure together. The calculation diagram of soil pressure is shown in
Fig. 9.27 and the distribution map of soil pressure is shown in Fig. 9.28.
Fig. 9.27 Calculation diagram of soil pressure

Fig. 9.28 Distribution map

of soil pressure
In order to simplify the calculation, the weighted average of physical properties

in each soil layer is taken into the formula.
u
Ka ¼ tan2 45
ð9:46Þ
2
u
Kp ¼ tan2 45
þ ð9:47Þ
2
The active and passive soil pressure can be calculated through Formulas (9.48)–
(9.51).
pffiffiffiffiffi
ra1 ¼ c1 h0 Ka 2c1 Ka ð9:48Þ
pffiffiffiffiffi
ra2 ¼ c1 ðh0 þ h1 ÞKa 2c1 Ka ð9:49Þ
pffiffiffiffiffiffi
rp1 ¼ 2c2 Kp ð9:50Þ
pffiffiffiffiffiffi
rp2 ¼ c2 h2 Kp þ 2c2 Kp ð9:51Þ
where ra1 is the active soil pressure at the ground which should be zero when it is
less than zero according to related specifications (kPa); ra2 is the active soil
pressure on the back of the wall at the bottom plane of foundation pit (kPa); rp1 is
9.4 Example 379
the passive pressure on the underground continuous wall at the bottom plane of
foundation pit (kPa); rp2 is the passive pressure on the wall at the bottom of the
underground continuous wall (kPa).
From Formulas (9.46) and (9.47), we can get the active and passive soil pressure
coefficients.

2
14:944
Ka ¼ tan 45 ¼ 0:590
2

2

16:216
Kp ¼ tan 45 þ ¼1:775
2
Substitute them into Formulas (9.48)–(9.51),

pffiffiffiffiffiffiffiffiffiffiffi
ra1 ¼ 18:247 1:096 0:590 2 12:811 0:590 ¼ 7:878 kPa
ra2 ¼ 18:247 ð1:096 þ 16:2Þ 0:590 2 12:811 0:590 ¼ 166:526 kPa
rp1 ¼ 2 14:708 1:775 ¼ 39:182 kPa
rp2 ¼ 18:505 14:8 1:775 þ 2 14:708 1:775 ¼ 525:308 kPa
Checking bearing capacity of foundation about retaining structure can be based

on Formulas (9.52)–(9.54). The vertical bearing capacity consists of two parts
including the bearing capacity of the wall end (F) and the side friction (R).
P ¼ FþR ð9:52Þ
F ¼ qpa Ap ð9:53Þ
X
R¼L qsia hi ð9:54Þ
where Ap is the area of the bottom of the underground continuous wall (We take
0.8 m2 as the unit area); qpa is the eigenvalue of underground continuous wall end
resistance (here qpa ¼ 150 kPa); qsia is the eigenvalue of the side resistance in the
ith soil layer; L is the unit length of the underground continuous wall, which is 1 m
here (m).
Substitute the data into Formulas (9.52)–(9.54).
F ¼ 150 0:8 ¼ 120 kN

R ¼ 1 ½57:6 1 þ 57:6 1:8 þ 22 2:7 þ 9:8 5 þ 23 ð10:5 þ 4:8Þ þ 2 26 10
¼ 1141:58 kN
P ¼ 120 þ 1141:58 ¼ 1261:58 kN
Check the weight of the underground continuous wall and the load from the
upper overloading and construction.
Weight of the underground continuous wall: G ¼ cV ¼ 26 1
0:8 31 ¼ 644:8 kN.
The load from the upper overloading and construction is about 400 kN, so
400 þ 644:8 ¼ 1044:8 kN 1261:58 kN. The bearing capacity is appropriate.
9.4.4 Check of the Basal Heave Stability
The retaining structure in this engineering, which is the combination of the

underground continuous wall and supports, is belongs to the support structure with
supports. The embedded depth should meet requirements about the basal heave
stability and be checked based on Formulas (9.55)–(9.57). The calculation diagram
is shown in Fig. 9.29.
c2 tNq þ cNc
Khe ð9:55Þ
c1 ðh þ tÞ þ q0
Nq ¼ tan2 ð45
þ u=2Þep tan u ð9:56Þ
Nc ¼ ðNq 1Þ= tan u ð9:57Þ

diagram of the basal heave
stability
9.4 Example 381
where c1 is the weighted average of the unit weight about the soil above the bottom
of the underground continuous wall outside of foundation pit (18.247 kN/m3); c2 is
the weighted average of the unit weight about the soil above the bottom of the
underground continuous wall inside the foundation pit (18.505 kN/m3); t is the
embedded depth of the underground continuous wall (14.8 m); h is the excavation
depth (16.2 m); q0 is the overloading on the ground around the foundation pit
(20 kPa); c is the cohesion below the bottom of the underground continuous wall
(16.2 kPa); u is the internal friction angle of soil below the bottom of the under-
ground continuous wall (15.6º); Nc and Nq are the coefficients of foundation bearing
capacity; Khe is the factor of safety against basal heave according the related
specifications, it is 1.8 for the first-class foundation pit.
Bring the data into Formulas (9.55)–(9.57),

Nq ¼ tan2 ð45
þ 15:6
=2Þep tan 15:6 ¼ 4:173
Nc ¼ ð4:173 1Þ= tan 15:6

¼ 11:210
18:505 14:8 4:173 þ 16:2 11:210

Khe ¼ ¼ 2:261 [ 1:8
18:247 31 þ 20
Therefore, the basal heave stability meets the requirement.
9.4.5 Check of the Basal Anti-seepage Stability
According to the related specifications, the anti-seepage stability checking at the

bottom of the foundation pit can be divided into two parts. One part is checking the
anti-seepage stability at the bottom of the foundation pit with the help of Formula
(9.58) and Fig. 9.30. As there is the confined water, which the pressure of is
560 kPa and located at the place that is 7.36 m from the top of the layer ⑤3-2.. So
the other part is checking the basal anti-confined water with the help of Formula
(9.59) and Fig. 9.31.
cm t
1:1 ð9:58Þ
cw ð0:5h0 þ tÞ
where cm is the weighted average of the saturated unit weight of soil in the range of
the depth t (18.505 kN/m3); cw is the unit weight of water (10 kN/m3); h0 is the
head difference between the inside and outside of the foundation pit (14.7 m).
c0m ðt þ DtÞ
1:2 ð9:59Þ
pw

diagram of the basal
anti-seepage stability

diagram of the basal
anti-confined water
where c0m is the weighted average of the saturated unit weight of soil which is above
the top face of the confined water and below the foundation pit (kN/m3); ðt þ DtÞ is
the distance from the top of the confined water to the bottom of foundation pit (m);
pw is the pressure of the confined water (kPa).
Check the basal anti-seepage stability and bring the data into Formula (9.58).
18:505 14:8
¼ 1:236 1:1
10 ð0:5 14:7 þ 14:8Þ
So, the basal anti-seepage stability is appropriate.

Check the basal anti-confined water and bring the data into Formula (9.59)
9.4 Example 383
X
c0m ðt þ DtÞ ¼ ci hi ¼ 18:1 10:5 þ 18:7 11:5 þ 17:6 10 þ 17:6 7:36 ¼ 710:636 kPa
710:636
¼ 1:269 1:2
560
So checking the basal anti-confined water meets the design requirement.
9.4.6 Check of the Stability Against Overturning

of the Underground Continuous Wall
According to the related specifications, it is necessary to check the stability against

overturning at the last support of the enclosure wall with plates. Checking the
stability against overturning is based on Formula (9.60) as shown in Fig. 9.32. The
checking principle is to calculate the moment from the basal passive soil pressure at
the last support, and the moment from the active soil pressure which is below the
last support and above the bottom of the wall at the last support. And the ratio of
them should be greater than a certain safety factor. These moments can be calcu-
lated through Formulas (9.61) and (9.62), respectively.
Mp
KT ¼ ð9:60Þ
Ma
t
t 2t
Mp ¼ ep1 þ hd t þ ðep2 ep1 Þ þ hd ð9:61Þ
2 2 3
e ea2
ðt þ hd Þ2
a1
Ma ¼ þ ð9:62Þ
6 3

diagram of the stability
against overturning
where MP is the moment from the passive soil pressure at the last support which is
the point O (kN m); M0 is the moment from the active soil pressure which is below
the last support and above the bottom of the wall at the last support (kN m); t is the
embedded depth (m); hd is the distance from the last support to the bottom of the
foundation pit (m); ea1 and ea2 are the active soil pressure at the last support and the
bottom of the wall outside of the foundation pit, respectively, which can be cal-
culated by Formula (9.49) (kPa); ep1 and ep2 are the passive soil pressure at the
bottom of the foundation pit and wall, respectively, which can be calculated by
Formula (9.51) (kPa).
Substitute the data into the formula.
ep1 ¼ 39:182 kPa
ep2 ¼ 525:308 kPa

pffiffiffiffiffi
ea1 ¼ c1 ðh0 þ h0 ÞK a 2c1 Ka
¼ 18:247 ð1:096 þ 13:2Þ 0:590 2 12:811 0:590 ¼ 134:229 kPa
ea2 ¼ 325:859 kPa

14:8 14:8 2 14:8
Mp ¼ 39:182 14:8 þ 3 þ ð525:308 39:182Þ þ3
2 2 3
¼ 5:232 104 kN m

134:229 325:859
Ma ¼ þ ð3 þ 14:8Þ2 ¼ 4:150 104 kN m
6 3
5:232 104
KT ¼ ¼ 1:261 [ 1:2
4:150 104
So the stability against overturning of the underground continuous wall meets

the design requirement.
9.4.7 Check of the Global Stability
Checking the global stability of the retaining structure can be based on the simple
arc-slice analysis method. However, according to the Manual for Foundation Pit
Engineering (Second Edition), the global stability meets the design requirement
when there are multilayer supports. In this engineering, there are four-layer steel
supports. Therefore, it is unnecessary to check the global stability according to the
engineering experience.
9.4 Example 385
9.4.8 Calculation of Axial Forces and Internal Forces

of the Underground Continuous Wall
Approximate
P solution
P of the method proposed by the Japanese scholar mainly takes
Y ¼ 0 and MA ¼ 0 into calculating based on Formulas (9.9) and (9.10) as
shown in Fig. 9.8.
Active soil pressure coefficient on the soil side Ka ¼ 0:590.
Passive soil pressure coefficient under the excavation face Kp ¼ 1:775.
Basal static soil pressure coefficient K0 ¼ 0:95 sin u02 ¼ 0:95 sin 20:051
pffiffiffiffiffi
¼ 0:607; where u02 ¼ u2 þ c2 .
The active soil pressure outside of the wall can be written into the equation as
follows:
ra ¼ 18:247 0:590 ðh þ 1:096Þ 2 12:811 0:590 ¼ 10:766h 7:878;
when ra ¼0, h ¼ 0:73.

So, the slope of the active soil pressure g¼10:766.
According to the third hypotheses of Yama Mayo Hodan Method
pffiffiffiffiffiffi
nx þ f ¼ c2 xKp þ 2c2 Kp c2 K0 x ð9:63Þ
where ðnx þ fÞ is the value of the passive earth pressure minus the static earth
pressure; x is the depth at the bottom of the foundation pit (m).
Substitute the data into Formula (9.63).
nx þ f ¼ 18:505 ð1:775 0:607Þx þ 2 14:708 1:775 ¼ 21:614x þ 39:182
So n ¼ 21:614, f ¼ 39:182.
(1) Calculation of the first support
As shown in Fig. 9.33, k ¼ 1, h0k ¼ 4:77 m, hkk ¼ h1k ¼ 4 m, which are substi-
tuted into Formula (9.10),
7:205x3m þ 37:142x2m 48:687xm 295:174 ¼ 0;
From the equation, we can know that xm ¼ 2:818 m.

Substitute xm into Formula (9.9), yielding the axial force of the first support N1
1 1
N1 ¼ 10:766 4:772 þ 10:766 4:77 2:818 39:182 2:818 21:614 2:8182
2 2
¼ 70:959 kN
Assume that the moment is zero at the point where the active pressure is zero.
Fig. 9.33 Calculation -x

diagram of the first support
0.73 m
5.5 m
4.77 m
4m
+y -y
2.818 m
A
+x
M1 ¼ 0
1
M2 ¼ 10:766 4:773 70:959 4 ¼ 89:095 kN m
6
(2) Calculation of the second support
As shown in Fig. 9.34, k ¼ 2, h0k ¼ 8:77 m, hkk ¼ 4 m, h1k ¼ 8 m, which are

substituted into Formula (9.10),
7:205x3m þ 15:610x2m 220:943xm 729:600 ¼ 0

Substitute xm into Formula (9.9), yielding the axial force of the second support N2
1 1
N2 ¼ 10:766 8:772 þ 10:766 8:77 5:914 70:959 39:182 5:914 21:614 5:9142
2 2
¼ 291:749 kN
1
M3 ¼ 10:766 8:773 70:959 8 291:749 4 ¼ 524:343 kN m
6
(3) Calculation of the third support
As shown in Fig. 9.35, k ¼ 3, h0k ¼ 12:47 m, hkk ¼ 3:7 m, h1k ¼ 11:7 m, h2k ¼
7:7 m ,which are substituted into Formula (9.10),
7:205x3m 7:549x2m 351:759xm 1:352 103 ¼ 0

9.4 Example 387
0.73 m
diagram of the second support
9.5 m
8.77 m
8m
4m
+y -y
5.914 m
A
+x

diagram of the third support
0.73 m
13.2 m
11.7 m
12.47 m
7.7 m
3.7 m
+y -y
8.901 m
A
+x

diagram of the fourth support
0.73 m
16.2 m
15.47 m
14.7 m
10.7 m
6.7 m
3.7 m
+y -y
11.258 m
A
+x

Substitute xm into Formula (9.9), yielding the axial force at the third support N3
1
N3 ¼ 10:766 12:472 þ 10:766 12:47 8:901 ð70:959 þ 291:749Þ
2
1
39:182 8:901 21:614 8:9012
2
¼ 464:357 kN
1
M4 ¼ 10:766 12:473 70:959 11:7 291:749 7:7 464:357 3:7
6
¼ 1315:424 kN m
(4) Calculation of the fourth support
As shown in Fig. 9.36, k ¼ 4, h0k ¼ 15:47 m, hkk ¼ 3 m, h1k ¼ 14:7 m,

h2k ¼ 10:7 m; h3k ¼ 6:7 m, which are substituted into Formula (9.10),
7:205x3m 31:263x2m 382:104xm 2:017 103 ¼ 0

9.4 Example 389
Fig. 9.37 Diagram of the strut axial forces and internal forces of retaining structure

Substitute xm into Formula (9.9), yielding the axial force of the fourth support N4
1
N4 ¼ 10:766 15:472 þ 10:766 15:47 11:258
2
ð70:959 þ 291:749 þ 464:357Þ
1
39:182 11:258 21:614 11:2582
2
¼ 525:402 kN
1
M5 ¼ 10:766 15:473 70:959 14:7 291:749 10:7
6
464:357 6:7 525:402 3
¼ 2209:060 kN m
(5) Calculation of the maximum moment
Take the derivative of the moment at the fourth support and the bottom of foun-
dation pit. Then assume it to be zero, so h ¼ 15:85 [ 15:47.
Therefore, the maximum moment M5 ¼ 2209:060 kN m.
Diagram of the strut axial forces and internal forces of retaining structure is
shown in Fig. 9.37.
9.5 Summary
(1) The underground continuous wall is a reinforced concrete wall with effects of
impervious, retaining and bearing, which is formed by digging a long and
narrow deep groove under the condition of the mud protection and pouring the
concrete into the groove.
(2) Design of underground continuous walls contains retaining wall design,
reinforcement design, concrete design and joint design. The main contents of
retaining wall design are the slot amplitude design, the guide wall design, the
thickness and depth design.
(3) Methods about the static calculation of underground continuous walls include
method proposed by the Japanese scholar, elastic method, calculation method
of supporting internal force changing with excavation process, theory of the
consistent deformation and finite element method.
(4) There are many kinds of joints in the underground continuous wall, which can
be divided into two kinds for simplicity and clarity. It is necessary to select the
right form according to engineering.
Problems
9:1. Please talk about the advantages and applicable conditions of the underground
continuous wall.
9:2. Please talk about the design contents of the underground continuous wall.
9:3. Please talk about the basis for the division of underground continuous wall and
the effect about the length of the unit groove on the stability of the groove.
9:4. Please talk about the function of the guide wall and how to determine the
depth and width of it.
9:5. Please talk about forms of joints and their applicable conditions.
Design of Foundation Pit Retaining
Structures 10
10.1 Introduction
10.1.1 Concept and Characteristics of the Foundation Pit

Engineering
The foundation pit is constructed for foundations, basements, or other underground

engineering, and the foundation pit engineering includes excavation, dewatering,
retaining project, soil reinforcement, detecting engineering, etc. Therefore, the
foundation pit engineering shows the following characteristics:
1. The retaining structure is usually temporary with relatively low safety margin.
2. The design and construction should follow local conditions.
3. The foundation pit engineering is comprehensive and systematic which involves
numerous subjects including structure engineering, geotechnical engineering,
and geological engineering, etc., furthermore, the investigation, design, and
construction are connected closely.
4. The variation of the soil stress and groundwater level at the surrounding site
caused by excavation and dewatering will make a huge difference to the sur-
rounding environment and other constructions.
5. The foundation pit engineering shows great time–space effect. Loads and internal
forces in retaining structures show great variability in the aspect of time and space.
10.1.2 Types and Applicable Conditions of the Foundation

Pit Retaining Structure
The foundation pit retaining structure is the general name of the enclosure wall (in-
cluding the anti-seepage curtain) and internal bracing system (or the soil anchor) etc.,
whose forms commonly used and applicable conditions are summarized in Table 10.1.
https://doi.org/10.1007/978-981-13-7732-7_10
Table 10.1 Common support forms and their application conditions
392
Types Support mode or Retaining member and method Application conditions

structure
Sloping Natural sloping According to the soil quality, the slope should be The surrounding area of the pit is open, and the adjacent
graded according to a certain slope ratio (single slope or buildings are far away from each other. No
graded slope), covered by geomembrane, protected by underground pipeline or the underground pipeline is not
cement mortar or shotcrete (mortar) and the foot and important, so it can be moved and diverted
surface should be covered by bagged sand and soil bag When the soil of the bottom is weak, it can be unloaded
by the graded slope method in order to prevent the
bottom heave
Reinforced Cement– Grouting, rotary jet grouting, deep mixing cement– It is suitable for many kinds of soil including soft soil.
wall soil-retaining wall soil-retaining wall (wall type, grid type, arch type, The supporting depth should not exceed 6 m (the
(Gravity-retaining buttress type), bamboo or steel pipe is used when there supporting depth can be increased by adding
wall) is soft soil at the bottom of the wall with submerged buttresses), and it can also be used as seepage proof
10
piers and the tensile strength is insufficient curtain

There is no soft soil at the bottom of the wall
A certain construction site is around the foundation pit
Soil nail wall Shotcrete or soil nailing support on steel mesh It is suitable for many kinds of soil except silt and silty
reinforcement soil, and the supporting depth should not exceed 6 m
There is no soft soil at the bottom of the pit
Composite soil Shotcrete or soil nailing support on steel mesh There is a certain thickness of soft soil under the pit.
nailing wall reinforcement., cement–soil-mixing pile or other When the single soil nail cannot meet the requirements,
supporting pile are added to solve the problem of pit composite soil nailing wall can be used and act as
bottom heave and deep overall sliding stability seepage proof curtain at the same time, and the
supporting depth should not exceed 12.0 m
(continued)
Design of Foundation Pit Retaining Structures
10.1

structure
Row piles Cantilever type Bored pile, manual hole digging pile, precast pile, sheet The cantilever height should not exceed 6 m, and the
pile (steel sheet pile combination, profiled steel foundation pit with a depth greater than 6 m can be
combination, precast reinforced concrete plate combined with slope-unloading above the top beam,
Introduction
combination); top beam while the soft soil below the bottom, it should not be
used when the thickness is very large
The cantilever height of cantilever piles embedded in
strata, dense cobble gravel and ripped-rock strata with
high stiffness can exceed 6 m
Double-row piles It has two rows of bored piles, and its top reinforced Double-row piles can make up for the shortcomings of
concrete beams are connected with each other, and the large deformation and limited supporting depth of
soil between piles is strengthened when necessary single-row piles to a certain extent. The appropriate
excavation depth should be determined by calculation
according to the deformation control requirements
Double-row piles can be considered when it is difficult
to install anchors and internal bracing
Double-row piles should not be used when it does not
have embedded conditions that the thick soft soil below
the bottom
Anchorage type The above pile type supported by prestressed or It is suitable for foundation pits with different depths.
(monolayer or non-prestressed grouting anchor, screw anchor or The support does not occupy the space of the
multilayer) grouting screw anchor, anchor slab (or pile), top beam, foundation pit, but the anchors need to be extended into
and purlin the space. When there are obstacles, it cannot be set up,
nor should they be anchored into the adjacent building
foundation
The anchorage section of the anchor should not be
located in the silt layer which has high sensitivity, and
should be used cautiously in soft soil
(continued)
393
394

structure
In silt and fine sand layer with confined water,
pipe-follow drilling construction anchor or disposable
anchor should be used
Internal bracing The above pile type supported by section steel or It can be used in foundation pits with different depths
type reinforced concrete, including various horizontal braces and soil conditions, and should be selected when the
(monolayer or (opposite braces, corner braces, truss braces), vertical deformation control is strict
multilayer) inclined braces, top beams or purlin that can bear the The support needs to occupy the space of the
concentrated force of supporting points, and columns foundation pit, and the layout of the bracing should
that can limit the displacement of horizontal braces consider the convenience of the follow-up construction
Diaphragm Cantilever or Reinforced concrete diaphragm wall, SMW method, It can be used in the super deep foundation pit of
wall anchorage type linkage grouting pile; internal bracing or anchor should multi-floor basement, and cooperate with the top-down
10
be installed when needed construction method and use the basement beam, slab,
and column as internal bracing
Design of Foundation Pit Retaining Structures
Table 10.2 Support structure selection table

Types Application conditions
Row pile or 1. Suitable for the side wall safety grade 1, 2, and 3 of foundation pits
diaphragm 2. The length of the cantilever structure should not be more than 5 m in soft
wall soil site
3. When the groundwater level is higher than the bottom of the foundation
pit, dewatering, row piles with waterproof curtain or diaphragm wall
should be adopted
Gravity 1. Suitable for the side wall safety grade two and three of the foundation pit
cement– 2. The bearing capacity of foundation soil should not exceed 150 kPa in the
soil-retaining construction range of cement–soil pile
wall 3. The pit depth should not be greater than 6 m
Soil nail wall 1. Suitable for the side wall safety grade 2 and 3 of the pit with non-soft soil
2. The pit depth should not be greater than 12 m
pit, water interception measures should be taken
Top-down 1. Suitable for the side wall safety grade two and three of the foundation pit
arch wall 2. Slit and muck soil sites should not be used
3. The rise–span ratio of arch wall axis should not be less than 1/8
4. The depth of foundation pit should not be greater than 12 m
pit, dewatering or water interception measures should be taken
Step slope 1. Suitable for the side wall safety grade 2 and 3 of the foundation pit
2. The construction site should satisfy the condition of step slope
3. It can be used independently or in combination with other structures
mentioned above
4. Dewatering measures should be taken when the groundwater level is
higher than the toe of the slope
The current Technical Specification for Retaining and Protection of Building

Foundation Excavations (JGJ120-2012) recommends that row piles, diaphragm wall,
cement–soil-retaining wall, top-down arch wall, soil nailing wall, undisturbed soil step
slope or combination of the above types should be selected according to Table 10.2.
10.1.3 Design Principles and Contents of the Foundation

Pit Retaining Engineering
The design of the foundation pit retaining engineering should follow the following
principles:
1. The retaining structures should meet the requirement of the strength, stability,
and deformation, meanwhile, the safety of the surrounding environment should
be guaranteed.
2. The design scheme should reflect a better technical, economic and environ-
mental effect on the premise of safety and reliability.
3. The design should provide the convenience for the construction of foundation
pit retaining project and foundation engineering to a maximum extent, and
ensure the construction safety.
396 10 Design of Foundation Pit Retaining Structures
Table 10.3 Safety grade and importance coefficient

Safety Consequences of destruction Importance
grade coefficient
c0
Grade 1 The failure of supporting structure and excessive deformation of 1.10
soil have a very serious influence on the surrounding
environment of foundation pit or the construction safety of the
main structure
Grade 2 The failure of supporting structure and excessive deformation of 1.00
soil have a serious influence on the surrounding environment of
foundation pit or the construction safety of the main structure
Grade 3 Failure of supporting structure and excessive deformation of soil 0.90
have no serious influence on the surrounding environment of
foundation pit or the construction safety of the main structure
According to Technical Specification for Retaining and Protecting of Building

Foundation Excavations, limit states of the foundation pit retaining structure can be
divided into ultimate limit state and serviceability limit state. The ultimate limit
state corresponding to that retaining structures reaches the ultimate bearing
capacity, and the structures and surrounding environment are damaged because of
soil mass failure and excessive deformation. Serviceability limit state corresponds
to that deformation of the retaining structures obstructs the underground con-
struction and affects the normal use of the surrounding environment.
Safety grade of the foundation pit retaining structure can be divided into three
types, and they are summarized in Table 10.3.
In the process of planning, designing, construction, and monitoring, the following
assignments in the foundation pit engineering should be accomplished: (1) Investi-
gation of the construction site in the foundation pit and surrounding environment;
(2) Technical–economic comparison and selection of the retaining system scheme;
(3) The strength, stability and deformation of the retaining structure; (4) The design of
the waterproof curtain and permeation resistance; (5) The foundation pit excavation
construction scheme and the construction inspection design.
10.1.4 Horizontal Loads and Earth Pressure Acting

on the Retaining Structure
Horizontal loads acting on the retaining structure usually include the earth pressure,
the water pressure, and the lateral pressure caused by the additional load. Currently,
there are two methods for calculating the soil and water pressure, the separated
calculation and the combining calculation. For sand and sandy silt, the soil and
water pressure can be calculated, respectively, according to the separated calcula-
tion, and then superimposed. For clay and clayey silt, the combining calculation
based on the saturated unit weight of soil is used.
The earth pressure can be calculated by the Rankine earth pressure theory or the
Coulomb earth pressure theory. When the horizontal displacement of the retaining
Fig. 10.1 The lateral earth pressure graph proposed by Terzaghi and Peck. (a) Sand; (b) Soft to
medium hard clay; (c) Hard clay
structure is strictly limited, the static earth pressure should be used. In fact, during the
excavation of foundation pit, the earth pressure, and water pressure are gradually
formed and its distribution pattern is related not only to soil and groundwater, but also
to the displacement of the wall. However, the displacement varies with the setting of
support and anchor and the construction method, so the earth pressure is not in a static
or active state. The relevant measured data prove that when there are anchors on the
retaining wall, the distribution of earth pressure is generally a parabola or more
complex shape. When the wall has no supporting anchors, the upper end of the wall
tilts outwards the lower section, the distribution of active earth pressure is linear.
Based on the field test and model test, the empirical distribution of soil pressure
acting on sheet pile walls are proposed by Terzaghi and Peck. In Fig. 10.1, c0 is the
soil unit weight (kN/m3); H is the excavation depth (m); Cu is the undrained shear
strength (kPa); Ka is the coefficient of active earth pressure; m is the coefficient of
correction, usually being 1, when the soft soil layer is under the foundation,
choosing 0.4. Therefore, when the retaining structure is designed according to the
deformation control principle, the earth pressure can be determined by the inter-
action principle between the structure and the soil, or by the regional experience.
10.2 Cement–Soil Pile Walls
10.2.1 Introduction
Cement–soil piles are formed by forced mixing of cement solidifying agent and
undisturbed soil with deep mixer. The cement–soil pile wall constructed by it has
the advantages of low cost, no vibration, no noise, no pollution, simple construction
and short construction period. It is suitable for the soft soil stratum with stricter
environmental pollution requirements, higher waterproof requirements and more
spacious construction site. Supporting depth is generally less than 7 m. However, if
the composite cement–soil pile-wall such as the reinforced cement–soil pile wall
is adopted, the supporting depth can reach 10 m.
The failure modes of the cement–soil pile wall usually include five types: the
integral sliding failure, the overturning failure of wall, the horizontal sliding failure of
wall, the excessive deformation and instability caused by insufficient bearing capacity
of foundation, and the fracture failure caused by insufficient strength of the wall.
10.2.2 Calculation
Cemented soil is a kind of brittle material with a certain rigidity, and its compressive
strength is much greater than tensile strength. Therefore, many properties of the
cement-soil pile wall are similar to the gravity-retaining wall, so the gravity-retaining
wall is generally considered in design. However, compared with the gravity-retaining
wall, the cement–soil pile wall has relatively larger embedded depth, and the rigidity of
the pile itself is not large, so the deformation of the actual project is also larger, and its
deformation law is between the rigid-retaining wall and the flexible-retaining structure.
Therefore, for the sake of safety, the method for gravity-retaining wall can be used to
check its anti-overturning stability, anti-sliding stability, and overall stability.
1. The calculation of the earth pressure

For the cement–soil pile wall, the earth pressure acting on it is usually calculated
according to the Rankine earth pressure theory, or the trapezoidal earth pressure
distribution (dashed line in Fig. 10.2). The calculation of water pressure can be
calculated either in combination with the earth pressure or separately from it.
2. The checking of the anti-overturning stability

As shown in Fig. 10.2, the safety factor of the anti-overturning stability of the
cement–soil pile wall around toe O is given by
Wall anti-overturning force b2 ðW um bÞ þ zp Epk

Kq ¼ ¼ ð10:1Þ
Wall overturning force za Eak
where W is the deadweight of the wall (kN/m); Eak is the active earth pressure
(kN/m); Epk is the passive earth pressure (kN/m); za is the distance of the active
earth pressure acting line from the toe (m); zp is the distance of passive earth
pressure action line from the toe (m); b is the thickness of cement–soil-retaining
wall (m); um is the average water pressure on the bottom of the wall (kPa) and Kq is
the safety factor of the anti-overturning stability ðKq 1:3Þ.
3. The checking of the anti-sliding stability

The safety factor of the anti-sliding stability of the cement–soil-retaining wall along
the bottom is given by
10.2 Cement–Soil Pile Walls 399
Fig. 10.2 The checking of

the stability
Wall anti-sliding force ðW um bÞ tan u0 þ c0 b þ Epk

Kh ¼ ¼ ð10:2Þ
Wall sliding force Eak
where c0 is the soil cohesion between the bottom of the wall and the soil layer
(kPa); u0 is the internal friction angle (°) and Kh is the safety factor of the
anti-sliding stability ðKh 1:2Þ.
4. The calculation of the wall stress
The checking of wall stress includes two aspects: the normal stress checking and
the shear stress checking, the checking of normal stress includes the tensile stress
checking and the compressive stress checking.
(1) The checking of the tensile stress:
6Mi
ccs z 0:15fcs ð10:3Þ
B2
where Mi is the design value of moment (kN/m); B is the width of the wall at the
checking section (m); ccs is the deadweight of the wall (kN/m3); z is the vertical
distance from the checking section to the top of the wall (m) and fcs is the design
value of the axial compressive strength, which should be determined according to
the field tests or the engineering experience (kPa).
(2) The checking of the compressive stress:
6Mi
c0 cF ccs z þ fcs ð10:4Þ
B2
where c0 is the importance coefficient of the retaining structure which is valued

according to Table 10.3 and cF is the comprehensive partial coefficient of the load,
which should not be less than 1.25.
(3) The checking of the shear stress:
Eak;j lWi Epk;j 1

fcs ð10:5Þ
B 6
where Eak; j , Epk; j are the standard values (kN/m) of the active earth pressure and the
passive earth pressure above the cross section, respectively; Wi is the dead weight
of the wall above the cross section (kN/m); l is the shear resistance coefficient of
wall materials, which is 0.4–0.5.
5. The checking of the bearing capacity of foundation

The cement–soil pile wall is a gravity-retaining wall formed by the strengthened
soil. The cement–soil pile wall is only about 3% heavier than the undisturbed soil.
Therefore, the bearing capacity of the base can generally meet the requirements. If
the base soil is really poor, for example, when it is a thick soft soil layer, the bearing
capacity of the foundation should be checked, and the checking method should be
carried out according to the relevant standard.
Example 10.1
For a foundation pit, the excavation depth h ¼ 5:0 m, The cement–soil pile wall is
used for support. The wall is located above the groundwater surface, and the wall
width b ¼ 4:5 m. The embedded depth hd ¼ 6:5 m, the unit weight of the wall
c0 ¼ 20 kN/m3 , the friction coefficient between the wall and the soil l ¼ 0:3, the
unit weight of the soil layer in the foundation pit c ¼ 19:5 kN/m3 , the internal
friction angle u ¼ 24 , the cohesion c ¼ 0, the ground overload q0 ¼ 20kPa.
Please check the anti-overturning and anti-sliding stability of the retaining wall.
Solution
Take 1 per meter of the wall along the longitudinal direction, and the active and
passive earth pressure coefficients are

2 24
Ka ¼ tan 45 ¼ 0:42
2

24
Kp ¼ tan2 45 þ ¼ 2:37
2
The active earth pressure caused by the ground overload
Ea1 ¼ q0 ðh þ hd ÞKa ¼ 20kPa ð5 m þ 6:5 mÞ 0:42 ¼ 96:6 kN/m

10.2 Cement–Soil Pile Walls 401
The distance from Ea1 to the toe of the wall
1 1
za1 ¼ ðh þ hd Þ ¼ ð5 m þ 6:5 mÞ ¼ 5:75 m
2 2
The active earth pressure behind walls
1 1
Ea2 ¼ cðh þ hd Þ2 Ka ¼ 19:5 kN/m3 ð5 m þ 6:5 mÞ2 0:42 ¼ 541:56 kN/m
2 2
The distance from Ea2 to the toe of the wall
1 1
za2 ¼ ðh þ hd Þ ¼ ð5 m þ 6:5 mÞ ¼ 3:83 m
3 3
The passive earth pressure in front of the wall
1 1
Ep ¼ ch2d Kp ¼ 19:5 kN/m3 ð6:5 mÞ2 2:37 ¼ 976:29 kN/m
2 2
The distance from Ep to the toe of the wall
1 1
zp ¼ hd ¼ 6:5 m ¼ 2:17 m
3 3
The self-weight of the wall
W ¼ bðh þ hd Þc0 ¼ 4:5 m ð5 m þ 6:5 mÞ 20 kN/m3 ¼ 1035 kN/m
The safety factor of the anti-overturning stability
b
ðW um bÞ þ zp Epk 4:52m ð1035 kN/m 0Þ þ 2:17 m 976:29 kN/m
Kq ¼ 2 ¼
za Eak 5:75 m 96:6 kN/m þ 3:83 m 541:56 kN/m
¼ 1:69 [ 1:3
The result can meet the requirement.

The safety factor of the anti-sliding stability
ðW um bÞ tan u0 þ c0 b þ Epk ð1035 kN/m 0Þ 0:3 þ 0 þ 976:29 kN/m

Kh ¼ ¼
Eak 96:6 kN/m þ 541:56 kN/m
¼ 2:02 [ 1:2
Meet the requirement.

10.2.3 Structural Requirements of Cement–Soil Pile Walls
1. The wall should adopt the form of grille structure constructed by the cement–
soil-mixing piles overlapping each other, or the solid structure. For the con-
struction technology of the pile, the shotcrete mixing method should be used.
2. The embedded depth of the cement–soil pile wall should not be less than
1.2 h for mucky soil and less than 1.3 h for silt; the width B of the wall should
not be less than 0.7 h for mucky soil and less than 0.8 h for silt; here, h is the
depth of foundation pit.
3. When the wall adopts the form of grille structure, the soil area of each grille
should meet the following requirements:
cu
A¼d ð10:6Þ
cm
where A is the section area of the soil within the grille ðm2 Þ; d is the calculation
coefficient, for the clay, d ¼ 0:5, for the sand soil and silty soil, d ¼ 0:7; c is the
cohesion of the soil within the grille (kPa); the perimeter u can be calculated
according to Fig. 10.3 (m) and cm is the natural unit weight of the soil within the
grille ðkN/m3 Þ.
The area replacement ratio of cement–soil grille should not be less than 0.7 for
the mucky soil, 0.8 for the sludge and 0.6 for the clayey soil and sand. The
length to width ratio inside the grille should not be greater than 2.
4. The lap width of the pile should not be less than 150 mm.
5. When the wall acts as a waterproof curtain, it should meet the requirements of
relevant regulations.
6. The 28-day unconfined compressive strength of the wall should not be less than
0.8 MPa. When it is necessary to enhance the tensile performance of the wall,
bars which include steel bars, steel tubes, and bamboo can be inserted into the
cement–soil-mixing pile, and the insertion depth should be greater than the
depth of the foundation pit.
7. The wall top surface should be set up with concrete connection panel, the
thickness of the panel should not be less than 150 mm, and the strength grade of
the concrete should not be lower than C 15.
Fig. 10.3 Grille
structure. 1—Cement–
soil-mixing pile;
2—Centerline; 3—Calculated
perimeter
10.3 Soil Nailing Walls 403
10.3 Soil Nailing Walls
10.3.1 Introduction
1. Soil nailing walls
A restraining structure consisting of nails, reinforced soil, and surface layers. It is
also known as the shotcrete-bolt support in some construction enterprises.
2. Soil nails
A slender bar used to reinforce and anchor the in situ soil. It is usually made by
drilling holes in soil, placing deformed bars, and grouting along the holes in full
length. The soil nail depends on the interfacial cohesion or friction. Under the
condition of deformation of the soil, the soil nail is subjected to passive force, and
mainly to tension. Soil nails can also be made by direct penetration of steel pipes
and angle steels into the soil and full-length grouting.
3. Surface layers
At the end of the soil nail, reinforcing bars are welded horizontally and vertically,
distributing bars are welded on the reinforcing bars, and then sprayed with concrete.
4. Strengthening principles
After the formation of the free surface of the foundation pit, there is a tendency of
displacement to the free surface of the side wall soil and the tendency of destruction
along a potential failure surface. After the soil nail is inserted, the soil nail bears the
earth pressure transmitted from the surrounding soil and the surface layer, and
transfers the earth pressure to the stable soil layer, thus preventing the displacement.
The pulling force of soil nails increases the normal stress on the potential failure
surface, and consequently increases the friction force, which prevents the side wall
from destroying.
10.3.2 Structural Size Determination of Soil Nailing Walls
In the preliminary design, the applicability of the soil nailing wall should be
determined according to the environmental conditions of the foundation pit and
engineering geological data. The height of the wall is determined by the excavation
depth. The slope of the excavation surface can be taken 60–90°. When the con-
ditions permit, the slope should be reduced as much as possible.
Soil nailing walls are constructed in layers and sections. The maximum exca-
vation height of each layer depends on the self-stability of the soil. In sandy soil, the
excavation height of each layer is generally 0.5–2.0 m, which can be increased in
the cohesive soil. The excavation height is generally the same as the vertical
spacing of soil nails, commonly 1.0–1.5 m. The longitudinal length of each
excavation depends on the longest time for the soil to maintain stability and the
connection of construction process, 10 m is more common.
10.3.3 Design of Parameters
The design of parameters mainly includes soil nailing spacing, length, layout,
aperture, and steel bar diameter.
1. Soil nail spacing

The horizontal and vertical spacing of soil nails should be 1–2 m. When the
foundation pit is deep and the shear strength of the wall slope is low, the spacing
should take a small value and can be less than 1 m.
2. Soil nail length

The length of soil nails is usually 0.5–1.2 times of the excavation depth, and 1.5–
2.0 times in soft soil area. Soil nails should not exceed the land red line,and not
enter the foundation of adjacent buildings.
3. Inclination of soil nails

The angle between the soil nail and the horizontal plane should be 5–20°, which is
determined according to soil properties and construction conditions and when grout
into the nail hole by gravity, the angle should not be less than 15°.
4. Grouting materials
The cement mortar or the plain cement slurry with strength grade no less than M 10
should be used for grouting materials according to the type of soil nails.
5. Surface layers
The thickness of the shotcrete surface layer should be between 50 and 150 mm, the
strength grade of concrete should not be lower than C 20 and 10 MPa in 3 days.
The mesh reinforcement should be set in shotcrete surface layer, the diameter is 6–
8 mm and the mesh size are 150–300 mm. When the thickness is more than
120 mm, a two-layer mesh reinforcement should be set up.
10.3.4 Calculation of the Bearing Capacity of Soil Nails
Assuming that the soil nail is in tension and its flexural stiffness is not taken into
account, the ultimate uplift bearing capacity of a single soil nail and the tensile
bearing capacity are only checked.
1. Soil pressure on soil nails is given by
ek ¼ feak ð10:7Þ
where ek is the actual earth pressure standard value for soil nail (kPa); eak is the active
earth pressure standard value (kPa) and f is the reduction coefficient of the active earth
pressure when the wall incline, which can be calculated according to Formula (10.8)

tan bu
2
m 1 1
b þ u tan b
tan 2 m
f¼ ð10:8Þ
tan2 45 u2m
where b is the angle between the soil nail slope and the horizontal plane (°) and um
is the average value of the equivalent internal friction angle weighted by the
thickness of each soil layer above the foundation pit bottom (°).
2. Axial tension of soil nails

The standard value of the axial tension of a single soil nail can be calculated
according to Formula (10.9)

Nk;j ¼ gj ek;j sx;j sz;j cos aj ð10:9Þ
where for the layer j, Nk; j is the standard value of the axial tension of soil nails (kN);
ek; j is the actual earth pressure (m); sz; j is the vertical spacing of soil nails; sx; j is the
horizontal spacing; aj is the inclination of soil nails (°) and gj is the adjustment
coefficient of the axial tension, which can be calculated according to Formula (10.10).
8
< gj ¼ ga
Pðga gb Þzj =h
ðhgb zj ÞDEaj ð10:10Þ
: ga ¼ P hz DE
ð j Þ aj
where zj is the vertical distance (m) from the soil nail of layer j to the bottom of the
foundation pit, h is the depth of the foundation pit (m), DEaj is the standard value
(kN) of the active earth pressure acting on the area with side length sx; j and sz; j ; ga
is the calculation coefficient; gb is the empirical coefficient, 0.6–1.0 being prefer-
able; n is the number of the soil nail layers.
3. Uplift bearing capacity of soil nails

The ultimate uplift bearing capacity of a single soil nail should be determined by
uplift test, but it can also be estimated by Formula (10.11) for soil nailing walls with
three safety grades or for preliminary design.
n X o
Rk;j ¼ min pdj qsk;i li ; fyk As ð10:11Þ
where for the layer j, Rk; j is the standard value of the uplift bearing capacity (kN);
the anchorage body diameter dj , for pore-forming grouting soil nails, is calculated
according to the hole forming diameter, or the steel pipe diameter for soil nails with
steel pipe; qsk; i is the standard value of the ultimate bond strength (kPa) of layer
j soil nails in the layer i soil, which should be determined by the uplift test, and can
be based on engineering experience and combined with Table 10.4,when there is no
test data; li is the standard value of the ultimate bond strength (kPa) of layer j soil
nails in layer i soil, when calculating the ultimate uplift bearing capacity of a single
soil nail, the linear sliding surface is shown in Fig. 10.4, and the angle between the
Table 10.4 The standard value of the ultimate bond strength

Name of soil State of soil qsk (kPa)
Pore-forming soil nails with Soil nails with
slurry injection steel pipe
Plain fill 15–30 20–35
Mucky soil 10–20 15–25
Cohesive 0:75 \ IL 1 20–30 20–40
soil 0:25 \ IL 0:75 30–45 40–55
0 \ IL 0:25 45–60 55–70
IL 0 60–70 70–80
Silt 40–80 50–90
Sand Loose 35–50 50–65
Slightly dense 50–65 65–80
Medium dense 65–80 80–100
Dense 80–100 100–120
surface and the horizontal plane is taken b þ2um ; fyk is the standard value of the
tensile strength of the bar (kPa), As is the section area of the nail (m2).
4. Checking of the bearing capacity of soil nails
(1) The uplift bearing capacity of a single soil nail should conform to Formula
(10.12):
Rk; j
Kt ð10:12Þ
Nk; j
Fig. 10.4 Calculation of the uplift bearing capacity of soil nails. 1—Soil nail; 2—Surface of
shotcrete
where for the layer j, Rk; j is the standard value of the ultimate uplift bearing
capacity (kN), which is calculated according to Formula (10.11); Nk; j is the stan-
dard value of the axial tension of the soil nail (kN), which is calculated according to
Formula (10.9); Kt is the safety factor of the soil nail against pullout, and for the
wall with the second and third grade of safety, it should not be less than 1.6 and 1.4,
respectively.
(2) The tensile bearing capacity should conform to the following requirement:
N j f y As ð10:13Þ
where for the layer j, Nj is the design value of the axial value of the soil nail (kN),
Nj ¼ c0 cF Nk; j ; fy is the design value of the tensile strength (kPa); As is the section
area of the nail (m2).
Example 10.2
There is a foundation pit with the excavation depth of 6 m, which is supported by
soil nails. The safety grade is grade three. Its calculation parameters and the
structure sketch are shown in Fig. 10.5. The soil layer of the slope is clay, and the
liquidity index IL ¼ 0:4, the soil layer unit weight is 20 kN/m3, the internal friction
angle u ¼ 37 , the cohesion c ¼ 0. The slope angle is 78.7°, and the grouting soil
nail is used for soil nails. Please check the bearing capacity of the single soil nail.
Fig. 10.5 Calculation drawing of the soil nailing wall

Solution
1. The earth pressure calculation

37
Ka ¼ tan2 45 ¼ 0:25
2
ea1 ¼ chKa ¼ 0:25 20 0:5 ¼ 2:5kPa; ea2 ¼ chKa ¼ 0:25 20 2:0 ¼ 10kPa
ea3 ¼ chKa ¼ 0:25 20 3:5 ¼ 17:5kPa; ea4 ¼ chKa ¼ 0:25 20 5:0

¼ 25kPa
0 1
,
b um B 1 1 C um
f ¼ tan @ A tan2 45
2 b þ um tan b 2
tan
2 !,
78:7 37 1 1 2 37
¼ tan tan 45 ¼ 0:65
2 tan 78:7 2þ 37 tan 78:7 2
ek1 ¼ fea1 ¼ 0:65 2:5kPa ¼ 1:63kPa; ek2 ¼ fea2 ¼ 0:65 10kPa ¼ 6:50kPa
ek3 ¼ fea3 ¼ 0:65 17:5kPa ¼ 11:38kPa; ek4 ¼ fea4 ¼ 0:65 25kPa

¼ 16:25kPa
2. The load calculation of soil nails
From the figure, we can see that Sx ¼ Sy ¼ 1:5 m and the diameter of soil nails
dj ¼ 100mm.
The standard value of the tensile strength of the single soil nail ðg ¼ 1:0Þ
Nk1 ¼ g ek1 sx sz =cosa ¼ 1:0 1:63kPa 1:5 m 1:5 m=cos15 ¼ 3:80 kN

3. The uplift bearing capacity of soil nails
bu
H z1 sin 6 m 0:5 m
l1 ¼ L 1 2 ¼ 4:5 m
sin b bþu sin 78:7
sin þa
2
78:7 37
sin
2 ¼ 2:41 m
78:7 þ 37
sin þ 15
2
bu
H z2 sin 6m 2m
l2 ¼ L2 2 ¼ 5:0 m
sin b bþu sin 78:7
sin þa
2
78:7 37
sin
2 ¼ 3:48 m
78:7 þ 37
sin þ 15
2
bu
H z3 sin 6 m 3:5 m
l3 ¼ L 3 2 ¼ 5:5 m
sin b bþu sin 78:7
sin þa
2
78:7 37
sin
2 ¼ 4:55 m
78:7 þ 37
sin þ 15
2
bu
H z4 sin 6m 5m
l4 ¼ L4 2 ¼ 6:0 m
sin b bþu sin 78:7
sin þa
2
78:7 37
sin
2 ¼ 5:62 m
78:7 þ 37
sin þ 15
2
The liquidity index IL ¼ 0:4, so take qsk ¼ 40kPa according to Table 10.4
fyk As ¼ 355N=mm2 380:1mm2 ¼ 134:94 kN

n X o
Rk;j ¼ min pdj qsk; i li ; fyk As
X
Rk1 ¼ pd1 qsk l1 ¼ p 0:1 m 40kPa 2:41 m ¼ 30:28 kN
X
X
X
4. The checking of the soil bearing capacity
(1) Check the ultimate uplift bearing capacity, in which the safety grade is grade
three, Kt ¼ 1:4.
Rk1 30:28 kN Rk2 43:73 kN

¼ ¼ 7:97 [ Kt ¼ 1:4; ¼ ¼ 2:89 [ Kt ¼ 1:4
Nk1 3:80 kN Nk2 15:14 kN
Rk3 57:18 kN Rk4 70:62 kN

¼ ¼ 2:16 [ Kt ¼ 1:4; ¼ ¼ 1:87 [ Kt ¼ 1:4
Nk3 26:51 kN Nk4 37:85 kN
All meet the requirements.

(2) Check the ultimate uplift bearing capacity.
Nj fy As ¼ 300N=mm2 380:1mm2 ¼ 114:03 kN
Meet the requirements.
10.3.5 Checking of the Stability
The integral sliding stability of soil nailing wall under various working conditions
of the foundation pit excavation should be checked by the circular slice method
(Fig. 10.6):

min Ks; 1 ; Ks; 2 ; Ks; i ; Ks ð10:14Þ

P P 0
cj lj þ qj bj þ DGj cos hj tan uj þ Rk;k ½cosðhk þ ak Þ þ 0:5 sinðhk þ ak Þ tan uk =sx; k
Ks; i ¼ P
qj bj þ DGj sin hj
ð10:15Þ
Fig. 10.6 Checking of the integral sliding stability of soil nailing walls. 1—Soil nail; 2—Surface
of shotcrete
where for the j soil slice, Ks is the stability safety factor of circular sliding; Ks
should not be less than 1.3 and 1.25 for the second and third grade soil nailing
walls; Ks; i is the ratio of anti-sliding moment to sliding moment for the ith sliding
arc, and its minimum value should be determined by all the potential sliding arcs
with different centers and radius; cj is the cohesion at the sliding arc surface (kPa);
uj is the internal friction angle (°); bj is the width of the slice (m); hj is the angle
between the normal line and the vertical plane at the middle point of the sliding arc
surface (°); lj is the length of the sliding arc of the slice (m); qj is the standard value
of additional distributed load (kPa); DGj is the dead weight of the slice(kN), cal-
0
culated by natural unit weight.; Rk;k0 is the nail or the anchor of the k soil slice. The
ultimate pull force (kN) of the rod to the circular sliding body should take the
standard value of the ultimate pull-out capacity of the soil nail or anchor outside the
sliding surface and the smaller value of the standard value of the pull-out capacity
of the rod body; ak is the inclination angle in the k soil slice (°); hk is the angle
0
between the normal line and the vertical plane (°); Rk;k0 is the horizontal spacing of
the soil nail or anchor(m); uk is the internal friction angle of the soil at the inter-
section of the nail or anchor and the sliding arc surface (°).
10.4 Row Pile-Retaining Structures
10.4.1 Introduction
In foundation pit excavation, mixing piles cannot be used for slope excavation or
because of site limitation. When the excavation depth is about 6–10 m, row piles
can be used for support. Bored cast-in-place piles, manual digging piles, prefab-
ricated concrete sheet piles, or steel sheet piles can be used for the protection of row
piles. In addition to bearing piles, row pile supporting structures sometimes include
crown beams, waist beams, and wall protection structures between piles.
According to the excavation depth of foundation pit and the stress state of
retaining structure, row pile-retaining can be divided into: (1) unsupported (can-
tilever) retaining structure: when the excavation depth of foundation pit is small, the
soil behind the retaining wall can be retained by cantilever action; (2) single support
structure: when the excavation depth of foundation pit is large, unsupported
retaining structure cannot be adopted, and a single support or tension anchor can be
set near the top of the retaining structure; (3) multi-support structure: When the
excavation depth of foundation pit is deep, multi-bolt can be set to reduce the
internal force of retaining wall.
10.4.2 Cantilever Support Structures
At present, there are four kinds of calculation methods for cantilever piles: the static
equilibrium method, the finite element method of bar system, the common defor-
mation method and the finite element method. The static equilibrium method is
simple and approximate, and has been widely used in the engineering design. The
other three methods are becoming a hotspot, but it needs further development. Next,
the static equilibrium method is introduced in detail.
The classical method considers that cantilever piles tend to rotate around a
certain point of the pile under the active earth pressure, thus changing the distri-
bution of the earth pressure. The earth pressure behind the pile changes from the
active earth pressure to passive earth pressure, while the earth pressure before the
pile changes from passive earth pressure to active earth pressure.
The distribution of the earth pressure commonly used in the static equilibrium
method is shown in Fig. 10.7.
In Fig. 10.7a, the curve is close to the actual earth pressure distribution and is a
preliminary simplification of the actual curve. In Fig. 10.7b, the force of the
(a) Static equilibrium method (b) Bloom method
Fig. 10.7 Distribution of the earth pressure

10.4 Row Pile-Retaining Structures 413
cantilever pile is simplified by the Bloom method, and the passive earth pressure is
approximately replaced by a concentrated force passing through its center. The
following is the introduction to the Bloom’s simplified method. P
According to Fig. 10.7b, the moment equilibrium conditions MC ¼ 0 at the
point C are as follows:
X tX
ð h þ u þ t ha Þ E EP ¼ 0 ð10:16Þ
3
P
Since Ep ¼ 12 c Kp Ka t2 , substituted into the above formula
P P
6 E 6ð h þ u ha Þ E
t3 t ¼0 ð10:17Þ
cðKP Ka Þ c Kp Ka
P
where t is the effective embedding depth (m); E is the water and earth pressure of
the AO section acting on the wall (kN/m); Ka is the active earth pressure coefficient;
Kp is the passive earth pressure coefficient; c is the soil unit weight (kN/m3); h is the
P depth of the foundation pit (m); ha is the distance between the action
excavation
point E and the ground (m); u is the distance between the position where the
earth pressure equal to zero O and the bottom of the foundation pit (m).
The effective embedded depth t of the pile can be calculated by the above
formula. After simplifying the force of cantilever piles, there will be some errors in
the calculation. Bloom suggests an increase of 20%. Therefore, in order to ensure
the stability of the piles, the minimum embedded depth tc below the bottom of the
foundation pit should be as follows:
tc ¼ u þ 1:2t ð10:18Þ
The maximum bending moment should at the point where the shear force is zero:
X 1
E c Kp Ka x2m ¼ 0 ð10:19Þ
2
Therefore, the distance xm between the maximum bending moment point and the
earth pressure zero-point O is defined by
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
P ffi
2 E
xm ¼ ð10:20Þ
c Kp Ka
The maximum bending moment is given by

X c Kp Ka x3m
Mmax ¼ ðh þ u þ xm ha Þ E ð10:21Þ
6
Example 10.3
A foundation pit with a depth of 4.5 m was excavated in the coarse sand formation.
Cantilever piles were used to support. c ¼ 19:5 kN/m3 , the internal friction angle
u ¼ 25 and the ground overload q0 ¼ 10kPa. Without considering the influence of
groundwater, calculate the minimum length and the maximum bending moment of
the pile.
Solution
Take 1 per meter of the wall along the longitudinal direction

25 25
Ka ¼ tan2 45 ¼ 0:41; Kp ¼ tan2 45 þ ¼ 2:46
2 2
The earth pressure strength of the foundation pit excavation ground

pffiffiffiffiffi pffiffiffiffiffiffiffiffiffi
ea ¼ ðq0 þ chÞKa 2c Ka ¼ ð10 þ 19:5 4:5Þ 0:41 2 0 0:41
¼ 40:1 kN/m2
The distance between the position where the earth pressure equal to zero and the
excavation face
ea 40:1
u¼ ¼ ¼ 1:0 m
c Kp Ka 19:5 ð2:46 0:41Þ
The lateral pressure caused by the ground overload behind the pile above the
excavation face
Ea1 ¼ q0 Ka h ¼ 10 0:41 4:5 ¼ 18:5 kN/m
1
The distance between the action point and the ground ha1 ¼ h ¼
2
1
4:5 ¼ 2:25 m
2
The active pressure behind the pile above the excavation face
1 1
Ea2 ¼ ch2 Ka ¼ 19:5 4:52 0:41 ¼ 80:9 kN/m
2 2
2
The distance between the action point and the ground ha2 ¼ h ¼
3
2
4:5 ¼ 3:0 m
3
The earth pressure from the excavation face behind the pile to the position where
the earth pressure equal to zero
1 1
Ea3 ¼ ea u ¼ 40:1 1:0 ¼ 20:05 kN/m
2 2
The distance between the action point and the ground

ha3 ¼ h þ 13 u ¼ 4:5 þ 13 1:0 ¼ 4:83 m
The resultant earth pressure acting on the pile
X
E ¼ Ea1 þ Ea2 þ Ea3 ¼ 18:5 þ 80:9 þ 20:05 ¼ 119:45 kN/m
P
The distance between the action point E and the ground
Ea1 ha1 þ Ea2 ha2 þ Ea3 ha3 18:5 2:25 þ 80:9 3:0 þ 20:05 4:83
ha ¼ P ¼
E 119:45
¼ 3:19 m
P
Substitute Ka , Kp , u, E, ha obtained from the above calculation into to For-
mula (10.17) to get
6 119:45 6 119:45 ð4:5 þ 1:0 3:19Þ

t3 t ¼0
19:5 ð2:46 0:41Þ 19:5 ð2:46 0:41Þ
t3 17:93t 41:42 ¼ 0
t ¼ 5:10 m
The minimum length of the pile lmin ¼ h þ u þ 1:2t ¼ 4:5 þ 1:0 þ

5:10 1:2 ¼ 11:62 m
The distance between the maximum bending moment point and the position
where the earth pressure equal to zero:
ffi sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
P
2 E 2 119:45
xm ¼ ¼ ¼ 2:44 m
c Kp Ka 19:5 ð2:46 0:41Þ
The maximum moment:

X c Kp Ka x3m
Mmax ¼ ðh þ u þ xm ha Þ E
6
19:5 ð2:46 0:41Þ 2:443
¼ 119:45 ð4:5 þ 1:0 þ 2:44 3:19Þ ¼ 470:60 kN m/m
6
10.4.3 Monolayer-Retaining Structures
In the case of the deep foundation pit, the cantilever-retaining structure often needs
a deep embedded depth, and will have a great displacement. At this time, one or
more layers of fulcrum should be set along different heights of the retaining
structure, and the statically determinate cantilever structure should be changed into

diagram of the
monolayer-retaining structure
the exceed statically indeterminate multi-span structure to increase the stability and
reduce the horizontal displacement. The fulcrum may be an anchor, an inner sup-
port, or an anchor slab. The simplest is the monolayer fulcrum, which is called the
monolayer-retaining structure.
1. Calculation of the monolayer-retaining structure in the shallow soil depth
When the depth of retaining piles and walls is shallow, the passive earth pressure in
front of piles and walls can be fully exerted, and a little forward displacement may
occur at the bottom of walls. The passive and active earth pressure behind and in
front of the pile and the wall have the same moment to the anchor point, and the
wall is in the ultimate equilibrium state. At this time, the wall can be regarded as a
structure with hinged anchor and free bottom (Fig. 10.8).
For row piles, the control width of each pile is taken as the analysis unit. First,
the effective embedded depth P of piles is assumed, and then, according to the
moment equilibrium condition ð MA ¼ 0Þ of the fulcrum, the results are obtained:
X X
2
E ð ha h0 Þ Ep h h 0 þ u þ t ¼ 0 ð10:22Þ
3
t can be obtained from Formula (10.22). The minimum embedded depth of the
wall below the foundation pit bottom can still be determined according to Formula
(10.18).
The horizontal force at the fulcrum is calculated according to the horizontal force
equilibrium condition.
X X
Ra ¼ E Ep ð10:23Þ
According to the shear force of the maximum bending moment section is equal
to zero, the distance xm between the maximum moment section and the position
where the earth pressure equal to zero
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
P ffi
2 ð E Ra Þ
xm ¼ ð10:24Þ
c Kp Ka
From this, the maximum bending moment can be obtained

X c Kp Ka x3m
Mmax ¼ ðh þ u þ xm ha Þ E R a ð h h0 þ u þ x m Þ ð10:25Þ
6
2. Calculation of Single-fulcrum pile-retaining structure in deep soil penetration

When the depth of retaining pile and wall is deeper, the bottom of pile and wall
inclines backward, passive earth pressure appears behind the front wall, and the
retaining pile is in the state of elastic embedding in the soil, which is equivalent to
the statically indeterminate beam with simple support at the upper end and
embedded at the lower end. Equivalent beam method is often used in engineering
calculation.
The basic principle of the equivalent beam method is shown in Fig. 10.9.
A beam with one end fixed and the other simply supported (Fig. 10.9a) has a
reverse bending point at Point b, which has zero bending moment (Fig. 10.9b). If
the Point b is cut and Point b is defined as the simple fulcrum of the left-end beam,
the bending moment in Section ab remains unchanged. Therefore, the
simple-supported beam ab is called the equivalent beam of Section ab in Beam ac
of Fig. 10.9a.
Fig. 10.9 Basic principle of

the equivalent beam method
Fig. 10.10 Calculation diagram of the equivalent beam method
The equivalent beam method is applied to the calculation of the

monolayer-retaining structure. The calculation diagram is shown in Fig. 10.10. The
calculation steps are as follows:
(1) Determine the inflection point of the positive and negative moment, and the
measured results show that the position where the earth pressure equal to zero
is very close to the bending moment zero point. Therefore, it can be assumed
that the inflection point is at the position where the earth pressure equal to
zero, which is the point O in Fig. 10.10. The distance u from the bottom of the
foundation pit to it is calculated according to the condition that the earth
pressure acting on the front and back sides of the wall is zero.
(2) The fulcrum reaction force Ra and O-point shear force Q0 are calculated from
the AO equivalent beam according to the equilibrium formula
P
E ð h ha þ uÞ
Ra ¼ ð10:26Þ
h h0 þ u
P
E ð ha h0 Þ
Q0 ¼ ð10:27Þ
h h0 þ u
P
(3) The OC section under the wall is taken as the isolation body, Mc ¼ 0, and
the effective embedded depth t can be obtained is given by
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
6Q0
t¼ ð10:28Þ
c Kp Ka
The minimum embedded depth of the pile is still determined by Formula

(10.18).
(4) The maximum bending moment Mmax is calculated from the equivalent beam.
Since the forces acting on the piles have been obtained, Mmax can be easily
calculated.
Example 10.4
The excavation depth of a foundation pit is 6 m. The plate support with an anchor is
adopted. The anchor fulcrum is 1.5 m from the ground, and the horizontal spacing
of the fulcrum is 2.0 m. The unit weight of the soil around the foundation pit
c ¼ 20:0 kN/m3 . The internal friction angle u ¼ 25 and the cohesion c ¼ 0.
Ground construction load q0 ¼ 20kPa. Please calculate the minimum length, the
anchor tension, and the maximum bending moment of the sheet pile by the
equivalent beam method.
Solution
The horizontal spacing of anchor points Sh ¼ 2:0 m is taken as the width for
calculation.

2 25 2 25
Ka ¼ tan 45 ¼ 0:41; Kp ¼ tan 45 þ ¼ 2:46
2 2
The active earth pressure strength at the ground behind the wall
ea1 ¼ q0 Ka 2c Ka ¼ 20 0:41 2 0 0:41 ¼ 8:20kPa
The active earth pressure strength at the bottom of the foundation pit behind the
wall
ea2 ¼ ðq0 þ chÞKa 2c Ka ¼ ð20 þ 20 6Þ 0:41 2 0 0:41
¼ 57:04kPa
The distance between the position where the earth pressure equal to zero and the
bottom of the foundation pit
ea2 57:04
u¼ ¼ ¼ 1:39 m
c Kp Ka 20 ð2:46 0:41Þ
The earth pressure behind the wall

X 1 1
E¼ ð8:20 þ 57:04Þ 6 2 þ 57:04 1:39 2 ¼ 470:73 kN
2 2
P
The distance between the action point E and the ground
1

8:2 62 2 þ 23 12 ð57:04 8:20Þ 62 2 þ 12 57:04 1:39 6 þ 13 1:39 2
ha ¼ 2
470:73
¼ 4:21 m
The horizontal tension of anchorage at fulcrum

P
Eðh ha þ uÞ 470:73 ð6 4:21 þ 1:39Þ
Ra ¼ ¼ ¼ 254:15 kN
h h0 þ u 6 1:5 þ 1:39
The shear force at the position where the earth pressure equal to zero (i.e., the
inflection point)
P
Eðha h0 Þ 470:73 ð4:21 1:5Þ
Q0 ¼ ¼ ¼ 216:58 kN
h h0 þ u 6 1:5 þ 1:39
The effective embedded depth of the pile

sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
6Q0 6 216:58
t¼ ¼ ¼ 3:98 m
c Kp Ka Sh 20 ð2:46 0:41Þ 2:0
The minimum length of the pile lmin ¼ h þ u þ 1:2t ¼ 6 þ 1:39 þ

3:98 1:2 ¼ 12:17 m
The distance hq between the shear force zero point and the ground is obtained
1
from Ra ch2q Ka Sh q0 Ka hq Sh ¼ 0.
2
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
q0 Ka Sh þ q20 Ka2 S2h þ 2cKa Sh Ra 1
hq ¼ ¼ q0 þ q20 þ 2cRa =ðKa Sh Þ
cKa Sh c
1 h pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffii
¼ 20 þ 202 þ 2 20 254:15=ð0:41 2:0Þ ¼ 4:66 m
20
The maximum bending moment
1 1
Mmax ¼ 254:15 ð4:66 1:5Þ 20 4:663 0:41 2:0 20 4:662 0:41 2:0
6 2
¼ 348:45 kN m
10.4.4 Multilayer-Retaining Structures
When the foundation pit is deep and the geological condition is poor, the single
anchor or single support cannot meet the stability and strength requirements of the
retaining structure, the multilayer-retaining structure can be used. At present, the
Fig. 10.11 The support load

1/2 sharing method
calculation methods of the multilayer-retaining structure are usually the equivalent

beam method, the continuous beam method, the support load 1/2 sharing method,
the method of layer-by-layer excavation with no changing for load, the elastic
fulcrum method, and the finite element method. Following is a brief introduction of
the main methods.
1. The support load 1/2 sharing method

For multilayer-retaining structures, if the active earth pressure distribution behind
the retaining wall is based on the Terzaghi and Peck’s theory, the internal forces of
the support and the bending moment of the wall can be calculated by the following
empirical method (as shown in Fig. 10.11):
(1) The force on each support or anchor is corresponding to the earth pressure
load value of two adjacent half-spans, as shown in Fig. 10.11b.
(2) Assuming that the earth pressure strength is q, the maximum support moment
2 2
(more than three spans) M ¼ ql10 , the maximum mid-span moment M ¼ ql20 for
the continuous beam calculation.
2. The elastic fulcrum method

The elastic fulcrum method, which also known as the elastic resistance method and
the subgrade reaction method in the engineering field. The calculation method is as
follows:
(1) The loads behind piles can be directly calculated according to the Rankine
active earth pressure theory, i.e., the triangular distributed earth pressure
model, as shown in Fig. 10.12a or the rectangular distributed empirical earth
pressure model (Fig. 10.12b). The latter is widely used in the design of the
retaining structure.
(a) The triangular distribution (b) The rectangular distribution

Fig. 10.12 The calculation diagram of the elastic fulcrum method
(2) The soil resistance of the retaining structure below the excavation face is
simulated by spring:
rs ¼ ks y þ rs0 ð10:29Þ
where ks is the horizontal reacting force coefficient of the foundation soil (kN/m3);
rs0 is the initial reacting force of the soil (kPa); y is the horizontal deformation of
the soil (m).
(3) The spring with the stiffness coefficient kz is used to simulate the anchor point.
Taking “m” method as an example, the basic deflection differential formula of the
retaining structure is as follows:
d4 y
EI þ m ðz hÞ b y þ rs0 b ea bs ¼ 0 ð10:30Þ
dz4
where EI is the flexural rigidity ðkN m2 Þ; y is the horizontal flexural deformation

of the pile (m); b is the vertical coordinate (m); ea is the calculated width (m); m is
the active lateral earth pressure strength (kPa); m is the proportional coefficient of
the horizontal reacting force coefficient ks (kN/m4); bs is the active side load action
width (m).
The internal force and deformation of the retaining structure can be obtained by
Formula (10.30), which can be solved by the equivalent beam method. First, the
retaining structure is decomposed: the beam element is used in the retaining structure,
and the elastic support element is used in the support or the anchor. The external load
is the active earth pressure and water pressure at the back of the structure. The water
pressure can be calculated separately, that is, the separated calculation is adopted. It
can also be calculated together with the earth pressure, that is, the combining cal-
culation, but it should be noted that the shear strength index used in the calculation of
the separated calculation is different from that used in the combining calculation.
10.5 Stability of the Foundation Pit Support 423
10.5 Stability of the Foundation Pit Support
10.5.1 Introduction
The instability is the main cause of foundation pit accidents, and its forms include
the local instability and the overall instability. The reasons for the instability may be
the insufficient shear strength of the soil, the insufficient strength of the retaining
structure or the seepage failure. It should be noted that the water is often the main
factor causing the instability of the foundation pit. Rainfall, soaking condition,
leakage of adjacent pipes, or improper treatment of the groundwater will reduce the
shear strength and cause abnormal seepage. The abnormal seepage often increases
the load, scour the foundation soil or causes seepage failure of the foundation soil.
Therefore, it is very important to analyze the stability of the foundation pit support.
The content of the stability analysis includes the check of the overall stability of
retaining structure, the kicking stability, the anti-uplift stability of the foundation pit
bottom, and anti-seepage stability of the foundation pit. The main analysis methods
are the engineering geology contrast method and the mechanics analysis method,
which complement and verify each other. For specific problems, we should draw
the final conclusion through comprehensive analysis. The engineering geology
contrast method is to determine the embedded depth of the structure by researching
a large number of existing projects and combining with the geological conditions of
the proposed design project. Generally speaking, it is relatively reliable, but it can
only be used when the engineering and geological conditions are in conformity. The
mechanics analysis method is based on soil mechanics theory. However, because of
the complexity of actual geological factors, it cannot be simply summarized by
mechanical analysis, so it has its limitations, sometimes it cannot correctly judge the
safety degree of foundation pit stability, but under certain conditions, it is still a
powerful tool to solve the problem of the foundation pit stability.
10.5.2 Overall Stability Analysis
The overall stability analysis of the foundation pit is actually to analyze the stability
of the vertical soil slope of the retaining structure, and determine the embedded depth
of the retaining structure through the analysis, such as the embedded depth of the
cement–soil-retaining wall, the multilayer fulcrum row pile and the diaphragm wall.
The calculation method of the overall stability is based on the slice method of
circular sliding surface and the total stress. Taking the unit wall width (Fig. 10.13)
for analysis, the safety factor of the overall stability should meet the following
requirements:
P P
ci Li þ ½ðq b þ Wi Þ cos hi ui Li tan ui
KSF ¼ P0 i ð10:31Þ
ðq0 bi þ Wi Þ sin hi
Fig. 10.13 Overall stability

analysis
where KSF is the safety factor of the overall stability; for retaining structures with
safety grade one, two, and three, the factor shall not be less than 1.35, 1.3, and 1.25,
respectively; for the i soil slice, ci is the cohesive of the slice bottom surface (kPa);
ui is the internal friction angle of the bottom surface (°); Li is the area of the bottom
surface ðm2 Þ; bi is the width of the soil slice (m); Wi is the gravity, according to the
saturated volume density of the overlying soil; hi is the dip angle of the bottom
surface (°); ui is the water pressure acting on the slice bottom surface (kPa).
In Formula (10.31), the safety factor should be minimized after several trails,
which can be calculated by computer programming.
When there are soft interlayer and inclined bedrock surface, the noncircular
sliding surface should be used for calculation. When the lower part of the embedded
depth is a soft soil layer, it should continue to check the overall stability of the soft
substratum. When the sliding surface extends out the anchorage section with
anchors, the effect of the anti-pulling force on the overall stability of the retaining
structure should be taken into account.
10.5.3 Analysis of the Rotational Stability of the Retaining

Structure around the Lowest Anchor Point
For braced or anchored retaining structures, when the bottom of the pit is soft soil,
under the horizontal load, the monolayer-retaining structure may cause the rota-
tional instability with the fulcrum as the rotation point, while the
multilayer-retaining structure may cause instability around the lowest fulcrum. The
calculation model is shown in Fig. 10.14.
Fig. 10.14 Checking of the

rotational stability around the
lowest anchor point
The rotational stability of anchored or braced retaining structures around the

lowest fulcrum O should meet the following requirements:
P
½ci li þ ðqi bi þ DWi Þ cos hi tan ui
KT ¼ P ð10:32Þ
ðqi bi þ DWi Þ sin hi
where KT is the safety factor of the rotational stability; for retaining structures with
respectively; for the soil slice i, ci is the cohesive of the circular sliding surface
(kPa); ui is the internal friction angle of the circular sliding surface (°); bi is the
width of the soil slice (m); qi is the standard value of the vertical pressure
(kPa) acting on the top of the slice; hi is the angle between the normal line and the
vertical plane at the midpoint of the circular sliding surface (°); DWi is the dead
weight of the slice (kN).
10.5.4 Analysis of the Stability of the Bottom Heave
The Technical Specification for Retaining and Protection of Building Foundation

Excavations (JGJ120-2012) stipulate that the stability analysis of the bottom heave
should meet the following requirements (Fig. 10.15):
c2 hd Nq þ cNc
KL ¼ ð10:33Þ
c1 ðh þ hd Þ þ q0
u p tan u
Nq ¼ tan2 45 þ e ð10:34Þ
2

diagram of the anti-heave
Nq 1
Nc ¼ ð10:35Þ
tan u
where KL is the safety factor of the anti-heave stability; for retaining structures with
respectively; c1 is the average unit weight of the soil layer weighted by the
thickness above the bottom plane of external retaining structure of the foundation
pit ðkN/m3 Þ; c2 is the average unit weight of the soil layer weighted by the thickness
above the bottom plane of internal retaining structure ðkN/m3 Þ; h is the depth of the
foundation pit (m); hd is the embedded depth (m); c is the cohesion of the soil under
the bottom plane of the structure (kPa); u is the internal friction angle (°).
10.5.5 Analysis of the Anti-seepage Stability
For the foundation pit, the check of the seepage stability includes the check of the
anti-quicksand stability and anti-confined water stability.
1. The anti-quicksand stability

As shown in Fig. 10.16, when the groundwater seeps from high to low and the
upward hydrodynamic pressure (seepage force) j c0 (c0 is the effective unit weight
of the soil), the quicksand will occur at the bottom of the foundation pit. If the
maximum seepage force j is approximately calculated according to the shortest path
close to the wall, the safety factor of anti-quicksand stability should satisfy the
following requirements:

anti-quicksand
c0 ðh hw þ 2hd Þc0
KLS ¼ ¼ 1:5 ð10:36Þ
j ðh hw Þcw
where hw is the groundwater level behind the wall (m); cw is the unit weight of the
groundwater ðkN/m3 Þ.
2. The anti-uprush stability

If the impervious layer under the foundation is thin and there is a water-holding
layer or confined water layer under the impervious layer, when the overlying soil
weight is not enough to resist the water pressure at the lower part of the foundation
pit, the soil at the bottom of the foundation pit will undergo gushing damage.
Therefore, when designing the foundation pit with confined water under the pit, the
checking calculation of gushing stability should be carried out. According to the

anti-uprush
concept of pressure balance (Fig. 10.17), the stability of soil inrush at the bottom of
foundation pit should be satisfied:
chs
KTY ¼ 1:1 ð10:37Þ
cH
where hs is impervious layer thickness (m); H is the height of confined water head
higher than aquifer roof (m).
If the anti-uprush stability of the foundation pit does not meet the requirements,
waterproof-retaining wall can be used to separate the aquitard and the foundation
can be strengthened.
10.6 In-Site Monitoring and Informatization Construction

of Foundation Pits
10.6.1 Role of the Monitoring and the Prediction
From the analysis of many accidents in the foundation pit, we can draw the con-
clusion that any accident is inevitably related to the inadequate monitoring or the
inaccurate prediction of danger. In other words, if the environmental monitoring
and the danger prediction of the foundation pit are accurate and timely, the
occurrence of major accidents can be prevented and the damage caused by the
accident can be minimized.
The environmental monitoring of the foundation pit is not only an important
means to check the correctness of the design, but also a necessary measure to guide
the construction correctly in time and avoid accidents. The monitoring technology
of the foundation pit refers to the comprehensive monitoring of displacement,
inclination, settlement, stress, crack, bottom heave, change of groundwater, and
change of pore water pressure of soil layer by scientific instruments, equipment and
means in the process of the excavation and the construction of the foundation pit.
Then, according to the behavior of rock and soil displacement monitored during the
previous excavation period, a large amount of geotechnical information is captured
in time, and the differences between the expected characteristics of the investigation
and the monitoring results are compared timely, and then the original design results
are evaluated and the rationality of the solution for the accident is judged. By
calculating and modifying geotechnical mechanics parameters by the back-analysis
method, the new behaviors and new trends that may arise in the following engi-
neering practices are predicted, which provides the reliable information for the
design optimization and the rational organization of the construction, makes sug-
gestions for the subsequent excavation schemes and steps. It also predicts the
possible danger in the process of the construction and takes immediate measures in
case of abnormal situations, which nips the problem in the bud, so as to ensure the
safety of the engineering.
10.6 In-Site Monitoring and Informatization Construction of Foundation Pits 429
10.6.2 Design Principles of the Monitoring System
The construction monitoring is a systematic project. The success or failure of the

monitoring is related to the selection of monitoring methods and the layout of
measuring points. The design principles can be summarized as follows:
1. Principles of the reliability

The reliability principle is the most important principle to be considered in the
design of the monitoring system. In order to ensure the reliability, we must do:
First, the system needs to use reliable instruments. Generally speaking, the relia-
bility of mechanical measurement is higher than that of electrical measurement
instrument, so if the electrical measurement instrument is used, it is usually required
to have a target system or check with other mechanical measurement instruments;
second, the measuring points should be protected during the monitoring period.
2. Principles of the multilevel monitoring

There are four specific meanings of the multilevel monitoring principle:
(1) The displacement is the main monitoring object, but other physical quantities
are also considered.
(2) In terms of monitoring methods, the instrument monitoring is the main
method, supplemented by the patrol inspection.
(3) In order to ensure the reliability of monitoring, the monitoring system should
adopt various methods and instruments with different principles.
(4) The monitoring network with a certain coverage of measuring points should
be formed by placing points, respectively, on the surface, inside the foundation
pit soil, and adjacent affected buildings and facilities.
3. Principles for monitoring key areas

According to the research, the stability of different parts of different retaining
methods is different. Generally speaking, the parts with poor stability are liable to
collapse and even affect the safety of adjacent buildings. Therefore, the parts that
are prone to problems and will cause great losses once they occur should be listed
as key areas for key monitoring and implemented as soon as possible.
4. Principles of convenience and practicality

In order to reduce the mutual interference between the monitoring and the con-
struction, the installation and reading of the monitoring system should be as con-
venient and practical as possible.
5. Principles of economic rationality

Considering that most of the foundation pits are temporary works, the monitoring
time is relatively short. In addition, the monitoring scope is not large and the
surveyors are easy to reach the measuring points. Therefore, practical and low-cost
instruments should be considered as far as possible in the design of the system, and
the advancement of the instruments should not be excessively pursued in order to

reduce the monitoring costs.
10.6.3 Monitoring Contents
The field monitoring of the foundation pit mainly includes the monitoring of the
retaining structure, the surrounding environment, and the monitoring of changes
caused by the influence of construction on geotechnical properties. Its monitoring
methods are as follows:
1. The horizontal displacement monitoring of the top of the retaining structure is the
most important. Generally, a measuring point is set up every 5–8 m interval, and
increase the number of points appropriately in key areas. During the excavation of
the foundation pit, the displacement is monitored every 2–3 days, and those with
larger displacement is monitored 1–2 times a day. Considering the fact that the
construction site is narrow and the measuring points are often blocked, a variety
of methods can be used for monitoring. First, the displacement convergence
meter is used to measure the convergence of the top of the retaining structure. This
method has the advantages of the flexible and convenient layout, the simple
instrument structure, the easy operation, the reliable reading. The measuring
accuracy is 0.05 mm, which can accurately capture the subtle displacement
dynamics and predict the new behaviors and trends that may occur in the future as
soon as possible. Second, the precise optical theodolite can be used for obser-
vation. The observation points and datum points are set on the structures with
static ends on the extension line of the long straight side of the foundation pit, and
the checkpoints are set in the direction where the observation points rotate at a
certain angle. Then the horizontal displacements of the measuring points are
monitored. The third is to measure with an extensometer. One end of the
instrument is placed at the top of the retaining structure, the other end is placed in a
stable section and connected with the automatic recording system. The horizontal
displacement curve and displacement rate curve can be obtained continuously.
2. Monitoring of the inclination of the retaining structure. According to the fac-
tors of the retaining structure stress and the surrounding environment, incli-
nometer tubes are drilled in key places and monitored regularly with
high-precision inclinometer, so as to grasp the inclination change of the
retaining structure in various construction stages, and provide the variation of
the horizontal displacement at different depth with time and analyse the cal-
culation results timely. In the process of foundation pit excavation, measuring
points can be set on the side of the retaining structure, and the inclination can
also be observed by the optical theodolite.
3. The settlement monitoring of the retaining structure. The settlement of the key
parts of the retaining structure can be observed by the precise level according to
the conventional method.
4. The stress monitoring of the retaining structure. In order to prevent the struc-
tural damage of the structure, the larger stress section of the ring beam steel bar
at the top of the pile is monitored by the steel bar sensor.
5. The force monitoring of the retaining structure. In order to obtain the allowable
tension of the anchor, the field uplift test of the anchor should be carried out before
the construction, and the actual bearing capacity is monitored by the anchor
dynamometer during the construction. For the inner support of the steel pipe, the
stress sensor or strain gauge can be used to monitor the change of its force.
6. The integrity of the retaining structure should be checked before the foundation
pit excavation. For example, the low strain dynamic testing method is used to
detect whether the pile body is broken, seriously necked, severely segregated
and slurry scrappy, and to determine the position of the defect.
7. The monitoring the occurrence time and development of the settlement, incli-
nation, and cracks of adjacent buildings.
8. The monitoring of the settlement and deformation of adjacent structures, roads,
and underground pipeline network.
9. The monitoring of changes in geotechnical properties caused by the con-
struction, including the surface settlement, the horizontal displacement, the
deep settlement, and the inclination. The monitoring range is mainly within the
excavation depth of 1.5–2 times of the foundation pit. The overall stability of
the foundation pit slope can be grasped and the position of potential sliding
surface in soil in time with this monitoring.
10. Test of the horizontal soil pressure acting on the pile. The soil pressure on pile side
is an important parameter in the design and calculation of the retaining structure,
which is often required. It can be tested by the vibrating frequency receiver.
11. The bottom heave monitoring after the foundation pit excavation which
includes the heave caused by the rebound of the excavation unloading base and
the deformation or instability of the retaining structure.
12. The test of the pore water pressure changes in soil layers. In general, the
vibrating gauge, electrical side pressure gauge, and digital steel string fre-
quency receiver are used for testing.
13. When the rise and fall of the groundwater level has a great impact on the
foundation pit excavation, the dynamic monitoring of the groundwater level
and the observation of seepage, the water burst, the piping, and the scouring
should be carried out.
14. The visual inspection and the crack observation. The visual inspection mainly
records, inspects and analyses the occurrence and development of the adverse
situation such as cracks and collapses of ring girders on the pile top and
adjacent buildings, as well as the abnormal work of retaining structures, the
seepage of the soil flows or local piping. The visual inspection includes mea-
suring crack width with a crack reading microscope and using general measures
of degree, quantity, and balance.
In the above monitoring projects, the horizontal displacement monitoring, the

settlement monitoring, the bottom heave monitoring, the visual inspection, and the
crack observation are indispensable. The remaining projects can be determined
according to the characteristics of the project, the construction methods, and the
possible environmental impact. When there is no regional experience, it can be
determined by referring to Table 10.5.
Table 10.5 The foundation pit monitoring project table

Project Safety grade of foundation pit
Grade 1 Grade 2 Grade 3
Horizontal displacement of top-retaining structure Must Must Must
Settlement of adjacent buildings and pipelines Must Must Must
Settlement of ground near foundation pit Must Must Should
Horizontal displacement of deep-retaining structure Must Must Can
Force of anchor Must Must Can
Axial force of support Must Should Can
Internal force of retaining member Must Should Can
Settlement of retaining column Must Should Can
Settlement of retaining structure Must Should Can
Groundwater level Must Must Can
Soil pressure Should Can Can
Pore water pressure Should Can Can
10.6.4 Analysis and Evaluation of Monitoring Results
The monitoring of foundation pit is characterized by emphasizing the quantitative

analysis, the evaluation, the timely danger prediction, reasonable measures, and
further testing the effect of the reinforcement until the problem is solved. Any
monitoring work without careful analysis is an objective description of the con-
struction process at best, and can never play a role in guiding the construction
process and realizing the information construction. The analysis and evaluation of
monitoring results mainly includes the following aspects:
1. Quantitative analysis of horizontal displacement at the top of support structure is

carried out in detail, including calculation of displacement rate and cumulative
displacement, timely drawing of displacement curve with time, accurate
recording and careful analysis of the causes of the increase of displacement rate
(such as excavation depth, over-excavation phenomenon, unsuitable support,
rainstorm, seepage, piping, etc.).
2. The settlement and settlement rate are calculated and analyzed. Settlement
should be distinguished between the horizontal displacement of support results
or changes in groundwater level. Generally, the ratio of maximum settlement to
horizontal displacement of adjacent ground caused by horizontal displacement
of support structure is 0.65–1.00, and the time lag of occurrence of settlement is
about 5–10 days behind that of horizontal displacement; while the decrease of
groundwater level will cause a relatively large subsidence of ground quickly,
which should be paid attention to. The settlement observation results of adjacent
buildings can be compared with the settlement limits in relevant codes.
3. Comprehensive analysis, verification and comparison of the monitoring results.
By comparing the new monitoring data with the original design, the rationality
of the existing design and construction schemes can be judged, and the existing
design and construction schemes can be adjusted as early as possible if
necessary.
4. According to the monitoring results, the influence of foundation pit excavation
on the surrounding environment and the engineering effect of foundation pit
support are comprehensively analyzed. Through analysis, the technical causes of
engineering accidents are found out.
5. The numerical simulation method is used to analyze the displacement variation
law and stability analysis of the supporting structure under various conditions
during the construction of foundation pit, to calculate the characteristic
parameters of rock and soil, to check the suitability of the original design and
calculation method, and to predict the new behavior and new trends that may
occur in subsequent excavation projects.
10.6.5 Warning
Risk warning is a very serious technical problem. We must consider all kinds offactors
carefully and comprehensively according to the specific situation and make timely
decisions. However, the alarm standard has not yet been unified. Generally, it is
designed as two control indicators, the allowable value and the change rate. For
example, when one of the following situations occurs, the alarm should be considered:
1. The horizontal displacement rate of support structure increases sharply for

several days, such as 2.5–5.5 mm/d.
2. The cumulative value of horizontal displacement of support structure reaches
the design allowable value. If the ratio of maximum displacement to excavation
depth is 0.35–0.70%, the smaller value is chosen when the surrounding envi-
ronment is complex.
3. The measured stress of any item reaches the allowable value of design.
4. The settlement of the adjacent ground and buildings reaches the design allow-
able value.
For example, the ratio of maximum ground subsidence to excavation depth

reaches 0.5–0.7%, and ground cracks expand rapidly. The differential settlement of
buildings reaches the settlement limit of relevant codes. For example, when the
differential settlement of a six-story brick–concrete structure adjacent to a foun-
dation pit reaches about 20 mm, more than ten long cracks appear in the wall.
5. The displacement of gas pipe, water pipe, and other facilities has reached the
allowable value of design. For example, when the local subsidence of the gas
pipeline near a foundation pit reaches 30 mm, a gas leakage accident occurs.
6. Severe undesirable phenomena detected by naked-eye inspection, such as
excessive cracks in pile top girders, continuous expansion of cracks in adjacent
buildings, serious foundation pit leakage, piping, etc. At the moment of danger,
the ways to realize the forecast can be summarized as follows:
(1) First, the comprehensive analysis of site engineering geology, hydrogeol-

ogy, surrounding environment of foundation pit, and surrounding topogra-
phy and geomorphology of foundation pit and construction scheme is
carried out. Starting from the formation conditions of dangerous situation,
the necessary conditions (such as geotechnical characteristics, supporting
structure, effective face, adjacent buildings, and underground facilities) and
some related induced conditions (such as groundwater, meteorological
conditions, earthquake, excavation construction, etc.) are found out. Com-
bined with the stability analysis and calculation of support structure, the
preliminary conclusion of whether dangerous situation will occur is drawn.
(2) On-site monitoring is a necessary condition for realizing the danger forecast.
The purpose of on-site monitoring is to use all kinds of effective monitoring
means to timely capture all kinds of precursory information exposed before
the occurrence of a dangerous situation, as well as all kinds of related factors
inducing a dangerous situation. The monitoring results should not only
show the evolution trend of dynamic elements in dangerous situations, but
also draw the time-varying curves of horizontal displacement and its rate,
settlement, stress, and crack, and make timely analysis and evaluation.
(3) The simulation experiment is beneficial to the accurate prediction of the
time when the danger occurs. The occurrence time of danger is the time
when the on-site monitoring data reaches the critical limit index in the
occurrence mode of danger. The simulation experiment can accurately
determine various possible hazard occurrence modes and the relevant limit
index and the basis of hazard prediction when determining the critical state.
(4) We should timely capture the macro-risk precursor information. Examples
of naked-eye inspection and general danger prediction show that most
dangers can be detected early by naked-eye inspection.
After careful and in-depth quantitative analysis, evaluation and dangerous infor-
mation police, measures, and suggestions should be put forward in time, and actively
cooperate with the design and construction units to adjust the construction plan, take
necessary reinforcement or other emergency measures, eliminate dangerous situa-
tions in time, and check the effect of reinforcement treatment through tracking and
monitoring, so as to ensure the safety of the follow-up process of the project.
10.6.6 Protection of Measuring Points
Because of the complex conditions of the construction site, test points are extremely
vulnerable to damage, resulting in the discontinuity of monitoring data, which
brings incalculable losses to the data analysis. Therefore, the monitoring points
must be firm and marked, and the construction units should cooperate closely to
ensure that the monitoring points are not destroyed in the monitoring stage.
10.7 Summary 435
10.7 Summary
(1) According to different retaining components and slope protection methods, the
retaining structure of the foundation pit can be roughly divided into natural
slope, cement–soil pile walls, soil nailing walls, composite soil nailing walls,
row piles, diaphragm walls, etc. In design, appropriate support types should be
selected according to their applicable conditions.
(2) The calculation of cement–soil pile wall includes earth pressure calculation,
anti-overturning stability calculation, anti-sliding stability calculation,
anti-sliding calculation, wall stability calculation, and bearing capacity cal-
culation of the foundation. Design steps of soil nailing walls are the deter-
mination of the soil nailing wall size, parameter design, bearing capacity
calculation, and stability checking. According to excavation depth of the
foundation pit and retaining structure stress condition, row pile-retaining
structure can be divided into three parts: unsupported (cantilever) structures,
monolayer-retaining structures, and multilayer-retaining structure, and differ-
ent calculation methods are adopted according to the type of structure selected.
(3) Analysis of the foundation pit stability includes checking of overall stability,
kicking stability, anti-uplift stability, and anti-seepage stability. The main
analysis methods are engineering geology contrast method and mechanics
analysis method, which complement and verify each other.
(4) The purpose of field monitoring in the foundation pit is to discover the
deformation of buildings, pipelines, and bottom around the foundation pit in
advance, to warn in advance, to prevent accidents in advance and to support
inform ionization construction which improves construction efficiency and
reduces engineering costs.
Problems
10:1 What are the types of foundation pit-retaining structures? What are their
respective applicable conditions?
10:2 What are the calculation models of earth pressure in the retaining structure?
What are the applicable conditions?
10:3 What is the difference between the static equilibrium method and the equivalent
beam method in the calculation of the row pile-retaining structure?
10:4 What are the main characteristics of the calculation method for the retaining
structure of the foundation pit?
10:5 What aspects does the stability analysis of the retaining structure include?
10:6 Why should the influence of the construction process be taken into account
in the calculation of the retaining structure? How to consider it?
10:7 The excavation depth of a foundation pit h = 5.0 m. The cement–
soil-retaining wall is used to support the foundation pit. The wall is loca-
ted above the surface of the groundwater, the width of the wall b = 3.2 m,
the embedded depth of the wall hd ¼ 5:5 m, the unit weight of the wall
c0 ¼ 20 kN/m3 , and the friction coefficient between the wall and the soil
l ¼ 0:3. The foundation pit soil layer unit weight c ¼ 18:0 kN/m3 , the
internal friction angle u ¼ 12 , the cohesion c = 0 and the ground overload
q0 ¼ 10kPa. Please check the anti-overturning and anti-sliding stability of
the retaining wall.
10:8 A foundation pit is located in medium-density, density medium coarse sand
stratum, the excavation depth is 5.0 m, the unit weight of the soil
c ¼ 20 kN/m3 , the internal friction angle u ¼ 30 , the ground overload
q0 ¼ 10 kPa, regardless of the impact of groundwater. It is proposed to adopt
the cantilever row pile support, please determine the minimum length and
maximum bending moment of piles.
10:9 The excavation depth of a foundation pit h ¼ 8:0 m, and a
monolayer-retaining structure is adopted. The anchor fulcrum is 1.0 m away
from the ground, and the horizontal spacing of the fulcrum is 2.0 m. The unit
weight of the soil around the foundation pit c ¼ 18:0 kN/m3 , the internal
friction angle u ¼ 28 and the cohesion c ¼ 0. the ground overload
q0 ¼ 20kPa. Please calculate the minimum length, the anchor tension and
maximum bending moment of sheet pile by the equivalent beam method.
Design of Shield Tunnel Structures
11
11.1 Introduction
Shield machine is a steel circular protective device or mobile support. It is suitable

for tunnel construction in soft aquifers, especially under the riverbed, seabed, and
urban residential areas. The underground structure constructed by the shield method
can be simply termed as the shield lining.
The shield method invented by a French engineer called M. I. Brunel was first
applied in the tunnel construction in 1818, and a British engineer called
J. H. Greathead constructed an underwater shield tunnel under the Thames, making
the shield method accredited widely. Subsequently, with the continuous improve-
ment of the shield method, it has been applied widely in tunnel construction. In
1957, a small-scale shield with 2.6 m in diameter was first applied in the sewer
construction of Beijing. Nowadays, shield method is widely adopted in the con-
struction of the urban subway and the river-crossing tunnel. However, shield
machines mostly rely on the supply of countries with advanced shield technology.
Shield tunnels are usually applied in the soft stratum and the design can be
divided into three steps. First, the scheme of the tunnel construction is designed to
determine the line, alignment, buried depth, section shape and size of the tunnel and
others. Then, relevant parameters of the lining are determined, including thickness,
size, and assembly mode of segments. The last one is the internal force calculation
of the segments and the section check. In practice, the lining design should combine
theory with engineering experience and relevant design parameters depending on
the stratum and construction conditions.
https://doi.org/10.1007/978-981-13-7732-7_11
438 11 Design of Shield Tunnel Structures
11.2 Design Process of the Shield Tunnel Lining
1. Applicable conditions
This method is normally applied to design the lining in the soft stratum, such as the
lining made of high-strength concrete and the secondary lining in the muddy
stratum or the alluvial stratum. It is also feasible to design the lining in the soft-rock
stratum.
Physical characteristics of the soft soil can be given by
8
< N 50
E ¼ 2:5 N 125 MN=m2
:
qu ¼ N=80 0:6 MN/m2
where N is the standard penetration resistance; E is the elastic modulus of soil and
qu is the unconfined compression strength.
2. Design principles
To examine the lining security, the report of the lining design should explain the
calculation necessity and the designed service life.
11.2.2 Design Process
The design of the shield tunnel should abide by the following principles presented
by ITA in 2002:
1. Abidance by laws, regulations, codes, and standards
The tunnel design should satisfy the technical requirements, codes, and standards
determined by designers and relevant participants.
2. Methods for determining the internal gauge of tunnels
The inner diameter of the tunnel relies on the underground space required for tunnel
functions. Determinants of the space can be determined by the following ways. The
standard size of the structure and the track gauge are conducted by the subway
tunnel. The passenger flow and the number of lines are determined by the highway
tunnel. The water flow is calculated by the water supply and the drainage pipeline.
The type and size of installations are considered by the common pipeline.
11.2 Design Process of the Shield Tunnel Lining 439
3. Load determination
Loads acting on the lining include earth pressure, water pressure, static pressure,
additional pressure, and the thrust produced by shield jacks. The designers have to
take key factors into consideration.
4. Selection of lining forms
The lining needs to determine the size, material strength, reinforcement, and others.
5. Calculation of the internal force
The reasonable calculation model should be selected to calculate the moment, axial
force, shear force, and others.
6. Safety check
The lining safety needs to be checked according to the internal force.
7. Rechecking the design
The designed lining should meet the requirements of designed loads and economy.
If not, the lining has to be redesigned.
8. Design approval
When the lining is determined to be safe, economical, and optimal, the project
leader needs to sign and issue the design documents.
11.3 Design of the Lining Structure
11.3.1 Forms and Structures of the Lining
1. Forms and selection of the lining section
The lining of the shield tunnel functions as a support structure in the construction
stage, protecting the excavation face, preventing the soil collapse and slurry infil-
tration, additionally, bearing the jacking force and other construction loads during
excavation. After completion, it functions as a permanent support structure to
satisfy the prospective usage requirements, preventing slurry infiltration, bearing
the surrounding soil and water pressure and some special loads during the service.
Therefore, the strength, structure forms, and types of the lining need to be selected
reasonably according to the intended use, geological conditions, and construction
methods. Many section forms can be selected, including circle, semicircle, rect-
angle, and horseshoe shaped, and the frequently used forms are circle and rectangle.
When the tunnel is constructed in the saturated soft stratum, circular section is at an
advantage because the upper and lateral load are similar. Nowadays, the shield
method is applied widely in the construction of underground tunnels, and prefab-
ricated circular linings are also widely applied in the construction of subways and
municipal pipelines.
(1) Determination of the internal usage gauge
The net size of the internal contour in the tunnel needs to be determined according
to the construction gauge and technological requirements, considering the line
curvature, construction deviation, and uneven settlement.
For the subway, all kinds of structures, equipment, pipelines should be kept at a
certain distance from the railway lines. Therefore, the space occupied by the run-
ning vehicles should be taken into consideration to determine the internal usage
gauge.
1) Rolling stock gauge
The rolling stock gauge refers to the maximum possible motion envelope of
vehicles running. The manufacturing tolerance, mechanical clearance between
wheels and rails, lateral oscillation, flutter, and tilt on spring need to be considered
to determine the control points of the rolling stock gauge, besides the size of vehicle
outline.
2) Structure gauge
The structure gauge outside the rolling stock gauge is to determine the internal
contour size of the tunnel. No fixed structure, equipment, and pipelines are allowed
within the gauge. The structure gauge can be obtained by expanding the safety gap
based on the rolling stock gauge, and the gap is normally 150–200 mm.
The internal usage gauge is generally determined by the vehicle running con-
ditions in a straight line at a designed speed. The gauge outside curves needs to be
widened because of the bearing deviation and the raised outer rail, and the value
normally refers to line conditions.
(2) Advantages of the circular tunnel section
Shapes of the tunnel section can adopt semicircle, horseshoe, rectangle, and others,
but the circular section is widely applied. Circular tunnel section has the following
advantages:
1) The circular section can bear the pressure equally in every position, and it
shows significant superiority especially for tunnels constructed in the saturated
stratum, because the upper and lateral pressure are closed to each other.
2) The circular tunnel provides convenience for shield tunneling.
3) Segments of the circular tunnel are more convenient to manufacture and
assemble.
4) The shield rotation makes no difference to the section utilization.
11.3 Design of the Lining Structure 441
The tunnel lining is normally composed of several parts, and the quantity relies
on the tunnel diameter, force requirement, transport. and assembly abilities. The
segment types are classified into standard block, adjacency block. and capping
block. The segment is generally to be 700–1200 mm in width and 5–6% of the
tunnel outer diameter in thickness. The bolted connection is adopted between
blocks and rings.
(3) Selection of the lining with single or double layers
The tunnel lining is applied to support the stratum directly, keeping the prescribed
tunnel headroom, preventing leakage and supporting construction load simultane-
ously. It normally consists of the primary lining assembled by segments and the
secondary lining filled with concrete. The primary lining is the main part to support
pressure, and the secondary lining is constructed to strengthen the primary lining
and prevent leakage. In recent years, the secondary lining can be omitted due to the
quality improvement of waterproof materials. However, a secondary lining needs to
be considered to bear the greater internal pressure for the pressurized water con-
veyance tunnel.
In conclusion, linings with single or double layers are selected according to the
tunnel function, characteristics of the surrounding stratum, stress conditions, and
others.
The single lining shows characteristics of the simple construction technology, a
short construction period and lower cost. The double lining needs to experience a
longer construction period with expensive cost, and the waterproof effect relies on
the construction quality of the outer lining. Therefore, the double lining is generally
selected in the special conditions. Normally, the single lining is usually given a
priory if it can meet the usage requirements. In recent years, due to the improve-
ment of the manufacturing accuracy of the reinforced concrete segments and the
application of new waterproof materials, the segment leakage is significantly
reduced, and the secondary lining can be omitted.
2. The classification and comparison of the lining

(1) Classification by materials and forms
1) Reinforced concrete segment
Reinforced concrete segments normally include ones with box and flat-plate shape.
The box segment is concave and composed of main ribs, joint plates and longi-
tudinal ribs, which is generally applied to the tunnel with a large diameter. Large
connection holes provide convenience for bolts to insert and tighten. Meanwhile,
lots of concrete materials are saved and the self-weight is reduced. However, the
structure is easy to crack under the action of shield jack force, resulting in the less
use in China (Fig. 11.1). The box segment was applied in the Dapu Road Tunnel
and Yan’an East Road Tunnel in Shanghai. The flat-plate segment with solid
section is arc plate, and it is generally applied to the tunnel with small or medium
diameter. Its small connection holes make no differences to the section strength,
Fig. 11.1 Reinforced

concrete box segment
Fig. 11.2 Reinforced

concrete flat-plate segment
allowing greater jack force and producing a smaller resistance to the tunnel ven-
tilation in the normal service. Nowadays, flat-plate segments have been also
adopted in many tunnels with large diameter (Fig. 11.2).
2) Cast-iron segment
Cast-iron segments are generally applied to construct tunnels in the saturated and
unstable stratum. The initial materials were gray cast iron completely, and ductile
iron was adopted gradually after World Wall II, whose strength and ductility is
similar to the steel. Therefore, the cast-iron segment shows characteristics of lower
density, greater corrosion resistance, higher accuracy, and preferable
anti-permeability performance. However, constructing cast-iron segments con-
sumes much metal and relies on the massive machining, making their cost very
expensive. In recent decades, they have been replaced gradually with reinforced
concrete segments. Because of their brittle failure property, the lining bearing the
impact load generally refuses to adopt cast-iron segments.
3) Steel segment
Steel segments show the advantages of low density and high strength. However,
they show low rigidity and poor corrosion resistance, requiring machining to meet
the waterproof requirement. Additionally, they are expensive and consume massive
metal. When steel segments are applied, the reinforced concrete lining will be
poured inside.
4) Composite segment
The shell is made of steel plates, inside which the reinforced concrete is poured.
Therefore, the composite segment has a lower density, greater rigidity, and lower
metal consumption. However, the shell shows poor corrosion resistance and has a
complex manufacturing procedure.
(2) Classification by structure forms
Prefabricated reinforced concrete segments can be classified into box, flat-plate, and
other forms by different usage requirements. Every segment is connected with other
four segments by bolts. Flat-plate segments can be assembled without bolts under
specific conditions, and there are joints with different geometric shapes on the four
sides of the block, so that the blocks and rings can be connected with each other.
1) Segment
Segments are suitable for tunnels with various diameters in the unstable stratum,
and joints are connected by bolts. The lining rings of staggered assembly can be
approximately regarded as rings with uniform rigidity, because joints connected by
bolts can bear large moments. Longitudinal bolts connection can give tunnels the
ability to bear longitudinal deformation. However, because of these bolts, the speed
of segments assembly is reduced greatly, and the labor intensity is increased,
producing the increasing construction and lining cost.
2) Block
Blocks are generally applied to the stable stratum with low water content. Because
of the block requirement, the ring assembled with more than three blocks becomes
an unstable multi-hinge circular structure. The lining after deformation maintains
stable under the restraint of stratum. The joints between blocks and rings must be
waterproof and mud proof, or the extremely increasing deformation will lead to
severe engineering accidents. Because of no bolts between joints, the assembly
speed can be accelerated greatly, and the construction and lining costs will be
reduced simultaneously.
(3) Classification by formation modes
Linings can be classified into prefabricated and cast-in-place ones according to

formation modes.
Prefabricated linings are usually formed by assembling segments at the tail of the
shield. Segments can be divided into standard blocks, adjacency blocks, and cap-
ping blocks according to their positions and assembly sequence. Components
constituting linings include cast iron, steel, concrete, and reinforced concrete
segments and blocks. Reinforced concrete segments and blocks are widely applied
in China. Compared with integral cast-in-place linings, prefabricated linings show
the following characteristics:
① They can bear loads immediately after installation.

② The industrialization production can guarantee the quality, and the industri-
alization assembly increases the construction efficiency.
③ Efficient actions should be taken to tackle the waterproof problems between
joints.
In recent years, some countries have developed the lining technology of pouring
concrete at the tail of the shield. Unhardened concrete under high pressure serves as
the backseat for shield driving. The interspace is filled directly by the injected
concrete in the process of shield driving. The construction method has the following
characteristics:
① It is provided with high automation and high construction speed.

② The integral lining can meet the ideal fore bearing and waterproof require-
ments, and the tunnel has a satisfactory service effect.
③ The crack resistance of the lining can be improved by steel fiber reinforced
concrete.
④ It is still difficult to meet the waterproof requirement in the gravel stratum with
high permeability.
(4) Classification by structural forms
According to the structural forms, the lining can be classified into two kinds:
single-layer and double-layer linings. Tunnels constructed in the saturated soft soil
stratum mostly employ the double-layer lining because the tunnel waterproofing
(especially the joint waterproofing) has not been solved efficiently. The prefabri-
cated lining forms the outer structure and the reinforced concrete lining form the
inner layer. The double-layer lining has been adopted in the subway tunnel interval
and some municipal pipelines. Meanwhile, the double-layer lining leads to a series
of problems as follows: ① The enlargement of the excavation section increases the
scale of the soil excavated. ② Complicated procedures prolong the construction
period, increasing the cost simultaneously. Therefore, many countries are devoted
to researching the waterproof technology and the usage effect of the single-layer
lining to gradually replace the double-layer lining. An alternative method is that the
outer lining is regarded as the temporary supporting structure, simplifying the
requirement of the outer lining. The process of cleaning, plugging, and structural
treatment in the outer lining should be conducted before the construction of the
inner lining. Then, casting and vibrating the inner lining makes both layers regraded
as an integral structure and bear loads together.
11.3.2 Prefabricated Reinforced Concrete Segment
Nowadays, prefabricated reinforced concrete segments are widely applied, so the

structure of reinforced concrete segments is mainly introduced here.
1. Ring width
Whether reinforced concrete or metal segments, the ring width is generally

300–2000 mm and usually 750–900 mm according to the experience in practice.
The small ring width will lead to the increasing numbers of joints, enhancing the
difficulty of waterproofing. The large ring width is beneficial for waterproofing, but
the length of the shield tail will be increased, affecting the shield sensitivity and
increasing the mass of the single segment. Generally speaking, the ring width in
large-scale tunnels is larger than that in small-scale ones.
Wedge rings must be installed when excavating in curve sections, and the taper
of the wedge rings can be calculated by the curvature radius. Outer diameters of
tunnels and corresponding empirical taper are summarized in Table 11.1.
2. Block
The lining in the single-line subways can be divided into 6–8 blocks, and that of
double-line subways can be divided into 8–10 blocks. Dividing the lining ring
mainly relies on the experience in the segment fabrication, transportation, and
installation. However, a few linings are divided into the same four blocks according
to the internal force. Setting joints at 45° or 135° with less internal force provides
the lining with better rigidity and strength, simplifying the joint structure accord-
ingly. The maximum length of the segment arcs and chords is generally less than
4 m, and the thinner the segment is, the shorter the length is.
3. Forms of the capping block
Considering the construction and load bearing, capping blocks tend to be small
according to construction experience. Two kinds of assembly methods of capping
blocks are generally employed: one is that capping blocks are wedged from the
radial direction, the other is that they are inserted lengthways. The latter makes
capping blocks behave in a better state, because capping blocks will not slip inward
under loads. However, the travel distance of shield jacks has to be lengthened.
Capping blocks can also be set at 45°, 135°, and 185° in some tunnels.
4. Assembly forms
The assembly forms are divided into straight joints and staggered joints. The
straight joint means that all longitudinal joints are lined up, and the staggered joint
means that longitudinal joints between rings are staggered with each other.
Table 11.1 Outer diameters of tunnels and corresponding empirical tapers

Outer diameters/m Dout < 3 3 < Dout < 6 Dout > 6
Tapers/mm 15–30 20–40 30–50
The staggered assembly is widely applied in the construction of circular linings,

because it can strengthen the joint rigidity and restrain deformation, and circular
rings can be approximately considered to be uniform rigidity in this circumstance.
Additionally, the staggered assembly provides convenience for joint waterproofing.
When segments manufacturing accuracy is not good enough, segments of staggered
assembly are easy to damage in the process of shield excavation.
11.3.3 Loads Calculation
The lining design should satisfy not only the requirement of the load bearing and
usage function but also the safety requirement.
Loads as follows must be taken into consideration: ① Earth pressure; ② Water
pressure; ③ Self-weight; ④ Overload; ⑤ Foundation elastics resistance. Loads as
follows should be taken into consideration: ① Internal loads; ② Loads during the
construction period; ③ Seismic effect. Special loads include as follows: ① impact
of adjacent tunnels; ② impact of settlement; ③ other loads.
Loads are illustrated as shown in Fig. 11.3 (the ring is 1 m in width).
1. Self-weight
The self-weight is a vertical load acting on the centroid of the tunnel section. The
calculation equation is given by
g ¼ dch
Fig. 11.3 Load calculation sketch

where d is the segment width, and corrected width should be considered when the
segment is box shaped; ch is the gravity density of the concrete (generally 25–26
kN/m3).
2. Vertical earth pressure
Vertical earth pressure consists of two parts. The first part is the earth pressure on
the vault, and the equation is given by
X
n
q1 ¼ c i hi
i¼1
where ci is the gravity density of every soil layer on the vault, and the buoyant
gravity density is taken for soil layers below groundwater level; hi is the thickness
of every soil layer on the vault.
The second part is the earth pressure on the extrados, and the calculation
equation is as follows:
G
q2 ¼
2RH
where RH is the calculation radius and G is the total earth pressure on the extrados.
The equation of G is given by
p
G ¼ 2 1 R2H c ¼ 0:43R2H c
4
where c is the gravity density of the soil on the extrados.

Hence, vertical earth pressure q ¼ q1 þ q2 .
3. Lateral earth pressure
It is calculated by Rankine’s active pressure and can be divided into two parts:
uniform and triangular distribution.
Uniform lateral earth pressure
u u
p1 ¼ q1 tan2 45 2c tan 45
2 2
Triangular lateral earth pressure
u
p2 ¼ 2RH c tan2 45
2
where q1 is the earth pressure on the vault; c, u and c are weighted averages of the
gravity density, internal friction angle, and cohesive force of all soil layers from
vault to arc bottom.
c 1 h1 þ c 2 h2 þ þ c n hn u h1 þ u2 h2 þ þ un hn
c¼ ; u¼ 1 ; c
h1 þ h2 þ þ hn h1 þ h2 þ þ hn
c1 h1 þ c2 h2 þ þ cn hn
¼
h1 þ h2 þ þ hn
4. Overload
When tunnels are buried in a shallow depth, the overload on ground must be
considered, and it is generally 20 kN/m2 .
5. Lateral elastic resistance
According to Winkle theory, the figure of elastic resistance is a isosceles triangle,

and its range is considered as 45 above and below the horizontal diameter. At the
horizontal diameter:
pk ¼ k y
ð2qp p2 þ pqÞR4H
y ¼ 24 gEJ1 þ 0:045KR
ð HÞ
4
where k is the lateral elastic coefficient (kN/m3), and its value refers to Table 11.2; y
is the deformation of the lining at horizontal diameter (m); EJ is the flexural rigidity
of the lining (kNm2); g is the reduction coefficient of the flexural rigidity, and
g ¼ 0:250:8; K is the modulus of the foundation reaction (kN/m2).
6. Water pressure
Taking hydrostatic pressure into consideration and the calculation equation is

given by
pw ¼ ½H þ ð1 cos uÞRH cw
where cw is the gravity density of water.
7. Reaction force of the arc bottom

p
pR ¼ q þ pg RH cw
2
Table 11.2 Coefficient of Varieties k=ðkN=m3 Þ

elastic compression for strata
Dense cohesive soils and hard sandy soils (3–5) 104
Dense sandy soils and hard cohesive soils (1–3) 104
Medium cohesive soils (0.5–1.0) 104
Incompact sandy soils (0–1) 104
Soft cohesive soils (0–0.5) 104
Extremely soft cohesive soils 0
Based on the theoretical calculation, the soil stress has to be analyzed according
to hydro-geological conditions, construction methods of tunnels and lining rigidity.
First, calculating the vertical earth pressure by the gravity of soils on the tunnel
is more suitable in the case of soft clay, which has been proved by some obser-
vation data. However, when the tunnel is buried deeply in soil layers with large
shear strength, the actual vertical earth pressure is less than the soil gravity on the
tunnel. Under this condition, loose height theory is adopted, and Platts theory and
Terzaghi theory are widely used. Monitoring results show that Terzaghi theory are
more accurate in the alluvial sand layer.
Second, the lateral earth pressure is treated as the Rankine’s active pressure, but
the actual one is generally affected by stratum conditions, construction methods,
and lining rigidity, which will make a huge difference sometimes.
Third, for the sand aquifer, lateral water and earth pressure are usually calculated
separately; for the clay aquifer, lateral water and earth pressure are usually calculated
together. Actually, the lateral pressure coefficient makes a huge difference to the
calculation result of the internal force. In Japan, the lateral pressure coefficient has a
range of 0.3–0.8 or less than 0.7 in the design of shield tunnel linings. Finally, the
lateral elastic resistance also affects the calculation results of the internal force greatly.
In some engineering, elastic resistance is generally obtained according to the active
lateral pressure coefficient, providing linings with definite flexural rigidity and safety.
11.3.4 Design Models of Shield Tunnels
The arch structure was mostly applied to building underground constructions with
masonry being the main materials. Therefore, the design method generally referred
to that of the arch, regarding the underground structure as an arch with three hinges
by pressure line theory. Representative theories are Haim theory and Rankine
theory. Assuming that underground structures are in the condition of limit equi-
librium, so the statics can be applied. Because of the failure to consider the bearing
capacity of surrounding rocks, these design methods tend to conservative. In the
late nineteenth century, the statically indeterminate method was introduced into the
underground structure calculation with the extensive application of reinforced
concrete materials in building structures. The elastic resistance was first introduced
into the calculation of integral linings in 1910, assuming that the resistance was
linear distribution and regarding the lining as an arch without hinges. Based on it,
the resistance was assumed to be trapezoidal distribution and its maximum was
determined on the condition that the displacement at the horizontal diameter of the
lining is equal to zero. In 1926, the continuum elastic theory was adopted to analyze
the interaction between soils and linings. In 1939, rigid chain poles instead of direct
contact were applied to study the interaction. In 1960, a design method without
considering flexible joints was introduced by JSCE, and the elastic resistance was
assumed to be triangular distribution, whose range is considered as 45 above and
below the horizontal diameter. Based on the interaction, Effect of radial and tan-
gential deformation on structures was considered in 1964. The constitutive relation
of earth pressure and lining rigidity was introduced in 1982. The arch effect was
researched by centrifugal model test in 1997, showing that loose pressure and stress
redistribution should be considered when determining the earth pressure of linings.
Based on the long-term monitoring, a design method based on structural mechanics
was proposed in 2001. Based on the shield tunnel project of the Nanjing subway,
the soil and water separation theory for tunnel calculation in sandy soil layer is
proposed by applying beam-spring model to analyze the interaction.
A lot of work has been conducted in the transverse design of shield tunnel
linings, and the research of longitudinal design started later relatively. The defor-
mation between longitudinal stratum and tunnels caused by the interspace of the
shield tail in the soft clay was researched by the centrifugal model test in 1997, and
the mechanism of the longitudinal settlement during the construction period and
after completion was researched in the same year.
Shield tunnels are widely applied in the construction of urban subway projects,
because of their construction flexibility, cost-effectiveness and little impact on
ground traffic and structures. The diameter of tunnels can reach to 5–17 m with the
development of shield and construction technology. Assembly with straight and
staggered joints is generally adopted in the construction. Linings are discontinuous
because of joints, so the internal force and displacement of the joints should be
considered in the design. International Tunnel Association established a group to
research design models of tunnels, collecting design methods of underground
structures. Current design methods for underground structures can be summarized
into the following four models:
(1) Empirical design method based on the practical experience in the past tunnel
engineering.
(2) Practical design method based on field measurements.
(3) Load-structure model.
(4) Continuum model, including analytical method and numerical method.
Typical methods of shield tunnels in soft soils are summarized in Table 11.3.
Load-structure model is the most commonly adopted, which can be classified
according to the processing method of joints.
Table 11.3 Typical methods of shield tunnels in different countries

Countries Methods
China Circular ring with free deformation method, circular ring beam on the elastic
foundation method
America Circular ring beam on the elastic foundation method
Britain Circular ring beam on the elastic foundation method, Muir Wood method
Japan Circular ring beam on the partially elastic foundation method
France Circular ring beam on the elastic foundation method
Germany Circular ring beam on the elastic foundation method; Finite element method
Australia Circular ring beam on the elastic foundation method
① The lining is regarded to be homogeneous.

② The rigidity decreases because of joints, and the reduction coefficient g is
introduced to reflect the effect.
③ The lining is simplified into a circular articulated ring that can be regarded to be
a statically indeterminate structure.
The method above have different characteristics and have been applied in many
kinds of engineering. The first is very simple but will bring great error. The second
looks more reasonable, but g can just be determined according to experience. The
latter two methods seem to be the most comprehensive, which can be applied to
study the effect of joint rigidity on the internal force and displacement under dif-
ferent lateral pressure, then different stratum response conditions are simulated.
In the saturated stratum, the elastic resistance can be ignored because of the
small internal friction angle, and structures in this condition are generally assumed
to deform freely. For simplicity, the bottom reaction force is assumed to be uniform.
The bearing capacity of structures relies on the material properties and section size.
Different connection structures can be selected for prefabricated circular linings
according to different waterproof requirements. Structures whether straight
assembled or staggered assembled are considered to be integral. In reality, rigidity
in joints are far less than that of the section. According to Japanese references, the
reduction coefficient g ¼ 0:91:0 for cast-iron segments and g ¼ 0:50:7 for
reinforced concrete segments. For the ring assembled in the staggered way and
connected by double-row bolts, for simplicity, it can be regarded as an integral
structure.
In a word, linings in the saturated stratum can be regarded to be integral and
deform freely. Although there exist many problems, the method has been applied
widely.
When stratum provides corresponding elastic resistance after deformation of the
lining, the elastic resistance can be assumed in advance to calculate the internal
force.
11.3.5 Internal force calculation methods for the lining

structure
1. Homogeneous circular ring of free deformation method
In the saturated soft soil layer, lining joints must be provided with a certain rigidity
to decrease their deformation because of the waterproof requirement. Circular rings
can be approximately regarded to be homogeneous because of the staggered
assembly and bolt connection.
Load distribution of linings is illustrated as shown in Fig. 11.4.
Because of the symmetry of loads, the calculation structure is statically inde-
terminate with two redundant forces. According to the force method in the struc-
tural mechanics, M and N can be solved in every section.
Fig. 11.4 Calculation model
Coefficients of internal forces are summarized in Table 11.4. If the ring width is
b (generally b ¼ 0:51 m), values in the Table 11.4 should multiply b. Moment is
defined to be positive when linings bear tension at the inner edge, and axial force is
defined to be positive under compression.
2. Considering the lateral elastic resistance
The same model is applied, and load distribution is illustrated as shown Fig. 11.5.
For the range of elastic resistance considered as 45 above and below the hor-
izontal diameter, the elastic resistance is given by
pffiffiffi
pk ¼ ky 1 2jcos aj
The final deformation at the horizontal diameter is given by
ð2q p1 p2 þ pqÞR4H
y¼
24ðgEJ þ 0:045KR4H Þ
where g is the reduction coefficient of the rigidity and g ¼ 0:25 0:8. The internal
forces caused by pk is summarized in Table 11.5.
In this table, H is the distance from groundwater level to the vault, RH being the
calculating radius of lining ring and a being the angle between calculation section
and vertical axis.
3. Japanese modified method
Joints can transfer partial moment to adjacent segments for the lining assembled in
a staggered way. The moment of joints with smaller flexural rigidity is different
from that of segments with larger flexural rigidity. The moment transfer is mainly
conducted by the shear between rings. At present, the effect of joint is mainly
11.3
Table 11.4 Coefficient table of internal forces

Loads Sections Internal forces
M(kN m) N(kN)
Design of the Lining Structure
Self-weight 0p gR2H ð1 0:5 cos a a sin aÞ gRH ða sin a 0:5 cos aÞ

Upper load 0 p2 qR2H 0:193 þ 0:106 cos a 0:5 sin2 a qRH sin2 a 0:106 cos a
p
2 p qR2H ð0:693 þ 0:106 cos a sin aÞ qRH ðsin a 0:106 cos aÞ
Bottom reaction force 0 p2 PR R2H ð0:057 0:106 cos aÞ 0:106PR RH cos a
p
2 p PR R2H 0:443 þ sin a 0:106 cos a 0:5 sin2 a PR RH sin2 a sin a þ 0:106 cos a
2
Water pressure 0p R3H ð0:5 0:25 cos a 0:5a sin aÞcw RH ð1 0:25 cos a 0:5a sin aÞ þ HRH cw
Uniform lateral pressure 0p P1 R2H ð0:25 0:5 cos2 aÞ P1 RH cos2 a

Triangular lateral pressure 0p P2 R2H 0:25 sin2 a þ 0:083 cos3 a 0:063 cos a 0:125 P2 RH cos að0:063 þ 0:5 cos a 0:25 cos2 aÞ
453
Fig. 11.5 Load distribution
Table 11.5 Internal forces caused by PK

p p p
Internal 0a 4 4 a 2
forces
M ð0:2346 0:3536 cos aÞpk R2H ð0:3487 þ 0:5 cos2 a þ 0:2357 cos3 aÞpk R2H

N 0:3536 cos apk RH 0:707 cos a þ cos2 a þ 0:707 sin2 a cos a pk RH
Q 0:3536 sin apk RH ðsin a cos a 0:707 cos2 a sin aÞpk RH
realized by assuming the proportion of moment transfer. Two estimation methods

are recommended by ITA: g n method and K n method.
(1) g n method
The lining is first calculated as a homogeneous structure. Then, gEI is considered to

be the integral flexural rigidity of the lining (g 1) because joints between rings
decrease the integral flexural rigidity. The moment redistribution is illustrated as
shown Fig. 11.6.
Fig. 11.6 Moment

redistribution
For joints
Mj ¼ ð1 nÞ M
Nj ¼ N
For segments
Ms ¼ ð1 þ nÞ M
Ns ¼ N
where n is the adjustment coefficient of the moment; M and N are moment and axial
force in the calculation of the homogeneous lining; Mj and Nj are moment and axial
force of joints after adjustment; Ms and Ns are moment and axial force of segments
after adjustment.
According to experimental results: 0:6 g 0:8, 0:3 g 0:5. If no joint,
g ¼ 1, n ¼ 0.
(2) K n 法
The joint is simulated by a rotating spring as shown in Fig. 11.7. Assuming that the
moment is proportional to the rotation angle, then
M ¼ Kh
where K is a constant of the rotating spring and can be obtained by experiments or

experience in practice.
If no joints, K ¼ 1, n ¼ 0. If segments are connected by hinges, K ¼ 0, n ¼ 1.
4. Calculating the internal force by the circular hinged ring
The prefabricated lining can be regarded as a circular hinged ring under the con-
dition that the surrounding soil can provide the elastic resistance. The joint structure
can adopt waterproof bolts, common bolts or tenons, and grooves with different
shapes.
Fig. 11.7 Rotating spring

model
There are many methods for calculating circular hinged rings. Yamamoto
method of Japan is introduced here. The principle is that the circular hinged ring
deforms under the earth pressure and become a stable structure gradually. No
sudden change occurs for hinges in the deformation process. Therefore, the circular
ring will not cause damage in the stratum, and can play a role in stabilizing the
structure.
(1) Assumptions
1) Suitable for circular structures.
2) When the lining rotates, segments or blocks are treated as rigid bodies.
3) The elastic resistance distributes in a uniform change state, and the resistance
calculation should meet the stability requirement of linings. Additionally, the
direction of resistance is all toward the center of the circle.
4) The friction between the ring and the soil is not taken into account in the
calculation.
5) The relation between resistance and deformation satisfies the Winkle theory.
(2) Calculation method
The circular ring assembled by n segments is illustrated as Fig. 11.8. n 1 hinges

are restrained by the stratum, and the rest is free, which is generally at the side of
the active pressure. The structure can be analyzed as a statically determinate
structure.
The resistance at every section can be given by
ðqi qi1 Þai

qai ¼ qi1 þ
hi hi1
Fig. 11.8 Schematic

diagram of multi-hinged ring
structure
Fig. 11.9 Rod 1–2
where qi is the resistance at the hinge NO. i (kN/m2); qi1 is the resistance at the
hinge NO. i 1 (kN/m2); ai is the section position of the basic shaft of qi ; hi is the
angle between the hinge NO. i and the vertical axis.
For the bar 1–2 (Fig. 11.9):
hi1 ¼ 0
hi ¼ 60
P
X¼0
hiZ
hi1
q2 ai
H1 ¼ H2 þ Pr ð1 cos hi Þ þ r p sinðhi1 þ ai Þdai
3
0
H1 ¼ H2 þ 0:5Pr þ 0:327q2 r
P
Y¼0
hiZ
hi1
q2 ai
V2 ¼ qrsinhi þ r p cos ai dai
3
0
pffiffiffi
3q2 r 3p 3
V2 ¼ 0:866qr þ ¼ 0:866qr þ 0:388q2 r
p 6
Fig. 11.10 Rod 2–3
P
M2 ¼ 0
hiZ
hi1
ðr sin hi Þ2 ½r ð1 cos hi Þ2 3r 2
0:5H1 r ¼ q þp þ q2 sinðhi hi1 ai Þdai
2 2 p
0
2
pffiffiffi
3r 2p 3 3
¼ 0:375qr 2 þ 0:125Pr 2 þ q2
p 6
pffiffiffi
2 2 2 2p 3 3
¼ 0:375qr þ 0:125Pr þ q2 r
2p
H1 ¼ ð0:75q þ 0:25qP þ 0:346q2 Þr
P For the bar 2–3 (Fig. 11.10):

X¼0
hiZ
hi1
hi hi1 3r hp i
H2 þ H3 ¼ P 2r sin þ q2 þ ðq3 q2 Þai sinðhi1 þ ai Þdai
2 p 3
0
r
H2 þ H3 ¼ pr þ ðq3 þ q2 Þ
2
Fig. 11.11 Rod 3–4
P
Y¼0
hiZ
hi1
3r hp i
V2 ¼ V3 q2 þ ðq3 q2 Þai cosðhi1 þ ai Þdai
p 3
0
¼ V3 þ 0:089ðq3 q2 Þ
P
M3 ¼ 0
Z 60
120
hp i
pr 2 3r 2
H2 r ¼ þ q2 þ ðq3 q2 Þai sinðhi hi1 ai Þdai
2 p 3
0
pr 2
¼ þ 0:173q3 r 2 þ 0:327q2 r 2
2
P
H2 ¼ þ 0:173q3 þ 0:327q2 r
2
For the bar 3–4 (Fig. 11.11):
hi1 ¼120
hi ¼180
hi hi1 ¼180 120 ¼ 60
P
X¼0

180Z120
3r hp i
H4 ¼ H3 þ pr ½1 cosðhi hi1 Þ þ q þ ðq4 q3 Þai sinðhi1 þ ai Þdai
p 3
0
¼ H3 þ 0:5pr þ 0:327q3 r þ 0:173q4
P
Y¼0
180Z

120
3r hp i
V3 ¼qr sinðhi hi1 Þ q3 þ ðq4 q3 Þai cosðhi1 þ ai Þdai
p 3
0
¼0:866qr þ 0:389q3 þ 0:478q4
P
M4 ¼ 0
P
H3 r ½1 cosðhi hi1 Þ þ fr ½1 cosðhi hi1 Þg2
2

180Z120
½r sinðhi hi1 Þ2 3r 2 hp i
þq þ q3 þ ðq4 q3 Þai
2 p 3
0
sinðhi hi1 ai Þdai
¼ V3 r sinðhi hi1 Þ ¼ 0:866r V3
pr
0:866rV3 ¼ 0:5H3 þ þ 0:375qr þ 0:328q3 r þ 0:173q4 r
8
Nine unknowns can be solved from nine equations above: q2 , q3 , q4 , H1 , H2 , H3 ,
H 4 , V2 , V3 .
M, N and Q can be obtained according to the solved unknowns, and the radial
displacement of the hinge is given by
l ¼ q=k
where k is the elastic foundation coefficient.
11.3.6 Design of Lining Section
After calculating the internal force of the lining structure in each working stage,
they can be separated or combined for section design. The section selection shows
different requirements in different working stages. Checking the crack resistance,
strength and deformation has to be conducted in the stage of basic loads. When
combing the internal force in the stage of basic loads with that in the stage of special
loads, the strength checking is generally carried out, and the deformation and crack
development cannot be considered.
1. Calculation of crack resistance and crack limit
For tunnels with higher requirements, the calculation of crack resistance or crack
width must be carried out to prevent the corrosion of steel bars, which will affect
their service lives.
(1) Crack resistance calculation
When cracks are not allowed in linings, crack resistance calculation has to be
conducted. Internal forces are moment and axial forces in the section of the
eccentric compression member.
Ultimate tensile strain of the concrete

el ¼ 0:6R1 1 þ 0:3b2 105
l
b¼
d
Ag
l ¼ 100%
bh
where l is the percentage of the steel in the section.
el 1:52:5 104
Strain of the tensile steel bars: eg ¼ hhx

0 x
el
x
Maximum compressive strain of the concrete: eh ¼ hx l
el
0
Strain of the compressed steel bars: e0g ¼ xa xa0
x eh ¼ hx el
Position
P of the neutral axis before the appearance of cracks (Fig. 11.12):
X¼0
1
N þ ðh xÞb x R1 þ Ag eg Eg ¼ A0g e0g Eg0 þ Rh x b
2
Hence,
P the height of the neutral axis (x) can be solved:
MAg ¼ 0

hx 1
KN ðe0 þ h0 xÞ þ ðh xÞb R1 a ¼ Rh x

2 2
2 0 0 0
b x þ h 0 x þ Ag Rg ð h 0 a Þ
3
Fig. 11.12 Stress and strain

of the lining
Hence, K can be solved.

The moment equilibrium equation at the position of the tensile steel bars is
given by

hx 1
N ðKe0 e0 þ h0 xÞ þ ðh xÞb R1 a ¼ Rh x

2 2
2 0 0
b x þ h0 x þ Ag R g ð h0 a0 Þ
3
0
where Ag and Ag are the areas of compressed and tensile steel bars, respectively; Rh is
the compressive stress of the concrete before the appearance of cracks; b and h are
the width and height of the section, respectively; el and eg are the maximum tensile
0
strain of the concrete section and the strain of the tensile steel bars; eh and eg are the
maximum compressive strain of the concrete section and the strain of the com-
pressed steel bars; Eh and Eg are elastic modulus of the concrete and the steel bars.
Hence, Ke0 can be solved. K and Ke0 are required to be 1.3 or more than 1.3.
Linings are generally regarded to be in the eccentric compression state. Because
the load condition of linings is usually unclear and their bearing capacity is gen-
erally controlled by the tension, especially the moment in their actual state, so the
checking is usually conducted according to Ke0 for safety.
(2) Checking of the crack width
Calculation of the crack width can refer to Code for design of concrete structures,
Design code for hydraulic concrete structures and others.
2. Strength calculation of the lining section
Linings should be regarded as eccentric compression members to conduct the

strength calculation and section design according to the adverse internal force in
different working stages.
In the stage of basic loads, the component strength of the lining can be calculated
according to Code for design of concrete structures.
The strength safety factor can be obtained according to special regulations in the
combination stage of basic and special loads.
The joint rigidity needs to be strengthened by staggered assembly between
adjacent rings and longitudinal connection bolts, because joints are weak relatively.
Hence, partial moment at joints can be transferred to the sections of the adjacent
segments by the joint structure. From some references, the longitudinal transfer-
ability can be 20–40% of M. the moment in sections should multiply 1.3 in the
strength calculation, and the moment in joints should multiply 0.7 in the strength
calculation.
3. The radial deformation calculation of linings
The radial deformation must be controlled to satisfy the requirement of tunnel

operation and structure calculation. The deformation can be obtained by structural
mechanics. In addition, the deformation is related to the rigidity of linings (EI)
which is difficult to express by calculating methods and must be measured by the
experiment on the whole ring. From some references, the measured rigidity is
smaller than that of theoretical calculation, and the ratio is called rigidity efficiency
g, which is closely related to the lining diameter, segment thickness, joint structure
and others g is generally 0.25–0.8.
The deformation calculation at the horizontal diameter (Fig. 11.13):
Z Z
M12 M22
M1 ¼1; M2 ¼ r cos a; d11 ¼ ds; d22 ¼ ds
EI EI
Z Z
M1 Ma M2 Ma
Ma ¼ r cos a; d1a ¼ ds; d2a ¼ ds
EI EI
Z Z
1 1 Ma Mq Ma MP
Mq ¼ q ðr sin aÞ2 ; MP ¼ Pr 2 ð1 r cos aÞ2 ; daq ¼ ds; daP ¼ ds
2 2 EI EI
Hence, the deformation at the horizontal diameter can be solved:
yH ¼ x1 d1a þ x2 d2a þ daP þ daq
where x1 and x2 is the redundant forces.
Fig. 11.13 The calculation model of linings

Table 11.6 Deformation coefficients in different load conditions at the horizontal diameter
Numbers Forms of the load Deformation coefficient at the Diagrams
distribution horizontal diameter
1
1 Vertical uniformly load 12 q r 4 =EI
1
2 Horizontal uniformly 12 p r4 =EI
load
3 Load of equilateral 0
distribution
4 Load of isosceles 0:454pk r4 =EI

triangle distribution
5 Self-weight 0:1304g r 4 =EI
Deformation coefficients in different load conditions at the horizontal diameter

are summarized in Table 11.6.
The method of deformation calculation at the vertical diameter is similar that at
the horizontal diameter.
11.4 Tunnel Waterproofing
The waterproof problem of prefabricated reinforced concrete segments in the sat-

urated stratum should be properly solved besides meeting the requirements of
strength and rigidity. The corrosion of the lining and equipment will be accelerated
in the wet environment, and the waterproof design should be conducted according
to the service functions and requirements of the tunnel, structure characteristics,
11.4 Tunnel Waterproofing 465
water pressure, construction conditions, and others. So, the selection of the
waterproof materials in joints is especially important.
11.4.1 Anti-permeability of Linings
Linings buried in the aquifer bear certain hydrostatic pressure and should meet the
following indexes:
(1) Reasonable permeability index;

(2) Suitable mix proportion of concrete after impermeability test;
(3) Minimum concrete thickness and the cover to steel bars of lining components;
(4) Production process of segments, vibration modes, and curing conditions of
concrete;
(5) Strict product quality inspection system;
(6) Reducing the segment damage in the process of store, transportation, and
assembly.
11.4.2 Manufacturing Accuracy of Linings
The practice of tunnel construction shows that the manufacturing accuracy of

segments has a significant effect on tunnel waterproofing. The application and
development of reinforced concrete segments are usually restrained, because the
manufacturing accuracy of segments is inadequate to prevent water leakage. In
addition to the accumulation of assembly errors, segments with poor manufacturing
accuracy usually lead to large initial gaps because they cannot be attached tightly,
and water leakage occurs when the elastic deformation of the waterproof gasket
cannot adapt to this initial gap. In addition, the inadequate manufacturing accuracy
will lead to the damage of segments in the process of shield excavation, which can
also cause the water leakage.
Large initial gaps are difficult to meet the service requirement because they
usually need waterproof gaskets with high quality. From existing experiment data,
the grooved sealing gasket with synthetic rubber as materials has a better water-
proof effect. In addition to the gasket structure, the elastic deformation is allowed
within 3 mm under the action of hydrostatic pressure, solving the waterproof
problem properly. A steel mold with high accuracy is necessary to produce rein-
forced concrete segments with high accuracy. The mold must be machined and
have enough rigidity. The weight ratio of segment to mold is 1:2. The use of the
steel mold must have a strict operation system, because warping, deformation,
loosening, and other phenomena will occur after several service periods. It is
necessary to pay attention to the accuracy inspection at any time, and maintain the
steel mold accordingly.
11.4.3 Basic Technical Requirements for Joint Waterproofing
The basic requirements for the waterproof materials at joints are the following:
(1) They can keep a permanent elastic state with enough bearing capacity.
(2) Satisfactory elastic age and work efficiency should be equipped.
(3) They have a certain bonding force with concrete members.
(4) They can adopt to the groundwater erosion.
Waterproof gaskets should also meet the specific requirements according to their
purpose in addition to these basic requirements.
11.4.4 Secondary Lining
Linings with double layers are generally adopted in the construction of tunnels
because the waterproofing at joints has not been solved perfectly. The secondary
lining should be carried out under the condition that the outer prefabricated lining
tends to be stable. The leakage point in the tunnel should be repaired and plugged
before the concrete is poured. In addition, the sludge should be cleaned with
high-pressure water. The thickness of concrete should not be less than 150 mm
according to waterproof requirements and construction conditions. The construction
method of the secondary lining is diverse. One way is that the concrete of the
secondary lining is vibrated directly in the outer lining. Another way is that the
inner side of the outer lining is sprayed with a leveling blanket of 20 mm, then the
waterproof layer is constructed and the concrete is poured on this layer.
The concrete of the inner lining is usually constructed by concrete pumps and
platforms with steel formwork, each of which is about 8–10 m, and the construction
cycle is 24 h. The concrete quality in the vault is difficult to guarantee, so grouting
holes should be reserved for compaction. The method is generally employed in the
construction of many subway tunnels, and in addition, shotcrete is also adopted for
the secondary lining.
11.5 Example of the Shield Tunnel Design
The method of homogeneous circular ring is convenient to design, and ignoring the
elastic resistance contributes to a safe design result. Therefore, in this section, a
tunnel in the soft soil stratum is designed by this method. The height of the bid
section is −18.366 m with the maximum covering soil of about 20 m, and the
height of the ground bid section is 4.24 m. The distribution of soil layers and tunnel
parameters are shown in Fig. 11.14.
11.5 Example of the Shield Tunnel Design 467
Fig. 11.14 The distribution of soil layers and tunnel parameters
The lining adopts reinforced concrete segments, and the concrete strength is
C60. The outer diameter of the tunnel is 6200 mm, and the inner diameter is
5500 mm. The calculation width is b = 1.2 m.
(1) Load calculation in the basic service stage

① Self-weight
g ¼ ch d ð11:1Þ
where g is the self-weight of the lining; ch is the gravity density of the reinforced
concrete, and ch ¼ 25kN/m3 generally; d is the segment thickness.
Hence, g ¼ 25 0:35 ¼ 8:75 (kPa)
② Vertical pressure on the vault
X
n
q ¼ q0 þ c i hi ð11:2Þ
i¼1
where q is the vertical pressure on the vault; q0 is the overload on the ground and
q0 ¼ 20 kPa; ci is the gravity density of soil layers from the vault to ground, and the
buoyant gravity density is taken for soil layers below the groundwater level; hi is
the thickness of soil layers from the vault to ground.
q ¼ 20 þ 18:2 0:5 þ 8:2 0:601 þ 0:6302 8:7 þ 9:2 3:7028

þ 8:6 6:83787 þ 7:9 1:62926 þ 8:2 1:36187 ¼ 156:42870 (kPa)
③ Earth pressure on the extrados

p
G ¼ 1 RH c ð11:3Þ
4
where G is the earth pressure on the extrados; c is the weighted average of the
gravity density of all soil layers on the extrados;RH is the calculation radius of the
circular ring.
Hence,
8:2 1:60991 þ 8:3 1:31509

c¼ ¼ 8:24496 kN/m3
2:925
p
G ¼ 1 RH c
4
G ¼ 0:2146 2:925 8:24496 ¼ 5:175447 ðkPaÞ
④ Uniform lateral earth pressure

/ /
P1 ¼ q tan2 45 2c tan 45 ð11:4Þ
2 2
where P1 is the uniform lateral earth pressure; u and c are weighted averages of the
internal friction angle and cohesive force of all soil layers from vault to arc bottom.
P
n
ui hi
u ¼ i¼1P
n ¼ 20:89336 ð11:5Þ
hi
i¼1
P
n
c i hi
c ¼ i¼1P
n ¼ 17:1558 kPa ð11:6Þ
hi
i¼1
Hence,
P1 ¼ 156:42870 0:6886522 2 17:1558 0:688652 ¼ 50:552531 (kPa)
⑤ Triangular lateral earth pressure

2 /
P2 ¼ 2RH c0 tan 45 ð11:7Þ
2
where P2 is the triangular lateral earth pressure; c0 is the weighted average of the
gravity density of all soil layers from vault to arc bottom.
Hence,
8:2 1:60991 þ 8:3 4:59009

c0 ¼ ¼ 8:274033 ðkN/m3 Þ
6:2
P2 ¼ 2 2:925 8:274033 0:688652 ¼ 22:95476 (kPa)
⑥ Hydrostatic pressure
The distance from the groundwater level to the vault is 14.94 m.
⑦ Reaction force of the arc bottom

p
PR ¼ q þ 0:2146RH c þ p g RH cw ð11:8Þ
2
where cw is the gravity density of the water, and cw ¼ 10 kN/m3 .

Hence,
p
PR ¼ 156:42870 þ 0:2146 2:925 8:274033 þ p 10 2:925 10
2
¼ 147:092 ðkPa)
(2) Considering the effect of special loads

Special loads result from the settlement of tunnels nearby. The vertical special load
is 100 kN and the lateral special load is 40 kN.
The internal force in the basic service stage is calculated first and the stage of the
special load is the next. Then, internal forces in both conditions are combined
according to the most adverse condition. The left half of the circular ring is divided
into 12 parts, and 0° is at the top of the vertical diameter.
Moment (M) is defined to be positive when linings bear tension at the inner
edge, and axial force (N) is defined to be positive under compression. The final
result is the superposition of internal forces under various loads.
Coefficients of internal forces are summarized in Table 11.4 and the internal
force diagram is shown in Fig. 11.15.
According to Table 11.4, the calculation result is summarized in Table 11.7.
(3) Calculation of sections and the length of joints opening
① Sections
According to Code for design of concrete structures (GB50010-2010), sections are

regarded to be in the eccentric compression state to calculate the reinforcement, and
sections at h ¼ 180 and h ¼ 90 is the calculation basis.
A. Design of the inner reinforcement
From Table 11.7, M ¼ 679:3961 kN m and N ¼ 1081:991 kN at h ¼ 180 .

Hotrolled ribbed steel bar: HRB400(20MnSiV); Concrete strength: C60.
Fig. 11.15 The internal

force diagram
11.5
Table 11.7 The calculation result of the internal force

Basic service stage Stage with special loads Superposition Superposition of 1.2 m
Angles M(kN m) N(kN) M(kN m) N(kN) M(kN m) N(kN) M(kN m) N(kN)
0 184.620 654.382 170.257 85.995 354.877 740.377 425.8521 888.452
15 158.641 674.491 149.973 98.808 308.615 773.299 370.3376 927.9585
30 88.267 729.196 93.940 134.024 182.207 911.403 218.6481 1093.683
45 −6.130 803.369 15.360 182.826 9.230 986.195 11.07618 1183.434
Example of the Shield Tunnel Design
60 −97.537 876.997 −67.589 233.123 −165.126 1110.120 −198.152 1332.144

75 −160.346 931.117 −136.436 272.719 −296.782 1203.836 −356.138 1444.603
90 −177.772 953.141 −177.101 292.500 −354.874 1245.641 −425.849 1494.77
105 −146.431 940.911 −182.883 298.396 −329.315 1239.307 −395.178 1487.168
120 −76.537 901.628 −150.601 298.065 −227.138 1199.693 −272.565 1439.632
135 11.581 848.265 −76.196 287.253 −64.616 1135.518 −77.5388 1362.621
150 92.948 796.732 43.806 260.851 136.754 1057.583 164.1048 1269.1
165 144.253 761.803 209.776 214.816 354.029 976.619 424.8343 1171.943
180 149.504 753.654 416.659 148.005 566.163 901.659 679.3961 1081.991
471
h ¼ 350 mm; h0 ¼ h as ¼ 350 50 ¼ 300 mm
M
e0 ¼ ¼ 627:913 mm ð11:9Þ
N
h
ea is the larger one of 20 mm and 30 ¼ 350
30 ¼ 11:67 mm, so ea ¼ 20 mm.
ei ¼ e0 þ ea ¼ 627:913 þ 20 ¼ 647:913 (mm) ð11:10Þ
where e0 is the initial eccentricity; ei is corrected initial eccentricity; as is the

thickness of concrete cover; h is the segment thickness; ea is the additional
eccentricity for the axial force in the eccentric direction.
h
e ¼ ei þ as ð11:11Þ
2
Hence, e ¼ 647:913 þ 175 50 ¼ 772:913 (mm).
Where e is the distance from the resultant point of tensile steel bars to the axial
force.
Reinforcement for the compressed section
Ne a1 fc bh20 nb ð1 0:5nb Þ
A0s ¼ ð11:12Þ
fy0 ðh0 as Þ
where a1 is the ratio of the equivalent rectangular stress strength to the maximum
compressive stress in the compression zone of concrete; fc is the compressive stress
of concrete; b is the segment thickness; nb is the relative height of the compression
zone; fy0 is the design value of compressive stress of steel bars; h0 is the effective
height of the section.
Steel bars of HRB400 and concrete of C60 are selected, so,
a1 ¼ 0:98; fc ¼ 27:5 N/mm2 ; b ¼ 1:0 m;
nb ¼ 0:499; fy0 ¼ 360 N/mm2 ; h0 ¼ 300 mm:
Hence,
1081:991 103 772:913 0:98 27:5 1200 3002 0:499 ð1 0:5 0:499Þ
A0s ¼
360 ð300 50Þ
¼ 2569:53 mm\0
The compressive strength of concrete meets the requirements.

So, the calculation is conducted according to the minimum reinforcement
ratio qmin .
From the table,
ft ¼ 2:04 N/mm2 ; fy ¼ fy0 ¼ 360 N/mm2

ft
qmin ¼ max 0:2%; 0:45 ¼ 0:255% ð11:13Þ
fy
where qmin is the minimum reinforcement ratio; ft is the tensile strength of concrete;
fy is the compressive strength of concrete.
A0s ¼ qmin bh ð11:14Þ
where h is the height of the section.

Hence,
A0s ¼ 0:255% 1200 350 ¼ 1017 mm2
So, the height of the compression zone (x) need to be calculated again.
x
Ne ¼ a1 fc bx h0 þ fy0 A0s h0 a0s ð11:15Þ
2
where N is the maximum axial force on the section.

Hence,
x ¼ 92:991\2as ¼ 100 mm, and x\h0 nb = 149.7 mm.
Reinforcement for the tensile section.
N jei h=2 þ as j
As ¼ ð11:16Þ
fy h0 a0s
where fc is the compressive strength of concrete.

So,
1081:991 103 ð647:913 175 þ 50Þ

As ¼ ¼ 6536 (mm2 Þ
360 ð300 50Þ
B. Design of the outer reinforcement
M ¼ 425:849 kNm and N ¼ 1494:770 kN at h ¼ 90

M
e0 ¼ ¼ 284:893 mm
N
h
ea ¼ 20 mm, (ea is the larger one of 20 mm and 30 ¼ 350
30 ¼ 11:67 mm)
ei ¼ e0 þ ea ¼ 284:893 þ 20 ¼ 304:893 mm
h
e ¼ ei þ as ¼ 304:893 þ 175 50 ¼ 429:893 mm
2
Reinforcement for the compressed section
Ne a1 fc bh20 nb ð1 0:5nb Þ
A0s ¼ ð11:17Þ
fy0 ðh0 as Þ
Hence,
1494:770 103 429:893 0:98 27:5 1200 3002 0:499 ð1 0:5 0:499Þ
A0s ¼
360 ð300 50Þ
¼ 4626:422 mm2 \0
As above, the calculation is conducted according to the minimum reinforcement

ratio qmin .

ft
qmin ¼ max 0:2%; 0:45 ¼ 0:255% ð11:18Þ
fy
The height of the compression zone (x) need to be calculated again.

x 0 0
0

Ne ¼ a1 fc bx h0 þ fy As h0 as ð11:19Þ
2
So, x = 66.97 mm < 2as = 100 mm.
Reinforcement for the tensile section
N jei h=2 þ as j
As ¼ ð11:20Þ
fy h0 a0s
where fc is the compressive strength of concrete.

Hence,
1494:770 103 ð429:893 175 þ 50Þ

As ¼ ¼ 3332:755 mm2
360 ð300 50Þ
So, As = 3332.755 mm2.

C. Reinforcement for segments
Inner reinforcement: 5U36@150 þ 2U32@150, and As = 5089 + 1609 = 6689

mm2 > 6536 mm2.
Outer reinforcement: 7U25@150, and As = 3436 mm2 > 3332.755 mm2.
The total reinforcement ratio:
As þ A0s 6698 þ 3436

q¼ ¼ ¼ 2:815% [ qmin ¼ 0:255% ð11:21Þ
h0 b 300 1200
The maximum reinforcement ratio:
a1 f c 0:98 27:5
qmax ¼ nb ¼ 0:499 ¼ 3:74% [ q ¼ 2:815% ð11:22Þ
fy 360
The reinforcement diagram is illustrated as Fig. 11.16.
② Calculation of the length of joints opening

The main purpose of joint opening calculation is to achieve the allowable stress of
400
bolts, and ½r ¼ 1:55 ¼ 258:1 N/mm2 . The calculation model is shown in Fig. 11.17.
The elongation of the bolts inside:
½r l 258:1 350 ½r l 258:1 350

l¼ ¼ 5
¼ 0:43 mml ¼ ¼ ¼ 0:43 mm
E 2:1 10 E 2:1 105
ð11:23Þ
The length of joints opening:
B ¼ l ð350 50Þ=ð120 50Þ ¼ 1:84 mm \3 mm
where l is the width of the elastic gaskets; E is the elastic modulus of bolts
(HPB235), and E ¼ 2:1 105 N/mm2 .
Fig. 11.16 The reinforcement diagram


model
So, the length of joints opening meets the waterproof requirements of elastic
gaskets.
(4) The force calculation of segments bearing jacks
① The calculation of the local compression
The outer diameter of the lining is 6200 mm and the inner diameter is 5500 mm.
The outer diameter of the shield tunnel is 6340 mm, and the center line diameter of
the jack is 5815 mm.
The shield machine is equipped with 24 jacks with a maximum thrust of 1500
kN in the circumferential direction.
According to Code for design of concrete structures:
Fl 1:35bc bl fc Aln ð11:24Þ
where ½F is the allowable load of the concrete segments; bc is the concrete strength
coefficient, and bc ¼ 0:933; bl is the concrete strength coefficient of local com-
pression, and bl ¼ 1; fc is the compressive strength of the concrete;Aln is the net
area, and Aln ¼ 695 300 ¼ 208500 mm2 .
So, ½F ¼ 1:35 0:933 1:0 27:5 695 300 ¼ 7221:9 (kN) > F = 1500
kN, and the requirement of local compression can be satisfied.
② Design of embedded parts
The weight of the maximum capping block is calculated:
x ¼ ch m ð11:25Þ
where ch is the gravity density of the segment, and ch ¼ 25 kN/mm3 ; m is the

volume of the segment.
And,
84
w ¼ 25 p 3:12 2:752 1:2 ¼ 45:027 (kN)
360
According to the reinforcement of 2U18, Ag = 509 mm2.
fy Ag
K¼ ð11:26Þ
w
So,
360509
K ¼ 45:027103 ¼ 4:07 [ 4, and the requirement can be satisfied.
(5) Anti-floating calculation
In the construction, the tunnel is unstable because of its large volume and hollow
internal space. So, the anti-floating performance needs to be checked. The
anti-floating calculation is conducted at the place with the shallowest covering, and the
burial depth is selected to be 9.863 m at the starting point of the Jiangpu Road station.
① Buoyancy
1
F ¼ mcw ¼ pD2 l cw ð11:27Þ
4
where m is the volume of the circular ring; D is the outer diameter; l is the segment
width.
So,
p
F¼ 6:22 1:2 10 ¼ 362:288ðkNÞ
4
② Self-weight
G1 ¼ pðR2out R2in Þl ch ð11:28Þ
where ch is the gravity density of the lining, 25 kN/m3; Rin is the inner diameter;
Rout is the outer diameter; l is the segment width, 1.2 m.
Hence,
G1 ¼ p ð3:12 2:752 Þ 1:2 25 ¼ 192:972 kN
③ The weight of the covering soil (the distribution of soil layers are summarized
in Table 11.8)
G2 ¼ c H D l ð11:29Þ
Table 11.8 The distribution of soil layers at the shallowest covering

Numbers Names Thickness Gravity Water Cohesive Internal
(mm) density c content x force friction angle
(kN/m3) (%) c (kPa) u (°)
Miscellaneous 1066 18.2 – 20 24.5
fill
②2 Brown–gray– 601 18.7 28.2 11 24.6
yellow clayey
silt
②3-1 Gray clayey silt 3662.8 19.2 29.2 12 25
④ Gray mucky 1599.26 17.9 50.1 16 19.8
clay
⑤1-1 Gray clay 2934.78 18.2 30.2 17.6 22.3
where H is the depth of the covering soil; D is the outer diameter of the tunnel; l is
the segment width; c is the weighted average of the gravity density of the covering
soil layers.
18 0:5 þ 8:2 0:566 þ 8:7 0:601 þ 9:2 3:6628 þ 7:9 1:59926 þ 8:2 2:93478
c¼ þ 10
9:863
3
¼19:05 kN/m
ð11:29Þ
So,
G2 ¼ 19:05 9:863 6:2 1:2 ¼ 1397:903 kN
④ Anti-floating coefficient
G1 þ G2 192:972 þ 1397:903
K¼ ¼ ¼ 4:39 [ 1:1
F 362:288
All kinds of parameters are summarized in Table 11.9, and steel bars of HRB400
(20 MnSiV) are adopted.
Table 11.9 The material Types Parameters

parameters of the tunnel
Outer reinforcement 7 U 25
Inner reinforcement 5 U 36 + 2 U 32
Segment thickness 350 mm
Segment width 1200 mm
The concrete strength grade C60
11.6 Application of FEM for the Tunnel Computing Model 479
11.6 Application of FEM for the Tunnel Computing Model
At present, two kinds of calculation models are mainly adopted in the design of
tunnel structure system. For the first model, the supporting structure is regarded as
the main bearing body and the surrounding rocks are regarded as the main load
source. In addition, the surrounding rocks are considered to restrain the deformation
of the supporting structure. For the second one, the surrounding rocks are regarded
as the bearing body, and the supporting structure restrains the deformation of
surrounding rocks.
The first model is also called traditional structural mechanics model. In this
model, support structure and surrounding rocks are considered separately. Support
structure is the main bearing body, and surrounding rocks provide loads and elastic
resistance. Therefore, it is called load-structure model (Fig. 11.18a). The interaction
between supporting structure and surrounding rocks is provided by the constraint of
the surrounding rocks on the supporting structure. The surrounding rocks with
greater bearing capacity provide smaller pressure and larger elastic resistance, and
the effect of the supporting structure is reduced accordingly.
The model is suitable for the condition that the supporting structure bears the
rock pressure because of the relaxation and collapse of surrounding rocks. The key
point of applying this model is to determine the loads acting on the supporting
structure, and the main loads are the loose pressure and elastic resistance. Finally,
the internal force and displacement can be solved by structural mechanics. This
model is widely adopted because of its clear concept and simple calculation.
Calculation methods based on this model include elastic continuous frame
method, assumed resistance method and elastic foundation method. When the
stratum restrains the structure weakly, the elastic continuous frame method is
generally adopted, or another two methods are more appropriate. The elastic
(a) Load-structure model (b) Stratum structure model
Fig. 11.18 Models for tunnel calculation

continuous frame method is the same as the force method and displacement method
applied to ground structures. Another two methods can be applied according to the
local deformation theory or the common deformation theory.
The second one is also called contemporary rock mechanics model. Supporting
structure and surrounding rocks are regarded to be integral and bear loads com-
monly. Therefore, it can also be called stratum-structure model or integral com-
posite model (Fig. 11.18b). For this model, the surrounding rocks are regarded as
the bearing body, and the supporting structure is just used to restrain the defor-
mation of surrounding rocks, which is opposite to the first model. This model is
developing in the tunnel design system, and it accords with the current level,
applying the strong supporting structure to restrain the deformation of surrounding
rocks. The model can consider many factors, including all kinds of geometrical
shapes, nonlinearity of the surrounding rocks and structure materials,
three-dimensional state formed by the space effect of the excavation section and
others. Some problems can be solved analytically by this model, but the most must
be solved by the numerical methods, especially the finite element method, because
of their complexity.
The key point of applying this model is to determine the initial field of sur-
rounding rocks, various parameters showing the material nonlinearity, and changes
of these parameters.
In this section, the internal force and displacement of a circular tunnel are solved,
applying load-structure method and stratum-structure method, respectively, by
ABAQUS.
1. Load-structure method
(1) Introduction
As shown in Fig. 11.19, the load on the ground is 20 kN/m3, and the tunnel is
buried 9 m in depth with gravity density of 20 kN/m3. The lateral pressure coef-
ficient is 0.3 and the elastic resistance coefficient of the surrounding rocks is
30 MPa/m. The inner diameter of the tunnel is 8 m, and the gravity density of the
lining is 25 kN/m3 with the thickness of 30 cm.
Fig. 11.19 Load-structure

model
(2) Simulation
The beam element is adopted to simulate the lining. The elastic resistance is sim-
ulated by springs between the lining and surrounding rocks, and the spring rigidity
can be obtained by the elastic resistance coefficient. The spring nodes of the other
side are restrained in the X and Y direction, and the loads are simulated by joint
forces. The calculation model is shown as Fig. 11.20. The calculation process
includes: ① establishment of nodes and elements; ② establishment of material
properties; ③ confirming the boundary condition; ④ loads application; ⑤ results
analysis.
The first calculation results from Figs. 11.21, 11.22, 11.23, 11.24, and 11.25
show that the left and right sides deform in the external direction, and another two
sides are compressed. Therefore, the tensile springs on the top and bottom sides
need to be removed, and the new model without partial spring has to calculated
again.
The tensile springs can be removed by model change in ABAQUS. Then, they
are killed in the step. The calculation results are illustrated from Figs. 11.26, 11.27,
11.28, 11.29, 11.30, and 11.31.
2. Stratum-structure method
In this section, the internal force and displacement of the lining are calculated by the
stratum-structure method.
The model is shown in Fig. 11.32. The distance from the vault to the upper
surface is 9 m. The whole model is 60 m in length and 46.75 m in height. The
lining is simulated by the beam element, and the calculation process includes: ①
establishment of the nodes and elements; ② establishment of material properties;
③ confirming the boundary condition; ④ loads application; ⑤ results analysis.
The internal force and deformation of the surrounding rocks and the lining are
illustrated from Figs. 11.33, 11.34, 11.35, and 11.36. Compared with the results of
the load-structure method, the calculation results of the stratum-structure model are
smaller. Therefore, the load-structure method is more conservative, and the
stratum-structure method can reflect the actual engineering more truthfully.

model
Fig. 11.21 The first deformation of the lining
Fig. 11.22 The distribution diagram of the principal stress

Fig. 11.23 The distribution diagram of the axial force
Fig. 11.24 The distribution diagram of the moment

Fig. 11.25 The axial force distribution diagram of springs
Fig. 11.26 New calculation

model
Fig. 11.27 Deformation diagram


Fig. 11.31 The axial force distribution diagram of springs
Fig. 11.32 The model mesh diagram

Fig. 11.33 The vector diagram of the deformation


11.7 Summary
(1) Shield tunnels are generally applied in the soft soil stratum, and the design can
be divided into three stages. The first one is the scheme design to determine
the line, alignment, buried depth, section shape and size of the tunnel and
others; The second one is the lining design, including the segment parameters,
such as thickness, assembly mode and others; The last one is the internal force
calculation of the segments and the section check. In the actual application, the
lining design is very complicated, and the theoretical calculation needs to be
combined with the construction experience. The relevant parameters not only
rely on the stratum, but also the construction conditions.
(2) In addition to determining the form and structure of the lining, it is more
important to calculate the loads the lining bears, including earth pressure,
water pressure, self-weight, overload, elastic modulus, and others.
(3) Current design methods for underground structures can be summarized into
the following four models: ① Empirical design method based on the practical
experience in the past tunnel engineering; ② Practical design method based on
field measurements; ③ Load-structure model; ④ Continuum model, including
analytical method and numerical method.
(4) Methods for calculating the internal force mainly include the homogeneous
circular ring of free deformation method, hinged circular ring method, and
Japanese modified method.
(5) The tunnel waterproofing is one of the key points in the design. The water-
proof design should be conducted according to the functions and requirements
of the tunnel, structure characteristics, construction conditions, and others.
Problems
11:1 What are the applicable conditions and characteristics of the shield tunnel?
11:2 What types does the segment include in the shield tunnel? List three com-
mon types and describe their characteristics and applicable conditions
briefly.
11:3 What types do the calculation models include in the design of the shield
tunnel? What are the advantages and disadvantages? How to consider the
joint effect?
11:4 How to calculate earth pressure and water pressure the shield tunnel bears?
Analyze the effect of elastic resistance on the internal force of the lining.
11:5 Describe the characteristics of several new types of segments briefly.
11:6 What types do the assembly modes of the circular segments include in the
shield tunnel? What are the advantages, disadvantages and applicable
conditions?
11:7 What is the relation between the internal force distribution of the lining and
the segment structure in the shield tunnel?
11.7 Summary 491
11:8 What should be checked when selecting the lining section in the shield
tunnel? What should we pay attention to in the calculation?
11:9 What measures can be taken for waterproofing and anti-permeability in the
shield tunnel?
Design of Open Caisson Structures
12
12.1 Introduction of Open Caisson Structures
12.1.1 Concept, Characteristics, and Application of Open

Caisson Structures
With the rapid development of the national economy and the construction of urban
infrastructure in China, the application of open caisson in the treatment of urban
sewage pipe network is increasing. The method of open caisson is technically more
reliable and can be used to bear larger loads because of its deep foundation. The
uneven settlement of adjacent buildings and roads caused by the application of open
caisson in the dewatering construction of urban infrastructure can be avoided
because of the less excavation and impact on the adjacent buildings.
The open caisson structure is mainly named after its construction method. In a
word, it is an underground structure built by sinking to a certain underground
elevation by some means. Specifically, the first step is to make a well-like structure
on the ground surface. The second step is to excavate under the envelope of the
shaft lining continuously and make the well-like structure sink to the predetermined
designed elevation gradually with the assistance of its dead weight and other
auxiliary measures. The last step is to construct the bottom concrete, internal
structure, and roof.
The characteristics of the open caisson structure are as follows: (1) large stiffness
and cross section, high bearing capacity, impermeability, durability, and internal
space availability. (2) Small construction occupancy area, good reliability.
(3) Applicable to a wide range of soil, such as silt, sand, clay, gravel, and so on.
(4) Deep construction. (5) The impact on the adjacent buildings is small because of
the small deformation of surrounding soil mass during the period of construction.
Therefore, the method of open caisson is suitable for close construction. (6) Out-
standing seismic performance.
https://doi.org/10.1007/978-981-13-7732-7_12
494 12 Design of Open Caisson Structures
The open caisson structure has a wide range of applications for large under-
ground structures and deep foundations. First, it can be used as permanent under-
ground structures, such as underground oil tanks, gas tanks, pump houses,
sedimentation tanks, water tanks, air-raid shelters, garages, transformer substations,
material pits and other underground facilities. Second, it can be used as temporary
work wells, receive wells of the shield equipment during the construction of shield
tunnels and permanent tunnel ventilation wells, wells of drainage pump houses, etc.
Lastly, it can be used as piers, deep foundations of heavy-duty plants and other
industrial structures. In addition, large open caissons can be used for underground
space development such as underground factories, workshops, underground gar-
ages, and underground places of entertainment. And large floating open caissons
can be used to build offshore oil extraction platforms.
12.1.2 Classification of Open Caisson Structures
The classification of the open caisson structures is as follows.
(1) According to the construction environment, they can be divided into land open
caissons, including that constructed in the shallow water and floating open
caissons, which is used in the water.
(2) According to the structural types of open caissons, they can be divided into
independent open caissons and continuous open caissons. The independent
open caissons are mainly applicable to independent deep foundations or
independent deep well structures, while the continuous open caissons appli-
cable to tunnel engineering.
(3) According to the sectional shapes of open caissons, there are circular,
round-ended, square, rectangular, polygonal, etc. Besides, they can also be
divided into open caissons with single well or multi-dredge wells, as is shown
in Fig. 12.1.
12.1.3 Design Principle of Open Caisson Structures
The sectional size of the open caisson and its shape and height are determined by
the bottom dimensions of the piers, the bearing capacity of foundations and con-
struction requirements. In addition, the open caisson structure should be simple and
symmetric and also have the advantages of reasonable force and convenient con-
struction. Specific requirements are as follows:
(1) In order to reduce stress concentration under the stress state of plane frame and
the friction area of the shaft lining and make it easy to clear the mud, the
angles of open caissons should be round or obtuse. The offset width of the top
surface should not be less than 1/50 of the full height of the open caisson. In
addition, it should not be less than 200 mm. However, for the floating open
caisson, it should be more than 400 mm.
12.1 Introduction of Open Caisson Structures 495
Fig. 12.1 Plane form of the open caisson. a Circular open caisson with single dredge well;
b Square open caisson with single dredge well; c Rectangular open caisson with single dredge
well; d Square open caisson with double dredge wells; e Round-ended open caisson with double
dredge wells; f Rectangular open caisson with multi-dredge wells
(2) The smaller the ratio of the long and short sides of the open caisson is, the
better the stability of the open caisson will be.
(3) In order to facilitate the open caisson construction and soil excavation, gen-
erally, the open caisson should be made part by part. The height of each part
should be between 3 and 5 m. The height of the bottom part should meet the
longitudinal bending requirements when the support was removed. In addi-
tion, in the soft soil layer, the bottom height should not be greater than 0.8 b
and b is the width of the open caisson. If the height of the open caisson is less
than 8 m, the open caisson can be constructed continuously on the condition
that the soil conditions and construction conditions are permitted.
12.1.4 Construction Steps of the Open Caisson Structure
Figure 12.2 shows the construction steps of the open caisson structures.
(1) level the site, pave sole timbers, construct the bottom part of the open caisson;
(2) remove the molds, pull out the sole timbers symmetrically and at the same
time fill with sand soil at the cutting edges;
(3) excavate uniformly and sink the open caisson until the bottom part of the open
caisson stops sinking; arrives at the predetermined position
(4) build the second part of the open caisson and keep excavating and sinking, and
then build the next part of the open caisson;
(5) sink to design elevation and clear the foundation;
(a) Level the site, pave sole timbers, construct the bottom part of the open caisson
(b) Pull out the sole timbers
(c) Excavate and sink the open caisson
(d) Clear the foundation and seal the bottom
1- Retaining wall with packages of clayey soil 2-Filling soil 3- Pave sole timbers
4- Pull out the sole timbers symmetrically and at the same time fill with sand soil
5-Bottom concrete 6-Roof.
Fig. 12.2 The construction steps of the open caisson structures
(6) seal the bottom of the open caisson;

(7) design the inside of the open caisson and seal the roof, etc.
12.2 Structures of the Open Caisson
Generally, an open caisson is composed of the shaft lining, roof, bottom sealing,
internal parting wall, dredging well, groove and cutting edge, etc., as is shown in
Fig. 12.3.
12.2.1 Shaft Lining
The shaft lining is the outer wall of the open caisson, which is an important
structural component of the open caisson. During the subsidence stage, the shaft
12.2 Structures of the Open Caisson 497
Fig. 12.3 Schematic diagram of the open caisson structure
lining is subjected to the bending stress caused by the surrounding water and earth
pressure. At the same time, the self-weight of the open caisson must be large
enough to overcome the resistance of the soil to the shaft lining and the resistance of
the soil at the bottom of the cutting edge, so that the open caisson can sink to the
design elevation. The shaft lining must have sufficient thickness and strength
because it will become part of the foundation for the transmission of the upper load
after completion of the construction. In addition, the shaft lining is often buried with
jet pipes, detecting tubes, mud pipes, air ducts, and so on.
The thickness of the shaft lining should be determined by the strength of the
structure, the gravity needed for the sinking, the convenience of soil sampling, the
foundation cleaning, etc. When designing the shaft lining, we need to assume the
thickness first and then check the strength. Generally, the thickness is between 0.4
and 1.2 m and it will be up to 1.5–1.8 m in case of wartime protection. But the
thickness of the reinforced concrete open caisson and the steel floating open caisson
with thin shaft lining is not limited. In order to withstand the internal force gen-
erated by the most unfavorable combination of loads during the subsidence stage,
two layers of vertical and horizontal steel bars are generally arranged in the shaft
lining to withstand the bending stress.
Fig. 12.4 The schematic diagram of the section type of the shaft lining. a, b Vertical shaft lining;
c, d Step shaft lining; e Conical shaft lining; f Inverted conical shaft lining
The outer surface of the shaft lining has many forms as is shown in Fig. 12.4.
The shaft lining is convenient to construct and can be better restrained by the
surrounding soil layers. Moreover, it is easy to control the vertical settlement, and it
can reduce the impact on the surrounding buildings. However, the open caisson
construction method is usually used when the burial depth is small or in the soft soil
because the frictional resistance between the soil and the shaft lining is big. When
the burial depth is larger or the soil is denser, the outer surface of the shaft lining
looks like a staircase, and the widths of steps are usually between 100 and 200 mm.
In addition, the shaft lining can also be made into a cone. When the open caisson is
constructed in the soft soil area, its sinking speed may be too fast because of the
large self-weight or the small bearing capacity of the soft foundation, which may
cause the deviation or super-sink, etc. Therefore, the outer wall of the open caisson
can be made into an inverted cone, and its slope is determined by the subsidence
coefficient and the construction experience.
12.2.2 Cutting Edge
As shown in Fig. 12.5, the bottom of the shaft lining is generally made into a
cutting edge and its main function is to reduce the sinking resistance. The cutting
edge should have enough strength to avoid being damaged during the sinking
process, which is usually made of reinforced concrete of not less than C20. The
horizontal surface of the cutting edge is called the tread. The width of the tread is
generally between 10 and 30 cm, which is determined by the softness of the soil
and the width of the cutting edge. When the open caisson is heavy and the soil is
soft, the tread must be wider. On the contrary, when the open caisson is light and
the soil is hard, the tread must be narrower. The inside inclination a, which is
between the slope of the cutting edge and the horizontal surface, is generally
between 45° and 60°. When the burial depth of the open caisson is larger or the soil
is harder, the cutting edge is often strengthened with section steels, such as angle
steels or channel steels, as is shown in Fig. 12.5b. When the soil is very hard and
the obstacles under the cutting edge need to be cleared with the blasting method, the
Fig. 12.5 The schematic diagram of the cutting edge. a Cutting edge of concrete; b Angle steel
cutting edge (unit: m); c Cutting edge of steel plate (unit: mm)
Fig. 12.6 Types of the cutting edge
cutting edge made of steel needs to be directly made into a closed angle instead of a
tread, as is shown in Fig. 12.5c. The height of the cutting edge depends on the
thickness of the shaft lining, the convenience of the sole timber extraction and the
excavation of soil. Generally, the height of the cutting edge is about 0.6 m under
the circumstances of dewatering seal. And under the circumstances of sealing
underwater, it is about 1.2 m.
The cutting edge has many types, as is shown in Fig. 12.6, which is mainly
determined by the hardness of the soil and the resisting force on the unit length of
the cutting edge in the specific construction.
12.2.3 Groove
The grooves set in the open caisson is to allow the bottom concrete to be embedded
into the shaft lining to form a unity and transmit the force from the shaft lining to
the bottom concrete. At the same time, when faced with unexpected difficulties, it is
necessary to cast reinforced concrete cover at the groove to make an open caisson
into a caisson. The horizontal width of the groove is about 0.15–0.25 m and the
height is about 1.0 m. The distance between the bottom surface of the groove and
that of the cutting edge is generally larger than 1.5 m.
12.2.4 Internal Parting Wall and Base Girder
When the plane size of the open caisson is large, it is necessary to set internal
parting walls, whose main functions are to increase the rigidity of the open caisson
during the sinking process and reduce the span of the shaft lining. At the same time,
the whole open caisson is divided into many dredging wells so that the soil
excavation and the sinking process can be balanced. In addition, it is conducive to
rectify the deviation of the open caisson. The distance between the internal parting
walls is generally not more than 6 m and the thickness is generally between 0.5 m
and 1.0 m. In order to prevent the soil from obstructing the internal parting walls
and slowing down the sinking process, the bottom surface of the internal parting
walls should be 0.5–1.0 m higher than that of the cutting edge. But when pene-
trating through the soft soil, in order to prevent the open caisson from sinking
suddenly, the bottom surface of the internal parting walls should be parallel to that
of the cutting edge. In order to facilitate workers to cross through among dredging
wells, some holes should be reserved near the bottom of the internal parting walls.
The size of the holes is about 0.8 1.2 m to 1.1 1.2 m.
In some large open caissons, it is necessary to add base girders instead of internal
parting walls to the bottom of the large open caissons due to the service require-
ments, which will constitute a frame to increase the integral rigidity during the
sinking stage and the service stage. Several horizontal frames composed of vertical
and horizontal beams should be set at different heights of the shaft lining to reduce
the span of the shaft lining in some high-rise open caissons, so that the entire
structure of the open caisson will be reasonable and economical.
In the loose soil, the effect of the base girders is to avoid the sudden sinking and
extra-sinking of the open caissons. In addition, it is beneficial to rectify the devi-
ation and seal the bottom separately. And the dewatering seal is the best. But there
should not be too many vertical and horizontal beams because it will increase the
construction cost, extend the construction time, or even increase the sinking
resistance.
12.2.5 Dredging Well
The dredging wells are the workplaces and channels, where workers excavate and
drain the soil during the open caisson construction. The dredging wells should be
arranged symmetrically along the central axis of the open caisson in order to
facilitate the uniform sinking and rectification.
The size of the dredging wells is determined by the excavation method, which
not only should meet the service requirements but also ensure the excavators can be
raised and lowered freely in the dredging wells. When excavating with the bucket
excavator, the dredging well’s minimum size is generally not less than 2.5 m.
12.2.6 Bottom Sealing
When the open caisson sinks to the design elevation, workers should seal the
bottom to prevent the groundwater from permeating the dredging well after tech-
nical inspection and the bottom cleaning. The bottom sealing includes dewatering
seal and sealing underwater. The latter means casting concrete under water. If the
water in the dredging wells can be drained and the seepage rate is not greater than 6
mm/min, we can seal the bottom with C15 or C20 concrete after drainage. If the
seepage rate is greater than 6 mm/min, it is advisable to use C20 underwater
concrete to seal the bottom with tremie method. The thickness of the bottom
concrete is determined by the bearing capacity. Generally, the top surface of the
bottom concrete should be 0.5 m higher than that of the groove. When the concrete
is hardened, the reinforced concrete floor can be poured over it.
12.2.7 Roof
After the sinking of the open caisson and the bottom sealing, the dredging wells can
be filled with plain concrete, rubble concrete, or just rubble if used as a foundation.
Then the roof can be constructed with plain concrete. But in other cases, in order to
save time and cost and reduce the structural self-weight, the dredging wells can be
filled with nothing or other loose materials such as coarse sand or gravel if possible.
At this time, the roof should be made with reinforced concrete and the thickness is
generally between 1.0 and 2.0 m. The reinforcement of the roof should be deter-
mined by the bearing capacity and detailing requirements. Under the circumstances
of drainage sinking, the roof is below the ground surface or the water level, a
waterproof wall should be set at the top of the shaft lining.
12.3 Design and Calculation of the Open Caisson

Structure
12.3.1 Calculation of the Subsidence Coefficient
The subsidence of the open caisson is caused by the continuous soil excavation in
the dredging wells, so that the self-weight of the open caisson can overcome the
frontal resistance of the cutting edge and the frictional resistance between the shaft
lining and the soil. Therefore, in order to make the open caisson sink successfully, it
is necessary to check whether the self-weight of the open caisson can overcome the
frictional resistance during the sinking stage after all dimensions have been pre-
liminarily formulated. Thus
Gs
k¼ 1:15 1:25 ð12:1Þ
FR
where k is the subsidence coefficient; Gs is the self-weight of the open caisson ðkNÞ;
FR is the total frictional resistance between the shaft lining and the soil ðkNÞ.
X
n
FR ¼ h i u i Fi
i¼1
where hi is the soil thickness of the ith layer through which the open caisson passes
(m); ui is the outer perimeter of this part of the open caisson (m); Fi is the frictional
resistance of the ith layer acting on the unit area of shaft lining (kPa).
The value of the frictional resistance Fi is related to the soil types and its
physical and mechanical properties, the material of the shaft lining and the rough
degree of its surface and so on, which can be determined by the practical experience
and measured data. In addition, when the sinking depth is between 20 and 30 m, the
friction resistance Fi is 25–50 kPa for clayey soil, 12–25 kPa for sandy soil, 18–30
kPa for sandy pebble soil, 15–20 kPa for sandy gravel soil, 10–12 kPa for soft soil,
and 3–5 kPa for slurries jacket.
12.3.2 Check of the Bottom Open Caisson
The bottom open caisson is its first section. The supporting position of the cutting
edge changes constantly as soon as the removal of the sole timber.
(1) Under the circumstances of drained sinking, because you can directly see the
excavation situation, the supporting point is relatively easy to set at the most
favorable position, which is beneficial to the bearing capacity of the open
caisson. For round or rectangular open caissons, when the long side is 1.5 times
greater than the short side, the supporting point can be set on the long side. In
order to make the bending moment at the supporting point be approximately
12.3 Design and Calculation of the Open Caisson Structure 503
Fig. 12.7 The open caisson supporting on Point 1
equal to that at the midpoint of the long side, the distance between the two
supporting points should be 0.7 times the long side, as is shown in Fig. 12.7.
And the tensile stress of the concrete at the top of the shaft lining due to the
self-weight of the open caisson should be checked according to this condition.
If the concrete tensile stress exceeds the allowable value, it is necessary to
increase the height of the bottom section or the number of steel bars.
(2) Under the circumstances of undrained sinking, the supporting position of the
soil under the cutting edge is difficult to control because the excavation cannot
be seen directly, so the bottom open caisson can be used as the beam and the
check is carried out according to the assumption of the following unfavorable
supporting conditions.
a. Assuming that the bottom open caisson is only supported at the midpoint
of the long side, as is shown in Fig. 12.8, point 3, and both of the ends are
suspended. The concrete tensile stress on the smallest cross section near
the midpoint of the long side at the top of the shaft lining caused by the
dead weight of the open caisson should be checked.
b. Assuming that the bottom open caisson is supported at the two ends of the
short side, as is shown in Fig. 12.8, point 2. The concrete tensile stress at
the bottom of the cutting edge on the short side caused by the dead weight
of the open caisson should be checked.
Fig. 12.8 The open caisson supporting on Points 2 and 3
c. The minimum reinforcement ratio of the bottom open caisson should meet
the following requirements. The minimum reinforcement ratio of the
reinforced concrete should not be less than 0.1% and that of the
rare-reinforcement concrete should not be less than 0.05%. The horizontal
structural bars of the bottom open caisson should not be connected at the
corner of the shaft lining. Because the soil in the dredging wells has not
been excavated during the sinking stage, the sinking resistance of the open
caisson has been increased, and the tensile force of the shaft lining has
been generated. In order to avoid the excessive tensile force at the corner,
the arrangement demands of steel bars are more stringent.
12.3.3 Calculation of the Shaft Lining
Because of the large thickness of the shaft lining, the open caisson with the thick
concrete wall can be free from checking computations except for the cutting edge.
However, the shaft lining of the open caisson with thin concrete wall should be
checked in vertical and horizontal directions according to the actual situation.
1. The calculation of the vertical internal force
During the sinking stage, the vertical tensile stress at the seam of the shaft lining
should be checked when the open caisson is embedded by the surrounding soil and
the soil beneath the cutting edge is emptied. Assuming that the steel bars at the joint
Fig. 12.9 The vertical internal force of the shaft lining
instead of the concrete bear the tensile force, the tensile safety factor of the steel
bars shall be 1.25. Considering the most unfavorable condition of the vertical
tensile stress of the shaft lining, the distribution of the frictional resistance between
the shaft lining and the soil can be assumed to be an inverted triangle along the
height of the shaft lining, that is, zero at the bottom of the cutting edge and largest
on the ground surface, as is shown in Fig. 12.9. At this moment, the most dan-
gerous cross section is at the 1/2 of the burial depth of the open caisson, where the
maximum vertical tensile force of the shaft lining is 1/4 of the total gravity G of the
open caisson.
In the practical engineering, it is common to see the open caisson being stuck or
cracked, which is related to various factors such as the soil condition or the con-
struction method. And the distribution of the frictional resistance of the stuck open
caisson is not in accordance with the assumed ideal model above. Therefore, it is
suggested that the vertical tensile force of the shaft lining should be calculated and
checked according to the open caisson structure and the safety level of the buildings
within the influence area listed in Table 12.1. In addition, the minimum rein-
forcement ratio should be satisfied.
Table 12.1 Vertical tensile force and minimum reinforcement ratio of the open caisson
Construction Safety grade and tensile force of the open Minimum detailing
state of open caisson or influenced buildings reinforcement ratio qmin for
caisson First-level Second-level Third-level longitudinal reinforcement
Drainage 0.50G 0.30G 0.25G Reinforced concrete:
subsidence qmin 0:1%
Undrained 0.40G 0.25G 0.20G Rare-reinforcement concrete:
subsidence qmin 0:05%
Sinking with 0.30G 0.25G 0.20G
slurry sleeve
Fig. 12.10 Computing

model of the shaft lining
2. The calculation of the horizontal internal force
Under the undrained condition, there are water pressure and earth pressure acting on
the shaft lining. However, there is only earth pressure under the drained condition.
It is necessary to think of the shaft lining as a horizontal frame to check its hori-
zontal deflection when the open caisson sinks to the design elevation, the soil under
the cutting edge has been emptied and the maximum horizontal force acts on the
shaft lining.
(1) A section of the shaft lining above the cutting edge should be checked, whose
height is equal to the thickness t of the shaft lining, as is shown in Fig. 12.10.
And the horizontal reinforcement of this section should be arranged accord-
ingly. Because the shaft lining is the fixed-end of the cantilever beam, there are
not only the water pressure W and earth pressure E, but also the horizontal
shear force Q1 caused by the cutting edge. So the load qðkN/mÞ acting on the
shaft lining is
9
q ¼ W þ E þ Q1 >
w1 þ w2 > =
W¼ t ð12:2Þ
2 >
e1 þ e2 >
;
E¼ t
2
where w1 and w2 are the water pressure acting on the upper and lower cross section
of the shaft lining, respectively, ðkPaÞ; e1 and e2 are the earth pressure acting on the
upper and lower cross section of the shaft lining, respectively, ðkPaÞ.
The reduction coefficient k should be considered when calculating the water
pressure. For example, when sinking under the circumstance of drained excavation,
the water pressure acting on the inner shaft lining is zero and that acting on the
outer shaft lining is determined by the characteristic of the soil, such as k ¼ 1 for
sand soil and k ¼ 0:7 for cohesive soil. When sinking under the circumstance of
undrained excavation, the reduction coefficient k of the water pressure acting on the
outer shaft lining is 1 while the water pressure acting on the inner shaft lining
should be calculated according to the water head in the most unfavorable situation
during the construction period.
According to the value of q calculated above, the maximum bending moment M,
the axial pressure N and the shearing force Q of the shaft lining with the height
t above the cutting edge can be calculated with the method of frame analysis, and
the horizontal steel bars in the shaft lining can be designed.
(2) The segmentation of the shaft lining is determined by the change of the cross
section. And the calculation of the other sections of the shaft lining is deter-
mined by the control part located at the bottom of each segment with the unit
height. According to the load q ¼ W þ E acting on the frame, the maximum
bending moment M, the axial pressure N, and the shearing force Q of the
horizontal frame can be calculated with the method of frame analysis, and the
horizontal steel bars can be designed and arranged on the whole.
When sinking the open caisson with the sludge lubricating sleeve, the mud
pressure acting on the outer surface of the shaft lining is 100%cH, because the mud
pressure must be greater than the sum of the water pressure and the earth pressure
so that the sludge lubricating sleeve cannot be damaged.
When sinking the open caisson with the air curtain, the effect of the air pressure
on the shaft lining is not obvious, so the pressure acting on the outer surface of the
shaft lining is the same as that of the ordinary open caisson.
12.3.4 Check of the Cutting Edge of the Open Caisson
The open caisson can be considered as a cantilever or a horizontal frame, and the
bending strength of it should be checked in the vertical and horizontal directions.
1. When calculating the bending strength of the cutting edge in the vertical
direction, the number of vertical steel bars in two sides of the cutting edge can
be obtained by regarding it as a cantilever beam. The root of the cutting edge
can be considered to be fixed by the shaft lining, and the height of the cutting
edge is the length of the cantilever beam. The bending strength can be calculated
separately according to the following two unfavorable conditions.
(1) Outward deflection calculation of the cutting edge
During the sinking period, when the inside of the cutting edge has penetrated into
the soil about 1 m deep and the top surface of the open caisson is higher than the
water level, the maximum outward bending moment is happened on the horizontal
cross section of the foot of the cutting edge due to the lateral earth pressure, which
is the main basis for the design of the vertical steel bars on the inside of the cutting
edge, as is shown in Fig. 12.11.
Fig. 12.11 External forces acting on the cutting edge
a. Along the horizontal direction of the shaft lining, take a unit width to calculate
the earth pressure E and water pressure W acting on the outer surface of the
cutting edge.
b. Frictional resistance T1 acts on per unit width of the cutting edge, which is given
by the following equations. And take the smaller one.
T1 ¼ Etanu 0:5E
or
T1 ¼ fi A
where u is the external friction angle between soil and the outer surface of the
cutting edge, which is generally equal to 26.5° in the water, and tan 26:5 0:5; fi
is the specific frictional resistance between soil and the cutting edge; A is the area of
the unit width of the interface between the soil and the outer surface of the cutting
edge, which can be calculated with the following equation:
A¼1h¼h
where h is the height of the cutting edge.
c. The vertical reaction RV of soil acting on the unit width of the cutting edge can
be calculated according to the following equation:
R V ¼ G T1
Fig. 12.12 The vertical

reaction RV acting on the unit
width of the cutting edge
where G is the self-weight of the open caisson on the unit width along the outer
perimeter, which is equal to the total weight of the open caisson with the specific
height divided by the perimeter. Under the circumstance of undrained sinking, the
buoyancy of the submerged part should be deducted from the total weight as shown
in Fig. 12.12.
The action point of RV is shown in Fig. 12.13. Assuming that the angle between
the direction of the soil reaction acting on the slope of the cutting edge and the
normal of the slope is b, which is the external friction angle between the soil and
the slope of the cutting edge and generally equal to 30°. The soil reaction acting on
the slope of the cutting edge can be divided into horizontal force U and vertical
force V2 . And the vertical reaction acting on the tread of the cutting edge is V1 .
Assuming that V2 is triangular distribution, then the distance between the action
point of V1 and the outer surface of the cutting edge is a=2. And the distance
between the action point of V2 and the outer surface of the cutting edge is
ða þ bÞ=3. Therefore, the value of V1 , V2 , and the action point of the resultant force
RV can be solved.
d. Assuming that the horizontal reaction acting on the slope of the cutting edge
distributes as a triangle. The magnitude of the resultant force U can be calculated
with the following equation and its action point is 1=3 m away from the bottom
of the cutting edge:
U ¼ V2 tanða bÞ
where a is the angle between the slope of the cutting edge and the horizontal plane.
Fig. 12.13 The soil reaction

acting on the slope of the
cutting edge
e. The gravity G of the cutting edge per unit length can be calculated with the
following equation:
G ¼ cc hðt þ aÞ=2
where cc is the unit weight of the reinforced concrete and usually is 25 kN/m3 .
Under the circumstance of undrained sinking, the buoyancy should be deducted.
f. When the magnitudes, directions, and action points of the external forces acting
on the cutting edge have been obtained, the axial pressure N, the horizontal
shear force Q and the bending moment M acting on the cross section of the root
of the cutting edge can be calculated. And the number of vertical steel bars in the
inner side of the cutting edge can be calculated accordingly.
(2) Inward deflection calculation of the cutting edge
When the open caisson sank to the design elevation and the soil under the cutting
edge was emptied, the cutting edge is in the adverse situation of inward deflection,
as is shown in Fig. 12.14. And the number of vertical steel bars on the outer side of
the cutting edge can be calculated accordingly.
Fig. 12.14 The cutting edge

is in the adverse situation of
inward deflection
The external force acting on the cutting edge can be calculated by taking a unit
width along the perimeter of the open caisson. And the calculation steps are similar
to those of the above (1).
a. Calculate the earth pressure and water pressure acting on the outside of the
cutting edge. And the calculation steps about the earth pressure are similar to
those of the above (1). The water pressure can be calculated according to the
following conditions. Under the circumstance of undrained sinking, the outer
water pressure acting on the outside of the cutting edge is 100% cw hw and the
inner water pressure is 50% cw hw . In addition, it can also be calculated with the
head difference during the construction. Under the circumstance of drainage
sinking, the water pressure in the impermeable soil layer is 70% of the
hydrostatic pressure and in the permeable soil layer is 100% of the hydrostatic
pressure.
b. Because the soil under the cutting edge has been emptied, the vertical reaction
RV acting on the bottom of the cutting edge and the horizontal reaction U acting
on slope of the cutting edge are equal to zero.
c. The calculation methods of the frictional resistance T1 acting on the outside of
the shaft lining and the dead weight g of the cutting edge per unit length are the
same as those of the above (1).
d. According to the above calculation of all external forces, the axial pressure N,
the horizontal shear force V, and the bending moment M acting on the cutting
edge per unit length can be calculated. And the number of vertical steel bars in
the outer side of the cutting edge can be calculated accordingly.
2. Calculate the flexural strength in the horizontal direction of the cutting edge
according to the closed horizontal frame
Fig. 12.15 A horizontal

frame of the cutting edge of a
rectangular open caisson
The number of horizontal steel bars can be obtained according to the closed
horizontal frame. When the open caisson sank to the design elevation and the soil
under the cutting edge was emptied, the cutting edge will be subjected to the
maximum horizontal force. Figure 12.15 shows a horizontal frame of the cutting
edge per unit length along the vertical direction of the shaft lining. The calculation
method of the external force acting on the horizontal frame is the same as that of the
vertical flexural strength of the cutting edge.
The maximum bending moment M, axial force N, and shear force Q acting on
the rectangular open caisson can be approximately calculated as follows:
M ¼ qL21 =16
N ¼ qL2 =2
Q ¼ qL1 =2
where q is the horizontal uniform load acting on the frame; L1 is the maximum
calculated span between the outer wall support and the internal parting wall and L2
being the minimum.
According to M, N, and Q calculated above, the horizontal reinforcement in the
cutting edge can be calculated. In order to facilitate the construction, it is necessary
to set two horizontal steel bars inside and outside instead of bending the steel bars
according to the positive and negative bending moment.
The cutting edge is equivalent to a two-way slab with three fixed sides and one
free side. In order to simplify the calculation, it can be considered as a cantilever
beam with fixed root whose length is equal to the height of the cutting edge. In
addition, it can also be regarded as a closed horizontal frame. Therefore, the hor-
izontal force acting on the side of the cutting edge will be supported by the can-
tilever beam and frame together. In other words, part of the horizontal force is
supported by the cantilever beam, and the other is supported by the horizontal
frame. Supposing that the load distribution coefficients of the cantilever beam and
the horizontal frame are g1 and g2 , respectively. Then the formulas about g1 and g2
derived from the deformation relation are as follows:
0:1L21
g1 ¼ 1:0
h4 þ 0:05L41
4
h
g2 ¼ 4
h þ 0:05L42
The formulas above are only applicable for the following two conditions. The
first one is that when the tread of the cutting edge of the inner shaft lining is higher
than outer shaft lining but no more than 0.5 m. The second is that when the cutting
edge is strengthened by internal parting walls or bottom beams and the internal
parting walls or bottom beams are higher than the tread of the cutting edge but no
more than 0.5 m. Otherwise all the horizontal forces are borne by the cantilever
beam and g1 ¼1:0.
12.3.5 Calculation of the Bottom Concrete of the Open

Caisson
When the open caisson sinks to the designed elevation, the bottom concrete can be
carried out after the basement inspection and settlement observation meeting the
design requirements. Due to the reaction distribution of the bottom concrete is very
complicated, in order to simplify the calculation, it is generally regarded as the
supporting plate supporting on the slope of the cutting edge and the internal parting
walls. As for the calculated strength and the supporting conditions of each side,
such as simply supported or fixed should be determined by the specific circum-
stances in design.
1. Attentions in the calculation of the bottom concrete
(1) During pumping construction, the bottom concrete needs to bear the upward
reaction of the base water and soil. So the allowable stress should be reduced
because the age of concrete is not enough.
(2) When the well hole is filled with concrete, the bottom sealing concrete need to
bear the maximum base reaction in foundation design, and the gravity of the
filling material in the well hole should be taken into consideration.
(3) The thickness of the bottom sealing concrete is generally suggested to be not
less than 1.5 times the hole diameter of the round open caisson or the short
side length of the rectangular open caisson.
2. The dewatering seal and related calculation
(1) When the open caisson sinks to the designed elevation, if the cutting edge is in
the impermeable clay layer whose thickness satisfies the formula (12.5), the
dewatering seal can be adopted as follows:
Ac0 h þ cUh [ Acw Hw

where A is the bottom area of the open caisson (m2 ); c0 is the effective gravity of
soil, that is, floating weight (kN/m3 ); h is the thickness of impermeable clay layer
under the cutting edge (m); c is the cohesion of clay (kPa); U is the perimeter of the
inner shaft lining at the bottom of the cutting edge (m); cw is the unit weight of
water (kN/m3 ); Hw is the water head of the permeable sand layer (m).
If the thickness of the impermeable clay layer does not meet the formula (12.5), it
may be broken by the groundwater pressure in the lower water-bearing sandy layer,
then the dewatering seal cannot be adopted.
(2) If there is a small amount of water and sand gushing at the bottom of the well,
or dewatering in the open caisson with a suction drum and a good filter layer
until the reinforced concrete bay can bear the water and earth pressure after the
groundwater level rises, then the dewatering pipes can be removed and sealed.
In these cases, the dewatering seal can be adopted.
3. Calculation about the underwater bottom concrete
When the hydrogeological conditions are extremely unfavorable, the underwater

bottom concrete should be adopted, which is also known as wet bottom sealing. For
example, if the open caisson engineering is located in the middle of the river or by
the river, the undrained settlement is often adopted in the process of subsidence. If
the strata are extremely unstable, in order to prevent the quick sand, mudrush,
sudden sinking, excessive subsidence, and tilt, the water injection is needed when
sinking the open caisson. As mentioned above, sometimes even if the cutting edge
stops on the impermeable clay layer, but the thickness of the clay layer is not
enough to resist the groundwater pressure. In other words, the damage caused by
the groundwater pressure in the water-bearing sand layer will cause serious acci-
dents in the open caisson construction, so the underwater sealing construction
technology should be adopted.
The thickness of underwater bottom concrete is mainly determined by the
anti-floating and strength of the open caisson.
(1) Calculate according to the anti-floating conditions.
When the bottom concrete and drainage are finished, whether the open caisson will
rise under the influence of the largest buoyancy of water, its stability is determined
by the anti-buoyancy coefficient. In addition, the thickness of the minimum bottom
Fig. 12.16 A schematic

diagram of shear calculation
of the underwater bottom
concrete
concrete should meet the anti-floating coefficient. The water weight in the open
caisson cannot be counted again because it has been drained.
(2) Calculate according to the strength of the bottom concrete.
Drain the water when the bottom concrete is finished. Before the reinforced con-
crete bay is finished, the bottom concrete may be subjected to the maximum water
pressure, which is the difference between the largest buoyancy of water and the
dead weight of the bottom concrete. The bottom concrete, as a plain concrete slab,
should resist the bending stress produced by the water buoyancy and the shear
stress along the slope of the cutting edge as shown in Fig. 12.16.
12.3.6 Calculation of the Bottom Plate of the Open Caisson

1. The calculation about the load on the bottom plate of the open caisson
The uniform reaction acting on the bottom plate of the open caisson is equal to the
maximum dead weight divided by the outer bottom area. When calculating the
uniform reaction, the frictional resistance acting on the shaft lining is generally not
considered.
The water pressure is usually borne by the reinforced concrete bay because of
the seepage caused by the cracks in the bottom concrete. The calculated water head
should be calculated from the highest groundwater level outside the open caisson to
the bottom of the reinforced concrete plate, and the dead weight of the bottom plate
should be deducted.
The internal force of the structure is calculated by taking the larger force
between the soil reaction and water pressure acting on the reinforced concrete plate.
2. The internal force calculation of the bottom plate
The internal force of the reinforced concrete floor can be calculated on a single or
multi-span basis. The boundary condition of the bottom plate should be determined
by the specific conditions of the reserved groove and the horizontal dowel-bar
reinforcement on the shaft lining and the bottom beam. If there is a firm connection
around the bottom plate, it can be regarded as a fixed support; otherwise, it can be
regarded as a simple support. For rectangular or circular open caissons, the internal
force of the bottom floor can be calculated according to the relevant “A Handbook
of Building Structural Statics”.
12.3.7 Check of the Anti-floating Stability of the Open

Caisson
The anti-floating stability of open caisson is determined by the highest groundwater

level in different periods. When the open caisson sinks to the design elevation and
the bottom concrete is cast or during the using period, the check of the anti-floating
stability should be carried out. Generally, the open caisson maintains the
anti-floating stability with its dead weight. In the case of ignoring the frictional
resistance of the shaft lining, the check formula of anti-floating stability is as
follows:
Gs
Kf ¼ 1:05
F2
where Kf is the anti-floating safety factor and F2 is the maximum buoyancy at

different construction stages (kN).
12.4 Caisson Structures
The well cases or cabinets with round, round-ended or rectangular cross sections are
called open caissons or caissons, which sink to the design elevation with the soil
being excavated. So the former are also called open caissons and the latter closed
caissons. The closed caisson is usually called pneumatic caisson because of the
construction method of pneumatic drainage during the sinking period. What is
introduced in this section is the pneumatic caisson structure. It is well known that
when the cup-shaped container being pushed into the water with its mouth
downward, the air in the container is compressed as the container sinks. And the
greater the depth is, the higher the pressure in the container is. At the beginning of
the sixteenth century, in Italy, the diving bell was made for an underwater work at
the bottom of the lake by using the principle mentioned above. And the caisson was
developed from the diving bell. In 1841, in order to overcome the sinking difficulty
of the tubular open caisson in mining engineering, a French engineer called
M. Triger turned one section of the open caisson into an air brake and finally the
12.4 Caisson Structures 517
Fig. 12.17 Operational principle of pneumatic caisson
open caisson turned into a caisson. In addition, he put forward the scheme of
underwater foundation construction with tubular caisson, which marks the birth of
pneumatic caisson construction technology. In 1851, Lutt built a bridge on Medway
River in Rochester, UK and sank a caisson with a depth of 18.6 meters for the first
time. In 1859, a French man called Fleur-Saint Denis built a bridge on Rhine and
sank a rectangular caisson whose bottom was the same as the base. Since then,
caisson structures have been widely used.
As is shown in Fig. 12.17, when the cup is pushed into the water vertically with
its mouth downward, the air in the cup is compressed. In order to prevent water
from entering the cup, proper compressed air can be pumped into from the top of
the cup. The principle mentioned above is applied to the pneumatic caisson method.
In other words, in order to prevent water from entering the workspace, proper
compressed air will be pumped into to form a highly airtight reinforced concrete
workspace, which allows workers to excavate in the waterless environment. Fig-
uratively speaking, the hollow part of the cup is equivalent to the highly airtight
reinforced concrete workspace while the cup mouth is equivalent to the cutting
edge. When the cutting edge is under the groundwater level, the surrounding
groundwater will flow into the pneumatic caisson. In order to prevent this from
happening, the compressed air should be injected into the caisson through the
automatic adjustable air pressure device to ensure that the air pressure at the bottom
of the cutting edge is equal to the groundwater pressure. The air pressure that is
equal to the groundwater pressure at the bottom of the cutting edge is called
theoretical air pressure while the actual air pressure in the workspace is called
working air pressure. In principle, the working air pressure in the workspace should
be equal to the theoretical air pressure.
The modern pneumatic caisson method is to set up a highly airtight reinforced
concrete workspace in the lower part of the caisson so that the workers can dig and
drain the soil in the waterless environment. The caisson sinks to the specified depth
under the effect of the dead weight and external loads.
The modern pneumatic caisson method has been widely used in Japan and the
United States. Advantages are as follows.
(1) The side wall of the pneumatic caisson can be used as a retaining structure.
Compared with the open cut method combined with underground diaphragm
wall, the land for temporary facilities is reduced, and the narrow construction
space can be fully utilized.
(2) Because the air pressure at the bottom of the cutting edge is equal to the
groundwater pressure, the settlement of ground, sand-blasting and piping
phenomena can be avoided or controlled. Due to the influence of the com-
pressed air, the groundwater level almost does not change, and other auxiliary
construction methods such as foundation improvement are not needed.
(3) Modern pneumatic caisson technology can realize unmanned mechanization
of digging and dumping soil in the waterless workspace through the remote
control system. Sludge and other industrial wastes will not be produced, and
the discharged soil can also be treated as ordinary soil.
(4) The caisson is built on the ground surface so that the strength and shape can
meet the requirements. Therefore, the high-quality construction can be guar-
anteed. The sinking situation of the caisson can be observed at any time during
the construction period. Therefore, sinking precision can be guaranteed. In
addition, the soil excavation and structure construction of the caisson can be
carried out at the same time. Therefore, the construction efficiency can be
improved and the construction period can be shortened.
The structural design of the caisson foundation mainly includes the following
three aspects.
(1) The structural dimension of the caisson is determined by loads acting on the
main structure so that the safety and stability can be ensured.
(2) The caisson structure is usually a permanent structure after it is built. There-
fore, in order to ensure the safety during the construction period or for the
future service, the section size of each component of the caisson structure is
calculated.
(3) The main structure of the caisson is constructed on the ground surface, then
sinks to the design elevation. Therefore, the method of sinking to the design
elevation should be considered, and the settlement relation of the caisson
structure should be calculated.
(4) In addition, the component strength should be checked because all kinds of
pressure will change during the sinking process. Due to the limited space, this
section mainly explains the main structural design of the caisson and some
matters needing attention in design. Other details, such as the problem about
the overall structure and the calculation of subsidence relations, can refer to
the relevant books or materials.
Fig. 12.18 Composition of the main body of the caisson
12.4.1 Main Structures of the Caisson
Pneumatic caisson structure generally consists of the side walls, partition walls,
roof, cutting edge, hanging trusses, roof of the workspace, internal filling concrete,
parapet, watertight wall, and so on, as is shown in Fig. 12.18. The characteristics of
each member of the caisson structure are summarized in Table 12.2.
12.4.2 Design Condition and Method for the Caisson

Structure
Generally, the overall dimension and the size of each component should be sup-
posed according to the design conditions in the structural design of pneumatic
caissons. And then the stability, strength of structural members and sinking relation
should be calculated. When the supposed overall dimension cannot meet the design
requirements, it is necessary to change the corresponding size and calculate again.
The structural calculation of the caisson is almost similar to that of the open caisson
Table 12.2 Characteristics of each member of caisson structure

Component Characteristic
name
Sidewall Walls that forming an enclosed space
Partition wall Walls that dividing the interior space and mainly applied to large caissons
Roof A plate structure that bearing the load coming from the upper part and
passing it to side walls and partition walls
Cutting edge A wedge structure that forming the edges of the work space and
penetrating into the soil easily
Hanging trusses A grid-like truss structure that at the bottom of the partition walls and
reinforcing the roof of the workspace and forming a whole with the side
walls to enhance the overall stiffness of the caisson
Roof of the A plate structure that forming a whole with the cutting edge to ensure the
workspace airtightness of the workspace
Internal-filled The plain concrete that filled in the workspace to ensure the load acting on
concrete the foundation be transmitted to the subsoil
Parapet A kind of retaining wall that built for constructing the roof
Watertight wall A temporary retaining wall that preventing soil, sand and underground
water from flowing into the caisson during the sinking period and will be
dismantled after the roof is built
mentioned above. In addition, in order to improve the rational and rapid design of
pneumatic caissons, all kinds of data needed should be collected before the design.
All kinds of data needed in the design are usually obtained in the investigation
stage. If the investigation is not sufficient or the data are wrong, it will have a great
influence on the project time and the cost of the construction. So the design con-
dition must be carefully determined. If the investigation data is not enough, the
extra investigation should be carried out and all kinds of information about similar
foundations and adjacent projects should be collected. The design conditions and
necessary information about the caisson structure are summarized in Table 12.3.
12.4.3 Attentions for the Caisson Structure Design
There are many factors that must be considered when designing the caisson
structure. Usually, comprehensive judgment should be carried out in combination
with practical engineering. Attentions about some design items are introduced as
follows in detail.
1. Attentions in the determination of the subsoil parameters
Some of the design parameters of the subsoil can be used directly, such as the
natural unit weight c of the subsoil and the internal friction angle u. But others need
to be transformed firstly. For example, the deformation coefficient need to be
Table 12.3 Design conditions and necessary information about the caisson structure
Design Items Content Main data
conditions
Body Purpose Bridge abutment and pier General bridge diagram
Shape Round, round-ended, General body diagram
rectangular
Plane Minimum plane dimension –
dimension of the caisson
Caisson Shape Round, round-ended, –
rectangular
Plane Maximum plane dimension –
dimension of the caisson
Load Inspection Normal time, earthquake –
status time (seismic coefficient
method), temperature
change, storm wind,
earthquake time (maximum
horizontal bearing capacity
method)
Imposed load Vertical load, horizontal Calculation for the design
load, bending moment of the body
Design Lateral seismic factor –
seismic factor
Heaped load Partial earth pressure, the Surrounding terrain,
weight of the earth-fill ground level
acting on the foundation
Subsoil Liquefaction Earthquake resistance of Laboratory soil test
foundation, decline rate of (physical test)
foundation parameters
Fluidization Flow domain, flow force Laboratory soil test
(physical test)
Stratigraphic Number of subsoil layers, Standard penetration test,
texture stratum thickness, bearing soil histogram
stratum position
Soil property The value of N, Standard penetration test,
circumferential friction soil histogram
force and bearing capacity
Strength Unit weight, cohesion, Laboratory soil test
characteristics friction angle, uniaxial (physical test)
compressive strength
Deformation Deformation coefficient, Field test (load test)
characteristics coefficient of subgrade
reaction
Compaction Negative circumferential Laboratory soil test
characteristics frictional resistance (mechanical test)
Pore water Working air pressure Pore water pressure test
pressure
(continued)

Design Items Content Main data
conditions
Terrain Water level Normal time, earthquake Fluctuation of water level,
time, construction period groundwater level
measurement
Design Normal time, earthquake Planned river bed,
ground time, construction period, groundwater table
position of the cutting edge
Surrounding Partial earth pressure, the Surrounding topography
topography weight of the earth-fill
acting on the foundation
Tilt Tilt angle of the ground –
surface
Construction Site area Maximum plane dimension Construction site
period of the caisson
Site Foundation strength –
foundation
Work space Segmental length of Overhead restrictive
construction, sinking conditions
method
Adjacent Sinking method, maximum The influence range of
construction plane size of caisson surface subsidence
Promote The load for sinking, the The method of promoting
subsidence method for reducing the sinking, construction
circumferential frictional practice
resistance
Building Concrete Strength grade, design Building materials
material value of strength
Steel bar Grade, design value of –
strength, limit condition of
reinforcement
Steel Yield stress, design value of –
strength and pre-stress
value
Hollow filling Water, soil, and sand –
Natural River facies Flow velocity, wave height, –
environment water head, depth of water
Sea facies Wave height, the difference –
between drought and flood
Others Bridge type Permissible displacement Statically
determinate/indeterminate
structure
Planned river Normal ground surface, River bed management
bed scour depth facilities and other
structural requirements
converted into the coefficient of subgrade reaction, whose derivation process and
applicable conditions should be clear.
According to the relevant design codes in Japan, the standard penetration test
value N63:5 is the foundation parameter that can be used only after conversion.
Standard penetration test is easy to carry out and widely used. And N63:5 can be
converted into various foundation parameters for design. However, the standard
penetration test also has its application scope. Otherwise, the value N63:5 is not
reliable. In order to evaluate the foundation conditions correctly, other relevant tests
should be carried out and the test results should be comprehensively analyzed.
2. Attentions in choosing the bearing stratum and burial depth
Compared with the subgrade reaction around the foundation, the subgrade reaction
acting on the foundation of the caisson structure should be paid more attention.
Therefore, the caisson should be located on a good bearing stratum. According to
the relevant design codes in Japan, the selection and judgment of the bearing
stratum can refer to the following indices.
(1) For cohesive soil layer, N63:5 should be greater than 20 and the uniaxial
compressive strength should be greater than 0.4 MPa.
(2) For sand soil layer and sandy gravel soil layer, N63:5 should be greater than 30.
(3) Generally, the bearing capacity of the rock foundation is enough. But for
heterogeneous batholith, the bearing capacity should be judged and analyzed
comprehensively.
In addition, the limit depth for the caisson foundation penetrating into the
bearing stratum should be comprehensively judged from the view of the safety and
cost. And the penetration depth is related to the inclination of the bearing stratum
and the depth of the upper surface of the bearing stratum. Generally, the penetration
depth of the caisson foundation is between 1 and 2 m. But if the bearing stratum is
inclined, the penetration depth should be larger. Sometimes, the burial depth of the
good bearing stratum is very large, and there is an intermediate soil stratum whose
N63:5 is smaller than the standard above the bearing stratum. Therefore, the inter-
mediate soil stratum can be used as the bearing stratum of the caisson foundation. In
this case, the reduction degree of the allowable bearing capacity of the intermediate
soil stratum should be checked. If there is a soft cohesive soil layer under the
foundation, the foundation may continue to sink after completion, and then the
stress under the foundation can be transferred to the soft cohesive soil layer, which
should be checked and meet the stability requirements of the foundation according
to the consolidation and settlement theory.
In the final stage of construction, the theoretical air pressure in the workspace is
likely to be more than 0.4 MPa when the burial depth of the good bearing stratum is
very large. Therefore, the auxiliary methods, such as lowering the groundwater
level or improving the foundation, can be used to reduce the theoretical air pressure
in the workspace. Of course, the construction method of pneumatic caisson can also
be adopted. In a word, what kind of auxiliary methods should be taken is also
related to other factors such as the economy.
3. Attentions in determining the dimensions
(1) Plane shape
The common plane shape of the caisson foundation is round, round-ended, and
rectangular. At present, the influence of the plane shape of the upper structure on
the choice of that of the caisson foundation is no longer the main factor. Therefore,
the plane shape of the caisson structure is usually determined by the difficulty of the
building. And the rectangular structure is adopted in most cases.
The following points should be paid attention to when determining the plane
shape of the caisson foundation.
a. The effective width of the round or round-ended foundation should be converted

before the conversion of the coefficient of subgrade reaction or the check of the
stability of the foundation. If the effective width is smaller than the circular
diameter, the subgrade reaction will be smaller than that of the rectangular
caisson with the same width.
b. The perimeter and skin friction of the round or round-ended foundation is
smaller than that of the rectangular foundation with the same cross-sectional
area.
(2) Plane size
The plane dimension of the caisson foundation is determined by the size of the
bridge pier on the caisson foundation, the distance between the pier and the water
retaining wall, the safety of the foundation, the restrictions of the construction site,
the construction conditions and so on. An example of the bridge foundation is as
follows.
When the foundation of the caisson is round-ended and its size is the same, the
circular template can be reused, so the construction cost can be saved. When the
size along the axis of the bridge is same, the traffic capacity and visual effect will be
better.
The caisson foundation of each pier can be designed independently. But it is
better to choose 0.5 m as a unit when selecting plane dimensions. As is shown in
Fig. 12.19, the minimum plane dimension of the caisson foundation is determined
by the size of the internal air brake risers. In addition, the operating space should
not be less than 2.2 m. Generally, the minimum plane dimension of the caisson
structure is 4 m.
The ratio of the long side to the short side of caisson foundation is generally
controlled under 3. Otherwise, the flat caisson will be inclined easily and difficult to
construct during the sinking process.
Fig. 12.19 The relationship

between the internal
dimension of the caisson and
risers (unit: mm). Note U is
the external diameter
(3) Number and location of partition walls
The number and location of partition walls are determined by the riser extension
construction, caisson construction, mining efficiency, various construction condi-
tions, design conditions, and so on. With the increase of the plane dimension, the
horizontal cross-sectional stress of the lateral wall is also increasing. The effect of
the partition walls is to reduce the stress of the local cross section. In addition, when
there is a large vertical stress in the foundation of the caisson, the partition walls and
the side walls can become an effective structural member to bear the load. At the
same time, the partition walls can also increase the flexible rigidity of the
foundation.
The following points should be paid attention to in the configuration of partition
walls:
a. In order to minimize the cross-sectional stress of the caisson structure, the

partition walls should be symmetric. For the round-ended caisson, the partition
walls can only be placed in the linear part.
b. When checking the seismic resistance of the caisson with the same dimension,
the greater the weight of the caisson, the higher the stability of the caisson.
Sometimes, the stability of the caisson and the strength of the structural mem-
bers can be met by adding partition walls.
c. The fewer the partition walls are, the more convenient the construction is.
d. In order to shorten the construction period and improve the mining efficiency,
the number of air brake risers can be determined by the mining efficiency, and
then the number and location of partition walls can be determined by the
configuration of air brake risers.
e. The distance between partition walls is different for caissons with different plane
dimensions, which is generally between 6 and 8 m.
(4) Number of airlocks
The airlock is a special equipment in the pneumatic caisson. The number of airlocks
is determined by the mining area, sinking depth, mining equipment, and other
factors, which directly affects the mining efficiency, construction cost and con-
struction period of the pneumatic caisson. The relationship between the mining area
and the number of airlocks is summarized in Table 12.4.
In addition, if the ratio of the long side to the short side of the caisson and the
distance between airlock risers is big enough, the installation efficiency of the soil
drainage devices in the lower workroom will be reduced even if the bottom of the
mining area is the same. In this case, the construction period can be shortened by
increasing the number of airlocks. The airlocks for special personnel must be set up
during the construction of the pneumatic caisson in principle unless its structural
layout cannot meet requirements. For example, the flat area of the caisson structure
is too small.
(5) Attentions in choosing the member size
The components of the main structure of the caisson are interrelated and should be
considered in principle in accordance with the three-dimensional structure. Actu-
ally, each component is often simplified from the main structure and seen as a
two-dimensional structure such as beam or plate. The design of adjacent compo-
nents should be round and smooth as far as possible. The components’ sizes of the
pneumatic caisson refer to the standards summarized in Table 12.5.
Table 12.4 The relationship between the mining area of the caisson and the number of airlocks
Mining area A (m2 ) Building materials chamber Personnel chamber Sum
A < 40 1(Standard chamber) 1 2
40 A 100 1(Standard chamber) 1 2
300 A 450 2(Large chamber) 2 4
Table 12.5 Standard components’ sizes of the pneumatic caisson (unit: m)

Component Minimum Maximum Amplitude Standard of size design
name value value of variation
Parapet 0.3 0.8 0.1 Determining according to the
thickness relationship between the
parapet thickness and the roof
thickness
Roof 1.5 5.0 0.5 The roof thickness is generally
thickness between 2.5 and 4.5 m, which
is determined by the
component design
Bracket 0.5 2.0 0.5 The bracket height is generally
height between 1.0 and 1.5 m, which
(vertical is determined by the
part) component design
Bracket 1.0 2.0 0.5 Determining according to the
height bracket height in the vertical
(sloping direction
part)
Bracket 1.0 2.5 0.1 About 0.5 m larger than that of
thickness the partition walls
Lateral wall 0.7 2.0 0.1 The thickness of the lateral wall
thickness is about 10% of the length of
the short side, which is
determined by the component
design
Partition 0.5 1.5 0.1 About 0.2 m smaller than that
wall of the partition walls
thickness
Hanging 2.5 4.0 0.5 Coordinating with the height of
truss height the concrete wall in the same
position as the partition wall
Hanging 0.7 1.5 0.1 Being equal to that of the
truss lateral wall and about 0.2–
thickness 0.3 m larger than that of the
partition wall
Roof 0.8 1.5 0.1 Being equal to or slightly
thickness of thicker than that of the lateral
the wall
workspace
Shaft 1.2 1.2 – Being the same size as the
aperture cylinder
Height of the 1.8 2.3 – The height of the workspace is
workspace mainly 2.0 or 2.3 m and not
less than 1.8 m
Thickness of 0.9 1.6 0.1 The thickness of the root of the
the root of cutting edge is generally the
same as that of the lateral wall
(continued)

Component Minimum Maximum Amplitude Standard of size design
name value value of variation
the cutting and the impulse force and the
edge local stress should be
considered during the sinking
period
Width of the 0.0 0.1 0.05 The width of the frictional
frictional incision is generally 0.05–
incision 0.10 m. But smaller value is
adopted under the condition of
strict control of the surrounding
ground subsidence and so on
12.5 Example of the Caisson Structure Design

1. Design conditions
(1) General situation of the engineering and geological data
A rectangular open caisson structure is used for the inlet well of a rainfall pumping
station. The dimension of the open caisson structure is 6500 mm 6700 mm,
whose top elevation is 4:800 m and floor elevation is 10:300 m. A schematic
diagram of the open caisson section is shown in Fig. 12.20 and the stratigraphic
conditions are summarized in Table 12.6. The ground elevation is 4:300 m, and the
groundwater level is 0:5 m below the surface.
(a) Section view (b) Plan view
Fig. 12.20 A schematic diagram of the open caisson (unit: mm)

12.5 Example of the Caisson Structure Design 529
Table 12.6 Stratigraphic conditions of the open caisson

Number Soil Top Bottom Natural unit Cohesion Inner
types elevation elevation weight (kPa) friction
(m) (m) (kN=m3 ) angle (°)
1 Plain +4.30 +1.26 18.5 18.0 15.0
fill
2 Silty +1.26 −2.48 19.0 11.0 5.0
clay
3 Silt −2.48 −9.54 19.2 16.4 21.2
4 Clay −9.54 −22.5 19.0 65.0 16.7
5 Silty −22.5 −25.4 19.4 5.0 24.0
sand
6 Clay −25.4 −32.9 19.8 72.0 18.4
(2) Materials of the open caisson
C30 concrete, fc ¼ 14:3 N=mm2 ; ft ¼ 1:43 N=mm2 .

Hot-rolled steel bar HRB400, d 10 mm; fy ¼ 360 N/mm2 .
2. Calculation of the earth pressure and water pressure
The earth pressure and water pressure acting on the shaft lining under the cir-
cumstance of drained sinking are calculated according to Specification for Rein-
forced Concrete Open Caisson Structure of Water Supply and Drainage
Engineering (CECS 137-2015).
h ¼ 0 m; PW þ E ¼ 0
h ¼ 0:5 m; PW þ E ¼ 3 0:5 ¼ 1:5 kN/m2
h ¼ 5 m; PW þ E ¼ 3 5 þ 10 ð5 0:5Þ ¼ 60 kN=m
h ¼ 9:8 m; PW þ E ¼ 3 9:8 þ 10 ð9:8 0:5Þ ¼ 122:4 kN=m2
h ¼ 14:6 m; PW þ E ¼ 3 14:6 þ 10 ð14:6 0:5Þ ¼ 184:8 kN=m2
h ¼ 15 m; PW þ E ¼ 3 15 þ 10 ð15 0:5Þ ¼ 190 kN=m2
h ¼ 15:9 m; PW þ E ¼ 3 15:9 þ 10ð15:9 0:5Þ ¼ 201:7 kN=m2
h ¼ 16:5 m; PW þ E ¼ 3 16:5 þ 10 ð16:5 0:5Þ ¼ 209:5 kN=m2
The diagram of water pressure and active earth pressure are shown in Fig. 12.21.
3. Subsidence calculation
(1) Self-weight of the open caisson
The unit weight of the reinforced concrete shaft lining is 25 kN/m3 and the
self-weight of the open caisson can be calculated as follows:
Gs ¼ ð7:7 7:9 17 6:5 6:7 17Þ 25 ¼ 7344 kN

Fig. 12.21 The diagram of

water pressure and active
earth pressure
(2) Frictional resistance
The distribution of frictional resistance acting on the shaft lining is shown in

Fig. 12.22. According to Specification for Reinforced Concrete Open Caisson
Structure of Water Supply and Drainage Engineering (CECS 137-2015), the unit
frictional resistance f of the plastic clay and soft plastic clay is between 12 kN/m2
and 25 kN=m2 .f ¼ 15 kN=m2 is taken.
1
hk ¼ 5 þ 11:5 ¼ 14 m
2
The total frictional resistance on the shaft lining is
FR ¼ Uhk f ¼ ð7:7 þ 7:9Þ 2 14 15 ¼ 6225 kN
The subsidence coefficient is
K ¼ Gs =FR ¼ 7344=6552 ¼ 1:12 1:05
which meets the requirement.

Fig. 12.22 The distribution

of frictional resistance acting
on the shaft lining
4. Vertical calculation of the open caisson
(1) Vertical calculation of the shaft lining when moving the sole timber
At the beginning of the sinking period of the open caisson, or especially when
moving the sole timber, large bending stress will produce on the shaft lining. Four
supporting points are used in the open caisson, and the position of the supporting
points is shown in Fig. 12.23.
(a) As is shown in Fig. 12.24a, assume that the spacing of the sole timbers is 0:7l,
and the bearing capacity of the backfilled sand under the cutting edge does not
need to be considered. The standard value of the unit width self-weight of the
shaft lining is
gk ¼ ð17 0:6 0:6 0:3=2 0:4 0:2Þ 25 ¼ 250:75 kN=m
The design value of the unit width self-weight of the shaft lining is
gs ¼ 1:2 250:75 ¼ 300:9 kN=m

Fig. 12.23 Position of the supporting points (unit: mm)
Fig. 12.24 The difference of the bending moment of the shaft lining
The bending moment of the support is
1 1
Ms ¼ 300:9 ð7:7 0:15Þ2 6:7 300:9 ð7:7 0:15 0:3Þ
2 2
¼ 1062:56kN m
The mid-span moment is
1
Mm ¼ 300:9 ð7:7 0:7Þ2 1062:56 ¼ 30:16 kN m
8
(b) When the sole timber was removed and the filling soil was compacted to be a
supporting point, there are three supporting points under the shaft lining and
the bending moment diagram is shown in Fig. 12.24b.
The bending moment of the support is
1
Ms ¼ 300:9 3:852 ¼ 557:51 kN m
8
The mid-span moment is
Mm ¼ 0:07 300:9 3:852 ¼ 312:21 kN m
(c) Reinforcement calculation
When l=h 2, it is a deep beam according to Design Code for Concrete Structure
(GB50010-2010).
Because l\h, the resisting moment arm is
z1 ¼ 0:6 l ¼ 0:6 7:7 ¼ 4:62 m
At the bottom of the cutting edge, the mid-span moment is
Mt ¼ 312:21 kN m
The area of reinforcement is
Mm 312:21 103
As ¼ ¼ ¼ 187:71 mm2
f y z1 360 4:62
At the top of the shaft lining, the mid-span moment is
Ms ¼ 1062:56 kN m
The area of reinforcement is
Ms 1062:56 103
As ¼ ¼ ¼ 638:86 mm2
f y z1 360 4:62
The calculated value of the area of reinforcement is very small, so the detailing
reinforcement can meet the requirements.
(2) The tensile strength calculation of the shaft lining
According to Specification for Reinforced Concrete Open Caisson Structure of

Water Supply and Drainage Engineering (CECS 137-2015), the vertical tensile
strength calculation of the shaft lining is not needed because the subsoil is homoge-
neous soft clay.
5. Calculation of the edge cutting
(1) When the cutting edge bends inward, the area of the vertical steel bars at the
outside of cutting edge should be calculated.
Figure 12.25 illustrates that when the open caisson is constructed by drainage
method, the open caisson is located at the design elevation and the soil at the
bottom of the cutting edge has been emptied.
a. External force calculation
The horizontal lateral earth pressure and water pressure acting on the shaft lining
are shown in Fig. 12.21.
b. Internal force calculation and reinforcement
➀ Calculation of the bending moment and reinforcement of the

cross-section C-C.
The self-weight of the cutting edge and the frictional resistance acting on the
shaft lining are ignored. The bending moment is
1 1 2
M¼ 1:27 201:7 0:62 þ 1:27 ð209:5 201:7Þ 0:62
2 2 3
¼ 47:30 kN m
The concrete cover depth c is 45 mm. The calculation of the area of the vertical
steel bars is as follows:
M ¼ 47:30 kN m; h0 ¼ 600 45 ¼ 555 mm; b ¼ 1000 mm

M 47:30 106
as ¼ 2
¼ ¼ 0:01074
a1 fc bh0 1:0 14:3 1000 555 555
n ¼ 1 1 2as ¼ 0:01080\nb ¼ 0:518

diagram when the cutting
edge bending inward (unit:
mm)
which avoids the over-reinforced condition.
a1 fc bh0 n 1:0 14:3 1000 555 0:01080

As ¼ ¼ ¼ 238:10 mm2
fy 360
As ¼ 239 mm2 \As;min ¼ 0:2% 600 1000 ¼ 1200 mm2
Therefore, reinforce according to detailing requirements. The area of the vertical

steel bars is
As ¼ 1200 mm2
choose 8 14@125.
② Calculation of the bending moment and reinforcement of the

cross-section D-D. The bending moment is
1 1 2
MD ¼ 1:27 190 1:52 þ 1:27 ð209:5 190Þ 1:52
2 2 3
¼ 290:04 kN m
The calculation of the area of the vertical steel bars is as follows:
M ¼ 290:04kN m; h0 ¼ 400 45 ¼ 355 mm; b ¼ 1000 mm

M 290:04 106
as ¼ 2
¼ ¼ 0:1609
a1 fc bh0 1:0 14:3 1000 355 355
n ¼ 1 1 2as ¼ 0:1765 \ nb ¼ 0:518;
a1 fc bh0 n 1:0 14:3 1000 355 0:1765

As ¼ ¼ ¼ 2488:90 mm2
fy 360
As ¼ 2489 mm2 [ As;min ¼ 0:2% 400 1000 ¼ 800 mm2
choose 8 22@125. .
(2) When the cutting edge bends outward, the area of the vertical steel bars at the
inside of cutting edge should be calculated.
Figure 12.26 illustrates that when the burial depth of the open caisson is 60 cm,
the area of the vertical steel bars at the inside of cutting edge should be checked.
b ¼ u ¼ 30
a ¼ 60 cm; h ¼ b ¼ 30 cm; c ¼ 30 cm,
a ¼ arctanða=bÞ ¼ arctan ð600=300Þ ¼ 63

diagram when the cutting
edge bending outward (unit:
mm)
a. Calculation of the horizontal force U
The design value of the unit width self-weight of the shaft lining is
gs ¼ 300:9 kN=m
The soil reaction is
Rv ¼ gs ¼ V1 þ V2 ¼ 300:9 kN m
From Fig. 12.26, we can obtain that
1 2Rv
r b; r ¼
Rv ¼ r c þ
2 b þ 2c
1 1 2 300:9 0:3
V2 ¼ 2 r b ¼ 2 ¼ 100:3 kN=m
0:3 þ 2 0:3
U ¼ V2 tan(abÞ ¼ 100:3 tanð63 30 Þ ¼ 65:13 kN=m

b. Internal force calculation and reinforcement
① Calculation of the bending moment and reinforcement of the cross-section C-C.

The self-weight of the cutting edge and the frictional resistance acting on the
shaft lining are ignored. The bending moment is
2
Mc ¼ 0:6 65:13 ¼ 26:05 kN=m
3
The concrete cover depth c is 45 mm. The calculation of the area of the vertical
steel bars is as follows:
M ¼ 26:05 kN m; h0 ¼ 600 45 ¼ 555 mm; b ¼ 1000 mm

M 26:05 106
as ¼ 2
¼ ¼ 0:00591
a1 fc bh0 1:0 14:3 1000 555 555
n ¼ 1 1 2as ¼ 0:00593\nb ¼ 0:518
a1 fc bh0 n 1:0 14:3 1000 355 0:00593

As ¼ ¼ ¼ 130:79 mm2
fy 360
As ¼ 131mm2 \As;min ¼ 0:2% 600 1000 ¼ 1200 mm2

steel bars is
As ¼ 1200mm2
choose 8 14@125. .
② Calculation of the bending moment and reinforcement of the cross-section D-D.

The bending moment is

2 2
MD ¼ a þ 0:9 U ¼ 0:6 þ 0:9 65:13 ¼ 84:67 kN m
3 3
The calculation of the area of the vertical steel bars is as follows:
M ¼ 84:67 kN m; h0 ¼ 400 45 ¼ 355 mm; b ¼ 1000 mm

M 84:67 106
as ¼ ¼ ¼ 0:0470
a1 fc bh20 1:0 14:3 1000 355 355
n ¼ 1 1 2as ¼ 0:0481\nb ¼ 0:518;
a1 fc bh0 n 1:0 14:3 1000 355 0:0481

As ¼ ¼ ¼ 678:85 mm2
fy 360
As ¼ 679 mm2 \As;min ¼ 0:2% 400 1000 ¼ 800 mm2

steel bars is
As ¼ 800 mm2
choose 6 14@160.
6. Internal force calculation and reinforcement of the horizontal shaft lining frame
with the moment distribution method before the bottom sealing.
(1) Frame distribution coefficient
When calculating the frame distribution coefficient, the unit stiffness i is relative to
the clear span of the beam. However, when the material of each beam is the same
and the height h of each cross section is equal, the unit stiffness i can be calculated
in relative terms.
i ¼ 730 710=l
SBA0 ¼ 730 710=365 ¼ 1420; SBC ¼ SCB 4iBC ¼ 4 730 710=710 ¼ 2920
SCD0 ¼ iCD0 ¼ 730 710=365 ¼ 1420
The distribution coefficients are
uBA0 ¼ 1420=ð1420 þ 2920Þ ¼ 0:327; uBC ¼ 2920=ð1420 þ 2920Þ ¼ 0:673

uCB ¼ 2920=ð1420 þ 2920Þ ¼ 0:673; uCD0 ¼ 1420=ð1420 þ 2920Þ ¼ 0:327; CBC ¼ 0:5
Moment distribution coefficients of the horizontal shaft lining frame are shown
in Fig. 12.27.
Fig. 12.27 Moment distribution coefficients

(2) Moment distribution
When the uniformly distributed load q is 10 kN=m, the fixed-end moment is
10 3:652 10 7:12
MBA0 ¼ 44:4 kN m; MCB0 ¼ ¼ 42:0 kN m
3 12
Fig. 12.28 The moment distribution diagram and moment diagram

Table 12.7 The moments of the horizontal shaft lining frame (Design value)
Number Elevation ðmÞ qs MA0 B MBC MBCm MCB MD0 C
ðkN/mÞ ðkN mÞ ðkN mÞ ðkN mÞ ðkN mÞ ðkN mÞ
1 +4.8 10 23.39 −43.21 19.8 −43.21 23.39
2 −0.7 76.2 178.23 −329.26 150.88 −329.26 178.23
3 −5.5 155.45 363.60 −671.70 307.79 −671.70 363.60
4 −10.3 234.70 555.28 −1025.80 470.05 −1025.80 555.28
5 −10.7 to −11.6 248.73 581.78 −1074.76 492.48 −1074.76 581.78
When the uniformly distributed load q is 10kN=m, the mid-span moment is
10 7:32 10 7:12
MA0 B ¼ MD0 C ¼ ¼ 66:6 kN m; MBCm ¼ ¼ 63:01 kN m
8 8
The moment distribution diagram and moment diagram are shown in Fig. 12.28.
And the moments of different parts are summarized in Table 12.7.
At elevation 0:7 m, the uniformly distributed load is
qs ¼ 60 1:27 ¼ 76:2 kN=m
qs ¼ 122:4 1:27 ¼ 155:45 kN=m
qs ¼ 184:8 1:27 ¼ 234:70 kN=m
At elevation 10:7 to 11:6m, the uniformly distributed load is
qs ¼ 1:27 ½ð190 þ 201:7Þ=2 ¼ 248:73 kN=m
See Table 12.8.
(3) The reinforcement of the shaft lining should satisfy the ultimate limit state
When the elevation of the shaft lining is between þ 4:8 and 0:7 m, the hori-
zontal reinforcement is determined by the internal force at the elevation 0:7 m
during the sinking period. The vertical reinforcement should satisfy the detailing
reinforcement.
When the elevation of the shaft lining is between 0:7 and 5:5 m, the hori-
zontal reinforcement is determined by the internal force at the elevation 5:5 m
reinforcement.
12.5
Table 12.8 The moments of the horizontal shaft lining frame (standard value)
Number Elevation ðmÞ qs ðkN=mÞ MA0 B ðkN mÞ MBC ðkN mÞ MBCm ðkN mÞ MCB ðkN mÞ MD0 C ðkN mÞ
1 +4.8 10 23.39 −43.21 19.8 −43.21 23.39
2 −0.7 60 14034 −259.26 118.8 −259.26 140.34
Example of the Caisson Structure Design
3 −5.5 122.4 286.30 −528.89 242.35 −528.89 286.30

4 −10.3 184.8 432.25 −798.52 365.90 −798.52 432.25
5 −10.7 to −11.6 195.8 458.09 −846.27 387.78 −846.27 458.09
541
542
Table 12.9 The horizontal reinforcement of the shaft lining

Shaft lining Position B (mm) ho M a n As ðmm2 Þ max As ; As;min Reinforcement
(mm) (mm2)
The elevation is AB, CD Mid-span 1000 555 178.23 0.0405 0.0413 911 1200 8 14
above 0.7 m
Fixed-end A, D, B, 1000 555 329.26 0.0747 0.0778 1715 1715 7 18
C
AD, BC Mid-span 1000 555 150.88 0.0342 0.0348 769 1200 8 14
between −0.7
Fixed-end A, D, B, 1000 555 671.70 0.1525 0.1663 3667 3667 10 22
and −5.5 m
C
AD, BC Mid-span 1000 555 307.79 0.0699 0.0725 1599 1599 8 16
12
between −5.5
Fixed-end A, D, B, 1000 555 1025.80 0.2329 0.2691 5933 5933 10 28
and −10.3 m
C
AD, BC Mid-span 1000 555 470.05 0.1067 0.1131 2494 2494 8 20
between −10.7
Fixed-end A, D, B, 900 555 1074.76 0.2711 0.3234 6417 6417 8 32
and −11.6 m
C
AD,BC Mid-span 900 555 492.48 0.1242 0.1331 2641 2641 7 22
When the elevation of the shaft lining is between 5:5 and 10:3 m, the hor-
izontal reinforcement is determined by the internal force at the elevation 10:3 m
reinforcement.
When the elevation of the cutting edge is between 10:7 and 11:6 m, the
horizontal reinforcement is determined by the internal force caused by the hori-
zontal load during the sinking period.
The horizontal reinforcement of the shaft lining is summarized in Table 12.9.
Reference formulas are as follows:
M pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi a1 fc bh0 n
as ¼ 2
; n ¼ 1 1 2as \nb ¼ 0:518; As ¼
a1 fc bh0 fy
(4) The reinforcement of the shaft lining should satisfy the serviceability limit state
According to the bending strength of the component, the reinforcement calculation

is carried out. The width of the crack is not more than 0.3 mm.
According to Design Code for Concrete Structure (GB50010-2010), the calcu-
lation formula of crack is

rs deq
wmax ¼ acr w 1:9cs þ 0:08 ; acr ¼ 1:9
Es qte
a. C30 concrete, fck ¼ 20:1 N/mm2 ; ftk ¼ 2:01 N=mm2 ;
HRB400 steel bar, Ea ¼ 2:0 105 N=mm2

b. Ate ¼ 0:5 b h ¼ 0:5 1000 600 ¼ 300; 000mm2 ; qte ¼ As =Ate
If qte \0:01; qte ¼ 0:01.
c. Flexural member
Mk
rs ¼
0:87h0 As
ftk
d. w ¼ 1:1 0:65
qte rs
If w\0:2; w ¼ 0:2.
If w [ 1; w ¼ 1.
e. When the concrete cover depth c is 35 mm, the crack width wmax is summarized
in Table 12.10.
544
Table 12.10 The crack width of the shaft lining

Shaft lining Position Reinforcement As qte Mk ðkN mÞ rs w wmax Reinforcement
for the ultimate (mm2) for the
limit state serviceability
limit state
The elevation is AB, CD Mid-span 8 14 1232 0.0100 140.34 235.92 0.546 0.218 8 14
above −0.7 m
Fixed-end A, D, B, 7 18 1781 0.0100 259.26 301.48 0.667 0.402 9 18
C
AD, BC Mid-span 8 14 1232 0.0100 118.80 199.71 0.446 0.151 8 14
between −0.7
Fixed-end A, D, B, 10 22 3801 0.0127 528.89 288.17 0.743 0.493 10 25
and −5.5 m
C
AD, BC Mid-span 8 16 1608 0.0100 242.35 312.14 0.681 0.393 10 16
12
between −5.5 m
Fixed-end A, D, B, 10 28 6158 0.0205 298.52 100.40 0.465 0.128 10 28
and −10.3 m
C
AD, BC Mid-span 8 20 2513 0.0100 365.90 301.55 0.667 0.432 9 22
between −10.7
Fixed-end A, D, B, 8 32 6434 0.0214 846.27 272.40 0.876 0.731 8 32
and −11.6 m
C
Because the cutting edge is below the reinforced concrete floor, cracking does
not affect the normal use. The reinforcement of the cutting edge only needs to
satisfy the ultimate limit state.
7. Calculation of underwater bottom concrete

The unit weight of the underwater bottom concrete is 24 kN=m3 and its thickness is
1.6 m.
(1) Load calculation
Standard value qk ¼ 10 ð15:5 þ 1:6 0:5Þ 1:6 24 ¼ 127:6 kN=m2
Design value qs ¼ 1:20 127:6 ¼ 153:12 kN=m2

(2) Check of the thickness of the bottom concrete
lx ¼ 6:5 m; ly ¼ 6:7 m
lx 6:5
k¼ ¼ ¼ 0:97
ly 6:7
According to A Handbook of Building Structural Statics, we can obtain that the

moment coefficients of the unit width of the plate are
/x ¼ 0:03992; /y ¼ 0:03662
l is the smaller one of lx and ly , so l ¼ lx ¼ 6:5 m.
Mx ¼ /x qs l2 ¼ 0:03992 153:12 6:52 ¼ 258:25 kN m

My ¼ /y qs l2 ¼ 0:03662 153:12 6:52 ¼ 236:91 kN m
According to Specification for Reinforced Concrete Open Caisson Structure of

Water Supply and Drainage Engineering (CECS 137-2015), the thickness of the
bottom concrete is
sffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
9:09M 9:09 258:25 106
hc ¼ þ hu ¼ þ 300 ¼ 1581:25 mm
bft 1000 1:43
Therefore, the thickness of the underwater bottom concrete is 1.6 m.
8. Calculation of reinforced concrete floor

(1) Load calculation
The thickness of the floor is 40 cm.
The standard value of the buoyancy acting on the bottom plate is
qk ¼ 10 ð10:7 þ 4:3Þ 0:4 25 ¼ 140 kN=m2

The design value of the buoyancy acting on the bottom plate is
qs ¼ 1:27 80 ¼ 177:8 kN=m2
(2) Bending moment calculation
lx ¼ 6:7m; ly ¼ 6:9m
lx
If ly ¼ 0:97\2, the reinforced concrete floor should be regarded as a two-way
slab.
lx 6:5
k¼ ¼ ¼ 0:97
ly 6:7
According to A Handbook of Building Structural Statics, we can obtain that the

moment coefficients of the unit width of the plate are
/x ¼ 0:03992; /y ¼ 0:03662
l is the smaller one of lx and ly , so l ¼ lx ¼ 6:7m.

The bending moment in the reinforced concrete floor caused by the design value
of the buoyancy is
Mx0 ¼ Mx þ VMy ; My0 ¼ My þ VMx ;
where V ¼ 16.
Mx ¼ /x qs l2 ¼ 0:03992 177:8 6:72 ¼ 318:61 kN m

My ¼ /y qs l2 ¼ 0:03662 177:8 6:72 ¼ 292:28 kN m
1
Mx0 ¼ Mx þ VMy ¼ 318:61 þ 292:28 ¼ 367:32 kN m
6
1
My0 ¼ My þ VMx ¼ 292:28 þ 318:61 ¼ 345:38 kN m
6
The bending moment in the reinforced concrete floor caused by the standard
value of the buoyancy is
Mxk ¼ /x qk l2 ¼ 0:03992 140 6:72 ¼ 250:75 kN m

Myk ¼ /y qk l2 ¼ 0:03662 140 6:72 ¼ 230:14 kN m
1
Mx0 ¼ Mx þ VMy ¼ 250:75 þ 230:14 ¼ 289:11 kN m
6
0 1
My ¼ My þ VMx ¼ 230:14 þ 250:75 ¼ 271:93 kN m
6
(3) Calculation of reinforcement according to the bearing capacity
a. Top reinforcement
Reference formulas are as follows:
M pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi a1 fc bh0 n
as ¼ 2
; n ¼ 1 1 2as \nb ¼ 0:518; As ¼
a1 fc bh0 fy
Therefore, we can obtain that

As1 ¼ 3249 mm2 [ As;min ¼ 800 mm2 , choose 7 25.
As2 ¼ 3028 mm2 [ As;min ¼ 800 mm2 , choose 7 25.
b. Bottom reinforcement
Because the support moment of the simply supported plate is zero, it is constructed
according to the detailing reinforcement. The area of the reinforcement is
As ¼ 800 mm2 ;
choose 6 14@160.
(4) The width of the crack should satisfy the serviceability limit state
The reinforced concrete floor can be seen as a pure bending beam, and the width of
the crack cannot be more than 0.25 mm.
According to Design Code for Concrete Structure (GB50010-2010), the calcu-
lation formula of crack is

rs deq
wmax ¼ acr w 1:9cs þ 0:08 ; acr ¼ 1:9
Es qte
a. C30 concrete, fck ¼ 20:1 N/mm2 ; ftk ¼ 2:01 N=mm2 ;
HRB400 steel bar, Ea ¼ 2:0 105 N=mm2

b. Ate ¼ 0:5 b h ¼ 0:5 1000 600 ¼ 300; 000 mm2 ; qte ¼ As =Ate
If qte \ 0:01; qte ¼ 0:01.
c. Flexural member
Mk
rs ¼
0:87h0 As
d. w ¼ 1:1 0:65 qftkrs

te
If w\0:2, w¼0:2. If w [ 1, w¼1.
e. When the concrete cover depth c is 35 mm, the crack width wmax is

rs deq
wmax ¼ acr w 1:9cs þ 0:08 ¼ 0:611 [ 0:25 mm
Es qte
So, 8 32@120 and 6 14@160 are chosen for the upper steel bars and the
lower steel bars, respectively.
Then the crack width wmax is

rs deq
wmax ¼ acr w 1:9cs þ 0:08 ¼ 0:241\0:25 mm,
Es qte
which meets the requirements.

In a word, the type of the upper steel bars is 8 32@120 and the type of the
lower steel bars is 6 14@160. The reinforcement of the reinforced concrete floor is
shown in Fig. 12.29.
9. Anti-floating computation
(1) Self-weight of the open caisson

When carrying on the anti-floating computation, the self-weight of the open caisson
includes the weight of the shaft lining and the bottom concrete. The unit weight of
the plain concrete is 24 kN=m3 and the thickness of the bottom concrete is 1.6 m.
After calculating, the self-weight of the shaft lining is 7344 kN and that of the
bottom concrete is
Fig. 12.29 The

reinforcement of the
reinforced concrete floor
(unit: mm)
1:6 6:5 6:7 24 ¼ 1672:32 kN
Therefore, the self-weight of the open caisson is
Gs ¼ 9016:32 kN
(2) Buoyancy
F ¼ 16:5 7:7 7:9 10 ¼ 10036:95 kN
(3) Negative skin friction

Because the open caisson is surrounded by the soft clay, according to Foun-
dation Design Code (GB50007-2011), the unit frictional resistance is
f ¼ 10 kN=m2 . And its distributing disciplinarian is shown in Fig. 12.22. So
the negative skin friction is
Rf ¼ ð16:5 2:5Þ 10 ð7:7 þ 7:9Þ 2 ¼ 4368 kN
(4) Anti-floating safety factor
K ¼ ðGs þ Rf Þ=F ¼ ð4368 þ 9016:32Þ=ð10036:95Þ ¼ 1:33 [ 1:25
which meets the requirements.

If there is no negative skin friction, the anti-floating safety factor is smaller than
1.0, which cannot meet the requirements.
10. Calculation of the sand cushion and bearing wood
(1) Check of the sand thickness
According to the construction requirements, the elevation of the top surface of

the sand cushion is 4.30 m, and the average thickness of the sand cushion is
1.50 m.
a. Allowable bearing capacity of the underlying stratum
According to Foundation Design Code for Buildings (GB50007-2011), the

characteristic value of subgrade bearing capacity is determined by the modified
formula for subgrade critical load p1=4 .
fa ¼ Mb cb þ Md cm d þ Mc ck
Based on engineering geology datum, the standard value of internal friction

angle of soil is /k ¼ 15 . So the bearing capacity factors are
Mb ¼ 0:335; Md ¼ 2:3; Mc ¼ 4:825

The elevation of the cutting edge is −12.2 m and the groundwater table is
+3.80 m. Therefore, according to the geological data, the buoyant unit weight is
0:5 18:5 þ ð3:04 0:5Þ ð18:5 10Þ þ 3:74 ð19 10Þ þ 7:06 ð19:2 10Þ þ 2:66 ð19 10Þ
c¼
3:04 þ 3:74 þ 7:06 þ 2:66
¼ 9:3 kN=m3
The weighted mean weight of the soil layers within the burial depth of the
foundation is cm ¼ 18:5 kN=m3 . The standard value of cohesion of the subsoil with
the height equal to the foundation width is ck ¼ 18 kPa. Therefore,
fa ¼ Mb cb þ Md cm d þ Mc ck ¼ 0:335 9:3 0:6 þ 2:3 18:5 þ 4:825 18

¼ 152:5 kN=m2
b. The pressure acting on the top surface of the underlying layer caused by the
self-weight of the open caisson is
G 300:9
Pz ¼ ¼ ¼ 75:225 kN=m2
l þ 2 h tan h 2:5 þ 2 1:5 0:5
where h ¼ 26:33 .
The pressure acting on the top surface of the underlying layer caused by the
self-weight of the sand cushion is
Pcz ¼ 1:5 18 ¼ 27 kN=m2
The total pressure acting on the top surface of the underlying layer is
P ¼ 27 þ 75:225 ¼ 102:225 kN=m2 \152:5 kN=m2 ;
which meets the requirement.
(2) Determination of the number of the bearing woods
The number of the bearing woods for the unit width open caisson is
G 300:9
n¼ ¼ ¼ 5:015
A½P 0:5 120
where A is the contact area between each bearing wood and sand cushion and equal
to 0:5 m2 ; ½P is the allowable pressure acting on top surface of the sand cushion
and equal to 120 kN/m2 .
The total number of the bearing woods for the open caisson is
n ¼ 5:015 ð7:1 þ 7:3Þ 2 ¼ 144:4
Therefore, the number is 150.
12.6 Summary
(1) The open caisson is a well-like structure made of reinforced concrete, which
has many sectional forms, such as circle, rectangle, polygon. It sinks to the
design elevation when the soil being excavated. The open caisson construction
method is one of the main construction methods used in the deep foundation
construction.
(2) Generally, an open caisson is composed of the shaft lining, roof, bottom
concrete, internal parting wall, dredging well, groove and cutting edge, etc.
(3) The attentions during the construction stage and service stage must be con-
sidered when designing and calculating the open caisson structure. The
structural design of the open caisson mainly includes the determination of the
building layout and main dimensions, the calculation of subsidence coefficient,
the checking calculation of the bottom section, the calculation of the shaft
lining and so on.
(4) Pneumatic caisson structure generally consists of the side walls, partition
walls, roof, cutting edge, hanging trusses, roof of the workspace, internal
filling concrete, parapet, watertight wall, and so on.
(5) The outline dimension of the caisson and the size of each member should be
firstly determined by the design conditions in the structural design. Second,
the stability calculation, the strength calculation of each member and the
calculation of subsidence relation are carried out. There are many factors that
must be taken into consideration when designing the caisson structure. In
general, comprehensive judgment should be made in combination with the
practical engineering.
Problems
12:1 What are the advantages and disadvantages of the open caisson? What is the
application scope of the open caisson foundation in the construction?
12:2 What is the classification of the open caisson?
12:3 Introduce what is the open caisson combined of and the function of each
part.
12:4 Introduce the main construction procedures of the open caisson.
12:5 Introduce the design and calculation characteristics of the open caisson
structure and the main checking computations.
12:6 Introduce the characteristics and application scope of the caisson structure.
Table 12.11 The data about the self-weight of the open caisson
Component name Number Height Width Length Specific3 gravity Self-weight
(m) (m) (m) kN/m (kN)
Shaft lining 2 7.6 0.8 28.0 25 8510
Middle bottom cross 3 1.2 0.7 12.2 25 770
beam
The bottom cross beam 2 1.2 0.8 12.2 25 587
at both ends
Middle top cross beam 3 0.6 0.7 12.2 25 385
The top cross beam at 2 0.6 0.8 12.2 25 293
both ends
Self-weight of the open 10545 kN
caisson
12:7 What are the construction characteristics of the pneumatic caisson structure?
How does it differ from that of the open caisson structure?
12:8 Introduce what is the pneumatic caisson structure combined of and the
attention in the design.
12:9 Calculating the settlement coefficient of a continuous open caisson with no
steel doors at both ends when approaching the design elevation. The data
about the self-weight of the open caisson are summarized in Table 12.11.
12:10 The dead weight of the rectangular open caisson is 27786 kN before the
bottom sealing. The perimeter of the shaft lining is 2 ð20 þ 32Þ m ¼
104 m and the height is 8.15 m. The width of the tread is a ¼ 35 cm,
b ¼ 45 cm and the height of the cutting edge is 80 cm. When the cutting
edge bends outward at the beginning of the sinking stage, calculate the area
of the vertical steel bars at the inside of cutting edge.
12:11 Check the anti-floating coefficient of the large round open caisson. The
diameter of the open caisson is D ¼ 68 m. The dead weight is 650100 kN
after the bottom sealing. The frictional resistance between the shaft lining
and soil is f0 ¼ 20 kN/m2 . The distribution of the frictional resistance
within 5 m can be assumed to be an inverted triangle. The burial depth of
the open caisson is h0 ¼26:5 m. The hydrostatic head of groundwater when
sealing the bottom is H¼24 m.
Design of Immersed Tube Structures
13
13.1 Introduction
There are many ways for highways, urban roads or subways to cross rivers, lakes,
seas, or harbours, such as ferries, bridges and underwater tunnels, which have their
own characteristics and application scopes. It is determined by the traffic, engi-
neering hydrology, climate, geological conditions, and so on.
Generally, if the river is shallow, the bridge is the first choice. Otherwise, the
underwater tunnel should be selected. The bridge span, the under clearance and the
length of the bridge approach will be restricted by the hydrogeological conditions
and channel requirements. Obviously, large under clearance will result in the high
cost, which maybe exceeds the cost of the underwater tunnel. In this case, the
underwater tunnel is more economical. In addition, the metro operation will not be
affected by the climate conditions and its construction will not be restricted by
ground conditions.
At present, there are many ways to construct underwater tunnels, such as the
pneumatic caisson method, mining method, shield method, open cut method, and
immersed tube method. At the beginning of the twentieth century, the immersed
tube method was developed. In 1910s, the first immersed railway tunnel was built,
which crossed the Detroit River. Today, there are more than 100 immersed tunnels.
In 1950s, two key connecting technologies, hydraulic pressure and foundation
treatment, were solved, which made the immersed tube method become the most
important construction method for the underwater tunnel.
The completion of two underwater tunnels across the Pearl River of Guang Zhou
and Yong River of Ningbo indicates that China’s immersed tube technology has
entered a new stage. The Hong Kong-Zhuhai-Macao Bridge in China is the longest
immersed tunnel with two-way six lanes in the world.
https://doi.org/10.1007/978-981-13-7732-7_13
554 13 Design of Immersed Tube Structures
13.1.1 Main Construction Methods for Underwater Tunnels
In the construction of the underwater tunnel, if the cofferdam is constructed, the

open cut method is the first choice. But in most cases, restricted by the navigation
requirements, the shield method and immersed tube method are used. In the past
100 years, most of the underwater tunnels have been constructed with the shield
method. However, in 1950s, the main technical difficulties of the immersed tube
method have been solved and its advantages are obvious, such as the convenient
construction, reliable waterproofing, and low cost. Therefore, in recent years, the
immersed tube method has replaced the shield method.
The main advantages of the immersed tube method are as follows:
(1) Compared with the depths of other kinds of tunnels, the depth of the under-
water tunnel only needs to meet the navigation requirements. Therefore, the
full length of the underwater tunnels can be shortened.
(2) The main structures of the tunnel are prefabricated in the dry dock, so their
production quality and water tightness can be guaranteed.
(3) The specific gravity of the tunnel is small because of the existence of the
buoyancy. So it is also suitable for the weak stratum with small bearing
capacity.
(4) Its section shape only depends on its function. The immersed tube method is
especially suitable for the wider cross section.
(5) The immersing of the tube element can be completed within 1 or 3 days,
which has less impact on the navigation.
(6) The compressed air operation is not needed. It is safe to construct in deep
water.
(7) The requirements of high efficiency and short time can be achieved because of
the prefabrication carried out in the dry dock.
(8) There are only a small number of joints between tubes. The waterproof per-
formance is good because of the two waterproofing barriers of GINA and
OMEGA waterstop.
The main disadvantages of the immersed tube method are as follows:
(1) A large dry dock needs to be built far away from the city.
(2) Large numbers of foundation trenches need to be dredged, which will affect
the shipping and urban environment greatly. In addition, the complex riverbed
or sea bed will greatly increase the construction difficulty and cost.
(3) The hydrological and meteorological conditions should be considered when
carrying on the tugging and immersing of the tube element. Sometimes part of
the cruises along the river needs to be closed temporarily. In addition, the flow
velocity of water will affect the accuracy of the immersing of the tube element.
And if the flow velocity exceeds a certain value, the immersing of the tube
element should be stopped.
Table 13.1 Construction differences between shield method and immersed tube method
Content Shield method Immersed tube method
Burial depth of the The minimum burial depth of tunnel The tube elements can be placed
tunnel should not be less than 0.6 times the close to the riverbed or even
tunnel diameter and no more than the higher than the riverbed
tunnel diameter
Length of the Relatively longer Relatively shorter
tunnel
Section shape Round, two lanes Rectangular, 4 or more lanes
Waterproof The waterproof performance is The waterproof performance is
property relatively poor because of many relatively good because of fewer
longitudinal and circumferential joints
joints
Impact on shipping No Yes
Hydrologic and Unlimited Limited
meteorological
conditions
Geological Closely related to geological Weak strata
conditions conditions
The impact of Possible ground deformation Affect the excavation of the bank
construction on the tunnel during the construction
ground surface period
Construction differences between the shield method and the immersed tube
method are summarized in Table 13.1.
13.1.2 Construction of the Immersed Tube Tunnel
1. Introduction of the construction method
The immersed tube method is also known as the prefabricated tube method or the
immersing method. The construction procedures are shown in Fig. 13.1. A tem-
porary dry dock is built near the tunnel. In the dry dock, the reinforced concrete
tubes are prefabricated whose ends are closed with temporary walls. Fill the dry
dock with water to make the tubes float to the surface and then tug them to the
designated position. Fill the tubes with water and put them on the underwater
trench. Connect these tubes under water. Carry on the foundation treatment and
cover the tubes with soil. Finally, the underwater tunnel is built. The construction
procedures of the immersed tube are shown in Fig. 13.2.
The temporary dry dock
Manufacture of the tube section
Undocking, anchoring and outfitting Excavation of the

foundation trench
Immersing and underwater connection
Foundation treatment
Backfilling
Fig. 13.1 The construction procedures of the immersed tube
Fig. 13.2 The construction drawing of the immersed tube
2. Characteristics of the immersed tunnel
(1) The construction quality of the tunnel can be guaranteed. First, the tubes are
precast in the dry dock. The construction quality of the immersed tube
structure and waterproof layer is easier to control than other construction
methods. Second, only a few joints need to be connected under the water and
the probability of water leakage is very small.
(2) The construction cost is low. The causes are as follows:
① The unit cost of the underwater excavation is lower than that of the ground
surface.
② Each about 100 m stretch of tube element can be produced as a whole and
then be tugged to the designated position, which cost less.
③ The fewer the number of joints, the less the cost. And the full length of the
underwater immersed tube tunnel is shorter than that of the shield tunnel.
Therefore, the unit cost of the immersed tube tunnel is less than that of the
shield tunnel.
(3) The construction period of the immersing of the immersed tube is shorter than
other methods because large quantities of work such as building the temporary
dry dock and prefabricating the tube elements are not carried out at the site of
the tunnel. In addition, when building an underwater tunnel in the urban area
with the immersed tube method, the time for urban life to be affected by the
construction is the shortest.
(4) The work environment is comfortable. There is generally no underground or
underwater work and no pressure style work. It is very safe.
(5) It has strong adaptability to the geological conditions and can be constructed
in the quicksand layer without special equipment or measures.
(6) The application scope under the water is almost unlimited. In practice, the
maximum depth of construction is 60 m.
(7) The cross-section shape of the tube element can be selected freely and the
utilization ratio of section space is very high. Four to eight lanes can be
accommodated in one section.
(8) When the current is swift, it is difficult to carry on the immersing of the tube
element. At this moment, the workbench must be used.
(9) In construction, we must cooperate closely with the sea-route department to
keep the waterway unimpeded.
13.1.3 Design of the Immersed Tube Tunnel
The design of the immersed tube tunnel includes the overall geometric design,
structural design, ventilation design, lighting design, interior decoration design,
water supply and drainage design, power supply design, operation and management
facilities design, and so on. The overall geometric design is the key to determine the
success or failure of the tunnel design instead of the completion of the construction
or be open to traffic. The advancement of the overall geometric design has a
fundamental influence on the economy and rationality of the whole project.
Since 1960s, the innovation of the overall geometric design has been paid
attention to in the construction of the underwater tunnels. In order to reduce the
coverage rate, the exits of the tunnel are always set at the places close to the
Fig. 13.3 Cross section of immersed tunnel (unit: m)
waterside, some are even set at the middle of the river. The height of the retaining
structure of the tunnel approach is increased, which will bring trouble on the design
and construction of the approach. Besides, it also increases the local engineering
cost. But it results in the fundamental change of the ventilation. As shown in
Fig. 13.3, the air ducts and ventilation equipment rooms were no longer set for lots
of the underwater tunnels built in 1960s and 1970s, which reduced the construction
cost, equipment cost, and operation cost.
13.2 Design of the Immersed Tube Structure
13.2.1 Types and Structures of the Immersed Tube Structure
1. Type of the immersed tube structure
There are two types of the immersed tube structures: the steel shell tube and the
reinforced concrete tube.
The steel shell tube is composed of the steel shell and concrete, with the rein-
forced concrete or plain concrete surrounded by the steel shell. The steel-concrete
composite tube is a new type structure. The steel and the concrete are integrated
together to take advantage of the respective properties of tension and compression.
The steel shell is precast in the dry dock and then tugged to the tunnel site. Pour most
of the concrete into the steel shell when it is floating on the water. The steel shell is
not only the outer template of the concrete, but also the waterproof layer of the
tunnel. However, the steel consumption and welding workload are very big. And the
waterproof quality is difficult to guarantee. The problems of the anti-corrosion of the
steel shell and the bearing capacity of the steel-concrete composite structure are not
easy to solve. Due to the manufacturing process and the structural stress, the section
of the steel shell tube is usually circular. Generally, only two lanes can be accom-
modated for each hole and the utilization rate of the section is very small.
13.2 Design of the Immersed Tube Structure 559
The reinforced concrete tube is mainly made up of the reinforced concrete and is
coated with waterproof coating. The reinforced concrete tube is generally prefab-
ricated in the dry dock, and quantities of work need to be done in the dry dock.
Strict construction measures should be taken to prevent concrete from cracking.
However, compared with the steel shell tube, the steel consumption of the rein-
forced concrete tube is less and the cost is relatively lower. The rectangular section
is generally used in the reinforced concrete tube, so the utilization rate of the section
is high and the multi-holes can be combined at will. Although most of the newly
built reinforced concrete tubes have no waterproof membrane, the steel plates or
asphalt waterproofing was used in the past. Most of the completed reinforced
concrete tunnel is composed of multiple sections of tubes, which are about 20–25 m
long and connected with flexible joints. Because each section of the tube is a whole
structure, it is easier to control the concrete pouring and limit the structural stress.
Only a few reinforced concrete tunnels have rigid joints.
2. Structures of the immersed tube structure
During the construction of the immersed tube structure, the temporary dry dock is
built outside the tunnel site first and both ends are sealed with temporarily closed
walls. In the dry dock, the reinforced concrete tunnel tubes are prefabricated. Then
fill the dry dock with water to make the tubes float to the surface and tug them to the
designated position. Fill the tubes with water and sink them to the underwater
trench. Connect these tubes under the water.
The construction of the immersed tube consists of the prefabrication and con-
nection of the tube section. The connection of the tube section includes the struc-
tural and waterstop measures.
13.2.2 Loads Acting on the Immersed Tube Structure
Loads acting on the immersed tube structure are summarized in Table 13.2.
Among the loads mentioned above, only the self-weight of the immersed tube
structure and the foundation reaction are dead load. During the floating trans-
portation stage, The unit weight of the reinforced concrete is 24.6 kN/m3. During
the service stage, it is 24.2 kN/m3. As for the unit weight of the ballast concrete
under the pavement, it is 22.5 kN/m3.
The water pressure acting on the immersed tube structure is one of the main
loads. When the earth covering is shallow, the water pressure is the maximum load
acting on the immersed tube structure. When the water is at the highest or the
lowest level, or when the typhoon or a catastrophic flood comes, the water pressure
should be calculated according to different load combinations.
The earth pressure is another main load acting on the immersed tube structure,
and it is often not a dead load. For example, the vertical earth pressure acting on the
top of the tube is generally the weight of the soil between the bottom of the riverbed
and the top of the tube. But when the riverbed is unstable, the additional earth
Table 13.2 Loads acting on the immersed tube structure

Number Type Load Transverse Longitudinal
direction direction
1 Basic loads Dead weight of the immersed ★ ★
tube structure, water pressure,
earth pressure, internal and
external pressure load of tube
2 Dead weight of the structures in ★ ★
the tube, live load of vehicles
3 Shrinkage stress of concrete ★
4 Buoyancy, foundation reaction ★ ★
5 Additional Construction load ★ ★
6 loads Temperature stress ★ ★
7 Additional stress caused by ★
uneven settlement
8 Accidental Shipwreck load, special loads ★ ★
loads produced by river dredging
9 Seismic load ★ ★
Note ★ represents that the load is acting in the transverse or longitudinal direction
pressure produced by the change of the riverbed should be considered. The hori-
zontal earth pressure acting on the side wall of the tube is not a constant, which is
small at the beginning and then gradually increases and finally tends to be stable. In
design, the minimum and maximum value should be used according to the adverse
combination.
The buoyancy acting on the immersed tube structure is not a constant. Generally
speaking, the buoyancy should be equal to the displacement. But the buoyancy
acting on the tubes located in the clayey soil will sometimes be larger than the
displacement due to the lagging effect.
The construction loads include the weight of end wall, positioning tower, ballast,
and so on. In the design of the buoyancy, the construction loads should be con-
sidered. When calculating the longitudinal bending moment of the tube during the
floating stage, the construction loads will be the main load.
The wave force is generally very small and will not affect the reinforcement. The
current pressure has little effect on the structural design. But the hydraulic simu-
lation test must be done to develop the immersing technology and equipment.
The settlement friction will occur when the bottom of the groove is unevenly
loaded and the settlement is uneven after the backfilling of the soil. The load acting
on the bottom of the immersed tube is relatively small, so is the settlement. But the
load acting on the side wall of the tube is large, so is the settlement. Therefore, the
side walls of the tube are subjected to the action of the settlement friction, as shown
in Fig. 13.4. If the soft pitch is sprayed outside the waterproof layer of the side wall
of the immersed tube, the settlement friction can be greatly reduced.
Fig. 13.4 The settlement friction
In the structural analysis of the transverse and longitudinal section, the vehicle’s
live load is generally omitted.
The shipwreck load is a special load when the ship sinks to the top of the tunnel.
The value of the shipwreck load depends on many factors, such as the ship’s type,
the tonnage, the loading condition, the way of sinking, the thickness of the earth
covering, whether the soil on the top surface of tunnel is higher than the riverbed,
and so on. In the past, the shipwreck load was assumed to be between 50 and 130
kN/m2. However, it is often neglected now.
The assumptions about the distribution of the subgrade reaction are as follows:
① The subgrade reaction is in the linear distribution.

② Based on the Winkler theory, The strength of the subgrade reaction is in
proportion to the ground settlement.
③ It is assumed that the foundation is a semi-infinite elastic body, and the
subgrade reaction is calculated according to the elastic theory.
According to the Winkler theory, the foundation coefficients of different soil

layers are usually assumed to be the same, but sometimes are different. In the design
of the first underwater tunnel in Tokyo, Japan, considering the large bottom width
of the immersed tube and the unevenness of the foundation treatment, the single
foundation coefficient method and different foundation coefficients method are
adopted. Then the envelope diagram of the internal force is made, as shown in
Fig. 13.5.
The concrete shrinkage is caused by the shrinkage difference of the concrete with
different age on both sides of the construction joint. Therefore, the age difference
and the shrinkage difference should be determined by the initial construction plan.
The effect of temperature variation is mainly caused by the temperature differ-
ence between the inner and outer sides of the outer wall of the immersed tube. The
temperature difference can be assumed to be the difference of the maximum and
minimum daily mean temperature during a continuous period of 5–7 days. In
addition, the creep should be considered when calculating the variable temperature
stress.
The calculation of the tube section should be based on the different load com-
binations in different stages of prefabrication, floating, immersing and operation.
Three kinds of load combinations are as follows:
Fig. 13.5 An example of the assumption of subgrade reaction
① Basic load
② Basic load + Additional load
③ Basic load + Accidental load
13.2.3 Buoyancy Calculation of the Immersed Tube Structure
In order to determine the dimension of the immersed tube, the buoyancy design
must be carried out, including the selection of the freeboard and the calculation of
the anti-floating safety coefficient.
1. Freeboard
In order to maintain the stability of the tube section, its top surface must be out of
the water during the tugging period. The exposed part is called freeboard. When the
stormy waves come, there will be an anti-tipping moment Mt acting on the tube
section with a freeboard, so that the tube section can keep balance, as shown in
Fig. 13.6.
For a tube section with a rectangular cross section, the height of the freeboard is
between 100 and 150 mm. While for a tube section with a round, octagonal or basket
shaped section, as shown in Fig. 13.7, the height of the freeboard is between 400 and
500 mm because of the narrow top width. If the height of the freeboard is too small,
the stability of the tube section is poor. In addition, the height of the freeboard should
Fig. 13.6 The anti-tipping moment acting on the freeboard
Fig. 13.7 Round, octagonal, and basket shaped section
not be too large. Because during the immersing of the tube section, a certain amount
of the ballast water must be first poured into the tube to eliminate buoyancy and
make the freeboard sink into the water. The greater the height of the freeboard, the
greater the capacity of the water tank, the higher the construction cost.
In rare cases, there is no freeboard because of the large thickness of the structure.
A buoy or a steel cofferdam should be arranged at the top of the tube to make the
tube be self-floating.
When prefabricating the tube section, there is always a certain error with the unit
weight of the concrete and the size of the templet. In addition, the water density is
different during the high tide, low tide, and different construction stages. Therefore,
in the buoyancy design, the largest unit weight and volume of concrete, and the
minimum water density should be adopted to calculate the freeboard.
In the freeboard design, the theoretical value of the freeboard is also affected by
many factors. The formula is as follows.
B G ¼ WLf cw ð13:1Þ
For a rectangular tube section, according to the principle of buoyancy balance,

the height of the freeboard is
BG
f ¼ ð13:2Þ
WLcw
For a rectangular tube section with a tapered edge on the top surface, the balance
equation of buoyancy is
B G ¼ ðW 2a þ f ÞfLcw ð13:3Þ
It can also be expressed as
BG
f 2 þ ðW 2aÞf ¼0 ð13:4Þ
Lcw
where f is the height of the freeboard; W is the full width of the tube section; L is the
full length of the tube section; cw is the unit weight of the water; B is the total
displacement of the tube section or the total buoyancy after the tube section is fully
immersed; G is the weight of the tube section and a is the width of the tapered edge
on the top surface.
2. The anti-floating safety factor
The anti-floating safety factor should be between 1.05 and 1.10 during the
immersing stage of the tube section. When covering the tubes with soil, the water
will become so muddy that the water density will become larger and the buoyancy
will increase accordingly. Therefore, the anti-floating safety factor during the
construction stage must be larger than 1.05, otherwise, the tubes will rise up. The
anti-floating safety factor during the construction period is determined by the sit-
uation before the backfill. Therefore, the weight of the temporary construction
equipment in the tube section should not be counted.
The anti-floating safety factor should be between 1.2 and 1.5 during the service
stage. And part of the negative friction should be counted at this stage.
When designing the anti-floating safety factor, the minimum unit weight and
volume of concrete, and the maximum water density should be adopted.
Weight of tube section

Anti-floating safety factor ¼
Volume of tube section cwmax
where the weight of the tube section includes that of the ballast concrete and cwmax
is the maximum unit weight of water. Actually, the anti-floating safety factor will be
larger if the weight of the covering soil and the negative friction acting on the side
of the tube section are taken into account.
3. The dimension of the immersed tube structure
The clear height and width of the immersed tunnel are determined by the ventilation
and the traffic limit. The outer dimension of the immersed tunnel must meet the
anti-floating requirements. Therefore, these dimensions must be determined after
the repeated buoyancy calculation and structural analysis. Figure 13.8 shows the
outer dimension of the immersed tunnel.
Fig. 13.8 The outer dimension of the immersed tunnel (unit: m)
13.2.4 Calculation of the Immersed Tube Structure
1. Calculation of the transverse structure
The cross-section shape of the immersed tube is mostly a porous box frame. The
transverse internal force is generally calculated according to the elastic support
frame structure. Because there are many load combinations, the structural analysis
of the box frame must undergo several cycles, which includes the component size
assumption, the internal force analysis, the size correction, and the check of internal
force. For a tube section, the water pressure and the earth pressure in each section
are different because of the variation of the longitudinal slope of the tunnel and the
elevation of the riverbed. Especially when the tube section is near the shore, the
water pressure and the earth pressure often change rapidly. Therefore, the transverse
reinforcement cannot be carried out only according to the structural analysis of one
cross section. The popularization of the computer and the general program of 2D
truss structure reduce the amount of the calculation.
The transverse structural analysis of the steel shell tube section and the rein-
forced concrete tube section are as follows.
For the steel shell tube section, the steel shell and the concrete act together as a
whole. When pouring the concrete, the steel shell acts as a template. However,
because the steel shell is difficult to integrate with the concrete and the problems of
corrosion and residual stress are existing, it is difficult to regard it as an effective
bearing member. Therefore, most of the steel shells are still designed as temporary
components.
The cross section of the steel shell is related to the stress produced by the
concrete pouring. During the process of the concrete pouring, the draught of the
steel shell and the water pressure acting on the steel shell increase continuously. So
the cross section of the steel shell will also change continuously. Therefore, the
concrete weight and the water pressure in each construction stage should be cal-
culated, and then the most dangerous state of the cross section is obtained. The
concrete pouring in each cross section is usually carried out from the bottom to the
top. However, for the tube with a rectangular cross section, in order to limit the
deformation and stress, the amount and the order of the concrete pouring should be
scientifically arranged. Because the weight of the concrete acting on the tube wall is
assumed to be a concentrated load.
For the reinforced concrete tube made in the dry dock, the attention should be paid
to the balance of the buoyancy when designing the cross section. When calculating the
internal stress of the tube section, it is generally considered as a plane skeleton
structure on the foundation. The coefficient of the subgrade reaction is determined by
the properties of the stratum and the width of the foundation. If the dry dock is on the
weak foundation, the foundation treatment or pile foundation must be done first to
prevent the stress concentration during the production of the tube section.
The thickness of the cross section of the concrete tube is generally calculated
according to the reinforced concrete member. The water pressure and the earth
pressure acting on the immersed tunnel can be seen as dead loads. At the same time,
it is difficult to repair the tube section under the water. Therefore, the design stress
of the concrete and the steel shell are determined by the crack width, concrete
rheology and so on. In addition, the thickness of the cross section of the concrete
tube is also determined by the layout of the reinforcement. When the immersed
tunnel is located in a deep water area or its cross section is large, the principle of
large diameter and small spacing should be followed. And the amount of the steel
should be greater than 200 kg/m when necessary.
Except for the earth pressure, water pressure and the dead weight, the transverse
stress is also affected by the earthquake, ground subsidence, temperature, and other
factors. For example, when the weight of the backfill is larger than that of the
existing soil, the lateral strata of the tube section will consolidation, and the stress of
the cross section will be affected, which is determined by the tube sinkage and the
friction acting on the side wall of the tube section.
2. Calculation of the longitudinal structure
The analysis of the longitudinal force mainly includes the calculation of the internal
force caused by the construction loads during the tugging and immersing stage,
such as the positioning tower, the end wall and so on. During the service stage, it is
generally calculated according to the theory of beam on elastic foundation. In the
design of the longitudinal section of the immersed tunnel, except for various loads,
the effect of the temperature change and uneven settlement of the foundation should
also be considered.
When designing the longitudinal section of the steel shell tube section, the whole
steel shell can be regarded as a beam along the longitudinal direction, and then the
strength and deformation of the steel shell under the action of the construction load
can be studied. In different construction conditions, such as the influent condition,
the concrete pouring condition, the tugging, and anchoring condition, the design
conditions are different. When producing steel shells or the water flowing into steel
shells in the longitudinal direction, there will be relatively large stress, which
determines the size of the cross section. In addition, the stresses caused by other
conditions should be calculated. The concrete stress varies greatly with the amount,
position, and order of the concrete pouring. Therefore, the amount, position, and
order of the concrete pouring should meet the principal of the minimum concrete
stress. The concrete deformation during the pouring stage coincides. Even if the
load is uniformly distributed at the final stage, there will be residual deformation.
Therefore, when deciding the order of the concrete pouring, the axial deformation
of the tube section should be considered.
Besides the above construction states, the action of waves on the tube section
may produce the local concentrated stress, so it is necessary to consider the
strengthening of the structure.
In the design of the longitudinal cross section of the tube section, besides the
effects of the concrete pouring, the tugging and immersing, the effects of earth-
quake, the ground subsidence and the temperature change should also be
considered.
Similar to the design of the cross section, the construction process cannot play a
decisive role in general. When pouring concrete in a large volume, the concrete will
crack due to the temperature change and concrete shrinkage, which should be
studied at the design stage.
After the immersing of the immersed tube, the influence of the stratum subsi-
dence should be considered when there is an uneven load in the longitudinal
direction and the consolidation of the basic stratum. The backfill between the top
surface of the immersed tube tunnel and the basic stratum near the revetment results
in the inhomogeneity of the load and the elastic subsidence of the immersed tunnel.
So the foundation of tunnel can be seen as a beam on elastic foundation.
For the influence of the temperature change, the temperature variation is
assumed to be between 10 and 15 °C in the design of the concrete structure. If the
flexible joint is used, the expansion volume should be calculated. The longer the
length of the immersed tunnel, the larger the cross-section area of the tube section,
the greater the expansion volume of the flexible joint. However, when a rigid joint
is used, the axial force cannot be ignored because of the constraint.
13.2.5 Application of the Prestress
Generally, ordinary reinforced concrete structures are mostly used in the immersed
tunnels. Because the thickness of the immersed tube is often not determined by the
strength, but the anti-floating safety factor and the advantages of the prestress
cannot be fully used in the immersed tube structure. Although the prestressed
concrete can improve the impermeability of the structure, the prestressed concrete
structure is not economical only for waterproof because of the large thickness and
low prestress. Therefore, ordinary reinforced concrete structures are mostly used in
the immersed tunnels.
If the tunnel span is large or there are more than three lanes, and the water
pressure and the earth pressure are up to 300–400 kN/m2, the shear force acting on
the top and bottom plate of the immersed tube structure is large, the support bracket
must be enlarged when using the ordinary reinforced concrete. But the enlarged
support bracket is not allowed to invade the clearance of the lanes, so it is necessary
to increase the full height of the immersed tube structure, which is about 1–1.5 m.
This inevitably results in the following construction problems.
(1) The displacement of the immersed tube is increased. But in order to meet the
specified anti-floating safety factor, the quantity of the ballast concrete should
be increased accordingly.
(2) The excavation depth of the underwater groove is increased, that is to say, the
earth volume is increased.
(3) The burial depth of the approach is increased, which will not only increase the
earth pressure acting on the retaining structure of the approach, but also
increase the work amount. Sometimes, some hydrogeological difficulties will
occur.
(4) The total length of the tunnel, the total amount of the project and the total cost
will be increased.
In this case, the prestressed reinforced concrete structures are more economical.
For some immersed tunnels, the prestressed reinforced concrete structures are only
adopted in the maximum depth of the tunnels, which can give play to the advan-
tages of the prestressed reinforced concrete.
When the prestressed reinforced concrete is used for the cross section of
immersed tube structures, there are two kinds of methods: full prestress and partial
prestress.
The underwater tunnel built in 1953 under the Almendares River in Havana is
the first immersed tube tunnel built with prestressed reinforced concrete in the
world. In the tunnel, the straight cables are arranged symmetrically on both sides of
the top and bottom plates, as shown in Fig. 13.9. However, when the load is large,
the bending cables are more economical.
However, there are some difficulties when using bending cables. The immersed
tube tunnel has to bear the water pressure and the earth pressure when the settle-
ment begins. The water pressure and earth pressure is much larger than the
self-weight of the immersed tube structure, sometimes more than ten times, which
makes it difficult to apply the prestress step by step during the immersing of the tube
Fig. 13.9 The cross section of Almendares tunnel

Fig. 13.10 The cross section of the underwater tunnel in Lafontaine
section and the backfilling of soil. All the pretension of prestressed cables must be
finished in the dry dock, and the waterproof treatment of the grouting and
anchorage must be done. Therefore, in order to keep the balance, a large number of
non-prestressed reinforcement should be arranged on the opposite side of the
prestressed cables to prevent the exceedance of crack width. However, the
non-prestressed reinforcement cannot play a permanent role after the immersing of
the tube section and the backfilling of soil. In order to avoid this situation, the
temporary prestressed reinforcement can be arranged between the top and the
bottom plates in the midspan of the tunnel. The pretension of the temporary pre-
stressed reinforcement is the same as that of prestressed cables. It can effectively
simulate the water and earth pressure after the immersing of the tube section and the
backfilling of soil. As the immersing of tube section begins, the water and earth
pressure will increase gradually, the pretension of the temporary prestressed rein-
forcement should be unloaded accordingly. So large numbers of ordinary perma-
nent reinforcement can be saved. Figure 13.10 shows the underwater tunnel in
Lafontaine, Canada. It was built in this way in 1967.
Among the immersed tunnel with the prestressed reinforced concrete, the partial
prestressing is widely used. And the non-prestressed reinforcement is usually used
to keep balance.
13.3 Waterproof Measures of the Immersed Tube Tunnel
The waterproof measures of the immersed tube structure include the external
waterproof and internal waterproof. The external waterproof is the surface water-
proof of the tube section and the internal waterproof is the waterproof of the tube
section itself. The history of the external waterproof has gone through the following
stages.
The early cross sections of immersed tunnels are circular, octagonal or basket
shaped. The steel shells are produced with the equipment and building-berth in the
shipyard. When the steel shell is launched, pour the lining concrete under the
floating state. The steel shell cannot only be used as an outer template during the
construction stage, but also can be used as a waterproof layer during the service
stage.
At the beginning of 1940s, the rectangular reinforced concrete tube was applied
to the underwater tunnel. The dry dock instead of the building-berth was used for
the concrete pouring. The waterproof measure is surrounding the tube section with
steel shell. After 1950s, the top steel plate was replaced by the flexible waterproof
material, which not only saved the steel and cost, but also improved the con-
struction. After 1956, the steel plate is only used on the bottom surface of the tube
section. In the early 1960s, only the flexible waterproofing was used in some
immersed tunnels. There are many kinds of flexible waterproof materials. The
asphalt felt was first used, and the bituminous glass fabric felt was used in 1950s. In
the late 1960s, the isobutyl rubber coiled material was used. Recently, the water-
proof roll-roofing material was replaced by the waterproof coating gradually.
Those mentioned above is the external waterproof. In addition, the internal
waterproof is also very important. Large numbers of cracks will occur on the tube
section during the concrete pouring process, and there are many reasons for
cracking. Several methods need to be integrated to prevent the occurrence of cracks,
including the composition of the concrete proportioning, reducing the temperature
difference between the floor and the side wall, special measures during the con-
struction period and so on. The methods are as follows.
(1) Dismantle the template when the temperature of the tube section is
appropriate.
(2) In order to reduce the temperature difference between the inside and outside
wall, and that between the side wall and floor, a timber formwork with good
heat insulation performance is laid on the newly poured concrete on the roof.
(3) Continuous concrete pouring can solve the problem of the temperature dif-
ference. But this method is not suitable for the tunnel with large width.
13.3.1 Water Stopping Band
The water stopping band is one of the deformation joints, which can adapt to the
deformation and prevent the leakage. There are many types of the water stopping
bands. The metal water stopping band is no longer used now. The plastic water
stopping band has poor elasticity and can only allow small deformation. The rubber
waterstop (Fig. 13.11) and the rubber waterstop with steel flanges (Fig. 13.12) are
commonly used in the tube section now.
1. The rubber waterstop
The rubber waterstop can be made from the natural rubber gum content rate or the
synthetic rubber, such as the chloroprene rubber. The gum content rate of the
13.3 Waterproof Measures of the Immersed Tube Tunnel 571
Fig. 13.11 The rubber waterstop
Fig. 13.12 The rubber waterstop with steel flanges. 1—Steel flange (0.7 mm)
natural rubber is 70%. The service life of the rubber waterstop is a problem that
people are concerned about. The dark and humid environment of the underwater
tunnel is beneficial to the rubber waterstop. It was found that the rubber products
buried 60 years ago have not been obviously perished, which indicates that the
service life of the rubber waterstop in underground engineering should be over
60 years. The accelerated aging test indicates that the service life of the rubber
waterstop is more than 100 years.
2. The rubber waterstop with steel flanges
On each side of the rubber waterstop with steel flanges, the thin steel plate is about
0.7 mm in thickness. In the early 1950s, it was first used in the underwater tunnel in
Velsen, as shown in Fig. 13.12. It can make full use of the bond force between the
steel plate and the concrete, so that the watertight effect is better than that of the
general rubber waterstop before and after deformation. In addition, it can increase
the rigidity of the rubber waterstop and save the rubber.
13.3.2 Waterproof of Steel Shells and Steel Plates
Before 1970s, the waterproof of the steel shell was still used in some projects, but it
is no longer used now. Recently, its main role has changed from the waterproofing
to reducing the size of the dry dock. As a waterproof, it has many disadvantages.
(1) The steel consumption is large. In addition to a thick steel plate, a steel shell
needs a lot of stiffened moments and supporting moments.
(2) It is difficult to guarantee the welding quality. Although the automatic welding
equipment is used first in the construction, the workload of the hand welding is
still very large. After the thorough inspection of the weld, there are still some
welding defects.
(3) The problem of the antirust is still not solved. At present, the method of
spraying epoxy tar is used to prevent the rust. First, use a blowtorch to remove
the dirt on the surface of the steel shell. Then spray the antirust coating.
Finally, promote the solidification of the antirust coating by heating with a
blowtorch. The thin thickness of the antirust coating and no protective layer
result in the easy damage in the construction. In addition, the cathode pro-
tection method is used in a small amount of projects, but the cost is higher.
(4) The bond between the steel shell and the concrete is poor. The existence of the
airbag at the bottom of the steel shell, the occurrence of the peeling phe-
nomena in large area on both sides of the steel shell, especially at the end, and
the poor weld quality and antirust measures result in the poor bond between
the steel shell and concrete.
Because the waterproof of the steel shell is much expensive, the waterproof of
the steel plate is widely used now, which adopts the method of stitching and sealing
instead of welding, as shown in Fig. 13.13. There are two kinds of construction
procedures for the method of stitching and sealing: (1) First, embed the asbestos
rope. Then carry on the joint grouting with asphalt. Finally, stick two layers of
200 mm wide coils on the joint; (2) Stick 200 mm wide steel plate on the joint with
synthetic rubber. The thickness of the steel plate is between 4 and 6 mm, which is
thinner than the steel shell. The strengthening ribs and the supports are not needed.
Fig. 13.13 The structures of waterproof steel plate. 1—Waterproof steel plate; 2—Seal;
3—Filler; 4—Transverse bolt; 5—Concrete cushion
13.3 Waterproof Measures of the Immersed Tube Tunnel 573
And the steel quantity per unit area is only about one-quarter of that of the steel
shell.
13.3.3 Rolled Waterproof Material and Waterproof Coating
The roll waterproof material coating layer is a stickup waterproof layer that the
multi-layer asphalt felts or synthetic rubber roofing materials are glued together.
There are many kinds of asphalt felts. The fabric coiled material characterized by
large strength and good toughness is suitable for the outside waterproofing of the
immersed tunnel. In particular, the bituminous glass fabric felt is more suitable for
the underwater or underground engineering.
The number of the waterproof roll-roofing material is determined by the water
head. The depth of the underwater tunnel is generally more than 20 m, and the
number of the waterproof roll-roofing materials needed is 5–6. But if the con-
struction is meticulous, three coats of waterproof roll-roofing materials are enough.
The main drawback of waterproof roll-roofing material is the complex construction
technology. And in the process of the construction, a little carelessness will result in
the peeling of waterproof roll-roofing materials. And it is very difficult to rework.
With the development of the chemical industry, the waterproof coating is gradually
applied to the waterproofing of tube section. The most outstanding advantage is that
the construction technology is simple, and it can be directly constructed on the
uneven concrete surface.
At present, the waterproof coating has not been popularized in the tube section
because its ductility is less than that of the rolled waterproof material. In the design
of immersed tunnel, the allowable crack width of the structure is between 0.15 and
0.2 mm, and that of the waterproof is 0.5 mm, which is easy to meet for the rolled
waterproof material and difficult for the waterproof coating. Therefore, increasing
the ductility is a task of top priority for the waterproof coating. Another problem is
that the waterproof coating is not suitable for wet concrete.
13.4 Design of Deformation Joints and Element Joints
13.4.1 Arrangement and Structures of Deformation Joints
The longitudinal deformation of the tunnel will cause cracking of the reinforced
concrete immersed tube under the circumstances of no proper measures. It is
assumed that the temperature of the concrete pouring is between 5 and 15 °C. The
outer temperature of the immersed tube is 10 °C and the inner temperature is
between 0 and 25 °C. However, the whole immersed tunnel is seamless. Therefore,
the temperature change will make the longitudinal stress of the immersed tube
Fig. 13.14 Contraction

cracks on the side wall of the
tube section
increase to 400 kN/m2, which will result in the cracking of the immersed tube.
When prefabricating the tube section in the dry dock, the floor is poured first, and
then the side wall is poured after several days. The different concrete ages, elastic
modulus and residual shrinkage rates of the separately poured concrete result in the
cracking shown in Fig. 13.14. In addition, the uneven settlement and earthquake
may also result in the cracking. The cracks caused by the longitudinal deformation
are all permeable, which is bad for the waterproofing. In order to solve this
problem, the deformation joints are set in the direction perpendicular to the axis of
the tunnel. Therefore, each tube section is divided into several parts. According to
the practical experience, the length of each part is generally between 15 and 20 m,
The structures of the deformation joint should meet the following requirements.
(1) A certain degree of the linear deformation and angular deformation can be
allowed. A small interval between the end faces of the adjacent tube sections
near the deformation joint should be left for the movement of the adjacent tube
sections. The interval is filled with waterproof material. The width of the
interval is determined by the range of temperature difference and the adaptive
quantity of angle.
Fig. 13.15 Deformation

joints and element joints
13.4 Design of Deformation Joints and Element Joints 575
(2) The longitudinal bending moment can be transmitted during the tugging and
immersing stage. The longitudinal reinforcement in the side wall, the roof and
the bottom plate of the tube section should be properly treated at the defor-
mation joints. The outer row of longitudinal reinforcement should be com-
pletely cut off, while the inner row of longitudinal reinforcement should not be
cut off temporarily. So the inner row of longitudinal reinforcement will cross
the deformation joints to bear the longitudinal bending moment during the
tugging and immersing stage. After the immersing of the tube section, the
inner row of the longitudinal reinforcement can be cut off. Therefore, the
temporary longitudinal prestressed cables should be installed before the tug-
ging of the tube section and cut off after the immersing of the tube section.
(3) The shear force can be transferred in any case. In order to transfer the trans-
verse shear force, the step deformation joints shown in Fig. 13.16 can be used.
(4) A water stopping band should be set at the step deformation joint shown in
Fig. 13.16 to ensure the waterproofing, as shown in Fig. 13.17.
Fig. 13.16 The step deformation joints (unit: mm). 1—The outside of the immersed tube;
2—The inside of the immersed tube; 3—Roll waterproof material coating; 4—Rubber waterstop
with steel flanges; 5—Asphalt waterproofing; 6—Asphalt filler; 7—Reinforced concrete cover
Fig. 13.17 The waterproofing of the step deformation joint. 1—Tube wall; 2—Deformation
joint; 3—Rubber waterstop with steel flanges; 4—Waterstop steel plate
13.4.2 Design of the Element Joints
After the immersing of the tube section, the tube sections should be connected by
the permanent element joints. The connection work is carried out under the water,
so it is also called the underwater connection. The element joints include rigid joints
and flexible joints.
The element joint should meet the following requirements.
(1) The waterproofing must be guaranteed during the construction and service
stage.
(2) Have the ability to resist all kinds of load and deformation.
(3) The function of each component is clear and the cost is moderate.
(4) It is convenient to construct and the construction quality can be guaranteed. In
addition, it is convenient to examine and repair.
The rigid joint is a kind of permanent joints connecting the adjacent tube sec-
tions with a circle of reinforced concrete along the outer wall of the tunnel. The
structures of the rigid joint should be able to resist the axial force, shear and
bending moment. The strength of the rigid joint is generally not smaller than that of
the tube section structure. The biggest shortcoming of rigid joints is its poor water
tightness. The uneven settlement will cause cracking and leakage after the tunnel is
opened to the vehicle.
The rigid joint was still used in many underwater tunnels when the connecting
method by hydraulic pressure was invented. But the structures of the rigid joint
changed. The rubber pad used in connecting method by hydraulic pressure is left as
a permanent waterproofing for the joint, as shown in Fig. 13.18. The rigid part of
the rigid joint is built with the reinforcement concrete after the completion of the
settlement of the immersed tube section.
After the emergence of the connecting method by hydraulic pressure, the flexible
joint was invented. In the construction of the flexible joint, the rubber pad used in
the connecting method by hydraulic pressure is mainly used to solve the problem of
the expand with heat and contract with cold caused by the variable temperature and
13.4 Design of Deformation Joints and Element Joints 577
Fig. 13.18 The rigid joint (unit: mm). 1—Rubber pad; 2—Back sealing concrete; 3—Steel
membrane; 4—Reinforcement concrete cover; 5—Anchor bolt
Fig. 13.19 The common flexible joint
the uneven settlement of the foundation, so as to eliminate or reduce the stress of

the tube section caused by the variable temperature or settlement. Flexible joints
should be used in the immersed tunnels in seismic area, as shown in Fig. 13.19.
The common joints include the GINA water stopping band, OMEGA water
stopping band, horizontal shear key, vertical shear key, wave-form connector, steel
shell at the element end and corresponding connector. Among the joints mentioned
above, the function of GINA water stopping band and OMEGA water stopping
band is waterproofing. The function of the horizontal shear key is bearing the
horizontal shear force. And the function of the vertical shear key is bearing the
vertical shear force and resisting the uneven settlement. The wave-form connector is
used to increase the shear-bearing and bend-bearing capacity of the joints. What’s
more, the steel shell at element end is used to connect the end door to other part of
the joint and used to adjust the longitudinal slope of the tunnel, as shown in
Fig. 13.20.
Fig. 13.20 The construction drawing of the joint with GINA and OMEGA water stopping bands
13.5 Foundation of the Immersed Tube Tunnel
13.5.1 Geological Conditions and the Foundation

of the Immersed Tube Tunnel
In the construction of the ground buildings, appropriate foundations should be

chosen to reduce the settlement according to the geological condition. The existence
of a quick sand bed will increase the difficulty of construction, and special measures
such as dewatering method must be taken. However, the conditions of the
immersed tunnel are different from those of the ground buildings. First, the set-
tlement caused by the consolidation or shear failure of soil will not happen. Second,
after the immersing of the immersed tube, the load acting on the groove does not
increase, but decreases.
Figure 13.21 shows that before the excavation of the groove, the initial pressure
P0 acting on the bottom surface A-A is
P0 ¼ cs ðH þ CÞ ð13:5Þ
where P0 is the initial pressure acting on the bottom surface A-A (kN/m2); cs is the
buoyant unit weight of the soil, which is about 5–9 kN/m3; H is the full height of
the immersed tube (m) and C is the thickness of the earth covering, which is 0.5 m
in common and 1.5 m in particular cases.
Fig. 13.21 Distribution of the pressure acting on the bottom surface of the groove
13.5 Foundation of the Immersed Tube Tunnel 579
After the immersing of the tube section and the completion of the backfilling, the
pressure P acting on the bottom surface A-A is
P ¼ ðct 10ÞH ð13:6Þ
where ct is the equivalent unit weight of the tube section (kN/m3).

Assuming that cs ¼ 7 kN / m3 , H = 8 m, C = 0.5 m, ct ¼ 12:5 kN=m3 , the
pressure P0 and P acting on the bottom surface A-A are
P0 ¼ 7 ð8 þ 0:5Þ ¼ 59:5 kN=m2
P ¼ ð12:5 10Þ 8 ¼ 20 kN=m2 \P0
Therefore, the foundation of the immersed tunnel does not need to be treated to
solve the settlement. In addition, the immersed tunnel is constructed under the
water, the quicksand problem will not happen. The immersed tunnel can be con-
structed under various geological conditions.
13.5.2 Foundation Treatment of the Immersed Tube Tunnel
When the soil in the groove is excavated, the bottom surface of the groove is not
flat. So there will be a lot of irregular spaces between the bottom surface of the
groove and that of the immersed tube, which will bring about the partial failure
under the unevenly stress. Therefore, the bottom surface of the groove must be
flattened. The methods are shown in Fig. 13.22.
The methods for the foundation treatment of the immersed tube tunnel can be
divided into two categories: pre-bedding method and post-filling method. The
pre-bedding method is to lay a sand-grave cushion on the bottom surface of the
groove and then put the tube section on the cushion. The method is suitable for the
immersed tube with a small bottom width. The post-filling method is in the reverse
order, which is suitable for the immersed tube with a large bottom width except for
the sand cone method. The purpose of the foundation treatment is to eliminate the
irregular space between the bottom surface of the groove and that of the immersed
tube. However, those methods for the foundation treatment differ widely in the
effect and the cost.
1. Pre-bedding method
For the pre-bedding method, the foundation of the road is leveled off with the
scraping and laying machine, as shown in Fig. 13.23. The coarse sand or the
crushed stone with the maximum diameter of no more than 100 mm can be chosen
as the paving material. Sand should not be used as the paving material in the
Foundation treatment
Pre-bedding method
Post-filling method
Scraping and laying method
Mortar grouting method

Stone scraping method
Sand scraping method
Sand-jetting method
Sack-filling method
Sand flow method

Sand cone method
Fig. 13.22 The methods for the foundation treatment of the immersed tube tunnel
Fig. 13.23 The scraping and laying machine. 1—Buoyant box; 2—Sand and stone inlet pipe;
3—Screed board; 4—Sand-gravel cushion; 5—Anchor block; 6—Bottom of grooves; 7—Steel
rail; 8—Mobile steel beam
seismic areas. The width of the paving material should be 1.5–2 m larger than the
bottom width of the immersed tube, and the length is the same as that of the tube
section. However, the surface of the paving material is not completely smooth. So
there is always a little space between the bottom of the immersed tube and the
paving material. Therefore, a “compaction” procedure is needed after the
immersing of the tube section. In order to reduce the space between the bottom of
the immersed tube and the paving material, the immersed tubes can be filled with
the ballast water or sand and stone material to make them overloaded.
Fig. 13.24 The

prefabricated support plate
2. Post-filling method
For the post-filling method, the underwater temporary support is needed. The
reinforced concrete support plates built on the ballast or the simple piers supported
by short steels are usually used, as shown in Fig. 13.24.
The basic procedures of the post-filling method are as follows. First, the exca-
vation depth of the groove should be 1 m larger than the design depth. Second, the
temporary support is installed on the bottom of the groove. Finally, the bedding
material is backfilled to the space between the bottom of the immersed tube and the
paving material after the immersing of the tube section. There are many con-
struction methods for the post-filling method.
(1) Sand cone method
After the immersing of the tubes, the coarse sand will be sent to the bottom of the
tubes through pipes and the cushions along the longitudinal direction are
constructed.
(2) Sand-jetting method
When the width of the tube section is large, the sand pump is used to send the sand
and water mixture to the bottom of the tubes. The thickness of the cushion is about
1 m, as shown in Fig. 13.25.
(3) Sack-filling method
The space between the bottom of the immersed tubes and the cushion will be filled
with mortar bags. Therefore, a layer of sand and stone cushion is needed before the
immersing of the tubes. And the space between the bottom of the immersed tubes
and the cushion is 150–200 mm in height, as shown in Fig. 13.26.
(4) Mortar grouting method
First, the excavation depth of the groove should be 1 m larger than the design
depth. Second, build a layer of gravel of 400–500 mm thickness. It is not necessary
Fig. 13.25 Sand-jetting method. 1—The prefabricated support plate; 2—Sand-jetting bracket;
3—Sand-jetting pipe; 4—Sand cushion
Fig. 13.26 Sack-filling method
to level off. Third, build the detritus needed for the temporary support and then
carry on the immersing of the tubes. Fourth, enclose and seal the immersed tubes
with the sand and gravel mixture, as shown in Fig. 13.27. Finally, inject the mixed
mortar into the bottom of the tubes through the grouting holes with the pressure
grouting equipment.
Fig. 13.27 Mortar grouting method (unit: mm)
Fig. 13.28 Sand flow method. 1—Barge; 2—Sucker mouth; 3—Buoyant boxes; 4—Sand hole
(5) Sand flow method
The sand flow method is almost the same as the mortar grouting method, as shown
in Figs. 13.28 and 13.29. The difference is that the sand and water mixture is used.
13.5.3 Foundation of the Immersed Tubes on the Weak Soil

Layer
If the foundation soil under the immersed tubes is very weak and its allowable
bearing capacity is very small, the ordinary foundation treatment is not enough. The
solutions are as follows. (1) Replace the weak soil layer with sand; (2) Use the sand
pile and preload; (3) Lighten the weight of immersed tube; (4) Use the pile
foundation.
Fig. 13.29 Sand hole.

1—Sand pipe; 2—Valve;
3—Ball valve
Fig. 13.30 Displacement

method with sand (unit: m).
1—Sand layer; 2—Bottom
elevation of the tunnel
For Solution (1), the construction cost is large, and there is a liquefaction risk
when the earthquake comes. If the sand source is far away from the construction
site or the construction site is in the seismic area, Solution (1) is inappropriate. It
was used in the underwater immersed tunnel in Limfjords, Denmark. The weak soil
layer was replaced with sand, as shown in Fig. 13.30. For Solution (2), the con-
struction cost is large, too. No matter how much loading is added, much time is
needed for the consolidation of the foundation, which has great influence on the
construction period. For Solution (3), it can effectively reduce the settlement. But
reducing the weight of the immersed tube is not practical because of the require-
ment for the anti-floating safety factor. In a word, only Solution (4) is suitable.
For the immersed tunnel with the pile foundation, there are some problems
different from the ground buildings. The top elevations of the piles are different so
that it is difficult to ensure that all the top surfaces of the piles are in contact with the
bottom of the tubes. The forces acting on the piles are different. Therefore, effective
measures must be taken to solve the problem of the uneven force in the foundation
design of the immersed tunnel.
1. Load-transferred path for the underwater concrete
First, one or two layers of underwater concrete will be used to wrap the top of the
piles. Second, a layer of sand-gravel cushion is laid on the underwater concrete. So
the weight of the immersed tubes will be transported to the foundation piles through
the sand-gravel cushion and the underwater concrete. This method was used in the
immersed tunnel in Bankhead, America, as shown in Fig. 13.31.
2. Load-transferred path for the mortar bag
The space between the top of the pile and the bottom of the tube section is filled
with mortar bags so that the load acting on each foundation pile is the same. The
mortar bags characterized by high strength and good permeability can discharge the
water in time. The strength of the mortar should be slightly higher than that of the
Fig. 13.31 Load-transferred path for the underwater concrete. 1—Underwater concrete; 2—Pile
Fig. 13.32 Load-transferred path for the mortar bag. 1—Sand and stone cushion; 2—Mortar bag
foundation, but its liquidity must be good. This method was used in the immersed
tunnel in Tjngstad, Sweden, as shown in Fig. 13.32.
3. Adjustable pile head method
A prefabricated concrete adjustable pile head is set at the top of the foundation pile.
After the immersing of the tubes, the cement mortar is poured into the cavity
between the adjustable pile head and the foundation pile until the adjustable pile
head is closely in contact with the bottom of the tubes, as shown in Fig. 13.33. This
method was first used in the immersed tunnel in Rotterdam, Holland, and then a
steel adjustable pile head was used in Japan. The space between the top of the pile
and the bottom of the tube section is filled with the soft cushion. The thickness of
the soft cushion is determined by the predicted settlement. After the immersing of
the tubes, fill the space between the adjustable pile head and the bottom of the tube
section with mortar.
13.6 Immersing of the Tubes and the Underwater

Connection
13.6.1 Methods for Immersing of Tubes
During the construction of the immersed tunnel, the most economical method for
the immersing of the tubes should be selected according to the natural conditions,
channel conditions, the quantity of the tubes and the equipment conditions. At
present, there are several methods for the immersing of the tubes.
13.6 Immersing of the Tubes and the Underwater Connection 587
Fig. 13.33 Adjustable pile head method (unit: mm). 1—Steel-pipe pile; 2—Pile shoe; 3—Water
cement slurry; 4—Adjustable pile head; 5—Precast concrete pile; 6—Guiding pipe; 7—Polyester
bag; 8—Mud-jacking pipe; 9—Control valve
1. Divided and coupled hanging-sinking method
There are 3 or 4 lifting points on each tube section, which is slowly placed to the
specified location with 2–4 crane ships or buoyant boxes. In the early times, the
crane ships were widely used. In 1960s, Coen used the buoys for the immersing of
the tubes. But the buoys were replaced by the buoyant boxes in 1969. The divided
and coupled hanging-sinking methods with crane ships, buoys, and buoyant boxes
are shown in Figs. 13.34, 13.35 and 13.36, respectively.
2. Hanging-sinking method helped by steel beams fixed on boats
Figure 13.37 shows that four small deck barges are the main construction equip-
ment and the equipment cost is low.
3. Hanging-sinking method helped by workbench across the tunnel line
Figure 13.38 shows the hanging-sinking method helped by workbench across the
tunnel line, which is also called self-elevating platform.
Fig. 13.34 The divided and coupled hanging-sinking methods with crane ships
Fig. 13.35 The divided and coupled hanging-sinking methods with buoys
4. Pulling–sinking method
The underwater piers preset at the bottom of the groove are regarded as ridges,the
windlass set on the steel truss and the steel cable connected to the ridge are used to
pull the tube section into the water, as shown in Fig. 13.39.
13.6.2 Underwater Connection
There are two ways of underwater connection: the tremie concrete connection and
the hydraulic pressure connecting method. The latter is widely used now.
Fig. 13.36 The divided and coupled hanging-sinking methods with buoyant boxes
Fig. 13.37 Hanging-sinking method helped by steel beams fixed on boats. 1—Positioning tower;
2—Deck barge; 3—Positioning cable
The principle of the hydraulic pressure connecting method is that under the huge
water pressure, a loop of rubber pad, which is mounted on the periphery of the front
end of the tube section, is compressed to form a good waterproofing joint. After the
immersing of the tube, it will be pulled to the existing tube section and closely
connected, which results in the compression and deformation of the rubber pad for
the first time. So it has a preliminary sealing effect. Then the water between the
back end closed wall of the existing tube and the front end closed wall of the new
tube is drained away. Before the drainage, the water pressure acting on the front and
back closed walls of the new tube is balanced. After the drainage, the water pressure
acting on the front end closed wall is equal to an atmospheric pressure. So the huge
water pressure acting on the back end closed wall will push the tube forward, which
will result in the compression and deformation of the rubber pad at the second time,
Fig. 13.38 Hanging-sinking method helped by workbench across the tunnel line. 1—Positioning
rod; 2—Pull-in jack
Fig. 13.39 Pulling-sinking method. 1—Pull-in jack; 2—Windlass; 3—Steel cable; 4—Ballast
water
Fig. 13.40 The hydraulic pressure connecting method
as shown in Fig. 13.40. So the element joint will have a very reliable sealing effect.
The hydraulic pressure connecting method characterized by simple technology,
convenient construction, good waterproof performance, wide adaptability, reliable
quality, and low cost has been widely used in the construction of the immersed
tunnels.
13.7 Summary
(1) The immersed tube method characterized by convenient construction, good

waterproof performance, wide adaptability, and low cost is widely used in the
construction of the underwater tunnels in recent years.
(2) Except for the conventional loads, such as the self-weight, earth pressure,
subgrade reaction, construction load, and vehicle load, the loads acting on the
immersed tube structure also include the water pressure, buoyancy, prestress,
settlement friction, current pressure, and so on. The design of the immersed
tube structure mainly includes the buoyancy design, analysis of the transverse
structure and the longitudinal structure, reinforcement, and the application of
prestress. The buoyancy design is a characteristic of the immersed tube
structure, which is different from other underground structures.
(3) The waterproof measures for the immersed tube structure include the external
waterproof and internal waterproof. The element joints include rigid joints and
flexible joints, which have the characteristics of convenient construction, good

waterproof performance, high bearing capacity, and low cost.
(4) There are mainly two methods for the immersing of the tubes: hanging-sinking
method and pulling–sinking method. The hydraulic pressure connecting
method is widely used.
Problems
13:1 Introduce the applicable conditions of the immersed tube structure. Com-
pared with shield tunnel structure, what are the characteristics of the
immersed tube structure?
13:2 Introduce the keys in the design of the immersed tube structure.
13:3 What factors should be considered in the buoyancy design of the immersed
tube structure?
13:4 Introduce the significance of the freeboard.
13:5 Introduce the methods and principles in the design of the immersed tube
structure.
13:6 Introduce the treatment about the element joints.
13:7 Introduce the treatment about the foundation of the immersed tube.
Design of Pipe-Jacking, Pipe-Roofing,
and Box Culvert Structures 14
14.1 Pipe-Jacking Structures
14.1.1 Introduction
Pipe-jacking was developed based on the shield tunneling method. Compared to the
shield tunneling method, pipe-jacking is used to install the water supply pipelines, the
drainage pipelines, the gas pipelines, and the cable pipelines. Utilizing pipe-jacking,
a trenchless technique, specially designed pipes are pushed through the soil under the
rivers, roads, railways, buildings, underground structures and many types of pipe-
lines. In 1896, this method was first used in the construction of the Northern Pacific
Railway of the United States. In China, it was first used in Beijing in 1953.
In the soft soil areas, when excavations are conducted, it is necessary to adopt
the support measure and the dewatering measure which have side effects on the
traffic efficiency and the safety of the pipelines and the buildings around the con-
struction site. By contrast, pipe-jacking can control the side effects and has bright
application prospectives.
As shown in Fig. 14.1, pipe-jacking is a construction method for building tun-
nels and installing underground pipelines. Using the upper pipe working well as the
bearing wall, this method takes advantage of hydraulic jack or the devices that have
functions of pushing and pulling and pushes the pipes through the soil according to
the designed elevation, the azimuth, and the slope.
Pipe-jacking can be used in the construction of the pipeline engineering at
special geological conditions which including ① the pipeline engineering through
the soil under water such as rivers, lakes and harbors; ② the pipeline engineering
through the soil under the architectural complex and busy streets; ③ the pipeline
engineering through the soil under the subgrade of highways and railways; and ④
rebuilding engineering for culverts, reservoirs and dams.
https://doi.org/10.1007/978-981-13-7732-7_14
594 14 Design of Pipe-Jacking, Pipe-Roofing, and Box …
Fig. 14.1 The construction schematic diagram of pipe-jacking method
There are a series of devices and technologies which have been developed such
as the relay ring device, the reducing resistance technology using bentonite slurry,
rectifying the deviation technology, the slurry balance technology, the earth pres-
sure balance technology and so on. These technologies have encouraged devel-
opment of pipe-jacking.
In long-distance engineering utilizing pipe-jacking, the pipe has to be divided
into several parts, joint rings are set up in the middle of every two parts and the
lubricant is added to the gap between the tube wall and the soil for pushing easily.
14.1.2 Classification of Pipe-Jacking

1. The classification according to caliber
According to the inner diameter, pipeline of pipe-jacking can be classified into the
minor caliber, the medium caliber, and the heavy caliber. Based on the actual
situation in China, the minor caliber is pipelines whose inner diameter is less than
800 mm and the medium caliber is pipelines whose inner diameter is in the range of
800–1800 mm.
2. The classification according to one-time jacking length
According to the one-time jacking length, the pipe-jacking can be classified into the
medium or short distance, the long distance, and the extra long distance. The
difference between the medium or short distance and the long distance is that the
joint ring is necessary.
3. The classification according to materials
According to the materials, the pipe-jacking can be classified into the steel pipes,
the concrete pipes, the FRP pipes, and the composite pipes.
14.1 Pipe-Jacking Structures 595
4. The classification according to the types of axes
According to the types of axes, the pipe-jacking can be classified into the linear
pipe-jacking and the curve pipe-jacking. The curve pipe-jacking can be further
classified into the constant curve pipe-jacking and the rapid curve pipe-jacking
using the radius of curvature of 300 m as the divided line.
14.1.3 Calculation of Pipe-Jacking
1. Design contents
The calculation of the jacking force is the most important calculation contents. This
calculation result can help to determine the ability of the jack-in equipment, to
check the biggest jacking force, to arrange the equipment, to determine the bearing
capacity and to choose the form of the bearing wall and so on.
The working well and the cast-in-place thrust wall cost a lot in the engineering of
pipe-jacking. For selecting the form of the thrust wall economically and reasonably,
it is necessary to calculate the actual jacking force. Provided that the design load of
the thrust wall is less than the actual jacking force, the biggest jacking force may
devastate the thrust wall and the soil behind the thrust wall. If the jacking force
estimated is too large, it will lead to the high engineering cost.
The strength of the pipe’s cross-section area is determined by the material, the
diameter and the thickness of the pipe. Provided that jacking force calculated is
larger than the bearing capacity, the pipe will be damaged. The pipe would crack
when the material of pipe is ferroconcrete, while the pipe would be wrapped or
crack when the material of pipe is steel.
The jacking force needs to be considered when choosing the construction
scheme. The auxiliary measures, such as lubrication utilizing the bentonite slurry,
should be adopted if the strength of the thrust wall or the pipe is less than the
jacking force. If the measures of reducing the drag cannot meet the requirement
because of the relative long distance or the lubricant cannot be grouted because of
the liquefaction of soil, the joint ring must be adopted for jacking.
The same as the calculation of jacking force and the form of structure of the
thrust wall, it is also important that calculating the resistance of the soil behind the
thrust wall. So, the resistance of the soil must be calculated accurately for utilizing
the resistance of soil under the condition of safe. If the soil resistance is overvalued,
the elastic deformation would be too large and jack-in efficiency would drop. If the
soil resistance is extremely overvalued, the thrust wall will be destroyed.
2. The calculation of jacking force
(1) The constituent of jacking force
For pushing the pipe through the soil, jacking force should overcome external force
which can be named as jacking resistance including the penetration resistance and
frictional resistance.
Fig. 14.2 The external force on the pipe
In the process of jacking, the friction coefficient of the homogeneous soil is a

constant and there is no local resistance without the excess correction, and the
external force is shown in Fig. 14.2. Px is the normal force on the pipe wall induced
by the vertical earth pressure (kN); Py is the normal force on the pipe wall caused by
the lateral earth pressure (kN); G is the dead weight of the pipe section (kN); f is the
fraction coefficient between the pipe wall and the soil; F is the frictional resistance
(kN); Rf is the jacking force (kN); and PA is the penetration resistance (kN).
The jacking force can be obtained based on the axial force balance principle and
it is equal to the sum of the penetration Presistance and the frictional resistance. The
frictional resistance can be denoted by F, and we can get
X
F ¼ f px þ p y þ G ð14:1Þ
X
Rf ¼ PA þ F ð14:2Þ
In the process of jacking, the force state of the pipe wall is changing and difficult
to estimate because the pipe section is influenced by many factors such as soil, the
error correction, the synchronism of jack pushing, the displacement of the thrust
wall and so on. So, it is necessary to set up the safety factor when measuring the
ability of equipments for overcoming many types of resistance through soil.
Considering the safety factors can guarantee safety and cost of the engineering
construction.
(2) The influence factors of jacking force
There are many different influence factors. The external conditions with regularity,
such as the type of soil, physical mechanics characters of soil, the covering depth,
the material of pipe, the diameter of pipe, and so on, can be known clearly by
investigation and tests. However, there are some inestimable factors, such as the
landslide, the soil liquefaction and the water burst caused by improper operation,
equipment fault and variation of soil, which can increase the jacking force. Hence, it
is essential that investigation and estimation should be carried out before the
engineering construction.
1) The frictional resistance of jacking
The frictional resistance between the pipe wall and the soil is proportional to the
normal force and is related to the type of soil. The frictional resistance is absolutely
different when the pipe wall is contacted with soil or thixotropic slurry. The slurry
can reduce the frictional resistance a lot.
The earth pressure exists around the pipe. The earth pressure depends on the
covering depth, unit weight of soil, the internal friction angle and the adhesion of
soil. Because the frictional resistance is increasing with the earth pressure
increasing, the resistance caused by the soil underneath the pipe would generate.
The frictional resistance is related to the type of soil and the material of pipes.
Because the sand has heavier unit weight and rougher surface than the clay, there is
higher frictional coefficient between the pipe and the sand. The frictional resistance
increases with the frictional coefficient rising. Provided that the surface of pipe is
smooth, the frictional resistance would be lower, which lead to more easily jacking
when pushing the steel pipes into soil than the ferroconcrete pipes.
2) The penetration resistance
The resistance on the head face of the first pipe is the penetration resistance as the
pipe is jacked into soil. This type of resistance is related to the type of soil, the water
content and the structure of pipes. The soft clay is more easily to be penetrated than
the dry clay and sand.
The foot blade is installed on the head face. The shear of soil is a part of the
penetration resistance, and the soil resistance and the friction between the tube and
the soil are increasing as the pipe moves forward. When the soil is squeezed into the
pipe, the friction between the soil and the blade foot is produced. The vertical
component of this new friction compress the soil and the horizontal component is
the soil resistance on the blade foot. The penetration resistance consists of the shear
resistance of soil, the frictional resistance between the blade foot and soil, the soil
resistance acting on the blade foot and the compressive force of soil. The value of
penetration depends on the shape and the type of blade foot. When the blade foot is
small, it is easy for blade foot to penetrate the soil. However, low rigidity will result
in easy deformation. Deformation leads to the increase of the penetration resistance.
In addition, the penetration would increase with the area penetrated increasing.
The stability of the working face has influence on the penetration resistance.
Stable working face can prevent the collapse of soil and more excavation is
allowed. The end of pipes can be jacked without penetrating in soil. At this time,
there is no penetration resistance. Otherwise, the pipe is jacked in by extrusion
which leads to the penetration resistance depending on the shear strength. Soft soil
makes it easier to jack-in than clay with low water content. In general, the pene-
tration resistance is smaller than the friction and the penetration is a constant when
the soil is uniform.
3) The calculation of jacking force

① The theoretical formula
The jacking force can be obtained by:
Rf ¼ K ½f ð2Pv þ 2Ph þ PB Þ þ PA ð14:3Þ
where Rf is the calculated jacking force (kN); Pv is the vertical earth pressure on the
top of the pipe (kN); Pu is the lateral earth pressure (kN); f is the fraction coefficient
between the pipe wall and the soil; PA is the penetration resistance on the head face
(kN); K is the safety factors which is usually 1.2.
The vertical earth pressure caused by overlying soil of the pipe can be obtained by:
Pv ¼ Kp c H D1 L ð14:4Þ
where Kp is the coefficient of the vertical earth pressure, as shown in Fig. 14.3; c is
the unit weight of soil (kN/m3); H is the thickness of the overlying soil of the pipe
(m); D1 is the external diameter of pipe into the soil (m); L is the length of the pipe
into the soil (m).
The lateral earth pressure can be obtained by:

D1 u
PH ¼ c H þ D1 Ltan2 45 ð14:5Þ
2 2
where u is the internal friction angle (°).

The drilling should be carried out along the pipe for obtaining the property
indexes of the soil sample by experiments. The frictional coefficient between the
pipe wall and the soil can be obtained from Table 14.1.
Fig. 14.3 The relationship of H/D1-Kp. 1—Clay (dry); 2—Sand or harden clay (moisture or
saturated); 3—Plastic clay; 4—Flow plastic clay
Table 14.1 The frictional coefficient between the pipe wall and the soil
The type of soil The ferroconcrete pipe The steel pipe
Dry Moisture General Dry Moisture General
value value
Soft soil – 0.20 0.20 – 0.20 0.20
Clay 0.40 0.20 0.30 0.40 0.20 0.30
Sandy clay 0.45 0.25 0.35 0.38 0.32 0.34
Silt 0.45 0.30 0.38 0.45 0.30 0.37
Sand 0.47 0.35 0.40 0.48 0.32 0.39
Gravel 0.50 0.40 0.45 0.50 0.50 0.50
PB ¼ G L ð14:6Þ
where G is weight per unit length of the pipe (kN/m); L is the total length of the
pipe into the soil (m).
Because calculating the penetration resistance is complex and is not accurate
through the theory, the empirical value is usually adopted. The penetration resis-
tance is related to the type of soil, the soil physical property, and the operation
method.
② The formula of calculating jacking force

When the ferroconcrete pipe is pushed into soil, the jacking force can be obtained
by:
Rf ¼ n G L ð14:7Þ
where n is the coefficient of soil; G is weight per unit length of the pipe (kN/m); and
L is the length of the pipe into the soil (m).
The coefficient of soil n can be determined by soil arch as shown in Table 14.2.
③ Calculation of the permissible jacking force
The permissible jacking force of the steel pipe can be obtained by:
p
F¼ rT tðd þ tÞ ð14:8Þ
K
Table 14.2 The coefficient of soil quality

The type of soil, water content and the stability of working face n
The soil arch can be formed in a short term when excavating in the soft soil, the sandy 1.5–
clay, the silt with low water content, and the sand 2
The soil arch cannot be formed and the collapse is not severe when excavating in the 3–4
dense sand, silt with high water content, the sand, and gravel soil
where F is the permissible jacking force of the steel pipe (kN); K is the safety factor
which is usually adopted 4; rT is the yield strength of the steel (MPa), and the yield
strength for the steel of Q235 is 210 MPa; t is the wall thickness of the steel pipe
(m); d is the inner diameter of the steel pipe (m).
The permissible jacking force of the concrete pipe can be obtained by:
p
F¼ rðt L1 L2 Þðd þ tÞ ð14:9Þ
K
where F is the permissible jacking force of the concrete pipe (kN); K is the safety
factor which is usually adopted 5–6; r is the compressive strength of the concrete
pipe (kPa); t is the wall thickness of the concrete pipe (m); L1 is the distance
between the bottom of the seal ring and exine (m); L2 is the reserved distance
between the wood gasket and the inner wall (m).
3. The calculation of the thrust wall

The structural design can be produced after the most jacking force obtained. For the
thrust wall, its structure and size mainly depend on the diameter of the pipeline and
the passive earth pressure (the jacking force). Calculating the jacking force can
guarantee the safety of soil behind the thrust wall when the most jacking force is
conducted and make the best of the bearing capacity of the soil.
The jacking force exerts an effect on the soil through the thrust wall and the soil
behind the thrust wall is compressed. At the same time, the jacking force, called
passive earth pressure, acts on the thrust wall. The stress–strain curve is a straight
line before the failure of soil. Figure 14.4 shows the stress–strain curve obtained by
the experiment conducted with sandy clay in certain engineer. It can be seen that
between the point b and c, the earth pressure is a constant but the deformation of
soil caused by compression is increasing. This demonstrates that the soil behind the
thrust wall has been damaged. Residual deformation reaches to 2.4 cm after resi-
lience caused by unloading is over.
The jacking force should be took full advantage of, because the most jacking
force would appear when the section of jack-in is about to accomplish. The
deformation of the soil behind the thrust wall should be especially paid attention to
Fig. 14.4 The stress–strain

curve of the soil behind the
thrust wall
Table 14.3 The coefficient Soil u (°) Kp KA Kp/KA

of active and passive earth
pressure Soft soil 10 1.42 0.70 2.03
Clay 20 2.04 0.49 4.16
Sandy clay 25 2.46 0.41 6.00
Silt 27 2.66 0.38 7.00
Sand 30 3.00 0.33 9.09
Gravel 35 3.69 0.27 13.67
in the process of construction and the residual deformation should be limited to

2.0 cm. When the deformation is oversize, the auxiliary measures should be con-
sidered. If necessary, the soil should be strengthened to increase the jacking force.
Passive earth pressure caused by compression should be calculated by
rp ¼ Kp c h ð14:10Þ
where rp is passive earth pressure (kN/m2); Kp is the coefficient of passive earth

pressure; h is the height of the soil behind the thrust wall (m); y is the unit weight of
the soil behind the thrust wall (N/m3).
The coefficient of passive earth pressure is related to the internal friction angle of
soil and it can be calculated by
u
Kp ¼ tan2 45 þ ð14:11Þ
2
The value of Kp can be seen in Table 14.3.
Considering the jacking force of the soil behind the thrust wall, the bearing
capacity can be calculated by:

H
Rc ¼ K r B H h þ c Kp ð14:12Þ
2
where Rc is the bearing capacity of the soil behind the thrust wall (kN); B is the
width of the thrust wall (m); h is the height between the top of the thrust wall and
the ground (m); c is the unit weight of soil (kN/m3); Kp is the coefficient of passive
earth pressure; and Kr is the coefficient of soil resistance of the thrust wall.
The different structure of the thrust wall would lead to the different force con-
dition. For safety, the proper coefficient of soil resistance should be chosen based on
the structure of the thrust wall.
1) Without sheet pile
Constructing the thrust wall without sheet pile, the body of wall in contact with the
soil is shown in Fig. 14.5. 0.85 should be chosen as the coefficient of soil resistance
and the calculation formula is transformed into:
Fig. 14.5 The thrust wall

without sheet pile

H
Rc ¼ 0:85 B H h þ c Kp ð14:13Þ
2
2) With sheet pile
Constructing the thrust wall with steel sheet pile, the jacking force can be trans-
mitted through the steel sheet pile, as shown in Fig. 14.6. The coefficient of soil
resistance should be chosen based on the structure of the thrust wall and the
thickness of covering soil. The coefficient of soil resistance is decreasing with the
thickness of covering soil decrease. The support of sheet pile leads to the increase
Fig. 14.6 The thrust wall

with sheet pile
Fig. 14.7 The resistance curve
of the coefficient of soil resistance, because this structure can expand the distri-
bution range and diminish the concentrated stress. Figure 14.7 shows the rela-
tionship of the coefficient of soil resistance and ratio of height of sheet pile to the
height of the thrust wall.
14.1.4 Main Equipment for the Pipe Jacking Construction

1. Common tools
Nowadays, some tools are popular in pipe jacking, such as the hand-digging
method, squeezing and pressing method, sludge-liquid balance method, the
hydraulic excavation method with three segments and two hinges and the
multi-cutter earth pressure balance method.
Fig. 14.8 The hand-digging

tool
Fig. 14.9 The crushing tool
As shown in Fig. 14.8, the hand-digging tool has an open front and manual
excavation is necessary.
As shown in Fig. 14.9, the front of the crushing tool equips the reticulate device
to cut soil or enlarge the foot blade, which can help reduce the area of the exca-
vation face.
The tools used in the sludge-liquid balance method, as shown in Fig. 14.10,
equip the cutter head in the front and the sealed cabin into which stabilization slurry
is poured on the back. The soil that was cut by the cutter head falls into the sealed
cabin and then would be transmitted to the device of disposing slurry on the ground
by pipes.
As shown in Fig. 14.11, the internal space of the tool with three segments and
two hinges is divided into three parts. The forward cabin is the soil washed cabin
with the grid for cutting and crushing soil. The medial cabin is the operation cabin
Fig. 14.10 The muddy water balanced tool

Fig. 14.11 The tool with three segments and two hinges. 1—The foot blade; 2—Grid;
3—Floodlight; 4—Plastron; 5—Vacuum manometer; 6—Inspection window; 7—High-pressure
water room; 8—Vertical hinge; 9—Oil cylinder of rectifying deviation; 10—Squirt; 11—Small
watertight door; 12—The entering grid; 13—The door of drawing-in; 14—Pit; 15—The entering
of suckers; 16—Union; 17—Oil cylinder of rectifying deviation; 18—Horizontal hinge;
19—Sucker; 20—Pneumatic valve; 21—Large watertight door; 22—Sucker valve; 23—The ring
of slurry; 24—The pit of cleaning; and 25—Pipes; 26—Air pressure
which is partitioned with the forward cabin. The backward cabin is the control
cabin with the monitoring instruments and meters. The tool is pushed by the jack
and cuts up soil. The soil is crushed and stirred by high-pressure water and
transformed into slurry. The slurry would be transmitted to the device of disposing
slurry on the ground by pipes and pumps.
As shown in Fig. 14.12, the sealed cabin is installed in the front of the tools used
in the multi-cutter earth pressure balance method. There are several cutter heads in
the head face. When jacking, the excavation speed of the screw needs to be
coordinated with the advancing speed of the tool.
In recent years, pipe jacking is usually used in underground engineering which is
constructed in the cities with lots of buildings or which need to be pushed through
the soil under the rivers, dams and railway subgrades. The roof distance of rein-
forced concrete pipes and reinforced concrete pipes covered with steel plates has
Fig. 14.12 The multi-cutter earth pressure balance tool

reached 100–290 m and the counterparts of steel tubes have reached 1200 m. In
general, subsidence can be limited to 50–100 mm when constructing engineering
with pipe jacking, while subsidence of the engineering utilizing the sludge-liquid
balance method even can be limited to less than 30 mm.
The basic principle and the construction technology of above methods are
similar to the counterparts of the shield tunneling method. In the process of pipe
jacking, construction can be conducted by remote control. The pipe axis and the
elevation can be measured continuously and the deviation can be rectified in time.
2. Relay ring
(1) The principle of relaying
In the long distance of pipe jacking, the relay technology should be used to ensure that
the jacking force is less than the permissible jacking force when the jacking resistance
exceeds one of the three forces including the total jacking force of the key jack, critical
pressure of pipes, and the critical reverse thrust of the soil behind the thrust wall.
As shown in Fig. 14.13, the pipe divided into several parts and the relay ring is
installed in the middle of the adjacent parts. When the relay oil cylinder works, it
presses the back part and pushes the front parts. The relay rings work one by one,
which can reduce the jacking force. Using the technology, the critical reverse thrust
cannot limit the length of pipe jacked in the soil. The length of pipe can increase
with the number of the relay ring increasing, so that this technology is necessary for
the construction of the long-distance pipe jacking engineering.
The location of the relay ring installed should be confirmed by calculation. In the
calculation about the first relay ring, the face pressure and the frictional resistance
should be considered and the bigger safety factors should be chosen. In the cal-
culation about other relay rings, only the frictional resistance needs to be considered
and choosing the bigger safety factor is the first choice.
(2) The component of the relay ring

The enough stiffness, the good sealing property, the precision machining, and the
convenient installation are all indispensable for the relay ring. Usually, the relay
ring consisted of several components.
1) Jacks with short stroke from 150 to 300 mm, the same capacity and standard;
2) Hydraulic system, electrical equipment, and operation system;
3) Shell, fasteners, and the sealing ring; and
4) Pressure flange.
Fig. 14.13 The relay ring

Fig. 14.14 The component of the relay ring
Hydraulic control system should be arranged according to the environment of

the construction site and its types of control can choose internal independent control
or external centralized control. The diameter of shell of the relay ring, whose
sealing environment and lubrication should be ensured, should be same as the
external diameter of pipes and the head face moving forward should be connected
with pipes though special section.
The component of the relay ring used in the steel tube is shown in Fig. 14.14.
Ring beams, which will be dismantled with the engineering completing, are set on
the front and the back part, and alternative ring, which facilitates the dismantlement
of the relay oil cylinder, is installed in the middle of these two ring beams.
A muff-coupling device is taken advantaged to connect the front and the back part,
and the rubber-sealing ring is used to prevent leakage.
(3) Automatic control of the relay ring
The relay rings can be numbered according to the distance away from the front head
face. Constructing the engineering need to start the relay rings in order, and the
No. 1 relay ring should be started first. With the help of back parts, this relay ring
pushes the front part forward until the distance reaches the limitation. Then, the
No. 2 relay ring can be started after the No. 1 is stopped. Finally, the main jack
located in the working well is started and it can push the whole pipe forward.
The relay rings are only controlled by commands. If there are five relay rings in
the engineering, the second cycle of No. 1 is executed when the first cycle of
No. 4 is started, and the second cycle No. 2 is executed when the first cycle of
No. 5 is started. As a result, only the working of the first three relay rings spend the
time, and other relay rings have no influence on the forward velocity. Obviously,
automatic control of relay ring can deal with the problem about the efficiency.
14.1.5 Major Technical Measures for the Pipe-Jacking

Construction
1. Direction control in the process of jacking
For rectifying deviation and changing the direction, the direction must be controlled
in the process of jacking.
In the process of jacking, observation and monitoring of the pipe should be

carried out and the deviation should be rectified in time.
Deviating from the axis is caused by the imbalance of external force, on which
there are the following five factors that have influence:
(1) It is impossible to ensure that the pipes stay in a straight line;

(2) It is impossible to ensure that the surface of pipes is perpendicular to the axis
of pipes;
(3) The backing plate between the sections has different compressibility;
(4) The resultant force of face pressure has difficulty in keeping the same direction
with the resultant force of reaction force of the back parts;
(5) Additional resistance would produce and limit the deflection of pipes.
These factors result in the deviation of jacking. For calculating the decentration
of the jacking and estimating the stress distribution, it is essential to continuously
monitor the condition of unequal compressing for the joint of adjacent sections in
the engineering. Based on the result of monitoring, the deviation should be adjusted
to prevent damage of joints or cracks of pipes caused by too large decentration.
Several measures can be chosen to control the direction in the jacking
(1) The excavation method should be controlled strictly. Uniform excavation has
to be carried out on both sides of the pipes, and the blade should enter the soil
10 cm. Without special cases, overbreak is forbidden.
(2) The deviation should be rectified steadily, otherwise the deviation would be
instability.
(3) Rectifying the deviation can utilize the fact that excavation has influence on
the resistance—the deeper excavation would cause smaller resistance and vice
versa.
(4) The pressure-bearing iron can also be used for rectifying direction. This
method is useful but the distance should be controlled carefully, otherwise the
crack would appear in the pipes because of ununiform force condition.
These methods can be used independently or together according to the con-

struction sites.
2. The measures of reducing jacking resistance
The jacking resistance consisted of the face pressure and the frictional resistance
around the pipes. Apart from the relay rings, reducing the frictional resistance
around the pipes is more important for longer distance jacked. Thixotropic slurry
method is usually used to reduce this frictional resistance.
(1) The principle and the application condition
Bentonite slurry which is made according to certain mix proportion is injected into
and fills in the gap between the outside surface of the pipe and the soil. As a result,
there is a slurry blanket which covers the pipe and makes the pipe indirectly contact
with the soil. There is the buoyancy on the pipe covered by bentonite slurry. In the
process of jacking-in, resistance is only the frictional resistance between the pipe
and the slurry. Without the slurry, the frictional resistance on the surface is about
10–15 kPa, while injecting the slurry into the gap would obviously reduce the
frictional resistance to 1/6–1/4 of the former resistance because the thixotropy and
the lubrication of the slurry.
(2) Performance and production
Bentonite, water and caustic soda or sodium carbonate mixed together with certain
proportion can get thixotropic slurry. Alkali can help the slurry become colloid and
keep suitable consistency and workability. The proportion can be seen in
Table 14.4.
For producing the thixotropic slurry, the powder of bentonite should be scattered
slowly over water, then stir it. Finally, alkaline solution is poured into the slurry and
stirred uniformly. The mix proportion should be changed with bentonite from
different areas because of the different constituent. If the slurry made with bentonite
from certain place is too thin, the amount of alkali or bentonite should be increased.
24 h later, if the slurry is thick, it meets the requirement. The best method is testing
the shear and consistency with shear device, which can help know the consistency.
The consistency is related to the particle size of slurry, and therefore stability of
the slurry need to add moderate bentonite to the slurry. Too thin slurry would loose
the ability of lubrication and support. In general, 40 kg bentonite is necessary for
one cubic meter slurry. The relationship of particle size to the amount of bentonite
is shown in Table 14.5.
Table 14.4 Mix proportion of thixotropic slurry

Number Weight ratio of dry Weight ratio of The weight ratio of weight of alkali to
bentonite (%) water (%) the counterpart of soil (%)
1 20 80 4
2 25 70 4
3 14 86 2
Table 14.5 The relationship of particle size to the amount of bentonite

The average The amount of dry The average The amount of dry
particle size bentonite in one cubic particle size bentonite in one cubic
(mm) meter (kg/m3) (mm) meter (kg/m3)
50 100 1.0 34
30 82 0.3 24
10 60 0.2 21
3 45 0.1 18
2 40 – –
(3) Grouting
In the whole process of jacking-in, the bentonite slurry should be continuously

grouted into the gap and uniformly distributed around the pipe. Hence, the orifice of
grouting should be set on around the external surface of pipe uniformly. The spacing
between the orifices and the number of the orifices should be determined by the
difficult degree of slurry diffusion. Grouting into the layer of dense sand or gravel soil
needs to reduce the spacing, while grouting into the layer of loose gravel can enlarge
the spacing. The arrangement of the orifices can adopt the type of connecting orifices
with a ring pipe or the type of connecting orifices with two return bend pipes. In the
process of jacking-in, it is easy to diffuse for the slurry grouted from the bottom half
orifices. In the static situation, slurry grouted from the upper half orifices is more easier
to diffuse. Usually, grouting is started at the second section after cutting ring for
preventing the slurry entering the working face. It is necessary to conduct the com-
pensation grouting because the slurry would move forward with the pipe jacking.
For higher quality of grouting, some tasks should be accomplished in the
construction.
(1) The information about soil layers, the content of large particle and the particle
size should be obtained;
(2) The consistency of bentonite slurry should be confirmed according to the
particle size;
(3) Calculating the pressure of soil layers and the pressure of grouting is
necessary;
(4) Grouting should be continuous for higher quality.
14.1.6 Example of the Pipe-Jacking Design
1. The engineering situation

The length of pipe is 2887 m, its diameter is 1.0 m, and the elevation of the bottom
of this pipe is 86.000–80.335 m. There are 26 working wells and 34 receiving
wells. For all working wells and receiving wells, the inner diameter is 6 m and the
wall thickness is 50–60 cm. They are all reinforced concrete structures and the
strength of concrete is C30.
(1) Engineering geological condition
Table 14.6 shows the physical and mechanical parameters of layers.
(2) Hydrogeology condition
Surface water, which is easy to dewater, is 0.20–1.50 m in buried depth and is

recharged from the precipitation. The season has a large influence on the amount of
water.
Groundwater is 0.20–4.20 m in buried depth. The elevation of water level is
86.56–96.19 m and it would change in the range of 1.00–3.00 m in a year.
14.1
Pipe-Jacking Structures
Table 14.6 Physical and mechanical parameters of soil layers

The Water Density The Liquidity Cohesion Friction Compression Coefficient of Permissible value of
number content q void index IL c (kPa) angle u modulus Es friction on bearing capacity fak
of layers x (%) (g/cm3) ratio e (°) (MPa) basis l (kPa)
③ 22 2.01 0.654 0.38 36.8 16.6 9.08 0.3 180
④ 21 2.03 0.629 0.11 51.8 18.1 10.39 0.3 220
⑤ 26.6 1.97 0.755 0.14 51.1 17.2 11.07 0.3 220
⑥ 25.1 1.97 0.75 0.1 56 18.2 13.07 0.3 225
⑦ – – – – – – – 0.4 380
Notes ③ is silt clay; ④ is gravel-bearing silt clay; ⑤ is clay; ⑥is gravel-bearing clay; ⑦ is siliceous rocks
611
2. The compilation basis
(1) Architectural Structure Load Standards (GB50009-2012)

(2) Specification for Design of Outdoor Drainage Systems (GB50014-2016)
(3) Concrete Structure Design Code (GB50010-2010)
3. Checking calculation
It is necessary to conduct the checking calculation for the wall of working wells and
receiving wells before pipe jacking. We just need to do checking calculation of the
working wells because of the fact that the receiving wells have the same structure
and size as the working well. Figures 14.15 and 14.16 show the force on the wall of
the working well.
(1) The information about the checking calculation

The size of the working well: the size of the inner space is 6.0 4.5 m, and the
thickness of the wall is 0.5 m.
Fig. 14.15 The water

pressure on the wall of the
working well
Fig. 14.16 The earth

pressure on the wall of the
working well
The reinforcement of the working well: the double steel bar of / 20 II is

arranged in the horizontal direction and the spacing is 10 cm. The double steel bar
of 20 II is also arranged in the vertical direction and the spacing is 20 cm.
For convenient calculation and safe, the load around the working well can be cal-
culated as the soil of thickness of 1.5 m, the elevation of water level can be calculated as
1.0 m and the depth of the well is 11 m. The wall, which is 1 m, at the bottom of the
well can be chosen as calculation unit. The model can be simplified to the beam of rigid
ends and its span, thickness and width are 6 m, 0.5 m and 1 m, respectively.
(2) The load of the calculation unit
Water pressure:
1 1
q1 ¼ cw ½0 þ h1 ¼ 10 ½0 þ 1 ¼ 5 kN/m2
2 2
Active earth pressure:
1 pffiffiffiffiffiffi pffiffiffiffiffiffi
q2 ¼ ch2 Ka þ cðH h1 ÞKa 2c Ka þ ch2 Ka þ cHKa 2c Ka

2
1
¼ ½ð20 1:5 0:556 þ 20 ð11 1Þ 0:556 2 36:8 0:745Þ
2
þ ð20 1:5 0:556 þ 20 11 0:556 2 36:8 0:745Þ
¼ 78:5 kN/m2
The total lateral pressure of the calculation unit:
q ¼ q1 þ q2 ¼ 5:0 þ 78:5 ¼ 83:5 kN/m2
where c is the natural weight unit of soil, 20kN/m3; H is the depth of the working
well, 11m; h1 is the elevation of water level, 1m; h2 is the thickness of soil around
the well, 1.5m; Ka is the coefficient of the active earth pressure,
Ka ¼ tan2 ð45 u=2Þ; u is the internal frictional angle of soil, 16.6°; c is the
cohesion, 36.8kPa.
(3) The allowable moment of calculation unit (the strength of reinforced concrete
was chosen as C20 before pipe jack).
1
The maximum moment: Mmax ¼ 12 ql2 ¼ 12
1
83:5 6:52 ¼ 294:0 kN m
where l is the span of the calculation unit (m).
The hypothesis is that the tension of tensile area acted on rebar and the pressure
of compression area is acted on the concrete. The value of x, the location of central
axis, can be got based on the equilibrium condition of forces.
The value of x:
Ry As1 ¼ f Scc
That is,
340 103 3:14 0:012 10 ¼ 11 103 1:0x

x ¼ 0:097 m
The admissible value of the moment of calculation unit without considering the
effect of concrete in the compression area:
½M ¼ Ry As1 ð0:5 0:05 xÞ

¼ 340 103 3:14 0:012 10 ð0:5 0:05 0:097Þ
¼ 376:9 kN m [ Mmax ¼ 294:0 kN m
where [M] is the admissible value of the moment of calculation unit (kNm); Ry is
the designed tensile strength of steel bar, which is 340 MPa according to “Calcu-
lation Handbook for road and bridges”; As1 is the sectional area of shear rein-
forcement of calculation unit (m2); f is the compressive strength of the C20
concrete, 11 kPa; and Scc is the sectional area of concrete structure compressed.
The result is emphasis on safety.
(4) The checking calculation of shear
The maximum shear: Qmax ¼ 0:5ql ¼ 0:5 83:5 6:5 ¼ 271:4 kN

where Qmax is the maximum shear of the calculation unit (kN); q is the lateral
pressure of the calculation unit (kN/m); l is the span of the calculation unit (m).
In general, 75% of the tensile strength was chosen as the shear strength for the
reinforcement but for concrete, this percentage is 50%.
½Q ¼ 0:75 Ry As2 þ 0:5 ft1 S

¼ 0:75 340 103 3:14 0:012 10 þ 1:1 103 0:5 10 0:5
¼ 1075:7 kN [ Qmax ¼ 271:4 kN
where ½Q is the admissible value of shear of calculation unit (kN); Ry is the tensile
strength of the reinforcement, 340 MPa; As2 is the sectional area of shear rein-
forcement of calculation unit (m2); ft1 is the tensile strength of the C20 concrete,
1.1 MPa; and S is the sectional area of concrete structure sheared.
(5) The checking calculation of deflection
ql4
fmax ¼ ¼ 83:5 103 6:54= 384 3:0 104 106 0:01042
384EI
¼ 1:24 mm\L=400 ¼ 16:3 mm
where fmax is the maximum deflection of calculation unit (mm); q is the lateral
pressure of the calculation unit (kN/m); L is the span of the calculation unit (m); E is
elastic modulus of C30 concrete, 3:0 104 MPa; I is the moment of inertia of
1
calculation unit, I ¼ 12 Bh3 ¼ 0:01042 m4 ; B is the width of calculation unit, 1 m;
and h is the height of calculation unit, 0.5 m.
(6) The checking calculation of crack

Because the working well is a temporary structure, there is no need to conduct
the checking calculation when moment and shear meet their requirement.
4. The checking calculation of force.
(1) The information about the checking calculation

The size of the working well: the size of the inner space is 6.0 m 4.5 m, and
the thickness of the wall is 0.5 m.
The reinforcement of the working well: the double steel bar of / 20 is arranged
in the horizontal direction and the spacing is 10 cm. The double steel bar of / 20 is
also arranged in the vertical direction and the spacing is 20 cm.
The size of the back of pipe: width height thickness = 2.993 3.5 1.0 m,
C30 concrete
(2) The checking calculation of the force on the back of pipe

1) The calculation of jacking force in construction
F ¼ K1 p D L fk ¼ 1:3 3:14 1:2 60 5 ¼ 1470:0 kN
where F is the most jacking force in construction (kN); K1 is the coefficient of

jacking force, 1.3; D is the external diameter, 1.2 m; L is the longest distance of
jacking-in, 60 m; and fk is the friction resistance between the external surface and
the soil, 5 kN/m2.
2) The calculation of passive earth pressure

pffiffiffiffiffiffi
q ¼ 1=2 c ðH 3:5=2Þ 3:5 Kp þ 2 c 3:5 Kp
¼ 0:5 20 ð8 1:75Þ 3:5 tan2 ð45 þ 8:3 Þ þ 73:6 3:5 tan2 ð45 þ 8:3 Þ
¼ 760:3 kN/m2
where q is the lateral pressure of the calculation unit (kN/m); c is the natural weight
unit of soil, 20 kN/m3; H is the depth of working well, 8 m; Kp is the coefficient of
active earth pressure, Kp = tan2 ð45 þ u=2Þ; u is the internal friction angle, 16.6°;
and c is the cohesion, 36.8 kPa.
3) The calculation of the most passive earth pressure in this area
pd2 3:14 1:52

K2 ¼ 1 ¼1 ¼ 0:832
4BH 4 3 3:5
P ¼ K2 q B ¼ 0:832 760:3 3 ¼ 1898 kN [ F ¼ 1470:0 kN
where q is the lateral pressure of the calculation unit (kN/m); B is the width of the
back of pipe (m); H is the height of the back of pipe (m); and K2 is the coefficient of
effective area; d is the diameter of entrance of pipe, 1.5 m.
Therefore, the forces on the back of pipe keep balance without force acted by the
wall of working well.
4) The checking calculation of moment, shear and deflection
There is no need to conduct the checking calculation of moment, shear, and

deflection because the load on the back of pipe keeps balance with the passive earth
pressure acted by the soil behind the back.
5) The checking calculation of slipping in construction
Construction cannot lead to slipping because the most jacking force can be offset by
the passive earth pressure acted by soil.
14.2 Pipe-Roofing Structures
14.2.1 Characteristics and Application Range

of the Pipe-Roofing Method
Pipe-roofing method, a trenchless technology which can penetrate the soil under the
roads, railways, structures, airport and so on, has succeeded in Japan, America, and
Chinese Taipei. The locks connect the steel pipe used in this method and it can form
water-stop roofing with injecting mortar or water stop into itself. The pipe-roofing
has many forms, such as round, half-round, and gate shape. There are two con-
struction methods utilizing pipe-roofing. One is that the structure is pouring after
digging out all soil which is protected by pipe-roofing. Another is that the structure
which has been built in the working well is jacked into soil and soil is dug out at the
same time. The protection of pipe-roofing facilitates the decrease of subsidence.
Pipe-roofing method is a popular method in the construction of tunnel in the cities
because it can reduce negative influence on traffic and underground facilities and
pipes. Many countries, such as America, Germany, Portugal, and Japan, have suc-
ceeded in using this method to construct engineers which are located in sand layers
or gravel layers, but utilizing this method to construct engineering in clay is few.
Pipe-roofing method is an auxiliary construction approach in constructing tun-
nels, and the pipe-roofing can be a type of temporary retaining wall and can weaken
the negative influence on the traffic as well as underground facilities. If necessary,
this method can help to stop water. Compared with other methods used in tunnel
constructions, such as shield tunnel method and NATM, the major advantages of
14.2 Pipe-Roofing Structures 617
pipe-roofing method are that it can be a temporary retaining wall and water-stop
facility in terrible geological conditions and it is cheaper than shield tunnel method
when the tunnel is short. Pipe-roofing method is an indispensable method when the
engineering is constructed in thin layer and cut-and-cover cannot be used. There is
the only method when tunnel is constructed in the soft soil with strict command on
subsidence and without using cut-and-cover or shield tunnel method. About this
method, several aspects, such as precision, reducing subsidence and support, are
important for success. For accomplishing engineering, the interaction among soil,
pipe-roofing, and support should be considered carefully in design and analysis.
Based on the result of monitoring, adjusting the design and construction are
essential.
The basis of pipe-roofing method is single pipe jacked. Pipes connected by locks
form a row of pipes. For the aim of stopping leakage, the interstice of locks should
be filled with water stop. There are many types of pipe-roofing such as alignment,
round, half-round, arch, horseshoe, mouth shape, and gate shape, as shown in
Fig. 14.17. The pipe-roofing of mouth shape and round have better characteristics
such as stopping leakage and integrity of structure. The common types of external
locks are shown in Fig. 14.18.
Pipe-roofing is a temporary retaining wall consisted of steel pipes with rigidity.
This structure has positive influence on reducing disturbance of soil and decreasing
deformation of layers and these two benefits can weaken the side effect on traffic
and underground facilities. The excavation method for the tunnel inside the
pipe-roofing can be chosen according to the design, demand for deformation and
expense of engineering. For the most engineering, manual or machinery excavation
and conducting support can meet requirement. If necessary, layer improvement or
other methods, such as box culvert jacking and endless self-advance method, can be
chosen.
This method is popular in Japan, West Europe, Malaysia, and Chinese Taipei
and there is much experience and data accumulated. Although it is a successful
method, there are some disadvantages. One is expensive, because the steel pipes in
the soil cannot be recycled. Another is that machinery used in the construction cost
much.
Fig. 14.17 The pipe-roofing method

Fig. 14.18 The types of locks
14.2.2 Mechanical Analysis for the Pipe-Roofing Structure
The application of pipe-roofing method started not long, and the design and cal-
culation of this structure are developing. There are two methods in calculation.
Finite element method within plane is one of methods. In this method, as shown in
Fig. 14.19, pipe-roofing can be regarded as the elastic steel frame, condition can be
regarded as the actual condition and the effect of layers can be regarded as the effect
of springs. Another is the method of one-dimensional elastic foundation beam,
which is shown in Fig. 14.19b, and this method would be illustrated particularly.
In practice, the ends of steel pipe-roofing are installed on the diaphragm walls
which are individually located in two working wells, thereby regarding the ends as
the fixed ends. The initial stress of soil under pipe-roofing is changing with
excavation inside the pipe-roofing, which lead to vertical deformation of
pipe-roofing. Let p0 be the initial stress of soil under pipe-roofing before excava-
tion, the change of earth pressure under pipe-roofing after excavation is pg p0 and
Fig. 14.19 The calculation

of pipe-roofing
14.2 Pipe-Roofing Structures 619
the change of earth pressure in the slipping soil after excavation is pu p0 . The
model of mechanical analysis for pipe-roofing is shown is Fig. 14.19. In this pic-
ture, Lz is the length jacked in soil. Za , Zb , and Zc are the distance from the ends of
distributed load to the origin o, respectively. Obviously, there is Zb ¼ Lz . Therefore,
the vertical displacement of top steel pipes can be calculated utilizing the method of
Winkler foundation beam.
For the model of Winkler foundation beam shown in Fig. 14.19b, the boundary
conditions both are the vertical displacement x ¼ 0 and the angle n ¼ 0. Based on
the elastic foundation beam theory, we can obtain the equations for vertical dis-
placement x and angle n on any section of beam.

x ¼ 2a2 M0 u1 =uk þ aQ0 u4 =uk Dx
ð14:14Þ
n ¼ 2a3 M0 u2 =uk þ 2a2 Q0 u3 =uk Dn
where M0 and Q0 are moment and shear at the location of Z ¼ 0, respectively.

These two values can be confirmed through boundary condition. u is the width of
beam. k is the elastic coefficient of beam. a is the characteristic coefficient of elastic
pffiffiffi K pffiffiffi ku
foundation beam, a ¼ 44EI ¼ 44EI . u1 u4 are calculation factors of elastic
foundation beam. Dx and Dn can be calculated through Eqs. (14.15)–(14.18).
When 0 Z Za
Dx ¼ 0; Dn¼0 ð14:15Þ
When Za Z Zb
h i h i9
Dx ¼ a1 p
K
0
1 u1aðzza Þ þ aK2 ðz za Þ 2a 1
u2aðzza Þ =
h i ð14:16Þ
Dn ¼ ða1 p 0 Þa
u þ a2
1 u ;
K 4aðzza Þ K 1aðzza Þ
When Zb Z Zc
9
a1 p0 h i a n
ðzb za Þu1aðzzb Þ >
2
Dx ¼ u1aðzzb Þ u1aðzza Þ þ >
>
K K >
>
h i h i >
>
1 pu p0 >
þ u2aðzzb Þ u2aðzza Þ þ 1 u1aðzzb Þ > >
>
=
2a K
h i n ð14:17Þ
ða1 p0 Þa a2 a >
Dn ¼ u4aðzzb Þ u4aðzza Þ ðzb za Þu4aðzzb Þ >
>
>
K K >
>
h i >
>
1 ðpu p0 Þa >
>
u1aðzzb Þ u1aðzza Þ þ u4aðzzb Þ >
;
a K
When Z Zc
h i n 9
Dx ¼ a1 p 0
u1aðzzb Þ u1aðzza Þ þ aK2 ðzb za Þu1aðzzb Þ >
>
K
h io h i>
>
>
þ 2a u2aðzzb Þ u2aðzza Þ þ K u1aðzzc Þ u2aðzzb Þ >
1 pu p0 =
h i n ð14:18Þ
Dn ¼ ða1 p 0 Þa
u4aðzzb Þ u4aðzza Þ aK2 a ðzb za Þu4aðzzb Þ >
>
h K io h i>
>
>
>
1a u1aðzzb Þ u1aðzza Þ u K 0 u4aðzzc Þ u4aðzzb Þ ;
ðp p Þa
In practice, equations of vertical displacement and angle on any section of

foundation beam can be got by substituting M0 and Q0 .
14.2.3 Pipe-Roofing Construction
The process of jacking pipe-roofing has difficulty in rectifying deviation because of

constraints of locks, therefore the major problem is high precision control of
direction in jacking.
In construction, if the deviation is too large, the locks would deform or craze,
which lead to difficulty in closing. In some extreme cases, too much deviation might
result in the stop of jacking. The requirement of precision is ±15 mm in the vertical
direction and ±20 mm in the horizontal direction. There are three aspects for
ensuring engineering conducting.
(1) Precision control of tunneling system
① Construction should be assisted with track control software; ② muddy water

balanced roadheader should be used to keep stability of excavation face; ③
roadheader should be equipped with laser rectifying system, tiltmeter sensor, travel
sensor of rectifying oil cylinder and deflection sensor for increasing the precision of
jacking; and ④ the institution of management and supervision for precision should
be set up for increase the direction precision of display and control.
(2) Using special constructional measures to improve the sensitivity of rectification
For the direction of whole pipes corresponding with the counterpart of the head of
pipe roofing, two measures can be adopted: increasing aspect ratio of the head and
installing three transition steel pipes. Steel pipes can be linked by hinge, which can
facilitate the formation of movable structure. This structure and rectifying oil
cylinder can help the posterior pipes move with the head and achieve the aim of
rectifying and guidance.
(3) Adopting reasonable construction method and jacking with the correct order
The experience in engineering shows that the precision of single pipe can reach 20 mm.
Therefore, it is possible that the deviation accumulated is restricted to admissible range
though adopting the correct jacking order. For instance, steel pipes would be jacked in
order until the accumulated deviation exceeds the requirement of precision. Then, the
reference pipe should be added to the structure and the steel pipes which should be
closed need to be locked by special-shape locks according to the result of measuring.
14.3 Box Culvert Structures 621
14.3 Box Culvert Structures
14.3.1 Structure Form
Box culvert structure, which is used in hydraulic, bridge and road engineering, is an
important hydraulic structure. This structure consisted of body of the culvert, the
structure at the entrance and the structure at the exit.
The structure at the entrance consisted of the wing wall, the bottom protection,
and the lining before the culvert. Body of the culvert, which is the main aisle of
water, is under the soil. The structure at the exit consisted of the wing wall, the
bottom protection, and the lining after the culvert. Generally, the flow velocity of
water in the culvert with gentle slope or non-pressure (Fig. 14.20) is low, so the
lining should be constructed at the exit. However, for the culvert with steep slope or
high pressure (Fig. 14.21), the energy dissipation facility is necessary because there
is high-velocity water in it.
As shown in Fig. 14.22, this structure usually is the reinforced concrete structure
with in situ casting.
Fig. 14.20 The box culvert with gentle slope
Fig. 14.21 The box culvert with steep slope

Fig. 14.22 Box culvert

structure
14.3.2 Design of the Box Culvert Structure

1. The design stage of the box culvert structure
The design of the box culvert structure is usually divided into two stages: preliminary
design and technological construction design. For simple engineering with clear tech-
nical principle and design scheme, these two stages can be combined. There are content
and steps of design, and the preliminary design can be simplified appropriately.
2. The content and steps of design for the box culvert structure
Firstly, the design of overall dimension should be completed after obtaining all
information about the engineering. Then, we should calculate and confirm the
elevation of the entrance and the exit of structure, the slope and the bore diameter of
the box culvert structure. What’s more, it is suggested that the size of the lining at
the exit of this structure or the energy dissipation facility should be confirmed with
considering hydraulic design. Finally, the design of the wing wall, the whole
structure, and impermeability should be completed. In addition, in the design of box
culvert under the canal or road, it is necessary to complete the design about the
approach channel or diverting rivers. Practically, the design may change the steps
according to engineering because these steps restrict and correlate with each other.
In general, design of the box culvert should be considered with above steps, and the
layout diagram should be drawn with these steps too. At the same time, design of
each part and calculation of hydraulic power and structure should be completed.
Structure design about box culvert in this section offers the information on the
structure design. The information about the wing wall can be obtained from other
material.
Construction and reconstruction of small box culvert structure can adopt the pattern
design because its boundary condition is simple. Adopting the pattern design should
be careful and pay attention to the condition and should not apply mechanically.
3. The load on the box culvert structure

For obtaining the calculation result of the internal force and providing the basis of
choosing reasonable section, it is essential to calculate the load on the box culvert
Fig. 14.23 The distribution

of the vertical earth pressure
structure, including the vertical and the horizontal earth pressure, the static load, the
live load, the dead weight, and the water pressure.
(1) The calculation of the vertical earth pressure
For preventing the large-scale excavation or protecting the road and the dam,
pipe-jacking or the shield tunneling method is used in the construction of the box
culvert structure sometimes. The characteristics of two methods are that the soil is
excavated in deep layer and the disturbed soil in construction is only around the
structure. When the soil is dug out, an arch will form in the unbroken area on the
top of the box culvert structure, as shown in Fig. 14.23. The earth pressure on the
top of the structure is the inside earth pressure of the arch whose width is equal to
the width of the structure. The size of arch can be confirmed according to the shape
of section and Protodyakonov coefficient fKP .
1) fKP \2:0
Generally, the box culvert structure is constructed in this type of soil. The earth
pressure acting on the structure is the weight of the soil between the arch and this
structure, as shown in Fig. 14.23. In this picture, h0 is the vector height of the arch,
hx is the height of arch line in the position of x, c is the unit weight of soil, LCB is
the span of the arch, rz is the vertical earth pressure related with a, and qB is the
value of rz (a00 ¼0) on the top of the structure.
h0 ¼ LCR ð14:19Þ

2fKP
where LCB is the span of the arch; fKP is the Protodyakonov coefficient, whose value
can be seen in Table 14.7.
Table 14.7 The Protodyakonov coefficient

Types of soil fKP c u(
(kN/m3) )
Ordinary Soft slate, soft limestone, frozen soil, broken soft rock, early 2.0 24 65
soil cobble, soil with rocks
Broken slate, broken gravel, harden clay 1.5 18–20 60
Dense soil (fKP ¼ 1:0 1:4), dense clay, soil with rocks 1.0 18 45
Clay, loess 0.8 16 40
Soft soil Sand, gravel 0.7 15 35
Organic clay, sandy clay, moisture sand 0.6 15 30
Unstable Sand, small gravel, newly transported soil 0.5 17 27
soil Quicksand, soil with high moisture 0.3 15–18 9
)
hx ¼ h0 1 L4a2
2
CB
rz ¼ cha
cLCR ð14:20Þ
qB ¼ ½rz x¼0 ¼ ch0 ¼
2fKP
u

LCB ¼ 2a þ 4btan 45
2
2) fKP [ 2:0
The soil which has the larger Protodyakonov coefficient, fKP [ 2:0, would produce
the elastic resistance on the sides of the box culvert structure instead of the active
earth pressure, and the span of arch is equal to the span of the structure.
h0 ¼ a 9
fKP =
qB ¼ ch0 ð14:21Þ
;
GB ¼ 3f4cKP a2
3) H\h0
If the vector height of the arch is larger than the depth of the soil covering the
structure, the depth of the soil covering the structure can be chosen as the vector
height for simplifying calculation: h0 ¼H and qB ¼ cH.
(2) The calculation of the lateral earth pressure of the box culvert structure
The lateral earth pressure correlates with the stiffness of the structure, the method of
burying and the property of backfill soil. The soil on both sides of the rigid box
culvert structure would produce the active earth pressure acting on the structure,

pressure calculated by arch
while the soil on both sides of the flexible box culvert structure would produce
elastic resistance acting on the structure because the vertical earth pressure might
lead to large deformation. The box culvert constructed with pipe-jacking should
obtain the lateral pressure utilizing the unloading arch theory.
As shown in Fig. 14.24, the volume of soil within the parabola M 0 O0 N 0 can be
obtained through the theory of the sliding wedge:
2 1 L2CB 1 h ui2
V 0 ¼ LCB HC ¼ ¼ 2a þ 4btan 45
3 3 fKP 3fKP 2
The volume of soil between the parabola MON and M 0 O0 N 0 can be obtained as
follows:
ð2aÞ2 8b u h ui
V ¼ V0 ¼ tan 45 2a þ 2b tan 45
3fKP 3fKP 2 2
The surcharge of unit width, qS , can be obtained as follows:

cV 2c 2a þ 2b tan 45 u2
qS ¼ ¼
4b tan 45 u2 3fKP
The lateral earth pressure of the point whose distance to the top the structure is Z
can be obtained as follows:
u u
qr ¼ qS tan2 45 þ cZtan2 45
2 2
u 2 h u i
2
¼ ctan 45 2a þ 2b tan 45 þZ
2 3fKP 2
Gr is the total lateral pressure on the wall of the structure and it can be obtained by
i
2 u 2 h
u
Gr ¼ 2cbtan 45 2a þ 2b tan 45 þb
2 3fKP 2
Fig. 14.25 The internal

water pressure in the free-flow
box culvert
where b is the half of the height of the box culvert and a is the half of the width of
the box culvert.
(3) The calculation of internal and external water pressure
1) The calculation of internal water pressure of the box culvert

For the free-flow box culvert, the most adverse conditions are the box culvert filled
by water, as shown in Fig. 14.25. Hydrostatic pressure of the top inside the
structure is 0, the counterpart of the bottom of inside wall is cB h0 and hydrostatic
pressure acting on the floor is c0 h0 . The total weight of water is Dc0 h0 .
2) The calculation of external water pressure

If the structure is under the elevation of underground water, the water pressure will
act on the exterior of the box culvert. This water pressure can be divided into two
types: external hydrostatic pressure and uniform pressure, as shown in Fig. 14.26.
The external hydrostatic pressure is cB h0 .
Fig. 14.26 The external
hydrostatic pressure
Fig. 14.27 The uniform

pressure
The uniform pressure can be calculated according to the height between the top
of the structure and the highest groundwater level: P00 ¼ cB h, as shown in
Fig. 14.27.
For considering the most adverse condition, the external hydrostatic pressure just
should be considered when the inside of the structure is empty.
The effective unit weight should be chosen when the external hydrostatic
pressure is the only factor in calculation of vertical and lateral earth pressure.
(4) The calculation of the vehicle load
The load acting on the box culvert can be divided into the calculation load and the
checking calculation load. The vehicle fleet can be seen as the calculation load and
the crawler or the flat trailer can be seen as the checking calculation load.
1) The calculation load
The calculation load is acted by the vehicle fleet, including a vehicle with overload
and several vehicles with standard load. The distribution of these vehicles is the
worst condition, which can lead to the largest stress at the location calculated. The
vehicle fleet has four levels: vehicle-10, vehicle-15, vehicle-20, and vehicle-20plus.
The location of fleet and other technical indexes can be found in the specification.
2) The checking calculation load
The checking calculation load is acted by the crawler or the flat trailer and the
vehicle fleet has four levels: the 500 kN crawler (crawler-50), the 800 kN flat trailer
(flat trailer-80), the 1000 kN flat trailer (flat trailer-100), and the 1200 kN flat trailer
(flat trailer-120). Technical indexes can be found in the specification.
4. The calculation of the structure design of the box culvert.

(1) The preliminary design of section size of box culvert.
The diameter of the box culvert can be obtained by hydraulic calculation and its
section size and the number of reinforcement can be obtained by structure design.
The box culvert structure belongs to the statically indeterminate structure and its
internal stress correlates with the stiffness of members. As a result, in order to
obtain the internal stress, it is necessary to preliminarily design the size of section.
Generally, the size should be designed preliminarily according to the experience
or the information on design.
Usually, 1/12–1/9 of the span of the box culvert with single tunnel can be chosen
as the thickness of roof and walls and the thickness of floor is equal to or slightly
larger than the counterpart of the roof.
1/13–1/12 of the span of the box culvert with two tunnels can be chosen as the
thickness of roof and walls and the thickness of floor is equal to or slightly larger
than the counterpart of the roof.
(2) The load calculation
The loads acting on the box culvert has many types, such as the vertical earth
pressure, live load, the dead weight of the structure, the horizontal earth pressure,
the internal water pressure, and the external water pressure. The vertical loads
acting on the structure are equal to the subgrade reaction under the floor, which is
an exterior load. The distribution of this exterior load correlates with the path of the
box culvert and the foundation. For simplifying, subgrade reaction is regarded as
uniform for the box culvert with the small span.
(3) The calculation of internal stress
For obtaining the stress, the number of equations should be equal to that of unknown
quantities. There are two methods for obtaining the result: force method and dis-
placement method. In force method, the redundant unknown forces are chosen as the
unknown quantities, while in displacement method, the displacement of nodes is
chosen as the unknown quantities. The displacement method is more reasonable to
obtain the stress of the box culvert, and the slope-deflection method and the moment
distribution method are both belong to this method.
Obtaining the stress of the structure should choose the reasonable method
according to the characteristics and the load distribution of the structure.
(4) The calculation of strength
Strength calculation guarantees that the section has enough bearing capacity and
determines the size of section and the amount of reinforcement. The amount of
reinforcement should be restricted to economical steel ratio, 0.3–0.8%. The size of
section should be checked according to structure and engineering condition. If
necessary, the size design should be adjusted.
① The essential information in strength calculation
a. The internal stress of each section of the structure, including M, Q and N;

b. The grade of structure and safe factors;
c. The design strength of material;
d. The elastic modulus of material.
② The choice of strength calculation formula
The moment, shear and axial force have the influence on the component of the box
culvert, therefore reasonable formula should be chosen according to the value of
these factors.
The components of the box culvert with low water head or free flow are
eccentric compression members, which can be further divided into large eccen-
tricity members and small eccentricity members. The concrete design can get
information from the concrete structure design code.
14.3.3 Location of the Settlement Joint

(1) For the culvert, the chute, the end wall, and the wing wall, the settlement joint
should be set up at the segmentation locations for preventing differential
settlement, which might cause damage to structure. The settlement joint,
whose width is 2–3 cm, should exist in the whole section.
(2) The settlement should be set up every 4–6 m according to the foundation and
the filling height. The culvert under the high embankment should set up the
settlement joint on the body and the foundation near the edge of embankment.
(3) The settlement should be set up at the position of soil changing, depth of
foundation changing, compression on foundation changing and the junction of
excavation and filling.
(4) The settlement should be set up on the box culvert elevated by backfill and the
spacing between the two settlement cannot exceed 3 m.
(5) The culvert on the rock foundation is not allowed to set up the settlement joint.
14.3.4 Jacking Construction Method of the Culvert
The jacking construction method has been adopted by many companies in the
construction of the railway, the road and the infrastructure of water conservancy. In
recent years, this method is developing with the improvement of construction
technology. The structure with several tunnels has been jacked in. The advanced
methods have been developed, such as drag-jack method, jacking with relay ring.
The advantages are shown as follows:
(1) The traffic cannot restrict the construction with the jacking construction
method because construction is conducted under the road or buildings. The
major advantage is that construction cannot cause damage in dams and canals.
(2) The expense is low because the amount of excavation is smaller than that of
open cut and the facilities are cheap and easy to get.
(3) The engineering can continue to be conducted in bad weather or the flood
season. This advantage combined with less engineering quantity leads to the
less time.
(4) The construction is simple and the facilities or machineries are cheap and easy
to acquire.
However, there are some drawbacks about this method.
(1) It is necessary for construction to guarantee that the soil must be dense and its
settlement must be stable. When the culvert penetrates the soil layer whose
cohesion is bad or which contains too much gravel, the collapse is easy to
happen. Jacking-in the soil with too much gravel is difficult for construction.
For these two situations, adopting this method is unreasonable.
(2) It is necessary for utilizing this method to decrease the underground water
level to the floor of the structure when the culvert goes through the soil with
high water level. In this situation, choosing which method, the jacking con-
struction method of culvert or open cut, should be compared because dewa-
tering is expansive.
(3) It is not appropriate to adopt the culvert with high water head when imper-
meable measures have been set up.
(4) It is not appropriate to adopt this method when the longitudinal slope is too
large or culvert under the dam or the road is steep.
14.3.5 Example of the Box Culvert Structure

1. Design condition
The culvert with single tunnel is constructed by filling, and its inner span and height
are 1.5 m and 1.6 m, respectively, as shown in Fig. 14.28. H is the filling height
and its value is 6 m. The unit weight is 18 kN/m3 and the internal friction angle is
30 . The soil is sandy clay. The live load on the ground is vehicle-10. The
underground water level is low and the external hydrostatic pressure needn’t to be
considered. Please design the size of section of the box culvert.
2. The section size of the box culvert
The thickness of the roof, the floor, and the wall is 240 mm in preliminary design.
3. The calculation of load
(1) The calculation of the vertical earth pressure
According to the property of soil, c ¼ 0:2. Flat base pipe: a0 ¼ 1:0, so ca0 ¼ 0:2.
H 6
Because ¼ ¼ 3:03, so Ch ¼ 4:1
D 1:98
The resultant force of vertical earth pressure: GB ¼ Gh cD2 ¼ 4:1 18
1:982 ¼ 289:33 kN
The strength of vertical earth pressure: qB ¼ GDB ¼ 146:13 kN/m
Fig. 14.28 The single tunnel

culvert constructed by filling
(2) The calculation of the lateral earth pressure
The strength of horizontal earth pressure act on the middle of thickness of roof:

u 30
q1 ¼ cH1 tan2 45 ¼ 18 ð6 þ 0:12Þ tan2 45 ¼ 36:72 kN/m
2 2
The strength of horizontal earth pressure act on the middle of thickness of floor:

2 u 2 30
q2 ¼ cH2 tan 45 ¼ 18 ð6 þ 0:24 þ 1:6 þ 0:12Þ tan 45
2 2
¼ 47:71 kN/m
(3) The calculation of vertical pressure caused by the vehicle load
The weight of vehicle-10 is 150 kN, and the pressure of back wheel can be
obtained: P ¼ 100=2 ¼ 50 kN; the width of the wheel contacted with ground can be
obtained: d ¼ 0:5 m; the length of the wheel contacted with ground can be
obtained:c ¼ 0:2 m; and the wheel center distance is 1.8 m.
1:8 d
H ¼ 6:0 m [ ¼ 1:12 m
2tan30
P
q0B ¼ ¼ 1:5 kN/m
ðc þ 1:5H Þ d þ 1:8d
2 þ Htan30
(4) The dead weight of roof
q00B ¼ c1 d ¼ 25 0:24 ¼ 6 kN/m
(5) The dead weight of lateral wall
P ¼ 25 ð0:24 þ 1:6Þ 0:24 ¼ 11 kN
The total uniform pressure act on the roof of the box culvert, which includes the
dead weight.
q3 ¼ qB þ q0B þ q00B ¼ 146:13 þ 1:5 þ 6 ¼ 153:63 kN
(6) The subgrade reaction on the floor of this structure
2P 2 11:0
q4 ¼ q3 þ ¼ 153:63 þ ¼ 166:27 kN/m
l ð1:5 þ 0:24Þ
Figure 14.29 shows the calculation picture.
4. The calculation of internal stress
This structure is the single tunnel box culverts, which is structure with nodes
without linear displacement. The internal stress can be obtained by structural
mechanics. The most moment of each member is shown as follows:
Fig. 14.29 The calculation of the box culvert

AB : Mmax ¼ 33:65 kN m
CD : Mmax ¼ 35:95 kN m
CA : Mmax ¼ 7:89 kN m (Tension acts on the external wall and there is
the minimum of negative moment)
14.4 Summary
(1) As a trenchless technique, pipe-jacking adopts precast pipes used in sectional
construction with pipe machineries and this method is utilized in the con-
struction of middle and small underground pipes.
(2) The pipe can be classified according to caliber, distance, material and the types
of axes.
(3) The design content includes the jacking force and the design of the thrust wall.
The major facilities in the method contain tools, the relay ring, and the control
of relay ring. The major technical measures include the direction control and
the jacking resistance reducing.
(4) The pipe roofing method is an auxiliary construction approach in tunnel
construction and this method is an indispensable method when the engineering
is constructed in thin layer and cut-and-cover cannot be used.
(5) Box culvert structure, which is used in hydraulic, bridge and road engineering,
is an important hydraulic structure. This structure consisted of body of the
culvert, the structure at the entrance and the structure at the exit.
(6) The calculation of box culvert includes preliminary design of section size, load
calculation, the internal stress calculation, and the strength calculation.
Problems
14:1 How to classify the pipe jacking structures?
14:2 What are the advantages and disadvantages of pipe jacking method?
14:3 How to determine the biggest jacking force of the pipe jacking machine?
14:4 What are the structural characteristics? How to consider these characteristics?
14:5 In a certain engineering, reinforced concrete pipes, whose diameter is
1640 mm, should be jacked in. The distance is 30 m, and the depth of
covering soil is 5 m. The unit weight of soil, the internal friction angle, and
the factor of friction are 17 kN/m3 , 20 and 0.25, respectively. The external
diameter is: D1 ¼ 1910 mm, and the weight per unit length of pipe is
G ¼ 20 kN/m. Please calculate the most jacking force.
14:6 The height of the thrust wall is 3.5 m and the width is 4 m. c ¼ 19 kN/m3 .
The distance from the top of the thrust wall to the ground is 3 m. The soil
behind the thrust wall is sand. The unit weight of this sand is c ¼ 19 kN/m3
and the internal frictional angle is u ¼ 30 . Whether or not the thrust wall
can bear the jacking force of 6000 kN.
Design of Integral Tunnel Structures
15
15.1 Introduction
Tunnel structure, a kind of artificial underground construction, is the result of the

development of human society. In ancient times, people live in natural caves. The
original artificial tunnel structures start during the ancient war period, as the transfer
channels or the shelter structures. Besides, the tunnel structures also used to be the
water diversion facilities in the water conservancy project. In recent times, the
tunnel structures are widely used in the mineral, traffic, and military facilities. With
the development of modern traffic engineering, the tunnel structures play more and
more important roles.
15.1.1 Concept of Integral Tunnel Structures
Regarded as the traditional lining structure form, the stiffness of the integral tunnel
structures is used to prevent the deformation of layers and bear the pressure of the
surrounding rock. It is generally constructed by the in-site concrete lining,
including standing the templates and pouring the concrete in tunnels. The integral
tunnel structures are mainly composed of main buildings and ancillary buildings in
terms of the functions of the tunnel. Specifically, the main buildings contain the
tunnel trunk and tunnel portal, while the ancillary buildings contain ventilation,
lighting, drainage, communication, and fire safety equipment and facilities. To keep
the tunnels from flexing and surrounding rock from eroding, the tunnel lining
structures are not only expected to subject the pressure from the surrounding rock,
the underground water and the gravity of the lining support structures, but also the
erosion of the chemical materials. In addition, the tunnels in the alpine region
should consider freezing damage.
https://doi.org/10.1007/978-981-13-7732-7_15
636 15 Design of Integral Tunnel Structures
15.1.2 Classification of Integral Tunnel Structures
As an important part of the underground structures, the integral tunnel structures

can be divided into semi-lining structure, thick-arch and thin wall lining structure,
straight wall and arch lining structure, curved wall and arch lining structure,
anchor-sprayed lining structure, composite lining structure, and multi-arch lining
structure. The lining form of the tunnel structures is selected according to the layer
types, the function, and the level of construction technology.
1. Semi-lining structures
The semi-lining structure as shown in Fig. 15.1a is often used in the hard sur-
rounding rock stratum with no collapse of the side wall. When there is only local
fall-block of the top rocks, the tunnels can only be reinforced with top lining, not
considering the side wall. Moreover, the cement mortar protective layer more than
20 mm in thickness is sprayed on the tunnel. They are also used in less stable
surrounding rocks but with no horizontal pressure.
2. Thick-arch and thin wall lining structures
In order to take advantage of the rock strength, the thick-arch and thin wall lining
structures shown in Fig. 15.1a are often used in the medium hard surrounding rock
Fig. 15.1 The lining form of the tunnel structures. a Semi-lining structures; b Straight wall and
arch lining structures; c Curved wall and arch lining structures; d Anchor-sprayed lining structures
stratum. Most of the force on the vault pass to the rock through skewbacks, which
can greatly reduce the force on the side wall and diminish the thickness of the side
wall. Similar to the semi-lining structures, the thick-arch and thin wall lining
structures are often used in less stable surrounding rocks but with no horizontal
pressure. For the typical large-span and high sidewall cavern structures especially in
stable or basically stable surrounding rocks, the thick-arch and thin wall lining
structures are considerable when the anchor-sprayed lining structures cannot satisfy
the construction or waterproof requirements.
3. Straight wall and arch lining structures
The straight wall and arch lining structures are widely used in the railway tunnel
structures. As shown in Fig. 15.1b, the arch ring and side wall are the main sup-
porting components of structure. Besides the arch ring and side wall, the bottom is
also an important part of the structure. Since the structure and the surrounding rock
are not in close contact, the overbreak between the lining structure and the rock is
tightly backfilled with dry masonry block stone, grouted rubble, pressure grouting
or concrete. The backfill is determined according to the requirement of the engi-
neering, the geology and construction conditions. In the construction, the arch ring
and the side wall are overall poured but not the bottom. Only when the geology
conditions are poor or the underground water pressure is high, the bottom and the
side wall are overall poured together. The straight wall and arch lining structures
can effectively prevent the weathering and collapse of the surrounding rock because
of the good integrity and reasonable mechanical behaviors. The unnecessary
excavation of the unlined tunnel can also be reduced. But it is difficult to deal with
the drainage, moisture-proof and overhaul, as well as the overbreak backfill.
4. Curved wall and arch lining structures
The curved wall and arch lining structures as shown in Fig. 15.1c are usually
adopted in poor surrounding rock stratum, where the rock is loose and easy to
collapse. The lining structures consist of arch ring, curved side wall, and inverted
arch bottom. They are widely used in tunnel engineerings because of the reasonable
mechanical behaviors, even with higher requirements of the construction
technology.
5. Anchor-sprayed lining structures
The anchor-sprayed lining structures shown in Fig. 15.1d are composed of sprayed
concrete and anchor rod. The concrete mixture is sprayed on the rock surface of the
tunnel using high-pressure air as power. On one hand, the anchor-sprayed lining
structure can maintain and improve the integrity of structures, fill up concaves and
cracks, prevent the weathering and loosening through closed interface, and take full
advantage of the self-bearing capacity of the surrounding rock. On the other hand,
the anchor-sprayed lining structure can also prevent the stress concentration with
stress adjustment, control the deformation and reinforce the surrounding rock from
fall-block and collapse. The anchor rod is integrated within the surrounding rock to
reinforce and stabilize the surrounding rock stratum. The joints and fissures of the
surrounding rocks are combined together with the integrated working principle of
suspension, compound arches, span reducing, compression, and consolidation of
the anchor rod. It can enhance the integrity, improve the mechanical properties, and
make full use of the self-bearing capacity of both hard and soft surrounding rock
stratum.
6. Composite lining structures
It is generally accepted that the function of the composite lining structures is to

reinforce and stabilize the surrounding rock making full use of its self-bearing
capacity. Therefore, the composite lining structures allow a certain deformation of
the surrounding rock, which can reduce the thickness of the lining structures. In the
process of construction, the concrete is sprayed on the tunnel wall as flexible
thin-layer. If necessary, the anchor rod as shown in Fig. 15.2, and the mesh rein-
forcement will be installed to maintain the surrounding rock, as well as repeated
thicker sprayed concrete. When the deformation of the surrounding rock tends to be
stable, the permanent support is applied to the lining structures. The composite
lining structures consist of primary support and secondary lining. In addition, the
waterproof layer is added between the primary support and secondary lining when
the waterproof requirement is high. The anchor-sprayed lining structure is often
used in primary support, which has the characteristics of timely and flexible
supportting. Since the primary support can deform to some extent with the sur-
rounding rock, it can take full advantage of the self-bearing capacity of the sur-
rounding rock. The materials of the secondary lining should adopt the form working
concrete or reinforced concrete with large stiffness, good integrity, and smooth
appearance. Moreover, the section of the lining structures should be circular and
equal thickness. The inverted arch and the arched wall should be the same
Fig. 15.2 Composite lining

structures
thickness. The load-bearing ring of the composite lining structure is built up with
the primary anchor-sprayed support and secondary lining. Based on mature tech-
nology, the composite lining structure is suitable for many geology conditions,
which is the best lining form of highway tunnel at present.
7. Multi-arch lining structures
In the design of the tunnel structures, besides the conditions of engineering geology
and hydrogeology, the security, economy, technology, and other aspects also need
to be considered. Therefore, for these highway tunnels with length between 100
and 500 m that is not particularly long, especially for these small tunnels with
complex geology and terrain conditions or restriction of land expropriation, the
multi-arch lining structures as shown in Fig. 15.3, are often adopted to satisfy the
line requirements. The rock mass between the two tunnels is replaced with the
concrete. The adjacent side walls of the two tunnels are connected into a whole,
which develops the two-tunnel structures with arch walls connected. According to
the structural forms of the connected walls, they can be divided into integral middle
walls and composite middle walls. In addition, the multi-arch lining structures are
also suitable for medium-short tunnels with narrow terrain and spacing require-
ments between the two tunnels.
Above all, the lining form of the tunnel structures should be selected based on
the geology and construction conditions and the operating requirements. The
composite lining structures are expected to be adopted in the tunnels for the
expressway, the first class highway, and the second class highway. Under the
surrounding rock levels of I, II, and III, the tunnels for the bypass and the third class
and below highways should adopt the anchor-sprayed lining structures, while the
tunnel entrance should adopt the composite lining or the integral lining structures.
Fig. 15.3 Multi-arch lining structures

15.2 General Technology Requirements for Integral

Tunnel Structures
15.2.1 Section and Geometry Size of Lining Structures
The section and geometry size of the lining structures should be determined through
engineering analogy and structure calculation, based on the operating requirements,
surrounding rock grade, geology and terrain conditions, buried position, and depth,
and the stress characteristics, combined with the engineering construction and
environmental conditions. In the process of construction, the lining support
parameters should be adjusted according to the in-site measurement of the sur-
rounding rocks and geology investigation, as well as the test analysis if necessary.
Moreover, in order to make it easy to use the standard arch-frame, templates, and
construction equipment, the section types of the lining should be as less as possible.
When determining the lining system, the inner contour of the arch ring in one span
should be the same. Some varied thickness and local reinforcement measures are
generally adopted for different geology conditions. In the underground rock engi-
neering, the cutting circular arch and straight wall are generally adopted for the arch
ring and side wall, respectively. Sometimes the three-centered circular pointed arch
or other shapes are also used.
1. Section size of lining structures
The section size of lining structures refers to the thickness of the lining section. In
order to satisfy the technology requirements, it is usually select the thickness of the
lining section tentatively according to the existing design experience. The final
adopted section size is determined based on the calculation correction of the pri-
mary selected thickness.
For the general detailing requirements, no matter what size of the primary
selected or final adopted sections, the thickness shall not be less than the minimum
thickness of the lining sections as shown in Table 15.1.
2. Geometry size calculation of lining structures
When the internal net span, the net height, the wall height, and the shape, thickness
and the variation of the arch axis are determined, the remaining size can be cal-
culated according to the geometric relation. The geometry size calculation of the
Table 15.1 The minimum thickness of the lining section (cm)

Parts Sprayed Sprayed Concrete Reinforced concrete Dressed Rubble
cement concrete Cast-in-place Masonry Cast-in-place Precast stone masonry
mortar masonry
Arch ring 2 5 20 20 20 5 30 –
Side wall 2 3 20 20 20 5 30 40
Note The minimum thickness of the lining sections in precast reinforced concrete structures refers to the
thickness of trough plate
15.2 General Technology Requirements for Integral Tunnel Structures 641
Fig. 15.4 Lining section of cutting circular arch
Fig. 15.5 Lining section of three-centered pointed circular arch

common used cutting circular arch (Fig. 15.4) and three-centered circular pointed
arch (Fig. 15.5) are shown in Table 15.2.
The meaning of each symbol in Table 15.2 is as follows. f0 , f and f1 are the rise
of the inner edge, axis and outer edge of the arch ring, respectively. l0 , l and l1 are
Table 15.2 Summary of geometry size calculation of lining structures

Three-centered circular pointed arch Cutting circular arch Calculation order
I II III
Known l0 ; f0 ; d0 ; dn ; u0 ; r0 l0 ; f0 ; l0 ; f =l; d0 ; dn I II III
conditions d0 ; dn

R0 r0 l20 r0 þ l20 ðr0 f0 Þ2 l20 l0 1 1 5
þ r0 þ
l0 sin u0 þ 2ðr0 f0 Þ cos u0 2r0 8f0 2
a ðR0 r0 Þ sin u0 0 2
b ðR0 r0 Þ cos u0 0 2
c ðR0 r0 Þð1 cos u0 Þ 0 3
m1 ðdn d0 Þ½R0 0:25ðdn d0 Þ R 0:5dn R0 4 2 6
2½f0 þ c 0:5ðdn d0 Þ
m2 ðdn d0 Þ½R0 0:25ðdn d0 Þ R1 dn R0 4 2 6
f0 þ c0:5ðdn d0 Þ
r r0 þ 0:5d0 þ m1 – 5
r1 r0 þ d0 þ m2 – 5
R R0 þ 0:5d0 þ m1 l2
þ f 5 3 4
8f 2
R1 R0 þ d0 þ m2 l21
þ f1 5 3 4
8f1 2
sin un0 l0
2R0
cos un0 R0 f0
R0
sin un 0:5l0 þ a 4f
l 6 4 1
2
R 0:5dn 1 þ 4ðfl Þ
cos un R0 f0 c þ m1 14ðfl Þ
2
6 4 1
R 0:5dn 1 þ 4ðfl Þ
2
sin un1 ðR þ 0:5dn Þ sin un

R1
cos un1 ðR þ 0:5dn Þcos un þ m2 m1
R1
f0 – f0 0:5d0 þ 0:5dn cos un 4
f f0 þ 0:5d0 0:5dn cos un l fl 7 5 3
f1 f0 þ d0 dn cos un or f þ 0:5d0 0:5dn cos un 7 5 4
l l0 þ dn sin un 7 5 2
l1 l0 þ 2dn sin un or l þ dn sin un 7 5 2
di d0 þ m2 ð1 cos ui Þ
t f0 þ d0 f1 or dn sin un 7 5 2
Dh f0 þ d0
2 f or t
2
7 5 2
D 1
2 ðdc
dn sin un Þ or 1
2 ðl0 þ dc lÞ 7 5 2
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Checking 2 8 6 7
dn ¼ R1 ðm2 m1 Þ sin un R20 m21 sin un
2
m2 cos un
the chord length of the inner edge, axis and outer edge of the arch ring, respectively.
R0 , R and R1 are the radius of the inner edge, axis, and outer edge of the cutting
circular arch ring or the large circle of the three-centered circular pointed arch ring,
respectively. r0 , r and r1 are the radius of the inner edge, axis and outer edge of the
small circle of the three-centered circular pointed arch ring, respectively. u0 is half
of the central angle of the small circle of the three-centered circular pointed arch
ring. ui is the angle between arbitrary section and vertical line of the arch ring. un0 ,
un and un1 are the angle between the radius of the inner edge, axis and outer edge
of the skewback section and the vertical line, respectively. m1 and m2 are the
distance from the center of the inner edge to the center of the axis and outer edge,
respectively. a and b are the horizontal and vertical distance between the centers of
the large and small circles of the three-centered circular pointed arch ring,
respectively. di is the thickness of arbitrary section of the arch ring. D and Dh are
the distance from the center of the skewback section to the axis of the side wall and
the inner edge of the skewback, respectively. t is the vertical distance between the
inner edge and outer edge of the skewback. h0 is the vertical distance from the inner
edge of the skewback to the foot of the side wall. d0 and dn are the thickness of
vault section and skewback section of the arch ring.
15.2.2 Lining Materials
The tunnel lining materials should have sufficient strength, durability, and water-
proof properties. Sometimes the resistance to corrosion, weathering, and frost are
also required under special conditions. Moreover, the requirements of economy,
local materials, and mechanized construction also need to be considered. Therefore,
the selection of the lining materials should be based on comprehensive consider-
ation of engineering geology and terrain conditions, function requirements, lining
forms, construction technology and period.
1. Types of the tunnel lining materials
(1) Concrete and reinforced concrete
The concrete has advantages of integrity and impermeability. It can be cast-in-place

and precast using mechanized constructions. The strength of concrete can be
improved if some certain admixture of compactness is added to the cement.
Besides, some other admixtures can also be added according to the construction
requirements.
However, the concrete needs maintenance after pouring. So, it cannot be sub-
jected to the load immediately. On the contrary, it needs to occupy and consume
more arch-frame and templates, which can be removed only if the strength meets
the requirements. In addition, the concrete has disadvantages of poor chemical
stability, especially erosion resistance.
The reinforced concrete with strength grade over C20 is mainly used in the
opencut tunnel lining, the seismic and poor geology regions such as the unsym-
metrically loaded parts, the fault fracture zones, the silty and quicksand soil layers.
(2) Sprayed concrete
In the construction process of sprayed concrete, the dry-mixed concrete mixtures,

water, and accelerator are high-speed sprayed on the clean rock surface with the
concrete jet. The fissures of the rock are filled up with the solidified protective layer,
supporting the surrounding rocks quickly.
The early strength and compactness of the sprayed concrete are high enough, so
the construction process can be fully mechanized without arch-frame and templates.
In the soft surrounding rocks, the sprayed concrete can match usage with anchor rod
and steel wire mesh, so it can be regarded as a perfect lining materials.
(3) Anchor rod and steel frame
The anchor rod is used to reinforce surrounding rock with special mechanical
device. According to the function mechanism, it can be divided into two types of
mechanical anchor rod and bond anchor rod. Moreover, it can also be divided into
non-prestressed anchor rod and prestressed anchor rod.
Steel frame including the structural steel support or the grid steel support is
adopted to strengthen the stiffness of the lining structures in the primary support and
secondary lining.
(4) Stoneflakes concrete
In order to save the cement, the stoneflakes concrete, whose content of the stone-
flakes should not exceed 20% of the total volume, can be used in the lining of the
sidewall especially in better surrounding rock stratum.
Moreover, when there is overbreak in the arch part over 1 m than the springing
line of the tunnel, the overbreak needs to be backfilled with the stoneflakes con-
crete. Especially, the selected stone should be hard enough that the compressive
strength should not be lower than MU40. In order to ensure the quality of the lining
structures, the weathered and cracked stoneflakes shall not be used.
(5) Rubble concrete
The strength grade of the rubble and rubble concrete should not be lower than
MU60 and MU20, respectively.
The rubble concrete can save a large amount of cement and templates since it
can use the local materials. Moreover, enough thickness of the rubble concrete can
ensure the strength to bear the load earlier.
However, the rubble concrete has poor integrity and waterproof. Since it requires
high technology for masonry, the construction speed of heavy concrete is slow.
(6) Precast materials
Since the shield method is often used in soft soil areas, the precast materials such as
reinforced concrete precast block and ribbed cast iron precast block are commonly
used in the subway tunnel lining structures.
2. Selection of the tunnel lining materials
The strength grade of the lining materials should not be lower than Tables 15.3 and
15.4 required.
Table 15.3 The tunnel lining materials

Parts Materials
Concrete Stoneflakes Reinforced Sprayed
concrete concrete concrete
Arch ring C20 – C25 C20
Side wall C20 – C25 C20
Inverted arch C20 – C25 C20
Bottom C20 – C25 –
Inverted arch filler C10 C10 – –
Body of ditch and cable C25 – C25 –
tank
Cover plate of ditch and – – C15 –
cable tank
Table 15.4 The tunnel portal materials

Parts Materials
Concrete Reinforced Stoneflakes Masonry
concrete concrete
End wall C20 C25 C15 M10 stoneflakes cement mortar
masonry with stone or precast
concrete veneer
Top hat C20 C25 – M10 rubble cement mortar
masonry
Wing wall and C20 C25 C15 M7.5 stoneflakes cement mortar
retaining wall of the masonry
structural opening
Side channel and C15 – – M5 stoneflakes cement mortar
intercepting drain masonry
Slope protection C15 – – M5 stoneflakes cement mortar
masonry
Note 1. C20 sprayed concrete can be used as slope protection material. 2. The strength of cement
mortar should increase one grade in the region where the average temperature of the coldest month
is below −15 °C
The following factors should also be considered when selecting the lining
materials.
(1) The materials selected in the tunnel lining structures should satisfy the
requirements of structural strength, durability, frost resistance, impermeability,
and corrosion resistance.
(2) The special cement with corrosion resistance should be used in the concrete and
mortar of the lining structure when there is corrosive water around the tunnel.
(3) The integral concrete with higher strength should be adopted in the lining
structures when the tunnel is affected by the frost damage in cold and frigid areas.
15.2.3 General Detailing Requirements of Lining Structures
In the design process of the tunnel structures, besides the reasonable structure
forms, lining materials, and section size, the following detailing requirements
should also be satisfied according to the differences between the underground and
the ground structures.
1. Protective layer of the concrete
For the precast lining structures, the minimum thickness of the protective layer for
the stressed steel bar is 20 mm. For the cast-in-place lining structures, the inner
protective layer is 25 mm and the outer is 30 mm. And for the sprayed concrete
lining structures with steel wire mesh, the protective layer is 20 mm. If there is
corrosive media around the tunnel, the protective layer should increase to 50 mm.
In addition, the thickness of the protective layer should increase with the thickness
of the lining section increasing.
2. Overbreak and underbreak of the lining structures
In the process of the tunnel constructions, it is impossible that the excavation size of
the cavern is completely in line with the size of the unlined tunnel as designed,
which produces the overbreak and underbreak of the lining structures. The
unnecessary excavation will usually increase the backfill of the tunnel, while the
underbreak cannot guarantee the size of the tunnel section. So there are some limits
for the overbreak and underbreak in the excavation process. The allowable value of
overbreak or underbreak is calculated according to the unlined tunnel as designed.
Generally the underbreak in the cast-in-place concrete lining structures is not
allowed. The thickness of some individual underbreak cannot exceed one-fourth of
the thickness of the lining section. To be more precise, the thickness of the
underbreak cannot exceed 150 mm and the underbreak area cannot exceed 1 m2. In
addition, the allowed overbreak should also be strictly controlled. For the general
tunnel lining structures, the average overbreak cannot exceed 100–150 mm. For
some key parts of the cavern structures such as the ring beam rock bench of the
Table 15.5 The width of Rock classification Two-lane tunnel Three-lane tunnel
deformation joints (mm)
I – –
II – 10–50
III 20–50 50–80
IV 50–80 80–120
V 80–120 100–120
VI Determined by the in situ
measurements
dome, the skewback rock bench of the thick-arch and thin wall lining structures and
semi-lining structures, and the surrounding of the bifurcation tunnel, the overbreak
should not exceed 150 mm.
3. Setting of the deformation joints
In order to minimize the deformation stress within the lining structures, the sur-
rounding rock is allowed to release certain energy and develop some deformation.
So, the deformation joints are reserved in the process of the construction. According
to deformation requirements in different structures, the deformation joints can be
divided into settlement joints and expansion joints. The settlement joint is arranged
to avoid the local uneven deformation and fracture of the lining structures in vertical
and horizontal direction, while the expansion joint is to prevent the structures from
cracks in the axis direction due to thermal or wet expansion and contraction.
According to the geology conditions, the width of the deformation joints is
determined through the engineering analogy method.
Table 15.5 can be referred if there is no analogy data. Moreover, the asphalt plank
and oakum can be filled considering the in-site measurements. Both settlement joints
and expansion joints should be arranged vertically perpendicular to the tunnel axis.
15.3 Calculation Methods for Integral Tunnel Structures
After excavation of the tunnel, the lining structures are subjected to the earth
pressure and other loads, which prevent the stratum from deformation to the cav-
erns. The lining structures will produce deformation under the active earth pressure
which results from the deformation or collapse of the stratum around the caverns.
Moreover, the lining structures will be subjected to the reaction force of the stratum
which is called elastic resistance of the stratum to the lining structures. Therefore,
the underground structures are subjected to the active earth pressure and the elastic
resistance of the stratum at the same time. There is interactions between the lining
structures and the stratum. According to the interactions, the underground structures
can be divided into the following types.
(1) Free deformation structures. As with the ground buildings, they are calculated
by structural mechanic method. The elastic resistance of the stratum is con-
sidered at the skewback and wall bottom.
(2) Structures considering the interaction with the stratum.
The calculation theory which determines the elastic resistance can be divided
into the following types.
(1) Local deformation theory. The lining structures are regarded as the elastic
structures based on the Winkler’s assumption.
(2) Common deformation theory. The lining structures are regarded as the elastic
structures with linear deformation.
According to the differences of the unknown parameters in the calculation and

the distribution of elastic resistance in the elastic foundation beam theory, the
calculation methods can be divided into several types. The commonly used cal-
culation methods are summarized in Table 15.6.
15.4 Semi-lining Structures
The semi-lining structures as shown in Fig. 15.6, generally refer to the tunnel
structure with only arch ring but no side wall. It is often used in the surrounding
rock stratum with good stability and integrality such as level of IV and V. More-
over, in the construction of side wall and arch lining structures, the arch ring is
constructed before the side wall. When the arch ring is completed with no lower
step excavation, it can also be regarded as the semi-lining structure.
The semi-lining structures can be divided into arch ring structures and thick-arch
and thin wall lining structures. There is only arch ring in the semi-lining structures,
which plays the role to maintain the surrounding rocks. Because the skewback of
the thick-arch and thin wall lining structures is directly put on the rocks, the thin
wall basically does not relate to the lining structures.
The semi-lining structures are often used in the surrounding rocks with poor top
stability and horizontal pressure. For the large-span or high side wall caverns in the
stable or basically stable surrounding rocks, the semi-lining structures can also be
adopted if the anchor-sprayed lining structures cannot reach the requirements.
The key part of the semi-lining structure is the skewback as shown in Fig. 15.7.
It should adopt the structures with reasonable stress conditions, such as inclined
skewback and broken line skewback.
The step width a as shown in Fig. 15.7 is related to the geology conditions,
construction technology and geometry size of tunnel structures. According to
related standards, the value is usually 0.3–1.2 m.
Table 15.6 The calculation methods of the integral tunnel structures
15.4
Calculation Basic Methods Elastic Types Serial Calculation Calculation Main unknowns Remarks
theory methods resistance and no. diagram structure
distribution of stiffness diagram
side wall of side
wall
Local Force method Zhu-Bu method Assumed Curved 1 (1) The moment and axial It is not suitable for
deformation elastic wall force of the vault straight wall
theory resistance (2) The largest of elastic
distribution resistance
Semi-lining Structures
Naumov method Elastic Rigid 2 (1) The moment and axial Long beam is rare in
foundation beam 3 force of the vault tunnel structures
beam Short (2) Elastic resistance
(Pasternak) beam strength of the skewback
(3) The moment and axial
force of the wall foot
when the side wall
belongs to short beam
Matrix force Concentrate Curved 4 (1) The force of each Since the chain-bar
method reaction of wall 5 chain-bar method use matrix
chain-bar Straight (2) The moment mechanics, so it is also
wall corresponding to the called matrix force method
chain-bar
(3) The moment and axial
force of the vault
Displacement Slope deflection Elastic Rigid 6 Angular and lateral It is suitable for one-span
method method foundation beam 7 displacement at the two-story, one-span
Propagating beam (Initial Short 8 skewback and wall top two-story and two span
method of parameter beam 9 one-story lining structures
unbalanced method)
moments and
lateral forces
(continued)
649
650
Calculation Basic Methods Elastic Types Serial Calculation Calculation Main unknowns Remarks
theory methods resistance and no. diagram structure
distribution of stiffness diagram
side wall of side
wall
Common Force method Дaвыдoв Elastic Rigid 10 (1) The moment and axial The effect of inverted arch
deformation (Davydov) method foundation beam 11 force of the elastic center is not considered in the
theory beam Elastic (2) Five chain-bar force at tunnel structures
(Zemochkin beam the lateral and bottom of
method) side wall
(3) The chain-bar force at
the fixed wall bottom
(4) Angular displacement
at the foot of the side wall
Note 1. The lining structures and loads in the table are symmetrical. 2. The active loads are not shown in the diagrams
15 Design of Integral Tunnel Structures
15.4 Semi-lining Structures 651

semi-lining structures
Fig. 15.7 Reasonable

skewback types. a Inclined
skewback; b Broken line
skewback
15.4.1 Calculation Diagrams for Semi-lining Structures

1. Assumptions
According to the features and stress characteristics of the semi-lining structures, the
basic assumptions for the internal force calculation are showing as follows.
(1) Since there is little relationship between the side wall and the arch ring of the
thick-arch and thin wall lining structures, the interaction between the side wall
and the arch ring can be ignored. Therefore, the thick-arch and thin wall lining
structures can also be regarded as the semi-lining structures.
(2) The constraint of the skewback is neither hinge joint nor completely rigid
fixed. It belongs to the elastic fixed and its deformation conforms to the
Winkler’s assumption. The skewback can produce rotation and displacement
along the tangent direction of the arch axis, along with the stratum.
(3) Under various vertical loads, the arch ring of the semi-lining structures is
mostly located in the detachment region. Therefore, it trends toward safety to
ignore the effect of elastic resistance.
Fig. 15.8 Calculation diagram of semi-lining structures. a Element; b Calculation diagram
(4) The calculation of the semi-lining structure which is actually a kind of spatial
structure is always simplified as the plane strain problem. It is also safety
because the length of the structure is much larger than its span. The stress
characteristics conforms to the plane assumption.
2. Computing model
Based on the above assumptions, the calculation diagrams of semi-lining structures

are shown as Fig. 15.8. The model is simplified as an elastic fixed beam without
articulation, which is a kind of three statically indeterminate structure. On the basis
of force method, the internal force of the structure can be calculated.
15.4.2 Internal Force Calculation Method for Semi-lining

Structures
The calculation of the internal force of the semi-lining structures can be summa-
rized as a mechanical problem of elastic beam without articulation. In terms of the
loads, the calculation can be divided into symmetric and asymmetric problems. It
should be noted that no matter how the loads are, the structures are always
symmetric.
1. Solution to the symmetric problem
According to the force method, the arch ring is cut open at the vault section. And the
forces between the two half arch ring are replaced by the unknown moment X1 , axis
force X2 and shear force X3 . The positive directions of the force are shown as the
directions of the unknowns in Fig. 15.9. Moreover, the positive directions of the
rotation of the skewback section and horizontal displacement are outward of the arch
ring. It should be noted that the elastic displacements of the left and right skewbacks
are symmetric because the shear force X3 ¼ 0 in the symmetric problems.
Based on the conditions that the relative rotation and horizontal displacement of
the vault section are equal to zero, the deformation compatibility equation can be
derived.
Fig. 15.9 Calculation diagram and basic structure of symmetric problems. a Calculation diagram;
b Basic structure

X1 d11 þ X2 d12 þ D1p þ b0 ¼ 0
ð15:1Þ
X1 d21 þ d2 X22 þ D2p þ u0 þ b0 f ¼ 0
where dik is unit displacement of the vault section. According to the displacement
reciprocal theory, in the basic structure of the arch ring with rigid fixed skewback
under the force Xk ¼ 1, the displacement along the direction of the unknown Xi
ði; k ¼ 1; 2Þ at the cantilever end dik ¼ dki . Dip is the load displacement of the vault
section. In the basic structure of the arch ring with rigid fixed skewback, the
displacement along the direction of the unknown Xi ði; k ¼ 1; 2Þ induced by the
external loads. b0 is the total elastic rotation of the skewback section. u0 is the total
horizontal displacement of the skewback section.
According to the calculation diagram in Fig. 15.9 and the displacement super-
position principle, the total elastic rotation b0 and total horizontal displacement u0
of the skewback section can be expressed as follows.

b0 ¼ X1 b1 þ X2 ðb2 þ f b1 Þ þ bp
ð15:2Þ
u0 ¼ X1 u1 þ X2 ðu2 þ fu1 Þ þ up
where b1 and u1 are the rotation and horizontal displacement of the skewback
section under the unit moment MA ¼ 1, respectively. b2 and u2 are the rotation and
horizontal displacement of the skewback section under the unit horizontal axial
force HA ¼ 1, respectively. According to the displacement reciprocal theory,
b2 ¼ u1 . bp and up are the rotation and horizontal displacement of the skewback
section under the external loads, respectively. f is the rise of the arch ring axis. The
rest of the symbols mean the same.
In total, b1 , b2 , u1 , u2 , bp and up are called elastic fixed coefficients of the
skewback.
Coupling Formulas (15.1) and (15.2), the equations to solve the unknown X1 and
X2 can be obtained.
)
a11 X1 þ a12 X2 þ a10 ¼ 0
ð15:3Þ
a21 X1 þ a22 X2 þ a20 ¼ 0
Solve Formula (15.3) for the unknowns of the vault section.

9
a20 a12 a10 a22 >
X1 ¼ >
a11 a22 a212 =
a10 a12 a20 a11 > ð15:4Þ
X2 ¼ >
;
a11 a22 a212
where aik ði; k ¼ 1; 2Þ is the unit displacement of the basic structure which is taken
as an elastic fixed beam without articulation. ai0 ði ¼ 1; 2Þ is the load displacement.
In addition, when b1 bp and u1 up equal to zero, the obtained unit displace-
ment is for the rigid fixed arch without articulation.
2. Solution to the asymmetric problem
Figure 15.10 is the calculation diagram and basic structure of asymmetric problems.
Except taking the whole arch as the basic structure, the positive and negative
directions for internal force and displacement of the skewback are the same as the
symmetric problem.
According to the conditions that the relative rotation and horizontal displacement
of the vault section are equal to zero, the deformation compatibility equation can be
derived.
9
X1 d11 þ X2 d12 þ D1p þ ðb0L þ b0R Þ ¼ 0 >
>
=
X1 d21 þ d2 X22 þ D2p þ ðu0L þ u0R Þ þ f ðb0L þ b0R Þ ¼ 0 ð15:5Þ
l >
>
X3 d33 þ D3p þ ðv0L þ v0R Þ þ ðb0R b0L Þ ¼ 0 ;
2
where b0L , u0L and v0L are the total elastic rotation, total horizontal displacement
and total vertical displacement of the left skewback, respectively. b0R , u0R and v0R
Fig. 15.10 Calculation diagram and basic structure of asymmetric problems. a Calculation
diagram; b Basic structure
are of the right skewback, respectively. d13 ¼ d31 ¼ d23 ¼ d32 ¼ 0. The rest of the
symbols mean the same.
According to the displacement superposition principle, the expressions of b0L ,
u0L , v0L , b0R , u0R and v0R can be obtained as follows.
9
l >
b0L ¼ X1 b1L þ X2 ðb2L þ f b1L Þ þ X3 b3L b1L þ bpL >
>
>
2 >
>
>
>
>
>
¼ X1 b1R þ X2 ðb2R þ f b1R Þ þ X3 b3R þ b1R þ bpR >
l
b0R >
>
2 >
>
>
>
>
>
l >
>
u0L ¼ X1 u1L þ X2 ðu2L þ fu1L Þ þ X3 u3L u1L þ upL >=
2
ð15:6Þ
>
¼ X1 u1R þ X2 ðu2R þ fu1R Þ þ X3 u3R þ u1R þ upR >
l
u0R >
>
2 >
>
>
>
>
>
l >
>
v0L ¼ X1 v1L þ X2 ðv2L þ fv1L Þ þ X3 v3L v1L þ vpL >>
2 >
>
>
>
>
>
¼ X1 v1R þ X2 ðv2R þ fv1R Þ þ X3 v3R þ v1R þ vpR >
l >
v0R ;
2
where v1L , v2L and v3L are the vertical displacement of the left skewback when it is
under the force ðMA ; HA ; VA Þ ¼ 1, respectively. v1R , v2R and v3R are the vertical
displacement of the right skewback when it is under the force ðMB ; HB ; VB Þ ¼ 1,
respectively. vpL and vpR are the vertical displacement of the left and right skew-
backs when it is under the external loads, respectively. The rest of the symbols
mean the same.
Similarly, b1L bpL , b1R bpR , u1L upL , u1R upR are called the elastic
fixed coefficients of the left and right skewbacks, respectively.
Coupling Formulas (15.5) and (15.6), the equations to solve the unknown X1 ; X2
and X3 can be obtained.
9
a11 X1 þ a12 X2 þ a13 X3 þ a10 ¼ 0 >
=
a21 X1 þ a22 X2 þ a23 X3 þ a20 ¼ 0 ð15:7Þ
>
;
a31 X1 þ a32 X2 þ a33 X3 þ a30 ¼ 0
where aik means the same.

Solve Formula (15.7) for the unknowns of the vault section.

a10 a12 a13 a11 a10 a13 a11 a12 a10

a20 a22 a23 a21 a20 a23 a21 a22 a20

a30 a32 a33 a31 a30 a33 a31 a32 a30
X1 ¼ ; X2 ¼

a11 a12 a13 ; X3 ¼ a11 a12 a13

a11 a12 a13
a21 a22 a23 a21 a22 a23 a21 a22 a23

a31 a32 a33 a31 a32 a33 a31 a32 a33
3. Internal forces of the arbitrary section of arch rings
When the unknowns of the vault section are obtained, the internal forces of arbi-
trary section i of the arch ring as shown in Fig. 15.11 can be calculated using the
static equilibrium method.
0
9
Mi ¼ X1 þ X2 yi X3 xi þ Mip >
>
=
Ni ¼ X2 cos ui X3 sin ui þ Nip0 ð15:8Þ
>
>
Qi ¼ X2 sin ui þ X3 cos ui þ Q0ip ;
0
where Mip , Nip0 and Q0ip are the moment, axial force and shear force of section i of
the basic structure under external loads, respectively. ui is the angle between
section i and vertical line of the arch ring.
When the moment and axial force of the arch ring are obtained, the internal force
diagram as shown in Fig. 15.12 can be drawn and the most dangerous section can
be determined. It should be noted that the positive directions of the moment Mi , the
axial force Ni and the shear force Qi are pulling the inner edge of the arch ring,
compressing the section and turning the curved beam clockwise rotation,
respectively. The positive and negative signs refer to the left and right arch
ring, respectively. When the loads are symmetric, the shear force X3 will be zero.

diagram for internal forces of
the arbitrary section of arch
rings
Fig. 15.12 Internal force

diagram of the moment and
axial force of the semi-lining
structure
15.4.3 Elastic Fixed Coefficients of Skewbacks
Besides the unit and load displacements of the arch ring, the elastic fixed coeffi-
cients of the skewback are still needed to solve the unknowns based on the
deformation compatibility equations.
According to the local deformation theory and the assumption that the bearing
surface is plane, there will be no displacement along the section if the friction
between the skewback and bearing surface is large enough because that it can offset
the shear force of the section.
(1) Under the unit moment, the bearing surface of the skewback stratum will
rotate angle b around the center, as shown in Fig. 15.13a. The stratum pres-
sure at the outer edge of the skewback is calculated as follows.
Fig. 15.13 Calculation of the unit displacement of the skewback section

M 6
r¼ ¼ 2 ð15:9Þ
W bdn
where b and dn are the width and thickness of the skewback, respectively.
According to the local deformation theory r ¼ Ky and tan b ¼ djy=2 b, there is
1
b¼ ð15:10Þ
KIn
where In is the moment of inertia of the skewback section. K is the elastic

resistance coefficient of the surrounding rocks. The rest of the symbols mean
the same.
Since there is no linear displacement of the skewback under unit moment, the
horizontal and vertical displacements are both zero. The elastic fixed coeffi-
cients of the skewback u ¼ v ¼ 0.
(2) Under the unit axial force, the skewback section will only generate dis-
placement along the axis. The normal stress of the stratum is shown in
Fig. 15.13b.
1
r¼ ð15:11Þ
bdn
According to local deformation theory, there is
r 1
y¼ ¼ ð15:12Þ
K Kbdn
Therefore,
cos un 9
u¼ >
Kbdn =
ð15:13Þ
sin un >
;
v¼
Kbdn
Under the unit axial force, the elastic fixed coefficient b ¼ 0.

(3) Under the external loads, there will be the moment Mp0 and axial force Np0
applied on the skewback. Based on the superposition principle, the elastic
fixed coefficients of the skewback are calculated as follows.
9
Mp0 >
>
bp ¼ Mp0 b
¼ >
>
KIn >
>
>
>
N 0
cos u N 0
cos u =
0
up ¼ M p u þ
p n
¼
p n
ð15:14Þ
Kdn b Kdn b > >
>
>
>
N 0
sin u N 0
sin u n >
>
0
vp ¼ M p v þ
p n
¼
p >
;
Kdn b Kdn b
15.4.4 Calculation of Arch Ring Displacements
According to the displacement method in structural mechanics, the displacement of

curved beam under unit force is calculated as follows.
Z Z
Mi Mk Ni Nk
dik ¼ ds þ dsðf =l 1=4 Þ ð15:15Þ
EI EA
Z
Mi Mk
dik ¼ dsðf =l [ 1=4 Þ ð15:16Þ
EI
where f =l is rise-span ratio of the arch ring. EI and EA are the bending stiffness and
compression stiffness arch ring, in which E is the elastic modulus of the arch ring
and I and A are the moment of inertia and area of the arch ring section, respectively.
The rest symbols mean the same.
Figure 15.14 shows the calculation diagram of the unit displacement of arch
rings.

diagram of the unit
displacement of the basic
structure
According to the basic displacement calculation Formula (15.15), the unit and
load displacements of the arch ring structure under X1 , X2 , X3 and external loads
can be calculated as follows.
9
Zs=2 Zs=2 Zs=2 >
>
M12 N12 1 >
>
d11 ¼ ds þ ds ¼ ds >
>
EI EA EI >
>
>
>
0 0 0 >
>
>
>
Zs=2 Zs=2 Zs=2 >
>
M1 M2 N1 N2 y >
>
d12 ¼ d21 ¼ ds þ ds ¼ ds >
>
>
>
EI EA EI >
>
0 0 0 >
>
>
>
Zs=2 Zs=2 Zs=2 Zs=2 >
>
M22 N22 y2 cos2 u >
>
d22 ¼ ds þ ds ¼ ds þ ds >
>
>
>
EI EA EI EA >
>
0 0 0 0 >
>
>
>
Zs=2 Zs=2 Zs=2 Zs=2 >
>
=
M32 N32 x2 sin2 u
d33 ¼ ds þ ds ¼ ds þ ds ð15:17Þ
EI EA EI >
>
EA
>
>
0 0 0 0 >
>
>
>
Zs=2 Zs=2 Zs=2 >
>
M1 Mp N2 Np Mp >
>
D1p ¼ ds þ ds ¼ ds >
>
EI EA EI >
>
>
>
0 0 0 >
>
>
>
Zs=2 Zs=2 Zs=2 Zs=2 >
>
M2 Mp N2 Np yMp Np cos u >
>
D2p ¼ ds þ ds ¼ ds þ ds > >
>
>
EI EA EI EA >
>
0 0 0 0 >
>
>
>
Zs=2 Zs=2 Zs=2 Zs=2 >
>
M3 Mp N3 Np xMp Np sin u > >
>
D3p ¼ ds þ ds ¼ ds þ ds >
>
>
EI EA EI EA ;
0 0 0 0
(1) When X1 ¼ 1, M1 ¼ 1 and N1 ¼ 0. When X2 ¼ 1, M2 ¼ y and N2 ¼ cos u.

When X3 ¼ 1, M3 ¼ x and N3 ¼ sin u. When there is external load q,
there are Mp and Np .
(2) When the rise-span ratio f =l [ 1=4, the effects of the axial forces on the
displacement can be ignored. So, the terms including 1=EA in Formula (15.17)
should be deleted.
(3) The variation of the arch axis, section and loads should be expressed in
mathematical forms when the unit and load displacements are calculated by
Formula (15.17). For complex cases, it is appropriate to use approximate
integration method of subsection summation.
(4) The rest symbols mean the same.
It should be noted that the calculation of the displacement of the arch ring is
definite integral in the final. However, when it is complex to express the variation of
the arch axis, section and loads in mathematical forms, the solution of the integral
will be difficult. Therefore, it is usually calculated by numerical integration method
in actual engineerings. The displacements of the arch ring are approximately cal-
culated by Simpson’s rule.
15.5 Straight Wall and Arch Lining Structures
The straight wall and arch lining structures usually include the arch rings, vertical
side walls, and bottoms as shown in Fig. 15.15. The overbreak between the lining
structure and the surrounding rock should be tightly backfilled. The backfill is
generally determined according to the requirement of the engineering, the geology
and construction conditions. The straight wall and arch lining structures have
advantages of the good integrity and reasonable mechanical behavior. But it is
difficult to deal with the moisture-proof, the overbreak backfill, and overhaul.
15.5.1 Calculation Diagram for Straight Wall and Arch Lining

Structures
The arch ring and side wall are the main stressed components of the straight wall
and arch lining structures. Under the external loads, the arch ring will have
deformation such as the down concave of the vault and the outer convex of the
skewbacks. The key to calculating the internal force and displacement is how to
consider the elastic resistance. There are mainly four aspects that should be con-
sidered for the calculation diagram of the straight wall and arch lining structures.
Fig. 15.15 Straight wall and arch lining structures. a Basic parts; b Expanded foundation
structures
1. Structure simplification
As a kind of long corridor tunnel spatial structure, the section, the load and the
support of the straight wall and arch lining structure are usually the same along the
longitudinal direction. Moreover, the length of the tunnel is much larger than its
span. Therefore, it can be regarded as the plane strain problems that the unit width
arch ring structure is calculated along the tunnel axis.
2. Structure shape simplification
Though both the arch ring and the side wall are replaced by the axis, the section
center of the skewback does not coincide with that of the wall top. In actual
engineering, there should be a number of constructional reinforcements at the joints
between the skewbacks and the wall tops. Moreover, the section size of the joint is
also large, so it is generally believed that the stiffness of the joint is infinite.
3. Loads simplification
The loads on the arch rings mainly include the stratum pressure, the dead weight of
the structure and elastic resistance. The first two is trapezoid distribution and the
last is parabola distribution. The side wall is regarded as the elastic foundation
beam. And the elastic resistance is determined based on the local deformation
theory.
4. Support simplification
The support simplification of the ling structure refers to the side wall. Since the
outer and bottom of the side walls are connected to the stratum, the moment,
horizontal force and vertical force from the skewback deform the side wall to the
stratum. On the contrary, the horizontal and vertical support forces from the stratum
are applied to the side walls, which is the same as the stress state of the elastic
foundation beam. Therefore, the side wall is always regarded as the elastic foun-
dation beam. In addition, the friction between the wall bottom and stratum is large
enough that it is impossible to produce the horizontal displacement. So, it can be
replaced by a horizontal rigid chain-bar. Under the external load, the side wall
except the bottom will produce vertical elastic deformation. The calculation dia-
gram is shown in Fig. 15.16.
The arch ring and side wall are usually calculated separately in the straight wall
and arch lining structures. The arch ring is generally calculated as the elastic fixed
beam without articulation, while the side wall is regarded as the vertical elastic
foundation beam. But the mutual restriction of the arch ring and side wall should be
considered.
15.5 Straight Wall and Arch Lining Structures 663
Fig. 15.16 Calculation diagram of straight wall and arch lining structures
15.5.2 Internal Force Calculation Method for Straight Wall

and Arch Lining Structures
1. The basic equations of the arch ring
Based on the force method in structural mechanics, the vault of the arch ring is cut
open and the forces in three directions are replaced by the unknown moment X1 ,
axial force X2 and shear force X3 . When the structure and load are symmetric, the
shear force X3 ¼ 0. Then the basic structure of the arch ring can be simplified as the
cantilever curved beam on the elastic fixed wall.
Based on the conditions that the relative rotation and horizontal displacement of
the vault section are equal to zero, the equation of force method under symmetric
condition can be derived.
)
X1 d11 þ X2 d12 þ D1p þ D1r þ 2b0 ¼ 0
ð15:18Þ
X1 d21 þ X2 d22 þ D2p þ D2r þ 2u0 þ 2b0 f ¼ 0
where b0 and u0 are the rotation and horizontal displacements of the skewbacks,
respectively. D1r and D2r are the relative rotation and horizontal displacements of
the vault sections induced by the elastic resistance r, respectively. The rest symbols
mean the same.
Since the rotation and horizontal displacements of the skewback are equal to
those of the wall top, the rotation b0 and horizontal displacement u0 of the skew-
back can be calculated as follows.

9
b0 ¼ X1 b1 þ X2 ðb2 þ f b1 Þ þ Mnp0 0
þ Mnr b1 >
>
>
>

>
>
>
þ Qnp þ Qnr b2 þ Vnp þ Vnr þ Vc b3 þ bne >
0 0 0 0
=

ð15:19Þ
u0 ¼ X1 u1 þ X2 ðu2 þ fu1 Þ þ Mnp0 0
þ Mnr >
>
u1 >
>

>
>
>
>
þ Qnp þ Qnr u2 þ Vnp þ Vnr þ Vc u3 þ une ;
0 0 0 0
where b1 and u1 are the rotation and horizontal displacement of the wall top under
unit moment, respectively. b2 and u2 are the rotation and horizontal displacement of
the wall top under unit horizontal force, respectively. b3 and u3 are the rotation and
vertical displacement of the wall top under unit vertical force, respectively. bne and
une are the rotation and horizontal displacement of the wall top under horizontal
trapezoid distribution force, respectively, which are also called load displacements
0
of the wall top. Mnp , Q0np and Vnp
0
are the moment, horizontal force and vertical force
0
of the wall top under the loads of the left half arch ring, respectively. Mnr , Q0nr and
0
Vnr are the moment, horizontal force and vertical force of the wall top under the
elastic resistance of the left half arch ring, respectively. Vc is the dead weight of the
side wall except the parts of the expanded foundation.
Substituting Formula (15.19) into Formula (15.18) gives
)
a11 X1 þ a12 X2 þ a1p ¼ 0
ð15:20Þ
a21 X1 þ a22 X2 þ a2p ¼ 0
Solve the equations and it can be obtained that

9
a2p a12 a1p a22 >
X1 ¼ >
a11 a22 a212 =
a1p a12 a2p a11 > ð15:21Þ
X2 ¼ >
;
a11 a22 a212
Formula (15.21) is the final formula to calculate the arch ring using the force
method, where
9
a11 ¼ d11 þ 2b1 >
>
>
>
a12 ¼ a21 ¼ d12 þ 2ðb2 þ f b1 Þ >
>
>
>
>
>
a22 ¼ d22 þ 2u2 þ 4f b2 þ 2f 2 b1 >
>

>
>
>
>
a1p ¼ D1p þ D1r þ 2 Mnp 0
þ Mnr0
b1 þ 2 Q0np þ Q0nr b2 >
>
>
>

=
þ 2 Vnp0 0
þ Vnr þ Vc b3 þ 2bne ð15:22Þ
>
>

>
>
0 0 0 0 >
>
a2p ¼ D2p þ D2r þ 2 Mnp þ Mnr u1 þ 2 Qnp þ Qnr u2 >
>

>
>
>
>
þ 2 Vnp þ Vnr þ Vc u3 þ 2une þ 2f Mnp þ Mnr b1 >
0 0 0 0 >
>
>

>
>
>
>
þ 2f Qnp þ Qnr b2 þ 2f Vnp þ Vnr þ Vc b3 þ 2f bne ;
0 0 0 0
2. Determining of the parameters in the basic equations of the arch ring
Here only the single centered circular arch ring structure is discussed.
(1) Calculation of the unit displacements dik
According to the calculation formulas of the unit displacement in arch ring struc-
tures, the unit displacement dik can be calculated as follows.
9
2R >
>
d11 ¼ ðu nK0 Þ >
>
EI0 n >
>
>
>
2R 2 >
>
d12 ¼ d21 ¼ ðk1 nK1 Þ >
>
EI0 =
ð15:23Þ
2R3 2R 0 >
d22 ¼ ðk2 nK2 Þ þ k2 n0 K20 >
>
>
>
EI0 EA0 >
>
>
>
2R 3 >
>
d33 ¼ ðk3 nK3 Þ >
;
EI0
where
1 cos un
K0 ¼ ;
sin un
k1 ¼ un sin un ;

1 1
K1 ¼ 1 cos un sin2 un ;
sin un 2
3 1
k2 ¼ un 2 sin un þ sin un cos un ;
2 2
1 1 1
K2 ¼ cos un þ cos2 un cos2 un ;
sin un 3 3
1
k20 ¼ ðun þ sin un cos un Þ;
2
1
K20 ¼ 2
un sin un cos un þ 2 cos un sin3 un ;
8 sin un
1
k3 ¼ ðun sin un cos un Þ;
2
1 1 3 2
K3 ¼ cos un cos un þ
sin un 3 3
where un is the angle between the radius of the skewback section and the vertical
line. R is the radius of the arch ring axis. E is the elastic modulus of the materials.
In the underground structures, the cutting circular arch ring with variable sec-
tions is generally adopted. The variations of the section area and moment of inertia
of the arch ring can be approximately calculated as follows.
9
1 1 sin2 u > >
¼ 1n 2 >
=
I I0 sin un
ð15:24Þ
1 1 sin u > >
>
¼ 1 n0 ;
A A0 sin un
where n ¼ 1 II0n . n0 ¼ 1 AA0n . I0 and In are the moment of inertia of the vault
section and the skewback section, respectively. A0 and An are the area of the vault
section and the skewback section, respectively.
It should be noted that Formula (15.23) is derived by the single centered circular
arch rings with variable thickness. So, when it is calculated for single centered
circular arch rings with equal thickness, n ¼ n0 ¼ 0.
(2) Calculation of the load displacements Dip
Based on the calculation Formula (15.17) of the unit displacement of the arch ring,
the load displacement Dip can be obtained in the same way.
1) Calculation of the displacement induced by the vertical uniform load q as

shown in Fig. 15.16
9
2qR3
D1q ¼ ða1 nA1 Þ >
>
=
EI0
ð15:25Þ
2qR4 >
>
D2q ¼ ða2 nA2 Þ ;
EI0
where
1
a1 ¼ ðun sin un cos un Þ;
4
1
A1 ¼ 2 3 cos un þ cos3 un ;
6 sin un

1 1 1 1
a2 ¼ un sin un cos un sin3 un ;
2 2 2 3

1 2 1 1
A2 ¼ cos un þ cos3 un un sin4 un
2 sin un 3 3 4
2) Calculation of the displacement induced by the horizontal uniform load e as

shown in Fig. 15.16
9
2eR3
D1e ¼ ða3 nA3 Þ >
>
=
EI0
ð15:26Þ
2eR4 >
>
D2e ¼ ða4 nA4 Þ ;
EI0
where
1
a3 ¼ ð3un 4 sin un þ sin un cos un Þ;
4
1 1 2 3
A3 ¼ cos un þ cos un cos un ;
2 sin un 3

1 5 3 1 3
a4 ¼ u 4 sin un þ sin un cos un þ sin un ;
2 2 n 2 3
1
A4 ¼ 7 4 cos un 6 sin2 un 4 cos3 un þ cos4 un
8 sin un
3) Calculation of the displacement induced by the vertical triangular distribution

load Dq as shown in Fig. 15.16
9
2Dq R3
D1Dq ¼ ða5 nA5 Þ >
>
=
EI0
ð15:27Þ
2Dq R4 >
>
D2Dq ¼ ða6 nA6 Þ ;
EI0
where

1 2 1 3
a5 ¼ cos un þ cos un ;
6 sin un 3 3

1 3 3 1 3
A5 ¼ un sin un cos un cos un sin un ;
6 sin2 un 8 8 4

1 2 1 3 1 4
a6 ¼ cos un þ cos un sin un ;
6 sin un 3 3 4

1 3 3 1 3 1 5
A6 ¼ un sin un cos un cos un sin un sin un
6 sin2 un 8 8 4 5
4) Calculation of the displacement induced by the horizontal uniform load De as

shown in Fig. 15.16
9
2De R3
D1De ¼ ða7 nA7 Þ >
>
=
EI0
ð15:28Þ
2De R4 >
>
D2De ¼ ða8 nA8 Þ ;
EI0
where

1 5 3 1
a7 ¼ un 4 sin un þ sin un cos un þ sin3 un ;
6ð1 cos un Þ 2 2 3

1 7 3 2 1
A7 ¼ cos un sin un cos un þ cos4 un ;
3
6 sin un ð1 cos un Þ 4 2 4

1 35 27 4 3 1 3
a8 ¼ u 8 sin un þ sin un cos un þ sin un þ sin un cos un ;
6ð1 cos un Þ 8 n 8 3 4

1 11 1
A8 ¼ cos un 2 sin2 un 2 cos3 un þ cos4 un cos5 un
6 sin un ð1 cos un Þ 5 5
(3) Calculation of displacements Dir induced by the elastic resistance
The distribution of the elastic resistance r of the vault can be approximately

described by the follows.
cos2 ub cos2 u
r ¼ rn ð15:29Þ
cos2 ub cos2 un
where rn is the elastic resistance of the skewback. r is the elastic resistance of the
arch ring in range Bb. The directions of rn and r are vertically perpendicular to the
tangent line of the arch ring axis. ub equals to 45° generally.
Through integral solution, the displacement induced by the elastic resistance is
calculated as follows.
9
2R3
D1r ¼ ða9 nA9 Þrn > >
=
EI0
ð15:30Þ
2R4 >
>
D2r ¼ ða10 nA10 Þrn ;
EI0
where

1 3 pffiffiffi pffiffiffi
a9 ¼ 2 sin u 2 cos u þ sin u cos u ;
3ð1 2 cos2 un Þ 2 n n n n
0 pffiffiffi pffiffiffi pffiffiffi pffiffiffi 1
2 2 2 2 2
B pþ un þ cos un sin un C
1 B 6 8 2 2 C
A9 ¼ B C;
3 sin un ð1 cos2 un Þ @ pffiffi2ffi 2 A
sin un cos un cos3 un
2 3
2 pffiffiffi pffiffiffi pffiffiffi 3
3 2 2 2 pffiffiffi
pffiffiffi
62 þ p þ u 1 þ 2 sin u 2 cos u n7
1 6 3 8 2 n n
7
a10 ¼ 6 pffiffiffi pffiffiffi 7;
3ð1 2 cos2 un Þ 4 2 2 2 2 3 5
sin un þ 1 þ sin un cos un þ sin un
2 2 3
11 2 2 2 1 pffiffiffi
6 þ pþ un þ cos un 1 þ 2 sin2 un 7
1 6 24 6 8 2 2 7
A10 ¼ 6 pffiffiffi p ffiffi
ffi 7
3 sin un ð1 2 cos un Þ 4 1 pffiffiffi
3 1 4 5
2
2 2 3
sin un cos un sin un 2 þ 2 cos un þ sin un
2 3 3 2
It should be noted that Formula (15.30) is only suitable for single centered
circular arch ring and the numerical integral solution is need for the three-centered
circular pointed arch ring.
(4) Calculation of the unit and load displacements of the wall top
According to the elastic foundation beam theory, the side walls can be divided into
short beam, short beam and rigid beam three types. Therefore, the unit and load
displacements of the wall top should be calculated according to different beam types.
1) The side wall is short beam.
As shown in Fig. 15.17, when M0 ¼ 1, Q0 ¼ 1, V0 ¼ 1 and trapezoid distribution

load are applied on the wall, respectively, the unit and load displacements of the
wall top can be calculated as follows according to the calculation formulas of the
short beam in elastic foundation beam.
9
4a3 u11 þ u12 A >
b1 ¼ >
>
K u9 þ u10 A >
>
>
>
>
2a u13 þ u11 A >
2 >
>
u1 ¼ b2 ¼ >
>
K u9 þ u10 A > >
>
>
=
2a u10 þ u13 A
u2 ¼ ð15:31Þ
K u9 þ u10 A >
>
>
>
3
2a e0 u1 A >
>
b3 ¼ >
>
>
>
K u9 þ u10 A >
>
>
>
2
a e0 u2 A >
>
u3 ¼ >
;
K u9 þ u10 A
u u
9
a u4 þ u3 A a u4 ah14 þ u3 ah10 A >
be ¼ e De >
>
>
=
K u9 þ u10 A K u9 þ u10 A
" # ð15:32Þ
u2 u4 A
1 u14 þ u15 A 1 2ah u1 þ 2 >
>
ue ¼ e De >
>
K u9 þ u10 A K u9 þ u10 A ;

the side wall when it is short
beam
where K is the elastic compression coefficient of the surrounding rock. e and De are
the uniform load and triangular distribution load of the side wall, respectively. e0 is
the eccentric distance between the midlines of the side wall and the side wall
bottom.
6K
A¼ ð15:33Þ
a3 B3 K b
where Kb is the elastic compression coefficient of the bedrock at the bottom of the
side wall. B is the width of the side wall bottom.
u1 ¼ ch a x cosa x; u2 ¼ ch a x sin a x þ sh a x cos a x; u3 ¼ sh a x sin a x;

1
u4 ¼ ch a x sin a x sh a x cos a x; u9 ¼ ch2 a x þ cos2 a x ;
2
1 1
u10 ¼ ðsh a x ch a x sin a x cos a xÞ; u11 ¼ ðsh a x ch a x þ sin a x cos a xÞ;
2 2
1 2 1 2
u12 ¼ ch a x sin a x ; u13 ¼ sh a x þ sin2 a x ;
2
2 2
1 2 2 1
u14 ¼ ch a x cos a x ; u15 ¼ ðsh a x þ sin a xÞðch a x cos a xÞ
2 2
2) The side wall is long beam.
Only the wall top of the long beam as shown in Fig. 15.18 is subjected to M0 , Q0
and V0 . Let V0 ¼ 0 first. Then let M0 ¼ 1 and Q0 ¼ 1 applied on the wall top
separately. The unit displacement of the wall top is calculated as follows.
9
4a3 >
>
b1 ¼ >
>
K >
>
2=
2a ð15:34Þ
u1 ¼ b2 ¼
K >
>
>
2a >
>
>
;
u2 ¼
K
It should be noted that M0 and Q0 will not induce the displacements and internal
forces on the bottom based on the long beam theory. However, the eccentric
distance e0 between V0 and the dead weight of wall will produce the moments and
the shear forces on the wall bottom. Meanwhile, the effects on the thickness of the
lining structures can be ignored.
3) The side wall is rigid beam.
There is only whole rotation of the rigid beam as shown in Fig. 15.19. Let M0 ¼ 1,
Q0 ¼ 1, V0 ¼ 1 and trapezoid distribution load applied on the side wall,
Fig. 15.18 The diagram of the side wall when it is long beam
Fig. 15.19 The diagram of the side wall when it is rigid beam
respectively. According to the calculation formulas of the rigid beam in the elastic
foundation beam, the unit and load displacements of the wall top can be calculated
as follows.
9
bb >
b1 ¼ >
>
G >
>
>
hbb >
>
>
u1 ¼ b2 ¼ >
>
G >>
>
2 =
h bb
u2 ¼ ð15:35Þ
G >
>
>
>
e0 bb >
>
b3 ¼ >
>
>
>
G >
>
he0 bb >
>
u3 ¼ ;
G
9
h2 bb e De > >
bne ¼ þ >
G 2 6 =
ð15:36Þ
h3 bb e De > >
>
une ¼ þ ;
G 2 6
where bb ¼ K12
bB
1 3
3 , G ¼ 1 þ 3 bb Kh and h is the height of the side wall.
0
4) Calculation of the moment Mnr , horizontal force Q0nr and vertical force Vnr
0
induced by the elastic resistance r:

0
Assuming the elastic resistance distribution is as Formula (15.29), the moment Mnr ,
0 0
horizontal force Qnr and vertical force Vnr are calculated as follows.
R2 rn pffiffiffi pffiffiffi
9
>
0
Mnr ¼ cos un sin un þ 2 sin un 2 cos un >
2 2
>
>
2
3ð1 2 cos un Þ >
>
p ffiffi
ffi >
>
Rrn 2 2 3 =
Q0nr ¼ cos u þ cos u
1 2 cos2 un 3 n
3 n
>
>
pffiffiffi >
>
2 1 2 >
>
0 Rrn 2 >
>
Vnr ¼ sin u sin u cos u ;
1 2 cos un 3
2 3 n
3 n n
ð15:37Þ
The symbols in the formulas mean the same.
9
>
0
Mir ¼ cos ui sin ui þ 2 sin ui 2 cos ui >
2 2
>
>
3ð1 2 cos2 un Þ >
>
pffiffiffi >
>
Rr 2 2 =
0 n 3
Qir ¼ cos u þ cos u
1 2 cos2 un 3 i
3 i
>
>
pffiffiffi >
>
2 1 2 >
>
0 Rr n 2 >
>
Vir ¼ sin u sin u cos u ;
1 2 cos un 3
2 3 i
3 i i
ð15:38Þ
The symbols in the formulas mean the same.
15.5.3 Design Example of Straight Wall and Arch Lining

Structure
An underground tunnel structure as shown in Fig. 15.20 is constructed in the

surrounding rock between level II and level III along with groundwater
activity
sometimes. The bulk density of the stratum c0 ¼ 2:5 104 N m3 . The elastic

resistance coefficient of the surrounding rock k ¼ 3 108 N m3 . The elastic
compression coefficient
of the bedrock at the bottom of the side wall
kd ¼ 4 108 N m3 . Both the arch ring and side wall adopt C15 concrete as the

lining material. The bulk density of the concrete c ¼ 2:4 104 N m3 and the

elastic modulus E ¼ 2:6 1010 N m2 . The average thickness of overbreak is
Fig. 15.20 The section size of the straight wall and arch lining structure (m)
0.1 m. The inner net span l0 =2 ¼ 4:45 m and the inner net height h0 ¼ 7:8 m.
According to the requirement of the net height and structure, the thickness of the
vault d0 ¼ 0:6 m, the thickness of the skewback dc ¼ 1:0 m, the thickness of the
side wall dn ¼ 0:9 m and the radius of the inner edge of the arch ring R0 ¼ 4:68 m.
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
The rise of the inner edge of the arch ring f0 ¼ R0 R20 ðl0 =2Þ2 . The width and
thickness of the expanded foundation of the side wall are 0.2 m and 0.6 m,
respectively. Calculate and design the straight wall and arch lining structure.
Solution
1. Calcualtion of vaults
(1) Geometry size
Known conditions: d0 ¼ 0:6 m, dc ¼ 1:0 m, dn ¼ 0:9 m, R0 ¼ 4:68 m, h0 ¼ 7:8 m,

l0 =2 ¼ 4:45 m. According to Table 15.2, the section geometry size of cutting cir-
cular arch lining structure is calculated as follows.
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
f0 ¼ R0 R20 ðl0 =2Þ2 ¼ 4:68 4:682 4:452 ¼ 3:230897 m
ðdn d0 Þ½R0 0:25ðdn d0 Þ ð0:9 0:6Þ ½4:68 0:25 ð0:9 0:6Þ

m1 ¼ ¼
2½f0 0:5ðdn d0 Þ 2 ½3:230897 0:5 ð0:9 0:6Þ
¼ 0:224204 m
ðdn d0 Þ½R0 0:5ðdn d0 Þ ð0:9 0:6Þ ½4:68 0:5 ð0:9 0:6Þ
m2 ¼ ¼
f 0 ð dn d0 Þ 3:230897 ð0:9 0:6Þ
¼ 0:463681 m
R ¼ R0 þ 0:5d0 þ m1 ¼ 4:68 þ 0:5 0:6 þ 0:224204 ¼ 5:204204 m

R1 ¼ R0 þ d0 þ m2 ¼ 4:68 þ 0:6 þ 0:463681 ¼ 5:743681 m
l0 4:45
sin un0 ¼ ¼ ¼ 0:950855
2R0 4:68
R0 f0 4:68 3:230897
cos un0 ¼ ¼ ¼ 0:309637
R0 4:68
0:5l0 0:5 8:9
sin un ¼ ¼ ¼ 0:936014
R 0:5dn 5:204204 0:5 0:9
R0 f0 þ m1 4:68 3:230897 þ 0:224204
cos un ¼ ¼ ¼ 0:351964
R 0:5dn 5:204204 0:5 0:9
un ¼ 1:211128
ðR þ 0:5dn Þ sin un ð5:204204 þ 0:5 0:9Þ 0:936014
sin un1 ¼ ¼
R1 5:743681
¼ 0:921432
ðR þ 0:5dn Þcos un þ m2 m1
cos un1 ¼
R1
ð5:204204 þ 0:5 0:9Þ 0:351964 þ 0:463681 0:224204
¼
5:743681
¼ 0:388175
f ¼ f0 þ 0:5d0 0:5dn cos un ¼ 3:230897 þ 0:5 0:6 0:5 0:9 0:351964

¼ 3:372513 m
l ¼ l0 þ dn sin un ¼ 8:9 þ 0:9 0:936014 ¼ 9:742412 m
d0 0:6
Dh ¼ f0 þ f ¼ 3:230897 þ 3:372513 ¼ 0:158384 m
2 2
1 1
D ¼ ðl0 þ dc lÞ ¼ ð8:9 þ 1:0 9:742412Þ ¼ 0:078794 m
2 2
d0 0:6
hc ¼ h0 þ f ¼ 7:8 þ 3:372513 ¼ 4:727487 m
2 2
bd03 1 0:63
I0 ¼ ¼ ¼ 0:018 m4
12 12
bd 3 1 0:93
In ¼ n ¼ ¼ 0:06075 m4
12 12
EI0 ¼ 2:6 1010 0:018 ¼ 4:68 108 N

m2
I0 0:018
n¼1 ¼1 ¼ 0:703704
In 0:06075

K ¼ kb ¼ 3 108 1 ¼ 3 108 kN m2
The elastic standard value of the side wall is

rffiffiffiffiffiffiffiffi sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
4 K 4 3 108
a¼ ¼ ¼ 0:431338 m1
4EI 4 2:6 1010 ð1 13 =12Þ
k ¼ ahc ¼ 0:431338 4:727487 ¼ 2:039143\2:75, the side wall is short

beam.
f =l ¼ 3:372513=9:742412 ¼ 0:346168 [ 14. So, the effect of the axial force can
be ignored.
(2) Active loads
1) Surrounding rock pressure
The average thickness of the tunnel overbreak is 0.1 m and the thickness of the side
wall is 1 m. The span and height of the unlined tunnel are calculated as follows.
L ¼ l0 þ 2dc þ 2 0:1 ¼ 8:9 þ 2 1 þ 2 0:1 ¼ 11:1 m

H ¼ h0 þ d0 þ 0:1 ¼ 7:8 þ 0:6 þ 0:1 ¼ 8:5 m
The vertical uniform load of the surrounding rock

H 8:5
q1 ¼ K L þ c0 ¼ 0:1325 11:1 þ 2:5 104 ¼ 50;875 N m2
2 2
The horizontal uniform load of the surrounding rock

e ¼ 0:1q1 ¼ 0:1 50;875 ¼ 5087:5 N m2
2) The weight of the overbreak backfill layer
Considering that the average thickness of the tunnel overbreak is 0.1 m, there is

q2 ¼ 0:1c0 ¼ 0:1 2:5 104 ¼ 2500 N m2
3) The dead weight of the arch ring lining structure
Calculate the dead weight of approximate average thickness. There is
d0 þ dn 0:6 þ 0:9
q3 ¼ c ¼ 2:4 104 ¼ 18;000 N m2
2 2
In conclusion, the active loads on the lining structure include the vertical and
horizontal uniform load.

q ¼ q1 þ q2 þ q3 ¼ 50;875 þ 2500 þ 18;000 ¼ 71;375 N m2

e ¼ 5087:5 N m2
The load structure diagram of the straight wall and arch lining structure is shown
in Fig. 15.21.
Fig. 15.21 The load structure diagram of the straight wall and arch lining structure
(3) Calculation of the parameters in Formula (15.18)–(15.22)
1) Calculation of the unit displacement dik of the arch ring
According to Formula (15.23), there is
1 cos un 1 0:351964
K0 ¼ ¼ ¼ 0:692336
sin un 0:936014
k1 ¼ un sin un ¼ 1:211128 0:936014 ¼ 0:275114

1 1 2 ð1 cos un Þ2 ð1 0:351964Þ2
K1 ¼ 1 cos un sin un ¼ ¼
sin un 2 2 sin un 2 0:936014
¼ 0:224330
3 1
k2 ¼ un 2 sin un þ sin un cos un
2 2
3 0:936014 0:351964
¼ 1:211128 2 0:936014 þ ¼ 0:109386
2 2

1 1 2 1 2 ð1 cos un Þ3
K2 ¼ cos un þ cos un cos un ¼
sin un 3 3 3 sin un
3
ð1 0:351964Þ
¼ ¼ 0:096916
3 0:936014
2R 2 5:204204
d11 ¼ ðun nK0 Þ ¼ ð1:211128 0:703704 0:692336Þ
EI0 4:68 108
8
¼ 1:61003 10
2R2
d12 ¼ d21 ¼ ðk1 nK1 Þ
EI0
2 5:2042042
¼ ð0:275114 0:703704 0:22433Þ ¼ 1:357114 108
4:68 108
2R3
d22 ¼ ðk2 nK2 Þ
EI0
2 5:2042043
¼ ð0:109386 0:703704 0:096916Þ ¼ 2:480845 108
4:68 108
2) Calculation of the load displacement Dip of the arch ring
According to Formulas (15.25)–(15.26), the displacements caused by the vertical

uniform load q are calculated as follows.
1 1
a1 ¼ ðun sin un cos un Þ ¼ ð1:211128 0:936014 0:351964Þ
4 4
¼ 0:220421
1
A1 ¼ 2 3 cos un þ cos3 un
6 sin un
1
¼ 2 3 0:351964 þ 0:3519643 ¼ 0:175872
6 0:936014

1 1 1 1 3 1
a2 ¼ u sin un cos un sin un ¼ a1 sin3 un
2 2 n 2 3 6
1
¼ 0:220421 0:9360143 ¼ 8:374436 102
6

1 2 1 1 1
A2 ¼ cos un þ cos3 un un sin4 un ¼ A1 sin3 un
2 sin un 3 3 4 8
1
¼ 0:175872 0:9360143 ¼ 7:336393 102
8
2qR3
D1q ¼ ða1 nA1 Þ
EI0
2 71;375 5:2042043
¼ ð0:220421 0:703704 0:175872Þ
4:68 108
¼ 4:155651 103
2qR4
D2q ¼ ða2 nA2 Þ
EI0
2 71;375 5:2042044
¼ 8
8:374436 102 0:703704 7:336393 102
4:68 10
¼ 7:186122 103
The displacements caused by the horizontal uniform load e are calculated as

follows.
1
a3 ¼ ð3un 4 sin un þ sin un cos un Þ
4
1
¼ ð3 1:211128 4 0:936014 þ 0:936014 0:351964Þ
4
¼ 5:469313 102

1 1 1
A3 ¼ 2 3
cos un þ cos un cos un ¼ ð1 cos un Þ3
2 sin un 3 6 sin un
1
¼ ð1 0:351964Þ3 ¼ 4:845789 102
6 0:936014

1 5 3 1
a4 ¼ un 4 sin un þ sin un cos un þ sin3 un
2 2 2 3

1 5 3 1
¼ 1:211128 4 0:936014 þ 0:936014 0:351964 þ 0:9360143
2 2 2 3
¼ 2:564191 102
1 1
A4 ¼ 7 4 cos un 6 sin2 un 4 cos3 un þ cos4 un ¼ ð1 cos un Þ4
8 sin un 8 sin un
1
¼ ð1 0:351964Þ4 ¼ 2:355186 102
8 0:936014
2eR3
D1e ¼ ða3 nA3 Þ
EI0
2 5087:5 5:2042043
¼ 8
5:469313 102 0:703704 4:845789 102
4:68 10
¼ 6:310649 105
2eR4
D2e ¼ ða4 nA4 Þ
EI0
2 5087:5 5:2042044
¼ 2:564191 102 0:703704 2:355186 102
4:68 10 8
¼ 1:446224 104
Adding the displacements caused by the above loads gives:
D1p ¼ D1q þ D1e ¼ 4:155651 103 6:310649 105 ¼ 421:875749 105

D2p ¼ D2q þ D2e ¼ 7:186122 103 1:446224 104 ¼ 21:648362 104
3) Calculation of the displacement Dir induced by the elastic resistance of the

vault
According to Formula (15.30), there is

1 3 pffiffiffi pffiffiffi
a9 ¼ 2 sin un 2 cos un þ sin un cos un
3ð1 2 cos2 un Þ 2
1
¼
3 ð1 2 0:3519642 Þ

3 pffiffiffi pffiffiffi
2 0:936014 2 0:351964 þ 0:936014 0:351964
2
¼ 3:53068 103
0 pffiffiffi pffiffiffi pffiffiffi pffiffiffi 1
2 2 2 2 2
B p þ u þ cos u sin unC
1 B 6 8 2 n n
2 C
A9 ¼ B p ffiffi
ffi C
3 sin un ð1 2 cos2 un Þ @ 2 2 3 A
sin un cos un cos un
0 pffiffiffi pffiffiffi 2 3 1
pffiffiffi pffiffiffi
2 2 2 2 2
B pþ 1:211128 þ 0:351964 0:936014 C
B 6 8 2 2 C
B pffiffiffi C
@ 2 2 A
3
0:936014 0:351964 0:351964
¼ 2 3
3 0:936014 ð1 2 0:3519642 Þ
¼ 3:395587 103

3 2 2 2 pffiffiffi
pffiffiffi
62 þ p þ u 1 þ 2 sin u 2 cos u n7
1 6 3 8 2 n n
7
a10 ¼ 6 pffiffiffi pffiffiffi 7
3ð1 2 cos un Þ 4
2
2 2 2 2 3 5
sin un þ 1 þ sin un cos un þ sin un
2 2 3
3 2 2 2 pffiffiffi
pffiffiffi
62 þ p þ 1:211128 1 þ 2 0:936014 2 0:351964 7
6 3 8 2 7
6 pffiffiffi pffiffiffi 7
4 2 2 2 5
0:9360142 þ 1 þ 0:936014 0:351964 þ 0:9360143
2 2 3
¼
3ð1 2 0:3519642 Þ
¼ 2:012993 103

11 2 2 2 1 pffiffiffi
2
6 þ p þ u þ cos u 1 þ 2 sin u 7
6 24 6 8 2 n 2
n n
7
6 pffiffiffi p ffiffi
ffi 7
4 2 2 3 1 pffiffiffi
1 4 5
3
sin un cos un sin un 2 þ 2 cos un þ sin un
A10 ¼ 2 3 3 2
3 sin un ð1 2 cos2 un Þ
11 2 2 2
6 þ pþ 1:211128 þ 0:351964 7
6 24 6 8 2 7
6 pffiffiffi 7
6 1 p ffiffi
ffi
7
6 1 þ 2 0:9360142 2 0:936014 0:351964 7
6 7
6 2 2 7
6 pffiffiffi 7
4 2 1 pffiffiffi
1 5
3 3 4
0:936014 2 þ 2 0:351964 þ 0:936014
¼ 3 3 2
3 0:936014 ð1 2 0:3519642 Þ
¼ 1:943475 103
2R3
D1r ¼ ða9 nA9 Þrn
EI0
2 5:2042043
¼ 8
3:53068 103 0:703704 3:395587 103 rn
4:68 10
¼ 6:87395 1010 rn
2R4
D2r ¼ ða10 nA10 Þrn
EI0
2 5:2042044
¼ 8
2:012993 103 0:703704 1:943475 103 rn
4:68 10
¼ 2:023043 109 rn
4) Calculation of the unit and load displacement of the wall top
Since the side wall is short beam, according to Formulas (15.31)–(15.32), there is
6K 6 3 108
A¼ ¼ ¼ 32:450165
a3 B3 Kb 0:4313383 1:23 4 108
a x ¼ 0:431338 4:727487 ¼ 2:039143
Look up or calculate the hyperbolic trigonometric function values as follows.
u1 ¼ ch a x cos a x; u2 ¼ ch a x sin a x þ sh a x cos a x; u3 ¼ sh a x sin a x;
1 1
u4 ¼ ch a x sin a x sh a x cos a x; u9 ¼ u21 þ u2 u4 ¼ ch2 a x þ cos2 a x ;
2 2
1 1
u10 ¼ ðu2 u3 u1 u4 Þ ¼ ðsh a x ch a x sin a x cos a xÞ;
2 2
1 1 1
u11 ¼ ðu1 u2 þ u3 u4 Þ ¼ ðsh a x ch a x þ sin a x cos a xÞ; u13 ¼ u22 þ u24
2 2 4
1 2 2

¼ sh a x þ sin a x ;
2
1 1
u14 ¼ u21 u1 þ u2 u4 ¼ ðch a x cos a xÞ2 ;
2 2
1 1
u15 ¼ ðu2 u3 u1 u4 Þ ¼ ðsh a x þ sin a xÞðch a x cos a xÞ
2 2
u1 ¼ 1:7637; u2 ¼ 1:781396; u3 ¼ 3:370223; u4 ¼ 5:191303; u9

¼ 7:734521; u10 ¼ 7:579802;
u11 ¼ 7:177; u12 ¼ 7:234521; u13 ¼ 7:530749; u14 ¼ 9:498221; u15

¼ 10:175453

4a3 u11 þ u12 A
b1 ¼
K u9 þ u10 A

4 0:4313383 7:177 þ 7:234521 32:450165
¼ ¼ 1:020409 109
3 108 7:734521 þ 7:579802 32:450165

2a2 u13 þ u11 A
u1 ¼ b2 ¼
K u9 þ u10 A

2 0:4313382 7:530749 þ 7:177 32:450165
¼ ¼ 1:175447 109
3 108 7:734521 þ 7:579802 32:450165

2a u10 þ u13 A
u2 ¼
K u9 þ u10 A

2 0:431338 7:579802 þ 7:530749 32:450165
¼ ¼ 2:855788 109
3 108 7:734521 þ 7:579802 32:450165

2a3 e0 u1 A
b3 ¼
K u9 þ u10 A

2 0:4313383 0:1 1:7637 32:450165
¼
3 108 7:734521 þ 7:579802 32:450165
¼ 1:206928 1011

a2 e0 u2 A
u3 ¼
K u9 þ u10 A

0:4313382 0:1 1:781396 32:450165
¼ ¼ 1:41209 1011
3 108 7:734521 þ 7:579802 32:450165

a u4 þ u3 A
bne ¼ e
K u9 þ u10 A

0:431338 5:191303 þ 3:370223 32:450165
¼ 5087:5
3 108 7:734521 þ 7:579802 32:450165
¼ 3:302902 106

1 u14 þ u15 A
une ¼ e
K u9 þ u10 A

1 9:498221 þ 10:175453 32:450165
¼ 5087:5
3 108 7:734521 þ 7:579802 32:450165
¼ 2:270645 105
5) The vertical force, horizontal force, and moment of the wall top under the loads
from the arch ring
0 l 9:742412
Vnp ¼ q¼ 71;375 ¼ 347682:338263 N
2 2
Q0np ¼ ef ¼ 5087:5 3:372513 ¼ 17157:660689 N

0 1 2 1 2 0
Mnp ¼ ql þ ef Vnp D
8 2

1 1
¼ 71;375 9:7424122 þ 5087:5 3:3725132
8 2
347682:338263 0:078794
¼ 903143:622108 N
m
6) The vertical force, horizontal force and moment of the wall top induced by the
elastic resistance r of the arch ring
pffiffiffi
0 Rrn 2 1 2
Vnr ¼ sin un sin un cos2 un
1 2 cos2 un 3 3 3
pffiffiffi
5:204204 rn 2 1 2 2
¼ 0:936014 0:936014 0:351964
1 2 0:3519642 3 3 3
¼ 0:567979rn
pffiffiffi
Rrn 2 2 3
Q0nr ¼ cos un þ cos un
1 2 cos2 un 3 3
pffiffiffi
5:204204 rn 2 2 3
¼ 0:351964 þ 0:351964
1 2 0:3519642 3 3
¼ 1:02715rn
0 2 2
Mnr ¼ cos u sin u þ 2 sin u 2 cos u
3ð1 2 cos2 un Þ n n n n
5:2042042 rn
¼
3ð1 2 0:3519642 Þ
pffiffiffi pffiffiffi
0:3519642 0:9360142 þ 2 0:936014 2 0:351964

¼ 0:92959rn
7) The dead weight of the side wall
Vc ¼ hc dc b c ¼ 4:727487 1 1 2:4 104 ¼ 113459:684217 N

(4) Calculation of the unknown force
Solving the parameters in Formulas (15.18)–(15.20) gives
a11 ¼ d11 þ 2b1 ¼ 1:61003 108 þ 2 1:020409 109 ¼ 1:814112 108
a12 ¼ a21 ¼ d12 þ 2ðb2 þ f b1 Þ

¼ 1:357114 108 þ 2 1:175447 109 þ 3:372513 1:020409 109
¼ 2:280472 108
a22 ¼ d22 þ 2u2 þ 4f b2 þ 2f 2 b1

¼ 2:480845 108 þ 2 2:855788 109 þ 4 3:372513 1:175447 109
þ 2 3:3725132 1:020409 109
¼ 6:958882 108
0 0
a1p ¼ D1p þ D1r þ 2 Mnp þ Mnr b1 þ 2 Q0np þ Q0nr b2 þ 2 Vnp
0 0
þ Vnr þ Vc b3 þ 2bne
¼ 421:875749 105 6:87395 1010 rn
þ 2 ð903143:622108 0:92959rn Þ 1:020409 109
þ 2 ð17157:660689 1:02715rn Þ 1:175447 109

þ 2 ð347682:338263 þ 0:567979rn þ 113459:684217Þ 1:206928 1011

þ 2 3:302902 106
¼ 6:119983 103 5:013572 109 rn

0 0
a2p ¼ D2p þ D2r þ 2 Mnp þ Mnr u1 þ 2 Q0np þ Q0nr u2 þ 2 Vnp0 0
þ Vnr þ Vc u3 þ 2une

0 0
þ 2f Mnp þ Mnr b1 þ 2f Q0np þ Q0nr b2 þ 2f Vnp0 0
þ Vnr þ Vc b3 þ 2f bne
¼ 21:648362 104 2:023043 109 rn

þ 2 ð903143:622108 0:92959rn Þ 1:175447 109

þ 2 ð17157:660689 1:02715rn Þ 2:855788 109

þ 2 ð347682:338263 þ 0:567979rn þ 113459:684217Þ 1:41209 1011

þ 2 2:270645 105 þ 2 3:372513 ð903143:622108 0:92959rn Þ 1:020409 109

þ 2 3:372513 ð17157:660689 1:02715rn Þ 1:175447 109

þ 2 3:372513 ð347682:338263 þ 0:567979rn þ 113459:684217c Þ 1:206928 1011
6

þ 2 3:372513 3:302902 10
¼ 1:599622 102 2:465061 108 rn
0 0
b0 ¼ X1 b1 þ X2 ðb2 þ f b1 Þ þ Mnp þ Mnr b1 þ Q0np þ Q0nr b2 þ Vnp
0 0
þ Vnr þ Vc b3 þ bne

¼ X1 1:020409 109 þ X2 1:175447 109 þ 3:372513 1:020409 109
þ ð903143:622108 0:92959rn Þ 1:020409 109
þ ð17157:660689 1:02715rn Þ 1:175447 109

þ ð347682:338263 þ 0:567979rn þ 113459:684217Þ 1:206928 1011
3:302902 106
¼ 1:020409 109 X1 þ 4:61679 109 X2 9:506126 104 2:163089 109 rn
0 0
u0 ¼ X1 u1 þ X2 ðu2 þ fu1 Þ þ Mnp þ Mnr u1 þ Q0np þ Q0nr u2 þ Vnp
0 0
þ Vnr þ Vc u3 þ une

¼ X1 1:175447 109 þ X2 2:855788 109 þ 3:372513 1:175447 109
þ ð903143:622108 0:92959rn Þ 1:175447 109
þ ð17157:660689 1:02715rn Þ 2:855788 109

þ ð347682:338263 þ 0:567979rn þ 113459:684217Þ 1:41209 1011
2:270645 105
¼ 1:175447 109 X1 þ 6:819998 109 X2 1:126786 103 4:018737 109 rn
According to the Winkler’s assumption, there is
rn ¼ Ku0 sin un ¼ 3 108 u0 0:936014 ¼ 2:808041 108 u0 :
Combining the above, gives
rn ¼ 72765:621691 N=m2 ; a1p ¼ 6:484798 103 ; a2p ¼ 1:778994 102 ;
b0 ¼ 4:195797 105 ; u0 ¼ 2:591331 104 m; Vnr

0
¼ 41329:351283 N;
Q0nr ¼ 74760:480231 N; Mnr

0
¼ 67642:1871 N
m; X1 ¼ 61485:149992 N
m;
X2 ¼ 235494:559942 N
(5) Calculation of the internal force of the arch ring
Divide the left half arch ring into six equal segments and calculate the moment and
axial force of each section as follows.
qx2 ey2
Mi ¼ X1 þ X2 y þ Mir
2 2
Ni ¼ X2 cos u þ qx sin u ey cos u þ Vir þ Qir cos u
where x ¼ R sin u and y ¼ Rð1 cos uÞ. Mir , Vir and Qir are calculated as
Formula (15.38).
The calculated coordinates, moments and axial forces of the arch ring sections
are shown in Table 15.7, Table 15.8 and Table 15.9, respectively.
2. Calculation of the side wall
Since the left side wall is symmetric, the left side wall is selected for calculation.
Based on the short beam theory, the calculation of the moment M0 , horizontal force
Q0 and vertical force V0 of wall top are calculated as follows.
0 0
M0 ¼ X1 þ fX2 þ Mnp þ Mnr
¼ 61485:149992 þ 3:372513 235494:559942 903143:622108 67642:1871
¼ 115092:157266 N
m
Table 15.7 The coordinates of the arch ring

Sections u Angles (°) sin u cos u x ð mÞ y ðmÞ
0 0 0 0 1 0 0
1 0.201855 11.565421 0.200487 0.979696 1.043374 0.105664
2 0.403709 23.130843 0.392832 0.919610 2.044379 0.418365
3 0.605564 34.696264 0.56226 0.822181 2.962368 0.925406
4 0.807419 46.261685 0.722505 0.691366 3.760063 1.606196
5 1.009273 57.827107 0.846445 0.532476 4.405074 2.433091
6 1.211128 69.392528 0.936014 0.351964 4.871206 3.372513
Table 15.8 The moment of the arch ring

Sections X1 X2 y qx2 2 ey2 2 Mir ðN
mÞ Mi ðN
mÞ
0 61485.149992 0 0 0 – 61485.149992
1 61485.149992 24883.286776 38850.437912 28.400642 – 47489.598214
2 61485.149992 98522.707690 149155.391147 445.230950 – 10407.235586
3 61485.149992 217927.975575 313080.065970 2178.405061 – −35945.345465
4 61485.149992 378250.382550 504552.629658 6562.531789 −9.323698 −71388.952603
5 61485.149992 572979.692244 692504.265000 15058.826442 −9676.651906 −82774.901112
6 61485.149992 794208.501950 846816.170507 28932.218214 −64385.687993 −84440.424773
Table 15.9 The axial force of the arch ring

Sections X2 cos u qx sin u ey cos u Vir sin u Qir cos u Ni ðNÞ
0 235494.559942 0 – – – 235494.559942
1 230713.178230 14930.404896 526.650876 – – 245116.932250
2 216563.191387 57321.115044 1957.328167 – – 271926.932250
3 193619.190083 120356.563312 3870.829548 – – 310104.923847
4 162812.864870 193901.934108 5649.509693 122.845480 −121.053910 351067.080855
5 125395.172881 266132.626149 6591.173023 12468.280506 −10608.889225 386796.017288
6 82885.540029 325435.412867 6038.873986 38684.836743 −26312.976310 414653.939243
Q0 ¼ X2 þ Q0np þ Q0nr
¼ 235494:559942 17157:660689 74760:480231 ¼ 143576:419021 N
0 0
V0 ¼ Vnp þ Vnr ¼ 347682:338263 þ 41329:351283 ¼ 389011:689546 N
The rotation h0 and horizontal displacement y0 of the wall top are obtained as
follows.
h0 ¼ b0 ¼ 4:195797 105 ; y0 ¼ u0 ¼ 2:591331 104 m
Divide the side wall into six equal segments and take the wall top as the origin of
coordinates. Calculate the moment Mi , the axial force Ni and the elastic resistance
ri of each section of the side wall based on the follows.
K K 1 e
Mi ¼ y0 2
u3 þ h0 3 u4 þ M0 u1 þ Q0 u2 2 u3
2a 4a 2a 2a
Ni ¼ V0 þ xcbdc
ri ¼ Kyi
2
1
where yi ¼ y0 u1 h0 2a u2 þ M0 2aK u3 þ Q0 Ka u4 Ke ð1 u1 Þ.
The calculation results are shown in Table 15.10.
The calculation results demonstrate that the elastic resistance along the side wall
is all compressive stress. According to the assumption, there is no displacement of
the wall bottom and the elastic resistance of the wall bottom should equal to zero.
However, the calculation result is not consistent. This is due to the calculation error
which is little enough to be ignored.
3. Strength checking of arch ring sections
According to the concrete structure design code, the strength checking of arch ring
sections are conducted as follows when there are axial force and moment on the
vault section.
The eccentricity e ¼ M
N . When e 0:45 2 , the tensile strength is calculated as
di
follows.
1:75ft bdi
KN u
6e=di 1
When e\0:45 d2i , the compressive strength is calculated as follows.
KN ufc bðdi 2eÞ
where K is the design safety factor of structure strength, which is 2.65 for com-
pressive strength and 1.65 for tensile strength, respectively. The additional safety
690
Table 15.10 The internal force of the side wall

Sections x ðmÞ u1 u2 u3 u4 Mi ðN
mÞ Ni ðNÞ ri N m2
7 0 1 0 0 0 −115092.157266 389011.689546 77739.915517
8 0.945497 0.99539 0.814905 0.166273 0.045215 −14173.633698 411703.626389 61147.003346
9 1.890995 0.926308 1.60726 0.662026 0.361007 27682.433448 434395.563233 42189.496925
10 2.836492 0.628531 2.264743 1.459714 1.207958 27032.248207 457087.500076 26221.539874
11 3.781989 −0.160464 2.499643 2.452958 2.796902 −1847.782821 479779.43692 13309.911751
12 4.727487 −1.7637 1.781396 3.370223 5.191303 −47152.368189 502471.373763 3.069647 10−10
Table 15.11 Strength checking of the vault section

Sections di ðmÞ Eccentricity 0:45 d2i Calculated Design safety If consistent
e ðmÞ K factors or not
0 0.6 0.261089 > 0.135 2.518736 < 2.915 No
1 0.609414 0.193743 > 0.137118 4.362886 > 1.815 Yes
2 0.637275 0.038272 < 0.143387 14.846862 > 1.815 Yes
3 0.682451 0.115913 < 0.153552 10.462568 > 1.815 Yes
4 0.743108 0.203348 > 0.167199 5.251579 > 2.915 Yes
5 0.816782 0.214001 > 0.183776 5.878709 > 2.915 Yes
6 0.900482 0.203641 > 0.202608 9.690551 > 2.915 Yes
factor is 1.1. N is the axial force. u is the longitudinal bending coefficient. When
there is backfill between the lining structure and the surrounding rock, u ¼ 1. ft and
fc are the design values of the tensile strength and compressive strength 2 of the
concrete, respectively. For the concrete C15, ft ¼ 910;000 N m and

fc ¼ 7200;000 N m2 .
The calculation checking results are shown in Table 15.11.
It can be seen from the table that only the safety factor of the vault section of the
arch ring is not consistent to the design safety factor. Therefore, the design of the
straight wall and arch lining structure should be revised. The two common used
ways are to improve the concrete strength and increase the thickness of the vault.
Here, the latter is selected.
4. Contour correction
(1) Increase the thickness of the vault d0 from 0.6 to 0.8 m. Recalculate the
section geometry size of cutting circular arch lining structure.
Known conditions: d0 ¼ 0:8 m, dc ¼ 1:0 m, dn ¼ 0:9 m, R0 ¼ 4:68 m, h0 ¼ 7:8 m,

l0 =2 ¼ 4:45 m. According to Table 15.2, the section geometry size of cutting cir-
cular arch lining structure is recalculated as follows.
f0 ¼ 3:230897 m; m1 ¼ 0:073171 m; m2 ¼ 0:147881 m;

R ¼ 5:153171 m; R1 ¼ 5:627881 m;
sin un0 ¼ 0:950855; cos un0 ¼ 0:309637; sin un ¼ 0:94617; cos un ¼ 0:32367;
un ¼ 1:241191; sin un1 ¼ 0:942016; cos un1 ¼ 0:335524;
f ¼ 3:485245 m; l ¼ 9:751553 m;
Dh ¼ 0:145651 m; D ¼ 0:074223 m; hc ¼ 4:714755 m; I0 ¼ 0:0427 m4 ;
In ¼ 0:06075 m4 ; EI0 ¼ 1:109333 109 N
m2 ; and n ¼ 0:297668
The elastic standard value of the side wall a ¼ 0:431338 m1 .

Since k ¼ 2:033651\2:75, the side wall is short beam and f =l ¼ 0:357404 [ 14.
So the effect of the axial force can be ignored.
(2) Active loads
1) Surrounding rock pressure

The vertical uniform pressure of the surrounding rock q1 ¼ 50;875 N m2 .

The horizontal uniform pressure of the surrounding rock e ¼ 5087:5 N m2 .
2) The weight of the overbreak backfill layer

Taking the average thickness of the overbreak as 0.1 m, there is q2 ¼ 2500 N m2 .
3) The dead weight of the arch ring lining structure
Calculate the dead weight of approximate average thickness. There is

q3 ¼ 20;400 N m2 .
Taking the above, the active loads of the lining structure are

q ¼ 73;775 N m2 ; e ¼ 5087:5 N m2
(3) Calculation of the parameters of the basic Formulas (15.18)–(15.22) of the

arch ring
1) Recalculation of the unit displacement dik of the arch ring
K0 ¼ 0:714808; k1 ¼ 0:295021; K1 ¼ 0:241723; k2 ¼ 0:122569; K2 ¼ 0:10899

d11 ¼ 9:554567 109 ; d12 ¼ d21 ¼ 1:067956 108 and d22 ¼ 2:223538 108
2) Recalculation of the load displacement Dip of the arch ring
Recalculate the displacement induced by the vertical uniform load q, there is
a1 ¼ 0:233736; A1 ¼ 0:187228; a2 ¼ 0:092561; A2 ¼ 0:081347;

D1q ¼ 3:239896 103 and D2q ¼ 6:410541 103
Recalculate the displacement induced by the horizontal uniform load e, there is
a3 ¼ 6:128469 102 ; A3 ¼ 5:449491 102 ;

a4 ¼ 3:000789 102 ; A4 ¼ 2:764241 102 ;
D1e ¼ 5:65613 105 and D2e ¼ 1:408708 104
Adding the displacements caused by the above loads gives:
D1p ¼ 3:239896 103 5:65613 105 ¼ 329:64573 105

D2p ¼ 6:410541 103 1:408708 104 ¼ 65:514118 104
3) Recalculation of the displacement Dir induced by the elastic resistance of the

vault
a9 ¼ 4:394771 103 ; A9 ¼ 4:226231 103 ;

a10 ¼ 2:601353 103 ; A10 ¼ 2:511863 103 ;
D1r ¼ 7:73878 1010 rn ; D2r ¼ 2:356646 109 rn
4) Recalculation of the unit and load displacement of the wall top
The side wall is still short beam and the recalculated results are
A ¼ 32:450165; a x ¼ 2:03651;
Look up or calculate the hyperbolic trigonometric function values.
u1 ¼ 1:735291; u2 ¼ 1:800612; u3 ¼ 3:360387; u4 ¼ 5:154339

u9 ¼ 7:651719; u10 ¼ 7:497517; u11 ¼ 7:097993; u12 ¼ 7:151719
u13 ¼ 7:452353; u14 ¼ 9:38701; u15 ¼ 10:074686
b1 ¼ 1:01981 109 ; u1 ¼ b2 ¼ 1:175282 109 ;

u2 ¼ 2:857023 109 ; b3 ¼ 1:200514 1011 ;
u3 ¼ 1:444002 1011 ; bne ¼ 3:328755 106 ; une ¼ 2:272706 105
5) The vertical force, horizontal force and moment of the wall top under the loads
from the arch ring
0
Vnp ¼ 359710:414937 N; Q0np ¼ 17731:186127 N; Mnp
0
¼ 934531:518777 N
m
6) The vertical force, horizontal force and moment of the wall top induced by the
elastic resistance r of the arch ring
0
Vnr ¼ 0:586278rn ; Q0nr ¼ 1:110461rn ; Mnr
0
¼ 1:049907rn
7) The dead weight of the side wall
Vc ¼ 113154:109669 N
(4) Calculation of the unknown force
Recalculate the parameters in Formulas (15.18)–(15.20). There is
a11 ¼ 1:159419 108 ; a12 ¼ a21 ¼ 2:01387 108 ; a22 ¼ 6:910914 108
a1p ¼ 5:262235 103 5:539576 109 rn ;
a2p ¼ 1:573242 102 2:776244 108 rn
b0 ¼ 1:01981 109 X1 þ 4:729569 109 X2 9:828889 104 2:382849 109 rn
u0 ¼ 1:175282 109 X1 þ 6:95317 109 X2 1:164896 103 4:398085 109 rn
According to the Winkler’s assumption, rn ¼ 2:83851 108 u0

Solving the formulas gives
rn ¼ 66798:132397 N=m2 ; a1p ¼ 5:63227 103 ; a2p ¼ 1:75869 102

b0 ¼ 2:974818 105 ; u0 ¼ 2:353281 104 m; Vnr
0
¼ 39162:247182 N
Q0nr ¼ 74176:740878 N; Mnr
0
¼ 70131:826825 N
m
X1 ¼ 88654:067551 N
m; X2 ¼ 228645:928351 N
(5) Calculation of the internal forces of the arch ring
Divide the left half arch ring into six equal segments. Referring to Table 15.7,
Table 15.8 and Table 15.9, the recalculated coordinate, moment and axial force of
the arch ring sections are shown in Table 15.12, Table 15.13, and Table 15.14,
respectively.
(6) Calculation of the internal force of the side wall
Since the left side wall is symmetric, the left side wall is selected for calculation.
The side wall is still short beam. The recalculation of the moment M0 , horizontal
force Q0 and vertical force V0 of wall top are calculated as follows.
M0 ¼ 119122:101078 N
m; Q0 ¼ 136738:001345 N; V0 ¼ 398872:662119 N
Table 15.12 The coordinate of the arch ring

Sections u Angles (°) sin u cos u x ð mÞ y ðmÞ
0 0 0 0 1 0 0
1 0.206865 11.852499 0.205393 0.97868 1.058425 0.109868
2 0.41373 23.704999 0.402028 0.915628 2.071717 0.434786
3 0.620595 35.557498 0.58152 0.813532 2.99667 0.9609
4 0.827461 47.409998 0.736215 0.676748 3.793843 1.665775
5 1.034326 59.262497 0.859518 0.511106 4.429243 2.519356
6 1.241191 71.114997 0.94617 0.32367 4.875777 3.485245
Table 15.13 The moment of the arch ring

Sections X1 X2 y qx2 2 ey2 2 Mir (N
m) Mi (N
m)
0 88654.067551 0 0 0 – 88654.067551
1 88654.067551 25120.795097 41323.697896 30.705364 – 72420.459388
2 88654.067551 99412.009612 158321.625894 480.867238 – 29263.584031
3 88654.067551 219705.806791 331250.973473 2348.716254 – −25239.81385
4 88654.067551 380872.762998 530930.785031 7058.417053 −55.640835 −68518.01237
5 88654.067551 576040.59431 723666.099027 16145.580201 −11360.155363 −86477.176607
6 88654.067551 796887.176973 876933.802875 30898.767713 −67225.069709 −89516.395773
Table 15.14 The axial force of the arch ring

Sections X2 cos u qx sin u ey cos u Vir sin u Qir cos u Ni (N)
0 228645.928351 0 – – – 228645.928351
1 223771.105803 16038.162284 547.034689 – – 239262.233398
2 209354.504491 61446.290106 2025.343269 – – 268775.451328
3 186010.859812 128561.990815 3977.015777 – – 310595.834851
4 154735.563432 206059.828272 5735.186371 389.426754 −378.629357 355071.00273
5 116862.218978 280862.4331 6550.956166 13179.124751 −10974.626793 393378.19387
6 74005.776123 340347.242844 5739.049020 37054.147721 −24008.769011 421659.348658
The rotation h0 and the horizontal displacement y0 of the wall top are
h0 ¼ b0 ¼ 2:974818 105 and y0 ¼ u0 ¼ 2:353281 104 m
Divide the side wall into six equal segments and take the wall top as the origin of
coordinates. Calculate the moment Mi , the axial force Ni and the elastic resistance
ri of each section of the side wall based on the follows.
(7) Strength checking of arch ring sections
The recalculation checking results of the arch ring are shown in Table 15.16.
From the results, it can be seen that the vault section of the arch ring is consistent
with the design safety factor and requirement of the section after contour correction.
The corrected contour of the straight wall and arch lining structure is shown in
Fig. 15.22. The moment and axial force diagram of the straight wall and arch lining
structure are shown in Fig. 15.23.
5. Calculation of the positions of zero moment
(1) Calculation of the positions of zero moment of the arch ring sections
The moment from the vault to the skewback of the arch ring is continued. It can be
seen from Table 15.13 that the moment value of the arch ring from section 2 to
section 3 is positive to negative, which indicates that there is one position of zero
moment of the arch ring between sections 2 and 3.
Fig. 15.22 Corrected contour of the straight wall and arch lining structure
Fig. 15.23 Moment and axial force diagram of the straight wall and arch lining structure
Since the moment between sections 2 and 3 of the arch ring induced by elastic
resistance can be ignored, there is
9
Mi ¼ 0 >
>
>
qx2 ey2 >
>
=
Mi ¼ X1 þ X2 y
2 2
>
>
x ¼ R sin u >
>
>
;
y ¼ Rð1 cos uÞ
where

X1 ¼ 88654:067551 N
m; X2 ¼ 228645:928351 N; q ¼ 73;775 N m2 ;

e ¼ 5087:5 N m2 ; R ¼ 5:153171 m
It can be obtained that u ¼ 0:525123, x ¼ 2:583385 m and y ¼ 0:694327 m.
(2) Calculation of the positions of zero moment of the side wall sections
It can be seen from Table 15.15 that the moment value of the side wall from the top
to the bottom is negative first and then negative, which indicates that there are two
positions of zero moment on the side wall. One is between sections 8 and 9, and the
other is between sections 10 and 11. There is
9
Mi ¼ 0 =
K K 1 e
Mi ¼ y0 u þ h0 3 u4 þ M0 u1 þ Q0 u2 2 u3 ;
2a2 3 4a 2a 2a
where
y0 ¼ 2:353281 104 m; h0 ¼ 2:974818 105 ; M0 ¼ 119122:101078 N

m;

Q0 ¼ 136738:001345 N; e ¼ 5087:5 N m2 ; a ¼ 0:431338 m1 ; K ¼ 3 108 N m2 :
The calculated two positions are x1 ¼ 1:312168 m and x2 ¼ 3:62472 m,

respectively. And the two positions are just between sections 8 and 9 and sec-
tions 10 and 11, respectively.
15.6 Curved Wall and Arch Lining Structures
When the span of the structure is large, the curved wall and arch lining structures
are usually adopted to improve the mechanical behavior of the tunnel structures and
adapt to the effect of large lateral soil pressure. The calculation is based on the force
698
Table 15.15 The internal force of the side wall

Sections x ð mÞ u1 u2 u3 u4 Mi ðN
mÞ Ni ðNÞ ri N m2
7 0 1 0 0 0 −119211.1010785 398872.662119 70598.438585
8 0.942951 0.995439 0.812718 0.165379 0.044851 −22150.356276 421503.484053 57160.349629
9 1.885903 0.927098 1.603188 0.658499 0.358106 19692.191692 444134.305987 40428.265226
10 2.828853 0.632495 2.260588 1.452258 1.198362 20896.784095 466765.127921 25704.646159
11 3.771804 −0.148223 2.500999 2.441973 2.775396 −5459.947257 489395.949855 13272.053968
12 4.714755 −1.735291 1.800612 3.360387 5.154339 −48086.426184 512026.771788 7.115077 10−11
15.6 Curved Wall and Arch Lining Structures 699
Table 15.16 The strength checking of the vault section

Sections di ðmÞ Eccentricity 0:45 d2i Calculated Design safety If consistent
e ðmÞ K factors or not
0 0.8 0.387735 > 0.18 2.92028 > 2.915 Yes
1 0.803153 0.302682 > 0.180709 4.238551 > 1.815 Yes
2 0.812477 0.108877 < 0.182807 15.931514 > 1.815 Yes
3 0.827575 0.081263 < 0.186204 15.416688 > 1.815 Yes
4 0.847803 0.19297 > 0.190756 10.398466 > 2.915 Yes
5 0.872298 0.219832 > 0.196267 6.895856 > 2.915 Yes
6 0.900016 0.212296 > 0.202504 8.185201 > 2.915 Yes
method with assumed distribution of the elastic resistance. Here the Zhu-Bu method
as shown in Table 15.6 is selected.
15.6.1 Calculation Diagram for Curved Wall and Arch Lining

Structures
1. Calculation principle of the assumed distribution of the elastic resistance
The curved wall and arch lining structure can be regarded as the pointed arch with
support on the elastic foundations. Since the inverted arch is generally poured after
the arch ring and side wall, the effect of the inverted arch on the curved wall and
arch lining structure can be ignored. Under the vertical and lateral earth pressure,
the top of the lining structure will produce deformations to the tunnel, which will
cause the deformations of the two sides to the stratum and the elastic resistance of
the foundation to the lining structure. Generally, the distribution of the elastic
resistance is assumed as follows.
(1) As shown in Fig. 15.24, the upper position of zero elastic resistance a0 is at the
left 45° of the left half arch ring ðua0 ¼ 45 Þ and the below position of zero
elastic resistance b0 is at the wall bottom. The position of the largest elastic
resistance rh is on point h. The vertical distance a0 b0 is three times of the
vertical distance a0 h.
(2) The distribution of the elastic resistance of range a0 b0 is shown in Fig. 15.24.
The elastic resistance strength of each section is the quadratic function of the
largest elastic resistance rh . In range a0 h there is
cos2 ua0 cos2 ui

r ¼ rh ð15:39Þ
cos2 ua0 cos2 uh
In range hb0 there is

Fig. 15.24 Assumed distribution of the elastic resistance
!
y2
r ¼ rh 1 2i ð15:40Þ
yb0
where ui is the angle between the calculated section and the vertical line; yi is the
vertical distance between the calculated section and the section of largest elastic
resistance; rh is the largest elastic resistance. yb0 is the vertical distance between the
outer edge of the wall b0 and the section of largest elastic resistance.
The above elastic resistance distribution of the curved wall and arch lining
structure under uniform loads is obtained based on multiple calculations and
empirical statistics.
2. Calculation diagram of the curved wall and arch lining structure
The curved wall and arch lining structure can be regarded as the elastic fixed beam
without articulation, whose two sides are constrained by the stratum. Actually, the
skewback of the arch ring is the bottom of the side wall. There are only rotation and
vertical deformation of the wall bottom due to the larger friction between the wall
bottom and stratum, which can offset the horizontal displacement of the section.
Moreover, the effect of the vertical deformation of the wall bottom on the internal
force of the lining structure can be ignored when the structure and loads are
symmetric. Therefore, the calculation diagram of the curved wall and arch lining
structure is simplified as shown in Fig. 15.25a.
According to the force method, the arch ring is cut open at the vault section. And
the forces between the two half arch ring are replaced by the unknown moment X1
and axis force X2 . The unknown forces of the basic structure include X1 , X2 and rh .
However, there are only two equations based on the deformation compatibility
Fig. 15.25 Calculation diagram of the curved wall and arch lining structure. a General diagram;
b Under active loads; c Under passive loads
condition at the cut vault. So the deformation compatibility condition at the position
h of the largest elastic resistance is used to add another one equation.
First, the displacement dhp of the position h of the largest elastic resistance under
active loads is calculated as shown in Fig. 15.25b. Then, the displacement dhr of
the position under the passive load rh ¼ 1 is calculated as shown in Fig. 15.25c.
According to the superposition principle, the final displacement of the position h is
obtained.
dh ¼ dhp þ rh
dhr ð15:41Þ
The relationship between the displacement and largest elastic resistance rh of the
position h can be expressed as
rh ¼ Kdh ð15:42Þ
Substituting the above equation into Formula (15.41) gives
dhp
rh ¼ 1
ð15:43Þ
K dhr
Formula (15.43) is the required additional equation. Coupling these three for-
mulas, the unknown force X1 , X2 and additional rh can be obtained.
3. Calculation principle for the curved wall and arch lining structure
First, calculate the internal force of lining structure under active loads without
elastic resistance as shown in Fig. 15.25b. Then, calculate the internal force of
lining structure under the passive load rh ¼ 1. According to Formula (15.43), the
largest elastic resistance rh can be obtained. Finally, the internal force of the lining
structure under the elastic resistance with the maximum rh ¼ 1 is multiplied by the
largest elastic resistance rh . The internal force of the lining structure is obtained by
adding the internal force of the lining structure under active loads.
15.6.2 Internal Force Calculation Steps for Curved Wall

and Arch Lining Structures
1. Calculation of the internal force of the lining structure under active loads
According to Fig. 15.25b, the force method equations to calculate the unknown x1p
and x2p of the basic structure are expressed as
)
x1p d11 þ x2p d12 þ D1p þ bp ¼ 0
ð15:44Þ
x1p d21 þ x2p d22 þ D2p þ f bp þ up ¼ 0
where bp and up are the rotation and whole horizontal displacement of the wall
bottom section, respectively.
Calculate the displacement of the wall bottom section under x1p , x2p and active
loads, respectively. Based on the superposition principle, there is

þ x2p b
bp ¼ x1p b þfb
þ b0 ð15:45Þ
1 2 1 p
where b is the rotation of the wall bottom section when the unit force x1p ¼ 1
1
applied on the vault; x1p b is the rotation of the wall bottom section under the
1
moment x1p ; b is the rotation of the wall bottom section under the unit horizontal
2
force when the unit force x2p ¼ 1 applied on the vault. Therefore, b ¼ 0; b þfb
2 2 1
is the rotation of the wall bottom section when the unit force x2p ¼ 1 applied on the

vault; x2p b þfb is the rotation of the wall bottom section under the horizontal
2 1
force x2p ; f is the rise of the arch ring; b0p is the rotation of the wall bottom section
under active loads.
Since there is no horizontal displacement of the wall bottom section, up ¼ 0.
Substituted into the above formulas gives
)
þ x2p d12 þ f b
x1p d11 þ b þ D1p þ b0 ¼ 0
1 1 p
ð15:46Þ
þ x2p d22 þ f 2 b
x1p d12 þ f b þ D2p þ f b ¼ 0
1 1 p
where dik and Dik are the unit and load displacements of the basic structure,
respectively, which are usually calculated with structural mechanic method or
is the unit rotation of the wall bottom section.
referring to semi-lining structure; b 1
Similar to the semi-lining structure, b ¼ 12 bh3 K0 and the derivation process is
1 x
as follows.
The stress of foundation at the wall bottom under unit moment M ¼ 1 is
M 6
r¼ ¼
W bh2x
The compression deformation of the foundation is
r 6
d¼ ¼ 2
Kb bhx Kb
The rotation of the wall bottom section is
¼ d ¼ 12
b 1
hx =2 bh3x Kb
where W is the resistance moment of the wall bottom section; b is width of the wall
bottom section which is usually 1 m; hx is the thickness of the wall bottom section;
Kb is the elastic compression coefficient of the stratum at the bottom of the side
wall; b0p is rotation of the wall bottom section under the active loads, which
b0 ¼ M 0 b ; M 0 is the moment of the wall bottom section under active loads.
p bp 1 bp
As shown in Fig. 15.26a, after calculating x1p and x2p , the internal stress of
arbitrary section of the lining structure under active loads can be calculated as
follows.
0
)
Mip ¼ x1p þ x2p yi þ Mip
ð15:47Þ
Nip ¼ x2p cos ui þ Nip0
0
where Mip and Nip0 are the moment and axial force of arbitrary section of the basic
structure under active loads, respectively; yi and ui are the ordinate of section i and
angle between the radius of the section and the vertical line, respectively.
2. Calculation of the unknown forces x1r and x2r
As shown in Fig. 15.26b, the basic force method equations of the structure under
the elastic resistance with the maximum rh ¼ 1 are
Fig. 15.26 The internal force diagram of the structure under active loads and passive loads
)
x1r d11 þ x2r d12 þ D1r þ br ¼ 0
ð15:48Þ
x2r d21 þ x2r d22 þ D2r þ lr þ f br ¼ 0
It should be noted that the subscript r means that the structure is under the
elastic resistance with the maximum rh ¼ 1.
Similarly br and lr can be obtained as follows.

þ x2r b
br ¼ x1r b þfb
þ b0 ð15:49Þ
1 2 1
r
¼ 0 and l
where b r ¼ 0.
2
Substituted into Formula (15.49) gives
)
x1r d11 þ b þ x2r d12 þ f b
þ D1r þ b0 ¼ 0
1 1
r
ð15:50Þ
þ x2r d22 þ f 2 b
x2r d21 þ f b þ D2r þ f b0 ¼ 0
1 1
r
where D1r and D2r are the displacements of basic structure along x1 and x2
directions under unit elastic resistance, respectively; b0r is the rotation of the wall
0
bottom section under unit elastic resistance and b0r ¼ Mb 0
r b1 ; Mb
r is the moment of
the wall bottom section under unit elastic resistance; the rest symbols mean
the same.
Solving x1r and x2r in Formula (15.50), the internal stress of arbitrary section of
the lining structure under unit elastic resistance can be calculated as follows.
0
)
Mir ¼ x1r þ x2r yi þ Mi
r
0
ð15:51Þ
Nir ¼ x2r cos ui þ Ni
r
0 0
where Mi r and Ni
r are the moment and axial force of arbitrary section of the lining
structure under unit elastic resistance, respectively.
3. Calculation of the largest elastic resistance rh
According to Formula (15.43), the displacement dhp of the position h of the largest
elastic resistance and the displacement dhr of the position under elastic resistance
with the maximum rh ¼ 1 should be obtained to solve the largest elastic resistance
rh . The effects of the rotation of the wall bottom b0 with elastic support on these
two displacements should be considered. According to the calculation method for
the displacement in structural mechanics, a unit force is applied on position h of the
basic structure along the direction of the largest elastic resistance rh . The moment is
obtained as shown in Fig. 15.27. The displacement dhr can be calculated by the
graphical multiplication of the moments in Figs. 15.26a and 15.27, as well as the
effect of br .
Fig. 15.27 Calculation diagram of the largest elastic resistance rh
Z 9
Mip yih
dhp ¼ ds þ ybh bp >>
=
EI
Zs
ð15:52Þ
Mir yih >
dhr ¼ ds þ ybh br >
;
s EI
where bp is the rotation of the wall bottom section under active loads; br is the
rotation of the wall bottom section under unit elastic resistance; yih is the vertical
distance between the section centers of the calculated elastic resistance and the
largest elastic resistance; ybh is the vertical distance between the section center of
the wall bottom and the largest elastic resistance.
4. Calculation of the final internal force for each section
According to the superposition principle, it can be obtained that

)
Mi ¼ Mip þ rh
Mir
ð15:53Þ
Nir ¼ Nip þ rh
Nir
5. Calculation checking
Under the symmetric load, the calculated internal force should satisfy the conditions
that the relative rotation and horizontal displacement equal to zero at the vault
section.
Z 9
Mi
ds þ b0 ¼ 0 >>
=
EI
Z s ð15:54Þ
Mi yi >
ds þ f b0 ¼ 0 >
;
s EI
where
b0 ¼ bp þ rh br ð15:55Þ
Besides Formula (15.54), the deformation compatibility condition of position h

should also be checked.
Z
Mi yih rh
ds þ ybh
b0 ¼ 0 ð15:56Þ
s EI K
The calculation method described above is close to the actual stress condition of
tunnel structure. It is easy to conduct the calcualtion with clear concepts of
mechanics. However, it has disadvantage of assumed elastic resistance. In fact, the
distribution of elastic resistance varies with the stiffness, the section shape of the
lining structure, the distribution of the active loads and the backfill between the
structure and the surrounding rocks. Moreover, it is only applicable to the case that
both the structure and load are symmetric. When the load distribution is uneven or
asymmetric, the above assumed elastic resistance distribution is not suitable.
15.7 Summary
(1) The integral tunnel structure, a kind of traditional lining structure form, is
generally constructed with the in-site concrete lining, standing the templates
and pouring the concrete in tunnel. Not considering the bearing strength of the
surrounding rocks, the stiffness of the integral tunnel structures is used to resist
the deformation of layers and bear loads of the surrounding rock.
(2) According to the forms of the lining structures, the integral tunnel structures
can be divided into semi-lining structure, thick-arch and thin wall lining
structure, straight wall and arch lining structure, curved wall and arch lining
structure, anchor-sprayed lining structure, composite lining structure, and
multi-arch lining structure.
(3) The calculation of the internal forces of the semi-lining structures can be
summarized as a mechanical problem of elastic arch without articulation. The
arch ring and side wall are usually calculated separately in the straight wall
and arch lining structures. The arch ring is generally calculated as the elastic
15.7 Summary 707
fixed beam without articulation, while the side wall is regarded as the vertical
elastic foundation beam. But the mutual restriction of the arch ring and side
wall should be considered. For the curved wall and arch lining structures, the
internal forces of lining structure under active loads and elastic resistance are
calculated separately. The final internal force is obtained by the superposition
of the two.
Problems
15:1 Briefly describe the basic forms and characteristics of the integral tunnel
structures.
15:2 Briefly describe the stress characteristics and calculation methods of the
semi-lining structures.
straight wall and arch lining structures.
curved wall and arch lining structures.
15:5 As shown in Fig. 15.28, the skewbacks of the single centered circular arch
ring with varied thickness are fixed. The thickness of the vault d0 ¼ 0:4 m.
The thickness of skewback dn ¼ 0:5 m. The width of the arch ring section
b ¼ 1 m. The span l ¼ 8 m and the rise of the arch ring axis f ¼ 2 m. Given
the uniform load q0 ¼ 50 kN=m. Calculate the internal forces M, N and Q of
the lining structure and plot the diagrams.
15:6 As shown in Fig. 15.29, the skewbacks of the single centered circular arch
ring with equal thickness are fixed. The thickness of the arch ring d ¼ 0:4 m.
The width of the arch ring section b ¼ 1 m. the span l ¼ 8 m and rise of the
arch ring axis f ¼ 2 m. Given the vertical load P ¼ 100 kN. Calculate the
horizontal reaction force H, vertical reaction force V and fixed end moment
M of the skewback.
Fig. 15.28 Calculation chart

for Problem 15.5

for Problem 15.6

for Problem 15.7
15:7 As shown in Fig. 15.30, the thickness of the single centered circular elastic
fixed arch without articulation is varied. The span l ¼ 8 m and the rise of the
arch ring axis f ¼ 2 m. The thickness of skewback d0 ¼ 0:4 m. The thick-
ness of skewback dn ¼ 0:5 m. The width of the arch ring section b ¼ 1 m.
The elastic compression
3 coefficient of the surrounding rock
5
K ¼ 6 10 kN m . The elastic modulus of the concrete

E ¼ 1:4 107 kN m2 . Given the vertical uniform load q0 . Calculate the
unknown forces x1 and x2 .
15:8 As shown in Fig. 15.31, the single centered circular arch ring of the straight
wall and arch lining structure is equal thickness. Both the thickness of
skewback and side wall are 0.5 m. The width of the lining structure section is
15.7 Summary 709
Fig. 15.31 Calculation chart for Problem 15.8
1.0 m. The span l ¼ 6:3 m and the rise of the arch ring axis f ¼ 2:1 m.
Given the vertical load including the earth pressure and the dead
2q0 ¼ 55 kN=m. The elastic modulus of the material
weight of structure
7
E ¼ 14 10 kN m . The elastic compression coefficient of the surrounding

rock K ¼ 4 105 kN m3 . Calculate the internal forces of the lining structure.
Design of Anchor-Sprayed Lining
Structures 16
16.1 Introduction
The anchor-sprayed lining structure has been widely used in the fields of hydraulic
engineering, architectural engineering, tunnelling and mining, which was introduced
in the 1950s with the promotion of the New Austrian Tunneling Method (NATM).
The initial application of the anchor-sprayed lining was limited to the engineering for
reinforcing the rock mass, and it was gradually applied to the reinforcement of soil
with the development of construction technique. In the 1980s, the anchor-sprayed
lining was successfully conducted to projects such as the tunnel support engineering
and the high slope engineering in China.
The anchor-sprayed lining structure is a general term for the shotcrete, the
anchor rod, the reinforced mesh shotcrete, the anchor-shotcrete and the
anchor-reinforced mesh shotcrete, which is used in the rock mass reinforcement. It
can be used to reinforce the local rock mass as both temporary support and per-
manent support. The anchor-sprayed lining structure has characteristics of timely
construction, closing to the rock mass and common deformation. Reinforcing the
rock mass before the failure of the rock mass, which makes the anchor-sprayed
lining and the rock mass form a joint system, is the mechanism of anchor-sprayed
lining structure. The joint system can make full use of the strength and self-stability
of the rock mass so that the rock mass, the anchor rod and the shotcrete can share
the deformation pressure of the rock mass, which means the rock mass is consid-
ered as both loads and part of the structure. As a flexible support structure, the
anchor-sprayed lining structure can adapt to the deformation of the surrounding
rock. During the construction process, the deformation and stress are monitored for
adjusting the support measures and effectively controlling the deformation.
In China, the widely used types of anchor-sprayed lining include the anchor rod
support, the shotcrete support, the anchor-shotcrete support, the reinforced mesh
shotcrete support, the anchor-reinforced mesh shotcrete combined support and the
anchor-shotcrete with steel arch or inverted arch support. In general, the shotcrete or
anchor-shotcrete support should be used to support the integral surrounding rock;
https://doi.org/10.1007/978-981-13-7732-7_16
712 16 Design of Anchor-Sprayed Lining Structures
the anchor-shotcrete or shotcrete support is used to support the layered surrounding

rock; the anchor rod is mainly used to support the layered rock mass and the soft–
hard interbedded rock mass which may be unstable; the anchor-reinforced mesh
shotcrete or steel mesh shotcrete is used to support the massive rock mass; for the
loose and weak rock mass, the anchor-reinforced mesh shotcrete support is adopted,
and the steel arch frame or inverted arch support is added if necessary.
In the design of anchor-sprayed lining for tunnels and underground engineer-
ings, the design method with the combination of engineering analogy and moni-
toring measurement is adopted. For the large-span and high-sidewall tunnel
caverns, the theoretical algorithm checking is supplemented. The geomechanics
model tests are used to verify the complex large underground caverns. The engi-
neering analogy design includes the direct and indirect methods. The strength of
surrounding rock mass, the integrity of rock mass, the influence degree of
groundwater, the shape and size of the project, the construction method, and the use
requirements are generally considered in the direct analogy method. In order to
determine the types and parameters of the anchor-sprayed lining, the proposed
project is compared with the existing projects under the same condition. The
indirect analogy method generally determines the type and parameters of the
anchor-sprayed lining for the proposed project according to the current technical
specification “Technical Specification for Rock-soil Anchor-Sprayed Lining Engi-
neering” (GB50086-2015) which has the surrounding rock classification table and
design parameters of the anchor-sprayed lining. The design parameters of the
anchor-sprayed lining include the types, number and size of the support and the
procedure, method and construction time of the excavation.
16.2 Classification of Surrounding Rock
16.2.1 Surrounding Rock and Its Classification Basis
The surrounding rock refers to the part of rock mass affected by excavation in the
stratum. The engineering properties of the surrounding rock mainly include the
strength and deformation, which are related to the structural characteristics and
integrity of rock mass, physical and mechanical properties of rock, groundwater
conditions, and rock stress. For underground engineering, the stability of strata after
excavation, which is a comprehensive index reflecting the geological environment,
is the most important concerning. However, due to the complexity of factors that
affect the properties of surrounding rocks, the current mechanical models cannot
fully reflect the real state of surrounding rocks. Therefore, the engineering anal-
ogy design method plays an important role in the underground engineering, and the
classification of the surrounding rock is an important basis for this method. How-
erver, it is difficult and unrealistic to fully reflect the influence of all factors in the
classification of the surrounding rock. Therefore, the following classification
indexes are mainly considered.
16.2 Classification of Surrounding Rock 713
1. Structural Characteristics and Integrity of Rock Mass

The structural characteristics and integrity of rock mass refer to the degree of
fragmentation and combination of surrounding rock cut by various structural
planes, which usually depends on the type of rock mass structure, the influence of
geological structure and the development of structural planes.
2. Physical and Mechanical Properties of Rock Mass

Physical and mechanical properties of rock mass such as rock strength, physical
properties and hydraulic properties of surrounding rock are the main factors
determining the stability of rock mass. In the classification of surrounding rock, the
saturated uniaxial compressive strength Rc of rock is more significant. Generally,
Rc ¼30 MPa is used as the demarcation index of soft and hard rock, while
Rc \5 MPa is a semi-rock or soil with slightly structural strength.
3. Influence of Groundwater
Groundwater has a great influence on the stability of surrounding rock, which is one
of the main causes for the instability of surrounding rock. Therefore, in the clas-
sification of surrounding rock, the empirical method of “degrading in case of
water” was usually chosen according to the nature of surrounding rock, the nature
of groundwater, circulation conditions, etc. However, for the better surrounding
rock, the classification of surrounding rock is generally not degraded due to the
small influence of groundwater.
4. Effect of Original Rock Stress

Underground engineering is usually constructed in rock mass with initial stress.
When excavating caverns in hard rock mass with low burial depth and tectonic
stress, the original rock stress does not have obvious influence. However, due to the
great influence of original rock stress in high geostress area, the initial stress field of
rock mass is usually considered as the basis for judging the classification of sur-
rounding rock. In classification of surrounding rock, the influence of initial stress
field should be considered.
In the classification of surrounding rock, besides the above qualitative and
quantitative indicators, there are also some comprehensive indicators that can reflect
the abovementioned factors, such as RQD indicators, P-wave velocity, surrounding
rock self-stabilization time, and deformation. Especially, the P-wave velocity can
better reflect the integrity and strength of rock mass, and the test is simple and fast.
Therefore, this index which is combined with other indicators has been widely used
in classification of surrounding rock.
16.2.2 Classification Method of Surrounding Rock
Classification of surrounding rock methods can be generally divided into the fol-
lowing four types according to the number of factors and the different classification
indicators.
1. Classification Method of Single-factor Rock Mechanics Index
The method is based on the single factor such as rock strength or elastic modulus.
This classification method cannot fully reflect the stability of surrounding rock, so it
is seldom used at present.
2. Multivariate Comprehensive Index Grading Method
This method is based on the data obtained by certain survey means or by testing the
surrounding rock state after excavation. Although the index is single, the factors
reflected are comprehensive. For example, the elastic wave velocity of surrounding
rock cannot only reflect the hardness and softness of rock but also express the
fragmentation degree of rock. It is a comprehensive index reflecting the lithology
and integrity of rock, which has been widely used.
3. Combination Index Function Method
In this method, the stability of rock mass is summarized as a function of parameters

of various factors. These parameters are combined according to a certain function
relationship, so as to obtain a combination index, which can be used as the clas-
sification basis of surrounding rock. Many factors are fully considered by the
combination index function and a quantitative index can be obtained, which is
convenient for application. Since it is not mature yet, it is a more advanced method
in theory and should be the direction of future development.
4. A Classification Method Combining Qualitative and Quantitative Multivariate

Indicators
This method is currently the most widely used classification method at home and
abroad. Taking the above factors into account comprehensively, it is more suitable for
the current technical situation. This method is adopted in the “Design Specification for
Highway Tunnels” (JTGD 70-2014). On the basis of the “Classification Standard for
Engineering Rock Mass” (GB/T 50218-2014), the classification of surrounding rock
can be determined with the combination of collected data from the investigation, the
geology survey and the experiments, and of the qualitative characteristics includ-
ing the surrounding rock characteristics, the basic quality indexes of surrounding
rock, and the revised basic quality indexes of surrounding rock around rock tunnels,
the soil types, and the compact state around soil tunnels, as summarized in Table 16.1.
It is generally agreed that the surrounding rock for engineering design is clas-
sified according to its stability. In fact, the stability of surrounding rock not only
depends on natural geological factors but also is relevant to artificial factors such as
engineering scale, cavern shape and construction conditions. As a result, the current
method of classifying surrounding rock according to geological factors is actually
rock mass quality classification, which is only related to rock mass quality and has
nothing to do with engineering conditions and construction conditions. Strictly
speaking, the current classification of surrounding rock is not entirely equivalent to
rock mass quality classification. For example, the structural characteristics of rock
mass considered in classification are related to both natural and artificial conditions.
16.2 Classification of Surrounding Rock 715
Table 16.1 Surrounding rock classification of highway tunnels

Surrounding Main qualitative characteristics of Basic quality index of surrounding
rock grade surrounding rock or soil rock (BQ) or modified basic quality
index of surrounding rock [BQ]
I Hard rock, complete rock mass, giant >550
monolithic or thick-layered structure
II Hard rock, complete rock mass, 550–451
massive or thick layered structure
Harder rock, complete rock mass, block
structure
III Hard rock, fragmented rock mass, 450–351
massive (stone) crushed (stone) mosaic
structure
Harder or softer rock strata, more
complete rock mass, block or
medium-thick structure
IV Hard rock, rock fragmentation, 350–251
fragmentation structure
Harder rock, more fragmented rock
mass, mosaic fractured structure
Softer or hard rock interbedded, and
mainly soft rock, rock mass is more
complete—more fragmented,
medium-thin layered structure
Soil: 1. Clay and sandy soil with slight
compaction or diagenesis 2. Loess (Q1,
Q2) 3. Gravel soil, pebble soil and
massive stone soil with general
calcareous and iron cementation
Softer rock, rock fragmentation; soft <250
rock, rock fragmentation—
fragmentation; extremely fragmented
all kinds of rock mass. Fragmentation,
cleavage, and loose structure
Generally in the fourth season, semidry
to hard plastic clay and slightly wet to
wet gravel soil, pebble soil, pebble soil,
breccia soil, and loess (Q3, Q4).
Non-cohesive soil has loose structure,
cohesive soil and loess have soft
structure
VI Soft plastic clay and wet, saturated silty
sand layer, soft soil, etc.
Note 1. This table does not apply to the classification of surrounding rock under special conditions,
such as expansive surrounding rock, permafrost, etc. 2. When the grade determined according to
the basic quality of rock mass is inconsistent with that determined by (BQ) value, the reliability of
the calculated parameters of qualitative characteristics and quantitative indicators should be
reexamined and tested
16.3 Anchor-Sprayed Lining Design
Anchor-sprayed lining design is to take shotcrete and anchor as means of strengthening

and utilizing the bearing capacity of surrounding rock. Therefore, in the design, it is
necessary to analyze and study the deformation, failure, and stability of surrounding
rocks and adopts different design principles for different surrounding rocks. In principle,
the following problems must be considered in the design of anchor-sprayed lining:
(1) Engineering geological conditions and mechanical properties of rock mass.
Engineering geological conditions and rock mechanics characteristics are the basic
data of anchor-sprayed lining design, which will affect the layout of the tunnel, the
form of anchor-sprayed lining, and the selection of parameters.
(2) According to different characteristics of surrounding rock pressure, different

supporting parameters are adopted for different parts of arch and wall.
For the medium-stable or stable surrounding rock, the local instability is the main
failure mode. The selection of supporting parameters follows the principle of “the
arch is the key part, which is different from the wall”; for the unstable surrounding
rock mainly bearing the deformation ground pressure, the supporting parameters are
the same as those of the wall.
(3) The design of anchor-sprayed lining shows characteristics of flexibility.
The principle of equal strength support is adopted for the local and integral rein-
forcement of surrounding rock, and different support types and parameters are
adopted for different rock mass and different parts. For example, for the gently
inclined layered rock mass or soft–hard interbedded layered rock mass, the
anchor-sprayed lining is used in the arch and the shotcrete support is used in the
side wall. If the angle between the direction of strata and the axis of the tunnel is
small and the strata is steep dip, the anchor-sprayed lining must be adopted on the
side wall which is easy to slide along the strata in the tunnel.
(4) The design of anchor-sprayed lining follows the principle of evaluating the
measured displacement.
In view of the flexibility and repairability of anchor-shotcrete, it is possible to regard

the measured displacement as an integral part of anchor-shotcrete design. However,
the geological and construction conditions of rock mass are pretty complex, so it is
impossible to make all the measured parameters and simulation completely consis-
tent with the actual situation. Therefore, the displacement observation during and
after construction can objectively evaluate the actual situation of anchor-shotcrete,
providing the basic information for modifying design and reinforcement. On the
other hand, since the principle of evaluating the measured displacement and the
advantage that the anchor -shotcrete is easy to repair, the overconservative design is
avoided and the design of anchor-sprayed lining is more reliable and economical.
16.3 Anchor-Sprayed Lining Design 717
16.3.1 Design with Local Action Principle
1. Calculation and design of anchor rods
According to the local action, the design of anchor rods is usually based on the
suspension principle. It is assumed that there is a dangerous rock in the vault
(Fig. 16.1) which needs to be reinforced by anchor rods. When the shear force in
joints is lost, the weight of the joint rock is all suspended by the anchor rods. From
the static equilibrium condition,
G sin a 9
Q¼ >
=
sin h ð16:1Þ
G sinðh aÞ >
;
N¼
sin h
where Q is the shear force (kN) of the bolt on the fissure BC; N is the pull (kN) of
the bolt; h is the angle (°) between the bolt and the fissure BC; a is the angle (°)
between the bolt and the vertical line.
The required cross-sectional area of the anchor rod,
9
KN >
As ¼ >
=
Rt
ð16:2Þ
KQ >
As ¼ sin h >
;
ss
where As is the cross-section area of the required bolt steel (mm2); Rt is the pull
design strength of the steel (N/mm2); ss is the shear design strength of the steel
(N/mm2); K is the safety factor, which is generally taken 1.5–2.0.
Fig. 16.1 Anchor rod reinforcing dangerous rock at arch top. 1—Anchor rod; 2—Fissure
Fig. 16.2 Anchor rod reinforcement of the dangerous rock at side wall
The anchor rod must pass through the suspended dangerous rock and be
anchored in the stable rock stratum. Therefore, the design length of the anchor rod
must satisfy the following requirements,
l ¼ lm þ hr þ le ð16:3Þ
where l is the design length (m); lm is the anchorage length, that is, the length of the
bolt inserted into the stable rock stratum (m); hr is the reinforcement length, that is,
the height of the dangerous rock suspended along the direction of the bolt (m) and le
is the exposed length of the bolt (m).
When the dangerous rock is on the side wall (Fig. 16.2), the force acting on the
anchor rod and the slip surface is as follows.
9
G sinða hÞ =
N¼
sin h ð16:4Þ
;
Q ¼ G cosða hÞ G sinða hÞ tan u
where u is the internal friction angle of rock mass on sliding surface BC (º); N is the
pressure (kN), which can be borne by the rock mass itself, while the bolt is mainly
used to bear the shear stress, the other symbols have the same meaning as before.
2. Calculation and design of shotcrete
In the massive surrounding rock cut by the joint, the combination of surrounding rock
structural planes plays a controlling role in the deformation and failure of sur-
rounding rock. The shotcrete support can effectively prevent surrounding rock from
loosening, separation, and collapse. In order to achieve these functions, the shotcrete
layer should have enough tensile force to prevent punching failure at the joint surface;
at the same time, there should be enough cohesion between the shotcrete layer and
the surrounding rock to prevent tearing of shotcrete layer. This view can be called the
principle of local reinforcement.
Fig. 16.3 Shotcrete local

reinforcement
Assuming that the weight of unstable rock blocks is G, the thickness of spray
layer should be equal to dc (Fig. 16.3) under the condition that the spray layer does
not shear along the periphery of dangerous rock.
KG
dc ¼ ð16:5Þ
Uss
where U is the periphery length of dangerous rock (m); ss is the shear strength limit
value of spray layer (N/mm2); K is the safety factor.
If checked according to the tensile strength, st can be used instead of ss in
Formula (16.5).
According to the theory of elastic foundation beam, the spray layer can be
regarded as a semi-infinite elastic foundation beam (beam width b = 1 m).
According to Fig. 16.3, the concentrated force P acting on the end of the beam can
be approximately taken as follows.
G
P¼ ð16:6Þ
U
The symbols have the same meaning as before.
The displacement y at the end of the beam is
Pa
y¼ ð16:7Þ
2K
The elastic tension r at the end of the beam is
Pa
r ¼ Ky ¼ ð16:8Þ
2
where a is the elastic scale value of the elastic foundation beam.

rffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffi sffiffiffiffiffiffiffiffi
4 K 4 bk 4 k
a¼ ¼ ¼ 1:316 ð16:9Þ
4EI 4EI Edc3
where k is the elastic tension coefficient (kN/m3); E is the elastic modulus of

shotcrete (kN/m2); I is the inertia moment of shotcrete (m4); dc is the thickness of
shotcrete (m).
By substituting P and a into Formula (16.8), the following result is obtained.
sffiffiffiffiffiffiffiffi
G 4 k
r ¼ 0:658 ð16:10Þ
U Edc3
r should not exceed the bond strength ru between the shotcrete and the rock.
Considering the strength safety factor K*, then
K r ru ð16:11Þ
The spray layer thickness is as follows:

43 13
KG k
dc 0:5723 ð16:12Þ
Uru E
16.3.2 Design with Whole Action Principle
1. Calculation and design of anchor rods
When anchor rods are used to reinforce the surrounding rock of the tunnel, the
unstable surrounding rock strengthened by anchor rods can be regarded as a
composite arch of anchor rods. It is also considered that the shear stress of the
tangential joint (tangent to the arch axis) in the composite arch is borne by the
anchor rod, the shear stress of the oblique joint (oblique intersection with the arch
axis) is borne by the anchor rod and the rock, and the shear stress of the radial joint
(perpendicular to the tangent of the arch axis) is borne by the rock (Fig. 16.4).
The length of anchor rod l should exceed the height of composite arch:
l ¼ K hz þ l e ð16:13Þ
where K* is the safety factor, which can be taken as 1.2; hz is the height of
composite arch (m); le is the exposed length of bolt (m).
Fig. 16.4 Principle

calculation of composite arch
The calculation span of composite arch can be approximately taken as follows:
l 0 ¼ L þ hz ð16:14Þ
where L is the span of the cave (m).

The composite arch is assumed to be a circular arch with equal cross section
fixed at both ends and the load is distributed on the arch axis in the form of dead
weight (Fig. 16.5). The load per unit length is
Fig. 16.5 Internal force calculation

q ¼ chb
N0 l0 ð16:15Þ
h¼
6
where c is the gravity density of surrounding rock (kN/m3); h is the height of load (m);
b is the longitudinal width of composite arch (m); N0 is the basic value of surrounding
rock pressure (kN), which is determined according to the type of surrounding rock.
According to the equation of fixed-end circular arch, the internal force of
composite arch can be analyzed, and the bending moment, axial stress and shear
stress of each section can be calculated approximately.
The internal forces of the radial section at the arch foot (Fig. 16.5a) are as
follows:
)
Qn ¼ Hn sin un Vn cos un
ð16:16Þ
Nn ¼ Vn sin un þ Hn cos un
where Hn and Vn are horizontal and vertical reactions of the arch foot section (kN);
un is the angle between the arch foot section and the vertical line (º).
Internal forces in any radial section (Fig. 16.5b)
9
Mu ¼ M0 þ N0 rð1 cos uÞ qr 2 ðu sin u þ cos u 1Þ >
=
Qu ¼ N0 sin u qru cos u ð16:17Þ
>
;
Nu ¼ qru sin u þ N0 cos u
where M0 and N0 are the bending moment (kNm) and axial stress (kN), respec-
tively; r is the radius of the arch axis (m); u is the angle between any section on the
arch and the vertical line (º).
According to the above internal force values, the strength of each section of the
composite arch can be checked, mainly in the tangential or oblique cracks, radial or
structural planes.
Although the self-supporting capacity of surrounding rock is taken into account
in the calculation of composite arch, it is mainly analyzed from the concept of
structural mechanics, which cannot fully reflect the essence of the interaction
between the anchor rod and the shotcrete support. The main problem is that the
height of composite arch is difficult to be determined accurately. Usually, the height
of Prussian natural arch or the converted height of surrounding rock in surrounding
rock classification is taken as the height of composite arch; second, the self-weight
is regarded as the only load of composite arch, but there is no basis; moreover, the
structural characteristics of surrounding rock, such as the length of structural plane,
should be clearly grasped. There are also some difficulties in degree, direction and
distribution law.
2. Calculation and design of shotcrete
Because the surrounding rock of the cavern is cut by several groups of joint fissures,
there are some fissures with different tendencies, such as radial, oblique and tan-
gential fissures. After shotcrete reinforcement, the first layer of rock and shotcrete
can be considered as a whole, forming a composite arch. It is assumed that the
composite arch is a sectioned circular arch with a fixed end (Fig. 16.6), which bears
all the rock weight of the surrounding rock load height. The load acts on the arch
axis of the composite arch in the form of self-weight. The magnitude of the load is
as follows.
q ¼ ðcr h þ cc dÞb ð16:18Þ
where cr and cc are the gravity density of surrounding rock and shotcrete,
respectively (kN/m3); h is the height of surrounding rock load (m); d is the
thickness of shotcrete (m); b is the longitudinal width of composite arch (m).
Height and span of composite arch:
)
hz ¼ hy þ d
ð16:19Þ
l 0 ¼ L þ hy þ d
where hy is the height of rock arch used in composite arch (m); l0 is the calculation
span of composite arch (m).
The equation for calculating the cross-section internal force of shotcrete rock
composite arch is the same as that of anchor rock composite arch. According to the
numerical calculation of internal force to check the strength of each cross-section
composite arch, the same check is mainly carried out on the radial, tangential, or
oblique cracks.

shotcrete composite arch
16.3.3 Example
Example 16.1
An underground cavern with a width of 11 m and a height of 13 m is excavated.
The top of the cavern is a circular arch. The surrounding rock is quartz sandstone,
which belongs to V-class surrounding rock with poor stability and its bulk density
is 26 kN/m3. The reinforced mortar bolt with 16 manganese dm = 20 mm is
adopted, and the designed tensile strength is Rg = 340 MPa. The shotcrete is C25
and the designed tensile strength is 0.89 MPa. The diameter of drilling hole is
38 mm and the bonding force between mortar and steel bar is 3 MPa. The bonding
force between mortar and drilling rock is 2 MPa. Try to design the bolt-shotcrete
support of the tunnel.
Solution
(1) Calculation of bolt parameters
Anchor rod length:
l ¼ l1 þ hy þ l2 þ l3
Anchorage length:
dm Rg 0:02 340
l1 ¼ ¼ ¼ 0:57 m
4sm 4 3
d 2 Rg 0:022 340
l1 ¼ m ¼ ¼ 0:45 m
dz 4sz 0:038 4 2
So l1 ¼ 0:57 m
1
hy ¼ h ¼ 0:9 11 ¼ 1:65 m
6
And l2 is 0.05 mm, l3 is 0.20 mm.

So l ¼ 0:57 þ 1:65 þ 0:05 þ 0:20 ¼ 2:47 m, l = 2.5 m.
Bolt spacing:
sffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
dm p Rg 0:02 p 340
a¼ ¼ ¼ 1:32 m
2 Khy c 2 1:5 1:65 26 103
So a = 1.2 m
(2) Calculation of shotcrete thickness
If the unit width is 1.0 m, the uniform load is
ca 26 1:2 1:0
q¼ b¼ ¼ 15:6 kN=m
2 2
Bending moment:
1 2 1
M¼ qa ¼ 15:6 ð1:2Þ2 ¼ 2:25 kN m
10 10
Stress:
M 2:25 103 0:0135

r¼ ¼ ¼ ½rl h
W 1d2
6
d2
½rl h ¼ 0:89 MPa

qffiffiffiffiffiffiffiffiffiffi
0:0135
So d ¼ 0:89 ¼ 0:123 m
d = 0.12 m
When calculated according to the suspension design principle, the parameters of

bolt-shotcrete structure are: bolt diameter 0.20 m, length 2.5 m, spacing 1.2 m,
shotcrete thickness 0.12 m.
And this design parameter is not the only one.
16.4 Supervisory Control Design of the Anchor-Sprayed

Lining
16.4.1 Purpose, Principle, and Method of Monitoring Design
Due to the complexity of underground engineering environment and structural

stress, the initial design of anchor-sprayed lining may not be suitable for the actual
situation. Since the 1950s, the stability of surrounding rock support has been
monitored by the measurement of underground engineering in the world, and the
design has been revised by the field test results to guide the construction. In recent
years, field measurements have been closely combined with the engineering geology
and mechanical analysis to form a new set of monitoring design principles and
methods, which can better agree with the laws and characteristics of underground
engineering. Although this method is not mature at present, with the development of
rock mechanics and testing technology, the monitoring design of underground

engineering will be continuously improved.
Specifically, the main purposes of monitoring and measurement are as follows:
(1) Provide the basis and information for monitoring design: master the changes
and rules of surrounding rock mechanics. Master the working state of support.
(2) Guide construction and forecast dangerous situation: make engineering fore-
cast and determine construction countermeasures. Surveillance of danger and
safe construction.
(3) Surveillance means during project operation: grasp the safety condition of
project operation, find out the danger in time and take corresponding rein-
forcement measures.
(4) Check the theory and improve the engineering analogy method: provide the
calculation data and comparison index for theoretical analysis and numerical
analysis. Provide parameters for engineering analogy.
(5) Accumulate data for underground engineering design and construction.
The principle of monitoring design is to obtain the information of surrounding rock

mechanics dynamics and support working state through field measurement. Based
on this, the necessary mechanical analysis is carried out to revise and determine the
design and countermeasures of support system.
Monitoring design usually consists of two stages: the initial design stage and the
revised design stage. The initial design is usually carried out by the engineering
analogy and mathematical analysis. The revised design is based on the information
obtained from the field monitoring and measurement to make theoretical analysis
and numerical analysis, make a comprehensive judgment, and get the final design
parameters and construction countermeasures.
The main links of monitoring design are the field monitoring, the data pro-
cessing, and the information feedback. The field testing includes making plans,
determining test contents, selecting test means and implementing monitoring plans.
The data processing includes sorting out original data, clarifying the purpose of data
processing, selecting processing methods and putting forward processing results.
The information feedback includes: the feedback method (qualitative feedback and
quantitative feedback) and the feedback effect (revised design and guiding
construction).
16.4.2 Contents and Means of Monitoring and Measuring
“The Technical Specification for Geotechnical Achor-Sprayed Lining”

(GB50086-2015) stipulates that the geological and support condition observation,
the surrounding displacement and the vault subsidence measurement must be carried
16.4 Supervisory Control Design of the Anchor-Sprayed Lining 727
out for tunnels to implement the on-site monitoring and measurement. For tunnels
with special properties and requirements, the internal displacement of surrounding
rock and the scope of loosening zone, the surrounding rock pressure, the contact
stress between two layers of support, the stress of steel frame structure, the internal
force of the support structure and the anchor rod should be measured. The specific
contents are as follows:
(1) Field observation: the stability of surrounding rock near excavation face; the
surrounding rock structure; the support deformation and stability; the classi-
fication of surrounding rock.
(2) Testing of mechanical parameters of rock mass: the compressive strength, the
deformation modulus, the cohesion, the internal friction angle, and the Pois-
son’s ratio.
(3) Stress and strain testing: the rock mass original stress; the surrounding rock
stress and strain; the stress and strain of supporting structure; the contact stress
between surrounding rock and supporting structure.
(4) Pressure test: the surrounding rock pressure and seepage pressure on support.
(5) Displacement test: the displacement of surrounding rock (including the ground
settlement); the displacement of support structure; the inclination of sur-
rounding rock and support.
(6) Temperature measurement: the rock mass (rock) temperature; the temperature
in the cave; the temperature.
(7) Physical detection: the elastic wave (acoustic wave) test; the apparent resis-
tivity test.
According to the different physical effects of the instruments, field measurement

methods can be divided into the following types: the mechanical type (such as the
percentile meter, the micrometer, the deflectometer, the dynamometer, etc.), the elec-
trical measurement type (such as the resistance type, the inductance type, the capaci-
tance type, the vibrating string type, the electromagnetic type, etc.), the photoelastic (the
photoelastic stress gauge and the photoelastic strain gauge), and the geophysical
exploration (the elastic wave method and the deformation resistivity method).
Field measurements vary with time and space, commonly called time and space
effects. All kinds of data measured by the on-site monitoring should be drawn into
the temporal curve in time, that is, the law of variations of measured data with time,
such as the displacement–time curve, which can be conducted by the regression
analysis or other mathematical analysis.
16.5 Feedback for Construction Information
One of the important ideas of NATM is “timely support”, that is to say, too late
support will cause non-convergence of tunnel deformation and damage, and too
early support often needs too much support force, which is easy to cause waste of
support or damage of support. However, it is not easy to accurately determine the
support parameters and the optimal excavation support scheme before construction
excavation. The stability of underground caverns is related to many factors, such as
the rock mass structure, the physical and mechanical characteristics of rock mass
materials, the initial in situ stress, the groundwater action and time, etc. Designers
of underground engineering always try to determine the above factors in advance
and use various methods to determine the optimal support types and parameters. It
is impossible to accurately simulate the properties of rock mass materials and
geological structural factors in the whole engineering area whatever we have. In
practical engineering, a large number of simplifications are always used, so it is of
great significance to apply the results to macro-control, but there is still a certain
distance to be used in engineering construction. Therefore, the feedback of con-
struction information, that is, the so-called information design, is a new evaluation
method of surrounding rock stability and underground engineering design method
proposed to adapt to the above situation. Different from other methods, the infor-
mationization design based on construction information feedback requires that
monitoring system be arranged in the construction process, and the stability of
surrounding rock and the working state information of supporting facilities can be
obtained from the excavation and support process of surrounding rock. Surrounding
rock of underground engineering is a fuzzy system which contains various complex
factors and has many uncertain conditions. It is difficult to describe the mechanical
characteristics and change potential of surrounding rock support with conventional
mechanical methods. In order to avoid this difficult work, we can regard the
abovementioned fuzzy system as a “black box”, engineering construction as an
“input” factor, and monitoring results as the “output” result of the system. The
output information includes the comprehensive effect of various factors. By ana-
lyzing and studying the output information, the stability of surrounding rock and the
supporting effect can be described indirectly, and the supporting parameters of the
new excavation scheme can be fed back to the construction decision-making,
system modification and determination.
The feedback method of construction information does not exclude the previous
design methods such as calculation, model test, and empirical analogy, but includes
them in its own system as far as possible in order to give full play to the unique
advantages of various methods.
Feedback analysis is equivalent to the inverse proposition of mechanical cal-
culation. It does not solve the displacements and stresses of each point in the
domain by the known boundary conditions, loads, and physical and mechanical
parameters of materials. On the contrary, it calculates the material parameters and
initial in situ stresses according to the displacements and stresses of some mea-
suring points, which can also judge the stability of the cavern at the same time.
Feedback analysis includes forward method and inverse method. Forward modeling
still uses the basic format of stress analysis for mechanical calculation to approx-
imate the parameters needed for feedback analysis mathematically and optimize
16.5 Feedback of Construction Information 729
them continuously. For example, the following objective function J is used in

displacement feedback analysis:
X
n
J¼ ðumi uci Þ2 ð16:20Þ
i¼1
where umi is the measured displacement; uci is the calculated displacement.

Various optimization methods can be used to minimize the objective function
J and the corresponding parameters can be obtained. This method has a wide
adaptability but a large amount of calculation.
The “inversion method” needs to establish a set of equations which are contrary
to the conventional stress analysis format. In the case of linear elasticity, the
equation of inverse method can be established by drop-and-add principle, but in the
case of nonlinearity, it is not easy. However, the modulus of elasticity and other
parameters obtained by forward or inverse simulation can only be “equivalent
parameters”, or “comprehensive parameters” and are no longer elastic modulus and
parameters in the concept of elasticity.
16.6 Summary
(1) The anchor-sprayed lining is an important part of underground engineering

structure and its main role is to reinforce the rock mass. The commonly used
types of anchor-shotcrete support include the anchor rod support, the shotcrete
support, the anchor-sprayed lining, the reinforced mesh shotcrete support, the
anchor-reinforced mesh shotcrete combined support, and anchor-shotcrete
with steel arch or inverted arch support.
(2) The design of anchor-sprayed lining should adopt the method of combining
the engineering analogy with the monitoring measurement. For large-span and
high-sidewall tunnel caverns, the theoretical verification algorithm should be
supplemented. The geomechanical model test can be used to verify the
complex large underground caverns.
(3) The monitoring design of anchor rod support monitors the stability of sur-
rounding rock support through the measurement of underground engineering
and corrects the design by applying the field test results to guide the
construction.
Problems
16:1 What is the anchor-sprayed lining? What role does the anchor rod play in the
anchor-sprayed lining?
16:2 Explain the principle of anchor-sprayed lining technology.
16:3 What is the basis of surrounding rock classification? What are the classifi-
cation methods?
16:4 What is the difference between the local principle and the overall principle
in the design of anchor-sprayed lining?
16:5 What are the methods of feedback analysis of construction information?
16:6 An underground cavern with a width of 10 m and a height of 12 m is
excavated. The top of the cavern is a circular arch. The surrounding rock is
quartz sandstone, which belongs to Grade V surrounding rock with poor
stability and its bulk density is 25 kN/m3. The reinforced mortar anchor rod
with 16 manganese dm = 20 mm is adopted, and the designed tensile
strength is Rg = 340 MPa. The shotcrete is C20 and the designed tensile
strength is 0.84 MPa. The diameter of drilling hole is 38 mm and the
bonding force between mortar and anchor rod is 3 MPa. The bonding force
between mortar and drilling rock is 2 MPa. Try to design the anchor-sprayed
lining of the tunnel.
Design of Special Underground
Structures 17
17.1 Introduction
The design and calculation of dome vertical walls, portals, bifurcation tunnels,
vertical shafts, and inclined shafts are also important subjects in underground
structures. Due to the different requirements of use, there is a variety of different
layout forms, types, and structures. At present, the engineering analogy method is
the general method in the design of special structures. And, the structural treatment
is strengthened to ensure that the structural stress is clear and the construction is
convenient in structural design and structural form.
17.2 Dome Vertical Wall
The vertical dome wall lining is a thin space structure with a round bottom. It not
only has good mechanical properties and small surface area, but also can save
materials. The vertical dome wall lining can be generally divided into an integrated
dome wall and separated dome vertical wall lining. This chapter introduces the
separated dome vertical lining, which is applied in the surrounding rock without
horizontal pressure or with less horizontal pressure, but the strength of ring walls
must be checked.
17.2.1 Lining Form
The dome vertical wall lining of the dome consists of dome (top cover), ring beam
(support ring), ring wall, and bottom plate (Fig. 17.1). The size of lining is mainly
determined by the requirements of use, geological conditions, construction condi-
tions, material supply, and so on. When it is an underground oil tank, the area of
https://doi.org/10.1007/978-981-13-7732-7_17
732 17 Design of Special Underground Structures
Fig. 17.1 Separated dome

vertical lining
lining surface should be small and the amount of oil can be large, in other words, it
needs the most economical materials and lowest cost. The inner diameter of the oil
tank is generally 1–2 times higher than the height of the wall. When used as a return
yard, fork tunnels should be intersected with the ring wall, so that the structure is
simple and the construction is convenient.
The dome is usually a reinforced concrete spherical shell with equal thickness. It
is a surface formed by a plane arc revolving around an axis located in the same
plane and through the center of the arc. The calculation of its geometric size is
similar to a secant arch.
The dome is generally made of a flat spherical shell of which the rise–span ratios
are 1/7–1/5, and the thickness can be estimated based on d ¼ ð0:012 0:014ÞD0
(usually 20–30 cm). In order to facilitate the application of the thin shell theory, d
should not be too large and meet the requirement d=R 1=20 (R is the calculated
radius of the dome sphere). However, the dome near the ring beam should be
gradually thickened according to the internal force (Fig. 17.1). The arc length of the
thickening area is generally less than 1/7.5 of the diameter of the dome inner edge.
The thickness of the inner edge of the dome is increased. And, the increased
thickness is not less than which of the central part of the dome.
The ring beam is a circular closed curved beam with equal section, and a
rectangular section which an aspect ratio of is about 1 is commonly used. The
general width is more than 60 cm and the height is more than 40 cm.
The section of the ring wall generally is the equal section or variable section
which is oblique in and straight outside. The thickness is about 20–40 cm. When
there is no horizontal pressure, it can be determined by the structural requirement.
Otherwise, calculations are necessary.
The bottom plate generally is the flat plate, of which the thickness is determined
by the structural requirement and about 15–30 cm.
17.2 Dome Vertical Wall 733
17.2.2 Lining Structure
1. Dome
The dome is usually made of the cast-in-place reinforced concrete. When the span is
small, it can also the masonry structure with reinforced concrete partially. The dome
is mainly bearing vertical uniform loading, and its bending moment is very small in
the central area, where the dome can be constructed without reinforcement or with
the reinforcement ratio that is more than 0.1%. There are radial pressure, zonal
pressure and large radial bending moment in the edge area near the ring beam, so
that it is necessary to install the reinforcement. The mesh reinforcement in the
reinforced concrete dome is composed of radial reinforcement and concentric cir-
cular reinforcement. When the dome is under a concentrated load, additional mesh
reinforcement should be installed according to the calculation. The detailed
arrangement of reinforcement can be referred to the relevant specifications.
2. Ring beam
The ring beam is usually a member subject to bending and tension, which can be
designed as an eccentric tension member with the symmetrical reinforcement. The
diameter of the main reinforcement is 12–16 mm, and the diameter of the closed
stirrup equipped is 6–8 mm and spacing is 25–30 cm. Non-welded lap joints should
not be used for the main reinforcement.
While the ring beam is directly placed on the rock bench, the controlled blasting
method should be adopted to excavate the rock bench to ensure the stability and the
whole design section of the rock bench. If the design section of rock bench cannot
be whole or even the rock bench is broken due to improper construction or poor
geology, it should be strengthened before pouring the concrete of ring beam.
3. Ring wall
In the surrounding rock without horizontal pressure, the stress of the ring wall
mainly depends on the requirement of use. When there is no use load, it is generally
only treated based on the structural requirement. And in the surrounding rock with
horizontal pressure, or when there is no horizontal pressure but use load (such as
hydraulic pressure), the ring wall should produce circumferential tension (com-
pression) force, vertical, and circumferential bending moments, which need to be
equipped with circumferential reinforcement and the vertical main reinforcement
which is the erection reinforcement and bears the vertical bending moment.
The arrangement of the circumferential reinforcement can be single or double
layers. Generally, when the ring wall is thick (not less than 20 cm), it is often
double layers and the reinforcement form can be adopted by a single ring. If there is
lapping in a single reinforcement ring, the lapping length shall not be less than 30
times the diameter of the reinforcement in the plain reinforcement, hooks must be
set and the joints should be staggered. The diameter of circumferential reinforce-
ment is 8–10 mm and the spacing is 20–25 cm. The diameter of vertical rein-
forcement is 10–16 mm and the spacing is 20–30 cm which the arrangement of is
usually double layers to be beneficial for resisting cracks on the surface affected by
temperature difference and concrete shrinkage. The vertical reinforcement can also
be arranged in segments or only half of the vertical reinforcement are extended to
the top of the wall, while the other half is cut alternately in the middle of the wall.
4. Bottom plate
The bottom plate is a circular plate resting on an elastic foundation. In rock
underground structure, as the bottom plate of separated dome vertical wall lining is
under the concentrated load with marginal distribution, bending moment with
marginal distribution, uniform pressure of liquid, and so on, the internal force is too
small to calculate and structural requirements are enough.
The ring wall of the separated dome vertical wall is not connected with the dome
and the ring beam, so they need to be considered, respectively, in the calculation.
The dome is a spherical thin shell, and the ring beam is an elastic foundation ring
beam directly placed on the surrounding rock, both of them work together as a
whole. The simplified principles of the calculation sketch are as follows:
(1) Regard the dome as a spherical thin shell of which edge in connected with the
elastic foundation ring beam and ignore the effect of local thickening in the
dome.
(2) The elastic foundation ring beam is different from the ground-shell ring beam.
As its side and bottom are in close contact with surrounding rock, the elastic
resistance of side and bottom should be considered in calculation.
(3) The friction between the ring beam and surrounding rock should be considered
in calculation.
(4) The elastic foundation ring beam can be calculated by structural mechanics
method, and thin spherical shell of dome can be calculated by shell structural
theory.
The key to the calculation of separated dome is how to consider the elastic
resistance of surrounding rock in the ring beam area and the friction between the
ring beam and surrounding rock. The calculation shows that if the elastic resistance
of surrounding rock and the bottom friction are taken into account, the internal force
in the ring beam and the maximum zonal tension in the shell will be much less than
that are not taken into account, and the bending moment will also be affected. In
addition, the surrounding rock pressure generated by the load on the top of the
dome except the weight, backfill weight, and service load, should be determined by
the space except the weight, backfill weight and service load.
17.3 Portal 735
17.3 Portal
The area around the portal is usually crack and soft, which is easy to be unstable
and form a collapse. In order to keep the stability of the rock and protect the vehicle
from the threat of collapse and rock, it is necessary to select the appropriate form of
portals and take the slope protection. The portal design is mainly the design of the
portal wall. The portal wall is a structure used to prevent the collapse of the slope.
In essence, it is to reinforce the portal slope at the entrance of the underground
building and the retaining wall at the slope connecting with the portal. In addition,
the portal wall can also divert the surface water from the entrance. The forms of the
portal should ensure the safety of operation and coordinate with the surrounding
environment.
17.3.1 Forms of Portal
The portal can be basically divided into the following five forms:
(1) End-wall portal (Fig. 17.2)

The end wall portal consists of the end wall and the portal lining. It is commonly
applied in the underground building entrance where the front slope is stable and
there is not existing the large horizontal active pressure. The end-wall portals are
generally suitable for the surrounding rock which the grade of is above grade III or
the area is the open terrain. The portal lining should be integrated with the lining in
the tunnel to enhance the stability of the structure.
(2) Wing-wall portal (Fig. 17.3)

The wing-wall portal consists of portal lining, end walls, and wing walls. It is
commonly applied in the underground building entrance where the front slope is
unstable and there is existing the large horizontal active pressure. The wing-wall
Fig. 17.2 End-wall portal

Fig. 17.3 Wing-wall portal
portals are generally suitable for the surrounding rock which the grade of is under
grade IV or the area need to excavate the cutting. The wing wall can keep the
stability of the end wall and reinforce the toe of a slope. The end wall should be
integrated with the lining to enhance the stability of the structure.
(3) Post portal (Fig. 17.4)

The post portal is the portal where a symmetrical two columns are added to the end
wall.
It is not only more beautiful, but also can enhance the stability of the structure.
This form is generally suitable for tunnels near towns, villages and scenic spots.
(4) Bench portal (Fig. 17.5)

The bench portal is generally used in the case of the tunnel along the streamline. In
order to adapt the hillside topography, end walls are often made into the bench.
(5) Ring-frame portal (Fig. 17.6)

The ring-frame portal is the simplest form in these forms and commonly used in the
underground building in the good geological environment. The ring frame and the
lining are integrally filled with concrete. When the structural opening is in the soft
accumulation layer, it is necessary to avoid large elevation and slope. Generally, it
is appropriate to adopt the long opening to restore the original topography and
landform. The drain should be arranged above and on both sides of the ring to
remove surface water and prevent unconcentrated flow.
17.3.2 Lining Structure
The portal should be orthogonal to the tunnel axis. Concrete, rubble concrete, and
stone masonry can be used as materials for the wall of the portal, and their marks
should not be lower than those specifications in Table 17.1.
17.3 Portal 737
Fig. 17.4 Post portal
Fig. 17.5 Bench portal
Fig. 17.6 Ring-frame portal

Table 17.1 Materials for the wall of the portal

Part Material
Concrete Reinforced Rubble Stone masonry
concrete concrete
End wall C20 C25 C15 M10 Cement mortar
rubble, block stone
Top cap C20 C25 M10 Cement mortar
stone
Wing wall and retaining wall C20 C25 C15 M7.5 Cement mortar
rubble
Side channel, intercepting drain, C15 M5 Cement mortar
slope protection and son on rubble
Notice 1 Materials in the slope protection can be C30 shotcrete
2 When the minimum average temperature is under −15°, the strength of cement mortar in the
table should be increased by one grade
The wall of portal should be arranged with expansion joints, settlement joints,
and drainage holes according to the actual situation. The minimum section thick-
ness should be determined by different materials, as shown in Table 17.2.
The portal wall shall be provided with expansion joints, settlement joints, and
drain holes according to actual needs; the minimum section thickness of the
structure shall be formulated according to different material types, see Table 17.2.
The front size of the portal wall depends on forms, slopes, lining forms, geo-
logical conditions, and esthetic requirements.
The end-wall portal can be applied under normal topographic and geological
conditions. The distance between the central axis and the bottom of the slope, the
embedded depth of the foundation, the height of the portal wall and the thickness of
the portal wall should be definite in the design. The distance should be larger than
the sum of half span about tunnel lining and top width of the drain. The foundation
of the portal wall must be placed on the stable foundation. Depending on the
topography and geological conditions, it should be buried deep enough to ensure
the stability of the portal wall. The embedded depth is 0.4–0.6 m in hard rock, 0.6–
0.8 m in medium hard rock, and 0.8–1.2 m in soft rock. At the same time, the
embedded depth should not be less than 0.25 m below the freezing line in frost
heave soil area. In addition, it should be more than the embedded depth of different
grooves beside the wall.
When the rock is poor, the distance from the foot of the front slope to the back of
the portal wall should not be less than 1.5 m to prevent the collapse of the rock on
the top. The height from the top of the portal wall to the foot of the slope should not
be less than 0.5 m. And the height from the bottom of the ditch, which is in between
the portal wall and front slope, to the outer edge of the lining vault is usually not
less than 1 m. The portal wall should be pitched backward, and its slope is gen-
erally 1:0.05–1:0.02.
17.3 Portal 739
Table 17.2 Minimum section thickness of the portal wall

Part Material
Concrete and Rubble Mortar Mortar Mortar
reinforced concrete stone or block rubble
concrete concrete stone
End wall, wing wall 30 40 30 30 50
and retaining wall
(cm)
The portal wall can be regarded as the retaining wall to check its strength, stability
against overturning and global stability. Finally, the size of every part will be
determined by the result.
1. Loading in the portal wall (Fig. 17.7)
(1) The active soil pressure on the back of the wall Ea can be calculated based on
the Rankine or Coulomb theory.
(2) Weight of the portal wall W1 and weight of the foundation W2 .
(3) Friction between the foundation of the wall and the ground.
2. Check of the stability and strength in the portal wall
The whole portal wall should not slide and rotate under all loads. At the same
time, the section of the portal wall should meet requirements about the strength and
the pressure on the bottom of the foundation should not exceed the bearing capacity
of the ground.

diagram of the portal wall
(1) Loading calculation

The active soil pressure about the soil Ea can be calculated based on the Rankine or
Coulomb theory. In addition, the weight of the portal wall and the foundation can
be calculated based on the size and materials of the portal wall.
(2) Stability Computation (Fig. 17.8)
1) Check the stability against overturning

Overturning moment for the toe of the portal wall (point O) can be calculated by the
following formula:
M O ¼ E1 b 1 þ E 2 b 2 ð17:1Þ
where b1 and b2 are the arm of force.
1 1 1
b1 ¼ ðH þ h0 Þ; b2 ¼ ðH þ h0 h0 Þ; E1 ¼ ðH þ h0 ÞrH1 ;
3 3 2
1 0
E2 ¼ ðH þ h0 h ÞrH2
2
H þ h0 0 H þ h0 0 0 a
rH1 ¼ 0
rk ; rH2 ¼ rH 0
rk ; h ¼
h h tanw tana
Fig. 17.8 Stability computation of the portal wall

17.3 Portal 741
Anti-overturning moment for the toe of the portal wall (point O) can be calcu-
lated by the following formula:
My ¼ W1 a1 þ W2 a2 ð17:2Þ
where W1 is the weight of the portal wall; W2 is the weight of the foundation; a1 and
a2 are their arms of force to the point O, respectively.
So, the resistive overturning safety factor can be calculated by the formula as
follows:
My
Kr ¼ ð17:3Þ
MO
Generally, Kr 1:5.
2) Check the stability of sliding

Safety factor against sliding can be calculated by the formula as follows:
f ðW 1 þ W 2 Þ
KS ¼ ð17:4Þ
Ea
where f is the coefficient of friction on basis; Ea is the active soil pressure on the
wall.
3) Check pressure on the bottom of the foundation and strength of the portal wall
So as to ensure that the base stress of the portal wall does not exceed allowable
bearing capacity of the foundation, it is necessary to check the base stress. The
check can be based on the specification about road retaining walls. And, the section
strength of the wall can be checked by the relevant specification (Table 17.3).
The design and calculation parameters of the portal are adopted according to the
field test data. In the absence of test data, it can be selected according to Table 17.4.
Table 17.3 Design specification of the portal wall

Load effect on the wall section Sd Structural resistance effect value Rd (limit state)
Eccentricity on the section of the wall e 0:3 times thickness of section
Base stress r Bearing capacity of foundation
Base eccentricity e Rock foundation B=4 B=5; soil foundation
B=6
(B is the thickness of the wall at the bottom)
Safety factor against sliding Kc 1:3
Resistive overturning safety factor K0 1:6
Table 17.4 Design and calculation parameters of the portal

Slope Friction angle / Unit weight Coefficient of Base control
( ) c (kN/m2) friction on basis f press stress (MPa)
1:0.50 70 25 0.6 0.8
1:0.75 60 24 0.5 0.6
1:1.00 50 20 0.4 0.40–0.35
1:1.25 43–45 18 0.4 0.30–0.25
1:1.50 38–40 17 0.35–0.4 0.25
17.4 End Wall
Setting the end wall can prevent further deformation or destruction of surrounding
rock near underground buildings. And, the end wall can be shaped as a flat plate
(Fig. 17.9), which is convenient for construction.
17.4.1 Forms of the End Wall
The load on the end wall is mainly the horizontal pressure of surrounding rock,
which can be calculated according to the surrounding rock conditions or estimated
by the engineering analogy method.
Materials of the end wall should be determined by the magnitude of horizontal
pressure, the height, and width of the end wall and so on. When the horizontal
pressure, the height, and width of the end wall are not large, the concrete, materials
can be precast concrete block or brick wall. When it is the opposite situation,
reinforced concrete is more appropriate.
Fig. 17.9 Planar graph of

the end wall
17.4 End Wall 743
17.4.2 Calculation for the End Wall
The calculation of the flat end wall is actually to solve the problem of an irregular
thin plate with simple supports around or embedded edges. In order to simplify the
calculation, there are three assumptions in engineering as follow.
(1) The horizontal pressure on the end wall is uniformly distributed.

(2) An irregular thin plate is simplified to a rectangular thin plate, and its hori-
zontal and vertical calculated span is approximately calculated by the formula
as follows (Fig. 17.10).
l x ¼ l 0 þ dc
2 1
ly ¼ h0 þ f0 þ db
3 2

l l
When lyx or llxy [ 2, it is calculated as a one-way slab. While lyx or llxy 2, it
is calculated as a two-way slab.
(3) When the end wall is constructed with the lining in concrete (excluding the
bottom slab), it can be calculated as a rectangular plate with three edges
embedded and simple support at the bottom. When the end wall is constructed
with the lining in concrete (including the bottom slab which thickness is less
than 20 cm), it can be calculated as a rectangular plate with four sides
embedded. When the end wall is made of precast concrete blocks and
masonry, it can be calculated as a rectangular slab with simple supports
around.
Fig. 17.10 Horizontal and vertical calculated span of the end wall
Fig. 17.11 End wall of the large-span and high-sidewall portal. 1—Longitudinal rib;
2—Horizontal rib; 3—Two-way slab; 4—Long anchor; 5—Lining
When both the span and height of underground buildings are not large, the end
wall can be arranged as shown in Fig. 17.10. And its working state is just like a
two-way slab with a single span under the uniform load.
While both the span and height of underground buildings are large, the height
and width of the end wall also will increase. So it is necessary to arrange some
longitudinal and horizontal ribs to decrease the span and increase the bearing
capacity against lateral pressure (Fig. 17.11). It is an economical way to combine
ribs with the beam-slab system and longitudinal partition. Otherwise, a proper
number of long anchors should be installed on ribs or at the intersection of the cross
to avoid the unreasonable phenomena in technology and economy caused by the
excessive span of ribs. And its working state is similar to the continuous two-way
slab under the uniform load.
When the end wall is calculated as a two-way slab, it can be calculated by the
formula of two-way ribbed floor. Generally speaking, there are elastic and plastic
theory used in the calculation. However, it is better to follow the elastic theory
when the end wall is regarded as the two-way slab.
17.5 Bifurcation Tunnel
Due to different requirements about underground buildings, there are a lots of types
of layout, such as chessboard, radiation, and so on. So it will form the intersection
in plane and space. The lining at the intersection is called the bifurcation tunnel.
17.5 Bifurcation Tunnel 745
The bifurcation tunnel is a space structure system, which is much more com-
plicated than the direct lining in terms of stress state, forms, construction and so on.
As the surrounding rock around the bifurcation tunnel is easy to lose stability
causing by stress concentration, accidents easily occur in the construction and
application. In addition, there is no perfect practical calculation method for its
design, so engineering analogy is the main method and some reinforcement is
carried out in structure at present. The number of bifurcation tunnels should be
small as much as possible in the situation of meeting the requirements and the
location of the bifurcation tunnel should in the area where the surrounding rock is
stable. In the aspect of structural design and form, the force condition should be
clear and the construction should be convenient.
17.5.1 Forms of Bifurcation Tunnels and Joints
1. Forms of bifurcation tunnels
(1) Perpendicular bifurcation tunnel

Plane Axes of this form are perpendicular, including the cross, the L shaped and the
T shaped, as shown in Fig. 17.12a–c.
(2) Skew bifurcation tunnel

Plane Axes of this form are skew, including the cross, and the degree of angle
between the plane axes is more than 60 shown in Fig. 17.13.
(3) Hybrid bifurcation tunnel

This form is the combination of the perpendicular and skew bifurcation tunnel, as
shown in Fig. 17.14.
(4) Radial bifurcation tunnel

The number of plane axes about this form is more than 4, as shown in Fig. 17.15.
Fig. 17.12 Perpendicular bifurcation tunnel. a Cross; b T shaped; c L shaped

Fig. 17.13 Skew bifurcation tunnel. a Bidirectional cross; b Unidirectional cross; c Trifarious
cross
Fig. 17.14 Hybrid bifurcation tunnel
Fig. 17.15 Radial bifurcation tunnel
Practice shows that the less the number of intersecting caverns are, the better the
force condition of the bifurcation tunnel is, when the plane axes are perpendicular.
Therefore, the perpendicular bifurcation tunnel is common in design and others are
only seen in a special situation.
2. Joint forms
Joint forms are the vertical connection of the bifurcation tunnel. According to the
service condition of underground buildings, the requirements for the span and the
Fig. 17.16 Joint forms. a Sidewall intersection; b Vault intersection; c Arch intersection;
d Cylindrical joint; e Reserve holes in sidewalls
height of sidewalls are different. As shown in Fig. 17.16, there are several joint
forms in engineering as follows.
(1) Sidewall intersection

When the vault elevation is lower than the elevation of the sidewall, this form is a
good choice for its simplicity.
(2) Vault intersection

The vault intersection is the intersection of two arches in two caverns with equal
vault elevation.
(3) Arch intersection

The arch of the cavern intersects another arch of the cavern with different vault
elevation.
(4) Cylindrical joint

When there are vehicles passing through the bifurcation tunnel which several
tunnels intersect at, it is appropriate to take the cylinder and dome. And a ring beam
should be constructed at the bottom of the dome, of which the elevation is more
than the elevation of these intersecting tunnels. Although the force situation of this
form is clear, it needs a large amount of earthwork.
(5) Reserve holes in sidewalls

This joint form is appropriate for most of the situations. It also has advantages about
the simple structure and the clear force situation. But it needs to leave holes for
pipeline passing through in construction.
If conditions permit, it is advisable to adopt the form of sidewall intersection or
reserving holes in sidewalls. According to the test data, the cracks first appear on
the vault under vertical load, which is very harmful to the structure. Therefore, the
intersection of arches or vaults should be avoided as far as possible. When it is
inevitable, special attention must be paid for enhancing the strength of the dome
and taking reliable structural measures.
17.5.2 Detailing Requirements
At present, there is no unified calculation method for bifurcation tunnels. Engi-

neering analogy is the main method for calculation and design and taking some
appropriate structural treatments according to the existing experience.
1. Sidewall intersection or reserve holes in sidewalls

The main requirements for construction are as follows:
(1) When the height of the wall retaining holes is small, the sidewall can be
partially thickened or be added with constructional reinforcement.
(2) The wall retaining holes should have enough strength to bear the surrounding
rock pressure, the load of backfilling and the weight of the lining.
(3) When the strength of the wall retaining holes is not enough, the sidewall can
be partially thickened or be added with constructional reinforcement.
2. Arch intersection
According to the geological condition, thickening the section or arrange the rein-
forcement with the reinforcement ratio being 0.2% is the general method.
The main requirements for construction are as follows.
(1) When the span is small, the section can be thickened. And the thickness of
arch and sidewalls can be increased by 5–10 cm, and the range thickened is
generally greater than or equal to 3 m.
(2) When the stability of surrounding rock around the bifurcation tunnel is poor,
the span of one cavern and the other is large, arch ribs can be added on both
sides of the arch intersection to enhance the stiffness of the structure, as shown
in Fig. 17.17.
(3) When the span is large, the reinforcement ratio should be 0.2%. While the
thickness of the arch ring is not more than 40 cm, the diameter of the main
reinforcement is not less than 12 mm, the spacing is 20–30 cm and the
diameter of the distributing reinforcement is not less than 8 mm, the spacing is
Fig. 17.17 Arch rib
30–50 cm. When the thickness is greater than 40 cm, the diameter of the main
reinforcement is not less than 16 mm, and the spacing is 20–30 cm. The
reinforcement range of the arch ring is generally (1/3–1/2)L, but not less
than 3 m.
(4) The reinforcement of the skew arch can be determined by the approximate
calculation. The internal force of the skew arch is calculated as a non-hinged
arch fixed on the sidewall at both ends. The loads on it include the vertical
surrounding rock pressure, backfill load, the weight of skew arch, and trian-
gular vertical load transmitted from lapping arch foot. The skew arch and
lapping arch are double-sided reinforced.
In a word, there is no more practical and reasonable calculation method for

bifurcation tunnels at present. It can be analyzed by the finite element method and
other numerical methods, and some necessary structural treatments are taken to
make up for the deficiencies in the calculation.
17.6 Vertical Shaft and Inclined Shaft
As the ventilation, smoke exhaust, transportation, power lines, and pipelines for
different purposes, underground buildings need the vertical or inclined permanent
cavern, which is called the vertical shaft or inclined shaft. For the sake of saving the
manpower and materials, the temporary shaft should be combined with the per-
manent vertical shaft or inclined shaft.
17.6.1 Vertical Shaft
The vertical shaft consists of the wellhead, the wellbore and the connecting section
adjacent to the horizontal cavern. The wellhead is the shaft lining near the surface.
The connecting section is the lining of the shaft adjacent to the horizontal cavern.
The rest of the vertical shaft is called the wellbore, as shown in Fig. 17.18.
Fig. 17.18 Vertical shaft
The layout of the shaft should meet the following requirements:
(1) The elevation of wellhead should be at least 0.5 m higher than the water line at
the flood frequency of 1/100.
(2) The plane position should be located on one side of the tunnel midline, and the
net distance from the tunnel should be 15–20 m.
(3) Shaft section should be circular and safety ladder should be installed in the
wellbore.
(4) The connection between wellbore and well bottom should be able to meet the
requirements of materials and equipment passing through the tunnel.
(5) According to the service life, the depth of shaft, lifting capacity, the instal-
lation, and maintenance, there are different types of shafts, such as the wooden
cage guide, steel cage guide, and steel line cage guide.
The parameters of the lining in the vertical shaft are shown in Table 17.5 and the
design should meet the following requirements:
(1) The concrete or reinforced concrete neck should be installed at the wellhead.
In addition, the concrete lining should be arranged at the connection between
wellbore and well bottom.
(2) Walling cribs should be installed at the wellhead, the wellbore in poor geo-
logical conditions and the connection mentioned above. The forms and
spacing can be determined by the geological conditions, construction methods
and lining types.
Table 17.5 Parameters of the lining in the vertical shaft
17.6
Grade of Shotcrete-bolt lining Support lining Composite lining

surrounding D\5 m 5mD7m Primary support Secondary
rock lining
D\5 m 5mD7m
I Thickness of Thickness of Thickness of Formworking ― ― ―
shotcrete is 10 cm shotcrete is concrete or reinforced
10–15 cm concrete is 30 cm, thickness
of masonry is 40 cm
II Thickness of Thickness of Thickness of form working ― ― ―
shotcrete is shotcrete is concrete or reinforced
10–15 cm, 15–20 cm, concrete is 30 cm, thickness
length of bolt is length of bolt is of masonry is 50 cm
Vertical Shaft and Inclined Shaft
1.5–2 m, spacing 2–2.5 m, spacing

is 1–1.5 m is 1 m
Arrange mesh
reinforcement
(with steel ring
beam if necessary)
III Thickness of Thickness of Thickness of concrete or Thickness of Thickness of 30 cm
shotcrete is shotcrete is reinforced concrete is 40 cm, shotcrete is shotcrete is
15–20 cm, 20 cm, thickness of masonry is 5–10 cm, 10–15 cm,
length of bolt is length of bolt is 60 cm length of bolt is length of bolt is
2–2.5 m, spacing 2.5–3 m, spacing 1.5–2 m, spacing 2–2.5 m, spacing
is 1 m is 1 m is 1 m is 1 m
Arrange mesh Arrange the mesh (arrange mesh (arrange mesh
reinforcement reinforcement reinforcement if reinforcement if
(with steel ring with steel ring necessary) necessary)
beam if necessary) beam
(continued)
751
752
Grade of Shotcrete-bolt lining Support lining Composite lining

surrounding D\5 m 5mD7m Primary support Secondary
rock lining
D\5 m 5mD7m
IV ― ― Thickness of concrete or Thickness of Thickness of 40 cm
reinforced concrete is 50 cm, shotcrete is shotcrete is
thickness of masonry is 10–15 cm, 15–20 cm,
70 cm length of bolt is length of bolt is
2–2.5 m, spacing 2.5–3 m, spacing
is 1 m. is 0.75–1 m.
(arrange mesh Arrange mesh
reinforcement if reinforcement
necessary)
V ― ― Thickness of concrete or Thickness of Thickness of 50 cm
reinforced concrete is 60 cm, shotcrete is shotcrete is
17
thickness of masonry is 15–20 cm, 20–25 cm,

80 cm length of bolt is length of bolt is
2.5–3 m, spacing 3–3.5 m, spacing
is 0.75–1 m. is 0.5–0.7 m.
Arrange mesh Arrange mesh
reinforcement reinforcement
(with steel ring (with steel ring
beam if necessary) beam if necessary)
Notice 1 The grade IV needs the special supports
2. Reinforcement in the mesh reinforcement appropriately is / 6–8 mm, the spacing can be 10–20 cm
3. D is the diameter of the vertical shaft
Design of Special Underground Structures
17.6 Vertical Shaft and Inclined Shaft 753
In addition, there must be safety measures in the vertical shaft, such as

parachutes.
The wellhead belongs to one of the entrances about underground buildings,
which is used to bear the weight of the wellhead lining and different loads on the
wellhead. Therefore, the wellhead lining is necessary, which materials of which
generally are concrete or reinforced concrete. The embedded depth of the wellhead
should be 2–3 m below the bedrock in the superficial upper. In the thick soil, the
embedded depth should be 0.25 m below the freezing line and the bottom should be
enlarged into a disc (shaft color).
The wellbore is the main part of the vertical shaft, which generally is the
shotcrete-bolt structure. When the permanent lining of the wellbore is constructed
by other materials, it is necessary to determine whether there is needing the walling
crib along the wellbore based on geological conditions, lining forms, and so on. The
walling crib can transfer the weight of the lining and other loads to the surrounding
rock around supports. However, when it is the cast-in situ concrete lining, there is
the cohesive shear resistance between the wellbore and the surrounding rock in
good surrounding rock, which is enough to support the wellbore with usual height.
In this situation, there is no need to construct the walling crib.
The connecting section is generally made of the reinforced concrete. There are
two forms of connection between the vertical shaft and the main tunnel. One is that
the axis of the vertical shaft and the main tunnel intersect above the main tunnel.
The other is that the axis of the vertical shaft and the main tunnel intersect at the
side of the main tunnel in horizontal, and the length of the horizontal connection is
15–20 m. In addition, there should be sumps at the bottom of the vertical shaft for
draining away water through the water pump.
There are lots of section forms, such as circle, rectangle, oval, and so on. For the
force conditions, the circular section is the most appropriate compared with others.
Therefore, it is common in construction.
The surrounding rock pressure on the vertical shaft can be calculated according to
the contents of relevant chapters. The calculation is based on the elastic theory and
there are different simplified calculations for different forms of the vertical shaft.
1. Circular shaft
In order to simplify the calculation, the internal force is analyzed as a ring structure
perpendicular to the shaft axis. Generally, the effective length is the unit length of
the wellbore. First, distinguish the thin cylinder and the thick cylinder based on the
ratio of the thickness to the average radius. When the ratio is more than 1/8, it can
be calculated as a thick cylinder. When the ratio is equal or less than 1/8, it can be
regarded as a thick cylinder. Shafts in underground buildings are mostly thin
cylinders.
From the structural mechanics, we can know that the thin cylinder is a three-time
statically indeterminate ring structure and its unknown redundant force can be
solved by the elastic center method. Assuming that the surrounding rock pressure
on the wellbore is uniformly distributed in the radial direction under normal

drawing of internal force
conditions, and there are the axial pressure on the cylinder wall, the equilibrium
condition (Fig. 17.19) can be obtained as follows:
N ¼ P h r0 ð17:5Þ
r1 þ r2
N¼ Ph ð17:6Þ
2
where Ph is the surrounding rock pressure; r0 is the average radius of the wellbore;
r1 is the inside radius; r2 is the outside radius.
The radial uniform surrounding rock pressure on the shaft generally increases
with the depth. Therefore, the whole shaft can be divided into several sections in the
design calculation. And the radial uniform surrounding rock pressure and the axial
pressure of each section on the cylinder wall can be calculated separately, then the
thickness of the cylinder wall can be determined.
In addition, due to the influence from other asymmetric loads (such as ground
loads) on the wellhead, the cylinder wall is in eccentric compression state. The
internal force analysis should be based on the most disadvantageous combination of
loads, and the strength should be checked by eccentric compression members,
which is not discussed here.
2. Rectangular shaft
The section of the cylinder wall about rectangular shaft is in eccentric compression
state under the lateral uniform surrounding rock pressure. The internal force anal-
ysis can be based on the statically indeterminate structure.
As shown in Fig. 17.20, we can assume that the bending moment when the fiber
in the section is tension and the axial force when the section is in compression are
positive. According to the principle of symmetry, it belongs to the double symmetry
structure in structure and load.
Fig. 17.20 Calculation drawing of rectangular shaft
Bending moments at four corners (Cross section I) can be calculated based on

the basic structure.
Ph a31 þ a32
MI ¼ ð17:7Þ
3 a1 þ a2
where a1 is the length of the long axis; a2 is the length of the short axis.
Bending moments in the span of each member (Cross sections II and III) can be
calculated by the formula as follows:
Ph a31 þ 3a21 a2 2a32

MII ¼ ð17:8Þ
6 a1 þ a2
Ph a31 þ 3a1 a22 2a31

MIII ¼ ð17:9Þ
6 a1 þ a2
The axial forces of Cross sections II and III can be calculated by the formula as
follows, respectively:

NII ¼ Ph a2
ð17:10Þ
NIII ¼ Ph a1
We can solve the corresponding bending moment and axial force of the rect-
angular shaft by the formula above and then get the thickness of the cylinder wall.
3. Elliptical shaft
We can get the bending moment and axial force of Cross sections II and III based
on the elastic theory as shown in Fig. 17.21.

drawing of elliptical shaft
Table 17.6 Section internal a1 =a2 0.5 0.6 0.7 0.8 0.16 1.0
force coefficients k and l
k 0.629 0.391 0.237 0.133 0.057 0
l 0.871 0.496 0.283 0.148 0.06 0

MI ¼ Ph a21 k NI ¼ Ph a1
ð17:11Þ
MII ¼ Ph a21 l NII ¼ Ph a2
where a1 is the length of the long axis, a2 is the length of the short axis, k and l can be
found in Table 17.6.
When checking the strength of the cylinder wall according to the current
specification, the longitudinal bending coefficient is equal to 1 ðu ¼ 1Þ for the
cylinder wall is close to the surrounding rock.
The calculation about the shaft collar also is the problem of elastic theory. The
computational process is complex and tedious, so we will not discuss it here.
The size of the walling crib is based on the calculation for meeting the
requirements about the strength. In addition, the foundation reaction at the bottom
of the walling crib should not exceed the allowable bearing capacity.
The walling crib is made of the concrete and its forms include the cone and the
biconical (Fig. 17.22). The biconical walling crib is common, but the basiconic also
can be seen in the hard rock.
According to the experience of the relevant department, the angle a between the
upper inclined edge and the horizontal line on the walling crib is generally about
50°. The angle b between the lower inclined edge and the horizontal line is gen-
erally 50–60° in soft rock, 25–45° in medium hard rock, and 0–15° in hard rock.
None of these values should be greater than the internal friction angle of the
surrounding rock.
Fig. 17.22 Forms of the

walling crib
(1) Calculation of the biconical walling crib (Fig. 17.23)

In the calculation, the cohesive shear resistance between the walling crib and
surrounding rock is not considered (if considered, it should be determined by tests).
In this situation, the surrounding rock at the bottom of the walling crib bears the
weight of the wellbore and other loads.
The width and height of the walling crib are determined by the bending and
shear strength at fixed end of the walling crib and the allowable bearing capacity of
the surrounding rock foundation.
1) Width of the walling crib b

The surrounding rock foundation reaction on the bottom of the walling crib with
unit arc length should meet the formula as follows:
N1 þ N2
cos2 b ½R
b
where N1 is the weight of the wellbore lining between the each unit arch length in
the walling crib and other loads, N2 is the weight of the walling crib with unit arch
length.
By solving the above formula, the width of the walling crib is as follows:
N1 þ N2
b cos2 b ð17:12Þ
½ R
where ½R is the allowable bearing capacity of the surrounding rock foundation.
Fig. 17.23 Biconical

walling crib
The width solved from the above formula should be greater than the thickness of
the cylinder wall and generally 40–120 cm.
2) Height of the walling crib h

The height of the fixed end in the concrete walling crib is determined by the normal
section strength of concrete flexural members.
The bending moment in the fixed end (section I–I) is shown as follows:
b2 ½ R
M¼ ð17:13Þ
2 cos2 b
The section strength of concrete flexural members meets the requirement:

h2
KM 3:5 R1 .
Substitute Formula (17.13) into the above formula.
sffiffiffiffiffiffiffiffiffiffi
1:32b K ½ R
h ð17:14Þ
cos b R1
The height of the cylinder wall from the calculation should be greater than the
thickness of the cylinder wall and is generally 100–150 cm. At the same time, we
should check the shear strength of the section at the fixed end by the formula below.
K ðN1 þ N2 Þ R1 h ð17:15Þ
where K is the concrete design safety factor calculated by tensile strength as the
compressive and flexural members, R1 is the design tensile strength of concrete.
(2) Calculation of basiconic walling cribs

The bottom of the basiconic walling crib is horizontal, so b ¼ 0 or cos b ¼ 1. The
formula about the width and height of the basiconic walling crib can be obtained
from Formulas (17.12) and (17.14).
9
b ¼ N1½þRN2 =
qffiffiffiffiffiffiffi ð17:16Þ
h ¼ 1:32 KR½R1 ;
Checking the shear strength at the fixed end of the walling crib is still based on
Formula (17.15).
17.6.2 Inclined Shaft
The layout of inclined shafts should meet the following requirements:
(1) Inclined shafts should not be located where they may be flooded and the
elevation of wellhead should be at least 0.5 m higher than the water line at the
flood frequency of 1/100. If it is located in the ravine, there will be flood
control measures.
(2) The lifting method of the inclined shaft is determined by the lifting amount,
the length of the inclined shaft and topographical conditions. The inclination
of different lifting methods must meet the requirements as follow.
① The inclination of the skip lifting should not be more than 35°.
② The inclination of trip lifting should not be more than 25°.
③ The inclination of lifting by the belt conveyor should not be more than 15°.
(3) The plane angle at the intersection between the inclined shaft and the tunnel
midline should be 40–50°.
(4) The longitudinal section of the shaft should not be inclined. The vertical curve
should be set at the wellhead and the bottom of the shaft, and the radius of the
vertical curve should be 12–20 m.
(5) There must be a sidewalk which the width of is not less than 0.7 m in the
inclined shaft. When the inclination is more than 15°, the sidewalk should be
Table 17.7 Lining parameters of the transverse gallery and the air duct
Grade of Bolt-shotcrete Formworking Composite lining
surrounding support concrete Primary support Secondary
rock lining lining
I 5 cm 20 cm Partially shot the 20 cm
concrete or cement sand
for padding
II 5 cm 20 cm Partially shot the 20 cm
concrete which the
thickness of is 5 cm
III 10 cm (length 25–30 cm The thickness of the 20 cm
of the bolt is shotcrete is 5–8 cm.
2–2.5 m Length of bolts is 2 m
partially) (partially arranged)
IV ― 35–40 cm The thickness of the 25–30 cm
shotcrete is 8–10 cm.
Length of bolts at the
arch is 2–2.5 m, spacing
is 1–1.2 m. (arrange
mesh reinforcement if
necessary)
V ― 45–50 cm The thickness of the 35–40 cm
(arrange the shotcrete is 10–15 cm. (arrange
invert if Length of bolts at the invert if
necessary) arch is 2.5–3 m, spacing necessary)
is 1 m. Arrange mesh
reinforcement
Notice 1 The surrounding rock in grade IV should be specially designed
2 Bolt-shotcrete lining is only appropriate for the surrounding rock in grade I–III where the
underground water is not developed and smooth blasting is effective
3 It is suitable for the passage width not more than 5 m. When the passage width is more than 5 m,
it should be designed separately
arranged steps. And the lining appropriate for the wellhead and poor geo-
logical section. The lining parameters of the transverse gallery and the air duct
is shown in Table 17.7.
In addition, there must be corresponding safety measures in the inclined shaft, as

well as the block equipment to prevent slipping. When the inclination is more than
15°, the inclined shaft should be equipped with the skidproof measure in the track.
The working state of the inclined shaft depends on not only geological condi-
tions, but also the inclination between the axis of the shaft and the horizontal line.
Generally, the inclination of the shaft is determined by lifting methods and lifting
amount. Combining with the length of the inclined shaft and the topography, the
specification set the maximum inclination in different lifting methods. In addition,
setting the vertical curve is beneficial to make the vehicle with slag passing through
slope changing points.

diagram of the inclined shaft
As the inclination of the inclined shaft is large, the transportation safety is

important. The relevant specification stipulates that the transport vehicles should
not allow people to ride, and there must be a sidewalk which the width of is not less
than 0.7 m. When the inclination is more than 15°, the sidewalk should be arranged
steps.
The simplification about calculation of the inclined shaft (Fig. 17.24) is based on
the inclination as follow.
(1) When the inclination (a) is less than 45°, it is appropriate to design the
inclined shaft as a horizontal cavern. First, take the section perpendicular to
the axis of the inclined shaft as the calculated section. Then, the surrounding
rock pressure on the calculated section is equal to the surrounding rock vertical
pressure multiplied by cos a in the corresponding horizontal cavern, and the
horizontal pressure of the sidewall is equal to which in the corresponding
horizontal cavern. At the same time, there must be construction measure to
keep the stability of the inclined shaft. For example, it is a good way that
making the bottom of the inclined shaft into a foundation with steps, which the
height of is 0.4–1.0 m (Fig. 17.25). If materials of the shaft are natural stone
or precast blocks, it should be built horizontally. When necessary, the walling
crib connected with the whole lining can also be set around the lining at
regular intervals.
(2) When the inclination ðaÞ is more than 45°, it is appropriate to design the
inclined shaft as a vertical shaft. The horizontal pressure on the calculated
section is equal to the horizontal pressure multiplied by sin a.
Fig. 17.25 Inclined shaft

with the foundation for steps
17.7 Summary
(1) Special underground structure includes dome vertical walls, portals, bifurca-
tion tunnels, vertical shafts, inclined shafts and so on.
(2) In order to keep the stability of the rock and protect the vehicle from the threat
of collapse and rock, it is necessary to select the appropriate form of portals.
The forms contain the end wall, the wing wall, the post, the bench and the ring
frame.
(3) The bifurcation tunnel is a space structure system including perpendicular
bifurcation tunnels, skew bifurcation tunnels, hybrid bifurcation tunnels, and
radial bifurcation tunnels.
Problems
1. Please describe the forms of the dome vertical wall and their detailing
requirements
2. Please introduce the forms of portals and their applicable situations.
3. Please list the forms of the bifurcation tunnel and joints.
4. Please speak about characteristics and calculated methods of the vertical shaft.
Appendix A
Tables for Calculating the Elastic
Foundation Beam
See Tables A.1, A.2, A.3, A.4, A.4-1, A.4-2, A.4-3, A.5, A.5-1 a, A.5-1 b, A.5-1 c,
A.5-2 a, A.5-2 b, A.5-2 c, A.5-3 a, A.5-3 b, A.5-3 c, A.5-4 a, A.5-4 b, A.5-4 c, A.6,
A.6-1 a, A.6-1 b, A.6-1 c, A.6-2 a, A.6-2 b, A.6-2 c, A.6-3 a, A.6-3 b, A.6-3 c,
A.6-4 a, A.6-4 b, A.6-4 c, A.7, A.8, A.8-1, A.8-2, A.8-3, A.8-4, A.9, A.9-1, A.9-2,
A.9-3, A.9-4, A.10, A.10-1, A.10-2, A.10-3, A.10-4, A.11, A.11-1, A.11-2, A.11-3,
and A.11-4.
https://doi.org/10.1007/978-981-13-7732-7
Table A.1 Hyperbolic trigonometric function u1 u4
764
ax u1 u2 u3 u4 ax u1 u2 u3 u4
0.0 1.0000 0 0 0 3.6 −16.4218 −24.5016 −8.0918 8.2940
0.1 1.0000 0.2000 0.0100 0.0006 3.7 −17.1622 −27.8630 −10.7088 6.4196
0.2 0.9997 0.4000 0.0400 0.0054 3.8 −17.6875 −31.3522 −13.6686 3.9876
0.3 0.9987 0.5998 0.0900 0.0180 3.9 −17.9387 −34.9198 −16.9818 0.9284
0.4 0.9957 0.7994 0.1600 0.0427 4.0 −17.8498 −38.5048 −20.6530 −2.8292
0.5 0.9895 0.9980 0.2498 0.0833 4.1 −17.3472 −42.0320 −24.6808 −7.3568
0.6 0.9784 1.1948 0.3596 0.1439 4.2 −16.3505 −45.4110 −29.0548 −12.7248
0.7 0.9600 1.3888 0.4888 0.2284 4.3 −14.7722 −48.5338 −33.7546 −19.0004
0.8 0.9318 1.5782 0.6372 0.3406 4.4 −12.5180 −51.2746 −38.7486 −26.2460
0.9 0.8931 1.7608 0.8042 0.4845 4.5 −9.4890 −53.4894 −43.9918 −34.5160
1.0 0.8337 1.9336 0.9890 0.6635 4.6 −5.5791 −55.0114 −49.4234 −43.8552
1.1 0.7568 2.0930 1.1904 0.8811 4.7 −0.6812 −55.6548 −54.9646 −54.2928
1.2 0.6561 2.2346 1.4070 1.1406 4.8 5.3164 −55.2104 −60.5178 −65.8416
1.3 0.5272 2.3534 1.6366 1.4448 4.9 12.5239 −53.4478 −65.9628 −78.4928
1.4 0.3656 2.4434 1.8766 1.7959 5.0 21.0504 −50.1130 −71.1550 −92.2100
1.5 0.1664 2.4972 2.1240 2.1959 5.1 30.9997 −44.9322 −75.9238 −106.9268
1.6 −0.0753 2.5070 2.3746 2.6458 5.2 42.4661 −37.6114 −80.0700 −122.5384
1.7 −0.3644 2.4644 2.6236 3.1451 5.3 55.5317 −27.8402 −83.3652 −138.8984
1.8 −0.7060 2.3578 2.8652 3.6947 5.4 70.2637 −15.2880 −85.5454 −155.8096
1.9 −1.1049 2.1776 3.0928 4.2908 5.5 86.7044 0.3802 −86.3186 −173.0223
2.0 −1.5656 1.9116 3.2980 4.9301 5.6 104.8687 19.5088 −85.3550 −190.2232
2.1 −2.0923 1.5470 3.4718 5.6078 5.7 124.7352 42.4398 −82.2908 −207.0252
2.2 −2.6882 1.0702 3.6036 6.3162 5.8 146.2448 69.5128 −76.7280 −222.9716
2.3 −3.3562 0.4670 3.6816 7.0457 5.9 169.2837 101.0406 −68.2396 −237.5220
(continued)
Appendix A: Tables for Calculating the Elastic Foundation Beam
Table A.1 (continued)
2.4 −4.0976 −0.2772 3.6922 7.7842 6.0 193.6813 137.3156 −56.3624 −250.0424
2.5 −4.9128 −1.1770 3.6210 8.5170 6.1 219.2004 178.5894 −40.6086 −259.8072
2.6 −5.8003 −2.2472 3.4512 9.2260 6.2 245.5231 225.0498 −20.4712 −265.9924
2.7 −6.7565 −3.5018 3.1654 9.8898 6.3 272.2487 276.8240 4.5772 −267.6700
2.8 −7.7759 −4.9540 2.7442 10.4832 6.4 298.8909 333.9444 35.0724 −263.7944
2.9 −8.8471 −6.6158 2.1676 10.9772 6.5 324.7861 396.3274 71.5426 −253.2420
3.0 −9.9669 −8.4970 1.4138 11.3384 6.6 349.2554 463.7602 114.5056 −234.7480
3.1 −11.1119 −10.6046 0.4606 11.5392 6.7 371.4244 535.8748 164.4510 −206.9720
3.2 −12.2656 −12.9422 −0.7148 11.5076 6.8 390.2947 612.1116 221.8174 −168.4760
3.3 −13.4048 −15.5098 −2.1356 11.2272 6.9 404.7145 691.6650 286.9854 −117.7327
3.4 −14.5008 −18.3014 −3.8242 10.6356 7.0 413.3762 773.6144 360.2382 −53.1368
3.5 −15.5198 −21.3050 −5.8028 9.6780
765
766
0.0 1.0000 1.0000 1.0000 0.0000 3.6 −0.0124 −0.0245 −0.0366 −0.0121
0.1 0.8100 0.9004 0.9907 0.0903 3.7 −0.0079 −0.0210 −0.0341 −0.0131
0.2 0.6398 0.8024 0.9651 0.1627 3.8 −0.0040 −0.0177 −0.0314 −0.0137
0.3 0.4888 0.7078 0.9267 0.2189 3.9 −0.0008 −0.0147 −0.0286 −0.0139
0.4 0.3564 0.6174 0.8784 0.2610 4.0 0.0019 −0.0120 −0.0258 −0.0139
0.5 0.2415 0.5323 0.8231 0.0908 4.1 0.0040 −0.0096 −0.0231 −0.0136
0.6 0.1413 0.4530 0.7628 0.3099 4.2 0.0057 −0.0074 −0.0204 −0.0131
0.7 0.0599 0.3798 0.6997 0.3199 4.3 0.0070 −0.0055 −0.0179 −0.0124
0.8 −0.0093 0.3030 0.6354 0.3223 4.4 0.0079 −0.0038 −0.0155 −0.0117
0.9 −0.0657 0.2528 0.5712 0.3185 4.5 0.0085 −0.0024 −0.0132 −0.0109
1.0 −0.1108 0.1988 0.5083 0.3096 4.6 0.0089 −0.0011 −0.0111 −0.0100
1.1 −0.1457 0.1510 0.4476 0.2967 4.7 0.0090 −0.0002 −0.0092 −0.0090
1.2 −0.1716 0.1092 0.3899 0.2807 4.8 0.0089 0.0007 −0.0075 −0.0082
1.3 −0.1897 0.0729 0.3355 0.2626 4.9 0.0087 0.0014 −0.0059 −0.0073
1.4 −0.2011 0.0419 0.2849 0.2430 5.0 0.0084 0.0020 −0.0046 −0.0065
1.5 −0.2068 0.0158 0.2384 0.2226 5.1 0.0080 0.0024 −0.0033 −0.0056
1.6 −0.2077 −0.0059 0.1959 0.2018 5.2 0.0075 0.0026 −0.0023 −0.0049
1.7 −0.2047 −0.0236 0.1576 0.1812 5.3 0.0069 0.0028 −0.0014 −0.0042
1.8 −0.1985 −0.0376 0.1234 0.1610 5.4 0.0064 0.0029 −0.0006 −0.0035
1.9 −0.1899 −0.0484 0.0932 0.1415 5.5 0.0058 0.0029 0.0001 −0.0029
2.0 −0.1794 −0.0564 0.0667 0.1231 5.6 0.0052 0.0029 0.0005 −0.0023
2.1 −0.1675 −0.0618 0.0439 0.1057 5.7 0.0046 0.0028 0.0010 −0.0018
2.2 −0.1548 −0.0652 0.0244 0.0896 5.8 0.0041 0.0027 0.0013 −0.0014
2.3 −0.1416 −0.0668 0.0080 0.0748 5.9 0.0036 0.0026 0.0015 −0.0010
(continued)
Table A.2 (continued)
2.4 −0.1282 −0.0669 −0.0056 0.0613 6.0 0.0031 0.0024 0.0017 −0.0007
2.5 −0.1149 −0.0658 −0.0166 0.0491 6.1 0.0026 0.0022 0.0018 −0.0004
2.6 −0.1019 −0.0636 −0.0254 0.0383 6.2 0.0022 0.0020 0.0019 −0.0002
2.7 −0.0895 −0.0608 −0.0320 0.0287 6.3 0.0018 0.0019 0.0019 0.0000
2.8 −0.0777 −0.0573 −0.0369 0.0204 6.4 0.0015 0.0017 0.0018 0.0002
2.9 −0.0666 −0.0535 −0.0403 0.0133 6.5 0.0012 0.0015 0.0018 0.0003
3.0 −0.0563 −0.0493 −0.0423 0.0070 6.6 0.0009 0.0013 0.0017 0.0004
3.1 −0.0469 −0.0450 −0.0431 0.0019 6.7 0.0006 0.0012 0.0016 0.0005
3.2 −0.0383 −0.0407 −0.0431 −0.0024 6.8 0.0004 0.0010 0.0015 0.0006
3.3 −0.0306 −0.0364 −0.0422 −0.0058 6.9 0.0002 0.0008 0.0014 0.0006
3.4 −0.0237 −0.0322 −0.0408 −0.0085 7.0 0.0001 0.0007 0.0013 0.0006
3.5 −0.0177 −0.0283 −0.0389 −0.0106
767
768

ax u9 u10 u11 u12 u13 u14 u15
1.0 1.3365 0.6794 1.1341 0.8365 1.0446 0.5028 1.0112
1.1 1.4948 0.9122 1.3163 0.9949 1.2890 0.7380 1.3526
1.2 1.7050 1.1978 1.5355 1.2050 1.5736 1.0488 1.7680
1.3 1.9780 1.5448 1.8026 1.4780 1.9066 1.4508 2.2672
1.4 2.3276 1.9642 2.1317 1.8277 2.2986 1.9620 2.8621
1.5 2.7694 2.4692 2.5397 2.2694 2.7644 2.6031 3.5672
1.6 3.3222 3.0762 3.0470 2.8222 3.3214 3.3974 4.3990
1.7 4.0079 3.8052 3.6774 3.5079 3.9914 4.3722 5.3780
1.8 4.8541 4.6820 4.4608 4.3542 4.8024 5.5601 6.5294
1.9 5.8926 5.7378 5.4319 5.3926 5.7884 6.9975 7.8832
2.0 7.1637 7.0116 6.6333 6.6637 6.9906 8.7295 9.4770
2.1 8.7150 8.5518 8.1161 8.2151 8.4604 10.8071 11.3556
2.2 10.6060 10.4176 9.9419 10.1060 10.2598 13.2942 13.5758
2.3 12.9087 12.6828 12.1859 12.4087 12.4650 16.2650 16.2056
2.4 15.7120 15.4368 14.9388 15.2120 15.1678 19.8097 19.3292
2.5 19.1234 18.8790 18.3111 18.6235 18.4816 24.0360 23.0490
2.6 23.2768 22.8790 22.4373 22.7768 22.5424 29.0772 27.4922
2.7 28.3353 27.8688 27.4823 27.8353 27.5180 35.0921 32.8138
Table A.4 Coefficients of r, Q and M for the foundation beam under uniformly distributed load
Conversion formula
r ¼ rq0
Q ¼ Qq0 l
M ¼ Mq0 l2
769
770
Table A.4-1 Uniformly distributed load r

t n
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0 0.64 0.64 0.65 0.67 0.69 0.74 0.80 0.89 1.06 1.46 –
1 0.69 0.70 0.71 0.72 0.75 0.80 0.87 0.99 1.23 1.69 –
2 0.72 0.72 0.74 0.74 0.77 0.81 0.87 0.99 1.21 1.65 –
3 0.74 0.75 0.75 0.76 0.78 0.81 0.87 0.98 1.19 1.61 –
5 0.77 0.78 0.78 0.79 0.80 0.83 0.88 0.97 1.16 1.55 –
7 0.80 0.80 0.81 0.81 0.82 0.84 0.88 0.96 1.13 1.50 –
10 0.84 0.84 0.84 0.84 0.84 0.85 0.88 0.95 1.11 1.44 –
15 0.88 0.88 0.87 0.87 0.87 0.87 0.89 0.94 1.07 1.37 –
20 0.90 0.90 0.90 0.89 0.89 0.88 0.89 0.93 1.05 1.32 –
30 0.94 0.94 0.93 0.92 0.91 0.90 0.90 0.92 1.01 1.26 –
50 0.97 0.97 0.96 0.95 0.94 0.92 0.91 0.92 0.99 1.18 –
Table A.4-2 Uniformly distributed load Q
t n
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0 0 −0.036 −0.072 −0.106 −0.138 −0.167 −0.190 −0.206 −0.210 −0.187 0
1 0 −0.030 −0.060 −0.089 −0.115 −0.138 −0.155 −0.163 −0.153 −0.110 0
2 0 −0.028 −0.056 −0.082 −0.107 −0.128 −0.145 −0.153 −0.144 −0.104 0
3 0 −0.026 −0.052 −0.076 −0.099 −0.120 −0.136 −0.144 −0.136 −0.099 0
5 0 −0.022 −0.045 −0.066 −0.087 −0.105 −0.121 −0.129 −0.124 −0.090 0
7 0 −0.020 −0.039 −0.058 −0.077 −0.094 −0.108 −0.117 −0.113 −0.084 0
10 0 −0.016 −0.033 −0.049 −0.065 −0.080 −0.094 −0.103 −0.101 −0.075 0
15 0 −0.012 −0.025 −0.038 −0.051 −0.064 −0.076 −0.085 −0.085 −0.065 0
20 0 −0.010 −0.019 −0.030 −0.041 −0.053 −0.064 −0.073 −0.075 −0.060 0
30 0 −0.006 −0.012 −0.020 −0.026 −0.038 −0.048 −0.057 −0.061 −0.050 0

50 0 −0.003 −0.006 −0.010 −0.015 −0.022 −0.031 −0.040 −0.045 −0.039 0
771
772
Table A.4-3 Uniformly distributed load M

t n
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0 0.137 0.135 0.129 0.120 0.108 0.093 0.075 0.055 0.034 0.014 0
1 0.103 0.101 0.097 0.089 0.079 0.066 0.052 0.036 0.020 0.006 0
2 0.096 0.095 0.091 0.084 0.074 0.063 0.049 0.034 0.019 0.006 0
3 0.090 0.089 0.085 0.079 0.070 0.059 0.046 0.032 0.018 0.006 0
5 0.080 0.079 0.076 0.070 0.063 0.053 0.042 0.029 0.016 0.005 0
7 0.072 0.071 0.068 0.063 0.057 0.048 0.038 0.027 0.015 0.005 0
10 0.063 0.062 0.059 0.055 0.050 0.042 0.034 0.024 0.013 0.004 0
15 0.051 0.050 0.049 0.046 0.041 0.036 0.028 0.020 0.011 0.004 0
20 0.043 0.043 0.041 0.039 0.035 0.031 0.025 0.018 0.010 0.003 0
30 0.033 0.033 0.032 0.030 0.028 0.024 0.020 0.015 0.009 0.003 0
50 0.022 0.021 0.021 0.020 0.019 0.017 0.014 0.011 0.007 0.002 0
Table A.5 Coefficients of r, Q and M for the foundation beam under concentrated load
Conversion formula
P
r¼r
l
Q ¼ QP
M ¼ MPl
773
Table A.5-1 a t ¼ 0 concentrated load r
774
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 – 0.73 0.53 0.46 0.40 0.37 0.35 0.33 0.32 0.32 0.32 0.0
0.1 – 0.60 0.45 0.38 0.35 0.33 0.32 0.31 0.31 0.31 0.32 −0.1
0.2 – 0.47 0.36 0.32 0.30 0.29 0.29 0.29 0.30 0.31 0.32 −0.2
0.3 – 0.34 0.28 0.26 0.25 0.26 0.26 0.27 0.29 0.30 0.32 −0.3
0.4 – 0.20 0.19 0.20 0.21 0.22 0.24 0.25 0.27 0.29 0.32 −0.4
0.5 – 0.07 0.11 0.13 0.16 0.18 0.21 0.23 0.26 0.29 0.32 −0.5
0.6 – −0.06 0.02 0.07 0.11 0.15 0.18 0.21 0.25 0.28 0.32 −0.6
0.7 – −0.19 −0.06 −0.01 0.06 0.11 0.15 0.19 0.23 0.27 0.32 −0.7
0.8 – −0.32 −0.15 −0.05 0.02 0.07 0.12 0.17 0.22 0.27 0.32 −0.8
0.9 – −0.45 −0.23 −0.12 −0.03 0.04 0.10 0.15 0.21 0.26 0.32 −0.9
1.0 – −0.58 −0.32 −0.18 −0.08 0.00 0.07 0.13 0.19 0.26 0.32 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
Table A.5-1 a (continued)
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.32 0.32 0.33 0.35 0.37 0.40 0.45 0.53 0.73 – 0.0
0.1 0.33 0.34 0.35 0.37 0.40 0.45 0.51 0.61 0.86 – −0.1
0.2 0.33 0.35 0.37 0.40 0.44 0.49 0.57 0.70 0.99 – −0.2
0.3 0.34 0.36 0.39 0.43 0.48 0.54 0.63 0.78 1.12 – −0.3
0.4 0.35 0.38 0.41 0.46 0.51 0.59 0.69 0.87 1.26 – −0.4
0.5 0.35 0.39 0.43 0.49 0.55 0.64 0.76 0.95 1.39 – −0.5
0.6 0.30 0.40 0.45 0.51 0.59 0.68 0.82 1.04 1.52 – −0.6
0.7 0.36 0.42 0.47 0.54 0.62 0.73 0.88 1.12 1.65 – −0.7
0.8 0.37 0.43 0.49 0.57 0.66 0.78 0.94 1.21 1.78 – −0.8
0.9 0.38 0.44 0.51 0.60 0.70 0.83 1.01 1.29 1.91 – −0.9
1.0 0.38 0.45 0.53 0.63 0.73 0.87 1.07 1.38 2.04 – −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
775
Table A.5-1 b t ¼ 0 concentrated load Q
776
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 0 0.14 0.20 0.25 0.29 0.33 0.37 0.40 0.44 0.47 0.50* 0.0
0.1 0 0.12 0.17 0.21 0.24 0.28 0.31 0.34 0.37 0.40 0.44 −0.1
0.2 0 0.09 0.13 0.16 0.19 0.22 0.25 0.28 0.31 0.34 0.37 −0.2
0.3 0 0.06 0.09 0.12 0.14 0.17 0.19 0.22 0.25 0.28 0.31 −0.3
0.4 0 0.03 0.05 0.07 0.09 0.11 0.14 0.16 0.19 0.21 0.24 −0.4
0.5 0 0.00 0.01 0.03 0.04 0.06 0.08 0.10 0.12 0.15 0.18 −0.5
0.6 0 −0.02 −0.02 −0.02 −0.01 0.00 0.02 0.04 0.06 0.09 0.12 −0.6
0.7 0 −0.05 −0.06 −0.06 −0.06 −0.05 −0.04 −0.02 0.00 0.02 0.05 −0.7
0.8 0 −0.08 −0.10 −0.11 −0.11 −0.11 −0.11 −0.08 −0.06 −0.04 −0.01 −0.8
0.9 0 −0.11 −0.14 −0.16 −0.16 −0.16 −0.16 −0.14 −0.13 −0.10 −0.07 −0.9
1.0 0 −0.13 −0.18 −0.20 −0.21 −0.22 −0.21 −0.20 −0.19 −0.16 −0.14 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
Table A.5-1 b (continued)
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 −0.47 −0.44 −0.40 −0.37 −0.33 −0.29 −0.25 −0.20 −0.14 0 0.0
0.1 0.47* −0.50 −0.46 −0.43 −0.39 −0.35 −0.30 −0.24 −0.17 0 −0.1
0.2 0.40 0.44* −0.52 −0.49 −0.44 −0.40 −0.34 −0.28 −0.20 0 −0.2
0.3 0.34 0.38 0.42* −0.54 −0.50 −0.45 −0.39 −0.32 −0.23 0 −0.3
0.4 0.28 0.31 0.35 0.40* −0.55 −0.50 −0.43 −0.36 −0.26 0 −0.4
0.5 0.21 0.25 0.29 0.34 0.39* −0.55 −0.48 −0.40 −0.28 0 −0.5
0.6 0.15 0.19 0.23 0.28 0.34 0.40* −0.53 −0.43 −0.31 0 −0.6
0.7 0.09 0.13 0.17 0.22 0.28 0.35 0.43* −0.47 −0.34 0 −0.7
0.8 −0.02 0.06 0.11 0.16 0.23 0.30 0.38 0.49* −0.37 0 −0.8
0.9 −0.04 0.00 0.05 0.11 0.17 0.25 0.24 0.45 0.61* 0 −0.9
1.0 −0.10 −0.06 −0.01 0.05 0.11 0.20 0.29 0.41 0.58 0 −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
777
Table A.5-1 c t ¼ 0 concentrated load M
778
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 0 0.01 0.03 0.05 0.08 0.11 0.14 0.18 0.22 0.27 0.32 0.0
0.1 0 0.01 0.02 0.04 0.06 0.09 0.12 0.15 0.19 0.23 0.27 −0.1
0.2 0 0.01 0.02 0.03 0.05 0.07 0.09 0.12 0.15 0.18 0.22 −0.2
0.3 0 0.00 0.01 0.02 0.03 0.05 0.07 0.09 0.11 0.14 0.17 −0.3
0.4 0 0.00 0.01 0.01 0.02 0.03 0.04 0.06 0.07 0.09 0.12 −0.4
0.5 0 0.00 0.00 0.00 0.01 0.01 0.02 0.03 0.04 0.05 0.07 −0.5
0.6 0 0.00 0.00 −0.01 −0.01 −0.01 −0.01 −0.01 0.00 0.01 0.02 −0.6
0.7 0 0.00 −0.01 −0.02 −0.02 −0.03 −0.03 −0.04 −0.04 −0.04 −0.03 −0.7
0.8 0 −0.01 −0.01 −0.02 −0.04 −0.05 −0.06 −0.07 −0.07 −0.08 −0.08 −0.8
0.9 0 −0.01 −0.02 −0.03 −0.05 −0.07 −0.08 −0.10 −0.11 −0.12 −0.13 −0.9
1.0 0 −0.01 −0.02 −0.04 −0.06 −0.09 −0.11 −0.13 −0.15 −0.17 −0.18 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
Table A.5-1 c (continued)
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.27 0.22 0.18 0.14 0.11 0.08 0.05 0.03 0.01 0 0.0
0.1 0.31 0.26 0.21 0.17 0.13 0.09 0.06 0.03 0.01 0 −0.1
0.2 0.26 0.30 0.24 0.19 0.15 0.11 0.07 0.04 0.01 0 −0.2
0.3 0.20 0.24 0.28 0.22 0.17 0.12 0.08 0.04 0.01 0 −0.3
0.4 0.14 0.17 0.21 0.24 0.19 0.13 0.09 0.05 0.02 0 −0.4
0.5 0.09 0.11 0.14 0.17 0.21 0.15 0.10 0.05 0.02 0 −0.5
0.6 0.03 0.05 0.07 0.09 0.13 0.16 0.11 0.06 0.02 0 −0.6
0.7 −0.02 −0.01 0.00 0.02 0.05 0.08 0.12 0.06 0.02 0 −0.7
0.8 −0.08 −0.08 −0.07 −0.05 −0.03 −0.01 −0.02 0.07 0.02 0 −0.8
0.9 −0.14 −0.14 −0.14 −0.13 −0.11 −0.09 −0.06 −0.03 0.03 0 −0.9
1.0 −0.19 −0.20 −0.20 −0.20 −0.20 −0.18 −0.16 −0.12 −0.07 0 −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
779
780
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 – 0.78 0.57 0.47 0.43 0.41 0.39 0.39 0.39 0.39 0.39 0.0
0.1 – 0.62 0.46 0.40 0.37 0.36 0.36 0.36 0.37 0.38 0.39 −0.1
0.2 – 0.45 0.37 0.33 0.31 0.31 0.32 0.33 0.35 0.37 0.38 −0.2
0.3 – 0.30 0.26 0.25 0.25 0.27 0.28 0.30 0.32 0.35 0.37 −0.3
0.4 – 0.15 0.15 0.17 0.20 0.22 0.24 0.27 0.30 0.33 0.36 −0.4
0.5 – 0.00 0.05 0.09 0.14 0.17 0.21 0.24 0.27 0.31 0.35 −0.5
0.6 – −0.15 −0.04 −0.02 0.08 0.12 0.17 0.21 0.25 0.29 0.34 −0.6
0.7 – −0.30 −0.15 −0.05 0.02 0.08 0.13 0.18 0.22 0.27 0.32 −0.7
0.8 – −0.45 −0.25 −0.13 −0.04 0.03 0.09 0.15 0.20 0.25 0.31 −0.8
0.9 – −0.59 −0.32 −0.20 −0.09 −0.01 0.05 0.11 0.17 0.23 0.30 −0.9
1.0 – −0.73 −0.45 −0.27 −0.15 −0.06 0.02 0.08 0.15 0.21 0.28 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.39 0.39 0.39 0.39 0.41 0.43 0.47 0.57 0.78 – 0.0
0.1 0.40 0.41 0.42 0.43 0.46 0.49 0.56 0.69 1.04 – −0.1
0.2 0.40 0.43 0.45 0.47 0.50 0.56 0.65 0.82 1.11 – −0.2
0.3 0.40 0.43 0.47 0.50 0.55 0.63 0.73 0.93 1.29 – −0.3
0.4 0.40 0.44 0.48 0.53 0.59 0.68 0.80 1.03 1.48 – −0.4
0.5 0.39 0.44 0.49 0.56 0.63 0.74 0.89 1.16 1.66 – −0.5
0.6 0.39 0.44 0.50 0.58 0.67 0.80 0.98 1.29 1.85 – −0.6
0.7 0.38 0.44 0.51 0.60 0.70 0.85 1.07 1.42 2.05 – −0.7
0.8 0.37 0.44 0.52 0.63 0.74 0.90 1.14 1.54 2.25 – −0.8
0.9 0.36 0.44 0.53 0.63 0.77 0.95 1.22 1.64 2.46 – −0.9
1.0 0.36 0.44 0.54 0.65 0.80 1.00 1.30 1.79 2.66 – −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
781
782
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 0 0.10 0.16 0.22 0.26 0.30 0.34 0.38 0.42 0.46 0.50* 0.0
0.1 0 0.08 0.13 0.17 0.21 0.25 0.28 0.32 0.35 0.39 0.43 −0.1
0.2 0 0.05 0.09 0.13 0.16 0.19 0.22 0.25 0.29 0.33 0.36 −0.2
0.3 0 0.03 0.06 0.08 0.10 0.14 0.17 0.20 0.23 0.26 0.30 −0.3
0.4 0 0.02 0.03 0.05 0.07 0.09 0.11 0.14 0.16 0.20 0.23 −0.4
0.5 0 0.00 0.00 0.01 0.02 0.03 0.05 0.08 0.10 0.13 0.16 −0.5
0.6 0 −0.02 −0.03 −0.03 −0.03 −0.02 0.00 0.02 0.04 0.07 0.10 −0.6
0.7 0 −0.04 −0.06 −0.07 −0.07 −0.07 −0.06 −0.04 −0.02 0.00 0.03 −0.7
0.8 0 −0.06 −0.09 −0.11 −0.12 −0.12 −0.11 −0.10 −0.08 −0.06 −0.03 −0.8
0.9 0 −0.08 −0.12 −0.15 −0.17 −0.17 −0.17 −0.16 −0.14 −0.12 −0.10 −0.9
1.0 0 −0.10 −0.15 −0.19 −0.21 −0.22 −0.22 −0.22 −0.21 −0.19 −0.16 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.46 −0.42 −0.38 −0.34 −0.30 −0.26 −0.22 −0.16 −0.10 0 0.0
0.1 0.47* −0.49 −0.45 −0.40 −0.36 −0.31 −0.26 −0.20 −0.11 0 −0.1
0.2 0.40 0.45* −0.51 −0.47 −0.42 −0.36 −0.30 −0.23 −0.14 0 −0.2
0.3 0.34 0.38 0.42* −0.53 −0.48 −0.42 −0.35 −0.27 −0.16 0 −0.3
0.4 0.27 0.31 0.36 0.41* −0.54 −0.47 −0.40 −0.31 −0.19 0 −0.4
0.5 0.20 0.24 0.29 0.34 0.40* −0.53 −0.45 −0.35 −0.21 0 −0.5
0.6 0.13 0.17 0.22 0.28 0.34 0.41* −0.50 −0.39 −0.23 0 −0.6
0.7 0.07 0.11 0.16 0.21 0.28 0.35 0.45* −0.42 −0.26 0 −0.7
0.8 0.00 0.04 0.09 0.15 0.21 0.30 0.40 0.53* −0.28 0 −0.8
0.9 −0.07 −0.02 0.02 0.08 0.15 0.24 0.34 0.49 0.69* 0 −0.9
1.0 −0.13 −0.09 −0.04 0.02 0.09 0.18 0.29 0.44 0.66 0 −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
783
784
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 0 0.01 0.02 0.04 0.06 0.09 0.12 0.16 0.20 0.24 0.29 0.0
0.1 0 0.00 0.01 0.03 0.05 0.07 0.10 0.13 0.16 0.20 0.24 −0.1
0.2 0 0.00 0.01 0.02 0.04 0.05 0.08 0.10 0.13 0.16 0.19 −0.2
0.3 0 0.00 0.01 0.01 0.02 0.04 0.05 0.07 0.09 0.11 0.14 −0.3
0.4 0 0.00 0.00 0.01 0.01 0.02 0.03 0.04 0.06 0.07 0.10 −0.4
0.5 0 0.00 0.00 0.00 0.00 0.00 0.01 0.01 0.02 0.03 0.05 −0.5
0.6 0 0.00 0.00 −0.01 −0.02 −0.01 −0.01 −0.01 −0.01 0.00 0.00 −0.6
0.7 0 0.00 −0.01 −0.01 −0.02 −0.03 −0.03 −0.04 −0.04 −0.04 −0.04 −0.7
0.8 0 0.00 −0.01 −0.02 −0.03 −0.04 −0.06 −0.07 −0.08 −0.08 −0.09 −0.8
0.9 0 0.00 −0.01 −0.03 −0.04 −0.06 −0.08 −0.09 −0.11 −0.12 −0.13 −0.9
1.0 0 0.00 −0.02 −0.03 −0.05 −0.08 −0.10 −0.12 −0.14 −0.16 −0.18 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.24 0.20 0.16 0.12 0.09 0.06 0.04 0.02 0.01 0 0.0
0.1 0.29 0.23 0.19 0.15 0.11 0.07 0.04 0.02 0.01 0 −0.1
0.2 0.23 0.27 0.22 0.17 0.12 0.09 0.05 0.03 0.01 0 −0.2
0.3 0.17 0.21 0.25 0.19 0.14 0.10 0.06 0.03 0.01 0 −0.3
0.4 0.12 0.15 0.18 0.22 0.16 0.11 0.07 0.03 0.01 0 −0.4
0.5 0.07 0.09 0.12 0.15 0.18 0.13 0.08 0.04 0.01 0 −0.5
0.6 0.01 0.03 0.05 0.07 0.11 0.14 0.09 0.04 0.01 0 −0.6
0.7 −0.04 −0.03 −0.02 0.00 0.03 0.06 0.10 0.05 0.01 0 −0.7
0.8 −0.09 −0.09 −0.08 −0.07 −0.05 −0.03 0.01 0.05 0.02 0 −0.8
0.9 −0.14 −0.15 −0.15 −0.14 −0.13 −0.11 −0.08 −0.04 0.02 0 −0.9
1.0 −0.20 −0.21 −0.21 −0.21 −0.21 −0.20 −0.17 −0.14 −0.08 0 −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
785
786
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 – 0.64 0.47 0.42 0.42 0.43 0.44 0.46 0.47 0.49 0.50 0.0
0.1 – 0.48 0.38 0.36 0.36 0.38 0.39 0.42 0.44 0.47 0.49 −0.1
0.2 – 0.33 0.21 0.31 0.31 0.33 0.35 0.38 0.41 0.44 0.47 −0.2
0.3 – 0.20 0.22 0.25 0.25 0.28 0.31 0.34 0.37 0.41 0.44 −0.3
0.4 – 0.08 0.11 0.19 0.19 0.22 0.26 0.29 0.33 0.37 0.41 −0.4
0.5 – −0.04 0.02 0.13 0.13 0.17 0.21 0.25 0.29 0.33 0.38 −0.5
0.6 – −0.16 −0.06 0.07 0.07 0.12 0.16 0.21 0.25 0.29 0.34 −0.6
0.7 – −0.28 −0.14 0.02 0.02 0.07 0.12 0.16 0.27 0.26 0.31 −0.7
0.8 – −0.39 −0.22 −0.04 −0.04 0.02 0.07 0.12 0.17 0.22 0.27 −0.8
0.9 – −0.50 −0.30 −0.09 −0.09 −0.03 0.03 0.08 0.12 0.18 0.23 −0.9
1.0 – −0.61 −0.39 −0.15 −0.15 −0.08 −0.02 0.03 0.08 0.14 0.20 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.49 0.47 0.46 0.44 0.43 0.42 0.42 0.47 0.64 – 0.0
0.1 0.50 0.50 0.50 0.49 0.49 0.50 0.54 0.62 0.80 – −0.1
0.2 0.50 0.52 0.53 0.54 0.55 0.58 0.65 0.81 0.96 – −0.2
0.3 0.48 0.52 0.54 0.57 0.60 0.64 0.72 0.87 1.16 – −0.3
0.4 0.45 0.50 0.54 0.59 0.64 0.69 0.78 0.97 1.37 – −0.4
0.5 0.43 0.48 0.54 0.60 0.67 0.76 0.89 1.12 1.58 – −0.5
0.6 0.40 0.46 0.53 0.61 0.70 0.82 1.00 1.28 1.81 – −0.6
0.7 0.37 0.43 0.51 0.60 0.72 0.87 1.09 1.44 2.05 – −0.7
0.8 0.33 0.40 0.49 0.59 0.72 0.90 1.16 1.58 2.31 – −0.8
0.9 0.30 0.38 0.47 0.58 0.73 0.93 1.23 1.72 2.57 – −0.9
1.0 0.27 0.35 0.45 0.58 0.74 0.97 1.31 1.86 2.83 – −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
787
788
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 0 0.09 0.14 0.18 0.22 0.27 0.31 0.36 0.40 0.45 0.50* 0.0
0.1 0 0.06 0.10 0.14 0.17 0.21 0.25 0.29 0.33 0.38 0.43 −0.1
0.2 0 0.03 0.07 0.10 0.13 0.16 0.19 0.23 0.27 0.31 0.36 −0.2
0.3 0 0.02 0.04 0.06 0.09 0.11 0.14 0.17 0.21 0.25 0.29 −0.3
0.4 0 0.01 0.02 0.03 0.05 0.07 0.09 0.12 0.15 0.18 0.22 −0.4
0.5 0 −0.01 −0.01 0.00 0.01 0.02 0.04 0.06 0.09 0.12 0.16 −0.5
0.6 0 −0.02 −0.03 −0.03 −0.03 −0.02 −0.01 0.01 0.03 0.06 0.09 −0.6
0.7 0 −0.04 −0.06 −0.07 −0.07 −0.06 −0.05 −0.04 −0.02 0.00 0.03 −0.7
0.8 0 −0.05 −0.08 −0.10 −0.10 −0.10 −0.10 −0.09 −0.08 −0.06 −0.03 −0.8
0.9 0 −0.06 −0.10 −0.13 −0.14 −0.15 −0.15 −0.14 −0.13 −0.12 −0.09 −0.9
1.0 0 −0.08 −0.13 −0.17 −0.18 −0.19 −0.19 −0.19 −0.19 −0.17 −0.16 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 −0.45 −0.40 −0.36 −0.31 −0.27 −0.22 −0.18 −0.14 −0.09 0 0.0
0.1 0.48* −0.47 −0.42 −0.37 −0.32 −0.27 −0.20 −0.17 −0.10 0 −0.1
0.2 0.41 0.46* −0.49 −0.44 −0.38 −0.33 −0.26 −0.19 −0.11 0 −0.2
0.3 0.34 0.39 0.44* −0.50 −0.45 −0.39 −0.32 −0.24 −0.14 0 −0.3
0.4 0.27 0.31 0.37 0.42* −0.51 −0.45 −0.37 −0.29 −0.17 0 −0.4
0.5 0.20 0.24 0.29 0.35 0.41* −0.51 −0.43 −0.33 −0.20 0 −0.5
0.6 0.13 0.17 0.22 0.28 0.34 0.42* 0.49 −0.38 −0.23 0 −0.6
0.7 0.06 0.10 0.15 0.20 0.27 0.35 0.45* −0.43 −0.26 0 −0.7
0.8 0.00 0.03 0.08 0.13 0.20 0.28 0.38 0.52* −0.29 0 −0.8
0.9 −0.07 −0.03 0.01 0.06 0.13 0.21 0.32 0.46 0.67* 0 −0.9
1.0 −0.13 −0.10 −0.06 −0.01 0.05 0.14 0.24 0.41 0.64 0 −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
789
790
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 0 0.01 0.02 0.03 0.05 0.08 0.11 0.14 0.18 0.22 0.27 0.0
0.1 0 0.00 0.01 0.02 0.04 0.06 0.08 0.11 0.14 0.18 0.22 −0.1
0.2 0 0.00 0.00 0.01 0.02 0.04 0.06 0.08 0.10 0.13 0.17 −0.2
0.3 0 0.00 0.00 0.01 0.02 0.03 0.04 0.05 0.07 0.10 0.12 −0.3
0.4 0 0.00 0.00 0.00 0.01 0.01 0.02 0.03 0.04 0.06 0.08 −0.4
0.5 0 0.00 0.00 0.00 0.00 0.00 0.00 0.01 0.02 0.03 0.04 −0.5
0.6 0 0.00 0.00 −0.01 −0.01 −0.02 −0.01 −0.01 −0.01 −0.01 0.00 −0.6
0.7 0 0.00 −0.01 −0.01 −0.02 −0.03 −0.03 −0.04 −0.04 −0.04 −0.04 −0.7
0.8 0 0.00 −0.01 −0.02 −0.03 −0.04 −0.05 −0.06 −0.07 −0.07 −0.08 −0.8
0.9 0 0.00 −0.01 −0.02 −0.04 −0.05 −0.07 −0.08 −0.09 −0.11 −0.12 −0.9
1.0 0 0.00 −0.01 −0.03 −0.05 −0.06 −0.08 −0.10 −0.12 −0.14 −0.16 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.22 0.18 0.14 0.11 0.08 0.05 0.03 0.02 0.00 0 0.0
0.1 0.26 0.21 0.17 0.13 0.09 0.06 0.04 0.02 0.00 0 −0.1
0.2 0.20 0.25 0.20 0.15 0.11 0.07 0.04 0.02 0.01 0 −0.2
0.3 0.15 0.19 0.23 0.18 0.13 0.09 0.05 0.03 0.01 0 −0.3
0.4 0.11 0.14 0.17 0.21 0.15 0.11 0.07 0.03 0.01 0 −0.4
0.5 0.06 0.08 0.11 0.14 0.18 0.12 0.08 0.04 0.01 0 −0.5
0.6 0.01 0.03 0.05 0.07 0.10 0.14 0.09 0.04 0.01 0 −0.6
0.7 −0.03 −0.03 −0.01 0.00 0.03 0.06 0.10 0.05 0.01 0 −0.7
0.8 −0.08 −0.08 −0.07 −0.06 −0.05 −0.02 0.01 0.05 0.02 0 −0.8
0.9 −0.12 −0.13 −0.13 −0.13 −0.12 −0.10 −0.08 −0.04 0.02 0 −0.9
1.0 −0.17 −0.18 −0.19 −0.19 −0.19 −0.18 −0.16 −0.13 −0.08 0 −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
791
792
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 – 0.53 0.38 0.38 0.41 0.44 0.47 0.51 0.54 0.57 0.58 0.0
0.1 – 0.28 0.31 0.32 0.35 0.39 0.42 0.46 0.50 0.54 0.57 −0.1
0.2 – 0.24 0.27 0.29 0.30 0.33 0.37 0.41 0.45 0.49 0.54 −0.2
0.3 – 0.13 0.19 0.22 0.24 0.28 0.32 0.36 0.40 0.45 0.49 −0.3
0.4 – 0.03 0.08 0.13 0.18 0.22 0.26 0.31 0.35 0.40 0.45 −0.4
0.5 – −0.07 −0.01 0.06 0.12 0.17 0.21 0.25 0.30 0.35 0.40 −0.5
0.6 – −0.16 −0.07 0.00 0.06 0.11 0.16 0.20 0.25 0.29 0.35 −0.6
0.7 – −0.25 −0.13 −0.05 0.01 0.06 0.11 0.15 0.19 0.24 0.29 −0.7
0.8 – −0.34 −0.20 −0.10 −0.04 0.01 0.06 0.10 0.14 0.19 0.24 −0.8
0.9 – −0.42 −0.27 −0.16 −0.09 −0.04 0.01 0.05 0.09 0.13 0.19 −0.9
1.0 – −0.51 −0.33 −0.22 −0.14 −0.09 −0.04 0.00 0.04 0.08 0.13 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.57 0.54 0.51 0.47 0.44 0.41 0.38 0.38 0.53 – 0.0
0.1 0.58 0.58 0.56 0.53 0.51 0.50 0.51 0.56 0.68 – −0.1
0.2 0.57 0.59 0.60 0.59 0.58 0.59 0.65 0.74 0.85 – −0.2
0.3 0.54 0.58 0.61 0.62 0.63 0.65 0.71 0.84 1.05 – −0.3
0.4 0.50 0.55 0.60 0.64 0.68 0.71 0.76 0.91 1.28 – −0.4
0.5 0.45 0.51 0.58 0.64 0.71 0.78 0.89 1.08 1.51 – −0.5
0.6 0.40 0.41 0.54 0.63 0.73 0.85 1.02 1.28 1.76 – −0.6
0.7 0.35 0.42 0.51 0.60 0.73 0.88 1.11 1.45 2.05 – −0.7
0.8 0.30 0.37 0.46 0.57 0.71 0.90 1.17 1.61 2.36 – −0.8
0.9 0.25 0.33 0.42 0.54 0.70 0.92 1.24 1.76 2.67 – −0.9
1.0 0.20 0.28 0.38 0.52 0.69 0.94 1.31 1.91 2.97 – −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
793
794
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 0 0.05 0.12 0.16 0.20 0.24 0.28 0.33 0.39 0.44 0.50* 0.0
0.1 0 0.05 0.08 0.11 0.15 0.18 0.22 0.27 0.32 0.37 0.42 −0.1
0.2 0 0.02 0.05 0.07 0.10 0.14 0.17 0.21 0.25 0.30 0.35 −0.2
0.3 0 0.01 0.02 0.04 0.07 0.09 0.12 0.16 0.19 0.24 0.28 −0.3
0.4 0 0.00 0.01 0.02 0.03 0.05 0.08 0.11 0.14 0.18 0.22 −0.4
0.5 0 −0.01 −0.01 −0.01 0.00 0.01 0.03 0.06 0.08 0.11 0.15 −0.5
0.6 0 −0.02 −0.03 −0.04 −0.03 −0.02 −0.01 0.01 0.03 0.06 0.09 −0.6
0.7 0 −0.03 −0.05 −0.06 −0.06 −0.06 −0.05 −0.04 −0.02 0.00 0.03 −0.7
0.8 0 −0.06 −0.07 −0.09 −0.09 −0.09 −0.09 −0.08 −0.07 −0.05 −0.03 −0.8
0.9 0 −0.05 −0.09 −0.11 −0.12 −0.13 −0.13 −0.13 −0.12 −0.11 −0.09 −0.9
1.0 0 −0.05 −0.11 −0.13 −0.15 −0.16 −0.17 −0.17 −0.17 −0.16 −0.15 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.44 −0.39 −0.33 −0.28 −0.24 −0.20 −0.16 −0.12 −0.05 0 0.0
0.1 0.48* −0.46 −0.40 −0.35 −0.30 −0.24 −0.19 −0.14 −0.09 0 −0.1
0.2 0.41 0.47* −0.47 −0.41 −0.36 −0.30 −0.24 −0.17 −0.09 0 −0.2
0.3 0.34 0.39 0.45* −0.49 −0.42 −0.36 −0.29 −0.21 −0.12 0 −0.3
0.4 0.27 0.32 0.38 0.44* −0.50 −0.43 −0.35 −0.27 −0.16 0 −0.4
0.5 0.19 0.24 0.30 0.36 0.43* −0.50 −0.42 −0.32 −0.19 0 −0.5
0.6 0.13 0.17 0.22 0.28 0.35 0.43* −0.48 −0.37 −0.22 0 −0.6
0.7 0.06 0.10 0.14 0.20 0.27 0.35 0.45* −0.43 −0.26 0 −0.7
0.8 0.00 0.02 0.07 0.12 0.19 0.27 0.37 0.51* −0.30 0 −0.8
0.9 −0.07 −0.04 0.00 0.04 0.11 0.19 0.29 0.44 0.66* 0 −0.9
1.0 −0.14 −0.11 −0.08 −0.03 0.03 0.11 0.22 0.38 0.62 0 −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
795
796
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 0 0.00 0.01 0.03 0.05 0.07 0.09 0.12 0.16 0.20 0.25 0.0
0.1 0 0.00 0.01 0.02 0.03 0.05 0.07 0.09 0.12 0.16 0.20 −0.1
0.2 0 0.00 0.00 0.01 0.02 0.03 0.05 0.06 0.09 0.12 0.15 −0.2
0.3 0 0.00 0.00 0.00 0.01 0.02 0.03 0.04 0.06 0.08 0.11 −0.3
0.4 0 0.00 0.00 0.00 0.00 0.01 0.01 0.02 0.04 0.05 0.07 −0.4
0.5 0 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.01 0.02 0.03 −0.5
0.6 0 0.00 0.00 −0.01 −0.01 −0.01 −0.02 −0.02 −0.04 −0.01 0.00 −0.6
0.7 0 0.00 −0.01 −0.01 −0.02 −0.02 −0.03 −0.03 −0.04 −0.04 −0.04 −0.7
0.8 0 0.00 −0.01 −0.02 −0.02 −0.03 −0.04 −0.05 −0.06 −0.07 −0.07 −0.8
0.9 0 0.00 −0.01 −0.02 −0.03 −0.04 −0.06 −0.07 −0.08 −0.09 −0.10 −0.9
1.0 0 0.00 −0.01 −0.02 −0.04 −0.05 −0.07 −0.08 −0.10 −0.12 −0.14 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.20 0.16 0.12 0.09 0.07 0.05 0.03 0.01 0.00 0 0.0
0.1 0.14 0.19 0.15 0.11 0.08 0.05 0.03 0.02 0.00 0 −0.1
0.2 0.19 0.23 0.18 0.13 0.10 0.06 0.04 0.02 0.00 0 −0.2
0.3 0.14 0.17 0.22 0.16 0.12 0.08 0.05 0.02 0.01 0 −0.3
0.4 0.10 0.12 0.16 0.20 0.15 0.10 0.06 0.03 0.01 0 −0.4
0.5 0.05 0.07 0.10 0.13 0.17 0.12 0.07 0.04 0.01 0 −0.5
0.6 0.01 0.02 0.04 0.07 0.10 0.14 0.08 0.04 0.01 0 −0.6
0.7 −0.03 −0.02 −0.01 0.00 0.03 0.06 0.10 0.05 0.01 0 −0.7
0.8 −0.07 −0.07 −0.07 −0.06 −0.04 −0.02 0.01 0.06 0.02 0 −0.8
0.9 −0.11 −0.12 −0.12 −0.12 −0.11 −0.10 −0.07 −0.04 0.02 0 −0.9
1.0 −0.15 −0.16 −0.17 −0.18 −0.18 −0.17 −0.16 −0.13 −0.08 0 −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
797
798
Table A.6 Coefficients of r, Q and M for the foundation beam under bending moment
Conversion formula:
m
r ¼ r 2
l
m
Q¼Q
l
M ¼ Mm
Table A.6-1 a t ¼ 1 bending moment r
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 – −1.64 −1.24 −0.83 −0.62 −0.48 −0.38 −0.29 −0.21 −0.11 0.00 0.0
0.1 – −1.49 −0.96 −0.70 −0.57 −0.46 −0.36 −0.28 −0.20 −0.13 −0.04 −0.1
0.2 – −1.59 −1.00 −0.73 −0.57 −0.47 −0.37 −0.30 −0.22 −0.16 −0.08 −0.2
0.3 – −1.52 −1.08 −0.81 −0.59 −0.47 −0.38 −0.31 −0.24 −0.18 −0.11 −0.3
0.4 – −1.50 −1.08 −0.79 −0.59 −0.47 −0.39 −0.32 −0.25 −0.19 −0.12 −0.4
0.5 – −1.48 −1.08 −0.79 −0.60 −0.47 −0.39 −0.32 −0.26 −0.19 −0.13 −0.5
0.6 – −1.49 −1.00 −0.74 −0.58 −0.47 −0.38 −0.31 −0.25 −0.20 −0.14 −0.6
0.7 – −1.47 −1.00 −0.72 −0.57 −0.46 −0.38 −0.31 −0.25 −0.20 −0.14 −0.7
0.8 – −1.47 −1.00 −0.74 −0.57 −0.46 −0.38 −0.31 −0.25 −0.20 −0.14 −0.8
0.9 – −1.47 −1.00 −0.74 −0.57 −0.46 −0.38 −0.31 −0.25 −0.20 −0.14 −0.9
1.0 – −1.47 −1.00 −0.74 −0.57 −0.46 −0.38 −0.31 −0.25 −0.20 −0.14 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
799
800
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.11 0.21 0.29 0.38 0.48 0.62 0.83 1.24 1.64 – 0.0
0.1 0.07 0.19 0.29 0.39 0.50 0.66 0.93 1.30 1.81 – −0.1
0.2 0.01 0.12 0.22 0.35 0.47 0.62 0.83 1.18 1.73 – −0.2
0.3 −0.04 0.05 0.16 0.30 0.44 0.57 0.75 1.04 1.84 – −0.3
0.4 −0.06 0.02 0.13 0.26 0.42 0.59 0.81 1.15 1.86 – −0.4
0.5 −0.06 0.01 0.11 0.23 0.39 0.60 0.87 1.25 1.89 – −0.5
0.6 −0.07 0.01 0.10 0.21 0.36 0.57 0.88 1.31 1.94 – −0.6
0.7 −0.07 0.00 0.08 0.19 0.32 0.51 0.78 1.25 2.01 – −0.7
0.8 −0.08 −0.01 0.08 0.19 0.31 0.50 0.78 1.23 2.03 – −0.8
0.9 −0.08 −0.01 0.08 0.18 0.31 0.50 0.78 1.23 2.03 – −0.9
1.0 −0.08 −0.01 0.08 0.18 0.31 0.50 0.78 1.23 2.03 – −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
Table A.6-1 b t ¼ 1 bending moment Q
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 0 −0.20 −0.34 −0.44 −0.51 −0.56 −0.61 −0.64 −0.66 −0.68 −0.69 0.0
0.1 0 −0.24 −0.36 −0.44 −0.51 −0.56 −0.60 −0.63 −0.66 −0.67 −0.68 −0.1
0.2 0 −0.31 −0.34 −0.42 −0.49 −0.54 −0.58 −0.62 −0.64 −0.66 −0.67 −0.2
0.3 0 −0.18 −0.31 −0.40 −0.47 −0.52 −0.56 −0.60 −0.63 −0.65 −0.66 −0.3
0.4 0 −0.18 −0.31 −0.40 −0.47 −0.52 −0.56 −0.60 −0.63 −0.65 −0.66 −0.4
0.5 0 −0.18 −0.31 −0.40 −0.46 −0.52 −0.56 −0.60 −0.62 −0.65 −0.66 −0.5
0.6 0 −0.19 −0.31 −0.40 −0.46 −0.52 −0.56 −0.59 −0.62 −0.64 −0.66 −0.6
0.7 0 −0.18 −0.31 −0.39 −0.46 −0.51 −0.55 −0.59 −0.61 −0.64 −0.65 −0.7
0.8 0 −0.18 −0.30 −0.39 −0.46 −0.51 −0.55 −0.58 −0.61 −0.63 −0.65 −0.8
0.9 0 −0.18 −0.30 −0.39 −0.46 −0.50 −0.55 −0.58 −0.61 −0.63 −0.65 −0.9
1.0 0 −0.18 −0.30 −0.39 −0.46 −0.50 −0.55 −0.58 −0.61 −0.63 −0.65 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
801
802
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 −0.68 −0.66 −0.64 −0.61 −0.56 −0.51 −0.44 −0.34 −0.20 0 0.0
0.1 −0.68 −0.67 −0.64 −0.61 −0.57 −0.51 −0.43 −0.34 −0.17 0 −0.1
0.2 −0.68 −0.67 −0.65 −0.62 −0.56 −0.53 −0.46 −0.36 −0.21 0 −0.2
0.3 −0.67 −0.67 −0.66 −0.64 −0.60 −0.55 −0.49 −0.40 −0.26 0 −0.3
0.4 −0.67 −0.67 −0.67 −0.65 −0.61 −0.56 −0.49 −0.40 −0.25 0 −0.4
0.5 −0.67 −0.68 −0.67 −0.65 −0.63 −0.57 −0.50 −0.40 −0.24 0 −0.5
0.6 −0.67 −0.67 −0.67 −0.65 −0.63 −0.58 −0.51 −0.40 −0.24 0 −0.6
0.7 −0.66 −0.67 −0.66 −0.65 −0.63 −0.58 −0.52 −0.42 −0.27 0 −0.7
0.8 −0.66 −0.67 −0.66 −0.65 −0.63 −0.59 −0.52 −0.43 −0.27 0 −0.8
0.9 −0.66 −0.67 −0.66 −0.65 −0.63 −0.59 −0.52 −0.43 −0.27 0 −0.9
1.0 −0.66 −0.67 −0.66 −0.65 −0.63 −0.59 −0.52 −0.43 −0.27 0 −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
Table A.6-1 c t ¼ 1 bending moment M
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 0 −0.01 −0.04 −0.08 −0.14 −0.18 −0.24 −0.30 −0.36 −0.43 −0.50* 0.0
0.1 0 −0.01 −0.04 −0.08 −0.13 −0.19 −0.25 −0.31 −0.37 −0.44 −0.51 −0.1
0.2 0 −0.01 −0.04 −0.08 −0.12 −0.18 −0.23 −0.29 −0.36 −0.42 −0.49 −0.2
0.3 0 −0.01 −0.03 −0.07 −0.11 −0.16 −0.22 −0.28 −0.33 −0.40 −0.48 −0.3
0.4 0 −0.01 −0.03 −0.07 −0.11 −0.16 −0.22 −0.27 −0.34 −0.40 −0.46 −0.4
0.5 0 −0.01 −0.03 −0.07 −0.11 −0.16 −0.21 −0.27 −0.33 −0.40 −0.46 −0.5
0.6 0 −0.01 −0.03 −0.07 −0.11 −0.16 −0.22 −0.27 −0.34 −0.40 −0.46 −0.6
0.7 0 −0.01 −0.03 −0.07 −0.11 −0.16 −0.21 −0.27 −0.33 −0.39 −0.46 −0.7
0.8 0 −0.01 −0.03 −0.07 −0.11 −0.16 −0.21 −0.27 −0.33 −0.39 −0.46 −0.8
0.9 0 −0.01 −0.03 −0.07 −0.11 −0.16 −0.21 −0.27 −0.33 −0.39 −0.46 −0.9
1.0 0 −0.01 −0.03 −0.07 −0.11 −0.16 −0.21 −0.27 −0.33 −0.39 −0.46 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
803
804
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.43 0.36 0.30 0.24 0.18 0.14 0.08 0.04 0.01 0 0.0
0.1 −0.57* 0.36 0.29 0.23 0.17 0.12 0.07 0.03 0.01 0 −0.1
0.2 −0.58 −0.62* 0.31 0.25 0.19 0.13 0.08 0.04 0.01 0 −0.2
0.3 −0.53 −0.61 −0.67* 0.27 0.20 0.16 0.09 0.05 0.02 0 −0.3
0.4 −0.53 −0.60 −0.67 −0.73* 0.20 0.16 0.09 0.05 0.01 0 −0.4
0.5 −0.53 −0.60 −0.66 −0.73 −0.80* 0.14 0.09 0.05 0.01 0 −0.5
0.6 −0.53 −0.60 −0.66 −0.73 −0.79 −0.86* 0.09 0.04 0.01 0 −0.6
0.7 −0.52 −0.59 −0.66 −0.72 −0.79 −0.85 −0.90* 0.05 0.01 0 −0.7
0.8 −0.52 −0.59 −0.66 −0.72 −0.79 −0.85 −0.90 −0.95* 0.01 0 −0.8
0.9 −0.52 −0.59 −0.66 −0.72 −0.79 −0.85 −0.90 −0.95 −0.99* 0 −0.9
1.0 −0.52 −0.59 −0.66 −0.72 −0.79 −0.85 −0.90 −0.95 −0.99 −1.0* −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 − −1.55 −1.22 −0.91 −0.69 −0.56 −0.48 −0.41 −0.31 −0.17 0.00 0.0
0.1 − −1.59 −0.63 −0.54 −0.53 −0.50 −0.42 −0.35 −0.31 −0.25 −0.13 −0.1
0.2 − −1.42 −0.77 −0.60 −0.55 −0.50 −0.44 −0.39 −0.36 −0.31 −0.24 −0.2
0.3 − −1.24 −1.05 −0.76 −0.62 −0.53 −0.48 −0.44 −0.40 −0.35 −0.30 −0.3
0.4 − −1.20 −1.01 −0.77 −0.61 −0.52 −0.48 −0.45 −0.41 −0.37 −0.33 −0.4
0.5 − −1.16 −1.03 −0.81 −0.63 −0.52 −0.48 −0.45 −0.43 −0.39 −0.35 −0.5
0.6 − −1.18 −0.81 −0.64 −0.56 −0.49 −0.46 −0.43 −0.41 −0.38 −0.35 −0.6
0.7 − −1.13 −0.81 −0.64 −0.55 −0.49 −0.46 −0.43 −0.41 −0.39 −0.36 −0.7
0.8 − −1.11 −0.81 −0.64 −0.55 −0.49 −0.46 −0.43 −0.41 −0.39 −0.36 −0.8
0.9 − −1.11 −0.81 −0.64 −0.55 −0.49 −0.46 −0.43 −0.41 −0.39 −0.36 −0.9
1.0 − −1.11 −0.81 −0.64 −0.55 −0.49 −0.46 −0.43 −0.41 −0.39 −0.36 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
805
806
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.17 0.31 0.41 0.48 0.56 0.69 0.91 1.22 1.55 − 0.0
0.1 0.05 0.25 0.41 0.50 0.60 0.80 1.23 1.65 1.56 − −0.1
0.2 −0.11 0.06 0.24 0.41 0.54 0.69 0.91 1.28 1.80 − −0.2
0.3 −0.24 −0.12 0.05 0.26 0.45 0.55 0.58 0.84 2.07 − −0.3
0.4 −0.28 −0.19 −0.05 0.16 0.39 0.61 0.82 1.17 2.13 − −0.4
0.5 −0.29 −0.22 −0.11 −0.06 0.31 0.63 1.00 1.47 2.22 − −0.5
0.6 −0.30 −0.23 −0.15 −0.01 0.20 0.55 1.03 1.64 2.36 − −0.6
0.7 −0.32 −0.26 −0.18 −0.06 0.11 0.37 0.79 1.46 2.56 − −0.7
0.8 −0.32 −0.27 −0.19 −0.08 0.08 0.33 0.73 1.41 2.60 − −0.8
0.9 −0.32 −0.27 −0.19 −0.08 0.09 0.34 0.73 1.40 2.59 − −0.9
1.0 −0.32 −0.27 −0.19 −0.08 0.09 0.34 0.74 1.40 2.59 − −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 0 −0.17 −0.31 −0.42 −0.50 −0.56 −0.61 −0.65 −0.69 −0.71 −0.72 0.0
0.1 0 −0.29 −0.39 −0.44 −0.49 −0.54 −0.59 −0.63 −0.66 −0.69 −0.71 −0.1
0.2 0 −0.22 −0.32 −0.39 −0.45 −0.50 −0.55 −0.59 −0.63 −0.66 −0.69 −0.2
0.3 0 −0.12 −0.24 −0.33 −0.40 −0.45 −0.50 −0.55 −0.59 −0.63 −0.66 −0.3
0.4 0 −0.12 −0.23 −0.32 −0.39 −0.44 −0.50 −0.54 −0.58 −0.62 −0.66 −0.4
0.5 0 −0.11 −0.22 −0.33 −0.39 −0.44 −0.49 −0.54 −0.58 −0.62 −0.66 −0.5
0.6 0 −0.15 −0.25 −0.32 −0.38 −0.43 −0.48 −0.52 −0.57 −0.61 −0.64 −0.6
0.7 0 −0.14 −0.23 −0.31 −0.36 −0.42 −0.46 −0.51 −0.55 −0.59 −0.63 −0.7
0.8 0 −0.13 −0.23 −0.30 −0.36 −0.41 −0.46 −0.50 −0.55 −0.59 −0.62 −0.8
0.9 0 −0.13 −0.23 −0.30 −0.36 −0.41 −0.46 −0.50 −0.55 −0.59 −0.62 −0.9
1.0 0 −0.13 −0.23 −0.30 −0.36 −0.41 −0.46 −0.50 −0.55 −0.59 −0.62 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
807
808
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 −0.71 −0.69 −0.65 −0.61 −0.56 −0.50 −0.42 −0.31 −0.17 0 0.0
0.1 −0.72 −0.70 −0.67 −0.62 −0.57 −0.50 −0.40 −0.26 −0.29 0 −0.1
0.2 −0.70 −0.71 −0.69 −0.66 −0.61 −0.55 −0.47 −0.36 −0.21 0 −0.2
0.3 −0.69 −0.71 −0.71 −0.70 −0.66 −0.61 −0.55 −0.49 −0.35 0 −0.3
0.4 −0.69 −0.71 −0.73 −0.72 −0.69 −0.64 −0.57 −0.47 −0.32 0 −0.4
0.5 −0.69 −0.72 −0.73 −0.74 −0.72 −0.67 −0.61 −0.47 −0.29 0 −0.5
0.6 −0.68 −0.70 −0.72 −0.73 −0.72 −0.68 −0.61 −0.47 −0.28 0 −0.6
0.7 −0.66 −0.69 −0.71 −0.73 −0.73 −0.70 −0.65 −0.54 −0.34 0 −0.7
0.8 −0.66 −0.69 −0.71 −0.73 −0.73 −0.71 −0.65 −0.55 −0.36 0 −0.8
0.9 −0.66 −0.69 −0.71 −0.73 −0.73 −0.71 −0.65 −0.55 −0.36 0 −0.9
1.0 −0.66 −0.69 −0.71 −0.73 −0.73 −0.71 −0.65 −0.55 −0.36 0 −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 0 −0.01 −0.03 −0.07 −0.12 −0.17 −0.23 −0.29 −0.36 −0.43 −0.50* 0.0
0.1 0 −0.01 −0.05 −0.10 −0.14 −0.20 −0.25 −0.31 −0.38 −0.45 −0.52 −0.1
0.2 0 −0.01 −0.04 −0.08 −0.12 −0.17 −0.22 −0.28 −0.34 −0.40 −0.52 −0.2
0.3 0 0.00 −0.02 −0.05 −0.09 −0.13 −0.18 −0.23 −0.29 −0.35 −0.41 −0.3
0.4 0 0.00 −0.02 −0.05 −0.09 −0.13 −0.17 −0.23 −0.28 −0.34 −0.41 −0.4
0.5 0 −0.01 −0.02 −0.05 −0.09 −0.13 −0.17 −0.23 −0.28 −0.34 −0.40 −0.5
0.6 0 −0.01 −0.03 −0.06 −0.09 −0.13 −0.18 −0.23 −0.28 −0.34 −0.41 −0.6
0.7 0 −0.01 −0.03 −0.05 −0.09 −0.13 −0.17 −0.22 −0.27 −0.33 −0.39 −0.7
0.8 0 −0.01 −0.03 −0.05 −0.09 −0.12 −0.17 −0.22 −0.27 −0.32 −0.39 −0.8
0.9 0 −0.01 −0.03 −0.05 −0.09 −0.12 −0.17 −0.22 −0.27 −0.33 −0.39 −0.9
1.0 0 −0.01 −0.03 −0.05 −0.09 −0.12 −0.17 −0.22 −0.27 −0.33 −0.39 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
809
810
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.43 0.36 0.29 0.23 0.17 0.12 0.07 0.03 0.01 0 0.0
0.1 −0.59* 0.34 0.27 0.21 0.15 0.09 0.05 0.02 0.01 0 −0.1
0.2 −0.54 −0.61* 0.32 0.25 0.19 0.13 0.08 0.04 0.01 0 −0.2
0.3 −0.48 −0.55 −0.62* 0.31 0.24 0.18 0.12 0.06 0.02 0 −0.3
0.4 −0.47 −0.54 −0.62 −0.69* 0.24 0.17 0.11 0.06 0.02 0 −0.4
0.5 −0.47 −0.54 −0.61 −0.69 −0.76* 0.17 0.11 0.06 0.02 0 −0.5
0.6 −0.47 −0.54 −0.61 −0.68 −0.76 −0.83* 0.11 0.05 0.01 0 −0.6
0.7 −0.45 −0.52 −0.59 −0.66 −0.74 −0.81 −0.88* −0.06 0.02 0 −0.7
0.8 −0.45 −0.52 −0.59 −0.66 −0.73 −0.80 −0.87 −0.93* 0.02 0 −0.8
0.9 −0.45 −0.52 −0.59 −0.66 −0.73 −0.80 −0.87 −0.93 −0.98* 0 −0.9
1.0 −0.45 −0.52 −0.59 −0.66 −0.73 −0.80 −0.87 −0.93 −0.98 −1.0* −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 − −1.48 −1.29 −0.99 −0.76 −0.62 −0.57 −0.51 −0.39 −0.23 0.00 0.0
0.1 − −1.49 −0.28 −0.30 −0.49 −0.54 −0.50 −0.46 −0.43 −0.39 −0.24 −0.1
0.2 − −1.27 −0.54 −0.48 −0.53 −0.54 −0.51 −0.49 −0.48 −0.46 −0.38 −0.2
0.3 − −0.94 −1.05 −0.81 −0.64 −0.56 −0.55 −0.53 −0.51 −0.48 −0.45 −0.3
0.4 − −0.98 −0.98 −0.78 −0.63 −0.56 −0.55 −0.54 −0.63 −0.50 −0.48 −0.4
0.5 − −0.91 −1.03 −0.84 −0.65 −0.55 −0.55 −0.55 −0.55 −0.54 −0.51 −0.5
0.6 − −0.93 −0.65 −0.56 −0.53 −0.52 −0.52 −0.52 −0.53 −0.53 −0.52 −0.6
0.7 − −0.87 −0.66 −0.56 −0.52 −0.51 −0.51 −0.51 −0.52 −0.53 −0.53 −0.7
0.8 − −0.85 −0.67 −0.57 −0.52 −0.50 −0.51 −0.51 −0.52 −0.53 −0.53 −0.8
0.9 − −0.85 −0.67 −0.57 −0.52 −0.51 −0.51 −0.51 −0.52 −0.53 −0.53 −0.9
1.0 − −0.85 −0.67 −0.57 −0.52 −0.51 −0.51 −0.51 −0.52 −0.53 −0.53 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
811
812
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.23 0.39 0.51 0.57 0.62 0.76 0.99 1.29 1.48 − 0.0
0.1 0.00 0.29 0.49 0.60 0.68 0.93 1.47 2.03 1.53 − −0.1
0.2 −0.21 0.02 0.26 0.47 0.61 0.76 0.99 1.38 1.86 − −0.2
0.3 −0.38 −0.25 −0.02 0.26 0.49 0.53 0.43 0.61 2.22 − −0.3
0.4 −0.45 −0.36 −0.18 0.08 0.38 0.64 0.82 1.15 2.31 − −0.4
0.5 −0.48 −0.41 −0.29 −0.07 0.25 0.66 1.12 1.65 2.47 − −0.5
0.6 −0.49 −0.44 −0.35 −0.20 0.08 0.53 1.17 1.94 2.70 − −0.6
0.7 −0.51 −0.47 −0.40 −0.28 −0.08 0.24 0.77 1.62 3.01 − −0.7
0.8 −0.51 −0.48 −0.41 −0.30 −0.12 0.17 0.67 1.54 3.09 − −0.8
0.9 −0.51 −0.48 −0.41 −0.30 −0.11 0.18 0.68 1.53 3.06 − −0.9
1.0 −0.51 −0.48 −0.41 −0.30 −0.11 0.19 0.68 1.53 3.05 − −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 0 −0.14 −0.28 −0.40 −0.48 −0.55 −0.61 −0.67 −0.71 −0.75 −0.76 0.0
0.1 0 −0.34 −0.40 −0.43 −0.47 −0.52 −0.57 −0.62 −0.67 −0.72 −0.74 −0.1
0.2 0 −0.23 −0.31 −0.36 −0.41 −0.46 −0.51 −0.56 −0.61 −0.66 −0.70 −0.2
0.3 0 −0.07 −0.18 −0.27 −0.34 −0.40 −0.46 −0.51 −0.57 −0.61 −0.66 −0.3
0.4 0 −0.07 −0.17 −0.26 −0.33 −0.39 −0.45 −0.50 −0.55 −0.60 −0.65 −0.4
0.5 0 −0.05 −0.15 −0.25 −0.32 −0.38 −0.44 −0.49 −0.54 −0.60 −0.65 −0.5
0.6 0 −0.17 −0.20 −0.26 −0.31 −0.37 −0.42 −0.47 −0.52 −0.58 −0.63 −0.6
0.7 0 −0.10 −0.18 −0.24 −0.29 −0.35 −0.40 −0.45 −0.50 −0.55 −0.60 −0.7
0.8 0 −0.10 −0.17 −0.23 −0.29 −0.34 −0.39 −0.44 −0.49 −0.55 −0.60 −0.8
0.9 0 −0.10 −0.17 −0.23 −0.29 −0.34 −0.39 −0.44 −0.49 −0.55 −0.60 −0.9
1.0 0 −0.10 −0.17 −0.23 −0.29 −0.34 −0.39 −0.44 −0.49 −0.55 −0.60 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
813
814
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 −0.75 −0.71 −0.67 −0.61 −0.55 −0.48 −0.40 −0.28 −0.14 0 0.0
0.1 −0.76 −0.73 −0.70 −0.64 −0.58 −0.50 −0.38 −0.20 −0.01 0 −0.1
0.2 −0.73 −0.74 −0.73 −0.69 −0.64 −0.57 −0.48 −0.36 −0.20 0 −0.2
0.3 −0.70 −0.74 −0.75 −0.74 −0.70 −0.65 −0.60 −0.55 −0.43 0 −0.3
0.4 −0.70 −0.74 −0.77 −0.78 −0.75 −0.70 −0.63 −0.53 −0.37 0 −0.4
0.5 −0.70 −0.75 −0.78 −0.80 −0.79 −0.75 −0.66 −0.52 −0.32 0 −0.5
0.6 −0.68 −0.73 −0.77 −0.79 −0.80 −0.77 −0.69 −0.53 −0.34 0 −0.6
0.7 −0.66 −0.71 −0.75 −0.78 −0.80 −0.80 −0.75 −0.63 −0.40 0 −0.7
0.8 −0.65 −0.70 −0.75 −0.78 −0.80 −0.80 −0.76 −0.65 −0.43 0 −0.8
0.9 −0.65 −0.70 −0.75 −0.78 −0.80 −0.80 −0.76 −0.65 −0.43 0 −0.9
1.0 −0.65 −0.70 −0.75 −0.78 −0.80 −0.80 −0.76 −0.65 −0.43 0 −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
a n
−1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
0.0 0 −0.01 −0.03 −0.06 −0.11 −0.16 −0.22 −0.28 −0.35 −0.42 −0.50* 0.0
0.1 0 −0.02 −0.06 −0.11 −0.15 −0.20 −0.26 −0.32 −0.38 −0.45 −0.52 −0.1
0.2 0 −0.01 −0.04 −0.08 −0.11 −0.16 −0.21 −0.26 −0.32 −0.38 −0.45 −0.2
0.3 0 0.00 −0.01 −0.04 −0.06 −0.10 −0.15 −0.19 −0.25 −0.31 −0.37 −0.3
0.4 0 0.00 −0.01 −0.03 −0.06 −0.10 −0.14 −0.19 −0.24 −0.30 −0.36 −0.4
0.5 0 0.00 −0.01 −0.03 −0.08 −0.10 −0.14 −0.18 −0.23 −0.29 −0.35 −0.5
0.6 0 −0.01 −0.02 −0.05 −0.07 −0.11 −0.15 −0.19 −0.24 −0.30 −0.36 −0.6
0.7 0 0.00 −0.02 −0.04 −0.07 −0.10 −0.14 −0.18 −0.23 −0.28 −0.34 −0.7
0.8 0 0.00 −0.02 −0.04 −0.07 −0.10 −0.13 −0.17 −0.22 −0.27 −0.33 −0.8
0.9 0 0.00 −0.02 −0.04 −0.07 −0.10 −0.13 −0.17 −0.22 −0.27 −0.33 −0.9
1.0 0 0.00 −0.02 −0.04 −0.07 −0.10 −0.13 −0.17 −0.22 −0.27 −0.33 −1.0
1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 a
n
(continued)
815
816
a n
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.0 0.42 0.35 0.28 0.22 0.16 0.11 0.06 0.03 0.01 0 0.0
0.1 −0.60* 0.33 0.26 0.19 0.13 0.07 0.03 0.00 0.01 0 −0.1
0.2 −0.52 0.60* 0.33 0.26 0.19 0.13 0.08 0.04 0.01 0 −0.2
0.3 −0.44 −0.51 −0.59* 0.34 0.27 0.20 0.13 0.08 0.03 0 −0.3
0.4 −0.43 −0.50 −0.58 −0.66* 0.27 0.19 0.13 0.07 0.02 0 −0.4
0.5 −0.42 −0.49 −0.57 −0.65 −0.73* 0.19 0.12 0.06 0.02 0 −0.5
0.6 −0.42 −0.49 −0.57 −0.65 −0.73 −0.81* 0.12 0.07 0.01 0 −0.6
0.7 −0.40 −0.47 −0.54 −0.62 −0.70 −0.78 −0.86* 0.07 0.02 0 −0.7
0.8 −0.39 −0.46 −0.53 −0.61 −0.69 −0.77 −0.85 −0.92* 0.02 0 −0.8
0.9 −0.39 −0.46 −0.53 −0.61 −0.69 −0.77 −0.85 −0.92 −0.98* 0 −0.9
1.0 −0.39 −0.46 −0.53 −0.61 −0.69 −0.77 −0.85 −0.92 −0.98 −1.0* −1.0
−0.1 −0.2 −0.3 −0.4 −0.5 −0.6 −0.7 −0.8 −0.9 −1.0 a
n
n −1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
r – −1.31 −0.85 −0.62 −0.48 −0.37 −0.28 −0.20 −0.13 −0.06 −0.00
n 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
r 0.06 0.13 0.20 0.28 0.37 0.48 0.62 0.85 1.31 –
817
818

n −1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
Q 0 −0.27 −0.38 −0.45 −0.51 −0.55 −0.58 −0.61 −0.62 −0.63 −0.64
n 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
Q −0.93 −0.62 −0.61 −0.58 −0.55 −0.51 −0.45 −0.38 −0.27 0
n −1.0 −0.9 −0.8 −0.7 −0.6 −0.5 −0.4 −0.3 −0.2 −0.1 0.0
m 0 −0.02 −0.05 −0.09 −0.14 −0.20 −0.25 −0.31 −0.37 −0.44 −0.50
n 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
m −0.56 −0.63 −0.69 −0.75 −0.80 −0.86 −0.91 −0.95 −0.98 −1.00
819
Table A.7 Variable angle h of the foundation beam under uniform load q0
820
3
0l
(1) Conversion formula: h = coefficients in the table qEI
(Clockwise direction is positive)
(2) The number in the table is based on the right half beam.
The values of the left half beam are the same as those of the
right half beam, but the positive and negative number is
opposite
(3) Because h ¼ ddyx, the defection y of the beam can be
obtained by the numerical integration of the coefficient h in the
table. The downward direction is positive
t n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0 0 −0.0136 −0.0268 −0.0392 −0.0506 −0.0607 −0.0691 −0.0756 −0.0801 −0.0824 −0.0832
1 0 −0.0102 −0.0201 −0.0294 −0.0378 −0.0451 −0.0554 −0.0510 −0.0582 −0.0594 −0.0598
2 0 −0.0096 −0.0188 −0.0276 −0.0355 −0.0424 −0.0521 −0.0480 −0.0548 −0.0560 −0.0563
3 0 −0.0090 −0.0176 −0.0258 −0.0333 −0.0397 −0.0489 −0.0450 −0.0514 −0.0526 −0.0529
5 0 −0.0080 −0.0157 −0.0230 −0.0296 −0.0354 −0.0438 −0.0402 −0.0460 −0.0471 −0.0473
7 0 −0.0072 −0.0141 −0.0206 −0.0266 −0.0319 −0.0394 −0.0362 −0.0416 −0.0426 −0.0428
10 0 −0.0062 −0.0123 −0.0180 −0.0232 −0.0278 −0.0346 −0.0316 −0.0364 −0.0372 −0.0375
Table A.8 Variable angle h of the foundation beam under two symmetric concentrated loads
2
(1) Conversion formula: h = coefficients in the table plEI (Clockwise direction is positive)
(2) If only one concentrated load p is loaded on the midpoint of the beam, p is replaced by p/2
when using the above formula
(3) The number in the table is based on the right half beam. The values of the left half beam
are the same as those of the right half beam, but the positive and negative number is opposite
y
(4) Because h ¼ d dx, the defection y of the beam can be obtained by the numerical integration
of the coefficient h in the table. The downward direction is positive
821
822
Table A.8-1 t = 0 two symmetric concentrated loads P

a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0 0 −0.059 −0.108 −0.149 −0.182 −0.208 −0.227 −0.240 −0.247 −0.251 −0.252
0.1 0 −0.054 −0.103 −0.144 −0.177 −0.203 −0.222 −0.235 −0.242 −0.246 −0.247
0.2 0 −0.044 −0.088 −0.129 −0.162 −0.188 −0.207 −0.220 −0.227 −0.231 −0.232
0.3 0 −0.034 −0.068 −0.104 −0.137 −0.163 −0.182 −0.195 −0.202 −0.206 −0.207
0.4 0 −0.024 −0.048 −0.074 −0.102 −0.128 −0.147 −0.160 −0.167 −0.171 −0.172
0.5 0 −0.014 −0.028 −0.044 −0.062 −0.083 −0.102 −0.115 −0.122 −0.126 −0.127
0.6 0 −0.004 −0.008 −0.014 −0.022 −0.033 −0.047 −0.060 −0.067 −0.071 −0.072
0.7 0 0.006 0.011 0.015 0.017 0.019 0.017 0.009 0.001 −0.001 −0.003
0.8 0 0.016 0.031 0.045 0.057 0.067 0.073 0.075 0.072 0.069 0.068
0.9 0 0.026 0.051 0.075 0.097 0.117 0.133 0.145 0.152 0.154 0.153
1.0 0 0.036 0.071 0.105 0.137 0.167 0.193 0.215 0.232 0.244 0.248
a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0 0 −0.053 −0.098 −0.134 −0.162 −0.184 −0.199 −0.209 −0.215 −0.217 −0.218
0.1 0 −0.048 −0.093 −0.129 −0.157 −0.178 −0.193 −0.203 −0.209 −0.211 −0.212
0.2 0 −0.038 −0.077 −0.113 −0.141 −0.163 −0.178 −0.188 −0.194 −0.196 −0.197
0.3 0 −0.029 −0.058 −0.090 −0.118 −0.139 −0.154 −0.164 −0.170 −0.173 −0.174
0.4 0 −0.019 −0.040 −0.062 −0.086 −0.107 −0.123 −0.138 −0.139 −0.142 −0.143
0.5 0 −0.010 −0.020 −0.032 −0.047 −0.064 −0.080 −0.191 −0.097 −0.099 −0.100
0.6 0 −0.001 −0.002 −0.005 −0.010 −0.018 −0.029 −0.039 −0.045 −0.048 −0.049
0.7 0 0.008 0.016 0.022 0.027 0.028 0.026 0.020 0.014 0.012 0.011
0.8 0 0.017 0.034 0.050 0.064 0.076 0.084 0.087 0.086 0.084 0.083
0.9 0 0.026 0.052 0.077 0.100 0.121 0.138 0.152 0.160 0.163 0.162
1.0 0 0.036 0.071 0.105 0.137 0.167 0.194 0.217 0.235 0.247 0.252
823
824

a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0 0 −0.049 −0.089 −0.121 −0.146 −0.165 −0.178 −0.186 −0.191 −0.192 −0.192
0.1 0 −0.043 −0.083 −0.114 −0.139 −0.157 −0.169 −0.177 −0.182 −0.184 −0.185
0.2 0 −0.033 −0.068 −0.099 −0.123 −0.141 −0.153 −0.160 −0.165 −0.167 −0.168
0.3 0 −0.025 −0.050 −0.078 −0.103 −0.122 −0.135 −0.143 −0.148 −0.150 −0.151
0.4 0 −0.017 −0.034 −0.053 −0.075 −0.095 −0.109 −0.118 −0.123 −0.125 −0.126
0.5 0 0.008 −0.018 −0.029 −0.042 −0.058 −0.073 −0.082 −0.088 −0.090 −0.091
0.6 0 0.000 −0.001 −0.002 −0.007 −0.014 −0.025 −0.036 −0.042 −0.044 −0.045
0.7 0 0.008 0.015 0.021 0.025 0.027 0.025 0.019 0.013 0.011 0.010
0.8 0 0.015 0.030 0.044 0.056 0.066 0.073 0.076 0.075 0.073 0.072
0.9 0 0.023 0.046 0.068 0.088 0.106 0.121 0.133 0.141 0.143 0.142
1.0 0 0.031 0.061 0.091 0.119 0.146 0.171 0.192 0.209 0.220 0.224
a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0 0 −0.045 −0.081 −0.109 −0.130 −0.146 −0.158 −0.166 −0.170 −0.171 −0.171
0.1 0 −0.040 −0.076 −0.104 −0.126 −0.141 −0.152 −0.159 −0.163 −0.165 −0.166
0.2 0 −0.030 −0.061 −0.089 −0.110 −0.125 −0.136 −0.142 −0.146 −0.147 −0.147
0.3 0 −0.022 −0.044 −0.069 −0.091 −0.108 −0.119 −0.126 −0.130 −0.131 −0.132
0.4 0 −0.014 −0.030 −0.047 −0.066 −0.085 −0.098 −0.106 −0.110 −0.112 −0.113
0.5 0 −0.007 −0.014 −0.023 −0.035 −0.050 −0.064 −0.074 −0.079 −0.082 −0.082
0.6 0 0.000 0.000 −0.002 −0.006 −0.012 −0.023 −0.033 −0.039 −0.042 −0.042
0.7 0 0.007 0.013 0.019 0.023 0.024 0.022 0.016 0.009 0.007 0.006
0.8 0 0.014 0.027 0.040 0.051 0.059 0.065 0.067 0.064 0.061 0.061
0.9 0 0.021 0.041 0.061 0.079 0.095 0.109 0.120 0.127 0.129 0.128
1.0 0 0.027 0.054 0.080 0.106 0.130 0.152 0.171 0.187 0.198 0.202
825
826
Table A.9 Variable angle h of the foundation beam under two symmetric bending moments
(1) Conversion formula: h = coefficients in the table mlEI (Clockwise
direction is positive)
(2) The number in the table is based on the right half beam. The values of
the left half beam are the same as those of the right half beam, but the
positive and negative number is opposite
(3) Because h ¼ ddyx, the defection y of the beam can be obtained by the
numerical integration of the coefficient h in the table. The downward
direction is positive
Table A.9-1 t = 0 two symmetric bending moments m
a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0 0 −0.100 −0.100 −0.100 −0.100 −0.100 −0.100 −0.100 −0.100 −0.100 −0.100
0.2 0 −0.100 −0.200 −0.200 −0.200 −0.200 −0.200 −0.200 −0.200 −0.200 −0.200
0.3 0 −0.100 −0.200 −0.300 −0.300 −0.300 −0.300 −0.300 −0.300 −0.300 −0.300
0.4 0 −0.100 −0.200 −0.300 −0.400 −0.400 −0.400 −0.400 −0.400 −0.400 −0.400
0.5 0 −0.100 −0.200 −0.300 −0.400 −0.500 −0.500 −0.500 −0.500 −0.500 −0.500
0.6 0 −0.100 −0.200 −0.300 −0.400 −0.500 −0.600 −0.600 −0.600 −0.600 −0.600
0.7 0 −0.100 −0.200 −0.300 −0.400 −0.500 −0.600 −0.700 −0.700 −0.700 −0.700
0.8 0 −0.100 −0.200 −0.300 −0.400 −0.500 −0.600 −0.700 −0.800 −0.800 −0.800
0.9 0 −0.100 −0.200 −0.300 −0.400 −0.500 −0.600 −0.700 −0.800 −0.900 −0.900
1.0 0 −0.100 −0.200 −0.300 −0.400 −0.500 −0.600 −0.700 −0.800 −0.900 −1.000
827
828

a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.1 0 −0.101 −0.102 −0.103 −0.105 −0.107 −0.1185 −0.111 −0.112 −0.113 −0.114
0.2 0 −0.098 −0.196 −0.194 −0.193 −0.192 −0.191 −0.191 −0.191 −0.191 −0.191
0.3 0 −0.0945 −0.189 −0.283 −0.277 −0.273 −0.269 −0.267 −0.265 −0.264 −0.264
0.4 0 −0.093 −0.186 −0.280 −0.374 −0.370 −0.366 −0.363 −0.361 −0.360 −0.360
0.5 0 −0.093 −0.186 −0.279 −0.374 −0.470 −0.466 −0.464 −0.462 −0.462 −0.462
0.6 0 −0.093 −0.186 −0.279 −0.373 −0.469 −0.565 −0.563 −0.561 −0.561 −0.561
0.7 0 −0.092 −0.184 −0.277 −0.370 −0.465 −0.560 −0.657 −0.655 −0.654 −0.654
0.8 0 −0.0915 −0.184 −0.276 −0.370 −0.464 −0.560 −0.656 −0.754 −0.753 −0.753
0.9 0 −0.091 −0.183 −0.275 −0.369 −0.463 −0.559 −0.655 −0.753 −0.852 −0.852
1.0 0 −0.091 −0.182 −0.275 −0.369 −0.463 −0.559 −0.655 −0.753 −0.852 −0.952
a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.1 0 −0.103 −0.107 −0.111 −0.115 −0.120 −0.125 −0.130 −0.135 −0.137 −0.138
0.2 0 −0.099 −0.194 −0.190 −0.186 −0.184 −0.182 −0.182 −0.182 −0.182 −0.182
0.3 0 −0.083 −0.167 −0.251 −0.237 −0.225 −0.215 −0.207 −0.202 −0.199 −0.198
0.4 0 −0.0815 −0.164 −0.248 −0.333 −0.320 −0.310 −0.302 −0.297 −0.294 −0.294
0.5 0 −0.081 −0.163 −0.245 −0.330 −0.417 −0.406 −0.398 −0.393 −0.391 −0.391
0.6 0 −0.081 −0.163 −0.245 −0.331 −0.418 −0.509 −0.502 −0.499 −0.498 −0.498
0.7 0 −0.078 −0.157 −0.238 −0.320 −0.404 −0.492 −0.584 −0.578 −0.576 −0.575
0.8 0 −0.0775 −0.156 −0.236 −0.317 −0.402 −0.489 −0.580 −0.675 −0.672 −0.672
0.9 0 −0.0775 −0.156 −0.236 −0.317 −0.402 −0.489 −0.580 −0.675 −0.772 −0.772
1.0 0 −0.0775 −0.156 −0.236 −0.317 −0.402 −0.489 −0.580 −0.675 −0.772 −0.872
829
830

a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.1 0 −0.104 −0.109 −0.114 −0.120 −0.127 −0.134 −0.142 −0.149 −0.154 −0.155
0.2 0 −0.0905 −0.182 −0.175 −0.169 −0.165 −0.162 −0.161 −0.162 −0.162 −0.162
0.3 0 −0.0745 −0.150 −0.227 −0.207 −0.189 −0.175 −0.163 −0.155 −0.150 −0.148
0.4 0 −0.0725 −0.146 −0.222 −0.300 −0.282 −0.267 −0.256 −0.248 −0.244 −0.243
0.5 0 −0.071 −0.143 −0.217 −0.294 −0.375 −0.360 −0.349 −0.342 −0.339 −0.338
0.6 0 −0.072 −0.145 −0.220 −0.298 −0.380 −0.466 −0.457 −0.452 −0.450 −0.449
0.7 0 −0.0675 −0.136 −0.207 −0.281 −0.359 −0.441 −0.529 −0.521 −0.518 −0.517
0.8 0 −0.0665 −0.134 −0.204 −0.276 −0.352 −0.433 −0.520 −0.611 −0.607 −0.606
0.9 0 −0.0665 −0.134 −0.204 −0.276 −0.352 −0.433 −0.520 −0.611 −0.607 −0.706
1.0 0 −0.0665 −0.134 −0.204 −0.276 −0.352 −0.433 −0.520 −0.611 −0.607 −0.806
Table A.10 Variable angle h of the foundation beam under two antisymmetric concentrated loads
(1) h ¼ / Dl (Clockwise direction is positive) where h = coefficients in the table
2
plEI (Clockwise direction is positive). D can be obtained by the numerical
integration of the coefficient in the table
(2) The number in the table is based on the right half beam. The values of the left
half beam are the same as those of the right half beam, but the positive and
negative number is opposite
y
(3) Because h ¼ d dx, the defection y of the beam can be obtained by the numerical
integration of the coefficient h in the table. The downward direction is positive
831
832
Table A.10-1 t = 0 two antisymmetric concentrated loads P

a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.1 0 −0.004 −0.0115 −0.018 −0.0235 −0.028 −0.315 −0.034 −0.0355 −0.036 −0.036
0.2 0 −0.004 −0.0155 −0.029 −0.040 −0.049 −0.056 −0.061 −0.063 −0.065 −0.065
0.3 0 −0.003 −0.0125 −0.0285 −0.0455 −0.059 −0.0695 −0.077 −0.0815 −0.0835 −0.084
0.4 0 −0.0025 −0.0100 −0.0225 −0.040 −0.058 −0.0715 −0.081 −0.087 −0.090 −0.091
0.5 0 −0.002 −0.0075 −0.0165 −0.0295 −0.047 −0.064 −0.076 −0.0835 −0.087 −0.088
0.6 0 −0.001 −0.0045 −0.011 −0.020 −0.032 −0.0475 −0.062 −0.071 −0.075 −0.076
0.7 0 −0.001 −0.0035 −0.007 −0.0115 −0.018 −0.027 −0.039 −0.0495 −0.054 −0.055
0.8 0 0.000 0.0005 0.001 0.0005 −0.001 −0.0035 −0.005 −0.009 −0.145 −0.016
0.9 0 0.001 0.0035 0.007 0.0115 0.0165 0.021 0.0245 0.0265 0.025 0.023
1.0 0 0.001 0.0045 0.0105 0.0185 0.0285 0.040 0.052 0.063 0.071 0.074
a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.1 0 −0.0045 −0.0125 −0.019 −0.0245 −0.029 −0.032 −0.0535 −0.0345 −0.035 −0.035
0.2 0 −0.0035 −0.014 −0.027 −0.0375 −0.0455 −0.0515 −0.0555 −0.058 −0.0595 −0.060
0.3 0 −0.0030 −0.012 −0.027 −0.043 −0.055 −0.064 −0.0705 −0.074 −0.0755 −0.076
0.4 0 −0.0025 −0.0095 −0.021 −0.0375 −0.054 −0.066 −0.074 −0.0785 −0.0805 −0.081
0.5 0 −0.0020 −0.0075 −0.0165 −0.029 −0.045 −0.0605 −0.071 −0.077 −0.0795 −0.080
0.6 0 −0.0005 −0.002 −0.006 −0.013 −0.023 −0.037 −0.050 −0.0575 −0.0605 −0.061
0.7 0 0.0000 −0.0005 −0.002 −0.0045 −0.009 −0.016 −0.0255 −0.034 −0.0375 −0.038
0.8 0 0.0005 0.0015 0.0025 0.0035 0.0045 0.005 0.0035 −0.001 −0.005 −0.006
0.9 0 0.0010 0.004 0.009 0.015 0.0215 0.0285 0.0345 0.0385 0.039 0.038
1.0 0 0.0020 0.0075 0.0155 0.0255 0.0375 0.0515 0.066 0.079 0.089 0.093
833
834

a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.1 0 −0.006 −0.0155 −0.022 −0.0275 −0.0315 −0.0340 −0.0360 −0.0375 −0.0380 −0.038
0.2 0 −0.0035 −0.0145 −0.028 −0.0385 −0.0465 −0.0525 −0.0565 −0.0585 −0.0595 −0.060
0.3 0 −0.0025 −0.0110 −0.026 −0.0410 −0.0520 −0.0605 −0.0660 −0.0695 −0.0715 −0.072
0.4 0 −0.0025 −0.0100 −0.022 −0.0385 −0.0550 −0.0670 −0.0755 −0.0805 −0.0825 −0.083
0.5 0 −0.0015 −0.0060 −0.014 −0.0260 −0.0420 −0.0570 −0.0670 −0.073 −0.0755 −0.076
0.6 0 −0.0010 −0.004 −0.009 −0.0160 −0.0255 −0.0385 −0.0510 −0.058 −0.0605 −0.061
0.7 0 −0.0005 −0.0015 −0.0035 −0.0065 −0.0110 −0.0180 −0.0275 −0.036 −0.0395 −0.040
0.8 0 0.0005 0.0015 0.0025 0.0035 0.0045 0.0045 0.0025 −0.002 −0.006 −0.007
0.9 0 0.0005 0.003 0.0075 0.0130 0.0195 0.0260 0.0320 0.0365 0.037 0.036
1.0 0 0.0015 0.006 0.0135 0.0235 0.0355 0.0485 0.0615 0.0740 0.084 0.088
a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0.1 0 −0.004 −0.0115 −0.018 −0.023 −0.0265 −0.029 −0.0305 −0.0315 −0.032 −0.032
0.2 0 −0.0035 −0.014 −0.027 −0.037 −0.0445 −0.050 −0.0535 −0.056 −0.057 −0.057
0.3 0 −0.003 −0.0115 −0.026 −0.0415 −0.053 −0.0615 −0.0675 −0.071 −0.0725 −0.073
0.4 0 −0.0025 −0.009 −0.020 −0.0365 −0.053 −0.065 −0.073 −0.0775 −0.0795 −0.080
0.5 0 −0.0015 −0.006 −0.014 −0.0255 −0.0405 −0.055 −0.0645 −0.070 −0.0725 −0.073
0.6 0 −0.001 −0.035 −0.008 −0.0155 −0.0255 −0.0385 −0.0505 −0.057 −0.0595 −0.060
0.7 0 −0.0005 −0.002 −0.004 −0.0065 −0.0105 −0.017 −0.0265 −0.035 −0.0385 −0.039
0.8 0 0.000 0.0005 0.002 0.004 0.0055 0.004 0.001 −0.0035 −0.008 −0.009
0.9 0 0.001 0.004 0.0085 0.014 0.0205 0.0275 0.0335 0.0375 0.038 0.037
1.0 0 0.0015 0.006 0.0135 0.0235 0.0355 0.0485 0.062 0.075 0.085 0.089
835
836
Table A.11 Variable angle h of the foundation beam under two antisymmetric bending moments
(1) h ¼ / Dl (Clockwise direction is positive) where h = coefficients in the
table ml
EI (Clockwise direction is positive). D can be obtained by the
numerical integration of the coefficient in the table
(2) The number in the table is based on the right half beam. The values of
the left half beam are the same as those of the right half beam, but the
positive and negative number is opposite
y
(3) Because h ¼ d dx, the defection y of the beam can be obtained by the
numerical integration of the coefficient h in the table. The downward
direction is positive
Table A.11-1 t = 0 two antisymmetric bending moments m
a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0 0 −0.094 −0.175 −0.243 −0.299 −0.344 −0.378 −0.401 −0.415 −0.422 −0.424
0.1 0 0.006 −0.075 −0.143 −0.199 −0.244 −0.278 −0.301 −0.315 −0.322 −0.324
0.2 0 0.006 0.025 −0.043 −0.099 −0.144 −0.178 −0.201 −0.215 −0.222 −0.224
0.3 0 0.006 0.025 0.057 0.001 −0.044 −0.078 −0.101 −0.115 −0.122 −0.124
0.4 0 0.006 0.025 0.057 0.001 0.056 0.022 −0.001 −0.015 −0.022 −0.024
0.5 0 0.006 0.025 0.057 0.101 0.156 0.122 0.099 0.085 0.078 0.076
0.6 0 0.006 0.025 0.057 0.101 0.156 0.222 0.199 0.185 0.178 0.176
0.7 0 0.006 0.025 0.057 0.101 0.156 0.222 0.299 0.285 0.278 0.276
0.8 0 0.006 0.025 0.057 0.101 0.156 0.222 0.299 0.385 0.378 0.376
0.9 0 0.006 0.025 0.057 0.101 0.156 0.222 0.299 0.385 0.478 0.476
1.0 0 0.006 0.025 0.057 0.101 0.156 0.222 0.299 0.385 0.478 0.576
837
838

a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0 0 −0.093 −0.172 −0.238 −0.292 −0.334 −0.366 −0.388 −0.400 −0.405 −0.406
0.1 0 0.0065 −0.0635 −0.130 −0.184 −0.226 −0.257 −0.277 −0.288 −0.292 −0.293
0.2 0 0.008 0.029 −0.038 −0.092 −0.135 −0.166 −0.186 −0.198 −0.203 −0.204
0.3 0 0.0065 0.027 0.0605 0.0055 −0.037 −0.0685 −0.090 −0.102 −0.107 −0.108
0.4 0 0.0065 0.026 0.059 0.105 0.065 0.0305 0.009 −0.003 −0.008 −0.009
0.5 0 0.0065 0.0265 0.0595 0.105 0.0163 0.133 0.112 0.100 0.095 0.094
0.6 0 0.0065 0.026 0.0585 0.104 0.161 0.230 0.209 0.198 0.193 0.192
0.7 0 0.0065 0.026 0.0585 0.104 0.161 0.229 0.308 0.295 0.290 0.289
0.8 0 0.0065 0.026 0.0585 0.104 0.161 0.229 0.308 0.395 0.390 0.389
0.9 0 0.0065 0.026 0.0585 0.104 0.161 0.229 0.308 0.395 0.490 0.489
1.0 0 0.0065 0.026 0.0585 0.104 0.161 0.229 0.308 0.395 0.490 0.589
a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0 0 −0.093 −0.172 −0.237 −0.289 −0.329 −0.358 −0.377 −0.387 −0.391 −0.392
0.1 0 0.007 −0.077 −0.137 −0.189 −0.230 −0.259 −0.278 −0.289 −0.293 −0.294
0.2 0 0.007 0.0275 −0.039 −0.0925 −0.134 −0.165 −0.185 −0.197 −0.202 −0.203
0.3 0 0.0065 0.026 0.0585 0.0045 −0.0375 −0.0695 −0.0915 −0.104 −0.109 −0.110
0.4 0 0.0065 0.026 0.0585 0.104 0.0615 0.030 0.009 −0.003 −0.006 −0.005
0.5 0 0.0065 0.026 0.058 0.103 0.161 0.129 0.108 0.096 0.0005 0.089
0.6 0 0.0065 0.026 0.058 0.102 0.159 0.227 0.206 0.193 0.188 0.187
0.7 0 0.006 0.0245 0.0555 0.0985 0.154 0.221 0.299 0.286 0.280 0.278
0.8 0 0.006 0.0245 0.0555 0.0985 0.154 0.220 0.296 0.382 0.376 0.374
0.9 0 0.006 0.0245 0.0555 0.0985 0.154 0.220 0.296 0.382 0.476 0.474
1.0 0 0.006 0.0245 0.0555 0.0985 0.154 0.220 0.296 0.382 0.476 0.574
839
840

a n
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
0 0 −0.092 −0.169 −0.232 −0.282 −0.320 −0.347 −0.364 −0.373 −0.377 −0.378
0.1 0 0.0075 −0.0705 −0.135 −0.187 −0.226 −0.253 −0.271 −0.281 −0.286 −0.287
0.2 0 0.007 0.028 −0.0375 −0.0905 −0.132 −0.161 −0.181 −0.193 −0.195 −0.196
0.3 0 0.0065 0.026 0.059 0.0045 −0.0385 −0.070 −0.0915 −0.105 −0.111 −0.112
0.4 0 0.0065 0.026 0.0585 0.104 0.0615 0.0305 0.010 −0.002 −0.007 −0.008
0.5 0 0.0065 0.026 0.0585 0.104 0.161 0.129 0.108 0.0965 0.092 0.091
0.6 0 0.006 0.0245 0.056 0.100 0.156 0.224 0.203 0.190 0.814 0.183
0.7 0 0.006 0.024 0.056 0.098 0.152 0.218 0.294 0.281 0.275 0.274
0.8 0 0.006 0.024 0.054 0.096 0.150 0.214 0.290 0.375 0.369 0.368
0.9 0 0.006 0.024 0.054 0.096 0.150 0.214 0.290 0.375 0.469 0.468
1.0 0 0.006 0.024 0.054 0.096 0.150 0.214 0.290 0.375 0.469 0.568
Appendix B
Major Published Works of the Book Author
Monograph, Textbook and Proceedings

[1] Cui ZD (2018) Land subsidence induced by the engineering-environmental effects. Springer
Press, ISBN 978-981-8039-5.
[2] Cui ZD*, Zhang ZL (2017) Design of Underground Structures (in Chinese). China
Architecture & Building Press, ISBN 978-7-112-20816-6.
[3] Kallel A, Erguler ZA, Cui ZD, et al. Recent Advances in Geo-Environmental Engineering,
Geomechanics and Geotechnics, and Geohazards. Proceedings of the 1st Springer Confer-
ence of the Arabian Journal of Geosciences (CAJG-1), Tunisia 2018, Springer Press, ISBN
978-3-030-01664-7.
English Journal Papers

[1] Cui ZD*, Jia YJ (2018) Physical Model Test of Layered Soil Subsidence Considering
Dual Effects of Building Load and Groundwater Withdrawal. Arabian Journal for Science
and Engineering (SCI), 48: 1721–1734.
[2] Cui ZD*, Yuan Q, Yang JQ (2018) Laboratory model tests about the sand embankment
supported by piles with a cap beam. Geomechanics and Geoengineering an international
Journal, 13(1): 64–76.
[3] Zhang ZL, Cui ZD* (2018) Effect of freezing-thawing on dynamic characteristics of the
silty clay under K0-consolidated condition. Cold Regions Science and Technology (SCI),
146: 32–42.
[4] Zhang ZL, Cui ZD* (2018) Effects of freezing-thawing and cyclic loading on pore size
distribution of silty clay by mercury intrusion porosimetry. Cold Regions Science and
Technology, 145: 185–196.
[5] Yuan Y, Cui ZD*, Tan J (2017) Numerical Simulation of Longitudinal Settlement of
Shield Tunnel in the Coastal City, Shanghai. Marine Georesources & Geotechnology
(SCI), 35(3): 365–370.
[6] Li Z, Cui ZD* (2017) Axisymmetric consolidation of saturated multi-layered soils with
anisotropic permeability due to well pumping. Computers and Geotechnics (SCI), 92: 229–
239.
https://doi.org/10.1007/978-981-13-7732-7
842 Appendix B: Major Published Works of the Book Author
[7] Zhang CL, Cui ZD* (2017) Numerical simulation of dynamic response around shield
tunnel in the soft soil area. Marine Georesources & Geotechnology (SCI), 35(7): 1018–
1027.
[8] Zhang ZL, Cui ZD* (2017) Analysis of microscopic pore structures of the silty clay before
and after freezing–thawing under the subway vibration loading. Environmental Earth
Sciences (SCI), 76: 528.
[9] Cui ZD*, Jia YJ, Yuan L (2016) Distribution law of soil deformation caused by
decompression of confined water. Environmental Earth Sciences (SCI), 75(18): 1281.
[10] Cui ZD*, Li Z, Jia YJ (2016) Model test study on the subsidence of high-rise building
group due to the variation of groundwater level. Natural Hazards (SCI), 84(1): 35–53.
[11] Cui ZD*, Zhao LZ, Yuan L (2016) Microstructures of consolidated Kaolin clay at different
depths in centrifuge model tests. Carbonates and Evaporites (SCI), 31(1): 47–60.
[12] Tan J, Cui ZD*, Yuan Y (2016) Study on the Long-term Settlement of Subway Tunnel in
Soft Soil Area. Marine Georesources & Geotechnology (SCI), 34(5): 486–492.
[13] Yuan Q, Cui ZD* (2016) Two-Dimensional Numerical Analysis of the Subgrade
Improved by Stone Columns in the Soft Soil Area. Marine Georesources & Geotechnology
(SCI), 34(1): 79–86.
[14] Cui ZD*, Yang JQ, Yuan L (2015) Land subsidence caused by the interaction of high-rise
buildings in soft soil areas. Natural Hazards (SCI), 79(2): 1199–1217.
[15] Cui ZD*, Zhang ZL (2015) Comparison of dynamic characteristics of the silty clay before
and after freezing and thawing under the subway vibration loading. Cold Regions Science
and Technology (SCI), 119: 29–36.
[16] Cui ZD*, Yuan Q (2015) Investigation of the subsidence induced by the Maglev train.
Natural Hazards (SCI), 75(2): 1767–1778.
[17] He PP, Cui ZD* (2015) Dynamic response of a thawing soil around the tunnel under the
vibration load of subway. Environmental Earth Sciences (SCI), 73(5): 2473–2482.
[18] Cui ZD*, Tan J (2015) Study on settlements of the running tunnels and subway stations
based on the in-situ monitoring data. Natural Hazards (SCI), 75(1): 465–472.
[19] Cui ZD*, Ren SX (2014) Prediction of long-term settlements of subway tunnel in the soft
soil area. Natural Hazards (SCI), 74(2): 1007–1020.
[20] Cui ZD*, He PP, Yang WH (2014) Mechanical properties of a silty clay subjected to
freezing-thawing. Cold Regions Science and Technology (SCI), 98: 26–34.
[21] Cui ZD*, Jia YJ (2013) Analysis of electron microscope images of soil pore structure for
the study of land subsidence in centrifuge model tests of high-rise building groups.
Engineering Geology (SCI), 164: 107–116.
[22] Song L, Cui ZD, Zhang HQ (2013) Analysis and treatment of the fault activation below
the dynamic foundation in the goaf area. Disaster Advances (SCI), 6(S1): 337–342.
[23] Yuan L, Cui ZD (2013) Reliability analysis for the consecutive-k-out-of-n: F system with
repairmen taking multiple vacations. Applied Mathematical Modelling (SCI), 37(7): 4685–
4697.
[24] Cui ZD*, Jia YJ (2012) Study on the mechanisms of the soil consolidation and land
subsidence caused by the high-rise building group in the soft soil area. Disaster Advances
(SCI), 5(4): 604–608.
[25] Cui ZD*, Ren SX (2012) Long-term deformation characteristics of the soil around the
subway tunnel induced by the vibration loading. Disaster Advances (SCI), 5(4): 1791–
1797.
[26] Cui ZD* (2012) Bearing capacity of single pile and in-flight T-Bar Penetration for cen-
trifuge modeling of land subsidence caused by the interaction of high-rise buildings. Bull
Eng Geol Environ (SCI), 71(3): 579–586.
[27] Cui ZD* (2012) Land subsidence disaster caused by natural factors and human activities.
Disaster Advances (SCI), 5(2): 3–4.
[28] Cui ZD* (2011) Effect of water–silt composite blasting on the stability of rocks sur-
rounding a tunnel. Bull Eng Geol Environ (SCI), 70(4): 657–664.
Appendix B: Major Published Works of the Book Author 843
[29] Cui ZD*, Tang YQ (2011) Microstructures of different soil layers caused by the high-rise
building group in Shanghai. Environmental Earth Sciences (SCI), 63(1): 109–119.
[30] Cui ZD*, Wang HM (2010) Land Subsidence at Different Points among a Group of
High-Rise Buildings [J]. Disaster Advances (SCI), 3(4): 63–66.
[31] Cui ZD*, Yuan L, Yan CL (2010) Water-silt composite blasting for tunneling. Interna-
tional Journal of Rock Mechanics and Mining Sciences (SCI), 47(6): 1034–1037.
[32] Cui ZD*, Tang YQ (2010) Land subsidence and pore structure of soils caused by the
high-rise building group through centrifuge model test. Engineering Geology (SCI), 113
(1–4): 44–52.
[33] Cui ZD*, Tang YQ, Yan XX (2010) Centrifuge modeling of land subsidence caused by
the high-rise building group in the soft soil area. Environmental Earth Sciences (SCI), 59
(8): 1819–1826.
[34] Cui ZD*, Tang YQ, Yan XX, Wang HM, Yan CL, Wang JX (2010) Evaluation of the
geology-environmental capacity of buildings based on the ANFIS model of the floor area
ratio. Bull Eng Geol Environ (SCI), 69(1): 111–118.
[35] Cui ZD*, Tang YQ, Guo CQ, Yuan L, Yan CL (2008) Flow-induced Vibration and
Stability of an Element Model for Parallel-plate fuel assemblies. Nuclear Engineering and
Design (SCI), 238(7): 1629–1635.
[36] Tang YQ, Cui ZD, Wang JX, Lu C, Yan XX (2008) Model test study of land subsidence
caused by high-rise building group. Bull Eng Geol Environ (SCI), 67(2): 173–179.
[37] Tang YQ, Cui ZD, Wang JX, Yan LP, Yan XX (2008) Application of grey theory-based
model to prediction of land subsidence due to engineering environment in Shanghai.
Environmental Geology (SCI), 55(3): 583–593.
[38] Tang YQ, Cui ZD, Zhang X, Zhao SK (2008) Dynamic response and pore-water pressure
model of saturated soft clay around a tunnel induced by the subway vibration load.
Engineering Geology (SCI), 98(3–4): 126–132.
English Conference Papers

[1] Cui ZD (2019) Land subsidence induced by the engineering-environmental effect in
Shanghai, China. Proceedings of the 1st Springer Conference of the Arabian Journal of
Geosciences (CAJG-1): Recent Advances in Geo-Environmental Engineering, Geome-
chanics and Geotechnics, and Geohazards, 11–14.
[2] Cui ZD*, Hua SS (2018) Long-term Settlement of subway tunnel and Prediction of Set-
tlement Trough in Coastal City Shanghai. Proceedings of GeoShanghai 2018 International
Conference: Multi-physics Processes in Soil Mechanics and Advances in Geotechnical
Testing, 458–467.
[3] Cui ZD*, Fan SC (2018) Physical Modeling of Arching effect in the Piled Embankment.
Proceedings of GeoShanghai 2018 International Conference: Fundamentals of Soil Beha-
viours, 379–387.
[4] Zhang ZL, Cui ZD* (2018) Dynamic Response of Soil around the Tunnel under Subway
Vibration Loading. Proceedings of GeoShanghai 2018 International Conference: Advances
in Soil Dynamics and Foundation Engineering, 53–61.
[5] Cui ZD*, Zhang ZL (2017) Comparison of the dynamic characteristics of the silty clay
before and after freezing-thawing under cyclic loadings. Seoul: 19th ICSMGE, 335–339.
[6] Cui ZD*, Zhang CL, Hou CY (2017) Vibrations induced by subway moving load with
excitation of the track vertical profile irregularity. Wuhan: 15th IACMAG, 1–18.
[7] Cui ZD*, Yuan L, Yan LP, Guo CQ (2009) Stability analysis and measurement of
flow-induced vibration of a parallel-plate structure. Chengdu: International Conference on
Earthquake Engineering-the 1st Anniversary of Wenchuan Earthquake (ISTP), 288–293.
844 Appendix B: Major Published Works of the Book Author
[8] Cui ZD, Tang YQ, Zhang X (2008) Deformation and pore pressure model of Saturated Soft
Clay around a Subway Tunnel. Shanghai: The Six International Symposium Geotechnical
Aspects of Underground Construction in Soft Ground (EI), 769–774.
[9] Tang YQ, Cui ZD, Zhang X (2008) Dynamic Response of Saturated Silty Clay around a
Tunnel under Subway Vibration Loading in Shanghai. Shanghai: The Six International
Symposium Geotechnical Aspects of Underground Construction in Soft Ground (EI), 843–
848.
* noted the corresponding author.
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Zhen-Dong Cui · Zhong-Liang Zhang ·

Li Yuan · Zhi-Xiang Zhan · Wan-Kai Zhang

Li Yuan Zhi-Xiang Zhan

ISBN 978-981-13-7731-0 ISBN 978-981-13-7732-7 (eBook)

Structures (China Architecture & Building Press, 2005), Rock Underground

Xuzhou, People’s Republic of China Prof. Dr. Zhen-Dong Cui

3 Elastic Foundation Beam Theory . . . . . . . . . . . . . . . . . . . . . . . . . . 79

4 Mechanical Calculation Methods for Underground Structures . . . . 115

5 Numerical Analysis Methods for Underground Structures . . . . . . . 151

6 Reliability Theory for Underground Structures . . . . . . . . . . . . . . . 207

7 Design of Shallow-Buried Structures . . . . . . . . . . . . . . . . . . . . . . . . 253

8.4 Entrance and Exit of Attached Underground Structures . . . . . . . 330

10 Design of Foundation Pit Retaining Structures . . . . . . . . . . . . . . . . 391

11 Design of Shield Tunnel Structures . . . . . . . . . . . . . . . . . . . . . . . . . 437

13.5.2 Foundation Treatment of the Immersed Tube

15.3 Calculation Methods for Integral Tunnel Structures . . . . . . . . . . 647

16 Design of Anchor-Sprayed Lining Structures . . . . . . . . . . . . . . . . . 711

17.2.3 Calculation Principle . . . . . . . . . . . . . . . . . . . . . . . . . 734

Appendix A: Tables for Calculating the Elastic Foundation Beam . . . . . 763

Prof. Dr. Zhen-Dong Cui is the Dean of Institute of

His research interests focus mainly on the urban

Fig. 1.1 The urban rail transit in China by 2018. (https://www.

Fig. 2.2 Limit equilibrium state of soil. a Active earth pressure;

Fig. 3.1 Classiﬁcation of elastic foundation beam. a Short beam;

Fig. 5.4 Tension step bar. a Schematic diagram; b Finite element

Fig. 5.36 Shear stress–displacement relationship of model C

Fig. 7.25 Special deformation joint . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274

Fig. 9.9 Schematic diagram of domestic general solution . . . . . . . . . . . . 351

Fig. 11.22 The distribution diagram of the principal stress . . . . . . . . . . . . . 482

Fig. 12.16 A schematic diagram of shear calculation of the underwater

Fig. 13.35 The divided and coupled hanging-sinking methods

Fig. 14.19 The calculation of pipe-rooﬁng . . . . . . . . . . . . . . . . . . . . . . . . . 618

Fig. 17.13 Skew bifurcation tunnel. a Bidirectional cross;

Table 1.1 The available underground space resources for effective

Table 8.6 The value of b . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307

Table 12.10 The crack width of the shaft lining . . . . . . . . . . . . . . . . . . . . 544

Table A.3 Hyperbolic trigonometric function u9 u15 . . . . . . . . . . . . . 768

Table A.8-4 t = 5 two symmetric concentrated loads P . . . . . . . . . . . . . . 825

1.1 Underground Space and Structures

1.1.1 Prospect of the Underground Space

Fig. 1.1 The urban rail transit in China by 2018. (https://www.transitmap.net/china-metro-

Fig. 1.2 Hong Kong–Zhuhai–Macao Bridge. (http://cn.chinadaily.com.cn/2018-01/08/content_

Fig. 1.3 Que’ershan tunnel. (http://www.sohu.com/a/305766671_100264374)

1.1.2 Concept of Underground Structures

Fig. 1.4 Diagram of

1.2 Classification and Forms of Underground Structures

1.2.1 Classification of Underground Structures

1. Classiﬁcation by geology conditions

(1) Underground structures of rock stratum

(2) Underground structures of soil layer

(3) Underground structures of water

The structures are submerged or suspended in water.

2. Classiﬁcation by functions (Table 1.2).

(1) Attached underground structures

(2) Single building structure

The single underground structure is constructed in the stratum independently and

4. Classiﬁcation by buried depth

The classiﬁcation of underground structures by buried depth is summarized in

5. Classiﬁcation by support forms

(1) Protective support

Table 1.3 Classiﬁcation of underground structures by buried depth

prevent further deterioration or destabilization of the surrounding rocks by

(2) Structural support