applied
sciences
Article
Sub-Rectangular Tunnel Behavior under Seismic Loading
Van Vi Pham 1 , Ngoc Anh Do 1,2






Citation: Pham, V.V.; Do, N.A.; Dias,
D. Sub-Rectangular Tunnel Behavior
under Seismic Loading. Appl. Sci.
2021, 11, 9909. https://doi.org/
10.3390/app11219909
Academic Editor: Andrea Paglietti
Received: 3 October 2021
Accepted: 19 October 2021
Published: 23 October 2021
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4.0/).
Appl. Sci. 2021, 11, 9909. https://doi.org/10.3390/app11219909
and Daniel Dias 3,4, *
1 Department of Underground and Mining Construction, Faculty of Civil Engineering, Hanoi University of
Mining and Geology, Hanoi 100000, Vietnam; phamvanvi0410@gmail.com (V.V.P.);
nado1977bb@gmail.com (N.A.D.)
2 Sustainable Development in Underground Engineering Research Team, Hanoi University of Mining and
Geology, Hanoi 100000, Vietnam
3 Laboratory 3SR, Grenoble Alpes University, 38000 Grenoble, France
4 Geotechnical Expert, Antea Group, 92160 Antony, France
* Correspondence: daniel.dias@3sr-grenoble.fr
Abstract: Circular and rectangular tunnel shapes are usually chosen when excavating at shallow
depths in urban areas. However, special-shaped tunnels such as sub-rectangular tunnels have
recently been used to overcome some drawbacks of circular and rectangular tunnels in terms of
low space utilization efficiency and stress concentration, respectively. In the literature, experimental
studies as well as analytical and numerical models have been developed for the seismic analysis
and vulnerability assessment of circular and rectangular tunnels since the early 1990s. However,
knowledge gaps regarding the behavior of sub-rectangular tunnels under seismic loading remain
and still need to be bridged. The present paper focuses on introducing a numerical analysis of
sub-rectangular tunnels under seismic loading. The numerical model of sub-rectangular tunnels
is developed based on the numerical analyses of circular tunnels validated by comparing well-
known, analytical solutions. This paper aims to highlight the differences between the behavior of
sub-rectangular tunnels compared with circular tunnels when subjected to seismic loadings. Special
attention is paid to the soil–lining interface conditions. The influence of parameters, such as soil
deformations, maximum horizontal acceleration, and lining thickness, on sub-rectangular tunnel
behavior under seismic loading is also investigated. The results indicate a significant behavior
difference between sub-rectangular and circular tunnels. The absolute extreme incremental bending
moments for a circular tunnel (no-slip condition) are smaller than that for the corresponding full-slip
condition. The absolute extreme incremental bending moments of sub-rectangular tunnels (no-slip
condition) are, however, greater than the corresponding full-slip conditions.
Keywords: sub-rectangular tunnel; seismic load; tunnel lining; numerical analysis
Highlights
• Two-dimensional numerical analyses of circular and sub-rectangular tunnels under
seismic loading.
• The behavior of a sub-rectangular tunnel under seismic loading is significantly differ-
ent from that of a circular tunnel.
• Effects of horizontal acceleration, the soil Young’s modulus, lining thickness, and
soil–lining interface are presented.
1. Introduction
Circular- and rectangular-shaped tunnels are frequent choices when such structures
are excavated at shallow depths [1–4], particularly in urban areas. The main disadvantage
of a circular tunnel is its small space utilization ratio. Compared to circular tunnels,
rectangular tunnels provide a major part of their cross-section area for utilization purposes.
However, their shape can induce stress concentrations at the tunnel corners, which can
https://www.mdpi.com/journal/applsci
Appl. Sci. 2021, 11, 9909 2 of 14

be followed by failures of the supporting structure. Special-shaped tunnels based on a

combination of circular and rectangular shapes can be a good solution, as they have a
higher space utilization efficiency than that of circular tunnels. They also help to eliminate
stress concentrations at the corners [5] and can have a greater bearing capacity. A special-
shaped tunnel, namely, the sub-rectangular tunnel, was therefore recently used to improve
the efficiency of underground space use [6–8]. This tunnel shape can be used in both
excavation methods, i.e., cut-and-cover excavation and mechanized shield tunneling [8].
The behavior of circular and rectangular tunnels under seismic loading has been
thoroughly studied in the literature [9–18]. Recently, Tsinidis et al. [19] introduced a state-
of-the-art study on the seismic behavior of tunnels. Accordingly, experimental studies,
analytical models, simplified methods, and numerical schemes for the seismic analysis and
vulnerability assessment of circular and rectangular tunnels were extensively developed.
However, knowledge gaps regarding the behavior of sub-rectangular tunnels under seismic
loading and even under static loading still remain and need to be bridged. There are only a
few studies investigating the structural behavior of sub-rectangular tunnels under static
loading through full-scale or reduced-scale tests [6,7,20,21] and numerical analyses [22,23].
The construction of a tunnel is a three-dimensional (3D) process. However, due
to the calculation time and modeling complexity, two-dimensional (2D) simulations are
often adopted [16,24,25]. In the present study, a 2D finite-difference numerical model of
a sub-rectangular tunnel under seismic loading is proposed. It is developed based on
the modeling of a circular tunnel, which is validated by comparing the results obtained
using well-known analytical solutions [9,12,16]. Parameters such as soil deformations,
maximum horizontal acceleration, and lining thickness on the tunnel behavior under
seismic loadings were carefully examined, and their influence was evaluated. In the study,
particular attention was drawn to analyzing the soil–lining interface. Different behaviors
of sub-rectangular- and circular-shaped tunnels under seismic loadings were compared
based on numerical modeling.

2. Numerical Models
2.1. Reference Sub-Rectangular Tunnel Case Study—Shanghai Metro Tunnel
Parameters of a sub-rectangular express tunnel in Shanghai, China, are used as the
reference case in this study [22]. The sub-rectangular tunnel dimensions are 9.7 m in width
and 7.2 m in height (Figure 1). The tunnel is supported by a segmental concrete lining of
0.5 m. For simplification purposes, a continuous lining was adopted without considering
the effect of joints. Based on this reference sub-rectangular tunnel, a circular tunnel with an
Appl. Sci. 2021, 11, x FOR PEER REVIEW 3 of 15
external diameter of 4.89 m, which has an equivalent utilization space area, is considered
for comparison purposes (Figure 2).
500
R9450

R500
R4850
6200
500

500 8700 500

Sub-rectangularexpress
Figure1.1.Sub-rectangular
Figure expresstunnel
tunnelin
inShanghai
Shanghai[22],
[22], distances
distances in
in millimeters.
millimeters.
0
 500
500 8700 500
Appl. Sci. 2021, 11, 9909 3 of 14

Figure 1. Sub-rectangular express tunnel in Shanghai [22], distances in millimeters.

500
8
88
500 8
38

R4
R1000 R4
R5350

6200
utilization space area

500
500 8700 500

Figure 2. Circular tunnel with the same utilization space area, distances in millimeters.
Figure 2. Circular tunnel with the same utilization space area, distances in millimeters.
2.2. Numerical Model for the Circular Tunnel
2.2. Numerical Model for the Circular Tunnel
Firstly, a numerical model for circular tunnels was developed using a finite difference
program Firstly,
(FLACa numerical
3D ) [24]. model for circular
The purpose was tunnels was developed
to investigate the behavior usingofa finite
circulardifference
tunnel
program (FLAC 3D) [24]. The purpose was to investigate the behavior of circular tunnel
linings under quasi-static loading and make a comparison with those obtained by an
linings under
analytical quasi-static loading and make a comparison with those obtained by an an-
solution.
alytical solution.
A 2D plane strain model was created (Figure 3). The soil mass is discretized into
A 2D plane
hexahedral zones. strain
The model
tunnelwas liningcreated (Figureusing
is modeled 3). The soil mass liner
embedded is discretized
elements, into hex-
which
ahedral
are zones.
attached Thezone
to the tunnel lining
faces alongis modeled
the tunnel using embedded
boundary with liner elements,
interfaces. Twowhich are
interface
attached towere
conditions the zone faces along
considered: no slipthe tunnel the
between boundary
soil andwith interfaces.
lining and full slip.TwoTheinterface con-
liner–zone
ditions were
interface considered:
stiffness (normalno slip between
stiffness the soil and
kn and tangential lining kand
stiffness s ) isfull slip. Thebased
determined liner–zone
on a
interface stiffness (normal stiffness k
given rule of thumb [24]. kn and ks are set equal to 100 times the equivalent stiffness ofon
n and tangential stiffness ks ) is determined based thea
Appl. Sci. 2021, 11, x FOR PEER
given ruleREVIEW
of thumbzone [24].[24]
kn and 4
stiffest neighboring for kthe
s are set equal
no-slip to 100case.
condition timesWhen
the equivalent
considering stiffness of the
the full-slip
stiffest neighboring
condition, zoneto[24]
ks is assigned for the
be equal to no-slip
zero. condition case. When considering the full-
slip condition, ks is assigned to be equal to zero.

Figure
Figure 3. Geometry
3. Geometry andand quasi-static
quasi-static loading
loading conditions
conditions forfor
thethe circular
circular tunnel
tunnel model
model [25].
[25].

The mesh is composed

The mesh is ofcomposed
a single layer
of aof zoneslayer
single in the
of y-direction,
zones in theand the element’s
y-direction, and the elem
dimension increases as one moves away from the tunnel. It reaches the maximum
dimension increases as one moves away from the tunnel. It reaches the maximum size of siz
2.6 × 1 m at 2.6
the xmodel
1 m atboundary
the model (Figure 3). The
boundary boundary
(Figure 3). The conditions
boundaryofconditions
the numerical
of the nume
model are 120model
m in the
are x-direction
120 m in theand 40 m in the
x-direction andz-direction.
40 m in theItz-direction.
consists of It
approximately
consists of approxima
4800 zones and 9802 nodes. The bottom of the model was blocked in all directions,
the vertical sides were fixed in the horizontal one.
In this study, similar to the research work of Sederat et al. [15], Do et al. [25],
Naggar and Hinchberger [26], ovaling deformations due to the seismic loading are
posed as inverted triangular displacements, along with the model lateral boundaries.
Appl. Sci. 2021, 11, 9909 4 of 14

4800 zones and 9802 nodes. The bottom of the model was blocked in all directions, and the
vertical sides were fixed in the horizontal one.
In this study, similar to the research work of Sederat et al. [15], Do et al. [25], and
Naggar and Hinchberger [26], ovaling deformations due to the seismic loading are imposed
as inverted triangular displacements, along with the model lateral boundaries. Uniform
horizontal displacements are applied along the top boundary (Figure 3). The magnitude
of the prescribed displacements assigned at the top of the model is dependent on the
maximum shear strain γmax , estimated based on the horizontal acceleration aH . The bottom
of the model is restrained in all directions.
Before applying the ovaling deformation due to seismic loading, a steady state of the
excavated tunnel under static conditions was established. When the tunneling process is
performed in a 2D plane strain model, it is assumed that ground displacements surrounding
the tunnel boundary prior to the lining installation are simulated by using the convergence
confinement method with a relaxation factor, λd , equal to 0.3 [25,27]. The numerical
simulation of the tunnel ovaling was therefore performed through the following steps:
• Step 1: In situ state of stresses before tunnel construction.
• Step 2: Excavation of the tunnel and use of the convergence confinement process with
a relaxation factor, γd , of 0.3. The concrete lining is then activated on the tunnel’s
periphery.
• Step 3: Assigning ovaling deformations caused by the seismic loading on the model
boundaries using the prescribed displacements previously mentioned.
It should be noted that only incremental internal forces are presented in this study.
They are determined by subtracting the total lining forces computed at the end of the static
loading (step 2) from those determined at the end of the ovaling step (step 3).

2.3. Comparison of the Numerical and Analytical Model for the Circular Tunnel Case Study
For validation purposes of the numerical model subjected to quasi-static loading,
the well-known analytical solution proposed by Wang [9], and thereafter improved by
Kouretzis [16], was used for comparison with the results obtained from the numerical
model. Several authors showed that this solution is efficient and can be used for the seismic
design of circular tunnels [12,25]. It should be noted that Kouretzis [16] proposed an
expression of the maximum incremental bending moment under the no-slip condition,
which was not mentioned by Wang [9]. Parameters shown in Table 1 were adopted
in this section as the reference case. The soil and tunnel lining material properties in
numerical models were assumed to be linear elastic and massless. These assumptions were
also adopted in the analytical solution. An anisotropic stress field was assigned in the
numerical model with a lateral earth pressure coefficient at rest, K0 , of 0.5.
Figure 4 illustrates the distribution of the incremental internal forces induced in the
tunnel lining under seismic loading. The conditions of lining and soil interaction, when
using the Wang solution and FLAC3D , were considered for both cases of no slip and full
slip. The soil and tunnel lining parameters fed into the model are presented in Table 1. The
results obtained by numerical and analytical models are in good agreement. Figure 4a,c
show that the maximum incremental bending moment in the full-slip case is 14% larger
than that obtained in the no-slip case. In contrast, the maximum incremental normal forces
in the full-slip case are smaller than those in the no-slip case (Figure 4b,d).
 Appl. Sci. 2021, 11, x FOR PEER REVIEW 5 of 15
Appl. Sci. 2021, 11, 9909 5 of 14

the analytical solution. An anisotropic stress field was assigned in the numerical model
with1.a Input
Table lateralparameters
earth pressure
for thecoefficient
reference case study.K0, of 0.5.
at rest,

Table Parameter
1. Input parameters for theSymbol
reference case study. Unit Value
Soil properties Parameter Symbol Unit Value
Unit weight γ kN/m3 18
Soil properties
Young’s modulus E MPa 100
Poisson’s ratio Unit weight ν γ- kN/m3 0.34 18
Young’s modulus
Internal friction angle φ E
degrees MPa 33 100
Cohesion Poisson’s ratio c kPa
ν - 0 0.34
Lateral earth pressure
Internal friction angle
K0 ϕ- degrees 0.5 33
coefficient
Depth of tunnel Cohesion H c
m kPa 20 0
Peak Lateral earth pressure coefficient
horizontal K0 - 0.5
acceleration atDepth of tunnelaH Hg m 0.5 20
ground surface acceleration at ground surface
Peak horizontal aH g 0.5
Tunnel lining properties
Tunnel lining properties
Young’s modulus El GPa 35
Poisson’s ratioYoung’s modulus νl E-l GPa 0.15 35
Lining thicknessPoisson’s ratio t νml - 0.5 0.15
External diameter Lining thicknessD m
t m 9.76 0.5
External diameter D m 9.76
In the section below, a parametric study is conducted to highlight the behavior of
Figure
circular tunnel 4 illustrates the distribution
lining subjected of theloadings
to quasi-static incremental internal the
considering forces induced
effect in the
of Young’s
tunnel lining
modulus under seismic
E, horizontal seismicloading. The conditions
acceleration of lining
aH , and tunnel andthickness
lining soil interaction, when
t variations.
using the Wang
Parameters of the solution and FLAC
soil and tunnel 3D, presented
lining were considered
in Tablefor both
1 are cases of
adopted fornothe
slip and full
reference
case
slip.study.
The soil and tunnel lining parameters fed into the model are presented in Table 1.
The Both maximum
results obtainedand minimum and
by numerical incremental
analyticalbending
modelsmoments
are in good areagreement.
presented. Figure
They
are both
4a,c showlabelled
that the“extreme
maximum incremental bending
incremental moment”.
bending Similarly,
moment in theextreme
full-slipincremental
case is 14%
normal forces
larger than representing
that obtained inboth the maximum
the no-slip and minimum
case. In contrast, incremental
the maximum normal normal
incremental forces
induced in the tunnel lining are presented.
forces in the full-slip case are smaller than those in the no-slip case (Figure 4b,d).

Wang solution:
45°
45°

No_Slip case: Mmax = 0.738 MNm/m No_Slip case: Nmax = 0.894 MN/m
Full_Slip case: Mmax = 0.845 MNm/m Full_Slip case: Nmax = 0.173 MN/m

(a) (b)
Numerical solution (FLAC ): 3D

Figure 4. Cont.
 Appl.Sci.
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2021,11,
11,9909
x FOR PEER REVIEW 66 of
of 14
15

45°
45°
No_Slip case: Mmax = 0.741 MNm/m No_Slip case: Nmax = 0.903 MN/m

Full_Slip case: Mmax = 0.834 MNm/m Full_Slip case: Nmax = 0.169 MN/m

(c) (d)
Figure4.4.Distribution
Figure Distributionofof the
the incremental
incremental internal
internal forces
forces in circular
in the the circular tunnel
tunnel by FLAC
by FLAC
3D and Wang solution. (a) Incre-
3D and Wang solution. (a) Incremental
mental bending moments; (b) incremental normal forces; (c) incremental bending moments;
bending moments; (b) incremental normal forces; (c) incremental bending moments; (d) incremental (d) incremental
normalnormal
forces. forces.

In the section below, a parametric study is conducted to highlight the behavior of

2.3.1. Effect
circular of the
tunnel Peaksubjected
lining Horizontal to Seismic Acceleration
quasi-static loadings (a H)
considering the effect of Young’s
modulus E, horizontal
A parametric seismic
study was acceleration
conducted aH, and the
to investigate tunnel lining
seismic thickness
loading t variations.
magnitude effects
Parameters of
represented theby
here soil
theand tunnel lining
maximum presented
horizontal in Table a1Hare
acceleration, adopted
. The for the
maximum reference
horizontal
case study. is varied in the range between 0.05 and 0.75 g, corresponding to the respectively
acceleration
Appl. Sci. 2021, 11, x FOR PEER REVIEW 7 of 15
maximumBoth shear
maximum and
strains, minimum
γmax, incremental
of 0.038 and bending
0.58%. The moments are
other parameters presented.
of the reference They
case
are
in both1labelled
Table are used.“extreme incremental
The following bending
conclusions canmoment”.
be deduced Similarly, extreme
from Figure 5: incremental
normal forces representing both the maximum and minimum incremental normal forces
1.5 induced in the tunnel lining are presented.1.5
Extreme Incremental Normal Forces N (MN/m)
Extrme Incremental Bending Moment M

1 1
2.3.1. Effect of the Peak Horizontal Seismic Acceleration (aH)
0.5
A parametric study was conducted 0.5 to investigate the seismic loading magnitude ef-
0 fects represented here by the maximum 0 horizontal acceleration, aH. The maximum hori-
(MNm/m)

zontal acceleration is varied in the range between 0.05 and 0.75 g, corresponding to the
-0.5 -0.5
respectively maximum shear strains, γmax, of 0.038 and 0.58%. The other parameters of the
-1 reference case in Table 1 are used. The -1 following conclusions can be deduced from Figure
5:
-1.5 Mmax-Flac3D-ns Mmax-Flac3D-fs -1.5 Nmax-Flac3D-ns Nmax-Flac3D-fs
Mmax-Wang-nsFor both the no-slip and full-slip conditions,
Mmax-Wang-fs numerical results
Nmax-Wang-ns
show good agreement
Nmax-Wang-fs
-2 Mmin-Flac3D-ns Mmin-Flac3D-fs
with the analytical solution. A discrepancy-2 ofNmin-Flac3D-ns
approximately 1% for both the extreme in-
Nmin-Flac3D-fs
Mmin-Wang-ns Mmin-Wang-fs Nmin-Wang-ns Nmin-Wang-fs
cremental bending moments and normal forces is obtained.
-2.5 -2.5
0 0.1 0.2 0.3 The
0.4 absolute
0.5 0.6 values
0.7 of
0.8 the extreme0 incremental
0.1 0.2 bending
0.3 0.4 moments
0.5 0.6 and
0.7 normal
0.8 forces
increased
aH (g) gradually with the aH increase from 0.05 to 0.75 ag. Incremental bending moments
H (g)

for both no-slip and full-slip conditions are strongly dependent on the aH value (Figure
5a).(a)However, while incremental normal forces in the tunnel (b) lining for the no-slip condi-
Figure 5.5. Effect
Figure Effect of
of aaHH on thetion
on the are strongly
extreme
extreme incremental
incremental
affected by forces
internal
internal
the aHofvalue,
forces of
insignificant
thecircular
the circular incremental
tunnellining.
tunnel lining. normal
(a) Extreme
(a) Extreme forces varia-
incremental
incremental
tions due to aH for the full-slip condition are observed (Figure 5b).
bending moments; (b) Extreme incremental normal forces.
bending moments; (b) Extreme incremental normal forces.

2.3.2.For
Effect
bothofthe
theno-slip
Soil Young’s Modulus
and full-slip E
conditions, numerical results show good agreement
with The
the analytical
soil Young’s modulus is assumed to fall in a range from1%
solution. A discrepancy of approximately for350
10 to both theThe
MPa. extreme
other
incremental bending moments and normal forces is obtained.
parameters presented in Table 1, based on the reference case study, were used as the input
data.The
Theabsolute
numericalvalues of the
results extreme
obtained byincremental bending
using the FLAC moments and
3D comparison withnormal
Wang’s forces
ana-
increased gradually
lytical method with
for the the aH increase
full-slip fromconditions
and no-slip 0.05 to 0.75are
g. presented
Incrementalinbending
Figure 6.moments
The ob-
servations discussed below were made.
1.25
s N (MN/m)

1.5
oment M

1
0.75
 Extreme Incrementa
Extrme Increme
(
-1 -1

-1.5 Mmax-Flac3D-ns Mmax-Flac3D-fs -1.5 Nmax-Flac3D-ns Nmax-Flac3D-fs

Mmax-Wang-ns Mmax-Wang-fs Nmax-Wang-ns Nmax-Wang-fs
-2 Mmin-Flac3D-ns Mmin-Flac3D-fs -2 Nmin-Flac3D-ns Nmin-Flac3D-fs
Appl. Sci. 2021, 11, 9909 Mmin-Wang-ns Mmin-Wang-fs Nmin-Wang-ns Nmin-Wang-fs 7 of 14
-2.5 -2.5
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
aH (g) aH (g)

for both no-slip and full-slip conditions are strongly dependent on the aH value (Figure 5a).
(a) (b)
However, while incremental normal forces in the tunnel lining for the no-slip condition are
strongly
Figure 5. Effect of aH on the extremeaffected by the
incremental aH value,
internal insignificant
forces incremental
of the circular normal
tunnel lining. forces variations
(a) Extreme due to
incremental
bending moments; (b) Extreme incremental
aH for normal
the full-slip forces. are observed (Figure 5b).
condition

2.3.2.
2.3.2. Effect of the Soil Young’s
Young’s Modulus
ModulusEE
The Young’s modulus
The soil Young’s modulusisisassumed
assumedtoto fall
fall in in a range
a range fromfrom 10350
10 to to MPa.
350 MPa. The
The other
other parameters
parameters presented
presented in Table
in Table 1, based
1, based on theon the reference
reference case study,
case study, were were used
used as theas the
input
input data. The numerical results obtained by using the FLAC 3D comparison with Wang’s
data. The numerical results obtained by using the FLAC comparison with Wang’s ana-
3D

analytical method
lytical method for for
the the full-slip
full-slip andand no-slip
no-slip conditions
conditions are are presented
presented in Figure
in Figure 6. The
6. The ob-
observations discussed below were
servations discussed below were made. made.

1.25

Extreme Incremental Normal Forces N (MN/m)

1.5
Extreme Incremental Bending Moment M

1
0.75
0.5

Mmax-Flac3D-ns Mmax-Flac3D-fs 0
0.25
(MNm/m)

Mmax-Wang-ns Mmax-Wang-fs -0.5

Mmin-Flac3D-ns Mmin-Flac3D-fs
-0.25 Mmin-Wang-ns Mmin-Wang-fs -1

-1.5
Nmax-Flac3D-ns Nmax-Flac3D-fs
-0.75 -2 Nmax-Wang-ns Nmax-Wang-fs
Nmin-Flac3D-ns Nmin-Flac3D-fs
-2.5
Nmin-Wang-ns Nmin-Wang-fs
-1.25 -3
0 50 100 150 200 250 300 350 0 50 100 150 200 250 300 350

Young's Modulus E (MPa) Young's Modulus E (MPa)

(a) (b)
Figure 6.
Figure 6. Effect
Effect of
of EEon
onthe
theincremental
incrementalinternal
internalforces
forcesofof
the circular
the tunnel
circular lining.
tunnel (a) Extreme
lining. incremental
(a) Extreme bending
incremental mo-
bending
ments; (b) extreme incremental normal forces.
moments; (b) extreme incremental normal forces.

Figure 66 shows
Figure shows good
good agreement
agreement of of the
the incremental
incremental bending
bending moments
moments andand normal
normal
forces induced
forces inducedininthethe tunnel
tunnel lining
lining under
under seismic
seismic loading,
loading, obtained
obtained by theby the numerical
numerical model
model
and theand the analytical
analytical solutionsolution
for bothfor both and
no-slip no-slip and full-slip
full-slip conditions
conditions when consider-
when considering the E
ing the E variation.
variation. The maximumThe maximum
differencedifference
is smaller is smaller
than 2%. than 2%.
The
The extreme
extreme incremental
incremental bending
bending moments
momentsare arestrongly
stronglydependent
dependenton theEEvalue
onthe value as
as
seen
seen in
in Figure
Figure 6a.
6a. The
The absolute
absolute values
values ofof the
the extreme
extreme incremental
incremental bending
bending moments
moments are
are
reached for EE values
reached for values close
close to
to 50
50 MPa.
MPa. There
There is is aa rapid
rapid decrease
decrease in
in the
the absolute
absolute extreme
extreme
incremental
incremental bending
bending moments
moments when the EE value
when the value reduces
reduces from
from 2525 to
to 10
10MPa.
MPa. When the EE
When the
values are larger than 50 MPa, an increase in E induces a decrease in the absolute extreme
incremental bending moments. This correlation of the extreme incremental bending mo-
ments is observed in both full-slip and no-slip conditions. It should be noted that for the
same E value, the absolute extreme incremental bending moments induced in the tunnel
lining for the no-slip condition are always 10 to 15% smaller than the full-slip ones.
While the extreme incremental normal forces in the full-slip conditions are insignifi-
cantly dependent on the E value (Figure 6b), an increase in E can cause a rapid increase in
the maximum and minimum incremental normal forces in the tunnel lining for the no-slip
condition. As predicted, incremental normal forces for the no-slip condition are always
larger than the full-slip ones.

2.3.3. Effect of the Lining Thickness

The tunnel lining thickness was assumed to vary between 0.2 to 0.8 m, corresponding
to a lining thickness vs. tunnel dimension ratio of 3 to 8.5% [28], while the other parameters
are based on the reference case assumed in Table 1. Similar to what happens when
 considering the soil Young’s modulus E and horizontal seismic acceleration aH effects, the
results presented in Figure 7 show good agreement between analytical and numerical
models for both no-slip and full-slip conditions. The discrepancy is under 1% for both the
incremental bending moments and normal forces.
Appl. Sci. 2021, 11, 9909 In general, the absolute extreme incremental bending moment and normal force val-
8 of 14
ues gradually increase when the lining thickness t increases from 0.2 to 0.8 m. This con-
cerns both the full-slip and no-slip conditions. The incremental bending moments for the
no-slip condition are always smaller than the full-slip ones (Figure 7a). The biggest differ-
considering the soil Young’s modulus E and horizontal seismic acceleration aH effects,
ence of 14% was obtained for a lining thickness of 0.8 m. It should be noted that the incre-
the results presented in Figure 7 show good agreement between analytical and numerical
mental normal forces variations caused by the lining thickness increase are less significant
models for both no-slip and full-slip conditions. The discrepancy is under 1% for both the
when compared to the incremental bending moment ones (Figure 7a,b).
incremental bending moments and normal forces.

Extreme Incremental Normal Forces N (MN/m)

Extreme Incremental Bending Moment M

1
1.5

0.5
1
Mmax-Flac3D-ns
0.5
Mmax-Flac3D-fs
0
(MNm/m)

Mmax-Wang-ns
Mmax-Wang-fs
0
Mmin-Flac3D-ns -0.5
Mmin-Flac3D-fs
-0.5
Mmin-Wang-ns
Mmin-Wang-fs -1
-1 Nmax-Flac3D-ns Nmax-Flac3D-fs
Nmax-Wang-ns Nmax-Wang-fs
-1.5
-1.5 Nmin-Flac3D-ns Nmin-Flac3D-fs
Nmin-Wang-ns Nmin-Wang-fs
-2 -2
0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
Lining thickness (m) Lining thickness (m)

(a) (b)
Figure7.7.Effect
Figure Effectofofthe
the lining
lining thickness
thickness on on
thethe incremental
incremental internal
internal forces
forces in theincircular
the circular
tunneltunnel
lining.lining. (a) Extreme
(a) Extreme incre-
incremental
mental bending moments; (b) extreme incremental
bending moments; (b) extreme incremental normal forces. normal forces.

Based
In on the
general, theabove comparison
absolute between thebending
extreme incremental analytical solution
moment andand numerical
normal model
force values
when considering Young’s modulus E, horizontal seismic acceleration a ,
gradually increase when the lining thickness t increases from 0.2 to 0.8 m. This concerns
H and tunnel lin-
ing thickness t, which show good agreement between the analytical solution
both the full-slip and no-slip conditions. The incremental bending moments for the no-slip and numer-
ical model,are
condition it is reasonable
always to conclude
smaller that the circular
than the full-slip tunnel
ones (Figure numerical
7a). model
The biggest developed
difference of
can be
14% wasused to investigate
obtained the thickness
for a lining behavior ofof circular
0.8 m. Ittunnels
shouldsubjected to seismic
be noted that loadings.
the incremental
normal forces variations caused by the lining thickness increase are less significant when
2.4. Development
compared of a Numerical
to the incremental Model for
bending Sub-Rectangular
moment Tunnels
ones (Figure 7a,b).
Based on the above comparison between the analytical solution and numerical model
when considering Young’s modulus E, horizontal seismic acceleration aH , and tunnel lining
thickness t, which show good agreement between the analytical solution and numerical
model, it is reasonable to conclude that the circular tunnel numerical model developed can
be used to investigate the behavior of circular tunnels subjected to seismic loadings.

2.4. Development of a Numerical Model for Sub-Rectangular Tunnels

In this section, a numerical model was developed for the sub-rectangular tunnel case
using similar soil parameters, lining material, and modeling processes to consider the static
and seismic loadings introduced above. The tunnel shape is modified into a sub-rectangular
geometry, and the gravity effect is taken into consideration. The mesh consists of a single
layer of zones in the y-direction, and the dimension of the elements increases as one moves
away from the tunnel (Figure 8). The geometry parameters of sub-rectangular tunnels
are presented in Figure 1, and other parameters presented in Table 1 are adopted. The
numerical model is 120 m wide in the x-direction, 40 m high in the z-direction, and consists
of approximately 5816 elements and 11,870 nodes. The bottom of the model was blocked
in all directions, and the vertical sides were fixed in the horizontal one.
 of a single layer of zones in the y-direction, and the dimension of the elements increases
as one moves away from the tunnel (Figure 8). The geometry parameters of sub-rectangu-
lar tunnels are presented in Figure 1, and other parameters presented in Table 1 are
adopted. The numerical model is 120 m wide in the x-direction, 40 m high in the z-direc-
Appl. Sci. 2021, 11, 9909 tion, and consists of approximately 5816 elements and 11,870 nodes. The bottom of9 of the
14
model was blocked in all directions, and the vertical sides were fixed in the horizontal
Prescribed displacement one.

Figure
Figure 8.
8. Geometry
Geometryand
andquasi-static
quasi-static loading
loading conditions
conditions in
in the
the numerical
numerical model
model of
of aa sub-rectangular
sub-rectangular tunnel.
tunnel.

3.
3. Parametric
ParametricStudy
StudyofofSub-Rectangular
Sub-RectangularTunnels
Tunnels in in Quasi-Static
Quasi-Static Conditions
Conditions
Figure
Figure 9 introduces the incremental bending moments and normal forces
9 introduces the incremental bending moments and normal forces induced
induced in in
Appl. Sci. 2021, 11, x FOR PEER REVIEWthe sub-rectangular tunnel linings subjected to seismic loadings and considers 10 of
both no- 15
the sub-rectangular tunnel linings subjected to seismic loadings and considers both no-slip
slip
and and full-slip
full-slip conditions.
conditions. Parameters
Parameters of theof the reference
reference case presented
case presented in Tablein1 are
Table 1 are
adopted.
adopted.
Figures 4 and 9 provide a clear understanding of the behavior of circular and sub-
rectangular tunnel linings under seismic loadings. The positions at the tunnel periphery,
where the extreme incremental internal forces are reached, are positioned. It can be seen
from Figure 9 that extreme incremental bending moments and normal forces observed in
the sub-rectangular tunnel appear at the tunnel lining corners where the smaller lining

3 3°
radii are located. In the following sections, a numerical investigation was conducted to
33°

highlight the behavior of a sub-rectangular tunnel compared with a circular shape. These
two tunnels have the same utilization space area and are twice subjected to seismic load-
No_Slip case: Mmax = 0.900 MNm/m No_Slip case: Nmax = 0.791 MN/m
ings while considering the effect of parameters, such as the horizontal seismic accelera-
Full_Slip case: Mmax
tion, = 0.807
soil MNm/m modulus, and lining
deformation Full_Slip case: Nmax
thickness. The =effects
0.159 MN/m
of the soil–lining inter-
face condition are also investigated.

(a) (b)
Figure 9.
Figure 9. Distribution
Distribution of
of the
theincremental
incrementalbending
bendingmoments
momentsand
andnormal
normalforces
forcesininthe
thesub-rectangular
sub-rectangular tunnel.
tunnel. (a)(a) incremen-
incremental
tal bending moment; (b) incremental normal
bending moment; (b) incremental normal forces. forces.

3.1. Effect
Figuresof the Peak9Horizontal
4 and provide aSeismic Acceleration (aHof
clear understanding ) the behavior of circular and sub-
rectangular tunnelvalues
Shear strain linings under seismictoloadings.
corresponding a range of The positions at
a maximum the tunnelacceleration
horizontal periphery,
where
varying the extreme
from incremental
0.05 and 0.75 g wereinternal
adopted forces arestudy.
in this reached, are positioned.
In general, It canloadings
high seismic be seen
from Figure 9 that extreme incremental bending moments and normal forces
are implied by a high horizontal acceleration aH, and therefore shear strain values of γmax observed in,
the sub-rectangular tunnel appear at the tunnel lining corners where
and result in high absolute extreme incremental bending moments and normal forces. The the smaller lining
radii are located.
relationship In linear
is quite the following sections, a numerical investigation was conducted to
(Figure 10).
highlight the behavior of a sub-rectangular
The results presented in Figure 10a show tunnel
that,compared with acondition,
for the no-slip circular shape. These
absolute ex-
two
tremetunnels have the
incremental same utilization
bending momentsspacein thearea and are twicelining
sub-rectangular subjected to seismic
are 20% largerloadings
than the
while
circularconsidering the effectfor
ones. Nevertheless, ofthe
parameters, such as the
full-slip condition, horizontal
absolute seismic
extreme acceleration,
incremental bend-
soil deformation modulus, and lining thickness. The effects of the soil–lining
ing moments in the circular lining are approximately 4% greater than the sub-rectangular interface
condition
ones. In the arecase
also of
investigated.
sub-rectangular linings, absolute extreme incremental bending mo-
ments for the full-slip condition are always lower by about 10% than the no-slip ones. This
3.1. Effect of the Peak Horizontal Seismic Acceleration (aH )
relationship is opposite to that observed in the cases of the circular-shaped tunnel (Figure
10a).Shear strain values corresponding to a range of a maximum horizontal acceleration
varying from
It can be0.05
seenandin 0.75
Figureg were
10b adopted
that for in thisshapes
both study. of
In general,
tunnels, high seismic loadings
the absolute extreme
are implied by a high horizontal acceleration aH , and therefore shear strain values of γmax ,
incremental normal forces for the no-slip condition are approximately 80% larger than the
full-slip ones. Unlike the incremental bending moments mentioned above, the absolute
extreme incremental normal forces of the sub-rectangular lining are approximately 9%
lower than the circular lining ones, for both the no-slip and full-slip conditions and when
changing the horizontal acceleration (Figure 10b).
Appl. Sci. 2021, 11, 9909 10 of 14

Appl. Sci. 2021, 11, x FOR PEER REVIEW 11 of 15

and result in high absolute extreme incremental bending moments and normal forces. The
relationship is quite linear (Figure 10).

1.5 1.5

Extrme Incremental Normal Forces N (MN/m)

Extreme Incremental Bending Moment M

1 1

0.5 0.5

0 0
(MNm/m)

-0.5 -0.5

-1 -1

-1.5 Mmax-SR-ns Mmax-SR-fs -1.5 Nmax-SR-ns Nmax-SR-fs

Mmax-Circular-ns Mmax-Circular-fs Nmax-Circular-ns Nmax-Circular-fs
-2 Mmin-SR-ns Mmin-SR-fs -2 Nmin-SR-ns Nmin-SR-fs
Mmin-Circular-ns Mmin-Circular-fs Nmin-Circular-ns Nmin-Circular-fs
-2.5 -2.5
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
aH (g) aH (g)

(a) (b)
Figure
Figure 10.
10. Effect
Effectofofthe
theaHavalue on the internal forces of circular and sub-rectangular tunnel linings. (a) Incremental bend-
H value on the internal forces of circular and sub-rectangular tunnel linings. (a) Incremental
ing moments; (b) incremental normal
bending moments; (b) incremental normal forces.
forces.

3.2. Effect of the Soil

The results Young’s
presented inModulus
Figure 10a(E)show that, for the no-slip condition, absolute extreme
incremental bending moments
The soil Young’s modulus values in the sub-rectangular
are assumed lining
to vary arein20%
thelarger
rangethan
fromthe 10circular
to 350
ones. Nevertheless, for the full-slip condition, absolute extreme
MPa while keeping K0 equal to 0.5 and aH of 0.5 g. The other parameters based incremental bending moments
on the
in the circular
reference case lining are approximately
are assumed (Table 1). The4% greater than
following thebesub-rectangular
can seen from Figure ones.
11.In the case
of sub-rectangular
For low E values linings, absolute
smaller thanextreme
50 MPa,incremental
an increasebending moments
in E induces for the full-slip
an increase in the
condition are always lower by about 10% than the no-slip ones. This
absolute extreme incremental bending moments. When the E value is greater than 50 MPa, relationship is opposite
to that
the observed
increase in E in the cases
causes of the circular-shaped
a decrease in the absolute tunnel
extreme (Figure 10a). bending moments
incremental
(Figure 11a). It should be noted that the dependency of the absolutethe
It can be seen in Figure 10b that for both shapes of tunnels, absolute
extreme extreme
incremental
incremental normal forces for the no-slip condition are approximately
bending moments in the sub-rectangular tunnels on the E value is insignificant compared 80% larger than the
full-slip ones. Unlike the incremental bending moments mentioned
to the circular-shaped tunnels (Figure 11a). It is also worth highlighting that while the above, the absolute
extreme extreme
absolute incremental normal forces
incremental bending of moments
the sub-rectangular
of the circularlining are for
tunnel approximately
the no-slip con-9%
lower than the circular lining ones, for both the no-slip and full-slip conditions
dition are smaller than the corresponding full-slip ones [9,25], the absolute extreme incre- and when
changing
mental the horizontal
bending moments acceleration (Figure 10b). tunnel for the no-slip condition are
of the sub-rectangular
greater than
3.2. Effect theSoil
of the corresponding full-slip
Young’s Modulus (E) ones. The behavior of sub-rectangular tunnels is
different from the circular-shaped tunnels. The same conclusion was also obtained when
The soil Young’s modulus values are assumed to vary in the range from 10 to 350 MPa
considering the horizontal seismic acceleration aH.
while keeping K0 equal to 0.5 and aH of 0.5 g. The other parameters based on the reference
Figure 11a also shows greater absolute extreme incremental bending moments in-
case are assumed (Table 1). The following can be seen from Figure 11.
duced in sub-rectangular tunnels for the no-slip condition compared with circular tunnels
For low E values smaller than 50 MPa, an increase in E induces an increase in the
with the same utilization space area. However, in the full-slip condition, absolute extreme
absolute extreme incremental bending moments. When the E value is greater than 50 MPa,
incremental bending moments in the circular tunnel are greater than the sub-rectangular
the increase in E causes a decrease in the absolute extreme incremental bending moments
ones for E values smaller than approximately 150 MPa. When E values are larger than 150
(Figure 11a). It should be noted that the dependency of the absolute extreme incremental
MPa, absolute extreme incremental bending moments developed in circular tunnels are
bending moments in the sub-rectangular tunnels on the E value is insignificant compared
smaller than in sub-rectangular tunnels.
to the circular-shaped tunnels (Figure 11a). It is also worth highlighting that while the
Figure 11b indicates that an increase in E value causes a significant corresponding
absolute extreme incremental bending moments of the circular tunnel for the no-slip
increase
condition inare
thesmaller
absolute extreme
than normal forces full-slip
the corresponding in both sub-rectangular and circular
ones [9,25], the absolute tun-
extreme
nels for the no-slip
incremental bending condition.
momentsHowever, it induces an insignificant
of the sub-rectangular tunnel for thechange
no-slipincondition
absolute are
ex-
treme incremental normal forces for the full-slip condition. Absolute extreme
greater than the corresponding full-slip ones. The behavior of sub-rectangular tunnels isincremental
normal
differentforces
fromin the
the sub-rectangular
circular-shaped tunnelsThe
tunnels. aresame
generally 10% smaller
conclusion than
was also for the circu-
obtained when
lar tunnels.
considering the horizontal seismic acceleration a . H
 Appl.Sci.
Appl. Sci.2021,
2021,11,
11,9909
x FOR PEER REVIEW 12 of 14
11 of 15

Extreme Incremental Normal Forces N (MN/m)

Extreme Incremental Bending Moment M

1.5

1
0.5 0.5

Mmax-SR-ns Mmax-SR-fs 0
(MNm/m)

Mmax-Circular-ns Mmax-Circular-fs
0 Mmin-SR-ns Mmin-SR-fs -0.5
Mmin-Circular-ns Mmin-Circular-fs
-1

-1.5
-0.5 Nmax-SR-ns Nmax-SR-fs
-2 Nmax-Circular-ns Nmax-Circular-fs
Nmin-SR-ns Nmin-SR-fs
-2.5
Nmin-Circular-ns Nmin-Circular-fs
-1 -3
0 50 100 150 200 250 300 350 0 50 100 150 200 250 300 350
Young's Modulus E (MPa) Young's Modulus E (MPa)

(a) (b)
Figure11.
Figure 11.Effect
Effectof
ofthe
theEEvalue
valueon
onthe
theinternal
internalforces
forcesfor
forthe
thecircular
circularand
andsub-rectangular
sub-rectangulartunnel
tunnellinings.
linings.(a)
(a)Incremental
Incremental
bending moments; (b) incremental normal forces.
bending moments; (b) incremental normal forces.

3.3. Effect
Figureof11a
the also
Lining Thickness
shows (t)absolute extreme incremental bending moments induced
greater
in sub-rectangular tunnelstfor
The lining thickness the no-slip
is assumed to condition compared
vary in the with circular
range between 0.2 andtunnels with
0.8 m while
the same utilization space area. However, in the full-slip condition, absolute
keeping K0 value of 0.5, an aH value of 0.5 g, and an E value of 100 MPa. Other parameters extreme
incremental
introduced in bending
Table 1moments in the circular
were adopted. tunnel
The results are greater
presented than the
in Figure 12 sub-rectangular
indicate that the
ones
liningfor E valueshas
thickness smaller than
a great approximately
effect 150 MPa.
on the incremental internal E values
Whenforces are larger
for both than
sub-rectan-
150 MPa,
gular andabsolute
circularextreme
tunnels incremental
and in both bending moments
no-slip and developed
full-slip in The
conditions. circular tunnels
relationship
are smaller
between than
the in sub-rectangular
lining thickness and the tunnels.
incremental internal forces for the considered cases
Figure 11b
is quite linear. indicates that an increase in E value causes a significant corresponding
increase in the absolute extreme normal forces in both sub-rectangular and circular tunnels
for the no-slip condition. However, it induces an insignificant change in absolute extreme
2
incremental normal forces for the full-slip condition. Absolute extreme incremental normal
Extreme Incremental Bending Moment M

Extreme Incremental Normal Forces N (MN/m)

1
1.5 forces in the sub-rectangular tunnels are generally 10% smaller than for the circular tunnels.
1 0.5
3.3. Effect of the Lining Thickness (t)
Mmax-SR-ns
0.5 The liningMmax-SR-fs
thickness t is assumed0 to vary in the range between 0.2 and 0.8 m while
(MNm/m)

Mmax-Circular-ns
keeping K0 value of 0.5, an aH value of 0.5 g, and an E value of 100 MPa. Other parameters
Mmax-Circular-fs
0 Mmin-SR-ns
introduced in Table 1 were adopted. -0.5
Mmin-SR-fs
The results presented in Figure 12 indicate that the lin-
-0.5 ing thickness has a great effect on the incremental internal forces for both sub-rectangular
Mmin-Circular-ns
Mmin-Circular-fs -1
and circular tunnels and in both no-slip and full-slip conditions. The relationship be-
-1 Nmax-SR-ns Nmax-SR-fs
tween the lining thickness and the incrementalNmax-Circular-ns
internal forces Mmax-Circular-fs
for the considered cases is
-1.5
-1.5 quite linear. Nmin-SR-ns Nmin-SR-fs

-2
For the no-slip condition, absolute -2
extremeNmin-Circular-ns
incremental bendingMmin-Circular-fs
moments of the sub-
0.2 0.3 0.4rectangular
0.5 0.6 linings
0.7 are
0.8 always
0.9 larger than
0.1 the
0.2 circular
0.3 ones0.5(Figure
0.4 0.6 12a).
0.7 The
0.8 discrepancy
0.9
declined gradually
Lining thickness (m) from 124 to 6%, corresponding to the lining
Lining thickness
thickness (m) increase from 0.2 to
0.8 m. In the full-slip conditions, considering a lining thickness smaller than approximately
(a) the absolute extreme incremental bending moments
0.5 m, (b) of the sub-rectangular linings
are still larger than the circular ones, similar to the no-slip condition presented earlier.
Figure 12. Effect of the lining thickness on the incremental internal forces of the circular and sub-rectangular tunnel linings.
However,
(a) Incremental bending moments; (b) when the lining
incremental thickness
normal forces. is larger than 0.5 m, the opposite result is obtained, as
shown in Figure 12a. Thus, larger absolute extreme incremental bending moments on the
circular
Fortunnels are observed.
the no-slip condition, absolute extreme incremental bending moments of the sub-
rectangular linings are always larger than the circular ones (Figure 12a). The discrepancy
declined gradually from 124 to 6%, corresponding to the lining thickness increase from
0.2 to 0.8 m. In the full-slip conditions, considering a lining thickness smaller than approx-
imately 0.5 m, the absolute extreme incremental bending moments of the sub-rectangular
 keeping K0 value of 0.5, an aH value of 0.5 g, and an E value of 100 MPa. Other parameters
introduced in Table 1 were adopted. The results presented in Figure 12 indicate that the
lining thickness has a great effect on the incremental internal forces for both sub-rectan-
gular and circular tunnels and in both no-slip and full-slip conditions. The relationship
Appl. Sci. 2021, 11, 9909 between the lining thickness and the incremental internal forces for the considered12cases
of 14
is quite linear.

2
Extreme Incremental Bending Moment M

Extreme Incremental Normal Forces N (MN/m)

1
1.5

1 0.5
Mmax-SR-ns
0.5 Mmax-SR-fs
0
(MNm/m)

Mmax-Circular-ns
Mmax-Circular-fs
0 Mmin-SR-ns -0.5
Mmin-SR-fs
-0.5 Mmin-Circular-ns
Mmin-Circular-fs -1
-1 Nmax-SR-ns Nmax-SR-fs
Nmax-Circular-ns Mmax-Circular-fs
-1.5
-1.5 Nmin-SR-ns Nmin-SR-fs
Nmin-Circular-ns Mmin-Circular-fs
-2 -2
0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
Lining thickness (m) Lining thickness (m)

(a) (b)
Figure
Figure 12.
12. Effect
Effect of
ofthe
thelining
liningthickness
thicknessononthe
theincremental
incrementalinternal
internalforces
forcesof
ofthe
thecircular
circularand
andsub-rectangular
sub-rectangulartunnel
tunnellinings.
linings.
(a) Incremental
(a) Incremental bending
bending moments;
moments; (b)
(b) incremental
incremental normal
normal forces.
forces.

For thebeno-slip
It can seen incondition,
Figure 12b absolute
that theextreme incremental
incremental bending
normal forces moments
in the no-slipofcondition
the sub-
rectangular linings
are always larger arethe
than always larger
full-slip than
ones. In the circular ones
comparison with (Figure 12a). Thenormal
the incremental discrepancy
forces
declined gradually
of the circular lining,from 124 to 6%, corresponding
the incremental normal forces in tothe
thesub-rectangular
lining thicknesslining
increase from
are lower
0.2
by to 0.8 m.
about In the
9 and 25%full-slip conditions,
for no-slip considering
and full-slip a lining
conditions, thickness (Figure
respectively smaller 12b).
than approx-
imately 0.5 m, the absolute extreme incremental bending moments of the sub-rectangular
4. Conclusions
A 2D numerical study allowed an investigation of the behavior of sub-rectangular tun-
nel linings under seismic loadings. The influences of parameters, such as soil deformation,
maximum horizontal acceleration, lining thickness, and soil–lining interface conditions,
on the circular- and sub-rectangular-shaped tunnel behavior under seismic loading were
investigated. Considerable differences in the response of these tunnels were observed.
Based on the research results, the following conclusions can be drawn:
The horizontal acceleration aH , the soil Young’s modulus E, and lining thickness t
have a great effect on the incremental internal forces induced in both sub-rectangular and
circular tunnels for both no-slip and full-slip conditions.
In general, a higher seismic loading induced by a higher horizontal acceleration aH
will induce higher incremental bending moments and normal forces in both circular and
sub-rectangular tunnels. The relationship is quite linear.
The results proved that soil–lining interface conditions have a great influence on the
behavior of sub-rectangular tunnels. This is completely different when comparing the be-
havior of circular-shaped tunnels. Indeed, while the absolute extreme incremental bending
moments of a circular tunnel for the no-slip condition are smaller than the correspond-
ing full-slip ones, the absolute extreme incremental bending moments of sub-rectangular
tunnels for the no-slip condition are greater than the corresponding full-slip ones. This
represents an opposite trend to what can be observed in circular tunnel linings.
For all investigated case studies, absolute incremental normal forces for the no-slip
conditions are always larger than the full-slip ones, for both the circular and sub-rectangular
tunnels cases. Absolute extreme incremental normal forces in sub-rectangular tunnels are
approximately 10% smaller than the circular ones.
The dependency of the absolute extreme incremental bending moments induced on
the sub-rectangular tunnels on the soil Young’s modulus (E) is insignificant compared
with that on the circular ones. The soil Young’s modulus of 50 MPa could be considered
as a critical value for both tunnel shape cases. Beyond this value, the E increase induces
a decrease in the absolute extreme incremental bending moments. However, below this
Appl. Sci. 2021, 11, 9909 13 of 14

value, an increase in E value induces an increase in the absolute extreme incremental

bending moments.
An increase in the soil Young’s modulus (E) causes a significant corresponding increase
in the absolute extreme incremental normal forces for both sub-rectangular and circular
tunnels (no-slip condition). An insignificant change in the absolute extreme incremental
normal forces is observed for the full-slip conditions.
The numerical results obtained in the present study are useful for the preliminary
design of circular- and sub-rectangular-shaped tunnel linings under seismic loadings.
The joint distribution influence in the segmental lining on the tunnel behavior will be
considered in future research.

Author Contributions: V.V.P.: Methodology, software and validation, investigation, data curation,
writing—original draft preparation. N.A.D.: Conceptualization, methodology, software and vali-
dation, writing—review and editing. D.D.: Conceptualization, methodology, writing—review and
editing, supervision. All authors have read and agreed to the published version of the manuscript.
Funding: This research is supported by the Vietnam Ministry of Education and Training.
Institutional Review Board Statement: Not applicable.
Informed Consent Statement: Not applicable.
Conflicts of Interest: The authors declare no conflict of interest.

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