Theoretical Model of Shield Behavior During Excavation.

I: Theory
Mitsutaka Sugimoto1 and Aphichat Sramoon, M.ASCE2

Abstract: Closed-type shield tunneling methods were developed together with computer-aided automatic control systems. However,
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automatic control systems are based on empirical relationships and do not have a precise theoretical background. In this paper, a model
of the theoretical dynamic load acting on the shield during excavation is developed, taking into account shield tunnel engineering
practices; i.e., the excavated area, the tail clearance, the rotation direction of the cutter face, sliding of the shield, ground loosening at the
shield crown, and the dynamic equilibrium condition. To evaluate the validity of the model qualitatively, the simulation of shield behavior
and the sensitivity analysis of the model parameters on the shield behavior are carried out in both straight and curve alignments for both
sandy and clayey ground. The results for the shield behavior are examined, comparing them with the empirical and the theoretical one, and
it is confirmed that the proposed model represents the shield behavior reasonably well.
DOI: 10.1061/共ASCE兲1090-0241共2002兲128:2共138兲
CE Database keywords: Excavation; Shields; Tunneling; Theories; Simulation.

Introduction Previous Research

Background
Shield tunneling technologies have been developed for construct-
ing tunnels in soft ground especially under groundwater. In par-
ticular, the closed-type shield tunneling method has been devel-
oped together with computer-aided automatic control systems.
However, these systems are based on empirical relationships and
do not have a precise theoretical background. Consequently, the
present automatic control systems control the shield according to
a snake-like motion to move it back onto the planned alignment,
instead of decreasing the snake-like motion. Therefore it is some-
times difficult to control the shield in a complicated geological
formation and to predict the shield behavior without case records.
To solve such problems, a theoretical approach that balances the
loads acting on the shield, which influence the shield behavior
such as the deviation and the rotation of the shield during exca-
vation, is necessary.
1
Professor, Dept. of Civil Engineering, Nagaoka Univ. of Technology,
1603-1 Kamitomioka, Nagaoka, Niigata 940-2188, Japan. E-mail:
sugimo@vos.nagaokaut.ac.jp
2
Research Associate, Dept. of Civil Engineering, Nagaoka Univ. of
Technology, 1603-1 Kamitomioka, Nagaoka, Niigata 940-2188, Japan.
E-mail: aphichat@vos.nagaokaut.ac.jp
Note. Discussion open until July 1, 2002. Separate discussions must
be submitted for individual papers. To extend the closing date by one
month, a written request must be filed with the ASCE Managing Editor.
The manuscript for this paper was submitted for review and possible
publication on August 31, 2000; approved on July 24, 2001. This paper is
part of the Journal of Geotechnical and Geoenvironmental Engineer-
ing, Vol. 128, No. 2, February 1, 2002. ©ASCE, ISSN 1090-0241/
2002/2-138 –155/$8.00⫹$.50 per page.
Based on shield tunnel engineering practices, the characteristics
of shield behavior and the factors affecting the shield behavior are
as follows:
1. The shield can negotiate a sharp curve by using a copy cutter
and articulated mechanism 共PWRI 1992兲. The gap between
the excavated area and the shield skin plate, i.e., the ground
displacement around the shield, thus greatly influences the
shield behavior.
2. The force due to the wire brush at the shield tail and the
grease pressure between the wire brushes acts on the shield
tail 共Ariizumi et al. 1999兲. Furthermore, the segment is
sometimes damaged at a sharp curve, since the inside of the
shield tail touches the segment. This indicates that the shield
at the tail receives force from the segment, which is defined
by the tail clearance.
3. When the jack speed increases, the jack thrust and the cutter
torque also increase 共e.g., Matsumoto et al. 1989; Marshall
et al. 1996兲. The shield behavior is thus a dynamic problem.
4. For the multiface 共MF兲 shield, the yawing of the shield is
changed by selecting the cutter face 共CF兲 rotation direction
共Matsumoto et al. 1989兲, and the rotation direction of the CF
influences the pitching and yawing of the shield 共Nomoto
et al. 1999兲. These mean that the rotation direction of CF
influences the shield behavior, especially the yawing of the
shield.
5. At a sharp curve, the shield axis slightly shifts horizontally
from the shield tunnel alignment to the concave side of the
tunnel 共Tomizawa 1988兲, so the shield axis in a vertical
plane does not coincide with the tunnel alignment 共Mat-
sushita et al. 1994兲. Therefore, the shield slides in the hori-
zontal and vertical directions, so the shield axis direction
should be considered to be independent from the tunnel
alignment.
6. Local collapse of the ground sometimes occurs at the crown

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 part of the shield face, especially in sandy ground 共e.g.,
TEPCO 1985; Murayama et al. 1989; Nomoto et al. 1999兲.
Furthermore, overexcavation causes loosening of the ground
around the shield crown and large ground surface settlement
共Hashimoto 1984兲. These also cause the release of earth
pressure acting on the shield.
The model of the load acting on the shield should at least be able
to represent the above-mentioned phenomena.
Shield behavior has been studied by both statistical and theo-
retical methods. The former method is used to predict and control
the shield behavior by statistically obtaining the unknown param-
eters based on the relationship between the change of shield atti-
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tude and the jack moment. Szecky 共1966兲 initially proposed an
approximated formula to calculate the jacking thrust based on the
available data. Shimizu and Suzuki 共1992兲 and Shimizu et al.
共1992兲 proposed the relationship between the change of shield
attitude and the jack moment and examined it based on in situ
data and measured data of model tests. Sakai and Hoshitani
共1987; 1993兲 proposed a method to identify the unknown param-
eters in the formulation of the Kalman filter technique and exam-
ined it based on in situ data. Kuwahara et al. 共1988兲 applied fuzzy
theory to control the shield and compared the results with actual
operations by skilled operators. From the viewpoint of engineer-
ing practices, these methods are useful, since the shield can be
controlled by using up-to-date unknown parameters in the formu-
lation based on data measured during excavation. However, these
methods cannot easily predict the shield behavior without case
records.
The latter method is used to predict and control the shield
behavior based on the equilibrium conditions of force and mo-
ment acting on the shield. Akagi and Komiya 共1993兲 proposed a
three-dimensional 共3D兲 finite element 共FE兲 analysis with the ex-
cavating element to simulate the shield advancement and exam-
ined it based on in situ data. Komiya et al. 共1999兲 modified this
technique for a more robust solution. Takeda et al. 共1998兲 pro-
posed a FE analysis with a contact problem and simulated the
shield behavior by using their technique. Date et al. 共1999兲 pro-
posed a kinematic model of shield behavior and used it to predict
the MF shield attitude during excavation. These methods cannot
represent all of the above-mentioned phenomena of the shield.
Furthermore, only Takeda’s model takes into account the ground
displacement around the shield directly, which is considered to be
the predominant factor affecting the shield behavior.
Objectives
The authors previously noted that the ground displacement
around the shield should be taken into account in the model of the
load acting on the shield in order to represent the shield behavior
reasonably well 共Sugimoto et al. 1991兲. The authors also devel-
oped a theoretical load model, taking into account some of the
Fig. 1. Load model acting on shield
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J. Geotech. Geoenviron. Eng. 2002.128:138-155.
Fig. 2. Configuration of load model
above-mentioned shield phenomena, and validated its perfor-
mance through the reverse analysis on the ground properties and
simulation of shield behavior 共Sugimoto 1994; Sugimoto and
Luong 1996; Sugimoto et al. 1999兲. Extending this model, a
model of the load acting on the shield during excavation, which
can represent all of the above-mentioned shield phenomena, was
developed. Based on the proposed load model, simulation of
shield behavior and sensitivity analysis of the model parameters
on shield behavior in both straight and curve alignments for both
sandy and clayey ground were carried out.
This paper describes in detail the newly developed shield load
model, and shows examples of the shield behavior simulation and
sensitivity analysis results. Furthermore, the validity of the model
is discussed qualitatively, and the simulated, empirical, and theo-
retical shield behavior are compared.
Model of Load Acting on Shield
The loads acting on the shield are composed of five forces: force
due to the self-weight of machine f 1 , force on the shield tail f 2 ,
force due to the jack thrust f 3 , force acting at the face f 4 , and
force acting on the shield periphery f 5 , as illustrated in Fig. 1.
Since this load model is a function of the ground properties, the
shield behavior, and the shield operations, as shown in Fig. 2, the
process of solving those parameters provides a reverse analysis of
the ground properties, simulation of the shield behavior, and con-
trol of the shield, respectively. The shield operations represent the
operational control of the shield during excavation such as jack
thrust, jack moments, and applied pressure in the chamber. The
shield behavior represents the deviations and rotations of the
shield during excavation. Furthermore, the ground properties rep-
resent the frictional parameters, coefficients of earth pressures,
and coefficient of ground reaction, etc.
Here, the following coordinate systems were used to model
each force. The coordinate systems are illustrated in Fig. 3 and
their relations are described in Appendix I. The global coordinate
Fig. 3. Coordinate systems used
 Fig. 5. Forces acting on shield tail due to f 22
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Reaction Force Due to f21

Fig. 4. Forces acting on shield tail due to f 21 If the shield contacts the segment at the ith element, the force
vector due to f 21 F21i can be obtained as
system C T is selected so that the x axis is vertically downwards
and the y and z axes are on a horizontal plane. A machine coor-
dinate system C M is selected so that the p axis is vertically down-
MR
F21i ⫽⌬l 21 冋 F 21i
⫺αtc 共 µtc F 21i ⫹c tc 兲 sign共 CT 兲
⫺ 共 µtc F 21i ⫹c tc 兲
册 (2)

ward without rotation of the shield and the r axis is in the direc-
where ⌬l 21⫽the width of element in the circumferential direc-
tion of the machine axis. The origin of the machine coordinate
tion; CT⫽the cutter torque with a positive sign for counterclock-
system is selected as the center of the section on which the jack
wise rotation of CF 共viewed from shield tail兲; and sign (CT)
thrust acts. In addition to the above two systems, a coordinate
⫽1 for CT⬎0, sign (CT)⫽⫺1 for CT⬍0, and sign (CT)⫽0
system generated by rotating C M about the r axis is also consid-
for CT⫽0.
ered as C M R and its axes are named p R , q R , and r R .
The reaction force on the ith element per unit width F 21i is
The following show each component of force. A force vector F
calculated as
can be transformed to any coordinate expression by transforma-
tion matrices. The moment vector M can be obtained by taking 3U 21i E S I S
the cross product of the position vector r and the force vector. F 21i ⫽⫺ 3 (3)
l 21i
Note that the superscripts T, M, and MR show the coordinate
system used and subscripts 1–5 represent the component of force where
f 1 – f 5 , respectively. U 21i ⫽min共 U 2Ai ,U 2Ci 兲 ⫺t TD ⬍0 (4)

Self Weight of Shield f 1
The self weight of shield W S acts vertically downward in the x
axis direction at the center of gravity r1 . Then the force vector F1
is defined as
in which U 21i ⫽the tail clearance at the acting point of F 21i ;
E S I S ⫽the bending stiffness of the shield tail per unit width; l 21i
⫽the arm length from the fixed support to the acting point of F 21i
as illustrated in Fig. 4; U 2Ai ⫽the tail clearance at the segment
end; U 2Ci ⫽tail clearance at the end of the shield tail; and t TD

冋册
WS ⫽the thickness of hardening grouting material inside the shield
tail. The procedures to calculate U 2Ai and U 2Ci are described in
FT1 ⫽ 0 (1) Appendix II.
0
The position vector of the acting point of F21i r21i is defined as

Forces on Shield Tail f 2

When the shield rotates until the shield tail contacts the segment
ring, a reaction force from the segment to the shield is generated.
MR
r21i ⫽ 冋 R SI
0
⫺ 共 l G ⫹l 21i 兲
册 (5)

where R SI ⫽the inner radius of the shield tail; and l G ⫽the length
The postural change of the shield causes deformation of the wire
from the C M origin to the end of the girder.
brush at the shield tail, which generates an unequal pressure act-
ing on the inside of the shield tail. Furthermore, the applied
Reaction Force Due to f22
grease pressure between the individual rows of wire brushes also
The force due to f 22 on the ith element F22i is obtained from

冋 册
generates force on the shield tail. Therefore the force on the shield
tail f 2 is composed of the reaction force on the inner shield sur- σ22i
face from the segment f 21 and the force due the wire brush de- MR
F22i ⫽A 22 ⫺αwc 共 µwc σ22i ⫹c wc 兲 sign共 CT 兲 (6)
formation and the applied grease pressure f 22 . To calculate the ⫺ 共 µwc σ22i ⫹c wc
forces, the following were assumed:
1. The segment is regarded as a rigid body; where A 22⫽the area of the tail element. The pressure acting on
2. The shield tail is regarded as a cantilever beam of which the the inner shield surface due to the deformation of the wire brush
fixed support is at the end of the support girder as illustrated and the grease pressure at the ith tail element σ22i can be found
in Fig. 4; and from
3. The force due to the wire brush deformation has a linear σ22Bi ⫹σ22Ci
relationship with the deformation of the wire brush and is σ22i ⫽ (7)
2
represented by the distribution of pressure on the shield
shown in Fig. 5. σ22ni ⫽k WB 共 t WB ⫺U 2ni 兲 ⫹σgrease 共 n⫽B or C 兲 (8)

140 / JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / FEBRUARY 2002

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 σn f ⫽σCF ⫹σm for clayey ground
(12)
σ⬘n f ⫹σw ⫽σCF ⫹σm for sandy ground
where σn f ⫽the total earth pressure and σ⬘n f ⫽the effective earth
pressure; σw ⫽the hydraulic pressure on CF; σCF ⫽the net pres-
sure acting on CF; and σm ⫽the muck pressure at the face.
Here, note that the following equations are for clayey ground.
In the case of sandy ground, replace σn f with σn⬘ f and add σw to
the normal earth pressure, since the earth and water pressure are
calculated together for clayey ground but are calculated sepa-
rately for sandy ground. To model σn f , the following were as-
sumed:
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Fig. 6. Forces acting at face 共clayey ground兲

1. σn f is proportional to the initial normal earth pressure σno .
2. According to previous research, the penetration resistance
and the cutting resistance depend upon the cutting depth t c in
where σ22ni ⫽the pressure at the ith element due to the wire brush Eq. 共13兲 共e.g., Teale 1965; Kurihara 1988; Matsumoto et al.
deformation; k WB ⫽the spring constant of the wire brush; t WB 1989; PWRI 1992兲 or penetration angle θp in Eq. 共14兲 共Hata
⫽the original height of the wire brush; σgrease ⫽the applied 1987兲.
grease pressure between the individual rows of wire brushes; and vs
U 2ni ⫽the tail clearance. The calculation procedure of U 2Bi is tc⫽ (13)
fp
described in Appendix II.
The position vector of the acting point of F22i r22i is repre- vs
θp ⫽ (14)
sented by 2␲ f r

冋 册
where v s ⫽the advance speed of the shield; f ⫽the rotating
R SI
speed of CF; p⫽the number of paths of the cutter bit; and
MR
r22i ⫽ 0 (9) r⫽the radius of the calculation point on CF. Since p and r
⫺ 共 l T ⫺l 22i 兲 are constant for a machine, σn f /σno is supposed to be a
where l T ⫽the length from the C M origin to the tail end; and function of v s / f r.
l 22i ⫽the distance from the tail end to the acting position of F22i in 3. The state of earth pressure distribution on CF may change
the r axis direction. due to reasons such as local collapse of the ground at the
face. Therefore σn f can be obtained from

Jack Force f 3
The jack thrust acts in the r axis direction on the plane where the
jacks are mounted. The friction on the interface between the jack-
ing plate and the segment is also taken into account. Therefore,
the force vector due to the ith jack F3i and its position vector r3i
can be obtained from
vs
σn f ⫽F 共 p,q 兲 a ⫹b σno
fr 冉 (15)冊
where F(p,q)⫽the factor due to the state of earth pressure;
and a, b⫽constants. The second term in Eq. 共15兲 is the
first-order approximation of the function v s / f r.
To calculate the force acting on the front and rear of CF, CF is
divided into a finite number of small elements in both radial and

MR
冋 0
⫽A J S i ⫺αsc 共 µsc σJ ⫹c sc 兲 sign共 CT 兲 册 circumferential directions. The force vector due to f 41 at the i jth
element on CF F41i j can be defined as

冋 册
F3i (10)
σJ 0

冋 册
RJ
MR
F41i j ⫽A 41i j 共 µ σ
ms CFi j ⫹τ mi j 兲 sign共 CT 兲 (16)
⫺ 共 σCFi j ⫹σmi j 兲
MR
r3i ⫽ 0 (11)
⫺ 共 l J ⫹l Si 兲 where
where A J ⫽the cross-sectional area of the hydraulic jack; S i ␶ mi j ⫽2 关共 1⫺αo 兲共 µms σmi j ⫹c ms 兲 ⫹αo 共 µm σmi j ⫹c m 兲兴 (17)
⫽the status of the ith jack 共S i ⫽1 for the active jack and 0 for the
inactive jack兲; σJ ⫽the applied hydraulic pressure; R J ⫽the radius in which A 41i j ⫽the area of the i jth element on CF; ␶ mi j ⫽the
of the jack from the r axis; l J ⫽the length of the jack at zero dynamic friction on both sides of CF due to the mud pressure;
stroke; and l Si ⫽the ith jack stroke. αo ⫽the open ratio of CF; σCFi j can be obtained by substituting
σn f i j and σmi j into Eq. 共12兲; and σmi j is found from

Force at Face f 4 σmi j ⫽σmo ⫹␥ m h mi j (18)

The force at the face can be divided into three components: force where σmo ⫽the muck pressure at the top of the chamber; γm
due to the earth pressure acting on the front and rear of CF f 41 , ⫽the unit weight of muck in the chamber; and h mi j ⫽the vertical
force due to the earth pressure acting on the periphery of CF f 42 , depth of the i jth element measured from the top of the chamber.
and force due to the weight of muck in the chamber f 43 , as Furthermore, v s in Eq. 共15兲 can be obtained from the distance
illustrated in Fig. 6. between the excavation step k⫺1 and k divided by the time in-
terval ⌬t, that is,
Force Acting on Front and Rear of CF f41
兩 r41i j 关 k 兴 ⫺r41i j 关 k⫺1 兴 兩
T T
The balance of the pressure normal to the cutter face produces the v si j 关 k 兴 ⫽ (19)
following conditions: ⌬t 关 k 兴

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Fig. 7. State of earth pressure around shield

where r41i j ⫽the position vector of F41i j and can be written as Fig. 8. Ground reaction curve

MR
r41i j⫽ 冋 册
r CFi j
0
l CF
(20) ground, passive earth pressure is generated. To formulate the
force acting on the shield periphery, the following were assumed:
in which r CFi j ⫽the radius of the i jth element on CF; and l CF 1. The shield is considered as a rigid body.
⫽the distance from the origin of C M to the center of CF. 2. The ground reaction curve, which shows the relationship be-
tween the ground displacement and the earth pressure acting
Force Acting on Periphery of CF f42 on the shield periphery as shown in Fig. 8 共Sramoon and

再
The normal earth pressure acting on the cutting edge σne is as- Sugimoto 1999兲, can be represented by
sumed as the initial normal earth pressure:
σne ⫽σno (21)
共Kio⫺Ki min兲tanh
aiUi
冋
Kio⫺Ki min 册
⫹Kio 共Ui⭐0兲

冋 册
Ki共Ui兲⫽
The force vector due to f 42 on the jth element F42j and its aiUi
共Kio⫺Ki max兲tanh ⫹Kio 共Ui⭓0兲
position vector r42j are defined as Kio⫺Ki max

MR
F42j ⫽A 42j 冋 ⫺σne j
共 µms σne j ⫹c ms 兲 sign共 CT 兲
0
册 (22)
共i⫽v or h 兲
where K⫽the coefficient of earth pressure which is defined
as the earth pressure σ divided by the initial vertical earth
(26)

冋 册
pressure σ␯0 (K i ⫽σi /σ␯0 ); U⫽the ground displacement;
R CF
a⫽the gradient of functions K(U), which represents the co-
MR
r42j ⫽ 0 (23) efficient of subgrade reaction k (a i ⫽k i /σ␯0 ); subscripts ␯
l CF ⫽the vertical and h⫽the horizontal directions, respectively;
where A 42j ⫽the area of the jth element on the cutting edge; and and subscripts o⫽the initial, min⫽the lower limit, and
R CF ⫽the radius of CF. max⫽the upper limit of the coefficient of earth pressure,
respectively.
Force Due to Weight of Muck in Chamber f43 3. The coefficient of earth pressure in any direction K θ can be
The weight of muck in the chamber W m acts on the shield at the interpolated by using K h and K ␯ as
centroid of the muck. The force vector due to f 43 F43 and its Kθ共 U n ,θ兲 ⫽K ␯ 共 U n 兲 cos2 θ⫹K h 共 U n 兲 sin2 θ (27)
position vector r43 can be found from where U n ⫽the ground displacement normal to the shield

冋 册
periphery; and θ⫽the angle measured from the vertical di-
Wm
rection to U n . The procedure to calculate U n is described in
FT43⫽ 0 (24) Appendix III. K θ(0,θ)σ␯0 coincide with the horizontal and
0 vertical earth pressures in the segment design criteria 共JSCE

冋册
0 1986兲.
Based on the above assumptions, the force vector due to f 5 on the
M
r43⫽ 0 (25)
i jth element F5i j and its position vector r5i j can be formulated as

冋 册
lm
where l m ⫽the distance from the origin of C M to the centroid of ⫺σnsi j
the chamber.
MR
F5i j ⫽A 5i j
⫺αsg 共 µsg σnsi j ⫹c sg 兲 sign共 CT 兲 (28)
⫺ 共 µsg σnsi j ⫹c sg 兲

Force Acting on Shield Periphery f 5

The snake-like motion of shield movement during excavation is
illustrated in Fig. 7. The active earth pressure occurs when the
MR
r5i j⫽ 冋册
RM
0
r si j
(29)

ground at the open face deforms toward the shield periphery. On where σnsi j ⫽the normal earth pressure acting on the i jth element
the other hand, when some parts of the shield peripheries push the and can be defined as

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 σnsi j ⫽K θ共 U ni j ,θi j 兲 σ␯0i j
in which A 5i j ⫽the area of the i jth element on the shield periph-
ery; R M ⫽the radius of the machine; and r si j ⫽the i jth element
position in the r axis direction.
Simulation Algorithms
Simulation Technique
The shield behavior is represented by the movement of the shield
in the x, y, and z directions 共⌬x, ⌬y, and ⌬z兲, and the shield
postures 共yawing angle φy , pitching angle φp , and rolling angle
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φr 兲. Since the change of φr is limited in practice, the factor of
shearing resistance due to the cutter torque αsg was adopted as
the parameter instead of φr . The shield behavior during excava-
tion can be obtained by solving the following equilibrium condi-
冋 册
tions of forces and moments:
5
兺 FiM
i⫽1
5 ⫽0
兺
i⫽1
MiM
Index of Shield Behavior
Since a shield performs in three-dimensional space, the shield
behavior has six degrees of freedom, so the traces of shield in the
horizontal and vertical planes, φy , φp , and αsg represent the
shield behavior adequately. Since it is difficult to examine the
simulation process in detail by using the trace of the shield and it
is also impossible to compare the simulation results of ⌬x, ⌬y,
and ⌬z with the observed one, the following normalized param-
eters were adopted to represent the simulation results: 共1兲 the tilt
angle from the shield trace onto the machine axis on the horizon-
tal and vertical planes θxT and θyT , which show the sliding of the
shield in the horizontal and vertical directions, respectively; 共2兲
the tunnel alignment parameters, namely the curvature on the
horizontal and vertical planes κh and κ␯ , and the velocity of
shield v s , which represents the shield advancement within two
successive steps. The indexes of shield behavior are summarized
as φy , φp , αsg , θxT , θyT , κh , κ␯ , and v s . Here, it is consid-
ered that the traces of the shield, φy , φp , and αsg show the
configuration of the shield behavior, whereas θxT , θyT , κh , κ␯ ,
and v s show the details of the shield behavior. The sign conven-
tions of θxT , θyT , κh , and κ␯ rely on the right-hand system, i.e.,
the positive sign of θxT , θyT , κh , and κ␯ indicates rotation of the
shield to the right, downward, a rightward curve, and a downhill
curve, respectively.
Simulation of Shield Behavior
The simulations of shield behavior were carried out by using
artificial data. The basic cases are composed of combinations of
horizontal tunnel alignment 共straight and curve兲 and soil type
共sandy ground and clayey ground兲. This section shows the simu-
lation results from the start to the end of simulation, to examine
the performance of the model of the load acting on the shield.
Data Used in Analysis
At first, the tunnel dimensions were fixed as shown in Table 1. As
for the tunnel horizontal alignment, the straight alignment and the
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / FEBRUARY 2002 / 143
J. Geotech. Geoenviron. Eng. 2002.128:138-155.
(30) curve alignment with a radius of 500 m were adopted. Subse-
quently, the shield dimensions, the ground properties, and the
shield control conditions were determined, based on empirical
values and engineering practices. Furthermore, the jack force F 3r
and the jack moments M 3p and M 3q were determined by solving
Eq. 共31兲 for F 3r , M 3p , and M 3q in both the straight and curve
alignments for both the sandy and clayey ground, respectively,
under the conditions of Table 1. The predetermined jack forces for
each case are shown in Table 2.
Calculation Conditions
The shield was operated as follows: 共1兲 The shield moved on the
horizontal and straight alignment for a distance of 10 m; and 共2兲
the jack forces in Table 2 were applied and the shield behavior
was simulated until the excavation time reached 980 min.
Here the number of elements on CF and on the shield periph-
ery and the time interval of simulation were determined in order
to eliminate the influence of the calculation conditions on the
shield behavior. The following were used: number of radial divi-
(31) sions on CF⫽10; number of circumferential divisions on CF
⫽16; number of circumferential divisions on the shield
periphery⫽16; number of longitudinal divisions on the shield
periphery⫽16; and time interval between two successive steps
⫽10 min.
Simulation Results
The shield traces on the vertical plane and on the horizontal plane
are shown in Fig. 9, and the indexes of shield behavior during the
simulation are shown in Fig. 10. From Figs. 9 and 10, the follow-
ing points were found:
1. Figs. 10共a and b兲 show a very similar tendency of shield
behavior and the shield traces can be summarized as follows:
for the straight alignment, κh ⫽κ␯ ⫽0/m and v s
⫽0.04 m/min; and for the curve alignment, κh ⫽0.002/m
⫽1/500 m, κ␯ ⫽0/m, and v s ⫽0.04 m/min. These obtained
values of κh , κ␯ , and v s coincide with the predetermined
values in Table 1. Furthermore, the shield traces in Fig. 9
show the same tendency as described above.
2. κh is related to θxT for the curve alignment. κh and θxT for
the curve alignment show large values around 10 m of ad-
vance distance and fluctuate up to 15 m. This fluctuation
occurs up to around 20 m, after which κh and θxT reach the
steady state. These results can be explained as follows: 共1兲
around 10 m, the jack force is suddenly changed from the
straight alignment condition to the curve alignment condi-
tion; 共2兲 up to 15 m, the shield tail exists inside the exca-
vated area at the straight alignment; and 共3兲 more than 20 m,
the influence of the change from the straight alignment to the
curve alignment disappears. On the other hand, all of the
indexes of the shield behavior for the straight alignment re-
main constant. This is because the simulation is always in
the steady state, since the jack force does not change.
3. θxT is close to zero for the straight alignment, whereas θxT
⫽16.30 min for the curve alignment for both ground types.
This means that, in the curve alignment, the shield rotates
from the tunnel horizontal alignment to the inward curve,
that is, the shield slides in the transverse direction to satisfy
the equilibrium conditions.
4. In case of the sandy ground, θyT ⫽0.16 min and φp
⫽0.16 min for the straight alignment, and θyT ⫽0.20 min
and φp ⫽0.17 min for the curve alignment while they are
 Table 1. Analysis Conditions
Item Component Value
Tunnel Horizontal curvature κh 共radius兲 for straight alignment 0/m 共⬁ m兲
Horizontal curvature κh 共radius兲 for curve alignment 0.002/m 共500 m兲
Vertical curvature κv 共radius兲 0/m 共⬁ m兲
Overburden depth 20.0 m
Groundwater level at the ground surface
Outer segment radius R C 1.935 m
Length of segment 1.0 m

Shield Outer radius R M 2.0 m

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Total length 5.0 m

Modulus of shield E s 2.04⫻105 MN/m2
Center of erector in C M 共0.0, 0.0, ⫺2.6兲 m
Self-weight W s 1000.0 kN
Center of gravity in C M 共0.0, 0.0, ⫺0.5兲 m
Open ratio of CF αo 20%
Thickness of CF 0.3 m
Radius of chamber 1.95 m
Length of chamber 1.0 m
Radius of CF R CF 2.0 m

Shield tail Inner radius at shield tail R SI 1.96 m

Thickness of shield tail 0.04 m
Thickness of wire brush l WB 0.14 m
Length of wire brush from tail 0.45 m
Spring constant for wire brush k WB 100.0 kN/m3
End of girder from C M origin l G 1.7 m

Shield jack Number of jacks 12

Cross-sectional area A J 314.16 cm2
Radius of jack R J 1.75 m
Length of jack l J 2.0 m
Center of jack from CF 1.4 m

Shield operation Shield excavation velocity v s 0.04 m/min

CF rotation speed f 0.9 rpm
CF rotation direction 共viewed from shield tail兲 Counter-clockwise
Applied pressure in chamber σm 200.0 kN/m2
Muck unit weight in chamber γm 12.0 kN/m3
Applied grease pressure σgrease 560.0 kN/m2
Copy cutter Not used

Ground Total unit weight 20.0 kN/m2

Unit weight of water 10.0 kN/m3
Specific gravity 2.7
Cohesion 0.0 共10.0兲 kN/m2
Internal friction angle 30° 共0°兲
Coeff. of earth pressure K h max , K ho , K h max 0.3, 0.5, 5.0
Coeff. of earth pressure K v min , K v o , K v max 0.3, 1.0, 5.0
Coeff. of ground reaction k h , k v 30.0, 30.0 MN/m3
Earth pressure at face constant a, b 30, 1

Friction Shield tail-Segment c tc (kN/m2 ), µtc , αtc 0.0, 0.3, 0.0

Wire brush-Segment c wc (kN/m2 ), µwc , αwc 0.0, 0.0, 0.0
Jack-Segment c sc (kN/m2 ), µsc , αsc 0.0, 0.0, 0.0
Muck c m (kN/m2 ), µm 0.0, 0.0
Muck-Steel c ms (kN/m2 ), µms 0.0 共10.0兲, 0.1 共0.0兲
Shield-Ground c sg (kN/m2 ), µsg 0.0 共10.0兲, 0.1 共0.0兲
Note: Values are generally specified for sandy ground; and 共 兲 indicates value for clayey ground.

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 Table 2. Jack Force and Jack Moments for Simulation
Straight alignment Curve alignment
Force
and Sandy Clayey Sandy Clayey
moment ground ground ground ground
F 3r 共kN兲 6386 6492 6442 6492
M 3 p 共kN m兲 63 0 2615 2857
M 3q 共kN m兲 ⫺942 ⫺803 ⫺829 ⫺809

slightly lower for the clayey ground, i.e., θyT ⫽0.09 min and
φp ⫽0.09 min for the straight alignment, and θyT
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⫽0.11 min and φp ⫽0.09 min for the curve alignment. This
means that the shield axis on both alignments is slightly
downward from the tunnel vertical alignment while the tun-
nel vertical alignment is almost horizontal, that is, the shield
slightly slides in the vertical direction to satisfy the equilib-
rium conditions.
5. In case of the sandy ground, αsg ⫽0.52 for the straight align-
ment and αsg ⫽0.49 for the curved alignment. This means
that about half of the dynamic friction between the skin plate
and the ground in the axial direction is mobilized to resist the
cutter torque. Also the average of the earth pressure acting
on the shield periphery in the curve alignment is slightly
larger than that in the straight alignment. In case of the
clayey ground, αsg is constant for both alignments, i.e.,
αsg ⫽0.27, since the dynamic friction in the clayey ground is
independent of the earth pressure. If αsg is larger than 1, the
shield is supposed to roll, since the dynamic friction on the
shield periphery is insufficient to resist the cutter torque.
Fig. 11 shows the distribution of the normal ground displace-
ment and the total normal earth pressure around the shield periph-
ery for the sandy and clayey ground, where the shield behavior
reaches a steady state at the last step of simulation. Table 3 shows
the force and moment components acting on the shield at the
same step as Fig. 11. From Fig. 11 and Table 3, the following
were found:
1. In case of the straight alignment, the normal ground dis-
placement in the sandy ground is slightly larger than that in
the clayey ground, i.e., the pitching of the shield in the sandy
ground is slightly greater than that in the clayey ground, to
satisfy the equilibrium conditions. The normal ground dis-
placement is almost symmetrical and the ground at the
crown of the shield tail enters the passive state, i.e., the
shield axis is slightly downward from the tunnel vertical
alignment. These results can be explained as follows: 共1兲 the
shield axis almost coincides with the horizontal tunnel align-
ment; and 共2兲 the force due to f 4 in the transverse direction
Fig. 10. Index of shield behavior
F 4q and the horizontal moment due to f 4 M 4p are generated
due to the rotation of CF. Furthermore, these behaviors co-
incide with Fig. 10 and 11.
2. In the case of curve alignment, both ground types show very
similar normal ground displacement. The passive state of the
ground is developed drastically at the right spring line of the
shield near to CF 共at 270°兲 and at the left spring line of
shield around the shield tail 共at 90°兲. Also the active state of
the ground appears at the opposite side of the positive
ground displacement. These result form the equilibrium con-
ditions and are reasonable from the viewpoint of the geom-
etry. These normal ground displacements determine the nor-
mal earth pressure on the shield periphery by the ground
reaction curve.
3. The jack force F 3r , which was determined under the condi-
tion of v s ⫽0.04 m/min for the curve alignment, is slightly
larger than that for the straight alignment. This is because, in
the case of curve alignment, the dynamic friction around the
shield periphery in the axial direction is larger, since the
shield pushes the ground and the ground reaction increases
more, compared with the straight alignment. The horizontal
jack moment M 3p for the curve alignment is larger than that
for the straight alignment. This naturally generates yawing of
the shield. The absolute value of the vertical jack moment
兩 M 3q 兩 for the curve alignment is slightly smaller than that for
the straight alignment. This is because, in the case of curve
alignment, the geometric constraint is severe, and therefore
the shield cannot easily rotate downward. The above-
mentioned jack forces are reflected in the force acting on the
shield periphery to satisfy the equilibrium conditions.
Through the above examinations, the proposed load model is con-
sidered to adequately represent the shield behavior at the straight
and curve alignments.

Sensitivity Analysis

The sensitivity analysis was carried out to examine the influence

Fig. 9. Trace of shield
of the model parameters on the shield behavior. Here, the model

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Fig. 11. Normal ground displacement and normal earth pressure around shield periphery

parameters concerned with the forces acting on the shield tail, the
earth pressure at the face, the ground reaction curve, the shield
operations, and the copy cutter operations were changed as shown
in Table 4. The shield behavior at the last step of simulation was
used to draw the figures, where the shield behavior reaches the
steady state. The calculation conditions are the same as in the
previous section. The influence of the model parameters on the
shield behavior can be explained as follows.
Parameters of Force on Shield Tail
By changing the model parameters concerned with the force on
the shield tail, the shield behaviors for the straight and curve
alignments are shown in Figs. 12 and 13, respectively. Here, ‘‘F 2
calculation’’ shows whether the force due to f 21 and f 22 is con-
sidered. The decrease of inner radius of the shield tail R SI repre-
sents the decrease of tail clearance due to the hardening grouting
material inside the tail clearance.
In Fig. 12共a兲, only φp increases slightly in the consideration of
f 22 , while other indexes do not change. This means that, in the
case of straight alignment, the shield does not contact the segment
and the tail clearance at the crown is smaller than that at the
invert. On the other hand, in Fig. 13共a兲, only φy and θxT decrease
slightly in the consideration of f 22 . This means that, in case of the
curve alignment, the tail clearance at the concave side is smaller
than that at the convex side, so the wire brush restricts the rotation
of the shield. These results modify the shield behavior in Fig. 10.
In Fig. 12共b兲, only φp slightly decreases at R SI ⫽1.935 m, i.e.,
the tail clearance⫽0 m. This is because the shield contacts the
segment. On the other hand, compared with Fig. 12共b兲, in Fig.
13共b兲, φy decreases slightly with the decrease of R SI , and φy
suddenly decreases at R SI ⫽1.935 m. These are because the wire
brush reduces the rotation of the shield, and the contact of the
shield with the segment restricts the rotation of the shield signifi-
cantly.
In Fig. 12共c兲, only φp slightly increases with the increase of
k WB . On the other hand, in Fig. 13共c兲, φy and θxT decrease
withthe increase of k WB . These changes can be explained in a
similar manner as the tendency in Figs. 12共a兲 and 13共a兲.

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 Table 3. Force and Moment Components on Shield
Force and moment components for sandy ground Force and moment components for clayey ground
Case Force Fp Fq Fr Mp Mq Mr Fp Fq Fr Mp Mq Mr
No. type 共kN兲 共kN兲 共kN兲 共kNm兲 共kNm兲 共kNm兲 共kN兲 共kN兲 共kN兲 共kNm兲 共kNm兲 共kNm兲
f1 1000 0 0 0 ⫺500 0 1000 0 0 0 ⫺500 0
f2 0 0 0 0 0 0 0 0 0 0 0 0
f3 0 0 6386 63 ⫺942 0 0 0 6492 0 ⫺803 0
1
f4 67 26 ⫺5445 ⫺36 272 983 34 0 ⫺5864 0 219 343
f5 ⫺1067 ⫺26 ⫺941 ⫺27 1170 ⫺983 ⫺1034 0 ⫺628 0 1084 ⫺343
⌺F 0 0 0 0 0 0 0 0 0 0 0 0

⫺500 ⫺500
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f1 1000 0 0 0 0 1000 0 0 0 0
f2 0 0 0 0 0 0 0 0 0 0 0 0
f3 0 0 6442 2615 ⫺829 0 0 0 6492 2857 ⫺809 0
2
f4 67 26 ⫺5445 ⫺39 272 983 34 0 ⫺5864 ⫺4 219 343
f5 ⫺1067 ⫺26 ⫺997 ⫺2576 1057 ⫺983 ⫺1034 0 ⫺628 ⫺2853 1090 ⫺343
⌺F 0 0 0 0 0 0 0 0 0 0 0 0
Note: Case No. 1⫽straight alignment; and Case No. 2⫽curve alignment.

Parameters of Force at Face that at the right side. When F(p,q) satisfies Eq. 共32兲 and the
By changing the model parameters concerned with the force at shape of F(p,q) is a trapezoid in the p axis and q axis directions,
the face, the shield behaviors for the straight and curved align- respectively, F(p,q) can be expressed by Eq. 共33兲

冕
ments are shown in Figs. 14 and 15, respectively. The constant a
in Eq. 共15兲 represents the sensitivity of the earth pressure at the F 共 p,q 兲 dA⫽A (32)
face against the shield velocity, i.e., generally a is large for stiff A

再
ground while it is small for soft ground. e p and e q are the acting
f 共 p 兲 ⫽6e p p/R CF ⫹1
point of F(p,q) in Eq. 共15兲 normalized by radius of CF. e p ⬎0 F 共 p,q 兲 ⫽ f q ⫽6e q/R ⫹1 (33)
共 兲 q CF
represents the concentration of the earth pressure at the lower part
of CF due to the loosening of the ground at the face, and e q ⬎0 where A⫽the area of CF.
indicates that the earth pressure at the left side of CF is larger than In Figs. 14共a兲 and 15共a兲, v s sharply decreases with the increase

Table 4. Data Used for Analysis

Set Type Parameter Value Remarks
1 Forces on F 2 cal 0, 1, 2, 3គ 0; No. 1: f 21 , 2: f 22 , 3: f 21⫹ f 22
the shield R SI 1.935, 1.94, 1.95, 1.96 共m兲
tail k WB 10, 50, 100, 250, 500 共kN/m3兲

2 Earth a 10, 20, 30, 40, 50, 100 -

pressure at ep 0.167, 0.083, 0, ⫺0.083, ⫺0.167 f (p)⫽6e p p/R CF ⫹1
the face eq 0.167, 0.083, 0, ⫺0.083, ⫺0.167 f (q)⫽6e q q/R CF ⫹1

3 Ground K ho 0.10, 0.25, 0.50, 0.75, 1.00 -

reaction kh 1, 5, 10, 30, 50, 100 共MN/m3兲
curve kv 1, 5, 10, 30, 50, 100 共MN/m3兲
K h min 0.00, 0.10, 0.20, 0.30, 0.40, 0.49 -
K v min 0.00, 0.20, 0.30, 0.50, 0.80, 0.99 -
K h max 0.51, 2.50, 5.00, 10.00, 15.00 -
K v max 1.1, 2.50, 5.00, 10.00, 15.00 -

4 Operation F 3r 5000, 6000, 7000, 8000, _ a 共kN兲

M 3p 795, 1590, 2650, _ a 共kN m兲 共30%, 60%, 100%, Default兲
M 3q ⫺795, ⫺1590, ⫺2650, _ a 共kN m兲 共30%, 60%, 100%, Default兲
CT ⫺1 , 1 ⫺1: Clockwise, 1: Counterclockwise
Overbreak 0.0, 0.2, 0.5, 1.0, 2.0 共cm兲

5 Copy cutter Position 0, 45, 90, 135, 180, 225, 270, 315 共deg兲
Range 0, 45, 90, 135, 180 共deg兲
Length 0, 2, 4គ , 6, 8, 10 共cm兲
Note: The underlined numbers are the default values.
a
Default value is shown in Table 2.

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Downloaded from ascelibrary.org by Florida International University on 09/23/13. Copyright ASCE. For personal use only; all rights reserved.
Fig. 12. Influence of force on shield tail 共straight alignment兲
of a. This is because v s is determined so as not to change the
other forces, i.e., a v s in Eq. 共15兲 remains constant. In Fig. 15共a兲,
φy sharply decreases with the increase of a. This is because φy is
proportional to v s , since the increase of v s causes the increase of
the advance length for one step. Therefore the other indexes of the
shield behavior are approximately constant in both alignments.
The above considerations mean that a large jack force is required
to increase v s in the case of stiff ground.
In Fig. 14共b兲, φp , θyT , and κ␯ increase with the increase of
e p . This means that the shield axis and the tunnel vertical align-
ment turn downward and the shield axis shifts from the tunnel
vertical alignment to the concave side of it, as the acting point of
the earth pressure at the face moves downward. This is because e p
directly generates M 4q , and M 4q is reflected in M 5q to maintain
balance which causes changing φp . The gradients of the sensitive
parameters in the sandy ground are smaller than those in the
clayey ground. This is because: 共1兲 in the case of e p ⬎0, the
tunnel vertical alignment turns downward; 共2兲 the shield tail
pushes the ground at the crown, which causes the ground reaction
to increase; 共3兲 the friction at the crown of the shield tail in-
creases, since the friction is proportional to the acting earth pres-
sure in the sandy ground, while it is constant in the clayey
ground; and 共4兲 this friction causes the upward vertical moment.
Fig. 15共b兲 also shows a similar tendency.
In Figs. 14共c兲 and 15共c兲, φy , θxT , and κh decrease with the
increase of e q . This means that the shield axis and the tunnel
horizontal alignment turn to the left-hand side and the shield axis
shifts from the tunnel horizontal alignment to the concave side of
it, as the acting point of the earth pressure at the face moves to the
148 / JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / FEBRUARY 2002
J. Geotech. Geoenviron. Eng. 2002.128:138-155.
Fig. 13. Influence of force on shield tail 共curve alignment兲
left-hand side. Also the gradients of the sensitive parameters in
the sandy ground are smaller than those in the clayey ground.
These tendencies can be explained in a manner similar to e p .
Parameters of Ground Reaction Curve
By changing the model parameters concerned with the ground
reaction curve, the shield behaviors for the straight and curved
alignments are shown in Figs. 16 and 17, respectively.
In Fig. 16共a兲, as K ho decreases, v s increases and αsg in the
sandy ground also increases. These result from the equilibrium
conditions, since the decrease of K ho reduces the earth pressure
normal to CF and the friction on the shield periphery in the sandy
ground. φp is large at K ho ⫽0.1. This is because the shield goes
downward so as to increase the upward vertical force, since this
force around the shield periphery decreases with the decrease of
K ho . On the other hand, compared with Fig. 16共a兲, in Fig. 17共a兲,
as K ho decreases φy , θxT , and κh increase. This is because the
shield yaws easily, since the horizontal ground reaction decreases,
and φy is proportional to v s , since the total simulation time is
constant.
In Figs. 16共b–c兲, the coefficients of ground reaction in the
horizontal and vertical directions k h and k ␯ insignificantly influ-
ence the shield behavior. This is because the ground reaction is
determined by K ho and K ␯o , since the ground displacement is
close to zero as shown in Fig. 11. On the other hand, in Figs.
17共b兲–共c兲, φy , θxT , and κh increase with the decrease of k h and
k ␯ . These tendencies can be explained in a manner similar to
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Fig. 14. Influence of force at face 共straight alignment兲
K ho , in other words, the jack moment in soft ground is more
effective for rotating the shield than in stiff ground.
In Figs. 16共d–g兲, the minimum coefficients of earth pressure
K h min and K ␯ min , and the maximum coefficients of earth pressure
K h max and K ␯ max are less sensitive to the indexes of the shield
behavior. This is because the coefficients of earth pressure K h and
K ␯ determined by the ground reaction curve are within the range
of K h min –Kh max and K ␯ min –K␯ max , respectively, since the ground
displacement is close to zero as shown in Fig. 11. On the other
hand, in Figs. 17共d–g兲, as K h min K h max and K ␯ min K ␯ max become
close to K ho and K ␯o respectively, φy , θxT and κh increase. This
is because the shield rotates in a yawing motion easily, since the
coefficient of earth pressure determined by the ground displace-
ment becomes close to the lower or upper limit, so the decrement
or increment of the ground reaction decreases.
Parameters of Shield Operation
By changing the model parameters concerned with the shield op-
erations, the shield behaviors for the straight and curve align-
ments are shown in Figs. 18 and 19, respectively. Here, the maxi-
mum values of the jack moment about the p axis M 3p and about
the q axis M 3q were determined, supposing 50% of the maximum
oil pressure of the jack and 75% of the number of jacks. ‘‘CT
direction’’ represents the rotation direction of CF, and ‘‘over-
break’’ represents the overexcavation all round the shield, which
is generated by the difference between the radius of CF and the
shield radius.
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / FEBRUARY 2002 / 149
J. Geotech. Geoenviron. Eng. 2002.128:138-155.
Fig. 15. Influence of force at face 共curve alignment兲
In Fig. 18共a兲, v s increases with the increase of F 3r . This re-
sults from the equilibrium condition of the force in the r axis
direction. The gradient of v s in the sandy ground is larger than
that in the clayey ground. This is because, as shown in Eq. 共15兲,
the sensitivity of F 3r against v s in the sandy ground is higher than
that in the clayey ground, since the effective earth pressure is
considered in the sandy ground while the total earth pressure is
considered in the clayey ground. This also causes the increase of
αsg in the sandy ground. On the other hand, in the case of the
clayey ground, αsg is always constant, since the dynamic friction
does not depend on the normal earth pressure. Furthermore, com-
pared with Fig. 18共a兲, in Fig. 19共a兲, φy linearly increases with the
increase of F 3r . This fact can be explained similarly as a.
In Fig. 18共b兲, φy , θxT , and κh increase with the increase of
M 3p . This means that the shield axis and the tunnel horizontal
alignment turn to the right, and the shield axis shifts from the
tunnel horizontal alignment to the concave side of it. Fig. 19共b兲
also shows a similar tendency.
In Fig. 18共c兲, φp , θyT , and κ␯ increase with the increase of
M 3q . This means that the shield axis and the tunnel vertical align-
ment turn downward and the shield axis shifts from the tunnel
vertical alignment to the concave side of it. Fig. 19共c兲 also shows
a similar tendency.
In Fig. 18共d兲, the CF rotating direction insignificantly influ-
ences the shield behavior. This is because the force at the face in
the transverse direction F 4q and the horizontal moment at the face
M 4p , the sign of which depends on the CF rotating direction, are
small compared to the other components of force, as shown in
Table 3. On the other hand, in Fig. 19共d兲, the CF rotating direc-
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Fig. 16. Influence of ground reaction curve 共straight alignment兲

Fig. 18. Influence of operation parameters 共straight alignment兲

tion slightly influences φp , θyT , and κ␯ in the sandy ground.

This is because the force at the face in the vertical direction F 4p
and the vertical moment at the face M 4q , which are generated by
the dynamic friction on CF, are changed in the sandy ground,
since the speed of shield advance on the right-hand side is slightly
faster than that on the left-hand side.
In Fig. 18共e兲, as the overbreak increases, φp , θyT , and κ␯
increase, φy , θxT , κh , and αsg in the sandy ground increase,
whereas those in the clayey ground are constant, but v s in both
ground types are almost constant. These tendencies can be ex-
plained as follows: 共1兲 the shield rotates easily, since the ground
reaction is reduced due to the increase of the overbreak; 共2兲 the
dynamic friction around the shield periphery in the sandy ground
decreases with the decrease of the ground reaction; 共3兲 the verti-
cal earth pressure increase, since the shield moves downward
with the increase of the overbreak; 共4兲 the cutter torque in the
sandy ground increases with the increase of the depth of the
shield; 共5兲 the force at the face in the sandy ground produces
unbalanced forces; and 共6兲 αsg and v s are obtained from the
equilibrium conditions. On the other hand, compared with Fig.
18共e兲, in Fig. 19共e兲, as the overbreak increases, φy , θxT , and κh
in the clayey ground increase, whereas the other indexes show a
similar tendency as mentioned above. This is because: 共1兲 the
shield rotates easily, since the ground reaction is reduced due to
the increase of the overbreak; and 共2兲 the horizontal jack moment
M 3p is applied.
The above considerations mean that the overbreak, i.e., the
excavated area, which defines the ground reaction, influences the
Fig. 17. Influence of ground reaction curve 共curve alignment兲
shield behavior more than the jack forces.

150 / JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / FEBRUARY 2002

J. Geotech. Geoenviron. Eng. 2002.128:138-155.

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Fig. 19. Influence of operation parameters 共curve alignment兲
Parameters of Copy Cutter
By changing the model parameters concerned with the copy cut-
ter, the shield behaviors for the straight and curve alignments are
shown in Figs. 21 and 22, respectively. The definitions of the
position, range, and length of the copy cutter are illustrated in Fig.
20. Here, note that the shield behavior at the simulation time of
700 min was used, since the shield reaches the ground surface in
some simulation cases at the simulation time of 980 min.
In Figs. 21共a–c兲 and 22共a–c兲, φy , θxT , and κh are related to
each other and φp , θyT , and κ␯ are also related to each other.
This means that the shield axis slightly shifts from the shield
Fig. 20. Definitions of position, range, and length of copy cutter
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / FEBRUARY 2002 / 151
J. Geotech. Geoenviron. Eng. 2002.128:138-155.
Fig. 21. Influence of copy cutter used 共straight alignment兲
tunnel alignment to the concave side of the tunnel and rotates to
the right according to the curve alignment.
In Fig. 21共a兲, the shield rotates in the direction of the position
of the copy cutter. This is natural, since the ground reaction is
reduced in the area where the copy cutter is used. v s and αsg
increase around the position of the copy cutter at 180°. This is
because the ground reaction and the earth pressure at the face
decrease, since the shield moves upward. On the other hand, com-
pared with Fig. 21共a兲, in Fig. 22共a兲, all of the indexes of shield
behavior have their peak around 270° and then decline. This is
because horizontal jack moment on the right-hand side is applied
and the geometric constraint is severe.
In Fig. 21共b兲, as the range of the copy cutter increases, φy ,
θxT , and κh increase, and αsg in the sandy ground also increases.
This is because the ground reaction and the dynamic friction
around the shield periphery in the sandy ground reduce with the
increase of the range of the copy cutter, while the cutter torque
does not change as much. When the range of the copy cutter is
180°, φp , θyT , and κ␯ increase, v s decreases, and the change of
φy , θxT , and κh become small. This is because the shield falls
into the area excavated by the copy cutter and vertical earth pres-
sure increases as the shield goes downward. Fig. 22共b兲 shows a
similar tendency.
In Fig. 21共c兲, as the length of the copy cutter increases, φy ,
θxT , and κh increase. This is because the ground reaction reduces
with the increase of the length of the copy center. αsg in the
sandy ground also increases up to the length of the copy cutter of
2 cm, and after which it remains constant. This is because the
dynamic friction around the shield periphery in the sandy ground

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Fig. 22. Influence of copy cutter used 共curve alignment兲
reduces with the decrease of the ground reaction while the cutter
torque does not change as much, and the ground reaction at the
active side becomes constant, since the coefficients of earth pres-
sure K h and K ␯ reach the lower limits K h min and K ␯ min . Fig.
22共c兲 also shows a similar tendency.
The above considerations indicate that: 共1兲 in the straight
alignment where the geometric constraint is loose, the use of the
copy cutter produces shield rotation, even when a small change of
jack moment is applied; and 共2兲 in the curve alignment where the
geometric constraint is severe, the shield rotates easily by using
the copy cutter, since the concentration of the ground reaction is
reduced. Therefore it is clear that the area where the copy cutter is
used, i.e., the excavated area, which defines the ground reaction,
greatly influences the shield behavior.
Conclusions
The loads acting on the shield were modeled, based on an analy-
sis of the operation of the tunneling shield. The load model con-
sisted of five forces, namely: force due to the self weight of the
machine, force on the shield tail, force due to the jack thrust,
force acting at the face, and force acting on the shield periphery.
Based on the proposed load model, the simulation algorithm was
developed and was used to obtain the shield behavior. Further-
more, the sensitivity of the model parameters to the shield behav-
ior was analyzed. From the results, the following were made
clear:
152 / JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / FEBRUARY 2002
J. Geotech. Geoenviron. Eng. 2002.128:138-155.
1. The ground displacement around the shield periphery, which
defines the ground reaction, is the most important factor af-
fecting the shield behavior, especially in stiff ground where
the effect of the jack moment is limited. Furthermore, under
the same shield operation conditions, the ground properties
in the ground reaction curve influence the shield behavior,
especially in the curve alignment where the geometric con-
straint is severe.
2. The tail clearance, especially the contact of the shield with
the segment, influences the shield behavior at the curve
alignment where the distribution of the tail clearance is un-
equal. Furthermore, the decrease of the tail clearance and the
increase of the spring constant of the wire brush restrict the
shield rotation.
3. The force due to the jack thrust influences the shield behav-
ior. A large jack force is required to increase ␯ s in the case of
stiff ground where the sensitivity of the earth pressure at the
face to the speed of the shield advance is high. The jack
moment is effective for rotating the shield in soft ground
where the ground reaction in the passive state is small.
4. The CF rotating direction influences the shield behavior.
This influence is significant when unsymmetrical earth pres-
sures act on the face.
5. The shield axis direction is related to the tunnel alignment
direction, but the shield axis shifts from the tunnel alignment
to the concave side of the curve alignment. Therefore the
shield axis direction is independent of the tunnel alignment
direction.
6. The acting point of the force on the CF influences the shield
behavior. The acting point changes, for example, in the case
of local collapse of ground at the face.
The authors confirmed that the results agreed well with past ex-
perience and can be explained theoretically. Therefore, the pro-
posed model represents the shield behavior reasonably well pro-
vided appropriate model parameters are used.
Acknowledgment
This research was supported by the Program for Promoting Fun-
damental Transport Technology Research from the Corporation
for Advanced Transport & Technology 共CATT兲 of Japan.
Appendix I. Transformation of Coordinates
The coordinate systems C T , C M , and C M R are defined as illus-
trated in Fig. 3. C T can be transformed into C M as follows:
rM ⫽T⫺1 ⫺1 ⫺1 T
z Ty Tx 共 r ⫺ro 兲
T
(34)
where rTo ⫽theorigin of C M , and Tx , Ty , Tz ⫽the transformation
matrixes formed by the rotation angles θx , θy , and θz as defined
in Fig. 23. C M R can be transformed into C M as follows:
rM R ⫽TR⫺1 rM (35)
where TR ⫽the transformation matrix formed by rotation angle θR
as defined in Fig. 3.
The yawing angle φy , the pitching angle φp , and the rolling
angle φr , which are measured by an inclinometer in the shield,
can be converted into θx , θy , and θz as follows:
θx ⫽φy
再
φp 共 measured by torque balanced type兲
θy ⫽ ⫺1
tan 共 tan φp cos φr 兲 共 measured by gravity type兲
(36)
 from point C on the shield axis with the surface of the segment
r2CS . These position vectors can be defined as

MR
r2C ⫽ 冋 册
R SI
0
⫺l T
(42)

MR
r2CS ⫽ 冋 册
γC R SI
0
⫺l T
(43)

Furthermore, under the condition that r2CS is on the surface of the

segment at ring k⫹1, the position vector at the foot of the per-
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Fig. 23. Definitions of shield rotation angles pendicular from r2CS on the segment axis rC can be represented
by
rCT ⫽rCSE
T
关 k 兴 ⫹βC 共 rCSE 关 k⫹1 兴 ⫺rCSE 关 k 兴 兲
T T
(44)
θz

再
where γC , βC ⫽the multiplier factors (0⭐γC ,0⭐βC ⭐1).
tan⫺1 共 sin φr /cos φp 兲共 measured by torque balanced type兲 Since r2CS ⫺rC is perpendicular to the segment axis, and the
⫽
φr 共 measured by gravity type兲 distance between r2CS and the segment axis is equal to the outer
radius of segment, the following are obtained:
Here, note that φy , φp , and φr are measured at the same time
after the shield rotation, while θx , θy , and θz have the order in ⫺rCT 兲 "kCSE 关 k 兴 ⫽0
T T
共 r2CS (45)
the transformation matrixes.
T
共 r2CS ⫺rCT 兲 "共 r2CS
T
⫺rCT 兲 ⫽R C2 (46)
Solving the above equations for γC and βC , r2CS can be obtained.
Appendix II. Tail Clearance
Then U 2C can be obtained from

Tail Clearance at Segment End U 2C ⫽ 共 r2C

MR
⫺r2CS
MR
兲 pR (47)

The tail clearance at the segment end 共point A in Fig. 4兲 U 2A can

be determined by using the position vector at point A r2A and the Tail Clearance at Front end of Wire Brush
position vector at the intersection of the perpendicular from point
A on the shield axis with the outer end of the segment r2AS . The tail clearance at the front end of the wire brush 共point B in
These position vectors can be defined as Fig. 5兲 U 2B and the position vector at point B r2B can be obtained

冋册
by linear interpolation between points A and C.
R SI
MR
r2A ⫽ 0 (37)
rA Appendix III. Ground Displacement Around Shield

冋 册
Periphery
γA R SI
MR
r2AS ⫽ 0 (38) The i jth position vector on the shield periphery r5i j exists be-
rA tween two successive steps, step k and k⫹1, if
where R SI ⫽the inner radius of shield tail; r A ⫽the foot of a per-
关共 rT5i j ⫺rCF 关 k 兴 兲 "k关 k 兴 兴关共 r5i j ⫺rCF 关 K⫹1 兴 兲 "k关 k⫹1 兴 兴 ⭐0
T T T T T
(48)
pendicular onto the r axis; and γA ⫽the multiplier factor (γA
⭓0). where rCF ⫽the position vector of the center of CF; and k⫽the
Since r2AS is on the plane of the segment end, and the distance direction vector of the shield axis. Then the position vector of the
between r2AS and the center of the segment end is equal to the center of CF rCi j and its rotation angles, where r5i j is on CF, can
outer radius of segment R C , the following are obtained: be obtained by linear interpolation as
MR
共 r2AS ⫺rCSE
MR
兲 •kCSE
MR
⫽0 (39)
j ⫽rCF 关 k 兴 ⫹βi j 共 rCF 关 k⫹1 兴 ⫺rCF 关 k⫹1 兴 兲
T T T T
rCi (49)
MR
共 r2AS ⫺rCSE
MR
兲 • 共 r2AS
MR
⫺rCSE
MR
兲 ⫽R C2 (40) θxi j ⫽θx 关 k 兴 ⫹βi j 共 θx 关 k⫹1 兴 ⫺θx 关 k 兴 兲
where rCSE ⫽the position vector at the center of the segment end; θyi j ⫽θy 关 k 兴 ⫹βi j 共 θy 关 k⫹1 兴 ⫺θy 关 k 兴 兲 (50)
and kCSE ⫽the normal vector of the cross section of the segment
end. Solving the above equations for r A and γA , r2A and r2AS can θzi j ⫽θz 关 k 兴 ⫹βi j 共 θz 关 k⫹1 兴 ⫺θz 关 k 兴 兲
be obtained. Then U 2A can be obtained from
where βi j ⫽the multiplier factor (0⭐βi j ⭐1).
U 2A ⫽ 共 r2A
MR
⫺r2AS
MR
兲 pR (41) Since CF is perpendicular to the shield axis, the following
equation is obtained:
共 rT5i j ⫺rCi j 兲 "kCi j ⫽0
T T
Tail Clearance at Shield Tail (51)
The tail clearance at the end of the shield tail 共point C in Fig. 4兲 Solving the above equations for βi j , rCi j can be obtained. Then
U 2C can be determined by using the position vector at point C r2C the ground displacement vector at the i jth point Ui j can be ob-
and the position vector at the intersection of the perpendicular tained from

JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / FEBRUARY 2002 / 153

J. Geotech. Geoenviron. Eng. 2002.128:138-155.

 l Ci j ⫺l EXi j T tc ⫽ shield tail and segment;
UTi j ⫽ 共 r5i j ⫺rCi
T
j兲 (52) wc ⫽ wire brush and segment;
l Ci j
1 ⫽ self-weight of machine;
where 2 ⫽ force on shield tail;
l Ci j ⫽ 兩 rT5i j ⫺rCi 21 ⫽ contact force between shield and segment ring;
j兩
T
(53)
22 ⫽ interaction force due to deformation of wire brush

l EXi j ⫽ 再 R M ⫹E R 共 R CF ⫺R M 兲
R M ⫹E R l CP关 k 兴 共 θRi j 兲
关 R CF ⭓R M ⫹l CP关 k 兴 共 θRi j 兲兴
关 R CF ⬍R M ⫹l CP关 k 兴 共 θRi j 兲兴 3
4
⫽
⫽
and applied grease pressure;
jack thrust;
force acting at face;
(54)
41 ⫽ force at face;
in which 42 ⫽ force on the cutter face periphery;

冉 ⫺1 T
关 TCi j 共 r5i j ⫺rCi j 兲兴 q
T

冊 43 ⫽ weight of muck in chamber; and

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θRi j ⫽tan⫺1 ⫺1 T (55) 5 ⫽ force acting on shield periphery.

j 共 r5i j ⫺rCi j 兲兴 p
T
关 TCi
and l EXi j ⫽the effective radius of the excavation; l CP⫽the length
of copy cutter used; E R ⫽the effective ratio of over excavation; References
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