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14541 APRIL 1979 GT4
JOURNAL OF THE
GEOTECHNICAL
ENGINEERING DIVISION
INTRODUCTION
—
Principle. The behavior of a tunnel support in the ground is a typical
ground-structure interaction problem. A tunnel support under the influence of
the in-situ ground stresses will contract and change its shape; these support
deformations will in turn affect the behavior of the ground. The uniform'
contraction and shape change of the support depend, to a large extent, on
—
FIG. 1. Characteristic Curves
—
; free-field ground stresses are restricted to a fixed function of the vertical stresses
and Poisson’s ratio [i.e., a h = v/{\ v) cr J . Hoeg (7) later relaxed this
constraint on the lateral stresses. Finite element studies have shown that variations
of stress with depth are not important at depths of more than one tunnel diameter
below the surface (5,9,12).
The more restrictive assumption in the relative stiffness solution is that of
plane strain. Although this assumption may be appropriate at locations far from
the face of the tunnel, the actual conditions near the face are more complicated
(14,16).
If these assumptions are considered in the design, relative stiffness solutions
can provide a practical approach. When applied to tunneling problems, however,
an important disadvantage of the original relative stiffness solution is the
assumption of a surface overpressure loading condition. This “external loading”
1 condition implies that the tunnel opening has been excavated and supported
before the load corresponding to the free-field stresses is applied. While this
loading condition is correct for backfilled culverts and for tunnels subjected
to blast overloads, it does not adequately represent the actual “excavation
unloading” condition that occurs during tunneling. In this case, the tunnel opening
is excavated and supported after the load corresponding to the free-field stresses
has been applied. The assumption of external loading instead of excavation
unloading may lead to support forces that are 50%-100% too conservative (9).
This leads to overdesign that is unacceptable even for initial supports and the
—
preliminary design of final supports.
Relative Stiffness Solution for Excavation Unloading Conditions. The derivation
follows the original logic of Bums and Richard (2). The ground mass is postulated
to be an infinite, elastic, homogeneous, isotropic medium with an initial vertical
stress, P, equal to the vertical ground stress at the center line of the tunnel
and an initial horizontal stress KP. The tunnel support is treated as an elastic
thick-walled shell in which both flexural and circumferential deformations are
considered. The notation used in the solution is shown in Fig. 2.
The relative stiffness of the ground mass to the tunnel support is incorporated
into the solution through the use of two dimensionless parameters, the compress¬
ibility and flexibility ratios. The compressibility ratio, C*, is defined as
t ER(1 - iÿ)
C* = (1)
E,A,{\ -v2)
in which E, v and Es, vs = the elastic constants for the ground and support;
A,= the average cross-sectional area of the support per unit length of tunnel;
and R = the tunnel radius. The compressibility ratio is a measure of the relative
stiffness of the ground-support system under a uniform or symmetric loading
condition
coi [horizontal ground stress equal to the vertical ground stress in the
[
1
502 APRIL 1979 GU
free field
system.
— see Fig. 3(a)], i.e., it reflects the circumferential stiffness of the
KP
—
FIG. 2. Notation for Revised Relative Stiffness Solution: (a) Ground Medium;
Tunnel Liner
W
1i
E , Eg - Elastic moduli for
ground ond
support
, V, V% -Poisson's ratios for
P ground and
support
E, *s
AD/D AD/0
ER(l-l{l
C* • Compressibility Ratio ■
E,At(l -V2)
_ — P
—
l_Ll L_L_ p
J I, ■ Moment of inertia
p r\
r vv
of #uPport P*r unit
11 l 1 f
1 L P LL
__P
AD/D
E
“(l-lt2)
P Eg I,
AD/D “(l-lf)R*
P
—
FIG. 3. Dimensionless Stiffness Ratios for Tunnel Supports
F* = E.I.(\ 0)
-v‘)
in which Is = the moment of inertia of the tunnel support per unit
GT4 TUNNEL-SUPPORT ANALYSIS 503
0f tunnel. The flexibility ratio is a measure of the relative stiffness of the
ground-support system under an antisymmetric loading condition [horizontal
ground stress equal to but of opposite sign of the vertical ground stress in
the free field —see Fig. 3(h)] , i.e., it reflects the flexural stiffness of the system.
(Details and review of the derivation of both stiffness parameters, which are
tjifferent from those used in the other solutions in the literature, are given
in Appendix I.)
The derivation of the revised relative stiffness solution follows three basic
steps:
1. Derive the initial displacement field in the ground mass due to the in-situ
stresses.
2. Derive the total stress and incremental displacement fields in the ground
mass after excavation and the contact stresses at the ground-support interface.
The incremental displacement field is the displacement field for a circular hole
in the ground under an external loading condition minus the displacements due
to in-situ stresses. The full-slip or no-slip boundary conditions at the ground
support interface are also considered in Step 2 and lead to two different solutions.
3. Compute the internal support forces induced by the contact stresses at
the ground-support interface. Details of the derivation for each of the three
steps are given in the following.
—
Step 1: Derivation of Initial Displacement Field in Ground Mass Due to In-Situ
Stresses. The stresses existing in the ground before tunneling are given as
(see Fig. 2 for notation)
=—
P
T,„ (1 - AT) sin 20 (3c)
2
and the stress-strain-displacement relations in polar coordinates are
*,=
du
-
dr
= —
1
E
,
[(1 - v )o, - v(l + v)o8] Plain strain (4a)
= —ur +-= — dv
E
rd6
1
[(1 - v )cr„ - v (1 + v)crr] (4b)
Substituting Eqs. 3 into Eqs. 4 and integrating yields the expressions for the
initial ground displacements, u, and v,:
Pr(1 + v)
u, = -
IE
[(1 - 2v )(1 + K) - (1 - K) cos 20 ] (5)
v, =-(1
Pr(l + v)
— K) sin 20 (6)
504 APRIL 1979 GT4ff
Step 2: Derivation of Stress and Incremental Displacement Fields in Grounds
after Excavation and Contact Stresses at Ground-Support Interface. —The stresses
in the ground mass can be expressed in terms of a stress function, 4> , as
Chapter 4 - Two-dimensional
problems in polar coordinates
Using Eqs. 4, 7, and 8, the stresses and displacements in the ground mass
--
can be expressed as
. 1 1
= a0r~2 + — P(1 + K) P(1 - K) cos 20
......
<jr
2 2
1 1
+ — .P(l + A) + —2 P( 1 - K) cos 20
2
CT„ = -a„r
2
+ [— n(—n — l)aÿr ~"~2 + (—n +!)(—« + 2) b'„r “”] cos («0 ) . . . (9b)
■{ — Pr(1 — K) sin 20
1+ v f 1
v= -
E [2
“=—
1-ÿ"'+ \-na'"r~n~'
n =2,4, 6
+ (« + 2 - 4v)b>~"+1] cos
v = ———
E
(n0)j
|L»-2.4,6 [na'nr~" ' - 4(1 - v)b'„r“”+1] sin(n0)lJ .......
(11a)
(lib)
T,e =0 (12ft)
«=!/, (12c)
“=«, (13c)
v= (13<0
The stress-displacement relations for the support [e.g., see Fliigge (6)], must
also be considered at this point:
--
d\s
d0
~ + —
du
d6
- = --
Dc
R1
•>-*„ (14a)
d9
+ u, H--DF (dAus
-I --
DCR2 \ <f04 — — J2u,
1-2--
dO2
I-
/ —Dc
a.\ = - a„
R2
(14b)
506 APRIL 1979
in which Z) =
1 - v?
.....
1 -v
oR =
=0
—
1
2
i»(1 + tf)(l - a*)
--
Combining Eqs. 9, 11, 12, and 14 for the full-slip case yields the contact stress
1
2
usE
- =
PflO+v)
—
2
1
(1 + K)a%- (1 - AT) [(5 - 6 V)at - (1 - v)] cos 20 . . (16a
vsE
- =
PR(1 + v) —
2
1
(1 - K)[(S -6v)a*- (1 - v)] sin 20 (16Z
C*F*(I - v)
in which a* = ■
C* + F* + C*.F*(1 -v )
(F* + 6)(l -v)
= (176f
a\
2F*(1 — v) + 6(5 - 6v) I
Eqs|
--
in which C* and F* are given in Eqs. 1 and 2. Similarly, combining
9, 11, 13, and 14 for the no-slip case yields the contact stresses:
<Tÿ =— i
F(1 + tf)(l -a?)
i
P(1 - *0(1 -6a* + 46*) cos 20 ...
!
(18a|-;f
2 2
=—
1
TRB P(1 - 6f)(l + 6a * - 26*) sin 20 (186V
2
and the support displacements (again in dimensionless form):
U'E
PR(\ + v)
;
—1
2
(1 + K)a* + —2 (1 - tf)[4(l -v)b* - 2a*] cos 20 . .
1
(19a)
v.E
= -(1 - 6f)[a* + (l -2v)6*] sin 20
PR(1 + v)
C*F*(1 - v)
in which a* =
C* + F* + C*F*(1 — v)
(6 + F*)C*(1 - v) + 2F*v
P=
3 F* + 3C* + 2C*F*(1 -v )
C*(l -v)
(20 c)
2[C*(1 -v) + 4v - 6(3 - 3PC*(1 -v)]
GT4 TUNNEL-SUPPORT ANALYSIS 507
a\ = Pb* (20 d)
where C* and F* are given in Eqs. 1 and 2.
Step 3: Compute Internal Support Forces Induced by Contact Stresses at
—
Ground-Support Interface. The differential equations for the axial thrust, T,
and moment, M, in the tunnel support under plane strain conditions are (6)
R ---
dT
dQ
—
dM
dQ
= -R21, (21 a)
RT + (21 b)
dr
Substituting the expressions for <x„ and TSO derived in Step 2, solving the
differential equations simultaneously, and expressing the results in dimensionless
form, the support forces for the full-slip case are
—=—
T
PR
1
2
(1 + AT)(1 - a*) + —2
1
(1 - Zf )(1 + 2a*) cos 20 (23 a)
—
PR2 = —
M
-
1
A
(1 - AT)(1 - 2a*+ 2h*)cos20 (23 b)
The purpose of this section is to provide the reader with values of thrust,
moment, and displacement for ground and support characteristics that are typical
of soft-ground and hard-rock tunnels. At the same time, it will be possible
to consider the effect of the different loading conditions and of the different
support types and dimensions. The figures and accompanying comments presented
in this section can provide a readily applicable design tool. However, it must
be emphasized here that for the purposes of design the restrictive assumptions
underlying the derivation must be kept in mind. The solution should be used
to bracket the expected tunneling conditions and to examine the sensitivity
of the analysis to variations in the design parameters.
—
Ground and Support Parameters. As shown in Figs. 4-8 the following
parameters were varied to investigate the effect of ground and support charac-
508 APRIL 1979
line
Nop
8p
—
Tunel
et
Coeficnt
Thrust
Sup ort
4.
FIG.
GT4 TUNNEL-SUPPORT ANALYSIS 509
teristics on normalized support thrust T/ PR, moment M/ PR2, and displacement |i
usE/PR( 1 + v): relative stiffness (E/Es = 10-4 to 1; t/R = 0.01 to 0.75,
j = average support thickness corresponding to C* s= 0.001 to 100.0, F* =
HiMI«MuniB
»«
lUuaIion
—
uodnq
■*,
ni4
<
—
FIG. 5. Support Moment Coefficient at Tunnel Springline
Although the ground and support parameters can be in the entire range
mentioned previously and shown in Figs. 4-8, most practical combinations of
the parameters will occur in more limited ranges. Representative ranges of E / E s
i
f —
— —
are: steel or cast iron supports in soft ground 10 4 to 10“3 ; concrete supports
in soft ground 10-3 to 10-2; steel supports in rock 10 2 to 1 0_ 1 ; and concrete
—
supports in rock 10"2 to 1. The range of the thickness ratio, t/R, can be
considered to represent: (1) Prefabricated concrete or cast-iron elements and
cast-in-place concrete liners in small to medium diameter tunnels (10 ft-20 ft)
at the high end ( t/R = 0.075); (2) Cast-in-place concrete in medium to large
diameter tunnels (20 ft-30 ft) in the middle (t/R = 0.05); and (3) Fabricated
steel liner plates or steel sets in a wide range of tunnel diameters (10 ft-30
t
Springl e
Tun el
at
Coeficnt
Displacemnt
Sup ort
00
GT4 TUNNEL-SUPPORT ANALYSIS 511
ft) in the low ranges (t/R = 0.025 and 0.01). Shotcrete in medium to large
diameter tunnels would also fall in this last category. It should be emphasized
at this point that it is not necessary to work with the assumption (on which
the curves in Figs. 4-8 are based) of a uniformly thick support; the relative
stiffness solutions can treat any cross-sectional shape of the .support. However,
i
liIS
(j
% ason shown in Fig. 7, varying the cross-sectional shape has only a moderate effect
i the support behavior.
a —
Analysis of Results. The first part of this analysis will consider the effects
of all parameter variations for the excavation unloading condition only, while
I the second part will be devoted to a comparison of these results with those
512 APRIL 1979
obtained using the external loading condition in the original relative stiffnei
solution.
—
Effects of Relative Stiffness and Stress Ratio K. The results of varying thi
relative stiffnesses of the support and the ground are presented in Figs
Increasing the relative stiffness of the support by decreasing E/Es or increasi
t/ R increases the support thrust and moment. This is intuitively expected sim
stiffer supports contribute more resistance to the combined ground-support sy:
tem. Also unsurprising is the result that very flexible supports are not subjei
to any moments; as indicated by the values for E/ Es and t/R shown in the5
figures, this condition will occur in most rock tunnels. The effect of the relative!
support stiffness on the support displacements is somewhat more complex,
FIG. 8. — Effect of Lateral Stress Ratio on Support Thrust, Moment, and Displacement
in Fig. 6, the support forms a lying ellipse and the net springline displacements1 >
are outward (negative) when C* =S 2.0. Further support stiffness increases are
accompanied by increased bending stiffness, which eventually restrains some
of the “ovalling” of the support. Finally, for an ideally rigid support no
displacements and maximum thrust and moment occur.
GT4 TUNNEL-SUPPORT ANALYSIS 513
The effects of the relative stiffness variations confirm statements made in
the literature by Peck (11) and intuitive predictions, particularly in the extreme
cases of ideally flexible and ideally rigid supports. It is important to note that
most practical tunnels in soil will fall into the high thrust and medium-to-high
moment ranges while rock tunnels will usually lie in the medium thrust and
low moment ranges, based on the representative stiffness values covered in
the previous section. One has to remember, however, that the supports considered
here are continuous and that articulation (as would occur with some segmented
supports) will change the practical implications.
Poisson’s ratio, which also influences relative stiffness, was found to have
only a slight effect on the support forces and displacements.
Fig. 8 shows the effect of varying the stress ratio K. As expected, for K
= 1 the thrust is equal to the hoop load, and no moments occur. As K increases,
the springline thrust decreases and the moments and negative springline displace¬
ments (expansion) increase for the relatively stiff supports compared in the
figure. The opposite behavior occurs for K > 1. Interestingly, both the full-slip
—
TABLE 1 . Springline Thrust and Moment Coefficients for Perfectly Rigid Support,
C* = F* = 0
V = 0.10 V
— 0.25 v = 0.48
„
and no-slip conditions produce practically the same moments and displacements
over the entire range of K values; however, the thrust in the full-slip case
deviates considerably from that in the no-slip case in which the thrust is
I approximately constant for the entire K range. In the no-slip case there is
I a significant transfer of shear stresses from the ground to the support that
I results in a quasiuniform state as far as thrust in the support is concerned.
‘ Practically, this implies that the thrust in shotcrete supports that are interlocked
y
j with the ground (e.g., blasted rock tunnels) is not significantly influenced by
e I the in-situ stress conditions.
“
—
P
,
Effects of Loading Conditions. All of the results of the relative stiffness
solutions that have been presented in Figs. 4-6 show clearly that external loading
i conditions yield design parameters that are 50%-100% less favorable than those
s
t for excavation unloading. Table 1 shows the results from the relative stiffness
solutions for ideally rigid supports. The external loading condition is always
more severe. In addition, the differences between no-slip and full-slip boundary
8 6
conditions are greater in the external loading case. This is due to the fact that
more load is transferred to the support in the external loading case and thus
5
514 APRIL 1979
the no-slip boundary condition, which “attracts” more load to the support,
has a greater effect.
The interpretation and analysis of the real ground behavior around a tunnel
requires considerable judgment on the part of the tunnel designer. Relative
stiffness solutions can complement this judgment and fill the gap between
sophisticated analytical methods and empirical methods for tunnel support design.
1
The work on which this paper is based is part of the research on improved
i-
tunnel design and construction sponsored by the United States Department of
I,
Transportation (DOT) under contracts No. DOT-OS-60136 and DOT-TSC-1489.
e
This support and the assistance provided by the responsible personnel at DOT,
g
R. K. McFarland, G. L. Butler, and L. Silva, is gratefully acknowledged.
tt
it
i;
y
APPENDIX I.
— DERIVATION OF DIMENSIONLESS STIFFNESS RATIOS
P E
h -=-T (24)
AD 2(1 -v2)
D
ID
y and for the support:
>s P ESAS
5) _ (25)
AD (1 - v])R
D
The compressibility ratio is then defined as:
el
le
m E
n. 1 - v2 ER(1 -v,2)
af C*
Is ESA , -v2)
se (1 -»])*ÿ
al
ry
as in which the factor of 2 in the denominator of Eq. 24 has been dropped for
ts
at convenience since C * is used only as an index parameter.
JO The flexibility ratio, F*, is a measure of the relative diametral stiffnesses
to of the ground and the support under an antisymmetric loading condition (horizontal
516 APRIL 1979 GT4
ground stress equal to but of opposite sign of the vertical ground stress in
the free field). The diametral stiffness of the ground for this loading conditioa
is [see Fig. 3(h)] :
P E
(27)
AD 4(1 -v2)
D
and for the support:
P _ 6E,I,
(28)
A D_ (l-v2)*3
D
The flexibility ratio is then defined as:
E
1 - v2 ER 3(1 — v2) (29)
EJs ~E,I.{1 -v2)
(1 -v2)*3
in which, again, since F* will be used only as an index parameter, the factors
of 4 and 6 in Eqs. 27 and 28 have been dropped.
Note here that the compressibility and flexibility ratios defined in Eqs. 26
and 29 are slightly different from those used by Bums and Richard (2), Hoeg
(7), and Peck, et al. (12). In their solutions, the calculation of the ground stiffness
was based on the unperforated ground mass existing before the tunnel was
excavated. While this assumption has only a slight effect on the flexibility ratio,
it has a misleadingly extreme effect on the compressibility ratio. The diametral
stiffness of the ground mass under a uniform stress condition for the unperforated
ground case is
P E
(30)
A£> (1 + v)(l - 2v)
"zT
The diametral support stiffness remains unchanged (Eq. 25), and the compress¬
ibility ratio, C, for the unperforated ground case is
ER(l-vl)
ESA ,(1 + v)(l — 2v )
The differences between the expressions for C* (Eq. 26) and C (Eq. 31)
are the terms in the denominator involving Poisson’s ratio v for the ground
mass. As v approaches 0.5 (which might be realistic for a tunnel in undrained ,s
soft clay), the compressibility ratio, C, based on the unperforated ground mass,
GT4 TUNNEL-SUPPORT ANALYSIS 517
tends toward infinity. From a conceptual viewpoint, an infinite compressibility
ratio should correspond to zero support thrust. A large compressibility ratio
implies that the ground is much stiffer than the support and that the support
is therefore “attracting” little load. But the support thrust for the case of v
= 0.5 does not tend toward zero, both in reality and as predicted by the relative
stiffness solutions; thus the expression for C in Eq. 31 is misleading.
The compressibility ratio, C* (Eq. 3), based on the perforated ground mass,
better relates the support load to the relative support stiffness for all values
of v . In addition, it is conceptually more correct because it relates the stiffness
of the support to the stiffness of the load-carrying component of the ground
. (the ground outside the tunnel). Therefore, a perforated ground mass has been
assumed in the derivation of C* (and F*, for consistency) in the revised relative
stiffness solution. The ratios C* and F* in the revised solution are related
to the ratios C and F in the original relative stiffness solution by
(32)
(33)