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ORIGINAL PAPER
Giovanni Barla
Abstract Shielded tunnel boring machines (TBMs) can including the magnitude of displacement and contact forces
get stuck in squeezing ground due to excessive tunnel on shields and ground pressure on segmental lining versus
convergence under high in situ stress. This typically time for different advance rates.
coincides with extended machine stoppages, when the
ground has sufficient time to undergo substantial dis- Keywords Double-shielded TBM Squeezing ground
placements. Excessive convergence of the ground beyond 3D numerical simulation Creep Advance rate TBM
the designated overboring means ground pressure against entrapment
the shield and high shield frictional resistance that, in some
cases, cannot be overcome by the TBM thrust system. This List of symbols
leads to machine entrapment in the ground, which causes A Creep model parameter
significant delays and requires labor-intensive and risky Ai Shield surface
operations of manual excavation to release the machine. To AR Machine advance rate
evaluate the impact of the time factor on the possibility of c Cohesion
machine entrapment, a comprehensive 3D finite difference CPOW Power-law visco-plastic model
simulation of a double-shielded TBM in squeezing ground CVISC Burger-creep visco-plastic model
was performed. The modeling allowed for observation of D Tunnel diameter
the impact of the tunnel advance rate on the possibility of eij Deviatoric strain
machine entrapment in squeezing ground. For this purpose, evol Volumetric strain
the model included rock mass properties related to creep in E Modulus of elasticity
severe squeezing conditions. This paper offers an overview f Failure criterion
of the modeling results for a given set of rock mass and Ff Required maximum thrust force
TBM parameters, as well as lining characteristics, FN Maximum cutterhead thrust
g Plastic potential
G Shear modulus
R. Hasanpour (&)
GK Kelvin shear modulus
Department of Mining Engineering, Hacettepe University,
06800 Beytepe, Ankara, Turkey GM Maxwell shear modulus
e-mail: roha93@gmail.com kn Normal stiffness
ks Shear stiffness
J. Rostami
kt Tensile stiffness
Department of Energy and Mineral Engineering, Pennsylvania K
State University, University Park, PA, USA Kelvin components
e-mail: rostami@psu.edu K Bulk modulus
K0 In situ stress ratio
G. Barla
LDP Longitudinal displacement profile
Politecnico di Torino, Corso Duca degli Abruzzi 24,
10129 Turin, Italy LCFP Longitudinal contact force profile
e-mail: giovanni.barla@polito.it LPP Longitudinal ground pressure profile
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R. Hasanpour et al.
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Impact of Advance Rate on Entrapment Risk
results of 3D numerical modeling and investigated the account by Sterpi and Gioda (2007), who highlighted the
impact of the advance rate on the lining loading for the fundamental effect of creep, as well as by Einstein and
simplified model of a lining that starts to become loaded Bobet (1997) and Ramoni and Anagnostou (2007), who
40 m behind the face. Furthermore, Lombardi and Panciera studied the consolidation processes associated with the
(1997) utilized numerical analyses to evaluate the feasi- development and subsequent dissipation of excess pore
bility of a double-shielded TBM drive for the Guadiaro- pressures around the tunnel in a low-permeability water-
Majaceite Tunnel (Spain, D = 4.88 m). The model incor- bearing ground.
porates advance rate and time-dependent ground behavior A recent description of the ‘‘steady state method’’
in the simulations, but the analysis was not fully 3D and (including its further development for poro-elasto-plastic
did not consider the interactions between the rock mass and materials) and numerical comparisons with the step-by-
the TBM components. step simulation of an advancing tunnel can be found in
Similar numerical studies were performed by Shalabi Cantieni and Anagnostou (2009). Step-by-step simulations
(2005), who carried out a back analysis of the creep of tunnel excavation have also been performed by Schmitt
deformations and pressures of the Stillwater Tunnel (USA, (2009), who studied the behavior of single-shielded TBMs.
D = 3.06 m) by assuming the tunnel as being lined up to The model offers valuable insights into the effects of non-
the face. The developed model did not consider the shield uniform convergence and of non-hydrostatic shield and
in the numerical computations. In addition, Amberg (2009) lining loading.
and Lombardi et al. (2009) simulated the shield by As a follow-up of the work above, this paper is intended
applying a support pressure of 1 MPa at the face and at the to describe a comprehensive 3D model of a shielded TBM
excavation boundary around the shield. Their model ana- which has been developed with the FLAC3D code (Itasca
lyzed the impact of the advance drainage on the ground FLAC3D Manual 2006), so that all the properties of the
behavior for the excavation of the service tunnel of the main TBM components can be used as variables at each
planned Gibraltar Strait Tunnel between Morocco and step of the analysis. The 3D model has the advantages of
Spain (D = 6.50 m). numerical analysis and the ability to model complex
Numerical studies that evaluate the stresses and defor- ground behavior, without the disadvantages of interjected
mations of the shield structure of the single-shielded TBM inaccuracies of modeling the tunneling process in 2D
of the Hallandsås Tunnel (Sweden, D = 10.70 m) were models, including the limitation of the axisymmetric
performed by Wittke et al. (2007). The analysis considers models.
seepage flow, but the shield is modeled by introducing the The numerical modeling discussed builds upon the
a priori assumption that the ground closes the steering gap computational model of Zhao et al. (2012) and Hasanpour
at a distance of 4 m behind the working face. et al. (2014) by taking creep into consideration. Further-
Ramoni and Anagnostou (2006) employed axisymmetric more, the 3D modeling uses finite difference analysis with
numerical models in order to investigate the effects of thrust the capability to allow for large strains in the numerical
force, overboring, shield length, and skin friction coefficient computation. Also, the analysis is based on simple and
between the shield and the ground with respect to the prob- accurate configurations of the shield components that are
lem of shield jamming. Ramoni and Anagnostou (2007, used in practice.
2008) created the model by implementing the stress-point The finite difference models can be applied in various
algorithm in accordance with the so-called ‘‘steady state rock mass conditions, including hard, weak, and interme-
method’’, a numerical procedure for solving problems with diate rock masses. In addition, different shield types and
constant conditions in the tunneling direction by considering correct dimensions of the shield components can be mod-
a reference frame, which is fixed to the advancing tunnel eled by small changes in the input data. The effects of
face. A recent description of the computational method and backfilling materials can also be taken into account by
numerical comparisons with the step-by-step simulation of considering the geometry of the tunnel and machine, as
an advancing tunnel can be found in Cantieni and Anag- well as time-dependent properties of the backfill grout.
nostou (2009). Various TBM configurations can be simulated with
Fully 3D numerical simulations of shielded TBMs have respect to the type of TBM only by changing the values
been presented by Graziani et al. (2007), Sterpi and Gioda assigned to each component. For example, a single-shiel-
(2007), Schmitt (2009), Pellet et al. (2009), Einstein and ded TBM can be simulated by modeling one part of the
Bobet (1997), Ramoni and Anagnostou (2007), and Zhao shield and changing the grouting material properties.
et al. (2012). The model developed by Graziani et al. Elimination of the shield elements by advancing the face
(2007) was a 3D model that considered creep effects for the and relocation of the shield can be used to simulate
planned Brenner Base Tunnel (Austria, double-shielded machine advance in the tunnel and extrusion of the seg-
TBM, D = 11.00 m). Time effects were also taken into ments from the tail shield (Hasanpour et al. 2014).
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R. Hasanpour et al.
The contact between the shield and rock mass has been microfractures. If the applied stress is reduced to zero
modeled by using interface elements on both tunnel and during the primary creep stage, the deformation will
shield boundaries. This is accomplished while considering eventually decrease to zero (Fig. 1a) (Fjaer et al. 2008).
the gap between the ground and the shield by accounting In the next stage, the deformation rate is constant. This
for a non-uniform overcut around the shielded TBM. is called steady state (or secondary) creep. If the applied
However, given that the numerical formulation used is stress is reduced to zero during this stage, the deformation
based on the large strain assumption, for preventing the will not vanish completely. Steady-state creep thus implies
penetration of the rock mass into the shield elements due to a permanent deformation of the material.
large displacements in squeezing ground, an algorithm was Finally, the deformation rate may increase with time.
used to control the ground displacement at the contact This is called accelerating (or tertiary) creep. This stage
surfaces. For this purpose, a FISH code was developed in leads to rapid change in the deformation rate, and, ulti-
FLAC3D that monitors all displacements with respect to mately, to failure. The process may be associated with a
non-uniform overcut at each solving step of the numerical rapid spreading of ‘‘unstable’’ fractures (Fjaer et al. 2008).
analysis. The actual creep behavior of rock depends on the
The increase of the gap due to the conical shape of the magnitude of the applied stress. For low or moderate
shield (stepwise reduction of the diameter of the rear shield stresses, the material may virtually stabilize after a period
in comparison to the front shield) is considered. This of transient creep. For high stresses, the material may
property distinguishes the model from other 3D models rapidly run through all three stages of creep and, finally,
that have been developed for the numerical simulation of fail. The intermediate stress regime, where the material
shielded TBMs in the past (Hasanpour et al. 2014). fully develops each stage of creep, may be small and hard
Moreover, the model developed for this study is capable of to find in practice (Fig. 1b).
using Mohr–Coulomb or Hoek–Brown failure criteria as The time scale of a creep stage may vary over a wide
input data depending on field measurements and ground range: in some cases, it lasts for minutes, in other cases for
conditions. years. Creep is a molecular process, and the time scale
This paper will also offer an overview of the issues depends on temperature; the process generally speeds up
related to the creep behavior of rock with an emphasis on with increasing temperature (Farmer 1983). The fact that
the Burger-creep visco-plastic model (CVISC model), as even steady-state creep eventually leads to failure means
available in the FLAC3D code. This is followed by a dis- that a rock which is loaded to a level somewhat below its
cussion on the modeling procedure implemented in order to ultimate strength may fail after some time, if the load is
simulate the tunneling operation using a double-shielded maintained. This effectively reduces the long-term uniaxial
TBM. strength to typically 50–70 % of the ultimate strength
The results obtained show that modeling can be used to (Farmer 1983).
estimate tunnel convergence during TBM excavation, The CVISC model as available in FLAC3D has been
compare the longitudinal and sectional ground pressures used in this paper to simulate the time-dependent behavior.
for different advance rates, and predict the magnitude of CVISC is an analogical model which couples, in series, the
the contact forces on the shields in squeezing conditions, so Burger visco-elastic model (i.e., Kelvin and Maxwell
as to estimate the frictional force between the rock and the models in series) with a plastic flow rule, based on the
shield and, thus, the required machine thrust to move the Mohr–Coulomb yield criterion. The CVISC model is
machine forward. characterized by a visco-elasto-plastic deviatoric behavior
and an elasto-plastic volumetric behavior.
The deviatoric and volumetric behavior are schemati-
2 Creep Behavior cally illustrated in Fig. 2, where a Kelvin unit characterized
by its shear modulus GK and viscosity gK, a Maxwell unit
Creep is a time-dependent deformation that may occur in characterized by its shear modulus GM and viscosity gM,
materials under constant stress. Creep originates from vi- and a Mohr–Coulomb plastic unit characterized by its
sco-elastic effects in the solid framework; thus, creep, cohesion c, friction angle /, and dilation angle w are
unlike consolidation, may occur in both dry and saturated connected in series and subjected to a certain deviatoric
rock conditions. There are three stages of creep following a loading jointly.
change in the stress state. In this model, the visco-elastic strains are deviatoric and
First, there is a region where the rate of the time- depend only on the deviatoric stress Si,j; instead, the plastic
dependent deformation decreases with time. This is called strains are both deviatoric and volumetric and depend on
transient (or primary) creep. The process may be associated rij in accordance with the chosen flow rule (Bonini et al.
with minor spreading at the decaying rate of ‘‘stable’’ 2009).
123
Impact of Advance Rate on Entrapment Risk
123
R. Hasanpour et al.
Fig. 3 a Geometric dimensions of the numerical model of a double-shielded tunnel boring machine (TBM) (Hasanpour et al. 2014). b Schematic
drawing of the modified double-shielded TBM in squeezing rock (from Zhao et al. 2012, modified by the authors)
Fig. 4 Numerical model for the simulation of tunneling with a double-shielded TBM: a complete model and b description of the model
(Hasanpour et al. 2014)
Table 1 Geometric dimensions for the double-shielded tunnel boring Table 2 Mechanical properties of the double-shielded TBM
machine (TBM) components components
Double-shielded TBM components Unit Value Material Unit Shield Segmental Soft Hard
properties lining backfilling backfilling
Cutterhead length m 0.75
Front shield length m 5 Elastic GPa 200 36 0.5 1.0
modulus, E
Rear shield length m 6
Poisson’s – 0.3 0.2 0.3 0.3
Boring diameter m 12.34
ratio, m
Front shield diameter m 12.13
Unit weight, c kN/ 76 30 24 24
Rear shield diameter m 12.07 m3
Shield thickness cm 3
Lining segment width m 2
Lining segment thickness cm 45 shield and the excavation surroundings (and also between
the segmental lining and the backfill).
It is noted that the use of very high stiffness values for
interface elements in FLAC3D could lead to very slow
the rock mass, has been modeled by using interface ele-
response and solution convergence, and produce numerical
ments on both the tunnel and shield boundaries, and by
errors related to the computer’s precision. A good rule of
considering the gap between these components according
thumb is that kn and ks should be selected to be ten times
to a non-uniform overcut in the shielded TBM. Cross-
the equivalent stiffness of the softer neighboring zone,
sections of the front shield and the rear shield are illustrated
which is given by:
in Fig. 5. Normal, shear, and tensile stiffness values (kn, ks,
and kt, respectively) were assigned to the interface ele- K þ 4=3G
ð1Þ
ments for the simulation of the interaction between the DZmin
123
Impact of Advance Rate on Entrapment Risk
123
R. Hasanpour et al.
shield. Also, the entrapment risks are analyzed when 6. In the sixth stage, the segmental ring is subjected to
contact occurs between the walls and the shield. ground loading; this is assumed to start from the third
4. In the fourth stage, the rear shield is activated by segment behind the machine. Moreover, the injection
considering its length. The analysis of the numerical of backfill into the annular space between the rock
results for this stage is the same as that for the third mass and lining by using the soft grout is applied. This
stage. also allows for the simulation of injecting pea gravel.
5. In the fifth stage, installation of the segmental linings is 7. In the seventh stage, hardening of the backfill in the
implemented inside the rear shield. annular space is activated.
123
Impact of Advance Rate on Entrapment Risk
Table 3 Rock mass parameters (Barla et al. 2010) following to a non-uniform gap between the shields and the
Rock mass parameters Unit Value
bored tunnel walls.
123
R. Hasanpour et al.
Fig. 7 Longitudinal
displacement profile (LDP) at
the tunnel boundary and
longitudinal contact force
profile (LCFP) on the shields at
the crown along the tunnel for
an advance rate
(AR) = 12 m/day
the cutterhead. Also noted is a smaller gap between the contact between the rock and the shield as a consequence
ground and the TBM shield at the sidewall, because of a of the gradual movement of the ground due to creep. This
non-uniform overcut around the shield. The gap is maxi- results in closure of the gaps and loading of the shield, and,
mum at the crown and gradually decreases to zero at the hence, higher frictional forces. Contact between the ground
invert, where the machine rests against the floor. and the shields occurs at the sidewall soon after the
Therefore, closure of the gap occurs faster at the lower advance of the machine behind the face. The contact forces
parts of the shield as boring proceeds. On the other hand, a on both the front and the rear shields increase to 10.5 and
slowdown in TBM advance may cause extended areas of 10.4 MN, respectively.
123
Impact of Advance Rate on Entrapment Risk
The LPP along the tunnel sidewall is shown in Fig. 10. multiplying the integral of the total contact force obtained
A redistribution of stresses at the sidewall due to some from the numerical analysis by the skin friction coefficient
loading and unloading process similar to the mechanism at l and the reduction coefficient b (i.e., ratio of the shield
the crown is observed as discussed for Fig. 7. radius r to the tunnel radius R). The values of b for the
The contact forces between the ground and the front front and rear shields are calculated to be 0.983 and 0.978,
shield, as well as between the ground and the rear shield, respectively.
are shown in Fig. 11. The required thrust force to over- Then, the required maximum thrust force is obtained by
come friction and drive the TBM forward is calculated by the following relationship:
123
R. Hasanpour et al.
Fig. 11 Contact force distribution between the ground and shields for AR = 12 m/day
123
Impact of Advance Rate on Entrapment Risk
Fig. 13 Load distribution (maximum values) on the TBM components for different advance rates
X
N For the rear shield, the maximum cutterhead thrust is not
Ff ¼ b l Fi ð3Þ taken into account: F = Ff = 47.9 MN.
i¼1
where N is the number of contact points (contact nodes) on 6.2 Effect of Advance Rate
the shield surface (Zhao et al. 2012). The skin friction
coefficient l is assumed to be 0.40 for restart after the To evaluate the effect of different advance rates on the rock
installation of the segmental lining and for the average mass behavior as well as loadings on the machine com-
friction coefficient in this mode. ponents, the LCFP for the contact forces on the shield at
For the front shield, the maximum total thrust force by the the crown and sidewall are plotted in Fig. 12 for different
thrust cylinders is the sum of the maximum cutterhead thrust advance rates (3, 6, 12, and 24 m/day).
FN and the required thrust to overcome friction Ff, as follows: As shown in Fig. 12a, the front shield is loaded to 8.5
For the front shield: F = FN ? Ff = 11 ? 88.3 = 99.3 MN at the crown, with higher values when the advance rate
MN. is 3 m/day compared to 6.6 MN for 24 m/day, a difference
123
R. Hasanpour et al.
123
Impact of Advance Rate on Entrapment Risk
design purposes. This refers to the full loading conditions evaluation of machine entrapment potentials in various
of the segment as time elapses and an equilibrium condi- ground types could be prepared by systematic sensitivity
tion is reached between the in situ stresses in the ground analyses.
and the segment. One should always be aware of the uncertainties
The results of the numerical simulations performed regarding the geological conditions, the in situ stresses, and
illustrate the importance of the advance rate parameter on rock mass properties when assessing the potential of shield
the prediction of the TBM entrapment potential. One entrapment in a given underground project. Also, the lim-
should, however, be aware of the rather simple mathe- itation of the numerical simulation when modeling the
matical formulation of the CVISC model used and of its ground behavior and the step-by-step nature of the solu-
inherent limitations in the simulation of the time-dependent tions should be added to the list of uncertainties when using
response of a tunnel (Barla et al. 2010). The model does not this approach for design purposes.
predict the observed deformation when the tunnel exhibits
a gradual decrease in the rate of convergence, reaching a Acknowledgments The authors gratefully acknowledge the finan-
cial support of the Scientific and Technological Research Council of
near-stable condition. Turkey (TÜBİTAK) under Project No. MAG-114M568.
7 Conclusions
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