216 TECHNICAL NOTES

ACKNOWLEDGEMENTS
This work is part of a larger study on the deformation behaviour of a sand carried out at
Imperial College, London. Mr David Evans, the head of the Soil Mechanics Laboratory
technical staff, generously provided the equipment. Dr P. R. Vaughan made valuable comments
on the interpretation of the results. The Author wishes to express appreciation for their help.

REFERENCES
Daramola, 0. (1978). The influence ofstvess history on the deformation of a sand. PhD. thesis, University of
London.
Oda, N. (1973). Characteristics of N value of dense sand deposits. Doctoral thesis, University of Tokyo.
Ohsaki, Y. (1969). The effects of local soil conditions upon earthquake damage. Proceedings Specialify
Session 2, 7th Int. Con& Soil Mech. Fdn Engng, Mexico.
Seed, H. B. (1976). Some aspects of sand liquefaction under cyclic loadings. Proc. behaviour of ofishore
Structures, Norway, 374-391.
Tohno, I. (1975). Grain to grain contacts and unconfined compression properties of sand deposits. Proc.,
9th Annual Meetings, Jap. Sot. Soil Mech. Fdn Engng.

Elastic solutions for a deep circular tunnel

M. J. PENDER*

NOTATION
I2 tunnel radius N coefficient of earth pressure at
r radial coordinate rest (total stress)
24 radial displacement circumferential, radial and longi-
u, radial displacement at the tunnel tudinal strain
periphery angular coordinate
V circumferential displacement Poisson’s ratio
Va circumferential displacement at mass density
the tunnel periphery circumferential and radial nor-
Z longitudinal coordinate mal stress
A-F, S,, S, constants vertical and horizontal normal
E Young’s modulus stress
K, coefficient of earth pressure at Tre shearing stress
rest (effective stress) 9 Airy stress function

The displacements about a circular opening in an elastic medium are of interest to the
geotechnical engineer for the design of tunnel linings. The behaviour of a soil or rock mass is
never truly elastic and tunnel cross-sections are rarely circular. However, the simplicity of the
elastic solution for the stresses and displacements about a deep circular opening provides good
preliminary insight into the significance of various parameters (Muir-Wood, 1975; Curtis,
1976). Likewise the assumption of plane strain is made in the interests of simplicity, even
though it is known that the actual deformation path of soil during a tunnelling operation is not
plane, Ward (1969). A tunnel is regarded as ‘deep ’ if the free surface does not significantly

Discussion on this Technical Note closes 1 September, 1980. For further details see inside back cover.
* Civil Engineering Department, University of Auckland.
TECHNlCAL NOTES 217

Vertical ?
”
t

\
Homontal

Fig. 1. Coordinate system

affect the stresses and displacements around the opening. This is a reasonable approximation
for depths greater than several tunnel diameters.
The displacements predicted by the elastic analysis depend on the boundary conditions
assumed. Three different boundary conditions are relevant to different aspects of the deep
tunnel problem. The geotechnical literature does not make clear where and when these
various boundary conditions are applied. Solutions are presented in this note and the
situation to which each relates is described.
The theory of elasticity is usually presented in text books as applying to a medium that is
initially unstressed. However, a tunnel is excavated in a medium that is already prestressed.
Thus the displacements observed are due to the release of the in situ stresses around the tunnel
periphery.

IN SITU STRESSES
The in situ state of stress in the ground is idealized as a stress mV,which acts in the vertical
direction, and a stress ah, which acts in all horizontal directions. The horizontal total stress
is expressed as a proportion of the vertical total stress, thus
q,=Na, . . . . . . . . . . * (1)
In terms of effective stress, the coefficient of earth pressure at rest gives
u,,’ = K,,a,’ . . . . . . . . . . (2)
For a soil deposit with the water table at the surface, and bulk density p
N=K,-p,/p(K,,-1) . . . . . . . . . (3)

The in situ stresses, when expressed in an r, 0 coordinate system (Fig. 1) give the following
stresses acting on a circular boundary
u, = ~(u,+uh)-~(u,-uah)cOs2e . . . . . -. . (4)
us=~~u,+uh)+~(u.V-u.h)COs2e . . . . . . - (5)
Tro = $(u,-uh)sin20 . . . . . . . . . . . (6)
218 TECHNICAL NOTES

Thus equations (4) to (6) give the stresses which act at the periphery of the tunnel before it is
bored. They are independent of the tunnel radius.

METHOD OF SOLUTION
The elastic problem is solved by means of the following Airy stress function (Timoshenko
and Goodier, 1970)
~=Alogr+Br2+{Cr2+Dr4+Er-2+F}cos28 . . . . . (7)
where A,B, . . . . Fare constants.
The stresses are then obtained from
la4 1824 A
uy = -rZ+r2a82 = -++2B+{-2C-6Er-4-4Fr-2~cos2B . . . .

a24=
- -$+2B+{2C+12Dr2+6E~4]cos28 . . . . .
Of3 = ar2

----
1 a’ ’ -!?-= {2C+6Dr2-6Er4-2Fr-2}sin28 . . . .
rre=r2aerarae
The constants A to F are evaluated by considering the stress conditions at the tunnel
periphery, r = a, and as r+co.
Because of the assumption of plane strain the stress in the longitudinal direction is
UZ= V(cr,+ao) . . . . . . . . . * (11)
The elastic stress-strain relations are then:
E&, = (1 +v){(l --V)u,-Vu~} . . . . . . . . (12)
E&~ = (1 +v){(l -v)ug-VU,} . . . . . . . * (13)
Radial and circumferential strain are defined as
au
E'=z . . . . . . . . . . . (14)

u ia0
QC-+-- . . . . . . . . . . (15)
r rae

where u and v are the radial and circumferential components of the displacement. Thus u and
v are obtained from the integration of equations (12) and (13). The constants of integration are
obtained by considering the behaviour of the displacements as r-fco.

Case 1. Stresses applied at a distant boundary

The detailed analysis for this case is given by Obert and Duvall(1967) and Jaeger and Cook
(1962). The solution is presented by Poulos and Davis (1974).
The problem studied is the stress and displacement distribution in a plate with a hole,
radius a, drilled at the centre. The stresses uV and uh are applied at the external boundaries
(Fig. 2) after the hole has been drilled. The solution is derived either for a plate of finite size
or an infinite plate. The stresses in an infinite plate are

a, = i(u,+ua) ( 1 -~)-~(uV-uh)(l+~-~)cos2e . . . . (16)

TECHNICAL NOTES 219

I
f t
t tt t t ?
0”
Fig. 2. Normal stresses applied to the boundary of a plate with a holethe situation for which equations
(19)-(20) give the correct displacements

“0 = g(u,+urJ I+;, +*(o,--uh) l+Y cos2e . . . . . (17)

( i ( J

Tag= *(IT,-cr,) l--$+$f sin28 . . . , . . . .

( 1
The displacements are

-V(1+V)(t(u,+uiJ(~-~)+J-(u,-u+~)cos2s) (19)

. . . . . (20)
At the tunnel periphery
EU, = (1 - v2) a{(U, + Uh) - 2(a, - Oh) COS 28} . . . . . (21)
Ev,= 2(1-v2)a(u,-a,)sin28 . . . . . . . . . (22)
The radial displacement u is positive when it is directed into the tunnel. The circumferential
displacement v is positive in the anti-clockwise direction.
Examination of equations (19) and (20) reveals that both the radial and circumferential
displacements increase with distance from the opening. With origin at the centre of the
opening, as in Fig. 2, the displacements would be largest where the stresses are applied. This
case is thus not relevant to the tunnel excavation situation. It is relevant to the case where the
stress in the ground is changed after the tunnel has been excavated. The most likely example
is the application of a loading, of very great extent, to the ground surface after the tunnel has
been constructed (Fig. 3). The vertical displacement would then be greatest at the surface,
although the horizontal displacement would still be greatest at the tunnel periphery.

Case 2. Tunnel excavated in a prestressed medium

The state of stress before the tunnel is bored is given by equations (4)-(6). When the tunnel
is bored the radial stress given by equation (4) and the shear stress given by equation (6) is
220 TECHNICALNOTES

Fig. 3. Geotechnical situation to which equations (19)-(22) apply. (The tunnel is bored before the surface
loading is imposed)

relieved at the tunnel periphery. This incremental change in stress fades out with distance from
the tunnel. It is the incremental stress change which causes the displacements.
Thus the constants A to Fin equation (7) are found from the following
Au, = Aa0 = ArrO = 0 as r+cc

Aa, = - &(u, + u,J + &(u, - oh) cos 28

atr=a
AT,* = - a(u, - uh) sin 26 I
The solutions for the incremental stresses are

Au, = -~(u,+ur,)(+oV-uh)(~-~)co~20 . . . .

Aue= +(~,+a$) $ +:(u,-ur,)(~)cos2e . . . . . .

0

ATOP= -t(u,-ah) sin28 . . . . . . . . . (25)

The displacements induced in the ground by these stress changes are

Eu=f(i+v)(ov+u~(f)-(u,-u~(~i-y~~-~)cos2e) . . . (26)

Eu=&(l+~)((uV-crJ((l-2~)~+$)sin28) . . . . , . .

At the tunnel periphery

Eu,= ~(1+~)a{(c,+c,)-(3-4~)(c,-cr,)cos28) . . . . (28)
Eo,= &(l+v)(3-4v)a(u,-o,)sin28 . . . . . . . * (2%
TECHNICAL NOTES 221

Equations (26) and (27) can also be derived by finding the displacement induced in the
unperforated ground by the in situ stresses. On subtracting these displacements from equations
(19) and (20), equations (26) and (27) are obtained.
The final state of stress after the tunnel is bored is obtained by adding equations (4) to (6)
to equations (23) to (25). The result is identical to equations (16) to (18). Thus the final state
of stress is the same for both boundary conditions.

Case 3. Interaction between a tunnel excavated in a prestressed medium and a tunnel lining
The ground will exert a pressure on the lining. The magnitude of the pressure depends on the
relative stiffness of the lining and the surrounding soil. The lining can interact with the ground
in two ways. Under the action of a symmetric external pressure the lining ring will deform in
axial compression with no bending. Under the action of an asymmetric pressure the lining will
deform in bending. As the bending stiffness is quite different from the stiffness under axial
compression it is convenient to consider the deformation of the ground to symmetric and
asymmetric loading separately. The analysis for the interaction between a lining ring and
surrounding soil or rock is set out clearly by Curtis (1976). To do this interaction analysis
the deformation of the ground to a radial pressure applied to the periphery of the tunnel is
needed.
The radial loading taken at the periphery of the tunnel, which represents the symmetrical
and asymmetrical parts of the interaction pressure, is
(u,), = S,+S,c0s2~ . . . . . . . . . (30)
Here it is assumed that (7Ja = 0 but, as shown by Muir-Wood (1975) and Curtis (1976), the
presence of shear stress at the tunnel periphery can be incorporated easily. As r+a3,
or = a* = rr(j = 0.
The stresses set up by the loading of equation (30) are

0’I = &(;“)8-&( (9Y-2(;)a) cos2e . . * . . . (31)

o,=-S,(~~+S,(~~cos28 . . . .

Tro = -Ai{(f(:)“) sin20 . . . . . . . . .

The displacements are

Eu=(l+v)a(-S,,(~)+~SI((~~-6(l-~)(~))cos2B) . . . .

Ev=(l+v)S,a(f(q)3+(1-2v)(:))sin20 . . . . . . .

At the tunnel periphery

Eu,=-(l+v)a{S,+i(5-6V)S,cos20} . . . . . . (36)
I&, =g(l+v)(2-3v)SIasin28. . . . . . . . . (37)
The minus sign for the S,, term in equation (34) and equation (36) reflects the sign convention
adopted herein, that outward radial displacements are negative.
222 TECHNICAL NOTES

DISCUSSION
The three cases discussed above show that the displacements which occur when a circular
tunnel is excavated in elastic ground depend very much on the boundary conditions assumed.
It is clear that Case 2 is appropriate to the tunnel excavation situation and should appear in the
literature rather than Case 1. Indeed it seems that the solution for Case 1 has only limited
application in geotechnical engineering. Case 3 is relevant to predictions of the interaction
between elastic ground and an elastic tunnel lining under the assumption that there is no
shear stress at the interface. It can be extended to include the presence of shear stress at the
interface.

REFERENCES
Curtis, D. J. (1976). Discussion of: The circular tunnel in elastic ground, by A. M. Muir-Wood. Geotechnique
26, No. 1, 231-237.
Jaeger, J. C. & Cook, N. G. W. (1969). Fundamentals of rock mechanics. London: Methuen, 236-241.
Muir-Wood, A. M. (1975). The circular tunnel in elastic ground. Gkotechnique 25, No. 1, 115-127.
Obert, L. & Duvall, W. I. (1967). Rock mechanics and the design of structures in rock. New York: John
Wiley and Sons, 98-100.
Poulos, H. G. & Davis, E. H. (1974). Elastic solutions for soil and rock mechanics. New York: John Wiley
and Sons.
Timoshenko, S. P. & Goodier, J. N. (1970). Theory of elasticity. New York: McGraw-Hill, 3rd Edition,
p. 133.
Ward, W. H. (1969). Yielding of the ground and structural behaviour of linings of different flexibility in a
tunnel in London clay. Proc. 7th Int. Cot& Soil Mech. Fdn Engng, Mexico City 111, 320-325.