Franzius, J. N., Potts, D. M. & Burland, J. B. (2005). Geotechnique 55, No.
3, 189199
The influence of soil anisotropy and K0 on ground surface movements
resulting from tunnel excavation
J. N. F R A N Z I U S * , D. M . P OT T S a n d J. B. B U R L A N D
Finite element (FE) analysis is now often used in engi-
neering practice to model tunnel-induced ground surface
settlement. For initial stress regimes with a high coeffi-
cient of lateral earth pressure at rest, K0 , it has been
shown by several studies that the transverse settlement
trough predicted by two-dimensional (2D) FE analysis is
too wide when compared with field data. It has been
suggested that 3D effects and/or soil anisotropy could
account for this discrepancy. This paper presents a suite
of both 2D and 3D FE analyses of tunnel construction in
London Clay. Both isotropic and anisotropic non-linear
elastic pre-yield models are employed, and it is shown
that, even for a high degree of soil anisotropy, the
transverse settlement trough remains too shallow. By
comparing longitudinal settlement profiles obtained from
3D analyses with field data it is demonstrated that the
longitudinal trough extends too far in the longitudinal
direction, and that consequently it is difficult to establish
steady-state settlement conditions behind the tunnel face.
Steady-state conditions were achieved only when applying
an unrealistically high degree of anisotropy combined
with a low-K0 regime, leading to an unrealistically high
volume loss.
KEYWORDS: ground movements; numerical modelling and
analysis; settlement; tunnels
INTRODUCTION
Finite element (FE) analysis of tunnel construction in soft
soil has become widely adopted over recent years. Most of
the analyses are performed employing a plane strain model.
It has been noted by several authors that the surface settle-
ment trough in the transverse direction to the tunnel axis
obtained from such analyses is too wide when compared
with field data if the initial stress profile is described by a
high value of the coefficient of lateral earth pressure at rest,
K0 .
Addenbrooke et al. (1997) presented a suite of two-
dimensional (2D) FE analyses including both linear elastic
and non-linear elastic pre-yield models, combined with a
MohrCoulomb yield surface. By modelling the construction
of the Jubilee Line Extension beneath St Jamess Park,
London, they concluded that for K0 1.5 the predicted
surface settlement trough was too wide when soil parameters
appropriate for London Clay were included in the soil
models. Their study also showed that modelling soil aniso-
tropy did not significantly improve the results when realistic
soil parameters were adopted. Similar conclusions were
Manuscript received 13 June 2004; revised manuscript accepted 29
November 2004.
Discussion on this paper closes on 3 October 2005, for further
details see p. ii.
* Geotechnical Consulting Group, London; formerly Imperial
College of Science, Technology and Medicine, London.
Imperial College of Science, Technology and Medicine, London.
189
Lanalyse delements finis (FE) est souvent utilisee a`
present dans la pratique industrielle pour modeliser le
tassement de surface de sol provoque par les tunnels.
Pour les regimes de contrainte initiaux, avec un fort
coefficient de pression terrestre laterale au repos K0 , il a
ete montre par diverses etudes que lauge de tassement
transversal predit par une analyse FE bidimensionnelle
(2D) est trop large par rapport a` ce qui se passe sur le
terrain. Il a ete suggere que les effets 3D et /ou daniso-
tropie du sol pourraient expliquer cet ecart. Cet expose
presente une suite danalyses FE en 2D et 3D de la
construction dun tunnel dans de largile de Londres.
Nous employons deux mode`les elastiques non lineaires de
pre-ecoulement, un isotrope et un anisotrope, et nous
montrons que, meme pour un degre eleve danisotropie
de sol, lauge de tassement transversal reste trop peu
profonde. En comparant aux donnees de terrain les
profils de tassement longitudinal obtenus a` partir des
analyses 3D, nous demontrons que lauge longitudinale
setend trop loin dans la direction longitudinale et que,
par consequent, il est difficile detablir des conditions de
tassement de regime permanent derrie`re la face du
tunnel. Des conditions de regime permanent ont ete
obtenues uniquement en appliquant un degre anormale-
ment eleve danisotropie combine a` un regime de faible
K0 , ce qui provoque une perte de volume anormalement
elevee.
drawn by Gunn (1993). In contrast, Simpson et al. (1996)
presented results of a plane strain FE study modelling the
Heathrow Express trial tunnel in which they concluded that
soil anisotropy gives better surface settlement predictions for
overconsolidated clay. They compared results from a linear
and a non-linear transversely anisotropic soil model with
those of a non-linear isotropic model. However, only limited
details about the applied soil model were given.
Tunnel construction clearly is a three-dimensional pro-
blem, and one would expect that 3D FE analysis would
improve the surface settlement predictions, compared with
2D modelling. Such a conclusion was drawn by Lee & Ng
(2002) who compared results of a 3D study in which both
the degree of soil anisotropy and K0 were varied with the
results of Addenbrooke et al. (1997). The surface settlement
troughs from the 3D analyses by Lee & Ng (2002) were
much more sensitive to changes in the ratio of horizontal to
vertical Youngs modulus (defined as n9 E9h =E9v ) than
observed in the 2D study by Addenbrooke et al. (1997).
However, Lee & Ng (2002) adopted a linear elastic perfectly
plastic soil model in contrast to the non-linear elastic
perfectly plastic constitutive model adopted by Addenbrooke
et al. (1997). Moreover, the tunnel diameter D and the
tunnel depth z0 were different in the two studies.
The statement by Lee & Ng (2002) that 3D FE modelling
leads to better surface settlement predictions than corre-
sponding 2D analyses is in sharp contrast to the findings of
several other authors. Guedes & Santos Pereira (2000)
presented a suite of FE studies (adopting an elastic soil
190 FRANZIUS, POTTS AND BURLAND
model) that showed that, for both K0 0.5 and 1.5, 3D and
2D analyses give similar transverse surface settlement
troughs. Similar conclusions were drawn by Dolezalova
(2002), who used both a linear elastic perfectly plastic and a
non-linear elastic perfectly plastic constitutive model for the although the soil models applied are formulated in terms of
soil. Vermeer et al. (2002) presented results from linear
elastic perfectly plastic analyses that showed that the trans-
verse settlement profile obtained from 3D analysis is similar
to that from a corresponding 2D study. They also showed
that in the longitudinal direction the tunnel has to be
constructed over a certain length in order to achieve a
steady-state settlement condition behind the tunnel face (i.e.
settlement caused by the immediate undrained response). For
their particular analysis with K0 0.66 the tunnel had to be
constructed over 80 m (10D) to achieve a sufficient distance
from the vertical start boundary. Steady-state settlement
developed approximately 5D behind the tunnel face.
This paper investigates the differences between 3D and
2D modelling on the prediction of tunnel-induced ground
surface settlement troughs when varying soil anisotropy and
K0 . The analyses presented here are similar to the plane
strain study presented by Addenbrooke et al. (1997), which
compared results from numerical analysis with field observa-
tions from the Jubilee Line Extension at St Jamess Park,
London. For K0 1.5 both isotropic and transversely aniso-
tropic non-linear elastic perfectly plastic soil models have
been adopted. The transverse surface settlement troughs
from the 3D analyses are compared with corresponding 2D
results and field data. Finally a K0 0.5 initial stress regime mesh shown in Fig. 1 consisted of 10 125 20-node hexadron
is incorporated in the study to highlight the significance of
the magnitude of the coefficient of lateral earth pressure at
rest on the predicted shape of the ground surface settlement
trough.
DETAILS OF ANALYSIS
All FE analyses presented in this paper were carried out
using the Imperial College Finite Element Program (ICFEP).
Longitudinal
profile
(x 0 m)
305 m
55 m
Tunnel diameter 475 m
100
Fig. 1. FE mesh for 3D analyses of tunnel excavation beneath St Jamess Park greenfield monitoring site
Reduced integration was used, with an accelerated modified
NewtonRaphson solution scheme with an error-controlled
substepping stress point algorithm for solving the non-linear
FE equations. All analyses were performed undrained,
drained parameters. Undrained conditions were enforced by
using a high bulk modulus for the pore water (Potts &
Zdravkovic, 1999, 2001).
Geometry
Figure 1 shows the 3D finite element mesh for the Jubilee
Line Extension westbound tunnel beneath St Jamess Park,
London. This was the first of the twin tunnels to be
constructed beneath the St Jamess Park greenfield measure-
ment site (Standing et al., 1996). The tunnel diameter D was
4.75 m and the tunnel depth z0 was approximately 30.5 m.
The subsequent construction of the eastbound tunnel was not
included in the analyses described here.
Modelling of tunnel excavation
For the 3D analyses the tunnel was excavated in the
negative y-direction, starting from y 0 m (see Fig. 1). Only
half of the problem was modelled, as the geometry is
symmetrical. On all vertical sides of the mesh normal
horizontal movements were restrained, whereas for the base
of the mesh movements in all directions were restricted. The
elements which had 45 239 nodes. For the 2D analyses the
mesh in the x-z plane was adopted, and the soil was
modelled by 8-node quadrilateral elements.
In the two-dimensional analyses tunnel excavation was
modelled using the volume loss method (see Potts &
Zdravkovic, 2001). The volume loss VL quantifies the
amount of over-excavation and is defined as the ratio of the
difference between the volume of excavated soil and the
tunnel volume (defined by the tunnels outer diameter)
Transverse
profile
(y 50 m)
z
m
80 m
 GROUND SURFACE MOVEMENTS FROM TUNNEL EXCAVATION
divided by the tunnel volume. Under undrained conditions
VL can also be obtained by dividing the volume (per running
metre) of the surface settlement trough by the tunnel volume
(per running metre). In London Clay values of VL between
1% and 2% have been reported by several authors (Attewell
& Farmer, 1974; OReilly & New, 1982). However, the
volume loss measured during construction of the Jubilee
Line Extension beneath St Jamess Park was higher. Standing
et al. (1996) reported a value of VL 3.3% for the construc-
tion of the westbound tunnel, which is addressed in this
paper.
In the 2D analyses the tunnel was excavated over 15
increments. This was done by evaluating the stresses that act
on the tunnel boundary within the soil and applying them in
the reverse direction over the 15 increments. Elements with-
in the tunnel boundary were not included in the analyses
during this procedure. After each increment the volume loss
was calculated and results were taken from that increment in
which the desired volume loss (i.e. VL
3.3%) was
achieved.
The step-by-step approach (Katzenbach & Breth, 1981)
adopted in the 3D analyses was not volume loss controlled.
In this approach, excavation is modelled by successive
removal of elements in front of the tunnel while successively
installing lining elements behind the tunnel face. The tunnel
lining was modelled by elastic shell elements (Schroeder,
2003) with a Youngs modulus of 28 3 106 kN/m2 , a Pois-
sons ratio of 0.15, and a thickness of 0.168 m.
As noted above, in contrast to the 2D analyses there was
no volume loss control in the 3D analyses. Specification of a
certain volume loss to be achieved during the tunnel excava-
tion would require further assumptions, such as modelling
the tunnelling technique in more detail. In the excavation
model presented in this paper the magnitude of VL depends
on the excavation length Lexc , which is the length over which
soil elements within the tunnel boundary are removed in
each excavation step. Over this length the soil around the
tunnel boundary remains unsupported. Increasing Lexc leads
to higher values of VL . The choice of Lexc has serious
consequences for the computational resources (storage and
time) needed. For a given tunnel length to be modelled a
reduction in Lexc not only increases the number of elements
within the entire mesh but also requires more excavation
steps.
For the analyses presented here the excavation length was
set to Lexc 2.5 m, and therefore 40 excavation steps were
required to model the tunnel construction over a length of
100 m (21.0D), as shown in Fig. 1. The distance in the
longitudinal direction from the tunnel face to the remote
vertical boundary after the last excavation step was 55 m
(11.5D). The mesh dimensions and the value of Lexc were
chosen after performing a number of analyses in which these
measures were varied (see Franzius, 2004). From this study
it was concluded that the dimensions used in this paper
provided the best compromise between mesh size and a
reasonable computational time (typical analyses took 15 days
to run on a Sun SF880 server). Furthermore, by varying Lexc
between 2.5 m and 2 m Franzius (2004) demonstrated that
similar surface settlement and horizontal surface strains were
obtained when normalising results against volume loss. Not-
ing that a Lexc 2.0 m analysis took approximately 50%
more calculation time than the 2.5 m analysis, it was decided
that it was not possible to model a more realistic (i.e.
smaller) value of Lexc , and it was therefore not attempted to
simulate the actual tunnelling technique applied during the
construction of this part of the Jubilee Line Extension. In
practice the value of Lexc is unlikely to be less than the
width of the segmental lining (1000 mm), but its actual
value is likely to be larger, and depends on workmanship, as
191
an open face excavation procedure was adopted. Nyren
(1998) reports a maximum reach of the backhoe in advance
of the tunnel shield cutting edge of 1.9 m.
Initial stress profile
The ground profile consisted of London Clay with a
saturated bulk unit weight of 20 kN/m3 . This is a
simplification compared with the work of Addenbrooke et
al. (1997), who modelled the layers of Thames Gravel and
Sand overlaying the clay. Comparison plane strain analyses
were performed to assess the influence of this change in soil
layering on the surface settlement behaviour. It was found
that modelling the gravel and the sand led to slightly
narrower transverse settlement troughs.
A constant value of the coefficient of lateral earth pres-
sure at rest of K0 1.5 was applied during the first analyses.
Later, K0 0.5 was also considered. The value of K0 1.5
was given as an upper bound value by Hight & Higgins
(1995) for London Clay at a depth between 10 m and 30 m
below the ground surface. At St Jamess Park layers of
Thames Gravel and Sand have been deposited on top of the
London Clay in recent geological time. This has the effect
of reducing K0 at the top of the soil profile. Addenbrooke et
al. (1997) modelled a lower value of K0 0.5 in the gravel
and the sand. Comparing the different initial stress profiles
in a set of plane strain analyses showed only marginal
influence in the choice of K0 in the top layer. It is the value
of K0 at tunnel depth that has the major influence on the
surface settlements. Consequently the simplification of
adopting a constant value of K0 is unlikely to have a major
influence on the results. A hydrostatic pore water pressure
distribution was prescribed, with a water table 2 m below the
ground surface. Above the water table pore water suctions
were specified. In all analyses the soil was modelled to
behave undrained, by specifying effective stress soil para-
meters and a high value of the bulk stiffness of the pore
water.
SOIL MODEL
Isotropic model
The London Clay was represented by a non-linear elasto-
plastic model that was also included in the study presented
by Addenbrooke et al. (1997). The model described by
Jardine et al. (1986) was used to model the non-linear
elastic pre-yield behaviour, and the yield surface and the
plastic potential were described by a MohrCoulomb model.
The non-linear elastic model accounts for the reduction of
soil stiffness with strain. Trigonometric expressions describe
G/p9 and K/p9 as a function of shear strain Ed and volu-
metric strain
v respectively in the non-linear region. G is
the tangent shear modulus, K is the tangent bulk modulus,
and p9 is the mean effective stress. The non-linear region is
defined by maximum and minimum values of shear and
volumetric strain. More details of this model and the soil
parameters used are given in Appendix 1.
Anisotropic model
A new constitutive model was implemented into ICFEP to
combine the transversely anisotropic stiffness formulation of
Graham & Houlsby (1983) with the non-linear stiffness
behaviour described above. It has been shown that transver-
sely anisotropic material behaviour is fully described by five
independent material parameters (Pickering, 1970): Ev , the
vertical Youngs modulus; Eh , the horizontal Youngs mod-
ulus; vh , the Poissons ratio for horizontal strain due to
vertical strain; hh , the Poissons ratio for horizontal strain
192 FRANZIUS, POTTS AND BURLAND
due to horizontal strain in the orthogonal direction; and Gvh , Eh Gvh
n and m (2)
the shear modulus in the vertical plane. Ev Ev
Graham & Houlsby (1983) showed that only three of
these material parameters can be obtained from conventional
triaxial tests, as no shear stress can be applied to the sample. are often used. Similar expressions are defined for drained
They introduced a material model that uses only three stiffness properties. A relation between the drained and
parameters, namely Ev , hh , and an anisotropic scale para- undrained ratios is given by Hooper (1975). Lee & Rowe
meter that relates the remaining material properties as: (1989) showed that m influences the shape of the transverse
settlement trough. For K0 0.5 they concluded that a ratio
r of m 0.20.25 produced a reasonable match between FE
Eh hh Ghh
(1) results and centrifuge tests. Field data for London Clay
Ev vh Gvh summarised by Gibson (1974), however, give a ratio of
approximately m 0.38. In the same publication a ratio of
undrained Youngs moduli of n 1.84 is reported.
where Ghh is the shear modulus in the horizontal plane. Addenbrooke et al. (1997) included a transversely anisotro-
To implement this form of anisotropy into ICFEP, it was pic model in their 2D study. The anisotropic parameters in
combined with a small-strain formulation reducing the ver- that study were chosen to match field data reported by
tical Youngs modulus Ev with increasing deviatoric strain Burland & Kalra (1986) giving drained ratios of n9 1.6
(within the strain limits Ed,min and Ed,max defining the non- and m9 0.44 with 9vh 0:125 and 9hh 0:0. The
linear range). As an additional option the value of can be equivalent undrained ratios can be calculated to be n 1.41
varied linearly with strain level from its anisotropic value at and m 0.3 using the relations given by Hooper (1975).
Ed,min to the isotropic case of 1.0 at Ed,max . Appendix 2 Two parameter sets referred to as set 1 and set 2 were
presents more details of this soil model. Although this model applied to the anisotropic model. Table 1 summarises the
describes stiffness anisotropy, the strength parameters were ratios n9, m9, n and m for these sets. They were calculated
kept isotropic. Two parameter sets, referred to as set 1 and for small strains (i.e. Ed , Ed,min ), as they change with strain
set 2 and summarised in Table 1, were included in the level. The material parameters (listed in Table 3) were
analyses presented here. A further set (set 2v) adopted a derived from the isotropic model (Table 2) such that E9v
variable . The different parameter sets will be discussed in reduces with increasing , compared with the Youngs
the following section. modulus used in the isotropic model. The parameters were
chosen in order to obtain similar stressstrain curves when
simulating triaxial extension tests with the different materials
(as outlined below). Of the two parameter sets, the first one
Anisotropic material parameters represents a degree of anisotropy that is appropriate for
When using anisotropic soil parameters, the undrained London Clay. In contrast, the second set incorporates an
ratios extremely high degree of anisotropy, and is therefore more
of academic interest than for use in engineering practice.
In the first set, 1.265 was chosen to match the
Table 1. Stiffness ratios for the two sets of anisotropic soil
drained ratio of n9 adopted by Addenbrooke et al. (1997). A
parameters
Poissons ratio of 9hh 0:4 was adopted in order to
Isotropic model Anisotropic model achieve a ratio of m9 0.46, which is close to that used by
Set 1 Set 2 Addenbrooke et al. (1997) (0.44). Owing to the coupling of
the anisotropic stiffness parameters through the scale factor
n9 1.00 1.60 6.25
m9 0.55 0.46 1.14
(see equation (1)) the ratios n and m derived for set 1
n 1.00 1.18 1.66 differ slightly from those applied in the study of
m 0.33 0.33 0.28 Addenbrooke et al. (1997), where E9v , E9h , 9hh , 9vh and Gvh
were independent. The undrained ratio of n 1.18 is lower

Table 2. Input parameters for isotropic pre-yield model (M1)

A B C: %  Ed,min : % Ed,max : % Gmin : kPa
373.3 338.7 .
1 0 3 104 .
1 335 .
0 617 .
8 66025 3 104 0.69282 2333.3
R S T: %  
v,min : %
v,max : % Kmin : kPa
549.0 506.0 .
1 0 3 103 .
2 069 .
0 42 5 3 10 3
0.15 3000.0

Table 3. Input parameters for anisotropic pre-yield model (M2)

Parameter set 1
Aa Ba C: %  Ed,min : % Ed,max : % Ev,min : kPa 9hh
373.3 338.7 1.0 3 104 1.335 0.617 8.66 3 104 0.69282 5558.8 1.265 0.4
Parameter set 2 and set 2v
Aa Ba C: %  Ed,min : % Ed,max : % Ev,min : kPa 9hh
308.8 280.2 .
1 0 3 104 .
1 335 .
0 617 .
8 66 3 104 0.69282 5558.8 .
25 0.1
 GROUND SURFACE MOVEMENTS FROM TUNNEL EXCAVATION
than n 1.41, which was calculated from their parameters.
It is also below the value of n 1.84 given by Gibson
(1974). In contrast the ratio m 0.33 is higher than in the
work of Addenbrooke et al. (1997) and closer to the value
of 0.38 reported by Gibson (1974) for London Clay.
The second set was chosen in order to reduce the un-
drained ratio m close to a value adopted by Lee & Rowe
(1989) and bringing n close to the ratio reported by Gibson
(1974). This was achieved by increasing the anisotropy
factor to 2.5. Such a high value for London Clay is not
supported by any literature. Both Simpson et al. (1996) and
Jovicic & Coop (1998) reported ratios of approximately Ghh /
Gvh 1.5. The results of this parameter set can be seen,
however, as an extreme example of how anisotropy affects
tunnel-induced settlement predictions.
If, in the anisotropic model, the vertical Youngs modulus
E9v was set to a similar magnitude as in the isotropic model
(calculated from K9 and G for very small strains), E9h
would be increased by 2 , hence leading to an overall
stiffer behaviour. In order to obtain a similar overall
stiffness response of the anisotropic model compared with
the isotropic one, E9v has to be reduced. The input para-
meters Aa and Ba listed in Table 3 for the anisotropic
model were chosen in order to give a similar response to
the isotropic model when used to simulate the behaviour of
an ideal undrained triaxial extension test. These tests were
simulated in a single-element FE analysis by prescribing
vertical displacement at the top of the element (i.e. they
were strain controlled). The initial stress state within the
sample was isotropic, with p9 750 kPa. Fig. 2 presents
stressstrain curves from these tests. The deviatoric stress,
defined as
193
corresponds to the upper limit of non-linear elastic behav-
iour of Ed,max 0.69%. Different curves are given for
deviatoric stress q and excess pore water pressure u. It can
be seen that for
ax < 0.3% the isotropic analysis and that
based on the anisotropic parameter set 1 are in very good
agreement with the laboratory data, whereas that based on
parameter set 2 slightly over-predicts the data. The pore
water pressure curves in this plot highlight the anisotropic
behaviour of parameter sets 1 and 2 (note: no laboratory
data were available). Higher excess pore pressure is gener-
ated owing to the coupling of deviatoric and volumetric
strains, in contrast to isotropic behaviour, where volumetric
strain and therefore changes in pore water pressure are
induced only by changes in p9 whereas deviatoric strain is
caused only by changes in q.
This coupling is further illustrated in Fig. 3, which shows
the stress paths obtained during the single element analyses
for the different soil models. For the isotropic model the
path is vertical (showing no change in mean effective stress
p9) until it reaches the MohrCoulomb yield surface. For
the anisotropic model p9 changes during the tests, leading to
inclined stress paths before the yield surface is reached. The
figure also includes the stress path for an additional analysis
with the same input parameters as set 2 but with being
varied linearly with deviatoric strain from 2.5 at Ed,min to
1.0 at Ed,max . It can be seen that the stress path from this
analysis (referred to as set 2v) initially shows an anisotropic
response but then becomes vertical.
0

q  ax   r (3)
23000
where ax and r are the axial and radial stress in the sample
respectively, is plotted against the axial strain
ax . Note that
q: kPa

the values of q in the plots are negative, as triaxial extension 26000

has been considered. The results from the isotropic model
are referred to as M1, and M2 denotes the anisotropic M1
results. Laboratory data reported by Addenbrooke et al. 29000 M2, set 1
(1997) are also shown. M2, set 2
M2, set 2v ( variable)
Figure 2(a) shows the strain up to
ax 0.01%. For this 212000
strain range the results of the anisotropic parameter set 2 0 3000 6000 9000 12000 15000
coincide with the those from the isotropic model. The p: kPa
results of the anisotropic parameter set 1 are in slightly
better agreement with the laboratory data. Fig. 2(b) presents Fig. 3. Stress paths for isotropic (M1) and anisotropic (M2,
the results for a strain range up to
ax 0.4%, which constant and variable) soil models

2600 25000 5000

M1 M1, q
M2, set 1 M2, set 1, q
2500 M2, set 2 M2, set 2, q
Test data 24000 Test data, q 4000
M1, u
2400 M2, set 1, u
23000 M2, set 2, u 3000
q: kPa

q: kPa

u: kPa

2300
22000 2000
2200

21000 1000
2100

0 0 00
0 0002 0004 0006 0008 0010 0 01 02 03 04
Axial strain: % Axial strain: %
(a) (b)

Fig. 2. Stressstrain curves for isotropic (M1) and anisotropic (M2) soil models subjected to triaxial extension
tests: (a) strain range up to ax 0.01%; (b) strain range up to ax 0.4%
194 FRANZIUS, POTTS AND BURLAND
ISOTROPIC ANALYSES 0
Settlement profiles from the 3D analyses are presented

Normalised settlement, S v /S v,max

02
along a longitudinal monitoring profile above the tunnel
centre line and along a transverse monitoring profile at
04
y 50 m, as indicated in Fig. 1. Initially a 3D analysis
was performed with the isotropic soil model and K0 1.5.
06
The development of the longitudinal settlement profile as the VL S v,max
tunnel heading is advancing is shown in Fig. 4. Different 2D, inc. 8 17% 5 mm
08 3D, y 5 250 m
curves are given for every 10 m of tunnel progress. The 12% 4 mm
2D, inc. 12 33% 10 mm
position of the tunnel face for each curve is indicated by an 10 3D, y 5 2100 m 21% 6 mm
arrow. This figure demonstrates that initially the settlement Field data (set 22) 16% 12 mm
Field data (set 29) 33% 20 mm
trough has a similar shape to that of the cumulative error 12
curve, which is often applied to describe the longitudinal 0 200 400 600 800 1000
settlement behaviour (Attewell & Woodmann, 1982). How- x-Coordinate (transverse): m
ever, with further tunnel excavation, and in particular when
the tunnel face reaches approximately y 80 m, the settle- Fig. 5. Transverse normalised settlement profiles for different
ment does not continue to follow this anticipated trend. stages of isotropic 2D and 3D analyses together with field data
Instead the profile indicates that some reverse curvature is
developing at approximately y 60 m (as indicated in the field data from the St Jamess Park monitoring site (Standing
figure). et al., 1996; Nyren, 1998). Field data are given for the
However, the main concern that is evident from Fig. 4 is tunnel face being just beneath the monitoring profile (re-
that for all stages of excavation additional settlement occurs ferred to as set 22) and for a distance between tunnel face
over the whole mesh length. One would expect that, once and monitoring section of 41 m (set 29). Nyren (1998)
the tunnel heading had reached a certain y-position, there reports no further short-term settlement after this survey.
would be no further settlement remote from the tunnel face These results therefore represent the end of the immediate
as a result of any additional tunnel excavation (note: only settlement response. Comparing the two sets of field data
the short-term response is considered in the undrained FE shows that the shape of the settlement trough does not
analysis). It can be seen in Fig. 4 that such a steady-state change as the tunnel face moves away from the monitoring
settlement condition is not established during the analysis. section. The 3D FE results included in this figure are taken
There is still additional settlement at the y 0 m boundary from the increment when the tunnel face was just beneath
when the tunnel is excavated from y 90 m to 100 m. the transverse monitoring section at y 50 m and for the
Also, the remote boundary at y 155 m settles over the largest possible distance between tunnel face (y 100 m)
whole analysis, although settlements for the first few incre- and monitoring section of 50 m corresponding to the last
ments are negligible on an engineering scale. The additional increment of the analysis. The figure also includes results
settlement over the whole mesh length obtained in the last from a similar 2D analysis where the results were taken
increments of the analysis indicates that the longitudinal from increments where volume losses were close to those
distance from the last excavation step to both the start and calculated from the field data (as listed in the figure). It can
remote vertical boundaries is too small to obtain steady-state be seen that all curves obtained from the FE analyses,
conditions. An increase in the longitudinal dimension of the regardless of whether 2D or 3D, are very similar, indicating
mesh, however, would lead to excessive computational time, that 3D effects cannot account for the discrepancy between
and therefore could have been achieved only in combination plane strain results and field data. The results also show that
with a drastic increase of element size within the transverse in the FE analysis the shape of the settlement trough does
mesh plane, leading to a substantial loss in accuracy. It not change with VL (or face position) over a certain range of
should be noted that the longitudinal dimension of the FE VL. Similar conclusions were drawn by Potts & Addenbrooke
mesh used here and shown in Fig. 1 is considerably larger (1997) when analysing tunnel-induced building deformation.
than in most 3D studies recently published by other authors
(e.g. Dolezalova, 2002; Lee & Ng, 2002; Vermeer et al.,
2002). ANISOTROPIC ANALYSES
Figure 5 presents transverse settlement profiles normalised Initially a set of 2D FE analyses were performed with the
against maximum settlement, and compares the results with anisotropic soil model. In all cases an initial stress regime

0
23
10 3 10

20 3 1023
Vertical settlement: m

30 3 1023 Position of tunnel face

23
y 5 210 m
40 3 10 y 5 220 m
y 5 230 m
50 3 1023 y 5 240 m
y 5 250 m
60 3 1023 y 5 260 m
y 5 270 m
y 5 280 m Reverse
70 3 1023 y 5 290 m Soil model M1 (isotropic)
K 0 = 15 curvature
y 5 2100 m
80 3 1023
21600 21400 21200 21000 2800 2600 2400 2200 0
y-Coordinate (longitudinal): m

Fig. 4. Longitudinal settlement profiles from isotropic 3D analysis

 GROUND SURFACE MOVEMENTS FROM TUNNEL EXCAVATION 195
0 the choice of . This parameter choice also leads to a lower
value of Gvh (compared with the isotropic shear modulus),
Normalised settlement, S v /S v, max

02
04
06
08
M1
M2 set 1, const.
10 M2 set 2, const.
M2 set 2v, variable
Field data, set 29
12
0 200 400
x-Coordinate (transverse): m
Fig. 6. Transverse normalised settlement profiles for isotropic
(M1) and anisotropic (M2) soil models
with K0 1.5 was adopted. Fig. 6 shows the normalised
transverse ground settlement troughs for these analyses taken
from increments that achieved a volume loss of approxi-
mately VL 3.3% (as listed in Fig. 6). This amount of
volume loss was obtained from the field data for a tunnel
face position approximately 41 m beyond the monitoring
section (which were previously included in Fig. 5 and
labelled set 29). The figure also lists the increments in
which the desired volume loss was achieved. These incre-
ment numbers show that, for the anisotropic analyses, vo-
lume losses in the range 3.13.6% were obtained in
increment 10 (of 15 excavation steps) for constant and
increment 9 for variable . In contrast, results for the
isotropic analysis are presented for increment 12. This
indicates that, when comparing same stages in the analysis
(i.e. same percentage of unloading), the anisotropic model
predicts higher values of VL . Values of maximum settlement
are also listed in the figure. The maximum settlement
obtained for parameter set 1 is 10 mm and lies close to the
maximum settlement (approx. 12 mm, VL 3.2%) obtained
by Addenbrooke et al. (1997) in their anisotropic analysis
with similar ratios of n9 and m9.
Comparing the settlement curve for the isotropic model
with those for the anisotropic parameter sets 1 and 2 (with a
constant value of ) shows that the surface settlement trough
becomes narrower with increasing degree of anisotropy.
Adopting a variable (parameter set 2v) improves the settle-
ment curve further. The reason for this behaviour is the fact
that the anisotropic parameters were chosen such that E9v
was reduced (compared with the isotropic Youngs modulus
for very small strains) whereas E9h increased according to
whereas Ghh increases with the degree of anisotropy. Para-
meter sets 2 and 2v show initially the same stiffness proper-
ties. However, as the deviatoric strain increases from Ed,min
to Ed,max , the reduction of leads to an additional decrease
of E9h and Ghh with deviatoric strain compared with that
inc. VL S v,max
obtained for the constant- case. When the material with
12 33% 10 mm
10 31% 10 mm variable becomes isotropic at Ed,max it shows softer
10 31% 13 mm stiffness properties than the corresponding isotropic material
9 36% 15 mm (M1). During tunnel excavation the largest strains occur
33% 20 mm
close to the tunnel. The material with variable therefore
600 800 1000 behaves as softer in this region, which explains the narrow
settlement trough.
The figure demonstrates that even the narrowest settlement
trough obtained from the FE analysis is still too wide when
compared with field data. As parameter set 2v gave the best
results of all plane strain analyses shown in Fig. 6 it was
adopted in a 3D greenfield analysis. The boundary condi-
tions of the 3D mesh were the same as described previously
for the isotropic 3D model.
Figure 7 shows the development of longitudinal settlement
profiles during this 3D analysis (K0 1.5). Comparing this
figure with the isotropic results of Fig. 4 it can be seen that
the anisotropic 3D analysis yielded settlement values that
are nearly one order of magnitude higher than those ob-
tained with the isotropic model. Such behaviour is consistent
with the 2D results presented in Fig. 6, in which results
were presented for earlier increments than in the isotropic
analyses in order to achieve similar volume losses (i.e. the
variation in percentage of unloading, indicated by the differ-
ent increments in Fig. 6, is consistent with the observed
trend of the variation of volume loss in the 3D analyses).
However, as discussed earlier, the higher volume losses are
unlikely to affect the normalised shapes of the settlement
troughs.
The general shape of the longitudinal settlement troughs
during the initial stages of tunnel excavation is similar for
both isotropic and anisotropic analyses. The reverse curva-
ture behind the tunnel face developing from a face position
of approximately y 60 m is magnified in the anisotropic
analysis.
Previously it was shown that a high degree of anisotropy
leads to a narrower transverse settlement trough. A similar
effect would be expected for the longitudinal curve, and
comparison of Figs 4 and 7 indicate that this is so. With a
narrower and steeper trough steady-state conditions should
develop earlier than for the wide trough obtained from the
isotropic analysis. However, no steady-state conditions are
reached in Fig. 7.

10 3 1022
Vertical settlement: m

20 3 1022
Position of tunnel face
22
y 5 210 m
30 3 10 y 5 220 m
y 5 230 m
y 5 240 m
40 3 1022 y 5 250 m
y 5 260 m
y 5 270 m
50 3 1022 y 5 280 m
y 5 290 m Soil model M2 set 2v (anisotropic)
Reverse
y 5 2100 m K 0 5 15 curvature
22
60 3 10
21600 21400 21200 21000 2800 2600 2400 2200 0
y-Coordinate (longitudinal): m

Fig. 7. Longitudinal settlement profile from anisotropic 3D analysis

196
The zone of reversed curvature behind the tunnel face
forms a settlement crater at the vertical starting boundary (at
y 0 m). This arises because, owing to the symmetry condi-
tion at the start boundary, tunnel construction essentially
commences simultaneously in both the negative and positive
y-directions (although only the negative y-part is modelled).
A similar longitudinal settlement profile, including this
settlement crater, was presented by Vermeer et al. (2002),
who performed 3D analyses for a K0 0.65 situation.
Applying an isotropic elasto-plastic soil model, they showed
that steady-state conditions were established approximately
5D behind the face after the tunnel was constructed over a
length of approximately 10D (with a tunnel diameter
D 8 m and z0 16 m). The present analysis indicates that
a much greater length of tunnel is required to reach steady-
state conditions in a high-K0 regime.
INFLUENCE OF K0
The anisotropic 3D analysis was repeated with K0 0.5
in order to investigate at which state of the analysis steady-
state behaviour develops in a low-K0 regime. Fig. 8 shows
the development of longitudinal surface settlement profiles.
It can be seen that points close to the start boundary settle
during the first excavation steps but then show small values
of heave. It is interesting to note that no settlement crater as
observed for the K0 1.5 case developed in this analysis.
More importantly, a horizontal plane of vertical settlement
emerges at about y 40 m after a face position of
y 80 m was reached. As tunnel construction continues,
FRANZIUS, POTTS AND BURLAND
the settlement at this point does not change: that is, steady-
state settlement develops. However, comparing the magni-
tude of settlement developing during this analysis with the
settlement values obtained in the anisotropic K0 1.5 analy-
sis reveals high values of settlement. At steady-state condi-
tions the settlement above the tunnel centre line is 85.8 mm.
This is high compared with field data, where a steady-state
settlement of approximately 20 mm developed. The volume
loss for the anisotropic K0 0.5 is therefore significantly
higher than that observed in field measurements:
VL 18.1% compared with 3.3%. It is clear that such a high
volume loss is unacceptable engineering practice. However,
the results highlight the two effects that a reduction of
K0 has on tunnel-induced surface settlement. It has been
noted by other authors that in a low-K0 regime the transverse
settlement trough is narrower (Dolezalova, 2002) owing to
smaller lateral stress at tunnel depth. Such an effect is also
evident when normalising the longitudinal settlement profiles
of the different analyses and comparing them with normal-
ised field data. Fig. 9 shows such a plot. The FE results are
normalised against the settlement at y 50 m, for which
Fig. 8 indicated steady-state conditions for the anisotropic
K0 0.5 analysis. For consistency the same normalisation
was applied to the corresponding results from the other 3D
analyses (also including an isotropic K0 0.5 case),
although no steady-state settlement conditions were achieved
there. The field data from St Jamess Park, London (Nyren,
1998), are normalised against maximum settlement and are
plotted such that the face position corresponds to
y 100 m to compare them with the FE results. The figure

20 3 1022
Vertical settlement: m

40 3 1022 Position of tunnel face

y 5 210 m
y 5 220 m
y 5 230 m
60 3 1022 y 5 240 m
y 5 250 m
y 5 260 m
80 3 1022 y 5 270 m
y 5 280m
y 5 290 m Soil model M2 set 2v (anisotropic)
y 5 2100 m K 0 = 05
10 3 1021
21600 21400 21200 21000 2800 2600 2400 2200 0
y-Coordinate (longitudinal): m

Fig. 8. Longitudinal settlement profile from anisotropic 3D analysis with K0 0.5

0
S v at
02 normalisation
Normalized settlement, S V /S V,250m

point

04 Isotrop (M1), K 0 5 15 62 mm
Anisotrop (M2, set 2v), K 0 5 15 435 mm
Isotrop (M1), K 0 5 05 124 mm
06 Anisotrop (M2, set 2v), K 0 5 05 858 mm
Field data 203 mm
08

10

12

14
21600 21400 21200 21000 2800 2600 2400 2200 0
y-Coordinate (longitudinal): m

Fig. 9. Normalised longitudinal settlement profile at end of analyses compared with field data
 GROUND SURFACE MOVEMENTS
shows that the normalised anisotropic results for K0 0.5
have a shape similar to that of the normalised field data. All
other settlement troughs are too wide, with the isotropic
K0 1.5 analysis giving the widest trough.
A low value of K0 , however, influences not only the shape
but also the magnitude of settlement, as listed in Fig. 9.
Decreasing K0 reduces the mean effective stress p9 around
the tunnel. Both the isotropic and the anisotropic non-linear
pre-yield models normalise the soil stiffness against p9. A
low K0 value therefore shows a reduction of soil stiffness
compared with high-K0 situations. This reduction of stiffness
around the tunnel results in an increase in volume loss.
Combining K0 0.5 with an extreme (and unrealistic) aniso-
tropic scale factor of 2.5 leads to a longitudinal settle-
ment profile that shows steady-state settlement behind the
tunnel face, but also results in an unsatisfactory degree of
volume loss, which is further demonstrated in Fig. 10. This
graph compares the transverse settlement troughs at the end
of the 3D analyses (from the anisotropic model M2, set 2v,
K0 0.5, the isotropic model M1 with K0 1.5) with their
2D counterparts and with the field data (set 29). The graph
indicates that the 2D analysis with the anisotropic model
and with K0 0.5 coincides well with the field measure-
ments. However, this analysis is volume loss controlled, and,
as pointed out above, this parameter set is not realistic for
London Clay. Furthermore, this model is not applicable in
3D analysis as it results in an unrealistic value of volume
loss, and hence exceeds the maximum measured settlement
by more than four times. Applying an isotropic model with
K0 1.5, in contrast, predicts too small a maximum settle-
ment that is only one third (3D analysis) or half (2D) of the
field measurements. The results of the other analyses are not
shown in the diagram but lie within the range of settlement
curves presented in Fig. 10.
The wide range in volume losses observed in this study
shows that both 3D modelling and anisotropy do not resolve
the problem that numerical analysis predicts settlement
troughs that are too wide when compared with field data. It
furthermore demonstrates the difficulty in modelling 3D
tunnelling. As pointed out earlier, the high volume losses
are also a result of the chosen excavation length
Lexc 2.5 m. Owing to computational resources at the time
of the analyses it was not possible to reduce this value of
Lexc . With increasing computational power a refined 3D
tunnelling model should be addressed in future research.
CONCLUSIONS
A suite of 2D and 3D FE analyses was performed to
investigate the influence of 3D effects, soil anisotropy and
0
20 3 1022
Vertical settlement: m
40 3 1022
60 3 1022
M2 set 2v, 2D, K 0 5 05
M2 set 2v, 3D, K 0 5 05
80 3 1022 M1, 2D, K 0 5 15
M1, 3D, K 0 5 15
Field data, set 29
10 3 1021
0 200 400 600
x-Coordinate (transverse): m
Fig. 10. Transverse settlement profiles of isotropic and aniso-
tropic 2D and 3D analyses compared with field data
FROM TUNNEL EXCAVATION 197
K0 on the tunnel-induced ground settlement trough. The 3D
excavation process was modelled by successive removal of
elements in front of the tunnel while successively installing
lining elements behind the tunnel face.
In a first step the London Clay was modelled by a non-
linear elasto-plastic isotropic soil model and a coefficient of
lateral earth pressure at rest of K0 1.5. Comparing 3D
with 2D results showed that 3D modelling has a negligible
effect on the shape of the transverse surface settlement
trough, which remained too wide when compared with field
data. In the longitudinal direction the surface settlement
trough did not develop steady-state settlement conditions.
The curve extended too far when compared with field data.
Settlement was obtained on the vertical boundaries during
the entire analysis, although the total length of tunnel
construction was chosen as 21.0D. Such mesh dimensions
are considerably larger than most FE models used in
recently published studies. Soil anisotropy was included in
the study to investigate whether this additional soil charac-
teristic could improve results. Plane strain results showed
little improvement in the transverse trough when a level of
anisotropy appropriate for London Clay was adopted. The
transverse settlement trough improved when an unrealisti-
cally high degree of anisotropy was included. With this high
level of anisotropy a 3D analysis was carried out. The
longitudinal profile of this analysis was still too wide when
compared with field data, although it was steeper than the
settlement curve obtained from the isotropic analysis. This
analysis was then repeated with a low value of K0 0.5.
Only this combination of a high degree of anisotropy and a
low K0 , both unreasonable assumptions for London Clay,
produced steady-state settlement conditions at the end of the
analysis. The magnitude of settlement, however, was too
high, as unrealistically high values of volume loss developed
during the analysis.
The study demonstrates that incorporation of 3D model-
ling and elastic soil anisotropy in the prediction of tunnel-
induced ground surface settlement in London Clay does not
significantly improve the settlement profile. Adopting realis-
tic soil parameters brings only marginal improvements, and
adopting an extreme case of soil anisotropy can lead to
excessive values of volume loss. This indicates that neither
3D effects nor elastic soil anisotropy can account for the
over-wide settlement curves obtained from FE tunnel analy-
sis in a high-K0 regime.
APPENDIX 1: ISOTROPIC SOIL MODEL
The non-linear elastic model (Jardine et al., 1986) describes the
secant soil stiffness as depending on strain level using a
trigonometric expression. To use this model in a finite element
analysis, the secant expressions are differentiated and then normal-
ised against mean effective stress, giving the following tangent
values (Potts & Zdravkovic, 1999):
 
G BX 1 Ed
A B cosX  sin X
with X log 10 p
p9 2:303 3C
(4)
1
 
K9 SY j
j
R S cos Y   sin Y  with Y log10
v
VL : %
35 p9 2:303 T
181 (5)
33
21
33 where G and K9 are the tangent shear and bulk moduli respectively,
p9 is the mean effective stress, Ed is the deviatoric strain invariant,
800 and
v is the volumetric strain. A, B, C, R, S, T, , , , and  are
constants, which are listed in Table 2. Ed,max, Ed,min ,
v,max and
v,min
define strain limits above or below which the stiffness varies only
with p9 and not with strain. Minimum values of tangent shear and
bulk moduli are given by Gmin and K9min respectively.
198 FRANZIUS, POTTS AND BURLAND
APPENDIX 2: ANISOTROPIC SOIL MODEL ax axial stress
The transversely anisotropic formulation by Graham & Houlsby r radial stress
(1983) was combined with a small-strain behaviour based on the  angle of shearing resistance
isotropic model described in Appendix 1. The tangent vertical angle of dilation
Youngs modulus E9v is expressed as 9 index denoting effective parameter
E9v Ba X 1
Aa Ba cos X  sin X
p9 6:909
 
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