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Sciences in Cold and Arid Regions
2013, 5(5): 06370643
DOI: 10.3724/SP.J.1226.2013.00637

Effect of the overconsolidation ratio of soils in surface

settlements due to tunneling

Ludmila Strokova*

Institute of Natural Resources, National Research Tomsk Polytechnic University, Tomsk, 634050, Russia

*Correspondence to: Dr. Ludmila Strokova, Professor of Natural Resources Institute, National Research Tomsk Poly-
technic University, 30, Lenin Avenue, Tomsk, 634050, Russia. Tel: +7-3822-426159; E-mail: sla@tpu.ru

Received: May 17, 2013 Accepted: July 15, 2013

ABSTRACT

Construction of urban tunnels requires the control of surface subsidence to minimize any disturbance to nearby buildings
and services. Past study of surface subsidence has been limited to mainly empirical solutions based on field studies, and
very few analytical studies have been carried out. The available analytical solutions are not sufficient to include complex
ground conditions; hence, a comprehensive analytical solution coupled with numerical modeling is necessary to model the
effect of surface subsidence due to tunneling. This paper presents the results of modeling of surface settlements due to
tunneling using the finite element method. The effect of the overconsolidation ratio of soils expressed in terms of the co-
efficient of earth pressure at rest (K0) on surface subsidence due to tunneling is investigated. It is demonstrated that surface
settlements appear to be sensitive to K0 values, and for geotechnical calculations pertaining to overconsolidated sand and
clay soil, K0 values of 0.6 and 0.8, respectively, are proposed.
Keywords: surface settlement trough; coefficient of earth pressure at rest

1 Introduction rest" under conditions of zero lateral strain. The coeffi-

The correct definition of the in-situ stress state is an
important element in the numerical simulation of many
geotechnical problems. The determination of lateral earth
pressures is necessary at the design and application stage
of most engineering structures. Especially, the knowledge
of lateral earth pressure is required to design tunnels, re-
taining structures, and deep foundations. Tunneling in soft
ground always leads to stress rearrangements and defor-
mations in the surrounding soil. The deformations can be
detected by the evaluation of measurement data available
from previous tunnel project siteseither empirical pre-
dictions or by numerical calculations. Vertical stresses can
easily be determined from depths, densities, and ground-
water information, but horizontal stresses are more diffi-
cult to assess. They usually have to be estimated from
empirical values of K0, the coefficient of earth pressure "at
cient K0 is the ratio of in-situ horizontal effective stress to
the vertical effective stress. K0 is determined by field or
laboratory tests. K0 changes depending on the relative
density, stress history, overconsolidation ratio (OCR),
plasticity index, and similar soil properties. An overcon-
solidated soil is a normal soil which was subjected to a
greater load in ancient geological time than nowadays.
The coefficient of earth pressure at rest decreases in
the reloading stage, especially in loose sands, but in very
dense sands K0 values remain almost constant in the
loading and reloading stages. Various relationships have
been proposed for K0 (Table 1).
According to the theory of elasticity, K0=/(1),
where = Poissons ratio, as is usually recommended.
Calculations by finite element methods using elasto-
plastic models require laboratory and computing exper-
iments to determine the input parameters of the models.
638 Ludmila Strokova, 2013 / Sciences in Cold and Arid Regions, 5(5): 06370643

Table 1 Empirical equations for determination of K0

Stress history References Equation

Jky (1944) K 0NC = 1 sin , where = effective internal friction angle
Brooker and Ireland (1965) K 0NC = 0.95 sin
Alpan (1967) K0NC = 0.15 + 0.233 lg (IP) clay, where IP = plasticity index

Loading Mayne and Kulhawy (1982) K 0NC = 1 0.987 sin clay, K 0NC = 1 0.998 sin sand
OCR1 11.5o )
1 sin( crit
Bolton (1991a,b) K 0NC =
11.5o crit
1 + sin( crit 11.5o )

2 sin crit
Simpson (1981, 1992) K 0NC =

2 + sin crit

Wroth (1975) K 0 = OCR K 0NC (OCR 1) , where = Poissons ratio
1
Brooker and Ireland (1965) K 0 = K 0NC (OCR)n , n = f(1/Ip), n 0.4 0.05
K 0 = (1 sin(1.2 )) (OCR)sin(1.2 )

Schmidt (1966)

Unloading K OCR
OCR>1
K 0 = , where Ka = the Rankine active earth pressure coeffi-
Prska (1973) 1 K a (1 OCR)
1 sin
cient, K =
1 + sin
Meyerhof (1976) K 0 = K 0NC (OCR) , = 0.5
Mayne and Kulhawy (1982) K 0 = (1 sin ) (OCR)sin

OCR 3
Mayne and Kulhawy (1982) K 0 = (1 sin ) + 1 OCR
(1 sin )
OCRmax 4 OCRmax
Shohet (1995) K 0 = K 0OC (cu v )NC (cu v )OC , where cu = undrained cohesion
1
Reloading
1 K 0OC 1
OCR = NC
,
Sivakumar et al. (2001) 1 K 0
= slope of pre-yield undrained stress path plotted in the v h plane, from a
consolidated undrained CIU test; = ratio of slope of unload-reload line plotted in
the v ln v plane, from oedometer and isotropic compression tests.
OCR = overconsolidation ratio.

2 Experimental design Our experiments were designed to determine the pa-

To provide a tool to improve the state-of-the-practice
of controlling ground movements associated with tun-
neling, this paper presents a numerical procedure that
effectively and efficiently updates design predictions of
surface settlements during tunnel construction. Several
authors have studied the influence of K0 in numerical
analysis of tunnel surface settelements, including Gunn
(1993), Addenbrooke (1997), and Franzius (2005),
who found that the settlement troughs become wider
and shallower with increasing K0 values. In our studies,
the nonlinear elastoplastc Hardening Soil Model was
applied to investigate the influence of K0 on surface
settlement.
rameters K0 and OCR for modeling deformations around
tunnels in Munich. The city of Munich forms the core of
a fast-growing urban region in the Alpine foreland of
Bavaria, in southern Germany. The subsurface is com-
posed of Neogene and Quaternary formations made up
of loose alluvial, fine to coarse-grained sediments. To-
days landscape is known as the Munich Gravel Plain,
which comprises outwash terrains formed during the
Pleistocene glacial periods as well as the modern flood-
plain of the River Isar. These rather young gravel terrac-
es, caused by a major unconformity and hiatus, overlie
Neogene molasse deposits of the Alpine foreland basin,
which in contrast are comprised of fine-grained fluviatile
and lacustrine facies.
 Ludmila Strokova, 2013 / Sciences in Cold and Arid Regions, 5(5): 06370643 639

We carried out an inverse analysis using data from Based on the results of various laboratory and field
tunnel U-8 in Munich. This tunnel is approximately 14 m tests, many methods have been developed to determine
below the ground surface and its diameter is 7 m. Our the K0 of different soil types. Laboratory methods have
calculations of the settlement parameters were modeled been preferred because they are easier than field tests.
by 15-noded triangular elements in a plane-strain mesh Currently, K0 consolidation tests can be performed using
(Brinkgreve, 2004). The initial stress conditions were an oedometer or a triaxial apparatus. Because the oe-
geostatic. Inclinometer data were used as observations in dometer test has the disadvantages of unknown side fric-
the inverse analysis that calibrated the numerical model. tion as well as difficulties measuring the radial stress, the
In this study, the effects of K0 and the OCR were also triaxial apparatus more fully describes the K0 condition.
investigated. Recent advances in control techniques and equipment
There are different methods of determining the encourage the easy use of triaxial K0 consolidation tests.
preconsolidation stress, p, from laboratory oedometer
data. Casagrande (1936) developed the most commonly
used method, which we used here. The following steps
describe this construction (Figure 1):
Visually choose the point of minimum radius (or
maximum curvature) on the consolidation curve (point A).
Draw a horizontal line from point A.
Draw a line tangent to the curve at point A.
Bisect the angle made by steps and .
Extend the straight-line portion of the virgin
compression curve up to where it meets the bisector line
obtained in step . The point of intersection of these two
lines is the preconsolidation stress.
Table 2 shows the results of the estimation of OCR
from compression tests for Neogene molasse deposits. In
general, the data confirm statements of geologists about
the erosion of deposits in the Quaternary Period through Figure 1 Casagrandes method for determining
reconstruction of the alpine paleorelief in the region. preconsolidation stress

Table 2 Estimation of OCR from compression tests

Sampling z Preconsolidation Calculated mark of antecedent

Sample No. OCR
depth (m) (kPa) Stress, p (kPa) surface (m)
01-60221 24.8 356.8 1.850 5.20 124
02-60189 28.0 392.0 1.675 4.20 107
03-60193 32.6 442.6 2.000 4.50 130
04-a-60194 33.4 451.4 2.075 4.60 135
04-b-60194 33.4 451.4 2.375 5.30 160
05-60195 35.5 474.5 1.925 4.10 121
06-60477 23.5 342.5 1.200 3.50 71
07-60479 32.1 437.1 2.100 4.80 139
08-60482 35.8 478.4 1.975 4.10 125
09-60494 28.5 356.7 2.325 6.60 166
10-62151 19.5 250.5 1.650 6.60 117
16-61741 25.8 319.8 1.750 5.50 119
17-62170 20.0 292.0 2.400 8.22 179
19-a-60052 33.6 411.6 1.850 4.50 120
19-b-60052 33.6 411.6 2.075 5.00 139
20-60146 23.0 373.0 1.875 5.00 125

The results of determination of the coefficient of earth tension begins at the stage of unloading a sample.
pressure at rest by K0 consolidation for loam firm are In this test, the K0 by normal consolidation (OCR=1)
presented in Figures 2 and 3. The coefficient of lateral equaled 0.45; by unloading the sample, the K0 increased to
pressure is defined at the moment when vertical effective 0.9 (OCR=5). Triaxial tests have been performed to de-
640 Ludmila Strokova, 2013 / Sciences in Cold and Arid Regions, 5(5): 06370643

termine the model parameters and provide data for valida- lasse clay soil are given in Figures 4 and 5. K0 values that
tion of the model to predict the behavior of soil. Estimates were obtained from empirical equations and values ob-
of K0 at K0 consolidation for 20 samples of Neogene mo- tained from laboratory tests were compared (Table 3).

Figure 2 The variation of measured horizontal stress at different applied vertical stresses

Figure 3 The variation of coefficient of earth pressure at rest (K0) at different applied vertical stresses
 Ludmila Strokova, 2013 / Sciences in Cold and Arid Regions, 5(5): 06370643 641

Figure 4 Variation of K0 with OCR on unloading

Figure 5 K0 in a Munich tunnel as a function of the depth (Pelz, 2010)

642 Ludmila Strokova, 2013 / Sciences in Cold and Arid Regions, 5(5): 06370643

Table 3 Comparison between K0 values obtained from empirical equations and values obtained from laboratory tests

Sample K0NC by K0NC K0 from

Name Soil characteristic ' () Ip (%)
No. Alpan by Jky experience
01-60221 Clay Without mica, with calcareous inclusions 28.2 0.53 0.46
02-60189 Clay Without mica 28.4 0.53 0.43
08-60482 Clay Without mica 23.3 0.51 0.35
10-62151 Clay Without mica, with calcareous inclusions 32 22.3 0.50 0.47 0.45
12-62178 Loam Without mica, with calcareous inclusions 34 7.2 0.39 0.44 0.45
13-62183 Clay Without mica, above with calcareous inclusions 31 25.9 0.52 0.48 0.36
16-61741 Clay With calcareous inclusions, mica 36 20.8 0.50 0.41 0.32
17-62170 Clay Without mica, with calcareous inclusions 36 17.5 0.48 0.41 0.23
18-61603 Silty clay With calcareous inclusions, mica 34 16.7 0.47 0.45 0.50
19-60052 Clay Without mica, with calcareous inclusions 39.0 0.56 0.32
20-60146 Silty clay With calcareous inclusions, mica 13.5 0.32 0.30
21-58168 Clay Without mica, with calcareous inclusions 21.6 0.50 0.37
22-60207 Clay Without mica, with calcareous inclusions 18.7 0.49 0.50
23-62775 Silty clay With calcareous inclusions, mica 32 13.3 0.45 0.47 0.45
24-62771 Clay With calcareous inclusions 40 18.2 0.48 0.36 0.53

Using this method, we predicted surface settlements
for a tunnel to be excavated in a section of the S-Bahn
Stammstrecke project in the city of Munich using both
empirical and numerical methods. Numerical modeling
was carried out to get back-analysis for the experimental
data in order to verify the input parameters that had been
assumed in the planning and design phases. PLAXIS 2D
finite element software (Plaxis B.V., Delft, The Nether-
lands) was used to simulate the volume loss by applying a
contraction to the shield tunnel lining (uniform "shrink-
age" of the lining elements in a plane normal to the tun-
neling centerline). This contraction was defined during the
creation of the tunnel in the input program. The initial
stress generation (K0 procedure) was used to generate the
initial effective stresses with the appropriate values of K0.
The following variations of the coefficient of K0
were accepted: for sand 0.426, 0.6 and 0.8; for clay
0.576, 0.8 and 1.0. Data on the vertical movements of
each settlement model from the PLAXIS program were
used to compare calculated subsidence with different K0
values and the measured surface subsidence. As is ap-
parent in Figure 6, the best coincidence with measured
subsidence had a settlement curve computed with
k0OC 1 (for molasse sand, 0.6; for clay, 0.8).

Figure 6 Influence of the K0 value of soil on the calculated surface settlement

3 Discussion appear to be sensitive to the K0 value. Therefore, for ge-

otechnical calculations for overconsolidated soils, K0
Our experiments indicated that surface settlements values of 0.6 for sand and 0.8 for clay are proposed.
 Ludmila Strokova, 2013 / Sciences in Cold and Arid Regions, 5(5): 06370643
4 Conclusions
1) The variation of horizontal stresses is linear for
vertical stresses greater than the preconsolidation pres-
sure in the loading stage. Therefore, K0 values remain
constant for vertical stresses greater than the preconsol-
idation pressure.
2) The experimental K0 values were greater than the
K0 values calculated from empirical equations for nor-
mally consolidated states, but the experimental K0 values
were lower than the calculated K0 values for overcon-
solidated states. The K0 values that were calculated for
low OCR values approximated the test results.
3) In the unloading stage, horizontal stresses de-
creased more slowly than the vertical stresses, so the K0
values increased. This demonstrates that K0 values were
considerably affected by OCR in the unloading stage. As
OCR increased, the coefficient of earth pressure at rest
also increased.
Acknowledgments:
The author is very thankful the staff of Zentrum Ge-
otechnics of Mnchen Technical University, in particular
G. Pelz who assisted in the laboratory tests and the
PLAXIS calculations presented in this paper.
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