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Tunnelling and
Underground Space
Technology
incorporating Trenchless
Technology Research
Tunnelling and Underground Space Technology 23 (2008) 2537
www.elsevier.com/locate/tust

Inuence of the depth and shape of a tunnel in the application

of the convergenceconnement method
C. Gonzalez-Nicieza a,* lvarez-Vigil b, A. Menendez-Daz c, C. Gonzalez-Palacio
, A.E. A a

a
Department of Mining Engineering, University of Oviedo, Independencia 13, 33004 Asturias, Spain
b
Department of Mathematics, University of Oviedo, Independencia 13, 33004 Asturias, Spain
c
Department of Construction Engineering and Manufacturing, Mining Engineering School, University of Oviedo, Independencia 13, 33004 Asturias, Spain

Received 27 August 2005; received in revised form 29 November 2006; accepted 4 December 2006
Available online 24 January 2007

Abstract

One of the most widely used methods in tunnel support analysis and design is the convergenceconnement method (CCM). For its
practical application, it is necessary to study the inuence of the depth and cross-section of the tunnel and to conrm the calculations
with two- or three-dimensional simulations carried out with nite elements or explicit nite dierences programs. These simulations
require elevated calculation times. In this paper, a modication of the CCM is proposed that directly introduces the eect of depth
and the shape of the tunnel cross-section in the determination of the radial displacement of the tunnel. To do so, a series of functions
are determined that approximate the radial displacement at points situated on the perimeter of the cross-section of the tunnel, consid-
ering several cross-sections at dierent distances from the working face. Should the cross-section of the tunnel or its depth be modied, it
will not be necessary to perform new numerical simulations in order to apply the CCM. It will only be necessary to use the calculated
shape functions. It is thus possible to use the CCM in the analysis and design of the support elements in a quite precise and signicantly
faster way.
2006 Elsevier Ltd. All rights reserved.

Keywords: Convergenceconnement method; Ground/support interactions; Convergence; Connement loss; Supported tunnel

1. Introduction and problems The diculty of designing the support of tunnels is a

The design of tunnel support has always been consid-
ered a highly complex matter from the point of view of
engineering and has largely been reduced to empirical for-
mulations (Barton et al., 1974; Bieniawski, 1974) that have
provided good results under similar geological conditions.
Many site engineers think that empirical analysis of con-
vergence is sucient to manage the excavation of a tunnel
and do not care much about more sophisticated analysis
methods (AFTES, 2002; Graziani et al., 2005). However,
models may prove very useful in obtaining a better under-
standing of the interaction between the rock mass and the
support, in order to optimize the design.
*
Corresponding author. Tel.: +34 98 510 4266; fax: +34 98 510 4265.
E-mail address: celes@git.uniovi.es (C. Gonzalez-Nicieza).
consequence of the following aspects:
 Insucient knowledge of the behavior of the ground
under conditions associated with the excavation of the
tunnel.
 Insucient data on the natural stress state of the
ground.
 It is a three-dimensional problem.
 It is necessary to analyze the interaction between the
support and the ground near to the advancing face.
 The time-dependent response due to the rheological
properties of the ground must be taken into account.
In rock engineering, modeling always implies simplica-
tion, and it is necessary to select from all the geological data
those which are really meaningful for the understanding of

0886-7798/$ - see front matter 2006 Elsevier Ltd. All rights reserved.
doi:10.1016/j.tust.2006.12.001
26 C. Gonzalez-Nicieza et al. / Tunnelling and Underground Space Technology 23 (2008) 2537
the rock mass behavior in relation to the design of the struc-
ture. To do so, it is useful to carry out preliminary studies
on simple models in order to test the true signicance of
some parameters of the rock mass.
In this respect, the convergenceconnement method
(CCM) is a simplied method that analyzes the interaction
between the ground and the support. Using axisymmetric
hypotheses, it provides simplied knowledge of the process
of ground/support interaction that takes place close to the
working face. The input is two-dimensional, but the results
of the analysis apply to the three-dimensional problem
(Panet, 1995).
The works of Wong and Kaiser (1991) has shown that
loads are usually underestimated by the conventional
CCM. This observation has prompted a renement of the
CCM known as new implicit method (Corbetta et al.,
1991, Bernaud and Rousset, 1996). Recently Oreste
(2003) has further improved the conventional CCM by
applying a numerical procedure to obtain a support reac-
tion curve which takes the time-dependent stiness of the
shotcrete into account.
The application of CCM to other types of models that
do not present axisymmetry requires the use of numerical
simulation programs with the subsequent cost in calcula-
tion time and in ltering and interpreting the results. To
partly avoid this drawback, this paper proposes to intro-
duce certain shape functions in the CCM formulation that
take into account the cross-section of the tunnel, thus sig-
nicantly reducing the number of numerical simulations
that must be carried out.
Since the CCM constitutes the starting-out point of our
work, we shall describe its fundamental aspects (Section 2)
to then go on to see how the shape functions that modify
the expression of convergence are introduced and tted
(Section 3). Finally, we shall apply all the above to obtain
the characteristic convergence curves of some specic cases
(Section 4).
2. The convergenceconnement method
The concepts on which the CCM is based are the
convergence of the ground, the support pressure and the
d(0)
working face
support K
advance A(0)
x(0)
B(0)
Fig. 1. Advance of the excavation and position of the points of instrumentation of convergence.
connement loss (AFTES, 2002). We shall rst analyze
the behavior of the ground and of the support, introducing
to this end the concepts of convergence and support pres-
sure. We shall subsequently analyze how the study of
ground/support interaction is performed, introducing the
concept of connement loss. Finally, we shall indicate
how the eect of time on the rock mass, i.e. the rheological
behavior of the ground, is taken into consideration.
2.1. Behavior of the ground
A good understanding of the deformation caused by an
underground excavation requires simultaneous knowledge
of the rocksupport interaction and interpretation of eld
data. Formerly, the main purpose of the monitoring car-
ried out during tunnel constructions was to measure the
ground pressures acting on the support of the tunnel
(Kaiser, 1980; Brown et al., 1983).
When carrying out the excavation of a tunnel, a redistri-
bution of stresses and deformations takes place in the sur-
roundings of the working face of the excavation that
translates as a displacement of the walls of the tunnel, tend-
ing to close the newly opened cavity. The convergence of
the tunnel, C, along a line AB is the relative displace-
ment of a pair of diametrically opposed points on said line
situated on the tunnel wall (see Fig. 1). In the present
paper, we shall study the convergence associated with the
advance of the tunnel. The most common form of monitor-
ing this convergence is by means of instrumentation, at dif-
ferent points along the tunnel, of the relative displacements
produced.
Basically, the convergence, C, depends on:
 The distance x between the instrumented section and the
face.
 The time t since the face passed through the instru-
mented section.
 The unsupported distance d behind the face.
 The rigidity of the support Ks.
The convergence will thus be a function of these param-
eters given by:
new
d(t)
working
face
support K
S A(t) S
x(t)
B(t)
excavated tunnel
 C. Gonzalez-Nicieza et al. / Tunnelling and Underground Space Technology 23 (2008) 2537 27

C Cxt; t; d; K S  1 R R

Convergence measurements are usually represented as a 0 0

function of the distance to the face C = C(x) or as a func- T
tion of time C = C(t). On the other hand, it is also impor- (1-d)0 T
S
tant to estimate the distance x = x(t) between the position ps (1-d)0 S
of the instrumented section and the face as a function of ps
time, with the aim of conveniently interpreting the mea- uR uR
ud us ud us
surements (Kontogianni and Stiros, 2002).
Fig. 3. Characteristic curves of the CCM for (a) linear elasto-plastic and
2.2. Behavior of the support (b) non-linear elasto-plastic behaviors.

The support opposes the convergence of the tunnel walls

by exercising a pressure known as support pressure Ps. The
greater the rigidity of the support, the greater this pressure,
which is limited by the resistance of the material with which
it has been made.
For the support of a circular tunnel of radius R, it is
found that:
uR
P S K SN 2
R The equation of the support convergence relates support
where KSN is the normal rigidity of the support and uR is
the radial displacement of the tunnel. This equation only
takes into account the linear portion of the deformation
curve of the support. With an asymmetric tunnel, KSN
determines the rigidity of the support, but under conditions
of asymmetry, a bending rigidity coecient KSF is needed
(AFTES, 2002).
2.3. Ground/support behavior
Instead of the three-dimensional problem, the CCM
(AFTES, 2002) approaches the problem as being one of
two-dimensional plane deformation that studies the
ground/support interaction. This consists in applying a
stress rto the walls of the excavation, given by:
r 1  k  r0
where r0 is the natural stress of the ground and k is a
parameter that is called the connement loss. This parame-
ter varies from 0 to 1, simulating the eect produced by the
excavation (see Fig. 2).
Fig. 2. Connement loss in a tunnel.
As the parameter k increases, the ground loses its con-
nement, resulting in a displacement u of the walls of the
excavation. The equation of the ground convergence
relates ground displacements and ground stresses by means
of Eq. (4):
fT r; u 0 4
displacements with the stresses exerted by the ground on
the walls of said support:
fS r; u 0 5
The support is usually placed at a distance d from the face,
known as the unsupported distance. Ahead of and behind
the face, displacements ud will take place. There is a con-
nement loss kd corresponding to this displacement. Thus
Eq. (5) may be rewritten as:
fS r; u  ud kd 0 6
The equilibrium resulting form the interaction of the
ground and the support is determined by solving the system
of equations given by (4) and (6).
In the simplest case, in which axisymmetry exists and the
behavior of the ground is not time dependent, the CCM
3 allows a simple graphic representation of the problem. This
is the so-called convergenceconnement curve. Fig. 3 shows
this curve for a circular tunnel with a radius R. We shall
denominate by T the convergence curve of the ground
and S the connement curve of the support. Fig. 3a corre-
sponds to the case of a ground and support with linear elas-
tic behavior and Fig. 3b to a ground and support with
elasto-plastic behavior.
In the former case, the ground displacements and stres-
ses are radial (we shall use the sub-index R in uR and rR),
being linear in Eqs. (4) and (6). These shall be written as
follows:
2G
rR  u R  r0 0 7
R
uR  ud
rR  K SN 0 8
R
where G is the shear modulus. Due to the existence of lin-
earity in the curve T, the radial displacement ud in which
the support is placed may be expressed as a function of
the connement loss kd by means of the equation:
28 C. Gonzalez-Nicieza et al. / Tunnelling and Underground Space Technology 23 (2008) 2537
r0 R
ud kd  9
2G
Solving the system given by Eqs. (7) and (8), we obtain the
support pressure Ps and the radial displacement us as a
function of the connement loss kd. These values will cor-
respond to the point of equilibrium where the T and S
curves intersect.
In the case of the ground presenting an elasto-plastic
behavior, the equations for the convergence curves under
axisymmetric conditions have been established by dierent
authors, considering diverse law of elasto-plastic behaviour
of the rock mass (Panet, 1995). Panet establishes that the
radial displacement may be written as:
r0 R
uR x kx
2G
and the connement loss may be calculated from the
expression:
( "   2 #)
1 Rm
kx n 1  n  1  11
n Rmnx
where n, m and n are parameters that depend on the consti-
tutive model of the ground (Panet, 1995). Thus, for a
ground presenting linear elastic behavior (n = 1), the rec-
ommendation is:
n 0:25 m 0:75
and for a rock mass whose behavior is elasto-plastic,
expressions of the parameter n have been obtained for dif-
ferent constitutive models (Tresca, MohrCoulomb,
HoekBrown, etc.) (Panet, 1995).
2.4. Time dependent convergence
In the preceding sections, the ground deformations
around the tunnel have been analyzed without taking into
consideration the time-dependent behavior of the rock
mass. However, for many rock masses, the deformations
which bring about an increase in the loads on the support
are due not only to the progress of the excavation but
also to the rheology of the rock mass (Gill and Ladanyi,
1987).
The processes that give rise to the appearance of time
dependent deformations are: the rheological behavior of
the rock mass, and the creep behavior of the support sys-
tem. In these two cases, the following expression may be
considered a good approximation of the behavior over time
of the convergence of the tunnel:
Cx; t 2  uR x  1 A  wt 13
being:
 w
T
wt 1 
T t
where T is the relaxation time, and A and w are two param-
eters that depend on the nature of the rock mass (Panet,
1995).
3. Modication of the convergence using shape functions
The most common way of using the CCM consists in
researching a cross-section of the tunnel using two-dimen-
sional models, in nite elements or explicit nite dier-
ences, that reproduce the geometry of the tunnel and the
phases of construction, with one or more values of the con-
nement loss as mentioned above.
The values of kd are normally calculated for axisymmet-
ric models, i.e. circular tunnels with hydrostatic natural
stresses and a uniform ground. Any change in these basic
hypotheses (non-circular cross-section, stress anisotropy,
heterogeneity of the ground, depth of the excavation)
would require the determination of kd, employing not-so-
10 simple models. This approximation would be even more
necessary should the rigidity of the support be very high
in comparison with the ground deformation characteristics
and when this is installed very close to the working face.
Moreover, these adaptations of the method require the
judgment of experienced engineers and are not easy to cod-
ify in a set of recommendations.
Eq. (10), which is the main mathematical tool of the
method, allows the displacement of the tunnel wall to be
determined. The aim of the present study is to modify this
expression so that it depends on the depth and shape of the
tunnel cross-section. To do so, we use the results of several
12 3-dimensional simulations previously carried out in
FLAC3D (Itasca Consulting Group Inc, 2004). This mod-
ication translates as a number of shape functions that
allow the convergence at each point in the tunnel to be cal-
culated as a function of the depth and of the shape of the
cross-section of the tunnel. Thus, if the cross-section of
the tunnel or its depth is modied, it will not be necessary
to recalculate all the numerical simulations in order to
apply the CCM. It will only be necessary to use the previ-
ously calculated shape functions.
Several numerical calculations were therefore carried
out considering dierent tunnels shapes at dierent depths.
In each case, the radial displacements at several points sit-
uated on the perimeter of the cross-section were calculated,
considering dierent distances to the working face.
We shall rst see the results of the three-dimensional
analysis (Section 3.1) that has allowed us to dene the
shape functions that modify the radial displacement of
the CCM. We shall then go on to analyze the tting of
these results to determine said shape functions (Section
3.2).
3.1. Three-dimensional simulation analysis
Three typical tunnel cross-section shapes were consid-
ered for the three-dimensional analysis using FLAC3D,
14 which in accordance with Fig. 4, we shall denominate as:
circular (Type I), cart (Type II), railway or mining (Type
III).
The dimensions of each type of tunnel are shown in
Fig. 4 along with the origin of the angles h that allow us
 C. Gonzalez-Nicieza et al. / Tunnelling and Underground Space Technology 23 (2008) 2537 29

Fig. 4. Shape and dimensions of the tunnel cross-section. (a) Tunnel Type I; (b) tunnel Type II; (c) tunnel Type III.

to situate any point P on the perimeter of the tunnel, and
which will be used in various gures and equations in this
paper. Dierent excavation depths (50, 100, 250 and 500 m)
were considered for each type of tunnel.
Due to the symmetry of the problem with respect to the
vertical plane that passes through the center of gravity of
the tunnel cross-section, only half the model is considered,
the dimensions of which are 100 m wide by 100 m long with
a variable height that depends on the depth of the tunnel.
Fig. 5 represents the cross-section of the model, schemati-
cally indicating on said cross-section the loads and contour
conditions that are repeated in a normal direction to said
section to generate the three-dimensional model. The draw-
ing in Fig. 5 is merely schematic and is not to scale.
The boundary conditions of the model are established by
xing the displacements along the normal direction to each
one of the lateral or lower faces. This initial stress state
derived from gravitational loads depends on the depth of
the tunnel. To simulate this state of stresses, a lithostatic load
rg corresponding the overburden of the model was applied
to the upper boundary of the model and its lithostatic pres-
sure was applied to each intermediate point of the model,
considering a horizontal/vertical stress ratio of 0.8.
The behavior of the ground surrounding the tunnel is
assumed to be linear elastic, its properties being: density
2500 kg/m3, Youngs Modulus 3.90 GPa and Poissons
g the tunnel is represented with respect to the angle h formed
100 o the theoretical solution of the radial displacement (Panet,
0.8 o
x displacement is 12.50%, 3.33%, 2.41% and 0.83%, depend-
100
100
Fig. 5. Starting-out geometry of a Type III tunnel.
coecient equal to 0.3. A continuous advance of the exca-
vation is assumed, with an increment x, carrying out the
excavation in the entire section without support and mea-
suring the displacements at all the points on the perimeter
of the tunnel cross-section.
A progressive hexahedral mesh was used that is more
rened in the surroundings of the tunnel, with a minimum
size of 0.33 m. The numerical calculation method employed
was the explicit nite dierences method implemented in
FLAC3D.
Let us take as the radial displacement at a point the dis-
placement vector modulus along the normal to the surface
of the tunnel at that point. In this way, the radial displace-
ment curves were obtained as a function of the distance to
the face x, at uniformly distributed points along the cross-
section. Fig. 6 shows the calculated radial displacement, as
a function of the distance x to the face, registered in the
oor and in the crown for a circular tunnel (Type I) and
a cart tunnel (Type II), excavated at a depth of 500 m.
Note should be taken of the importance during the sim-
ulation both of the situation of the lower and lateral
boundaries of the model and of the depth of the tunnel
in order for the obtained results to approach their theoret-
ical counterparts.
Fig. 7 shows the results of the simulation of the circular
tunnel (Type I) for the four depths considered. For each
one of these, the radial displacement along the contour of
by the position vector of the point on the contour with
respect to the horizontal axis of the cross-section. In all
cases, the horizontal line marked as uRT corresponds to
1995). The error obtained in the estimation of the radial
ing on whether the depth of the excavation is, respectively,
50, 100, 250 or 500 m.
The absolute error remains practically constant, while
the relative error decreases appreciably with depth. This
error of classic analytical theory is due to the hypothesis
of isotropy for stresses, which is not acceptable in shallow
tunnels.
30 C. Gonzalez-Nicieza et al. / Tunnelling and Underground Space Technology 23 (2008) 2537

30 30
Radial displacement (mm)

Radial displacement (mm)

Crown 25
25
Floor
20 Crown
20
Floor
15 15

10 10

5 5
0 0
0 20 40 60 80 100 0 20 40 60 80 100
Distance x from working face (m) Distance x from working face (m)

Fig. 6. Radial displacement vs. distance x from working face. (a) Type I tunnel; (b) Type II tunnel.

a 2.5 b 19.0
Radial displacement (mm)

Radial displacement (mm)

2.0 18.5

u RT = 3.7 mm
u RT = 1.8 mm
1.5 18.0
-90 60 -30 0 30 60 90 -90 60 -30 0 30 60 90

Angle () Angle ()
c 10.0 d 19.0
Radial displacement (mm)
Radial displacement (mm)

u RT = 18.4 mm
9.5 18.5
u RT = 9.2 mm

18.0
9.0
-90 60 -30 0 30 60 90 -90 60 -30 0 30 60 90

Angle () Angle ()
Fig. 7. Radial displacement values for dierent depths of a Type I tunnel. (a) h = 50 m; (b) h = 100 m; (c) h = 250 m; (d) h = 500 m.

Fig. 8 shows the value of the radial displacement along which it is interesting to analyze the dependence of uR on
the perimeter of a cross-section that is at a sucient dis- the angle (h).
tance from the face, in order to assume that the displace- It can be seen that the graphs are circular and that as the
ment has reached its nal value for the analyzed depths depth acts as a ratio for the homothety, which is main-
and for a Type I tunnel. The representation employs a tained between the dierent displacement graphs for an
polar system of coordinates, the directions corresponding elastic behavior of the rock mass.
to the angles taken every 10 are shown in dashed lines. In the case of Type II and III tunnels, whose radial dis-
These reference directions will be used in those gures in placement graphs are represented in Figs. 9 and 10, the
 C. Gonzalez-Nicieza et al. / Tunnelling and Underground Space Technology 23 (2008) 2537 31

Fig. 8. Convergence uR(h) in a Type I tunnel for dierent depths.

Fig. 10. Convergence uR(h) in a Type III tunnel for dierent depths.

Fig. 9. Convergence uR(h) in a Type II tunnel for dierent depths.

depth is maintained as a ratio for the homothety of these

graphs, observing the greater rigidity that both tunnels
present at the nal point of the oor as a consequence of
the anisotropic distribution of the stress state resulting
from asymmetry in the shape of the excavated section. Fig. 11. Convergence uR(h) for the three types of tunnel at a depth of
250 m.
In Fig. 11, the displacements obtained in the three-
dimensional modeling at a depth of 250 m are compared
for the three types of tunnel. The great similarity of the Analysis of all the above results will allow us to propose,
shape of the tunnel with its response as regards conver- in the following section, new expressions for rapid calcula-
gence may be appreciated. tion of the displacement around the tunnel that may be
32 C. Gonzalez-Nicieza et al. / Tunnelling and Underground Space Technology 23 (2008) 2537

used in classic methods for estimating convergence, such as

the CCM.

3.2. Approximation of radial displacement using shape

functions

The expression that we propose for calculating the

radial displacement as a function of the distance x from
the considered section to the working face, of the depth h
of the horizontal axis of the tunnel and of the angle h of
the position of the point on the tunnel cross-section has
the same form as (10) used by Panet (1995). That is:
qghR
uR x; h; h f h   kx; h 15
2G
With:
( "  2 #)
1 R  mh
kx; h nh 1  nh  1 
n R  mh n  x
16
Fig. 12. Approximation of n(h) for the three types of tunnel.
where q is the density of the rock mass, g the acceleration
due to gravity, G the shear modulus of the surrounding
ground and R the equivalent radius of the tunnel, i.e. the
radius of a circle whose area is equal to the excavated
cross-section. The parameter n is the one that characterizes
the elasto-plastic behavior of the ground, equal to that pro-
posed in Eq. (10), its value, for a linear elastic model, being
equal to unity.
The new a dimensional parameters of Eq. (15), which
will determine the magnitude of the radial displacement,
are: n(h), m(h) and f(h), which we shall henceforth call tun-
nel shape functions. In fact, n and m were already in Eq.
(10), but they are now made dependent on the angle h;
i.e. on the position on the perimeter of the tunnel that we
are considering in order to measure the radial displace-
ment. The new parameter f(h) has been introduced to cor-
rectly adjust the tting of the curves.
The determination of these parameters is carried out by
tting the shape functions to the results of the numerical
simulation carried out using FLAC3D. In this simulation,
the behavior of the tunnel is analyzed calculating the radial
displacement at points situated on the perimeter of the
cross-section of the tunnel, considering various cross-sec-
tions along the tunnel at dierent distances from the work-
ing face. The results presented above in the preceding
section were used to this end.
Fig. 12 shows the shape function n(h) for the three types Fig. 13. Approximation of m(h) for the three types of tunnel.
of tunnel. A similar variation can be seen in what would be
the upper semi-tunnel, a region in which the shape of the
three tunnels is most similar, the dierences being manifest and for asymmetric tunnels (Types II and III), it presents a
in the lower semi-tunnel. minimum for the value of h = 0.
Fig. 13 shows the shape function m(h) for each type of A new shape function of the tunnel FG(h, a, b, c) was
tunnel. dened on the basis of these curves that simultaneously
Fig. 14 shows the shape function f(h). Of the three, this represents the three aforementioned shape functions. This
is the one that presents less asymmetry in the shape of the new shape function, which we shall call the general shape
tunnel. However, as in the case of the two above functions, function of the tunnel FG, it depends on three parameters
 C. Gonzalez-Nicieza et al. / Tunnelling and Underground Space Technology 23 (2008) 2537 33

Table 1
Parameters that dene the general shape function for each type of tunnel
Parameters
a b c
Lower semi-tunnel
Type I n(h) 0.27 0.00 0.00
m(h) 0.71 0.00 0.00
f(h) 1.00 0.00 0.00
Type II n(h) 0.33 0.08 0.70
m(h) 1.70 1.20 0.70
f(h) 1.40 1.20 0.90
Type III n(h) 0.25 0.62 2.00
m(h) 1.00 0.50 0.15
f(h) 1.60 0.90 1.00
Upper semi-tunnel
Type I n(h) 0.27 0.00 0.00
m(h) 0.71 0.00 0.00
f(h) 1.00 0.00 0.00
Type II n(h) 0.34 0.09 0.08
m(h) 1.00 0.50 0.10
f(h) 1.15 0.95 0.20
Type III n(h) 0.41 0.46 0.15
m(h) 1.30 0.80 0.15
f(h) 1.30 0.80 1.00

Fig. 14. Approximation of f(h) for the three types of tunnel.

the University of Oviedo. This enabled analysis of the con-

a, b and c. These parameters in turn depend on the type of
tunnel, the part of the tunnel considered (lower or upper
semi-tunnel) and the shape function to evaluate (either
n(h), m(h) or f(h)). The function FG is given by the
expression:
b  c 0:03
F G h; a; b; c a  2
c h 0:174
with
nh F G h; a; b; c
mh F G h; a; b; c
f h F G h; a; b; c
Table 1 shows the values of parameters a,b and c for
each equation n(h), m(h) and f(h).
With this new general shape function, once the type of
tunnel and the zone to be considered are established, the
value of the radial displacement may be estimated by sim-
ply applying Eq. (15). This constitutes a fairly reasonable
approximation of the convergence and avoids having to
recalculate each numerical model using nite elements or
nite dierences. It thus also allows the values of the con-
vergence curves to be obtained more rapidly.
vergence of the tunnel at dierent points on the perimeter
of the cross-section. The software allows us to consider:
 The evolution over time of the advance of the working
face.
 Dierent shapes of the tunnel cross-section.
 Dierent points on said cross-section.
17
 Dierent constitutive models: Elastic linear, MohrCou-
lomb, MohrCoulomb with dilation, and HoekBrown.
 Dierent types of compound support (bolts, gunite,
18 etc.).
19  Time-dependent analysis and deferred installation of the
support.
20
The following outputs may be obtained from the appli-
cation for each of the models considered:
 Ground convergenceconnement curves.
 Convergence curves as a function of the distance to the
face and as a function of time.
 Interaction of the tunnel convergenceconnement
curves.
 Pressure/displacement curves for the tunnel and the
support.

4. Application of the CCM considering shape functions
The change in the expression of radial displacement tak-
ing into consideration shape functions was implemented in
a software application called CONTUN (CONvergence in
TUnnels) developed by the Ground Engineering Group at
As an example of the application of all the above points,
we considered the three tunnels in Fig. 4 situated at a depth
of 300 m. In each of these, we studied the points on the
cross-section of the tunnel corresponding to h = 0, 30,
60, 90, i.e. at a point on the side wall, another on the
crown and two intermediate points.
34 C. Gonzalez-Nicieza et al. / Tunnelling and Underground Space Technology 23 (2008) 2537

The distance from the working face x(t) to the cross-sec-

tion under study is shown in Fig. 15 including stoppage 8.0

periods.

Shear stress (MPa)

It is assumed that the ground surrounding the tunnel 6.0
may have dierent models of behavior so as to be able to
compare these: elastic linear, MohrCoulomb (with and 4.0
without dilation) and HoekBrown. The properties of each
model were obtained using RocLab (RocLab, 2002), taking
2.0
a sparitic limestone as reference (see Table 2 and Fig. 16).
Compound support deferred over time was considered
with the properties shown in Table 3, the characteristic 0.0
curve of said support being represented in Fig. 17. 0.0 2.0 4.0 6.0 8.0 10.0 12.0

The convergence study was rst carried out without tak- Normal stress (MPa)
ing into consideration the eect of time (non-rheological Fig. 16. Strength curve of the rock mass.
analysis) and then considering the time eect (rheological
analysis). To do so, we used Eqs. (13) and (14), with
Table 3
T = 2.3, A = 3 and w = 0.3.
Strength properties of the support
The shape functions FG(h) were determined on the basis
Rigidity of the sealing layer = 78 MPa
of the results of the elastic model. Table 4 shows the values
Rigidity of the bolts = 156 MPa
obtained for h = 0 and h = 90. The rst column indicates Rigidity of the gunite = 280 MPa
Strength of the sealing layer = 2 MPa
Strength of the bolts = 5 MPa
Strength of the gunite = 2 MPa
Distance x(t) from working face (m)

36.0 Time taken to install the support = 8 days

30.0

3.0
24.0

2.5
18.0

12.0 2.0
PS (MPa)

6.0 1.5

0.0 1.0
0 3 6 9 12 15 18 21 24 27 30
Time (days) 0.5

Fig. 15. Evolution over time of the distance to the working face. 0.0
0.0 5.0 10.0 15.0 20.0 25.0 30.0

u R (mm)

Table 2 Fig. 17. Characteristic curve of the support.

Strength properties of the rock mass
HoekBrown classication
Intact uniaxial compressive strength = 50 MPa Table 4
Geological strength index GSI = 40 Summary of numerical results
Parameter mi = 8
h n(h) m(h) f(h)
Disturbance factor D = 0
Tunnel Type I 0 0.295 0.900 0.400
HoekBrown criterion (2002) 90 0.367 1.105 1.050
Parameter mb = 0.939
Parameter s = 0.0013 Tunnel Type II 0 0.250 0.500 0.200
Paremeter a = 0.511 90 0.337 0.979 1.083

MohrCoulomb t Tunnel Type III 0 0.320 0.875 0.500

Cohesion = 1.964 MPa 90 0.405 1.276 1.096
Friction angle = 25.75
Rock mass parameters
Tensile strength = 0.068 MPa the type of tunnel, the second the angle h of the position of
Uniaxial compressive strength = 1.654 MPa the point on the contour of the cross-section, and the
Global strength = 6.255 MPa remaining columns the parameters, n, m and f of the shape
Modulus of deformation = 3976.35 MPa
function that we used to determine convergence.
 C. Gonzalez-Nicieza et al. / Tunnelling and Underground Space Technology 23 (2008) 2537 35

5.0 5.0
= 0

= 30
4.0 4.0 Tunnel Type II
= 60
Tunnel Type III
= 90

PS (MPa)
3.0 3.0
PS (MPa)

Support

2.0 2.0

Panet
Support
1.0 1.0 Tunnel Type I

0.0 0.0
0 5 10 15 20 25 30 0 10 20 30 40 50 60
u R (mm) u R (mm)

Fig. 18. Characteristic non-rheological analysis curves for tunnel Type I Fig. 20. Characteristic (rheological analysis) curves: comparison between
considering the elastic model. the dierent types of tunnel considering the elastic model.

Fig. 18 presents the characteristic curves of the ground
for the elastic case at four dierent points of Tunnel Type
II, corresponding to h = 0, 30, 60, 90, without taking
into consideration the eect of time. Fig. 19 represents
the same values considering rheological analysis. Although
the support is adequate for the non-rheological case, it can
be seen that when the eect of time is considered, the
5.0
4.0
= 0
= 30
PS (MPa)
support for the point situated in the crown is no longer
eective, as the maximum admissible pressure exceeds
2.0 MPa. This proves the importance of the situation of
the point on the cross-section and the need to carry out a
study of all the points that make up the perimeter of the
tunnel.
Fig. 20 shows the characteristic curves for each type of
tunnel obtained after rheological analysis using the elastic
linear model. The curve marked with the term Panet rep-
resents the classic solution obtained with the parameters
proposed by Panet (1995) considering n = 0.270 and
f = 0.840.
It can be seen how the tunnel type calculated according
to Panet presents stability with support, Types I and III
would be at a critical point of stability, and Type II would
clearly manifest instability. This demonstrates the eect
that the shape of the tunnel has on its stability, and hence

3.0 the need to consider the shape of the tunnel cross-section in

Support
the CCM.
Finally, the same methodology was used to study the
2.0
convergenceconnement curves considering plastic behav-
ior models. To do so, we employed the values of n pro-
= 60 posed by Panet in Panet (1995).
= 90 Fig. 21 shows the results corresponding to a point in the
1.0 crown (h = 90) of Tunnel Type II for a non-rheological
analysis. The characteristic curves of the ground corre-
spond to the following constitutive models: elastic linear,
0.0 MohrCoulomb, MohrCoulomb with dilation, and
0 10 20 30 40 50 60 HoekBrown. The curves show that, under these condi-
u R (mm)
tions, the tunnel support would be adequately designed
Fig. 19. Characteristic rheological analysis curves for tunnel Type I for three of the models and that the excavation would be
considering the elastic model. stable. The MohrCoulomb model is the only one that
36 C. Gonzalez-Nicieza et al. / Tunnelling and Underground Space Technology 23 (2008) 2537

of the tunnel on the determination of radial displace-

5.0
ments. To do so, a series of shape functions were tted
taking as reference the results obtained in several three-
dimensional simulations using FLAC3D. An expression
was thus established that enables the convergence to be
4.0
determined as a function of the shape of the tunnel
Elastic cross-section and its depth and of the point considered
within the perimeter of the cross-section. As this expres-
PS (MPa)

3.0 sion is valid within a wide range of depths, we thus have

Support at our disposal a single function that allows us to directly
determine the radial displacement at any position on the
2.0
tunnel perimeter.
The aforementioned shape functions were implemented,
Mohr-Coulomb
and the results obtained when analyzing a specic case
Mohr-Coulomb-Dilatancy being presented in this paper. To do so, all the characteris-
1.0
tic curves of the CCM were obtained using dierent consti-
Hoek-Brown tutive models (elastic linear, MohrCoulomb with and
without dilation, HoekBrown), considering a function of
0.0 the working face advance as well as the inuence of time
0 10 20 30 40 50 60 70 80 90 100 (rheological analysis) and assuming the installation of a
u R (mm) compound support system deferred over time.
Fig. 21. CCM curves for dierent constitutive plastic models (non- The convergenceconnement curves obtained showed
rheological analysis). the importance of considering convergence at dierent
points on the cross-section perimeter. In this respect, it
was shown that the radial displacements in the crown or
in the side walls are signicantly dierent for non-circular
5.0 excavations, which decisively conditions the taking of deci-
sions on tunnel stability.

4.0 Elastic Acknowledgements

The authors gratefully acknowledge the assistance of

Paul Barnes in the preparation of this paper in English.
3.0
Support
PS (MPa)

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