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Underground Space 5 (2020) 105–114
http://www.keaipublishing.com/en/journals/underground-space/

Analysis of a tunnel failure caused by leakage of the shield tail

seal system
Chao Yu a, Annan Zhou b,⇑, Jun Chen a, Arul Arulrajah c, Suksun Horpibulsuk d
a
State Key Laboratory of Ocean Engineering, Department of Civil Engineering, School of Naval Architecture, Ocean and Civil Engineering,
Shanghai Jiao Tong University, Shanghai 200240, China
b
Discipline of Civil and Infrastructure Engineering, School of Engineering, Royal Melbourne Institute of Technology (RMIT), Victoria 3001, Australia
c
Department of Civil and Construction Engineering, Swinburne University of Technology, Victoria 3122, Australia
d
School of Civil Engineering, and Center of Excellence in Innovation for Sustainable Infrastructure Development, Suranaree University of
Technology, Nakhon Ratchasima 30000, Thailand

Received 10 September 2018; received in revised form 16 November 2018; accepted 19 November 2018
Available online 3 January 2019

Abstract

This paper presents an analysis of a tunnel failure accident during shield tunnel construction on Foshan Metro Line 2 in China. The
failure is caused by the leakage of the multilayer seal system, which consists of several brush seals at the tail of the shield. Four different
failure modes for the multilayer seal system are discussed. A simple structural analysis of the brush seals is then conducted, and failure
mode 4 (failure due to brush seal deformation) is identified as a major reason for the Foshan tunnel accident. A finite element method
(FEM) analysis is employed to validate the conclusions drawn from the simple structural analysis of the brush seals.
Ó 2020 Tongji University and Tongji University Press. Production and hosting by Elsevier B.V. on behalf of KeAi Communications Co. This is an
open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/).

Keywords: Leakage; Shield tunneling; Brush seals; Finite element

1 Introduction
Shield tunneling is widely used for tunnel construction
in urban areas because of fewer disturbances to the sur-
roundings compared with traditional mining tunneling
(Liao, Liu, Wang, & Li, 2009; Shen et al., 2009, 2010;
Wu, Shen, & Liao, 2015; Ren, Shen, & Arulrajah et al.,
2018; Chai, Shen, & Yuan, 2018; Lyu, Wu, Shen, &
Zhou (2018)). Shield tunneling can also be employed in
various geological conditions, such as soft deposits, weak
rocks and mixed grounds (Zhang, Shen, Zhou, &
Arulrajah, 2018; Ren, Shen, & Chai et al., 2018; Ren,
Shen, Arulrajah, & Cheng (2018)). During shield tunneling,
the cutter face and the tail are usually identified as weak
⇑ Corresponding author.
E-mail address: annan.zhou@rmit.edu.au (A. Zhou).
places (Shen, Cui, Ho, & Xu, 2016; Zhao, Peng, Wang,
Zhang, & Jiang, 2016). When shield tunneling is employed
in complex geological strata with rich ground water (Wu
et al., 2016, 2019; Shen, Wu, & Misra, 2017; Wu, Shen,
& Yang, 2017; Wu, Shen, Cheng, & Hino, 2017; Wu,
Shen, Yang, & Zhou, 2018; Lyu, Xu, Cheng, &
Arulrajah (2018)), such as mixed strata with soft sticky soil
(Jin, Yin, Wu, & Daouadji, 2018; Jin, Yin, Wu, & Zhou,
2018; Yin, Jin, Shen, & Hicher, 2018; Yin, Wu, &
Hicher, 2018) and hard rock (Ren, Shen, & Chai et al.,
2018; Yin, Hicher, & Dano, 2017), groundwater may rush
into the shield from either the cutter face or the tail (Liu,
Shen, Xu, & Yin, 2018; Lyu, Wang, Shen, Lu, & Wang,
2016, Lyu, Wang, Cheng, & Shen, 2017; Xu, Shen, Lai,
& Zhou (2018) and Xu, Shen, Ren, & Wu (2016)). Water
leakage in the shield may cause failure of the tunnel and
affect the surrounding environment (Wongsaroj, Soga, &

https://doi.org/10.1016/j.undsp.2018.11.003
2467-9674/Ó 2020 Tongji University and Tongji University Press. Production and hosting by Elsevier B.V. on behalf of KeAi Communications Co.
This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/).
106 C. Yu et al. / Underground Space 5 (2020) 105–114
Mair, 2007, 2013; Xu, Shen, Ma, Sun, & Yin, 2014; Soga,
Laver, & Li, 2017; Lyu, Sun, Shen, & Arulrajah, 2018, Lyu,
Shen, & Arulrajah, 2018; Tan & Lu, 2018; Ren, Xu, Shen,
& Zhou (2018)). This paper reports a tunnel failure that
occurred at the shield tail, which was caused by groundwa-
ter leakage in Foshan Metro Line 2, China (Investigation
Committee, 2018).
Foshan Metro Line 2 (Project I) is an east-west metro
line that includes 12 underground stations and 5 elevated
stations. The project commenced in August 2014, and the
total planned investment is 18.94 billion Chinese Yuan (ap-
proximately $2.99 billion US dollars). The length of
Foshan Metro Line 2 is 32.4 km, and it starts in Nan
Zhuang and ends at the Guangzhou South Railway Station
in Foshan City (see Fig. 1), Guangdong Province, China.
The project has five shield tunnel intervals, and some of
the intervals were constructed in strata that feature rich
underground water and complex geological conditions.
The tunnel interval between Huchong Station and
Lvdaohu Station (i.e., the H-L interval tunnel) in the pro-
ject has a length of 1 804 m and a depth of 17.2–34.4 m
(Investigation Committee, 2018).
On the evening of February 7, 2018, a ground collapse
incident (urban sink hole) occurred during the construction
of the H-L interval tunnel. The size of the sink hole was
approximately 900 m2, and the depth was approximately
6 m (see Fig. 2); the accident caused 11 deaths and 8 injuries
and resulted in 1 missing person. The accident was attribu-
ted to a leakage at the tail of the shield machine, which
was not sealed well by the brush seals.
Brush seals are usually employed to resist the external
pressure, which consists of the groundwater pressure, the
synchronous grouting pressure, and the pressure caused
by the settlement of the foundation. The performance of
the brush seals under the external pressure conditions is
analyzed in this paper, and four different failure modes of
brush seals are summarized based on the analysis. Two
safety evaluation indexes are proposed to interpret the
mechanism of multilayer brush seals.
Fig. 1. (a) Location of Foshan City in China, and (b) Location of Foshan Metro Line 2.
2 Analysis of the seal brush performance in different
conditions
2.1 The multilayer seal system
Figure 3 shows a picture of the tail of the shield
machine. As shown in Fig. 3, three circles of brush seals
are installed and welded between the shield machine and
segments around the inner wall of the shield machine
(Shi, Zhao, Yang, Ju, & Yu, 2015; Liu et al., 2018; Lyu,
Shen, Zhou, & Yang, 2019). Figure 4 shows a schematic
diagram of a shield tail and a picture of a brush seal.
The gaps between different brush seals are filled with grease
(Figure 4). Through the grease, three circles of brush seals
form a multilayer seal system that resists the external
groundwater pressure, the synchronous grouting pressure,
and the pressure caused by the settlement of the founda-
tion. The grease should completely fill the gaps to ensure
effective pressure transmission between the brush seal rings.
The parameters of the main components of the brush
seals are shown in Table 1. The conditions of the surround-
ing soils of the accident area are shown in Fig. 5. The thick-
nesses and parameters of the surrounding soil layers are
listed in Table 2.
2.2 Failure modes of the multilayer seal system
Leakage accidents occur at the shield machine tail if the
multilayer seal system fails. If the surroundings are mainly
composed of soil with a strong fluidity, such as fine sands,
leakage accidents will also cause a more severe progressive
failure. Such a progressive failure may eventually lead to
the crash of the shield and even a ground collapse (similar
to the accident in Foshan Metro Line 2). According to the
structural features and mechanical analysis of the multi-
layer seal system in some engineering accident instances
(Zheng et al., 2017; Han, Ye, Chen, Xia, & Wang, 2017),
the four different failure modes of the system under differ-
ent loading types are summarized in Table 3.
 C. Yu et al. / Underground Space 5 (2020) 105–114 107

Fig. 2. Top view of the sink hole.

Fig. 3. The picture of the tail of the shield machine and brush seals.

Fig. 4. The structural diagram of a shield tail and a picture of a brush seal.

3 Structural analysis of the brush seals
As shown in Fig. 6, since the circle of brush seals
is round and symmetrical, any one of the brush seals
can be simplified as an indeterminate beam subjected
to uniform distributed loads that reflect its geometri-
cal shape and force conditions. The critical external
pressure load and critical displacement can be esti-
mated from the simplified brush seal model as
follows.
108 C. Yu et al. / Underground Space 5 (2020) 105–114

Table 1
Parameters of the main components of the brush seals.
Main Components Size Weight (kg)
Front stainless-steel wire brushes £0.35 mm, 170 mm
200 mm 0.40
£0.35 mm, 200 mm
200 mm 0.48
Rear stainless-steel wire brushes £0.35 mm, 220 mm
200 mm 0.62
£0.35 mm, 250 mm
200 mm 0.70
Front protection plate 160 mm
200 mm
0.6 mm 0.18
Rear protection plate 240 mm
200 mm
1 mm 0.54
Shell plating 125 mm
200 mm
5 mm 1.36
90 mm
200 mm
5 mm

Fig. 5. The distribution of surrounding soil layers in the accident area of Foshan Metro Line 2.

Table 2
Thicknesses and parameters of the surrounding soil layers.
Soil Layer H (m) q (kN/m3) C (kPa) ui (°) E0 (MPa) m
1. Backfill 3.2 17.05 18 10 3.52
2. Silty soil 18 16.17 9.11 17.61 2.45 0.37
3. Soft plastic silty clay 3.4 18.82 23 16 5.59 0.31
4. Fine sand 7.4 18.23 25 7.5 0.3
5. Round gravel 2.8 20.09 35 18 0.22
6. Highly weathered argillaceous sandstone 9 22.54 80 28 80 0.21
Note: H is the thickness of each soil layer, q is the density, C is the effective cohesion, ui is the effective frictional angle, E0 is the modulus of deformation,
and m is the Poisson’s ratio.

3.1 Simplified calculation model of the brush seals pressure from the grease on the right side. The simplified
brush seal is roller-supported at point A and fixed at point
As shown in Fig. 6, the simplified brush seal is subjected B with a tilt angle. The maximum bending moment (M A )
to an external pressure from the left side and the hydraulic can be achieved at point A, and its magnitude is
 C. Yu et al. / Underground Space 5 (2020) 105–114 109

Table 3
Characteristics of the different failure modes for the multilayer seal systems.
Failure modes
Mode 1: puncture failure
Mode 2: interlayer failure
Mode 3: failure due to ground deformation
Mode 4: failure due to brush seal deformation
Characteristics Consequence
 High external pressure punctures some of the May lead to a progressive failure at the tail of the
brush seals shield machine
 The integrity of the whole seal system is
broken
 Low grease pressure weakens the sealing Only the outside circle of brush seals is still
between brush seals capable of sealing.
 The multilayer seal system is at risk
 The ground heave caused by over grouting Local leakage happens at the gap
produces a gap between segments at the tail
of the shield machine
 Damage of the brush seals results in the failure May produce a progressive failure at the tail of the
of the multilayer seal system. shield machine
 Damage of the brush seals may be attributed
to the (i) incorrect positioning of the shield
machine, (ii) dislocation of the shield seg-
ments, and (iii) abrasion of the steel wire
brushes

Fig. 6. The geometry diagram of a brush seal and its force conditions.

pl2 From Eqs. (1)–(3), the resultant pressure p can be

MA ¼ cos a; ð1Þ expressed as
8
4rbh2
where p is the resultant pressure of the external pressure p¼ : ð4Þ
and hydraulic pressure of the grease (MPa), l is the length 3l2 cos a
of the simplified brush seal (m), and a is the inclined angle The multilayer seal system at the tail of the shield
between the simplified brush seal and the perpendicular line machine consists of three circles of brush seals with grease
(°). in the gaps. For simplicity, the pressure carried by each cir-
The section modulus (W z ) in bending at point A is cle is assumed to be identical, and the resultant pressure is
assumed to be the sum of the pressures on each single-layer
1
W Z ¼ bh2 ; ð2Þ brush seal. Therefore, the designed external pressure pd is
6 equal to three times the resultant pressure p calculated
where b is the width of the brush seal (m) and h is its thick- from each brush seal, namely
ness (m). pd ¼ 3p: ð5Þ
Since the bending moment at point A is the maximum
To quantify the designed external pressure, it is neces-
and the section modulus in bending at point A is the min-
sary to take the geometrical and mechanical parameters
imum, the bending normal stress of the simplified brush
of the simplified brush seal into account, which are listed
seal at point A reaches its maximum, which is
in Table 4.
MA According to Eqs. (4) and (5) and Table 3, the designed
r¼ : ð3Þ
Wz external pressure is calculated as pd = 1.190 MPa.
110 C. Yu et al. / Underground Space 5 (2020) 105–114

3.2 Safety evaluation indexes
According to the failure modes listed in Table 3, fail-
ure modes 1 and 4 of the multilayer seal system are more
harmful to the safety of the tunnel because they have
more severe consequences. Therefore, the first and
second evaluation indexes are proposed to evaluate the
safety of the system against failure modes 1 and 4,
respectively.
The first evaluation index for the safety of the multilayer
seal system is the pressure ratio (np ), which is defined as
follows.

Table 4
Parameters of the simplified brush seal.
Parameters Size E (MPa) rs (MPa) a (°)
Magnitude 250 mm
200 mm
18 mm 342.7 235 35
Note: E is the strength of extension, rs is the yield strength, and a is the included angle.

Fig. 7. Mesh of the numerical model in Plaxis.

Fig. 8. Overall deformation of tunnels with complete and damaged seal systems: (a) tunnel deformation with a complete seal system, and (b) tunnel
deformation with a damaged seal system.
 C. Yu et al. / Underground Space 5 (2020) 105–114 111

Fig. 9. Distribution of the axial forces (N), shearing forces (Q), and bending moments (M) for (a) Scenario I: a complete multilayer seal system, and (b)
Scenario II: a damaged multilayer seal system.

pr where pr is the external pressure outside the brush seals

np ¼ ð6Þ
pd (MPa) and pd is the designed external pressure (MPa).
The external pressure pr is usually equal to the sum of
112 C. Yu et al. / Underground Space 5 (2020) 105–114
Table 5
Additional parameters used for the numerical model.
0
D (m) hs (m) H (m) E (GPa) m pw (MPa)
6.7 0.2 25 210 0.3 0.22
Note: D is the tunnel diameter, hs is the brush seal thickness, H is the
buried depth of the tunnel, E is the elastic modulus of the brush seals, m is
the Poisson’s ratio of the brush seals, pw is the groundwater pressure, and
ps is the synchronous grouting pressure.
the groundwater pressure, the synchronous grouting pres-
sure and the other external pressures. The seal is safe
against failure mode 1 if the value of the pressure ratio
(np ) is less than one.
The second evaluation index for the safety of the multi-
layer seal system is the ovality (Dh ), which is defined as
follows:
 
Dmax  Dmin
Dh ¼ 2 ; ð7Þ
Dmax þ Dmin
where Dmax and Dmin are the maximum and the minimum
outer diameters of the circle of the brush seals (m), respec-
tively. The seal is regarded to be safe against failure mode 4
if the value of the ovality (Dh ) is less than 0.5%.
In the accident area of Foshan Metro Line 2, the exter-
nal groundwater pressure is approximately 0.3 MPa, and
the average value of the synchronous grouting pressure is
0.4 MPa. The real external pressure is approximately
0.7 MPa, and the pressure ratio, np ¼ ppr ¼ 0:58 < 1. There-
d
fore, failure model 1 is not expected to happen at the tail of
the shield for this case. For Foshan Metro Line 2, the outer
diameter of the brush seals is 6.7 m. Assuming the sum of
the maximum and the minimum outer diameters,
Dmax þ Dmin , is equal to 2 times the normal outer diameter,
the sum should be 13.4 m. The measured diameter differ-
ence ðDmax  Dmin Þ around the accident area is approxi-
mately 39 mm. Therefore, Dh is approximately 0.58%,
which is slightly larger than 0.5%. Therefore, failure mode
4 is suspected to be the possible failure mode of the acci-
dent of Foshan Metro Line 2 in this case.
4 Numerical evaluation
4.1 Numerical model
The numerical model (see Figs. 7 and 8) of the tail of the
shield is built in Plaxis to analyze the influence of the con-
dition of the seal system on the stress and moment distribu-
tion in the tunnel with the same external pressure state. The
following two scenarios are considered here. In the first sce-
nario (Scenario I), the multilayer seal system at the tail of
the shield machine is assumed to be complete. In the sec-
ond scenario (Scenario II), the system is assumed to be
damaged (with a leakage point at 210° on the circle, see
Fig. 9) under the same external pressure. The brush seal
element at the leakage point features a high permeability
and a low shear strength. The surrounding soil condition
(see Table 2) in the accident area of Foshan Metro Line
ps (MPa) 2 is used in these two scenarios. Table 4 shows the addi-
0.4 tional parameters and their values, which are used in the
numerical model.
0
4.2 Failure mode
According to the parameters from the numerical sim-
ulation in Table 5, the pressure ratio (np ) of both scenar-
ios is equal to 0.52, which is safe because the value of np
is less than one. The finite element method (FEM) results
indicate that failure mode 1 is not expected to occur for
Foshan Metro Line 2. This conclusion is identical to that
based on the simple structural analysis presented in
Section 3.2.
The overall deformations for the two scenarios are
presented in Fig. 8. As shown in Fig. 8, the ovality
(Dh ) for Scenario I is 0.36%, which meets the security
requirement (0.5%); however, the ovality (Dh ) of Scenario
II is larger than 5%, which far exceeds 0.5%. These
results clearly indicate that Scenario I is safe in terms
of the second evaluation index but Scenario II is not.
Therefore, the FEM results indicate that failure mode 4
is the probable failure mode for the accident that hap-
pened in Foshan Metro Line 2. This conclusion is iden-
tical to that based on the simple structural analysis
presented in Section 3.2.
4.3 Force and moment distributions
Dysfunction and/or breakage of one or more brush seals
in a circular seal system lead to a leakage point. The leak-
age causes a stress redistribution around the shield machine
tail. The analysis shows that the axial forces, shearing
forces and bending moments all feature a concentration
phenomenon due to the leakage (see Fig. 9). At one partic-
ular point, the bending moment in Scenario II is 3 times
higher than that in Scenario I. Such a high stress concen-
tration may lead to further damage/breakage of the seg-
ments and other structures in the tunnel shield. If the
surrounding soil contains a large amount of small grains
or shows high fluidity, a progressive failure could happen
that causes the subsequent failure of the whole tunnel,
which causes a ground collapse incident.
5 Conclusions
The tail failure during shield tunneling in Foshan Metro
Line 2, China, is investigated in this paper. Through a sim-
ple structural analysis of the brush seals, the failure mode
for the Foshan tunnel accident has been identified as a fail-
ure due to the deformation of the brush seals. The FEM
analysis then validated the conclusion drawn from the sim-
ple structural analysis of the brush seals. The analyses also
indicate that the tunnel shield can be damaged due to the
 C. Yu et al. / Underground Space 5 (2020) 105–114 113

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The research work described herein was funded by the rolling-correction of double-o-tunnel shields via one-side loading.
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National Basic Research Program of China (973 Program: Shen, S. L., Horpibulsuk, S., Liao, S. M., & Peng, F. L. (2009). Analysis of
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