Peer Review

Influences of Geological Characteristics on the

Construction of Tunnels
Peerun, M. I.1, Ong, D.E.L.2, Desha, C.3, Oh. E.4 and Choo, C.S.5
Griffith University Nathan Campus,170 Swinburne University of Technology Sarawak
Kessels Road, 4111, Queensland, Campus, Jalan Simpang Tiga, 93350, Kuching,
Australia1,2,3,4, Sarawak, Malaysia5
irfaan.peerun@griffithuni.edu.au1, d.ong@griffith.edu.au2, c.desha@griffith.edu.au3,
y.oh@griffith.edu.au4, cschoo@swinburne.edu.my5

ABSTRACT
As construction demand increases, greater challenges are found during urban development. Trenchless
technology is the most preferred sustainable solution within urban areas as opposed to open trenching
or deep excavation. When adopting trenchless technology, disturbances such as traffic congestion,
land requisition and construction resources are minimised. However, various influencing parameters
are yet to be studied in detail. The traversed geology, is usually generalised and a relatively high factor
of safety is imposed as current practice. This paper discusses how pipe-jacking technology promotes
sustainable development within urban cities by focusing on the geological aspect. Interfacial friction
between the pipe and the surrounding geology is studied at the particulate level to obtain a more
sustainable and economical construction design of pipe-jacking. A review on various interfacial
shearing test against geologies such as shale and sandstone are discussed herein. Discrete element
modelling (DEM) has been incorporated to study micro-mechanical behaviour of particles during
rock-structure interaction. However, the limited availability of experimental data for the calibration
and validation of such models has led to the demand for an actual physical test with similar variables.
Synthetic particles obtained by means of 3D printing have shown potential in recreating the
complexity of structure at similar resolution with derived models. Strength parameters such as friction
angle and apparent cohesion obtained from the laboratory tests and numerical models were used to
assess jacking forces for shale and sandstone. Specimens with high apparent cohesion were observed
to produce relatively lower jacking forces. The jacking force required for tunnelling through sandstone
was found to be relatively lower and hence a longer drive length could be achieved. This will reduce
the number of shafts required for launching and receiving the Tunnel Boring Machine (TBM). A
significant impact could also be seen on the reduction of construction materials, labour and financial
expenditure.

KEYWORDS
Tunnelling, discrete element modelling, synthetic particles, micro-CT scan, 3-D printing.

INTRODUCTION
Scarcity of land due to urbanisation has increased the popularity of trenchless technology as opposed
to conventional open trenching. This is due to the various sustainable, environmental and economical
advantages such as minimal ground surface settlement, construction space and road traffic disruption
when compared to other methods (Pipe Jacking Association 1995).
Pipe-jacking, also known as microtunnelling for smaller tunnel diameters, is a minimally invasive
method of trenchless technology commonly used for the installation of buried pipelines for various
applications such as oil and gas pipelines, sewer lines and services cable installation. As opposed to
the conventional trenching where significant excavation is required, followed by pipe laying and
backfill, pipe-jacking uses a tunnel boring machine (TBM) and hydraulic jacks to install underground
pipelines. This method uses smaller construction area and resources, hence is known to be more
sustainable and economical compared to conventional open trenching. Figure 1 shows the schematic
diagram of a typical jacking site where a launching shaft is used to establish the key parts of the

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project such as hydraulic jacks, lowering of TBM and reinforced concrete pipe segments at the depth
of the desired tunnel (Stein, 2005). While the TBM bores through the ground, the hydraulic jacks
propel the concrete pipe segments to form a continuous pipeline until the TBM is extracted at the
receiving shaft. The jacking distance known as the drive length is usually generalised due to
conservative estimates of jacking forces are made (Osumi 2000).
Although being the most favourable option, pipe-jacking is a complex process which is highly
influenced by the traversed geology. Jacking force is the main design criteria which defines the
allowable drive length, varies through geologies. Several researchers have documented the assessment
of jacking forces with respect to various geology (Choo and Ong 2015, Khondoker et al 2016, Ong
and Choo 2016, Pellet-Beaucour and Kastner 2002, Staheli 2006, Terzaghi 1943)

Figure 1. Schematic of typical pipe-jacking site (Stein 2005)

INFLUENCE OF SHEAR STRENGTH ON TUNNEL JACKING FORCE

During the installation of pipes by pipe-jacking method, substantial amount of stresses and
deformation can be noted within the pipes and pipe joints. Hence, the jacking force is defined as the
main design criteria during microtunnelling works which will be used to determine the thrust ram
capacity and if there will be a need for intermediate jacking stations. Influencing factors such as pipe
material, pipe diameter, soil type, soil moisture content and grading, cover depth and contruction
process will have a significant impact on the frictional jacking force (Peerun et al 2017). The study of
frictional jacking force has been of great interest and there are currently various frictional jacking
force models developed for specific site conditions (Chapman and Ichioka 1999, Osumi 2000, Barla et
al 2006, Staheli 2006). Pellet-Beaucour and Kastner (2002) developed a jacking force model as
described in Eq. 1.

(1)
Where  is the coefficient of soil-pipe friction,
L is the boring length,

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De is the outer pipe diameter,

 is the soil unit weight
K2 is the thrust coefficient of soil acting on the pipe (suggested value of 0.3)

and EV is the vertical soil stress acting onto the pipe crown which is denoted as:

(2)
where b is the influencing width of soil above the pipe (ideal silo width),
 is the soil unit weight,
C is the soil cohesion,
 is the soil internal friction angle,
K is the lateral earth pressure coefficient given as 1.0
h is the soil cover from the ground level to the pipe crown

The ideal silo width, b is defined as:

(3)
The jacking force model developed by Pellet-Beaucour and Kastner (2002) takes into consideration
the phenomenon of soil arching which contributes to a more qualitative analysis of the jacking forces.
Soil arching is defined as the stress redistribution around the tunnel, allowing the bored tunnel to self-
stand without collapsing onto the pipe. Significant degree of soil arching is indicated by low values of
vertical soil stresses, EV acting onto the pipe crown. From the Eq. 2, EV is dependent on the shear
strength of the soil namely the soil cohesion, c and internal friction angle, . These properties can be
obtained by conducting direct shear and pressuremeter testing (Choo and Ong 2015, Choo and Ong
2017, Ong and Choo 2016, Peerun 2016, Peerun et al 2017, Phangkawira 2019). Figure 2 shows a self-
supporting bored tunnel through rock exhibiting arching phenomenon (Peerun 2016).

Figure 2. Self-supporting tunnel due to arching phenomenon (Peerun 2016)

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Several authors have adopted the jacking force model proposed by Pellet-Beaucour and Kastner for
the assessment of jacking forces through highly weathered lithologies (Choo and Ong 2015, Choo and
Ong 2017, Ong and Choo 2016, Peerun 2016, Peerun et al 2017, Phangkawira 2019). Soft rock
favouring arching would greatly reduce the normal stress acting onto the pipe crown. For the highly
weathered lithologies which do not favour arching, the surrounding ‘soft rock’ would contract inwards
and exert pressure around the pipe, also known as rock squeezing. The use of pressurised lubricants
are commonly used to achieve pipe buoyancy however this may not always be successful due to
lubrication loss to the surrounding geology.
Ong and Choo (2016) used the Pellet-Beaucour and Kastner (2002) jacking force model to assess the
jacking forces for tunnel drives in highly weathered lithologies of sandstone, phyllite and shale. The
vertical stress acting onto the pipe crown for sandstone and phyllite demonstrated high possiblity of
arching. The arching effect exhibited substantial reduction in jacking force in contrast with the non-
arching favourable drive of shale. An average jacking force of 14.4 kN/m and 4.8 kN/m were recorded
respectively for sandstone and phyllite while a relatively larger average jacking force of 81.1 kN/m
was measured for the shale drive. This clearly demonstrate that relatively lower jacking force can be
calculated and designed for specific geologies when incoporating the arching effect. A lower jacking
force would allow for longer achievable drive length and resulting in reduction of number of shafts
required and various construction resources needed for a more sustainable and economical project.

GEOLOGICAL CONDITIONS CONTRIBUTING TO SUSTAINABLE DESIGN

Jacking force is strongly dependent on the properties of the traversed lithology. To design for a
sustainable and economical pipe-jacking drive, the properties of the surrounding geology should be
taken into consideration such as internal friction angle and cohesion, moisture content and the angle of
interfacial friction, . Djipov (2012) found that the shear strength of angular particles is affected due
to particle breakages. Particle breakages are more prone to occur within angular particles when
compared to rounded ones due to having relatively larger void ratio and stress concentration at the
particle edges. Particle breakage is also dependent on the mineralogical content where specimens with
strong minerals, such as quartz, would be less likely to break as opposed to weaker minerals, such as
mica. Angular particles with weaker mineral matrices were found to produce relatively lower apparent
cohesion as opposed to rounded particles with strong mineralogical contents when sheared (Peerun et
al 2016). Choo (2015) stated that higher apparent cohesion would produce lower vertical stresses
acting onto the pipe crown and hence result into lower jacking forces. Skin friction is defined as the
force measured along the surface between structures and soil. Norris and Milligan (1992) studied the
influence of coefficient of skin friction,  during pipe-soil interaction for glacial clay and dense silty
sand. It was found that with an increase in moisture content, a reduction of the angle of friction was
observed. Similar finding was observed by Potyondy (1961) during the study of skin friction for
cohesive granular soils at various moisture content against smooth concrete. Hence, angular particles
with weak mineralogical contents along with high moisture content would produce significant
reduction in jacking forces.

MACRO-MECHANICAL BEHAVIOUR OF PARTICLES DURING TUNNELLING

From the previous section, the macro-mechanical behaviours of granular particles have strong
influence on its shear strength and interfacial friction coefficient during pipe-soil interaction which
will affect the jacking force. Various studies have been conducted on particle behaviour during
shearing through numerical modelling and laboratory tests. However, better understanding is required
between the relationship of particle morphology, mechanical, hydrological and rheological
performance (Hanaor et al 2016). This may produce improvement in accuracy of geotechnical and
environmental applications and usage of natural resources (Scheel et al 2008, Salot et al 2009).
Discrete element modelling (DEM) has shown substantial advancement in the study of particle
behaviour in terms of particle morphology for granular materials (Mahmood and Iwashita 2009, Wang
and Gutierrez 2010, Zhou et al. 2013, Fu et al. 2017, Wei et al. 2018).
Kang et al (2012) used discrete element modelling to simulate direct shear tests for loose and dense
granular soils. Best-fitting ellipsoids were adopted to study change in pore fabric based on geometrical

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configurations, pore size distribution and local porosity. Figure 3 shows the particle assembly and
material properties used for the simulations.

Figure 3. Particle assembly and material properties used for numerical direct shear simulation
(Kang et al 2012)
However, most DEM models use limited experimental data during calibration and validation exercises
at the granular scale (Ng 2006, Liu et al 2016). Therefore, the input parameters such as material
properties used during the calibration and validation models are generally adapted such that they
match with the stress-strain and state path obtained from macroscopic experiments. Wang et al (2016)
stated that there is no adequate methodology available for the selection of material properties. More
details are required when calibrating a macroscopic model as opposed to micromechanical models.
Several parameters such as particle morphology (particle size, shape, packing and arrangement) and
micro-mechanical behaviours (surface roughness and fracture energy) can be expressed by strain
histories (Gupta et al 2018). Various combinations of microstructures and constitutive laws are
commonly used to match the constitutive responses using highly flexible curve fitting exercises during
the calibration process which make use of only some parameters, due to unavalability of data. Such
arbitraries are described by Friedman (1997) as the curse of dimensionality, where calibrated DEM
models are not able to provide true prediction (Wang et al 2016, Gupta et al 2018). The limitations of
DEM hence create the necessity of validating such models through experimental tests. By bridging the
gap between DEM models and experimental tests, it is hoped that the shear strength obtained during
the study of macro-mechanical behaviours of granular particles would contribute to a more precise
jacking force prediction.

SYNTHETIC PARTICLES IN GEOTECHNICAL TESTING

It is a continuous challenge to calibrate and validate DEM models due to incomplete data and the
complexities of soils, making it difficult to conduct an independent study on each influencing factors.
With the recent advancement of 3D printing and micro computed tomography (micro-CT), there has
been promising avenues to better understand the macro-mechanical behaviours of granular materials
using synthetic printed particles. Geometry extraction of granular particles is obtained through 3
dimensional scanning and replicated using 3D printed synthetic materials. This will allow independent
study of the influencing parameters such as particle geometry, angularity and stiffness through series
of parametric studies. Although being fairly old, 3D printing technology has gained recent interest in
the area of geotechnical testing. Few researchers have attempted the study of granular particle
behaviours using synthetic particles with results showing great potentials.
Miskin and Jaeger (2013) used an algorithm to print two hundred granular particles ranging from 3 to
5 mm. An object 3D printer was used to print the spherical particles using ultraviolet-cured plastic
materials at a resolution of less than 40 µm. Triaxial tests were conducted on the printed particles and
DEM simulation results were used for comparison. Statistical variation from the random materials
produced measurement errors. Hanaor et al (2013) used three different shape descriptors namely
fractal surface overlay, directed polyhedral aggregation and contour rotation interpolation to produce
complex particle geometries for 3D printing. The contour rotation interpolation method was found to
be most suitable and synthetic particles were printed in bulk which were subjected to triaxial testing.
The 3D geometries were used to simulate triaxial tests using DEM as comparison with the

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experimental tests. The printed particles demonstrated shear behaviour and the influence of particle
shape on the bulk material response. The use of synthetic particles were able to segregate particle
morphology and material properties during the macro-mechanical study of particle behaviours.
Current restrictions when using 3D printing for geotechnical testing are the printing resolution and
commercially available printing materials. Figure 4 shows the bulk printed granular materials
consisting of rough angular shapes. Gupta et al (2018) used micro-CT images to extract particle
geometries and replicated sand particles using 3D printing. The particle morphologies obtained from
micro-CT images were used for DEM simulations and compared with the usage of shape descriptors
in numerical modelling. The 3D printed particles were used for conducting odometric tests whose
results were used to calibrate and validate the DEM models. Greater opportunities for testing and
validation on the suitability of these models could be achieved by modifying the properties of the
printed particles. Synthetic particles by means of 3D printing has shown potential advancement in the
study of particle behaviours with the ability to independently study the particle morphology, angularity
and stiffness. To achieve this, a macroscopic level of 3D printing process is required.

Figure 4. Bulk printed granular particles with rough angular shapes (Hanaor et al 2016)
3-D printing of synthetic particles
Prior to printing of granular particles, 3D geometry extraction of the real particles is required. To
obtain realistic particles replica, 3D scanning is preferred instead of adopting shape descriptors. The
most commonly available facilities used to scan objects at macroscopic level are 3D optical scanner
and micro-CT scan. Optical scanner is less costly, safer in terms of radiation and portable when
compared to micro-CT. It requires less data processing as the geometry obtained is of the particle
surfaces only and does not penetrate through the object, which is the case for micro-CT. However, this
method may be suitable for certain conditions only. Liu et al (2018) studied the differences between
optical scanner and micro-CT for the computation of surface area and volume of flat, elongated, round
and angular particles ranging from 16 to 19 mm. It was found that the difference between both
scanning methods was within 3% for round and angular particles while a large difference of up to 20%
was recorded for flat and elongated particles. Hence, it is important to choose the method of geometry
extraction based on the particle size, angularity and scan resolution. Kulczyk et al (2019) used optical
scanner and micro-CT to study the comparison between both in terms of 3D data acquisition for tooth
replication. Figure 5 shows the difference in surface texture between optical scanner and micro-CT.
From the two models, micro-CT produced more details of the surface texture.

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Figure 5. Difference in surface texture for tooth replica model using optical scanner (left) and
micro-CT (right) (Kulczyk et al 2019)
Once the 3D geometry model is obtained, the process of replicating granular particles is shown in
Figure 6. The 3D model is converted into a standard tessellation language (STL) file format then
sliced into layers using a slicing software. Consequently, the layer slices are fed to the 3D printer for
printing the object using an automatic process (Shiwpursad and Jianbin 2018).

Figure 6. Process of 3D printing (Shiwpursad and Jianbin 2018)

Out of the many 3D printing technologies, the most ideal printing method for synthetic granular
particles would be selective laser sintering (SLS). Resin powders are used as printing material which
will produce a printing resolution of up to micrometres. The 3D object model is loaded to the printer
using CAD or STL file format. The production stages consist of deposition of resin powder,
solidification of powder using a laser source along the contours of the 3D object, lowering the build
platform according to the individual layer thickness and repetition of these processes until the final
product is sintered (Tolochko et al 2000, Kumar 2003, Ligon et al 2017).
There are currently few varieties of resin powders, mostly known as polyamide powders, which are
commercially available while a larger range of powders are produced for research and patents.
Manufacturing, characterising and processing of these powders requires complex procedures and
hence gained lesser success in commercialisation. EOS, 3D systems, Advanced Laser Materials
(ALM), CRP Technology and Stratasys are the major suppliers of polyamide powders (Ligon et al
2017). Majority of polyamide market consist of PA-12 which is made of PA-12 basic powder
Vestosint. Other products such as PA-6 and PA-11 contain semicrystalline polyamides. Other powders
with different mechanical properties such as HDPE, PP polymers and mixtures of PA-12 grades with

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carbon, aluminium-based fillers, glass are also available. Hence the desired particle stiffness can be
achieved based on the selection of the polyamide powder. This will also be favourable for the
independent study of particle stiffness where the particle morphology can be maintained while varying
the stiffness. Such exercise would be challenging if real particles would be used due to various
complexities of soil particles. Figure 7 shows a range of commercially available SLS materials with
their respective mechanical properties (Ligon et al 2017).

Figure 7. Commercially available SLS materials versus their mechanical properties (Ligon et al
2017)
Importance of 3-D Printing in Geotechnical Engineering
Strength parameters such as friction angle, cohesion and shear stress are essential during the design of
geotechnical structures like retaining walls, foundations and slopes stability. DEM models are
commonly used by the industry for analysing such geotechnical applications. But with the use of shape
descriptors instead of using the actual particle morphology and other ‘generalised’ input material
parameters may produce discrepancies on the mechanical behaviour of these materials. Hence, a better
methodology is required for the characterisation of those granular models used to develop micro-
mechanical behaviour during particles interaction (Duckrey et al 2016). Particle geometry has an
influence on the stress-strain and density-strain of granular materials. When compared to round
polydisperse and mono-disperse, elongated particles can carry almost double the stress with an
average elongation of 1.8 (Mattutis et al 2003). Various mixtures of angular particles would decrease
the movement of particles and making it harder to achieve a dense specimen which would then
produce higher internal friction angle and lower lateral stress coefficient (Shin and Santamarina 2013).
Instead of adopting shape descriptors, realistic geometry of granular particles would produce a more
accurate mechanical response during DEM simulations and experimental tests. Increasing number of
angular particles are expected to produce greater friction angle.
For the case of microtunnelling by pipe-jacking, synthetic particles has the potential to contribute to a
better assessment of jacking forces based on pipe-soil interaction. Independent study of influencing
factors such as particle geometry, angularity and stiffness can be achieved. Geometry extraction can be
used for numerical modelling and the exact geometry can also be used for experimental tests using 3D
printed particles. Such actual comparison would allow for true validation and calibration of these
granular models. Interface friction tests using synthetic particles and DEM simulations using realistic
geometries would provide a more accurate assessment for the coefficient of soil-pipe friction and
vertical soil stress acting onto the pipe. This could contribute to a more sustainable and environmental
friendly design which may require less construction resources and avoid overdesign of the project.

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CONCLUSION
This paper has discussed the influence of geology onto the assessment of jacking force during
tunnelling works. To achieve a more accurate and sustainable design, the methodology for assessment
of jacking force has been addressed. Macro-mechanical behaviour of granular soils during pipe-soil
interaction have shown to influence the jacking force, which governs the allowable drive length. The
main influencing factors are particle shape, angularity and stiffness. Current discrete element models
need further improvement by adopting actual data and not utilising generalised parameters. Geometry
extraction using micro-CT scan would provide a more accurate simulation instead of shape
descriptors. With the adoption of 3D printing in geotechnical testing, independent study of the
influencing factors can be achieved. Particle geometry can be maintained while stiffness can be varied
using different polyamide powders for printing. Parametric studies as such would be able to
demonstrate how particle shape, angularity and stiffness influence the jacking force. Greater amount
of angular particles are expected to produce higher friction angle along with a lower cohesion.
Outcomes from experimental tests using synthetic particles can then be used to validate and calibrate
discrete element models. 3D printing has shown significant potentials for the improvement of jacking
force assessment which may lead to a more sustainable, environmental and economical design during
tunnelling works.

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AUTHORS BIOGRAPHY
Irfaan Peerun has graduated from his bachelor’s degree in civil engineering in 2013 and Master of
Engineering by research in 2016 from Swinburne University of Technology. His research areas are
tunnelling technology using pipe-jacking, geomechanics testing, image processing using PIV
technology and discrete element modelling. He is currently a PhD scholar at Griffith University where
his current research aims at studying interface shearing using synthetic particles for the application of
tunnelling technology.
Dr. Dominic Ong obtained his Bachelor’s Degree from the University of Western Australia (UWA) in
1998 and his PhD from the National University of Singapore (NUS) in 2004. His research interests are
deep excavation, tunnelling, soil-structure interaction, ground improvement, field instrumentation
works and finite element modelling. He is currently a senior lecturer at Griffith University and
Adjunct Associate Professor at Swinburne University of Technology Sarawak Campus. Dr Ong is a
Fellow of Engineers Australia and Institution of Engineers Malaysia (IEM). He is also currently the
joint Editor-in-Chief for the Geotechnical Research Journal, Institution of Civil Engineers (ICE).
Cheryl Desha is an Associate Professor and the Head of Civil Engineering at Griffith University’s
Nathan campus in Brisbane. She is responsible for delivering a ’21st Century’ civil engineering
curriculum within a digitally equipped new building. She is also part of the Executive Group initiating
the university’s Cities Research Institute, focused on addressing complex problems through a Digital

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Earth research agenda. Cheryl collaborates across Australia and overseas to build capacity for whole
system thinking, biomimicry, resource productivity, decoupling and sustainable business practice,
fostering urban nature for resilient and liveable cities, within her overarching career goal of
sustainable development.
Associate Professor Erwin Oh presently serves as Director (International) at Griffith University. He
specialises in the field of geotechnical and pavement engineering. His research interests include
geotechnical engineering, transport infrastructures, and numerical modelling. Dr Oh has strong
research collaboration with international partners and is actively engaged with the industry. He is the
regional editor (Australia) for Geotechnical Engineering Journal of the SEAGS & AGSSEA. Dr Oh
had previously served as Chairman for Engineers Australia Gold Coast regional group.
Dr. Choo Chung Siung obtained his Bachelor of Engineering in Civil Engineering in 2010 and his
Ph.D. in the field of geotechnical engineering, specifically microtunnelling in the form of pipe-jacking
from Swinburne University of Technology (Sarawak) in 2013. His research interest includes rock
characterisation, behaviour of soils and crushed rock spoils, jacking forces in highly fractured geology,
particulate image velocimetry (PIV), finite element modelling (2D and 3D) and discrete element
modelling. Dr Choo currently holds the position of senior lecturer and discipline leader for the civil
engineering program at Swinburne University of Technology, Sarawak Campus.

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