Guidelines

ITA-Working Group Research
Guidelines for Design of Shield Tunnel Lining

Preface
These guidelines present the basic concepts of shield tunnel lining and do not
supersede relevant specifications of each country or each project. The aim of these
guidelines is to promote advances in the design of shield tunnels in accordance
with the objectives of ITA prescribed in SECTIONⅡof the Statutes of ITA.
The working to make these guidelines was started at the Working Group
Research meeting in Amsterdam in 1993. After much study, discussion and
investigation, they were completed on December,1999. These guidelines consists
of three parts. Part I describes the outline of procedure of design. Part II presents
the detailed design methods. Part III provides the references including examples
of design. There are various methods to design shield tunnel lining and these
guidelines gives no priority to a specified method. They introduce design methods
generally and widely. Usually, shield tunnel is excavated in soft ground, compared
to rock tunnel. The parameters of lining such as dimension and strength of
materials are subject to not only ground condition but also construction condition.
When actually designing tunnel lining, it is needed much experience and practice.
It is not expected that these guidelines would cover everything to design tunnel
lining, but it may be very helpful to design it. It is hoped that they will be
continuously improved with the progress of tunnelling technology.
I highly appreciate Monsieur Yann Leblais who led our study as Animateur,
Professor Andre Assis and Professor Z Eisenstein who guided our study as Tuteur
and Former Tuteur respectively, Herr Dr.Harald Wagner, Professor Teodor Iftimie,
Dr.Birger Schmidt, Signor Piergiogio Grasso who greatly contributed to this study,
and members of Research and Development Committees of Japan Tunnelling
Association chaired by Professor Toru Konda who made the draft of these
guidelines.
November 1999
Yoshihiro Hiro Takano, Vice-Animateur of Working Group Research

PART I
OUTLINE TO DESIGN LINING

After planning works of tunnel, the lining of shield tunnel is designed with the
following sequence, as a rule.
1. Decisiopn of specification, code or standard for design works
Tunnel to be constructed should be designed with appropriate specification
standard, code or standard, which are indicated by persons in charge of project or
decided by discussion between designers and them.
2. Decision of inner dimension of tunnel
Inner diameter of tunnel to be designed should be decided in consideration of the
space which is demanded to tunnel. This space is decided by;
Construction gauge and car gauge in case of railway tunnel,
Traffic volume and number of lanes in case of road tunnel,
Discharge incase of water tunnel and sewer tunnel,
Kind of facilities and their dimension in case of common duct.
3. Decision of load conditions
The loads acting on lining are ground pressure such as earth pressure and water
pressure, dead load, reaction, surcharge and thrust force of shield jacks, e.t.c..
Designer should select the critical cases to design lining.
4. Decision of lining conditions
Designer should decide the lining condition such as dimension of lining
(thickness), strength and characteristics of materials and arrangement of
reinforcement, e.t.c..
5. Computation of member forces
Designer should compute member forces such as bending moment, axial force and
shear force of lining with appropriate models and design methods.
6. Check of safety
Designer should check the safety of lining against the computed member forces in
consideration of critical conditions of them.
7. Review
If designed lining is not safe against design loads, designer should change lining

condition and design lining again. And, if designed lining is safe but not
economical, designer should change lining condition and design lining again.
8. Approval of design
If designer judges that designed lining is safe, economical and optimum,
documents of design should be approved by persons in charge of project.
Figure 1 shows the flow chart to design tunnel lining.
The annex is a summarized schematic example of step by step design procedure.

Planning of Tunnel Project
Alignment Survey/Geology Function/Capacity
Plan/Profile to be given to Tunnel
Cross Section Specification/Code/Standard to be used
Inner Diameter
Load Condition Assumption of Lining Condition
(Thickness , e.t.c.)
Model to Compute Member Forces
Computation of Member Forces
Check of Safety of Lining
No
Safe and Economical
Yes No
Approval
Yes
Execution of Construction Works
Figure 1 Flow Chart to design Tunnel Lining

ANNEX
Schematic Example of Step by Step Design Procedure

WORKING GROUP 2 “RESEARCH“
Recommended guidelines for design of shield tunnel lining.
Summarized schematic example of step by step design procedure.
STEP 1 DEFINE GEOMETRIC PARAMETERS
Alignment, excavation diameter, lining diameter, lining thickness, average
width of ring, segment system, joint connections.
STEP 2 DETERMINE GEOTECHNICAL DATA
Specific gravity, cohesion (unconfined and effective), friction angle
(unconfined and effective), modulus of elasticity, modulus of deformation,
Ko-Value.
STEP 3 SELECT CRITICAL SECTIONS
Influence of overburden, surface loads, water, adjacent structures.
STEP 4 DETERMINE MECHANICAL DATA OF TBM
Total thrust pressure, number of thrusts, number of pads, pad geometry,
grouting pressure, space for installation.
STEP 5 DEFINE MATERIAL PROPERTIES
Concrete class, compressive strength, modulus of elasticity, steel type,
tensile strength, gasket type, gasket width, elastic capacity, allowable gap.
STEP 6 DESIGN LOADS
6.1 Geostatical loads
Analyse load effects on lining segments and ground.
LOADING 1: Initial state of stress LOADING 2: Initial stress relief
Fig. 1: Loading Case 1 Fig. 2: Loading Case 2

LOADING 3:Excavation supported LOADING 4: Excavation supported
by shield by grouted segment
Fig. 3: Loading Case 3 Fig. 4: Loading Case 4
LOADING 5: Long term deformation
Fig. 5: Loading Case 5
6.2 Thrust Jacking loads
Analyse load effects distributed on segment types by thruster pads.
Fig. 6: Thruster pads distribution

6.3 Trailer and other service loads
Including main bearing loads, divided by number of wheels.
Fig. 7: Trailer load distribution
6.4 Secondary grouting loads
Extending regular grout pressure.
Fig. 8: regular grout pressure
6.5 Dead load, storage and erection loads
Bending moment influence.
Fig. 9: Self weight of segments on stock

STEP 7 DESIGN MODEL
The three- dimensional condition has to be simulated by symbolic
computation into two dimensional conditions.
7.1 Analytical model
Using formulas in accordance with national standards and with
superposition of selected design loads.
Fig. 13: Design load - Assumption of TERZAGHI
7.2 Numerical model
Using Finite-Element programs with constitutive laws in accordance with
national standards to achieve stresses and strains under elasto-plastic
conditions, allowing simulation of detailed construction stages.
Fig. 14: FEM network configuration
STEP 8 COMPUTATIONAL RESULTS
Are represented in table format as normal and shear forces, bending
moments and deflections, defining the design loads and subsequently
reinforcement of the segments.

PART II
DESIGN METHOD OF SHIELD TUNNEL LINING

CONTENTS
Page
1. General 1
1.1 Scope of Application 1
1.2 Design Principle 1
1.3 Definition of Terms 1
1.4 Notation 3
2. Loads 5
2.1 Kinds of Loads 5
2.2 Ground Pressure 6
2.3 Water Pressure 8
2.4 Dead Load 11
2.5 Surcharge 11
2.6 Subgrade Reaction 11
2.7 Loads from Inside 12
2.8 Loads during Construction Stage 12
2.9 Effects of Earthquake 12
2.10 Other Loads 12
3. Materials 13
3.1 Modulus of Elasticity 13
3.2 Stress-Strain Curve 13
4. Safety Factors 14
5. Structural Calculation 15
5.1 Design Principles 15
5.2 Computation of Member Forces 15
5.2.1 Model for computation 15
5.2.2 Evaluation of Joints 21
5.3 How to check the safety of section 22
5.3.1 Limit state design method 22
5.3.2 Allowable stress design method 24
5.4 Structural Calculation of Joints 24
5.5 Check of safety against thrust force of shield jacks 25
6. Structural Details 25
6.1 Dimension & Shape of Segment 25
6.2 Measures against Leakage 25
6.3 Structural Details to handle Segments and grout Hole 26
6.4 Angle of Joint of Key-Segment 26
6.5 Tapered Segment 28
7. Production of Segments 28
7.1 Tolerance of dimension 28
7.2 Inspection 28
8. Secondary Lining 30
8.1 General 30
8.2 Thichness 30
8.3 Computation of Member Forces 30

8.3.1 Bedded Frame Model 31
8.3.2 Elastic Equation Method 31
8.4 How to check the safety of section 31

1
1. General
1.1 Scope ofApplication
These guidelines provide general requirements for the design of segmental linings made of reinforced concrete, and
the secondary lining of shield tunnel constructed in very soft ground such as alluvial or diluvial layers. They can be
applied to the segmental lining of rock tunnel which is excavated in earth or soft rock by Tunnel Boring Machine
(TBM). The physical characteristics on soft ground are as follows, in general.
N≦50
E≒2.5×N≦125 MN/㎡
qu≒Ｎ/80≦0.6 MN/㎡ Equ.1.1.1
Where, N:N value given by the standard penetration test,
E: E elastic modulus of soil. and
qu:Unconfined compressive strength of soil
1.2 Design Principle
It is a design principle to examine the safety of lining of shield tunnel for its purpose of usage. The calculation
processes including the prerequisite of design, the assumption and the conception of design, and the design lifetime
should be expressed in the report, in which the tunnel lining is examined in terms of its safety.
1.3 Definition of Terms
The following terms are defined for general use in this recommendation.
Segment: Arc-shaped structural member for initial lining of shield tunnel; These guideline is intended for precast
concrete segment. (See Fig.1.3.1.)
Segmental lining: Tunnel lining constructed with segments; 1 ring of lining comprises some pieces of segments.
Segmental lining completed in shield: The segmental lining system that all of segments are assembled inside
shield and lining is completed inside shield
Enlarged segmental lining: The segmental lining system that all segments except key segment are assembled
inside shield and ,right after shield, key segment is inserted and lining is completed
Thickness: Thickness of lining of the cross section of tunnel
Width: Length of segment in longitudinal direction
Joint: Discontinuity in the lining and contact surface betweeen segments
Types of joints: Plain joints: - with connecting elements - straight steel bolts
-curved steel bolts
-reusable inclined steel bolts
-plastic or steel connector
- without connecting elements
- with guiding bars
Tongue and groove joints
Hinge joints: - with convex - concave faces
- with convex - convex faces
- with centering elements - steel rod link
- without centering elements
Pin joints

2
Circumferential joint: joint between rings
Radial joint: joint between segments in longitudinal direction
Bolt for joints: Steel bolt to joint segments
Width
Outer Diameter of Segmental Lining
Rectangular Segment Tapered Segment
Trapezoid Segment Hexagon Segment
Width
Thickness
Flat Type Segment Box Type Segment
Fig.1.3.1 Type of Segment

3
A B
Circumferential joint
Radial joint
Segment
Segment
A B
B-B Section A-ASection
Fig.1.3.2 Segmental Lining
In actual design and construction, lining makeup, segment shapes, joint and waterproofing details, and tolerances
should be selected for effective, reliable and rapid erection, considering the following.
1)Method and details of erection and erection equipment
2)Functional requirements of the tunnel, including lifetime and watertightness requirements
3)Ground and groundwater conditions, including seismic conditions
4)Usual construction practice in the location of the tunnel
1.4 Notation
The following notations are used in these guidelines.
t: Thickness
A:Area
E: Modulus of elasticity
I: Moment of inertia of area
EI: Flexural rigidity
M: Moment
N:Axial force
S: Shearing force
ζ: Ratio between the increment of moment transmitted through the adjacent segment at the joint and M
(1+ζ)M is transmitted through the segment. (1-ζ)M is transmitted through the joint.
D: Diameter of lining Dc: Diameter of centroid
Ro,Rc,Ri: Outer radius, radius of centroid and inner radius of the lining
γ,γ',γｗ，γｃ: weight of soil, submerged unit weight of soil, unit weight of water and unit weight of
concrete

4
H: Overburden
γｗ×Hｗ: Groundwater pressure at crown of lining
po: Surcharge
W: Weight of lining per meter in longitudinal direction
pg: Dead Load
pe1: Vertical earth pressure at crown of lining
pw1: Vertical water pressure at crown of lining applied to the elastic equation method (See 5.2.)
qe1: Horizontal earth pressure at crown of lining
qw1: Horizontal water pressure at crown of lining applied to the elastic equation method (See 5.2.)
pe2: Vertical earth pressure at bottom of lining
pw2: Vertical water pressure at bottom of lining applied to the elastic equation method (See 5.2.)
qe2: Horizontal earth pressure at bottom of lining
qw2: Horizontal water pressure at bottom of lining applied to the elastic equation method (See 5.2.)
pｗ: Water pressure
Fｗ: buoyancy
λ: Coefficient of lateral earth pressure
k: Coefficient of subgrade reaction
δ: Displacement of lining
pｋ: Subgrade reaction/ la reaction/ Bettung
C: Cohesion of soil / La cohesion du sol / Kohaesion vom Boden
φ:Angle of internal friction of soil
f'ck: Nominal strength of Concrete (Characteristic Compressive Strength of Concrete)
fy:Yield Strength of steel
Es: Modulus of elasticity of steel
P0
γ,C,φ
Groundwater Table H
Hw γ’,C,φ
D Tunnel
Fig.1.5.1 Notation

5
2. Loads
2.1 Kinds of Loads
The following loads should be considered in the design of lining.
The following loads must always be considered.
(1) Ground pressure
(2) Water pressure
(3) Dead Load
(4) Surcharge
(5) Subgrade Reaction
If necessary, the following loads should be considered.
(6) Loads from inside
(7) Loads during construction stage
(8) Effects of earthquake
Special loads
(9) Effects of adjacent tunnels
(10) Effects of settlement
(11) Other loads

6
2.2 Ground pressure
The ground pressure should be determined in accordance with appropriate analysis. For example, the ground
pressure should act radially on lining or be divided into the vertical ground pressure and the horizontal ground
pressure. In the latter case, the vertical ground pressure at the tunnel crown should be a uniform load and ,as a
rule, should be equal to the overburden pressure, if the designed tunnel is a shouldow tunnel. If it is a deep tunnel,
the reduced earth pressure can be adopted in accordance with Terzaghi's formula (See Formula 2.2.1.),
Protodiaconov’formula or other formulae. The horizontal ground pressure should be the uniformly varying load
acting on the centroid of lining from the crown to the bottom. Its magnitude is defined as the vertical earth
pressure multiplied by the coefficient of lateral earth pressure. (See Fig.2.2.3(1).) It can be evaluated as the uniform
load or the uniformly varying load with the pentagon model. (See Fig.2.2.3(2) .) The value of coefficient of lateral
earth pressure to be used in the design calculation should be between the value of coefficient of lateral earth
pressure at rest and the one of coefficient of active lateral earth pressure. Designer should decide it in consideration
of relaxation and construction conditions.
Concerning the unit weight of soil for the calculation of earth pressure, the wet unit weight should be used for soil
above groundwater table and the submerged unit weight should be used for one below groundwater table.
Surcharge P0
G.L.
Stratum No.i γi
Groundwater Tabel Hi H
Hw Stratum No.j γ’j
Hj
Tunnel
Fig.2.2.1 Section of Tunnel and surrounding Ground
Pe1=P0+ΣγiHi+Σγ’jHj Equ.2.2.1
Where,
Po=Surcharge
γi=Unit weight of soil of Stratum No.i which is located above groundwater table
Hi=Thickness of Stratum No.i which is located above groundwater table
γ’j=Unit weight of soil of Stratum No.j which is located under groundwater table
Hj= Thickness of Stratum No.j which is located under groundwater table
H=ΣHi+ΣHj

7
h０=B１[1-C/B１γ)}{1-exp(-k０tan(φ)H/B１)]/K０tan(φ)+P０exp{-K０tan(φ)H/B１}/γ
B１=R０cot(π/8+φ/4)
Pe1=γｈ０ (if tunnel is located above groundwater table.)
Pe1=γ’ｈ０ (if ｈ０ ≦Hw)
Terzaghi's formula Formula 2.2.1
Where,
h０=Reduced earth pressure divided by unit weight of soil
K０=Ratio between lateral earth pressure and vertical earth pressure=1
Po
H
ho 2B1
π/4+φ/2
Do
Fig.2.2.2 Reduced Earth Pressure calculated by Terzaghi's formula

8
pe1
qe1
qe2
Where;
qe1=λ(pe1+γ×t/2) (if tunnel is located above groundwater table.)
qe1=λ(pe1+γ’×t/2) (if tunnel is located under groundwater table.)
qe2=λ{pe1+γ×(2Ro-t/2)} (if tunnel is located above groundwater table.)
qe2=λ{pe1+γ’×(2Ro-t/2)} (if tunnel is located under groundwater table.)
Fig.2.2.3 Ground Pressure acting on Lining (1)
pe1 pe1
qe1
qe qe
qe1
Where,
qe=(qe1+qe2)/2
Fig.2.2.3 Ground Pressure acting on Lining (2)

9
Po
H
Hw
Pe1
Pw1
qw1 qe1 t/2
Pk
Pg Dc
qw1 qe1
t/2
Pe2
Pw2
Pe2=Pe1+Pw1+πPg-Pw2
Fig.2.2.4 Load Condition of Elastic Equation Method

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2.3 Water pressure
As a rule, the water pressure acting on lining should be the hydrostatic pressure. The resultant of water pressure
acting on lining is the buoyancy. If the resultant of the vertical earth pressure at crown and the dead load is greater
than the buoyancy the difference betueen them acts as the vortical earth pressure at bottom (subgrade reaction). If
the buoyancy is greater than the resultant of the vertical earth pressure at crown and the dead load, the tunnel
would float.
Pw1
Rc
θ Pw given by Equ.2.3.1
Pw1=γwHw (Water pressure at tunnel crown)
Pw=Pw1+γwRc(1-cosθ) Equ. 2.3.1
Fig.2.3.1 Hydrostatic Pressure

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2.4 Dead Load
Dead load is vertical load acting along the centroid of the cross-section of tunnel and is calculated in accordance
with Equ.2.4.1
pｇ=W/(2πRc)
pｇ=γｃ×t (If the section is rectangular,)
Equ.2.4.1
2.5 Surcharge
The followings act on lining as the surcharge. They increase earth pressure actiong on lining.
Road trafic load,Railway trafic load,Weight of buildings
2.6 Subgrade Reaction
When we compute the member forces in the lining, we must determine the acting range, the magnitude and the
direction of the subgrade reaction. The subgrade reaction is divided into the reaction independent of the
displacement of ground such as pe2 (See Fig.2.6.1.) and the reaction dependent on the displacement of ground. It is
assumed that the latter subgrade reaction is proportional to the displacement of ground and its factor of
proportionality is defined as the coefficient of subgrade reaction. The value of this factor depends on the ground
stiffness and the dimension of lining (radius of lining), and the subgrade reaction is the product of the coefficient of
subgrade reaction and the displacement of lining which is decided by the ground stiffness and the rigidity of
segmental lining. The rigidity of segmental lining depends on the rigidly of segment, the number and type of joint. .
The bedded rigid frame model can evaluate the subgrade reaction as the spring force. (See Fig.2.2.3, Fig.2.6.2 and
Fig.5.2.3.)
In case the member forces are computed with the FEM, plain strain elements simulating ground are evaluated as
spring for subgrade reaction.
pe1
pg
pw
pe2
2rpe2+πr2γw=2rpe1+2πrpg
pe2=pe1+πpg-πrγw/2
Fig.2.6.1 Subgrade Reaction independent of the Displacement of Ground (pe2)

12
90
Fig.2.6.2AModel of Subgrade Reaction
2.7 Loads from Inside
Load caused by facilities suspended from the ceiling of tunnel or inner water pressure should be investigated.
2.8 Loads during Construction Stage
The following loads acts on the lining during construction stage.
① Thrust force of shield jacks
When segments are produced, the strength of segment against the thrust force of shield jacks should be tested.
For the analysis of influence of shield jack forces to segments, designer should examine shear and bending
forces resulting from credible eccentricity, including cases of placement at the limit of tolerance.
② Loads during transportation and handling of segments
③ Pressure of backfill grouting
④ Load by operation of erector
⑤ Others
Dead load of backup carriages, jack force of segment reformer, torque of cutterhead
2.9 Effects of Earthquake
The static analysis such as the seismic deformation method or the seismic coefficient method, or the dynamic
analysis should be used for the seismic design. The seismic deformation method is usually adopted to investigate
the effect of earthquake to tunnels. Details should be presented apart from these guidelines.
2.10 Other Loads
If necessary, the effect of adjacent tunnels or effect of unequal settlement should be investigated.

13
3. Materials
These guidelines are intended for the reinforced concrete segment as the material of initial lining and cast-in-place
concrete as the material of secondary lining. Japan Industrial Standard (JIS), Deutsche Industrie-Norm (DIN) and
American Concrete Institute (ACI) Standard specify the test methods of materials.
There may not be a cast-in-place inner lining. If the outer segmental lining is designed and constructed to meet
lifetime tunnel lining demands, then a one –pass lining is certainly permitted.
3.1 Modulus of Elasticity
Tab.3.1.1 shows the moduli of elasticity of concrete and steel, as a reference.
Tab.3.3.1 Modulus of Elasticity of Concrete and Steel
Nominal Strength
f' ｃｋ(MN/㎡)
18 24 30 40 50 60
Modulus of Elasticity of concrete
Eｃ (×10４MN/㎡)
2.2 2.5 2.8 3.1 3.3 3.5
Modulus of Elasticity of Steel E ｓ =210,000(MN/㎡)
Quotation from Standard Specification for Design and Construction of Concrete Structures issued by Japan Society
of Civil Engineers (JSCE)
3.2 Stress-Strain Curve
Fig.3.2.1 and 3.2.2 show the stress-strain curves of concrete and steel respectively.
σ’c
kf’’cd σ’c=kf’’cd
σ’c=kf’’cd(εc’/ε’co){2-(ε’/ε’co)} ε’co=0.002
ε’cu=0.0035
O ε’co ε’cu ε’c
Fig.3.2.1 Stress-Strain Curve of Concrete
σs
σs=fyd
fyd
σs=Esεs
O εy εs
Fig.3.2.2 stress-Strain Curve of Steel

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4. Safety Factors
The safety factors should be based on the ground loading and should be defined in accordance with the structural
requirements and codes, for example, national Standard Specification for Design and Construction of Concrete
Structures for each project. Construction procedure and performance should be linked with the safety factors. On
their application to the design computation, refer to “5.3 How to check the safety of section”. If tunnel is designed
as temporary structure, the safety factors can be modified.

15
5. Structural Calculation
SI unit should be used in the structural calculation of lining.
5.1 Design Principles
The design calculation of cross section of tunnel should be done for the following critical sections. (See Fig.5.1.1.)
① Section with the deepest overburden
② Section with the shouldowest overburden
③ Section with the highest groundwater table
④ Section with the lowest groundwater table
⑤ Section with large surcharge
⑥ Section with eccentric loads
⑦ Section with unlevel surface
⑧ Section with adjacent tunnel at present or planned one in the future
G.L.
Ground Water Table
Ground WaterTable
Case 1 Case 2 Case 3 Case 4
Surcharge
Tunnel in
the future
Case 5 Case 6 Case 7 Case 8
Fig.5.1.1 Critical Sections to be checked
5.2 Computation of Member Forces
The Member Forces (M,N,S) are calculated using various structural models.
5.2.1 Model for computation
The member forces should be computed with the following methods.
① Bedded frame model method (See Fig.s 5.2.1,2,3.)

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② Finite Element Method (FEM) (Fig.5.2.4.)
③ Elastic equation method (See Fig.5.2.5. and Tab.5.2.1.)
④ Schultze and Duddeck Model
⑤ Muir Wood Model
Refer to Fig.5.2.6.
The bedded frame model method is a method to compute member forces with matrix method using a computer
because this model is mutiple statically indeterminate. This method can evaluate the following conditions.
1) ununiformly varying load due to change of soil condition (See Fig.5.2.2(b).)
2) eccentric loads (See Fig.5.2.2(c).)
3) hydrostatic pressure (See "2.3 Water Pressure".)
4) spring force to simulate subgrade reaction (See "2.6 Subgrade Reaction".)
5) effect of joint by simulating joints as hinges or rotation springs (semi-hinge) (See “5.2.2 Evaluation of Joints”)
If the subgrade reaction against displacement due to dead load cannot be expected, the member forces caused by
dead load must be independently calculated and superposed with member forces caused by the other loads. In this
case, the member forces caused by dead load can be computed by the elastic equation method.
This method can adopt not only the subgrade reaction in normal direction but also the one in tangential direction.
The options on the range of the subgrade reaction are as follows.
① Full round-bedded model
② Bedded model without subgrade reaction at crown
③ Full round-non-tension bedded model
See Fig.5.2.3.
The FEM is based on the theory of continuous body and has been adopted with the developement of computer. In
the FEM, Young modulus and the Poisson's ratio of soil must be parameters. In the design by the FEM, segmental
lining is evaluated as beam element. The FEM can compute not only the member forces of tunnel lining but also
the displacement and stress-starin state of surrounding ground and the influence to overlying or adjacent
structures induced by tunnel construction.
The FEM model can reproduce the behavior of interaction of lining and massive ground realistically with the
following merits.
1) The behavior of massive ground can be evaluated in consideration of the initial state of stress of ground, the
parameters of ground such as Unit weight of soil, Young modulus and the Poisson’s ratio, the shape and size of
tunnel section and the execution method including its procedure.
2) The behavior of lining which resists the loads depends on the lining structure (number of segments, their
configuration and joint type, the characteristics of backfill grouting and their efficiency, and the loading given by
the ground. These factors can be evaluated.
3) The degree of relaxation which depends on the ground condition, the construction method such as the type of
shield method and backfill grouting method including the size of tail void can be evaluated.
The elastic equation method is a simple method to calculate member forces without a computer. But it cannot
evaluate the conditions of above-mentioned 1) to 5). (See Fig.5.2.5.)
In this method, water pressure should be evaluated as the combination of vertical uniform load and horizontally
uniformly varying load and horizontal subgrade reaction should be simplified as triangularly varying load. (See
Fig.2.2.4.)

17
Pg Pg
Model (a) Model (b)
The subgrade reaction against displacement due to dead load can be evaluated in Model (a) and not evaluated in
Model (b).
Fig.5.2.1 Models for Bedded Frame Method to calculate Member Forces
Model (a)Adaptable Model (b)Adaptable Model (c)Adaptable
Fig.5.2.2Adaptable Loading Models for Bedded Frame Method
Model (a) Model (b) Model (c) Model (d)
Model Range of Bedding Direction of Bedding Bedding Compression/Tension
a Full round Normal Compression and tension
b Without crown Normal and tangential Compression and tension
c Without crown Normal Compression and tension
d Dependent on displacement Normal Compression only
Fig.5.2.3 Range and Direction of Subgrade Reaction of Calculation Model of Bedded Frame method

18
P0
Fig.5.2.4 FEM Mesh Layout
Model (a)Adaptable Model (b) Unadaptable Model (c) Unadaptable
Fig.5.2.5 Loading Models for Elastic Equation Method to calculate Member Forces

19
Table 5.2.1 Elastic Equations to compute Member Forces
Load Moment (M) (@Rc2) Axial Force (N) (@Rc) Shear Force (S) (`Rc)
Uniform load in
vertical direction
(P=pe1+pw1)
(1-2S2)@P/4 S2@P -SC@P
Uniform load in
lateral direction
(Q=qe1+qw1)
(1-2C2)@Q/4 C2@Q -SC@Q
Triangular
lyvarying load in
lateral direction
(Q’=qe2+qw2)
(Q-Q’)
(6-3C-12C2+4C3)@(Q-Q’)/48 (C+8C2-4C3)@(Q-Q’)/16 (S+8SC-4SC2)@(Q-Q’)/16
Subgrade
reaction in lateral
direction
(kδ)
0≦θ≦π/4
(0.2346-0.3536C)@ kδ
π/4≦θ≦π/2
(-0.3487+0.5S2+0.2357C3) @ kδ
0≦θ≦π/4
0.3536C@ kδ
π/4≦θ≦π/2
(-0.7071C+C2+0.7071S2C)@ kδ
0≦θ≦π/4
0.3536S@ kδ
π/4≦θ≦π/2
(SC-0.7071C2S) @kδ
Dead load
(g)
0≦θ≦π/2
{(3/8) π-θS-(5/6)C}@g
π/2≦θ≦π
{-π/8+(π-θ)S-(5/6)C-(1/2)πS2}
@g
0≦θ≦π/2
{θS-(1/6)C}@g
π/2≦θ≦π
{-πS+θS+πS2-(1/6)C}@g
0≦θ≦π/2
{θC-(1/6)S}@g
π/2≦θ≦π
{-( π - θ )C+ θ S+ π
SC-(1/6)S}@g
Lateral
displacement at
spring
(δ)
δ={(2P-Q-Q’)+πg}@Rc4/{24(ηEI/h+0.045k c4)
θ=Angle from crown
S=sinθ S2=sin2θ S3=sin3θ C=cosθ C2=cos2θ C3=cos3θ
S S
N M M N

20
Refer to “Gudelines-Fig. 5.2.6.pdf”.
Fig.5.2.6 Models to compute Member Forces

21
5.2.2 Evaluation of Joints
If the segmental lining is jointed with or without bolts, its actual flexural rigidity at joint is smaller than the
flexural rigidity of segment. (Structurally, segmental ring can be modeled as multiple hinged ring or lining having
the rigidity between perfectly uniform rigidity ring and multiple hinged ring.) If segments are staggered, the
moment at joint is smaller than the moment of the adjacent segment. The actual effect of joint should be evaluated
in the design.
M Ms
M Mj
Segment
M Ms
Ms=(1+ζ)M, Mj=(1-ζ)M
Fig.5.2.6 Distribution of Moment at Joint

22
5.3 How to check the safety of section
According to the calculation result of member forces, the safety of the most critical sections must be checked with
the limit state design method or the allowable stress design method. They are shown, as follows.
① Section with the Maximum positive moment
② Section with the Maximum negative moment
③ Section with the maximum axial force
The safety of lining against the thrust force of shield jacks should be checked.
5.3.1 Limit state design method
The relationship between the design axial capacity and the design flexural capacity of member cross sections
subjected to axial load and flexural moment is described by the curve as shown in Fig.5.3.1. Therefore, as a rule,
the safety for combined axial load and flexural moment is examined by confirming that the point (Md, Nd) is
located inside of the (Mud, Nud) curve, that is, at the side of the origin as shown in Fig.5.3.1. (Mud, Nud) are
calculated by Equ.5.3.1 and Equ.5.3.2 respectively. On the stress-strain curve of cincrete and steel, refer to “3.4
Stress-Strain Curve”. In the Fig.5.3.1 and the equations 5.3.1 and 5.3.2, γb and γs are the safety factors of
concrete and steel.

23
① Ultimate Limit State Ⅰ ε'ｕ σc
ε'ｕ=ε'ｌ=ε'ｃｕ σs
Nud=Nmax, M=0 σs’
ε'ｌ
Section Strain Stress
② Ultimate Limit State Ⅱ
ε'ｕ=ε'ｃｕ, ε'ｌ=0, x=t
③ Ultimate Limit State Ⅲ
ε'ｕ=ε'ｃｕ, ε'ｌ<0, xｏ<x<t
④ Ultimate Limit State Ⅳ
ε'ｕ=ε'ｃｕ, ε'1<0, x=xｏ x
Nud=0
Where, ε'ｕ=Upper extreme fiber strain
ε'ｌ=Lower extreme fiber strain
x=Distance between upper extreme fiber and neutral axis
N’ud Axial Capacity
N’ud=∫σ(y)bdy/γb+(Ts+T’s) /γs Equation 5.3.1
Integrate between –h/2 and h/2
Flexural Capacity
Mud=∫σ(y)ybdy/γb+{Ts(h/2-t)-T’s(h/2-t’)} /γs Equation 5.3.2
Integrate between –h/2 and h/2
Where, Ts=Asσs; Ts’=As’σs’
O
Mud
Fig.5.3.1 Transition of Ultimate Limit States and Mud-N'ud Diagram

24
ε’c(y) kf’cd
t
εy σs
x h/2 σ’c(y)
y
M
N O h
-y
ε’y σs’
t’
Fig.5.3.2 State of Stress and Strain Distribution
5.3.2Allowable stress design method
If the extreme fiber stress of concrete and the stress of reinforcement are not more than the their allowable stresses,
the segmental lining should be safe against the design loads. (See Equations 5.3.3 and 5.3.4.)
σｃ≦σｃａ＝f’ck/Fc Equation 5.3.3
σs≦σsａ＝fyd/Fｓ Equation 5.3.4
Where,
σｃ：Extreme fiber stress of concrete
σｃａ：Allowable stress of concrete
f’ck：Characteristic compressive strength (Nominal strength) of concrete
Fc ：Safety factor of concrete
σs：Stress of reinforcement
σsａ：Allowable stress of reinforcement
fyd：Yield stress of steel
Fｓ：Safety facror of steel
5.4 Structural Calculation of Joints
At joints, bolts are evaluated as reinforcement. The safety of joint should be checked by the same method as the one
to check the safety of segment described in "5.3 How to check the safety of section". As the locations of joints are
indefinite before the assembling of segments, the design calculation should be done for the three most critical
sections described in "5.3 How to check the safety of section".
If bolts are used for erection only and removed after erection, the joint should transmit a moment limited by the
normal force across the joint. Between rings, the force to be transferred from one ring to another is governed by
geometric interlock and the residual longitudinal force.

25
5.5 Check of safety against thrust force of shield jacks
The safety of lining against the thrust force of shield jacks should be checked with the following equation, in the
minimum.
f’ck/Fc≧Fs/A
Where,
f’ck：Characteristic compressive strength (Nominal strength) of concrete
Fc ：Safety factor of concrete
Fs：Total thrust force of shield jacks
A：Area of cross section area of lining
If more critical conditions are expected by the selection of used jacks, such cases should be checked because bending
moment is caused by it.
Microcracks of segment are propagated by the thrust force of shield jacks. They influence the longevity of
segmental lining. The quality control of tensile strength of concrete of segment should be considered to prevent the
increase of microcracks when segments are produced.
6. Structural Details
6.1 Dimension & Shape of Segment
The less the number of pieces of one segmental ring is, the better the efficiency to manufacture and assemble
segments. But, in consideration of their transportation and handling, the length of arc and the weight of one
segment should be determined.
6.2 Measures against Leakage
If the allowable leakage dischaege is designed, the drainage system can be instaled in the tunnel. If not, the
measures against leakage should be necessary. Watertightness requirements should be determined based on the
ultimate use and the functional requirements of the finished tunnel. An initial lining that is followed by a
cast-in-place inner lining ( whether or not a waterproofing membrane is applied) should be sufficiently tight to
permit the placement of inner lining without compromise to its quality. Then, sealing strips should be applied as
necessary. One-pass lining segments below the groundwater table should be furnished with one or two gaskets to
seal the tunnel. If only one gasket is used, then provisions should be made to place caulking in the event that
excessive leakage is expected.
(See Fig.6.2.1.)
The sealing method is divided into the gasket sealing and the paint sealing and the former is usually adopted. The
gasket sealing is to stick gasket on surface of joint of segment. The materials of gasket are butyl non-sulfide rubber,
deformation butyl rubber, solid rubber, special synthesis rubber and/or water- expansive material. Water-expansive
gasket is a compound of polymer which reacts with water and, natural rubber or urethane. If tunnel is excavated in
ground with high ground water pressure, two-line gasket should be stuck on joints of segments. In some cases,
butyl rubber is not sufficiently resilient to provide an adequate seal under significant external water pressure.
Then, it can be used as sealing strips in an initial segmental lining (which is followed by an inner lining.)
The caulking is the method that the groove which is made on inside-surface of segment is filed with the materials
of causing. The main chemicals of them are epoxy resin, thiokol and urea resin. The caulking should be executed
after rebolting of segment, cleanup of groove and painting of primer.
If leakage can not be stopped with the gasket sealing and the caulking, the urethane injection would be effective,
which is executed through holes to be made in segment, as urethane reacts with groundwater and is expanded.
If the quality of selected waterproofing system is not proven through the previous tests or construction records, its
system should be tested in the laboratory under the expected maximum pressure (with a suitable safety factor) and

26
with joint geometry incorporating maximum permitted out-of-tolerance placement of segment at the joint. Where
groundwater is aggressive to components of the lining or components installed in the tunnel, full waterproofing
should be applied, including the use of waterproof concrete or external waterproofing of segments, or both. (For
example, salt groundwater or groundwater high chloride or sulphate content is aggressive to these components.)
Gasket
Segment
Caulking
Two-Gasket Sealing One-Gasket and Caulking
Fig.6.2.1 Gasket Sealing and Caulking
6.3 Structural Details to handle segments and grout
When segments are assembled with an erector, segment should have an equipment to handle and hang segment.
The lately developed vacuum type erector can handle segments without the above-mentioned equipment hanging a
segment.
If the backfill grouting is performed through segments, each segment should have a grout hole with the inner
diameter of about 50 mm to inject grout uniformly.Agrout hole can be used for the equipment hanging a segment.
6.4Angle of Joint of Key-Segment
The type of K-segment is divided into K-segment inserted in radial direction (Kr-Segment) and K-segment inserted
in longitudinal direction (Kl-segment). If this angle is too large, axial force acting on segment works as force to slide
joint..(See fig.6.4.1.)
Kl-segment can prevent the influence of axial force because its angle of joint is very small.
The design of the K-segment, if used, should consider the geometry of the erection system in the shield (and vice
versa).

27
K-Segment
ωθk/2 θk
α
α=θk/2+ω (Both side-tapered K-segment)
α=θk+ω (One side-tapered K-segment) Equ.6.6.1
Where, α=Angle of joint of K-segment
θk=Central angle of K-segment
ω=Spare angle to insert K-segment(Usually, 2°≦ω≦5°)
Fig.6.4.1Angle of Joint of K-Segment
Direction of insert
A A
Segmental ring
B-Segmnet K-Segment B-Segment
Direction of shield drive
θk θk
Type-1 Type-2
A-ASection
Fig.6.4.2 Joint of K-Segment inserted in Longitudinal Direction

28
6.5 Tapered Segment
Tapered segments are used for the construction of curved alignment or the direction control of shield. The
difference between the maximum width and the minimum width can be calculated with Equ.6.7.1.
δ={(m/n)S+S'}D/(R+D/2) Equ.6.7.1
Where, δ=difference between max.width and min.width of tapered segmental ring
S=Width of standard segmental ring
S'=Max.width of tapered segmental ring
m=Number of standard segmental rings in curved section
n=Number of tapered segmental rings in curved section
D=Outer diameter of tunnel
R=Radius of alignment at the center of tunnel
7. Production of Segments
7.1 Tolerance of dimension
The errors of dimension of produced segments should not be more than the tolerance. They should be minimize to
prevent lealkage and to assemble segments easily and accurately.
7.2 Inspection
The following inspections should be made for segment for the quality control of it. Fig.7.2.1 shows the sequence of
production of segment.
① Inspection of materials
② Inspection of appearance
③ Inspection of shape and dimension
④ Temporary assembly inspection of temporarily assembled segmental ring
⑤ Performance tests (Strength tests)
⑥ Other tests

29
Forms
Inspection of Forms
Receipt of Materials Weighing Mixing Assembling of Reinforcements
Inspection of Materials Concrete Strength Test
High Pressure Curing
Concrete Placing Compaction Steam Curing Removal of Forms
Inspection ofAssembled Re-Bars
Inspection of temporarily
Assembled Segmental Ring
TemporaryAssembling
Curing Shipment
Inspection ofAppearance Strength Tests
Inspection of Shape and Dimension
Extract form Standard Specification for Design and Construction of Tunnelling issued by JSCE
Fig.7.2.1 Sequence of Manufacture of Segments

30
8. Secondary Lining
8.1 General
Secondary lining is constructed with cast-in-place concrete. It is divided into non-structural member and structural
member. The former is executed to reinforce segments, to prevent corrosion and vibration, to improve appearance
of lining and to correct alignment. In the latter case, secondary lining is constructed as a structural member
combined with segmental lining.
8.2 Thichness
The thickness of secondary lining as a non-structural member usually ranges form 15 cm to 30 cm. The thickness
of secondary lining as a structural member is decided in accordance with the result of design calculation.
8.3 Computation of Member Forces
If secondary lining is constructed as a structural member, member forces of secondary lining should be computed
by using loads which act on lining after the completion of secondary lining. In this case, the tunnel lining combined
by the segmental lining and the secondary lining is divided into the double shell structure and the composite
structure in accordance with the smoothness of border between both linings. In case of the double shell structure,
only axial force must be transmitted through the border of both lining and shear force need not to be transmitted
through it. In case of the composite structure, both of axial force and shear force must be transmitted through the
border of both lining by dowelledly jointing both lining or making the surface of border uneven. As a rule, tunnel
lining combined by segmental lining and secondary lining should be treated as the double shell structure.
If secondary lining is a non-structural member, the design calculation of it can be omitted but, for safety, it might be
made by using dead load as load condition. If a waterproofing membrane without the drainage system is placed
before casting the secondary lining, the secondary lining should be designed for the full water pressure, as
maximum.
Assuming that tunnel lining combined by segmental lining and secondary lining is a double shell structure, the
member forces of secondary lining should be computed by any rational method that properly considers the
interaction between the initial lining and the secondary lining and is compatible with the design of the initial lining.
Examples of methods how to compute member forces are as follows.

31
8.3.1 Bedded Frame Model Method
When the member forces of secondary lining are computed with the bedded frame model, the double ring frame
model should be used. In this model, the outer ring simulates the segmental lining and the inner ring simulates the
secondary lining. Fig.8.3.1 shows how to compute member forces of secondary lining with the bedded frame model.
○ : Hinged Joint ● :Rigid Joint
Double Shell Structure Composite Structure
Fig.8.3.1 Bedded Frame Model
8.3.2 Elastic Equation Method
Assuming that loads acting on lining are sustained by segmental lining and secondary lining in proportion to the
magnitude of the flexural rigidity. Equ.9.3.1 calculates the ratio between loads sustained by secondary lining and
total loads. When member forces of secondary lining are calculated, loads multiplied by μ replace corresponding
loads and EI１+EI２ replace EI in Tab.5.2.1.
μ=(E２I２/Rｃ２
4)/(E１I１/Rｃ１
4+ E２I２/Rｃ２
4) …………………………………………. Equ.9.3.1
8.4 How to check the safety of section
The safety of section should be checked with the limit state design method or the allowable stress design method ,
wchich are the same methods as used for the segmental lining.

PART III
REFERENCES
1.Design Example (1)
Refer to “Guidelines-Design Example-1.pdf”.
2.Design Example (2)
Refer to “Guidelines-Design Example-2.pdf”
3.References

REFERENCES
AFTES RECOMMANDATIONS RELATIVES A LA CONCEPTION, LE DIMMENTIONNEMENT ET
L’EXECUTION DES REVETEMENTS EN VOUSSOIRS PREFABLIQUES EN BETON ARME INSTALLES A
L’ARRIERE D’UN TUNNELIER (Recommendation published by French TunnellingAssociation (AFTES))
Specification of Shield Tunnelling for Design and Construction published by Japan Society of Civil Engineers
Ahrens, H., Lindner, E., Lux, K.H., 1982. Zur Dimensionierung von Tunnelausbauten nach den ,,Empfehlungen
zur Berechnung von Tunneln im Lockergestein (1980)". Die Bautechnik, nr.8, pp. 260 - 311.
Atkinson, J.H., Potts, D.M., 1978. Calculation of stresses and deformations around shouldow circular tunnels in
soft ground by the method of associated fields. Computer Methods in tunnel design. The Institution of Civil
Engineers, London, pp. 61 - 84.
Donovan, H.J., 1974. Expanded tunnel linings. Tunnels and Tunnelling. March.
Duddek, H. 1972. Zu den berechnungs methoden und Sicherheit von Tunnelbauten. Der Bauingenieur 47, pp. 44 -
52.
Duddeck, H.,Erdman, J. 1985. On Stuctural Design Models for Tunnels in Soft Soil. Underground Space, vol. 9, Nr.
5-6, pp. 246 - 253.
Fujita, K., Kusakabe, O. Editors. 1995. “Underground Construction in soft ground” Proc. Of the Int. Symp. On
Underground Construction in soft ground. New Delhi, India. Balkema, Roterdam.
T. Iftimie. 1998 Overview and a new hypothesis on earth pressure acting on circular tunnel lining. Proc. of
the world tunnel Congress '98 on Tunnels and Metropolises, Sao Paulo, Brasil, 25-30, April 1998.
(A.A.Balkema/Rotterdam/Brookfield 1998) vol.1, p. 267 - 272.
T. Iftimie. Roatesi S. 1996 The numerical modelling of the shield tunnelling method. Calibration with in situ
measurements. Comptes-rendue des Journees d'etudes Internationales A.F.T.E.S. (Specifique), Lyon, France,
21-24 Oct. 1996, p.39-47.
T. Iftimie. 1996 Acontribution to the concept and structural analysis of precast circular linings for shield driven
tunnels. Ph. D. Thesis, Bucharest, Romania.
T. Iftimie. 1994 Prefabricated Lining, Conceptional Analysis and Comparative Studies for Optimal
Solution. Proc. of the ITA International Congress Tunnelling and Ground Conditions
(A.A.Balkema/Rotterdam/Brookfield/1994),April 1994, Cairo, Egipt, p. 339 - 346.
T. Iftimie. 1992 Design consideration and testings in shield –driven tunnels. Proc. of the ITA International
Congress Towards New Worlds in Tunnelling, Acapulco, Mexic,16- 20 May,
(A.A.Balkema/Rotterdam/Brookfield/1994) p. 321 – 326.
I.T.A. - Working Group on general approaches to the design of tunnels, 1988. Guidelines for the disign of Tunnels.

Tunnelling and Underground Space Technology, nr.3, pp. 237 - 249.
Jansen, P. 1984. Tragverhalten von Tunelausbauten mit Gelenk Tubbings. Brauschweig Techn. Univ. Disertation.
Kastner, H. 1961. Statik des Tunnel und Stolenbaues. Springer - Verlag Berlin.
Lombardi, G., Amberg, W., 1979. L'Influence de la methode de construction sur l'equilibre final d'un tunnel.
Congres International de Mecanique des Roches. Montreaux , Suisse.
Muir - Wood,A.M. 1975. The circular tunnel in elastic ground. Geotechnique 25, nr. 1, p. 115 -127.
Orlov, S.A. 1961. Metodi staticeskogo rasciota tonnelei. Moscow. Gostroiisdat.
Pantet, A, 1991. Creusement de Galeries a faible profoundeur a l'aide d'un tunnelier a pression de boue. These.
Institut National des SciencesAppliquees de Lyon.
Rozsa, L. 1963. Die Bemessung Kreisformiger Tunnelwandungen aus prefabrizierten Stahlbetonelementen nach
dem Verfahren der Grenzbelastungen. Der Bauingenieur 36, Heft 11, p. 434 - 444.
Schulze, H., Duddek, H., 1964. Spannungen in schildvorgetrieben tunneln. Beton and Stahlbetonbau 8, p.169 -
175.
Sechy,K., 1970. TheArt of Tunneling. Akademiai Kiado, Budapest.
These guidelines are published in the Volume 15, Number 3, July-September of Tunnelling
and Underground Space Technology, the official journal of International Tunnelling
Association. All of copyrights including “Guidelines-Fig. 5.2.6.pdf”, “Guidelines-Design
Example-1.pdf” and “Guidelines-Design Example-2.pdf” are reserved by International
TunnellingAssociation.

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