随着我国城市化进程的高速发展，城市隧道的建设规模处于历史的高发展期。盾构法因其自身施工优势，已成为我国城市隧道建设主流施工方法。在盾构隧道施工过程中，其引起的地层变形预测和控制一直是隧道建设工程的核心任务之一。我国广泛分布砂卵石地层，且盾构真实掘进环境中常遇复合地层，如砂卵石等极端不均匀地层，复合地层等非均质地层土体各向异性显著，盾构掘进势必诱发主应力轴旋转的应力路径。然而，当前用于盾构隧道工程数值模拟的本构模型，局限于土体各向同性框架下的共轴假设，难以充分反映实际盾构掘进隧道周围土体力学响应的复杂性。而对地层土体真实力学行为的认识不足，将使城市敏感环境盾构隧道施工安全面临巨大挑战。本文以土体非共轴各向异性本构模型的构建为着眼点，以砂卵石地层、黏-砂复合地层盾构施工掘进为研究对象，依托京张高铁清华园隧道工程，综合采用文献调研、数值模拟、理论分析及模型试验相结合的研究手段，对砂卵石地层及黏-砂复合地层盾构隧道施工诱发的地层变形问题进行了系统研究。针对土体各向异性及非共轴特性提出了二维非共轴各向异性弹塑性本构模型及三维横观各向同性弹塑性本构模型，并通过有限元软件二次开发应用到盾构隧道开挖数值分析中。基于小孔收缩理论，建立了复合地层中隧道开挖平均支护力、地层损失率及地表沉降三者之间相互关联的理论计算公式。通过现场实测及离心模型试验对本文本构模型、数值分析方法及理论解析方法进行了验证。本文的主要内容及研究成果如下：（1）提出了适用于砂、黏及砂卵石土的非共轴各向异性弹塑性本构模型。基于二维各向同性Mohr-Coulomb屈服准则，采用将屈服面椭圆化的形式在塑性阶段实现了对土体初始各向异性的描述，在塑性阶段引入非共轴塑性流动法则，建立了二维非共轴各向异性弹塑性本构模型（NCAM）；基于三维各向同性Mohr-Coulomb屈服准则，为了考虑土体的初始刚度各向异性，在弹性阶段引入了横观各向同性，建立了三维横观各向同性弹塑性本构模型（CAM）。基于修正显式欧拉积分算法和自适应子步长相结合的数值积分算法，针对提出的非共轴各向异性弹塑性本构模型编写代码，并嵌入到数值程序中。利用单剪试验有限元数值模拟和三轴试验有限元数值模拟，测试了NCAM模型和CAM模型在ABAQUS软件单元体及多单元体计算中的有效性和计算能力。（2）首次将考虑土体非共轴各向异性的本构模型应用到盾构隧道施工实际工程中。基于提出的二维非共轴各向异性弹塑性本构模型和三维横观各向同性弹塑性本构模型，系统开展了盾构隧道施工诱发地层变形的二维及三维有限元数值分析，探明了土体各向异性和非共轴特性对地层变形的影响机制，明确了各向异性参数和非共轴参数对地表沉降的影响规律。随着各向异性参数n的减小，隧道轴线上方的最大竖向沉降值增加。各向异性参数n的值越小，计算得到的地表横向沉降槽的形状显得越窄且越陡。当各向异性形状参数β=0 °时，地表横向沉降槽变得“窄而深”。非共轴性很可能同时影响沉降槽的形状和最大值，地表最大竖向沉降随着非共轴参数k的增大而增大。在NCAM模拟中，考虑n=0.6及β=0°时，得到的地表横向沉降槽与现场实测数据较为匹配。在CAM模拟中，当α=0.55 时，数值模拟得到的纵向沉降槽可以与现场实测得到的纵向沉降槽匹配良好。与现有研究相比，采用考虑土体非共轴各向异性的弹塑性本构模型进行盾构隧道施工诱发地表沉降数值模拟，可以得到与现场实测较为匹配的“窄而深”的地表横向沉降槽，提高了城市敏感环境盾构精准穿越的预控能力。（3）建立了复合地层中隧道开挖平均支护力、地层损失率及地表沉降三者之间相互关联的理论预测方法。基于单一均质地层岩土介质小孔收缩理论，推导了复合地层中小孔收缩问题的弹塑性解析解，并将其应用到隧道开挖中，得到了复合地层隧道平均支护力与地层损失之间的理论解析关系。基于Loganathan和Poulos地层变形预测方法，利用Hirai提出的当量厚度换算方法，给出了复合地层盾构隧道开挖引起的地层变形计算方法，明确了各因素对隧道开挖收敛特征曲线的影响。以地层损失为中间变量，建立了复合地层中隧道开挖平均支护力、地层损失率及地表沉降三者之间相互关联的理论计算公式。（4）开展了一组双工况的黏-砂复合地层盾构隧道开挖离心模型试验，得到了黏-砂复合地层盾构开挖引起的地表横向沉降槽和地中位移变化规律。试验结果表明隧道上方覆土的弹性模量对地层变形影响较大；随地层损失率的增加，地表最大沉降呈近似线性增加。针对离心模型试验结果得到的地表沉降进行预测分析，综合判断三种地表沉降预测方法的有效性和可行性，本文数值模拟预测方法相对于本文理论解析方法、Peck曲线拟合结果而言，预测结果更好。进一步地说明，在盾构隧道开挖引起的地层变形预测时，将土体的非共轴各向异性考虑进去十分有必要。（5）以确保盾构机的安全高效顺利掘进和周围既有建（构）筑物的正常使用为目标，基于数值模拟、理论分析及离心模型试验，考虑了土体非共轴各向异性，形成了一套优势互补、相互印证、合理且有效的盾构隧道施工诱发地层变形的预测方法。

With the rapid development of urbanization in China, the construction scale of urban tunnels is in a historical period of high development. Shield method has become the mainstream construction method of urban tunnel construction in China due to its own construction advantages. The prediction and control of soil deformation caused by shield tunnel construction has always been one of the key tasks of tunnel construction projects. There are widely distributed sandy cobble soil with inhomogeneous soil properties in China. In addition, composite strata are often encountered in the real environment of shield tunnelling, such as extremely uneven strata of sandy pebbles. The anisotropy of soil in heterogeneous strata such as composite strata is significant, and shield tunnelling is bound to induce the principal stress axis rotation. However, the current constitutive models for numerical simulation of shield tunnel engineering are limited to the coaxial assumption under the isotropic framework of soil, which is difficult to fully reflect the complexity of the mechanical response of the soil around the real shield tunnel. The lack of understanding of the true mechanical behavior of soil will make the safety of shield tunnel construction in urban sensitive environment face great challenges.In this paper, the construction of non-coaxial anisotropic constitutive model of soil were taken as the basic starting point, shield tunnelling in sandy cobble soil and clay-sand composite stratum was takeing as the research object, and the Tsinghuayuan Tunnel of Beijing-Zhangjiakou High-speed Railway was taken as the engineering background. The research methods combining literature survey, numerical simulation, theoretical analysis and model test were all performed to systematically investigate the soil deformation induced by shield tunnel construction in sandy cobble stratum and silty clay-medium coarse sand composite stratum. A two-dimensional non-coaxial anisotropic elastoplastic constitutive model and a three-dimensional cross-anisotropic elastoplastic constitutive model were proposed for the anisotropy and non-coaxiality of soil, which are applied to the numerical analysis of shield tunnel excavation through the secondary development of finite element software. Based on the cavity contraction, a closed-form solution for the correlation among the average support force, volume loss rate and surface settlement of tunnel excavation in composite strata was established. The constitutive model, numerical analysis method and theoretical analysis method were verified by field data and centrifugal model test. The main research work and conclusions are as follows:(1) Non-coaxial anisotropic elastoplastic constitutive models suitable for sandy cobble soil and clay-sand composite stratum was proposed. Based on the two-dimensional isotropic Mohr-Coulomb yield criterion, the initial anisotropy of soil was described by ellipticizing the yield surface in the plastic stage combined with the non-coaxial plastic flow rule introduced in the plastic stage, and the two-dimensional non-coaxial anisotropic elastoplastic constitutive model is established. Based on the three-dimensional isotropic Mohr-Coulomb yield criterion, in order to consider the initial stiffness anisotropy of soil, the cross-anisotropy was introduced in the elastic stage, and the three-dimensional cross-anisotropic elastoplastic constitutive model is established. Based on the numerical integration algorithm combined with the modified explicit Euler integration algorithm and the adaptive substepping schemes, the code was written for the proposed non-coaxial anisotropic elastoplastic constitutive model and embedded into the numerical program. Using the finite element numerical simulation of single shear test and triaxial test, the effectiveness and calculation ability of NCAM model and CAM model in ABAQUS software element and multi-element calculation were tested.(2) For the first time, the constitutive model considering non-coaxiality and anisotropy of soil was applied to the practical engineering of shield tunnel construction. Based on the proposed two-dimensional non-coaxial anisotropic elastoplastic constitutive model and three-dimensional cross-anisotropic elastoplastic constitutive model, the two-dimensional and three-dimensional finite element numerical analysis of soil deformation induced by shield tunnel construction was systematically carried out. The influence mechanism of soil anisotropy and non-coaxiality on soil deformation was proved, and the influence law of anisotropic parameters and non-coaxial parameters on surface settlement was clarified. With the decrease of anisotropic parameter n, the maximum vertical settlement above the tunnel axis increases. The smaller the anisotropic parameter n is, the narrower and steeper the shape of the calculated surface transverse settlement trough is. When the anisotropic shape parameter β=0 °, the transverse settlement trough becomes “narrow and deep”. Non-coaxiality is likely to affect the shape and maximum value of the settlement trough at the same time. The maximum vertical settlement of the surface increases with the increase of the non-coaxial parameter k. However, the results are not satisfactory due to the small volume loss. In NCAM simulation, when n=0.6 and β=0°are considered, the obtained surface transverse settlement trough is almost consistent with the field data. In CAM simulation, when α=0.55 , the longitudinal settlement trough obtained by numerical simulation can match well with the measured longitudinal settlement trough. Compared with the existing research, the elastoplastic constitutive model considering the non-coaxiality and anisotropy of soil is used to conduct the numerical simulation of surface settlement induced by shield tunnel construction, and the “narrow and deep” transverse settlement trough that is more matched with the field data can be obtained, which improves the pre-control ability of shield tunnelling in urban sensitive environment.(3) The theoretical prediction method for the correlation among the average support force, volume loss rate and surface settlement of tunnel excavation in composite strata was established. Based on the cavity contraction of single homogeneous soil medium, the closed-form solution for the cavity contraction problem in composite strata was derived, and it is applied to tunnel excavation. The theoretical analytical relationship between the average support force of the tunnel in composite strata and the volume loss was obtained. Combined with Loganathan and Poulos soil deformation prediction method and equivalent thickness conversion method proposed by Hirai, the soil deformation calculation method caused by shield tunnel excavation in composite stratum was given, and the influence of various factors on tunnel excavation convergence characteristic curve was clarified. Taking the volume loss as the intermediate variable, the theoretical calculation formula of the correlation among the average support force, volume loss rate and surface settlement of tunnel excavation in composite stratum was established.(4) The centrifugal model test of shield tunnel excavation in silty clay-medium coarse sand composite stratum was carried out, and the transverse settlement trough and ground displacement caused by shield excavation in silty clay-medium coarse sand composite stratum were obtained. The test results show that the elastic modulus of the overburden above the tunnel has a great influence on the soil deformation. With the increase of volume loss rate, the maximum surface settlement increases approximately linearly. According to the prediction and analysis of the surface settlement obtained from the centrifugal model test results, the effectiveness and feasibility of the three surface settlement prediction methods were comprehensively judged, and the NCAM numerical simulation results are relatively good. It further shows that it is necessary to consider the non-coaxiality and anisotropy of soil in the prediction of soil deformation caused by shield tunnel excavation.(5) In order to ensure the safe, efficient and smooth excavation of the shield machine and the normal use of the surrounding existing buildings, based on numerical simulation, theoretical analysis and centrifugal model test, considering the non-coaxiality and anisotropy of the soil, a set of complementary advantages, mutual confirmation, reasonable and effective prediction method of soil deformation induced by shield tunnel construction was formed.

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