ce.umn.

edu
University of Minnesota
Department of Civil Engineering
[Last revision – June 06]
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T0-1]
Class notes on Underground Excavations in Rock
Topic 0:
Table of contents
written by
Dr. C. Carranza-Torres and
Prof. J. Labuz
These series of notes have beenwrittenfor the course RockMechanics II,
CE/GeoE 4311, co-taught by Prof. J. Labuz and Dr. C. Carranza-Torres
in the Spring 2006 at the Department of Civil Engineering, University
of Minnesota, USA.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T0-2]
List of topics covered in notes
1. Introduction to tunnelling. Methods and equipment
2. Review of some fundamental equations of solid mechanics
3. Elastic solution of a circular tunnel
4. Introduction to numerical modelling
5. Strength and inelastic deformation of rock
6. Elasto-plastic solution of a circular tunnel
7. Review of some fundamental equations of mechanics of beams
8. Elastic solution of a closed annular support
9. Convergence-Confinement Method of tunnel support design
10. Reinforcement in tunnels
11. Stability of shallow tunnels
ce.umn.edu
University of Minnesota
Department of Civil Engineering
[Last revision – June 06]
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T1-1]
Class notes on Underground Excavations in Rock
Topic 1:
Introduction to tunnelling. Methods and equipment
written by
Dr. C. Carranza-Torres and
Prof. J. Labuz
These series of notes have beenwrittenfor the course RockMechanics II,
CE/GeoE 4311, co-taught by Prof. J. Labuz and Dr. C. Carranza-Torres
in the Spring 2006 at the Department of Civil Engineering, University
of Minnesota, USA.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T1-2]
Tunnelling Methods
Sketch from‘Underground rock excavation. Know-howand equipment’. Atlas Copco
Tunnelling and Mining AB, S-105 23 Stockholm, Sweden.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
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[UE-T1-3]
Drilling and Blasting Method
The drill and blast cycle:
1. Drilling and surveying
2. Charging with explosives
3. Blasting and ventilation
4. Loading and hauling
5. Scaling and cleaning
6. Rock bolting
(Sketch is adapted from Tamrock Corporation, www.tamrock.sandvik.com)
ce.umn.edu
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Department of Civil Engineering
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[UE-T1-4]
Blasting patterns
(From Hoek E., 2000, ‘Rock Engineering’, Chapter 16, www.rocscience.com)
ce.umn.edu
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[UE-T1-5]
Explosives
(www.austinpowder.com)
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[UE-T1-6]
Drilling rods and drilling bits
(www.mmc.co.jp/english/business/rocktool.html)
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[UE-T1-7]
Common equipment found in tunnelling sites
Drilling Jumbos
(www.atlascopco.com and www.tamrock.sandvik.com)
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[UE-T1-8]
Common equipment found in tunnelling sites
Loaders and trucks
(www.toro.sandvik.com and www.casece.com)
ce.umn.edu
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[UE-T1-9]
Common equipment found in tunnelling sites
Excavators
(www.casece.com and www.hitachiconstruction.com)
ce.umn.edu
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[UE-T1-10]
Common equipment found in tunnelling sites
Bolting jumbos
(www.tamrock.sandvik.com)
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[UE-T1-11]
Common equipment found in tunnelling sites
Scalers or breakers
(www.rockbreaker.com)
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[UE-T1-12]
Common equipment found in tunnelling sites
Shotcrete Equipment
A- Manual spraying
B- Robotic spraying
ce.umn.edu
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[UE-T1-13]
Common equipment found in tunnelling sites
Robotic Sprayers
(Model shown is Sika PM500 PC – www.putzmeister.de)
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[UE-T1-14]
Common equipment found in tunnelling sites
Lifters
Normet equipment (www.normetusa.com)
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[UE-T1-15]
Other equipment found in tunnelling sites
Improvement of tunnel front
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[UE-T1-16]
Other equipment found in tunnelling sites
Mortar injection and backfilling equipment
(www.putzmeister.de)
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[UE-T1-17]
Other equipment found in tunnelling sites
Pusher leg rock drills
(www.partshq.com)
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[UE-T1-18]
Images of tunnel excavation by traditional method
1. Video showing general description of the Gotthard Tunnel project,
Switzerland (www.alptransit.com).
2. Video showing impressions of excavation at the Gotthard Tunnel,
Switzerland (www.alptransit.com).
3. Video showing blasting at Gotthard Tunnel, Switzerland
(www.alptransit.com).
4. Photographs at various tunnelling sites.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
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[UE-T1-19]
Tunnel excavation by mechanized means
Classification based on the type of ground support
provided by the machine
1. No ground support → Roadheader
2. Periphery → Open face Tunnel Boring Machine
or TBM (used in hard ground)
3. Front → EPBM (Earth Pressure BalanceMachine)
→ Slurry shield (used in soft ground below
the phreatic surface)
(A complete classification of mechanized methods of tunnel excavation can be found
inAFTES, 2000, ‘Recommendations for choosing mechanized tunnelling techniques’,
available at www.aftes.asso.fr)
ce.umn.edu
University of Minnesota
Department of Civil Engineering
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[UE-T1-20]
Roadheaders
(www.vab.sandvik.com)
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[UE-T1-21]
Advance by TBM (Tunnel Boring Machine)
Sketch from‘Underground rock excavation. Know-howand equipment’. Atlas Copco
Tunnelling and Mining AB, S-105 23 Stockholm, Sweden.
ce.umn.edu
University of Minnesota
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available for downloading at
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[UE-T1-22]
Advance by TBM (Tunnel Boring Machine)
(www.alptransit.ch)
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[UE-T1-23]
EPBM - Earth Pressure Balance (1)
Sketches from booklet ‘Hitachi Shield Machines’, Hitachi Construction Machinery
Co., Ltd., www.hitachi-c-m.com
ce.umn.edu
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[UE-T1-24]
EPBM - Earth Pressure Balance (2)
Sketches from booklet ‘Hitachi Shield Machines’, Hitachi Construction Machinery
Co., Ltd., www.hitachi-c-m.com
ce.umn.edu
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[UE-T1-25]
Slurry shield (1)
Sketches from booklet ‘Hitachi Shield Machines’, Hitachi Construction Machinery
Co., Ltd., www.hitachi-c-m.com
ce.umn.edu
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[UE-T1-26]
Slurry shield (2)
Sketches from booklet ‘Hitachi Shield Machines’, Hitachi Construction Machinery
Co., Ltd., www.hitachi-c-m.com
ce.umn.edu
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[UE-T1-27]
Segmental lining used with EPBM and Slurry Shields
(adapted fromAFTES, 2000, ‘The design, sizing and construction of precast concrete
segments installedat the rear of aTunnel BoringMachine’, available at www.aftes.asso.fr)
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Department of Civil Engineering
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available for downloading at
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[UE-T1-28]
Microtunnelling
(www.lovat.com)
ce.umn.edu
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[UE-T1-29]
Recommended references
• Hoek E., 2000, ‘Rock Engineering. Course Notes by Evert Hoek’.
Available for downloading at ‘Hoek’s Corner’, www.rocscience.com
• U.S. Army Corps of Engineers, 1997, ‘Tunnels and shafts in rock’.
Available for downloading at www.usace.army.mil
• AFTES Recommendations available in English. A series of PDF doc-
uments on different topics related to tunnelling that can be downloaded
at www.aftes.asso.fr
• For a series of short, clearly presented notes with recommendations
about different aspects of tunnelling design with traditional methods
(e.g., face drilling, blasting, rock reinforcement, etc.), see
http://sg01.atlascopco.com/SGSite/default app.asp
•For informationabout GotthardTunnel (includingvideos, photographs,
etc.) see www.alptransit.ch
• For information about on-going tunnel projects around the world see
www.tunnelintelligence.com
• Visit the web sites indicated in the previous slides on particular topics
of interest
ce.umn.edu
University of Minnesota
Department of Civil Engineering
[Last revision – June 06]
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T2-1]
Class notes on Underground Excavations in Rock
Topic 2:
Review of some fundamental equations of
solid mechanics
written by
Dr. C. Carranza-Torres and
Prof. J. Labuz
These series of notes have beenwrittenfor the course RockMechanics II,
CE/GeoE 4311, co-taught by Prof. J. Labuz and Dr. C. Carranza-Torres
in the Spring 2006 at the Department of Civil Engineering, University
of Minnesota, USA.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T2-2]
Equilibrium of forces – Cartesian coordinate system (2D)
∂σ
x
∂x
+
∂τ
xy
∂y
+ρβ
x
= 0 (1)
∂τ
xy
∂x
+
∂σ
y
∂y
+ρβ
y
= 0 (2)
Note that τ
xy
= τ
yx
(from equilibrium of moments)
ce.umn.edu
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available for downloading at
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[UE-T2-3]
Equilibrium of forces in cylindrical coordinate system (2D)
∂σ
r
∂r
+
1
r
∂τ

∂θ
+
σ
r
−σ
θ
r
+ρβ
r
= 0 (3)
∂τ

∂r
+
1
r
∂σ
θ
∂θ
+2
τ

r
+ρβ
θ
= 0 (4)
Note that σ

= σ
θr
(from equilibrium of moments)
ce.umn.edu
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available for downloading at
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[UE-T2-4]
Definition of Strains – Cartesian coordinate system (2D)
ε
x
= −
∂u
x
∂x
(5)
ε
y
= −
∂u
y
∂y
(6)
γ
xy
= −

∂u
x
∂y
+
∂u
y
∂x

(7)
ce.umn.edu
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Department of Civil Engineering
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[UE-T2-5]
Strains in cylindrical coordinate system (2D)
ε
r
= −
∂u
r
∂r
(8)
ε
θ
= −

u
r
r
+
1
r
∂u
θ
∂θ

(9)
γ

= −

∂u
θ
∂r

u
θ
r
+
1
r
∂u
r
∂θ

(10)
ce.umn.edu
University of Minnesota
Department of Civil Engineering
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available for downloading at
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[UE-T2-6]
Elasticity equations – Isotropic material
General 3D case, for the normal component of the stresses,
σ
x
= (λ +2G)ε
x
+λε
y
+λε
z
(11)
σ
y
= λε
x
+(λ +2G)ε
y
+λε
z
(12)
σ
z
= λε
x
+λε
y
+(λ +2G)ε
z
(13)
In the equations above λ is the Lamé’s constant and G is the Shear
modulus of the material.
ce.umn.edu
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[UE-T2-7]
Elasticity equations – Isotropic material
For the shear component of stresses
τ
xy
= Gγ
xy
(14)
τ
yz
= Gγ
yz
(15)
τ
xz
= Gγ
xz
(16)
ce.umn.edu
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available for downloading at
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[UE-T2-8]
Elasticity equations – Isotropic material
Relationship between elastic constants
λ =

(1 +ν)(1 −2ν)
(17)
G =
E
2(1 +ν)
(18)
In the equations above E is the Young’s modulus and ν is the Poisson’s
ratio.
Note also the following relationships (to be used later when deriving
elastic solutions)
2 (λ +G) =
E
(1 +ν)(1 −2ν)
=
2G
1 −2ν
(19)
λ +2G =
(1 −ν)E
(1 +ν)(1 −2ν)
(20)
ce.umn.edu
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[UE-T2-9]
Plane strain analysis
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[UE-T2-10]
Elasticity equations – plane strain
For plane strain conditions, we consider ε
z
= γ
xz
= γ
yz
= 0 in equa-
tions 11 through 16, and therefore these equations become
σ
x
= (λ +2G)ε
x
+λε
y
(21)
σ
y
= λε
x
+(λ +2G)ε
y
(22)
τ
xy
= Gγ
xy
(23)
Expressed in terms of E and ν, the equations are,
σ
x
=
E(1 −ν)
(1 +ν)(1 −2ν)

ε
x
+
ν
1 −ν
ε
y

(24)
σ
y
=
E(1 −ν)
(1 +ν)(1 −2ν)

ν
1 −ν
ε
x

y

(25)
τ
xy
=
E
2(1 +ν)
γ
xy
(26)
ce.umn.edu
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[UE-T2-11]
Elasticity equations – plane strain
The equations above can be inverted and expressed in terms of strains
too,
ε
x
=
1 +ν
E

(1 −ν)σ
x
−νσ
y

(27)
ε
y
=
1 +ν
E

(1 −ν)σ
y
−νσ
x

(28)
γ
xy
=
2(1 +ν)
E
τ
xy
(29)
For plane strain problems, it can be shown that
σ
z
= λ(ε
x

y
) = ν(σ
x

y
) (30)
The equations presented above are also valid for cylindrical coordinates,
in such case σ
r
∼ σ
x
, σ
θ
∼ σ
y
, σ

∼ σ
xy
, ε
r
∼ ε
x
, ε
θ
∼ ε
y
and
γ

∼ γ
xy
ce.umn.edu
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[UE-T2-12]
Example of simple elastic analysis:
Loading of unconfined body in plane strain
σ
y
= p
y
ε
y
=
1 −ν
2
E
p
y
u
y
(y) = −
1 −ν
2
E
p
y
y
u
y
(H) = −
1 −ν
2
E
p
y
H
σ
x
= 0
ε
x
= −
(1 +ν)ν
E
p
y
u
x
(x) =
(1 +ν)ν
E
p
y
x
u
x
(B/2) =
(1 +ν)ν
E
p
y
B/2
ce.umn.edu
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available for downloading at
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[UE-T2-13]
Example of simple elastic analysis:
Loading of confined body in plane strain
σ
y
= p
y
ε
y
=
(1 +ν)(1 −2ν)
(1 −ν)E
p
y
u
y
(y) = −
(1 +ν)(1 −2ν)
(1 −ν)E
p
y
y
u
y
(H) = −
(1 +ν)(1 −2ν)
(1 −ν)E
p
y
H
σ
x
=
ν
1 −ν
p
y
ε
x
= 0
u
x
(x) = 0
u
x
(B/2) = 0
ce.umn.edu
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[UE-T2-14]
Example of simple elastic analysis:
Gravity loading of confined body
σ
y
= ρg(H −y)
ε
y
=
(1 +ν)(1 −2ν)
(1 −ν)E
ρg(H −y)
u
y
(y) = −
(1 +ν)(1 −2ν)
(1 −ν)E
ρgy

H −
y
2

u
y
(H) = −
(1 +ν)(1 −2ν)
(1 −ν)E
ρg
H
2
2
σ
x
=
ν
1 −ν
ρg(H −y)
ε
x
= 0
u
x
(x) = 0
u
x
(B/2) = 0
ce.umn.edu
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[UE-T2-15]
Recommended References
• Brady B.H.G. and E.T. Brown, 2004, ‘Rock Mechanics for Under-
ground Mining’, 3rd Edition, Kluwer Academic Publishers
• Jaeger J. C. and N. G.W. Cook, 1979, ‘Fundamentals of rock mechan-
ics’, John Wiley & Sons
• Timoshenko S. P. and J. N. Goodier, 1970, ‘Theory of Elasticity’, 3rd
Edition, Mc. Graw Hill, NewYork
• Chi P.C. and N. Pagano, 1967, ‘Elasticity, Tensor, Dyadic, and Engi-
neering Approaches’ (Originally published by Nostrand Company, Inc.,
Princeton), republished by Dover (1992)
ce.umn.edu
University of Minnesota
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[Last revision – June 06]
These notes are
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[UE-T3-1]
Class notes on Underground Excavations in Rock
Topic 3:
Elastic solution of a circular tunnel
written by
Dr. C. Carranza-Torres and
Prof. J. Labuz
These series of notes have beenwrittenfor the course RockMechanics II,
CE/GeoE 4311, co-taught by Prof. J. Labuz and Dr. C. Carranza-Torres
in the Spring 2006 at the Department of Civil Engineering, University
of Minnesota, USA.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T3-2]
General form of Lamé’s solution
σ
r
=
σ
B
r
R
2
B
−σ
A
r
R
2
A
R
2
B
−R
2
A

σ
B
r
−σ
A
r

R
2
A
R
2
B
R
2
B
−R
2
A
(1)
σ
θ
=
σ
B
r
R
2
B
−σ
A
r
R
2
A
R
2
B
−R
2
A
+

σ
B
r
−σ
A
r

R
2
A
R
2
B
R
2
B
−R
2
A
(2)
u
r
= −
1 −2ν
2G
σ
B
r
R
2
B
−σ
A
r
R
2
A

R
2
B
−R
2
A
r −

σ
B
r
−σ
A
r

R
2
A
R
2
B
2G

R
2
B
−R
2
A

1
r
(3)
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[UE-T3-3]
Particular case of Lamé’s solution
Elastic solution of a thin annular ring (1)
We consider R
A
→R (1 −t /R), R
B
→R and r →R in equations (1)
through (3). Also, we consider σ
B
r
→p
s
and σ
A
r
→0.
Then the solution for radial displacement results to be,
u
r
R
= −
2 −2ν −2t /R +(t /R)
2
2G(2 −t /R) t /R
p
s
(4)
ce.umn.edu
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[UE-T3-4]
Particular case of Lamé’s solution
Elastic solution of a thin annular ring (2)
Also, with the previous assumptions the solution for the radial and hoop
stresses (at r = R) are, respectively
σ
r
= p
s
(5)
σ
θ
=
2 −2t /R +(t /R)
2
(2 −t /R) t /R
p
s
(6)
Assuming the ratio t /R is small, the thrust T
s
can be computed from
equation (6) as σ
θ
×t , i.e.,
T
s
=
2 −2t /R +(t /R)
2
2 −t /R
R p
s
(7)
For thin annular rings, taking the limit lim
t /R→0
T
s
, we get
T
s
= Rp
s
(8)
Equation (8) is the same equation obtained by applying the theory of
thin curved arches, and is a fundamental relationship used in the design
of tunnel liners.
ce.umn.edu
University of Minnesota
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[UE-T3-5]
Particular case of Lamé’s solution
Elastic medium loaded at infinity – no excavation
We consider R
A
→ 0, R
B
→ ∞, σ
A
r
→ 0 and σ
B
r
= σ
o
in equations
(1), (2) and (3).
Then Lamé’s solution results to be
σ
r
= σ
θ
= σ
o
(9)
u
r
= −
1 −2ν
2G
σ
o
r (10)
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[UE-T3-6]
Particular case of Lamé’s solution
Elastic excavated medium — loaded at infinity and inside the opening
We consider R
A
= R, R
B
→∞(or R
A
/R
B
→0),
σ
A
r
= p
i
and σ
B
r
= σ
o
in equations (1), (2) and (3).
The solution for stresses are,
σ
r
= σ
o
−(σ
o
−p
i
)

R
r

2
(11)
σ
θ
= σ
o
+(σ
o
−p
i
)

R
r

2
(12)
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[UE-T3-7]
Particular case of Lamé’s solution
Elastic excavated medium — loaded at infinity and inside the opening
The solution for the radial displacement is
u
TOT
r
= u
INI
r
+u
IND
r
(13)
where
u
INI
r
= −
1 −2ν
2G
σ
o
r (14)
u
IND
r
= −
1
2G

o
−p
i
)
R
2
r
(15)
In the pre-stressed medium where excavation takes place the induced
component of displacement has engineering significance only, thus u
r
=
u
IND
r
, or
u
r
= −
1
2G

o
−p
i
)
R
2
r
(16)
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[UE-T3-8]
Lamé’s solution for a circular tunnel — graphical representation
The solution for stresses is,
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[UE-T3-9]
Lamé’s solution for a circular tunnel — graphical representation
The stresses can be represented in a σ
θ
vs σ
r
diagram as follows (this is
useful for deriving the elasto-platic solution of a circular tunnel)
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[UE-T3-10]
Lamé’s solution for a circular tunnel — graphical representation
The solution for displacements is
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[UE-T3-11]
Example of elastic analysis of a tunnel (1)
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[UE-T3-12]
Example of elastic analysis of a tunnel (2)
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Example of elastic analysis of a tunnel (3)
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[UE-T3-14]
Elastic solutions for tunnel problems — Historical perspective (1)
From Fairhurst, C. and C. Carranza-Torres, 2002 (see Recommended References)
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Elastic solutions for tunnel problems — Historical perspective (2)
From Fairhurst, C. and C. Carranza-Torres, 2002 (see Recommended References)
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[UE-T3-16]
Elastic solutions for tunnel problems — Historical perspective (3)
From Fairhurst, C. and C. Carranza-Torres, 2002 (see Recommended References)
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[UE-T3-17]
Recommended References
• Brady B.H.G. and E.T. Brown, 2004, ‘Rock Mechanics for Under-
ground Mining’, 3rd Edition, Kluwer Academic Publishers.
• Jaeger J. C. and N. G.W. Cook, 1979, ‘Fundamentals of rock mechan-
ics’, John Wiley & Sons.
• Savin G. N. ‘Stress Concentration Around Holes’, Pergamon Press,
London, 1961.
• Fairhurst, C. and C. Carranza-Torres, 2002, ‘Closing the circle’. In J.
Labuz and J. Bentler (Eds.), Proceedings of the 50 th Annual Geotech-
nical Engineering Conference. St. Paul, Minnesota, February 22, 2002.
University of Minnesota.
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[Last revision – June 06]
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[UE-T4-1]
Class notes on Underground Excavations in Rock
Topic 4:
Introduction to numerical modelling
written by
Dr. C. Carranza-Torres and
Prof. J. Labuz
These series of notes have beenwrittenfor the course RockMechanics II,
CE/GeoE 4311, co-taught by Prof. J. Labuz and Dr. C. Carranza-Torres
in the Spring 2006 at the Department of Civil Engineering, University
of Minnesota, USA.
ce.umn.edu
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Department of Civil Engineering
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[UE-T4-2]
Classification of methods of analysis in geomechanics
Adapted from Potts D. et al., 2002, ‘Guidelines for the use of advanced numerical
analysis in geotechnical engineering’, Thomas Telford Publishing, London.
ce.umn.edu
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[UE-T4-3]
Classification of numerical methods used in rock mechanics
1. Finite Element Method (FEM)
2. Boundary Element Method (BEM)
3. Finite Difference Method (FDM)
4. Discrete Element Method (DEM)
See, for example, Brady B.H.G. and E.T. Brown, 2004, ‘Rock Mechanics for Under-
ground Mining’, 3rd Edition, Kluwer Academic Publishers
ce.umn.edu
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Department of Civil Engineering
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[UE-T4-4]
Commercial and freeware software used in rock mechanics problems
1. Finite Element Method (FEM)
→ Phase2 (www.rocscience.com)
→ DEMON —available in reference (∗)
2. Boundary Element Method (BEM)
→ Examine2D (www.rocscience.com)
→ TWOFS/TWODD/TWOBI —available in reference (∗∗)
3. Finite Difference Method (FDM)
→ FLAC/FLAC3D (www.itascacg.com)
4. Discrete Element Method (DEM)
→ UDEC/3DEC/PFC/PFC3D (www.itascacg.com)
→ DDA —available at www.ce.berkeley.edu/geo/research/DDA
(∗) Beer G. and J. O. ‘Watson, Introduction to Finite and Boundary Element Methods
for Engineers’. John Wiley & Sons, 1992
(∗∗) Crouch S. L. and A. M. Starfield. ‘Boundary Element Methods in Solid Mechan-
ics: With Application in Rock Mechanics and Geological Engineering’. George Allen
& Unwin, London, 1983
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[UE-T4-5]
Example of analysis using FEM. Stress redistribution around tunnel
From Zienkiewicz O.C. and R.L. Taylor, 2000, ‘The Finite Element Method’, Volume
I: The Basis. 5th Edition. Butterworth-Heinemann
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[UE-T4-6]
Example of analysis using FEM. Rock-support interaction
From Wittke W., 1990, ‘Rock Mechanics. Theory and Applications with Case Histo-
ries’. Springer-Verlag
ce.umn.edu
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[UE-T4-7]
Example of analysis using BEM. Excavation near a fault
From Crouch S. L. and A. M. Starfield. ‘Boundary Element Methods in Solid Me-
chanics: With Application in Rock Mechanics and Geological Engineering’. George
Allen & Unwin, London, 1983
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[UE-T4-8]
Example of analysis using DEM. Tunnel in jointed rock mass
From Pande G.N., Beer G. and J.R. Williams, 1990, ‘Numerical Methods in Rock
Mechanics’. John Wiley & Sons Ltd.
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[UE-T4-9]
Example of advanced numerical modelling
FLAC3D analysis of rockbolt loading behind a TBM
Modelling by C. Carranza-Torres in collaboration with Geodata Spa (www.geodata.it),
Torino, Italy (2004). FLAC3D is developed and commercialized by Itasca
(www.itascacg.com)
ce.umn.edu
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Department of Civil Engineering
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available for downloading at
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[UE-T4-10]
Example of advanced numerical modelling
FLAC3D analysis of subsidence due to EPBM excavation (1)
Modelling by C. Carranza-Torres in collaboration with Geodata Spa (www.geodata.it),
Torino, Italy (2004) — FLAC3D is developed and commercialized by Itasca
(www.itascacg.com)
ce.umn.edu
University of Minnesota
Department of Civil Engineering
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available for downloading at
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[UE-T4-11]
Example of advanced numerical modelling
FLAC3D analysis of subsidence due to EPBM excavation (2)
Modelling by C. Carranza-Torres in collaboration with Geodata Spa (www.geodata.it),
Torino, Italy (2004) — FLAC3D is developed and commercialized by Itasca
(www.itascacg.com)
ce.umn.edu
University of Minnesota
Department of Civil Engineering
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available for downloading at
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[UE-T4-12]
Example of advanced modelling
FLAC3D thermo-mechanical analysis of underground repository (1)
Modelling by C. Carranza-Torres, B. Damjanac and T. Brandshug from Itasca Con-
sulting Group, Minneapolis (2002) — FLAC3D is developed and commercialized by
Itasca (www.itascacg.com)
ce.umn.edu
University of Minnesota
Department of Civil Engineering
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available for downloading at
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[UE-T4-13]
Example of advanced modelling
FLAC3D thermo-mechanical analysis of underground repository (2)
Modelling by C. Carranza-Torres, B. Damjanac and T. Brandshug from Itasca Con-
sulting Group, Minneapolis (2002) — FLAC3D is developed and commercialized by
Itasca (www.itascacg.com)
ce.umn.edu
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available for downloading at
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[UE-T4-14]
Example of advanced numerical modelling
UDEC analysis of stabilizing effect of rockbolts in granular material
Modelling by C. Carranza-Torres in collaboration with Dr. E. Hoek (2003). Descrip-
tion of the physical model and animated version of the UDEC models available at
‘Hoek’s corner’, ‘Discussion Papers’, www.rocscience.com — UDEC is developed
and commercialized by Itasca (www.itascacg.com)
ce.umn.edu
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available for downloading at
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[UE-T4-15]
Example of advanced modelling
Stability analysis of a large landslide — 3DEC analysis
Modelling by C. Carranza-Torres, in collaboration with Prof. M. Diederichs and Prof.
J. Hutchinson, Geological Engineering Group (www.geol.ca), Queen’s University, On-
tario (2006) —3DECis developed and commercialized by Itasca (www.itascacg.com)
ce.umn.edu
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available for downloading at
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[UE-T4-16]
Example of advanced modelling
PFC2D/PFC3D modelling of forces generated by a block of rock
that breaks at impact with metal canister (1)
ModellingbyC. Carranza-Torres incollaborationwithProf. C. Fairhurst (see Fairhurst,
C. and C. Carranza-Torres, 2002, ‘Closing the circle’. In J. Labuz and J. Bentler (Eds.),
Proceedings of the 50 th Annual Geotechnical Engineering Conference. St. Paul,
Minnesota, February 22, 2002. University of Minnesota.) — PFC2D and PFC3D are
developed and commercialized by Itasca (www.itascacg.com)
ce.umn.edu
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available for downloading at
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[UE-T4-17]
Example of advanced modelling
PFC2D/PFC3D modelling of forces generated by a block of rock
that breaks at impact with metal canister (2)
ModellingbyC. Carranza-Torres incollaborationwithProf. C. Fairhurst (see Fairhurst,
C. and C. Carranza-Torres, 2002, ‘Closing the circle’. In J. Labuz and J. Bentler (Eds.),
Proceedings of the 50 th Annual Geotechnical Engineering Conference. St. Paul,
Minnesota, February 22, 2002. University of Minnesota.) — PFC2D and PFC3D are
developed and commercialized by Itasca (www.itascacg.com)
ce.umn.edu
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Department of Civil Engineering
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available for downloading at
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[UE-T4-18]
The Finite Element Method (FEM) – Basic steps
Note: Steps marked with ‘∗’ require user intervention
(Adapted from Desai and Christian, 1977, ‘Numerical Method in Geotechnical Engi-
neering’, Chapter 1, John Wiley)
ce.umn.edu
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[UE-T4-19]
FEM Analysis
Step 1: Problem definition
F
1
= 15.81 kN
F
x1
= 5 kN
F
y1
= 15 kN
α
1
= 18.43

F
2
= 22.36 kN
F
x2
= 10 kN
F
y2
= 20 kN
α
2
= 26.57

ρ = 2500 kg/m
3
E = 10 GPa
ν = 0.25
σ
o
x
= 200 kPa
σ
o
y
= 100 kPa
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[UE-T4-20]
FEM Analysis
Step 2: Selection of shape functions and discretization (1)
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[UE-T4-21]
FEM Analysis
Step 2: Selection of shape functions and discretization (2)
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[UE-T4-22]
FEM Analysis
Step 2: Selection of shape functions and discretization (3)
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[UE-T4-23]
FEM Analysis
Step 3: Derivation of element equations (1)
We will illustrate the analysis for the case of 3-Node triangular elements
The vector of nodal displacements {u
e
} and the vector of nodal forces
{q
e
} are
{u
e
} =
_
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
_
u
xi
u
yi
u
xj
u
yj
u
xk
u
yk
_
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
_
{q
e
} =
_
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
_
q
xi
q
yi
q
xj
q
yj
q
xk
q
yk
_
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
_
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[UE-T4-24]
FEM Analysis
Step 3: Derivation of element equations (2)
The vector of (element) initial stresses {σ
e
o
} and the vector of (element)
body forces {b
e
} are

e
o
} =
_
_
_
σ
o
x
σ
o
y
τ
o
xy
_
_
_
{b
e
} =
_
b
x
b
y
_
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[UE-T4-25]
FEM Analysis
Step 3: Derivation of element equations (3)
The objective of the Step 3 is to compute the relationship between the
vector of nodal displacements {u
e
} and the vector of nodal/element
forces {q
e
}, {σ
e
o
} and {b
e
}.
ce.umn.edu
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[UE-T4-26]
FEM Analysis
Step 3: Derivation of element equations (4)
For an elastic material, it can be shown that the following relationship
between the vectors {q
e
}, {u
e
} and {f
e
} holds,
_
q
e
_
=
_
K
e
_ _
u
e
_
+
_
f
e
_
(1)
where [K
e
] is the ‘stiffness’ matrix that depends on the shape function
and the elastic properties of the material in the element, while the {f
e
}
is the ‘initial-loading/body-force’ vector, that depends on the vector of
initial stresses
_
σ
e
o
_
and the vector of body forces {b
e
}.
(Any book on FEM in solid mechanics will include a demonstration the relation-
ship above —e.g., see Zienkiewicz O.C. and R.L. Taylor, 2000, ‘The Finite Element
Method’, Volume I: The Basis. 5th Edition. Butterworth-Heinemann; for a brief
demonstration, also see Brady and Brown, 2004, ‘Rock Mechanics for Underground
Mining’, 3rd Edition, Kluwer Academic Publishers)
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[UE-T4-27]
FEM Analysis
Step 3: Derivation of element equations (5)
For example, for the element ‘a’ in the figure, equation (1), is written as
_
q
a
_
=
_
K
a
_ _
u
a
_
+
_
f
a
_
where the vectors and matrices in the equation above involve the nodes
connected to the element only.
For example, the vectors {q
a
}, {u
a
} and {f
a
} are, respectively
_
q
a
_
=
_
¸
¸
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
¸
¸
_
q
a
x1
q
a
y1
q
a
x2
q
a
y2
q
a
x4
q
a
y4
_
¸
¸
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
¸
¸
_
_
u
a
_
=
_
¸
¸
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
¸
¸
_
u
a
x1
u
a
y1
u
a
x2
u
a
y2
u
a
x4
u
a
y4
_
¸
¸
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
¸
¸
_
_
f
a
_
=
_
¸
¸
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
¸
¸
_
f
a
x1
f
a
y1
f
a
x2
f
a
y2
f
a
x4
f
a
y4
_
¸
¸
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
¸
¸
_
ce.umn.edu
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[UE-T4-28]
FEM Analysis
Step 3: Derivation of element equations (6)
while the matrix [K
a
] is
_
K
a
_
=
_
¸
¸
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
¸
¸
_
K
a
x11
0 K
a
x12
0 K
a
x14
0
0 K
a
y11
0 K
a
y12
0 K
a
y14
K
a
x21
0 K
a
x22
0 K
a
x24
0
0 K
a
y21
0 K
a
y22
0 K
a
y24
K
a
x41
0 K
a
x42
0 K
a
x44
0
0 K
a
y41
0 K
a
y42
0 K
a
y44
_
¸
¸
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
¸
¸
_
Note: at this stage (Step 3) only the matrix [K
a
] and the vector {f
a
}
can be computed for each element, based on the geometry, material
properties and loading (a finite element program will compute and store
the elements of these matrices and vectors for use in Step 4)
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[UE-T4-29]
FEM Analysis
Step 4: Assembling the element properties to form global equations (1)
The (matrix) equation representing ‘global’ equilibrium of the system
can be expressed as
_
r
G
_
=
_
K
G
_ _
u
G
_
+
_
f
G
_
(2)
The different vectors/matrices in equation (2) are described separately
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[UE-T4-30]
FEM Analysis
Step 4: Assembling the element properties to form global equations (2)
The vector of nodal reaction forces
_
r
G
_
in equation (2) is
_
r
G
_
=
_
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
_
r
G
x1
r
G
y1
r
G
x2
r
G
y2
r
G
x3
r
G
y3
.
.
.
_
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
_
where
_
r
G
x1
= F
x1
(k)
r
G
y1
= −F
y1
(k)
_
r
G
x2
= R
xA
(u)
r
G
y2
= R
yA
(u)
_
r
G
x3
= 0 (k)
r
G
y3
= 0 (k)
_
r
G
x4
= 0 (k)
r
G
y4
= 0 (k)
Note: ‘(k)’ means known quantity; ‘(u)’ means unknown quantity
ce.umn.edu
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[UE-T4-31]
FEM Analysis
Step 4: Assembling the element properties to form global equations (3)
The vector of nodal displacements forces
_
u
G
_
in equation (2) is
{u
G
} =
_
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
_
u
G
x1
u
G
y1
u
G
x2
u
G
y2
u
G
x3
u
G
y3
.
.
.
_
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
_
where
_
u
G
x1
= u
x1
(u)
u
G
y1
= u
y1
(u)
_
u
G
x2
= 0 (k)
u
G
y2
= 0 (k)
_
u
G
x3
= u
x3
(u)
u
G
y3
= u
y3
(u)
_
u
G
x4
= u
x4
(u)
u
G
y4
= u
y4
(u)
Note: ‘(k)’ means known quantity; ‘(u)’ means unknown quantity
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[UE-T4-32]
FEM Analysis
Step 4: Assembling the element properties to form global equations (4)
The vector of initial-stress/body-forces
_
f
G
_
in equation (2) is
{f
G
} =
_
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
_
f
G
x1
f
G
y1
f
G
x2
f
G
y2
f
G
x3
f
G
y3
.
.
.
_
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
_
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
_
where
_
f
G
x1
= f
a
x1
+ f
e
x1
f
G
y1
= f
a
y1
+ f
e
y1
_
f
G
x2
= f
a
x2
+ f
b
x2
f
G
y2
= f
a
y2
+ f
b
y2
_
f
G
x3
= f
b
x3
+ f
c
x3
f
G
y3
= f
b
y3
+ f
c
y3
_
f
G
x4
= f
a
x4
+ f
b
x4
+ f
c
x4
+ f
d
x4
+ f
e
x4
f
G
y4
= f
a
y4
+ f
b
y4
+ f
c
y4
+ f
d
y4
+ f
e
y4
Note: All quantities in the vector
_
f
G
_
are known
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[UE-T4-33]
FEM Analysis
Step 4: Assembling the element properties to form global equations (5)
The ‘global’ stiffness matrix
_
K
G
_
in equation (2) is
[K
G
] =
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
K
G
x11
0 K
G
x12
0 K
G
x13
0 . . .
0 K
G
y11
0 K
G
y12
0 K
G
y13
. . .
K
G
x21
0 K
G
x22
0 K
G
x23
0 . . .
0 K
G
y21
0 K
G
y22
0 K
G
y23
. . .
K
G
x31
0 K
G
x32
0 K
G
x33
0 . . .
0 K
G
y31
0 K
G
y32
0 K
G
y33
. . .
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
_
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
_
where
_
K
G
x11
= K
a
x11
+ K
e
x11
K
G
y11
= K
a
y11
+ K
e
y11
_
K
G
x12
= K
a
x12
K
G
y12
= K
a
y12
_
K
G
x13
= K
G
x14
= 0
K
G
y13
= K
G
y14
= 0
_
K
G
x21
= K
a
x21
K
G
y21
= K
a
y21
_
K
G
x22
= K
a
x22
+ K
b
x22
K
G
y22
= K
a
y22
+ K
b
y22
_
K
G
x23
= K
b
x23
K
G
y23
= K
b
y23
_
K
G
x24
= K
a
x24
+ K
b
x24
K
G
y24
= K
a
y24
+ K
b
y24
_
K
G
x31
= 0
K
G
y31
= 0
_
K
G
x32
= K
b
x32
K
G
y32
= K
b
y32
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[UE-T4-34]
FEM Analysis
Step 4: Assembling the element properties to form global equations (6)
_
K
G
x33
= K
b
x33
+ K
c
x33
K
G
y33
= K
b
y33
+ K
c
y33
_
K
G
x34
= K
b
x34
+ K
c
x34
K
G
y34
= K
b
y34
+ K
c
y34
_
K
G
x41
= K
a
x41
+ K
e
x41
K
G
y41
= K
a
y41
+ K
e
y41
_
K
G
x42
= K
a
x42
+ K
b
x42
K
G
y42
= K
a
y42
+ K
b
y42
_
K
G
x43
= K
b
x43
+ K
c
x43
K
G
y43
= K
b
y43
+ K
c
y43
_
K
G
x44
= K
a
x44
+ K
b
x44
+ K
c
x44
+ K
d
x44
K
G
y44
= K
a
y44
+ K
b
y44
+ K
c
y44
+ K
d
y44
Note: All quantities in the matrix
_
K
G
_
are known
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[UE-T4-35]
FEM Analysis
Step 4: Assembling the element properties to form global equations (7)
As seen in previous slides, the ‘global’ equation (2) represents a system
of 2 × N equations with 2 × N unknowns (where N is the number of
nodes in the mesh).
This system of equations can be solved using direct or iterative methods
of matrix algebra (the most commonly used method is perhaps the Gauss
Elimination Method).
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[UE-T4-36]
FEM Analysis
Step 5: Computation of primary and secondary quantities (1)
Solution of the global equilibrium equation (2) defines the nodal dis-
placement vector for all elements in the mesh.
Consider a point P of coordinates x and y inside an arbitrary element
for which the vector of nodal displacements is {u
e
} (see Step 3).
The displacement vector {u} for the point can be computed as follows
{u} = [N] {u
e
} (3)
where
{u} =
_
u
x
u
y
_
and [N] is a matrix that depends on the shape function chosen when the
mesh was created (Step 2).
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[UE-T4-37]
FEM Analysis
Step 5: Computation of primary and secondary quantities (2)
For example, for the case of 3-Node triangular element with a linear
shape function, the matrix [N] is
[N] =
_
N
i
0 N
j
0 N
k
0
0 N
i
0 N
j
0 N
k
_
where
N
i
=
_
(x
j
y
k
− x
k
y
j
) + x(y
j
− y
k
) + y(x
k
− x
j
)
_
/(2A)
N
j
= [(x
k
y
i
− x
i
y
k
) + x(y
k
− y
i
) + y(x
i
− x
k
)] /(2A)
N
k
=
_
(x
i
y
j
− x
j
y
i
) + x(y
i
− y
j
) + y(x
j
− x
i
)
_
/(2A)
and
A =
1
2
det
_
_
1 x
i
y
i
1 x
j
y
j
1 x
k
y
k
_
_
Note: the coefficients in the expressions N
i
, N
j
and N
k
above are obtained from the
condition that the scalar function f (x, y) —see Step 2— inside the element is a linear
function of the coordinates x and y of the point, i.e.,
f (x, y) = α
1
+ α
2
x + α
3
y
and that the known values of the function are recovered at the nodes. This implies
that the coefficients α
1
, α
2
and α
3
in the expression above, must satisfy the following
system of equations
f
i
= α
1
+ α
2
x
i
+ α
3
y
i
f
j
= α
1
+ α
2
x
j
+ α
3
y
j
f
k
= α
1
+ α
2
x
k
+ α
3
y
k
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[UE-T4-38]
FEM Analysis
Step 5: Computation of primary and secondary quantities (3)
The strain and stress vectors {ε} and {σ}, can be similarly computed at
any point P based on the displacement vector of the element containing
the point, i.e.,
{ε} = [L] {u} = [L] [N] {u
e
} (4)
and
{σ} = [D] {ε} + {σ
o
} (5)
where
{σ} =
_
_
_
σ
x
σ
y
τ
xy
_
_
_
{ε} =
_
_
_
ε
x
ε
y
γ
xy
_
_
_
According to basic equations of solid mechanics (see Topic 2 in these
series of notes) the matrix [L] in equation (4) is formed by the following
differential operators that ‘affect’ the shape function [N],
[L] =
_
_
∂/∂x 0
0 ∂/∂y
∂/∂y ∂/∂x
_
_
Also, for an elastic isotropic material in plane strain conditions, the
matrix [D] in equation (5) is
[D] =
E(1 − ν)
(1 + ν)(1 − 2ν)
_
_
1
ν
1−ν
0
ν
1−ν
1 0
0 0
1−2ν
2(1−ν)
_
_
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[UE-T4-39]
FEM Analysis
Step 6: Inspection of results
The figure above represents contours of total displacement u
r
and maximum princi-
pal stress σ
1
, respectively for the problem outlined in Step 1. The views have been
generated with the FEM code Phase2 (www.rocscience.com)
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[UE-T4-40]
The Finite Element software Phase2 – Pre-Processing
Phase2 is developed and commercialized by Rocscience (www.rocscience.com)
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[UE-T4-41]
The Finite Element software Phase2 – Processing
Phase2 is developed and commercialized by Rocscience (www.rocscience.com)
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[UE-T4-42]
The Finite Element software Phase2 – Post-Processing
Phase2 is developed and commercialized by Rocscience (www.rocscience.com)
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[UE-T4-43]
Basic steps for setting-up and solving a model in Phase2 (1)
1- Define the project settings (menuoptionAnalysis/Project Settings. . . ).
This controls basic aspects of the model to be created and solved —e.g.,
plane strain or axi-symmetry problem, number of stages (of loading or
excavation) in the problem, system of units, etc.
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[UE-T4-44]
Basic steps for setting-up and solving a model in Phase2 (2)
2- Define the geometry of the problem (menu option Boundaries/. . . ).
This normally involves creating excavations (option . . . /Add Excava-
tion), external boundaries (option . . . /Add External) and material
boundaries (option . . . /Add Material Boundary)
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[UE-T4-45]
Basic steps for setting-up and solving a model in Phase2 (3)
3- Define the mesh (menu option Mesh/. . . ). This step can be sub-
divided in three sub-steps:
3a - Choose the type of elements to use (e.g., 3 nodes, 6 nodes
triangular elements, etc.). This is achieved with the menu option
Mesh/Mesh Setup. . . .
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[UE-T4-46]
Basic steps for setting-up and solving a model in Phase2 (4)
3b - Discretize the boundaries of the model (the excavation,
the external boundary, the material boundary, etc.). Note that
the discretization of the boundaries defines the position of the
nodes of the future mesh on these boundaries, and therefore, con-
trols the density of elements when the mesh is actually gener-
ated in the next sub-step. This is achieved with the menu option
Mesh/Discretize, Mesh/Custom Discretize, etc.
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[UE-T4-47]
Basic steps for setting-up and solving a model in Phase2 (5)
3c - Mesh the model. This is achieved with the menu option
Mesh/Mesh. Note that the mesh can be improved/modified (e.g.,
density and shape of elements in the mesh) by using the options
Mesh/Increase Mesh Element Density and Mesh/Mapped Mesh-
ing —this last option is useful to get regular (or mapped) meshes.
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[UE-T4-48]
Basic steps for setting-up and solving a model in Phase2 (6)
4- Define loading of the model (menu option Loading. . . ). Examples of
loading involve field loading (initial in-situ stresses before excavation)
and distributedloading at the boundaries of the model (e.g., torepresent
external loading such as surcharges).
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[UE-T4-49]
Basic steps for setting-up and solving a model in Phase2 (7)
5- Define the boundary restrains for the model (menu option Displace-
ments. . . ). Besides options to apply restrains in the x, y or both, x and
y directions, displacement boundary conditions (a fine value displace-
ment) can be specified for the boundaries.
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[UE-T4-50]
Basic steps for setting-up and solving a model in Phase2 (8)
6- Specify material properties to be used in the model (menu option
Properties/Define Materials. . . ).
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[UE-T4-51]
Basic steps for setting-up and solving a model in Phase2 (9)
7- Assign material properties to different regions in the model (menu
option Properties/Assign Properties. . . ).
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[UE-T4-52]
Basic steps for setting-up and solving a model in Phase2 (10)
8- Solve the model (menu option Analysis/Compute).
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[UE-T4-53]
Extracting results from a model with the program Interpret (1)
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[UE-T4-54]
Extracting results from a model with the program Interpret (2)
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[UE-T4-55]
Extracting results from a model with the program Interpret (3)
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[UE-T4-56]
Recommended References
• All references and web sites mentioned in previous slides.
• If interested in the Finite Element Method, consider registering in the
course CE 8401, ‘Fundamentals of Finite Element Method’, offered by
Professor H. Stolarski at the Department of Civil Engineering.
• If interested in the Boundary Element Method, consider registering
in the courses CE 8336, ‘Boundary Element Method’ (Parts I and II),
offered by Professor S. Crouch and Professor S. Mogilevskaya at the
Department of Civil Engineering.
• To learn all features of Phase2, attempt completing all 18 tutorials
available from the menu option Help Topics/Contents/Tutorials. To re-
solve successfully the homework on this topic (Introduction to Numer-
ical Modelling) distributed in class, complete at least the first tutorial
(‘01 Quick Start Tutorial’).
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[UE-T5-1]
Class notes on Underground Excavations in Rock
Topic 5:
Strength and inelastic deformation of rock
written by
Dr. C. Carranza-Torres and
Prof. J. Labuz
These series of notes have beenwrittenfor the course RockMechanics II,
CE/GeoE 4311, co-taught by Prof. J. Labuz and Dr. C. Carranza-Torres
in the Spring 2006 at the Department of Civil Engineering, University
of Minnesota, USA.
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[UE-T5-2]
Strength of intact rock samples from triaxial tests
From Hoek E. and E.T. Brown (1980).
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[UE-T5-3]
Strength of intact rock. Hoek-Brown and Mohr-Coulomb models
The Hoek-Brown failure criterion is
σ
1
= σ
3

ci

m
i
σ
3
σ
ci
+1 (1)
where σ
ci
is the unconfined compression strength of the rock and m
i
is a
fitting parameter determined from triaxial test results (see, for example,
Hoek and Brown, 1980).
The Mohr-Coulomb failure criterion is
σ
1
= K
φ
σ
3

c
(2)
where σ
c
is the unconfined compression strength of the rock and K
φ
is
the passive reaction coefficient (a function of the friction angle φ).
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Strength of rock in terms of σ
1
vs. σ
3
and τ
s
vs. σ
n
components (1)
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Strength of rock in terms of σ
1
vs. σ
3
and τ
s
vs. σ
n
components (2)
The following relationships, derived fromgeometrical considerations in
a Mohr circle (see previous slide), allow to relate the shear and normal
stresses with the principal stresses at the state of failure
σ
n
=
σ
1

3
2

σ
1
−σ
3
2

1
/dσ
3
−1

1
/dσ
3
+1
(3)
τ
s
= (σ
1
−σ
3
)


1
/dσ
3

1
/dσ
3
+1
(4)
Note: the equations above were presented in Balmer (1952), and are
referred to as Balmer’s equations in Rock Mechanics literature —see
Hoek and Brown (1980).
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[UE-T5-6]
Mohr-Coulomb failure criterion in σ
1
vs. σ
3
and τ
s
vs. σ
n
spaces
For a Mohr-Coulomb material, the failure criterion in terms of shear and
normal stresses is
τ
s
= σ
n
tan φ +c (5)
Balmer’s equations allow the following relationships between the pa-
rameters K
φ
and σ
c
(in equation 2) and φ and c (in equation 5) to be
obtained
K
φ
=
1 +sin φ
1 −sin φ
(6)
and
c =
1 −sin φ
2 cos φ
σ
c
=
σ
c
2

K
φ
(7)
Deformability of intact rock. The elastic perfectly plastic model (1)
Deformability of intact rock. The elastic perfectly plastic model (2)
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Plastic deformation. Flow rule (1)
According to plasticity theory —e.g., Hill (1950), Kachanov (1971)—
the plastic strain (rate) vector is defined as the gradient of the potential
H(σ
1
, σ
3
), i.e.,
˙ ε
p
1
= λ
∂H
∂σ
1
(8)
˙ ε
p
3
= λ
∂H
∂σ
3
(9)
where λ is a positive scalar.
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[UE-T5-10]
Plastic deformation. Flow rule (2)
We can consider, for example, a linear flow rule, for which the potential
H(σ
1
, σ
3
) is
H(σ
1
, σ
3
) = σ
1
−σ
3
K
ψ
= 0 (10)
where K
ψ
is a function of the dilation angle ψ
K
ψ
=
1 +sin ψ
1 −sin ψ
(11)
(Note the similarity of the coefficient K
ψ
in equation (11) with the
coefficient K
φ
in equation 6)
From equations (8), (9) and (10)
˙ ε
p
1
= λ (12)
˙ ε
p
3
= −λK
ψ
(13)
and therefore
˙ ε
p
3
/˙ ε
p
1
= −K
ψ
(14)
Thus, if the dilation angle is ψ = 0

, then K
ψ
= 1 and ˙ ε
p
3
= −˙ ε
p
1
and
therefore there is no material volume change in the plastic state.
If, for example, the dilation angle is ψ = 30

K
ψ
= 3 and ˙ ε
3
= −3˙ ε
1
,
then the material shows significant volume expansion in the plastic state.
Note that a condition of mechanical stability requires that ψ ≤ φ.
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[UE-T5-11]
Plastic deformation. Flow rule (3)
For the triaxial test introduced in previous slides, the behavior of the
material in the plastic state is as follows:
Note: the slopes indicated in the diagrams above are obtained from the
analytical solution of the elasto-plastic problem of material loading in
triaxial conditions. The demonstration is simple but too lengthy to be
included in these notes.
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[UE-T5-12]
Application example
Triaxial compression test in Hoek-Brown material (1)
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Application example
Triaxial compression test in Hoek-Brown material (2)
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[UE-T5-14]
Application example
Triaxial compression test in Hoek-Brown material (3)
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[UE-T5-15]
Strength of rock masses. Generalized Hoek-Brown failure criterion
For the implementation of the generalized form of the Hoek-Brown
failure criterion, see freeware software RocLab (www.rocscience.com)
[The Help menu in RocLab provides a link to the reference Hoek,
Carranza-Torres and Corkum (2002) where the equations above are de-
scribed.]
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[UE-T5-16]
Strength of rock masses. Charts for the determination of GSI (1)
General charts for determination of the Geological Strength Index (GSI)
have been introduced in Hoek, Kaiser and Bawden (1995) and Hoek and
Brown (1997). The chart above is from the freeware software RocLab,
available at www.rocscience.com.
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[UE-T5-17]
Strength of rock masses. Charts for the determination of GSI (2)
Marinos and Hoek (2001) and Hoek, Marinos and Marinos (2005) dis-
cuss in detail the estimation of GSI for heterogeneous, undisturbed,
sedimetary rock masses such as Flysch and Molasses. These common
type of sedimentaryrocks are foundinnorthernGreece, where more than
600 km of tunnels are being completed as part of one of world largest
on-going highway projects (www.egnatia.gr). The chart above is from
the freeware software RocLab, available at www.rocscience.com.
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[UE-T5-18]
Deformability of rock masses (1)
From analysis of in situ deformability measurements tests from under-
ground excavation projects in China and Taiwan, Hoek and Diederichs
(2005) propose the following equation for determining the rock mass
deformability modulus E
rm
E
rm
= E
i

0.02 +
1 −D/2
1 +exp

60+15D−GSI
11

(15)
In the equation above, E
i
is the deformability modulus of the intact rock,
GSI is the Geological Strength Index and D is the disturbance Factor.
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[UE-T5-19]
Deformability of rock masses (2)
The diagram below (from Hoek and Diederichs, 2005) shows how the
proposed expression plots together with the cases used to derive the
expression
The Hoek-Diederichs relationship is implemented in the freeware soft-
ware RocLab (www.rocscience.com), as an alternative expression to
another relationship proposed by Serafim J.L. and Pereira (1983) —the
relationship by Serafim and Pereira does not relate the deformability of
rock mass with the GSI, nor the factor D, but with another rating called
the Bieniawski rock mass rating, RMR (this will be discussed in Topic
12, ‘Classification systems for tunnel design’).
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References mentioned in the slides (1)
• Hoek, E. & Brown, E. T. (1980), ‘Underground Excavations in Rock’.
London: The Institute of Mining and Metallurgy.
•Balmer, G. (1952), ‘Ageneral analytical solutionfor Mohr’s envelope’.
Am. Soc. Test. Mat. (52), 1260– 1271.
• Hill R. (1950), ‘The Mathematical Theory of Plasticity’. Oxford
Science Publications.
• Kachanov, L. M. (1971), ‘Foundations of the Theory of Plasticity’.
North Holland Publishing Company.
• Hoek E., C. Carranza-Torres, and B. Corkum (2002), ‘Hoek-Brown
failure criterion – 2002 edition’. In Hammah R. et al. (Eds.), Proceed-
ings of the 5th NorthAmerican Rock Mechanics Symposium: NARMS-
TAC 2002. Toronto – 10 July 2002, pages 267–273.
• Hoek E., P. K. Kaiser, and W. F. Bawden (1995), ‘Support of Under-
ground Excavations in Hard Rock’. Balkema, Rotterdam.
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References mentioned in the slides (2)
• Hoek, E. and E. T. Brown (1997), ‘Practical estimates of rock mass
strength’. Int. J. Rock Mech. Min. Sci., 34(8):1165–1186.
• Marinos, P.G. and Hoek, E. (2001), ‘Estimating the geotechnical prop-
erties of heterogeneous rock masses such as Flysch’. Bull. Engg. Geol.
Env. 60, 85-92.
• Hoek E., P.G. Marinos, V.P. Marinos (2005), ‘Characterization and en-
gineering properties of tectonically undisturbed but lithologically varied
sedimentary rock masses’. International Journal of Rock Mechanics &
Mining Sciences, 42, 277–285.
• Hoek E., M.S. Diederichs (2006), ‘Empirical estimation of rock mass
modulus’. International Journal of Rock Mechanics &Mining Sciences
43, 203–215.
• SerafimJ.L. and Pereira J.P. (1983), ‘Consideration of the geomechan-
ical classification of Bieniawski’. Proc. Int. Symp. on Engineering
Geology and Underground Construction, Lisbon. 1(II): 33-44.
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[UE-T5-22]
Other recommended references
• Brady B.H.G. and E.T. Brown (2004), ‘Rock Mechanics for Under-
ground Mining’, 3rd Edition, Kluwer Academic Publishers.
• Hudson J.A. and Harrison J.P. (1997), ‘Engineering Rock Mechanics.
An Introduction to the Principles’. Pergamon.
• Jaeger J. C. and N. G.W. Cook (1979), ‘Fundamentals of rock me-
chanics’, John Wiley & Sons.
• Hoek E. (2000), ‘Rock Engineering. Course Notes by Evert Hoek’.
Available for downloading at ‘Hoek’s Corner’, www.rocscience.com.
• Hoek, E., Marinos, P. and Benissi, M. (1998), ‘Applicability of the Ge-
ological Strength Index (GSI) classification for very weak and sheared
rock masses. The case of the Athens Schist Formation’. Bull. Engg.
Geol. Env. 57(2), 151-160.
• Hoek, E. and Karzulovic, A. (2000), ‘Rock-Mass Properties for Sur-
face Mines’. In W. Hustrulid et al. (Eds.), Slope Stability in Surface
Mining, pp. 59–67. Littleton, CO: Society for Mining, Metallurgical
and Exploration (SME).
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[UE-T6-1]
Class notes on Underground Excavations in Rock
Topic 6:
Elasto-plastic solution of a circular tunnel
written by
Dr. C. Carranza-Torres and
Prof. J. Labuz
These series of notes have beenwrittenfor the course RockMechanics II,
CE/GeoE 4311, co-taught by Prof. J. Labuz and Dr. C. Carranza-Torres
in the Spring 2006 at the Department of Civil Engineering, University
of Minnesota, USA.
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[UE-T6-2]
Application examples of elasto-plastic solution of circular openings
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Elasto-plastic solution of a circular opening. Problem statement
If p
i
< p
cr
i
the problem is characterized by two regions:
1- Elastic region r ≥ R
p
2- Plastic region r ≤ R
p
If p
i
≥ p
cr
i
the problem is fully elastic (the solution is given by Lamé’s
solution).
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The critical internal pressure p
cr
i
(1)
The critical internal pressure p
cr
i
can be found as the intersection of
the failure envelope and Lamé’s representation of the stress state in the
reference system σ
θ
∼ σ
1
vs σ
r
∼ σ
3
.
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[UE-T6-5]
The critical internal pressure p
cr
i
(2)
Lamé’s solution for stresses, with σ
θ
replaced by σ
1
and σ
r
replaced by
σ
3
, is
σ
1
= σ
o
+(σ
o
−p
i
)
_
R
r
_
2
(1)
σ
3
= σ
o
−(σ
o
−p
i
)
_
R
r
_
2
(2)
Equating the last part of the right-hand side of the equations above we
have
σ
1
= 2σ
o
−σ
3
(3)
The failure criterion of the material, defines the relationship between
the principal stresses σ
1
and σ
3
at failure, and can be written as follows
σ
1
= f (σ
3
) (4)
where f is a linear function (of the coefficients K
φ
and σ
c
) in the case
of Mohr-Coulomb material, or a parabolic function (of the coefficients
m
i
and σ
ci
) in the case of Hoek-Brown material.
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[UE-T6-6]
The critical internal pressure p
cr
i
(3)
Equating the right-hand side of equations (3) and (4), making σ
3
= p
cr
i
—see diagram in previous slide— the critical internal pressure p
cr
i
is
found from the solution of the following equation

o
−p
cr
i
= f (p
cr
i
) (5)
The equation above, that can be solved in closed-form for commonly
used failure functions f , defines the critical internal pressure below
which the plastic zone develops around the tunnel —this critical internal
pressure is also equal to the radial stress at the elasto-plastic boundary
(see previous diagram).
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Solution for the elastic region (r ≥ R
p
)
The solution for stresses and displacements in the elastic region is known
from Lam´ e’s solution
σ
r
= σ
o

_
σ
o
−p
cr
i
_
_
R
p
r
_
2
(6)
σ
θ
= σ
o
+
_
σ
o
−p
cr
i
_
_
R
p
r
_
2
(7)
u
r
= −
1
2G
_
σ
o
−p
cr
i
_ R
2
p
r
(8)
Note that in the equations above, the radius of the opening is R
p
and the
internal pressure is p
cr
i
.
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[UE-T6-8]
Solution for the plastic region (r ≤ R
p
). Hoek-Brown material (1)
Aclosed-form(exact) solution is possible when the coefficient a is equal
to 0.5 in the generalized Hoek-Brown criterion.
The failure criterion to be considered is
F = σ
1
−σ
3
−σ
ci
_
m
b
σ
3
σ
ci
+s = 0 (9)
With the failure criterion (9), the critical internal pressure p
cr
i
is obtained
from the solution of equation (5) and results
p
cr
i
=
σ
ci
m
b
16
_
_
_1 −
_
1 +16
_
σ
o
σ
ci
m
b
+
s
m
2
b
_
_
¸
_
2

s σ
ci
m
b
(10)
The extent of the failure zone is
R
p
= Rexp
_
2
__
p
cr
i
σ
ci
m
b
+
s
m
2
b

_
p
i
σ
ci
m
b
+
s
m
2
b
_ _
(11)
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Solution for the plastic region (r ≤ R
p
). Hoek-Brown material (2)
The solution for the radial stress is
σ
r
= m
b
σ
ci
_
_
__
p
cr
i
σ
ci
m
b
+
s
m
2
b
+
1
2
ln
_
r
R
p
_
_
2

s
m
2
b
_
_
(12)
The solution for the hoop stress is
σ
θ
= σ
r

ci
_
m
b
σ
r
σ
ci
+s (13)
The solution for the radial displacement is
u
r
=
1
1 −A
1
_
_
r
R
p
_
A1
−A
1
r
R
p
_
u
r
(1) (14)
+
1
1 −A
1
_
r
R
p

_
r
R
p
_
A1
_
u

r
(1)

R
p
2G
_
σ
ci
m
b
4
_
A
2
−A
3
1 −A
1
r
R
p
_
ln
_
r
R
p
__
2

R
p
2G

ci
m
b
)
_
A
2
−A
3
(1 −A
1
)
2
_
p
cr
i
σ
ci
m
b
+
s
m
2
b

1
2
A
2
−A
1
A
3
(1 −A
1
)
3
_
×
_
_
r
R
p
_
A1

r
R
p
+(1 −A
1
)
r
R
p
ln
_
r
R
p
_
_
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Solution for the plastic region (r ≤ R
p
). Hoek-Brown material (3)
where the coefficients u
r
(1) and u

r
(1) are
u
r
(1) = −
R
p
2G
_
σ
o
−p
cr
i
_
(15)
u

r
(1) =
R
p
2G
_
σ
o
−p
cr
i
_
(16)
and for a linear flow rule, the coefficients A
1
, A
2
and A
3
are
A
1
= −K
ψ
(17)
A
2
= 1 −ν −νK
ψ
A
3
= ν −(1 −ν)K
ψ
with
K
ψ
=
1 +sin ψ
1 −sin ψ
(18)
where ψ is the dilation angle.
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[UE-T6-11]
Solution for the plastic region (r ≤ R
p
). Mohr-Coulomb material (1)
The Mohr-Coulomb yield condition is
F = σ
1
−K
φ
σ
3
−σ
c
= 0 (19)
In the equation above the coefficient K
φ
is related to the friction angle
φ according to
K
φ
=
1 +sin φ
1 −sin φ
(20)
The unconfined compression strength σ
c
is related to the cohesion c and
the coefficient K
φ
as follows
σ
c
= 2c
_
K
φ
(21)
The critical internal pressure p
cr
i
below which the failure zone develops
is
p
cr
i
=
2
K
φ
+1
_
σ
o
+
σ
c
K
φ
−1
_

σ
c
K
φ
−1
(22)
The extent R
p
of the failure zone is
R
p
= R
_
p
cr
i

c
/
_
K
φ
−1
_
p
i

c
/
_
K
φ
−1
_
_
1/(K
φ
−1)
(23)
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Solution for the plastic region (r ≤ R
p
). Mohr-Coulomb material (2)
The solution for the radial stresses field σ
r
is given by the following
expression
σ
r
=
_
p
cr
i
+
σ
c
K
φ
−1
__
r
R
p
_
K
φ
−1

σ
c
K
φ
−1
(24)
The solution for the hoop stresses field σ
θ
is given by the following
expression
σ
θ
= K
φ
_
p
cr
i
+
σ
c
K
φ
−1
__
r
R
p
_
K
φ
−1

σ
c
K
φ
−1
(25)
The solution for the radial displacement field u
r
is given by the following
expression
u
r
=
1
1 −A
1
_
_
r
R
p
_
A
1
−A
1
r
R
p
_
u
r
(1) (26)

1
1 −A
1
_
_
r
R
p
_
A
1

r
R
p
_
u

r
(1)

R
p
2G
A
2
−A
3
K
φ
(1 −A
1
)(K
φ
−A
1
)
_
p
cr
i
+
σ
c
K
φ
−1
_
×
_
(A
1
−K
φ
)
r
R
p
−(1 −K
φ
)
_
r
R
p
_
A
1
+(1 −A
1
)
_
r
R
p
_
K
φ
_
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Solution for the plastic region (r ≤ R
p
). Mohr-Coulomb material (3)
where the coefficients u
r
(1) and u

r
(1) are
u
r
(1) = −
R
p
2G
_
σ
o
−p
cr
i
_
(27)
u

r
(1) =
R
p
2G
_
σ
o
−p
cr
i
_
(28)
and for a linear flow rule,
A
1
= −K
ψ
(29)
A
2
= 1 −ν −νK
ψ
A
3
= ν −(1 −ν)K
ψ
with
K
ψ
=
1 +sin ψ
1 −sin ψ
(30)
where ψ is the dilation angle.
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Solution for the plastic region (r ≤ R
p
). Tresca material (1)
A Tresca material is a particular case of Mohr-Coulomb material in
whichthe frictionangle φ is equal tozero. Insuchcase the coefficient K
φ
becomes one (see equation 20), and singularities appear in the solution
for stresses and displacements listed earlier (equations 22 through 26).
The solution for Tresca material can be obtained by taking the limit of
the expressions for the Mohr-Coulomb failure criterion (equations 22
through 26) when K
ψ
→1, applying L’Hospital rule, as needed.
The resulting expressions for Tresca material are given in the following
slides.
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Solution for the plastic region (r ≤ R
p
). Tresca material (2)
The Tresca yield condition is
F = σ
1
−σ
3
−σ
c
= 0 (31)
where the unconfined compression strength σ
c
is related to the cohesion
c as follows
σ
c
= 2c (32)
The critical internal pressure p
cr
i
below which the failure zone develops
is
p
cr
i
= σ
o

σ
c
2
(33)
The extent R
p
of the failure zone is
R
p
= Rexp
_
p
cr
i
−p
i
σ
c
_
(34)
The solution for the radial stresses field σ
r
is given by the following
expression
σ
r
= p
cr
i

c
ln
_
r
R
p
_
(35)
The solution for the hoop stresses field σ
θ
is given by the following
expression
σ
θ
= p
cr
i

c
ln
_
r
R
p
_

c
(36)
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Solution for the plastic region (r ≤ R
p
). Tresca material (3)
The solution for displacements is
u
r
=
1
1 −A
1
_
_
r
R
p
_
A
1
−A
1
r
R
p
_
u
r
(1) (37)

1
1 −A
1
_
_
r
R
p
_
A
1

r
R
p
_
u

r
(1)

R
p
2G
A
2
−A
3
(1 −A
1
)
2
σ
c
_
_
r
R
p
_
A
1

r
R
p
+(1 −A
1
)
r
R
p
ln
_
r
R
p
_
_
In the equation above, the coefficients u
r
(1), u

r
(1), A
1
, A
2
and A
3
are
the same coefficients defined by equations 27 through 30.
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Application examples of the exact elasto-plastic solutions and
comparison with numerical models
The closed-formsolutions presented earlier for Hoek-Brown and Mohr-
Coulomb materials will be compared with results given by the finite
difference numerical software FLAC (www.itascacg.com).
The mesh used in the numerical models, the description of two particu-
lar problems of tunnel excavation in Hoek-Brown and Mohr-Coulomb
materials and the corresponding results (analytical and numerical) are
described in the following slides.
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[UE-T6-18]
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[UE-T6-19]
Example of elasto-plastic analysis. Hoek-Brown material (1)
Problem definition
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Example of elasto-plastic analysis. Hoek-Brown material (2)
Solution for radial and hoop stresses
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Example of elasto-plastic analysis. Hoek-Brown material (3)
Solution for radial displacement
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Example of elasto-plastic analysis. Mohr-Coulomb material (1)
Problem definition
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Example of elasto-plastic analysis. Mohr-Coulomb material (2)
Solution for radial and hoop stresses
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Example of elasto-plastic analysis. Mohr-Coulomb material (3)
Solution for radial displacement
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Effect of far-field loading on the shape of failure zone (1)
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Effect of far-field loading on the shape of failure zone (2)
The chart is reproduced from Detournay and St. John (1988). As indi-
cated in the graph, P
o
is the mean far-field stress, P
o
= (σ
o
v
+ σ
o
h
)/2,
and S
o
is the deviator far-field far-stress, S
o
= (σ
o
v
−σ
o
h
)/2. The chart is
valid for a Mohr-Coulomb failure criterion with friction angle φ = 30

and unconfined compression strength σ
c
.
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[UE-T6-27]
Effect of far-field loading on the shape of failure zone (3)
(The solution above is presented in Detournay and Fairhurst, 1987).
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[UE-T6-28]
Effect of far-field loading on the shape of failure zone (4)
Displacements at the springline and crown of the tunnel
(The solution above is presented in Detournay and Fairhurst, 1987).
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[UE-T6-29]
Recommended references (1)
Books/manuscripts discussing elasto-plastic solutions for tunnel prob-
lems:
• Brady B.H.G. and E.T. Brown, 2004, ‘Rock Mechanics for Under-
ground Mining’, 3rd Edition, Kluwer Academic Publishers.
• Hoek E., 2000, ‘Rock Engineering. Course Notes by Evert Hoek’.
Available for downloading at ‘Hoek’s Corner’, www.rocscience.com.
• Hudson J.A. and Harrison J.P. (1997), ‘Engineering Rock Mechanics.
An Introduction to the Principles’. Pergamon.
• Jaeger J. C. and N. G.W. Cook, 1979, ‘Fundamentals of rock mechan-
ics’, John Wiley & Sons.
• U.S. Army Corps of Engineers, 1997, ‘Tunnels and shafts in rock’.
Available for downloading at www.usace.army.mil
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[UE-T6-30]
Recommended references (2)
For elasto-plastic solution of cavities in Hoek-Brown materials:
• Carranza-Torres, C. and C. Fairhurst (1999), ‘The elasto-plastic re-
sponse of underground excavations in rock masses that satisfy the Hoek-
Brown failure criterion’. International Journal of Rock Mechanics and
Mining Sciences 36(6), 777–809.
• Carranza-Torres, C. (2004), ‘Elasto-plastic solution of tunnel prob-
lems using the generalized form of the Hoek-Brown failure criterion’.
Proceedings of the ISRM SINOROCK 2004 Symposium China, May
2004. Edited by J.A. Hudson and F. Xia-Ting. International Journal of
Rock Mechanics and Mining Sciences 41(3), 480–481.
ce.umn.edu
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[UE-T6-31]
Recommended references (3)
For elasto-plastic solutions of cavities in Mohr-Coulomb materials, in-
cluding cases of non-uniform far-field stresses:
• Detournay E. and C. St. John (1988), ‘Design charts for a deep
circular tunnel under non-uniform loading’. Rock Mechanics and Rock
Engineering, 21:119–137.
• Detournay E. and C. Fairhurst (1987), ‘Two-dimensional elasto-plastic
analysis of a long, cylindrical cavity under non-hydrostatic loading’. Int.
J. Rock Mech. Min. Sci. & Geomech. Abstr., 24(4):197–211.
• Detournay E. (1986), ‘Elastoplastic model of a deep tunnel for a
rock with variable dilatancy’. Rock Mechanics and Rock Engineering,
19:99–108.
• Carranza-Torres, C. (2003), ‘Dimensionless graphical representation
of the elasto-plastic solution of a circular tunnel in a Mohr-Coulomb
material’. Rock Mechanics and Rock Engineering 36(3), 237–253.
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[UE-T6-32]
Recommended references (4)
Some classic papers/books on the topic of elasto-plastic solutions of
tunnel problems:
• Brown E.T., J. W. Bray, B. Ladanyi, and E. Hoek (1983), ‘Ground
response curves for rock tunnels’. ASCE J. Geotech. Eng. Div.,
109(1):15–39.
• Duncan-Fama (1993). ‘Numerical modelling of of yield zones in
weak rocks’. In J. A. Hudson, E. T. Brown, C. Fairhurst, and E. Hoek,
editors, Comprehensive Rock Engineering. Volume 2. Analysis and
Design Methods., pages 49–75. Pergamon Press.
• Salençon J. (1969) ‘Contraction quasi-statique d’une cavité a symétrie
sphérique ou cylindrique dans un milieu élastoplastique’. Annls Ponts
Chauss. 4:231–236.
• Panet M. (1995), ‘Calcul des Tunnels par la Méthode de Convergence-
Confinement’. Press de l’École Nationale des Ponts et Chaussées.
ce.umn.edu
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[UE-T7-1]
Class notes on Underground Excavations in Rock
Topic 7:
Review of some fundamental equations of
mechanics of beams
written by
Dr. C. Carranza-Torres and
Prof. J. Labuz
These series of notes have beenwrittenfor the course RockMechanics II,
CE/GeoE 4311, co-taught by Prof. J. Labuz and Dr. C. Carranza-Torres
in the Spring 2006 at the Department of Civil Engineering, University
of Minnesota, USA.
ce.umn.edu
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[UE-T7-2]
Equilibrium of forces and bending moments in a beam
dQ
dx
+p
y
= 0 (1)
dN
dx
+p
x
= 0 (2)
dM
dx
+Q = 0 (3)
The equations above express equilibrium conditions for forces in the i)
vertical and ii) horizontal directions and iii) bending moments, respec-
tively.
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[UE-T7-3]
Relationships between bending moment and deflection
M = −K
d
2
u
y
dx
2
(4)
where K = EI/(1 −ν
2
) for plane strain and K = EI for plane stress
conditions (I is the moment of inertia of the beam section —per unit
length of beam in the out-of-plane direction, in the case of plane strain).
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[UE-T7-4]
Relationships between thrust and axial displacement
N = −D
du
y
dx
(5)
where D = Eh/(1 − ν
2
) or D = Eh for plane-strain or plane-stress
conditions, respectively (h is the height of the beam section).
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[UE-T7-5]
Solution of beam problems
For given values of p
x
and p
y
, we have five unknowns —the quantities
N, Q, M, u
x
and u
y
.
We have five equations —equations (1) through (5)— to solve for the
five unknown functions.
Particular solutions are obtainedbyapplicationof the appropriate bound-
ary conditions.
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Solution of beam problems. Application Example (1)
Since p
x
= 0 and N = 0 at x = 0 and x = L, from equation (2) we
have N = 0; also, from equation (5), u
x
= 0.
Therefore the unknown functions in the problem are u
y
, M and Q.
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[UE-T7-7]
Solution of beam problems. Application Example (2)
Combining equations (1), (3) and (4), the following differential equation
for vertical the displacement is obtained,
K
d
4
u
y
dx
4
+p
y
= 0 (6)
Four boundary conditions are needed to solve the 4th order differential
equation. These are
at x = 0 →u
y
= 0 (7)
x = L →u
y
= 0
x = 0 →M = 0 or d
2
u
y
/dx
2
= 0
x = L →M = 0 or d
2
u
y
/dx
2
= 0
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[UE-T7-8]
Solution of beam problems. Application Example (3)
Solution of the differential equation (6) with boundary conditions (7)
gives
u
y
= −
p
y
x
24K
_
L
3
+x
3
−2Lx
2
_
(8)
or expressed in dimensionless form,
u
y
L
K
p
y
L
3
= −
1
24
x
L
_
1 +
_
x
L
_
3
−2
_
x
L
_
2
_
(9)
For plane stress conditions, K = EI, where E is the Young’s modulus
and I is the the moment of inertia of the beam section. Note, for a
rectangular section of width b and height h the moment of inertia is
I = bh
3
/12.
With the solution for the vertical displacement (equation 8), using equa-
tions (4) and (3), the solution for bending moment and shear force are,
respectively
M
p
y
L
2
= −
1
2
x
L
_
1 −
x
L
_
(10)
Q
p
y
L
=
1
2
x
L
_
1 −2
x
L
_
(11)
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[UE-T7-9]
Solution of beam problems. Application Example (4)
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[UE-T7-10]
Equilibrium of forces and bending moments for a circular ring
dQ

−N +p
r
R = 0 (12)
dN

+Q+p
θ
R = 0 (13)
dM

+QR = 0 (14)
The equations above express equilibrium conditions for forces in the i)
radial and ii) tangential directions and iii) bending moments, respec-
tively.
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[UE-T7-11]
Relationships between bending moment and deflection (circular ring)
M = −
K
R
2
d
2
u
r

2
(15)
where K = EI/(1 −ν
2
) for plane-strain and K = EI for plane-stress
conditions (I is the moment of inertia of the beam section —per unit
length of beam in the out-of-plane direction, in the case of plane strain).
ce.umn.edu
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[UE-T7-12]
Relationships between thrust and axial displacement (circular ring)
N = −D
_
u
r
+
du
θ

_
(16)
where D = Et /(1 − ν
2
) or D = Et for plane-strain or plane-stress
conditions, respectively (t is the thickness of the section).
ce.umn.edu
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available for downloading at
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[UE-T7-13]
Recommended References
• Flügge, W. (1967), ‘Stresses in Shells’. Springer-Verlag NewYork
Inc.
• Den Hartog J.P. (1961), ‘Strength of Materials’. Dover Publications,
Inc. NewYork.
• Pflüger, A. (1961), ‘Elementary Statics of Shells’. Second Edition,
F.W. Dodge Corporation, NewYork.
• Timoshenko, S. (1955), ‘Strength of Materials’. Third Edition, Van
Nostrand. NewYork.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
[Last revision – June 06]
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T8-1]
Class notes on Underground Excavations in Rock
Topic 8:
Elastic solution of a closed annular support
written by
Dr. C. Carranza-Torres and
Prof. J. Labuz
These series of notes have beenwrittenfor the course RockMechanics II,
CE/GeoE 4311, co-taught by Prof. J. Labuz and Dr. C. Carranza-Torres
in the Spring 2006 at the Department of Civil Engineering, University
of Minnesota, USA.
ce.umn.edu
University of Minnesota
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available for downloading at
www.cctrockengineering.com
[UE-T8-2]
Problem Statement
The mean loading is
q =
q
x
+q
y
2
(1)
while the ratio of horizontal to vertical load is
k =
q
x
q
y
(2)
Note: Plane strain conditions assumed. Analysis considers a ‘slice’ of
annular ring of unit length in the z direction.
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[UE-T8-3]
Sign convention and nomenclature
Note: Sign convention for bending moment, shear force, thrust, radial
and tangential displacements is in agreement with the sign convention
discussed in notes ‘Review of some fundamental mechanics of beams’
(Topic 7).
ce.umn.edu
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[UE-T8-4]
Solution of thrust, bending moment and shear force
The scaled thrust is
N
qR
= 1 −
k −1
k +1
cos 2θ (3)
The scaled bending moment is
M
qR
2
= −
1
2
k −1
k +1
cos 2θ (4)
The scaled shear force is
Q
qR
= −
k −1
k +1
sin 2θ (5)
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[UE-T8-5]
Solution of radial and tangential displacement
The scaled displacement in the radial direction is
u
r
qR
E
1 −ν
2
= −
12
12(t /R) +(t /R)
3

2
(t /R)
3
k −1
k +1
cos 2θ (6)
The scaled displacement in the tangential direction is
u
θ
qR
E
1 −ν
2
=
4 +(t /R)
2
4(t /R)
3
k −1
k +1
sin 2θ (7)
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[UE-T8-6]
Particular case of uniform loading
If q
x
= q
y
= q, then k = 1 and the solution for the thrust results
N = qR (8)
This is the same expression found as a particular case of Lamé’s solu-
tion (see equation 8, page T3-4, in notes ‘Elastic solution of a circular
tunnel’).
In the case of uniform loading, the bending moments and shear forces
are both zero, i.e.,
M = Q = 0 (9)
The tangential displacement is also zero (i.e., u
θ
= 0) and the radial
displacement takes the simple form
u
r
= −
1 −ν
2
E
12 qR
12(t /R) +(t /R)
3
(10)
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[UE-T8-7]
Thrust. Graphical representation
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[UE-T8-8]
Bending moment. Graphical representation
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[UE-T8-9]
Shear force. Graphical representation
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[UE-T8-10]
Radial displacement. Graphical representation
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[UE-T8-11]
Tangential displacement. Graphical representation
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Plane strain analysis of composite sections. Problem statement
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[UE-T8-13]
Plane strain analysis of composite sections. Homogenized section
The thickness and Young’s modulus of the equivalent (homogenized) section are,
respectively
h
eq
= 2

3C
A
C
I
C
A
(11)
E
eq
=

3
6
C
A
2

C
A
C
I
(12)
where
C
A
= n (A
1
E
1
+A
2
E
2
) (13)
C
I
= n (I
1
E
1
+I
2
E
2
) (14)
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[UE-T8-14]
Plane strain analysis of composite sections.
Distribution of thrust to original components
N
1
=
N
n
A
1
E
1
A
1
E
1
+A
2
E
2
(15)
N
2
=
N
n
A
2
E
2
A
1
E
1
+A
2
E
2
(16)
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[UE-T8-15]
Plane strain analysis of composite sections.
Distribution of bending moment to original components
M
1
=
M
n
I
1
E
1
I
1
E
1
+I
2
E
2
(17)
M
2
=
M
n
I
2
E
2
I
1
E
1
+I
2
E
2
(18)
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[UE-T8-16]
References
• Flügge, W. (1967), ‘Stresses in Shells’. Springer-Verlag New York
Inc., 1967.
• Den Hartog J.P. (1961), ‘Strength of Materials’. Dover Publications,
Inc. NewYork.
• Pflüger, A. (1961), ‘Elementary Statics of Shells’. Second Edition,
F.W. Dodge Corporation, NewYork.
• Timoshenko, S. (1955), ‘Strength of Materials’. Third Edition, Van
Nostrand. NewYork.
Note: the solutions presented in previous slides were derived by one
of the authors (Dr. Carranza-Torres). Equations presented here do
not appear explicitly in the references above —or other references the
authors may be aware of.
ce.umn.edu
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[UE-T9-1]
Class notes on Underground Excavations in Rock
Topic 9:
Tunnel support systems. Technologies and design.
The Convergence-Confinement Method
written by
Dr. C. Carranza-Torres and
Prof. J. Labuz
These series of notes have beenwrittenfor the course RockMechanics II,
CE/GeoE 4311, co-taught by Prof. J. Labuz and Dr. C. Carranza-Torres
in the Spring 2006 at the Department of Civil Engineering, University
of Minnesota, USA.
ce.umn.edu
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These notes are
available for downloading at
www.cctrockengineering.com
[UE-T9-2]
Classification of tunnel supports in terms of time of installation (1)
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[UE-T9-3]
Classification of tunnel support in terms of time of installation (2)
ce.umn.edu
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[UE-T9-4]
Common support systems used in tunnel construction
• Steel ribs (or steel sets) and lattice girders.
• Shotcrete or sprayed concrete.
• Cast-in-place concrete.
• Prefabricated segmental lining (used with mechanized excavation).
Note: Rockbolts do not fall into the category of support systems but into
the category of reinforcement systems —they will be treated separately
in these series of notes.
ce.umn.edu
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[UE-T9-5]
Steel ribs and lattice girders. Technological aspects (1)
Bracing bars, wood or steel plates are normally installed between steel
sets and lattice girders.
For squeezing ground, sliding joints and sliding arches are emplaced
between segments conforming the steel section.
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[UE-T9-6]
Steel ribs and lattice girders. Technological aspects (2)
See explanation in the next slide.
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[UE-T9-7]
Steel ribs and lattice girders. Technological aspects (3)
Description photographs in previous slide
The previous slide shows photographs of tunnel sections supported with steel sets.
Photograph (a) shows wood blocks used between the steel ribs and the rock (shotcrete
is seen ahead of the steel sets). Photograph (b) shows steel sets failing under extreme
ground loading. Photograph (c) shows heavy steel sets used while traversing a fault
zone (note the bracing bars between steel sets).
The photographs have been taken Dr. Evert Hoek, Rock Mechanics Consultant
(www.rocscience.com/hoek/Hoek.asp) at various underground sites. (a) Drainage
tunnel at Chuquicamata mine, Antofagasta, Chile. (b) Drifts at Sullivan mine, British
Columbia, Canada. (c) Headrace tunnel for at Victoria Hydroelectric Scheme, Sri
Lanka.
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[UE-T9-8]
Steel ribs and lattice girders. Technological aspects (4)
See explanation in the next slide.
ce.umn.edu
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available for downloading at
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[UE-T9-9]
Steel ribs and lattice girders. Technological aspects (5)
Description photographs in previous slide
The photographs in the previous slide show the use of circular steel sets (with sliding
joints and shotcrete) as a mean of supporting a tunnel in highly squeezing ground at
the Yacambu-Quibor project, Lara State, Venezuela. The Yacambu-Quibor tunnel is
a ∼24 km hydraulic tunnel of mean diameter ∼4 m with maximum overburden of
1,200 m excavated in low strength phyllites and schists. The tunnel has been called
‘the most difficult modern tunnel ever to excavate’ —excavation has been taking place
since the late 70s (by late 2004, ∼3.5 km of tunnel were still to be excavated).
The photographs in the previous slide have been taken by Drs. Mark Diederichs, Brent
Corkum and Carlos Carranza-Torres, during a visit to the project in 2004, together
with Dr. Evert Hoek and Dr. Rafael Guevara (members of the panel of experts in the
project).
ce.umn.edu
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[UE-T9-10]
Steel ribs and lattice girders. Technological aspects (6)
See explanation in the next slide.
ce.umn.edu
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[UE-T9-11]
Steel ribs and lattice girders. Technological aspects (7)
Description photographs in previous slide
The photographs in the previous slide show the sequence of construction of steel sets
and sliding joints used as primary support in the Yacambu-Quibor tunnel, Lara State,
Venezuela. Photograph (a) shows the steel section before being bent into a curved
segment (note the steel plates welded to the central flange of the section, to avoid
bucking during the process of bending). Photograph (b) shows the steel section during
an early stage of bending in the press. Photograph (c) shows the curved segment after
further pressing (note that the oscillations of the upper and lower flanges in photograph
(b) have been removed). Photograph (d) shows the different segments comprising the
steel section alienated for assembly. Photograph (e) shows the final assembly of the
circular steel set. Note the sliding joints installed between different segments.
These photographs have been taken by Drs. Mark Diederichs, Brent Corkum and
Carlos Carranza-Torres, during a visit to the project in 2004, together with Dr. Evert
Hoek and Dr. Rafael Guevara (members of the panel of experts in the project).
ce.umn.edu
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[UE-T9-12]
Steel ribs and lattice girders. Technological aspects (8)
See explanation in the next slide.
ce.umn.edu
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[UE-T9-13]
Steel ribs and lattice girders. Technological aspects (9)
Description photographs in previous slide
The photographs in the previous slide show views steel sets used in the Driskos tunnel
of Egnatia project, Greece (www.egnatia.gr), a tunnel excavated in weak rock. Photo-
graph (a) shows shotcrete being applied in the vicinity of the (top heading) front. Note
the forepoling and fiberglass reinforcement used in the front, as a means of stabilizing
the front during excavation. Photograph (b) shows the complete section after the lower
bench has been excavated and supported.
The photographs described above have been taken by Prof. Paul Marinos (from the
Department of Geotechnical Engineering, School of Civil Engineering, National Tech-
nical University of Athens, http://users.ntua.gr/marinos/) who is a member of the Panel
of Experts in the Egnatia project.
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[UE-T9-14]
Steel ribs and lattice girders. Technological aspects (10)
See explanation in the next slide.
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[UE-T9-15]
Steel ribs and lattice girders. Technological aspects (11)
Description photographs in previous slide
The photographs inthe previous slide showviews of lattice girders usedintunnels of the
Egnatia project, Greece (www.egnatia.gr). During excavation, lattice girder sections
are delivered in ‘segments’ to the front of the tunnel, where they are assembled and
installed.
The photographs have been taken by Prof. Evert Hoek (and independent rock mechan-
ics consultant, www.rocscience.com/hoek/Hoek.asp) who is a member of the Panel of
Experts in the Egnatia project.
ce.umn.edu
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Department of Civil Engineering
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[UE-T9-16]
Steel ribs and lattice girders. Technological aspects (12)
See explanation in the next slide.
ce.umn.edu
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available for downloading at
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[UE-T9-17]
Steel ribs and lattice girders. Technological aspects (13)
Description photographs in previous slide
The photographs in the previous slide show the use of steel sets in tunnels. In pho-
tograph (a) steel plates are emplaced between steel ribs. In photograph (b) bracing
bars are emplaced between steel ribs (in this case, a wire mesh has also been installed
before shotcreting the space between rock and steel sets).
The photographs were taken by Ing. Luca Perrone, Tunnel Design Engineer, Geodata
Spa., Torino, Italy (www.geodata.it). Photograph (a) is at the portal for the St. Martin
de la Porte tunnel (∼1,400 m), in France —this is an access tunnel for the future
Torino-Lyon railway system (to formally start construction this year). Photograph
(b) is at the front of Traffic Release Tunnelling System (∼1,400 m), Western Kuala
Lumpur, Malaysia.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
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available for downloading at
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[UE-T9-18]
Steel ribs and lattice girders. Technological aspects (14)
To learn more about the system see:
Chapter 5, ‘Design of Steel Ribs and Lattice Girders’ in document
‘Tunnels and shafts in rock’, U.S. Army Corps of Engineers, 1997 (avail-
able for downloading at www.usace.army.mil).
‘Use of arches in the construction of underground works’, Document
No 27, 1978, Recommendations fromAFTES (available for download-
ing at www.aftes.asso.fr).
For use of sliding joints and sling arches, see Chapter 12, ‘Tunnels
in weak rock’, in document ‘Rock Engineering. Course Notes by Evert
Hoek’ (available for downloading at ‘Hoek’s Corner’,
www.rocscience.com).
To find supliers of the system in the market see:
American Commercial Inc. (www.americancommercial.com) — see
pages ‘Steel ribs’, ‘Liner Plates’ and ‘Lattice Girders’.
Tunnel Builder (www.tunnelbuilder.com). Go to ‘Suppliers’ and
choose ‘Support’.
InfoMine, MiningIntelligence andTechnology. (www.infomine.com).
Go to ‘Suppliers’ and search for ‘Steel Ribs’, ‘Lattice Girders’, etc. (as
keyword).
ce.umn.edu
University of Minnesota
Department of Civil Engineering
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available for downloading at
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[UE-T9-19]
Shotcrete or sprayed concrete. Technological aspects (1)
Shotcrete is frequently applied on a wire mesh bolted to the rock face
(wire mesh acts as reinforcement).
Steel fibers are sometimes added to the shotcrete mixture to increase
the strength of the shotcrete.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
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available for downloading at
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[UE-T9-20]
Shotcrete or sprayed concrete. Technological aspects (2)
See explanation in the next slide.
ce.umn.edu
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available for downloading at
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[UE-T9-21]
Shotcrete or sprayed concrete. Technological aspects (3)
Description photographs in previous slide
The photographs in the previous slide shows shotcrete used as support for an under-
ground excavation. Photograph (a) shows a drift supported by steel sets near the front.
A robotic sprayer is applying shotcrete on top of a wire mesh between steel sets. Pho-
tograph (b) and (c) show shotcrete with fiber reinforcement (the fibers are the steel
wires embeded in the mortar).
The photographs have been taken by Prof. Mark Diederichs, from the Geological En-
gineering Group at Queen’s University (www.geol.ca), also an independent consultant,
at Kidd Creek Mine, near Timmins, Ontario.
ce.umn.edu
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[UE-T9-22]
Shotcrete or sprayed concrete. Technological aspects (4)
To learn more about the system see:
Document ‘Standard practice for shotcrete’, U.S. Army Corps of
Engineers, 1993 (available for downloading at www.usace.army.mil).
‘Sprayed Concrete — Technology and Practice’, Document No 1,
1974, Recommendations fromAFTES (available for downloading at
www.aftes.asso.fr).
‘Design of sprayed concrete for underground support’, Document No
164, 2001, Recommendations fromAFTES (available for downloading
at www.aftes.asso.fr).
Chapter 15, ‘Shotcrete support’, in document ‘Rock Engineering.
Course Notes by Evert Hoek’ (available for downloading at ‘Hoek’s
Corner’, www.rocscience.com).
To find supliers of the system in the market see:
American Commercial Inc. (www.americancommercial.com) — see
pages ‘Hany’ and ‘Aliva’.
Tunnel Builder (www.tunnelbuilder.com). Go to ‘Suppliers’ and
choose ‘Support’.
InfoMine, MiningIntelligence andTechnology. (www.infomine.com).
Go to ‘Suppliers’ and search for ‘Shotcrete’.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
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available for downloading at
www.cctrockengineering.com
[UE-T9-23]
Cast-in-place concrete. Technological aspects (1)
Traditionally, the use of cast in place concrete as a tunnel support
method has followed standard technological practices in general civil
engineering works (e.g., standards regarding material component mix-
tures, additives, curing, etc.).
For the case of final support, considering that the concrete structure
works mostly in compression, the use of plain concrete (i.e., massive
unreinforced concrete) is also a standard practice in tunnel construction
—see ‘The use of plain concrete in tunnels’, recommendation byAFTES
(full reference in the last slide on this topic).
ce.umn.edu
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available for downloading at
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[UE-T9-24]
Cast-in-place concrete. Technological aspects (2)
The photographs above show views of cast-in-place concrete support used in Tunnel
Tazon (6700 m), Central Railway System, Caracas, Venezuela. The photographs have
taken by Ing. Luca Perrone, Tunnel Design Design Engineer, Geodata Spa., Torino,
Italy (www.geodata.it).
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T9-25]
Cast-in-place concrete. Technological aspects (3)
To learn more about the system see:
Document ‘Standard practice for concrete for civil works structures’,
U.S. Army Corps of Engineers, 1994 (available for downloading at
www.usace.army.mil).
‘The use of plain concrete in tunnels’, Document No 149, 1998,
Recommendations fromAFTES (available for downloading at
www.aftes.asso.fr).
To find supliers of the system in the market see:
Tunnel Builder (www.tunnelbuilder.com). Go to ‘Suppliers’ and
choose ‘Support’.
InfoMine, MiningIntelligence andTechnology. (www.infomine.com).
Go to ‘Suppliers’ and search for ‘concrete’.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T9-26]
Pre-fabricated concrete blocks. Technological aspects (1)
The photographs above show views of pre-cast concrete blocks used as support in
tunnels of the Light Rail System at the Minneapolis-St.Paul International airport.
The photographs have been reproduced from the article ‘Design and Construction
of Minneapolis-St.Paul International Airport Precast Concrete Tunnel System’, by
Johnson R.M. et al., published in Precast-Prestressed Concrete Institute Journal, Vol.
48, No 5, September/October 2003.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
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available for downloading at
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[UE-T9-27]
Pre-fabricated concrete blocks. Technological aspects (2)
To learn more about the system see:
Chapter 5, ‘Construction of Tunnels and Shafts’in document ‘Tunnels
and shafts in rock’, U.S. Army Corps of Engineers, 1997 (available for
downloading at www.usace.army.mil).
‘The design, sizing and construction of precast concrete segments
installed at the rear of a tunnel boring machine (TBM)’, Document No
147, 1998, Recommendations fromAFTES (available for downloading
at www.aftes.asso.fr).
To find supliers of the system in the market see:
Tunnel Builder (www.tunnelbuilder.com). Go to ‘Suppliers’ and
choose ‘Support’.
American Commercial Inc. (www.americancommercial.com) — see
page ‘Charcon Segment’.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
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available for downloading at
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[UE-T9-28]
Types of analyses used in the design of tunnel support (1)
• Analyses that focus on structural behavior —e.g., structural frames
with ‘dead’ load, representing the action of the ground on the structure.
- From the models above, thrust, bending moments and shear forces
are computed, and based on their magnitudes, the structural sections
designed (e.g., given appropriate dimensions).
- Main drawback of the approach: how to quantify realistically the val-
ues of q
x
and q
y
? —and in the second case, howto quantify realistically
the stiffness of springs representing the ground?
ce.umn.edu
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available for downloading at
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[UE-T9-29]
Types of analyses used in the design of tunnel support (2)
• Analyses that focus on rock-support interaction —e.g., pre-stressed
elastic or elasto-plastic ground that ‘unloads’ onto the support.
- The main difference between approaches in this category lies on the
type of models considered for the ground and for the interface between
ground and support (e.g., elastic material, elastic-perfectly plastic ma-
terial, frictional or frictionless interface between ground and support,
etc.).
ce.umn.edu
University of Minnesota
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available for downloading at
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[UE-T9-30]
Types of analyses used in the design of tunnel support (3)
• Rock-support interaction analyses (continuation):
- Few (mechanically sound) closed-form solutions are possible in this
category. When the geometry of the tunnel and support are circular,
and the materials are elastic, Einstein and Schawrtz (1979) present an
elegant solution of the rock support interaction problem (see, list of
references).
- A semi-rigorous graphical-analytical approach is the Convergence-
Confinement Method of support design. The method is based on strong
restrictive assumptions (see next slides), but it provides a basis for reduc-
ing a complex 3D problem (increasing support loading with tunnel face
advance) into simpler 2D(plane-strain) problem—see list of references.
- The most powerful approach in this category is the use of numeri-
cal models (e.g., finite elements, finite difference methods). In these
numerical models, the support can be represented by linear ‘structural
elements’ (a type of element supported by commonly used codes, that
does not require discretization of the structure along its thickness) or by
normal material elements (e.g., elastic-isotropic solid elements).
ce.umn.edu
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[UE-T9-31]
The Convergence-Confinement Method. Generalities
• The Convergence-Confinement Method is a 2D simplistic approach
for resolving the 3D rock-support interaction problem associated with
installation of support near a tunnel front.
• The methodology allows estimation of the load that the rock mass
transmits to the liner once the ‘supporting’ effect of the tunnel front on
the section analyzed has disappeared (the face has moved away from
the section).
ce.umn.edu
University of Minnesota
Department of Civil Engineering
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[UE-T9-32]
Basic assumptions of the Convergence-Confinement Method
Tunnel is circular.
Far-field stresses are uniform (or hydrostatic).
Material is isotropic and homogeneous —e.g., elastic or elasto-plastic.
Support is axi-symmetric —e.g., shotcrete layer forms a closed ring.
Effect of the tunnel front in the vicinity of the tunnel section regarded
as a ‘fictitious’ support pressure.
ce.umn.edu
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[UE-T9-33]
Basic ‘ingredients’ of the Convergence-Confinement Method
• Ground Reaction Curve (GRC):
The Ground Reaction curve is the graphical representation of the rela-
tionship between radial convergence and internal pressure for a circular
tunnel excavated in a medium subject to uniform (hydrostatic) far-field
stresses.
• Support Characteristic Curve (SCC):
The Support Characteristic curve is the graphical representation of the
relationship between support radial displacement and uniform pressure
applied to the extrados of a circular (closed) support.
• Longitudinal Deformation Profile (LDP):
The Longitudinal Deformation Profile is the relationship between radial
displacement and distance to the front for a circular tunnel excavated in
a medium subject to uniform (hydrostatic) far-field stresses.
ce.umn.edu
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[UE-T9-34]
Ground reaction curve (GRC)
[Note: Positive radial displacement means inward radial displacement in the
Convergence-Confinement Method.]
ce.umn.edu
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[UE-T9-35]
Construction of Ground reaction curves
- The elasto-plastic solutions described in the notes for Topic 6, ‘Elasto-
plastic solution of a circular tunnel’, can be used to construct Ground
Reaction Curves.
- Construction of GRCrequires computing the values of radial displace-
ment for various values of internal pressure to outline the curve in the
previous slide.
- For an elasto-plastic material, the radial displacement for the critical
internal pressure p
cr
i
(point C in the previous slide), and the radial dis-
placement for various values of internal pressure in the interval [p
cr
i
, 0]
(between points C and M in the previous slide) must be computed —
note that the upper most point of the GRC(point Cin the previous slide)
has the coordinates p
i
= σ
o
and u
w
r
= 0.
- In the case of complex material behavior, numerical models can also be
used. To construct the GRC with numerical models, radial convergence
of the tunnel wall is recorded for decreasing values of internal pressure,
in the interval [σ
o
, 0].
ce.umn.edu
University of Minnesota
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[UE-T9-36]
Example of Ground Reaction Curve
The example above are discussed in Carranza-Torres and Fairhurst (2000).
ce.umn.edu
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[UE-T9-37]
Support characteristic curve (SCC)
[Note: Positive radial displacement means inward radial displacement in the
Convergence-Confinement Method.]
ce.umn.edu
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[UE-T9-38]
Construction of SCC (1)
The elastic solution described in the notes for Topic 8, ‘Elastic solution
of a closed annular support’, for the particular case of uniform loading,
can be used to construct a Support Characteristic Curve. From those
notes we saw that the radial convergence of the closed annular ring
expressed as a function of the pressure applied on the extrados of the
ring was
u
s
r
=
1 −ν
2
s
E
s
12R p
s
12(t
s
/R) +(t
s
/R)
2
(1)
where E is the Young’s modulus and ν is the Poisson’s ratio (for an
explanation of the other variables see previous slide).
Therefore, the stiffness K
s
of the support, that represents the slope of
the elastic part of the Support Characteristic curve (see previous slide)
is
K
s
=
E
s
1 −ν
2
s
12(t
s
/R) +(t
s
/R)
2
12R
(2)
ce.umn.edu
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[UE-T9-39]
Construction of SCC (2)
The relationship between the thrust T
s
and the pressure p
s
applied on
the extrados of the support is (see notes for Topic 8, ‘Elastic solution of
a closed annular support’)
T
s
= R p
s
(3)
If the ultimate compressive strength of the material is σ
max
s
, considering
that the normal stress on a radial section of the support is σ
s
= T
s
/t ,
then the maximumvalue of support pressure p
max
s
that makes the support
yield is (see figure in previous slide)
p
max
s
=
t
s
R
σ
max
s
(4)
ce.umn.edu
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[UE-T9-40]
Support Characteristic Curves for various support systems (1)
The maximum support pressure is,
p
max
s
=
σ
cc
2

1 −
(R −t
c
)
2
R
2

The elastic stiffness is,
K
s
=
E
c
(1 +ν
c
)R
R
2
−(R −t
c
)
2
(1 −2ν
c
)R
2
+(R −t
c
)
2
where
σ
cc
is the unconfined compressive strength of the shotcrete or concrete
[MPa]
E
c
is Young’s Modulus for the shotcrete or concrete [MPa]
ν
c
is Poisson’s ratio for the shotcrete or concrete [dimensionless]
t
c
is the thickness of the ring [m]
R is the external radius of the support [m] (taken to be the same as the
radius of the tunnel)
Note: The equations above are from Hoek and Brown (1980), ‘Underground Excava-
tions in Rock’. The notation has been changed to make it consistent with the notation
used in previous slides. For typical ranges of parameters to use in these equations
see the above mentioned reference. These equations and typical parameters are also
summarized in Carranza-Torres and Fairhurst (2000) —see list of references.
ce.umn.edu
University of Minnesota
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[UE-T9-41]
Support Characteristic Curves for various support systems (2)
The maximum support pressure is,
p
max
s
=
3
2
σ
ys
SR θ
A
s
I
s
3I
s
+DA
s
[R −(t
B
+0.5D)] (1 −cos θ)
(5)
The elastic stiffness is,
1
K
s
=
SR
2
E
s
A
s
+
SR
4
E
s
I
s

θ(θ +sin θ cos θ)
2 sin
2
θ
−1

+
2Sθt
B
R
E
B
B
2
(6)
where
B is the flange width of the steel set and the side length of the square
block [m]
D is the depth of the steel section [m]
A
s
is the cross-sectional area of the section [m
2
]
I
s
is the moment of inertia of the section [m
4
]
E
s
is Young’s modulus for the steel [MPa]
ce.umn.edu
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[UE-T9-42]
Support Characteristic Curves for various support systems (3)
σ
ys
is the yield strength of the steel [MPa]
S is the steel set spacing along the tunnel axis [m]
θ is half the angle between blocking points [radians]
t
B
is the thickness of the block [m]
E
B
is Young’s modulus for the block material [MPa]
R is the tunnel radius [m]
Note: The equations above are from Hoek and Brown (1980), ‘Underground Excava-
tions in Rock’. The notation has been changed to make it consistent with the notation
used in previous slides. For typical ranges of parameters to use in these equations
see the above mentioned reference. These equations and typical parameters are also
summarized in Carranza-Torres and Fairhurst (2000) —see list of references.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
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available for downloading at
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[UE-T9-43]
Support Characteristic Curves for various support systems (4)
The maximum support pressure is,
p
max
s
=
T
bf
s
c
s
l
The elastic stiffness is,
1
K
s
= s
c
s
l

4 l
πd
2
b
E
s
+Q

ce.umn.edu
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[UE-T9-44]
Support Characteristic Curves for various support systems (5)
The parameters in the equations in the previous slide are
d
b
is the bolt or cable diameter [m]
l is the free length of the bolt or cable [m]
T
bf
is the ultimate load obtained from a pull-out test [MN]
Q is a deformation-load constant for the anchor and head [m/MN]
E
s
is Young’s Modulus for the bolt or cable [MPa]
s
c
is the circumferential bolt spacing [m]
s
l
is the longitudinal bolt spacing [m]
Note: The equations above are from Hoek and Brown (1980), ‘Underground Excava-
tions in Rock’. The notation has been changed to make it consistent with the notation
used in previous slides. For typical ranges of parameters to use in these equations
see the above mentioned reference. These equations and typical parameters are also
summarized in Carranza-Torres and Fairhurst (2000) —see list of references.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T9-45]
Example of Support Characteristic Curves
The example above are discussed in Carranza-Torres and Fairhurst (2000).
ce.umn.edu
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[UE-T9-46]
The advancing front
The objective of the Convergence-Confinement method is to determine
final load in the support sectionA-A

, installed at time t
0
, once the effect
of the tunnel face has disappeared, at time t
D
.
The figure above is fromCarranza-Torres and Fairhurst (2000) —see list of references.
ce.umn.edu
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[UE-T9-47]
Longitudinal Deformation Profile (LDP)
The figure above is fromCarranza-Torres and Fairhurst (2000) —see list of references.
ce.umn.edu
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[UE-T9-48]
Equations for the definition of LDP
With reference to the diagram in the previous slide, the equation pro-
posed by Dr. M. Panet (see list of references) based on the analysis of
results from finite element axi-symmetric elastic models is
u
r
u
max
r
= 0.25 +0.75

1 −

0.75
0.75 +x/R

2

(7)
With reference to the diagram in the previous slide, the equation pro-
posed by Dr. E. Hoek based on the analysis of actual data and results
from numerical models is
u
r
u
max
r
=

1 +exp

−x/R
1.10

−1.7
(8)
The equations above are discussed in Carranza-Torres and Fairhurst (2000) —see list
of references.
ce.umn.edu
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[UE-T9-49]
Use of numerical models to construct the LDP (1)
Numerical models of a longitudinal section of circular tunnel (including
the front region) can be used to compute LDPs. The material constitutive
models used in these numerical models should be the same used to
construct the GRCs. The most efficient way of setting up and running
these models is as 2D axi-symmetric numerical models (commercial
codes like Phase2 and FLAC do have an axi-symmetry option).
The figure inthe next slide shows: (a) anaxi-symmetric meshinthe finite
difference code FLAC (www.itascacg.com); (b) a 3D representation of
the actual problem that the axi-symmetric mesh represents; (c)the LDP
obtained from the model.
ce.umn.edu
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[UE-T9-50]
Use of numerical models to construct the LDP (2)
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[UE-T9-51]
Ground-support interaction analysis. Final support pressure
The final support pressure p
final
i
is obtained from the superposition of
the GRC and the SCC (see point P in the diagram below). The LDP
defines the ‘starting point’ of the SCC (point S, of horizontal coordinate
u
A-A

r
). This point is the horizontal projection of point A on the GRC.
The vertical coordinate of point A is p
A-A

i
and represents the fictitious
support pressure provided by the tunnel front at the time of installation
of the support at section A-A

.
A proper support design according to the Convergence-Confinement
method is one for which the ratio of the maximum support pressure
p
max
i
and the final support pressure p
final
i
is larger than a factor of safety,
F.S., chosen for the design (normally F.S.∼ 1.5 ).
ce.umn.edu
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[UE-T9-52]
Example of Ground-support interaction analysis
The example above are discussed in Carranza-Torres and Fairhurst (2000).
ce.umn.edu
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[UE-T9-53]
Illustration of Convergence-Confinement analysis (1)
The purpose of this exercise is to verify that the characteristics of the shotcrete liner
(thickness, strength, distance to the front) for this tunnel are appropriate.
ce.umn.edu
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[UE-T9-54]
Illustration of Convergence-Confinement analysis (2)
The Ground Reaction Curve (GRC) will be computed with Lamé’s solution (see equa-
tion 16, in notes on Topic 3, ‘Elastic solution of a circular tunnel’), i.e.,
u
r
(p
i
) =
1
2G

o
−p
i
) R (9)
The Support Characteristic Curve (SCC) will be computed with equations for elastic
loading of a closed annular ring (see equations 8 through 10 in notes on Topic 8,
‘Elastic solution of a closed annular support’, and equations 1 through 4 in notes on
Topic 9, ‘The Convergence Confinement Method’). Thus the relationship between
radial displacement and support pressure is,
u
r
(p
i
) = u
I
r
+
1 −ν
2
c
E
c
12R p
i
12(t
c
/R) +(t
c
/R)
2
(10)
and the maximum pressure that makes the ring of shotcrete (of compressive strength
σ
cc
) yield plastically is
p
max
s
=
t
c
R
σ
cc
(11)
In equation (2), u
I
r
is the horizontal coordinate of the intersection of the SCC with
the horizontal axis, that will be computed in this example using the expression for
Longitudinal Deformation Profile (LDP) for elastic materials proposed by Dr. Hoek
—see slides ‘Equations for definition of LDP’ in this note, i.e.,
u
I
r
= u
max
r

1 +exp

−x/R
1.10

−1.7
(12)
In the equation above, u
max
r
is the coordinate of the intersection of the GRC with the
horizontal axis, that for the case of elastic ground considered here is computed with
equation (1) above, considering p
i
= 0, i.e.,
u
max
r
=
σ
o
2G
R (13)
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T9-55]
Illustration of Convergence-Confinement analysis (3)
The following slides shows the LDP, GRC and SCC for the properties considered in
this example, constructed with the equations described earlier. The following values
are obtained from application of the mentioned equations and graphical construction
of LDP, GRC and SCC:
u
max
r
= 3.9 mm (from GRC)
u
I
r
= 0.679 ×u
max
r
= 2.65 mm (from LDP)
u
F
r
= 0.308 ×u
max
r
= 1.2 mm (from LDP)
p
F
s
= 0.32 MPa (from GRC, see Note below the diagram)
p
max
s
= 0.583 MPa (from SCC)
p
final
s
= 0.131 MPa (from intersection of GRC and SCC)
u
final
r
= 3.39 mm (from intersection of GRC and SCC)
From the values above, the factor of safety FS for the shotcrete liner is found to be
FS =
p
max
s
p
final
s
=
0.583 MPa
0.131 MPa
= 4.45
Since FS 1.5, the proposed shotcrete liner is acceptable.
Note: The final thrust in the liner can be computed as T
final
s
= Rp
final
s
and results to
be T
final
s
= 0.39 MN/m.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T9-56]
Illustration of Convergence-Confinement analysis (4)
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T9-57]
Illustration of Convergence-Confinement analysis (5)
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T9-58]
The program Rocsupport (1)
Rocsupport implements the Convergence-Confinement Method (creation of GRC,
SCC and LPD) through a user-friendly graphical interface. The code allows to per-
form deterministic and probabilistic analyses of tunnel support design. Rocsupport is
developed and commercialized by Rocscience (www.rocscience.com).
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T9-59]
The program Rocsupport (2)
Rocsupport implements the Convergence-Confinement Method (creation of GRC,
SCC and LPD) through a user-friendly graphical interface. The code allows to per-
form deterministic and probabilistic analyses of tunnel support design. Rocsupport is
developed and commercialized by Rocscience (www.rocscience.com).
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T9-60]
Recommended references (1)
For technological aspects of tunnel support systems, see all references
(including web sites) mentioned in the slides.
For a rigorous solution of the problem of rock-support intereaction in
the case of a circular tunnel lined by an elastic closed ring in an elastic
ground subject to non-hydrostatic far-field stresses, see:
• Einstein, H. H. and C. W. Schwartz (1979), ‘Simplified analysis for
tunnel supports’. ASCE J. Geotech. Eng. Div., 105(4):449–518.
For tunnel support design and Convergence-Confinement method:
• Hoek, E. & Brown, E. T. (1980), ‘Underground Excavations in Rock’.
London: The Institute of Mining and Metallurgy.
• Brady B.H.G. and E.T. Brown, 2004, ‘Rock Mechanics for Under-
ground Mining’, 3rd Edition, Kluwer Academic Publishers.
• Hoek E., 2000, ‘Rock Engineering. Course Notes by Evert Hoek’.
Available for downloading at ‘Hoek’s Corner’, www.rocscience.com.
• U.S. Army Corps of Engineers, 1997, ‘Tunnels and shafts in rock’.
Available for downloading at www.usace.army.mil.
ce.umn.edu
University of Minnesota
Department of Civil Engineering
These notes are
available for downloading at
www.cctrockengineering.com
[UE-T9-61]
Recommended references (2)
• ‘The Convergence-Confinement Method’, Document No 170, 2002,
Recommendations fromAFTES (available for downloading at
www.aftes.asso.fr).
• Panet M. (1995), ‘Calcul des Tunnels par la Méthode de Convergence-
Confinement’. Press de l’École Nationale des Ponts et Chaussées.
• Carranza-Torres, C. and C. Fairhurst (2000), ‘Application of the con-
vergence confinement method of tunnel design to rock-masses that sat-
isfy the Hoek-Brown failure criterion’. Underground Space, 15(2),
2000.

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