An interpretation of ground movements recorded during construction ofbthe

Donkin-Morien tunnel

DJAppolonia Consulting Engineers, S.p.A., Genoa, Italy

P. K . KAISER
Geomechanics Research Centre, Laurentian University, Sudbury, Ont., Canada P3E 2C6
AND
N. R. MORGENSTERN
Department of Civil Engineering, University of Alberta, Edmonton, Alta., Canada T6G 2G7
Received August 8, 1990
Accepted December 27, 1990
A tunnel excavated by a tunnel boring machine was monitored extensively by means of extensometers installed near
the tunnel face. Consequently, the three-dimensional state existing at the time of installation must be considered for
the interpretation of the monitoring data. Results from three-dimensional finite element simulations are used to back-
calculate rock mass strength and deformation properties. The purpose of this study was to establish and test various
approaches of back-analysis. Results are compared with field and laboratory measurements. On the basis of these analyses,
the paper provides guidance on how field data can be used for back-analysis purposes even when the ground behaves
in a nonelastic manner.
Key words: tunnelling, monitoring, tunnel boring, back-analysis, nonlinearity.
:.
Un tunnel percC au moyen d'un appareil tunnelier a CtC instrument6 de faqon ClaborCe au moyen d'extensombtres
installis prbs de la face du tunnel. En consequence, 1'Ctat tridimensionnel prCvalant au moment de l'installation doit
Ctre pris en consideration lors de l'interprktation des donnCes de mesure. Les risultats d'une simulation tridimension-
nelle en ClCments finis sont utilises pour calculer a rebours les propriCtCs de resistance et de deformation du massif
rocheux. Le but de la prCsente Ctude etait d'etablir et de verifier diffkrentes approcheg d'analyse a rebours. Les rksultats
sont comparCs avec les mesures en laboratoire et en chantier. Sur la base de ces analyses, l'article fournit des indica-
tions sur la f a ~ o nd'utiliser les donnees de chantier pour les fins de l'analyse rebours m&melorsque le sol se comporte
dans un etat non-Clastique.
Mots clks : percement de tunnel, mesure, forage de tunnel, analyse a rebours, non-1inCaritC.
[Traduit par la redaction]

Can. Geotech. .I.28, 239-254 (1991)

1. Introduction
The mine access tunnels for the Donkin-Morien coal mine
in Cape Breton Island, Nova Scotia, Canada, comprise a
tunnel excavated by drilling and blasting (tunnel No. 3) as
well as a TBM-driven circular tunnel (tunnel No. 2) that was
built between January 3 and December 21, 1984. Excavation
proceeded northward from the portal on Cape Perce to inter-
sect the harbour coal seam about 3.5 km offshore. The tun-
nel was driven to a maximum depth of 200 m below the
seabed in layered sedimentary rock of Carboniferous age,
dipping 10" toward the north. A relatively extensive
instrumentation program, funded by CANMET (Canadian
Centre for Mineral and Energy Technology), was under-
taken t o document the tunnel performance.
In this paper, some of the monitoring data collected dur-
ing the excavation of the TBM-driven tunnel are analyzed.
The purpose is to demonstrate how field measurements col-
lected during tunnel construction can be used t o back-
analyze the mechanical properties of the rock mass to update
design parameters and t o assist on-going monitoring based
decision making.
In present tunnelling practice, measurements collected
during tunnel excavation are generally used for empirical
assessment of the tunnel performance and are largely based
on the observation of displacement magnitudes and rates
of deformation (Bieniawski 1984).
Prin~edin Canada / Imprime au Canada
Over the past decade, much effort has been expended to
develop methods to back-analyze ground properties from
. monitoring data and numerical computations (e.g., Gioda
and Maier 1980; Sakurai and Takeuchi 1983). However,
there is still only a limited rational framework for tunnel
monitoring and data interpretation.
A series of guidelines for tunnel monitoring have been
provided by Pelli et al. (1990), based on extensive three-
dimensional finite element simulations, and by Kaiser (1991).
These include recommendations on the number of instru-
ments in an optimal array, anchor point spacing, orientation
relative to principal stress axes, and location of initial read-
ing as well as frequency of recording. In the same study,
some indications on how field measurements can be used
in the back-analysis process to determine rock mass prop-
erties were given.
The findings of the numerical investigation are applied
in the following to some data from the Donkin-Morien tun-
nel and it is demonstrated how various methods of data
interpretation can be used and implemented in tunnelling
practice.
2. Project description
A longitudinal section of the Donkin-Morien tunnel No. 2
is shown in Fig. 1. The tunnel was driven with a 7.6 m diam-
eter full-face, shielded LOVAT M-300 TBM (Marsh et al.
 CAN. GEOTECH J. VOL. 28, 1991 , r \ i

Chainage: Om 1300m . 3580m

Atlantic Ocean Harbour Coal S e a m

portal Sandstone Unit L~unnel

500
Scale, m
FIG. 1. Longitudinal section through tunnel No. 2 (after Yuen et al. 1987).

TABLE
1. Parameters obtained by laboratory and field testing (summarized from Yuen
et al. 1985)

Laboratory tests

0, (MPa) E (GPa)
Field tests,
Rock type Range Mean Range Mean E (GPa)

Sandstone 45-145 94 14-44 34 8-28

Interbedded
sandstone-siltstone 48-153 121 6.6-22 17.6 -
Siltstone 14-69 54 4.5-25 11.3 j b -
Interbedded
siltstone-mudstone 15-63 36 4-15 9 -
Mudstone 31-42 37 8.8-15 11.5 -
NOTE: u,, uniaxial compressive strength; E, deformation modulus.

1986) in a 30 m thick unit of competent sandstone up to
chainage 1300 m. The remainder was excavated in weaker
mixed sediments consisting of sandstone, siltstone, and
mudstone.
2. I Support
The support was designed for the purpose of sustaining
the thrust load from the TBM as well as gravity loading
owing to loose rock at the tunnel crown (Yuen et al. 1987).
It is composed of steel ribs (W150 x 23), spaced at 1-1.5 m
along the entire length of the tunnel, connected by longitudi-
nal thrust blocks. Wire mesh was also installed above the
springline to provide support to any loosened rock fragments
for safety during tunnel drivage. The support rings were
expanded behind the tail of the TBM at one diameter from
the tunnel face. Since the liner is very flexible and placed
far from the tunnel face, its effect on the deformational
behaviour of the ground was neglected in this study. The
field measurements confirm the appropriateness of this
assumption. Significant loads were only detected in those
sections where loosening occurred at the tunnel crown and
caused gravity loading ( ~ u e net al. 1985).
2.2 Rock properties
Laboratory and field tests provided length and deforma-
tion properties for the various rock types. The field testing
program included in situ modulus measurements (by means
of the Colorado School of Mines dilatometer) in a horizon-
tal, 42 m long borehole drilled in the sandstone from a
parallel tunnel (tunnel No. 3). Within one radius from the
tunnel wall, a stiff zone was detected with modulus values
as high as 28 GPa, whereas further from the wall an almost
constant modulus of about 10 GPa was obtained.
The data relevant to the present discussion are sum-
marized in Table 1. A Poisson's ratio of 0.25 (mean value)
was measured for the sandstone. The laboratory testing pro-
gram revealed relatively high uniaxial compressive strength
for the (portal) sandstone and for the interbedded sandstone-
siltstone. The siltstone, the interbedded siltstone-mudstone,
and the mudstone were much weaker. In the field, loosening
at the tunnel crown was observed in the mixed sediment sec-
tions. In terms of deformability, the sandstone was found
to be more than three times stiffer than the siltstone, inter-
bedded siltstone-mudstone, and mudstone. The in situ
dilatometer tests performed in the sandstone unit yielded
lower Young's moduli than the values obtained in the labo-
ratory. This difference was expected, because the rock defor-
mability is known to increase as the volume of the rock
tested increases. These results are in agreement with Heuze
(1980) who found that the elastic moduli measured in the
laboratory are two to three times larger than those in situ.
2.3 In situ stresses
An in situ stress measurement program was conducted in
the parallel tunnel by means of two overcoring techniques,
using the CSIRO hollow inclusion cells and the USBM defor-
mation gauges. Because of technical problems (Yuen et al.
1985) the horizontal, radial stress at the springline was
measured at only two locations. One was relatively close to
the tunnel wall and, hence, affected by the excavation. More
extensive and accurate stress measurements would have been
 PELLI ET AL.
FIG. 2. Section through tunnel with radius a = 3.8 m and horii:ontal extensometer placed at chainage 800 m (modified from Yuen
et al. 1985). Scale 1:400.
very beneficial to the back-analysis process. A vertical,
minor principal stress consistent with the tunnel depth
(u, = 5 MPa) and a moderately high horizontal stress
(KO = uh/uv = 2) were interpreted. In agreement with the
measured KOvalue, extensive stress-induced loosening was
observed at the tunnel crown in the mixed sediment section.
2.4 Monitoring program
The instrumentation program included strain gauges and
pressure cells on the supports as well as radial multipoint
extensometers installed at various distances from the tunnel
face. Only the latter will be discussed in the following
sections.
One multipoint extensometer was placed at each instru-
mented section (partly because of limited accessibility to the
excavation front of the shielded TBM). Whereas this helps
to detect variability, it renders a quantitative back-analysis
of the monitoring data difficult. At the invert, instruments
could only be placed one diameter from the excavation front
immediately behind the tail of the machine.
2.5 Extensometer locations
In the sandstone, at chainage 800 m, a rigid probe multi-
point extensometer was located in a horizontal borehole,
driven from the parallel tunnel No. 3 (Fig. 2). It provided
the only record of displacements ahead of the tunnel face
and in the direction of the major principal stress. These
extensometer data are used in this paper to back-analyze the
elastic modulus of the sandstone rock mass.
Several extensometers were placed at the tunnel crown,
in the mixed sediment section, to detect the loosening pro-
cess. The data collected from these extensometers are used
to back-analyze the strength and the elastic modulus of the
mixed sediments.
Monitoring data collected by instruments in the direction
of the major and minor initial stresses are discussed sepa-
rately. This is appropriate because only one extensometer
record is available for each instrumented section and dif-
ferent rock types generally characterize the springline (sand-
stone) and the crown (mixed sediments).
3. Interpretation of radial displacement records in the
direction of the major principal stress
Multipoint radial extensometer and convergence measure-
ments collected at the tunnel springline (i.e., in direction of
the major principal stress for KO > 1) can provide, if inter-
preted correctly, a considerable amount of information on
the rock mass properties. In this section, the monitoring data
collected by means of the multipoint extensometer placed
horizontally at chainage 800 m (Fig. 2) are discussed and
the elastic properties of the sandstone rock mass are back-
\
, ,
Field Data
\, E l a s t i c i t y Theory
Radial Distance ( r-a ), (rn)
FIG. 3. Comparison between relative radial displacements mea-
sured in the field (chainage 800 m; total values) and calculated by
the finite element method (radial distance (r - a ) is measured from
the tunnel wall).
analyzed. The effect of nonlinear ground behaviour is also
evaluated.
At chainage 800 m, the tunnel is contained in a thick sand-
stone layer. The instrument was placed far ahead of the tun-
nel face and the complete development of deformations
could be monitored as the tunnel advanced.
Two different methods of interpretation are presented.
The first approach is based on the total relative displace-
ments, obtained far behind the tunnel face, without con-
sidering intermediate deformation stages. In principle this
method can be applied in the context of a conventional two-
dimensional approach, as it does not require a detailed
knowledge of the three-dimensional strain field. However,
as will be demonstrated, a three-dimensional perspective is
necessary to explain certain phenomena that may affect the
measurements and could be relevant for an effective data
interpretation. The second approach consists of analyzing
the shape of the radial displacement curves and involves a
sound knowledge of the near face deformation field. The
results obtained from these two approaches will be
compared.
3.1 Effects of a compression zone on data interpretation
The ultimate radial displacements measured by the exten-
someter at chainage 800 m are plotted in Fig. 3 (solid line).
Between 1.5 and 3.0 m from the tunnel wall a compression
zone is found. Its effects on data interpretation have to be
 CAN. GEOTECH. J. VOL. 28, 1991
S t i f f Zone
4
--
r
Cornpress~ve
Ur Ur Ur
-- -- - ---
MxSflff Rrng
FIG.4. Schematic diagram for the explanation of the effect of
the radial compressive zone.
explained before the back-analysis process can be carried
out.
A possible explanation of this phenomenon is shown
schematically in Fig. 4 where the effect of a thin stiff zone
on the radial displacements around the tunnel is illustrated.
Such a zone could be caused by a natural inhomogeneity
or differential rock damage owing to construction. Modulus
measurements conducted in situ (section 2.2) confirmed the
presence of a stiffer zone in the proximity of the tunnel wall,
although the stiffness ratio did not exceed three and the con-
tinuity of the stiffer ring around the tunnel could not be
verified.
Various alternative causes for the radial compression zone
were explored, both in terms of rock constitutive relation-
ships and local rock damage. Two-dimensional finite ele-
ment analyses were carried out utilizing elastoplastic strain
weakening models with nonassociated flow rule and by
simulating local damage in proximity of the tunnel wall. It
was found that nonlinear stress behaviour and local damage
could not explain the development of a radial suppression
zone in the direction of the major principal stress. On the
other hand, differential rock damage along the tunnel axis
may be expected to play some role by enhancing stiffness
differences.
After excavation, the stiff ring with a higher modulus than
the adjacent rock mass causes a localized constraining effect
that limits the radial displacements. This effect is concen-
trated near the wall of the tunnel and vanishes far from it.
To qualitatively substantiate this hypothesis a three-
dimensional finite element analysis was carried out, where
the conditions described in Fig. 4 were modelled. Note that
a conventional two-dimensional approach cannot provide
an explanation. The results of the analysis are presented in
Fig. 5 and show that a stiff ring reduces the radial displace-
ment at any distance from the tunnel wall. Most interesting
is the shape of the simulated displacement profile resembling
the field measurements (Fig. 3). This observation is impor-
tant for the interpretation of the monitoring data as its
influence, if not considered properly, may lead to an under-
estimation of the deformability of the ground. Although a
very high modulus difference was adopted for the FE anal-
ysis (1000 times higher modulus in 1.3 m long and 0.4 m
thick stiff rock ring) to provide clear evidence of the com-
pression zone effects, a much lower modulus contrast in the
1 \
\
W ~ t h o u tS t ~ f f
Elements Near Wall
I I I I I I I I I I
I 3 7 10
Radial Distance ( r-a ), ( rn)
FIG. 5. Relative radial displacement profiles with and without
zone of stiff rock (finite element analyses; radial distance (r - a)
is measured from the tunnel wall). "
order of 10-30 times would generate a similar response. This
is supported by FE analyses of lined tunnels, where com-
pression zones owing to stress concentration at the leading
edge of a thin concrete ring were detected (Pelli 1987).
The most reliable data are thus provided by the measure-
ments taken at least a few metres awav from the excavation.
Back-analysis of an elastic modulus based on these data will
likely result in an upper bound value, because the magnitude
of the displacement profile affected by a stiff ring is lower
than that for a homogeneous rock mass. On the other hand,
it can be observed from Fig. 5 that the differential displace-
ment between anchors located at various distances from the
tunnel wall (i.e., the slope of the curves in Fig. 5) are not
greatly influenced by the compression zone, provided that
the selected anchors are far from the excavation wall.
3.2 Back-analysis of rock mass modulus from total radial
displacements
Based on three finite element analyses conducted for linear
elastic, nonlinear elastic (hyperbolic), and elastoplastic con-
stitutive relationships, it has been shown (Fig. 16a, Pelli
et al. 1990) that, for KO > 1, the radial displacement pro-
files obtained at the tunnel springline and far behind the tun-
nel face are not much affected by the constitutive relation-
ship characterizing the ground behaviour. The difference in
shape of the corresponding profiles is minor, as the effect
of nonlinearity is mostly concentrated near the tunnel crown
and invert (i.e., in the minor principal stress direction).
The elastic modulus of the rock mass can then be back-
analyzed by comparing the radial displacement profile
detected in the field, with the displacements calculated by
means of the elasticity theory. In Fig. 3, the recorded dis-
placements at chainage 800 m (solid line) are compared with
the theoretical displacement profiles (broken lines) calculated
for E = 10 and 6 GPa (without compression zone simula-
tion). To allow this comparison, the calculated values have
been obtained assuming a datum 42 m away from the wall
of the tunnel (location of the deepest anchor). It was
observed earlier (Fig. 5) that the stiff zone causes a decrease
 PELLI ET AL.
FIG. 6. Radial displacement profile measured at 3 m from the
tunnel wall fitted by FEM (E = 10 GPa; chainage 800 m).
1
I
I
of the movement away from the excavation' For this
reason the calculated displacement (without stiff zone)
should be significantlylarger than the measured values (with
stiff zone) and the solution with = GPa represents an
upper bound for the rock mass because it
provides a profile just slightly above the field data.
A better estimate Of the rock mass can be
obtained by considering relative displacements far from the
tunnel wall where the influence of a stiff zone is less domi-
nant. The differences between the displacements measured
at 7 and 21 m from the wall, in Fig. 3, were con-
sidered for comparison with the elastic body. The relative
at the anchor set can be matched with
= GPa' A 'Ornewhat higher Of = GPa
was obtained from the relative displacements of anchors at
3-21 from the but it is
(Au,(3-2~))9
that this modulus is not representative of the average rock
mass deformability because of the aforementioned compres-
sion zone. The deformability back-analyzed by means of the
displacement data interpretation is two times larger than the
deformability determined by field pressuremeter tests. This
is expected because a much larger volume of rock is affected
by the tunnel excavation than by the dilatometer. For tunnel
design purposes, however, the difference between these
moduli is not significant.
Unfortunately, this kind of back-analysis procedure,
including the total displacements ahead of the tunnel face,
can seldom be applied for deep tunnels because radial
displacements are often not available.
3.3 Back-analysis of rock mass modulus from radial
displacement curves behind the tunnel face
1 The elastic modulus of the rock mass can also be back-
j
\,
FIG. 7. Radial displacement profiles measured at 7 m from the
tunnel wall fitted by FEM (E = 7.5 GPa; chainage 800 m).
calculated by interpretation of the radial displacement pro-
files from chainage 800 m.
In a previous study (Pelli et 1990), three-dimensional
numerical analyseswere conducted to investigatethe depend-
ence of the convergence curve shape on various constitutive
relationships for the rock mass. Three convergence curves
were obtained at the springline for a tunnel in linear elastic,
hyperbolic, and elastoplastic rock. It was observed that the
curves are virtually identical up to about 0.2 radii behind
the tunnel face and very similar up to 0.45 radii behind the
face as long as the elastic moduli (initial elastic modulus for
the hyperbolic case) are Major differences only
occurred relatively far behind the excavation front, where
high deviatoric stresses develop. This observation led to the
conclusion that, for cases where moderately nonlinear
behaviour is exhibited by the rock mass, the shape of the
initial part of the radial displacement curves can reveal the
magnitude of the elastic modulus of the rock independent
of the ultimate rock mass behaviour.
The radial displacement profile, measured at from
the tunnel wall, is in Fig. 6 with a curve calculated
for the same location by a three-dimensional finite element
analysis. An elastic modulus of GPa and a stress ratio
of K, = 2 were selected. The calculated curve matches the
field data well up to point A where the two profiles diverge
towards different final displacement values.
The difference in radial displacements,detected far behind
the face, is only in part a reflection of the difference in total
radial movement (including dis~lacementsahead of the
face). It is also due to the fact that a considerable difference
between the measured and predicted displacement at the face
was observed. In fact, smaller radial displacements than
 CAN. GEOTECH. J. VOL. 28, 1991
FIG. 8. Radial displacement profiles measured at 3 m from the
tunnel wall fitted with FEM (E = 10 GPa; chainage 800 m; datum
at 21 m from the tunnel wall).
predicted were measured at the tunnel face (see Au in insert
of Fig. 6), perhaps owing to a local inhomogeneity in the
tunnel face (Pelli 1987). To compare the final displacements
measured at the tunnel face with those computed, the final
displacement at the face must be adjusted as shown in Fig. 6
(insert) to account for the different trends ahead of the face.
The C line was obtained by adding to the calculated ultimate
radial movement the difference between the calculated and
the measured displacements at the tunnel face (Au in insert
of Fig. 6). Note, however, that this correction can only be
applied if the movement ahead of the face of the tunnel is
measured. On the other hand, no correction should be
applied to the computed displacement profile if a back-
analysis based on matching the near face portion of the curve
is performed, as the initial part of the curve, fitted by the
numerical results, is assumed to be independent of the
displacement at the face. This assumption was proven to
be correct by Pelli (1987), at least at the tunnel springline
and for KO = 2.
The same fitting procedure was then applied to the curve
at 7 m from the tunnel wall shown in Fig. 7. For this case
a modulus of 7.5 GPa is needed to match the initial part
of the curve. Consistent with earlier observations, a lower
elastic modulus was found by considering measurements
taken far from the wall of the tunnel (and far from the com-
pressive zone). These results, however, are not in agreement
with the analysis of the total displacements, leading to the
conclusion that the elastic modulus of the rock mass should
be lower than 6 GPa (see previous section).
Better agreement was achieved by subtracting the displace-
ments measured at a depth of 21 m from the displacements
at 3 and 7 m from the wall, respectively. They are compared
FIG.9. Radial displaceme~t'profilesmeasured at 7 m from the
tunnel wall fitted by FEM (E = 5.75 GPa; chainage 800 m; datum
at 21 m from the tunnel wall).
with calculated curves in Figs. 8 and 9 for Au,0-21) and
Au,(~-~I), respectively. In this manner, the measurements
become independent of the datum. For the measurements
at 3 m from the wall, the same result as found previously,
i.e., E = 10 GPa, is obtained. The rather high value
observed at this location can again be justified by the effect
of the compressive zone detected near the wall of the tunnel.
The relative displacements between 7 and 21 m from the
tunnel wall, presented in Fig. 9, can be fitted by assuming
E = 5.75 GPa. These observations are consistent with the
conclusions based on the analysis of the total radial displace-
ments. The modulus back-calculated at 7 m from the wall
is considered to be most representative. For this reason, a
mass modulus between 5 and 6 GPa is most appropriate for
the sandstone. A certain amount of nonelastic deformation
occurred behind the tunnel face as indicated on Figs. 8 and 9
(also observed in Figs. 6 and 7).
No attempts were made to fit the full radial displacement
curve by results from finite element analyses with an elastic
rock model because only the initial portion of the curve (near
the face) reflects the elastic properties of the medium. The
displacements far behind the face are affected by yielding,
initial stresses, and other factors influencing the displace-
ments ahead of the tunnel face (Pelli et al. 1990).
Although the two interpretations lead to similar results
for the Donkin-Morien tunnel, the authors are more confi-
dent in the second approach using the gradient of the dis-
placement profile. It should be adopted whenever possible.
Near the face, only a limited amount of yielding may have
developed and the elastic properties of the medium stilI
dominate. Furthermore, the elastic modulus can be back-
calculated without knowing the displacement at the tunnel
 PELLI ET AL. i 245
i

9 9 m , n.161

0 20 40 60 80 100 120
x (rn)
FIG. 11. Predicted radial displacement-profiles for chainage
800 m at 3 m from the tunnel wall for variable n and x, =
5-25.2 m.
0 20 40 60 80 100 120
convergence. For more information on the meaning of these
x (rn) parameters the reader is referred to Richard and Abbott
FIG. 10. Radial displacement profile measured at 3 m from the (1975). - -
tunnel wall (chainage 800 m) and fitted with Ramberg-Osgood The parameter n is important for defining the shape of
functions (n = 1.2-2). curves having the same initial gradient. For such cases a
lower n value corresponds to a flatter curve and it can be
face. This aspect is of considerable practical importance for used to quantify the difference in shape. 1n ~ i 10,~ the.
deep tunnels. radial displacement profile measured at 3 m from the tunnel
This back-analysis also illustrates that convergence face is compared with three Ramberg-Osgood curves. The
measurements alone may lead to erroneous results as they closest correspondence was obtained for n = the
are very sensitive to local effects (such as the compression linear elastic model, n = 2 fits best. This indicates that the
zone detected at Donkin-Morien). rock mass is affected by a certain amount of nonlinearity
and is in agreement with the detection of the nonelastic
3.4 Prediction of radial displacements by curve fitting deformations indicated in ~ i 8 and ~ 9.~ .
he numerical analyses revealed that the shape of the he ~ ~ ~ b function
~ ~can also
~ be- usedOto pre-
~ ~ ~
radial displacement curves is a valuable indicator of the rock dict the final radial displacement, based on the initial part
mass ~ r o ~ e r t i eIn
s . particular, flatter displacement profiles of the displacement profile. This feature can be very useful
are found if the rock exhibits a nonlinear stress-strain rela- because it may allow for a rapid evaluation of field data
tionship. To quantitatively evaluate the shape differences without having to wait for the tunnel face to be far ahead
of the radial displacement profiles, a fitting procedure by of the instrumented section. The procedure presented by
means of an appropriate analytical function was applied. Desai and Wu (1976) may be used to determine u, and n
he analytical function developed by Ramberg and Osgood 0. the basis of the initial gradient and two known points
(1943) in the form given by Desai and Wu (1976) was f ~ u n d on the curve. Desai and Wu (1976) also provide a simple
to match the displacement profiles given by convergence computer program to solve this problem by means of an
points and radial extensometers installed at the tunnel face iterative algorithm.
reasonably well. The function is defined by the initial slope, This method was applied to the radial displacement pro-
s,, and the slope of the final tangent, Sf, the intercept, UO, file measured at 3 m from the wall to verify its ability to
of the asymptote at x = 0, and a shape factor, n (see inset predict the radial movement, for various distances of the
in Fig. 10). It can be expressed as follows: tunnel face from the instrumented section (Fig. 11). A hor-
(Sl - Sf)x izontal asymptote (Sf =0) was assumed and each curve
[I] u r = ( ~ l - ~ f ) x ( l + l uo I~)-'"+S~~ was forced to pass through the last available measurement
(at x,) and one intermediate point. For instance, the first
Low n values indicate slow convergence to the asymptote prediction was made assuming the first 5 m of the radial
and large radii of curvature. Rapid slope variations are displacement curve to be known (x, = 5 m). The two
associated with high n values. For n = 1 the Ramberg- points selected were at x = 2.5 and x = x, = 5 m from
Osgood function degenerates to a hyperbola. Sf can be the tunnel face. When the face is situated at 5 or 9.9 m from
assumed to be zero (horizontal asymptote) for time- the instrumented section, relatively high n values, close to
independent problems, i.e., u, is directly related to the final those suitable for linear elastic conditions, are predicted.
246 CAN. GEOTECH. J. VOL. 28, 1991
FIG. 12. Predicted radial displacement profiles for chainage
800 m at 3 m from the tunnel wall for n = 1.2 and x,,,=
5-25.2 m).
This is in agreement with the observation that the initial part
of the curve reflects the elastic properties of the medium.
As the face of the tunnel continues to advance, the n value
decreases and at less than two radii (x, = 12.24 m) from
the excavation front a good prediction of the final displace-
ment is obtained. The gradual departure from the linear
elastic conditions can be detected in this manner, as the
excavation proceeds, by several sequential back-calculations
of n. This is useful in practice because it allows to detect
yielding conditions and permits to respond rapidly to unex-
pected rock conditions. The n value characterizing the
displacement profile can then be used for movement predic-
tions in other similar sections by forcing the curve to pass
through the last measurement. The results obtained by this
procedure are shown in Fig. 12, where it can be observed
that a reasonable estimate can be provided based on the
initial 12 m of the curve if the n value is correctly predicted.
4. Interpretation of radial displacement records in
direction of minor principal stress
The radial displacement records detected in the direction
of the minor stress can reveal the strength and deformation
properties of the rock mass. In the following sections, the
data collected by means of the multipoint extensometers are
discussed and the strength and deformational properties of
the mixed sediments are back-analyzed.
All extensometers considered here were placed immediately
behind the tunnel face (between 0.25 and 1 m from the face).
One of them was a rigid probe type, whereas the remainder
were flexible probe extensometers equipped with a large
number of anchors. Zero readings were taken at the face
after installation and, because of the lack of access owing
to the shield of the TBM, no readings could be taken within
one diameter from the excavation front. Therefore, the
shape of the radial displacement curves is not available near
the face and the otherwise preferred method of data inter-
pretation proposed by Barlow (1986) and Barlow and Kaiser
(1987) could not be applied.
j
1 4 '
A back-analysis of the in situ stress field is not possible
because of insufficient data at each section. The displace-
ments should have been measured at various locations
around the tunnel to allow for an effective back-analvsis
process. In particular, measurements taken at the tunnel
crown are known to be strongly affected by the virgin axial
stress pa (Pelli et al. 1990) whose magnitude is not accu-
ratelv known for this case. Failure observed at the tunnel
crown and invert indicates a relatively high horizontal stress,
ph, consistent with the field measurements. A constant
KO = 2 was selected for the purpose of the following
discussion.
4.2 Back-analysis of rock mass strength
To back-analyze the peak strength of the rock mass, the
in situ stresses and the location at which the strength of the
rock is exceeded must be known. The distance of the failure
initiation point from the tunnel face can, for example, be
detected by extensometers installed at the tunnel face. How-
ever, if the location at which the strength of the rock mass
is exceeded cannot be identified, only very general conclu-
sions can be drawn. Examples of both situations will be pre-
sented in the following discussion.
4.1.1 Strength from extensometer results
The relative displacement profile far behind the tunnel
face, as measured by the vertical multipoint extensometer
located at chainage 2263.m, is depicted by Fig. 13a. This
instrument is located in the interbedded mudstone-siltstone
(up to 2 m from the wall), coal (up to 3.6 m), mudstone,
carbonaceous mudstone, and interbedded sandstone-
siltstone. Most of the movement occurs within 2 m from
the tunnel and a relatively high radial displacement of
25 mm is found at the crown of the excavation. A sudden
change in curvature, between 1 and 1.4 m from the tunnel
wall, indicates the thickness of the loosened rock zone. The
radial displacement curves measured by this extensometer
are plotted in Fig. 14 against the distance from the tunnel
face. The deepest anchor depth has been chosen as the
datum. From this figure, the location at which failure
occurred can be identified (indicated by the arrow labeled
"loosening"). Relatively small displacements take place in
the rock within 14 m (3.7 radii) from the tunnel face, then
failure occurred and affecting the rock between 1.0 and
1.4 m. Note that only a portion of the siltstone unit below
the coal failed.
The relative radial displacement profile far behind the
face, as measured by the multipoint extensometer at chain-
age 3205 m, is presented in Fig. 13b. This extensometer is
simulated in siltstone and interbedded sandstone-siltstone
up to 5.8 m away from the tunnel wall. In this case, the
thickness of the mobilized zone is deeper but does not exceed
3 m. Again, a relatively large displacement of about 40 mm
is detected at the tunnel wall. This curve flattens gradually
and does not reveal the thickness of the loosened zone by
a sudden change in gradient. The radial displacement curves
given by the extensometer at chainage 3205 m are shown
in Fig. 15. Again, failure occurred far from the tunnel face
(at about 14.5 m) and a considerable amount of loosening
can be observed. The broken zone propagated to more than
2 m and is approximately twice as thick as for the previous
case.
If the same initial stresses can be assumed to exist at
chainages 2263 and 3205 m, the rock at these two locations
 PELLI ET AL. 247
\

(a) Extensometer 2T 2263 E A

10
----

A 8 - E-m
-E

z2 6-
----
XI
U ----
w
> (.,
0
n P
a
w 4 - ----
U
C
0
C
(.) I D A
.-U) \ Phalen Seam
n 1
2-l+----
TZL
0 4\_
I - I I
20 40 60 80
Displacement ( Downward )
(mm)

4
(c) Extensometer 2T 1428 E A

Displacement ( Downward) Displacement ( Downward)

(rnrn) (rnm

FIG. 13. Measured radial displacement profile (relative to deepest anchor) at (a) chainage 2263 m; ( b ) chainage 3205 m; ( c ) chainage
1428 m; and (d) chainage 2996 m (after Yuen et al. 1985). I, sandstone; 11, interbedded sandstone-siltstone; 111, siltstone; IV, interbedded
siltstone-mudstone; V, mudstone; VI, carbonaceous mudstone; VIA, coal.

must have failed under similar load conditions and the uni-
axial rock mass compressive strengths for the siltstone
(chainage 3205 m) and the interbedded mudstone-siltstone
(chainage 2263 m) can be quantified. However, the stress
concentration in the crown must be estimated first.
The stress distribution near the tunnel face was determined
by means of three-dimensional numerical analyses and by
assuming linear elastic rock. This assumption is reasonable
for rocks that exhibit a brittle behaviour as evidenced by
the observed, sudden failure initiation. For cases where a
248 CAN. GEOTECH. J. VOL. 28, 1991
,

s _ _ - -,---
-
$?!!-------
,'

,--

Loosening :
-; m/-/------
----
o:? - -
,'
I
--
,-
I I
r I
I
, ,
I

2
.- ,.' , I

- Y
.P
.=C 1
; ,

, \.op-----------
,----

- ,' *. _ r e

2 ; ," ,----
-
? I , '
.- :
2 ;,,' ,; ; ------- _ _ - -
\,4? - - - - - - - - - - - , - - - -
I ,
,' t
: ,,, ;
::
I
, ,/
' I

,, ,,-,
# I
t I

;; ,,,' ----
1.9-m..-_-.._..-
;;; ,, ----
,-----
; ;I /,

1 (:I
IS,, ,
,__;
;;; ,/' n ~2:.9tl-~.~;~~
.=--==.--.------
/&&' _----.-
*<-.-.. ----
4.9m-5.7m
I I I I I

FIG. 14. Measured radial displacement profiles for the crown FIG. 15. Measured radial displacement profiles for the crown
at chainage 2263 m (relative to the deepest anchor; extensometer at chainage 3205 rn (relative to the deepest anchor; extensometer
installation at the funnel face) (after Yuen et al. 1985). installation at the tunnel face) (after Yuen et al. 1985).

considerable degree of nonlinearity is expected in the pre-

peak range, the linear elastic assumption may lead to
unrealistic stress predictions as discussed by Santarelli et al.
(1986) and Santarelli and Brown (1987). Also, heterogeneities
and anisotropy of the rock deformation properties can cause
stress concentrations around the tunnel that may dominate.
The tangential stresses at the tunnel crown, as obtained
by a three-dimensional finite element analysis, are plotted
in Fig. 16 against the distance from the tunnel face. The
stresses have been obtained for KO = 2 and are normalized
with respect to the vertical stress. The distance from the face
is normalized with respect to the tunnel diameter. For the
two cases discussed above, failure initiation took place at
about 1.9 diameters behind the face of the tunnel where,
as indicated in Fig. 16 (point A), 98% of the ultimate
tangential stress has been reached. This implies that, for the
cases considered here (chainages 12263 and 3205 m), failure
occurred at a tangential stress of about 24.5 MPa. This stress
must correspond to the uniaxial compressive strength of the
rock mass.
The strength of the rock mass can be described, for
instance, by the failure criterion proposed by Hoek and
Brown (1980a, 1980b):
1 the crown, the corresponding recommended s and rn values
[2] al = a3 + (rn aca3 + s a z ) ~
where al and a3 are the maximum and the minimum (effec-
tive) principal stresses, a, is the uniaxial compressive
strength of the intact rock, s and rn are empirical param-
eters, and the power is commonly assumed to be one-half.
Recent work has shown that the power in [2] may, within
the stress ranges encountered near underground openings,
be as low as one-third (E. Hoek, personal communication,
1990). The uniaxial compressive stress of the rock mass a,,
and the uniaxial compressive strength measured in the lab-
oratory a, can then be related for a3 = 0 as follows:
1
[3] a,, = (s 037
where s can vary between 1 (intact rock) and 0 (heavily
jointed or broken rock). Substituting a, with the value
found for the siltstone by laboratory testing (Table 1, mean
values) and a,, with the tangential stress value back-
analyzed above:
the parameter s applicable to chainage 3205 m can be
calculated as s = 0.21. For a power of less than one-half,
a lower s would be back-calculated.
According to Hoek and Brown (1988), an undisturbed silt-
stone rock mass of very good quality with tightly interlock-
ing rock and unweathered joints at 1-3 m spacing ( Q = 100
or RMR = 85) is to be represented by an s value of 0.189
and rn should be in the order of 5.85. If the rock was
disturbed, for example, owing to stress concentrations in
are 0.082 and 3.43, respectively. The recommended values
for the range of Q = 100-0.01 are presented in Fig. 17 by
solid and empty squares.
Considering the state of stress with relatively low confin-
ing pressure near the tunnel wall and the curvature of the
Hoek-Brown failure criterion in this range, the back-analyzed
s value of 0.21 seems to represent an upper limit for the con-
ditions encountered at Donkin-Morien.
 ET AL.
FIG. 16. Normalized tangential stresses at the tunnel crown as
predicted by a three-dimensional finite element analysis (linear
elastic, KO = 2).
For a given s value, m can then be back-analyzed by
considering the extent of the failed zone as detected by the
multipoint extensometer. For this purpose a simple two-
dimensional stress analysis was applied. Although this
approach does not simulate progressive failure or the post-
peak behaviour of a rock mass, it can be used as an approx-
imation in conditions where yielding is not excessive.
A series of two-dimensional plane strain numerical anal-
yses were carried out using the boundary element program
EXAMINE^^. The code performs a stress analysis, assuming
a linear elastic constitutive relationship for the medium and
compares the calculated state of stress with the strength given
by the Hoek-Brown failure criterion. A safety factor is com-
puted as a measure of the proximity of the stress state to
the failure envelope. Experience from similar applications
in mining suggests that the factor of safety contour at 1.3
represents a good approximation of the yield zone boundary
in moderately yielding ground. Hence, the parameters
matching the extent of the failed zone detected by the exten-
someters were determined for FS = 1.0 (ignoring stress
redistribution) and FS = 1.3.
The resulting (m, s ) pairs are also plotted on Fig. 17
together with the s-m pairs recommended by Hoek and
Brown (1988) for disturbed and undisturbed rock masses
(solid lines with solid and empty squares, respectively). The
corresponding rock mass quality Q values are indicated near
the curves. The remaining four curves presented in Fig. 17
refer to the boundary element analyses conducted for various
assumptions, as listed in the legend, and indicate s-m pairs
compatible with the extent of the plastic zone observed in
the field. Note that only the points falling in the shaded area
(upper left side of Fig. 17) correspond to a discontinuous
yield zone. The shaded area thus indicates the range of
parameters for which a discontinuous yield zone (at floor
and roof but not at springline), as observed in the field, is
predicted. The factor of safety contours for three parameter
sets ( m ,variable; s = 0.015) are presented in Fig. 18
(KO = 2.5 in Fig. 18a, and KO = 2 in Figs. 18b and 18c).
249
J I \,
Hoek & Brown (1988) for
Undisturbed Rock
I* Hoek & Brown (1988) for
Disturbed Rock I
* FS=I i
0, K=2 and Ocm =53.6MPa
A- FS=I 3, K=2 and Cicm=53.6MPa
"A- FSz1.3, K=2 5,CTcm =53.6MPa
-*, FS=f 3, K=2 and Ocm=24.5MPa
( J ~ ~uniax~al
= compressive strength
FIG. 17. Hoek and Brown parameters (m,s) according to 1988
recommendation and values back-analyzed for FS = 1 and 1.3.
Failure in the field was only observed in the crown and
parameters falling outside the shaded area in Fig. 17
representative for a continuous yield zone (e.g., Fig. 18b
with FS = 1.3 at the failure zone limit of 1.5 m depth) are
clearly not realistic.
Figure 17 confirms the earlier conclusion that s = 0.21
with an intact rock strength of 53.6 MPa and KO = 2
represents an upper limit for the siltstone as it cannot be
used to reproduce failure to a depth of 1.5 m (unless m = 0).
Guided by the fact that yielding was localized in the crown
and not continuous around the tunnel, the best-fit (m, s )
value pairs determined by this back-analysis procedure fall
in the ranges of 0.01 < s< 0.08 and m 5 0.75. These
values are far outside the range recommended by Hoek and
Brown (1988) (Fig. 17 curves with solid and empty squares).
Correspondence between back-analyzed and recommended
values would only be possible for 0.0001 < s < 0.05 and
0.5 < m < 1.35. The rock quality of the essentially
undisturbed rock mass was determined by Golder Associates
to range from Q = 1.3-7 leading to 1.5 < m < 2.5 and
0.0003 < 5 < 0.01. Hence, the back-analyzed ranges do
clearly not agree with the recommended values.
These findings can be extended to the interbedded
siltstone-mudstone formation located at chainage 2263 m.
With a mean compressive strength of 35.8 MPa, determined
in the laboratory, s = 0.47 is obtained from [3]. With ref-
erence to Fig. 17, where extreme strength values have been
considered, it can be concluded that the discontinuous nature
of the yield zone can again not be reproduced.
250 CAN. GEOTECH. J. VOL. 28,
Factor of Safety
FIG. 18. Factor of safety contours for two (m,s) parameter
pairs: (0.33, 0.0015) and (0.75, 0.015) for KO = 2 and (1.25,
0.015) for KO = 2.5.
Back-analyzed m and s values depend on many parameters
such as the stress ratio and intact rock strength. The effect
of these two parameters on m and s is illustrated in Fig. 17
by the back-analyzed parameter pairs for FS = 1 and 1.3,
KO = 2 and 2.5, and a,, = 53.6 and 24.5 MPa. These s
and m values are only valid for a power of one-half in [I].
Considering the sensitivity of m and s to variations in these
parameters, it is obvious that there is a high degree of uncer-
tainty in the back-analyzed strength parameters. Neverthe-
less, we conclude that these parameter values clearly differ
from the values recommended by Hoek and Brown (1988)
in that 0.01 < s < 0.2 with a corresponding range for m of
0.2 < m < 1.5. Many more back-analyses of this type are
needed to establish practically meaningful rock mass
strength parameters for tunnel design. Despite the many
uncertainties and practical limitations associated with the
back-analysis of rock mass strength parameters, the impor-
tance of applying back-analysis procedures to validate and
improve the Hoek-Brown failure criterion cannot be over-
emphasized. This work also identified a need to reevaluate
the assumed power in [I] for application in low confinement
areas close to underground openings.
4.1.2 Influence of inhomogeneities
For certain conditions, inhomogeneities in the rock mass
must be considered because they may cause stress concentra-
1991
\
FIG. 19. Measured radial displacement profiles for the crown
at chainage 2996 m (relative to deepest anchor; extensometer
installation at tunnel face) (after Yuen et al. 1985).
tions. In Fig. 13c, the strata in the proximity of chainage
1428 m is shown. A 21 m long rigid probe extensometer,
equipped with four anchors (including head), was installed
at the tunnel crown, immediately behind the face. Even
though the tunnel is completely contained in a thick siltstone
layer, a coal seam is located only 1 m above the crown. Sur-
ficial loosening and spalling was observed at this location
and considerable downward displacements were measured.
A very large radial displacement of almost 80 mm was
detected at the tunnel wall. The radial displacement curves
plotted in Fig. 23 show that failure in the siltstone took place
at a much earlier stage than for the two cases discussed pre-
viously. At the back of the shield, failure had already
occurred and a significant amount of loosening was revealed
by the large gap between the displacements measured at the
wall and at 3 m from the excavation. Because of a lack of
measurements near the tunnel face, the location at which
the strength of the rock was exceeded is unknown. The
reason for early failure is found in the relatively low stiff-
ness of the coal causing a high stress concentration in the
thin siltstone layer at the crown of the tunnel. In section 5.2,
it will be confirmed by the elastic modulus back-analyzed
for chainage 1428 m that the coal is highly deformable
relative to the siltstone.
4.1.3 Effects of low-strength rock at the tunnel crown
The stratigraphy in the tunnel crown near chainage 2996 m
is depicted in Fig. 13d. A flexible probe extensometer was
installed at the tunnel crown, immediately behind the face
of the tunnel, in a 5.5 m thick layer of interbedded
siltstone-mudstone. Surficial loosening at the crown, within
a 60" arch, was observed. From the radial displacement pro-
 PELLI ET AL.
FIG. 20. Axial stresses at the tunnel crown as predicted by a
three-dimensional finite element analysis (linear elastic, KO = 2).
file in Fig. 19, a considerable radial displacement of more
than 40 mm is detected at the wall owing to loosening.
As opposed to chainage 2263 m, where the interbedded
siltstone-mudstone failed at about 14 m from the tunnel
face, in this case, failure has already occurred immediately
behind the of the TBM (point A in Fig' 19) and a
loosened a ~ ~ r O x i m a Oe5
tel~ is revealed the
gap between the measurements at Oe4 and 0.8 m. As the face
of the tunnel advances, the tendency of tangential stress to
'Oncentrate near the of the causes further
propagation of failure. At about two diameters behind the
face the (point in Fig. 19) portions
the rock mass far from the a 'One
exceeding 1.7 m in extent is detected.
The back-analysis of rock mass strength is complicated
by the fact that the location at which failure initiated is not
known accurately. However, it can be assumed that failure
almost certainly took place behind the tunnel face. The
radial stress increase occurring ahead of the face is in fact
very moderate at the tunnel crown (see Pelli 1987). Immedi-
ately behind the face of the tunnel, the first possible condi-
tions of failure are found as the axial stress increases to
approximately 17 MPa (Fig. 20). If the rock strength is
assumed to be independent of the intermediate principal
stress and the uniaxial compressive strength of the rock is
exceeded by this value (17 MPa), faiIure occurred very close
behind the advancing tunnel face. If not, failure took place
somewhere within 0.8 and 1.0 diameters behind the face,
where the tangential stress reaches 23.5 MPa (point B in
Fig. 16). The upper limit for uc, = 23.5 MPa (equal to
tangential stress at one diameter behind the face) can be
defined without problems; the lower limit is uncertain. If
the rock failed immediately behind the face of the tunnel,
because of the high axial stress value, this would only
indicate that u,, is lower than 17 MPa. At the same time,
the relatively thin plastic zone (between 0.4 and 0.8 m thick)
detected at the wall immediately behind the TBM shield
indicates that the maximum uniaxial stress of 23.5 MPa has
not exceeded the uniaxial strength of the rock by a large
amount. On the basis of these observations, a uc, =
17 MPa can be assumed for the interbedded siltstone-
mudstone in this tunnel section. By relating this value to the
,i h 25 1
FIG. 21. Partial radial displacement profiles at the tunnel
crown predicted by two three-dimensional finite element analyses
(elastic and elasto-plastic; extensometer igstallation at the tunnel
face).
laboratory strength (35.8 MPa), an value of approx-
imately 0.2 is also found for this location.
In this section, an attempt taback-analyze the rock mass
strength has been presented by studying the
of failure initiation at the crown of the tunnel. Such
studies are essential to confirm the recommendations of
Hoek and Brown (1988). However, the task is very complex
and the results are sensitive to many assumptions such as
the in state of stress. To define the parameters control-
ling failure propagation more accurately, further studies
should be conducted using appropriate back-analysis
techniques.
4.2 Back-analysis of rock mass modulus
Earlier, it was observed that the shape of the relative
displacement curves, given by multipoint radial extenso-
meters at the crown, is considerably affected by yielding (for
KO = 2). In Fig. 21, the relative radial displacement curves
calculated at the tunnel crown for linear elastic and elasto-
plastic rock are compared. The same modulus characterizes
the rock masses in the elastic region. The two curves have
considerably different shapes but intersect at point A.
Point A represents the only location at which, by fitting
results from linear elastic models to field data, the correct
rock mass modulus can be back-analyzed. Point A corre-
sponds approximately to the boundary between the elastic
and the plastic zones. Failure tends to cause larger displace-
ments in the plastic zone than for the elastic case and reduces
the inward movement outside the plastic zone by changing
the equivalent shape of the cross section from circular to
"elliptical" (see inset). Hence, to evaluate the rock mass
modulus correctly, the closest measurement to the boundary
of the plastic zone should be fitted.
Two cases will now be analyzed by using the procedure
suggested above. The selected cross sections are those of
chainages 3205 and 2296 m (Figs. 13b and 13d). In Fig. 22,
the results obtained by a three-dimensional finite element
analysis are matched visually with the field data for chainage
2296 m obtained at 1.5 m from the tunnel wall (near the
252 CAN. GEOTECH. J'. VOL. 28, 1991
I I I I I
I
0 5 10 15 20 25
x (m)
FIG. 22. Measured and predicted radial displacement profile at
chainage 2996 m; fitted at 1.5 m from the tunnel wall with
E = 1.65 GPa.
plastic zone boundary) and 7.5 m behind the tunnel face.
The fitting was carried out by scaling the numerical results
until proper matching of the field data was obtained at the
boundary of the plastic zone (Fig. 13d). The measured
curves at 3.2 and 3.7 m from the wall give lower displace-
ments than predicted by the finite element analysis, whereas
the movement of the anchors in the plastic zone considerably
exceeded those predicted (based on linear elasticity).
A Young's modulus of 1.65 GPa for the interbedded
siltstone-mudstone is the outcome of this analysis, whereas
E = 9 GPa was measured in the laboratory (Yuen et al.
1985).
Chainage 3205 m was analyzed in the same manner.
A point 40 m behind the tunnel face and an anchor at 2.9 m
from the tunnel wall were selected for comparison with the
finite element results (point A in Fig. 15). The back-analyzed
Young's modulus for the siltstone is 5.6 GPa at this loca-
tion, whereas E = l l .5 GPa was measured in the labora-
tory (Yuen et al. 1985). The data collected within 15 m from
the tunnel face were not considered for back-analysis
because they displayed erratic behaviour, perhaps owing to
the action of the rib expansion mechanism.
The corresponding ratios of E(field)/E(lab) are 0.18 and
0.49, respectively, for interbedded siltstone-mudstone and
siltstone.
Finally, the deformability of the rock at chainage 1428 m
was analyzed. In the previous section, it was stated that the
low stiffness of the coal seam caused by early failure (near
the face of the tunnel) at this location. The elastic modulus
of the rock was obtained by visually fitting the numerical
results to the displacements measured at 3 m from the wall
(Fig. 23). The very low modulus back-analyzed value
\
FIG. 23. Measured and pre8gcted radial displacement curves at
chainage 1428 m; fitted at 3 m from the wall with E = 0.5 GPa.
( E = 0.5 GPa) demonstrates that the coal is highly deform-
able compared with the siltstone. This supports the conclu-
sion that this stiffness variation could have caused a stress
concentration that failed the thin siltstone layer at the crown
of the tunnel at this location.
4.3 Summary
The radial displacement records detected in the mixed
sediments and in the direction of the minor principal stress
have been considered to back-analyze the rock mass strength
and elastic modulus. The uniaxial compressive strength of
the rock mass was back-calculated at chainage 2263 and
3205 m (Figs. 13a, 13b, 14, and 15) by defining the distance
from the tunnel face at which failure initiation took place
and by making reference to three-dimensional linear elastic
finite element analyses (Fig. 16). The initial stress field was
approximated from field tests conducted at the site. The
back-calculated strength values are presented in Table 2 (sec-
tion 5) together with laboratory values for comparison. Con-
sideration was also given to chainage 1428 m (Fig. 13c)
where a coal seam was detected near the tunnel wall and
chainage 2296 m (Fig. 13d) where failure initiation could
not be localized from the extensometer records.
The Hoek and Brown failure criterion was adopted for
the rock mass at chainages 2263 and 3205 m, and the
strength parameters s and rn were back-calculated by com-
paring stresses induced by tunnelling with laboratory
strengths and from the extent of the plastic zone measured
in the field. A series of linear elastic boundary element anal-
yses were carried out to investigate, by comparing the com-
puted stresses with the Hoek and Brown failure criterion,
the effect of s and rn on the extent of the plastic zone. The
 PELLI E T AL.
i

TABLE
2. Summary of deformation and strength properties
'r

. ~ Interbedded
siltstone-mudstone
Portal sandstone Siltstone (chainage 2996 and 2263 m)

Rock modulusa
E(B), GPa 5-6
E(L), GPa 34.2
E(F), GPa 8-28
(average 10)
Average E(L)/E(B) 5.7-6.8
Average E(F)/E(B) 1.7-2
Rock strength
ucm(~),MPa
ffcm(~),
MPa 93.8
ucm(~)/ucm(~)
S
rn
NOTE:E(B), back-analyzed Young's modulus; E(L), mean laboratory Young's modulus; E(F), field (pressure
meter) Young's modulus; uC,(~),back-analyzed uniaxial compressive strength; uCm(~),
mean laboratory uniaxial
compressive strength; s and m, back-analyzed Hoek and Brown parameters.
a Similar low values of E were calculated in the other mixed-sediment group formations.
Based on failure initiation and extent of yield zone.
Based on failure initiation only. A much lower s value would have to be assumed to justify the-&tent of
the observed yield zone.

results of these analyses, summarized in Fig. 17, show sig-
nificant differences between the back-analyzed values and
those proposed by Hoek and Brown (1988) for good quality
rock masses. These differences are due to the high sensitivity
of s and m in areas of low confinement. The back-calculated
s and m values are listed in Table 2 (section 5), even though
it was concluded that these values are not representative for
the rock mass at some distance from the opening wall.
Based on the results of linear elastic and elastic plastic
three-dimensional finite element analyses (Fig. 21) the elastic
modulus was back-calculated by fitting the field measure-
ments, collected at chainages 3205 and 2996 m (Figs. 15
and 22) in proximity of the elastic plastic zone boundary,
to the results of linear elastic three-dimensional finite ele-
ment analysis. The back-analyzed values are shown in
Table 2, together with laboratory data for comparison. Con-
sideration was also given to chainage 1428 m, where the coal
layer near the tunnel wall lead to a very low value of the
back-calculated elastic modulus.
5. Conclusions
A history matching back-analysis based on the procedure
and findings presented by Pelli et al. (1990) was applied to
data from a case history of a TBM driven tunnel in sedimen-
tary rocks. The analysis was conducted to determine both
rock mass deformation and strength properties.
The back-analysis methodology presented in this paper
seems to be effective despite the relatively limited number
of available instruments. The following conclusions can be
drawn.
(i) The elastic modulus of the rock mass can be back-
analyzed by fitting the results of the universal, three-
dimensional linear elastic analysis with the initial part (near
tunnel face) of the convergence curve in the direction of the
major principal stress. This procedure proves to be effective
even if a moderate amount of nonlinearity characterizes the
rock deformability. Furthermore, it can be applied even if
no measurements ahead of the tunnel face are available.
(ii) The complete radial displacement curve (measured
behind the tunnel face) in the direction of the major prin-
cipal stress may reveal the extarof the nonlinearity and time
dependency of the rock mass. A procedure based on fitting
the field data with the Ramberg-Osgood nonlinear relation-
ship was presented. Further studies are required, based on
more extensive field data, to allow a quantitative determina-
tion of rock mass parameters by application of this
procedure.
(iii) Fitting the convergence curve in the direction of the
major radial initial stress with the Ramberg-Osgood relation-
ship also proves effective in predicting the final radial
displacement from the initial part of the curve, measured
near the tunnel face. For the Donkin-Morien project, a rea-
sonable prediction of the rock mass modulus was possible
at distances of 1.5-3 diameters from the tunnel face.
(iv) Partial displacement measurements, recorded imme-
diately behind the tunnel face, can be used to arrive at a
good estimate of the Young's modulus. On the other hand,
estimating the amount of nonlinear deformation taking place
in the direction of the major principal stress based on the
magnitude of the radial displacements measured behind the
tunnel face can lead to significant over- or under-estimates.
The reason is that these readings are profoundly affected
by the magnitude of the displacements ahead of the tunnel
face (unknown in most underground monitoring projects).
Therefore, methods relying on the shape of the convergence
curve (see point ii above) rather than on displacement
magnitude seem more promising.
(v) When data from multipoint radial extensometers
placed in the direction of the minor radial initial stress are
available, the elastic modulus of the rock mass should be
calculated by fitting the results of a three-dimensional
universal analysis (linear elastic) to a measurement taken in
the elastic zone, as close as possible to the plastic zone
boundary. This procedure has provided reasonable modulus
values at the Donkin-Morien project. However, measure-
ments taken in the direction of the major principal stress
254 CAN. GEOTECH. J. VOL. 28,
should also be available at the same section, to reduce
uncertainty.
(vi) For data collected in the direction of the minor prin-
cipal stress, the uniaxial compressive strength of the rock
mass can be back-calculated if the distance from the tunnel
face at which failure takes place is detected by the field
instrumentation and if the initial stress field is known. If
the constitutive relationship of the rock does not exhibit sig-
nificant nonlinearity in the pre-peak range, the principal
stresses at failure can be calculated by three-dimensional
finite element analyses, based on linear elastic rock
behaviour.
(vii) The rock mass strength parameters s and rn (Hoek-
Brown failure criterion) could be back-calculated by com-
paring stresses induced by tunnelling with laboratory
strengths and from the extent of the plastic zone measured
in the field. For this particular case, the observation of
discontinuous failure assisted in establishing the most likely
parameter pair. A simple procedure, based on linear elastic
stress analysis has been used for the Donkin-Morien project.
The parameters s and rn are related variables and very sen-
sitive when determined from areas of low confinement (near
an opening). The power in the Hoek-Brown failure criterion
needs to be reassessed for applications to rock mass failure
in low confinement zones.
(viii) The results of the back-analyses are summarized in
Table 2. The modulus ratio of laboratory to back-analyzed
values varied between 2 and 6.8. The back-analyzed uniaxial
strength is about one-half to two-thirds of the laboratory
strength.
(ix) The quality of the results from back-analyses are con-
trolled by the quality of the field data. Two major limita-
tions were detected at the Donkin-Morien monitoring and
testing program: (a) the stress measurements were limited
to a single location and, because of technical problems dur-
ing testing, an accurate assessment of the in situ stresses was
not provided and (b) only one extensometer was installed
at each instrumented section, mostly at the tunnel crown.
Both of these aspects limited the amount of information
obtainable from the back-analysis process and it is strongly
recommended that, on similar projects, more than one
extensometer be installed per section.
Acknowledgements
The monitoring of the Donkin-Morien project was
initiated by CANMET (Canadian Centre for Mineral and
Energy Technology) and the consulting company Golder
Associates executed the monitoring program and documented
the results. The authors wish to acknowledge the tremendous
efforts of these two groups. Without the data collected in
a professional manner this back-analysis would not have
been possible. The research was financed by operating grants
from the Natural Sciences and Engineering Research Council
of Canada.
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