Rock Mech. Rock Engng.

(1993) 26 (2), 137--163 Rock Mechanics

and Rock Engineering
9 Springer-Verlag1993
Printed in Austria

The Squeezing Potential of Rocks Around Tunnels;

Theory and Prediction
By
O. Aydan I, T. AkagF, and T. Kawamoto 3

1 Department of Marine Civil Engineering, Tokai University, Shimizu, Japan

2 Department of Civil Engineering, Toyota National College of Technology,
Toyota, Japan
3 Department of Geotechnical Engineering, Nagoya University, Nagoya, Japan

Summary
The deformational behaviour of tunnels, which underwent large deformations, so-
called squeezing, have been recently receiving great attention in the field of rock
mechanics and tunnelling. Contrary to rockbursting phenomenon in which the
deformation of the medium takes place instantaneously, the deformation of the sur-
rounding rock in squeezing phenomenon takes place slowly and gradually when
the resulting stress state following the excavation exceeds the strength of the sur-
rounding medium. Although there are some proposals for the definition of squeez-
ing rocks and prediction of their squeezing potential and deformations of tunnels in
literature, it is difficult to say that they are concise and appropriate.
In the first half of this paper, the squeezing phenomenon of rock about tun-
nels and its mechanism and associated factors are clarified by studying carefully
observed failures in-situ and laboratory model tests. Then, an extensive survey of
tunnels in squeezing rocks in Japan is presented and the results of this survey are
summarised. In the second half of the paper, a new method is proposed to predict
the squeezing potential and deformations of tunnels in squeezing rock. Then, the
method is applied to actual tunnelling projects, where squeezing problems have
been encountered, to check its validity and applicability. As a concrete example, an
application of the method to predict the squeezing potential and deformations of
the rock along a 300 m long section of an actual tunnel was made.

I. Introduction

T h e r e is a recent general interest in tunnels which u n d e r w e n t large defor-

mations and the I n t e r n a t i o n a l Society for R o c k M e c h a n i c s ( I S R M ) has
established a working g r o u p for this purpose. One o f the causes o f large
d e f o r m a t i o n s o f tunnels is said to be due to the plastification o f intact r o c k
u n d e r the redistributed state o f stress following the excavation, which
138 O. Aydan et al.

exceeds its strength. If the deformation of the medium takes place instan-
taneously, it is called rock-bursting. On the other hand, if the deformation
takes place slowly, it is termed as squeezing. The other cause of deforma-
tions is said to be due to swelling as a result of chemical reaction of some
minerals contained in rocks with water. This particular study is concerned
with the squeezing phenomenon.
Muirwood (1972) initially proposed the competency factor which is
defined as the ratio of uniaxial strength of rock to overburden stress to
assess the stability of tunnels. This parameter was later used by Nakano
(1979) to recognize the squeezing potential of soft-rock tunnelling in Japan.
Saari (1982) suggested the use of intensity of the tangential strain of tun-
nels as a parameter to assess the degree of squeezing of the rock and he
suggested a threshold value of 1% for the recognition of squeezing. Saari
conceived the squeezing phenomenon as an elasto-visco-plastic behaviour
of rock and he did some numerical analyses and proposed closed form
solutions for some special cases. However, his model does not consider the
deterioration of the strength of the medium in relation to straining. Tani-
moto (1984) conceived the squeezing phenomenon as an elasto-plastic
behaviour of the surrounding rock and he proposed an elasto-plastic solu-
tion with a strain-softening constitutive law to estimate the degree of strain-
ing of the rock about the tunnel. He suggested that squeezing would occur
when the rock is strained to its residual plastic state (flow state). However,
such a suggestion corresponds to the threshold value for heavy squeezing
as will be described in the following sections. It should be also noted that
the squeezing is initiated long before the flow of rock occurs. Therefore,
better models are necessary to predict the squeezing potential and its
degree of rocks together with a physical interpretation of the state of
squeezing rocks about the tunnels.
In the first half of this paper, the squeezing phenomenon of rock
around tunnels and its mechanism and associated factors are clarified by
studying carefully observed failures in-situ and in laboratory model tests.
Then, an extensive survey of tunnels in squeezing rocks in Japan is pre-
sented and the results of this survey are summarised. In the second half of
the paper, a new method is proposed to predict the squeezing potential and
deformations of tunnels in squeezing rock. Then, the method has been
applied to actual tunnelling projects, where squeezing problems encoun-
tered, to check its applicability and validity. As a concrete example, an
application of the method to predict the squeezing potential and deforma-
tions of the rock along a 300 m long section of an actual tunnel is given and
compared with actual observations.

2. Descriptions of Squeezing Phenomenon

Although the mechanism of squeezing failure of tunnels has not been

clearly understood, it is generally envisaged as the reduction of the cross-
section of a tunnel due to large deformations of the surrounding medium.
 The Squeezing Potential of Rocks Around Tunnels 139

If this deformation is constrained by support members, it results in the fail-

ure of the members if their strength is insufficent.
The first scientific descriptions for squeezing rocks and swelling rocks
were given by Terzaghi (1946) as follows:
Squeezing rock advances into the tunnel without perceptible volume
increase. A prerequisite for squeeze is a high percentage of microscopic
and sub-microscopic particles of micaceous minerals or of clay minerals
with a low swelling capacity.
Swelling rock advances into the tunnel chiefly on account of expan-
sion. The capacity to swell seems to be limited to those rocks which contain
clay minerals such as montmorillonite, with a high swelling capacity.
As noted from these descriptions, Terzaghi (1946) wanted to make a
clear distinction between squeezing and swelling phenomena. Neverthe-
less, since swelling and squeezing phenomena are generally observed to be
occurring together in many tunnelling projects; the term of expansive
ground was adopted for the description of large deformations of the sur-
rounding ground about tunnels (i. e. in Japan). Considering the experience
of Terzaghi and others, this phenomenon is observed in relatively shallow
depths in weak rocks such as phylitte, mudstone, siltstone, salt, potash or
weathered a n d / o r sheared metamorphic and igneous rocks. A more gen-
eral description for squeezing and swelling phenomena from both phenom-
enological and mechanical points of view is necessary and an attempt for
such a general description will be made herein.
Since squeezing is regarded as a large inward closure of tunnels, no
distinction is made on the nature of the motion. However, the squeezing
type closure may, phenomenologically, involve three possible forms of fail-
ure of the surrounding medium (Aydan, 1989):
a) Complete shear failure: This involves the complete process of shear-
ing of the medium in comparison with the rock-bursting, in which the
initiation by shearing process is followed by splitting and sudden detach-
ment of the surrounding rock as shown in Fig. 1 a. It is observed in contin-
uous ductile rock masses or in masses with widely spaced discontinuities.

I Jill

a b e
Complete shear failure, buckling failure, tensile splitting shearing and sliding
Fig. 1. Classification of failure forms of tunnels in squeezing rocks
140 0. Aydan et al.

Fig. 2. Some in-situ examples of tunnels in squeezing rocks

As a typical example, a picture of squeezed section of Orizume tunnels is

shown in Fig. 2 a (Kitabayashi and Ide, 1982). The rock was mudstone with
a uniaxial strength ranging between 0.7 and 1.2 MPa. The overburden of
the tunnel at this section was approximately 100 m and the competency
factor was between 0.3 and 0.5. The inward closure of the tunnel was up to
1600 mm.
b) Buckling failure: This type of failure is generally observed in
metamorphic rocks (i. e. phylitte, mica-schists) or thinly bedded ductile
sedimentary rocks (i. e. mudstone, shale, siltstone, sandstone, evaporitic
rocks) as illustrated in Fig. l b . Figure 2 b shows a picture of the squeezed
 The Squeezing Potential of Rocks Around Tunnels 141

section of Enrei tunnel where strata were heavily buckled. The rock was
thinly layered mudstone with a uniaxial strength of 4--4.2 MPa (Yamagu-
chi et al., 1982). The overburden of the tunnel at this section was varied
between 110--130 m and the competency factor was ranging 1.3--1.6. The
closure of the tunnel was more than 1000 mm.
c) Shearing and sliding failure: It is observed in relatively thickly bed-
ded sedimentary rocks and it involves sliding along bedding planes and
shearing of intact rock as illustrated in Fig. 1 c. This type of failure was
reported during the excavation of Navajo Irrigation Tunnel No. 3 (Sperry
and Heuer, 1979) and model tests of tunnels excavated in coal by Kaiser
(1979) and his co-workers (Kaiser et al., 1985).
The squeezing phenomenon may be mechanically treated as an elasto-
viscoplastic behaviour of the medium under the existing stress state (Akagi
et al., 1984; Gioda, 1982; Saari, 1982; etc.). In other words, it can only
occur when the rock is yielded by the redistributed state of stress following
the excavation of the tunnel. It is a physical process and involves the dilat-
ant behaviour of rocks.
The swelling phenomenon, on the other hand, is a chemical process
involved with the exchange of ions between some minerals and water. The
swelling p h e n o m e n o n takes more time to occur as compared with that in the
case of squeezing. For example, in Nabetachiyama tunnel in Niigata Prefec-
ture Japan, the invert of tunnel heaved and concrete lining started fracturing
within 6--12 months of its construction (Otsuka and Takano, 1980).

3. A Survey of Tunnels in Squeezing Rocks

Almost one third of Japan is covered with tertiary sedimentary rocks of

volcanic origin and many highways and railways have been already con-
structed or planned to be constructed in such rocks. As a result, the number
of squeezing tunnels has been increasing and it presents an urgent neces-
sity to predict the squeezing potential of rocks and the selection of appro-
priate means of reinforcement and excavation techniques in such rocks.
In Japan, when tunnels exhibit large deformations during excavations,
rocks have been generally termed as expansive rocks. The expansion of
rocks was sometime ago considered to be due to swelling of minerals con-
tained in rocks because of their chemical reactions with water. As long as
the rock is not fully saturated, it was deemed that large deformations of the
surrounding medium could not be caused by purely swelling of the miner-
als. It has been recently recognised that the cause of expansiveness was
mainly due to the squeezing of the surrounding media. Therefore, the tun-
nels subjected to large deformations in Japan can be classified as the tun-
nels in squeezing rocks.
The authors have made a general survey of reported cases to identify
the factors involved in large deformations of tunnels. A list of surveyed
tunnels and their main characteristics are given in Table 1. Figure 3 shows
142 O. Aydan et al.
Pzpet~To: A - L
Gl~b~iDessiIsos "l~mr,el Decail~.~zqu~zi~l~ St~tiou No. I ~EST $1~c-n~3 3 ~ ( ~
I
C~ome~ica~r l~perzi~ SupI,~t k Exca~t~oa ~e~koa

r o.t't r o_t,~
I~at~k iC (m) ~,~,g
c~ 3~o.

~t:F.~9 (~) ,7. ~0

Globcd Geolos~ ~ fMPa) 2.o
P~ (kPa)
O~a~de~
(Mrs)
(')
~ , ~
~ ~. ~o
~ae~
~0.~
~JZ- S~J k~l~t B
Kx~axioa
22.0 method
9 m~ Exe.
with
~ B~da Side.all
0.6u Ex~t~ #ai/ts
Geologics g ~ l C e ~ Sketch ~( sq~ee~in~ p l t ~ m e a ~ Si~J~ ~- Jr ~ ~'
~LO0e.-$0C-TI~6 g- CLUSter.

[
Fig. 3. An example ef data-sheet used in surveying

the data-sheet used in gathering data on tunnels in squeezing rocks. The

main items of the survey were selected to be:
a) Physical and mechanical properties of surrounding media.
b) Geology, initial stress state, overburden, tunnel geometry.
c) Seepage rate, excavation advance rate, support systems.
d) Elapsed time for the expansion of the surrounding medium and fractur-
ing and yielding o f support members.

3.1 Mechanical and Physical Properties of Squeezing Rocks in Japan

From surveyed data, we plotted various physical and mechanical proper-
ties of rocks as a function of the uniaxiat strength of rocks (Figs. 4 to 9).
From these figures, one can make the following generalizations:
1. Unit weight -- uniaxial strength (Fig. 4):
The unit weight of rocks generally lies between 17 to 23 kN/mL It is
most likely that as the uniaxial strength of the material goes to zero, its
unit weight will also be close that of the water. The relation between
unit weight 7 ( k N / m 3) and uniaxial strength ac (MPa) of rocks can be
fitted to the following expression:
~/ = 10 (1 "t- 0 . 8 O'c0'14). (1)
 The Squeezing Potential o f Rocks A r o u n d Tunnels 143

Table 1. Surveyed tunnels in squeezing rocks in Japan

Tunnel Type Length Maximum Rock

name (m) Overburden (in) type

Enrei Railway 5 994 110 Mudstone

Shirasaka-1 Railway 1 296 150 Mudstone
Shirasaka-2 Railway 1 765 150 Mudstone
Akakura Railway 4 220 380 Siltstone, Mudstone
Mikai Railway 1 000 60 Mudstone
Ibikijo Railway 11 350 180 Mudstone
Seikan Railway 25 000 270 Andesite, Tuff,
Mudstone
Nabetachiyama Railway 9 117 280 Mudstone
Nakayama Railway 14 830 400 Tuff
Orizurne Roadway 2 300 200 Tuff
Fujishiro Roadway 1 823 260 Mudstone
Inari Roadway 1 441 140 Serpantin, Shale
Kornadome Roadway 2 000 300 Tuff
Shinfuku Roadway 2 400 200 Mudstone, Tuff
Myojin Roadway 3 700 250 Tuff, Shale
Eno Roadway 955 170 Andesite
Kofuchi Roadway 4 555 280 Tuff, Serpantin, Slate,
Granite
Enasan Roadway 8 489 1000 Diorite
Nousei Roadway 2 992 79 Tuff, Mudstone
Mineoka Roadway 735 90 Shale, Tuff
Nagarnine II Roadway 3 831 400 Micaschist

Eq. (1)
Z 9 :.. "-S---\
**t 9

(5

Z~
o 1'5 2o
UNIAXIAL STRENGTH crc (MPa)
Fig. 4. Uniaxial strength vs. unit weight

. P o i s s o n ' s r a t i o - - u n i a x i a l s t r e n g t h ( F i g . 5):
A s n o t e d f r o m F i g . 6, t h e P o i s s o n ' s r a t i o o f r o c k s t e n d s t o a p p r o a c h 0.5
as t h e u n i a x i a l s t r e n g t h a p p r o a c h e s z e r o . A s t h e s t r e n g t h i n c r e a s e s it
t e n d s t o c o n v e r g e a v a l u e b e t w e e n 0.2 a n d 0.25. T h e r e l a t i o n b e t w e e n
Poisson's ratio v and uniaxial strength G (MPa) of rocks can be fitted to
the following expression:

v = 0.25 (1 + e - ~ 1 7 6 (2)
144 O. Aydan et at.

99
9n
mmmni 9

ml 9 9

O
E . (2)
: \
Z 9 m 9 9 9
G~
ryl

5 10 1'5 2~
UNIAXIAL STRENGTH a~ (MPa)
Fig. 5. Uniaxial strength vs. Poisson's ratio

3. Elastic m o d u l u s - - uniaxial strength (Fig. 6):

Although the elastic m o d u l i o f rocks are a bit scattered, it can be gen-
erally stated that the elastic m o d u l u s is 150--300 times the uniaxial
strength o f rocks. A best value is 200 times. The relation b e t w e e n elastic
m o d u l u s E (MPa) and uniaxial strength a~ (MPa) o f rocks can b e fitted
to the following expression:
f = 80 0 "1"4. (3)

%
•

c484

0 5 10 1'5
UNIAXIAL S T R E N G T H ac (MPa)
Fig. 6. Uniaxial strength vs. elastic modulus
 The Squeezing Potential of Rocks Around Tunnels 145

. Elastic wave velocity uniaxial strength (Fig. 7):

- -

In spite of some scattering in plotted values in Fig. 7, we note that the

elastic wave velocity of rocks increases as the uniaxial strength
increases. When the uniaxial strength tends to become zero its value
tends to become 1.4 km/s which is equivalent to that of water. The rela-
tion between elastic wave velocity Vp(km/s) and uniaxial strength
oc (MPa) of rocks can be fitted to the following expression:

Vp = 1 . 4 + 0 . 2 o -o.7 . (4)

Eq. (4)

@
2

r~
1 :
0 5 I0
UNIAXIAL STRENGTH (r~ (MPa)
Fig. 7. Uniaxia] strength vs. elastic wave velocity

n I m

mE
9 .:..:
Z
9 .~lg i9

Z~- :~
@
i
-.: . : :.
r m 9 9 9 m

mm 9
9 W

. , i , J . i I
o 5 ab
z U N I A X I A L S T R E N G T H ere ( M P a )
Fig. 8. U n i a x i a l s t r e n g t h vs. n a t u r a l w a t e r c o n t e n t
146 O. Aydan et al.

. Natural water content -- uniaxial strength (Fig. 8):

Plotted values are widely scattered. However, it can be generally stated
that the water content tends to increase and its value tends to become
approximately 50% as the uniaxial strength of rocks goes to zero. It
tends to decrease as the uniaxial strength increases.
. Friction angle -- uniaxial strength (Fig. 9):
As noted from Fig. 9, the friction angle of rocks decreases as their uniax-
ial strength decreases. The friction angle tends to converge to a value of
about 50 ~ as the uniaxial increases. Relation between uniaxial strength
Crc(MPa) and friction angle r (o) of rocks can be fitted to the following
expression:
r = 20 (5)

Eq. (5)

r~
Z

N
0

J i

o lo 15 2'0
U N I A X I A L S T R E N G T H a~ ( M P a )

Fig. 9. Uniaxial strength vs. friction angle

3.2 Main Factors Associated With Squeezing Phenomenon

Data associated with main factors of squeezing have been plotted in

Fig. 10. Thje terms of "squeezing" and "non-squeezing" in the figure are
the descriptions of the authors of respective papers. On the basis o f our
survey, it is distinguished that the following factors are particularly
involved with large deformations of the surrounding medium:
1. Competency factor, which is defined as the ratio of the uniaxial strength
~rc to the overburden pressure 7/H (Muirwood, 1972; Nakano, 1979)
should be less than 2.
 The Squeezing Potential of Rocks Around Tunnels 147

% O'C (MPa)
"2 14J ,, o no-squeezing
% ~ \\ % o 12 P ', o " - 9 squeezing
~, "'. "-+e o Io 1'~
>'~'-, "-,r o 101o ',{1
")o" "\ o o~
+i-. ,.~+o~ o s~ ~ +
51~'. ",. 6o I
. , oo o6 ~
IM ~ ~ o o o t-u
9 . .N ,, K-,o o~ + oor149 9y" 9 N.9 .N
" o"\~\ d-" o o I 9 9

D E P T H B" (m)
o N o~176 0 . \ 2
O ~ r v - , , , . , ~ ~x.\ o
,
+9 9 O9 o, ,N E,
r~-S'~'+ + -, , ; 9 9 9
l
9
i
O 9 9 9 J
460 300 :ZOO 9 100 0 29 4e 9 6 "N 8 .E 1'o 12
"E . "u .-..: :N
"b :;o. 9 e~(%)
~
9N "N N 9 i N

,y; " y, 9 9y 9

. . . . . . . . . . . . . . . . . . . . o. . . . . 2
-~ ..............................
o

o
o
o o
o 11

Fig. 10. A plot o f d a t a o n s u r v e y e d t u n n e l s

2. The tangential strain of the tunnel wall, which is defined as G0 = u/R,

should be more than 1%.
3. Although the water content is not directly involved, the water content of
squeezing rocks was more than 25 %. It is believed that the porosity of
rocks is a much more important parameter than their water content
regarding the squeezing potential of rocks. As the porosity increases,
rocks become weaker in their mechanical resistances.
4. The geology of tunnels generally consisted of layered sedimentary
rocks and they generally contained clay minerals with swelling charac-
teristics.
5. The observed forms of failure during squeezing phenomenon were those
as described in section 2.
6. The elapsed time for the recognition of the squeezing phenomenon
varies with the competency factor of the rock. The smaller the ratio is,
the quicker the squeezing failure.

4. A Method of Prediction of Squeezing Potential and its Degree

It is particularly difficult to recognize squeezing and its degree in many

tunnelling works. However, there may be two possible methods of recogni-
tion as:
148 O. Aydan et al.

1. Setting the levels of deformation of tunnels in relation to the tunnel

dimensions (i. e. if the strain of the tunnel wall is more than 1%, it is rec-
ognized as squeezing (Saari, 1982)).
2. Methods based on the competency factor and utilisation of the mechan-
ical behaviour of surrounding medium to set the squeezing potential
and its degree.
The method, proposed in the followings, is based upon the second
alternative.

4.1 Fundamentals of the Proposed Method

The fundamental concept of the method is based on the analogy between
the axial stress-strain response of rocks in laboratory tests and tangential
stress-strain response of rocks surrounding tunnels. Many experimental
investigators have shown that macroscopic stress-strain curves of rocks
during tests are closely related to the internal state of specimens (Scholz,
1968 a,b; Hallbauer et al., 1973; Bieniawski, 1967, 1970; Farmer, 1983;
etc.). Experiments have shown that one can hypothetically distinguish five
distinct states of specimens during a complete testing procedure. Stress-
strain curves of rocks and soils obtained from uniaxial or triaxial tests at
low confining pressures or3 (i. e. a3/ac <-0.1) are modelled and various
levels of straining are defined as shown in Fig. 11 a. The states of samples

ce cp cs Gf

@ @ @ @ @

I
Illl It I

r t It'
i

Fig. 11. Idealised stress-strain curves and associated states for squeezing rocks
 The Squeezing Potential of Rocks Around Tunnels 149

during a complete test are illustrated as shown in Fig. 11 b. These five states
are characterized as:
1. Elastic state: Rock behaves almost linearly and no-cracking is visible.
2. Hardening state: Microcracking starts to occur and the orientations of
microcracks generally coincide with the maximum loading direction.
3. Yielding state: After exceeding the peak of the stress-strain curve,
micro-cracks tend to coalesce to initiate macro-cracks.
4. Weakening state: Initiated macro-cracks grow and align in the most crit-
ical orientations.
5. Flowing state: Macro-cracks along the most critical orientations com-
pletely coalesce and constitute sliding planes or bands, and fractured
material flows along these planes.
The following relations are established between normalised strain
levels rip, ris, ri/ obtained from normalising strain levels, ep, ~ , ~:. by the
elastic strain limit ee defined in Fig. l l a from the data shown in Fig. 12:

rip - eP -- 2 ~ o.17, ris - - es _ 3 ( r c 0.25, ef _ 5 or,- 0.32 (6)

~re ~e rif- ~e

We will introduce the concept of the five states observed in tests of

rocks to make a proposal to predict and to define the squeezing potential
o f rocks and its degree. Considering the state of stress about the openings,
the tangential stress is most likely to be the maximum stress component.
Thus, an analogy exists between the axial stress-axial strain curve in tests

I
Z7- 9 - - 17P ---- Ce
F~
6- Ee

t. . . . . ,ls= Ee
..|

~4-
4 9 ~, Eq. (6)
i i\l i 9 i s ~" iA 9
~2 ai ~ 9 " - ---..a. s

~2
- "."~) . ~ ; -':--. .--:'-_ 9 c--.
Q

0 2 ,~ 6 ~I 1'0 1'2 14 1'6 i8 2'0

U N I A X I A L S T R E N G T H ac ( M P a )
Fig. 12. Plots of normalised strain levels for squeezing rocks
150 t3. A y d a n et al.

Table 2. Classification of the degree of squeezing by the proposed method

Class Squeezing Symbol Theoretical Comments on tunnel behaviour

No. degree expression

1 No-squeezing NS The rock behaves elastically and the

tunnel will be stable as the face effect
ceases
2 Light- LS 1 < e~/c~ < ~b The rock exhibits a strain-hardening
squeezing behaviour. As a result, the tunnel will
be stable and the displacement will
converge as the face effect ceases
3 Fair- FS The rock exhibits a strain-softening
squeezing behaviour, and the displacement will
be larger. However, it will converge as
the face effect ceases
4 Heavy- HS The rock exhibits a strain-softening
squeezing behaviour at much higher rate. Subse-
quently, displacement will be larger
and it will not tend to converge as the
face effect ceases
5 Heavy- VHS The rock flows which will result in the
squeezing collapse of the medium and the dis-
placement will be very large and it
will be necessary to re-excavate the
opening and install heavy supports

9
[]

Fig. 13. Conceptional states of surrounding rock around tunnels in squeezing rocks

and the tangential stress-tangential strain response of rocks surrounding

t h e o p e n i n g s . A c c o r d i n g l y , w e c a n r e l a t e t h e f i v e s t a t e s o f u n i a x i a l a n d tri-
a x i a l t e s t s o f r o c k s in l a b o r a t o r y o r i n - s i t u tests, t o t h e s q u e e z i n g p o t e n t i a l
o f s u r r o u n d i n g r o c k a n d its d e g r e e as s h o w n in F i g . 13 a n d c l a s s i f y t h e m as
g i v e n in T a b l e 2.
 The Squeezing Potential of Rocks Around Tunnels 151

4.2 An Analytical Model for Stress and Strain Fields About Circular Tunnels

An analytical solution is p r o p o s e d for estimating strain and stress fields

a r o u n d circular tunnels in squeezing rocks in a hydrostatic state of stress.
For derivations, the following formulas are set:

1. The problem is axisymmetric, and the governing equation is as follows:

dar ar-O O
d---~ + r - 0, (7)
where r: distance from opening centre,
o-r: radial stress,
o-o: tangential stress.
2. Relations between strains and radial displacement u are:
du u
er-- d r ' ee- r' (8)
where gr: radial strain,
g0: tangential strain.

3. Compatibility condition between strains is:

dee ~o-~r
d----r- + - - r - O. (9)
4. The constitutive law between stresses and strains of rock in elastic
region is :

where E:
v:
o-0 (l+v)(1-2v)

elastic m o d u l u s of rock,
Poisson's ratio of rock.
E
~
1-v
1 e0
(10)

5. The behaviour of rock is assumed to be elastic -- perfect and residual

plastic as shown in Fig. 14. Rock obeys to the M o h r - C o u l o m b yield cri-
terion:
1 + sin
0"1 = qo-3 + O-e, q -- 1 -- sin ~ (11)
intact rock-perfectly plastic region,
1 + sin ~b* (12)
al = q* 0-3 -~- 0-* q* -
c , I - sin $*
brittle-plastic region,
where 0-1: m a x i m u m principal stress,
o-3: m i n i m u m principal stress,
0-c : uniaxial strength of intact rock,
o-* : uniaxial strength of broken rock,
: internal friction angle of intact rock,
~* : internal friction angle of broken rock.
152 (5. Aydan et al.

O"
_

7"
//

~e r ~1
1

/ /
/- f

o- n

~3
1
Fig. 14. M e c h a n i c a l m o d e l for r o c k s

6. Relations between total radial and tangential strains in plastic regimes

are assumed to be:
er = - f e o for perfectly plastic region, (13)
er = - f * eo for residual plastic region, (14)
where f a n d f * are physical constants obtained from tests.

4.2.1 S t r e s s a n d S t r a i n F i e l d s
The derivations of stress and tangential strain fields for the elastic-perfect
and residual plastic behaviour of surrounding rock about circular openings
are given in the following (Fig. 15).
1. Residual plastic zone ( a <_ r <_ Rpb):
Inserting the yield criterion (12) in the governing Eq. (7) with o3 -- ar and
a~ = ao gives
da~ cr~ a*
- - (15)
dr +(l-q*) r -

The solution of the above differential equation is

ar = C r q* - I q*cr*
- 1" (16)

The integration constant C is obtained from the boundary condition ar = Pi

at r~a as

C= pi-t- q , ~ aq, 1.
 The Squeezing Potential of Rocks Around Tunnels 153

9 E

Po

4 ~

elastic region

Fig. 15. States about a tunnel in squeezing rocks and notations

Thus, the stresses now take the following forms:

0",. = Pi + q. _ 1 q * -- 1

Cr~ q* Pi"[- q ' Z 1 q*- l "

Solving the differential equation obtained by inserting the relation given by

Eq. (14) in Eq. (9) yields:
A
g 0 - re+l 9 (19)

The integration constant A is determined from the continuity of the tangen-

tial strain at perfect-residual plastic boundary r = Rpb as
A = gpb R~+ 1, (20)
where
~s ~/,+r/s g~p_ l + v
eplo = T]sf~e~p ' T]sf- ~ -- 2 ' ~ (Po - are)-

As a result, the tangential strain of rock becomes

go- E (Po - arp) rl,f (21)

154 0. Aydan et al.

2. Perfectly-plastic zone (Rpb < r _< Rpp):

Inserting the yield criterion (11) in the governing Eq. (7) with o-3 = o-r and
o-1 = o-0 gives
do-,. o-~ o-c
. d r . + (1
. . q) r r (22)

The solution of the above differential equation is

Crr = C r q - 1 (23)
q-l"
The integration constant C is obtained from the boundary condition o-~
= o-reat r = Rpp as

C= Ore+ q - - - - l R~71"

Thus, the stresses now take the following forms:

Since the derivation of the tangential strain is similar to the previous case,
the final expression takes the following form:

g0- E (P0- O-rp) (26)

The relation between the plastic zone radii is also found from the require-
ment of the continuity of tangential strain at r = Rpb and relation (21) as
1
Rpp ~fq- 1 (27)
Rpt, - 'tsf .

3. Elastic region (Rpp <-- r):

As the derivation of expressions for stresses and displacement was given in
detail by Aydan and Ersen (1985) and Aydan (1989) elsewhere, the final
forms of expressions are of the following forms:

O'r = p0 -- (p0 -- O'rp) ( %'-'-~s ) 2 (28)

o-0 = p0 + (p0 - o-rp) (29)

eo- E ( P o - crrp) (30)

 The Squeezing Potential of Rocks Around Tunnels 155

T h e specific f o r m for arp is o b t a i n e d f r o m the c o n t i n u i t y c o n d i t i o n o f tan-

gential stresses at r = Rpp as:
2po - crc
O-r; - (31)
q+l

4.2.2 N o r m a l i s e d Tunnel Wall Strains

1. Elastic state:
T a n g e n t i a l strain at tunnel wall can be o b t a i n e d as

l+v
e~ - E (Po - Pi) (32)

O~o = 2 Po - Pi. (33)

I f the tunnel is strained to its elastic limit, then 03 = o-c with Pi = 0. Thus,
we have the elastic strain limit as:
l+v a~
~ - E 2 " (34)

Using the above relation in Eq. (32), one obtains the n o r m a l i s e d tunnel
wall strain as:

1 B
-- e --2 -Cg"
~ _ 1, (35)
C0

where fl = p~/ s u p p o r t pressure n o r m a l i s e d by o v e r b u r d e n pressure

P0
oc
c~ = - - c o m p e t e n c y factor.
P0

2. Perfectly plastic state"

Tangential strain at tunnel wall can be o b t a i n e d as
1 -[- V Rpp f + l
e~- E ( P o - cr,.p) a ' (36)

elastic limit is given as:

l+v
e~- E ([o- O'rp)" (37)

Using the above relation in Eq. (36), one obtains the n o r m a l i s e d t u n n e l

wall strain as:
f+l

e~ - (q27 :l)--fi+-~JJ (38)

156 (). Aydan et al.

3. Residual plastic state:

Tangential strain at tunnel wall can be obtained as
] q- V Rpb f*+l
eOa _ E (Po _ O'rp)rlsj a (39)

Using Eqs. (37) and (39), one obtains the normalised tunnel wall strain as:
ea

cc -1
7],,- q+ 1 -- 1) ~?~-1 q -- 1 + q * ~ (40)
gg*
fl+ q*-I
where

Po

4.3 Procedure How to Use the Proposed Method for Circular Tunnels in
Hydrostatic State of Stress

The procedure for the use of the proposed method as follows:

1. Specification of uniaxial strength of rock: The uniaxial strength of rock
can be either obtained from laboratory tests or index tests. If such tests
are not done, then the elastic wave velocity of rock must be at least mea-
sured so that the uniaxial strength of rock can be specified from an
expression such as Eq. (4).
2. Estimation of strain levels: Once the uniaxial strength of rock is speci-
fied, then the strain levels of rock can be estimated from expressions (6).
3. Input of overburden and unit weight: Overburden and unit weight of
rock (if available) must be input. If the unit weight of rock is not mea-
sured, then it can be specified from an empirical expression such as
Eq. (1).
4. Prediction of squeezing potential and its degree: With the given or spec-
ified data, Eqs. (35), (38), (40) can be used to predict the squeezing
potential of rocks and its degree for no-support pressure fl -- 0 as a first-
hand calculation.
5. Prediction of support pressure: If rock is found to be resulting in
squeezing, the limit of straining of surrounding rock must be set in order
to compute normalised support pressure /~ and the extent of plastic
zones from Eqs. (25), (38), (40).
 The Squeezing Potential of Rocks Around Tunnels 157

4.4 A Simplified Form of the Proposed Method to Circular Tunnels in

Hydrostatic State of Stress
With the relations and analytical solutions for a circular tunnel in a hydro-
static state of stress described in the previous section, the construction of a
prediction chart for squeezing potential of rocks and its degree, using the
uniaxial strength of rock and overburden depth, are described in the
followings.

Overburden and Uniaxial Strength Relation

For f l = 0 and c~ = ac/?/H, Eq. (38) yields the normalised strain as:
f+l

Re-arranging the above expression for H yields:

H- 2),(q--1) (q + 1 ) -2 . (42)

Inserting the specific values of 1, 77p,r],r such as those given by Eq. (6) in
place of ~ in Eq. (42) will yield the overburden depths for each transition
boundary between various states in relation to the strength of rock. A chart
in the space of H - crc has been computed and drawn as shown in Fig. 16 a.

Tunnel Wall Strain and Uniaxial Strength Relation

Tunnel wall strain limits for each specific state are obtained from the fol-
lowing expressions.
Elastic-light squeezing transition (E-LS):
l+v Crc
(e#)e = E 2 " (43)

Light squeezing - Fair squeezing transition (LS-FS):

1+ v o-e
(~#)p = 77p E 2 " (44)

Fair squeezing - Heavy squeezing transition (FS-HS):

1+vat
(e~),f= 7]sf E 2 " (45)
Inserting the specific values of rlp, 7LI as a function of uniaxial strength
together with expressions (2) and (3) for Poisson's ratio v and elastic mod-
ulus (E) will yield the transition boundaries of straining states of the tunnel
wall. A chart in the space of e~ - ac has been computed and drawn as
shown in Fig. 16b.
158 (J. Aydan et al.

16"

z it
.<
12 1
cD I!

i-I
r~
Z
\-\
Z
~ 4'
\,
bt

0 NS
2 ~ 5 6 7
0
\
100
l \ ".

"%, ~ NS

200'
\. -,
\ - LS
\

~,.. FS
300

\
HS
400'

F i g . 16. A m o n o g r a m for prediction squeezing potential of rocks and its degree

If the uniaxial strength of rock and the overburden depth are speci-
fied, the squeezing potential of the tunnel and its degree can be easily
assessed from the chart as shown in Fig. 16.

5. Applications and Discussions

Before applying the proposed method to analyse data of actual tunnels, we

carried out some parametric studies. In the first parametric study, the effect
of friction angle on the normalised strain of tunnel wall is investigated as a
function of normalised support pressure ft. The values of parameters used
in calculations are given in Table 3. As seen in Fig. 17, the normalised
tunnel wall strain increases as the friction angle decreases.
 The Squeezing Potential of Rocks Around Tunnels 159

~=~*
N 7-
f=f*=2.0
7~=20 k N / m 3
s- ~7 =3"0

5- ~=0,5

~4-

z 3_

~ o.~2 o:4 o:o o:8 I.o

NORMALISED SUPPORT PRESSURE/3 = Pi/Po
Fig. 17. Effect of normalised support pressure on the degree of squeezing

Table 3. Specific values of parameters used in the para-

metric study

?" f f* ray ~ a'* 95*

kN/m 3 (~

20 2.0 2.0 3.0 0.5 0.25 95

In the next parametric study, it is assumed that fl = 0 and ~7,f= 3.0 and
the normalised tunnel wall strain was calculated by varying the compet-
ency factor cr for various values of the friction angle of rock (Fig. 18). The
values of parameters used in calculations are given in Table 4. As expected,
the normalised tunnel wall strain increases as the competency factor and
the friction angle decrease.

Table 4. Specific values of parameters used in the para-

metric study

7/ f f* 0~f fl* ce 95*

kN/m ~ (o)

20 2.0 2.0 3.0 0.0 c~/2 95

160 (J. Aydan et al.

\ \ \ 4/ kN/m3
\ \ \ s =30
= .

~ . . . . 0:5 . . . . 1:o . . . . s . . . . ~:o

COMPETENCY FACTOR c~ = o~/po
Fig. 18. Effect of c o m p e t e n c y factor on the degree of squeezing

Using the relations among uniaxial strength of rocks and their

mechanical and physical properties given by Eqs. (1--5) obtained from the
data of the surveyed tunnels listed in Table 1, a series of calculations were
done. Figure 19 shows a monogram to predict the degree of squeezing on
the basis of expressions given in Eqs. (43--45) and Eq. (6) together with
plots of actual data on tunnels in squeezing rocks. In plotting data, the
small, medium and large terms used by engineers in defining the deforma-
tions levels correspond roughly to those slight, fair and heavy terms
defined in this article for rocks with a uniaxial strength of more than
1 MPa. As it is noted, there is good agreement between the predictions by
the proposed method and observations. In the same figure, the data of
Enasan Tunnel II at Chobeizawa Fault Zone, denoted by E excavated in a
rock formation with a uniaxial strength of 5 MPa at a depth of 350 m, as an
example, are plotted. The predictions indicate that tunnel would be sub-
jected to heavy squeezing which was actually observed at the respective
section of the tunnel (Kimura et al.,/987).
Next, we applied our method to predict the squeezing potential of
rocks and their degree during the excavation of Orizume Tunnel in Tohoku
region of Japan, which is a 2300 m long highway tunnel with a cross-sec-
tion area of 70 m 2. During the excavation of a 300 m long section of the
tunnel between Stations 97+00 and 100+00, very large deformations
exceeding 2000 mm at some locations were observed. The geologic forma-
 The Squeezing Potential of Rocks Around Tunnels 161

,m o no squeezing
20-lu 11
II.1 9 small ,,
/',1 -medium ,'
,,

%~ |',/

Ii,I 9
~/, .
"' 9 EnasanTunnellI

I' \ ,:
I ' , '~F S \
4 -~ .\ : 1I ,
s., --~ []

o ~ , T 27.72~,_--.-.-.-~=-.
:,~ ~o~o ~ ~-o~o~--~
\~..,,.x..._ o o I ~ o'. (Men)
~',-'~'~ o I-
\. "4. ~ , os
~oo- .\ .... ....40 o
mx "~ i~ NN
mm \ " .?

300' 9 ~. FS
o t
---.--,---.---.__ .| i
\
9
,,
9 IIS

400'

Fig. 19. Comparison of predictions on the squeezing potential of tunnels with observations

tions along the tunnel alignment consisted of tuff and mudstone of ter-
tiary period. In the squeezed section, the rocks contained Na-type mont-
morillonite with a range of 10--60%. The strength data along the tunnel
alignment are scarce. However, an elastic wave velocity zoning was avail-
able. Therefore, we used the distribution of elastic wave velocities of
rocks to obtain the u n i a x i a l strength of rocks from Eq. (4) and other
required data from Eqs. (1--3), (5), (6) for calculations and predicted the
squeezing potential of rock and its degree. Figure 20a shows the elastic
wave distribution zoning along the analysed section. Figure 20b shows
the predicted squeezing potential of surrounding rocks together with
observed tangential strain levels. As noted from the figure, the calcula-
tions closely predict the actual performance of surrounding rocks. G o o d
agreement between predictions and observations suggests the validity and
reliability of the proposed method.
162 O. Aydan et al.

1 2 ~ 1.6
~ el
2.5 2.4 . 2.4~2.4~2.4V1.72~ a
0 I 1 I
97-{-00 98+00 99-+-00 100+00
10-
9- - - Predicted
z
8- --+-- Measured Jl

' i, IIl'
< 7- ii
HS ~ H~ 1! 9 ii

6- I

5-
g 4- t ', ;2 ~',FS
'+-_4 '~ FS
z
z ,%. !
NS ] ~NS '~S~-- ~NS ; LS

Fig. 20. Elastic wave velocity distribution and the predicted squeezing potential of rocks of a
300 m long section of Orizume tunnel

6. Conclusions

The present study clarified the squeezing phenomena of rock around tun-
nels, its mechanism and associated factors by carefully studying failures
and observations of tunnels in Japan. Then a general method proposed to
predict the squeezing potential of rocks around tunnels and its degree and,
a specific application of the method to circular tunnels under hydrostatic
state of stress is described. The applicability and validity of the proposed
method have been checked by comparing the predictions with actual obser-
vations. Finally, the method was applied to predict the squeezing potential
and deformations of the rock along a 300 m long section of an actual tun-
nel. It is found that the predictions by the proposed method well agree with
observations.

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Authors' address: Assoc. Prof. Dr. 0mer Aydan, Department of Marine Civil
Engineering, Tokai University, Orido, Shimizu, 424, Japan.