KSCE Journal of Civil Engineering (0000) 00(0):1-13 Tunnel Engineering

Copyright ⓒ2017 Korean Society of Civil Engineers

DOI 10.1007/s12205-017-1359-2 pISSN 1226-7988, eISSN 1976-3808
www.springer.com/12205
TECHNICAL NOTE

Numerical Model for Shaley Rock Masses Displaying Long-term

Time Dependent Deformation (TDD) Behavior and its Application
to a Pedestrian Tunnel Constructed under Lake Ontario
Sean Seungwon Lee*
Received August 10, 2016/Revised October 12, 2016/Accepted November 15, 2016/Published Online March 7, 2017

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Abstract

Southern Ontario is known for very high horizontal in-situ stresses and time dependent behavior of shale formations, which has
resulted in continued rock deformation and distress in final linings in several previous projects in the region, sometimes years after
installation. Billy Bishop Toronto City Airport Pedestrian Tunnel is a passenger access tunnel under the Western Channel of Lake
Ontario. This paper discusses a series of numerical approaches used for predicting time dependent deformations, both during, as well
as after the completion of the tunnel, to determine the optimal timing of the placement of the final lining, such that the remaining
time-dependent movements can be sufficiently accommodated within the structural capacity of the tunnel lining. The paper also
discusses the design process using a series of numerical analysis and construction sequencing considerations pertaining to the long-
term time dependent deformation of the shaley rock formation, the instrumentation and monitoring program, and a comparison of the
predicted against the actual movements during construction. Results from a custom-made FLAC sub-routine are provided in addition
to the details of the numerical analysis - both the problems that were identified during the analyses as well as their solutions -
throughout the discussion.
Keywords: time dependent deformation of shaley rock masses, time-dependent deformation equation, constitutive model equation,
custom-made subroutine in a finite-difference code - FLAC
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1. Introduction displacement and lining moments and forces are conservatively

The shaley rock formation in Southern Ontario is known for its
high horizontal in-situ stresses and time dependent behavior.
Continued rock deformations and distress in final linings are
evident throughout the region, sometimes even years after
construction based on several projects observed. To estimate the
Long-term Time Dependent Deformation (TDD) that will likely
occur during the construction of a pedestrian tunnel in the shaley
rock formation, a series of numerical analyses has been performed
using Finite Difference code FLAC with a custom-made
subroutine.
There are two design methods commonly used in assessing the
impacts of the Long-term Time Dependent Deformation of
swelling rock formation on tunnel linings. The closed form
solution method, developed by Lo and Yuen (1981), can be
implemented to predict the long-term loads and displacement at
any point in time in lining and rock. However, the closed-form
solution method does not consider the effect of time-dependent
swelling-induced rock stress on the swelling potential of the
shale rock based on the first step in this research; Consequently,
the closed-form solutions for the final unlined rock swelling
over-estimated (Fig. 16). To obtain a more realistic estimate of
the lining loads, a numerical model (“swello” constitutive model)
accounting the swelling was developed by the Arup Design
Team and implemented in the FLAC 2D finite difference
program by Itasca on Arup’s behalf. The other commonly used
method for assessing the impact of TDD on tunnel linings is the
swelling rock constitutive model in Hawlader et al. (2003;
2005). Developed based on the Mohr-Coulomb elastic/perfectly
plastic material model, this rock constitutive model is derived
from observations in laboratory experiments that the swelling
strains in the principal swelling directions of a Shale rock
specimen increase linearly with the logarithm of time, and the
swelling strains are reduced in both the parallel and perpendicular
directions by the application of stress on the rock specimen. In
this project, the swelling rock constitutive model formulation
was implemented for use with the two-dimensional code FLAC
in plane strain model.
Two major points of consideration have been identified during
the numerical analysis using the initial model formulation.
A “virtual critical stress” concept was introduced by the
Author for vertical swelling in the zone between the rock surface

*Americas Region Tunnels Skills Leader, Senior Geotechnical and Tunneling Engineer, Arup, New York, NY, USA (Corresponding Author, E-mail:
Sean.Lee@arup.com)

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 Sean Seungwon Lee

and the depth at which the in-situ stress is equal to the critical the tunnel excavation line showed a much more reasonable and
stress (σc), above which the rock swelling is completely consistent distribution.
suppressed, and no more swelling occurs. If a zone in the
shallow depth had stress levels less than the critical stress (σc) 2. Project Overview
level, this zone would have already experienced swelling prior to
any construction activity, and therefore, is currently in a stable The Billy Bishop Pedestrian Tunnel is an underground pedestrian
condition with the in-situ stress level. Vertical swelling was tunnel under construction for the Billy Bishop Toronto City
observed in the zone during the initial analysis with the swelling Airport (BBTCA). Fig. 1(a) shows the location of the BBTCA
model, which is inconsistent with the fact that the zone should be relative to downtown Toronto and the other major Toronto
in a stable condition with the in-situ stress level. To resolve the airports.
problem of the inconsistency of the vertical swelling in the area, The Billy Bishop Toronto City Airport is located on the Toronto
the critical stress zone in the vertical direction was set equal to Island in Lake Ontario, as shown in Fig. 1(b). The Billy Bishop
the in-situ stress - a virtual critical stress - which is reduced from Pedestrian Tunnel connects the airport located on the island to
the original critical stress. Considering that the swelling depends mainland Toronto, which is on the right side of the figure,
not only on the stress level in the direction of swelling but also approximately 200 meters away. Currently, the users of the
depends on the stress levels in the other two directions, the airport must utilize a ferry service to access the airport. Over
virtual critical stress should take into account the stress levels in 50,000 flights and 1.5 million passengers use the airport each
all three directions. The critical stress below this zone was year, and the growth of the airport is limited by its inadequate
maintained at the actual level in the numerical analysis for the accessibility. The construction of the tunnel is expected to
long-term swelling condition. alleviate the traffic congestion to the airport, to facilitate access
The assessment of the Time-Dependent Deformation (TDD) for customers and to promote the growth of the airport. The
was primarily performed at the crown, invert, and springline of project consists of the construction of shafts on both the mainland
the tunnel, where the assessment of the calculated deformation and island sides and the subsequent construction of a tunnel
by the swelling model showed good correlation with the actual
field measurements through the monitoring program. The
calculated TDD movement at other locations around the main
tunnel was significantly smaller than the actual field measurements.
The explanation for the smaller TDD movement at the arch areas
has been investigated by the Author. An interpolation was
carried out for the TDD movement at other locations of the
tunnel perimeter between the values at the three locations.
Further refinement on the initially estimated ground and in-situ
stress distribution has been performed alongside the main tunnel
construction through the comparison of the calculated versus
measured values by way of an extensive parametric study.
The swelling rock constitutive model in Hawlader et al. (2003;
2005) is based on the Cartesian (x, y, z-) coordinate system. The
Billy Bishop Pedestrian tunnel has a low rock cover, less than
that of a diameter of the tunnel. In addition, the tunnel also has
very high in-situ horizontal stresses, which generates an
exceptionally high coefficient of earth pressure, ranging from 8
to 12. These two unfavorable conditions combined result in the
formation of shear failure along the shearing zones, which are
inclined (45o+Ø/2) around the semi-circular tunnel.
(Ø: Internal friction angle of rock masses). Although the
swelling in the crown, invert and springline were reasonable, the
swelling at the arch region was suppressed and much less than
the time dependent deformation calculated at the crown, invert
and springline of the tunnel by the numerical analysis using the
swelling rock constitutive model in Hawlader et al. (2003; 2005).
The Author concluded that the critical stress in the minor
principal direction should be formulated in the swelling model
rather than individually in the critical stresses in the horizontal Fig. 1. Location of the Billy Bishop Toronto City Airport: (a) Toronto
and vertical directions. The resulting time dependent deformation at map, (b) Picture of Toronto City Center Airport

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 Numerical Model for Shaley Rock Masses Displaying Long-term Time Dependent Deformation (TDD) Behavior and its Application
Fig. 2. Billy Bishop Tunnel Alignment Plan and Section: (a) Plan
View of the Bill Bishop Tunnel Project, (b) Cross-section of
the Bill Bishop Tunnel Project
between these two shafts below lake-level. The incorporation of
three necessary utility conduits – water and sanitary force mains
– into the tunnel will save the city of Toronto approximately
$10M. The Billy Bishop Airport is currently owned and operated
by The Toronto Port Authority.
Figure 2 shows the tunnel alignment plan and section. The Fig. 2(a)
shown above is the plan view of the project and the Fig. 2(b)
shown below is the cross-section view of the project.
The project consists of the construction of two elevator shafts
to a depth of 27 m and 32 m, respectively, a tunnel conjoining the
two running underneath Lake Ontario and later on, an escalator
passageway is constructed from the tunnel to the airport lobby.
The main pedestrian tunnel has 10 m-wide and 8 m-high. The
construction began in March 2012 and completed in May 2015.
3. Key Design Issues
The tunnel is constructed within horizontally bedded Georgian
Bay Shale, which is directly underneath the 14 m-deep lake. This
shale unit consists of “typically moderately weathered to fresh,
grey to dark grey, fine to very fine grained fissile shale interbedded
with slightly weathered to fresh grey, fine-grained calcareous
siltstone, and limestone.” According to Geotechnical Baseline
Report (2012), the shale in the Toronto region is reported to have
moderately high horizontal stress, which is 13 times greater than
the vertical stress at the site.
In addition, the shale is reported showing long-term time
dependent swelling behavior when in the presence of fresh water.
The tunnel has 10-16 meters of shaley rock cover, which is
deemed unsatisfactorily shallow for the 10.5 m span tunnel. It is
also constructed underwater and within weak shale, subjecting it
to the risk of the aforementioned TDD, significantly changing
the capacity requirements for the final lining of the tunnel.
To account for the relatively shallow rock cover, and to avoid
buckling of the horizontally bedded shale layers under high
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Fig. 3. The Cross-section of the Construction Scheme for the
Pedestrian Tunnel Consisted of the Seven Pilot Tunnels
Prior to the Construction of the Main Tunnel and the Main
Tunnel
horizontal stresses, seven 1.87 m-diameter pilot bores using a
Tunnel Boring Machine (TBM) were designed above the planned
main tunnel in the sequence shown in Fig. 3.
After each TBM excavation, each pilot bore was filled with 15
MPa concrete, to form an overhead arch supporting the crown of
the main tunnel. The use of stacked drifts was selected as the best
risk mitigation measure and is believed to be overall cost
effective.
The first pilot bore served ground investigation purposes as
well. The other pilot bores also were used for the passage of
utility and communication lines.
Two pilot tunnels inside of the proposed main tunnel, in
addition to the five pilot bores, were designed to help the release
of the high in-situ stress in advance of the main tunnel construction.
The construction sequence is also shown in Fig. 3. Once the
seven TBM drift tunnels had been constructed and filled with
concrete, two further TBM tunnels were driven (#8 and #9).
These provided an opening that simplified the main excavation,
Cut 1, which was excavated by breaking the rock around these
pilot tunnels. With the arched roof and inclined side walls, Cut 1
was performed with the need for any additional rock support.
The next stage in the sequence, Cut 2, involved excavating the
final section of either side of the first cut, Cut 1. The sidewalls
were then bolted, with particular attention paid to ensuring that
the rock under the arch was fully supported. The final excavation
stage, Cut 3, involved the removal of the invert and was carried
out in two stages – a rough cut for the bulk of the excavation
followed by trimming in order to achieve the required profile.
Several modifications to the excavation sequence by the
resident design engineers on site have been made to allow for
optimization of the design and construction schedule, based on
observations of the rock and monitoring results. This included
allowing the Cut 1 excavation to proceed along the entire length
of the tunnel before Cut 2 commenced, and delaying the
application of shotcrete on the sidewalls, which removed this
 Sean Seungwon Lee

operation from the critical path.

Following the excavation, the lining was placed. A fully
tanked PVC compartmentalized membrane system was used.
The reinforcement for the lining was prefabricated to allow for
rapid assembly in the tunnel. After the invert concrete was
poured, the arch concrete was placed using a 12 m long arch
form. The arch lining was designed with steel fiber reinforced
concrete, with reinforcement only provided up to the shoulders,
to maximize the speed and efficiency of construction.

4. Short-Term Tunnel Support Design

The Billy Bishop tunnel has a relatively shallow rock cover of

eight meters with respect to its 10.5 m-wide excavation span.
Fig. 4. Backfilled Concrete Arch Stability Modeling in UDEC Show-
Given that the excavation is under the lake and there was not a ing Zones oF Joint Debonding Upon Excavation of the Main
comprehensive knowledge of the condition of the rock, a rather Tunnel
novel temporary lining (“pre-support”) system was selected that
involved a series of interlocking, coupled with horizontal TBM-
driven secant drift bores which were backfilled with 15 MPa
strength concrete, to form an integral arched roof under which
the mass excavation can occur (see Fig. 3). This system mitigated
the risk of encountering a water-bearing feature under the
channel, as the small 1.87 m diameter TBMs would provide a
much greater means of face stability than an open face Sequential
Excavation Method (SEM).
The implementation of steel ring beams at a nominal 1.2 m
spacing supplemented with plywood sheet lagging provided
temporary support for the TBM bores. The support design was
based on short-term convergence-confinement calculations
(which included the effect of swelling for the time the bores were
expected to remain open) and validated by the finite difference
code FLAC (v.7.0) as well as the discrete element code UDEC Fig. 5. Backfilled Concrete Arch Stability Modeling in FLAC Show-
(v.4.0) by Itasca Consulting Group, Inc. Both codes were used to ing Maximum Principal Stress Contour Upon Excavation of
the Main Tunnel
model the entire construction sequence of the excavation and
backfilling of each individual drift bore followed by the main
tunnel excavation. A point of particular interest in the short-term length along the arch perimeter indicated debonding (Fig. 4).
support design was the horizontal shear displacement of the However, the remaining bonded length was more than enough to
bedded shale rock and how this affected the stress redistribution prevent a downward translation of the structure. The internal
around and through the backfilled concrete arch. Additionally, concrete-concrete joints did not show any loss of contact or
the joints around and within the arch were assigned with debonding (i.e. both joint normal and shear stiffnesses > 0)
properties consistent with a concrete-concrete or concrete-rock which indicated that no tensile forces exist within the arch, even
interface created by the backfill pours using UDEC. in the critical case of a potential wedge failure in one of the side
Two cases of horizontal in situ stress were considered to serve abutments. The results confirmed the initial assumption that the
as bounds for the expected short-term behavior. Key results are arch would act as a single, contiguous member in response to the
summarized in Table 1. stress distribution resulting from the main tunnel excavation
The UDEC model shows a small percentage of boundary joint (Fig. 5), and reassured our team that the excavation of the main

Table 1. Summary of Key Results for Short-term (temporary) Stability of Backfilled Arch and Tunnel
Max. Dowel axial Vertical displacement Max. Displacement Max. Horizontal Depth of plastic Max. Arch Compres-
σh
force under arch under arch abutment tunnel convergence zone under invert sive Stress [MPa]
[MPa]
[kN] [mm] [mm] [mm] [m] (without swell)
2.5 176 11 13 5 0 4
6.9 395 27 40 7 4 8.5
Note: The vertical in-situ Stress, σ 0.55 [MPa]
v =

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 Numerical Model for Shaley Rock Masses Displaying Long-term Time Dependent Deformation (TDD) Behavior and its Application

Generally, the stability of the plastic zone is checked by the

0.5%D displacement criteria. The maximum displacement
observed from the numerical analysis was 1~2 cm - less than
0.2% of the tunnel diameter - which is well within the criteria.
Due to the high K value, the rock is in shear failure, similar to a
rock sample in a compression test, shearing along a (45o+Ø/2
angle.
The red and purple points on Fig. 7 indicate current yield
points, whose impact on surrounding existing structures must be
assessed.

5. Long-Term TDD Modeling for Final Tunnel Sup-

port Design
Fig. 6. Mobilized Lining Forces at thE Permanent Lining in Short- The final lining of the tunnel was designed in order to maximize
term
productivity during construction and utilizes a conventional
reinforced concrete invert slab with prefabricated reinforcement
panels, and a concrete arch with a minimum 400 mm thick Steel
Fiber Reinforced Concrete (SFRC) lining with partial steel rebar

Fig. 7. Plastic Zone Formed During the Simulation of the Pilot Tun-
nels Construction

tunnel would not result in debonding of the pre-existing arch.

The temporary support of the main tunnel post-excavation
consisted of installing 32 mm diameter rock dowels in the
sidewall abutments under the backfilled arch once the final
excavation profile was cut. The purpose of the dowels was to
stabilize any overbreak or wedge failures resulting from the
occasional sub-vertical joint dipping into the tunnel.
Figure 6 shows the mobilized lining forces at the permanent
lining in the short term, which occurs prior to the time-dependent
deformation of the shaley rock formation from FLAC. The lining
forces are expected to increase with respect to time from the
swelling of the shaley ground.
Figure 7 shows the plastic zone formed during the construction
of the pilot tunnels from FLAC. Due to the changes in the stress
field that occurred during the excavation of the tunnels, plastic
zones generally formed around the underground opening. The
formation of a plastic zone is helpful when building a tunnel in
Fig. 8. Predicted Radial Displacement and the Mobilized Lining
weak rock in high in-situ stress conditions due to the ability to Forces of Heart Lake Tunnel with Time (Hawlader et al.,
distribute the stress concentrations from a narrow zone adjacent (2003; 2005)): (a) Radial Displacement, (b) Tangential Stresses
to the tunnel to a wider zone through the arching effect. Mobilized at the Inner Face of the Lining

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 Sean Seungwon Lee
reinforcement in the sidewalls to counter long-term swelling
pressures.
Figure 8 shows the anticipated deformation of the tunnel lining
when the shaley rock surrounding the main tunnel swells, as
reported in Hawlader et al. (2003; 2005). As times goes by, there
will be an inward convergence at the springline and outward
movement at the crown. For the inner face of the lining, this will
result in tensile stress at the springline and high compression at
the crown, as shown in Fig. 9.
Shale is reported to begin to swell after a certain time and swell
linearly with respect to log time – the ratio of swelling strain
gradually decreases with time, as shown in Fig. 10. Therefore,
the permanent lining was constructed when the remaining swelling
potential can be sufficiently accommodated by the structural
capacity of the proposed permanent lining.
As it is not possible to leave the tunnel unlined for an extended
period after the excavation and additional swelling is expected to
occur following the excavation, a 400 mm thick compressible
foam was proposed to be added to the area between the final
lining and the excavation wall concurrently with the installation
of the permanent lining in order to regulate the additional
swelling. The thickness of the form, as shown as the Green line
in Fig. 3, was calculated based on the anticipated remaining
convergence that will occur after the construction of the
permanent lining in order to ensure that the final lining of the
main tunnel can sufficiently accommodate the remnant swelling
and convergence that is expected to occur even after the final
lining is installed.
To verify the “swello” constitutive model from Itasca, an initial
numerical simulation was performed on a swell test, reported in
Hawlader, Lee and Lo (2003). Fig. 10 displays the parameters
reported in Hawlader, Lee and Lo (2003) and the model setup for
the initial numerical verification.
In addition to the properties shown above, based on a Young’s
Modulus of 9 GPa and a Poisson’s Ratio of 0.35, the bulk and
shear modulus (K = 10GPa, G = 3.333GPa) were calculated for
the numerical analysis, respectively. To avoid possible numerical
error from using a zero value in the numerical formulation, a
small vertical stress (0.000001Mpa) was applied to the free swell
case.
The results from the “swello” constitutive model are generally
in good agreement with lab tests observed after the reference
time (to) for the cases of free swell and high stress (0.69 Mpa), as
shown in Fig. 11. However, the results show some inconsistencies in
the cases of mid-level stresses (0.027 Mpa and 0.132 MPa).
Findings from the initial numerical simulation using FLAC are
summarized below:
1. The lining forces and displacements from the FLAC
analysis were slightly lower than those found in the closed form
solution from Lo and Yuen (1981), at 10 years after the
permanent lining installation.
2. The axial force and the negative moment from the FLAC
analysis were maximized at the arch and slightly decreased at the
crown, whereas the axial force and the negative moment were
−6−
maximum at the crown in the closed form solution from Lo and
Yuen (1981).
3. The zone of horizontal swelling, where the distressed
horizontal stress is less than the horizontal critical stress (-3.22
MPa), coincided with the maximum axial force and the negative
moment.
4. After the tunnel excavation, the rock above the crown has
higher horizontal stress due to stress transfer from the tunnel
sides and, as a result, no horizontal swelling can happen. The
swelling in the vertical direction is also suppressed due to the
virtual stress from the high horizontal stress in the FLAC
analysis.
5. The “swello” constitutive model has a separate critical stress
in the horizontal and vertical directions. The time-dependent
elastic modulus in the spreadsheet calculations, which is
equivalent to the critical stress in the FLAC analysis, is uniform
in all directions. While the critical stress in the vertical direction
is the same as it is in the horizontal direction, the vertical stress in
the rock is much smaller than the horizontal stress. As a result,
there is noticeable swelling in the vertical direction.
6. The spreadsheet calculations also do not consider the
contribution of virtual stresses due to the stresses in the two
perpendicular directions. The virtual stresses will increase the
vertical swelling further, and as a result, the calculations severely
underestimate vertical swelling.
7. The stresses around the tunnel in the FLAC analysis are
updated from the swelling-induced strain increment during the
calculation, and the increase in the total stress will reduce the
amount of swelling as the total stress approaches the critical
stress. However, the stresses in the spreadsheet are constant and
have a uniform distribution according to the distance from the
tunnel excavation line.
8. The lining forces in the FLAC analysis are increasing with
time, while the lining forces in the spreadsheet are fairly
consistent even after two years.
The aforementioned findings that have been identified during
the initial simulation were further investigated during the main
analysis, and the solutions will be discussed later in the paper.
5.1 Derivation of Swelling Parameters
The tunnel in question is constructed within horizontally
bedded Georgian Bay Shale. This shale unit consists of typically
moderately weathered to fresh, grey to dark grey, fine to very
fine grained fissile shale interbedded with slightly weathered to
fresh grey, fine-grained calcareous siltstone and limestone
Interbeds. There are two features unique to the shale in the
Toronto region. One is a relatively high horizontal stress regime,
and the second is long-term time dependent swelling behavior
which occurs when the following conditions are satisfied:
• Stress relief of the rock mass
• Availability of fresh water
The swelling is a consequence of a reduction in confined stress
in the rock which occurs upon excavation in combination with a
differential gradient in salinity between the saline rock porewater
KSCE Journal of Civil Engineering
 Numerical Model for Shaley Rock Masses Displaying Long-term Time Dependent Deformation (TDD) Behavior and its Application

salinity of the rock porewater prompted by an overall increase in

Fig. 9. Simple Diagram Displaying the Time-dependent Deforma-
tion Behavior of Shaley Rock Formation
and freshwater from Lake Ontario, or even just humid air.
Osmotic and diffusive processes result in a decrease in the
the water content, resulting in volumetric expansion of the shale
rock over time. The presence of this Time Dependent Deformation
(TDD) during the installation of the permanent lining in the main
tunnel has a direct impact on the long-term moments and forces
induced on the lining and elicits a need to modify the tunnel
lining construction sequence in order to accommodate the
change in the surrounding rock morphology.
Following the methodology developed by Lo et al. (1978),
results from free swell tests, semi-confined well tests, and no-
swell tests are used to identify the “Swelling Potential” of the
rock in different directions. These tests are performed as follows:
• Free swell test: Sample is exposed to water and vertical and
horizontal deformation of the sample in time is recorded.
Eight of these tests were performed for the Billy Bishop

Fig. 10. Simple Check Numerical Simulation on a Swell Test Reported in Hawlader, Lee and Lo (2003)

Fig. 11. The Comparison of Swelling between the Assessed Value from the FLAC-swello Model and that Reported in Hawlader, Lee and et
(2003)

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 Sean Seungwon Lee
project.
• Semi-confined swell test: Sample is exposed to water, and a
constant load is applied to the specimen. The deformation in
the direction of the applied load is recorded in time. Twelve
SCST tests were performed for the project.
• Null swell test: Sample is exposed to water, and a variable
load is applied. No deformation is allowed in the direction of
the applied load. Change of load with respect to time is
recorded. Three samples were tested for the project.
Swelling potential is defined as the average slope of the graph
of the swelling strain versus the logarithm of time and is defined
for a specific direction since behavior in the vertical and
horizontal directions are typically noticeably different. The
swelling potential decreases as the applied pressure is increased.
The pressure, where the swelling potential is zero and no swell
occurs, is called the “Critical Stress” and is defined using the
result of the no-swell test.
Hawlader, Lee, and Lo (2003) studied the impact of applied
load on the swelling potential of different samples. They
concluded that the applied stress in one principal stress direction
reduces swelling strain not only in that direction but also in the
perpendicular directions.
Figure 12 shows the relationship between applied pressure and
swelling potential in the horizontal and vertical directions for
samples from the Billy Bishop project. The point of zero
Fig. 12. Swelling Potential vs. Stress in Vertical and Horizontal
Directions from the Swell Model in FLAC
−8−
swelling potential (Critical Stress) is also clear at the end of the
lines. Consistent with previous experience with other projects in
the area, the swelling potential in the vertical direction is two to
three times higher than that in the horizontal direction.
The swelling potential of Shale tends to increase with
decreasing calcite content and an increasing outward salt
concentration gradient from the pore fluid of the rock to the
ambient fluid (Lee and Lo, 1993). Therefore, calcite content and
salt concentrations of pore water in the rock samples were also
considered in the swell tests.
The closed form solution method developed by Lo and Yuen
(1981) can be implemented to predict the long-term loads and
displacement at any point in time in lining and rock. However,
the closed-form solution method does not consider the effect of
time-dependent swelling-induced rock stress on the swelling
potential of the shale rock: consequently, the closed-form
solutions for the final unlined rock swelling displacement and
lining moments and forces are conservatively over-estimated. To
obtain a more realistic estimate of the lining loads, a numerical
model to account for swelling was developed by the Arup design
team and implemented in the FLAC 2D finite difference
program by Itasca on Arup’s behalf (swello TDD constitutive
model).
5.2 Numerical Formation in the Custom-made Subroutine
Implemented in FLAC
The time-dependent model requires eight input parameters,
i.e., the slope of the bedding plane (α), the time (t0) for initiation
of swelling, Young’s modulus (E), Poisson’s ratio (v), the three
free swell potentials in the principal swelling directions (mx(0),
my(0) and mz(0)), one pseudo-Poisson’s ratio (μ), a threshold stress
(σth) (below which no swelling strain reduction occurs) and the
critical stress (σc) (above which the swelling is suppressed
completely).
A series of laboratory swelling tests on shale samples, along
with in-situ rock stress measurements, were performed, obtained
and used in the engineering analysis of the tunnel lining,
including;
Table 2 lists the values that were interpreted from the tests.
Values of other projects and the back analysis described below
are also presented for comparison.
The swello TDD model was applied to all construction stages
of the Billy Bishop tunnel in both short and long-term
conditions. After numerical analysis, the permanent lining was
designed, as shown in Fig. 13, based on the mobilized lining
forces from the results of the swelling numerical analysis, as
shown in Fig. 14.
6. Long-Term TDD Analysis and Summary of the
Results
Continuum modeling utilizing the finite difference code FLAC
(v.7.0 with the Swello module) was used to design the final
tunnel lining taking into account the effect of the TDD behavior
KSCE Journal of Civil Engineering
 Numerical Model for Shaley Rock Masses Displaying Long-term Time Dependent Deformation (TDD) Behavior and its Application

Table 2. TDD Parameters of the Georgian Bay Shale at Previous Projects in Southern Ontario Region
Swell potential Elastic Time Dependent
In-situ Stress Critical Stress Viscosity
Project Modulus Elastic modulus
(MPa) Vertical Horizontal (MPa) (MPa-day)
(MPa) (MPa)
38000 to
GBR 2.5-6.9 0.04 to 0.26% 0.04 to 0.26% 2 to 5 5,875 320 to 1100
73800
Project Specific
8.2* 0.7 to 1.1% 0.15 to 0.3% 0.64 4,000 440 29500
Billy Bishop Testing (Exp)
Toronto City 0.7% (Base) 0.4% (Base) 3 (Base)
Airport Pedestrian 0.24 to 1.2% 0.05 to 0.45 0.64 to 3
Tunnel Design 2.5-8.2 N/A N/A
(Sensitivity (Sensitivity (Sensitivity
Analysis) Analysis) Analysis)
Shaft 4.7 (N-S), 5.1
0.7 to 1.1% 0.3 to 0.4% 3 6,800 N/A N/A
Backanalysis (E-W)
Vert. 0.435
250 41200
Heart Lake Tunnel, Hor. 2 to 8 8,300 to
0.42 % 0.13 to 0.17% 1.9 to 2.6 490 52600
Mississauga (Lo et al. 1979) (Sensitivity 12,000
140 20800
Analysis)
Deep Lake Water Cooling Centre
1,500 to
Island Tunnels, Toronto - - 0.12% - 1100 73600
4,700
(Lo and Micic 2010)
Skydome and John Street Tunnel, Vert. 0.2 2,200 to
0.2 to 0.62% 0.04 to 0.26% - 380 38000
Toronto (Lo et al. 1987) Hor. 10 2,300
*Single test, not considered representative

Fig. 13. Sketch of the Support Scheme for the Main Tunnel Con-
struction

of the shale rock mass. As the temporary condition (prior to

permanent lining installation) is expected persist for approximately
75 days, the effects of TDD deformation must be considered.
The numerical modeling included all stages of the construction
sequence, including the boring and backfilling the seven interlocking
TBM drift bores (as well as two lower pilot tunnels to facilitate
conventional mass excavation underneath the resulting arch), the
three cuts for the main tunnel excavation, and the installation of
the final lining. Fig. 15 shows the FLAC 2D model.
The initial designs were based on the permanent invert slab for
the main tunnel being placed between 50 days after the bench
excavation, with the permanent lining for the tunnel crown and
Fig. 14. Thrust-moment Diagram with the Mobilized Lining Forces
During the Tunnel Construction
sidewalls cast at 125 days after the main tunnel excavation.
However, as excavation proceeded and monitoring data was
collected from the shaft, the model was repeated with 30 days to
invert placement and 75 days before placing the arch.
A series of seven design cases were considered using a
selected range of parameters for in-situ stresses, swelling
potential values, critical stresses and boundary conditions. The
FLAC 2D runs were carried out to determine the long-term axial

Vol. 00, No. 0 / 000 0000 −9−

 Sean Seungwon Lee
Fig. 15. FLAC 2D Model of TBM Drifts and Main Tunnel Showing
Strain Due to TDD in the Rock and Displacement of the
Sidewalls 150 days after Excavation
Fig. 16. Comparison of Results from Closed Form Solution and
Numerical Analysis
thrust and the bending moment that will develop within the
lining, caused by the swelling rock mass. These analyses were
carried out to a design life of 100 years and were considered both
with and without the additional loads caused by a full hydrostatic
water pressure build-up around the tunnel.
Figure 16 shows a comparison between the predictions of the
FLAC model and the movements predicted by the closed form
solution from Lo and Yuen (1981). It is clear that for an
excavation of this size, the movements predicted by numerical
analysis are considerably lower than those predicted by the
closed-form solution, confirming that the closed form solution is
conservatively over-estimated, as discussed earlier on in this
paper.
Two main points of consideration have been identified during
the numerical analysis using the TDD model. The first point of
consideration was the vertical swelling was observed in the zone
during the initial analysis with the swelling model, which is
− 10 −
inconsistent with that fact that that the zone should be in a stable
condition with the in-situ stress level. The other issue identified
during the numerical analysis was the use of separate critical
stress in the Cartesian coordinate system in the swelling rock
constitutive model of Hawlader et al. (2003, 2005).
The Author introduced a “virtual critical stress” concept for
vertical swelling in the zone between the rock surface and the
depth at which the in-situ stress is equal to the critical stress (σc).
In order to resolve the problem of the inconsistency of the
vertical swelling in the shallow depth, where the stress level is
less than the critical stress level, the critical stress zone in the
vertical direction was set equal to the in-situ stress—a virtual
critical stress—which is reduced from the original critical stress.
Considering that the swelling depends not only on the stress level
in the direction of swelling but also depends on the stress levels
in the other two directions, the virtual critical stress should take
into account the stress levels in all three directions. The critical
stress below this zone was maintained at the actual level in the
numerical analysis for the long-term swelling condition.
The assessment of the Time Dependent Deformation (TDD)
was primarily performed at the crown, invert, and springline of
the tunnel, where the assessment of the calculated deformation
by the swelling model showed good correlation with the actual
field measurements by the monitoring program. The calculated
TDD movement at other locations around the main tunnel was
significantly smaller than the actual field measurements. The
explanation for the smaller TDD movement at the arch areas has
been pursued by the Author.
The shallow Billy Bishop tunnel has a low rock cover, less
than that of a diameter of the tunnel. In addition, the tunnel also
is located within a region with very high in-situ horizontal
stresses, creates an exceptionally high coefficient of earth pressure,
ranging from 8 to 12. These two unfavorable conditions
combined result in the formation of shear failure along the
shearing zones which are inclined (45o+Ø/2) around the semi-
circular tunnel. Although the swelling in the crown, invert and
springline were realistic, the swelling at the arch region was
suppressed and much less than the time dependent deformation
calculated at the crown, invert and springline of the tunnel by the
numerical analysis using the swelling rock constitutive model in
Hawlader et al. (2003; 2005).
However, due to the limitation in the budget and because the
excavation of the tunnel had already been started prior to the
numerical analysis was carried out, the TDD movement had
already started to be recorded in the monitoring program. The
deformation at the crown, invert, and springline calculated from
the analysis with the TDD model based on the vertical and
horizontal stresses has been compared with the measured
deformations during the construction of the main tunnel. The
calculated time-dependent deformations at the crown, invert and
springline have been in good correlation with the interpolated
deformation predicted from the values measured at the crown,
invert, and springline of the tunnel. Further refinement on the
initially estimated ground and in-situ stresses distribution have
KSCE Journal of Civil Engineering
 Numerical Model for Shaley Rock Masses Displaying Long-term Time Dependent Deformation (TDD) Behavior and its Application
been performed alongside the main tunnel construction through
the comparison of the calculated vs. measured values through
extensive parametric study.
7. Construction Monitoring and Validation of the
Design Approach
To verify the design assumptions for the long-term swelling
behavior of the shale rock during construction of the BBTCA
Pedestrian Tunnel, a number of instrumentation and monitoring
programs were implemented.
7.1 Mainland Shaft
The mainland shaft provided valuable information since it was
the first excavation of the project in the Georgian Bay Shale and
remained open the longest. The initial support requirements
consisted of bolts and meshes on the north and south walls to
protect against loose blocks which formed due to clusters of
vertical joints. Three inclinometers were installed – two on the
north side (0.5 m and 3 m from the excavation face) and one on
the west side (0.5 m from the face). The results showed elastic
movements during each successive shaft excavation, followed
by negligible TDD movements. It should be noted that the shaft
walls were very wet, providing the ideal conditions for TDD to
occur.
Back-analysis was complicated by the degree of restraint
provided by the shaft invert. To model this, the elastic response
to the shaft excavation was first modeled in 3D using Midas
GTS. This allowed the appropriate movement at each inclinometer
location to be obtained for each stage of the shaft excavation, as
the shaft invert was gradually lowered as construction progressed
and the restraining effect on the shaft movement was reduced.
Fig. 17. Shaft Back-analysis (Elev. +57.4 m)
Vol. 00, No. 0 / 000 0000
This data was then implemented in a 2D FLAC model of a
horizontal slice of the shaft, which used a support pressure on the
inside of the excavation boundary to model the staged excavation of
the shaft. The TDD routine was used to assess the TDD that
occurred at each stage of the excavation.
The back-analysis provided results that gave relatively good
agreement with the recorded movements in the inclinometers, as
shown in Fig. 17. The movement of the shaft walls during
excavation was used to investigate in-situ stress and elastic
modulus. The ongoing measured TDD was used to investigate
parameters for critical stress and the swell potentials. While there
are a number of inter-related parameters for the swelling,
meaning it was not possible with the data currently available to
isolate each individual effect, the data indicated that the critical
swell potential was higher than predicted by laboratory testing.
Within the limits of the accuracy of the recorded data and the
analysis, the back-analysis provided justification for the following
key parameters:
• Horizontal Stress: ~4.7 MPa (N-S), ~5.1 MPa (E-W)
• Horizontal Swell potential: In the range between 0.03 to
0.04%
• Critical Stress: ~3 MPa
7.2 TBM Driven Secant Bore
The radial deformation of the first 1.8m diameter TBM-driven
secant drift bore was measured against time using tape
extensometers at two separate locations. The installed support
was light steel ribs, which were not considered under load at the
monitoring locations. Within the limits of accuracy of the tape
extensometer (+/− 0.5 mm), a general convergence trend was
detected ten weeks after the excavation. The monitoring showed
convergence on both horizontal and vertical chords, with the
horizontal convergence of around 1mm, approximately double
the vertical. Compared to the prediction, TDD movement
showed a similar horizontal convergence, but slight divergence
on the vertical chord.
7.3 Main Tunnel Monitoring
The construction monitoring consisted of tunnel movement
measurements obtained from optical surveys of prism points,
multi-point borehole extensometers (MPBXs) installed horizontally
in the tunnel sidewalls, and measurements of horizontal convergence
using a mechanical tape extensometer.
The MPBXs were installed horizontally within the final tunnel
sidewalls to measure the tunnel wall movements during and after
the tunnel excavation. They were installed 20 m from the
mainland shaft to allow installation as early as possible without
the presence of the shaft excavation impacting the results. On the
East wall, the base point of the MPBX was 10m into the rock and
8m on the west side. The MPBXs were installed during the Cut 1
excavation, with localized niches cut in the tunnel sidewalls. This
allowed the MPBXs to be in place when the Cut 2 excavation took
place, recording both the elastic ground movement and the TDD
that occurred. Fig. 18 shows a typical plot of the MPBX data.
− 11 −
 Sean Seungwon Lee
Fig. 18. Measured East Wall (MPBX) Movements from August 14,
2013, to January 21, 2014
Fig. 19. Measured Versus Predicted TDD in the Tunnel
The tape extensometer readings for the tunnel were recorded
on a regular basis at twenty-meter intervals along the tunnel, and
displayed a similar pattern of movement, although with a slightly
higher magnitude than the MPBX data. The range of movements
recorded with the tape extensometer is shown in Fig. 19, along
with the MPBX data, and the predicted movements from the
FLAC models used in the design. The survey targets were
primarily intended to monitor the overall stability of the tunnel,
and the accuracy range was not high enough to track sidewall
TDD movement in detail, but overall the survey measurements
showed general agreement with the tape extensometer readings.
Figure 19 demonstrates that the measured TDD was less that
the predicted deformation. It is believed that this may have been
due to a lack of water to support the swelling since the tunnel
was relatively dry. As a result, the design was reviewed to ensure
that the design could accommodate a greater proportion of the
TDD movements after the lining was installed.
8. Conclusions
1. A series of numerical analysis has been carried out to predict
time dependent deformation during and after completion of
the Billy Bishop tunnel, so that the final lining of the tunnel
and its installation can be modified in order to ensure it has
sufficient capacity to accommodate the remaining time
dependent movement occurring in the surrounding shaley
− 12 −
rock mass.
2. The closed-form solutions by Lo et al. (1978) for the final
unlined rock swelling displacement and lining moments and
forces are conservatively over-estimated. To obtain a more
realistic estimate of the lining loads, a numerical model to
account for swelling was developed by Arup design team
and implemented in the FLAC 2D finite difference program
by Itasca on behalf of Arup.
3. A “virtual critical stress” concept was introduced for vertical
swelling in the zone between the rock surface and the depth
where each in-situ stress is equal to the Critical Stress (σc).
During the initial analysis, vertical swelling was observed in
the zone where the overburden stress is less than the critical
stress in the swelling model. This zone would have already
experienced swelling prior to any construction activity, and
therefore, is currently in a stable condition with the in-situ
stress level in the swelling model. In order to resolve the
issue of vertical swelling and remove the impact of vertical
swelling on the analysis, the critical stress zone in the verti-
cal direction was set to equal to the in-situ stress, a virtual
critical stress, which is reduced from the original critical
stress. The critical stress below this zone was maintained at
the actual level.
4. The swelling rock constitutive model in Hawlader et al.
(2003; 2005) is based on the Cartesian coordinate system.
The shallow tunnel in this project, which has a low rock
cover, less than a tunnel diameter, in addition to very high
in-situ horizontal stresses. These two unfavorable conditions
combined result in the formation of shear failure along the
shearing zones, which are inclined (45o+Ø/2) around the
semi-circular tunnel. Although swelling in the spring lines
and crown and invert were realistic, but the swelling at the
arch region was suppressed and much less than the time
dependent swelling at the crown, invert and springline of the
tunnel by the numerical analysis using the swelling rock
constitutive model in Hawlader et al. (2003; 2005).
The Author conclusions suggested that the critical stress in
the minor principal stresses direction should be formulated
in the swelling model rather than individually in the critical
stresses in the horizontal and vertical directions.
5. The assessment of the time-dependent deformation (TDD)
was primarily performed at the crown, invert, and springline
of the tunnel, where the assessment of the calculated defor-
mation by the swelling model showed good correlation with
the actual field measurements. An interpolation was carried
out for the TDD movement at other locations of the tunnel
perimeter between the values at the three locations. Further
refinement on the initially estimated ground and in-situ
stress distribution has been performed alongside the main
tunnel construction through the comparison of the calculated
versus measured values by way of extensive parametric
study.
6. The project has utilized a customized routine within a FLAC2D
model to design the tunnel lining to accommodate the load-
KSCE Journal of Civil Engineering
 Numerical Model for Shaley Rock Masses Displaying Long-term Time Dependent Deformation (TDD) Behavior and its Application
ing from Time Dependent Deformation in the Georgian Bay
Shale. Monitoring during construction has been performed
to validate the parameters used and to justify the design
approach.
Acknowledgements
Special thanks to my Supervisor, Jon Hurt, who guided the
entire project, and colleagues Andrew Cushing, Seth Pollak, and
Ammireza Ghasemi, who have provided help in collecting
historical geological data, preparing laboratory tests, and
derivating the analysis properties (parameters) for my numerical
analysis.
References
Hawlader, B. C, Lee, Y. N., and Lo, K. Y. (2003). “Three-dimensional
stress effects on time-dependent swelling behavior of shaly rock.”
Canadian Geotechnical Journal, Vol. 40, pp. 501-511, DOI:
Vol. 00, No. 0 / 000 0000 − 13 −
10.1139/t03-006.
Hawlader, B. C., Lo, K. Y., and Moore, I. D. (2005). “Analysis of
tunnels in shaly rock considering three-dimensional stress effects on
swelling.” Canadian Geotechnical Journal, Vol. 42, pp. 1-12, DOI:
10.1139/t04-083.
Lo, K. Y. and Micic, S. (2010). Evaluation of swelling properties of
shales for the design of underground structures, ITA-AITES 2010
World Tunnel Congress, Vancouver, B.C. Canada.
Lo, K. Y. and Yuen, C. M. K. (1981). “Design of tunnel lining in rock
for long term time effects.” Canadian Geotechnical Journal, Vol.
18, pp. 24-39, DOI: 10.1139/t81-004.
Lo, K. Y., Wai, R. S. C., Palmer, J. H. L., and Quigley, R. M. (1978).
“Time-dependent deformation of shaley rocks in Southern Ontario.”
Canadian Geotechnical Journal, Vol. 15, pp. 537-547, DOI:
10.1139/t78-057.
Exp Services Inc. (2012). Billy Bishop Toronto City Airport Pedestrian
Tunnel, Toronto Supplementary Geotechnical Investigation Report,
Interim Report Prepared for Arup, Project Number: ADM
00010154-A0, PART 1 Field and Laboratory Works – Factual
Results and Discussion.