Stress paths around a circular tunnel

Percorsi di sollecitazione attorno ad una galleria circolare

Marco Barla
Summary
The history of stress around a circular tunnel during excavation in a homogeneous, isotropic, linear elastic
or plastic medium with a strain softening behaviour, subjected to either isotropic (Ko = 1) or anisotropic
(Ko = 2) state of stress, in 3D conditions are considered by using a 3D finite difference model. The results
are presented by means of the stress path method with attention paid to the zones located in the
crown/invert and in the springlines. It is shown that the stress path in these zones exhibits a more complex
trend of behavior with respect to those typical of 2D simplified analyses. The study is to be used in connection with triaxial testing of marly-clay and clay-shales, with the purpose to investigate the behavior of these
rocks in short term and long term conditions.
Sommario
Nella presente nota si affronta lo studio della storia tensionale a cui sono soggetti gli elementi di terreno sul
contorno di una galleria circolare durante lo scavo. Tali percorsi tensionali sono definiti utilizzando un modello alle differenze finite tridimensionale, per un mezzo omogeneo lineare elastico o elasto-plastico con
condizioni tensionali isotrope (Ko = 1) e anisotrope (Ko = 2). I risultati sono presentati in termini di stress
path ponendo lattenzione sulle zone in prossimit dellarco rovescio o dei piedritti. Si mostra come i percorsi di sollecitazione in queste regioni mostrino un comportamento pi complesso rispetto a quelli di corrispondenti analisi bidimensionali. Lo studio finalizzato alla simulazione in cella triassiale di tali percorsi con
lintento di studiare il comportamento nel tempo di argille consistenti e argille scagliose.

Department of Structural and Geotechnical Engineering.

1. Introduction
Swelling of soils and rocks is a complex phenomenon with a number of important factors influencing it. One of such factors is the stress history
at points in the tunnel surround as face advancement takes place. This can be well described by
the use of the stress path representation, as proposed by LAMBE [1967] for a number of applications to Geotechnical Engineering.
Therefore, it is of interest to develop in the present paper typical stress paths as created during
tunnel excavation, which can be adopted as appropriate input to laboratory testing in three dimensional (3D) conditions. This line of thoughts,
which agrees with work previously performed by
NG & LO [1985], STEINER [1992], BELLWALD
[1990] and ARISTORENAS [1992], is appealing
with reference to engineering applications in tunnels, when consideration is to be given to 3D
conditions and to the influence of the advancing
face.
2. Problem under study
The numerical study has simulated the intrinsic
behaviour of a deep circular tunnel in homogeneous ground during excavation. The modelled phenomenon is illustrated in Figure 1, where shown is
a 10 m diameter circular tunnel, with the surrounding elements where the stress path is computed. Attention has been posed on the behaviour
of the elements at the sidewall (S = sidewall) and
crown (C = crown), that due to the symmetry
conditions is behaving as the invert arch.

2. 2D and 3D numerical analyses

A number of numerical analyses have been
performed using the finite difference element
codes Flac and Flac3D [ITASCA , 1996] and
the boundary element code Examine3D
[ROCSCIENCE, 1998]. Due to the symmetry conditions it has been possible to create a mesh of a
of the real problem in order to optimise computation time. In 2D analysis excavation has been
simulated by gradually reducing to zero the forces
due to excavation on the tunnel contour. For 3D
analysis tunnel excavation has been simulated by
removing elements in sequence, for steps of 0.5 m
length in the longitudinal direction.
The mesh adopted for the analyses is plotted in
Figure 2. For the 3D analyses, it is assumed that
the excavation has reached the A-A section
(where stress paths are computed), which is located at half distance from the vertical limit faces
of the model along the longitudinal axis.

C
1m

EXCAVATION
DIRECTION

S
5m

1m

Fig. 1 - Longitudinal and cross section A-A of the circular tunnel.

Fig. 1 Sezione longitudinale e trasversale della galleria
circolare.

The simulation of tunnel excavation proceeds

from left to right (Figure 1). Before excavation,
the stress state at points C and S depends on the
depth of cover and the stress ratio (minimum to

maximum principal stress, Ko) considered. During

excavation, the tunnel face advances, passes
trough the A-A section and continues in the opposite direction. Finally, a new equilibrium condition
is reached corresponding to the excavation completed with no support installed.

Fig. 2 - Mesh in two and in three dimensions.

Fig. 2 Modello in due e tre dimensioni.

Two different stress conditions, depending on

the Ko ratio, have been simulated in the models.
For each case a two dimensional and a three dimensional analysis have been performed and the
results compared with the closed form solutions
available.
The ground around the tunnel is assumed to behave according to a linearly elastic isotropic model
(e, ILE), with E (elastic modulus) = 400 MPa and
(Poissons ratio) = 0.3, or an elasto-plastic
model with strain-softening (p, ELPLA). In the

latter case a limit value ( 1) for the axial strain ()

is defined below which the peak strength parameters (cp = cohesion, p = friction angle) apply. Then, for values of greater than 1, the
strength parameters are taken to change linearly
down to the residual strength parameters (cr, r),
which hold true for greater than the limit value
2.
A summary of the analyses performed is shown
in Table 1.

3D analyses are compared in the same picture.

For purpose of comparison of the stress path
computed by numerical methods, the closed form
solution for a circular hole in a linearly elastic isotropic plate, subjected to an isotropic or anisotropic state of stress is considered. Also plotted
are the vertical (v) and horizontal (h) stresses as
excavation takes place, versus the face position
along the longitudinal axis of the tunnel.

Analysis
Ko
Initial v
2D-1e
1
1 MPa
3D-1e
1
1 MPa
2D-1p
1
1 MPa
3D-1p
1
1 MPa
2D-2e
2
1 MPa
3D-2e
2
1 MPa
2D-2p
2
1,5 MPa
3D-2p
2
1,5 MPa
Tab. 1 - Numerical analysis performed. Ko
ratio and v is the vertical stress.
Tab. 1 - Analisi numeriche eseguite. Ko il
spinta a riposo e v la tensione verticale.

3.1 Elastic analyses

Model
ILE
ILE
ELPLA
ELPLA
ILE
ILE
ELPLA
ELPLA
is the stress

As shown in Figure 3, the results obtained for

the 2D elastic Ko = 1 analyses exhibit a stress
path which leads to the same state of stress as
given by the closed form solution: as the mean
normal stress remains constant, the maximum
shear stress at the tunnel crown/invert and sidewall is shown to change accordingly.
0.8

coefficiente di

Analytical

0.6

Flac 2D

0.4

ARRIVAL OF THE
FACE

It is noted that the deformability properties assumed in the calculations are those of BELLWALD
[1990] and ARISTORENAS [1992]. For the elastoplastic analyses (for Ko = 2), reference is made
instead to the parameters given by G.3S Ecole
Polytechnique [BERNAUD et al., 1993] for the
highly fracturated and tectonised clay-shale of the
Chaotic Complex, as met during the excavation of
the Raticosa tunnel in the Appennines.
3. Results
The numerical results obtained in all the analyses performed are described below by depicting
the stress path during excavation, which is drawn
on the t-s plane, where:
v h
2
+ h
s= v
2

t=

v and h are the vertical stress and the horizontal stress respectively. In case the horizontal
stress becomes larger than the vertical one this
results in a negative t.
The different stress paths obtained from 2D and

t [MPa]

Flac 3D

0.2
Examine3D

0
0

0.2

0.4

0.6

0.8

1.2

1.4

-0.2
-0.4
-0.6

E = 400 MPa
= 0,3

HUDER-AMBERG
OEDOMETER TEST

ARRIVAL OF
THE FACE

-0.8

s [MPa]

Fig. 3 - Stress paths for points S (sidewall) and C

(crown/invert) for the elastic Ko = 1 analyses.
Fig. 3 - Percorsi di sollecitazione per i punti S (piedritto) e C
(calotta/arco rovescio) per lanalisi elastica Ko = 1.

The results of the 3D computations, which appear to be in good agreement when comparing the
Flac3D and Examine3D stress values, exhibit a
different trend of behaviour. As the tunnel face
approaches the monitored section A-A the mean
normal stress increases. An arrow along the 3D
stress path shows the state of stress obtained
when the face of the excavation crosses the A-A
section. As soon as the face of the excavation
overpasses the A-A section, the mean normal
stress suddenly decreases and then goes back to
the initial value. As shown in Figure 4, this takes
place because of an abrupt decrease in the horizontal stress (h). It is of interest to note that between the highest and the lowest value of s, the
excavation proceeds for 2-3 meters only. The

s [MPa]

behaviour is similar, however with an opposite

sign for the stresses at the crown.
1.6

Flac3D

1.4

Examine3D

1.2
1
0.8
0.6

AA section

Stresses [MPa]

1.8

0.4
0.2

0
0

20

40

60

80

100

Fig. 6 - Stresses at point S (sidewall) for the 3D elastic Ko

= 2 analyses.
Fig. 6 Tensioni nel punto S (piedritto) per lanalisi 3D elastica Ko = 2.

Distance from the beginning of the model [m]

Stresses [MPa]

The results of the elastic Ko = 2 analyses show

instead a different trend of behaviour between the
sidewall and the crown (Figure 5). In the first case
the mean normal stress decreases, in the second it
increases. The 3D behaviour is non linear also in
this case.
As shown in Figure 6 the horizontal stress at the
sidewall experiences a sudden decrease when the
face of the tunnel reaches the monitored section
while the vertical stress slightly increases during all
the excavation process. In Figure 7 the corresponding stresses at the crown are reported. It is
possible to notice that the changes are less abrupt
than for the sidewalls and that the change of s is
limited to a few meters of excavation (when the
face is near to the A-A section) and probably due
to mesh discretization.

3.5

Flac3D
Examine3D

3.0

AA Section

4.0

Fig. 4 - Stresses at point S (sidewall) for the 3D elastic Ko

= 1 analyses.
Fig. 4 Tensioni nel punto S (piedritto) per lanalisi 3D elastica Ko = 1.

2.5
2.0
1.5

1.0
0.5
0.0
0

20
40
60
80
Distance from the beginning of the model [m]

100

Fig. 7 - Stresses at point C (crown/invert) for the 3D

elastic Ko = 2 analyses.
Fig. 7 Tensioni nel punto C (calotta/arco rovescio) per
lanalisi 3D elastica Ko = 2.

The numerical results obtained allow one to notice a significant difference between the stresses
computed in three dimensional and two dimensional conditions, with a clear influence on the
stress path experienced around the tunnel. In order to emphasise this, Figures 3 and 5 also show
the typical stress path as obtained in the modified
HUDER & AMBERG [1970] oedometer test which
is generally used to characterise the swelling
ground behaviour.
3.2 Elasto-plastic analyses

Fig. 5 - Stress paths for points S (sidewall) and C

(crown/invert) for the elastic Ko = 2 analyses.
Fig. 5 Percorsi di sollecitazione per i punti S (piedritto) e C
(calotta/arco rovescio) per lanalisi elastica Ko = 2.

For the failure envelopes used in the computations, strength is exceeded and plastic deformation
around the tunnel takes place.
In the plastic Ko = 1 analyses the s value decreases strongly with an initial increase for both
points S and C (Figure 8).
0,5

2.5

0,4
Flac3D
Examine3D

1.5

1.0
0.5

0,3
0,2

t [MPa]

1= 0,01%

0,1

cr = 20 kPa

r = 23

0
-0,1 0

0,5

-0,2

Section

Stresses [MPa]

2.0

E = 400 Mpa
= 0,3
cp = 30 kPa
p = 25

-0,3

1,5
Analytical

Flac 2D

2= 1%

1,0
E = 500 Mpa
= 0,45
c p = 1 MPa

t [MPa]

0,5

p = 7
1= 3,5%

0,0
0,0
-0,5

0,5

1,0

1,5

2,0

2,5

3,0

c r = 0,4 MPa
3,5
4,0
r = 7

2= 6%

Ko line
Flac 2D

-1,0

Fig. 8 Stress paths at points S (sidewall) and C

(crown/invert) for the plastic Ko = 1 analyses.
Fig. 8 Percorsi di sollecitazione per i punti S (piedritto) e C
(calotta/arco rovescio) per lanalisi plastica Ko = 1.

The decrease of s starts when the face of the

excavation is still 5-6 m behind. The matter of fact
is that a plastic zone is created around the tunnel
during excavation (Figure 9). When the elements
where stresses are computed change from elastic
to plastic behaviour, as soon as the plastic zone
(black zone in Figure 10) gets through the A-A
section, both the vertical and the horizontal stresses decrease to small values and determine the
decrease of s (Figure 11). The change in the state
of stress after the tunnel face crossing is small and
when the face is just 2-3 m ahead the stresses
have reached a new final equilibrium.

Flac 3D

C
-1,5

s [MPa]

Fig. 11 Stress paths at points S (sidewall) and C

(crown/invert) for the plastic Ko = 2 analyses.
Fig. 11 Percorsi di sollecitazione per i punti S (piedritto) e C
(calotta/arco rovescio) per lanalisi plastica Ko = 2.

In the plastic Ko = 2 analyses performed yielding takes place only at the crown/invert, while the
walls are experiencing mainly an elastic behaviour,
as well shown by the stress path which is nearly
the same as for the elastic analysis (Figure 11).

Fig.

12

Plastic zones around the tunnel.

Fig. 12 Zone di plasticizzazione attorno alla galleria.
3,5

2,5

2,0

1,5
AA Section

Stresses [MPa]

3,0

Fig. 9 - Stresses at point S (sidewall) for the 3D plastic Ko

= 1 analyses.
Fig. 9 Tensioni nel punto S (piedritto) per lanalisi 3D plastica Ko = 1.

1,0
0,5

0,0
0

20

40

60

80

Distance from the beginning of the model [m]

Fig. 10 - Plastic zones around the tunnel.

Fig. 10 Zone di plasticizzazione attorno alla galleria.

Fig. 13 - Stresses at point S (sidewall) for the 3D plastic

Ko = 2 analyses.
Fig. 13 Tensioni nel punto S (piedritto) per lanalisi 3D
plastica Ko = 2.
4,5
4,0

3,0
2,5
2,0

AA Section

Stresses [MPa]

3,5

100

1,5
1,0

Fig. 14 - Stresses at point C (crown/invert) for the 3D

plastic Ko = 2 analyses.
Fig. 14 Tensioni nel punto C (calotta/arco rovescio) per
lanalisi 3D plastica Ko = 2.

The plastic zone around the tunnel has the typical ear shape section as can be seen in Figure 12.
By paying attention to point C (crown/invert), it is
possible to see that the stress path has two changes in direction during excavation. The first
change, where s increases, is due to the plastic
zone that intercepts the A-A section, the second
one, where s decreases is due to the crossing of
the tunnel face (Figures 13 and 14). Also for this
case the final equilibrium stress state is reached as
soon as the face of the excavation is only a few
meters ahead.
4. Conclusions
The numerical results obtained allow one to notice a significant difference between the stresses
computed in three dimensional and two dimensional conditions, with a clear influence on the
stress path experienced around the tunnel. With
the 3D analyses a change of the mean normal
stress s is evidenced for all the cases under study.
For the results pertaining to the elastic Ko = 1
case, the 3D stress path for the sidewall and the
crown/invert evidences a variation in the mean
normal stress during excavation, which is not
shown by the corresponding theoretical solution
and 2D results. In the elastic Ko = 2 case, both
elements around the tunnel give again a change in
the s value: a decrease of s for the sidewall simulation and an increase for the crown/invert respectively.
In this case, the change is shown both by the
two dimensional and the three dimensional analyses, even though the two dimensional stress path
is linear. On the basis of these results, if the swelling behaviour of the tunnel is correlated to a decrease of the mean normal stress [WITTKE,

1976], this is much more likely for Ko = 2 analyses (at the sidewalls) but it can still occur for the
Ko = 1 condition.
As the simulation comes near to the most likely
ground behaviour, as represented by an elastoplastic constitutive law, the stress paths increase in
complexity. For all the cases considered, a decrease of the first stress invariant is evidenced.
As shown in Figures 3 and 5 the modified
HUDER & AMBERG [1970] oedometer test, which
is generally used to characterise the swelling
ground behaviour, is not able to reproduce the
correct stress history experienced in the near vicinity of the tunnel. It becomes evident that this
stress history, in particular near the face of the
excavation, can be properly described only by
simulating three dimensional conditions, which is
possible in a triaxial apparatus.
4. References
ARISTORENAS, G. V. 1992. Time-dependent
behaviour of tunnels excavated in shale.
PhD Thesis. Massachusetts Institute of
Technology. Boston, USA.
BELLWALD, P. 1990. A contribution to the design of tunnels in argillaceous rock. PhD
Thesis. Massachusetts Institute of technology.
Boston, USA.
BERNAUD, D., H. COLINA , G. ROUSSET 1993.
Calculs de dimensionnement du soutenement du tunnel Linea Alta Velocit dans
les argiles chaotiques. Techincal report,
Groupement pour lEtude des Structures
Souterraines de Stockage. Palaiseau Cedex:
Ecole Polytechnique.
HUDER, J., G. AMBERG 1970. Quellung in Mergel, Opalinuston und anydrit. Schweizerische Bauzeitung. Vol. 88, No. 43, pp. 975980.
ITASCA Inc., 1996. Flac2D Ver. 3.3. Users
Manual. Minneapolis, USA.
ITASCA Inc., 1996. Flac3D Ver. 1.1. Users
Manual. Minneapolis, USA.
LAMBE, T.W. 1967. The stress path method.
JSMFD, ASCE, Nov., pp. 309-331.
NG, R.M.C., K.Y. LO 1985. The measurements
of soil parameters relevant to tunnelling in
clays. Can. Geotech, J. Vol. 22, pp. 375-391.
ROCSCIENCE Inc., Univesity of Toronto 1998.
Examine3D, Users Manual.

STEINER, W. 1992. Swelling rocks in tunnels:

characterisation and effect of horizontal
stresses. Eurock 92. pp. 163-168. Thomas
Telford. London, U.K.
WITTKE, W., P. RISSLER 1976. Dimensioning of
the lining of underground openings in swelling
rock applying the finite element method. Pubblications of the Institute for Foundation
Engineering, Soil Mechanics, Rock mechanics and Water Ways Construction. RWTH
(University) Aachen. Vol. 2, pp. 7-48.