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 connec-
tion 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 mo-
dello 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 l’attenzione sulle zone in prossimità dell’arco rovescio o dei piedritti. Si mostra come i per-
corsi di sollecitazione in queste regioni mostrino un comportamento più complesso rispetto a quelli di corri-
spondenti analisi bidimensionali. Lo studio è finalizzato alla simulazione in cella triassiale di tali percorsi con
l’intento di studiare il comportamento nel tempo di argille consistenti e argille scagliose.

∗
Department of Structural and Geotechnical Engineering.

1
1. Introduction
Swelling of soils and rocks is a complex phe-
nomenon with a number of important factors influ-
encing it. One of such factors is the stress history
at points in the tunnel surround as face advance-
ment takes place. This can be well described by
the use of the stress path representation, as pro-
posed by LAMBE [1967] for a number of appli-
cations to Geotechnical Engineering.
Therefore, it is of interest to develop in the pre-
sent paper typical stress paths as created during
tunnel excavation, which can be adopted as ap-
propriate input to laboratory testing in three di-
mensional (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 tun-
nels, 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 homogene-
ous ground during excavation. The modelled phe-
nomenon is illustrated in Figure 1, where shown is
a 10 m diameter circular tunnel, with the sur-
rounding elements where the stress path is com-
puted. 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.
A C
1m
EXCAVATION
DIRECTION
5m 1m
A
Fig. 1 - Longitudinal and cross section A-A of the cir-
cular 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
2
maximum principal stress, Ko) considered. During
excavation, the tunnel face advances, passes
trough the A-A section and continues in the oppo-
site direction. Finally, a new equilibrium condition
is reached corresponding to the excavation com-
pleted with no support installed.
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 con-
ditions it has been possible to create a mesh of a
¼ of the real problem in order to optimise com-
putation 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 lo-
cated at half distance from the vertical limit faces
of the model along the longitudinal axis.
Fig. 2 - Mesh in two and in three dimensions.
Fig. 2 – Modello in due e tre dimensioni.
S
Two different stress conditions, depending on
the Ko ratio, have been simulated in the models.
For each case a two dimensional and a three di-
mensional analysis have been performed and the
results compared with the closed form solutions
available.
The ground around the tunnel is assumed to be-
have according to a linearly elastic isotropic model
(e, ILE), with E (elastic modulus) = 400 MPa and
ν (Poisson’s ratio) = 0.3, or an elasto-plastic
model with strain-softening (p, ELPLA). In the
latter case a limit value (ε 1) for the axial strain (ε)
is defined below which the peak strength pa-
rameters (cp = cohesion, φ p = friction angle) ap-
ply. Then, for values of ε greater than ε 1, the
strength parameters are taken to change linearly
down to the residual strength parameters (cr, φ r),
which hold true for ε greater than the limit value
ε 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 iso-
tropic plate, subjected to an isotropic or aniso-
tropic state of stress is considered. Also plotted
are the vertical (σv) and horizontal (σh) stresses as
excavation takes place, versus the face position
along the longitudinal axis of the tunnel.

Analysis Ko Initial σv Model 3.1 Elastic analyses

2D-1e 1 1 MPa ILE
3D-1e 1 1 MPa ILE As shown in Figure 3, the results obtained for
2D-1p 1 1 MPa ELPLA the 2D elastic Ko = 1 analyses exhibit a stress
3D-1p 1 1 MPa ELPLA path which leads to the same state of stress as
2D-2e 2 1 MPa ILE given by the closed form solution: as the mean
3D-2e 2 1 MPa ILE normal stress remains constant, the maximum
2D-2p 2 1,5 MPa ELPLA shear stress at the tunnel crown/invert and side-
3D-2p 2 1,5 MPa ELPLA wall is shown to change accordingly.
Tab. 1 - Numerical analysis performed. Ko is the stress
ratio and σv is the vertical stress. 0.8

Tab. 1 - Analisi numeriche eseguite. Ko è il coefficiente di 0.6 Analytical S

spinta a riposo e σv la tensione verticale. 0.4
Flac 2D
ARRIVAL OF THE
Flac 3D FACE
It is noted that the deformability properties as- 0.2
t [MPa]

Examine3D
sumed in the calculations are those of BELLWALD 0
0 0.2 0.4 0.6 0.8 1 1.2 1.4
[1990] and ARISTORENAS [1992]. For the elasto- -0.2
plastic analyses (for Ko = 2), reference is made HUDER-AMBERG ARRIVAL OF
-0.4 OEDOMETER TEST THE FACE
instead to the parameters given by G.3S – Ecole E = 400 MPa
ν = 0,3
-0.6
Polytechnique [BERNAUD et al., 1993] for the C
highly fracturated and tectonised clay-shale of the -0.8

Chaotic Complex, as met during the excavation of s [MPa]

the Raticosa tunnel in the Appennines. 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
3. Results (calotta/arco rovescio) per l’analisi elastica Ko = 1.

The numerical results obtained in all the analy- The results of the 3D computations, which ap-
ses performed are described below by depicting pear to be in good agreement when comparing the
the stress path during excavation, which is drawn Flac3D and Examine3D stress values, exhibit a
on the t-s plane, where: different trend of behaviour. As the tunnel face
approaches the monitored section A-A the mean
σv − σh
t= normal stress increases. An arrow along the 3D
2 stress path shows the state of stress obtained
σ + σh when the face of the excavation crosses the A-A
s= v section. As soon as the face of the excavation
2 overpasses the A-A section, the mean normal
stress suddenly decreases and then goes back to
σv and σh are the vertical stress and the hori- the initial value. As shown in Figure 4, this takes
zontal stress respectively. In case the horizontal place because of an abrupt decrease in the hori-
stress becomes larger than the vertical one this zontal stress (σh). It is of interest to note that be-
results in a negative t. tween the highest and the lowest value of s, the
The different stress paths obtained from 2D and excavation proceeds for 2-3 meters only. The

3
 s [MPa]

behaviour is similar, however with an opposite

sign for the stresses at the crown.
1.8
1.6 Flac3D σv
1.4 Examine3D
Stresses [MPa]

1.2
1
0.8
0.6
AA section

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

0.4
= 2 analyses.
0.2
Fig. 6 – Tensioni nel punto S (piedritto) per l’analisi 3D elas-
0
tica Ko = 2.
0 20 40 60 80 100
Distance from the beginning of the model [m]
4.0
Fig. 4 - Stresses at point S (sidewall) for the 3D elastic Ko

AA Section
3.5 Flac3D
= 1 analyses. Examine3D σh
3.0
Fig. 4 – Tensioni nel punto S (piedritto) per l’analisi 3D elas-

Stresses [MPa]
2.5
tica Ko = 1.
2.0

1.5
The results of the elastic Ko = 2 analyses show
instead a different trend of behaviour between the 1.0 σv
sidewall and the crown (Figure 5). In the first case 0.5

the mean normal stress decreases, in the second it 0.0

0 20 40 60 80 100
increases. The 3D behaviour is non linear also in Distance from the beginning of the model [m]
this case.
Fig. 7 - Stresses at point C (crown/invert) for the 3D
As shown in Figure 6 the horizontal stress at the elastic Ko = 2 analyses.
sidewall experiences a sudden decrease when the Fig. 7 – Tensioni nel punto C (calotta/arco rovescio) per
face of the tunnel reaches the monitored section l’analisi 3D elastica Ko = 2.
while the vertical stress slightly increases during all
the excavation process. In Figure 7 the corre- The numerical results obtained allow one to no-
sponding stresses at the crown are reported. It is tice a significant difference between the stresses
possible to notice that the changes are less abrupt computed in three dimensional and two dimen-
than for the sidewalls and that the change of s is sional conditions, with a clear influence on the
limited to a few meters of excavation (when the stress path experienced around the tunnel. In or-
face is near to the A-A section) and probably due der to emphasise this, Figures 3 and 5 also show
to mesh discretization. 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

For the failure envelopes used in the computa-

tions, strength is exceeded and plastic deformation
around the tunnel takes place.
Fig. 5 - Stress paths for points S (sidewall) and C In the plastic Ko = 1 analyses the s value de-
(crown/invert) for the elastic Ko = 2 analyses. creases strongly with an initial increase for both
Fig. 5 – Percorsi di sollecitazione per i punti S (piedritto) e C points S and C (Figure 8).
(calotta/arco rovescio) per l’analisi elastica Ko = 2.
0,5
E = 400 Mpa
2.5 0,4 ν = 0,3
Flac3D
S cp = 30 kPa
0,3
2.0 Examine3D φp = 25°
0,2
ε1= 0,01%
Stresses [MPa]

σv
0,1 cr = 20 kPa
t [MPa]

1.5
0 φr = 23°
-0,1 0 0,5 1 1,5 ε2= 1% 2
4
1.0
-0,2
Analytical
Section

σ -0,3 C Flac 2D
0.5
 1,0
E = 500 Mpa
S ν = 0,45
0,5 c p = 1 MPa
φ p = 7°
ε 1= 3,5%
0,0

t [MPa]
c r = 0,4 MPa
0,0 0,5 1,0 1,5 2,0 2,5 3,0 3,5 4,0
φ r = 7°
-0,5 ε 2= 6%
Ko line
Flac 2D
-1,0 Flac 3D

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 l’analisi 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 stres-
ses 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.
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 l’analisi plastica Ko = 2.
In the plastic Ko = 2 analyses performed yield-
ing 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

3,0
Fig. 9 - Stresses at point S (sidewall) for the 3D plastic Ko
2,5
Stresses [MPa]

= 1 analyses.
Fig. 9 – Tensioni nel punto S (piedritto) per l’analisi 3D plas- 2,0 σ v

tica Ko = 1. 1,5
AA Section

1,0
σ h

0,5

0,0
0 20 40 60 80 100
Distance from the beginning of the model [m]
Fig. 13 - Stresses at point S (sidewall) for the 3D plastic
Ko = 2 analyses.
Fig. 13 – Tensioni nel punto S (piedritto) per l’analisi 3D
Fig. 10 - Plastic zones around the tunnel. plastica Ko = 2.
Fig. 10 – Zone di plasticizzazione attorno alla galleria. 4,5

4,0

3,5
σh
Stresses [MPa]

AA Section

3,0

2,5

2,0
5
1,5

1,0
σ

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
l’analisi 3D plastica Ko = 2.
The plastic zone around the tunnel has the typi-
cal 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 chan-
ges 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 no-
tice a significant difference between the stresses
computed in three dimensional and two dimen-
sional 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 simu-
lation and an increase for the crown/invert respec-
tively.
In this case, the change is shown both by the
two dimensional and the three dimensional analy-
ses, even though the two dimensional stress path
is linear. On the basis of these results, if the swel-
ling behaviour of the tunnel is correlated to a de-
crease of the mean normal stress [WITTKE,
6
1976], this is much more likely for Ko = 2 analy-
ses (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 elasto-
plastic constitutive law, the stress paths increase in
complexity. For all the cases considered, a de-
crease 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 vi-
cinity 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 de-
sign of tunnels in argillaceous rock. PhD
Thesis. Massachusetts Institute of technology.
Boston, USA.
BERNAUD, D., H. COLINA , G. ROUSSET 1993.
Calculs de dimensionnement du soutene-
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les argiles chaotiques. Techincal report,
Groupement pour l’Etude des Structures
Souterraines de Stockage. Palaiseau Cedex:
Ecole Polytechnique.
HUDER, J., G. AMBERG 1970. Quellung in Mer-
gel, Opalinuston und anydrit. Schweizeri-
sche Bauzeitung. Vol. 88, No. 43, pp. 975-
980.
ITASCA Inc., 1996. Flac2D Ver. 3.3. User’s
Manual. Minneapolis, USA.
ITASCA Inc., 1996. Flac3D Ver. 1.1. User’s
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LAMBE, T.W. 1967. The stress path method.
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NG, R.M.C., K.Y. LO 1985. The measurements
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clays. Can. Geotech, J. Vol. 22, pp. 375-391.
ROCSCIENCE Inc., Univesity of Toronto 1998.
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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. Pub-
blications of the Institute for Foundation
Engineering, Soil Mechanics, Rock mecha-
nics and Water Ways Construction. RWTH
(University) Aachen. Vol. 2, pp. 7-48.