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Back analysis of tunneling in jointed rock mass

Daniel BORBLY
BME Department of Construction Materials and Engineering Geology, e-mail: daniborbely@gmail.com

Abstract
The first underground radioactive waste repository in Hungary is being built in the village of Btaapti. The tunnels were driven in
fractured granitic rocks. Based on the discontinuities the host rock of the repository can be considered as an assembly of blocks,
therefore the discontinuum modelling approach can be used to provide representative results of its behaviour. This paper focuses
on the prediction capability of the discontinuum modelling code 3DEC. Convergence monitoring was carried out in the modelled
section that offers the ability to check the validity of analysis results. Furthermore back analysis was carried out to improve the
prediction capability of the model. The findings of the back analysis are summarized in this paper A hybrid continuumdiscontinuum model is presented, where the near-field is modelled as a blocky rock mass, and the far-field is modelled as a
continuum using the built in deformable blocks in 3DEC. Hence the run time of the model was significantly reduced, to facilitate
the time consuming back analysis procedure, requires multiple runs.

Introduction
The repository facilitates the low and medium activity radioactive waste of Paks Nuclear Power plant (NPP).
The insufficient capacity of the temporary storage necessitated the establishment of a long-term repository.
Comprehensive investigations of potential location of a radioactive waste repository started in 1993. Based
on geological surveys, safety analysis and public acceptance, the Mrgy Block close to the village of
Btaapti was chosen. The underground research began in 2004 with the establishment of two research
incline shafts. Construction of the first two emplacement chambers was finished in 2012.
Geologically the Btaapti Site is part of the Mrgy Block that is composed of granitic rocks of the
Palaeozoic Mrgy Granite Formation. The rock mass is composed of porphyritic monzogranite along with
darker and more fine-grained, equigranular monzonitic and lighter aplitic rocks. Within the prevailing
monzogranitic rocks, monzonitic rocks form inclusions and bodies of size up to 1-2km and are always
enclosed [1].

Figure 1: Rock support [2]

The Radioactive Waste Repository consists of several different facilities such as tunnels, shafts, caverns,
access roads and portals. The access tunnels arrive at the reference base level of 240m below ground level.
The Transport Tunnel provides the access and ventilation of the chamber field as well as the transport of
radioactive waste during operation.
The modelled section connects the base points of the Western and Eastern Inclined Access Tunnels. Steel
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fibre reinforced sprayed concrete lining were applied as a permanent support, supplemented with
systematically rock bolting in a 1.5m*1.0m raster (Figure 1). Length of the bolt is 3m. Full-face excavation
was used. Diameter of the tunnel is app. 7m.

In-situ and laboratory tests

Regarding that the NWRP is an emphasized project, carefully conducted, comprehensive and detailed
geotechnical investigations were made. Considering the limits of a paper only a small portion of laboratory
tests are presented here.
During the excavation face mapping was performed, and the Q and RMR value were determined. The joint
pattern applied in the paper is based on the face mapping.
Systematic rock sampling and laboratory test were carried out during construction to determine the
properties of intact rock. The following parameters were measured at regular intervals (10-20m): Unconfined
compressive strength, Tensile strength, Shear strength, Specific gravity, Young's modulus, Poisson's ratio,
Longitudinal ultrasonic velocity. The systematic sampling was in accordance with the relevant ISRM
recommendations and the MSZ-EN codes [2]. Triaxial tests with various confinement stresses (0-15MPa)
were carried out to determine the Hoek-Brown parameters. The laboratory results were statistically analysed
[17].
The behaviour of jointed rock mass (or a distinct element model) highly depends on the joint characteristic
[3]. The shear strength of the joints had been measured by laboratory tests [4] [16] and had been verified by
plain strain distinct element models [5]. Doorstopper-cell measurements were carried out to determine the insitu stresses. This is a widely used overcoring technique. According to field measurements K0 varies
between 1.34 and 1.5 [2].
In the underground facilities at the NRWR convergence measurement arrays were installed in 11 sections so
far. In these sections relative displacement of the rock mass surrounding the excavation has been measured
repeatedly in six radial directions that enclose an angle of 30 with each other (Figure 2). Note that different
pins were used at the invert (marked by orange on Figure 2) to avoid the failure of pins under the
construction load such as crossing of heavy machines. The capacities of 10% of the rock bolts were tested at
NRWR Project. In case of some tests the displacements were measured, thus the grouting properties were
determined.

Figure 2: General arrangement of the convergence pins [10]

Three-dimensional distinct element model

The discontinuum approach is most suitable for moderately fractured rock masses where the number of
fractures is too large for the continuum-with-fracture-elements approach, or where large-scale displacement
of individual blocks is possible [3].
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The key concept of distinct element modelling (DEM) is that the domain of interest is treated as an
assemblage of rigid or deformable blocks/ particles/bodies and the contacts among them need to be
identified and continuously updated during the entire deformation/motion process, and represented by proper
constitutive models [3]. Three-dimensional distinct element code 3DEC 4.1 is applied in numerical
modelling that is based on explicit time marching finite difference method. Constant strain tetrahedral
elements were used to represent the deformable intact rock and the equivalent elastic continuum at the farfield (see section below). Three different kinds of boundary conditions were applied. Roller boundaries
(displacements are zero in the normal direction to the surface) were applied on the sidewalls. The bottom of
the model was fixed against displacements. Stress boundary (given applied stress) was used at the top of the
model.
In contrast to continuum modelling one of the main disadvantages of discontinuum modelling is its demand
for many additional input parameters concerning the properties of joints. There are several techniques in
rock mechanical applications, to handle the uncertainties in input parameters. One of the most effective is the
calibration of the model, i.e. best fitted result to the in-situ measurements is selected.
3D distinct element modelling is a time-consuming process. The time requirement can be significantly
reduced with hybrid continuum-discontinuum modelling. The continuum representation of rock mass used
for simulating far-field rocks as an equivalent elastic continuum, and discontinuous representation were used
for near-field where explicit representation of fractures and plasticity, is needed.
Numerical tests were carried out to determine the anisotropic equivalent continnum properties of the rock
mass. Details of this process discussed by Jing and Stephansson [3].

Representation of the rock mass and the rock support

Extended plastic failure of intact rock was not expected and was not occurred in the models; therefore MohrCoulomb constitutive model with tension cut-off is assigned to the deformable blocks (Hiba! A hivatkozsi
forrs nem tallhat.).
Mohr-Coulomb constitutive model with tension cut-off was fitted to the laboratory test results (Table 2). Plain
strain modelling confirmed the representation of the joints shear strength [5]. Modelled joint sets are
summarized in Hiba! A hivatkozsi forrs nem tallhat.. The stiffness of the joints was not measured;
therefore back analysis is required to increase the match with the convergence measurements. Stiffness can
be derived from thumb rules or analytical formulas. These suggestions are only approximations, but they
give good starting values on early stage of modelling.
Joint set ID

Dip direction,
in deg

Dip angle,
in deg

01

21

27

02

141

03

66/248

72

Equiv.
cohesion,
c' in MPa

Equiv. friction
angle,
in deg

Dilation
angle,
in deg

Tensile
strength,
t in MPa

89

4.868

30.88

5.15

-0.060

Table 1: Modelled joint sets

Table 2: Mohr-Coulomb model parameters for intact rock

In order to represent realistically the behaviour of the sprayed concrete lining it is essential to consider the
longitudinal redistribution of stresses around the advancing tunnel face. This longitudinal arching is also
often referred to as the supporting effect of the tunnel face. The proportion of stress relief that occurs in a
particular section before any support is installed is expressed by the relaxation factor (). Since a validated
relaxation factor is available, reliable results can be derived from the model without mimicking the
excavation sequence of the tunnel.
The steel fibre reinforced sprayed concrete lining is modelled with the built in shell elements of the 3DEC.
Linear elastic behaviour of the elements is a valid assumption since no sign of plastic deformation of the
lining was observed on site. In case of sprayed concrete lined tunnels the lining is subjected to loads long
before it reaches its final strength and stiffness (in fact the concrete lining is usually loaded a few hours after
the installation). The early age properties of the concrete were determined according to Chang and Stille [6].
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The support provided by rock bolt is taken into account with global reinforcement element (cable element).
The liner and rock bolt properties applied in the model are summarized in Table 3 and Hiba! A hivatkozsi
forrs nem tallhat..
The shell elements and the cable elements are connected to the neighbouring zone (i.e. the surrounding rock)
with interface element with given strength and stiffness. This approach facilitate the modelling of groundstructure interaction, such as the deformability of the grouting around the rock bolt, or the potential slips
between the tunnel lining and the surrounding rock.
Property

Value

Derived from

Youngs modulus, E in GPa

10.50

Chang and Stille, 1993 [6]

Uniaxial compressive strength, c in MPa

8.03

Chang and Stille, 1993 [6]

Poissons ration,

0.2

Thomas, 2008 [12]

Cohesion for contact, cc in MPa

0.84

Barret and McCreath, 1995 [13]

Normal stiffness for contact, CJn in MPa

126

equivalent stiffness of the stiffest

Shear stiffness for contact, CJs in MPa

126

neighbouring zone [14]

Table 3: Liner element properties

Property
Value
Uniaxial compressive
101.92
strength, ci in MPa
3
Average density, in kg/m
2710
Youngs modulus, Ei in GPa 45.87
Bulk modulus, Ki in GPa
23.17
Shear modulus, Gi in GPa
19.60
Poissons ratio,
0.17
Hoek-Brown constant, mi
15.9
Permeability, k in m/s
10-9
Table 4: Material properties of intact rock [2]

Property
Value
Diameter in mm
32
Tensile capacity, Fy in kN
246
Tensile yield strength, fy in N/mm2
500
Modulus of deformation, Es in GPa
200
Grout cohesive strength kN/m
246
Grout bonding stiffness in kN/m/m
2.5104
Table 5: Material properties of rockbolts [15]

Discussion and interpretation of results

One technique to improve the reliability of a model is back analysis. If in-situ measurement results are
available, the model can be calibrated to the actual rock mass behaviour.
The joint stiffness properties were determined in a way that close agreement with monitoring results were
achieved. The convergence of the model is monitored in five sections along tunnel axis (Figure 3).
Convergence means the observed relative displacement of two points on the boundary of an excavation (see
Figure 2). It is a reliable indicator of the deformation of tunnel profiles. It should be noted that figures only
indicate the value of convergence in each direction and not the deformed shape of the excavation. When
plotting the results convergence was assumed to be shared equally between relevant pins. The average
convergence along tunnel axis (green) shows acceptable agreement with the measured values (blue).
One of the most important observations is that the displacements vary in a wide range along tunnel axis.
Furthermore wedge shape slip surfaces develop (marked by green dots on Figure 4), the straightforward
modelling of block failure is shown. There are some localized slips indicates the possibility of forming
wedge shape falling block (in geometrical sense), however the shear strength of the joint can maintain the
stability (marked by blue dots on Figure 4).
The equivalent continuum properties of the rock mass were determined with numerical compression and
shear tests. The properties of the rock mass were based on back analysis. The equivalent continuum
properties should be determined in a realistic way, i.e. the behaviour of the equivalent continuum should be
similar to the discontinuous rock mass. The displacements represent the behaviour of the model, the
interaction of the discontinuous and continuous part of the model can be observed on Figure 5.
The width and height of the model is 160m (about 23 times the tunnel diameter). The height and width of the
discontinuous part is 35m (five times the tunnel diameter). The discontinuous part of the model represents
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the 5% of the total volume and 91% of the total number of zones.
Convergence monitoring results
1
0.02
12

2
0.015

11

0.01

0.005

10

Section 1
9

Section 2
Section 3
Section 4
Section 5

Measured
Average

Figure 3: Predicted and measured convergence in metre; Joint stiffness equal to 927MPa

The joint pattern in the model was slightly altered to represent the natural variety of the actual joint pattern.
Significant differences were observed in displacements (Figure 6). This indicates that even the slightest
change in the joint pattern affects the results; hence the discontinuum models are to be evaluated in a
stochastic manner. However it can be concluded that the model is able to predict the actual displacements.

Figure 4: Experienced joint slips; green dots: wedge shape

slip surface; blue dots: localized slips

Figure 5: Displacement of the rock mass, cross-section

The internal forces in the shell elements were investigated. The adequacy of the rock support is an important
aspect of the tunnel design. From a designers point of view lining internal forces are among the most
valuable outputs of numerical models. The fibre stress and membrane stress distributions due to the internal
forces can be plotted in 3DEC, however the visualization of internal forces lead to better understanding of
the behaviour of the lining. A simple FISH function was used to plot the internal forces on the liner. Internal
force results indicate that the highest values are all localized (see Figure 7). The explanation for this is that
local instability problems (e.g. unstable wedges along the periphery of the excavation) resulted local peaks in
movements that lead to the development of high internal forces.
One can observe that the magnitude of axial forces is significantly higher near the slipping wedge shape
blocks (marked by black dots on Figure 7). Only the axial forces in the tangential direction are considered.
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The longitudinal axial forces are not considered in the analysis.

Convergence monitoring results

Convergence monitoring results

0.01

0.01

12

12

0.008
0.006

0.006

11

10

2
0.008

11

0.004

0.004

0.002

0.002
4

10

Section 1
9

Section 2

Section 1
9

Section 3

Section 4

Section 4

Section 5
8

Measured

Section 5
8

Average
7

Section 2

Section 3

Measured
Average

Figure 6: Predicted and measured convergence[m] with small change in joint pattern

The internal forces are much higher than it was expected. The adequacy of the lining is not verified. The
two-dimensional continuum and discontinuum models performed by Horvth [5] indicated that the adequacy
of the lining can be verified, the magnitude of the internal forces are significantly smaller. The failure of
reinforced concrete lining was not observed on site, but the model indicates that the lining is highly
overstressed.
As Fekete and Diederichs [7] showed the persistence of the joints is an important factor of the rock mass
behaviour. In contrast the persistence was considered 100% in the model. The joint spacing, so the block
volumes were more or less uniform in the model, but Palmstrm [8] showed that in an actual volume of rock
masses the blocks will have various sizes. Accordingly it is expected that the differences between the actual
and the modeled joint pattern cause the overestimation. Further investigation would be required to verify this
assumption.

Figure 7: Axial force distribution in the tangential direction [MN]

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Moment Interaction Diagram

4 000
3 500

Axial Forces (kN)

3 000
2 500
2 000
1 500
1 000

Not plotted

500
0
-500
0

20

40

60

80

100

120

140

160

Bending Moment (kNm)

Capacity curve
Model 2
Model 5

Full compression
Model 3

Model 1
Model 4

Figure 8: Moment interaction diagram; Comparison of the five hybrid models1

Conclusions
The aim of this paper was to explore the conditions of the applicability of 3DEC in case of the National
Radioactive Waste Repository in Btaapti and it improves the model performance with back analysis.
Complex three-dimensional distinct element modelling is legitimate in case of a high-priority and large-scale
project such as NRWRP in Bataapti. Only two of the proposed emplacement chambers have been
constructed. The design of the remaining emplacement chambers can be and most importantly might be
beneficially designed with three-dimensional distinct element method.
The verification of the model is an emphasised need in distinct element modelling. The verification should
be based on various in-situ measurements. Back analysis is carried out to calibrate the displacements. Hence,
the prediction capability of the model might be increased. The calculated displacements show a great
agreement with the monitoring results. One of the most important information gained from a model is the
internal forces in the rock support, from engineering point of view. The back analysis leads us to a better
understanding of the displacements in Battapti, but it was not the case in lining forces. It is suggested that
the significant overestimation in internal forces is caused by the differences between the actual and modelled
joint pattern. Hence the accurate representation of actual joint pattern is considered as most important
research field, issue to be clarified.
Hybrid continuum-discontinuum modelling is carried out. In line with expectations, the number of elements
and the run time are reduced significantly, whilst the behaviour of the model was in agreement with the
discontinuous one. Application of continuous representation of far-field is recommended in threedimensional distinct element modelling.
As noted by Barton [9] the modelling of the components, rock, rock joints and discontinuities is far more
logical and relevant than present black-box continuum models. When the fractured rock masses are
considered as a continuum, practioners will have less and less understanding of possible real modes of
behaviour.
1

Note that the element with bending moment smaller than 10kNm and axial force smaller than 1500 kN are not plotted on the

graph, due to the high number of shell elements

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Acknowledgement
I want to express my gratitude to RHK Ltd. and Mecsekrc Ltd. for granting me permission to collect and
use data related to the NRWR project. I would like to express my special thanks to Mott MacDonald
Magyarorszg Ltd. for granting me access to the numerical modelling codes. My sincere gratitude is
extended to Tamas Megyeri (Mott MacDonald Magyarorszg Ltd.) for his illuminating instructions on the
numerical modelling this paper is based on.
The work reported in the paper has been developed in the framework of the project Talent care and
cultivation in the scientific workshops of BME" project. This project is supported by the grant TMOP4.2.2.B-10/1--2010-0009.

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Borbly, D.: Back analysis of tunneling in jointed rock mass