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Underground Space 2 (2017) 60–72
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Received 22 January 2017; received in revised form 14 March 2017; accepted 27 March 2017
Available online 1 April 2017
Abstract
The numerical modelling of the excavation of an underground gallery in hard clay has been discussed in current article. A constitutive
model is proposed to describe poromechanical behaviour of the hard clay. The main features of the hard clay observed in laboratory and
in-situ experimental investigation have been taken into account in the proposed constitutive model, in particular the plastic deformation,
the visco-plastic deformation, the damage, etc. The influence of the initial in-situ stress and the pore pressure has been taken into con-
sideration. The numerical modelling of the underground excavation has been implemented by using a fully coupled hydro-mechanical
finite element calculation code. The performance of the model is examined by comparing numerical simulations with in situ measure-
ments. The proposed model and the calculation procedure for the modelling of the excavation of an underground gallery have the capac-
ity to reproduce well the excavation damaged/distributed zone and other main features and phenomena observed during the excavation
process. However, the in-situ observed convergence could not be reproduced correctly. More effort on the discontinuous problem should
be made for the reproduce the observed convergence.
Ó 2017 Tongji University and Tongji University Press. Production and hosting by Elsevier B.V. on behalf of Owner. This is an open access article
under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/).
Keywords: Full coupled hydro-mechanical processes; Elasto-plastic-damage model; Visco-plastic model; Underground excavation
http://dx.doi.org/10.1016/j.undsp.2017.03.002
2467-9674/Ó 2017 Tongji University and Tongji University Press. Production and hosting by Elsevier B.V. on behalf of Owner.
This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/).
H. Bian et al. / Underground Space 2 (2017) 60–72 61
Fig. 1. Locations of the studied two galleries: GED and GCS in the underground laboratory of ANDRA (ANDRA, 2012).
12.7 MPa; the horizontal stress parallel to the direction of desaturation in the surrounding host geological formation.
the gallery GED is about 12.4 MPa; while the horizontal The whole analysis of the excavation should be taken in the
stress in the direction of gallery GCS is about 16.12 MPa. full coupled hydro-mechanical framework. And the hard
The initial in-situ pore pressure is about 4.7 MPa. clay should be considered as porous media saturated by
The host formation of the two galleries, Callovo- either liquid water and/or dry air. In fact, the excavation
Oxfordian argillite, and here after will be named as hard process of the underground gallery is not only the redistri-
clay in the context. According to extensive experimental bution of the initial in-situ stresses but also the unloading
data (Chiarelli, 2000; Jia, Song, Duveau, Su, & Shao, of the initial pore pressure. In our cases, the initial in-situ
2007), the principal mechanical behaviour of such hard pore pressure with an order of 4.7 MPa could not be
clay is characterized by important plastic deformation, neglected. During the last thirty years, many advances have
which is tightly coupled with induced damage due to the been performed for unsaturated soils and clays (Alonso,
growth of microcracks. Concerning plastic description, Gens, & Josa, 1990; Cui & Delage, 1996; Fredlund &
some fundamental features should be taken into account, Rahardjo, 1993; Gens & Alonso, 1992; Matyas &
for example, non-linear failure surface, strain hardening Radhakrishna, 1996; Swoboda & Yang, 1999; Thomas,
and softening, transition from plastic compressibility to Rees, & Sloper, 1998). And also a few works have been
dilatancy, and sensitivity to water content. Therefore, it is conducted on experimental study and on constitutive mod-
needed to develop a coupled elastoplastic damage model elling of unsaturated rocks (Jia et al., 2007; Ju, 1989; Shao,
to describe the fundamental mechanical behaviour of this Jia, Kondo, & Chiarelli, 2006a; Shao, Jia, Kondo, &
material. However, comparing to the induced damage the Chiarelli, 2006b). The aim of this paper is to present a cou-
plastic deformation is generally the dominant mechanism. pled elastoplastic and visco-plastic damage model for the
In additions, the hard clay shows important visco-plastic hard clay in saturated and unsaturated conditions for the
strain with times. The obvious evidence is the continuous unloading process. The model is formulated in the frame-
convergences of the galleries after the excavation. In order work of unsaturated porous media (Coussy, 2004). The
to take account of this phenomenon, an elastoplastic and current paper is organised as following: after a brief intro-
visco-plastic damage model is necessary. duction, the constitutive model for the hard clay in the
The influence of the pore water on the mechanical beha- framework of unsaturated porous media specific for the
viour of the hard clay could not be neglected (Jia et al., underground excavation has been presented and discussed.
2007). Furthermore, the excavation and the eventual After the validation of the proposed model, it has been
ventilation in the gallery after excavation will induce the used to study the excavation of the two experimental
62 H. Bian et al. / Underground Space 2 (2017) 60–72
underground galleries in underground laboratory of et al., 2007). It is worth mentioning here that the descrip-
ANDRA. By the discussion on the numerical results, serval tion of the poroelastic behaviour is not unique. For exam-
conclusion could be made with the proposed numerical ple, Fredlund and Rahardjo (1993) and Alonso et al.
model. (1990), they suggested to using two independent variables
in place of the concept of effective stress. In our work,
The constitutive model for hard clay during excavation the equivalent pore pressure is used to represent the effects
of liquid pressure and its dependency on water saturation
As presented in the section precedent, an elastoplastic degree. The equivalent pore pressure is expressed in the fol-
and visco-plastic damage model is necessary for the lowing form:
description of unsaturated poromechanical behaviour of dp ¼ dpgz S lq ðpcp Þdpcp ð4Þ
the hard clay. The outlines of the model are briefly pre-
sented in this section. Generally, for clay and especially The function S lq ðpcp Þ represents the isothermal water
for hard clay, the anisotropic properties could be observed. retention curve of the studied hard clay. Avec this formu-
However, in current research, for simplicity reasons, the lation (Eq. (4)), the equivalent pressure is then introduced
hard clay is assumed as an isotropic porous medium satu- in the incremental form of Biot’s poroelastic relation. It
rated by liquid water (noted by index lq) and a gas mixture can be seen that, this is highly nonlinear problem.
(noted by index gz). The gas mixture is a perfect mixture of
dry air (noted by index da) and vapour (noted by index va). Damage characterization
However, in current research, we don’t distinguish the
water vapour from the dry air, and the phase change Based on the experimental investigation, in spite of the
between liquid water and water vapour has not been taken plastic mechanism, the damage is also a main facture for
into consideration. It is also supposed that the pore air the failure of the hard clay, especially under the unloading
pressure pgz is supposed as equal to the atmosphere pres- process. The obvious evident is the so called EDZ (excava-
sure (patm ). As a result, the capillary pressure in increment tion damaged/distributed zone). So, a coupled elastic-
form is defined as follow: plastic-damage model will be used in the present study
for the description of the unloading behaviour of the hard
dpcp ¼ dpgz dplq ð1Þ clay. The constitutive equation for the damaged hard clay
The basic mechanical behaviour of argillite, as illus- then can be written as follows:
trated by Jia et al. (2007) and Zhou, Jia, and Shao (2007) dr ¼ cðxÞ : ðde dep Þ bdpd ð5Þ
is characterized by a unified elastic–plastic and visco-
plastic model. The assumption of small strains is then In Eq. (5), b is Biot coefficient. d represents the second
adopted, thus the total strain can be decomposed into an order unit tensor. And the fourth order tensor cðxÞ repre-
elastic part eeij and plastic part epij :
sents the damaged elastic matrix. With the elastic matrix
deij ¼ deeij þ depij ð2Þ given as:
In fact, as illustrated in the section precedent, the stud- cðxÞ ¼ 2GðxÞK þ 3KðxÞJ ð6Þ
ied hard clay has a time dependant deformation properties.
And the major time dependant deformation occurs at the where isotropic symmetric fourth order tensors K, J are
beginning of loading variation. During the unloading of defined by:
the excavation process, the quantity of the time dependent
dd dik djl þ dil djk
deformation could not be neglected. It is essential to taking J¼ ; K ¼ I J ; I ijkl ¼ ð7Þ
the time dependant deformation into consideration. For 3 2
the purpose to distinguish the time-independent deforma- I is the symmetric fourth order unit tensor. And dam-
tion from that of the time dependent behaviour, it is
aged bulk modulus and damaged shear modulus are given
assumed that the plastic strain epij in the equation above
as:
can then be further decomposed into two parts: instanta-
neous plastic strain erp vp KðxÞ ¼ K 0 ð1 xÞ; GðxÞ ¼ G0 ð1 xÞ ð8Þ
ij and visco-plastic strain eij . It is
worth mentioning that, for the sake of simplicity, an where K 0 and G0 are effective drained bulk and shear mod-
isothermal condition and small deformation assumption uli of intact material.
are adopted in the present study. As a result, the total In practice, the microcracks developed in hard clay are
strain can be decomposed as: distributed in some preferential orientations and then lead
deij ¼ deeij þ derp to an induced anisotropic damage of materials. As the
ij þ deij ð3Þ
vp
The coefficient at determines contribution of the differ- In the equations describing the yield surface, s is the ten-
ent effects of tensile and compressive damage. rþ is the pos- sor of deviatoric effective stress; f c represents the uniaxial
itive part of stress tensor. As defined in Eq. (9), it can be compression strength of intact hard clay which can be
seen that for a uniaxial compression test at = 0 and in a determined by using the peak stress of a uniaxial compres-
uniaxial tensile tests at = 1. sion tests; three constants c1 ; c2 ; c3 define the curvature of
The experimental investigations show that in tensile yield surface (Fig. 6) and can be determined by plotting
regime, the damage evolution is inherently induced by ten- the peak stress versus the mean stress obtained from classi-
sile strains while in compressive regime, the material dam- cal triaxial compression tests in p q plan. For taking the
age development is related to frictional sliding along micro- damage effects on the mechanical strength, it is supposed
crack surfaces. In view of this fact, it is assumed that the that the uniaxial compression strength of hard clay
damage variations, under tensile and compressive loading decreases with the induced damage in a linear manner.
conditions, are respectively controlled by two different The following linear relation is then proposed:
driving forces Y tx and Y cx , respectively for the damage in
hx x0 i
traction and in compression, as: f c ðxÞ ¼ 1 f c0 ð16Þ
1 x0
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
X3 2
Yx ¼ 2
t
i¼1
hei i ð10Þ Here f c0 denotes the uniaxial compression strength of
undamaged hard clay. And x0 represents the damage
Z rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2 de threshold for which the damage has the non-negligible
Yx ¼
c
de : de; de ¼ de tr d ð11Þ
3 3 influence on the plastic mechanism. In fact, Eq. (16) allows
the proposed model to describe the softening behaviour of
where ei (i = 1, 2 and 3) denotes the three principal strain hard clay due to the presence of the micro-cracks during
components. The bracket hxi means that only the positive excavation. In the laboratory test, it seems the plastic
value will be considered: hxi = 0 if x 6 0 and hxi = x if mechanism is dominant, thus in current study, we given a
x > 0. Inspired by the damage model proposed by relative high value for x0 as 0.97.
Mazars (1984), the evolutions of tensile damage and com- The plastic hardening law, which controls the evolution
pressive damage are determined respectively by the follow- of yield surface, is defined as the function of the generalized
ing criteria: plastic shear strain cp which has the tendency to increase.
1 Based on the previous works (Chiarelli, Shao, & Hoteit,
f tx ¼ xt 1 ¼0 ð12Þ 2003) and its representative experimental data, the follow-
expðBt Y tx Þ
ing plastic hardening law is used, as:
1
f cx ¼ xc 1 ¼0 ð13Þ cp
expðBc Y cx Þ aðcp Þ ¼ a0 þ ð1 a0 Þ ð17Þ
B þ cp
The parameter Bc controls the kinetic of compressive
Z rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
damage and can be determined by using a uniaxial com- 2 p trðdep Þ
pression test. The parameter Bt characterizes the evolution cp ¼ de : dep ; dep ¼ dep d ð18Þ
3 3
of tensile damage and can be identified from a uniaxial ten-
sion test. The hardening function of a varies from 0 to 1. For
example, when a ! 1, that means the failure surface is
Plastic characterization reached. The model parameter B, which can be determined
by calculating aðcp Þ versus cp on stress stain curves in uni-
For the laboratory tests, it seems that the plastic defor- axial compression test, controls the kinetic of the plastic
mation of hard clay depends on the confining pressure hardening. The constant a0 defines the initial plastic
(Jamet, Millard, & Nahas, 1984; Sfer, Carol, Gettu, & domain of the hard clay, as observed from the laboratory
Etse, 2002). Thus, a non-linear yield surface which depends tests the value could be set as 0.15.
on the mean stress is generally necessary. As inspired by the The geomaterials generally need a non-associated plastic
previous works, such as that of Pietruszczak, Jiang, and flow rule. Among various existing models, the following
Mirza (1988) and Zhou, Bian, Jia, and Shao (2013), a plastic potential proposed by Shao et al. (2006a,b) and
curved yield surface maybe adequate for the studied hard Jia, Bian, Su, Kondo, and Shao (2010) has been adopted
clay (as illustrated in Fig. 2): here, as:
64 H. Bian et al. / Underground Space 2 (2017) 60–72
Fig. 2. The illustration of the yield surface, the damaged yield surface and the plastic potential.
p þ c3 f c ðxÞ illustrated in (d) in Fig. 3, not only the values but also
Qp ¼ q ggðhÞðp þ c3 f c ðxÞÞ ln ¼0
I0 the direction of the principal stresses have been changed.
ð19Þ In fact, during the excavation, each point has its unique
loading path. It is well known that the geomaterial is load-
The variable I 0 defines geometrically the intersection of ing path dependant material. Even at the beginning and the
the plastic potential (the blue one in Fig. 2) and the p axis. end of load process, the same materials have the same
The boundary between compaction and dilatancy domains stress states, if they submit with different loading paths;
is defined by the condition @Qp =@p ¼ 0 (the violet one in the final deformations will not be the same. In our model,
Fig. 2), which can be written as follows: we use the function gðhÞ for taking into consideration of
this effect. This function is given as:
F s ¼ q gðp þ c3 f c ðxÞÞ ¼ 0 ð20Þ
pffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffi
ð 1 þ a 1 aÞK
The parameter g defines the slope of the boundary gðhÞ ¼ pffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð21Þ
K 1 þ a 1 a þ ð1 KÞ 1 a sin 3h
between compaction and dilatancy domain in the p q
plan (the violet one in Fig. 2). It can be determined by
In function gðhÞ, the parameter K is defined as the ratio
reporting onto p q plane the stress state at the volumetric
of the peak strength in unloading triaxial test to the loading
transition point from compaction to dilatancy.
triaxial test. As illustrated in Fig. 4, when the Lode’s angle
It is also worth mentioning that, in the yield surface and
equal to 30°, which represents the unloading triaxial test,
the plastic potential, the variable gðhÞ in function of the
the peak strength is relatively low comparing to the normal
Lode’s angle has been integrated for taking the influence
triaxial test with the Lode’s angle as to 30°. The param-
of loading path. During the excavation of underground
eter a in Eq. (21) controls the couverture of the function
gallery, the loading paths are not as simple as usually sup-
gðhÞ. It can be determined by best fitting of the laboratory
posed. In fact, each point has a different loading path. For
tests with different loading path (different Lode’s angles).
example, we suppose an excavation in a homogenous, iso-
tropic material with an initial in-situ stresses parallel to
axes of the coordinate system, as illustrated in Fig. 3. Sup- Time-dependant plastic deformation
pose the excavation direction is in the in-plan direction and
parallel to the third principle stress. We chose three repre- The laboratory experiments and the in-situ observation
sentative points for the explication of different loading show that important creep deformation occurs in the hard
path. Due to the excavation, at Point A, as illustrated in clay, especially the convergence of the underground open-
(c) in Fig. 3, the vertical stress decreases to zero, while ing in the unloading process (excavation). In the classic
the stress in the horizontal direction increases. For that modelling, the instantaneous plastic deformation and the
at Point B, in the contrary, the vertical stress increases time depend plastic deformation are generally treated
while the stress in the horizontal direction decreases to separately. Two different yield surfaces and corresponding
zero, as illustrated in (b) in Fig. 3. While for Point C, as plastic potentials are then necessary for describing instanta-
H. Bian et al. / Underground Space 2 (2017) 60–72 65
Fig. 3. The loading paths for three different points during the excavation: (a) initial state; (b) the stress state of Point B after excavation; (c) the stress state
of Point A after excavation; (d) the stress state of Point C after excavation.
ε 1% 0 ε 3%
-1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6
-3
Numerical_Simualtion
Numerical_Simualtion -6
Numerical_Simualtion
Experiment
Experiment -9
Experiment
-12
-15
σ1− σ3 (MPa)
-18
Fig. 6. Numerical simulation of a triaxial test with unloading path on hard clay comparing with the experimental results.
9000
6000
3000
Time(day)
0
0 25 50 75 100 Fig. 8. The boundary conditions for the simulations of the excavation of
two galleries (GED and GCS).
Fig. 7. Numerical simulation of three creep tests comparing with the
experimental results.
a simple equation, especially in a two dimensional simula- the reference case will be given. And then each case will
tion. As illustrated in Fig. 9, the considered plan is located be compared and discussed in the following.
at Point B. The excavation is in the red arrow direction.
Before arriving the considered point B, when the excava- Reference case (Gallery GED)
tion front arrives at the point A, the unloading process is
already trigged at point B. However unloading rate is rela- In this section, only some representative numerical
tively slow and the quantity is small. With the excavation results of the reference case (GED) are presented. The dis-
front approaches to the point B, the unloading rate tribution of the displacement in the studied cross-section at
increases rapidly, as illustrate in Fig. 10. When the excava- the end of excavation (28 day) is presented in Fig. 12. It is
tion front coincides with the point B, the initial in-situ observed that the maximum convergence occurs in the hor-
stresses are not totally unloaded. Due to the structure effect izontal direction with an order of 2 cm. This is quasi the
with the hard clay behind point B, certain in-situ stress same order observed in-situ. However, the convergence at
could not be reduce to its minimum value, zero. In fact, vault in the vertical direction predicted by the numerical
the in-situ stress at point B will arrives to its final value model is about 1.7 cm. The corresponding value of the
when the excavation front arrive point C. The total unload- in-situ observation is about 5 cm.
ing process of the in-situ stress is illustrated in Fig. 10 by The distribution of the pore water pressure at the end of
the unloading coefficient in function of time. Here, the excavation is given at Fig. 13. With the excavation process,
excavation is supposed as a constant velocity of 2 m/day the pore pressure at the excavation surface reduces to the
and the total excavation process considered lasts for atmosphere pressure. As its small hydraulic permeability,
28 day. the distributed zone is limited at the two diameter of the
However, the unloading of the initial pore pressure is
quite different comparing with the initial in-situ stress. As 5 Pw (MPa)
1 Coef
0.8
0.6
0.4
0.2
Time (day)
0
0 5 10 15 20 25 30
Fig. 10. Illustration of the unloading coefficient in function of excavation Fig. 12. The distribution of the displacement at the end of excavation of
time. GED (28 day).
H. Bian et al. / Underground Space 2 (2017) 60–72 69
Fig. 13. The distribution of the pore pressure at the end of excavation of Fig. 14. The distribution of the parameter of plastic hardening at the end
GED (28 day). of excavation of GED (28 day).
Fig. 16. The distribution of displacement at the end of excavation of GCS Fig. 18. The distribution of the plastic hardening at the end of excavation
(28 day). of GCS (28 day).
Fig. 19. The distribution of the damage at the end of excavation of GCS
Fig. 17. The distribution of pore water pressure at the end of excavation (28 day).
of GCS (28 day).
Discussion
pressure perturbed by the excavation is quasi uniform. A From the results, it can be seen that, the proposed
small excess pore pressure is also observed, with an order model, including elastoplastic and viscoelastic damage
of 0.1 MPa. The location of the excess pore pressure is at model, gives satisfactory results for the pore pressure
the horizontal direction, not as that of GED at the vault. (including the excessive pore pressure), the plastic harden-
In Fig. 18, the distribution of the plastic hardening at ing and damage (the excavation damaged/distributed
the end of excavation is given. The plastic hardening is zone). However, the predicted convergence (displacement)
mainly concentrated in the horizontal direction in a limited neither quantitatively nor qualitatively satisfies the
zone of 2 diameters of the excavation. Comparing with the observed one. In fact, the predicted convergence is exactly
in-situ observation, the numerical model gives a satisfac- contrary to that measured one. This, however, is not error.
tory prediction. The distribution of damage around GCS The proposed model is, in the contrary, rather precise. The
at the end of excavation has been given in Fig. 19. The dis- excavation induced damage zone and the excess pore
tribution shape of the damage is similar to the observed pressure have been successfully predicted. The disagree in
EDZ in the underground. the displacement between the measured value and the
H. Bian et al. / Underground Space 2 (2017) 60–72 71
Acknowledgements
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