Flac applications to the analysis of swelling behaviour in tunnels

M. Bonini, M. Barla, G. Barla

Department of Structural and Geotechnical Engineering, Politecnico di Torino, Italy

ABSTRACT: The swelling behaviour of rocks in tunnels is being investigated from the experimental and theoretical points of view. Stress paths at points around the tunnel derived from numerical analyses (Flac and Flac3D) can be adopted as input to laboratory testing. Triaxial tests in closely controlled stress path conditions are carried out in the laboratory by means of a newly developed triaxial cell in conjunction with oedometer tests. Following a description of the results obtained when testing a stiff clay that exhibits a swelling behaviour, some preliminary analyses with the Flac code are illustrated which are intended to simulate this behaviour. 1 INTRODUCTION Swelling is a complex behaviour, characteristic of clays, argillaceous and anhydrite rocks, due to adsorption of water. It depends on a number of important factors: material, boundary conditions, negative pore pressure and, first of all, stress history at points in the tunnel surround as face advance takes place. In some cases this behaviour may lead to significant difficulties during excavation and pose problems for the use of the tunnel in the long term. In order to choose the stabilising measures needed during excavation and to design the lining, the tunnel engineer is to quantify, timely and correctly, the swelling properties of the ground. This can be made by developing the typical stress paths created during tunnel excavation, which can be adopted as appropriate input to laboratory testing. Results from testing are useful to quantify the swelling properties of the ground, necessary to model the material behaviour both at laboratory and in situ scale. 2 STRESS ANALYSES Numerical analyses have been performed using the finite difference element codes Flac and Flac3D and the boundary element code Examine3D (Rocscience, 1998). The aim was to simulate the intrinsic behaviour of a deep circular tunnel in homogeneous ground during excavation. Stress paths were studied with particular attention at the sidewalls (S) and at the crown/invert (C) of the tunnel (Barla M., 1998). As shown in Figure 1, both two and three dimensional stress analyses were carried out with the excavation being simulated according to the procedure available with the Flac codes. For the 3D simulation the tunnel excavation proceeds from left to right. 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 ratio, Ko) considered. During excavation, the tunnel face advances, passes trough the A-A section and continues up to completion of excavation. Two different stress conditions, depending on the Ko ratio, have been simulated. For each case two dimensional and three dimensional analyses 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, with elastic modulus E= 400 MPa and Poissons ratio = 0.3. The numerical results obtained are described below by giving the stress path during excavation, which is drawn on the t-s plane, where t = (v h)/2 and s = (v + h)/2. As shown in Figure 2, the results for the 2D, 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 sidewalls is shown to increase/decrease accordingly. 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 (Fig. 2). As the tunnel face approaches the monitored section A-A the mean nor-

mal stress increases. An arrow along the 3D stress path shows the state of stress when the tunnel face crosses the A-A section.
Stresses [MPa]

1.8 1.6 1.4 1.2 1 0.8

AA section Flac3D Examine3D

A
EXCAVATION DIRECTION

C
1m

S
5m 1m

0.6 0.4 0.2 0

0 20 40

60

80

100

Distance from the beginning of the model [m]

Figure 3. - Stresses at point S (sidewalls) for the 3D elastic Ko = 1 analyses.

1 0.5 0

E = 400 MPa = 0,3

t [MPa]

0 -0.5 -1 -1.5 -2

0.5

1.5

2.5

Figure 1. Longitudinal and cross section A-A of the circular tunnel; mesh in two and in three dimensions.

Ko line Closed form solution Flac 2D Flac 3D Examine3D

C
s [MPa]

As soon as the face overpasses the same A-A section, the mean normal stress suddenly decreases, then to attain the initial value. As shown in Figure 3, 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 m only. The behaviour is similar, however with an opposite sign for the stresses at the crown/invert. The results of the Ko = 2 analyses show instead a different trend of behaviour between the sidewalls and the crown (Fig. 4). In the first case the mean normal stress decreases, in the second it increases. The horizontal stress at the sidewalls 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.
0.8 0.6 0.4
Closed form solution Flac 2D Flac 3D Examine3D

Figure 4. Stress paths for points S (sidewalls) and C (crown/invert) for the elastic Ko = 2 analyses.

The numerical results show 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. It is evident that the stress history, in particularly near to the tunnel face can be properly described only by simulating three dimensional conditions. 3 THE NEW TRIAXIAL EQUIPMENT The numerical results illustrated above (Fig. 2 and 4) make it clear that the oedometer test (Huder & Amberg, 1970), which is often adopted in order to simulate the swelling behaviour of rock during excavation, is not satisfactory. The need arises to use triaxial tests as explained in the following. A procedure has been developed which consists of six phases: specimen preparation and set-up, flushing, saturation, consolidation, undrained stress path phase and swelling/consolidation. 3.1 Testing procedure The set-up of the sample is done with the dry setting method (Lo Presti et al. 1999). Up to the consolida-

t [MPa]

0.2 0 -0.2 -0.4 -0.6 -0.8 0

0.2

0.4

0.6

0.8

1.2

1.4

E = 400 MPa = 0,3

C
s [MPa]

Figure 2. Stress paths for points S (sidewalls) and C (crown/invert) for the elastic Ko = 1 analyses.

tion phase, the procedure adopted is typical for a triaxial test with the precaution to inhibit swelling when the sample gets into contact with water (i.e. during the flushing phase). The stress path or shearing phase is carried out in undrained conditions, given the intention to simulate at laboratory scale the stress conditions in the near vicinity of the tunnel. During the shearing phase the sample is subjected to one of the stress paths shown in Figure 5, as determined by numerical analyses. Stress paths and pertain to the element of ground at the sidewalls for 2D and 3D conditions respectively. Stress paths and pertain to the crown/invert position, again for 2D and 3D conditions. The stress paths in three dimensional conditions have been simplified for the purpose of testing by introducing three oriented segments. During the undrained shearing phase it is possible to evaluate the pore pressure changes in the sample. Due to the fact that pore pressure is a relevant factor influencing swelling, the knowledge of such value is important to understand the mechanism by which the phenomenon takes place. Moreover if the stress path is followed up to a certain t value lower than that at failure (for example to a mobilised factor of f = 0.8), it is then possible to simulate a new phase. With the stress level constant versus time and the creep deformations completed, the drainage valve can be opened and water can flow in or out from the sample, depending on the value of the pore pressure reached during the undrained phase. This new drained phase corresponds to that experienced by an element of ground at a certain distance from the tunnel contour or during a standstill of the tunnel face and can be adopted to study the swelling behaviour of the ground versus time, as shown in the following. 3.2 Testing equipment The triaxial tests described in this paper were performed by two specially devised triaxial apparatuses (GDS and SRTA). For a detailed description of them refer to Lo Presti et al. (1995), for the GDS, and to Lo Presti et al. (1998), Barla M. (1999), Barla M. et al. (1999), for the SRTA. Both equipment have a very stiff cell structure and consist of two end platens connected by three tie rods located inside a perspex pressure cell. The triaxial cells are equipped with local measurement devices for axial and radial strain, pressure transducers for the cell pressure and the pore pressure, a load cell located inside the pressure chamber and a volume change indicator. Lateral and axial pressure control is obtained by means of digital controllers with a resolution of 0.5 kPa. A multichannel conditioning system is used for data acquisition. The data are automatically transferred via HPIB connection from the conditioning system

to a PC so that one can control the whole test procedure by PC. The GDS apparatus can reach maximum values of 2.5 MPa for the axial stress and 1 MPa for the confining pressure while the SRTA has a maximum capacity of 50 kN for the vertical load and 2 MPa for the pressure cell.
0,8 0,6 0,4
CNV2-3-4 SIDEWALLS

v 1,69 h 0,3

CNV8-9

t [MPa]

0,2 0 -0,2 -0,4 -0,6 -0,8 0 0,2 0,4 0,6

2D stress path 3D linearisation
CROWN / INVERT

2
v=1 h=1

0,8

1 4 3

1,2

1,4

1,6

CNV6-7-10

v 0,3 h 1,69

s [MPa]
Figure 5. Different stress paths performed in the triaxial apparatus.
500 400 300 200
CNV3 CNV8 SIDEWALLS CNV2

-349 -43
CNV9

t [kPa]

100 0 0,5 0,7

CNV10 CNV7 CNV6

-100 -200 -300 -400

0,9

1,1

1,3

1,5
u in kPa TSP - uo ESP

1,7

175

CROWN/INVERT

s/so , s'/s'o [-]

Figure 6. Total and effective stress paths for the tests intended to simulate the behaviour at the sidewalls and at the crown/invert of a circular tunnel. Only undrained tests are shown.

3.3 Testing program and results A total of 10 triaxial tests were performed (Barla M. 1999, Barla M. & Barla G. 2001) with the aim to simulate, at laboratory scale, the tunnel behaviour in the undrained and drained phase. The soil tested is a swelling stiff clay (Caneva clay) from North Italy. With reference to Figure 6, tests CNV2 and CNV3 were performed to reproduce the behaviour at the sidewalls of a circular tunnel during excavation by following stress path 1. CNV2 was carried out up to failure, while CNV3 was interrupted at a value of the mobilised deviatoric strength factor f = 0.5. Three dimensional conditions were introduced for test CNV8 and CNV9 that followed the stress path 2 shown in Fig. 5. Tests CNV6, CNV7 and CNV10 were performed to investigate the behaviour at the

crown/invert. All the tests of this group were undrained and interrupted at a mobilised factor f = 0.5, opening the drainage valve. The comparison of total and effective stress paths in Figure 6 allows one to clearly appreciate the pore pressure change which occurs during each test. It is noted that in two dimensional conditions the excess pore pressure u is almost negligible in the first part of the test, as long as the t value remains small. Then, a negative pore pressure develops, subsequently to increase in relation to the increase of t. It is clearly shown that the excess pore pressure u, negative at the sidewalls of the tunnel, is instead positive at the crown/invert. The final value of u attained in each case at the end of the test is directly related to the stress level t. The results obtained for the excess pore pressure in CNV8 and CNV9 tests, which followed the 3D stress path, show a significantly different response. During the first segment of the stress path both the axial and the confining pressures in the triaxial cell are increasing. This results in a positive excess pore pressure for low t values. When the stress path changes direction (i.e. when the tunnel passes the cross section of interest) the confining pressure decreases rapidly with a notable effect on the pore pressure. It is observed that a greater value of t is necessary to induce a negative excess pore pressure when the influence of the advancing tunnel face is taken into account (i.e. in three dimensional conditions). If this negative excess pore pressure is connected to the amount of swelling that is expected, in the near vicinity of the sidewalls of the tunnel, the areas where swelling is likely to occur would be smaller when predicted with a three dimensional analysis instead of a two dimensional one. Moreover, at failure, for both cases, as a negative excess pore pressure around the tunnel results in a water inflow towards it, swelling is likely to occur as an inverse consolidation and due to the interaction between water and swelling minerals when present in the ground. 4 SIMULATION OF STRESS-STRAIN BEHAVIOUR For the purpose of this paper the attention is now posed on a detailed presentation of the CNV2 test results and the preliminary Flac simulation of the stress-strain behaviour as observed during testing. The CNV2 test, carried up to failure, was intended to reproduce the s = constant stress path as experienced at the sidewalls of a circular tunnel in 2D conditions, i.e. by neglecting the influence of face advance. The CNV2 specimen, saturated at a back-pressure of 350 kPa, gave a B value approximately equal to 0.87. The isotropic consolidation was carried out at

650 kPa effective stress, whereas the shearing phase followed a s = constant stress path up to failure in undrained conditions. It is observed that the specimen evidenced at failure a well defined shear plane through it, as a negative excess pore pressure of 350 kPa was measured.
1000 800 600 400 200 0 0 2 4 experimental data hyperbolic law Flac

q [kPa]

a [%]

10

Figure 7. Deviator stress axial strain curve for CNV2 test: comparison between experimental data, hyperbolic law and Flac analysis.
500

CNV2 test
400 300 200 100 0 0 200 400 600 800 1000

Flac

s-uo
t [kPa]

s'

s, s', u [kPa]

Figure 8. Stress paths followed in CNV2 test: experimental data and Flac analysis.
1.2 1.0

Et [GPa]

0.8 0.6 0.4 0.2 0.0

external internal local

a [%] Figure 9. Young modulus in CNV2 test by external, internal and local measurements.

0.001

0.01

0.1

10

Figure 7 shows the stress strain curve obtained for the CNV2 test. Accordingly, Figure 8 gives the stress path in total and effective stresses, as Figure 9 illustrates the tangent Youngs modulus Et versus the axial strain a, for different measurement transducers, i.e. external, internal and local. The test exhibits a ductile behaviour during loading, with a significantly non-linear response as evidenced by the stress-strain and stiffness-strain curves, associated with a high decrease in pore pressure during the shearing phase. With the intent to simulate the most important features exhibited during testing of the Caneva clay according to the stress path applied for the CNV2 test (Fig. 7 to 9), the Flac code is being applied. At present modelling is carried out by concentrating on non-linear elasticity and de-coupling of the effects of shearing and isotropic loading, with the moduli G' and K' assigned so as to follow a hyperbolic law. The model used in the Flac simulation of the CNV2 test is shown in Figure 10, where an axisymmetric and coupled grid reproducing a quarter of the specimen is given. The axial loading is simulated by applying a non-zero constant velocity to the upper grid points of the specimen. Cell pressures are calculated by a servo control which checks the s value every 50 steps and updates the horizontal stress in order to maintain s constant. The drainage is modelled by imposing fixed/non fixed pore pressure and saturation at two points of the grid.
non-zero non-zero vevelocity locity

The model was run first up to failure and as shown in Figure 7 the stress-strain plot was found to reproduce the experimental results satisfactorily. As expected, however, the pore pressure change was not well represented (Fig. 8). In all cases, a drained analysis was performed following a load build-up to 50% of the deviatoric stress at failure. This lead to a dissipation of negative pore pressures with a corresponding volume increase. 5 CONCLUDING REMARKS It is realised that the material model adopted with the Flac code and described above does not reproduce satisfactorily the behavioural features pointed out by the experimental program which was set up in order to achieve important insights into the behaviour of weak swelling rocks. The intended application of model analysis to tunnelling in swelling conditions requires the selection of well proven constitutive laws, which can be effectively applied to engineering practice. To this end, work is being carried out in order to implement with the Flac code a constitutive law of the elastic-hardening plastic type, getting close to the observed behaviour.

REFERENCES
Barla, M. 1998. Stress path around a circular tunnel. Workshop on Squeezing Rock Conditions in Tunnelling Stockholm 10/06/1998. Italian Geotechnical Journal 1/2000: 53-58. Bologna: Patron. Barla, M. et al. 1999. Stiffness of soft rocks from laboratory tests. Proceedings of the IS Torino 99, 2nd International Symposium on Pre-failure deformation characteristics of geomaterials. Torino, 26-29 September 1999. Barla, M. 1999. Tunnels in Swelling Ground Simulation of 3D Stress Paths by Triaxial Laboratory Testing. Ph. D. Thesis. Politecnico di Torino. Barla, M. & Barla, G. 2001. Adoption of triaxial testing for the study of swelling behavior in tunnels. Proceedings of the XV ICSMGE, Istanbul, 27-31 August 2001. In print. Huder, J. & Amberg G. 1970. Quellung in Mergel, Opalinuston und anydrit. SchweizerischeBauzeitung 88: 975-980. Lo Presti, D. C. F. et al. 1995. A modified commercial triaxial testing system for small strain measurements: preliminary results on Pisa Clay. ASTM Geotechnical Testing Journal 18 (1): 15-31. Lo Presti, D. C. F. et al. 1998. Development and use of a triaxial cell for soft rocks. Proceedings of the 2nd International Symposium on Hard Soil Soft Rocks. Napoli, 12-14 October 1998. Lo Presti, D. C. F. et al. 1999. Influence of reconsolidation techniques and strain rate on the stiffness of undisturbed clays from triaxial tests. ASTM Geotechnical Testing Journal, GTJODJ, 22 (3): 211-225. Rocscience Inc., University of Toronto 1998. Examine3D, Users Manual.

pp, sat

Figure 10. Flac mesh of the triaxial specimen.

The analysis is carried out by introducing the Drucker-Prager criterion and a hyperbolic variation of the elastic modulus modeled as a function of the axial strain level and confining pressure. The initial modulus Eo is set equal to 72 MPa, with cohesion c' = 84 kPa and friction angle ' = 26. During the first part of the triaxial test, undrained conditions hold true which are set by drainage closure (MECH ON, FLOW OFF).