Tunnel Engineering
Design and Analysis
COURSE LECTURES
#08 Tunnel support design and analysis III:
Hyperstatic Reactions Method
Dr Federica Sandrone
EPFLENACLMR
Lining design summary
At present it doesnt exist a method that may solve any kind of problem
Each method has a specific application domain mainly depending on the
hypotheses which define the limits of the method
1. Rock mass classifications based
2. Analytical methods
3. Numerical Methods
LMR - Laboratoire de Mcanique des Roches
Tunnel Engineering
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1. Rock mass classification based methods
Based on rock mass classifications:
Bieniawski (RMR-System)
Barton (Q-System)
AFTES
Hoek-Kaiser-Bawden (GSI-System)
Terzaghi
Application domain:
Can be applied to any kind of rock mass
Can be applied assuming any kind of rock mass behaviour
No limitation is given in terms of stresses
Any kind of overburden can be considered
No limitation is given in terms of tunnel geometry
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Advantages and Limits
Advantages:
Easy and quick to be used
Cheap
It is possible to make comparison to other cases
It may help in the final conception of the lining (easier identification of
the main classes of support more refined analysis for verification)
Limits:
Preliminary study
Mainly depending on the rock mass classification quality:
1. The parameters used for describing the rock mass should correctly define
its behaviour and its characteristics
2. Main problem is the objectivity of the estimation of the parameters
3. Difficulties in quantifying correctly all the parameters describing the
behaviour of each rock mass
4. It is possible to find big differences according to the method used (i.e. not
the same criteria are considered)
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AFTES Classification principles
No final evaluation determining the rock mass class but several criteria
should be taken into account for each construction:
1.
2.
3.
4.
5.
6.
General geological conditions
Hydrogeological conditions
Joints and other discontinuities
Mechanical parameters of the rock/ground mass
Natural field stress and overburden
Rock mass deformability
Other general features concerning the tunnel are also taken into account:
1. Construction method and geometry
2. Settlements and hydrological environment
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AFTES Recommendations
According to the different parameters characterising the criteria several
tables have been developed for determining which kind of lining is:
recommended
favourable
not favourable
impossible
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AFTES Method summary
After analysing one by one the support type according to the 8 criteria, then it
is necessary to make a synthesis which will consider the most
unfavourable conditions
In particular:
- The worse judgement corresponding to a support type should be taken
into account
- Any kind of complementary suggestion for the support method should be
considered
The final support is chosen according to the synthesis results mainly
respecting the most favourable criteria (in terms of quantity and relative
importance) as well as costs and logistic considerations case by case
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Hoek-Kaiser-Bawden GSI Classification based method
GSI Geological Strength Index
This parameter is mainly a combination of the RMR and Q methods together
with experience of the three authors
Application field:
This method fits discontinuous rock masses
The stress field is not defined
Any kind of tunnel geometry (mainly for shotcrete support)
Any kind of rock mass behaviour
Any overburden
Limits:
This method is mainly focused on shotcrete supports, giving type and the
thickness of the shotcrete lining to be placed for any specific case
It is important to keep in mind that this remains an estimations and more
refined verifications should be done by performing numerical analyses
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Terzaghis classification based method
Terzaghi proposed in 1946 a quite simple classification for estimating the
loads acting on the steel sets used to support the tunnels
Application domain:
To be used with soils and continuum ground mass
The stress field is not specified
The preferred tunnel geometry is rectangular
Any kind of rock mass behaviour
Small to medium overburden
Though characterised by a conservative approach (overestimation), this
method is still quite widespread at list in the USA
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Terzaghi classification method
Rock classes:
Intact rock
Stratified rock
Moderately jointed
Blocky and seamy rock (chemically intact
fragments)
Crushed but chemically intact
Squeezing at a quite moderate depth
Squeezing rock (high depth)
Swelling rock
Load estimation:
a portion of the surrounding rock mass may converge
under the gravity effects, the load acting on the
tunnel crown is given in the form of an equivalent
height of rock/ground mass above
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Remarks
This classification is limited to horseshoe shaped/rectangular tunnels
supported by sets. It has been generalised to any geometry of the tunnel
by Deere
Terzaghi proposed also in 1943 an analytical solution which practically
gives the resistance of the support B1 considering the width of the
excavation B0, the height L and the friction angle j. Moreover, he estimated
also the pressure on the lining/support sv knowing the overburden H and
the specific weight of the rock mass g
p j
2 B1 = 2 B0 + L tan -
4 2
tanj H
g B1
B1
sv =
1 - e
tan j
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Rock load estimation (1/3)
Rock Class Definition
Rock Load
Factor
Hp (feet)*
Remark
*(B and Ht in feet)
Light lining required
only if spalling or
popping occurs.
I. Hard and
intact
Hard and intact rock contains no joints
and fractures. After excavation the rock
may have popping and spalling at
excavated face.
II. Hard
stratified
and
schistose
Hard rock consists of thick strata and
layers. Interface between strata is
cemented. Popping and spalling at
excavated face is common.
0 to 0.5 B
Light support for
protection against
spalling. Load may
change between
layers.
III.
Massive,
moderately
jointed
Massive rock contains widely spaced
joints and fractures. Block size is large.
Joints are interlocked. Vertical walls do
not require support. Spalling may
occur.
0 to 0.25 B
Light support for
protection against
spalling.
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Rock load estimation (2/3)
Rock Load
Factor
Hp (feet)*
Remark
*(B and Ht in feet)
Rock Class
Definition
IV.
Moderately
blocky and
seamy
Rock contains moderately spaced
joints. Rock is not chemically
weathered and altered. Joints are not
well interlocked and have small
apertures. Vertical walls do not require
support. Spalling may occur.
0.25 B to 0.35
(B + Ht)
No side pressure.
V. Very
blocky and
seamy
Rock is not chemically weathered, and
contains closely spaced joints. Joints
have large apertures and appear
separated. Vertical walls need support.
(0.35 to 1.1) (B
+ Ht)
Little or no side
pressure.
VI.
Completely
crushed but
chemically
intact
Rock is not chemically weathered, and
highly fractured with small fragments.
The fragments are loose and not
interlocked. Excavation face in this
material needs considerable support.
1.1 (B + Ht)
Considerable side
pressure. Softening
effects by water at
tunnel base. Use
circular ribs or
support rib lower end.
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Rock load estimation (3/3)
Definition
Rock Load
Factor
Hp (feet)
VII.
Squeezing
rock at
moderate
depth
Rock slowly advances into the tunnel
without perceptible increase in volume.
Moderate depth is considered as 150 ~
1000 m.
(1.1 to 2.1) (B +
Ht)
VIII.
Squeezing
rock at
great depth
Rock slowly advances into the tunnel
without perceptible increase in volume. (2.1 to 4.5) (B +
Great depth is considered as more than Ht)
1000 m.
IX.
Swelling
rock
Rock volume expands (and advances
into the tunnel) due to swelling of clay
minerals in the rock at the presence of
moisture.
Rock Class
Remark
*(B and Ht in feet)
Heavy side pressure.
Invert struts required.
Circular ribs
recommended.
up to 250 feet,
Circular ribs required.
irrespective of B In extreme cases use
and Ht
yielding support.
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Unsupported span effects
The unsupported span effect has been estimated by Terzaghi as the interval
between the excavation and the failure of the crown without support.
This interval duration is different according to the rock mass conditions
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Caquot solutions
Basics assumptions:
1. Circular tunnel
2. Hydrostatic and uniform stress field
3. Continuous medium
4. Cohesive ground mass
5. Low overburden
6. Elasto-plastic material characterised by
Mohr Coulomb parameters:
Friction angle
Cohesion c
Solution:
The tunnel is full of a fluid characterised by
the same specific weight of the
surrounding ground. The solution can be
found by estimating the load that may
cause the failure.
The failure happens when the plastic radius
reach the surface. This solution can also
be applied for esitmating the overburden
corresponding to a failure by equating the
internal pressure to zero.
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Caquot equations
a ( K -1) g a a ( K - 2 )
pi = - H 1 - +
1 -
h K - 2 h
With
H=c/tan()
K=tan(p /4+/2)
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Comparison
Terzaghis equations give an
overestimation of the internal
pressure considering if compared to
the solution proposed by Caquot or
also to the values that can be found
by numerical modelling of the same
situation
Conservative approach
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2. Analytical Methods
This kind of method is quite simple to use and can be often used for
preliminary analysis in order to better interpret the numerical analysis
results
Several analytical approach have been proposed in the past according to a
defined behaviour of the rock mass:
1. Elastic (Kirsch, Lam, Einstein-Schwartz)
2. Elasto-plastic (Convergence-confinement method, Limit analysis, face
stability analysis)
3. Blocks stability analysis (Goodman-Shi, Warburton)
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3. Numerical Methods
Mainly based on the solution of a discretised problem
Advantages:
Good results quality (! Depending on the input quality)
Limits:
Need to be interpreted correctly
Time required by the analysis
Usually this kind of methods is used only after several preliminary analysis
(need for refined input data)
Several numerical approach are used in rock mechanics:
1. Differences Finite
2. Discontinuous elements
3. Finite elements
4. Boundary elements
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Support design methods - Summary
Empirical method ok only for first estimations at the preliminary design
step
Analytical methods ok for estimation at both study and realisation steps
Numerical Methods ok for major details at the design and realisation
steps but need major precisions for input data
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Hyperstatic Reactions method
Analytical and Numerical method for dimensioning of structures support
Main references:
Duddeck and Erdmann, 1985
Bouvard-Lecoanet et al., 1988
Leca and Clough, 1992
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Main Principles
Simulates the interaction between the support and rock surrounding the
tunnel through many independent springs (Winkler type)
Calculates the behaviour of the lining under applied loads
Great number of connections of the support with the surrounding rock
Hyperstatic problem / statically indeterminate
The method requires definition of the active loads acting on the support
structure and mainly due to the rock mass
technical literature (Barton et al., 1974, Barton, 2002, Unal, 1983, Goel
et al., 1995, Goel et al., 1996, Singh et al., 1992, Singh et al., 1997
and Bieniawski, 1989).
in situ monitoring, using back-analysis procedures
Further passive loads are due to the reaction of the rock mass to the
displacement of the support structure
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Hyperstatic Reactions methods - Loads
The supportrock interaction influences the stress state in the structure to a
great extent and this interaction depends on the mechanical
characteristics of the rock mass.
Three parameters influence the stress state in a support structure:
the applied active loads,
the stiffness of the structure (normal stiffness and bending stiffness)
the pressure-displacement relation that describes the interaction between the
structure and the rock mass
There are two different types of loads:
1. ACTIVE which do not depend on the lining deformation but only on the
rock volume which act on the tunnel crown (dislocation charge)
2. PASSIVE which describe the rock/ground mass reaction and which do
depend on the lining/support deformation
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ACTIVE loads
Interaction between
ground pressures and
loads on lining
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ACTIVE loads
These are the charges which act directly on the lining (support), independent
of lining deformation such as dead weight, permanent and varying inside
and outside charges and pressure from the surrounding ground
They depend on:
Tunnel depth (overburden)
Tunnel geometry (size and shape)
Rock / Ground mass quality
4 main types:
1. Vertical charge on the tunnel crown
2. Horizontal charge
3. Hydrostatic charges
4. Others
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1. Vertical load on the tunnel crown
The vertical stress is due to the rock mass weight
sv =g H
The vertical load, pv can be minor or equal to the vertical stress, depending
on the behaviour of the rock surrounding the tunnel after the excavation:
Loose ground, low overburden, waiting in placing the support pv = s v
Medium overburden, good rock, immediate support pv < s v
pv can be estimated using Terzaghis method or for reducing the
overestimation especially in case of deeper tunnels by equations provided
by Caquot
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Vertical load estimation
The active vertical load can also be estimated using direct correlations found
by various authors between the rock mass quality index and the vertical
loads on the tunnel crown
This method of evaluating the vertical loads is based on the monitoring of
several case histories
Examples:
Barton et al., 1974 to evaluate the vertical loads on the support structures
when Q index and Jr parameter are known
Goel et al., 1995 for the estimation of vertical loads when the tunnel
overburden H and radius a, with N index of the rock mass are known.
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Examples
Barton et al. (1974)
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Goel et al., 1995
Tunnel Engineering
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2. Horizontal loads
For calculating the horizontal loads depending on the action of the
rock/ground mass on the supports it is generally admitted that:
The loads can be associated to tunnel walls convergences and are
independent from the displacements
The loads acting as reaction causing movements against of the
convergences are actually composed by two independents components:
the active one is independent from the displacement while the passive
one depends on this displacement
The horizontal loads actually depends on the quality of the interface
between the lining/support and the surrounding rock/ground mass
(Importance of the excavation method)
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Horizontal loads estimation
The horizontal loads acting on the tunnel side walls are usually considered to
be a percentage of the vertical loads
The ratio between the horizontal and vertical loads on the support structure
is:
lower than the in situ stress ratio K0 high quality rock mass
higher than K0 for very crushed rock masses and for squeezing and
swelling ground
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Terzaghis Rock Load Classification (modified by Deere et al.,1970)
Horizontal loads also called side pressures increase with the decreasing
quality of the rock mass:
Lower with medium to good geomechanical quality of the rock mass is
medium or good
Higher when the quality of the rock mass is very poor (i.e. completely
crushed rock)
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Horizontal load estimation (Terzaghi)
By analysing the potential instability of the rock mass on the tunnel sides considering
a planar sliding surface, it is possible to evaluate the qh/qv ratio in function of the
vertical load qv, the tunnel height Ht, the specific weight and the strength parameters
c and of the rock mass:
tan j
g Ht
qh
tan a
= 1 +
qv
2qv 1 + tan j tan a
c
qv
Where a is the slope of the sliding surface:
sin a ( cosa + sin a tanj )
a=
p j
+
4 2
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3. Hydrostatic loads
The presence of water should be taken into account on the whole perimeter
of the tunnel
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4. Other active loads
Existing loads (e.g. buildings, etc.) on the ground surface
The dead weight of the support (which can be neglected when the
overburden is high)
The operation load acting at the tunnel intrados (e.g. hydraulic tunnels)
The temporary loads mainly depending on the construction methods (e.g.
compressed air, injections, etc..)
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PASSIVE loads
Passive loads are necessary for equating ground and lining deformation
due to loads
These loads mainly depend on the deformation of the surrounding
rock/ground mass
The main hypothesis consists into considering that the reaction is directly
proportional to the displacement
r
r
q = K u
Lining deformation considering the strength of the material and the lining
as a plane arch or thick ring
Ground deformations the reaction modulus which is considered
proportional to the deformation in any point of the surrounding rock
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Reaction Modulus, K
K is the reaction modulus describing the interaction of the rock/ground mass
with the excavated tunnel.
When the tunnel is circular (or approximately circular)
K=
E
(1 +n ) R
with
R = tunnel radius
E, n = Youngs modulus and Poissons coefficient of the rock/ground mass
If the tunnel has a different geometry then it is necessary to use other
formula (e. g. Dislocation charges by Caquot & Krisel, 1966)
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Calculation scheme
Active loads are applied to the tunnel
support by the rock mass in the roof
(vertical loads, qv = pv) and on the
lateral sides (horizontal loads, qh =
ph)
The active loads are independent of
the displacements that develop in
the support and at the rock-support
interface.
qv: vertical load
qh: horizontal load
kn: stiffness of the interaction springs
R: tunnel radius
E J, E A: bending and normal
stiffness of the support
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Rock mass / Support interaction
The rock mass interacts with the support in two ways:
1. through the normal springs connected to the nodes of the
structure
2. through applied active loads (qv and qh).
The normal springs (Winkler springs
connected to the support beam
nodes) allow the reaction produced
by the rock to be simulated when
the support, which deforms under
the applied active loads, moves
towards the rock
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Solution methods
In the literature several methods of solution of the equilibrium equations have
been proposed.
Two main methods can be identified:
1. Simplified method
2. General method
The first obviously need to make additional simplifying hypotheses in order to
obtain an exact solution,
The second has a more general approach is then necessary to solve the
equations for any specific case
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Simplified methods
With this approach the solution is
directly given in the form of
coefficients which depend on the
tunnel geometry and on the reaction
modulus.
Those coefficients allow calculating
the internal stresses in the most
critical portions of the lining/support
E.g. Schulze & Duddeck 1964
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General Methods
This kind of solutions can be
adapted to any situation in terms of
tunnel geometry and interaction
between the tunnel and the
surrounding rock/ground mass.
Lining/support is generally assumed
as a system of beam elements in
the form of an arch and springs
which represents the reaction
modulus of the rock/ground mass.
The friction between the rock and the
lining can also be considered
In this case the solution can be
found by iterative process based on
the material resistance
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Hyperstatic reactions method calculation
The lining is represented by beam elements (for which it is possible to
describe the stressstrain law in a simple way), which are connected to
the outside through springs (i.e. stiffnesses) distributed over the nodes
The support structure is therefore represented, in the calculation, by monodimensional elements that are able to develop bending moments, axial
forces and shear forces
Scheme of the behaviour of a beam-type finite element (x and y local Cartesian
coordinates):
h: the initial node
j: the final node
u: the axial displacement
v: the transversal displacement
: the rotation
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Support geometry influence
Apart from the interaction with the rock mass, the behaviour of the support is
also influenced by its bending and normal stiffness and the restraining
conditions that are assumed.
Bending and normal stiffnesses depend on the elastic modulus of the support
material and on the geometry of its section.
The type of constraint at the foot can influence the support behaviour to a
great extent and depends on the type of foundations and on the geometry
of the support.
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Equivalent support concept
The most commonly used type of preliminary support structure in tunnels:
- steel sets
- Shotcrete
This is a composite system for which it is necessary to define a normal and a
bending equivalent stiffness in order to be able to use a bi-dimensional
calculation method.
equivalent support made up of homogeneous material for which it is
possible to estimate the thickness and the elastic modulus knowing the
the parameters characterising the shotcrete and the steel sets
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Advantages and Limits
Advantages:
Easy of employ
Fast sensitivity analyses by changes parameters describing the rock mass and lining behaviour
Particularly suitable for the dimensioning of the most widely used support structures in tunnels:
steel sets & shotcrete
The method allows the results of the bending moment, the shear forces and the normal force
along the support profile
Limits:
The evaluation of the active vertical loads: incertitude that grows with increasing overburden
It is difficult to correctly evaluate the active horizontal loads (measuring?) and also to determine
the quality of the interface between lining and surrounding (local solution provided by
GEORADAR measured) not guaranteed that the interface can absorb shear stresses,
very difficult to estimate the shear stiffness value. Note that when the shear stiffness on the
interface is neglected, the bending moments are greater both in the crown and in the
sidewalls (conservatory hypothesis)
It is quite difficult to measure the reaction modulus (it mainly depends on the type of tests in situ
or in laboratory)
The reaction produced by the rock mass on the deformations of the support is also a function of
the stiffness of the structure. This only depends on the mechanical and geometrical
characteristics of the support. During calculation it is necessary to verify the compatibility of
the stress and strain state with the maximum admissible conditions
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CV-CF vs. HRM
Depth
CV-CF for deep tunnels (H>>10R)
HRM for lower overburden (H<5-10R)
Relative stiffness
CVCF stiffer rock mass
HRM stiffer lining
Rock/ground mass
CVCF rock
HRM soil and fissured rock
Supporting Structure
CVCF temporary support
HRM temporary support and definitive lining
Study/Project steps
CVCF project and execution (estimation)
HRM project (estimation)
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Support design methods - Comparison
According to the type of results and to the analysis approach it is also
possible to distinguish 3 different families of methods:
I.
II.
Empirical methods
Analysis of stress and displacement distribution in the rock mass
surrounding the excavation
III. Lining behaviour analysis
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