2D and 3D finite element analysis of underground openings in an inhomogeneous rock mass K.R. Dhawana, D.N. Singhb,*, I.D. Guptaa a b Central Water and Power Research Station, Khadakwasla, Pune 411 024, India Department of Civil Engineering, Indian Institute of Technology Bombay, Powai, Mumbai 400 076, India Abstract The finite element analysis of the underground openings excavated for Koyna hydroelectric project, Maharashtra, India, has been conducted. 2D and 3D models have been developed assuming that the rock mass obeys Drucker–Prager failure criterion. The computed deformations and the stress distribution, around these openings, have been compared with the in situ measurements. The study reveals that the 2D elasto-plastic analysis underestimates the deformations. On the other hand, the 3D elasto-plastic analysis yields results, which compare reasonably well with the in situ measurements. The effect of weak zones in the rock mass and creation of multiple cavities in the nonhomogeneous rock mass has also been considered in the analyses. Such a study is found to be very helpful for evaluating the stability of underground openings when extensive realistic input data is available for nonhomogeneous rock mass. 1. Introduction Several underground hydroelectric projects are under construction for generation of power by harnessing river waters. The creation of underground openings results in significant changes in stresses in the rock mass. In order to assess the stability of such openings it is necessary that the stresses and deformations in the rock mass be accurately analyzed by adopting the realistic rock mass parameters, in the analysis, rather than using their approximate or average values [1]. However, limitation in modeling is expected due to the difficulties associated with obtaining realistic input data. As such, in the recent past, numerical simulation is being preferred over the modeling wherein the rock mass properties are established either with the help of empirical methods, based on hundreds of case histories, or rational approaches, based on mainly laboratory or in situ testing [2]. The evaluation of stress distribution, around the underground openings, is important for designing a proper support system and must incorporate (diverse) material properties, presence of discontinuities, nonhomogeniety and state of in situ stresses existing in the rock mass. In addition to this, nonlinear constitutive behavior of the rock mass and potentially large strain deformations must also be considered. In such a situation, finite element analysis is found to be quite efficient in handling such complexities [3]. A critical review of the available literature, on stability analysis of underground openings, indicates that mostly analysis of the underground openings are based on the rock mass parameters which are generally assumed or are representative of the rock mass [4–14]. However, sufficient information on 3D finite element nonlinear analysis, of nonsymmetrical openings is not available in the literature. As such, for an efficient design of underground openings, realistic behavior of materials and an appropriate model for the analysis must be adopted. With this in view, relative suitability of 2D and 3D elasto-plastic analyses has been investigated for a set of four underground openings that exist at Koyna hydroelectric project, Koyna, Maharashtra, India, by adopting in situ and laboratory rock mass properties. The computed deformations have been compared with the in situ deformations, measured by borehole extensometers. The study reveals that the deformations obtained by 2D 218 Nomenclature sv sh r Em in situ stress (vertical) insitu stress (horizontal) density of the rock mass modulus of deformation analysis are less as compared to the borehole extensometer results, whereas 3D analysis yields a better matching. 2. Statement of the problem and field investigations The four nonsymmetrical underground openings, as shown in Fig. 1, are: (a) the machine hall (50.14 m 20.60 m 145.00 m), (b) the valve house (13.15 m 7.00 m 145.00 m), (c) the collection gallery (10.60 m 10.80 m 173.00 m) and (d) the transformer hall (23.50 m 20.00 m 173.00 m). These openings are created in amygdaloidal basalt comprising of horizontal and vertical brecciated rock horizons, at several locations. The volcanic breccia occurring in between the compact basalt generally exhibits undulating top surface. The rock mass also contains some red tactylyte at several locations. The average overburden thickness is about 160.0 m. The size of the model under consideration is 170 m 300 m 360 m, which is 3–4 times the size of the opening [15]. The field investigations were conducted to determine in situ stress, modulus of deformation, cohesion and angle of friction [16]. Flat jack tests [17] were conducted to determine in situ stress and modulus of deformation at 12 locations and the results are presented in Table 1. As depicted in the table, the rock mass properties for different type of rock mass existing at different locations were measured, and are grouped together on the basis of their deformation modulus and cohesion. The average vertical, sv ; and horizontal, sh ; in situ stresses are found to be 6.86 and 4.80 MPa, respectively. It should be noted that, the hydro-fracturing tests conducted at the location yield an in situ stress ratio of 0.67 [18]. However, in situ stress ratio of 0.70, determined from the flat jack analysis, is adopted in the present analysis. Laboratory tests have also been conducted on NX size rock samples, collected from different locations in and around the opening area, to evaluate their mechanical properties such as density, static modulus of elasticity, unconfined compressive strength, tensile strength and Poisson’s ratio. Unconfined compressive strength values for basalt and breccia are noted to vary from 45.2 to 58.2 MPa, and 19.3 to 35.3 MPa, respectively [19]. Hence, a mean value of 53.6 and 29.90 MPa has been chosen for basalt and breccia, respectively [19]. The tensile strength of these rocks is n C f Py Ph Poisson’s ratio cohesion of the rock mass angle of internal friction induced stress tangential to the boundary of the opening induced stress parallel to the axis of the opening noted to vary from 1.60 to 4.15 MPa [19]. An average density of 26.5 kN/m3 has been assigned to these rock masses. For the sake of completeness, the rock mass properties used in the present analyses are presented in Table 2. Multi-point borehole extensometers were used for measuring deformations at the arch of the machine and transformer halls. Location of extensometers in the machine hall opening is depicted in Fig. 2. It must be noted that the openings are excavated from top to the bottom and borehole extensometers were installed during September 1991 and January 1993. The vertical borehole extensometers are installed at the center of machine hall while the inclined extensometers are placed at a distance of 5 m, from the right-side wall, up to depths of 25, 10, 5 and 0 m (Fig. 3) and at 25, 55, 65 and 100 m from the starting point of the opening. The deformations at the surface of the openings are measured with the help of tape extensometers. Vertical borehole extensometers are also installed in the transformer hall at depths of 30, 3 and 0 m (Fig. 3) at a chainage of 60 and 135 m from the starting of the opening, respectively. The deformations were measured from the start of excavation (August 1991) of the machine hall opening till June 1995, using electrical readout units. A typical plot of the deformations measured in the arch of the machine hall, with the help of extensometers installed at chainage 100.0 m, is shown in Fig. 4. The corrections required in the deformations due to delay in installation of extensometers and due to missing data were incorporated using the guidelines reported in literature [20]. Deformations during the delay of installation of extensometers, and the missing data, have been determined with the help of: (i) Q-method [21], as depicted in the Fig. 5, for known Q/height of the opening and rock mass quality, the deformation can be obtained, and (ii) with the help of the procedure available in literature [15]. 3. Details of the FEM analyses Solvia 90, developed by Solvia Engineering AB, Sweden, has been used for analyses of underground openings. This finite element method (FEM) code consists of Solvia-pre, Solvia, Solvia-temp and Solviapost modules. This code can also be used for birth and 219 160.00 161.74 163.15 155.00 23.6 Valve house 153.50 150.00 Transformer 146.50 45.00 20.60 17.00 hall 26.00 20.00 Gate shaft Machine 127.00 hall 130.00 Collection gallery 18.70 10.60 116.20 111.00 Fig. 1. Details of the openings at Koyna hydroelectric project. Table 1 Flat Jack test results for Koyna hydroelectric project Location Chainage (m) Test point Direction Em (GPa) Induced stress (MPa) Py Ph Machine hall drift 25.5 29.0 32.0 42.0 76.3 84.3 102.15 1 2 3 4 5 6 7 Horizontal Vertical Horizontal Horizontal Horizontal Horizontal Horizontal 22.06 16.86 15.49 12.00 22.06 22.06 13.50 15.6 — 6.5 — 4.7 3.6 10.7 — 4.1 — — — — — Approach tunnel 1000.0 1017.0 1021.75 1035.0 1045.5 8 9 10 11 12 Horizontal Horizontal Vertical Horizontal Horizontal 22.50 16.86 22.50 15.49 18.60 8.9 10.1 — 6.7 14.8 — — 4.1 — — Py is the induced stress (tangential to the boundary of the opening, in MPa). Ph is the induced stress (parallel to the axis of the opening, in MPa). Em is the static modulus of deformation, in GPa. death options of various elements such as plane stress/ strain and axi-symmetric, 3D solid, beam, shell and pipe elements, for modeling excavations and repairs, and can incorporate elastic orthotropic, nonlinear elastic, thermo-elastic, curve description, concrete, Drucker–Prager, plastic-multilinear, and plastic creep rubber material models. Results from the analysis, using Solvia, can be directed via the porthole file to the Solvia-post program and its database. Post-processing such as selected display of results in the form of plots and listings, searching for extreme results and response spectrum and harmonic response analysis can be carried out using Solvia-post. The rock mass in which the openings are excavated is discretized suitably. The faults and shear zones present in the rock mass are represented by an equivalent continuum material [23]. As depicted in Fig. 6, the rock mass (300 m 360 m) is discretized with the help of 1420 nodes and 467 elements (2D solid plane strain eightnode isoparametric elements) belonging to 23 element 220 groups. Displacements are constrained normal to the modal surfaces (depicted as C and B), whereas the bottom corners are pinned (depicted as D). The rock mass parameters adopted for these element groups are presented in Table 2. The points at which the field deformations are monitored are depicted in Fig. 3. However, stresses in the direction normal to the plane under consideration have been ignored, as their influence would be negligible [24]. For 3D finite element analysis, the rock mass (of size 170 m 300 m 360 m) has been discretized into 1649 eight-node solid isoparametric elements with 8041 nodes, as shown in Fig. 7. On the boundaries (left, right, bottom and back) of the rock mass, deformations are constrained normal to the model surfaces (depicted as C and B), whereas the bottom corners (depicted as D) are pinned. To account for the heterogeneity of the rock mass and its characteristic properties, it is grouped into 23 groups, as depicted in Fig. 8. The rock mass parameters adopted for these groups are presented in Table 2. The points at which the field deformations for 3D analysis are monitored are shown in Fig. 3. For realizing the machine hall opening, elimination of certain set of elements is considered at different steps, as depicted in Fig. 9. The following sequence of excavation has been assumed: Step 1: No opening in the rock mass (i.e. setting of initial stress conditions); Step 2: Excavation from top of the opening progresses to 23%; Step 3: Excavation from top of the opening progresses to 74%; Step 4: Excavation from top of the opening progresses to 95%; and Step 5: Excavation from top of the opening progresses to 100%. However, the effect of other small openings in the rock mass such as openings for bus duct passage, penstock, tailrace tunnel, etc. is localized and as such has been ignored [25]. The rock mass properties, as presented in Table 2, have been used in the present analyses. It has been assumed that the rock mass obeys Drucker–Prager yield criterion for Group 4–17, and elastic behavior for Groups 1–3 and 18–23 [26,27]. This is mainly due to the fact that the Drucker–Prager failure Table 2 The rock mass properties used in the present study Element group 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 Linear elastic analysis Elasto-plastic analysis Em (GPa) n n Em (Gpa) c (MPa) f (1) 16.86 5.20 16.86 — — — — — — — — — — — — — — 8.73 18.60 8.73 8.73 18.60 18.60 0.18 0.13 0.18 — — — — — — — — — — — — — — 0.13 0.18 0.13 0.13 0.18 0.18 — — — 0.13 0.18 0.13 0.18 0.18 0.13 0.18 0.13 0.13 0.18 0.13 0.18 0.13 0.18 — — — — — — — — — 8.73 22.06 8.73 22.06 22.06 5.2 18.60 8.73 8.73 18.60 8.73 18.60 8.73 18.60 — — — — — — — — — 0.3 0.6 0.3 0.6 0.6 0.2 0.5 0.3 0.3 0.6 0.3 0.6 0.5 0.6 — — — — — — — — — 36 41 36 41 41 35 40 36 36 41 36 41 40 41 — — — — — — Em is the deformation modulus, c is the cohesion and f is the angle of friction. L/S (MPBX) VERTICAL EXTENSOMETERS MACHINE HALL DRIFT CH.-25.0 0M CH.-55.00M CH.-65.00M CH.-100.00M (MPBX) INCLINED R/S EXTENSOMETERS R/S PLAN Fig. 2. Location of extensometers in the machine hall arch. 221 Fig. 3. Location of MPBX extensometers and cross-section showing anchor length (m) near the center of the openings. Fig. 4. Maximum deformations by electrical read out unit in the arch near the center of the machine hall at chainage 100 m. criterion yields a smooth failure surface and can be adopted quite conveniently for 3D applications [26]. 4. Results and discussion 4.1. Deformations Table 3 presents the computed and corrected field extensometer results for the 10 points, considered for 2D analysis at depths of 25, 10, 5 and 0 m for the machine hall, and at 3 and 0 m depth for the transformer hall (as depicted in Fig. 3). It can be observed from the table that the computed results are almost 27–52% lower than the monitored deformations. Similarly, Table 4 presents a comparison of the computed and corrected field extensometer results for 24 points, considered for 3D analysis, at depths 25 and 0 m for the machine hall, and 30 and 0 m for the transformer hall (Fig. 3). It is noted that for the machine hall, the computed deformations 222 Fig. 5. Machine hall arch deformations compared with Q-system database. Fig. 7. Discretization for the rock mass for 3D finite element analysis with end fixity conditions. Fig. 6. Discretization of the rock mass for 2D finite element analysis with end fixity conditions. for the nodes on and away from the face of the opening are lower by 10–21% and higher by 1–23% of the field extensometer deformations, respectively. For the transformer hall the same trend is noticed and the deformation values are noticed to differ by only 2–10%. In short, the study reveals that for weak and nonhomogeneous rock mass, deformations obtained with 3D elasto-plastic analysis are more as compared to 2D analysis. However, for the strong and homogeneous rock mass, deformations are found to be lesser for 3D elastic analysis as compared to 2D analysis. This can be attributed to the fact that weak zones have pronounced effect on deformations when 3D analysis is carried out. Fig. 8. Discretization of rock mass for 2D and 3D analyses showing different rock mass groups. 223 Fig. 9. Excavation sequence for the machine hall opening. Table 3 Computed and monitored deformations of the openings (2D analysis) Opening Machine hall Transformer hall a Location of the node Depth of the nodea (m) Deformation (mm) Computed Monitored Center 25.0 10.8 18.8 Right 10.0 5.0 0.0 25.0 10.0 5.0 0.0 11.1 12.7 14.3 14.0 14.1 14.0 14.6 21.3 26.2 26.5 19.2 22.5 25.3 27.4 3.0 21.0 29.7 0.0 21.5 32.3 Center From the face of the opening. 4.2. Stresses The maximum and minimum principal stresses computed for 2D and 3D analyses are presented in Table 5, for in situ stress ratio of 0.7 and for various excavation steps. From the table it can be noticed that for 2D and 3D analyses, when compared with the initial stress conditions (Step 1), the maximum major principal stress is found to increase by approximately 27%, 18%, 31% and 8%, and 1%, 34%, 40% and 25%, respectively, as the excavation progresses. It can be noticed that for the 2D analysis, the maximum major principal stress increases significantly for Step 2. This may be attributed to the excavation of top portion of the machine and transformer halls, and valve house (which have sharp corners and as such exhibit unfavorable effect on the stress). However, Step 3 corresponds to excavation in the vertical direction, in a rectangular shape, which helps in reduction of stresses. For Step 4, a substantial increase in the stresses may be attributed mainly to the effect of creation of the collection gallery, in the vicinity of the machine hall. It can also be noticed from the data presented in the table that for Steps 2–5 of excavation, a small amount of tensile stress develops. The depiction of major principal stresses around the cavities, at Step 5 of the excavation, is shown in Figs. 10 and 11, for 2D and 3D analyses, respectively. It can be noted that wherever weak zones exist, say at the top portion of the openings, stresses are found to be nominal. However, an increase in stress is noted in the surrounding of the weak zones. Tensile stresses, depicted as negative stresses, develop at the sharp corners and in the vicinity of the weak zones. In the surrounding area of the openings, maximum stresses are noticed to develop at the bottom of the valve house. At the top of the openings, low stresses are found which are well distributed due to the arching effect. However, stresses at the external boundaries of the rock mass, in the left and the right sides of the openings, are found to be less than the in situ stress (which is equal to 6.86 MPa). Also, an irregular pattern of the stress distribution at the bottom of the openings has been observed which may be attributed to various parameters such as the self-weight, in situ stress ratio, and variability in the deformation modulus. 4.3. Criticality of stresses From Table 5, it can be observed that both compressive and tensile stresses occur in the rock mass due to the excavation of the openings and if the maximum stresses exceed the strength of the weak rock mass, then suitable strengthening measures must be adopted. The maximum compressive stress of 28.33 MPa corresponds to Step 4 in 3D analysis. The rock mass strength determined for breccia, corresponding to an in situ minor principal stress, s3 ; of 4.90 MPa, has been obtained from the data presented in Fig. 12 [22] and the same is found to be equal to 22.37 MPa. The rock mass comprises of horizontal and vertical brecciated rock horizons at several locations in the main amygdaloidal 224 Table 4 Computed and monitored deformations of the openings (3D elasto-plastic analysis) Opening Chainage (m) Location of the node Machine hall Center 25.0 Right Center 55.0 Right Center 65.0 Right Center 100.0 Right Transformer hall a 65.0 Center 75.0 Center 100.0 Center 135.0 Center Deformation (mm) Computed Monitored 0.0 25.0 0.0 25.0 0.0 25.0 0.0 25.0 0.0 25.0 0.0 25.0 0.0 25.0 0.0 25.0 22.8 19.3 22.7 19.5 22.3 19.3 21.5 19.0 22.9 19.6 22.7 19.8 22.8 18.8 22.6 18.5 26.5 18.8 27.4 19.2 28.2 17.0 26.2 15.8 20.9 16.8 22.4 18.0 25.2 15.3 26.2 18.0 0.0 30.0 0.0 30.0 0.0 30.0 0.0 30.0 30.1 27.7 31.3 28.4 29.3 28.4 29.1 25.5 28.9 25.3 — — — — 29.8 23.3 From the face of the opening. Table 5 Maximum and minimum major principal stresses due to the self-weight of the rock mass by elasto-plastic analysis (in situ stress ratio=0.70) Excavation step Major principal stresses (MPa) 2D analysis 1 2 3 4 5 Depth of the nodea (m) 3D analysis Maximum Minimum Maximum Minimum 15.23 20.94 18.49 22.02 16.46 0.15 2.04 1.23 2.20 1.53 16.95 17.10 25.55 28.33 22.58 0.37 0.72 1.02 0.88 1.30 basalt rock. The estimated rock mass strength when compared with the calculated maximum compressive stresses, factor of safety is found to be o1 for the weak rock mass. This indicates initiation of the failure at points where maximum stresses are generated and as such the rock mass requires external support. Hence, tensioned grouted rock bolts are used to provide the external supports. 5. Analysis with the grouted rock bolts If the rock bolts are installed very close to the excavation face of the opening, or during each stage of a multi-stage excavation sequence, the deformation of the rock mass before installation of the bolts will be minimal and as such pre-tensioning of the rock bolts is not required [28]. The FEM analysis has been conducted to analyze the rock mass reinforcement and to achieve this the rock bolts are modeled as two-node truss elements. For estimating the length, L; of the rock bolts in the central section of the opening, Eq. (1) proposed by the Norwegian Institute of Rock Blasting Technique has been used [29]: L ¼ 1:40 þ 0:184a; ð1Þ where a is the span of the opening. Based on this equation, the minimum bolt length is taken as the greater of the height of the loosened zone or one-fifth of the height of the opening. The rock bolts of 10 m length and 25 mm diameter have been provided at every 12.50 m, along the length of the Machine hall and the Transformer hall openings, and at 10 m spacing along the width of the opening, as the primary reinforcement, for the overall stability. In addition to this, to avoid fall of loose rock pieces and to inhibit further loosening of rock mass, secondary reinforcement and spot bolting of 2–3 m length has been provided in the walls and roof of the machine and transformer halls, with 2.5 cm thick shotcrete with the wire mesh. However, the same have been ignored in the analysis due to their insignificant contribution to reduction of 225 Fig. 10. Contours of major principal stresses computed with the help of 2D finite element analysis corresponding to Step 5 of excavation. Fig. 11. Contours of major principal stresses computed with the help of 3D finite element analysis corresponding to Step 5 of excavation. stresses. For steel bolts, Em is adopted as 211 GPa and a yielding stress of 7 MPa. Due to the application of rock bolts, the reduction in nodal deformations and stresses is observed, as depicted in Tables 6 and 7, respectively. From these tables, it can be noted that there is a reduction of 5.63–12.76% in the deformation, for 3D elasto-plastic analysis. It can also be observed that the major principal stresses have reduced from 25.55 to 18.19 MPa, 28.23 to 18.55 MPa and 22.58 to 17.07 MPa, corresponding to Steps 3, 4 and 5 of excavation, respectively. It is interesting to note that the maximum value of major principal stress after providing rock bolts reduces to 18.55 MPa, which is approximately 20% less than the strength of breccia. 6. Conclusions Based on the results and discussion presented in this paper, the following conclusions can be drawn: 1. 3D elasto-plastic FEM analysis exhibits the best agreement with the field deformation observations for the nonhomogeneous rock mass with weak zones. However, 2D elasto-plastic analysis yields conservative results. 2. The effect of nonhomogeniety of the rock mass is better understood by 3D analysis, as the effect of weak zones are suitably taken into account in 3D analysis, as compared to the 2D analysis. 226 3. The major principal stresses obtained from 3D elastoplastic analysis compare very well (in terms of stability) with the strength of the rock mass. Mojor principal stress (MPa) 40 4. Reduction of stresses and deformations around the openings is observed due to the application of the primary reinforcement. 5. In multi-stage excavation, stresses at the end of a partial stage are noticed to be higher than those occurring at the end of the complete excavation. Acknowledgements 30 Relationship by Hoek and Brown criterion 20 The first author would like to express his sincere gratitude to Director, CW&PRS, Pune for granting permission to pursue the doctoral research at IIT Table 7 Maximum and minimum major principal stresses due to the self-weight of the rock mass by 3D elasto-plastic analysis (in situ stress ratio=0.70) Excavation step Major principal stresses (MPa) 10 0 0 2 4 6 8 10 Minor principal stress (MPa) 1 2 3 4 5 Without reinforcement With reinforcement Maximum Minimum Maximum Minimum 16.95 17.10 25.55 28.23 22.58 0.37 0.72 1.02 0.88 1.30 16.95 17.10 18.19 18.55 17.07 0.37 0.53 0.86 0.94 0.97 Fig. 12. Plot of rock mass strength curve for the breccia rock mass. Table 6 Effect of reinforcement on the nodal deformation of the openings (3D elasto-plastic analysis) Opening Chainage (m) Machine hall Location of the node Center 25.0 Right Center 55.0 Right Center 65.0 Right Center 100.0 Right Transformer hall a 65.0 Center 75.0 Center 100.0 Center 135.0 Center From the face of the opening. Depth of the nodea (m) Deformation (mm) Without reinforcement With reinforcement Monitored 0.0 25.0 0.0 25.0 0.0 25.0 0.0 25.0 0.0 25.0 0.0 25.0 0.0 25.0 0.0 25.0 22.8 19.3 22.7 19.5 22.3 19.3 21.5 19.0 22.9 19.6 22.7 19.8 22.8 18.8 22.6 18.5 20.8 17.8 20.6 18.0 20.4 18.1 19.4 17.6 20.9 18.2 20.6 18.5 20.4 16.4 20.3 16.2 26.5 18.8 27.4 19.2 28.2 17.0 26.2 15.8 20.9 16.8 22.4 18.0 25.2 15.3 26.2 18.0 0.0 30.0 0.0 30.0 0.0 30.0 0.0 30.0 30.1 27.7 31.3 28.4 29.3 28.4 29.1 25.5 27.2 25.9 28.1 26.5 26.8 26.8 26.4 23.9 28.9 25.3 — — — — 29.8 23.3 227 Bombay. 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