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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.
analysis are less as compared to the borehole extens- noted to vary from 1.60 to 4.15 MPa [19]. An average
ometer results, whereas 3D analysis yields a better density of 26.5 kN/m3 has been assigned to these rock
matching. masses. For the sake of completeness, the rock mass
properties used in the present analyses are presented in
Table 2.
2. Statement of the problem and field investigations Multi-point borehole extensometers were used for
measuring deformations at the arch of the machine and
The four nonsymmetrical underground openings, as transformer halls. Location of extensometers in the
shown in Fig. 1, are: (a) the machine hall (50.14 m machine hall opening is depicted in Fig. 2. It must be
20.60 m 145.00 m), (b) the valve house (13.15 m noted that the openings are excavated from top to the
7.00 m 145.00 m), (c) the collection gallery bottom and borehole extensometers were installed
(10.60 m 10.80 m 173.00 m) and (d) the transformer during September 1991 and January 1993. The vertical
hall (23.50 m 20.00 m 173.00 m). These openings are borehole extensometers are installed at the center of
created in amygdaloidal basalt comprising of horizontal machine hall while the inclined extensometers are placed
and vertical brecciated rock horizons, at several loca- at a distance of 5 m, from the right-side wall, up to
tions. The volcanic breccia occurring in between the depths of 25, 10, 5 and 0 m (Fig. 3) and at 25, 55, 65 and
compact basalt generally exhibits undulating top sur- 100 m from the starting point of the opening. The
face. The rock mass also contains some red tactylyte at deformations at the surface of the openings are
several locations. The average overburden thickness is measured with the help of tape extensometers. Vertical
about 160.0 m. The size of the model under considera- borehole extensometers are also installed in the trans-
tion is 170 m 300 m 360 m, which is 3–4 times the former hall at depths of 30, 3 and 0 m (Fig. 3) at a
size of the opening [15]. The field investigations were chainage of 60 and 135 m from the starting of the
conducted to determine in situ stress, modulus of opening, respectively. The deformations were measured
deformation, cohesion and angle of friction [16]. Flat from the start of excavation (August 1991) of the
jack tests [17] were conducted to determine in situ stress machine hall opening till June 1995, using electrical
and modulus of deformation at 12 locations and the readout units. A typical plot of the deformations
results are presented in Table 1. As depicted in the table, measured in the arch of the machine hall, with the help
the rock mass properties for different type of rock mass of extensometers installed at chainage 100.0 m, is shown
existing at different locations were measured, and are in Fig. 4. The corrections required in the deformations
grouped together on the basis of their deformation due to delay in installation of extensometers and due to
modulus and cohesion. The average vertical, sv ; and missing data were incorporated using the guidelines
horizontal, sh ; in situ stresses are found to be 6.86 and reported in literature [20]. Deformations during
4.80 MPa, respectively. It should be noted that, the the delay of installation of extensometers, and the
hydro-fracturing tests conducted at the location yield an missing data, have been determined with the help
in situ stress ratio of 0.67 [18]. However, in situ stress of: (i) Q-method [21], as depicted in the Fig. 5, for
ratio of 0.70, determined from the flat jack analysis, is known Q/height of the opening and rock mass quality,
adopted in the present analysis. Laboratory tests have the deformation can be obtained, and (ii) with the help
also been conducted on NX size rock samples, collected of the procedure available in literature [15].
from different locations in and around the opening area,
to evaluate their mechanical properties such as density,
static modulus of elasticity, unconfined compressive 3. Details of the FEM analyses
strength, tensile strength and Poisson’s ratio. Uncon-
fined compressive strength values for basalt and breccia Solvia 90, developed by Solvia Engineering AB,
are noted to vary from 45.2 to 58.2 MPa, and 19.3 to Sweden, has been used for analyses of underground
35.3 MPa, respectively [19]. Hence, a mean value of 53.6 openings. This finite element method (FEM) code
and 29.90 MPa has been chosen for basalt and breccia, consists of Solvia-pre, Solvia, Solvia-temp and Solvia-
respectively [19]. The tensile strength of these rocks is post modules. This code can also be used for birth and
219
160.00
161.74 163.15
155.00 Valve house 153.50
23.6 150.00 Transformer 146.50
45.00 hall
20.60 17.00 26.00 20.00
Gate shaft
Machine 127.00 130.00
hall Collection gallery
18.70 10.60 116.20
111.00
Table 1
Flat Jack test results for Koyna hydroelectric project
Location Chainage (m) Test point Direction Em (GPa) Induced stress (MPa)
Py Ph
death options of various elements such as plane stress/ searching for extreme results and response spectrum and
strain and axi-symmetric, 3D solid, beam, shell and pipe harmonic response analysis can be carried out using
elements, for modeling excavations and repairs, and can Solvia-post.
incorporate elastic orthotropic, nonlinear elastic, ther- The rock mass in which the openings are excavated is
mo-elastic, curve description, concrete, Drucker–Prager, discretized suitably. The faults and shear zones present
plastic-multilinear, and plastic creep rubber material in the rock mass are represented by an equivalent
models. Results from the analysis, using Solvia, can be continuum material [23]. As depicted in Fig. 6, the rock
directed via the porthole file to the Solvia-post program mass (300 m 360 m) is discretized with the help of 1420
and its database. Post-processing such as selected nodes and 467 elements (2D solid plane strain eight-
display of results in the form of plots and listings, node isoparametric elements) belonging to 23 element
220
groups. Displacements are constrained normal to the under consideration have been ignored, as their influ-
modal surfaces (depicted as C and B), whereas the ence would be negligible [24].
bottom corners are pinned (depicted as D). The rock For 3D finite element analysis, the rock mass (of size
mass parameters adopted for these element groups are 170 m 300 m 360 m) has been discretized into 1649
presented in Table 2. The points at which the field eight-node solid isoparametric elements with 8041
deformations are monitored are depicted in Fig. 3. nodes, as shown in Fig. 7. On the boundaries (left,
However, stresses in the direction normal to the plane 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
Table 2 23 groups, as depicted in Fig. 8. The rock mass
The rock mass properties used in the present study
parameters adopted for these groups are presented in
Element Linear elastic analysis Elasto-plastic analysis Table 2. The points at which the field deformations for
group 3D analysis are monitored are shown in Fig. 3. For
Em (GPa) n n Em (Gpa) c (MPa) f (1) realizing the machine hall opening, elimination of
1 16.86 0.18 — — — — certain set of elements is considered at different steps,
2 5.20 0.13 — — — — as depicted in Fig. 9. The following sequence of
3 16.86 0.18 — — — — excavation has been assumed:
4 — — 0.13 8.73 0.3 36
Step 1: No opening in the rock mass (i.e. setting of
5 — — 0.18 22.06 0.6 41
6 — — 0.13 8.73 0.3 36 initial stress conditions);
7 — — 0.18 22.06 0.6 41 Step 2: Excavation from top of the opening progresses
8 — — 0.18 22.06 0.6 41 to 23%;
9 — — 0.13 5.2 0.2 35 Step 3: Excavation from top of the opening progresses
10 — — 0.18 18.60 0.5 40
to 74%;
11 — — 0.13 8.73 0.3 36
12 — — 0.13 8.73 0.3 36 Step 4: Excavation from top of the opening progresses
13 — — 0.18 18.60 0.6 41 to 95%; and
14 — — 0.13 8.73 0.3 36 Step 5: Excavation from top of the opening progresses
15 — — 0.18 18.60 0.6 41 to 100%.
16 — — 0.13 8.73 0.5 40
17 — — 0.18 18.60 0.6 41
However, the effect of other small openings in the
18 8.73 0.13 — — — — rock mass such as openings for bus duct passage,
19 18.60 0.18 — — — — penstock, tailrace tunnel, etc. is localized and as such
20 8.73 0.13 — — — — has been ignored [25]. The rock mass properties, as
21 8.73 0.13 — — — — presented in Table 2, have been used in the present
22 18.60 0.18 — — — —
analyses. It has been assumed that the rock mass obeys
23 18.60 0.18 — — — —
Drucker–Prager yield criterion for Group 4–17, and
Em is the deformation modulus, c is the cohesion and f is the angle elastic behavior for Groups 1–3 and 18–23 [26,27]. This
of friction.
is mainly due to the fact that the Drucker–Prager failure
L/S
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 analysis at depths of 25, 10, 5 and 0 m for the machine
adopted quite conveniently for 3D applications [26]. 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
4. Results and discussion the monitored deformations. Similarly, Table 4 presents
a comparison of the computed and corrected field
4.1. Deformations extensometer results for 24 points, considered for 3D
analysis, at depths 25 and 0 m for the machine hall, and
Table 3 presents the computed and corrected field 30 and 0 m for the transformer hall (Fig. 3). It is noted
extensometer results for the 10 points, considered for 2D that for the machine hall, the computed deformations
222
Fig. 7. Discretization for the rock mass for 3D 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 trans-
former hall the same trend is noticed and the deforma-
tion 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, deforma-
tions 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 Fig. 8. Discretization of rock mass for 2D and 3D analyses showing
deformations when 3D analysis is carried out. different rock mass groups.
223
Table 4
Computed and monitored deformations of the openings (3D elasto-plastic analysis)
Opening Chainage (m) Location of the node Depth of the nodea (m) Deformation (mm)
Computed Monitored
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.
3. The major principal stresses obtained from 3D elasto- 4. Reduction of stresses and deformations around the
plastic analysis compare very well (in terms of openings is observed due to the application of the
stability) with the strength of the rock mass. 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.
40
Acknowledgements
Table 6
Effect of reinforcement on the nodal deformation of the openings (3D elasto-plastic analysis)
Opening Chainage (m) Location of the node Depth of the nodea (m) Deformation (mm)
Bombay. Thanks are also due to Koyna Hydro Electric [12] Grasso P, Toddlrt K, Maccan S, XC S. The construction, ground
Project Design Authorities for providing funds for reinforcement, and monitoring of a large cavern in poor rock
carrying out the in situ investigations and for supplying mass in NW Italy. In: Barla G, editor. Proceedings of ISRM
International Symposium on Prediction and Performance in Rock
borehole deformation data. Suggestions received from Mechanics and Rock Engineering, vol. 2, Eurock. Rotterdam,
Sh. Rizwan Ali, Research officer, CWPRS during the Netherlands: Balkema, 1996. p. 1007–14.
course of this study are gratefully acknowledged. [13] Faiella D, Garino A. Analysis of the behaviour of a large
cavern in a strongly fractured rock mass. In: Barla G, editor.
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