[Last revision – June 06] [UE-T6-1] [UE-T6-2]

Application examples of elasto-plastic solution of circular openings

Class notes on Underground Excavations in Rock

Topic 6:

Elasto-plastic solution of a circular tunnel

written by

Dr. C. Carranza-Torres and

Prof. J. Labuz

These series of notes have been written for the course Rock Mechanics II,
CE/GeoE 4311, co-taught by Prof. J. Labuz and Dr. C. Carranza-Torres
in the Spring 2006 at the Department of Civil Engineering, University
of Minnesota, USA.

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The critical internal pressure picr (1)

Elasto-plastic solution of a circular opening. Problem statement

If pi < picr the problem is characterized by two regions:

1- Elastic region r ≥ Rp
2- Plastic region r ≤ Rp

If pi ≥ picr the problem is fully elastic (the solution is given by Lamé’s The critical internal pressure picr can be found as the intersection of
solution). the failure envelope and Lamé’s representation of the stress state in the
reference system σθ ∼ σ1 vs σr ∼ σ3 .

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The critical internal pressure picr (2)

Lamé’s solution for stresses, with σθ replaced by σ1 and σr replaced by

σ3 , is
The critical internal pressure picr (3)

2
R
σ1 = σo + (σo − pi ) (1)
r Equating the right-hand side of equations (3) and (4), making σ3 = picr

2
R —see diagram in previous slide— the critical internal pressure picr is
σ3 = σo − (σo − pi ) (2)
found from the solution of the following equation
r
Equating the last part of the right-hand side of the equations above we 2σo − picr = f (picr ) (5)
have
σ1 = 2σo − σ3 (3) The equation above, that can be solved in closed-form for commonly
used failure functions f , defines the critical internal pressure below
The failure criterion of the material, defines the relationship between which the plastic zone develops around the tunnel —this critical internal
the principal stresses σ1 and σ3 at failure, and can be written as follows pressure is also equal to the radial stress at the elasto-plastic boundary
(see previous diagram).
σ1 = f (σ3 ) (4)

where f is a linear function (of the coefficients Kφ and σc ) in the case

of Mohr-Coulomb material, or a parabolic function (of the coefficients
mi and σci ) in the case of Hoek-Brown material.

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Solution for the plastic region (r ≤ Rp ). Hoek-Brown material (1)

A closed-form (exact) solution is possible when the coefficient a is equal

Solution for the elastic region (r ≥ Rp ) to 0.5 in the generalized Hoek-Brown criterion.

The failure criterion to be considered is

The solution for stresses and displacements in the elastic region is known 
σ3
from Lamé’s solution F = σ1 − σ3 − σci mb +s =0 (9)

 σci
 cr
 Rp 2
σr = σo − σo − pi (6)
r With the failure criterion (9), the critical internal pressure picr is obtained


  Rp 2 from the solution of equation (5) and results
σθ = σo + σo − picr (7)
r  2


1   Rp2 σci mb  σo s  s σci
ur = − σo − picr (8) picr = 1 − 1 + 16 + 2  − (10)
2G r 16 σci mb mb mb

Note that in the equations above, the radius of the opening is Rp and the
internal pressure is picr . The extent of the failure zone is
 
picr s pi s
Rp = R exp 2 + − + (11)
σci mb m2b σci mb m2b

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Solution for the plastic region (r ≤ Rp ). Hoek-Brown material (2)

The solution for the radial stress is

 
cr
2 Solution for the plastic region (r ≤ Rp ). Hoek-Brown material (3)
pi s 1 r s
σr = mb σci  + + ln − 2 (12)
σci mb m2b 2 Rp mb
where the coefficients ur (1) and ur (1) are
The solution for the hoop stress is Rp  
ur (1) = − σo − picr (15)
 2G
σr Rp  
σθ = σr + σci mb +s (13) ur (1) = σo − picr
σci 2G
(16)

and for a linear flow rule, the coefficients A1 , A2 and A3 are

The solution for the radial displacement is

  A1 = −Kψ (17)
1 r A1 r
ur = − A1 ur (1) (14) A2 = 1 − ν − νKψ
1 − A1 Rp Rp

A1  A3 = ν − (1 − ν)Kψ
1 r r
+ − ur (1) with
1 − A 1 Rp Rp

2 1 + sin ψ
Rp  σci mb  A2 − A3 r r
− ln Kψ = (18)
2G 4 1 − A 1 Rp Rp 1 − sin ψ

Rp A2 − A 3 picr s 1 A2 − A1 A3 where ψ is the dilation angle.
− (σci mb ) + −
2G (1 − A1 )2 σci mb m2b 2 (1 − A1 )3



r A1 r r r
× − + (1 − A1 ) ln
Rp Rp Rp Rp

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Solution for the plastic region (r ≤ Rp ). Mohr-Coulomb material (2)

Solution for the plastic region (r ≤ Rp ). Mohr-Coulomb material (1)
The solution for the radial stresses field σr is given by the following
The Mohr-Coulomb yield condition is expression
F = σ1 − Kφ σ3 − σc = 0

Kφ −1
(19)
cr σc r σc
σr = pi + − (24)
In the equation above the coefficient Kφ is related to the friction angle Kφ − 1 Rp Kφ − 1
φ according to
1 + sin φ The solution for the hoop stresses field σθ is given by the following
Kφ = (20) expression
1 − sin φ


Kφ −1
The unconfined compression strength σc is related to the cohesion c and cr σc r σc
σθ = Kφ pi + − (25)
the coefficient Kφ as follows Kφ − 1 Rp Kφ − 1

σc = 2c Kφ (21)
The solution for the radial displacement field ur is given by the following
expression
The critical internal pressure picr below which the failure zone develops
 
is 1 r A1 r

 ur = − A1 ur (1) (26)
2 σc σc 1 − A1 Rp Rp
picr = σo + − (22)
 
Kφ + 1 Kφ − 1 Kφ − 1 1 r A1 r
− − u (1)
1 − A1 Rp Rp r
The extent Rp of the failure zone is

Rp A2 − A3 Kφ σc
  1/(Kφ −1) − picr +
2G (1 − A1 )(Kφ − A1 ) Kφ − 1
picr + σc / Kφ − 1
A1
Kφ 
Rp = R   (23) r r r
pi + σc / Kφ − 1 × (A1 − Kφ ) − (1 − Kφ ) + (1 − A1 )
Rp Rp Rp

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Solution for the plastic region (r ≤ Rp ). Mohr-Coulomb material (3)

where the coefficients ur (1) and ur (1) are

Solution for the plastic region (r ≤ Rp ). Tresca material (1)
Rp  
ur (1) = − σo − picr (27)
2G
Rp   A Tresca material is a particular case of Mohr-Coulomb material in
ur (1) = σo − picr (28) which the friction angle φ is equal to zero. In such case the coefficient Kφ
2G
becomes one (see equation 20), and singularities appear in the solution
and for a linear flow rule, for stresses and displacements listed earlier (equations 22 through 26).
A1 = −Kψ (29)
The solution for Tresca material can be obtained by taking the limit of
A2 = 1 − ν − νKψ the expressions for the Mohr-Coulomb failure criterion (equations 22
A3 = ν − (1 − ν)Kψ through 26) when Kψ → 1, applying L’Hospital rule, as needed.
with The resulting expressions for Tresca material are given in the following
1 + sin ψ slides.
Kψ = (30)
1 − sin ψ

where ψ is the dilation angle.

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 [UE-T6-15] [UE-T6-16]

Solution for the plastic region (r ≤ Rp ). Tresca material (2)

The Tresca yield condition is

F = σ1 − σ3 − σc = 0 (31)

where the unconfined compression strength σc is related to the cohesion

c as follows
Solution for the plastic region (r ≤ Rp ). Tresca material (3)
σc = 2c (32)

The critical internal pressure picr below which the failure zone develops The solution for displacements is
is
 
σc 1 r A1 r
picr = σo − ur = − A1 ur (1) (37)
2
(33) 1 − A1 Rp Rp

 
1 r A1 r
The extent Rp of the failure zone is − − u (1)
 cr  1 − A1 Rp Rp r
pi − pi


Rp = R exp (34) Rp A2 − A3 r A1 r r r
σc − σc − + (1 − A1 ) ln
2G (1 − A1 ) 2 Rp Rp Rp Rp
The solution for the radial stresses field σr is given by the following
expression In the equation above, the coefficients ur (1), ur (1), A1 , A2 and A3 are


cr r the same coefficients defined by equations 27 through 30.
σr = pi + σc ln (35)
Rp

The solution for the hoop stresses field σθ is given by the following
expression


r
σθ = picr + σc ln + σc (36)
Rp

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Application examples of the exact elasto-plastic solutions and

comparison with numerical models

The closed-form solutions presented earlier for Hoek-Brown and Mohr-

Coulomb materials will be compared with results given by the finite
difference numerical software FLAC (www.itascacg.com).

The mesh used in the numerical models, the description of two particu-
lar problems of tunnel excavation in Hoek-Brown and Mohr-Coulomb
materials and the corresponding results (analytical and numerical) are
described in the following slides.

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 [UE-T6-19] [UE-T6-20]

Example of elasto-plastic analysis. Hoek-Brown material (1)

Example of elasto-plastic analysis. Hoek-Brown material (2)

Problem definition

Solution for radial and hoop stresses

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 [UE-T6-21] [UE-T6-22]

Example of elasto-plastic analysis. Mohr-Coulomb material (1)

Example of elasto-plastic analysis. Hoek-Brown material (3)

Problem definition
Solution for radial displacement

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 [UE-T6-23] [UE-T6-24]

Example of elasto-plastic analysis. Mohr-Coulomb material (2) Example of elasto-plastic analysis. Mohr-Coulomb material (3)

Solution for radial and hoop stresses Solution for radial displacement

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 [UE-T6-25] [UE-T6-26]
Effect of far-field loading on the shape of failure zone (1)

Effect of far-field loading on the shape of failure zone (2)

The chart is reproduced from Detournay and St. John (1988). As indi-
cated in the graph, Po is the mean far-field stress, Po = (σvo + σho )/2,
and So is the deviator far-field far-stress, So = (σvo − σho )/2. The chart is
valid for a Mohr-Coulomb failure criterion with friction angle φ = 30◦
and unconfined compression strength σc .

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 [UE-T6-27] [UE-T6-28]

Effect of far-field loading on the shape of failure zone (3)

Effect of far-field loading on the shape of failure zone (4)

Displacements at the springline and crown of the tunnel

(The solution above is presented in Detournay and Fairhurst, 1987).

(The solution above is presented in Detournay and Fairhurst, 1987).

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 [UE-T6-29] [UE-T6-30]

Recommended references (1)

Books/manuscripts discussing elasto-plastic solutions for tunnel prob-
lems:
• Brady B.H.G. and E.T. Brown, 2004, ‘Rock Mechanics for Under-
ground Mining’, 3rd Edition, Kluwer Academic Publishers.
• Hoek E., 2000, ‘Rock Engineering. Course Notes by Evert Hoek’.
Available for downloading at ‘Hoek’s Corner’, www.rocscience.com.
• Hudson J.A. and Harrison J.P. (1997), ‘Engineering Rock Mechanics.
An Introduction to the Principles’. Pergamon.
• Jaeger J. C. and N. G.W. Cook, 1979, ‘Fundamentals of rock mechan-
ics’, John Wiley & Sons.
• U.S. Army Corps of Engineers, 1997, ‘Tunnels and shafts in rock’.
Available for downloading at www.usace.army.mil
Recommended references (2)
For elasto-plastic solution of cavities in Hoek-Brown materials:
• Carranza-Torres, C. and C. Fairhurst (1999), ‘The elasto-plastic re-
sponse of underground excavations in rock masses that satisfy the Hoek-
Brown failure criterion’. International Journal of Rock Mechanics and
Mining Sciences 36(6), 777–809.
• Carranza-Torres, C. (2004), ‘Elasto-plastic solution of tunnel prob-
lems using the generalized form of the Hoek-Brown failure criterion’.
Proceedings of the ISRM SINOROCK 2004 Symposium China, May
2004. Edited by J.A. Hudson and F. Xia-Ting. International Journal of
Rock Mechanics and Mining Sciences 41(3), 480–481.

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 [UE-T6-31] [UE-T6-32]

Recommended references (3)

For elasto-plastic solutions of cavities in Mohr-Coulomb materials, in-
cluding cases of non-uniform far-field stresses:
• Detournay E. and C. St. John (1988), ‘Design charts for a deep
circular tunnel under non-uniform loading’. Rock Mechanics and Rock
Engineering, 21:119–137.
• Detournay E. and C. Fairhurst (1987), ‘Two-dimensional elasto-plastic
analysis of a long, cylindrical cavity under non-hydrostatic loading’. Int.
J. Rock Mech. Min. Sci. & Geomech. Abstr., 24(4):197–211.
• Detournay E. (1986), ‘Elastoplastic model of a deep tunnel for a
rock with variable dilatancy’. Rock Mechanics and Rock Engineering,
19:99–108.
• Carranza-Torres, C. (2003), ‘Dimensionless graphical representation
of the elasto-plastic solution of a circular tunnel in a Mohr-Coulomb
material’. Rock Mechanics and Rock Engineering 36(3), 237–253.
Recommended references (4)
Some classic papers/books on the topic of elasto-plastic solutions of
tunnel problems:
• Brown E.T., J. W. Bray, B. Ladanyi, and E. Hoek (1983), ‘Ground
response curves for rock tunnels’. ASCE J. Geotech. Eng. Div.,
109(1):15–39.
• Duncan-Fama (1993). ‘Numerical modelling of of yield zones in
weak rocks’. In J. A. Hudson, E. T. Brown, C. Fairhurst, and E. Hoek,
editors, Comprehensive Rock Engineering. Volume 2. Analysis and
Design Methods., pages 49–75. Pergamon Press.
• Salençon J. (1969) ‘Contraction quasi-statique d’une cavité a symétrie
sphérique ou cylindrique dans un milieu élastoplastique’. Annls Ponts
Chauss. 4:231–236.
• Panet M. (1995), ‘Calcul des Tunnels par la Méthode de Convergence-
Confinement’. Press de l’École Nationale des Ponts et Chaussées.

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