Book-Analysis of Discontinuous Deformation-New Developments and Applications-2010 PDF

Preface
The first International Conference on Analysis of Discontinuous Conference (ICADD) was held in Taiwan in 1995. Since then,
it has been hosted in sequence in Japan (1997), USA (1999), UK (2001), Israel (2002), Norway (2003), USA (2005), China
(2007) and Singapore (2009). The conference series aims to exchange ideas and new developments in the various modeling
methods for discontinuous deformation. It also promotes the application of the developed methods to rock engineering
problems, including but not limited to stability analysis of rock slope, storage carvern, rock tunnels, and underground
power stations; and more recently in stress wave propagation in rock mass; rock support design; failure of heterogeneous
rock materials; and mining.
This book contains the technical papers presented at the 9th International Conference on Analysis of Discontinuous
Deformation (ICADD9) held at the Nanyang Technological University (NTU), Singapore on 25‐27 November 2009. These
papers represent the most recent advances and developments in the increasingly important field of discontinuous
deformation analysis in rock mechanics and engineering. Following the tradition of the conference series, the main
schemes of ICADD9 are on the key block theory and its engineering applications, the discontinuous deformation analysis
(DDA) method and the numerical manifold method (NMM). However, other relevant topics, for example, the
distinct/discrete element method, the meshless method, the finite element method in rock mechanics and engineering
applications are also included.
ICADD9 received more than 140 abstracts from 17 countries. After a vigorous selection and review process, just over 80
papers were accepted for oral presentation at the conference and for inclusion in this book. Still, these represent the
largest number of papers presented at the ICADD Conference series.
We would like to acknowledge the authors and speakers for their contribution to ICADD9. Special thanks are due to Dr
Genhua Shi for his continuous support and encouragement. Thanks are also due to CMA International Consultant Pte Ltd
for their secretariat support. The Underground Technology & Rock Engineering team of NTU and the Defence Science and
Technology Agency also provided technical support for the conference.
The successful organization of ICADD9 would not have been possible without the untiring efforts of the organizing
committee. Their volunteering but efficient works helped the planning and organizing stages in a great success. We would
also like to extend our gratitude to the following sponsors for their support: Tritech Group Pte Ltd, Singapore; Basissoft, LLP,
Korea; The Yangtze River Scientific Research Institute, China; Advance Contech (S) Pte Ltd, Singapore; SK E&C Singapore
Branch; Hyundai Engineering & Construction Co. Ltd, Korea; Knights Synergy (S) Pte Ltd, Singapore; Dongah Geological
Engineering Co Ltd, Singapore.
Guowei MA and Yingxin ZHOU
Editors
About the Book
This book contains 73 technical papers and 7 keynote papers from the industry experts were presented at the 9th
International Conference on Analysis of Discontinuous Deformation — New Development and Applications held in the
Nanyang Technological University, Singapore on 25–27 November 2009. It represents the latest advances in numerical and
analytical methods related to rock mechanics and engineering.
Following the tradition of the conference series, the main schemes of the conference papers are on the key block theory
and its engineering applications, the discontinuous deformation analysis (DDA) method and the numerical manifold method
(NMM). However, other relevant topics, for example, the distinct/discrete element method, the meshless method, the
finite element method in rock mechanics and engineering applications are also included.
For rock masses where the discontinuities dominate their behaviour in a rock engineering system such as rock slopes and
underground rock caverns, the analysis of discontinuous deformation is of critical importance in the stability analysis and
engineering design. It is hoped that this book serves as a useful reference for both researchers and engineers on the new
developments and applications of the various available modeling techniques and tools in this increasingly important field of
rock mechanics and engineering.
Table of Contents
Keynote Papers
Rock Stability Analysis and Three Convergences of Discontinuous Deformation Analysis (DDA)

Gen‐Hua Shi
Modelling Dynamic Deformation in Natural Rock Slopes and Underground Openings With DDA

Y. H. Hatzor
Study on the Formation Mechanism of Tanjiashan Landslide Triggered by Wenchuan Earthquake Using DDA

Simulation
Wu Aiqing, Yang Qigui, Ma Guisheng, Lu Bo and Li Xiaojun
A G Space Theory with Discontinuous Functions for Weakened Weak (W2) Formulation of Numerical Methods

G. R. Liu
Concerning the Influenced of Velocity Ratio and Topography Model on the Result of Rockfall Simulation

T. Shimauchi, K. Nakamura, S. Nishiyama and Y. Ohnishi
Development of Numerical Manifold Method and Its Application in Rock Engineering

Guowei Ma, Lei He and Xinmei An
Tensorial Approach to Rock Mass Strength and Deformability in Three Dimensions

P. H. S. W. Kulatilake

Technical Papers
Contact Algorithm Modification of DDA and Its Verification

Y. J. Ning, J. Yang, G. W. Ma and P. W. Chen
DDA for Dynamic Failure Problems and Its Application in Rock Blasting Simulation

Y. J. Ning, J. Yang, G. W. Ma and P. W. Chen
Study on Roof Caving Problem with DDA Method

Liu Yong‐Qian, Yang Jun, Chen Peng‐Wan and Ning You‐Jun
Indeterminacy of the Vertex‐vertex Contact in the 2D Discontinuous Deformation Analysis

H. R. Bao and Z. Y. Zhao
Complementary Formulation of Discontinuous Deformation Analysis

W. Jiang and H. Zheng
Accelerated Block Sectioning Algorithm Based on Half‐Edge Data Structure

Jian Xue
A New Contact Method using Inscribed Sphere for 3D Discontinuous Deformation Analysis

Tae‐Young Ahn, Sung‐Hoon Ryu, Jae‐Joon Song and Chung‐In Lee
Study on Failure Characteristics and Support Measure of Layer Structure_Cataclasm Rock Mass

Guang Bin Shi, Junguang Bai,Minjiang Wang,Baoping Sun, Ying Wang and Genhua Shi
Stability Analysis of Expansive Soil Slope Using DDA

Lin Shaozhong and Qiu Kuanhong
DDA Simulations for Huge Landslides in Aratozawa Area, Miyagi, Japan Caused by Iwate‐Miyagi Nairiku Earthquake

K. Irie, T Koyama, E Hamasaki, S Nishiyama, Kshimaoka and Y Ohnishi
Modelling Crack Propagation with Nodal‐based Discontinuous Deformation Analysis

H. R. Bao and Z. Y. Zhao
Discontinuous Deformation Analysis for Parallel Hole Cut Blasting in Rock Mass

Zhiye Zhao, Yun Zhang and Xueying Wei
The Analysis of Structure Deformation Using DDA with Third Order Displacement Function

T. Huang, G. X. Zhang and X. C. Peng
Application of DDA to Evaluate the Dynamic Behaviour of Submarine Landslides Which Generated Tsunamis in the

Marmara Sea
G. C. Ma, F. Kaneko and S. Hori
3D DDA vs. Analytical Solutions for Dynamic Sliding of a Tetrahedral Wedge

D. Bakun‐Mazor, Y. H. Hatzor and S. D. Glaser
Application of Strength Reduction DDA Method in Stability Analysis of Road Tunnels

Xia Caichu, Xu Chongbang and Zhao Xu
Micromechanical Simulation of the Damage and Fracture Behavior of a Highly Particle‐filled Composite Material

Using Manifold Method
Huai Haoju, Chen Pengwan and Dai Kaida
The Application of Discontinuous Deformation Analysis in the Slope Stability of the Expansive Soil

Lin Yuliang and Wei Lingjing
Extension of Distinct Element Method and Its Application in Fracture Analysis of Quasi‐brittle Materials

Y. L. Hou, G. Q. Chen and C. H. Zhang
A Comparison Between the NMM and the XFEM in Discontinuity Modelling

X. M. An and G. W. Ma
Initial Stress Formulae for High‐Order Numerical Manifold Method and High‐Order DDA

Haidong Su and Xiaoling Xie
Development of Coupled Discontinuous Deformation Analysis and Numerical Manifold Method (NMM‐DDA) and Its

Application to Dynamic Problems
S. Miki, T. Sasaki, T. Koyama, S. Nishiyama and Y. Ohnishi
Stability Analysis of Ancient Block Structures by Using DDA and Manifold Method

T. Sasaki, I. Hagiwara, K. Sasaki, R. Yoshinaka, Y. Ohnishi, S. Nishiyama and T. Koyama
Application of Manifold Method (MM) to the Stability Problems for Cut Slopes along the National Roads

Y. Ohnishi, T. Koyama, Kazuya Yagi, Tadashi Kobayashi, Shigeru Miki, Takumi Nakai and Yoshifumi Maruki
Boundary Deformability and Convergence in the Higher‐Order Numerical Manifold Method

D. Kourepinis, C. J. Pearce and N. Bicanic
The Numerical Manifold Method and Extended Finite Element Method — A Comparison from the Perspective of

Discontinuous Deformation Analysis
D. Kourepinis, C. J. Pearce and N. Bicanic
Accuracy Comparison of Rectangular and Triangular Mathematical Elements in the Numerical Manifold Method

H. H. Zhang, Y. L. Chen, L. X. Li, X. M. An and G. W. Ma
Development of 3‐D Numerical Manifold Method

G. W. Ma and L. He
Application of the Optimization for Rock Tunnel's Axis Trend by Block Theory

Yang Wenjun, Hong Baoning, Sun Shaorui and Zhu Lei
Quarry Wall Stability Analysis Using Key Block Theory — a Case Study

Lu Bo, Ding Xiuli and Dong Zhihong
Probabilistic Key Block Analysis of a Mine Ventilation Shaft Stability — a Case Study

Gang Chen
The Support Design for Slope and Tunnel Engineering Based on Block Theory

Jiao Liqing, Ma Guowei, He Lei and Fu Guoyang
Hereditary Problems in Long‐Wall Mining by Free Hexagons

P. P. Prochazka and Kamila Weiglova
Analysis of Large Rock Deformation Under High in situ Stress

S. G. Chen, Y. B. Zhao and H. Zhang
Gotthard Base Tunnel: UDEC Simulations of Micro Tremors Encountered during Construction

H. Hagedorn and R. Stadelmann
Discrete Modeling of Fluid Flow in Fractured Sedimentary Rocks

Wu Wei, Li Yong and Ma Guowei
An Investigation of Numerical Damping for Modeling of Impact

T. Nishimura
Development of Modified RBSM for Rock Mechanics Using Principle of Hybrid‐type Virtual Work

N. Takeuchi, Y. Tajiri and E. Hamasaki
High Rock Slope Stability Analysis Using the Meshless Shepard and Least Squares Method

X. Zhuang, H. H. Zhu and Y. C. Cai
Numerical Modelling of Laboratory Behaviour of Single Laterally Loaded Piles Socketed into Jointed Rocks

W. L. Chong, A. Haque, P. G. Ranjith and A. Shahinuzzaman
Distinct Element Analysis on the Stability of a Stone Pagoda at Mireuk Temple Site in Korea

H. Kim and S. Jeon
Distinct Element Analysis of Staged Constructed Underground Cavern in the Vicinity of a Fault

H. C. Chua, A. T. C. Goh and Z. Y. Zhao
Numerical Experiment on Thermo‐Mechanical Behavior of Jointed Rock Masses under Cryogenic Conditions

S. K. Chung, E. S. Park, Y. B. Jung and T. K. Kim
UDEC Simulation of Block Stability Analysis Around a Large Cavern

A. Sookhak, A. Baghbanan, H. Hashemalhosseini and M. Bagheri
The Application of Meshless Methods in Analysis of Discontinuous Deformation

M. Hajiazizi
The Optimum Distance of Roof Umbrella Method for Soft Ground by Using PFC

Yusuke Doi, Tatsuhiko Otani and Masato Shinji
3DEC Investigation on Slope Stability at Norwich Part Mine

S. G. Chen and B. Shen
Evaluation of Deformations Around a Tunnel by Using FEM, FEBEM, UDEC, UDEC‐BE and CFS

Rajbal Singh
Numerical Modeling of Undrained Cyclic Behaviour of Granular Media Using Discrete Element Method

B. Ferdowsi, A. Soroush and R. Shafipour
A Fundamental Study on the SPH Method Application for Impact Response of RC Structural Members

J. Fukazawa and Y. Sonoda
2‐D FEM Analysis of the Rock Fragmentation by Two Drill Bits

S. Y. Wang, Z. Z. Liang, M. L. Huang and C. A. Tang
Determination Method of Rock Mass Hydraulic Conductivity Tensor Based on Back‐Analysis of Fracture

Transmissivity and Fracture Network Model
Li Xiaozhao, Ji Chengliang, Wang Ju, Zhao Xiaobao, Wang Zhitao, Shao Guanhui and Wang Yizhuang
Numerical Simulation of Scale Effect of Jointed Rock Masses

Z. Z. Liang, L. C. Li, C. A. Tang and S. Y. Wang
Influence of Cobblestone Geometrical Property on Equivalent Elastic Modulus of Cobblestone‐Soil Matrix

M. Z. Gao, H. S. Ma, and J. Zhao
Comparative Studies of Physical and Numerical Modeling on Regular Discontinuities

Abbas Majdi, Hessam Moghaddam Ali and Kayumars Emad
Probabilistic Assessment of a Railway Steel Bridge

B. Culek, V. Dolezel and P. P. Prochazka
An Analysis of Dynamic Tensile Fracture in Concrete Under High Strain Rate

M. Kurumatani, S. Iwata, K. Terada, S. Okazawa and K. Kashiyama
A New Equivalent Medium Model for P‐wave Propagation Through Rock Mass with Parallel Joints

G. W. Ma, L. F. Fan and J. C. Li
Stability Analysis of Transformer Cavern and the Corresponding Bus Duct System at Siyah Bishe Pumped Storage

Power Plant
Abbas Majdi, Kayumars Emad and Hessam Moghaddam Ali
Process Zone Development Associated with Cracking Processes in Carrara Marble

L. N. Y. Wong and H. H. Einstein
Simulation of Stress Singularity Around the Crack Tips for LEFM Problems Using a New Numerical Method

G. R. Liu and N. Nourbakhsh Nia
Modeling of Three‐dimensional Hydrofracture in Permeable Rocks Subjected to Differential Far‐field Stresses

L. C. Li, C. A. Tang, G. Li and Z. Z. Liang
Crack Propagation Analysis using Wavelet Galerkin Method

S. Tanaka, S. Okazawa and H. Okada
Simulation of Multiphase Fluid Motion in Pore‐scale Fractures

M. B. Liu and J. Z. Chang
An Analysis of Model Tests on Rock Cavern Damage Induced by Underground Explosion

Zhang Xingui, Ma Guowei, Wu Wei, Yan Lie, Li Mangyuan and Cheng Qingsheng
Microscopic Numerical Modelling of the Dynamic Strength of Brittle Rock

G. ‐F. Zhao and J. Zhao
Fault Studies and Coal‐gas‐outburst Forecast in Coal Mines

H. Q. Cui, X. L. Jia, Z. P. Xue and F. L. Yang
Suggestion of Equations to Determine the Elastic Constants of a Transversely Isotropic Rock Specimen

Chulwhan Park, Chan Park, E. S. Park, Y. B. Jung and J. W. Kim
Numerical Analysis of Deep Excavation Affected by Tectonic Discontinuity

L. Mica, V. Racansky and J. Grepl
The Finite Element Analysis for Concrete Filled Steel Tubular Columns under Blast Load

J. H. Zhao, X. Y. Wei and S. F. Ma
Numerical Simulation of Performance of Concrete‐filled FRP Tubes Under Impact Loading

C. Wu, T. Ozbakkloglu , G. Ma, Z. Y. Huang
Estimating Hydraulic Permeability of Fractured Crystalline Rocks Using Geometrical Parameters

R. Vesipa, Z. Zhao and L. Jing
Mutual Effect of Tectonic Dislocations and Tunnel Linings during Tunnelling

K. Weiglová and J. Boštík
Rock Stability Analysis and Three Convergences of Discontinuous
Deformation Analysis (DDA)
GEN-HUA SHI
DDA Company, 1746 Terrace Drive, Belmont, CA 94002, USA
1. Introduction
In the field of practical rock engineering, there are two independent computations: continuous
computation and limit equilibrium computation. Limit equilibrium is still the fundamental
method for global stability analysis. For any numerical method, reaching limit equilibrium
requires large displacements, discontinuous contacts, precise friction law, multi-step com-
putation and stabilized time-step dynamic computation. Therefore three convergences are
unavoidable: convergence of equilibrium equations, convergence of open-close iterations for
all contacts and convergence of the maximum displacement for static computations. This
paper focuses mainly on applications of two-dimensional DDA. The applications show DDA
has the ability to reach limit equilibrium of block systems. For slope or tunnel stability anal-
yses, this paper works on rock block sliding and rotation. For dam foundation stability
analysis, this paper presents dam foundation damage computation, where the block sliding
is a main issue.
2. Rock Stability Computation

2.1. About discontinuous deformation analysis (DDA)
DDA works on block systems. Each block has linear displacements or constant stresses and
strains.
The current version of 2d-DDA bas 6 unknowns per block:
x direction movement dx ,
y direction movement dy ,
rotation rxy ,
x direction strain εx ,
y direction strain εy ,
shear strain τxy .
DDA uses multi-time steps. Both static and dynamic cases use dynamic computation. Static
computation is the stabilized dynamic computation by applying small mount of damping.
Therefore DDA can perform discontinuous and large deformation computation for both
static and dynamic cases.
For each time steps, DDA usually has several open-close iterations. DDA readjust open,
close or sliding modes until every contact position has the same contact mode before and
after the equation solving then going to next time step. For each open-close iteration of each
time step, DDA solves global equilibrium equations. The friction law is ensured in DDA
computation. This law is the principle law of stability analysis. Also, the friction law is
inequality equations in mathematics.
Corresponding author. E-mail: sghua@aol.com
Analysis of Discontinuous Deformation: New Developments and Applications.

Edited by Guowei MA and Yingxin ZHOU. Published by Research Publishing Services.
Copyright c 2009 by Society for Rock Mechanics & Engineering Geology (Singapore).
ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-keynote-Shi-Genhua 1
Analysis of Discontinuous Deformation: New Developments and Applications
Every single block of 2-d DDA can be a generally shaped convex or concave two-dimen-
sional polygon. Each block can have any number of edges. Based on simplex integration, the
stiffness matrices, the inertia matrices, the matrices of initial stresses, the loading matrices
and all other matrices of DDA are analytical solutions.
DDA has complete linear contact modes. If the time step is small enough and the total
step number is large enough, DDA can simulate any possible complex movements of block
systems.
DDA serves as a bridge between FEM and limit equilibrium method. DDA has strict equi-
librium at each time step. After certain time step, DDA reaches dynamic or static limit equi-
librium for whole simply deformable block systems.
DDA also served as implicit version of DEM method. DDA has all advantages of dynamic
relaxation yet the convergence is strict and the result is accurate.
More important, DDA is a very well examined method by analytical solutions, physical
model tests and large engineering projects.
2.2. Five different factor of safety for gravity dam foundation stability
analysis
Table 1 shows the input data of three cases of dam foundation stability computation using
two-dimensional DDA. Figure 1 shows the mode of failure by increasing total water pressure
and reducing the friction angle. Based on the mode of failure, the sliding blocks are chosen.
Based on the assumed sliding blocks, different factors of safety are computed. In Table 1,
three cases are included:
Case 1 is limit equilibrium method. Here normal loads are applied, the factor of safety of
the chosen sliding blocks are computed. The factor of safety is 1.94 as shown in Table 1.
Case 2 is the fictitious force method. Keeping the stability, increase the water pressure as
much as possible. The factor of safety is the ratio of applied total water pressure and the
total normal water pressure. The factor of safety is 2.80 as shown in Table 1.
Case 3 is the strength reduction method. Keeping the stability, reducing the friction angle
as much as possible. The factor of safety is the ratio of the tangent of real friction angle and
the tangent of reduced friction angle. The factor of safety is 2.91 as shown in Table 1.
Table 1. Physical data of rock mass of gravity dam foundation.

Material parameters 1. Limit equilibrium 2. Fictitious force 3. Strength reduction
Unit weight 2.4 2.4 2.4

Elastic Modulus 2600000 2600000 2600000
Poisson’s ratio 0.25 0.25 0.25
Friction angle 17.0 17.0 6.0
Cohesion 0.0 0.0 0.0
Additional water pressure 0.0 7290 0.0
Dynamic ratio 0.9999 0.999 0.999
Contact stiffness 10000000 5000000 10000000
Time interval 0.05 0.05 0.05
Total time step 1500 1500 1500
Ending max. displ. ratio <0.0000005 <0.0000005 <0.0000005
Factor of safety 1.94 2.80 2.91
Margin factor of safety +0.0 +0.14 +0.39
2
Figure 1. Dam foundation failure with increased water pressure and reduced friction angle.
Case 4 is the limit equilibrium method under the fictitious force. All parameters are the
same as case 2. The computation is also identical with case 2. After increasing the water
load, the computed factor of safety FS is still greater than 1.0. The resulting factor of safety
is the factor of safety of case 2 plus the marginal factor of safety FS − 1.0 = 0.14.
Case 5 is the limit equilibrium method under the reduced friction angle. All parameters are
the same as case 3. The computation is also identical with case 3. After reducing the friction
angle, the computed factor of safety FS is still greater than 1.0. The resulting factor of safety
is the factor of safety of case 3 plus the marginal factor of safety FS − 1.0 = 0.39.
The dynamic ratio is 0.9999 in case 1 for example. It means the next time step inherent
99.99% of the velocity from the previous time step.
The maximum displacement ratio is the allowed maximum step displacement divided by
the half height of the whole mesh. In Table 1, the maximum displacement ratio is less than
0.0000005.
The unified units on weight, length, time and angle are the following:
Weight unit: Ton

Length unit: meter
Time unit: second
Angle unit: degree
The computation results of all case 1 to case 5 are stable. All case 1 to case 5 didn’t reach
limit equilibrium. Except case 1, all case 2 to case 5 are close to limit equilibrium. Figure 2
shows the results of all case 1 to case 5. The computation requirement of case 2 to case 5 is
highly difficult because these cases are very close to limit equilibrium or very close to failure.
The computation of case 2 to case 5 also requires three convergences.
2.3. Rock falling of underground power chambers

In the following, sections of a given underground powerhouse are analyzed by two-dimen-
sional DDA. The underground powerhouse section has two cases: without bolt support and
with bolt support. All two cases are based on the same geometric data of joint sets shown by
Table 2. Table 3 shows the physical data of the underground chamber rock mass.
The rock falling computation of underground chamber (Figures 3–4) uses two-dimensional
DDA. Total 1800 time steps are used. In the cases of Figure 2 and 3, the time interval was
3
Figure 2. Result of dam foundation of case 1 to case 5.
automatic chosen and controlled by maximum displacement ratio 0.001. In the cases of
Figures 3 and 4, the dynamic ratio is 1.0. It means in the beginning of the next time step
100% of velocity is inherited from the present time step. Therefore rock falling computation
is fully dynamic without damping.
The geometric data of joint sets of the underground power chamber for Figure 3–6 are
shown in Table 2.
The physical data of the rock mass of Figures 3–4 are shown on Table 3.
Figures 3 and 4 show rock fall process and final state of this underground powerhouse.
Table 2. Geometric data of joint sets of the underground power

chamber.
Joint set 1 2 3
Dip angle 35 degree 70 degree 85 degree

Dip direction 315 degree 150 degree 25 degree
Average spacing 6.0 meter 4.0 meter 3.0 meter
Average length 100 meter 20 meter 30 meter
Average bridge 0.2 meter 1.0 meter 0.5 meter
Degree of random 0.0–1.0 0.5 0.5 0.5
Table 3. Physical data of underground chamber rock mass.

Material parameters Parameters Computation data Data
Unit weight 2.7 Dynamic ratio 1.0

Elastic Modulus 3000000 Contact stiffness 1000000
Poisson’s ratio 0.25 Time interval Automatic
Friction angle 25 Total time step 1800
Cohesion 0 Ending max. displ. ratio 0.48
4
Figure 3. Rock falling process of the underground powerhouse computed by 2-d DDA without bolt
support.
Figure 4. Rock falling final condition of the underground powerhouse computed by 2-d DDA without
bolt support.
5
Figure 5. Bolting computation of underground powerhouse where the location of each bolt is drawn.
Figure 6. Bolting forces of the underground powerhouse where the force of each bolt is drawn as the
length along this bolt.
2.4. Rock bolting of an underground power chamber
The rock bolting computation of the underground chamber (Figures 5–6) uses two-dimen-
sional DDA. Total 2000 time steps are used. The time interval was not controlled by maxi-
mum displacement ratio. The step time interval is 0.002 seconds. The dynamic ratio is 0.97.
6
Table 4. Physical data of underground chamber rock mass.

Material parameters Parameter Computation data Data
Unit weight 2.7 Dynamic ratio 0.97

Elastic modulus 3000000 Contact stiffness 3000000
Poisson’s ratio 0.25 Time interval 0.002
Friction angle 25 Total time step 2000
Cohesion 0 Ending max. displ. ratio 0.000026
Bolt stiffness 16889 Max. bolting force error <0.0000005
It means in the beginning of the next time step 97% of velocity is inherited from the present
time step. This miner volume damping can obtain stabilized contact forces. The forces of all
bolts are highly stabilized. The bolting forces were not changed in 6 digits after the dismal
point under large enough time steps.
The physical data of the rock mass of Figures 5–6 are shown on Table 4.
Figure 5 shows the location of each rock bolts. The length of the rock bolts are 10 meter
and 12 meters alternatively. The bolt spacing is one meter. The diameter of the rock bolts is
32 mm.
Figure 6 shows the bolting forces of the underground powerhouse where the force of each
bolt is drawn as the length along this bolt.
Figure 7 is the time depending resulting bolting forces (unit ton) of bolt number 1 to 30
counting from top centre down and right to left in each level of the underground power
house section. From bolt 1 to bolt 30, there are two bolts where the tension forces exceed 25
tons as shown by Figure 7.
Figure 8 is time depending resulting bolting forces (unit ton) of bolt number 31 to 60
house section. It can be seen that, there are two bolts where the tension forces are greater
than 25 tons.
60
bol t 1
bol t 2
bol t 3
bol t 4
50
bol t 5
bol t 6
bol t 7
bol t 8
bol t 9
40 bol t 10
bol t 11
bol t 12
bdt stress
bol t 13
bol t 14
bol t 15
30 bol t 16
bol t 17
bol t 18
bol t 19
bol t 20
bol t 21
20
bol t 22
bol t 23
bol t 24
bol t 25
bol t 26
10 bol t 27
bol t 28
bol t 29
bol t 30
0
0 1 2 3 4 5 6 7
time
Figure 7. Time depending resulting bolting forces of bolt number 1 to 30 counting from top centre
down and right to left in each level of the underground power house section.
7
40
bol t 31
35 bol t 32
bol t 33
bol t 34
bol t 35
bol t 36
30 bol t 37
bol t 38
bol t 39
bol t 40
25 bol t 41
bol t 42
bdt stress
bol t 43
bol t 44
bol t 45
20 bol t 46
bol t 47
bol t 48
bol t 49
15 bol t 50
bol t 51
bol t 52
bol t 53
bol t 54
10 bol t 55
bol t 56
bol t 57
bol t 58
5 bol t 59
bol t 60
0
0 1 2 3 4 5 6 7
time
Figure 9 is time depending resulting bolting forces (unit ton) of bolt number 61 to 90
house section. It can be seen from Figure 9 that, there is no blot where the tension force is
greater than 25 tons.
Figure 10 is the time depending resulting bolting forces (unit ton) of bolt number 91 to
115 counting from top centre down and right to left in each level of the underground power
house section. It can be seen that, there is only one bolt where the tension force is greater
than 25 tons.
25
bol t 61
bol t 62
bol t 63
bol t 64
20
bol t 65
bol t 66
bol t 67
bol t 68
bol t 69
bol t 70
bol t 71
15 bol t 72
bdt stress
bol t 73
bol t 74
bol t 75
bol t 76
bol t 77
bol t 78
bol t 79
10
bol t 80
bol t 81
bol t 82
bol t 83
bol t 84
bol t 85
bol t 86
5 bol t 87
bol t 88
bol t 89
bol t 90
0
0 1 2 3 4 5 6 7
time
8
30
25
bol t 91
bol t 92
bol t 93
bol t 94
20 bol t 95
bol t 96
bol t 97
bol t 98
bol t 99
bol t 100
15 bol t 101
bol t 102
bol t 103
bol t 104
bol t 105
10 bol t 106
bol t 107
bol t 108
bol t 109
bol t 110
5 bol t 111
bol t 112
bol t 113
bol t 114
bol t 115
-5
0 1 2 3 4 5 6 7
Table 5. Geometry and physical data of joint set.

Joint set Dip angle Average spacing Average length Cohesion Friction angle
1 (foliation) 70 degree 7 ft 2000 ft 0 psf 10 degree

2 20 degree 30 ft 30 ft 0 psf 30 degree
Weight unit: Ton

Length unit: meter
Time unit: second
Angle unit: degree
2.5. Stability computation of toppling slopes: foliation planes have 70

degrees dip angle
From the drilling data, the original dip angle of the foliation planes is about 70 degrees. If
after toppling, the second joint set has 40 degrees dip angle, the original dip angle of the
second joint set is about 20 degrees. The following Table 5 includes the geometric data and
physical data of the joint sets and rock masses. The following computation is to simulate or
back calculate the past toppling of the slope.
Figure 11 shows the result of the slope, the dip angle of the foliation planes is 70 degrees.
Figure 12 is the time depending movements of the measured points under the anchor block
of the slope for the previous case of Figure 11.
Computation of two-dimensional DDA uses 30000 time steps, 0.002 second per step. The
dynamic ratio is 0.99. It means the next time step inherent 0.99 of the velocity from the
previous time step. Under the 70 degrees dip angle of the foliation planes, the toppling of
the slope is very large. It can be seen; the slope is convex which gives more room for block
rotation or toppling.
9
Figure 11. Toppling of the slope where the dip angle of foliation plane is 70 degrees.
AB5 dip=70 with weak zone
10
7
10 ft
20 ft
displacement ft
6 30 ft
40 ft
50 ft
5 60 ft
70 ft
80 ft
4 90 ft
100 ft
110 ft
3
0
0 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60
time seconds
Figure 12. Displacements of points under the slope where the dip angle of foliation planes is 70
degrees.
Figure 11 shows that, after large mount of rotation, the toppling reached a stable state.
Therefore the toppling mode is different from the sliding mode. Generally speaking, the
toppling mode can be stabilized after the rotation. For sliding mode, as soon as the slope
start to slide, the sliding can hardly to stop.
10
Acknowledgements
The project of “Discontinuous Deformation Analysis (DDA) of Block Systems” (XDS2007-
10) provided financial support to this research.
References
1. Shi, Gen-hua, Block System Modelling by Discontinuous Deformation Analysis, Computational
Mechanics Publications, New Southampton, UK and Boston, USA, 1993.
2. Shi, Gen-hua, “Single and Multiple Block Limit Equilibrium of Key Block Method and Discon-
tinuous Deformation Analysis”, Stability of Rock Structures, ICADD-5, Beer Sheva, Israel. 3–46,
2002.
3. Shi, Gen-hua, “Applications of Discontinuous Deformation Analysis (DDA) and Manifold
Method”, The Third International Conference on Analysis of Discontinuous Deformation,
ICADD-3, Vail, Colorado, USA, 1999, 3–15.
11
Modelling Dynamic Deformation in Natural Rock Slopes and
Underground Openings With DDA
Y.H. HATZOR
Dept. of Geological and Environmental Sciences, and Dept. of Structural Engineering,
Ben-Gurion University of the Negev, Beer – Sheva, Israel 84601
1. Introduction
This paper presents recent developments in the validation and application of Discontinuous
Deformation Analysis (DDA), originally developed by Shi.1 We begin with a brief review of
recently published 2D — DDA validations for cases of dynamic loading,2,3 along with new
3D — DDA validations for single and double face sliding.4 Following these validations we
present dynamic DDA applications in natural rock slopes and underground openings.
The north face of Masada world heritage site is used to demonstrate dynamic rock slope
stability analysis with DDA where a highly fractured rock slope is subjected to dynamic input
using modified earthquake records that take into consideration the measured topographic
site effect at the site. We thus obtain the peak ground acceleration (PGA) that would be
required for damage, present the expected failure modes, and show how the anticipated
deformations may be restrained using rock bolting. The issue of rock bolt reinforcement is
further explored via an example from an overhanging cliff where the most effective bolting
pattern for restraining overturning is obtained.
Finally, we show how DDA can be utilized to predict the minimum overburden required to
ensure underground opening stability as a function of opening span in horizontally layered
and vertically jointed rock masses.
2. Dynamic DDA Validations

2.1. Single and double face sliding
A displacement based sliding block model was first proposed by Newmark5 and Good-
man and Seed,6 is now largely referred to as “Newmark” type analysis. Determination of
the amount of displacement during an earthquake involves two steps:6 (1) Determination
of horizontal acceleration required to initiate down slope motion, also known as “yield
acceleration” (ay ), which can be found by pseudo-static analysis, and (2) Evaluation of
the displacement developed during time intervals when yield acceleration is exceeded, by
double-integration of the acceleration time-history, with the yield acceleration used as refer-
ence datum. Goodman and Seed6 showed that for the case of a block on an inclined plane
the yield acceleration is given by:
ay = tan (φ − α)g (1)
For an acceleration record of the form a = kg sin (ω t), where ω corresponds to the frequency
of the function and k calibrates the proportion between a and g, the corresponding time
Corresponding author. E-mail: hatzor@bgu.ac.il

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-keynote-Hatzor 13
interval θ until yield acceleration is attained is given by:

−1 ay
sin
kg
θ = (2)
ω
The down slope acceleration of the sliding block can be determined by subtracting the resist-
ing forces from the driving forces:

at = kg sin (ωt) cos α + g sin α − g cos α − kg sin (ωt) sin α tan φ (3)
Similarly, the displacement of the block at any time is determined by double integration on
the acceleration, with θ as reference datum, in a conditional manner, namely:
If a > ay or v > 0:
t
t2
dt = v = a = g (sin α − cos α tan φ) +
2−θ
θ θ (4)
ag
+ [(cos α + sin α tan φ) (ω cos (ωθ ) (t − θ ) − sin (ωt) + sin (ωθ)]
ω2
Otherwise dt = dt−1
Equation 4 provides the analytical solution for the dynamic displacement of a block on an
inclined plane with inclination α and friction angle φ, starting from rest and subjected to a
sinusoidal loading function with frequency ω. Figure 1 displays a comparison between the
F $$! ! NALYT IC

) NPUT -OT ION
F $$! ! NALYT IC
MOT IONM S
F $$! ! NALYT IC

) NPUT

$ISPLACEMENT OF
UPPER BLOCKM

R ELAT IVEER R OR

4 IMESEC
Figure 1. DDA vs. analytical solution for the dynamic sliding of a block on an inclined plane (after2).
14
2.5 6
1.6 6
Newmark Solution
Horizontal Input motion (m/s2)

Vector Analysis 4

3D-DDA 4 2
1.2 Input Motion
Displacement (m)
2
Displacement (m)
2 1.5
0
0.8 0
1
-2
-2
0.4 0.5 Vector Analysis -4
-4 3D-DDA
Input Motion (y)
0 -6 0 -6
Relative Error (%)

100 100
Relative Error (%)
1000 1000
Erel, VA
100 Erel, DDA 100
10 10
10 10
1 1 1 1
0.1 0.1
0.01 0.01 0.1 0.1
0 2 4 6 0 0.4 0.8 1.2 1.6 2
A Time (sec) A Time (sec)
Figure 2. Expansion of the 2D solution to 3D using vector algebra (VA) and comparison between 3D
— DDA, VA, and the classic Newmark solution for single face (left panel) and double face (right panel)
sliding (after Ref. 4).
analytical and DDA solutions for three friction angles (φ =22◦ , 30◦ , 35◦ ) with θ = 0.035,
0.18 and 0.28 seconds, respectively. The accumulated displacements are computed for a plane
inclination of 20◦ . Other than for the first second, in which the relative error reaches 50%,
due to a very small absolute error of only 2.6E10−5 meters, the relative error is less than 1%
for all three friction angles for all accumulated displacements. Time-step size is kept constant
in all DDA runs and is 0.002 sec.
The two dimensional formulation shown in Eq. (4) has recently been expanded by Bakun-
Mazor et al.4 to three dimensions for a single block on an inclined plane and for a wedge
sliding simultaneously on two planes. Figure 2 presents results obtained with 3D DDA for
single face (left panel) and double face (right panel) sliding under a sinusoidal input motion
acting in the horizontal direction. The relative error is plotted in the lower panels of Fig. 2.
As can be seen from inspection of Fig. 2 numerical results obtained with 3D-DDA agree very
well with analytical solutions. For further details see Ref. 4.
2.2. Block response to induced displacements at foundation

The above validations were performed with the loading function applied to the cenroid of
the block. It is also interesting to study the response of a block to vibrations at the founda-
tions where the forces are transmitted through frictional forces along the interface between
the “induced” and “responding” blocks. An analytical solution for the response of a single
block resting on a block that is subjected to time-dependent displacement input function was
developed by Kamai and Hatzor2 for the block system shown in Fig. 3 below.
The displacement function for block 1 is in a form of a cosine function, starting from 0:
dt = D (1 − cos(2πωt)) where D is the amplitude of the harmonic wave, and the correspond-
ing response of block 2 is investigated.
Results of sensitivity analyses for input amplitude and interface friction are presented in
Fig. 4 below. In the left panel the response of Block 2 to changing amplitudes of motion
15
y
2
x 1
Figure 3. The modeled DDA block system. Block 0 is the foundation block, Block 1 receives the
dynamic input motion (horizontal — cyclic), and Block 2 responds (after Ref. 2).
M=0.1 DDA Analytic

1.5 Input
Displacement of upper block (m)

M=0.6 DDA Analytic
Motion
M=1 DDA Analytic
0.5
0
0 1 2 3 4 5
Time (sec)
A B
Figure 4. Analytical (line) vs. DDA (symbols) solutions for the response of a block to cyclic displace-
ments at the foundation (after2 ): (A) influence of input amplitude (f = 1 Hz and μ = 0.6), (B) influence
of friction coefficient along interface (D = 0.5 m, f = 1 Hz).
(D) under a constant input frequency of 1 Hz and friction coefficient of 0.6 is presented.
The cumulative displacement is in direct proportion to the amplitude, as expected. Note that
the three displacement curves follow the periodic behavior of the input displacement function
(T = 1 sec.), and that divergence between curves starts after 0.25 sec. where the displacement
function has an inflection point. In the left panel the response of Block 2 to changing friction
coefficients (μ) along the interface under constant displacement amplitude of 0.5 m and input
frequency of 1 Hz is presented. The accumulating displacement is in direct proportion to the
friction coefficient up to 0.5 sec., where the input displacement function changes direction.
After that point the accumulating displacement for μ = 0.6 is larger than for μ = 1, since the
high friction works in both directions: forward and backward. Note that curves for μ = 0.1
and μ = 0.6 follow the periodic behavior of the displacement function, whereas the curve
for μ = 1.0 is in delay of about 0.25 sec.
2.3. Dynamic rocking

So far we have looked at validations concerning frictional sliding. Another important failure
mode in rock mechanics is block rotation. Makris and Roussos7 studied in 2D the dynamic
rocking of a column subjected to a sinusoidal input acceleration function for the free body
diagram shown in Fig. 5.
The solution for the dynamic rocking of a column subjected to an input loading function
of a half-sine pulse is obtained in two stages:
16
2b
Q
c.m.
2h
R A h
0’ b 0
ü(t)
Figure 5. Free body diagram and sign convention for the rocking column analysis (after7 ).
(1) Instantaneous response — dynamic motion which takes place simultaneously

with appli-
cation of the input acceleration function: ug (t) = ap sin ωp t + ψ from t = 0to t = 0.5
α
sec., where here ωgis2π(f = 1 Hz) and the phase angle (ψ) is ψ = sin−1 apg ,
(2) Consequent motion — rocking oscillations after pulse termination from t = 0.5 sec. and
onwards.
Naturally when the pulse terminates the input acceleration diminishes (ug (t) = 0, hence
ap = 0) and the coefficients of integration are updated for changing rotation angle and angu-
lar velocity. Furthermore, following each impact (@ θ = 0), the angular velocity and the
coefficients of integration are recalculated as well. The analytical and DDA solutions for col-
umn width and height of b = 0.2 m and h = 0.6 m are presented in Fig. 6, following the
work of Yagoda-Biran and Hatzor.3 In the top panel results obtained for amplitude ap = 5.43
m/s2 (0.5535 g), a value slightly lower than required for overturning according to the analyt-
ical solution, are shown, hence only column rocking is obtained. In the lower panel results
t t=0.44
= 0.44 sec
sec apeak=5.43 m/sec2 t = 0.56 sec 0.4
apeak=5.44 m/sec2
0.4
ü (g)
ü (g)
0.2
0.2
0
0
6 0 1 2 3 4 5 6
0 1 2 3 4 5 6
1
tt=1.28
= 1.28
sec sec 1 t = 1.76 sec
θ/α
0
θ/α
-1 -1
6
error (% ) angular velocity
0 1 2 3 4 5 6
error (% ) angular velocity
0 1 2 3 4 5 6
1
tt=2.36
= 2.36sec sec 1 t = 3.32 sec
(rad/sec)
(rad/sec)
0 0
-1 -1
0 1 2 3 4 5 6 6 0 1 2 3 4 5 6
3 3
10 1 10
tt=4.88
= 4.88
sec sec
10
2
1 t = 3.92sec 10
2
1
1 1 10
10 0
0 1 10
10 10
-1
-1 1
10 -2
1 10
-2 -3
10 1 10
0 1 2 3 4 5 6 6 0 1 2 3 4 5 6
time (sec) time (sec)
Figure 6. Solution for dynamic column rotation (b = 0.2 m, h = 0.6 m). Left) ap lower than required
for toppling, Right) ap sufficient for column toppling. Solid line: analytical solution, Open circles: DDA
results (after Ref. 3).
17
obtained with an amplitude of ap = 5.44 m/s2 (0.5545g), the minimum value required for
overturning according to the analytical solution, are shown, and indeed column overturning
is obtained ∼ 1.5 sec. after pulse termination, exactly as in the analytical solution. The error
remains very small until the first impact occurs, after which the error begins to increase. Nat-
urally from the definition of relative error (see3 ), which depends on the actual value of θ at
each time step, greater error is expected for very small values of θ , and vice versa.
2.4. Block slumping
In a segment along the East face of the Masada mountain, locally known as the ‘snake path’
cliff, a prismatic block resting on an easterly dipping bedding plane and separated from
the cliff by two orthogonal “tension cracks”. The tall and slender geometry of the block
makes it susceptible to the “block slumping”’ failure mode, initially proposed by Wittke8
and extended to multiple blocks by Kieffer.9 The block, 15 m high, 10 m wide, and weighs
13.7MN (1400 ton), has separated from the cliff over geologic and historic times by an accu-
mulated displacement of up to 20 cm. Because the resultant weight vector trajectory of the
block acts on the steeply inclined plane (see Figure 7), sliding will commence by mobilizing
shear strength along both the steep and the shallow inclined planes simultaneously. Thus,
rotation around a center located outside of the block may take place – a failure mode defined
as “Block Slumping” by Goodman and Kieffer.10 It is intuitively clear that once slumping is
initiated joint water pressures will rapidly dissipate as an “A type joint”, characterised by a
wide base and pointing sharp edge at the top, will form behind the block at onset of motion
allowing free drainage.
The forces acting on a block that undergoes block slumping are shown in Fig. 7A. Assum-
ing the friction angles on the two sliding planes are equal (φ1 = φ2 ) three equilibrium equa-
tions are necessary for solution of the contact forces N1 and N2 and the mobilized friction
angle φmobilized :

Fv = 0:W = N1 cos α1 + N1 tan φ1 sin α1 + N2 cos α2 + N2 tan φ2 sin α2 (5)

M0 = 0:Wdw + N2 tan φ2 d2 = N2 d2 (6)

Mc = 0:Wx = N2 tan φ2 AC + N1 tan φ1 OC (7)
dw x C
A B
T1
Y
N1 O
d 2’
F
F W H = 15m
d2
A
A
Zw
T2 A
N2
A
DATUM Zw = 0
A B
Figure 7. A — Free body diagram of the block at the snake path cliff, Masada, B — Actual geometry
of the studied block (after Hatzor11 ).
18
Figure 8. DDA results for the studied block with interface friction angle of 20◦ and gravitational
loading for t = 0, 0.8, 1.6, and 2.5 sec.
where α1 and α2 are the inclinations of the sliding plane and the “tension crack” respectively.
Simultaneous solution of the three equations for the geometry of the block (Figure 7B) yields
a mobilized friction angle value of φmobilized = 22◦ .
To test the validity of this solution 2D — DDA is employed. The exact two — dimensional
geometry of the block is studied under gravitational loading with different values of interface
friction angle as the only varied parameter between simulations. The actual friction angle of
Masada discontinuities was studied experimentally12 using tilt tests, tri-axial tests, and direct
shear tests. The peak friction angle obtained from direct shear tests on rough surfaces is 41◦ .
The residual friction angle, obtained from tri-axial tests performed on filled saw-cut planes is
23◦ . The analytical solution for block slumping indicates that for friction angle values lower
than 22◦ the studied block will exhibit back slumping by simultaneous shear along both
interfaces. Therefore, for rough interfaces with available friction angle of 43◦ the block may
be assumed to be stable. However, for interfaces possessing residual friction angle value of
23◦ the block may be considered at limit equilibrium considering the block slumping mode.
The original modelled configuration of the studied block with DDA is shown in the left
panel of Fig. 8. The block remains static until the input friction angle on the interfaces is
reduced to 21◦ after which sliding ensues along both interfaces simultaneously, exactly as
predicted by the analytical solution. The dynamic deformation progress for interface friction
angle of 20◦ is shown in Fig. 8 where clearly the block slumping mode is obtained, confirm-
ing the analytical solution that requires a minimum friction angle of 22◦ for stability. It is
important to note here that in DDA the failure mode is a result of the analysis and not a pre
assumption.
3. Rock Slope Stability

3.1. The significance of correct mesh generation
The validity and accuracy of DDA has been demonstrated in the previous section. In rock
engineering analysis however it is the simulated structure that will govern the deformation.
Therefore, every effort should be made to represent the rock mass structure correctly on
the basis of field measurements. Consider for example the discontinuous nature of the rock
foundations at King Herod’s palace in Masada, where the rock mass structure consists of
19
60
50 25
N = 59
Frequency
40 20
Frequency
N = 100 Mean = 60cm
30 Mean = 2.7m 15
20 10
10 5
0 0
0.15 0.61 1.08 1.54
15
78
42
05
e
.6
or
0.
2.
5.
8.
10
M
Bed Spacing (m)
Joint Length (m)
30 N = 80 15
N = 69
Frequency
Mean = 14 cm
Frequency
Mean = 16.8 cm
20 10
10 5
0 0
2.82 11.11 19.41 27.70 More 3.00 10.93 18.87 26.80 More
J2 Spacing (cm) J3 Spacing (cm)
Figure 9. Rock mass structure at the Northern Palace — Masada (after Hatzor et al.12 ): (Left) Joint
length and spacing distribution, (Right) Joint orientation (upper hemisphere projection of poles).
two orthogonal, sub vertical, joint sets striking roughly parallel and normal to the NE trend-
ing axis of the mountain, and a set of well developed bedding planes gently dipping to the
north (Figure 9). The joints are persistent, with mean length of 2.7 m. The bedding planes,
designated here as J1 , dip gently to the north with mean spacing of 60 cm. The two joint sets,
J2 and J3 , are closely spaced with mean spacing of 14 cm and 17 cm respectively.
An E-W cross section of the upper terrace is shown in Fig. 10A, computed using the sta-
tistical joint trace generation code (DL) of Shi.1 It can be seen intuitively that while the East
face of the rock terrace is prone to sliding of wedges, the West face is more likely to fail by
toppling of individual blocks. Block theory mode and removability analyses13 confirm these
intuitive expectations.
While it is convenient to use mean joint set attitude and spacing to generate statistically
a synthetic mesh, the resulting product (Fig. 10A) is not always realistic and in the case
here bears little resemblance to the actual slope. The contact between blocks obtained this
way is planar, thus interlocking between blocks is not modelled. Consequently the results
of dynamic forward analysis may be overly conservative and the computed displacements
unnecessarily exaggerated.
To analyze the dynamic response of the slope realistically, a photo-geological trace map of
the face was prepared using aerial photographs and the joint trace lines were digitized. Then,
the block-cutting (DC code) algorithm of Shi1 was utilized in order to generate a trace map
that represents more closely the reality in the field (Fig. 10B). Inspection of Fig. 10B reveals
that block interlocking within the slope is much higher and therefore results of forward
analysis are expected to be less conservative and more realistic. The deterministic mesh shown
in Fig. 10B is used therefore in the forward modelling discussed below.
The results of forward modelling is shown in Fig. 11 for an input motion adopted from the
strong M = 7.1 Nuweiba earthquake from 1995.14 The record, originally measured on a 50
m thick layer of Pleistocene fill, was first deconvoluted to obtain proper rock response, and
using results from a topographic site effect study at Masada the rock response record was
convoluted to take into consideration topographic site effect (for details see12 ). The resulting
input motion was up scaled in forward DDA simulations until damage was detected. In
Fig. 11A the response of the fractured slope to a modified earthquake record scaled up to
20
- E- - W-
- EE - -W
W-
A B
Figure 10. Synthetic (A) and deterministic (B)joint trace maps for the upper rock terrace of Herod’s
Palace (after Ref. 12).
A B
Figure 11. Dynamic forward modelling results at Masada:A) DDA prediction of fractured rock slope
response to modified Nuweiba record scaled to PGA = 0.2 g, B) Predicted performance of the reinforced
slope for a modified Nuweiba record up scaled to 0.6 g (after12 ) with a sparse rock bolting pattern.
PGA = 0.2 g is shown. As expected, with a PGA = 0.2 g at the site block sliding and block
toppling are obtained in the East and West slopes, respectively. Application of a very sparse
rock bolting pattern (s = 4 m, L = 6 m) proves to be sufficient to reinforce the fractured
slope even when the record is up scaled to a PGA of 0.6 g (Fig. 11B).
3.2. Overhanging cliffs

Overhanging cliffs pose great risk in rock excavations as possible overturning may ensue
without prior notice, depending upon the location and extent of the tension crack behind
the excavation surface. Consider the overhanging rock slope shown for example in Fig. 12A.
The critical question here is the minimum distance between the toe and the vertical tension
crack behind the face (B) required to ensure no overturning, so that the minimum required
anchorage length may be constrained (Fig. 12B). This problem has recently been studied in
great detail by Tsesarsky and Hatzor15 where an analytical expression for B is provided on
21
1
35m
joint distance from toe
5m
10m
0.8
15m
20m
25m (no joint)
0.6
u (m)
0.4
0.2
0m (0,0) B 0 4 8 12 16 20
0m 13m time (sec)
A B C
Figure 12. Stability of overhanging slopes: (A) The geometry of the modeled slope, (B) DDA mesh
showing a hypothetical tension crack at a distance B behind the toe, (C) The influence of tension crack
distance (B) on slope stability.
the basis of the geometrical properties of the slope and the stress distribution at the base.
The dynamic evolution of the horizontal displacement component (u) of the upper tip of the
slope as a function of B is plotted in Fig. 12C for the analyzed slope shown in Fig. 12A.
Clearly, when the tension crack distance from the toe is equal to or less than 5 m the slope
will overturn, the analytical rationale is provided by Tsesarsky and Hatzor.15
Once the critical distance to the tension crack is determined, rock bolt reinforcement may
be designed such that the free anchor length must be greater than B. Using the bolt element
in DDA it is possible to track the tensile forces that develop in each bolt, as shown in Fig. 13.
250 bolts are numbered sequentially from bottom

to top (from toe, vertical spacing is 4m) 9
9 6
8
8 200
φ = 2” 5
7
7
bolt force (kN)
150 4
6
5
100
3
4
50 2
3
2
0 1
1
0 4 8 12 16 20
time (sec)
A B
Figure 13. Rock bolt reinforcement for overhanging slopes with DDA: (A) DDA mesh including
anchor location, (B) developed tension forces in each rock bolt according to elevation in the slope
for 2" diameter rods.
22
4. Stability of Shallow Karstic Caverns Below Open Pit Mines

The limiting relationship between underground cavern span and the minimum required depth
of cover for limiting stability is explored here for jointed sedimentary rock masses character-
ized by horizontal beds that are transected by vertical joint sets. Understanding this relation-
ship is crucial for the design of mining excavations in karstic terrain.
The main challenge in performing rock engineering works in ground susceptible to sink-
hole collapse is the lack of basic guidelines for prediction of shallow cavern stability for
given span width and cover depth. For deep excavations, with rock cover much greater than
the excavation span, preliminary assessment of the height of the loosened zone above the
immediate roof of the opening may be obtained on the basis of the empirical Terzaghi’s
rock load classification.16 Indeed, we found Terzaghi’s predictions valid when compared with
field observations17,18 and numerical analyses.19,20 The problems begin when the rock cover
depth is nearly as large as the excavation span, or even smaller. In such cases the karstic
caverns may be of precarious stability: they may hold for many years18 or collapse without
preliminary warning with the failure zone breaking through to the ground surface.21
Consider for example open pit mining operations in a ground prone to sinkhole collapse.
Assuming the existing karst caverns are explored before mining operations begin, either by
employing geophysical methods or simply by drilling exploration boreholes, the minimum
required rock cover (h) for a given cavern span (B) must be known in advance for safe min-
ing or exploration operations. This relationship will also help determine three economically
significant mining parameters: (1) the maximum safe bench height (H), and in the case of
cavern exploration by drilling( 2) the minimum required distance between the exploration
boreholes (d) and (3) the minimum required drilling depth (D) (see Fig. 14A).
To determine the critical relationship between opening span and minimum required rock
cover for stability we model the deformation of theoretical caverns with a horse-shoe cross-
sectional geometry and the following variable parameters (see Fig. 14B): cavern span (B),
height (H = 1/2B), roof curvature (c = 1/2H) and rock cover h. The modelled domain is
extended laterally to its boundaries by a distance of b = 2B. The infinite lateral continuity
of the rock mass beyond the analyzed domain is modelled by fixed boundaries as shown
in Fig. 14B. The ground surface is modelled as a horizontal plain. A total of 19 cavern
geometries of varied spans and rock covers are modelled. The limiting relationship between
D
H
h
B
A B
Figure 14. (A) Schematic illustration of a shallow cavern below active open pit mining operation, (B)
Geoletrical layout of modeled meshes.
23
Table 1. Simulated rock mass structure for DDA modelling of cavern stability.
Joint Dip/Direction Trace Mean Degree of Rock Bridge
Set Length Spacing Randomness Length
1 0/0 ∞ 0.70 m 1.0 0m

2 88/182 5m 0.96 m 0.5 2.5 m
3 88/102 5m 0.78 m 0.5 2.5 m
h, m
35
h
B
17(30) 13(30)
30
Marginal
15(25) 10(25)
25
Stable 19(22) 12(22)
9(20)
20 16(19) Unstable
11(15) 8(15)
15 7(14)
14(12.5)
3(11) 18(11)
6(10)
10
1(6) 2(6) 4(6) 5(6)

5
B, m
0
0 10 20 30 40 50
Legend: Stable Marginal Unstable
Figure 15. Limiting relationship between cavern span and required overburden height for stability for
the representative rock mass shown in Table 1, as obtained with 2D-DDA. The numbers are model #
and in brackets the overburden height in each model.
cavern span and rock cover is thus obtained for a representative sedimentary rock mass with
geometrical parameters as shown in Table 1.
Composite results of 19 cases are presented in Fig. 15.
Acknowledgements
Partial funding for this research has been provided by the US – Israel Binational Science
Foundation (BSF) through contracts 98-399 and 2004-122, Israel Nature and Parks Author-
ity, Ministry of National Infrastructure, and Ministry of Housing and Construction. Dr. Shi
Gen-Hua is thanked for sharing his DDA codes. Dr. Michael Tsesarsky, Ronnie Kamai,
Gony Yagoda-Biran, Dagan Bakun-Mazor and Dr. Ilia Wainshtein are thanked for their
collaboration.
24
References
1. Shi G., “Discontinuous Deformation Analysis — A New Numerical Method for the Statics and
Dynamics of Block System”, Berkeley, University of California, 1988.
2. Kamai R. and Hatzor Y. H., “Numerical analysis of block stone displacements in ancient masonry
structures: a new method to estimate historic ground motions”, Int J Numer Anal Met, 32, 2008,
pp. 1321–1340.
3. Yagoda-Biran G. and Hatzor Y. H. “Constraining Paleo PGA Values by Numerical Analysis of
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25
Study on the Formation Mechanism of Tanjiashan Landslide
Triggered by Wenchuan Earthquake Using DDA Simulation
WU AIQING1,∗ , YANG QIGUI2 , MA GUISHENG2 , LU BO1 AND LI XIAOJUN3

1 Yangtze River Scientific Research Institute, Wuhna, 430010, P.R. China
2 Changjiang Institute of Survey, Planning, Designing and Research, Wuhna, 430010, P.R. China
3 Institute of Engineering Mechanics, China Earthquake Administration, Harbin 150080, P.R. China
1. Introduction
The 5.12 Wenchuan earthquake, which occurred at 14:28 on May 12, 2008 in Sichuan
Province, was the biggest one for its effects in China since the foundation of the People’s
Republic of China. The surface wave magnitude was Ms 8.0, with the focal depth at 14 km
below the surface. The damage suffered area was about 100,000 km2 around the epicenter,
and the earthquake caused nearly 90,000 fatalities.
Wenchuan earthquake triggered landslides, rock collapses and debris flow at more than
15000 sites. Among them, the Tangjiashan landslide was the biggest and the most notable
one. The landslide, with its volume 20.37 million m3 and located at 3.2 km north of Beichuan
County, slipped down at the right bank of Tongkou river. The original river was blocked
by the barrage with its height of 82–124 m, and a dammed lake had been formed with its
maximum reservoir capacity about 316 million m3 . The collapse of the barrage, at anytime,
would cause another disaster to its downstream, and more than 1.3 million people in the
downstream region were threatened by the hanging dammed lake. In order to remove the
potential menace of the dammed lake to the downstream at a possible short time, a great
deal efforts, which consists of engineering and non-engineering measures, had been carried
out by Chinese government, army and engineers at an extremely difficult condition.1−3
It is in our knowledge that Discontinuous Deformation Analysis (DDA) possesses the
advantages of real time variable and large discontinuous deformation, and has the ability
to simulate the startup and the whole kinematical process of a landslide.4−8 In order to
reproduce the kinematical process of the Tangjiashan landslide and to study the induced
stresses characteristics in the barrage body, DDA is employed here, and a lot of case-trial
calculations have been carried out with the final shape and location of the barrage as the
objective, and the representative acceleration records obtained by strong-motion observation
in this earthquake as the basic conditions.
It is shown that the calculation results are quite acceptable and some new knowledge
about the characteristics related to the high speed landslide triggered by the strong Wenchuan
earthquake have been revealed by DDA.
2. Spatial Features and Geological Condition

2.1. Location and morphology of the landslide
Tanjiashan landslide was triggered by the earthquake on the right bank of Tongkou river,
a branch of the Fujiang River. It was located at 3.2 km north of Beichuan county where
ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-keynote-Wu-AiQing 27
LangZhou
Xian
QingChuan
IX
Tangjiashan VII
Bei Chuan XI
VIII
X
WenChuan MianZhu VI
XI
Legend
ChengDu
XI
X
Chong Qing IX
VIII
VI
VI
Figure 1. Seismic intensity map of Wenchuan earthquake.
Figure 2. Original scenery of Tangjiashan site (from upstream view).
the seismic intensity was in the grade of ten to eleven. Figure 1 shows the seismic intensity
distribution map of the Wenchuan earthquake.
∗ Corresponding author. E-mail: wuaiqing@vip.sina.com
Figure 3. Spatial morphology of landslide (from downstream view).
28
elevation(m)
elevation(m)
ce
rfa
su
al
in
N60 E/NW
ig
60
or
Cataclastic rock
791.4m strongly weathered
gravel and soil mixture
cataclastic rock weakly weathered

Foundation rock of Qingping group
river level 1664.7m in the lower Cambrian period
Foundation rock of Qingping group muddy siltstone by deposit

in the lower Cambrian
Figure 4. Geological section of the landslide.
Before the landslide occurred, the top elevation of the hill at the right bank of the river
was about 1580 m, and the slope height was 900 m with the dip angle of 40◦ in its upper
part and 30◦ in the lower part. During the earthquake period, the landslide slipped down,
creating a barrage. The original river was blocked, and a dammed lake was formed. Figure 2
and 3 show separately the Tangjiashan scenery before and after the landslide.
The main features of the barrage for its morphology can be seen in Fig. 3 and 4 while the
later is a cross section map of the barrage which will be attached in the following part. The
barrage shows a rectangle shape in the horizontal plane with the width of 611 m across the
river, and the length of 803 m along the river. There is an undulate topography on the barrage
surface where the surface elevation at the left part, the front of the barrage body, is higher
than that at the right. The maximum elevation of the left is 793.9 m while the maximum
elevation at the right is 775 m. The height of the barrage is 82∼124 m, and its total volume
is 320.37 million m3 .
2.2. Geological condition

Figure 4 shows the cross section of the landslide where the original slope surface is estimated.
Except of the weathered slope debris in the surface layer, the foundation rock appeared
in the slope consists of silty sandstone, siliceous slate, marlite and mudstone in the lower
Cambrian period. The hard and soft rock layers, with their orientation of N60◦ E/NW 60◦ ,
exist alternatively, and their thickness is from thin to medium. The landslide occurred in the
weakly weathered rock mass, and had a bedding slip in the main sliding direction of N10◦ W.
The barrage body formed by the landslide consists mainly of cataclastic rock with strongly
and weakly weathered. A small part of gravel and soil mixture, with layer thickness of 2∼4 m,
appeared locally in the rear part of the landslide. Figure 5 shows structure features of the
cataclastic rock. It could be seen that features of the original rock structure are still remained.
3. DDA Simulation Model

3.1. Block system
According to the geological condition of the landslide, the block system, formed by different
sliding surfaces and joints, has been obtained as in Fig. 6. In order to reflect adequately the
earthquake effects to the deformation and failure features of the landslide, the geometrical
29
Figure 5. Cataclastic rock with its structure remained.
443#
893#
438#
Figure 6. Block system in DDA model.
dimensions of blocks in the block system are normally characterized with uniformity. Here,
the length of each block is in the range of 5∼8 m.
In Fig. 6, the maximum thickness above the lowest sliding surface is about 80 m, and the
total height of the landslide body is 634 m.
Some particular blocks in sliding body at different positions, i.e. upper part, middle part,
and lower part of the landslide, are chosen as monitoring points. If all monitoring points have
obvious displacement and velocity at particular time, then the landslide may occur. In the
process of movement, the DDA kinematical output versus time may reflect the corresponding
kinematical process of the landslide. In this paper, three blocks, 438#, 893#, and 443# in
Fig. 6, have been chosen as monitoring points.
3.2. Mechanical parameters

In the simulation model, the landslide body consists of four types of rock material, which
include residual deposits in the surface layer, strongly weathered rock mass, weakly weath-
ered rock mass and foundation rock which is located below the lowest sliding surface. The
thickness of the residual deposit and the strongly weathered rock mass is about 15∼20 m. In
addition, at the bottom of the slope, a layer of silt sand, which has been formed by down-
streem reservoir sedimentation, and in thickness of 20 m, is considered.
In order to conduct flexibly different simulations involved in case-trial calculation, differ-
ent material regions and block boundaries have been pre-determined individually prior to
30
Table 1. Parameters for case-trial calculation.

strength deformability
item
φ/(◦ ) C/kPa E/GPa μ
Residual deposit 29∼40 20∼70 0.5 0.3

Strongly weathered 31∼41 30∼80 1.0 0.28
Weakly weathered 33∼42 40∼100 3.0 0.25
Foundation rock / / 5.0 0.25
Sliding surface 15∼42 0∼80 / /
Vertical boundaries 33∼42 40∼100 / /
property assignment of the block system. For deformation properties, there are 5 regions in
total, and for shear strength in boundaries, 22 types in total. According to the material con-
stitutes and the geological conditions of the landslide, the possible ranges of parameters used
in calculation are listed in Table 1, where parameters in upper limit means that the slope is
in the state of equilibrium in the condition of self weight.
3.3. Seismic acceleration records

During the Wenchuan earthquake of May 12,2008, the NSMONS in China obtained records
from 460 stations in 17 provinces, municipalities and autonomous regions and three arrays
in Sichuan and Yunnan provinces. Among the acceleration records from the main shock,
the largest PGA was recorded at Wolong station in Wenchuan Country, and the records
in the EW, Ns, and UD directions are 957.7 Gal, 652 Gal and 948.1 Gal, respectively. For
Tangjiashan landslide DDA simulation, acceleration records obtained from Qingping station
in Mianzhu county, Sichuan province are accepted as the representative input seismic curve,
in which the PGA at directions mentioned above are 824.1 Gal, 802.7 Gal, and 622.9 Gal,
respectively. The seismic curve in EW direction is shown in Fig. 7.9−10
Figure 7. Acceleration records used in DDA model.
31
Table 2. Actual parameters of the landslide.

Strength Deformability
Item
φ/(◦ ) C/kPa E/GPa μ
Residual deposit 29 20 0.5 0.3

Strongly weathered 31 30 1.0 0.28
Weakly weathered 33 40 3.0 0.25
Foundation / / 5.0 0.25
Sliding surface 16.5 0 / /
Vertical boundaries 30 20 / /
4. Landslide Kinematical Process Simulation

4.1. Parameters consistent to the landslide
Based on the front location of the landslide and the morphology of the barrage formed by
the landslide, the objective determining actual parameters of the block system can be estab-
lished. By case-trial calculation, parameters consistent to the objective are determined in
Table 2. The mechanical parameters listed in the table can be understood to be comprehen-
sive, which means that the parameters represent the whole slipping process of the landslide,
and the possible changes of parameters, in the whole process of its slipping, are not con-
sidered. In DDA calculations, loads acting on the landslide body, within the process of its
slipping, consist of weight and earthquake loads transformed by the earthquake accelera-
tion records in Fig. 7. The time step used in DDA model is 0.001 s. It is shown that the shear
strength on the sliding surface, compared to the static status, is decreased in much degree. The
ratio of friction coefficient on sliding surface in kinematical and static conditions is no more
than 0.35.
4.2. Kinematical process simulation

(1) Deformation features
The velocity and slipping distance versus time of some blocks, here with blocks of
443#, 893#, and 438# as the representative, are chosen to reflect kinematical features of
the landslide.
Figure 8. Velocity versus time. Figure 9. Displacement versus time.
32
g p
(a) At ti me 10s
(b) At ti me 15s
(c) At ti me 40s
Figure 10. Deformation and failure pattern.
Figures 8 and 9 show respectively curves with velocity and slipping distance versus time
of above blocks, which are carried out by DDA simulation. It has been revealed that the
Tangjiasha landslide was a high speed landslide, and in the whole kinematical process, non-
linear features, from beginning to the end, were presented especially in aspects of slipping
velocity, etc.
The whole slipping time was about 35 s while nearly all of their slipping displacements
were carried out in the beginning 25 s. The average slipping velocity in the beginning 25 s
was about 15 m/s to 17 m/s.
Figure 10 shows the deformation and failure patterns of block system at some particular
time steps.
(2) Stresses Distribution
Besides of the deformation features, the stresses distribution in block system, induced by the
high speed landslide, has also been obtained by DDA.
It is shown that the stresses in the landslide, after the slipping process finished, present a
discontinuous feature. In some areas, i.e. the front, the rear, and the surface of the landslide,
33
material there presents a broken state, the stresses are normally small. In the lower part of the
landslide, especially in the area near to the bottom of the river bed, the crash of rock blocks
induced a much higher stresses with the maximum value of 6–7 MPa, and the principal stress
orientation parallel to the bottom boundary in majority.
4.3. Effects of two parameters to landslide behavior
(1) Shear strength of the sliding surface

When a landslide is triggered, much of its potential energy will be absorbed by friction move-
ment along the sliding surface and among block boundaries. The friction angle on the slid-
ing surface is much more sensitive to the landslide behavior. In the case when there is a
higher friction angle, potential energy in the landslide will be dissipated soon, and a much
less kinematical behavior will be transformed. In other case, lower friction will cause much
more kinematical behavior. Figure 11 shows quantitatively the effects of friction angle to the
velocity of the landslide, where the block 893# is selected, and three cases of friction angle,
φ = 16.5◦ , 20◦ , and 23◦ are analyzed. The reasonable result is achieved by DDA.
35
Velocity/m/s
30
25 893# 16.5
893# 20
20 893# 23
10
15
0 5 10 15 20 25 30 35 40 45
Time/s
Figure 11. Effects of friction angle.
(2) Earthquake loads

It is shown that the decrease of the shear strength of the sliding surface, from stable state
to unstable state in the condition of earthquake loads, was the main reason to have the
Tangjiashan landslide triggered as a high speed landslide. In other hand, field investigations
shows that there are still a lot of high rock slopes and potential landslides which have not
been triggered by this strong earthquake, but failures in terms of loose rock in surface layer,
local rock collapse, and rock cracks, etc., can be found generally in field.
In order to reveal the deformation mechanism of the totally stable slopes on the condition
of earthquake loads, the DDA simulation for the Tangjiashan landslide, with the condition of
no parameter reducing, has been conducted while parameters of the upper limits in Table 1
are used, and the earthquake load represented by the acceleration records in Fig. 7 is con-
sidered in calculation. Figure 12 shows the velocity and displacement versus time of block
893#, which is located in the middle bottom of the landslide.
Corresponding to the earthquake processing, it is notable that there is a continuous defor-
mation tendency and a fluctuated velocity in rock mass. If reducing of parameters, especially
for shear strength on the sliding surface, is not considered, the landslide will not occur. In
fact, continuous deformation of rock mass is accompanied usually with decreasing of its
strength. If the strength is not enough to hold the rock mass stable, the landslide will occur
34
4 16
Displacement/m
Velocity
Displacement
Velocity/m/s
3 12
2 8
1 4
0 0
0 5 10 15 20 25 30 35
Time/s
Figure 12. Velocity and displacement versus time under strong earthquake load.
along the weakest path in the slope. DDA simulation considering the decreasing process of
rock strength versus its deformation is still under consideration in further.
5. Conclusions
Wenchuan earthquake, Ms 8.0 in magnitude and occurred on May 12, 2008 in Sichuan
Province, China, triggered landslides, rock collapses and debris flow at more than
15000 sites, and the Tangjiashan landslide, with its total volume 20.37 million m3 , was
the biggest and the most notable one for its effects in China.
Based on the field geological investigation and the typical acceleration records of the main
shock obtained in the period of the earthquake, numerical simulation of the whole sliding
process of Tangjiashan landslide has been carried out by use of DDA method. It is shown
that the Tangjiasha landslide was a high speed landslide, behaved with non-linear features in
the whole sliding process. According to DDA simulation, the whole slipping time was about
35 s while nearly all of their slipping displacements were carried out in the beginning 25 s,
with the maximum sliding velocity about 30 m/s, and the average 15 m/s to 17 m/s in the
beginning 25 s.
The stresses in the landslide behave a discontinuous feature. In areas of the front, the rear,
and the surface layer, the stresses are normally small, and in the lower part of the landslide,
the crash of rock blocks induced a much higher stresses with the maximum value of 6–7 MPa.
The dynamic earthquake load caused an incessant deformation of the landslide, resulting
in reducing of mechanical parameters, especially for the shear strength on the sliding surface.
The friction angle on the sliding surface is much more sensitive to the landslide behavior.
In the case of Tangjiashan landslide, the ratio of friction coefficient on sliding surface in
kinematical and static conditions is no more than 0.35.
In further study, DDA simulation considering the decreasing process of rock strength
versus its deformation will be under consideration.
Acknowledgements
This research work is supported by the National Science Foundation of China with contract
No. 50639090, and the Project of Xdc2007-10 founded by Ministry of Water and Resources
of People’s Republic of China. The authors thank to Dr. Gen-hua Shi for his valuable advice
in the field of DDA engineering applications.
35
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36
A G Space Theory with Discontinuous Functions for Weakened
Weak (W2) Formulation of Numerical Methods
G.R. LIU1,2
1 Centre for Advanced Computations in Engineering Science, Department of Mechanical Engineering,
National University of Singapore, 9 Engineering Drive 1, Singapore 117576, http://www.nus.edu.sg/ACES/,
2 Singapore-MIT Alliance (SMA), E4-04-10, 4 Engineering Drive 3, Singapore, 117576
This paper introduces first a G space theory using the generalized gradient smoothing
technique for a unified formulation of a wide class of meshfree methods of special properties
including the upper bound properties. The G space is first defined to include discontinuous
functions allowing the use of much more types of methods/techniques to create shape func-
tions for numerical methods. It is also shown that W2 formulation can be used to construct
many meshfree methods, and methods based on the finite element settings can also be for-
mulated in the similar manner. Properties and a set of important inequalities for G spaces are
then proven in theory and analyzed in detail. We prove that the numerical methods developed
based on the W2 formulation will be spatially stable, and convergent to exact solutions. We
then present examples of some of the possible W2 models, and show the major properties
of these models: (1) it is variationally consistent in a conventional sense, if the solution is
sought from a proper H space (compatible cases); (2) it passes the standard patch test when
the solution is sought in a G space with discontinuous functions (incompatible cases); (3) the
stiffness of the discretized model is reduced compared to the FEM model and even the exact
model, allowing us to obtain upper bound solutions with respect to both the FEM and the
exact solutions; (4) the W2 models are less sensitive to the quality of the mesh, and triangular
meshes can be used without any accuracy problems. These properties and theories have been
confirmed numerically via examples solved using a number of W2 models including compat-
ible and incompatible cases. A number of W2 models, such as NS-PIM, NS-FEM, ES-PIM,
ES-FEM, CS-PIM and CS-FEM, are then presented. The NS- models are used for real-time
computation based on the reduced basis approximation. The real-time computation model
is then used to inversely identify the interface property of a dental implant system.
Keywords: Numerical methods, meshfree methods, FEM, real-time computation, solution
bound, inverse analysis.
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problems International Journal for Numerical Methods in Engineering, published online, DOI:
10.1002/nme.2719, DOI: 10.1002/nme.2720, 2009.
17. Liu, G. R. and Zhang, G. Y. (2008) Edge-based smoothed point interpolation methods. Interna-
tional Journal of Computational Methods, 5(4): 621-646.
18. Liu, G. R. and Zhang, G. Y. (2009) A normed g space and weakened weak (W2) formulation
of a cell-based smoothed point interpolation method. International Journal of Computational
Methods, 6(1): 147-179.
19. Liu, G. R., Nguyen, T. T. and Lam, K. Y. (2008). An edge-based smoothed finite element method
(ES-FEM) for static and dynamic problems of solid mechanics. Journal of Sound and Vibration,
320: 1100-1130, 2009.
20. Liu GR (2009) On the G space theory. International Journal of Computational Methods; 6(2):
257-289.
21. Z. Khin, G.R. Liu, B. Deng, K.B.C. Tan, Rapid identification of elastic modulus of the interface
tissue on dental implants surfaces using reduced-basis method and a neural network, Journal of
Biomechanics, 42: 634-641, 2009.
22. G.R. Liu, G.R. Zhang. A novel scheme of strain-constructed point interpolation method for static
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2009.
38
Concerning the Influenced of Velocity Ratio and Topography
Model on the Result of Rockfall Simulation
T. SHIMAUCHI1,∗ , K. NAKAMURA2 , S. NISHIYAMA3 AND Y. OHNISHI3

1 Meiji-Consultants Co .Ltd Saitama 333-0801, Japan
2 A Depertment of Civil Engineering, Factory of Engineering, Tottori University, Tottori, Japan
3 Depertment of Urban and Environmental Engineering, Kyoto University, Kyoto, Japan
1. Introduction
Rockfall is one of the major hazards in rock slope cut for highways and railways in the moun-
tainous area of Japan. In order to prevent the rockfall disasters, it is necessary to evaluate
the influences on the preservation object in advance. The rockfall simulation is thus applied
for the evaluation. However the behaviours of rockfall are complicated and uncertain phe-
nomena, exhibiting a great deviation due to the influences of the scale and shape of falling
rocks, the geographic feature of falling route and the roughness of the slope surface. There-
fore input parameters and the deviation of the topographic model are given to take account
of these uncertain factors. However at the present stage, the relationship between the given
deviation and the rockfall behaviours is still not clear.
On the other hand, we have investigated a method to predict the velocity ratio(Rv ) dur-
ing the rockfall restitution time by using the DDAball.1,2 However the rockfall behaviours
as a whole, particularly the reproducibility of the trajectory, the reproducibility of rockfall
velocity and the improvement of prediction accuracy have still not been realized.
In this paper, based upon the previous results, the essential factors for the reproducibility
of velocity and trajectory were investigated through the reproductive analysis of the previous
field experimental results.
2. Summary of Previous Field Experiments for Investigation

The field used in this investigation is located in Takamatsu of Japan where the former Min-
istry of Construction has performed the field experiment in 1980.3 (it is designated as the
Takamatsu Experiment in the following parts of this paper).
In the Takamatsu Experiment as shown in Fig. 1, one rock was allowed to drop from a
height of 9 m , i. e., from two points with the inclination of 60◦ (A) and that of 30◦ (B). The
trajectory and velocity of the falling rock on the slope were measured. The slope surface of
the falling point was that of the shotcrete and the slope surfaces from the middle to lower
part were the rock plate. The diameters of the falling rock were from 0.09 to 1.15 m and
their average weight was 170 kg of the granite rock.
Figure 1 is for the B point, i.e., the trajectory recorded figure of the falling rock on the
slope surface with the inclination of 30◦ . The velocity shows the right side with this figure
Furthermore, in Table 1, the velocity ratio of the normal direction measured in the A and B
points, and the conversed velocity ratio based on this value were shown in Table 1. In this
paper, the velocity and trajectory concerning the measured example in the point of B were
investigated.
∗ Corresponding author. E-mail: shimauchi-t@meicon.co.jp

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-keynote-Ohnishi 39
Figure 1. The Trajectory section and velocity of Takamatsu Experiment.
Table 1. The measurement result in Takamatsu Experiment.

Specimen Incident Angle (◦ ) Rn Vout Rv (conversion)
A 60 0.49 7.8 ∼ 9.4 0.59 ∼ 0.73

B 30 0.26 3.6 ∼ 5.2 0.27 ∼ 0.29
Furthermore, the DDAball was used in this analysis. Oddball is the DDA taking part in the
three dimensional rigid body elements, and is the program code characterizing the analysis
of falling rock and rock block.4
3. Reproductive Simulation of Velocity

In the rockfall analysis, the velocity ratio (Rv ) and the velocity ratio of the normal direction
(Rn ) are used as input parameters (Fig. 2 and Eqs. (1), (2)). However, these parameters have
the property which decreases when the incident velocity of the normal direction increases.
Vout
Rv = (1)
Vin
Figure 2. Properties of bouncing.
40
Figure 3. Scale Factor Curve was proposed considering to the velocity-dependency.
Vout cos β
Rn = (2)
Vin cos α
Pfeiffer et al. (1989) proposed the Scale Factor Curve as shown in Fig. 3 and Eq. (3), with
the purpose to consider the dependency of the incident velocity of the normal direction on
the velocity ratio of the normal direction.5 This curve may express the state that the velocity
ratio of the normal direction will decrease greatly when the incident velocity of the normal
direction increases. Its characteristic is its high adaptability in comparison with the curve
of exponential function or other regression curves. This value is actually 0.0 ∼ 1.0. K of
SF in Eq. (3) is designated as the revised velocity, expressing the gradient of the curve. The
reflective velocity may be obtained from Eq. (4) by using the SF curve.
1
SF = (3)
Vn in
1+ K
Vn out = Rn (scaled) × SF × Vn in (4)

Vout = RV (scaled) × SF × Vin (5)
On the other hand, we have clarified that the velocity ratio (Rv ) has also the dependent
property on the incident velocity of the normal direction, based on the laboratory experi-
mental results of dropping a quartz ball on the reflective plate of rock and wood. We also
showed that the Scale Factor Curve could be applied to Rv . In this case, the reflective velocity
may be determined by Eq. (5).
Equations (4) and (5) show the reflective velocity of the normal direction and that the
Scale Factor can be applied to either prediction method of the reflective velocity. However
during the application, the velocity ratio of the normal direction and each property and
characteristic of the velocity ratio should be taken into account.
Concerning the velocity ratio and the incident velocity of the normal direction, only the
main points are mentioned in this paper.2
• The slower the incident velocity along the normal direction, the closer the velocity ratio
approaches 1.0. The quicker it became, the velocity ratio reduced.
• The changing of velocity ratio is mainly due to the incident angle. The smaller the incident
angle becomes, the closer Rv approaches 1.0. Rv will fall as the incident angle becomes
larger.
• When the incident angle is the same, the quicker the incident velocity, the lower the
velocity ratio will fall. Its influence is smaller than that of the incident angle.
41
• When the reflective plate is the rock plate (granite), the gradient of the SF curve is rather
small, but for the soft wooden reflective plate, it becomes large (for the rock reflective
plate, K = 10 ∼ 12, for the wooden reflective plate, K = 7 ∼ 10).
In the field, because the influences of the shape and state of rockfall as well as and the
destruction of the ground, there exists a great deviation in the measured data. It is not simple
like the laboratory experiment. However based on the above mentioned fundamental prop-
erty, it can be considered that the velocity ratio is changing. Taking account of this property
of the velocity ratio, we first test the reproducibility analysis of the previous Takamatsu
Experiment.
Figure 4 is the plotting of the Rv (conversion) value of the Takamatsu Experiment as shown
in Table1. This figure shows the SF curve connecting its minima In the coordinate, Rv (scaled)
is designated in order to distinguish the measured velocity ratio and the velocity ratio of the
Scale Factor Curve. The Rv (conversion) value shown here expressed the limits of the max-
imum and minimum caused by the reading errors of the incident angle against the incident
velocity of the normal direction.
Figure 4. Takamatsu Experiment result and the SF curve.
Therefore, it can be considered that the SF curve itself may express the dependency of
the incident velocity of the normal direction on the velocity ratio, taking account of the
characteristic of the slope surface. Furthermore, it may also be considered that the two curves
may express the range of roughness deviations due to the incident and reflective angles. Based
upon this consideration, the iterative calculations have been performed in this investigation,
taking Rv (scaled) = 0.95 and K = 9.0 as the mean value, giving the range of Rv (scaled) =
±0.05,, K = ±1.0 as the standard deviation. The iteration number was 100.
The results were shown in Fig. 5. In this figure, the trajectory obtained by the simulation
were shown. This figure showed the envelope of the trajectory of Takamatsu Experiment
(Fig. 1). At the first falling place immediately after the falling, as the falling rock reached the
flat part in the lower side of the slope surface, the reason why the rock would not spring
highly up was the effect considering the dependency of incident velocity of normal direction.
Thus it may be considered that the velocity has been reproduced. However the trajectory
have been focused on the narrow range of the restitution area, monotonously rising and the
envelope of the Takamatsu Experiment greatly moved down. The main reason is considered
to be the modelling of the even inclination region with a long straight line.
42
Figure 5. Analysis results considering the dependency of incident velocity of normal direction on
velocity ratio.
4. Reproducibility Simulation of Trajectory

From the reproducibility analysis results of velocity, it is difficult to reproduce the trajectory
by only considering the dependency of the incident velocity of the normal direction on the
velocity ratio. In order to solve such problems of the trajectory, several methods have been
proposed: one is to give deviations to the incident angle; the other is to give deviations to the
topographic model itself. In this paper the second method was investigated.
The investigated model was the three dimensional topographic model as shown in the
right side of Fig. 5. It is the model which had been pushed out 30 m in the y direction and
divided the ground surface with one side being approximately 1.5 m of the triangle mesh.
In this investigation, the normal distribution with mean value and standard deviation σ was
given to each vertex of each triangle mesh with the height z (m). The topographic model
with randomness was established. The number of these established model was 100. By using
these models, the analysis had been performed by applying the scale factor curve as shown
in Fig. 4.
In the Takamatsu Experiment, Komura or Ushiro et al. reported that the standard devia-
tion of the incident angle on the concrete slope surface was σ = ±11.22◦ by assuming that
all the causes of deviation in the velocity ratio of the normal direction Rn was the reading
errors of the inclination angle.6,7 Based on this report, the average side length of the triangle
elements composing the investigated model was determined as 1.8 m, and the variation in
the upper and lower directions of the vertex σ = ±0.18 (m) (Fig. 6).
Figure 6. Input of height-deviation to triangle elements.
43
Figure 7. Input of height-deviation to triangle elements.
The analysis results were shown in Fig. 7. In this figure, we can see that there appeared a
great variation in the trajectory and velocity, when the roughness of the topographic model
was taken into consideration, in comparison with the case where only the velocity ratio
deviations were taken into account. These effects were quite evident. Not mention the falling
point, there appeared a new restitution section on the way of the long linear slope surface in
the 2 ∼ 11 m height or 13 ∼ 20 m height. Thus the appearance of the cross-section of the
trajectory and the velocity distribution were close to the experimental results.
On the other hand, it can be seen that the trajectory extended from the falling point when
the roughness of the topographic model was taken into account in comparison with the three
dimensional diagrams of Figs. 5 and 7. The relationship between the extension of the falling
trajectory and the deviation given to the vertex height of the mesh were shown in Fig. 8, The
deviation of the vertex height σ was increased from ±0.04 m to ±0.09 m, ±0.18 m, ±0.24 m,
that is, the larger the roughness of the slope surface becomes, the farther extended the rockfall
trajectory. Komura et al. reported that the extension from the falling point was about 30◦
in the Takamatsu Experiment.6 In addition, Komura et al., determined the roughness based
upon the measured results of the deviation in the incident angle, the extension angle from
the falling point was also 30◦ . It was fairly in agreement with the Takamatsu Experimental
Figure 8. Relationship between deviation of vertex height considering triangle element and extending
angle of rockfall.
44
results. From these results, we may consider that the method of this investigation, which
gives deviations to the small roughness of the topographic model and the method which
gives deviation to the incident angle and the mass point analysis performed by Komura et al.
and Ushiro et al. have approximately the equivalent effects of improvement on the trajectory.
5. Conclusions
Concerning the rockfall experimental results performed by the former Mimistry of Con-
struction in Takamatsu of Japan (1989), a reproducing experiment was carried out by using
DDAball.
The reproducibility experiment was performed by two steps. At the first, the deviation
effects of the dependency on the incident velocity of the normal direction was investigated by
using the model expressing the even inclination region with a long straight line. The results
were shown as follows:
(1) There is a dependency of the incident velocity of the normal direction on the velocity
ratio. It is important to consider this property for the reproducibility of velocity.
(2) In order to consider the deviation of the trajectory, it is important to take account of the
small roughness in the topographic model, the more roughness in the model, the greater
the scattering of the trajectory will become.
Naturally, in the practical rockfall simulation, it is necessary to consider both (1) and (2).
However, in order to elevate the reliability of the rockfall simulation, it is necessary to clarify
hereafter the determination method of the factor corresponding to the field conditions such
as the bare rock or the soil and sand, the measuring method of roughness and the method
reflecting the analysis mesh etc.
Moreover, although it does not mention in this paper, the occurring place of rockfall, the
influence of the initial velocity on the results are unexpectedly very important. In the future,
it is necessary to investigate the shape of rockfall, the influence of trees and the adequacy of
the probability distribution.
Acknowledgements
The authors would like to thank Dr. Shigeru Miki, Kiso-Giban Consultants Co. Ltd. for
many suggestions.
References
1. Shimauchi, T., Wei, Z., Nakamura, N., Sakai. N., Nishiyama, S and Ohnishi, Y. 2006. Funda-
mental Study of Velocity Energy Ratio by Using DDA-Rockfall Simulation. Proc. of the JRMS,
No.36.Japan, pp. 473–481.
2. Shimauchi, T., Ohnishi, Y., Nishiyama, S and Sakai, N, 2006, Study on Verification of Rockfall Sim-
ulation Using Improved DDA considering the Characteristics of Velocity Energy Ratio at Impact,
Journals of Civil Engineers C ,Vol. 62, No.3, pp. 707–721.
3. Japan Road Association. Reference Works for Rockfall Countermeasure Manual. Tokyo: Maruzen
Publisher, 1983.
4. Fukawa, Y., Ohnishi, Y., Nishiyama. S., Fukuroi. H., Yonezu. K and Miki. S. 2004. The applica-
tion of 3-dimentional DDA with spherical rigid block to rockfall simulation. Proc. of the ISRM
International Symposium 3rd ARMS, Kyoto, Japan. pp. 1243–1248.
5. Pfeiffer, T, J., Bowen, T. D, 1989, Computer Simulation of Rockfalls; Bulletin of the Association of
Engineering Geologists Vol.XXVI No.1, pp. 135–146.
45
6. Komura, T., et al. 2000. A view of parameter and roughness on field slop used in rock-fall simulation
method. Proc. of the 5th Symposium on Impact Problem in Civil Engineering. Tokyo, Japan. pp.
63–68.
7. Ushiro, T., et al. 2000. A study on the motion of rockfalls on slopes. Proc. of the 5th Symposium
on Impact Problem in Civil Engineering. Tokyo, Japan. pp. 91–96.
46
Development of Numerical Manifold Method and its Application
in Rock Engineering
GUOWEI MA,∗ LEI HE AND XINMEI AN

School of Civil and Environmental Engineering, Nanyang Technological University, Singapore 639798.
1. Introduction
Rock mass is a natural geological material consisting of both continuous rock medium and
discontinuous components such as joints, fractures, faults etc. To characterize the mechanical
behaviors of such discontinuities in a computer model, either explicitly or implicitly, various
numerical methods have been developed.
For problems where their characteristic length (defined by the smallest dimension of the
problem) is much larger than their representative volume (i.e. the smallest volume over which
a measurement can be made that will yield a value representative of the whole), the discon-
tinuities can be implicitly modeled with a homogenization model to obtain the equivalent
properties of the material which is heterogeneous and/or fractured. Continuum-based numer-
ical methods such as the finite difference method (FDM), the finite element method (FEM),
and the boundary element method (BEM) can be adopted to describe such problems.
However, for problems where the representative volume is either much larger than or of a
similar order of the physical problem, the continuum hypothesis is violated and the explicit
representation of discontinuities is desired. In FEM, various joint element or interface ele-
ment models like ‘Goodman joint element’,1 six-node fracture element,2 joint element based
on the theory of plasticity,3 thin-layer element,4 and interface element in contact mechanics5
have been implemented. Despite these efforts, the treatment of fractures and fracture growth
remains limited in the FEM. The FEM requires the finite element mesh conforming to the
cracks, which complicates the meshing task. When fracture growth involved, remeshing is
inevitable, which makes the simulation complicated and time-consuming. To overcome the
inconveniences in meshing and remeshing processes, a variety of modifications to the conven-
tional FEM have been made based on the partition of unity (PU). The extended finite element
method (XFEM),6,7 in which discontinuities and discontinuities in derivatives are directly
represented by incorporating enrichment functions, and the generalized finite element mesh
(GFEM),8 which augments the finite element approximation space with high-order terms
or handbook functions of boundary value problems to tackle some typical problems with
multiple reentrant corners, voids, and cracks, are two representative examples.
Other continuum-based numerical methods for fracturing analysis include the BEM and
the meshless methods. In general, the BEM is not efficient as the FEM in dealing with material
heterogeneity and non-linearity. Meshless methods look promising, but are not sufficient to
replace the FEM because of their difficulties in numerical integration of weak forms and
imposition of essential boundary conditions.
The continuum-based numerical methods can deal with the fractures to some extent. Block
rotations, complete detachment and large-scale opening can not be treated.
Discontinuum-based numerical methods including the distinct element method (DEM)
originated by Cundall9 and the discontinuous deformation analysis (DDA) method pio-
neered by Shi10 are also used in modeling the rock mass behaviors. In these methods, the
∗ Corresponding author. E-mail: CGWMa@ntu.edu.sg

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-keynote-Ma-Guowei 47
problem domain is treated as an assemblage of rigid or deformable blocks with the contacts
between them identified and continuously updated during the entire deformation/motion
process. This kind of methods is especially suitable for the simulation of large-scale displace-
ments of individual blocks, block rotations, and complete detachment.
It is often the case that individual discrete blocks can also fracture or fragment, which is
in essence a process of transition from continua to discontinua. Such problems can be well
represented by the combined continuum-based and discontinuum-based numerical methods,
such as the combined finite-discrete element method11 and the numerical manifold method
(NMM).12
The NMM was initially proposed by Shi in 1991. It gains her name after the mathematical
notion of manifold.
Different from other numerical approaches, the NMM adopts a finite number of small
patches called covers to discretize the problem domain, defines local approximations called
cover functions on each cover, and uses weight functions (or partition of unity functions) to
paste the local approximations together to give a global approximation.
Compared with other numerical methods, the NMM has the following three distinct fea-
tures: (1) because of the introduction of covers, the discontinuities are treated in a straightfor-
ward manner; continuous body, fractured body, and assemblage of discrete bodies are treated
in a unified form; (2) the covers do not need to conform to neither the external boundaries
nor the internal features such as cracks and material interfaces, which makes its prepro-
cessing easy and discontinuity evolutions be modeled without remeshing; (3) because of the
partition of unity property of its weight functions, high-order terms or special functions can
be easily incorporated into its local approximations to improve the accuracy.
In this paper, firstly, the basic theories of the NMM are briefly introduced Then some appli-
cations of the 2D-NMM, including the modeling of multiple discrete blocks, the modeling of
strong discontinuities, and the 3D-NMM, including 3D block cutting, the displacement and
deformation modeling, are presented, respectively.
2. Basic Theory of the NMM

2.1. NMM components
With reference to an example in Fig. 1, the definitions of three basic components in the
NMM, namely the mathematical cover (MC), the physical cover (PC) and the cover based
manifold element (CE), are presented.
The portrait of the physical problem including the problem domain in which the physical
problem is defined, and all the physical features such as the internal discontinuities (e.g.
cracks, joints, material interfaces, holes, etc.) and the external geometries on which boundary
conditions are prescribed is referred to as a physical domain (Fig. 1(a)), whereas a domain
which is independent but completely cover the physical domain is called the mathematical
domain (Fig. 1(b)).
The mathematical domain can be constructed as a union of a finite number of small
patches, called mathematical covers, denoted as MCI . The mathematical covers are user-
defined, can be of arbitrary shape and can overlap each other partially or completely. They
are defined completely independent of the physical domain. However, their union must be
large enough to cover the entire physical domain. See the example in Fig. 1, there are two
mathematical covers in total, denoted as MC1 and MC2 (Fig. 1(c)).
The physical covers are the intersection of mathematical covers and the physical domain.
If completely cut by the physical features, a mathematical cover MCI will be partitioned into
48
PC11 PC12
MC1 MC2
PC12 PC 22
(a) (b) (c) (d)
CE1 CE 2 CE3 CE 4 CE5

(e)
Figure 1. NMM components in 2D-NMM: (a) physical domain; (b) mathematical domain; (c) math-
ematical covers; (d) physical covers; (e) cover-based manifold elements.
j
several physical covers, denoted as PCI (j = 1 ∼ mI ). See the example in Fig. 1, mathematical
cover MC1 is completely cut into three isolated regions by the physical features and two
of them are within the problem domain, so two physical covers, denoted as PC11 and PC21
are formed (Fig. 1(d)). Similarly, mathematical cover MC2 also forms two physical covers,
denoted as PC12 and PC22 .
The cover-based manifold element is defined as the common region shared by several phys-
ical covers. The four physical covers in Fig. 1(d) finally form five cover-based manifold ele-
ments, shown in Fig. 1(e).
Figure 2(a) illustrates the three basic components of the 3D-NMM. There are two math-
ematical covers in total, i.e. a sphere mathematical cover MC1 and a hexahedron mathe-
matical cover MC2 . The pyramid defines the physical domain. Intersected with the physical
domain, two physical covers i.e. PC11 and PC12 as shown in Fig. 2(b) are generated. These two
physical covers finally form three cover-based manifold elements, as shown in Fig. 2(c).
2.2. NMM approximations

On each mathematical cover MCI , a weight function ϕI (x) satisfies
ϕI (x) ∈ C0 (MCI )
(1a)
ϕI (x) = 0, x ∈
/ MCI

ϕK (x) = 1. (1b)
K
if x ∈ MCK
Equation (1a) indicates that a weight function ϕI (x) is continuous over the mathematical
cover MCI , and has non-zero value only on its corresponding mathematical cover MCI , but
zero elsewhere, whereas Eq. (1b) is known as the partition of unity (PU) for the continuity
of approximation.
49
PC12
PC
(a) (b)
(c)
Figure 2. NMM components in 3D-NMM: (a) physical domain and mathematical covers; (b) physical
covers; (c) cover-based manifold elements.
j
On each physical cover PCI , a local approximation function called cover function denoted
j
as uI (x) is defined. Weight functions defined on each mathematical cover transfer to the
physical covers as
j j
ϕI (x) = δI · ϕI (x) (2)
j j
where δI is a modifier, with its value to 1 within the physical cover PCI and 0 elsewhere. Here,
each physical cover has two indices, I and j. To simplify the implementation, we reallocate a
single index i to each physical cover with i gained by

I−1
i(I,j) = ml + j (3)
l=1
j j j
Thus, physical cover PCI , cover function uI (x) and weight function ϕI (x) are re-denoted
as PCi , ui (x) and ϕi (x), respectively. Then, we use the weight functions ϕi (x) to paste all the
cover functions ui (x) together to give a global approximation over each cover-based manifold
element as

uh (x) = ϕi (x) · ui (x) (4)
i
if CE ⊂ Pi
Because of the partition of unity property of the weight functions, any high-order terms
or special functions can be incorporated into the cover functions to give a high-accuracy
approximation.
50
2.3. Imposition of essential boundary condition

In the NMM, the mathematical covers are constructed totally independent of the boundaries.
The essential boundary condition thus can not be accomplished by directly enforcing the
degrees of freedom like in the FEM, but is usually prescribed by the Lagrange multiplier
method, the penalty method or the augmented Lagrange multiplier method in the weak form
of governing equations.13
2.4. Contact problems in the NMM

The NMM aims at solving the discontinuous problems, even with rigid movements. When
intersected with physical features like weak discontinuities and strong discontinuities, each
mathematical cover forms several independent physical covers associated with individual
cover functions. So, the adjacent cover-based manifold elements formed by these physical
covers are independent on each other in the framework of the NMM.
However, the fact is that the cover-based manifold elements at the two sides of the discon-
tinuities are not totally independent, but have some relations. For example, for a problem
domain containing a strong discontinuity, the displacement field across the crack surface is
discontinuous; however, the two sides, i.e. upper side and lower side, of a crack surface can
not penetrate each other in geometry even under a complex stress state. Another example
is the problem with discrete bodies. The displacement field across each body boundary is
discontinuous; however, one body can not penetrate into another body Such constraints are
normally termed non-penetration or unilateral condition, and attributed to a contact prob-
lem in physics.
Since the frictional contact problems are inherently nonlinear and irreversible, for the sake
of generality, an incremental approach is adopted in the NMM. The contact state at the
beginning of the current time step is known and the contact state at the end of the current
step after a time interval of step time is to be solved, while the time incremental for each time
step is chosen small enough so that the displacements of all the points within the problem
domain are less than a predefined maximum displacement limit ρ. With an open-close itera-
tion procedure, the contact constraint of no penetration and no tension of the two sides of
discontinuous entities are fulfilled. Detailed contact detection and modeling in the 2D-NMM
can refer to Shi.12
0s
0.5 s
0.1s
0.9s
1.3 s
1.7 s
Figure 3. Toppling process of a series of blocks modeled by the NMM.
51
3. Applications of the 2D-NMM

3.1. Modeling of multiple discrete blocks
The problems with multiple discrete bodies which are described well with the DDA can also
be modeled with the NMM. A typical domino run problem is numerically investigated here.
The numerical model consists totally 41 rectangular blocks with the size of 20 mm×150 mm
and the spacing of 30 mm on a horizontal surface. The material parameters for the blocks are:
Young’s modulus E = 200 GPa, Poisson’s ration ν = 0.3. The fiction coefficient μ between
the blocks and the horizontal surface is 0.3. An initial pulse force is applied to the first block
to make it topple to the second block, which induce a toppling process shown in Fig. 3. The
numerically obtained result is consistent with the experimentally observed phenomenon.
Another example is the NMM modeling of mineral separation process using the vibrating
screen. The simplified model includes a set of coal blocks, a vibrating screen and a container.
The screen moves in the horizontal direction with a frequency of 1 Hz and amplitude of
5.5 cm.
In the study, an oversize triangle is used to cover the whole problem domain, which treats
each block as a single cover-based manifold element with constant stress field and linear
displacement field. It is reasonable because the coal blocks generally undergo small deforma-
tion during the separation process. The numerically obtained separation process is shown in
Fig. 4.
(a) time step = 0 (b) time step = 6000
(c) time step = 12000 (d) time step = 18000
Figure 4. Size separation process with the vibrating screen modeled by the NMM.
3.2. Modeling strong discontinuities

The NMM models the strong discontinuities by splitting mathematical covers completely cut
by the crack surfaces into several physical covers attached with independent cover functions
and enriching singular physical covers containing the crack tips with asymptotic crack tip
functions.14,15 The resulting displacement field across discontinuities is naturally discontinu-
ous. The NMM models complex cracks in an exactly same way with the modeling of a single
crack.
52
Numerical examples in Refs. 14 and 15 have demonstrated the efficiency and robustness of
the NMM in modeling complex cracks and their growth. For illustration purpose, a problem
with a tree-shaped crack under bi-axial tension in a finite plate shown in Fig. 5(a) is examined
here. The detailed description of the parameters used in the computation can refer to Ref.
[14]. The regular mathematical covers for the central part of the problem are depicted in
Fig. 5(b). The convergence of the stress intensity factors (SIFs) at crack tip D can be easily
observed when the mathematical covers are gradually refined (Fig. 5(c)).
σ
s
B H
σ
s A D σ
s
C
H
W W
σ
s
(a) (b)
0.02
1.86
-0.01
1.78
-0.04
1.70
FDII
FDI
1.62 -0.07
1.54 -0.10
6.0 12.0 18.0 24.0 30.0 6.0 12.0 18.0 24.0 30.0
W/h W/h
(c) (d)
Figure 5. Modeling a tree-shaped crack with the NMM: (a) a problem with a tree-shaped crack; (b)
part of the mathematical covers; (c) SIFs at crack tip D.
4. Applications of the 3D-NMM

4.1. Block cutting
A cutting algorithm16 is proposed to generate blocks from joints and free faces in a three-
dimensional space.
If the joints are long compared with the dimension of the target block, cutting algorithm
is simple. Only convex blocks are generated. However, if the joints are shorter than the
dimension of the target block, the cutting algorithm becomes complicated because: (1) the
blocks may be concave; (2) the faces of the blocks may be concave; (3) a block may contain
sub-blocks inside; (4) a block may contains holes inside; (5) the faces of blocks may also
contains sub-faces or holes inside.
Most existing block cutting codes only deal with the cases in which the joints are long
enough to cut through the target block and thus produce only convex blocks. However, our
53
proposed algorithm can describe not only convex blocks but also concave blocks, not only
simply connected blocks but also multiply connected blocks.
Figure 6(a) depicts the Great Pyramid of Khufu with internal chambers, while Fig. 6(b)
illustrates our 3D cutting result, which is a convex block with complex internal faces. Figure 7
illustrates the cutting of a complex tunnel system in a jointed rock mass. Figure 8 shows the
cutting of a slope in a jointed rock mass.
(a) (b)
Figure 6. Cutting the Great Pyramid of Khufu: (a) real structure; (b) 3D cutting result.
Figure 7. Cutting a tunnel system in a jointed rock mass.
Figure 8. Cutting a slope in a jointed rock mass.
54
4.2. Modeling of block free fall

In Fig. 9(a), the geometry of a single block in the 3-D space can be defined by using the
explanation of physical covers and mathematical covers mentioned in the previous sections.
The cube falls under the pure influence of the gravity. The acceleration of gravity is 10 m/s2 .
The time step used is 0.05 s.
Figure 9(b) gives the displacement time history. The error of the numerical solution is less
than 0.1% in the maximum absolute difference, which illustrates the accuracy of the NMM
calculation.
4.3. Effect of cover size and orientation

A 2 m×2 m×0.1 m plate is subjected to the gravity load with g = 10 and fixed at four corners,
with material properties of E = 10 GPa, v = 0.3, ρ = 1200 kg/m3 . Its geometry of typical
mesh design is shown in Fig. 8(a) in which faces of the plate conform to the axis planes.
Six mathematical cover size of s = 0.52, 0.32 0.22, 0.12, 0.08, 0.05 are used to examine
the cover size effect. After intersection with the physical plate, 190, 684, 1104, 3706, 8100,
19200 cover-based manifold elements are generated respectively. The dynamical ratio is set
90.0
1670
1
80.0
NMM
70.0 Exact
60.0
Displacement (m)
50.0
40.0
30.0
20.0
10.0
00
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 5.0
Time (s)
(a) (b)
Figure 9. Block free fall simulation: (a) the model; (b) the displacement time history versus theoretical
solution.
0.40
Total Deformation in the Center
0.35
0.30
0.25 NMM
0.20
0.15
1 2 3 4 5 6
MC size Level
(a) Model (b) Convergence of deformatiom
Figure 10. Deformation convergence with decrease of cover size.
55
to be 0 to clarify the quasi-static responses of the 6 models. Hence, no velocity of the cover-
based manifold element is transferred to the next time step. Results are convergent and stable
with the increase of the mesh density shown in Fig. 10(b).
Then, the 2 m×2 m×0.1 m plate is subjected to a constant point load L = 5 at the cen-
ter with fixed four corners of the same material properties above. The dynamical ratio is
set as 0.999 to investigate dynamical response fully. Two different orientations of the plate
(orientation 2 and 3) are shown in Fig. 11 where the orientation 1 is same as the previous
example.
Z direction displacement histories of the center point (Fig. 12) shows that the orientation
of the mathematical covers has negligible effect on the plate maximum displacement at the
plate center. The maximum displacement is accurate and stable after converging, and the
convergence time is also stable.
This ensures the accuracy and modeling efficiency of the 3-D NMM and decreases the
mesh division complexity in FEM. It also supports the validity of the 3-D NMM dynamic
algorithm.
Figure 11. Geometry of mesh designs for mesh orientation effect study.
Figure 12. Z direction displacement histories of center point.
56
Figure 13. two tetrahedron contact with flexible slab.
4.4. Contact algorithm

As shown in the Fig. 13 a flexible slab has been fixed on three corners, and one corner is free.
Two tetrahedron blocks are suspending above the slab. The whole system is under gravity
environment and equivalent 0.4 gravity force along minus y direction
In recent developing NMM 3D code, contact system built upon contact hierarchies’ con-
cept (HTC), which has been used in the commercial software LSDYNA. It is one of most con-
fidential contact algorithm recently. Furthermore, NMM3D formula can simulate the whole
dynamical process, such as fell down, contact interaction, frictional sliding, and separation
This algorithm is still under optimization. Up until now, the advantage of this algorithm in
discontinuous description and contact interaction, has facilitated and provided foundation
for its wide usage in complex underground engineering.
5. Conclusions and Remarks

In the NMM, two separate cover systems i.e. the mathematical covers and the physical covers
are employed to describe a physical problem with displacement approximations defined on
each physical cover. The displacement approximation on a coverbased manifold element is
obtained by the combination of the approximations of the related physical covers using the
partition of unity. As elements across discontinuous entities may be related with different
physical covers, the NMM can describe continuous problems and discontinuous problems
simultaneously in a unified form. By increasing physical covers, the process from continua
to discontinua can be easily actualized without any difficulties that are encountered in other
numerical methods Obviously, the NMM is a promising numerical method in many research
and application areas, and the rock mechanics and rock engineering area is certainly and
importantly included
In this paper, focus is put on the development and verifications of both the 2D-NMM
and 3D-NMM. As the basic theory of the 2D-NMM has developed relatively well, it is used
to simulate discrete block systems and developed for crack simulation. Results show that
the 2D-NMM can deal with discrete and strong discontinuous problems well. Fundamental
studies are carried out for the 3D-NMM, including block cutting and the application of 3D-
NMM in both continuous and discontinuous problems. The satisfied verification results of
the 3D-MM program put a solid stage for its further development.
57
References
1. Goodman R. E., Taylor R. L., Brekke T. L. A model for the mechanics of jointed rock. Journal of
the Soil Mechanics and Foundations Division, ASCE, 1968, 94: 637–659.
2. Zienkiewicz O. C., Best B., Dullage C., Stagg K. Analysis of nonlinear problems in rock mechanics
with particular reference to jointed rock systems. Proceedings of the Second International Congress
on Rock Mechanics, Belgrade, 1970, pp. 8–14.
3. Ghaboussi J., Wilson E.L, Isenberg J. Finite element for rock joints and interfaces. Journal of the
Soil Mechanics and Foundations, ASCE, 1973, 99(10): 849–862.
4. Desai C. S., Zamman M. M., Lightner J. G., Siriwardane H. J. Thinlayer element for interfaces
and joints. International Journal for Numerical and Analytical Methods in Geomechanics, 1984,
8: 19–43.
5. Katona M. G. A simple contact–friction interface element with applications to buried culverts.
International Journal for Numerical and Analytical Methods in Geomechanics, 1983, 7: 371–384.
6. Moes N., Dolbow J., Belytschko T. A finite element method for crack growth without remeshing.
International Journal for Numerical Methods in Engineering, 1999, 46: 131–150.
7. Sukumar N., Prevost J. H. Modeling quasi-static crack growth with the extended finite element
method Part I: computer implementation. International Journal of Solids and Structures, 2003,
40: 7513–7537.
8. Strouboulis T., Babuska I., Copps K. The design and analysis of the generalized finite element
method, Computer Methods in Applied Mechanics and Engineering, 2000, 181: 43–69.
9. Cundall P. A. A computer model for simulating progressive, large scale movements in blocky rock
systems, Proceedings, International Symposium on Rock Fracture, Nancy, France, II-8, 1971
10. Shi G. H. Discontinuous Deformation Analysis — A new numerical model for the static and
dynamics of block systems, PhD Dissertation, Department of Civil Engineering, U.C. Berkeley,
1988
11. Munjiza A. The combined finite-discrete element method, Wiley, Chichester, 2004
12. Shi G. H. Manifold method of material analysis, Trans. 9th Army Conf. on Applied Mathematics
and Computing, Minneapolis, Minnesota, 1991, pp. 57–76.
13. Ma G. W., An X. M., He L. The numerical manifold method-A reivew. Submitted to International
Journal of Computational Methods, 2009.
14. Ma G. W., An X. M., Zhang H. H., Li L. X. Modeling complex crack problems with numerical
manifold method. International Journal of Fracture, 2009 156 (1): 21–35.
15. Zhang H. H., Li L. X., An X. M., Ma G. W. Numerical analysis of 2-D crack propagation prob-
lems using the numerical manifold method. Submitted to Engineering Analysis with Boundary
Elements, 2009.
16. Ma G. W., He L. Development of 3-D numerical manifold method. Submitted to International
Journal of Computational Methods, 2009
58
Tensorial Approach to Rock Mass Strength and Deformability in
Three Dimensions
P.H.S.W. KULATILAKE∗
Geological Engineering Program, Dept. of Materials Science and Engineering, University of Arizona,
Tucson, Arizona, 85721, USA
1. Introduction
A good understanding of rock mass strength and deformability is vital to arrive at safe
and economical designs for structures built in and on rock masses. Rock mass strength
and deformability depend on (a) the discontinuity network, (b) the geomechanical proper-
ties of the discontinuities, (c) the geomechanical properties of the intact rock, (d) the in-
situ stress system and (e) the loading/unloading stress path. The presence of complicated
discontinuity patterns, the inherent statistical nature of their geometrical parameters, and
the uncertainties involved in the estimation of their geomechanical and geometrical prop-
erties and in-situ stress make accurate prediction of rock mass strength and deformability
difficult. It is a known fact that jointed rock mass strength and deformability exhibit both
anisotropy and scale effects in the presence of distinct joint clusters. Rock mass strength and
deformability change with the direction due to the orientation distributions of the distinct
joint clusters. Joint size distributions of the joint clusters lead to the scale effects on rock
mass strength and deformability. Procedures currently used in practice to estimate rock mass
strength and deformability do not incorporate appropriate procedures to capture the direc-
tional and scale dependence of rock mass strength and deformability. At present, in prac-
tice, rock mass strength and deformability are estimated based on rock mass classification
indices. All these indices are scalars. Therefore, they do not have the capability of capturing
the anisotropy or the directional changes of rock mass strength and deformability. This paper
shows how to use tensorial approaches to capture the anisotropy and scale dependency of
rock mass strength and deformability.
2. Capturing of Anisotropy and Scale Effects in Estimating Rock Mass

Deformability in Three Dimensions
A numerical decomposition technique (Fig. 1), which has emerged from a linking between
joint geometry modelling and generation schemes and a distinct element code (3DEC1 ), is
used to evaluate the effects of joint geometry parameters of finite size joints on the deforma-
bility properties of jointed rock at the three-dimensional (3-D) level.2−4 In order to use the
3-DEC for 3-D stress analysis, the problem domain should be discretized into polyhedra.
With only finite size actual joints, it will not be possible to discretize the domain into poly-
hedra. In such a situation, in order to use the 3-DEC code for stress analysis, it is necessary
to create some type of fictitious joints so that when they are combined with actual joints
the problem región is discretized into polyhedra. These fictitious joints then should behave
as intact rock. Kulatilake et al. have given procedures to create polyhedra in working with
finite size joints3 and also have provided guidelines to estímate strength and deformability
parameter values for fictitious joints.4 Joint geometry networks used for the actual joints in
∗ Corresponding author. E-mail: kulatila@u.arizona.edu

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-keynote-Kulatilake 59
Generate non-persistent actual joints

in rock blocks in 2D (in 3D)
Create fictitious joints

to discretize rock blocks into polygons
in 2D (polyhedra in 3D)
Link 2D joint generator (3D joint

generator) to the 2D distinct element
code (3D distinct element code) to
generate rock blocks with actual and
fictitious joints
Obtain representative values Perform stress analysis for

for mechanical properties of different actual joint configurations
fictitious joints in 2D (in 3D) under different stress paths using the
to simulate the intact rock distinct element menthod in 2D (in 3D)
behaviour
Evaluate the effect of joint

geometry parameters on the
stength and deformability of
rock blocks
Figure 1. Flow chart of the procedure used to study the effect of joint geometry on rock mass
deformability.2
the study are given in Table 1. The reader is referred to Ref. 2 for the constitutive models
used for intact rock, actual joints and fictitious joints. The parameter values used for the con-
stitutive models are given in Tables 2 and 3. These values have been obtained from a granitic
gneiss rock tested in the laboratory and field.5 Three-dimensional stress paths used for the
study are shown in Figs. 2 and 3. Variation of deformability parameters of jointed rock with
joint geometry parameters such as joint density, joint size/block size and joint orientation, are
shown through 3-D plots in Ref. 2. The relations developed between deformability properties
of jointed rock and fracture tensor parameters are shown in Figs. 4 and 5. For details on the
fracture tensor parameters, the reader is referred to Ref. 2. An incrementally linear elastic,
orthotropic constitutive model is suggested to represent the prefailure mechanical behavior
of jointed rock (Figs. 6 and 7). This constitutive model has captured the anisotropic, scale
dependent behavior of jointed rock (Fig. 8). In this model, the effect of the joint geometry
network in the rock mass is incorporated in terms of the fracture tensor components (Fig. 8).
60
Table 1. Generated joint networks of actual joints in rock blocks in 3-D distinct element stress
analysis.2
No. of joints sets Orientations Joint size/block size No. of joints Joint
location
60◦ /45◦ 0.1–0.9 with step 0.1 5, 10, 20, 30 Uniform

distribution
94.42◦ /37.89◦ 0.3, 0.5, 0.6, 0.7, 0.9 5, 10, 20, 30 Uniform
distribution
One joint set 30◦ /45◦ 0.3, 0.5, 0.6 5, 10, 20 Uniform
0.7, 0.8, 0.9 5, 10, 20 distribution
90◦ /45◦ 0.3, 0.5, 0.6, 0.7, 0.8, 0.9 5, 10, 20 Uniform
distribution
68.2◦ /72.2◦ 0.3, 0.6, 0.7, 0.8 5, 10, 20, 30 Uniform
distribution
248.9◦/79.8◦ 0.3, 0.6, 0.7, 0.8 5, 10, 20, 30 Uniform
distribution
1st joint set 60◦ /45◦ 10
Two joint sets Uniform
2nd joint set 240◦ /60◦ 0.1, 0.2, 0.3, 0.5, 0.6, 0.7 10 distribution
Table 2. Intact rock and fictitious joints parameter values of the constitutive models for granitic
gneiss rock.2
Intact rock Fictitious joints
Parameter Assigned value Parameter Assigned value
Density (d) 2500 (kg/m3 ) Joint normal stiffness (JKN) Different

Young’s modulus (E) 60 (GPa) Joint shear stiffness (JKS) values (MPa/m)
Poisson’s ratio (v) 0.25 Joint cohesion (Jc ) 50 MPa
Bulk modulus (K) 40 (GPa) Joint dilation coefficient (Jd ) 0
Shear modulus (G) 24 (GPa) Joint tensile strength (Jt ) 10 (MPa)
Cohesion (c) 50 (MPa) Joint friction coefficient ( tan φ) 0.839
Tensile strength (t) 10 (MPa)
Friction coefficient (tan φ) 0.839
Table 3. Parameter values of the constitutive model for

non-persistent actual joints of granitic gneiss rock.2
Parameter Value
Joint normal stiffness (JKN) 6.72 × 104 MPa/m

Joint shear stiffness (JKS) 2.7 × 103 MPa/m
Joint cohesion (Jc ) 0.4 MPa
Joint tensile strength (Jt ) 0 MPa
Joint friction coefficient (tan φ) 0.654
61
$ Sz
Sz Sz Sz
Sy Sy
$ Sy Sy
Sx
Sx Sx
$Sx
Figure 2. Stress paths of first type used to perform distinct element stress analysis of rock blocks with
joints.2
Sz Sz
Sz
Tzy
x
Tz Tyz
Sy Txz
Txy Sy
Sy
x
Ty
Sx Sx
Sx
Figure 3. Stress paths of second type used to perform distinct element stress analysis of rock blocks
with joints.2
Figure 4. Relation between rock block deformation modulus in any direction, Em , and the fracture
tensor component in the same direction2 (note: Ei is the intact rock Young’s modulus).
62
Figure 5. Relation between rock block shear modulus on any plane, Gm , and the summation of frac-
ture tensor components on that plane2 (note: Gi is the intact rock shear modulus).

1 −v21 −v31 
0 0 0
   E1 E2 E3   
11  −v 1 −v32  1σ1
 12 
 12   0 0 0   1σ2 
   E E E   
 13   −v113 −v223 13   1σ3 
 = 0 0 0 × 
 1γ12   E   1τ12 
   1 E3 E3   
 1γ13   0 1   1τ13 
 0 0 G12 0 0 
1γ23  1  1τ23
 0 0 0 0 G13 0 
1
0 0 0 0 0 G23
Figure 6. General form of the incrementally linear elastic constitutive model suggested to represent
pre-failure behavior of a jointed rock mass in 3-D2 .
3. Rock Mass Strength and Deformability Estimations in 3-D for Rock

Blocks of Sizes 13.5–30 m at the ASPO Hard Rock Laboratory, Sweden
Rock fracture data provided by Swedish Nuclear Fuel and Waste Management Company
were used to develop and valídate a 3-D stochastic fracture network model for a 30 m cube
of Äspö diorite rock mass located at a depth of 485 m at Äspö Hard Rock Laboratory,
Sweden.6 A new procedure is developed to estimate rock block strength and deformability
in 3-D allowing for anisotropy and incorporating the fracture geometry for the selected 13.5
through 30 m cubes.6 In situ stress data and laboratory estimated geomechanical properties
of intact rock and rock joints were used in estimating the block strength and deformability
in every 45 degree direction in 3-D (Table 4). The mean rock mass strength was found to
63
 aF1n +1 −v21 (aF2n +1) −v31 (aF3n +1) 

Ei Ei Ei 0 0 0
 
   −v12 (aF1n +1) aF2n +1 −v32 (aF3n +1) 
11  0 0 0 
 Ei Ei Ei 
 12   
   −v (aFn +1) −v23 (aF2n +1) aF3n +1 
 13   13 Ei 1 0 0 0 
   Ei Ei 
 1γ12  =  
   0 0 0 b(F1 +F2 )m +1
0 0 
 1γ13   Gi 
 
1γ23  b(F1 +F3 )m +1 
 0 0 0 0 0 
 Gi 
b(F2 +F3 )m +1
0 0 0 0 0
  Gi
1σ1
 1σ2 
 
 1σ3 
× 

 1τ12 
 1τ13 
1τ23
Figure 7. Specific form of the incrementally linear elastic constitutive model suggested to represent
pre-failure behavior of a jointed rock mass in 3-D2 .
(a)
(b)
(c)
Figure 8. Anisotropy of deformation modulus, Em , in three dimensions for different first invariant of
the fracture tensor, IF1 , values:2 (a) Em on the y-z plane; (b) Em on the x-y plane; (c) Em on the x-z
plane.
64
35.6 cm
17.8 cm
Figure 9. Typical frame used in making the jointed specimens of the model material.7
Table 4. Mean rock mass strength and rock mass modulus in different directions in 3-D (Note:
downward plunge +ve).
Direction
Mean rock mass strength (MPa) Mean rock mass modulus (GPa)
Trend (degs.) Plunge (degs.)
0 −90 152.5 38.2
0 −45 113.8 34.2
0 0 129.8 35.7
0 45 140.6 41.1
45 −45 136.0 32.8
45 0 145.2 36.2
45 45 164.5 39.9
90 −45 142.3 40.5
90 0 153.0 39.0
90 45 131.5 39.0
135 −45 135.0 34.5
135 0 139.5 38.8
135 45 137.5 34.2
180 −45 140.6 41.1
180 0 129.8 35.7
180 45 113.8 34.2
180 90 152.5 38.2
225 −45 164.5 39.9
225 0 145.2 36.2
225 45 136.0 32.8
270 −45 131.5 39.0
270 0 153.0 39.0
270 45 142.3 40.5
315 −45 137.5 34.2
315 0 139.5 38.8
315 45 135.0 34.5
be 47% of the mean intact rock strength of 297 MPa at 485 m depth. The mean rock mass
modulus was found to be 51% of the intact rock Young’s modulus of 73 GPa. The rock mass
65
Table 5. Principal rock mass strength and rock mass modulus mean magnitudes and their
directions.6
Rock mass strength Rock mass modulus
Trend (deg.) 63 51
First principal direction Plunge (deg.) 29 45
Magnitude 155.2 MPa 39.9 GPa
Trend (deg.) 295 296
Second principal direction Plunge (deg.) 48 23
Trend (deg.) 170 188
Third principal Direction Plunge (deg.) 27 37
Horizontal aluminum plate

mounted on a ball bearing slide
Block sample
Load cell
Hydraulic cylinder
(a)
Applied load in σ2 direction
Spherical seat Firm rubber

Applied load in σ1 direction
Two thin galvanized sheets

with lubrication in between
35.6 cm × 17.8 cm × 2.5 cm

Sample
Steel plates Spherical seat
(b)
Figure 10. (a) Equipment and the data acquisition system used in performing uniaxial and biaxial
compression experiments; (b) A detailed view around the sample.7
66
Figure 11. (a) Tensile splitting, (b) Sliding on joints, (c) Failure in intact material and sliding on joints.
1
σ2 values
Experimental Data Prediction
0.8 0.0 MPa 0.0 MPa
0.125 MPa 0.125 MPa
0.25 MPa 0.25 MPa
0.6 0.5 MPa 0.5 MPa
σ1,b /σ1,I
1.0 MPa 1.0 MPa
0.4
0.2
0
0.0 1.0 2.0 3.0 4.0 5.0
F22
Figure 12. A plot of the normalized block strength, σ1,b /σ1, I, of jointed blocks of glastone model
material against fracture tensor component, F22 , for different intermediate principal stresses, σ2 .7
Poisson’s ratio was found to be 21% higher than the intact rock Poissson’s ratio of 0.28. The
anisotropy resulted for the rock mass strength and mass modulus are shown in Table 5.
4. A New Rock Mass Strength Criterion Based on Laboratory Test Results

To simulate brittle rocks, a mixture of glastone, sand and water was used as a model mate-
rial. Thin galvanized sheets of thickness 0.254 mm were used to create joints in blocks made
out of the model material (Fig. 9). To investigate the failure modes and strength, both the
intact material blocks as well as jointed model material blocks of size 35.6 × 17.8 × 2.5 cm
67
2.5
2.0 ! 0 = 2.07
1.5
!0
ω !=
34.942 × (" 2 /" u, I ) 0.6703 + 1
1.0
R 2 = 0.949
0.5
0.0
0.00 0.01 0.02 0.03 0.04 0.05
σ 2/σ
σ u,I
Figure 13. Variation of the decay parameter, ω, with σ2 /σu,I .7
Figure 14. Proposed biaxial rock mass failure criterion for glastone jointed blocks on σ1,b /σu,I versus
σ2 /σu,I space.7 .
68
Table 6. Joint geometry configurations used for jointed model material blocks with
persistent joints.7
Sample Number Dip angles of the two joint sets (degrees) Number of Joints per Set
INTACT —- —–
BSP-10 10–10 4×4
BNSP-10-20 10–20 4×4
BSP-15 15–15 4×4
BNSP-15-25 15–25 3×3
BNSP-10-30 10–30 3×3
BSP-20 20–20 4×4
BSP-25 25–25 3×3
BNSP-20-30 20–30 3×3
BNSP-15-35 15–35 3×3
BSP-30 30–30 3×3
BNSP-25-35 25–35 3×3
BNSP-10-40 10–40 3×3
BNSP-20-40 20–40 3×2
BNSP-10-50 10–50 3×2
BSP-35 35–35 3×3
BNSP-15-45 15–45 3×3
BNSP-30-40 30–40 3×3
BNSP-20-50 20–50 3×2
BNSP-25-45 25–45 3×3
BNSP-30-50 30–50 3×2
BSP-40 40–40 3×3
BNSP-15-55 15–55 3×2
BNSP-35-45 35–45 3×2
BNSP-25-55 25–55 3×2
BNSP-40-50 40–50 3×2
BNSP-35-55 35–55 3×2
BSP-50 50–50 2×2
BSP-45 45–45 3×3
BNSP-45-55 45–55 3×2
BSP-55 55–55 2×2
Note: (a) Each joint configuration used in this research had two joint sets. (b) For the
specimen number: BSP stands for blocks with symmetric persistent joints; BNSP stands
for blocks with non-symmetric persistent joints.
having different joint geometry configurations (Table 6) were subjected to uniaxial and biax-
ial compressive loadings using the equipment shown in Fig. 10. Three different failure modes
were observed on the tested samples (Fig. 11) depending on the joint geometry configuration
69
and the level of the minor principal stress.7 A new intact rock failure criterion was proposed
at the 3-D level (Eq. (1) in Ref. 7. This criterion was validated for biaxial loading through
laboratory experimental results obtained on intact model material blocks.7 Results obtained
from both the intact and jointed model material blocks were used to develop a strongly non-
linear new rock mass failure criterion for biaxial loading (Eqs. 7 & 8 in Ref. 7 and Figs. 12
and 13). In this failure criterion, the fracture tensor component (Eqs. 3–6 in Ref. 7) is used
to incorporate the directional effect of fracture geometry system on jointed block strength.
The failure criterion shows the important role the intermediate principal stress plays on rock
mass strength (Fig. 14).
5. Conclusions
The paper provides procedures to estimate rock mass strength and deformability captur-
ing the anisotropy and scale dependency. It also shows how to use discontinuum numerical
modeling techniques to estimate equivalent continuum properties for rock mass strength and
deformability that reflect the combined effects of intact rock and fractures. A new rock mass
failure criterion for biaxial loading is presented in the paper. In this failure criterion, the
directional effect of fracture geometry system on jointed block strength is represented by the
fracture tensor component.
Acknowledgements
Research published in paper numbers 2 through 4 was funded by the Swedish Natural
Science Research Council with respect to a fruitful research corporation author had with
Professor Ove Stephansson. The Swedish Nuclear Fuel and Waste Management Company
provided financial support for the research published in paper number 6. Research published
in paper number 7 was funded by the U.S. National Science Foundation, grant number CMS-
9800407. The author would like to thank his former graduate students S. Wang, J. Um,
J. Park, D. Wathugala, B. Malama, H. Ucpirti and G. Radberg for making contributions to
the research reported in this paper.
References
1. ITASCA Consulting Group Inc., 3DEC Version 2 Users Guide, 1998.
2. Kulatilake, P.H.S.W., Wang, S. and Stephansson, O., “Effect of Finite Size Joints on Deformability
of Jointed Rock at the Three Dimensional Level,” Int. J. Rock Mech. & Min. Sci., 30, 5, 1993, pp.
479–501.
3. Wang, S. and Kulatilake, P.H.S.W. “Linking Between Joint Geometry Models and a Distinct
Element Method in Three Dimensions to Perform Stress Analyses in Rock Masses Containing Finite
Size Joints”, Soils and Foundations, 33, 4, 1993, pp. 88–98.
4. Kulatilake, P.H.S.W., Ucpirti, H., Wang, S., Radberg, G. and Stephansson, O., “Use of the Distinct
Element Method to Perform Stress Analysis in Rock with Non-Persistent Joints and to Study the
Effect of Joint Geometry Parameters on the Strength and Deformability of Rock Masses”, Rock
Mechanics and Rock Engineering, 25, 1992, pp. 253–274.
5. Hardin, E. L. et al., “A. Heated Flat jack Test to Measure the Thermo-mechanical and Transport
Properties of Rock Masses”, Office of Nuclear Waste Isolation, Columbus, Ohio, Report ONWI-
260P, 1982.
70
6. Kulatilake, P.H.S.W., Park, J. and Um, J., “Estimation of Rock Mass Strength and Deformability in
3-D for a 30 m Cube at a Depth of 480m at Äspö Hard Rock Laboratory, Sweden”, Int. Jour. of
Geotechnical and Geological Engineering, 22, 3, 2004, pp. 313–330.
7. Kulatilake, P.H.S.W., Park, J. and Malama, B., “A New Rock Mass Strength Criterion for Biax-
ial Loading Conditions”, Int. Jour. of Geotechnical and Geological Engineering, 24, 4, 2006,
pp. 871–888.
71
Contact Algorithm Modification of DDA and Its Verification
Y.J. NING1,2,∗ , J. YANG2 , G.W. MA1 AND P.W. CHEN2

1 Division of Structures and Mechanics, School of Civil and Environmental Engineering,
Nanyang Technological University, Singapore 639798, Singapore
2 State Key Laboratory of Explosion Science and Technology, Beijing Institute of Technology,
Beijing 100081, China
1. Introduction
Discontinuous Deformation Analysis (DDA) method is a discrete numerical method devel-
oped for the simulation of large deformation and displacement of block systems. As a discrete
method, the treatment of the contact between blocks is of vital importance for the actual-
ization and the precision of this method, and much research work has been done in this
area.1–6 Block large deformation and large displacement require the constraint of no pene-
tration and no tension between each two blocks, and this constraint is fulfilled using penalty
method by Dr Gen-hua Shi in the original DDA.1 In penalty method, stiff springs are set in
normal and/or shear directions between blocks to transfer the inequality problem of contact
constraint into equality problem of computing contact displacements and contact forces.
Penalty method is proved to be effective in many numerical areas and has been widely
discussed and applied.7–9 This method is simple in implementation and may not increase the
dimension of the system equilibrium equations. The shortage of penalty method is that it
can only fulfil the contact constraint approximately, and the contact treatment precision is
affected by different penalty number selections.5, 6 Study shows that with relatively larger
penalty number, penalty method can treat the contact of blocks well, but too large value of
penalty number may possibly lead to the ill condition of the system equilibrium equations,
and then even error result may be gotten. Meanwhile, for a particular problem, a proper
penalty number is not easy to select, so the DDA simulation result may easily be affected
artificially and the result can be unreliable.
To solve the above mentioned problem of penalty method, Augmented Lagrangian
Method is adopted to modify this method in the current paper, and two examples are carried
out to verify the improved contact method in contact force computation and block system
deformation analysis respectively.
2. Modification of Contact Algorithm

2.1. Contact displacement in DDA
In two dimensional DDA, all kinds of contact between blocks can be transformed as the
contact between an angle and an edge.1 As shown in Fig. 1, P1 is a vertex of block i, P2 P3
is an edge of block j. After a step displacement, P1 moves to P0 . Assume (xk ,yk ) and (uk ,vk )
are the coordinates and displacements of Pk (k = 0 ∼ 3) respectively. The normal and shear
contact displacements dN and dS of P1 to P2 P3 in time step can be expressed as
S0 S
dN = + EDi + GDj , dS = 0 + E Di + G Dj (1)
l l
∗ Corresponding author. E-mail: cnningyj@gmail.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0009 73
block i
block i
pS
P1
P2 pN P3
dN
dS
P0
block j
Figure 1. Angle-edge contact.
where

1 x0 y0
x1 − x0
S0 = 1 x2 y2 , S0 = x3 − x2 y3 − y2 , l = (x2 − x3 )2 + (y2 − y3 )2
1 x3 y3 y1 − y0
E, G, E , G are 1 × 6 matrices. Where (r = 1 ∼ 6)

1
er = [(y2 − y3 )t1r (x0 ,y0 ) + (x3 − x2 )t2r (x0 ,y0 )] (2)
l
1
gr = [(y3 − y0 )t1r (x2 ,y2 ) + (x0 − x3 )t2r (x2 ,y2 )]
l
(3)
1
+ [(y0 − y2 )t1r (x3 ,y3 ) + (x2 − x0 )t2r (x3 ,y3 )]
l
1
er = [(y2 − y3 )t1r (x1 ,y1 ) + (x3 − x2 )t2r (x1 ,y1 )] (4)
l
1
gr = [(x2 − x3 )t1r (x0 ,y0 ) + (y2 − y3 )t2r (x0 ,y0 )] (5)
l
In penalty method, two springs with stiffness of pN and pS are used in normal and shear
directions to constrain the contact displacements as zero respectively. Then the strain energy
of normal and shear springs can be respectively expressed as
1 2 1
N = pN dN , S = pS dS2 (6)
2 2
2.2. Augmented Lagrangian contact method in DDA

The classical Lagrange Multiplier Method, which is one of the early methods to deal with
block contact problems computing contact forces explicitly, expresses contact strain energy
as the product of the contact force λ and contact displacement d. As the introduction of
the unknown λ, the number of the system equilibrium equations will be increased and
then additional computational effort is needed to do the solution.4 Based on the classical
Lagrange Multiplier Method, the developed Augmented Lagrangian Method.5, 6, 10, 11 not
only keeps the briefness of penalty method, but also keeps the number of the system equilib-
rium equations unchanged. In the Augmented Lagrangian Method, a penalty number p and
a Lagrangian multiplier λ∗ (represents contact force) are used to compute the contact force
74
iteratively as
λ∗m+1 = λ∗m + pd (7)
where λ∗m and λ∗m+1 are the Lagrangian multipliers of time step m and m + 1 respectively,
d is the contact displacement. Then at the mth time step, the contact train energy can be
expressed as
1 2
s = λ + p = λ∗m d + pd (8)
2
where p = 12 pd2 is the same as the spring strain energy in penalty method, so only λ =
λ∗m d needs to be taken into account additionally based on penalty method. Respectively in
normal and shear directions, λ can be deduced as

∗ ∗ S0
λ = λm dN = λm + EDi + GDj (9)
l

∗ S0
λ = λ∗
m dS = λm + E
D i + G
Dj (10)
l
According to the minimum potential energy principle, four 6 × 1 sub-matrices are added to
the system sub-matrices Fi or Fj . As the normal contact force may become different from that
in penalty method, the friction force sub-matrices should also be adjusted.12
3. Verification
3.1. Contact force computation
As shown in Fig. 2, there is a rectangle block on a fixed incline with a dip angle of 45◦ . The
friction angle between the rectangle block and the incline is set as 70◦ , and the cohesion and
tensile strength between which are set as 30MPa and 15MPa respectively, so the rectangle
block may keep still on the incline. The Young’s modulus of the two blocks is both set as
E = 35GPa. In DDA, the contact between the rectangle block and the incline is transformed
PU
h
b
PL
0.7 m 0.3m
45°
Fixed
Figure 2. A block on an incline.
75
as two angle-edge contact between the two vertices (PL and PU ) of the rectangle block and
the incline. The theoretical solutions2 of the two normal contact forces respectively at PL and
PU are

h
NL = W cos ϕ 0.5 + tan θ = 5197.259N (11)
2b

h
NU = W cos ϕ 0.5 − tan θ = 2078.753N (12)
2b
The theoretical solution of the resultant force of the two shear contact forces SL (at PL ) and
SU (at PU ) is
S = W sin θ = 7276.758N (13)
When the penalty number (p) varies from 10 × E to 500 × E (E is the Young’s modulus,
and so in the following), using both penalty contact method (shorten as P method) and
Augmented Lagrangian contact method (shorten as A-L method), NL and NU can be gotten
as 5197.235N and 2078.894N respectively, while S is 7276.124N or 7276.125N, which all
are very close to the corresponding theoretical solutions. Table 1 gives some of the contact
force result with several relatively small penalty numbers using P method or A-L method.
With different penalty numbers, both SL and SU vary a lot while using P method, but those
are quite stable while using A-L method, except when p is relatively small (10 × E), even
though, the variety is smaller than 1N, which is very small compared with the shear contact
forces themselves.
Figure 3 shows the variety of SL and SU with the penalty number varying from 10 × E to
500 × E respectively using P method and A-L method. Using A-L method, SL and SU almost
don’t change with the variety of the penalty number, while using P method, which apparently
vary with different penalty number selections, and the varying speed is obviously larger when
the penalty number is relatively small. Meanwhile, as the penalty number value increases, SL
and SU of P method go close to that of A-L method, which certificates the correctness of the
A-L method for contact force computation.
Figure 4 shows the variety of NL and SL with the increase of time steps respectively using P
method and A-L method. With both contact methods, NL and SL come stable at the second
step, and the NL curves duplicate each other, while the SL curves are quite discrepant. When
A-L method is used, the difference between the final stable value and the first step value of
SL is more apparent than that when P method is used. This is because the A-L method is an
Table 1. Contact force result with different penalty numbers.

p Contact method NL /N NU /N SL /N SU /N S/N
P 5197.235 2078.894 7143.561 132.564 7276.125

10 × E
A-L 5197.235 2078.894 7777.840 −501.716 7276.124
P 5197.235 2078.894 7434.782 −158.657 7276.125
20 × E
A-L 5197.235 2078.894 7778.272 −502.147 7276.125
P 5197.235 2078.894 7633.927 −357.802 7276.125
50 × E
A-L 5197.235 2078.894 7778.531 −502.406 7276.125
P 5197.235 2078.894 7705.029 −428.904 7276.125
100 × E
A-L 5197.235 2078.894 7778.617 −502.493 7276.124
Theoretical solutions 5197.259 2078.753 − − 7276.758
76
200
7900 A-L
P A-L
7800 100
P
7700
0
7600
-100
SU/N
7500
SL/N
-200
7400
-300
7300
-400
7200
7100 -500
0 50 100 150 200 250 300 350 400 450 500 550 0 50 100 150 200 250 300 350 400 450 500 550
Penalty number/ ×E Penalty number/ ×E
Figure 3. SL and SU variety with different penalty numbers.
7800
5197.5
7780
5197.0 7760
P 7740 P
5196.5 A-L 7720 A-L
7700
SL/N
NL/N
5196.0
7680
5195.5 7660
7640
5195.0
7620
7600
5194.5
0 2 4 6 8 10 12 14 16 18 20 22 0 2 4 6 8 10 12 14 16 18 20 22
Time step Time step
Figure 4. NL and SL variety with increase of time steps.
iterative method to compute contact force, and the contact forces need a longer process to
become stable.
From the above example, it can be found that using both P method and A-L method, the
normal contact force and the resultant force in shear direction can be computed precisely
between blocks, but the A-L method eliminates the influence of the penalty number selec-
tion on shear contact force result at each contact point. In penalty method, the increase of
penalty number value is beneficial for improving contact force computation precision, and
with a relatively small penalty number, precise shear contact force can be obtained using A-L
method.
3.2. Block system deformation analysis

Contact force computation precision directly affects the deformation analysis of block sys-
tems, so a cantilever model is used to observe the influence of the modification of contact
method on block system deformation analysis. As shown in Fig. 5(a), the cantilever with a
size of l × h = 8.0m × 1.0m, is fixed at x = 0.01m and a vertical downward concentrated
force F is loaded at point A (7.9m, 0.99m). Under the effect of load F, σx , the normal stress at
x direction, τ , the shear stress at y direction and f , the deflection between x = 0.01m ∼ 7.9m
77
y F
A
1m
O(0,0) x
8m
(a) Configuration (b) sub-block cutting
Figure 5. Cantilever model.
in the cantilever can be calculated respectively as follows

Fy 3 F Fx2
σx =(l − x), τ = , f = (3l − x) (14)
I 2 bh 6EI
where l = 7.89m, y is the distance from the concerned point to the neutral axis (y = 0.5m),
b = 1m, I = bh3 /12, E = 35GPa is the Young’s modulus. Some theoretical solutions of σx
(at y = 1m, and so in the following), |τ | and |f | are shown in Table 2.
As in DDA with first order displacement approximation, each block has a constant stress
and strain state. To use DDA to compute the deformation of the cantilever, the model is cut
into 1340 triangular sub-blocks as shown in Fig. 5(b) and plane stress assumption is used in
the simulation. Joint parameters between blocks are set as: friction angle ϕ = 70◦ , cohesion
c = 30MPa, tensile strength σt = 15MPa. Respectively using P method and A-L method, the
deformation of the cantilever is computed with several different penalty number p as 10 × E,
20 × E, and 50 × E.
Table 3 gives the simulation result of σx , |τ | at x = 4.0m and |f | at x = 7.9m, and their
error (%, positive means the simulation result is larger than the theoretical solution and neg-
ative means opposite, and so in the following) to corresponding theoretical solution. Using
P method, different selections of penalty numbers have small influence on the stress result,
but the influence on deformation result is obvious. This phenomenon can be easily under-
stood: no matter how much the deformation is, if only the block system is not broken, the
Table 2. Theoretical solutions of σx , |τ | and |f |.

x(m) 1.0 2.0 3.0 4.0 5.0 6.0 7.0 7.9
σx /( × 105 Pa) 2.070 1.770 1.470 1.170 0.870 0.570 0.270 −

|τ |/( × 103 Pa) 7.50 7.50 7.50 7.50 7.50 7.50 7.50 −
|f |/mm 0.006 0.025 0.053 0.895 0.133 0.181 0.233 0.281
Table 3. DDA result of stress and deflection and the corresponding errors.
p 10 × E 20 × E 50 × E
Contact
method - σx |τ | |f | σx |τ | |f | σx |τ | |f |
DDA result 1.143 7.353 0.309 1.144 7.356 0.293 1.144 7.358 0.283
P
error/% −2.31 −1.96 9.96 −2.22 −1.92 4.27 −2.22 −1.89 0.71
DDA result 1.144 7.359 0.277 1.144 7.359 0.277 1.144 7.359 0.277
A-L
error/% −2.22 −1.88 −1.42 −2.22 −1.88 −1.42 −2.22 −1.88 −1.42
Note: σx /( × 105 Pa), |τ |/( × 103 Pa), |f |/mm
78
Table 4. DDA result of stress and deflection with p=10 ×E.

x 1.0m 2.0m 3.0m 4.0m 5.0m 6.0m 7.0m 7.9m
P 2.018 1.738 1.423 1.143 0.858 0.541 0.269 −

σx /( × 105 Pa)
A-L 2.021 1.740 1.425 1.144 0.864 0.549 0.272 −
P 7.31 7.35 7.35 7.35 7.39 7.32 7.45 −
|τ |/ × 103 Pa)
A-L 7.30 7.36 7.36 7.36 7.36 7.35 7.45 −
P 0.007 0.027 0.059 0.099 0.147 0.20 0.256 0.309
|f |/mm
A-L 0.006 0.024 0.042 0.089 0.131 0.179 0.230 0.277
whole block system is in mechanical balance, so the stress can be stable when the deforma-
tion varies. With p = 10 × E, the error of deflection is as large as 10%, and which become
smaller as penalty number value increases. Using A-L method, the stress and deflection errors
to theoretical solutions are quite small, as −2.22%, −1.88% and −1.42% respectively for
σx , |τ | and |f |, and stable with the variety of the penalty number. So A-L method eliminates
the influence of penalty number selection on the analysis of block system deformation, which
is obvious when P method is used.
Table 4 gives the stress and deflection result at some points in the cantilever respectively
using P method and A-L method with p = 10 × E. Fig. 6 is the σx and f curves of the
cantilever. σx curves using P method and A-L method are close to each other and both have
a little error to the theoretical curve. Using both contact methods, the deflection curves have
obvious error to the theoretical curve, but that using A-L method is much smaller than that
using P method.
0.22 0.05
P method
0.20 P method
A-L method 0.00
0.18 A-L method
Theoretical
-0.05 Theoretical
0.16
0.14 -0.10
˰ x/MPa
f /mm
0.12 -0.15
0.10
-0.20
0.08
-0.25
0.06
-0.30
0.04
0.02 -0.35
1 2 3 4 5 6 7 8 1 2 3 4 5 6 7 8
x/m x/m
Figure 6. σx and f curve comparison.
Figure 7 is the time histories of σx at x = 4.0m and f at x = 7.9m, with comparison to

corresponding theoretical solutions. In Fig. 7(a), σx at y = −0.5m is also plotted, and it can
be found that the stress at the up side (y = 0.5m) and the down side (y = −0.5m) of the
cantilever has good symmetry. It also can be found that the DDA stress and deflection result
fluctuate during early time steps, and which is more violent while using A-L method. This
is also because A-L method is an iterative method for contact treatment, as mentioned in
previous contact force verification example.
The cantilever model result indicates that, using P method, different penalty number selec-
tions have small influence on the simulation of block system stress distribution, but the block
79
P method
A-L method 0.05
0.20
P method
Theoretical 0.00
0.16 A-L method
˰ x=0 -0.05
0.12 Theoretical
-0.10
0.08
-0.15
0.04
-0.20
˰ x/MPa
f /mm
0.00
-0.25
-0.04
-0.30
-0.08 -0.35
-0.12 -0.40
-0.16 -0.45
-0.20 -0.50
0 600 1200 1800 2400 3000 0 600 1200 1800 2400 3000
time step time step
Figure 7. Time histories of σx and f .
system deformation analysis result will vary with different penalty number selections obvi-
ously, and the increase of penalty number value is beneficial for the improvement of defor-
mation analysis precision. Using A-L method, block system deformation analysis result will
not be influenced by different penalty number selections, and with a small penalty number,
relatively high precise deformation result can be obtained.
4. Conclusions
Considering the influence of penalty number selection on DDA simulation result, Augmented
Lagrangian Method is used to modify the penalty contact treatment method which is used in
original DDA. Verification examples indicate that, the modified contact algorithm eliminates
the influence of penalty number selection on the computation of the shear contact force at
each contact position, and also the influence on the analysis of block system deformation.
Using the new contact algorithm, quite precise contact force and block system deformation
result can be obtained with relatively small penalty number. The elimination of the influence
of penalty number selection on simulation result is beneficial for the improvement of the
precision of DDA result and its reliability in the application of engineering practice. Mean-
while, as relatively small penalty number can be used, the efficiency of DDA computing can
be improved, and the possible ill condition of the system equilibrium equations caused by
large penalty number can be avoided.
References
1. Gen-hua Shi. Discontinuous deformation analysis – a new numerical model for the statics and
dynamics of block systems[D]. Berkeley: University of California, Berkeley, 1988.
2. Yeung, M.R. Application of Shi’s discontinuous deformation analysis to the study of rock behav-
ior[D]. Berkeley: University of California, Berkeley, 1991.
3. Mary Magdalen MacLaughlin. Discontinuous deformation analysis of kinematics of landslides[D].
Berkeley: University of California, Berkeley, 1997.
4. Lin C.T. Extensions to the discontinuous deformation analysis for jointed rock masses and other
blocky systems[D]. Boulder: University of Colorado, Boulder, 1995.
5. Chihsen T. Lin, Berbard Amadei, Joseph Jung, Jerry Dwyer. Extensions of discontinuous defor-
mation analysis for jointed rock masses[J]. International Journal of Rock Mechanics and Mining
Sciences & Geomechanis, 1996, 33(7): 671–694.
80
6. Amadei B., Lin C.T., Dwyer J. Recent extensions to the DDA method[A]. In: Proceedings of the
First International Forum on Discontinuous Deformation Analysis (DDA) and Simulations of
Discontinuous Media[C]. California, USA, 1996, 1–30.
7. Felippa C.A. Interactive procedures for improving penalty function solutions of algebraic sys-
tems[J]. International Journal of Numerical Methods in Engineering, 1978(12): 821–836.
8. Felippa C.A. Penalty-function interactive procedures for mixed finite element formulations[J].
International Journal of Numerical Methods in Engineering, 1986(22): 267–279.
9. Y.B. Bayram, H.F. Nied. Enriched fnite element-penalty function method for modeling interface
cracks with contact[J]. Engineering Fracture Mechanics, 2000(65): 541–557.
10. Harnau M., Konyukhov A., Schweizerhof K. Algorithmic aspects in large deformation contact
analysis using ‘solid-shell’ elements[J]. Computers and Structures, 2005, 83: 1804–1823.
11. Simo J.C, Laursen T.A. An augmented Lagrangian treatment of contact problems involving fric-
tion. Computers and Structures[J], 1992, 42(1): 97–116.
12. Ning Youjun. Study on Dynamic and Failure Problems in DDA Method and its application[D].
Beijing: Beijing Institute of Technology, 2008.
81
DDA for Dynamic Failure Problems and Its Application in Rock
Blasting Simulation
Y.J. NING1, 2, ∗ , J. YANG2 , G.W. MA1 AND P.W. CHEN2

1 School of Civil and Environmental Engineering, Nanyang Technological University
2 State Key Laboratory of Explosion Science and Technology, Beijing Institute of Technology, Beijing 100081,
China
1. Introduction
Discontinuous Deformation Analysis (DDA), put forward by Dr Genhua Shi,1 computes
the static and dynamic behaviours of discrete block systems. It gives a unique solution for
large displacement and failure computations of block structures. Blocks of any shapes can be
involved in a DDA block system, and block system kinematics is developed to make blocks
fulfil the constraints of no tension and no penetration between each other. Meanwhile, the
Mohr-Coulomb criterion can also be applied between blocks.
Rock mass is a kind of natural geological material consists of continuous rock medium
and discontinuous joints, faults etc. As mathematical models, rock mass can be simplified
as discrete block systems with joint strength considered between blocks. Therefore, the DDA
method is applicable in the simulation of rock mass behaviours. Since its birth, DDA has been
widely used in rock mechanics and rock engineering. However, in dynamic rock mechanical
problems, for example, rock blasting, DDA hasn’t been applied too much. Mortazavi2 and
Ning et al.3 simulated rock blasting with DDA, but problems, which are of vital importance
for dynamics, such as stress wave propagation characteristics and non-reflecting boundary
conditions, joint strength reduction in block system failures, etc., were not taken into con-
sideration. Due to that the numerical model did not exactly conform to the realities, the
simulated results should be further improved.
In this paper, the dynamic parameter in the DDA computation is adjusted to make it more
reasonable. A viscous non-reflecting boundary condition is then implemented into DDA.
Besides, sub-block DDA method to deal with crack problems considering both tensile and
shear fracture is proposed. Based on the modified DDA, the blasting process in jointed rock
mass is carried out by acting detonation pressure on expanding borehole wall and connected
crack surfaces around. A case study of a horizontal column borehole cast blasting is con-
ducted and discussed.
2. Two Problems in Dynamic DDA

2.1. Dynamic parameter adjustment
The only difference between static and dynamic computations in DDA is whether the block
velocities of the previous time step are inherited to the next time step, proportionally or
completely. A dynamic parameter pd (0 ≤ pd ≤ 1), defined as an inherited block velocity
proportion, is used to control the attenuation of the block velocities in each time step. For
the effect of system damping such as the mass damping and the modal damping, etc., resis-
tances such as the third direction shear resistance,1 the air resistance, etc., and the impact
force between two blocks, the energy of block systems will be consumed in the process of
∗ Corresponding author. E-mail: cnningyj@gmail.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0010 83
deformation and movement. In the current modified DDA method, frictions between two
blocks is the only way of energy consumption, so it is reasonable to use this dynamic para-
meter to assume the block system energy artificially, except that the value of this parameter
is hard to select reasonably.
In current DDA, pd is set as a constant in each computation instance for all the blocks in
the system without the consideration of the variety of the step time and the velocity difference
between blocks. As the step time is adjusted according to the actual step displacement ratio
and the convergence condition of block contact treatment in DDA computation, meanwhile,
velocities of blocks in a system can be of a wide range, to attenuate the block velocities with
a same proportion is unreasonable obviously. It is a fact that the energy consumed for block
impact and air resistance is proportional to the velocities of the blocks.4, 5 Therefore, pd is
adjusted to be decided using the following formula
vm
pm+1 = 1− × i (1 − pd0 ) (1)
di 0 v0
where pd0 (0 < pd0 ≤ 1), 0 and v0 are constants given by users, pm+1 di
is the dynamic
parameter for block i in the time step m + 1, is step time of the time step m + 1, vmi is
m m+1
the final velocity of block i in the time step m. When vi = 0, pdi = 1 is obtained. When
vm
0 × i
v0 is large enough, pm+1
di
will become unreasonable as negative, so a minimum value
pdmin (0 < pdmin ≤ pd0 ) is given for pm+1
di
, when pm+1
di
< pdmin , let pm+1
di
= pdmin .
The physical meaning of the above formula can be understood as when the current step
time is 0 and the velocity of block i is v0 at the end of the previous time step, the inherited
velocity proportion for this block is pd0 . In other words, pd for each block will interpolate
between pdmin and 1 according to the step time change and the block own velocity. In com-
plete static problems, pd is evaluated as zero directly for each block.
Moreover, for different block materials or blocks in different regions in a system, pd0 , 0 ,
v0 and pdmin can be evaluated with different values to represent the effect of different system
damping or the third direction resistance levels.
2.2. Non-reflecting boundary condition

Although stress waves attenuate very rapidly while propagating in DDA block systems, stress
waves reflected at artificially cut boundaries can still be visible in dynamic problems in infi-
nite or half-infinite regions, especially when the selected computation domain is relatively
small.6 To reduce this unwanted reflection of stress waves, which may possibly influence
the correctness of the simulation, non-reflecting boundary conditions are considered in the
current DDA method.
In the viscous boundary condition, dampers are used to absorb the energy released from
the system. In the DDA method, two pairs of perpendicular dampers7 are used at two ends
of each non-reflecting block boundary. Assuming there exists a pair of dampers respectively
in normal and shear directions of a boundary of block i at point (x,y), the damping forces in
these two directions are
fn = −ρCP vn , fs = −ρCs vs (2)
respectively, where ρ is the block density, vn and vs are normal and shear particle velocities
at point (x,y) respectively, Cp and Cs are particle longitudinal wave velocity and transverse
84
wave velocity respectively. Then, the strain energy of the dampers is

fn nx ny fn
= − un us = − ux uy
fs −ny nx fs

Cp n2x + Cs n2y (Cp − Cs )nx ny vx
= ρl ux uy
(Cp − Cs )nx ny Cs n2x + Cp n2y vy
= ρlDT T
i Ti Ci Ti Ḋi (3)
where l is length of the block non-reflecting boundary, (nx ,ny ) is the direction cosines of the
non-reflecting boundary, vx and vy are particle velocities at point (x,y) in x and y directions
respectively, ux and uy are particle displacements at point (x,y) in x and y directions respec-
tively, Di is the block
deformation parameter matrix, Ti is the displacement transformation
Cp nx + Cs ny (Cp − Cs )nx ny
2 2
matrix, and C = is called the wave velocity sub-matrix. As
(Cp − Cs )nx ny Cs n2x + Cp n2y
Di −Di0 Di 1
Di = = , then the strain energy can be expressed as
ρlDT T
i Ti CTi Di
= (4)

where is step time. According to the minimum potential energy principle, a 6×6 sub-matrix
is obtained and added to the system coefficient matrix,
2ρlTT
i CTi
→ Kii (5)

3. Sub-Block DDA Method for Failure Problems

In the DDA method, rigid body movement and deformation occur in each single block
while opening and sliding occur between blocks. By cutting a continuous domain into many
sub-blocks with strong joint strength used between the sub-blocks, a method called sub-
block DDA can compute the stress distribution and deformation of continuous medium
precisely.6 This sub-block method can be used to simulate crack problems while reasonable
joint strength is applied to the artificial joints between sub-blocks. In this method, cracks
initiate and propagate along pre-set artificial joints, and the crack coalescence process can
be naturally considered and actualized without any difficulties encountered. Although the
crack route will definitely be affected by the distribution of the pre-set artificial joints, by
cutting the continuous domain into smaller sub-blocks, this unwanted influence can become
invisible.
For crack problems in which the actual crack route is not strictly required, the sub-block
DDA method can be used. Both tensile and shear failures are considered in this method, with
the maximum tensile strength criterion and Mohr-Coulomb criterion used respectively,
Maximum tensile strength criterion,
σ = σt (6)
Mohr-Coulomb criterion,
τ = c + σ tan ϕ (7)
where σ and τ are the normal and shear stress on the artificial joint surface respectively, σt , c,
ϕ are the tensile strength, cohesion and friction angle of the block material respectively. Once
85
any of the two criterions is fulfilled for an artificial joint, crack will initiate or propagate
along the joint, and the joint strength is to be reduced as real joint strength.
Failure simulation of rock samples indicates that the sub-block DDA method can simulate
crack problems reasonably well. Besides providing a new technique for crack simulation,
by comparing the simulation results of rock sample failure with experimental results, the
ability and correctness of DDA method in failure treatment of block systems have also been
verified.6
4. Simulation of Rock Blasting Using DDA

4.1. Modified DDA method
Rock blasting is a complex dynamic failure process, in which the rock mass may be fractured
and cast under the effect of explosion shock waves and explosion product pressure. In jointed
rock mass, stress waves attenuate rapidly for being reflected by joint planes, so the explosion
product pressure plays a dominating role in rock mass fragmentation and rock block cast.
For rock blasting simulation, continuous numerical methods are usually used to simulate the
damage evolution of rock mass so as to study the expansion of boreholes and the blasting
fragment size.8, 9 For the simulation of rock mass fracture, rock block cast and the formation
of the blasting pile, discontinuous numerical methods are applicable.
For the rapid attenuation of stress waves while propagating in DDA block systems, DDA
method can only be used in the simulation of jointed rock mass blasting, but not in contin-
uous rock mass blasting. As jointed rock mass is simulated, the effect of explosion product
pressure should be considered primarily. Jointed rock mass mentioned here, not only includes
natural jointed rock mass, in which the existing joints will be relaxed by explosion shock
waves, but also includes damaged continuous rock mass, in which joints are newly gener-
ated under the effect of explosion shock waves. Therefore, joints defined in a DDA blasting
model can be natural joints, and also can be newly generated joints after the effect of explo-
sion shock waves, or both included. The mechanical parameters of these joints are selected
variably according to actual conditions. In the model, joints are defined as artificial joints
before the failure criterion is fulfilled. After failure, they will be transformed as real joints (or
cracks) and corresponding strength is reduced. Joints with strength below failure criterion in
the initial model are set as cracks at the beginning.
Assuming that explosion product will propagate along joints with a constant velocity VP
only after the joints have become cracks, by tracking borehole expansion and the propaga-
tion and coalescence of cracks in surrounding rock mass, and loading the explosion product
pressure on the borehole wall and the connected crack surfaces, a modified DDA method
to simulate the blasting process only considering the effect of explosion product pressure in
jointed rock mass is developed.
At the beginning of each time step, starting from all the ends of the block boundaries on
the borehole wall, all connected cracks can be searched round by round according to crack
connectivity.6 The instant explosion product pressure in the chamber is then calculated based
on the detonation pressure equation of state10 :
γ
V0
P = P0 (8)
V
where P0 and V0 are initial chamber pressure and chamber volume respectively, P and V are
the chamber pressure and chamber volume at time t respectively, γ is a constant relative to
the properties of the charged explosive and the rock mass. The chamber volume is calculated
86
approximately as expressed in the following section, while the chamber area in plane is
calculated using simplex integration1 precisely.
4.2. Horizontal column borehole cast blasting simulation

Figure 1 is an explosion chamber expanding sketch of a column borehole looked in the axis
direction in rock blasting, where R0 is the borehole initial radius, RP is the propagating
radius of the explosion product at time t. The explosion chamber volume consists of the
expanded borehole volume and the connected crack volume within RP . Taking the plane
stress assumption, the chamber has a unit length depth in the axis direction, so the chamber
volume is equal to the chamber planar area in quantity.
The computed rock blasting model with one column borehole considered is shown in
Fig. 2. The whole model has a size of 15m × 5m. The left, right and lower boundaries are
non-reflection boundaries and the upper boundary is free surface. The borehole radius is
R0 = 0.1m. The distance from the borehole centre to the upper free surface is w = 3m.
The rock medium is cut into triangular rock blocks while subdivision is done around the
borehole. The subdivision can be understood as the fragmentation of rock mass under the
effect of the explosion waves previously. Taking the rock mass gravity into consideration,
this model can be seen as a horizontal column borehole cast blasting.
The initial chamber pressure is assumed as P0 = 1GPa, and select VP = 100m/s, γ = 1.4.
The density, Young’s modulus, Poisson’s ratio of the rock mass are selected as
RP
Rock mass
R0 Connectedcracks
Chamber
Unconnected cracks
Rock mass
Figure 1. Chamber expanding sketch.
B orehole
Figure 2. Horizontal column borehole blasting model.
87
Table 1. Joint mechanical parameters.

Joint type Friction angle ϕ/◦ Cohesion c/MPa Tensile strength σt /MPa
Artificial joint 45 2 0.5

Real joint 45 0.05 0
5
1.0
4 0.8
Chamber pressure / GPa

3
Chamber volume / m
3 0.6
0.4
2
0.2
1
0.0
0
0 5 10 15 20 25 30 0 5 10 15 20 25 30
Time / ms Time / ms
(a) Chamber volume (b) Chamber pressure
Figure 3. Chamber volume and chamber pressure histories.
ρ = 2600Kg/m3 , E = 55GPa, μ = 0.3 respectively. The joint mechanical parameters are

shown in Table 1.
Figure 3 gives the chamber volume expanding history and the chamber pressure atten-
uating history. Under the effect of the explosion product pressure, the chamber begins to
expand, and the failure of the rock mass around the chamber makes it easier for the chamber
to expand further, so the chamber seems expanding faster and faster as time increases. The
chamber pressure attenuates very quickly at the beginning. After about 5 ms, the attenuat-
ing speed becomes very much smaller. At 26.57 ms, the explosion product expands to the
upper free surface and leaks, so the pressure drops to zero and its loading stops. At that
time, the chamber volume is 4.073 m3 , which is 131.4 times of the initial borehole volume
(0.0031 m3 ), and the chamber pressure decreases from 1 GPa to 1.04 MPa correspondingly.
Figure 4 gives the vertical velocity history of the block located right beyond the initial
borehole centre near the free surface (indicated as B in Fig. 2) and the corresponding dis-
placement history of this block. Under the effect of the chamber pressure, the block is thrown
up quickly and reaches a velocity of 31.23m/s at 26.99ms, and then the velocity begins to
drop and becomes negative gradually. At 2.065s, the block falls back to the block pile, and
finally it gets still. At 0.740s, the block gets the peak height as 5.21m.
Figure 5 shows the simulated blasting process (in which the red joints represent where
the explosion product has propagated, block colours represent the block maximum principal
stress levels, and the large blocks at both sides are used to keep the blasting pile). Under
the effect of the explosion product pressure, cracks initiate in the borehole surrounding rock
mass. The propagation of the explosion product along the cracks then leads to the further
failure. Figure 5(a) is the explosion product propagation situation at 0.021s. There are many
cracks generated in the rock mass, and a visible bulge can be seen from the upper free surface.
The rock mass continues to be fractured and thrown up under inertia effect after the leak of
the explosion product. Figure 5(c) is the rock mass failure and block flying state when the
88
35 6
30 5
25
4
Displacement /m
Velocity / (m/s)
20
3
15
10 2
5
1
0
0
-5
-10 -1
-0.5 0. 0 0.5 1. 0 1.5 2. 0 2.5 3. 0 3.5 4. 0 -0.5 0. 0 0.5 1. 0 1.5 2. 0 2.5 3. 0 3.5 4. 0
Ti me/ s Time / s
(a) Block velocity (b) Block displacement
Figure 4. Block velocity and displacement histories.
(a) t =0.021s (b) t =0.152s
(c) t =0.740s (d) t =1.326s
(e) t =2.006s (f) t =3.618s
Figure 5. Simulated cast blasting process.
89
blocks get the peak cast height. After that, blocks begin to fall back under gravity effect, and
almost get still at 3.618s. The peak height of the block pile is 1.51m, distributed in a range
of 16.71m in horizontal direction. Visible crater shape can be seen in the blasting pile. Its
radius is r = 5.48m, height is H = 4.08m, and visible depth is h = 1.63m. The blasting
acting index10 is
r
n= = 1.827 > 1 (9)
w
According to the classification of crater blasting, this is a strong cast blasting.
5. Remarks
In this paper, for a better application of DDA in dynamic failure problems such as rock blast-
ing, problems including dynamic parameter selection, non-reflecting boundary condition,
crack and fragmentation treatment, are studied firstly. Based on these fundamental works,
DDA method to simulate rock blasting process is studied and verified thereafter.
The adjustment of the dynamic parameter selection makes the energy assumption in
dynamic DDA more properly. With non-reflecting boundary condition, the reflected stress
waves at artificially cut boundaries can be absorbed to some extent, so a relative small com-
putation domain can be involved in the simulation of dynamic problems in infinite or half-
infinite regions. Using the failure computation way of sub-block DDA method, by acting
detonation pressure on borehole walls and connected crack surfaces around, DDA method
to simulate the blasting process in jointed rock mass is developed. The simulation result of a
blasting case indicates that the blasting process in jointed rock mass can be duplicated well
with this newly developed DDA method.
References
1. Gen-hua Shi. Discontinuous Deformation Analysis: A New Numerical Model for the Statics and
Dynamics of Block Systems[D]. Berkeley: University of California, Berkeley, 1988.
2. A. Mortazavi, P. D. Katsabanis. Modelling burden size and strata dip effects on the surface blasting
process[J]. International Journal of Rock Mechanics and Mining Sciences, 2001, (38): 481–498.
3. Ning You-jun, Yang Jun. Numerical Simulation of the Blasting Process in Bedded and Jointed
Rock Mass with 2D-DDA Method[A]. In: Proceedings of the 8th International Symposia on Rock
Fragmentation by Blasting[C]. Santiago, Chile, 2006, 119–123.
4. C. Y. Koo, J. C. Chern. Modification of the DDA method for rigid block problems[J]. International
Journal of Rock Mechanics and Mining Sciences, 1998, 35(6): 683–693.
5. Chen Guangqi. Numerical Modeling of Rock Fall Using Extended DDA[J], Chinese Journal of
Rock Mechanics and Engineering, 2003, 22(6), 926–931.
6. Ning Youjun. Study on Dynamic and Failure Problems in DDA Method and its application[D].
Beijing: Beijing Institute of Technology, 2008.
7. Y. Y. Jiao, X. L. Zhang, J. Zhao, Q. S. Liu. Viscous boundary of DDA for modeling stress wave
propagation in jointed rock[J]. International Journal of Rock Mechanics and Mining Sciences,
2007, 47: 1070–1076.
8. Chengqing Wu, Hong Hao. Numerical prediction of rock mass damage due to accidental explo-
sions in an underground ammunition storage chamber[J]. Shock Waves, 2006, 15(1): 43–54.
9. Zheming Zhu, Heping Xie, Bibhu Mohanty. Numerical investigation of blasting-induced damage
in cylindrical rocks[J]. International Journal of Rock Mechanics and Mining Sciences, 2007, doi:
10. 1016/j. ijrmms. 2007.04.012.
10. J. Henrych. The Dynamics of explosion and its use[M]. New York: Elsevier Scientific Publishing
Company, 1979.
90
Study on Roof Caving Problem with DDA Method
LIU YONG-QIAN, YANG JUN∗ , CHEN PENG-WAN AND NING YOU-JUN

Stake Key Laboratory of Explosion Science and Technology, Beijing Institute of Technology, Beijing 100081,
China
1. Introduction
Discontinuous Deformation Analysis(DDA) is one of the most effective numerical algorithms
for rock mass behaviours, both static and dynamic analysis of a block system. With the help
of DDA, one could get solution of large deformation and large displacement. It is good at
analyzing block system interactive behaviours, no matter the blocks’ shape and scale, even
the hollow ones.1, 2 There are lots of cracks in rock stratums and coal seams, when coal seams
excavated, the rock stratums produced more cracks which coupled with the original ones,
rebuilt a new fracture network continuously. In the excavating process, the roof above the
goaf bended, separated, broke and collapsed inevitably at last.3 DDA method is a predom-
inant algorithm for dealing with coal seam excavation. In China, some scholars have used
DDA method studying coal mine exploitation problems, for example, WU Hong-ci4 and JU
Yang5 simulated the roof caving and analyzed the effect of faults in coal seams. Some people
have renewed DDA program for mine engineering and hydraulic engineering. This is a try
to simulate coal roof caving synchronously with excavating in the first weighting. Discussed
the crushing phenomena and a comparative study on displacement, velocity and stress in the
roof caving.
2. Basic Theory of DDA Method1

In Ref. 1, SHI introduced the DDA algorithm and its theoretical foundation, principle of
minimum potential energy in classical mechanics, study the block contact, displacement,
deformation and breakage in a block system.
2.1. Displacements and deformations of blocks

The displacement function for each block is equivalent to the complete first order approxi-
mations of displacements. For each step, a block has constant stresses and constant strains,
the displacement (u,v) of any point P(x,y) of a block can be represented by six displacement
variables
T
Di = u0 v0 r0 εx εy γxy (1)
(u0 ,v0 ) is the rigid body translation of a specific point P0 (x0 ,y0 ) of within the block; r0 is
the rotation angle of the block with the rotation centre at P0 (x0 ,y0 ). The unit of angle r0 is
given in radians. εx , εy and γxy are the normal and shear strains of the block. Summing the
∗ Corresponding author. E-mail: yangj@bit.edu.cn

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0012 91
displacement matrices and simplifying, the block deformation matrix is obtained

⎛ ⎞
⎛ ⎞ u0
1 ⎜ v0 ⎟

⎜1 0 −(y − y0 ) (x − x0 ) 0 (y − y0 ) ⎟ ⎜ ⎟
⎜ r0 ⎟
u ⎜ 2 ⎟ ⎜ ⎟
=⎝ ⎠ ⎜ εx ⎟ (2)
v 1
0 1 (x − x0 ) 0 (y − y0 ) (x − x0 ) ⎝ ε ⎟
⎜
2 y⎠
γxy
2.2. Simultaneous equilibrium equations of block system

Individual blocks are connected and form a block system by contacts between blocks and by
displacement constraints on single blocks. Assuming there are n blocks in the defined block
system, the simultaneous equilibrium equations are obtained
⎛ ⎞⎧ ⎫ ⎧ ⎫
K11 K12 K13 · · · K1n ⎪ ⎪D 1 ⎪ ⎪ ⎪⎪F1 ⎪⎪
⎜K21 K22 K23 · · · K2n ⎟ ⎪⎪ ⎪
⎪ ⎪
⎪F2 ⎪⎪
⎜ ⎟⎨ ⎬ ⎪
⎪ D 2 ⎪ ⎨ ⎪ ⎬
⎜K31 K32 K33 · · · K3n ⎟ D3
⎜ ⎟ = F3 (3)
⎜ .. .. .. . . .. ⎟ ⎪ ⎪ .. ⎪⎪ ⎪
⎪ .. ⎪
⎪
⎝ . . . . . ⎠⎪ ⎪ . ⎪ ⎪ ⎪⎪.⎪ ⎪
⎪
⎩ ⎪ ⎭ ⎪⎩ ⎪ ⎭
Kn1 Kn2 Kn3 · · · Knn Dn Fn
Each element Kij in the coefficient matrix given by Equation (3) is a 6 × 6 suBmatrix,
Diψ and Fi ψ are 6 × 1 submatrices, where Di is the deformation variable of block i; and
Fi represents the loading on block i distributed to the six deformation variables. SuBmatrix
[Kii ] depends on the material properties of block i and [Kij ], where iψ = ψj is defined by the
contacts between block i and block j.ψ
2.3. Blocks contact and its judgments

When DDA program running, there are no tension and no penetration can be seen between
blocks even when the displacements and the deformations are large. Judge the contact
between blocks by the penalty function, put the constrained inequality into the global simul-
taneous equations, correct the contact positions though adding or deleting springs and judg-
ing by the reference lines step by step.6 In a plan, there are three types of contact (see Fig. 1),
angle- angle, angle-edge and edge-edge.
Gen-hua SHI used the penalty function algorithm judging the contact conditions, this algo-
rithm has its own strongpoint, for example, the global simultaneous equations are constant,
and it is easy to get the result though Summing the contact stiffness matrices simply. However,
Block i
Block i Block i
block j
block j block j
Figure 1. Three types of contact in a plan.
92
the penalty function algorithm has some shortcomings.7 Firstly, the accuracy of solution for
contact computing rests with penalty value, but it’s barely getting the appropriate value fore-
handed. Secondly, for the contact constraint conditions, the penalty function algorithm can
only satisfy the accuracy approximately. Finally, contact forces have to compute separately.
Because of the reasons above, Reference 7 used Augmented Lagrangian Method (ALM) to
judge the blocks contact conditions, while Reference 8 used joint element method.
3. Roof Breakages Analyzing in Excavation

It is a general rule for roof caving and appearance of the mine pressure in different stages,
from starting cut mining to the first weighting, to the periodic weighting.9 Before the first
weighting, controlled by the gravity of rock stratums above, the roof above the goaf was
becoming curve in vertical, the deformation of roof increased with the coal seam excavating.
From starting cut to workface, when the length of unsupported roof came to the limited span,
the roof would break down and lost its natural continuity. Because of compressive stress
turning to tensile stress in parts, fractures in rock stratums increased. When rock stratums
collapsed, the blocks formed a interpenetrating skeleton structure, it’s a equilibrium structure
in mechanics.10, 11 Once the workface advanced, the mine pressure appeared, and the roof
collapsed instability, it is the first weighting of roof.
It was the compound effect of overlying strata pressure function for overburden failure.
The collapsed height, fracture dip angle and span of roof were induced by the occurrence state
of joints in rock. It was agreed by the verifying experiment,12 the original joints in horizontal
induced spalling and slipping layer, and the original joints in vertical induced rock stratums
slipping. Moreover, References 13 and 14 insisted that, the mechanic property parameter of
joints controlled the distribution of new cracks and rock caving, even the broken fragment
of the roof.
4. Simulation of Roof Caving in Excavating

4.1. Numerical model and the postulate
This was a simplified model from F16−17 coal seam excavation of 5th coal mine of Pingding-
shan mining district, Henan province, China. The buried depth of F16−17 coal seam was
D = 550m, and the average mining height was h = 4m. Assuming the length of the model
was L = 200m, and the height was H = 90m; The uniform loading was applied on the top
of the model, the strength of the uniform loading was σy = 13MPa; The initial horizontal
stress σx = 3MPa, and the shear stress τ = 0MPa; There were two groups of joints in the
rock stratums, the horizontal and the vertical, the parameters of joints in stratums was listed
on Table 1; The parameters of rock and coal was listed on Table 2, and the model was fixed
by 7 fixed points, point A, B, C, D, E, F and point G (Fig. 2). Set 9 measured points in the
rock stratums, point 1st, point 2nd, . . . point 9th (see Fig. 2). The velocity of excavating was
2 m/s.
Table 1. Parameters of joints in strata.

Friction Angle/◦ Poisson ratio Cohesive force/MPa Tensile strength/MPa
Horizontal joints 12.00 0.23 1.80 2.00

Vertical joints 15.00 0.21 1.20 1.40
93
Table 2. Parameters of rock and coal.

Density/kg/m3 Friction angle/◦ Elastic modulus/MPa Poisson ratio
Rock 2.6 × 103 23 4.5 × 103 0.22

Coal 1.4 × 103 21 1.2 × 103 0.24
Uniformly distributed load Q
rock stratum G

B F

C D E
Figure 2. Analysis model for overlying stratums.
4.2. Simulated result and analysis

4.2.1. Displacement analysis
In the course of excavating, the development trends of the roof changes were rock body
caving and the micro-rotation of some bocks along the axis in vertical (Figs. 3b and c). The
distinct differences in horizontal displacement were not turned up until the groups of bed sep-
arations increased (Fig. 3d, e). Compared with the vertical, the horizontal displacement was
remarkable (Fig. 4). In the vertical, the longer distance from the coal seam, the smaller dis-
placement (Fig. 5). The displacement of measured point 3rd was 4m, while the displacement
of point 5th was 0.41m. Because of excavating, the caving-rock-head was not a symmetrical
banded structure, and the axis in vertical was moving from time to time (Fig. 3d). So it was
forming an inverted arch structure, the displacements were declining from the axis to both
sides (Figs. 3f, g and h). The layer separation zone was formed progressively.
4.2.2. Velocity analysis

More excavating, more layer crannies increasing. When the distance from staring cut to the
workface long enough, coming with the excavation, the layer crannies became compacted,
the velocities of measured points changed obviously (Fig. 6). The velocities have increased
rapidly since excavation went though the points. In general, the velocities in vertical compo-
nent were declining from the bottom rock stratum to the top (Fig. 7)
4.2.3. Stress analysis

During the excavating time, the stress both in horizontal and in vertical increased gradually,
more excavating, the stronger. However, in the collapse area, the stress in vertical increased
declined more quickly than the horizontal stress once the excavation went though. When
rock stratums collapsed, the blocks formed a interpenetrating skeleton structure, the kinetic
94
a. t= 1.0s b. t=14.4s
c. t=28.2s d. t=35.5s
e. t=46.3s f. t= 60.4s
g. t=90.5s h. t=116.7s
Figure 3. The process of roof caving.
energy was changed into elastic potential energy, which increased the horizontal stress in rock
(Fig. 8). According to the theory of displacement-shear stress in mining field, once excavating
in stress concentration region, the stress in vertical would increased times,15 and when the
measured points coming to the goaf, the stress would declined at once, that’s the reason for
the change of stress in vertical.
The roof caving caused the stress declining in the middle part (Figs. 3d–h), and then the
overlying strata pressure rebuilt the mechanical equilibrium, the stress recovered gradually.
In horizontal, the stress steadily increased from the middle to both sides (Fig. 9).
95
0.0
-0.5
-1.0
horizontal
Velocity/m/s
vertical
-1.5
-2.0
-2.5
-3.0
-10 0 10 20 30 40 50 60 70 80 90 100 110 120 130 140 150
time/s
Figure 4. Displacement comparing between in horizontal (x) and vertical component (y) (point 7th).
-1
displacement/m
point 3
-2
point 7
point 6
point 9
-3
-4
0 20 40 60 80 100 120 140

time/s
Figure 5. Displacement comparing graph of some measuring points in different level courses.
0.1
0.0
-0.1
horizontal
vertical
Velocity/m/s
-0.2
-0.3
-0.4
-0.5
-0.6
-10 0 10 20 30 40 50 60 70 80 90 100 110 120

time/s
Figure 6. Velocity and histories curve of measured point 2nd.
5. Conlusions
• DDA is a good method to deal with the underground excavating problems.
• Both the displacements and velocities in vertical are declined from the caving-rock-
head to both sides during the first weighting.
• In the collapse area, the stress in vertical decreased more quickly than in horizontal,
and the horizontal stress steadily increased from the middle to both sides.
• The mechanics Parameters of joints in rock controlled roof caving and subsidence
area.
96
0.0
point 3
-0.1
point 7
displacement/m/s
point 9
-0.2
-0.3
-0.4
-10 0 10 20 30 40 50 60 70 80 90 100
time/s
Figure 7. Comparing graph of the vertical components of measuring point velocities.
-10
horizontal
stress/MPa
vertical
-20
-30
-40
-50
0 20 40 60 80 100 120 140 160 180 200 220 240 260 280 300
time/s
Figure 8. The curve of stress and histories of measured point 2nd.
-2
-4
stress/MPa
-6
-8
-10
point 1
-12
point 3
point 2
-14
point 4
-16
-10 0 10 20 30 40 50 60 70 80 90 100 110 120 130 140 150
time/s
Figure 9. Comparing graph of the horizontal components of measured points stress.
• For DDA computing efficiency and precision, some questions have not been resolved,
for example, spring stiffness selecting, it need to optimize the source routine of DDA.
Acknowledgements
This research is supported by Project 985 funds of BIT and Fundamental Research funds of
BIT (BIT_RDC_20060242004). The authors are grateful for the financial support.
97
References
1. SHI Gen-hua. Numerical Manifold method and Discontinuous Deformation Analysis[M]. PEI Jue-
min Translator. Beijing: Tsinghua University Press, 1997, 92–167. (in Chinese).
2. SHI G H. Discontinuous Deformation Analysis: A New Numerical Model for The Statics and
Dynamics of Block Systems [D]. Berkeley: Department of Civil Engineering, University of Califor-
nia, 1988.
3. LIU Yong-qian. Study on Gas Migration for Close Quarters Upper Protective Coal Seam Exploita-
tion in No.5 Mine, Pingdingshan [D]. Jiaozuo: Henan Polytechnic University, 2007, 23–70 (in
Chinese).
4. WU Hong-ci, ZHANG Xiao-bin, BAO Tai, et al. Dynamic Modeling for Movement Behavior of
Mined Overlying Strata Using Discontinuous Deformation Analysis Method [J]. Journal of Coal
Science & Engineering (China), 2001, 26(5): 486–491 (in Chinese).
5. JU Yang, ZUO Jian-ping, SONG Zhen-duo, et al. Numerical Simulation of Stress Distribution and
Displacement of Rock Strata of Coal Mines by Means of DDA Method [J]. Chinese Journal of
Geotechnical Engineering, 2007, 29(2): 268–273 (in Chinese).
6. LIU Jun, LI Zhong-kui. Current Situation and Development of DDA Method [J]. Chinese Journal
of Rock Mechanics and Engineering, 2004, 23(5): 839–845 (in Chinese).
7. Amadei B Lin Chihsen Jerry Dwyer. Recent extensions to the DDA method [A]. In: Proc. of the
First International Forum on Discontinuous Deformation Analysis (DDA) and Simulations of Dis-
continuous Media [C]. Albuquerque TSI Press 1996, 5–18.
8. Cheng Y M. Advances and Improvements in Discontinuous Deformation Analysis [J]. Computers
and Geotechnics, 1998, 22(2), 153–163.
9. MENG Zhao-ping, SU Yong-hua. Theory and Method of Sedimentary Rock Mass Mechanics [M].
Beijing: Science Press, 2006, 188–227 (in Chinese).
10. QIAN Ming-gao, XU Jia-lin. Study on the “O-shape” Circle Distribution Characteristics of
Mining-induced Fractures in the Overlaying Strata. Journal of Coal Science & Engineering
(China), 1998, 23(5): 466–469 (in Chinese).
11. LI Shu-gang. Movement of the Surrounding Rock and Gas Delivery in Fully-Mechanized Top
Coal Caving[M]. Xuzhou: China University of Mining and Technology Press, 2000, 74–183 (in
Chinese).
12. YU Guang-ming, LI Bao. Study on the Effect of Joints on the Boundary of Mining Covered Rock
Break[J]. Journal of Liaoning Technical University (nature science edition), 1998, 17(1): 22–26 (in
Chinese).
13. CAI Mei-feng, HE Man-chao, LIU Dong-yan. Rock Mechanics and Engineering[M]. Beijing: Sci-
ence Press, 2002, 79–125 (in Chinese).
14. XIE He-ping. Damage Mechanics of Rocks and Concrete[M]. Xuzhou: China University of Mining
and Technology Press, 1990, 105–181 (in Chinese).
15. ZHANG Jing-cai, ZHANG Yu-zhuo, LIU Tian-quan. Rock Seepage and Water Inrush in Mine
Stratum[M].Beijing: Geological Publishing House, 1997, 6–14 (in Chinese).
98
Indeterminacy of the Vertex-vertex Contact in the 2D
H.R. BAO AND Z.Y. ZHAO∗

School of Civil and Environmental Engineering, Nanyang Technological University, Singapore 639798,
Singapore
1. Introduction
In the past two decades, many developments have been carried out to improve the perfor-
mance of the discontinuous deformation analysis (DDA).1 Most of the improvements are
focused on reducing the rigid body rotation error2–4 and refining the stress distribution
inside the blocks.5–11 However, little work had been done on the contact problem in the
2-dimensional DDA. Among them, Lin8 improved block contact by using the augmented
Lagrangian method instead of the penalty method employed in the DDA.
In the DDA, polygons are basic geometric entities and they will cause nonsmooth con-
tact. For two-dimensional polygons, only three types of contacts exist: vertex-vertex (V-V),
vertex-edge (V-E), and edge-edge (E-E). The vertex-edge contact is the basic type and the
edge-edge contact can be decomposed as the combination of two vertex-edge contacts while
the vertex-vertex contact can degenerate into a vertex-edge contact. But the procedure of
the degeneration is indeterminate in numerical modelling. The indeterminacy is due to the
discontinuity of the normal direction of the contact boundary, i.e. the non-unique direction
of the contact force at the corner.
There are two types of indeterminacy exist in the vertex-vertex contact model. The first
type of indeterminacy is referred as the genuine indeterminacy (GI) in this paper because
it originates from the real vertex-vertex contact. When the trajectory of the vertex of the
contact pair passes its target vertex, the genuine indeterminacy will arise. The second type
of indeterminacy is referred as the pseudo indeterminacy (PI) in this paper because it is a
phenomenon belongs to particular numerical modelling methods when dealing with the quasi
vertex-vertex contact (i.e. the contact detected to be a vertex-vertex contact at the beginning
of the time step).
In the DDA, if two possible reference edges are passed by the corresponding vertex simul-
taneously, invasion takes place, as shown in Fig. 1b, where the normal penetration distances
are d1 and d2 , respectively. The choice of contact edge is controlled by the shortest path
method, which picks the one with smaller penetration among two potential reference edges.
If d1 < d2 , the entrance edge is DE and the final vertex-edge contact is A-DE, and a contact
spring is attached between vertex A and the projecting point A1 on the reference edge, other-
wise, the entrance edge is DF and contact spring is attached between A and A2 . The physical
meaning of the shortest path method is pushing the invaded vertex A out of the block along
the shortest path.12 However, the shortest path method has two obvious shortcomings: (1)
it cannot work when the initial state of a quasi vertex-vertex contact does not have penetra-
tion; (2) it cannot resolve the case when the penetration distances from both reference edges
are equal.
The vertex-vertex contact indeterminacy is a well-known problem in numerical modelling
and many heuristic works have been proposed to solve it. Oden13 and Chaudhary14 used the
∗ Corresponding author. E-mail: czzhao@ntu.edu.sg

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0024 99
C B
A D
D D A
A1 A2
E A
d1 d2
F
(a) (b) (c)
Figure 1. Working principle of the shortest path method: (a) quasi V-V contact case 1; (b) overlapped
at the end of time interval; (c) quasi V-V contact case 2.
minimum principle to select a unique trajectory for the vertex, excepting the case in which
the possible scattered trajectories are indistinguishable by symmetry. Pandolfi15 and Kane16
provided the variational principle for selection of trajectories in problems where multiple tra-
jectories of vertex are possible, but with the same limitation as the minimum principle. Feng
and Owen17 used an energy-based normal contact model in which the normal and tangential
directions, magnitude and reference contact position of the normal contact force are uniquely
defined. Cundall18 employed a corner rounding procedure so that blocks can smoothly slide
past one another when two opposing corners interact. Krishnasamy and Jakiela19 provided a
simple scheme to resolve the ambiguity of vertex-vertex contact in the penalty based model.
Most of the above works have their own scheme dealing with the indeterminacy of vertex-
vertex contact in the framework of specific contact interaction dealing method.
To overcome the limitations of the shortest path method, the original DDA code provides
a simple scheme. For the quasi vertex-vertex contact without initial penetration at the begin-
ning of time interval, the code specifies the initial entrance edge which is the steepest among
the two potential reference edges. This scheme is proper in some cases but quite sensitive to
the choice of stiffness of the contact spring and time interval size. Sometimes, the artificial
choice of an entrance edge will affect the result of the analysis significantly. The original DDA
code will not be able to deal with the case when two penetration distances from the potential
reference edges are equal. To make the shortest path method employed in the DDA more
precise and more applicable, an enhancement to it is provided in this paper. More details
about this enhancement are introduced in the following sections.
2. Solution to the Genuine Indeterminacy

In the genuine indeterminacy, two blocks collide at the vertexes but the direction of contact
force cannot be obtained by the normal vector of the boundary. The new scheme proposed
in this section is based on the fact that there must have contact forces interact between
two vertexes when they collide into each other and the contact forces will direct the further
motion of them. Hence, a temporary contact spring between vertexes is necessary for each
vertex-vertex contact pair to reflect the contact interaction. The temporary contact spring
will connect two vertexes and act as a hinge between them. The ‘temporary’ means it will
be removed right after the further motions are detected. This procedure will not affect the
computational efficiency much because it is done in a normal open-close iteration.
100
block i
P1
P2 block i block j
r2
¦È
1 r1
r1 ¦È
2
r2
u ¦È
1'
¦È
1
P1' P1 ¦È
2
block j u P1'
P2
(a) (b)
Figure 2. Relative displacement vector and potential reference edge vectors: (a) two potential reference
edge on the same block (b) two potential reference edge on different block.
Consider the motion of a vertex-vertex contact pair, vertex P1 (x1 , y1 ) on block i and vertex
P2 (x2 , y2 ) on block j, with a temporary contact spring attached between them. At the end of
the time interval, there will have a relative displacement between point P1 and P2 , as shown
in Fig. 2. The relative displacements of P1 with respect to P2 is
u = u1 − u2 = Ti(1) di − Tj(2) dj (1)
here, for simplicity, use Ti(1) for Ti (x1 ,y1 ) and Tj(2) for Tj (x2 ,y2 ). Assume that the vectors for
the potential reference edge are r1 and r2 , respectively, with origin at point P2 . Denote the
angle between r1 and u as θ1 , the angle between r2 and u as θ2 , then
|r1 × u| |r2 × u|
sin θ1 = ; sin θ2 = (2)
|r1 ||u| |r2 ||u|
By comparing the value of sin θ1 and sin θ2 , it is easy to find the proper reference edge onto
which the vertex will slide when removing the vertex-vertex contact spring. If sin θ1 < sin θ2 ,
the proper reference edge is r1 , otherwise it is r2 . If sin θ1 = sin θ2 , the vertex-vertex contact
will not degenerate into corresponding vertex-edge contact and the temporary vertex-vertex
contact spring is kept in this step until the symmetry is destroyed in the following steps.
Indeed, the above selection procedure is another form of the shortest path method because
|u| sin θ is the penetration distance.
3. Solution to the Pseudo Indeterminacy

For the pseudo indeterminacy, since the shortest path method is sensitive to the penalty
parameter and the time step size, an alternative scheme is proposed here by considering the
trajectories of vertexes during the time interval. For any vertex-vertex contact which does not
have any penetration at the start of time interval, the new scheme can work out the proper
entrance edge for it unless it falls into the genuine indeterminacy.
The new scheme is based on the fact that no block can jump to the final position
from the start position. Hence, each vertex must have its own trajectory which must intersect
with the boundary of the target block if the vertex invades into the target block. It is easy
to find the proper entrance edge of this vertex from the intersection point. If the intersection
101
P 2' P1
P 3'
P2 P 1'
P3
Figure 3. Vertex-edge contact process.
point is also a vertex on the opposite block, this vertex-vertex indeterminacy falls into the
genuine indeterminacy which can be resolved by the enhanced shortest path method provided
in the previous section.
Figure 3 shows a vertex-edge case. Points P1 (x1 , y1 ), P2 (x2 , y2 ), and P3 (x3 , y3 ) correspond
to the start positions of time interval, and points P1 , P2 and P3 are corresponding to the
end positions of that time interval. The displacement vectors of P1 , P2 , and P3 at this time
interval are {u1 ,v1 }T , {u2 ,v2 }T , and {u3 ,v3 }T , respectively.
Then the coordinates of P1 , P2 , and P3 at any time instant within current time step, can be
written out by a linear interpolation as follows:
u1
x1 (t) = t + x1
T (3)
v1
y1 (t) = t + y1
T
with the other coefficients obtained by a cyclic permutation of subscripts in the order 1, 2, 3.
Here, T is the time step size which must be small enough to ensure the linear displacement
assumption. Denote (t) as two times of the area of P1 P2 P3 at time instant t, obtained by

1 x1 (t) y1 (t)
x2 (t) − x1 (t) y2 (t) − y1 (t)

(t) = 1 x2 (t) y2 (t) = (4)
1 x3 (t) y3 (t) x3 (t) − x1 (t) y3 (t) − y1 (t)
102
substituting Eq. (3), then

u
2 u1 v2 v1
t + x2 − t − x1 t + y2 − t − y1
T T T T
(t) = u
3 t + x − u1 t − x v3 t + y − v1 t − y
3 1 3 1
T T T T
2
u2 − u1 v2 − v1 t u2 − u1 y2 − y1 t
= +
u3 − u1 v3 − v1 T 2 u3 − u1 y3 − y1 T

x − x1 v2 − v1 t
+ 2 + x2 − x1 y2 − y1

x3 − x1 v3 − v1 T x3 − x1 y3 − y1

u2 − u1 y2 − y1 t x2 − x1 v2 − v1 t x2 − x1 y2 − y1
≈ + + (5)
u3 − u1 y3 − y1 T x3 − x1 v3 − v1 T x3 − x1 y3 − y1
At the time instant that vertex P1 contacts edge P2 P3 , we have
(t) = 0 (6)
Solve Eq. (6) with respect to t will obtain the time instant when the contact occurs. Equa-
tion (6) is solved for both potential reference edges. If the root of Eq. (6) is negative or bigger
than T, vertex P1 will not collide with edge P2 P3 in current time step. Even a nonnegative
root is found for Eq. (6), it is not necessarily the right one because vertex P1 may drop on
the extension line of segment P2 P3 . Assume the root of Eq. (6) is t0 , and the coordinates
of P1 , P2 , and P3 at that time instant are denoted as P1 (x01 ,y01 ), P2 (x02 ,y02 ), and P3 (x03 ,y03 ),
respectively. If the following inequality holds, vertex P1 is colliding with edgeP2 P3 and it is
the entrance edge for vertex-vertex contact. Otherwise, the reference edge must be the other
potential reference edge.
⎧
⎨ x0 − x0 x0 − x0 ≤ 0
1 2 1 3
(7)
⎩y0 − y0 y0 − y0 ≤ 0
1 2 1 3
After obtaining the proper entrance edge, the vertex-vertex contact is transformed into a
vertex-edge contact and the open-close iteration will continue.
4. Applications
4.1. Example 1
A two-block system under vertical body force is at rest at the beginning of the analysis (see
Fig. 4). The bottom block is fixed by two points at the bottom. There will be a vertex-vertex
contact between the bottom vertex of upper block and the top vertex of the bottom block
after upper block starts to move. At the initial position, there is a small gap between them,
which can assure the vertex of upper block will land on the right edge of the bottom block.
The material properties for both blocks are as follows: mass density = 2.8 × 103 kg/m3 ;
Young’s Modulus = 50MPa, Poisson’s ratio = 0.25, body force is fx = 0N and fy = −2.8 ×
105 N. Friction angle and cohesion of joint material is zero. The allowed displacement ratio
is 0.1, and the maximum time increment for each time step is 0.05s. It is assumed that there
is no friction between the interfaces.
In the test, the time step is 0.05s and the penalty value is 40 times the value of Young’s
Modulus. The results from the original DDA code are shown in Fig. 5 and the results from
the new DDA code is shown in Fig. 6. Because the upper block is land on the right edge of
103
1 1
3
0.1
0.02
4
3 5
Figure 4. Geometry of example IV (unit: m).
(a) step=0 (b) step=1 (c) step=2 (d) step=3
Figure 5. Results from original DDA code (p = 40E, T = 0.05s).
Figure 6. Results from new DDA code (p = 40E, T = 0.05s).
the bottom block, the contact edge should be the right edge, and the contact vertex of the
upper block will slide along this edge. The enhanced DDA code can show this phenomenon
while the old DDA code cannot.
4.2. Example 2
The second example is a four-block system on a fixed table with gravity neglected, and all
blocks are at rest at the beginning of the analysis, as shown in Fig. 7. There is a vertex-vertex
contact between block a and block c.
104
25 15
10
15
20 b a
10
25
c
20
d
20 20
Figure 7. Configuration (unit: m).
The material properties for all blocks are as follows: mass density = 2300kg/m3 ; Young’s
Modulus = 10GPa, and Poisson’s ratio = 0.3. Friction angle of joint material is 15◦ and
cohesion is zero. The allowed maximum displacement ratio is 0.05, and the maximum
time increment for each time step is 0.01s. The stiffness of the normal contact spring is
4 × 1011 N/m, which is 40 times of the value of Young’s Modulus of block’s material. A point
force, F(−4 × 107 KN, −3 × 107 KN), is applied on block a. The dynamic factor is set to zero
for the static analysis.
For such a static problem, since Fx /Fy = 4/3, i.e. |Fx | > |Fy |, the deformation along x
direction should be larger than the deformation along y direction. Therefore, the vertex of
block a should move forward along the top edge of block c. The revised DDA code shows the
correct result while the original DDA cannot in this special case. The results from both codes
are shown in Figs. 8 and 9, respectively. Only the revised DDA code obtained the correct
result.
Figure 8. Original DDA.
105
Figure 9. Revised DDA.
5. Conclusions
This paper provided an enhancement to the shortest path method for resolving the first class
indeterminacy of the vertex-vertex in the DDA model. For resolving the second class inde-
terminacy, this paper proposed a scheme based on the vertex trajectory to determine the
entrance edge of a vertex-vertex contact. Two examples showed the problems caused by the
improper choice of initial contact edge in the vertex-vertex contact. In the examples, the
enhanced DDA code obtained the correct results while the original DDA code could not.
Although these examples used in the demonstration are simple, they show that the enhanced
method offers a solid basis and potential for its further application to complicated cases. The
new scheme can also be applied to the numerical manifold method and other penalty based
contact model for resolving the indeterminacy of vertex-vertex contact.
References
1. MacLaughlin, M.M. and D.M. Doolin, Review of validation of the discontinuous deformation
analysis (DDA) method. International Journal for Numerical and Analytical Methods in Geome-
chanics, 2006. 30: pp. 271–305.
2. Ke, T.C., Modification of DDA with respect to rigid body rotation, in Proceedings of the First
International Conference on Analysis of Discontinuous Deformation, J.C. Li, C.Y. Wang, and
J. Sheng, Editors. 1995, National Central University, Chungli, Taiwan, ROC: Chungli, Taiwan.
p. 260–273.
3. MacLaughlin, M.M. and N. Sitar, Rigid body rotations in DDA, in Proceedings of the First Inter-
national Forum on DDA and Simulations of Discontinuous Media, M.R. Salami and D. Banks,
Editors. 1996, TSI Press, Albuquerque, New Mexico: Berkeley, California. pp. 620–636.
4. Cheng, Y.M. and Y.H. Zhang, Rigid body rotation and block internal discretization in DDA anal-
ysis. International Journal for Numerical and Analytical Methods in Geomechanics, 2000. 24:
p. 567–578.
5. Ke, T.C., Simulated testing of two-dimensional heterogeneous and discontinuous rock masses
using discontinuous deformation analysis, in Civil Engineering. 1993, University of California:
Berkeley.
6. Chang, C.T., Nonlinear dynamic discontinuous deformation analysis with finite element meshed
block system. 1994, University of California, Berkeley: United States — California.
106
7. Shyu, K., Nodal-based discontinuous deformation analysis, in Civil Engineering. 1993, University
of California Berkeley.
8. Lin, C.T., Extensions to the discontinuous deformation analysis for jointed rock masses and other
blocky systems, in Civil Engineering. 1995, University of California: Berkeley.
9. Koo, C.Y., J.C. Chern, and S. Chen, Development of second order displacement function for DDA,
in Proceedings of the First International Conference on Analysis of Discontinuous Deformation,
J.C. Li, C.Y. Wang, and J. Sheng, Editors. 1995, National Central University: Chungli, Taiwan
ROC. pp. 91–108.
10. Hsiung, S.M., Discontinuous deformation analysis (DDA) with nth order polynomial displace-
ment functions, in Rock Mechanics in the National Interest, Proceedings of the 38th U.S. Rock
Mechanics Symposium, D. Elsworth, J.P. Tinucci, and K.A. Heasley, Editors. 2001, American Rock
Mechanics Association, Balkema: Rotterdam, Washington DC. pp. 1437–1444.
11. Clatworthy, D. and F. Scheele, A method of sub-meshing in discontinuous deformation analysis
(DDA), in Proceedings of the Third International Conference on Analysis of Discontinuous Defor-
mation, B. Amadei, Editor. 1999, American Rock Mechanics Association, Balkema: Rotterdam,
Washington DC: Vail, Colorado. pp. 85–96.
12. Shi, G., Discontinuous deformation analysis – A new numerical model for the statics and dynamics
of block systems, in Civil Engineering. 1988, University of California: Berkeley.
13. Oden, J.T. and E.B. Pires, Algorithms and numerical results for finite element approximations
of contact problems with non-classical friction laws. Computers & Structures, 1984. 19(1–2):
pp. 137–147.
14. Chaudhary, A.B. and K.-J. Bathe, A solution method for static and dynamic analysis of three-
dimensional contact problems with friction. Computers & Structures, 1986. 24(6): pp. 855–873.
15. Pandolfi, A., et al., Time-discretized variational formulation of non-smooth frictional contact.
International Journal for Numerical Methods in Engineering, 2002. 53: pp. 1801–1829.
16. Kane, C., et al., Finite element analysis of nonsmooth contact. Computer Methods in Applied
Mechanics and Engineering, 1999. 180(1–2): pp. 1–26.
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ing Computations 2004. 21(2/3/4): pp. 265–277.
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107
Complementary Formulation of Discontinuous Deformation
Analysis
W. JIANG1 AND H. ZHENG1,2,∗

1 China Three Gorges University, Key Laboratory of Geological Hazards on Three Gorges Reservoir Area Ministry
of Education, Yi Chang 443002, China.
2 State Key Laboratory of Geomechanics and Geotechnical Engineering, Institute of Rock and Soil Mechanics,
Chinese Academy of Science, Wuhan 430071, China
1. Introduction
Existence of various discontinuities creates difficulties in numerically modeling geotechnical
problems. DDA1 proposed by Shi is recognized as an efficient method for analyzing highly
discretized models in the condition of large displacement, and has been serving diverse prob-
lems in geotechnical engineering, see Refs. 2–4 and many others.
Since the object analyzed by the DDA is usually a system of blocks, the treatment of con-
tact between blocks is the major task of the DDA. Now the penalty function method and the
Lagrange multiplier method or its variants are generally utilized to solve contact problems.
Each method has the merits and demerits. In the penalty function method, adopted in the
original DDA and its improved version,5 small penetration between blocks is allowed and
even necessary. Although the penetration is inappreciable, it is not easy to select reasonable
penalty factors (stiffness parameters). Too small factors lead to undue deviation from the
contact conditions; while too large factors result in an ill-conditioned stiffness matrix which
causes numerical problems. The Lagrange multiplier method, like the LDDA proposed by
Cai and Liang,6 enforces the contact conditions, but might fail because of rank deficiency
of the stiffness matrix if some improper constraints are involved during the open-close itera-
tion. The Augmented Lagrange Multiplier method (ALM) proposed by Amadei and Lin7 can
alleviate difficulties of the conventional DDA in selecting penalty factors and overcome rank
deficiency of the stiffness matrix in the LDDA.
All existing methods use a process called the open-close iteration to enforce the contact
conditions. Although simple and intuitive, the scheme cannot assure the iteration is always
convergent. During iteration the change in the contact mode of any contact-pair will cause
an abrupt change in the stiffness matrix, so the change in degrees of freedom corresponding
to two consecutive iterations is usually abrupt.
To avoid the penalty factors and the open-close iteration, we reconfigure the DDA. From
the variational formulation of momentum conservation instead of minimizing the potential
function, we derive a system of equations for momentum conservation, which facilitates con-
sidering non-linearity of block materials in future. Then we utilize C-functions to transform
the inequalities reflecting contact conditions on all contact-pairs into the equivalent equa-
tions called the contact equations. Then we combine the momentum conservation equations
with the contact equations and thus obtain a system of nonlinear equations some of which
are continuous but non-smooth. Finally the Path Newton Method (PNM) designed for the
nonlinear complementary problems8 is utilized to solve the system derived in the study. Two
classical numerical examples are tested, which demonstrate the feasibility of the proposed
procedure.
∗ Corresponding author. E-mail: hzheng@whrsm.ac.cn

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0027 109
2. Complementary Formulation of Discontinuous Deformation Analysis

2.1. Introduction of complementary theory
Complementary Problems (CP) were proposed by Dantzig and Cottle in 1963.8 The CPs
have forms of variety. Here, we only recapitulate some concepts related to this study. The
detailed complementary theories can be referred the monograph by Facchinei and Pang.8
Definition (MiCP) Let three continuous vector-valued functions g:Rn1 × Rn2 → Rn1 , h:Rn1 ×
Rn2 → Rn2 and f :Rn1 ×Rn2 → Rn2 , with n1 and n2 beingtwo positive integers. A generalized
mixed complementary problem, denoted by MiCP g,h,f , is to find a pair of vectors (w,v) ∈
Rn1 × Rn2 such that
⎧
⎨ g (w,v) = 0
f (w,v) 0, h (w,v) 0 (1)
⎩
f (w,v)T h (w,v) = 0
We will apply system (1) to reformulate the DDA. The first equations will stand for the
momentum conservation equations; the second inequalities for the constraints on the contact
pairs; and the third equations will indicate the complementary conditions on the contact
forces and the relative displacements of the contact-pairs. We can rewrite (1) as a system of
equations of the form

=0
g (w,v) (1.1)
min f (w,v) , h (w,v) = 0
The second equations in (1.1) can be look as a vector-valued function
whose component
functions are an identical min function, i.e., min fi (w,v) ,hi (w,v) . Function min(x, y) is an
easiest C-function8 that is continuous over R2 and smooth everywhere except on the line
y = x. Of course min function can be instead of by other C-functions. The theories on the
finite dimensional variational inequalities, e.g. Ref. 8, have had some practical algorithms
for the solution of systems of non-smooth equations such as those continuous and piecewise
smooth functions that will be involved in the study.
2.2. Equations of momentum conservation

of a block system in discrete form
Considering the DDA always reduces contact between blocks to angle-edge contact, we can
classify the forces acted on a typical block i shown in Fig. 1 as follows.
1) Unknown contact force p, a point load that is divided into two types:
(i) Master force pm acted at a vertex. It occurs when an angle of block i is in contact
with an edge of j adjacent to i . In this case, we call i as “master” and j as
“slave”. pm has the following decomposition
pm = pτm + pnm (2)
with
pτm = pτm τ , pnm = pnm n (2.1)
where n is the unit exterior normal vector of j and τ is perpendicularn to and along
counterclockwise boundary of i ; pτm and pnm are components of pm alongτ andn,
respectively.
110
pmn
ps n ps pm
ps pm
sp
- -
f p
Figure 1. Force diagram of a single block.
(ii) Slave force ps acted on an edge. It occurs when an angle of a block j (master)
adjacent to i (slave) is in contact with the edge of i adjacent to j . Similarly we
have the decomposition:
ps = pτs + pns (3)
with
pτs = pτs τ , pns = pns n (3.1)
where n is the unit inner normal vector of i and τ is tangential to i and along
counterclockwise boundary of i ; pτs and pns are components of ps along τ and n,
respectively.
2) Known surface traction, p̄ acted on the boundary segment Sp of i .

3) Known point load f̄ , acted on some point of boundary of i .
4) Unknown volume load b̄ − ρ̄ ü, with b̄ being the volume force and ρ̄ the density.
We first discuss a typical block i subject to the forces mentioned above. For this purpose,
we start with the weak form of momentum conservation:

(δ ε)T σ d = (δ u)T b̄ − ρ̄ ü d + (δ u)T p̄d + (δ u)T f̄ + (δ u)T p (4)
i i Sp
where σ and u represent the stress vector and the displacement vector of a point in i ,
respectively; δ u and δ ε denote the virtual displacement and the virtual strain. For ease of
presentation, the approximation mode for displacements of blocks and the temporal dis-
cretization of üare taken the same as the original DDA; similarly we have a system of linear
equations for momentum conservation in discrete form
K̂d̂ − Ĉp̂ = q̂ (5)

where dT = u0 ,v0 ,r0 ,εx ,εy ,γxy , K̂is the stiffness matrix, Ĉ is a 6 × 2cn matrix of the form

Ĉ6×2cn = TcT1 Lc1 · · · TcTn Lcn (6)
Here, cn is the number of contact force vectors on i , Tci represents matrix T at contact
pointci which transforms the vector of the degree of freedom into the displacement vector,1
111
and Lci is the local frame at contact point ci defined as

Lci = τci nci (7)
p̂in (3) is contact force vector of dimension-2cn with the form

p̂T = pτc1 ,pnc1 , . . . ,pτcn ,pncn (8)
At the last, q̂ in (3) is a 6-dimensional vector called the generalized force vector.
Suppose that the system of blocks has nb blocks and nc contact-pairs within the time step.
Shi1 has proposed a set of rigorous criteria for constituting the nc contact-pairs. The criteria
can assure that the number of contact-pairs will arrive at the minimum. For any time step ,
each block has a system in the form (3). We collect
all the systems of the blocks into a system
of 6nb equations in 6nb + 2nc unknowns d,p as follows
Kd − Cp = q (9)
in which K = diag(K̂1 , . . . ,K̂nb ), with K̂i being the matrix of block i relevant to (19.1); C,
a 6nb × 2nc matrix, is formed by assembling Ĉi of all blocks; d is a 6nb -dimensional vector
made up of all d̂i ; q is the generalized force vector composed of all q̂i ; p is the contact force
vector of all contact pairs with a dimension of 2nc
T
p = pτ1 ,pn1 , . . . ,pτnc ,pnnc
To solve for d and p from system (9), we have to complement other 2nc equations. This will
constitute the contents of the next section.
2.3. Contact equations
Now we will complement 2nc equations from the nc contact-pairs and call them the contact
equations. For simplicity of notations, we will omit the subscripts indicating contact-pairs,
and specify that all relations will refer to the moment at the end of a time step.
Normal contact equation

As shown in Fig 2, the fact that the two blocks corresponding to the contact-pair of interest
cannot be penetrated into each other requires that the normal relative distance be nonnega-
tive, that is,
gn 0 (10)
Here,

gn = nT xi − xj = nT x̄i − x̄j + Ti d̂i − Tj d̂j
where x̄i and x̄j represents the positions of the two nearest points of the contact- pair at the
start of this step; subscripts i and j refer to i and j , respectively.
112
Ωj
xj
g n pτ
g τ pn
xi
Ωi
Figure 2. Contact conditions.
At the same time, the normal contact force pn cannot be tensile

pn 0 (11)
In addition, the two variables cannot be nonzero simultaneously,
pn gn = 0 (12)
Equations (10), (11) and (12) can be expressed equivalently with a min function

min pn ,Egn = 0 (13)
where E is a constant with the same dimension as Young’s modulus, ensuring that pn and
Egn have a nearly equal order of magnitude.
Tangential contact equation
In tangential direction, a contact pair might have two contact states: the sticky state and
the sliding state. For the sticky state, the contact pair has no relative movement in tangential
direction and the friction has not arrived at the maximum specified by the Colombian friction
law. In this case, we have

ġτ = 0, pτ C + μpn (14)
where ġτ = the velocity of relative movement in direction τ ; μ = the friction factor and
C = the inner cohesion. For the sliding state, the contact pair has relative movement in
tangential direction and the friction will arrive at the maximum. In this case, we have

ġτ = 0, pτ = C + μpn (15)
In any way, however, we always have for the two states

ġτ C + μpn − pτ = 0 (16)
Considering that the direction of tangential relative movement is in agreement with the
friction pτ acted on the slave block i , see Fig. 2, we have
Gġτ pτ 0 (17)
113
where G is introduced for the same purpose as E in (13). Still Equations (11)–(14) can be
expressed equivalently with a min function identical to (10)

min Gġτ pτ ,C + μpn − pτ = 0 (18)
In this study, ġτ is approximated by the Euler-backward difference, that is
1 1
ġτ = τ T uj − ui = τ T Tj d̂j − Ti d̂i

where τ is the unit tangential vector of slave block i .
2.4. System of equations from the MiCP in DDA

Now that for each contact-pair two contact equations (13) and (18) are deduced, the nc
contact-pairs with the current time step will supply 2nc contact equations. Combining sys-
tems (9) (13) and (18), we have a system of equations in unknowns d and p
⎛ ⎞
⎜ Kd − C p̂ − f̂
i=n2 ⎟
H d,pn ,pτ = ⎝ min (pn ,Egn ) ⎠=0 (19)
τ τ
min (Gġ p ,μp + C −
n |pτ |) i=1
2.5. Solution procedure

The fact that H includes min function
indicates that H is nonsmooth. For ease of presenta-
d
tion, let m = 6nb + 2nc and z = ∈ Rm , and system (16) reduces to H(z) = 0. To solve
p
it, we introduce the merit function of H
1

(z) ≡ H (z)T H (z) (20)
2
Based on the fact that the minimal vector z0 of
(z) impliesh (z0 ) = 0, the Path Newton
Method (PNM) is utilized to minimize
(z), which is of global convergence.8 . We first list
the algorithm and then give an explanation for its application to the solution of H(z) = 0.
Algorithm Path Newton Method

Data: Let z0 ∈ Rm be given and ε be given scalars, ε > 0 small.
Step 1: Set k =
0.
Step 2: If
zk ε, terminate withzk as an approximate zero of H (z).
Step 3: Solve the directional Newton equation to obtain the direction dzk ∈ Rm :

H zk + H zk dzk = 0 (21)
Step 4: Determine step size. Letωk = 2−ik , whereik is the smallest non-negative integer for
which the following decrease criterion holds:

zk + 2−ik dzk 1 − 2−ik
zk (22)
Step 5: Set zk+1 = zk + ωk dzk , return to Step 2 with k ← k + 1.
114
In Step 1, the toleranceε = 10−4

q
2 , q is the generalized force vector in equation (6).
H (zk )in Step 3 is an arbitrary element in the Clarke generalized Jacobian T(zk )8 of H(z)
at z . In Step 4, starting with i = 1, one can find the smallest i satisfying inequality (22),
k
and thus the largest step length along the search direction dzk can be determined. For ease
of presentation, we will call the proposed procedure as the Complementary Discontinuous
Deformation Analysis (CDDA).
3. Numerical Examples
3.1. Sliding problem
Using this example, we will compare the precision given by the CDDA and the classical DDA
respectively. Shown in Fig. 3 is a sliding rectangle block of dimension 2m×1m on a ramp
that has a slope angle of 30˚. The block and the ramp have the same material properties:
the density ρ = 2.75×103 kg/m3 , Young’s modulus E = 2.0 MPa, Poisson’s ratio μ = 0.25.
The rigid body displacement components of the ramp are fixed, i.e., u0 = v0 = r0 = 0.0.
Suppose no frictional force between the block and the slope. So, the block has an exact
sliding displacement
1 2
S= gt (23)
4
where S(m) = the sliding distance of the block center point , t (s) = the time elapsed.
Figure 3. A sliding rectangle block on a ramp.
Let the time step length = 0.01s and 100 time steps be calculated. Table 1 lists the results
from the analytical solution, the DDA and the CDDA. It is shown that CDDA’s precision is
higher than DDA’s.
From this and other examples we have conducted, the DDA usually gives rise to displace-
ments slightly greater than the CDDA. It is explainable — the CDDA can be viewed as the
limit of the DDA in approaching infinite spring stiffness.
115
Table 1. Compare CDDA’s results with DDA and analytic theory.

time(s) 0.20 0.40 0.60 0.80 1.000
analytic results (m) 0.10 0.40 0.90 1.60 2.50
DDA’s results (m) 0.1066 0.4084 0.9087 1.6088 2.5092
DDA’s error (mm) +6.6 +8.4 +8.7 +8.8 +9.2
DDA’s relative error (%) 6.60 2.10 0.97 0.55 0.37
CDDA’s results (m) 0.1023 0.4019 0.9009 1.5993 2.4978
CDDA’s error (mm) +2.3 +1.9 +0.86 −0.71 −2.43
CDDA’s relative error (%) 2.30 0.50 0.10 0.04 0.09
3.2. The surrounding rock deformation of roadways

The surrounding rock deformation of roadways is a common issue frequently encountered.
Figure 4 shows a typical roadway, the rigid body
displacement components of outermost
rock are fixed, initial ground stress σx ,σy ,τxy = (−2, − 1,0), the self weight is ignored. All
0 0 0
blocks have the same material properties: the density ρ = 0.3 × 103 kg/m3 , Young’s modulus
E = 5.0 kPa, Poisson’s ratio μ = 0.2. Suppose no frictional force between blocks. Let the
time step length = 0.01 s, the max step displacement radio δ = 0.005, we conduct the
static analysis to the example by the CDDA.
Figure 5 illustrates the surrounding rock deformation and stress of roadways after 500
steps. We can see the surrounding rock is basically stable. The stress of outermost and middle
rock changes little and the main stress is still horizontal. The clear change of stress occurs
in the innermost rock, main direction varies with the position of block. The main direction
Figure 4. A typical roadways.
Figure 5. Deformation and stress of roadway.
116
slants gradually, it is horizontal in the roof and the floor but is vertical in the left and the
right.
4. Conclusions
This study reformulates the DDA as a mixed nonlinear complementary problem and develops
a procedure called the CDDA. The following conclusions are deduced from the experimental
results:
• The CDDA has a more compact computational scheme. No artificial stiffness parameters
are introduced and the “open-close” iteration is avoided.
• In general, the CDDA has better convergence.
• The CDDA is easier to implement the nonlinearity of blocks.
Acknowledgements
The authors are sincerely grateful to Dr. G. H. Shi, inventor of the DDA, for his valuable
suggestions and guidance, and are looking forward to his great breakthroughs in the 3-
dimensional DDA.
References
1. Shi, G.H., Discontinuous Deformation Analysis — A New Numerical Model for the Statics and
Dynamics of Block Systems (Ph. D. Thesis), Department of Civil Engineering University of Cali-
fornia, Berkeley, 1988
2. Moosavi M. and Grayeli, R. “A model for cable bolt-rock mass interaction: Integration with
discontinuous deformation analysis (DDA) algorithm” International Journal of Rock Mechanics
& Mining Sciences 432006, pp. 661–670
3. Hatzor, Y.H., Arzi, A.A., Zaslavsky, Y. and Shapira, A., “Dynamic stability analysis of jointed
rock slopes using the DDA method: King Herod’s Palace, Masada, Israel”, International Journal
of Rock Mechanics & Mining Sciences 41,2004, pp. 813–832
4. Tsesarsky, M. and Talesnick, M.L., “Mechanical response of a jointed rock beam-Numerical study
of centrifuge models”, International Journal for Numerical and Analytical Methods in Geome-
chanics, 31,8,2007, pp. 977–1006
5. Cheng, Y.M., “Advances and improvements in discontinuous deformation analysis”, Computers
and Geotechnics, 22, 2, 1998, pp. l53–l63.
6. Cai Y.E., Liang G.P., Shi G.H. etc., “Studying impact problem by LDDA method”, Discontinuous
Deformation analysis (DDA) and Simulations of discontinuous media TSI Press, 1996.
7. Amadei, B. and Lin, C., etc., “Modelling fracture of rock masses with the DDA method”, Rock
Mechanics (Nelson L ed), Balkema, 1994, pp. 583–590.
8. Facchinei, F. and Pang, J.S., Finite-dimensional Variational Inequalities and Complementary Prob-
lems. New York, Springer, 2003
117
Accelerated Block Sectioning Algorithm Based on Half-edge Data
Structure
JIAN XUE
College of Computing & Communication Engineering, Graduate University of the Chinese Academy of Sciences
1. Introduction
Block sectioning is an important pre-processing step for Discontinuous Deformation Anal-
ysis, Numerical Manifold Method and other similar methods, for their computations rely
on the block system with correct geometrical and topological structure. The blocks of the
computed block system are the result of sectioning by the existing discontinuities. Therefore
blocks with any shapes and any number of vertices can be produced: convex blocks, concave
blocks, the union of convex blocks or block containing holes.1 Thus, the block sectioning
step is also a very time-consuming process and the acceleration of such process is helpful to
accelerate the entire analysis procedure.
In order to accelerate the speed of this pre-processing step, a new block sectioning algo-
rithm based on half-edge data structure is proposed in this paper. The optimized implemen-
tation of this data structure can accelerate the block searching process markedly, and the
experimental results show that the new algorithm is almost two times faster than the original
algorithm.
2. Related Work
2.1. Block sectioning by discontinuities
The original algorithm for block sectioning by discontinuities was proposed by G. H. Shi et
al.2 and was also introduced in Ref. 1. It mainly includes following steps.
1. Compute the intersection points of any two discontinuities;

2. Connect adjacent intersection points and generate line segments (possible block edges);
3. Delete tree like segments (whose branches with their nodes go nowhere and can not form
block boundaries or loops);
4. Trace blocks (whose boundary is a loop consisting of edges);
5. Identify the outside and inside boundaries (outside boundary should be deleted).
Among these steps, Steps 2 and 4 are crucial. In order to find all possible block edges and
trace valid blocks, the following three items of information are necessary and sufficient1 :
1. The intersection points and their order on each curved line;

2. All of the curved lines passing through an intersection point;
3. The direction angles of the line segments passing through a node.
Several matrices are used in the original algorithm to record these items of information
and trace the blocks. These matrices are actually two dimensional arrays in implementation.
Corresponding author. E-mail: xuejian@gucas.ac.cn

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0033 119
For example, as mentioned in Chapter 6 of Ref. 1, matrix Q = [Qij ] is used for recording
the intersection points along each curved line. Each row of matrix Q
qi1 ,qi2 , . . . ,qij , . . .
contains the intersection point numbers on the i-th curved line.1 In such a manner, blocks can
be found out properly, but some inefficient operations also are introduced to the algorithm.
When locating the next vertex of a block, for instance, a linear search with time complexity
O(n) is performed on one row of matrix Q (n is the number of intersection points recorded in
this row). Although the length of row is usually short (n is small), a lot of such linear search
operations will slow down the algorithm greatly.
2.2. The half-edge data structure

The half-edge data structure is very popular in geometric modeling, which was introduced
in Refs. 3 and 4 early. Its main purpose is to perform topological queries for polygon mesh
(e.g. “which edges use this vertex?”) in constant time. The structure of half-edge mesh is
illustrated with Figure 1.
Vertex
Edge
Half-Edge
Pointers
Figure 1. Half-Edge structure.
The half-edge data structure is called that because instead of storing the edges of the mesh,
half-edges are stored. A half-edge is a half of an edge and is constructed by splitting an edge
down its length. The two half-edges that make up an edge are called a pair. Half-edges are
directed and the two edges of a pair have opposite directions.5 In Figure 1, the black dots are
the vertices of the mesh and the gray bars are the half-edges. The short lines with arrows in
the figure represent pointers (links).
The common implementation for representing a polygon mesh with half-edge data struc-
ture can be described in C as follows5 :
struct HE_edge { // represent a half-edge in mesh

HE_vert* vert; // vertex at the end of the half-edge
HE_edge* pair; // oppositely oriented adjacent half-edge
HE_face* face; // face the half-edge borders
HE_edge* next; // next half-edge around the face
};
120
struct HE_vert { // represent a vertex in mesh

float x, y, z;
HE_edge* edge; // one of the half-edges emantating
// from the vertex
};
struct HE_face { // represent a face in mesh
HE_edge* edge; // one of the half-edges bordering the face
};
With these data structures, the topological queries of the polygon mesh can be done easily
and quickly. The time complexity of these queries is linear in the amount of information
gathered and independent of global complexity. For example, iterating over the half-edges
adjacent to a face is done like this5 :
HE_edge* edge = face->edge;

do {
// do something with edge
edge = edge->next;
} while (edge != face->edge);
3. New Algorithm
3.1. The data structure
The half-edge data structure for the new algorithm is implemented in C++ language as
follows:
struct halfedge {
typedef unsigned int index_type;
typedef double value_type;
enum tag_type { READY, INIT, DELETED, VISITED };
halfedge()
: line(INVALID_INDEX)
, end_node(INVALID_INDEX)
, pair(INVALID_INDEX)
, next(INVALID_INDEX)
, t(0)
, angle(0)
, tag(READY)
{ }
index_type line;
index_type end_node;
index_type pair;
index_type next;
value_type t;
value_type angle;
121
tag_type tag;
};
The ‘line’ field indicates on which line the half-edge lies. The ‘end_node’ field records
the index of the node at the end of this half-edge. The ‘pair’ and ‘next’ fields are the indices
of its opposite half-edge and its next half-edge around the same face. The ‘t’ field stores the
location of this half-edge on the line (i.e. length parameter of the node at the start of this
half-edge), which is used for sorting the half-edges along the line. The ‘angle’ field is used
for two purposes, which will be explained in details in Section 3.2. Finally, the ‘tag’ field is
used for recording the status of this half-edge when tracing blocks.
3.2. Overall Algorithm

Based on above data structure, the new block sectioning algorithm can be described as fol-
lows:
1. Compute the intersection points of any two discontinuities (lines) and set up a node struc-
ture for each intersection point;
2. Connect adjacent nodes to form possible block edges and create two half-edges for each
edge;
3. Establish the half-edge mesh (i.e. fill each half-edge structure with proper information);
4. Delete tree like edges;
5. Trace the valid blocks using topological queries based on half-edge structure;
6. Check the correctness of the topological and geometrical structure for the generated block
system.
Obviously, Steps 3 and 5 are the vital steps of this algorithm, which will be explained in
details by following sub-sections.
Based on the half-edge mesh established in Step 3, the time complexity of the topological
search is reduced. Therefore, the block sectioning process is speeded up.
3.3. The establishment of half-edge mesh

The establishment of half-edge mesh can be divided into two steps (as shown in Figures 2(a)
and 2(b)).
out boundary
(a) (b) (c)
Figure 2. Establishment of the half-edge mesh.
122
In the first step, the ‘pair’ and ‘end_node’ links are set up when the new half-edges are
created for the possible block edges, as shown in Figure 2(a). The length parameter ‘t’ is also
set according to the node position at the start of each half-edge. Further more, a temporary
array is attached to each node for recording all the half-edges started from this node and the
direction angle of each half-edge is also computed and stored in its ‘angle’ field.
In the second step, all the outward half-edges of each node obtained in the last step are
sorted according to their direction angles, as shown in Figure 2(b). If the array ‘segs’ stores
the indices of the outward half-edges of current node and the array ‘halfedges’ stores all
the created half-edges, the ‘next’ links of the opposite of the outward half-edges can be set
up as follows:
for (int i=0; i<segs.size(); ++i) {

halfedges[halfedges[segs[i]].pair].next
= segs[(i+1)%segs.size()];
}
Besides, the ‘angle’ field is updated to the angle between two adjacent outward half-edges,
which is used to identify the outside and inside boundaries later.
After all the nodes have been processed, the half-edge mesh is finally established. Figure 2(c)
shows a simple example of the established half-edge mesh.
3.4. Block tracing

Based on the half-edge mesh, block tracing can be done as following procedure:
1. for each half-edge index hei do {
2. if (halfedges[hei].tag = READY) continue;
3. curhei ← hei;
4. accangle ← 0;
5. sidenum ← 0;
6. do {
7. curhe ← halfedges[curhei];
8. add nodes[curhe.end_node] to the new block;
9. curhe.tag ← VISITED;
10. accangle ← accangle + curhe.angle;
11. sidenum ← sidenum + 1;
12. curhei ← curhe.next;
13. } while (curhei = hei);
14. if (accangle > sidenum * π) discard this new block (outside boundary);
15. else add this new block to the block set;
16. }
From above description, we can see that the time complexity of locating the next vertex of
a block is reduced from O(n) of the original algorithm to O(1).
3.5. Experimental results

The proposed new block sectioning algorithm has been implemented in C++ language.
Table 1 gives the comparison between the new algorithm and the original algorithm. All
the tests are run on a Windows-PC with an Intel Core 2 Duo 1.83GHz processor and 2GB
123
Table 1. Comparison between the new algorithm and the original algorithm.
Data Size Time (ms)
Input Lines Output Blocks Original Algorithm New Algorithm
Data 1 88 197 55.86 33.17

Data 2 1186 1769 2606.03 1322.04
Data 3 1810 1739 3062.42 1592.84
(a) (b)
(c) (d)
Figure 3. Some experimental results.
physical memory. The results indicate that the new algorithm is 68% ∼ 97% faster than the
original algorithm. Figure 3 shows the output blocks of the three experimental examples.
Figures 3(a) and 3(b) show the result of Data 1 generated by the original algorithm and new
algorithm respectively along with the software GUI. Figures 3(c) and 3(d) show the results
of Data 2 and Data 3. The blocks are rendered with random colors.
124
4. Conclusions
We have developed an efficient block sectioning algorithm based on half-edge data structure,
which can accelerate the process of generating blocks from arbitrary input discontinuities for
block system analysis algorithms, such as Discontinuous Deformation Analysis, Numerical
Manifold Method, etc. The experimental results indicate that the new algorithm is effective
and efficient.
Acknowledgements
This work is supported in part by the President Fund of GUCAS.
References
1. Gen-hua Shi, Discontinuous Deformation Analysis: A New Numerical Model for the Statics and
Dynamics of Block Systems, Ph.D. Thesis, 1988.
2. G. H. Shi, R. E. Goodman and J. P. Tinucci, “Application of Block Theory to Simulated Joint Trace
Maps”, Fundamentals of Rock Joints, O. Stephansson (ed.), Lulea: Centak Publishers, 1985, pp.
367–383.
3. Martti Mäntylä, An Introduction to Solid Modeling, Computer Science Press, Inc., New York, NY,
USA, 1987.
4. Swen Campagna, Leif Kobbelt and Hans-Peter Seidel, “Directed Edges — A Scalable Representation
for Triangle Meshes”, Journal of Graphics Tools: JGT, 3(4), 1998, pp 1–12.
5. Max McGuire, “The Half-Edge Data Structure”, flipcode: http://www.flipcode.com/archives/
The_Half-Edge_Data_Structure.shtml, 2000.
125
A New Contact Method Using Inscribed Sphere for 3D
TAE-YOUNG AHN1, ∗ , SUNG-HOON RYU1 , JAE-JOON SONG1 AND CHUNG-IN LEE2

1 Department of Energy Resources Engineering, Seoul National University, Seoul, Korea
2 Geogeny Consultants Group Inc., Seoul, Korea
1. Introduction
The discontinuous deformation analysis (DDA) is widely recommended numerical method
for blocky system.1 In DDA, the penalty method which adds contact spring and friction to
where the contact occurs is used to represent the kinematics of a block system. It should
be noted that the contact model using penalty springs is very effective but has shown some
instabilities on the densely populated contacts. In addition, it becomes more complicated
when all the contacts are simplified to vertex-to-face contacts in 3D DDA.
It is very difficult to build a perfect contact theory and its detection algorithm because the
contact should be consistently defined between any two blocks with various combinations
of vertices, edges and faces in 3D space. Recently, many researches, therefore, have been
conducted about 3D contact models since Shi2 presented the contact algorithm using the
penalty method. Jiang and Yeung3 developed a model of 3D vertex-to-face contact as a
part of the contact theory and Yeung4 presented the details of an edge-to-edge contact in
3D DDA. Wu5 developed an algorithm to find the vertex-to-face contact as the first step
towards a more comprehensive 3D contact model and Keneti6 developed a new algorithm
for identifying contact points and types between convex blocks using the concept of main
planes and dominant contacts.
2. Contact Models in Present 3D DDA

Contacts between polyhedrons can be defined as following 6 types; vertex-to-vertex, vertex-
to-edge, vertex-to-face, edge-to-edge, edge-to-face and face-to-face. Figure 1 shows the typi-
cal examples of each contact type.
Among these contact types, edge-to-face contact and face-to-face contact can be considered
as combination of the other four contact types and therefore converted to one of the first
four types in Fig. 1. These four contacts are finally brought under vertex-to-face contact in a
contact treatment stage which represents for kinematics of contacting blocks. After detecting
all possible contacts precisely, the contacts should be treated by contact penalty springs and
friction force by determining a penetrating point and penetrated plane (i.e. reference face).
The penetrating point is one of the vertices of the penetrating block and the penetrated plane
is a plane selected among the faces of the penetrated block.
Selecting a proper penetrated plane from candidate faces is important task in the contact
treatment stage. A vertex-to-vertex contact, for example, has three or more candidates and
a penetrated plane selected in the present step can be identified as a non-penetrated plane in
the next step by only a small displacement. Wrong selection of the penetrated plane occurs
occasionally and it increases the instability of contact treatment algorithm.
∗ Corresponding author. E-mail: andre0@snu.ac.kr

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0035 127
Figure 1. Possible contact types between two polyhedrons.
In this paper, a new method using an inscribed sphere to define the penetrating point and
penetrated plane is proposed.
3. Contact Method Using an Inscribed Sphere

Ohnishi7 developed an advanced 2D DDA algorithm using elliptic elements in addition to
polygons. The basic concept of his algorithm could be also adopted in 3D cases by using
ellipsoids. In blocky systems, however, there are few cases using ellipsoidal elements instead
of polygons. While some DEM codes like PFC3D use spherical particles to construct a blocky
system, DDA can hardly employ the ellipsoidal or spherical elements to present a blocky
system because it would require a huge size of simultaneous equilibrium equations and a
long time of Open-Closed Iteration (OCI) process.
Using spherical elements can be very effective approach when they are used for the contact
treatment algorithm. The present contact treatment algorithm, however, includes a process
of selecting a proper penetrated plane, and therefore, this possibly causes the increase of
calculation time as well as decrease of stability of contact treatment by selection of improper
planes.
Figure 2. A tetrahedron and its inscribed sphere.
128
3.1. Inscribed sphere of a tetrahedron

Figure 2 shows a tetrahedron and its inscribed sphere. Fiagbedzi8 proved that a tetrahedron
has the one and only inscribed sphere as following:
For the tetrahedron, the equations of 4 planes constituting the tetrahedron, i , are given as
i :ai x + bi y + ci z + di = 0 (i = 1,2,3,4) (1)
Then the radius and the center of an inscribed sphere are obtained as (2) and (3) respec-
tively.

d4 − a4 b4 c4 · A−1 0 d0
R= (2)
a24 + b24 + c24 sgn (4 (x̄)) − a4 b4 c4 · A−1
0 b0
C0 = A−1
0 {Rb0 − d0 } (3)
where the variables used in Equation (2) and (3) are denoted as
⎛ ⎞
⎛ ⎞ a21 + b21 + c21 sgn (1 (x̄)) ⎛ ⎞
a1 b1 c1 ⎜ ⎟ d1
⎜ ⎟
A0 = ⎝a2 b2 c2 ⎠ , b0 = ⎜ a22 + b22 + c22 sgn (2 (x̄))⎟ and d0 = ⎝d2 ⎠
a3 b3 c3 ⎝ ⎠ d3
a23 + b23 + c23 sgn (4 (x̄))
and x is center of the tetrahedron.
3.2. Contact using the inscribed sphere

Figure 3 shows the progress of installing an inscribed sphere into a vertex. When a contact
is detected at the vertex, firstly, 3 edge vectors are used to generate a tetrahedron as shown
in Fig. 3(a) and 3(b). The length of the edge vectors are important for determining the size
of the inscribed sphere and it has to be smaller than allowable maximum displacement of
the each time step. Using the combinations of 4 points which are start-points and end-points
of the vectors, the equations of 4 planes can be obtained as the form of Eq. (1). Then an
inscribed sphere is inserted into the vertex using Eqs. (2) and (3).
Differently with the vertex-to-face contact whose candidate for proper penetrated plane is
only one, the vertex-to-vertex contact has 3 or more candidates for proper plane in existing
contact treatment algorithm. In the new algorithm, the proper penetrated plane is not selected
among the candidates but generated between two inscribed spheres in contacting vertices.
(a) getting 3 edge vectors (b) defining a tetrahedron (c) obtaining the inscribed sphere
Figure 3. Install-progress of the inscribed sphere into a vertex.
129
Figure 4. The inscribed spheres and penetrated plane.
Figure 5. Generation of penetrated plane.
Figure 4 shows the generated ‘imaginary’ penetrated plane. The imaginary plane can be
generated as shown in Fig. 5. A normal vector of the plane, − →
n , is determined by two inscribed
→
−
spheres. Both start point and end point of n are the centers of two spheres respectively. The
three points on the plane can be obtained as follows: P(1) is the tangential point of the sphere
inscribed in penetrated block. P(2) is the projection of P(tmp) to the plane after generating a
→
−
vector randomly whose direction is different from − →
n . P(3) is the end point of b , which is
obtained by the cross product of − →n and −→
a as shown in Fig. 4. The 3 points are to be used
to install contact springs and friction force to the contact as Shi.2
Table 1 show the difference between existing contact method and newly proposed method.
4. Verification Example
4.1. Tetrahedron free drop test
To verify the accuracy of the new contact method, a tetrahedron subjected to gravity force
was dropped to a flat bottom as shown in Fig. 6. The tetrahedron had 1m long bottom sides
130
Table 1. The difference between two contact methods.

Existing contact method Proposed contact method
Contact type
Penetrating point Penetrated plane Penetrating point Penetrated
plane
Vertex-to-vertex contact Vertex Selected face Sphere Imaginary

among 3 or more plane
Vertex-to-face contact Vertex face Sphere Face

Vertex-to-edge contact Vertex Selected face Sphere Selected face
between 2 between 2
Figure 6. Exaggerated free drop test progress.
and 2m height. Since the penetrating point of the dropped block was on the surface of the
inscribed sphere, the bigger the sphere size was, the deeper penetration occurred. In the test,
the size of sphere was varied by changing R-value, which meant the ratio of the length of a
generated edge vector to the length of an edge itself. Three different spheres in Fig. 6 shows
the example spheres when R values are 1.0, 0.5 and 0.1 respectively. In the test, however,
R-values was 0.02, 0.01 and 0.001.
The penetration depth of a dropped block was plotted as shown in Fig. 7. In Fig. 7,
z-coordinate of vertices where sphere was inscribed is plotted. The vertices reached a bottom
block at 20th step and the penetrations were occurred with different depth. The maximum
penetration depth with 0.001 R-value was 0.0033 m while the maximum penetration depth
with 0.02 R-value was 0.0650. The penetration depth was gradually decreased as the tetra-
hedron fell down gradually and it was converged to zero after 175 steps. The 0.0033 m
penetration error from a tested block was reasonably small and the error can be smaller by
reducing R-value.
131
Figure 7. Penetration depth of the dropped blocks.
4.2. Block stack test

Because the vertex-to-vertex contacts are sensitive with block movement, small displacement
of the block can change the proper referential plane. Furthermore, some contacts are negligi-
ble in some cases. As shown in Fig. 8(a), for example, the contact between block 1 and block
4 can be neglected while the contacts between block 1 and block 2 or 3 should be consid-
ered. In existing contact method, the contact between block 1 and block 4 is not negligible
because very small overlapping occurs between vertices. Using new method, however, the
contacts can be negligible one because two inscribed spheres hardly overlap to each other.
The block stack test was conducted to verify the efficiency of the new method by skipping
the negligible contacts.
(a) 2൞2൞2 block stack (b) 3൞3൞3 block stack (c) 4൞4൞4 block stack
Figure 8. Install-process inscribed sphere into a vertex.
Table 2. Contact states of the block stack cases.

Cases 2 × 2 × 2 block stack 3 × 3 × 3 block stack 4 × 4 × 4 block stack
Contacts open closed total open closed total Open closed Total
Existing contact method 4 88 92 4 424 428 20 1160 1180

New contact method 28 64 92 216 212 428 540 640 1180
132
As shown in Fig. 8, three kinds of block stacks were analyzed; 2 × 2 × 2, 3 × 3 × 3 and

4×4×4 stacks. There were only vertex-to-vertex contacts between blocks in the stacks. After
analysing 10 steps, every contacts and their contact state was checked as shown in Table 2.
Open state means that two blocks are very near but not in contact so the contacts do not
need contact penalty using contact springs or friction force. Closed state, on the other hand,
means that two blocks are in contact so they need contact springs or friction force. Table 2
shows that the new contact methods set much more open contact though total contacts are
same with existing one. The result means the efficiency of the analysis is enhanced by using
new contact method.
4.3. Analysis Examples

An artificial rock slope model was analyzed to test the workability of new algorithm as shown
in Fig. 9. 18 blocks on the left slope and 20 blocks on the right slope were generated. Table 3
shows the block properties used in the test.
Figure 9 shows the result of the analysis using new contact method. As shown in Fig. 9,
the new contact method was worked well in 3D DDA algorithm.
5. Conclusions
In this paper, 3D DDA with new contact treatment method using inscribed sphere is pro-
posed. The inscribed spheres are inserted into the contacting vertices. In addition, the imag-
inary penetrated planes are adopted for the vertex-to-vertex contacts. The result of verifica-
tion tests shows that:
(1) The penetration errors occurred by inscribed spheres were reasonably small so that the
new method can be used to analyse the blocky system.

(a) Before the analysis (b) after 25,000 steps (c) after 50,000 step
Figure 9. Artificial rock slope analysis example.
Table 3. Input parameters for the artificial rock slope analysis.

Blocks on the left slope Blocks on the right slope 1 Blocks on the right slope 2
(18 blocks) (15 blocks) (5 blocks)
Elastic modulus 0.7 GPa 1.0 GPa 0.5 GPa

Poisson Ratio 0.20 0.10 0.25
Unit mass 2.8 t/m3 2.5 t/m3 2.7 t/m3
133
(2) The new method enhances contact calculation efficiency by reducing the number of
closed contacts. In addition, it increases the stability of contact treatment algorithm and
decreases calculation time by generating imaginary referential plane without selecting the
proper plane among the real block faces.
(3) The behaviour of an artificial slope was coincided with the real state. Therefore, it is
thought that the new contact method was worked well in 3D DDA algorithm.
The new algorithm was focused on the vertices to which the inscribed spheres were
inserted. However, edges can also make the contact algorithm complicated. So, inserting the
cylinders into the edges can be the new approach of the existing contact method. Therefore,
the contact method using spheres and cylinders for vertices and edge can be interesting topic
for further study.
Acknowledgements
Authors thank the Rock Fall and Landslide Prevention Research Center for financial support.
References
1. Shi G.H., Block system modelling by discontinuous deformation analysis. Boston: Computational
Mechanics Publications, 1993.
2. Shi G.H., Theory and examples of three dimensional discontinuous deformation analyses, Proceed-
ings of the second Asian rock mechanics symposium, Beijing, China, 2001, p. 27–32.
3. Jiang Q.H. and Yeung M.R., A model of point-to-face contact for three-dimensional discontinuous
deformation analysis. Rock Mech Rock Eng. 37, 2004, p. 95–116.
4. Yeung M.R., Jiang Q.H., Sun N., A model of edge-to-edge contact for three-dimensional discontin-
uous deformation analysis, Computers and Geotechnics 34, 2007, p. 175–186.
5. Wu J.H, Juang C.H., Lin H.M., Vertex-to-face contact searching algorithm for three-dimensional
frictionless contact problem, Int J Numer Methods Eng 63, 2005, p. 199–207.
6. Keneti A.R, Jafari A., Wu J.H., A new algorithm to identify contact patterns between con-
vex blocks for three-dimensional discontinuous deformation analysis, Comput Geotech (2008),
doi:10.1016/j.compgeo.2007.12.002.
7. Y. Ohnishi, S. Nishiyama, and S. Akao, Proceedings of the 7th International Conference on Analysis
of Discontinuous Deformation, 2005.
8. Y. A. Fiagbedzi, M. El-Gebeily, Classroom note: The inscribed sphere of an n-simplex, International
Journal of Mathemetical Education in Science and Technology 35(2), 2004, p. 261–268.
134
Study on Failure Characteristics and Support Measure of Layer
Structure-Cataclasm Rock Mass
GUANG BIN SHI1,2,3,∗ , JUNGUANG BAI2 , MINJIANG WANG2 , BAOPING SUN2 ,

YING WANG1 AND GENHUA SHI1
1 Graduate University of the Chinese Academy of sciences, BeiJin 100049, China
2 Northwest Investigation Design & Research Institute, Xi’an 710065, China
3 Xi’Aa university of Architecture and Technology, Xi’an 710054, China
1. Introduction
A underground powerhouse group from the underground powerhouse cavern, the volt-
age changer cavern, tailwater surge-chamber, composed of three main cavern, three cavern
arranged in parallel, the axis direction of chamber NE50◦ , spaces were 40.0 m, 39.5 m; the
outline of the underground plant size 175.0 m × 27.4 m × 74.0 m (length × with ×height),
the main voltage changer cavern size of 134.8 m × 16.5 m × 46.6 m, tailwater surge chamber
130.0 m × 25.0 m × 67.0 m. Mountain strong base hole from the outer side-wall slope for
the shortest distance between the level of 146 m, a thickness of rock covering 80 m ∼ 275 m.
Axis with the three major rock cavern was a wide-angle to the intersection
(angle of 55 ∼ 65◦ ).
Surrounding the main underground powerhouse of green sandstone and gray metamorphic
metamorphic quartz sandstone composed of gray between black sandy slate folder. Maxi-
mum principal stress value measured roughly 10 ∼ 13 MPa, the value of intermediate prin-
cipal stress is generally 5 ∼ 8 MPa, minimum principal stress value of about 4 ∼ 6MPa
about the maximum principal stress direction NE25◦ . Rock mass deformation modulus
E = 10 ∼ 15MPa, cohesion c = 1.0 ∼ 1.5MPa, friction angle = 45 ∼ 50◦ ; structure
surface cohesion c = 0.4 ∼ 0.7MPa, friction angle = 22 ∼ 35◦ .
Since the formation of the underground powerhouse and the special conditions of rock
mass structure, chamber rock deformation and failure of the plant primarily by high and
steep inclination of the rock surface under the control of the structure, the main advantage
of the structure outside inclined surface, a secondary structure tend to inside edge. Surround-
ing Rock deformation is usually characterized by the performance of non-continuous, and
the dumping of certain rock structures or cutting load conditions, the underground power-
house rock occurs in some local damage due to rock deformation or instability caused by
local. Application of discontinuous deformation analysis (DDA) of the main plant of the sur-
rounding rock deformation and failure characteristics of the numerical simulation, combined
with rock deformation monitoring and on-site excavation of rock destruction, focusing on
an analysis of the regional structure of plant spacing and yield distribution shape, stress level,
measures such as anchoring rock cavern deformation and stability.
2. Distribution of Characteristics of Rock Mass Structure Analysis

Figure 1 is a layered excavation of underground powerhouse. To April, 2009 , powerhouse
1st to 4th floor excavation is end, Geological engineers carried out the excavation _exposed
∗ Corresponding author.

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0049 135
Figure 1. Cavern excavation stages.
Figure 2. Step 1–Step 4 excavation _exposed geological discontinuous plane logging Figure.
geological discontinuous plane for logging in Figure, such as Figures 2 and 3 is the upstream
wall rock photos (part). Figure 2 based on statistical analysis of surface structure, As shown
in Figures 4–6.
From the photos (Figure 3) can clearly see that the advantages of structure tend to chamber,
the secondary structure and the cutting surface to form a block of different sizes. Through the
underground powerhouse excavation step 1 ∼ step 4 surface geological structure
(Figure 2) statistics and analysis (see Figures 4–6), one can clearly see the structure of the
main advantages of the top surface in the cavern arch, upstream and downstream wall of the
distribution of wall as follows: Group 1 occurrence for the 335◦ ∼ 350◦ SW 55◦ ∼ 65◦
edge structure and the No. 2 group occurrence for the 12◦ ∼ 54◦ NW 70◦ ∼ 80◦ advantage
136
Figure 3. Upstream rock wall photos (part). Figure 4. Crown structural plane statistics.
of the structure of the surface in the chamber Top arch, upstream and downstream walls
both wall; occurrence for the 340◦ NE 72◦ appear in the top arch; occurrence for the 57◦
NW 77◦ appear in the upper reaches of the wall; occurrence for the 67◦ SE 54◦ appear in
the downstream wall. The structure of the tendency for the NW face, in the upper reaches of
the outside wall is a tendency in the lower reaches of the wall is a hole in the wall inside the
dump; the structure of the tendency for the SE side of the wall is inclined in the downstream
outside, in the upper reaches of the wall is inside the hole in the wall dump; structure catalog
side wall maps and excavation can be clearly seen in the upstream side of the wall inside the
cave, there tend to, and with the chamber of less than 30◦ angle between the axis of the struc-
ture are not many, and in the downstream side of the wall or more, the distribution of cavity
wall and the scene is characterized by destruction of the surrounding rock as the tendency to
cave, and with the chamber of less than 30◦ angle between the axis of the structure facing the
chamber wall is detrimental to the stability of surrounding rock. In rock excavation Taiwan
rock anchor beam, the upper reaches of the wall rock of the rock-anchored beam, about
10% rock bench did not succeed (rock bench excavation cross-section in Figure 7), while the
downstream side-wall rock of the rock anchor beam about 70% rock bench did not succeed.
In the analysis of block stability, certainty and half_ certainty block on the downstream wall
was significantly higher than the upstream wall.
Figure 5. Upstream wall structural Figure 6. Downstream wall structural

plane statistics. plane statistics.
137
Figure 7. Rock bench excavation.
Table 1. In-situ stress measurement result.

Measuring points Principal stress Stress value (MPa) Dip direction (◦ ) Dip (◦ )
σ1 10.56 23 18
ZK248 σ2 7.20 122 26
σ3 5.89 262 58
σ1 10.05 42 14
ZK208 σ2 7.44 136 16
σ3 4.64 274 69
σ1 10.24 30 37
σ2 6.08 174 47
ZK206
σ3 5.01 285 19
3. DDA Analysis Scheme and Model

Hydraulic fracturing method used in the main plant axis stress measured results shown in
Table 1. Of course, in DDA2D analysis, must use formula (1) to transform the three dimen-
sional initial stress field to the analysis section plane in the stress field, its resultis 5.7–7.7MPa,
5.2–7.5MPa, 0.1–0.5Mpa. Sprayed concrete on the role of rock resistance by formula (3) cal-
culation to the form of cloth are imposed on the rock; prestressed force to focus on the form
of restrictions on the rocks. The geological structural plane provides which according to
geologic engineer extends the length and the distribution spacing, jointing statistical length
l = 25m which the computation analysis uses, jointing average spacing d = 1.5m, 2.0m. The
establishment of the DDA analysis model in Figure 8. 1, 2, 3 in Figure 8 are the calculation
observation points, 1 and 3 which is located in the wall centre, 2 located in the vault.
{σ } = [T]{σ } (1)
138
⎡ ⎤
l12 m21 n21 2l1 m1 2m1 n1 2l1 n1
⎢ l2 m22 n22 2l2 m2 2m2 n2 2l2 n2 ⎥
⎢ 2 ⎥
⎢ l2 m23 n32 2l3 m3 2m3 n3 2l3 n3 ⎥
[T] = ⎢ 3
⎢l l
⎥ (2)
⎢12 m1 m2 n1 n2 l1 m2 + l2 M1 m1 n2 + m2 n1 l1 n2 + l2 n1 ⎥
⎥
⎣l2 l3 m2 m3 n2 n3 l2 m3 + l3 M1 m2 n3 + m3 n2 l2 n3 + l3 n2 ⎦
l1 l3 m1 m3 n1 n3 l1 m3 + l3 M1 m1 n3 + m3 n1 l1 n3 + l3 n1
where: {σ } — New coordinate system (x, y, z) stress: [T] — Stress alternation matrix: {σ }
— Original coordinate system (x, y, z) stress: li , mi , ni —Respectively is the new coordinate
system (x, y, z) to original corresponding system (x, y, z) corresponding direction cosine,
i = 1, 2, 3.
pc = δ · τb + As · fyv (3)
where: pc — shotcrete force on a single block of the resistance; δ — shotcrete thickness, if δ is
greater than 100mm, δ = 100mm: τb — shotcrete shear strength: As — steel cross-sectional
area: fyv — steel shear strength.
4. Characteristics of Rock Deformation and Damage Analysis

4.1. Characteristics of rock mass damage
Rock in the absence of anchor bolt-shotcrete support, due to excavation unloading the
impact of typical rock mass damage occurs is characterized by the dumping of shear slid-
ing and extrusion toppling damage, Figures 9 and 10. Spacing distribution of rock mass
structure of the rock form of damage has obvious impact on the distribution of joint spacing
varying hours, mainly for the destruction of rock dumping extrusion damage; joints become
larger when the distribution of spacing, rock damage is mainly expressed in shear sliding
damage is the destruction of these two phenomena occurs at the scene, as travel in some
places the wall, there is a chamber group and less than 20◦ angle between the axis and the
steep inclination angle outside the existence of joints, on the occurrence of rock excavation
slide block, Figure 11, in this article Figures 9 and 10 also reflects the characteristics of the

DG PEG P
Figure 8. DDA model.
139

˄a˅Steps= 400 (b) steps= 1000
Figure 9. Surrounding rock collapes caused by joint intersections (d = 1.5m).
(a) Steps= 400 (b) steps= 1000
Figure 10. Surrounding rock collapes caused by joint intersections (d = 2.0m).
damage; Also in the upper reaches of the wall, in the excavation of rock under unloading, the
occurrence of shear sliding or extrusion toppling damage, leading to sprayed concrete cracks
in Figure 12.
When imposed on the rock hanging nets sprayed concrete, prestressed anchor and cable,
can effectively suppress the shear or extrusion damage, Figure 13, the observation points
safety factor K = 1.53. No anchor anchoring conditions, the safety factor K = 0.37.
140
(a) Bad (b) Good
Figure 11. Excavation current situation (photos).
4.2. Characteristics of rock mass deformation

(1) Non-anchorage conditions, different levels of initial stress, deformation of the under-
ground rock cavern there was a clear distinction, in Figure 14, σ0 = [7.7MPa, 7.5MPa,
0.2MPa]. From Figure 14 it is clear that, with the initial stress levels increase, the radial dis-
placement of the basic linear increase in side-wall radial deformation from 17mm to 48mm,
the radial deformation of the vault from 22mm to 61mm. The Observation points safety
factor K changed from 2.85 to 0.37.
(2) Under the conditions in the anchorage, when σ0 = [7.7MPa, 7.5MPa, 0.2MPa], the
deformation of 1# point observation on the upstream wall 33.5mm, 2# point for the top arch
is 47.6mm, 3# point for the downstream side-wall is 35.6mm, in Figure 15. As can be seen
from Figure 15, calculated values are basically the same values with the scene monitoring.
(3) The surrounding rock deformation Under the anchor bolt-shotcrete support is obvi-
ously smaller than the non-anchor supports, the former is approximately the latter 70%.
shotcrete crack shotcrete protuberance

Figure 12. Damage of shotcrete (photos). Figure 13. Stable status of rock block under support.
141
Figure 14. Deformation of observation points under non- support.
Figure 15. Deformation of observation points under support.
The anchor bolt stress of the upstream wall is 45–168MPa; The crown anchor bolt stress is
33–184MPa; The downstream wall anchor bolt stress is 50–147MPa.
5. Conclusion
This paper analyzed the use of DDA layered structure of rock fragmentation under the large
underground chamber and deformation characteristics of rock destruction. The calculation
142
results show that the contrast with the scene, DDA numerical simulation can be a good rock
show cavern large deformation and destruction of the entire process to help engineers under-
stand the failure mechanism of rock; to stress the level of the surrounding rock deformation
plays a major role in; linked network of spray concrete, prestressed anchor and cable to
effectively suppress the deformation and destruction of layer structure_cataclasm rock mass.
This research is still under continuation.
References
1. Shi Genhua. Manifold Method and Discontinuous Deformation Analysis[M]. Translated by Pei
Juemin. Beijing: Tsinghua University Press,1997.
2. Shi Gen-hua, Discontinuous deformation analysis, a new numerical model for the statics and
dynamics of block systems, PhD thesis, university of california, berkeley (1988).
3. Sheng Zhenzhong, Ni zhibin, Zhao jian. Stability analysis of rock mass for underground hydraulic
powerhouse by dda. Chinese Journal of Rock Mechanics and Engineering, 2003, 22(Supper1):
2299–2303.
4. Sun Dongya, Peng Yijiang, Wang Xingzhen. Application of dda methodin stability analysis oftopple
rock slope. Chinese Journal of RockMechanics and Engineering, 2002, 21(1): 39–42.
5. Dong Zhi-hong, WUAi-qing, Ding Xiu-li. Rockbolts simulation bynumerical manifold method
andits preliminary application. Chinese Journal of Rock Mechanics and Engineering, 2005, 24(20):
3754–3759.
6. Wu Aiqing, Ren Fang, Dong Xuecheng. A study on the numerical model of DDA and its preliminary
application to rock engineering[J]. Chinese Journal of Rock Mechanics and Engineering, 1997,
16(5): 411–417.
143
Stability Analysis of Expansive Soil Slope Using DDA
LIN SHAOZHONG∗ AND QIU KUANHONG

DDA Center, Yangtze River Scientific Research Institute, Wuhan 430010, China
1. Introduction
Expansive soil is a special type of soil; it swells and softens when wet, but shrinks and cracks
when dry. Thus, fissures often occur in the shallow layer of expansive soil slopes during the
process of weathering, wetting and drying. The existence of fissures can disrupt the unity of
soil and reduce its strength. On the other hand, it also provides a channel for rainwater fil-
tration and evaporation, and as a result, climate changes further affect the nature of interior
soil. Rainfall infiltration reduces the shear strength of soil in the shallow layer, and due to
moisture absorption, the expansion deformation, which is restrained differently from differ-
ent directions, will produce shear stress that may lead to shallow landslide along the slope.
According to cases of expansive soil slope failures, landslide could happen even in where the
expansive soil slope is gentle.
Currently, the stability analysis of expansive soil slopes primarily adopts the Limit Equi-
librium Method (LEM) and the Finite Element Method (FEM). LEM can not simulate the
expansive force and the failure process of slopes while FEM can simulate the expansive
force but not suitable for analyzing discontinuous deformation and failure process. DDA,1
which has been widely used in geotechnical engineering, can analyze discontinuous deforma-
tion, failure process and stability, but rarely used in expansive soil slope analysis. Although
there has only been a few application research,2 the calculation model was too simple as it
only simulated macro fissures and the unsaturated soil suction without the consideration of
expansion effect.
Based on the characteristics of shallow landslide of expansive soil slopes and the Mohr-
Coulomb criterion, a DDA calculation model was established to analyze the stability of
expansive soil slopes with the consideration of both expansion and strength reduction due to
the moisture absorption.
2. Computation Model
2.1. Block division
To analyze the slope stability by DDA, it is necessary to divide blocks according to joint dis-
tributions of the slope. Fissures in expansive soil include original stretching and secondary
weathering fissures. The number of original stretching fissures is small. They are discretely
distributed in the slope and generally do not cut each other. Therefore, they do not affect
the stability of the slope significantly. The secondary weathering fissures, which are caused
by climate effects, normally occur in the shallow layer where the thickness is less than 3 m.
These fissures are densely distributed where only the distribution of fissures on the surface
can be collected while the distribution of interior fissures is unknown. As a result, it is dif-
ficult to complete the statistics and establish a geologic model for secondary fissures at the
scene. In this research, three groups of potential shear failure planes were set based on the
∗ Corresponding author. E-mail: linsz@mail.crsri.cn

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0052 145
characteristics of shallow landslide of expansive soil slopes and the Mohr-Coulomb criterion
(The known original fissures can be added into the model).
The direction of potential shear failure planes of one group is parallel to the slope sur-
face. The direction of maximum principal stress in shallow soil is approximately parallel to
the slope surface. According to the Mohr-Coulomb criterion, the angles between the slope
surface and the potential shear failure planes of another two groups are:
θ = ±(π/4 − ϕ/2) (1)
ϕ is the internal friction angle of soil.
2.2. Relationships between material parameters of expansive soil and

water content
During the process of wetting, shear strength (including cohesion c and internal friction angle
ϕ) will decrease, and deformation modulus E, Poisson ratio μ and expansion coefficient α
will change as well. As water content w is becoming higher, E will become smaller. The
relationships between the physical and mechanical parameters of expansive soil and w are
determined according to the experiment. Referring to relevant researches, it is assumed that
c, ϕ, E, μ and α change linearly with w in the research.
2.3. Stress-strain relationship of expansive soil

The expansion strain is treated as initial strain. It is assumed that material parameters are
constant in each time step calculation, and the stress-strain relationship in incremental form
for plane stress condition is:
⎧ ⎫ ⎡ ⎤ ⎛⎧ ⎫ ⎧ ⎫⎞
1μ 0
⎨ σx ⎬ E ⎢μ 1 0 ⎥ ⎝⎨ x ⎬ ⎨
ε αw⎬
σy = ⎣ ⎦ εy − αw ⎠ (2)
⎩ ⎭ 1 − μ2 1−μ ⎩ ⎭ ⎩ ⎭
τxy 0 0 γxy 0
2
For plane strain condition, E,μ,α should be transformed accordingly.
3. Numerical Example
This example simulated the failure process of an experimental slope which is located in the
middle route of a south-to-north water diversion project in China. The slope is 9.01 m high
and mainly formed by marlstone with weak expansion. When cumulative time of artificial
rainfall was about six hours, widespread landslide occurred as shown in Figure 1.
The water content of natural soil is 9%, and the water content of saturated soil is 20%.
The loading process of moisture is shown in Figure 2. The first 0.5 s is the calculating time
for the gravity load. It is assumed that the moisture of the soil within 2m below the surface
is the same; the moisture below 3 m of the surface is unchanged; and the moisture between
2 m and 3 m under the surface changes linearly.
It is assumed that the weathered depth is 3 m. According to the soil test, c = 84.9 kPa,
ϕ = 45◦ in the unweathered soil; c = 48.7 kPa, ϕ = 27.2◦ in natural state and c=13.7kPa,
ϕ = 22.2◦ in saturated state of the weathered soil. The density of natural soil is 2300 kg/m3 . α
varies with overburden pressure P: α = 0.147 when P = 0 kPa, α = 0.050 when P = 15 kPa
and α = 0.032 when P = 25 kPa. The overburden pressure of the slope soil is determined
approximately according to its depth and unit weight. Due to lack of test data, it is assumed
146
Slope before slide
1;1
,5
Slope after slide
Sliding surface
Figure 1. Landslide shape in field.
20
Water content (%)
16
12
8
0 5 10 15 20 25
Time (s)
Figure 2. Loading process of water content.
that E, μ and α do not change with water content, E and μ are seen as constant: E = 23 MPa,
μ = 0.33.
Block division is shown in Figure 3. Time step for DDA computation is 0.005 s. Landslide
happens when the water content of soil increases to a certain level. The calculated failure
shape (Figure 4) is similar to the failure shape in the testing site (Figure 1).
Figure 3. Block system.
147
Figure 4. Landslide shape by DDA calculation.
1.2
0
1 Point A
10 12 14 16 18 20
Horizontal displacement (m)
Point B Vertical displacement (m)

0.8 -0.2
0.6
-0.4
0.4
Point A
0.2 -0.6 Point B
0
10 12 14 16 18 20 -0.8
Water content (%) Water content (%)
(a) Horizontal displacement (b) Vertical displacement
Figure 5. Displacement curves at measured points.
In order to analyze the failure process of the expansive soil slope, some measured points
are chosen as shown in Figure 3. The measured points move with the increase of the water
content as shown in Figure 5. When the water content of the surface soil is less than 16%,
the displacements of measured points are small. However, when the water content reaches
16%, the displacements speed up and the landslide starts. Landslide depth is less than 3 m.
4. Analysis of Influencial Factors of Slope Stability

It primarily analyzes the effects from slope ratio, strength reduction and expansion on the
stability of expansive soil slopes.
4.1. Influence of inclination

It is important to choose an appropriate slope ratio as steep slope may lead to landslide while
gentle slope requires large scale excavation.
This research compared the stability of three expansive soil slopes with the same height of
10m but different slope ratios: 1:1.5, 1:2.0 and 1:2.5. The material properties are the same
148
1.2 0.2
Slope ratio= 1:1.5

1.0
Slope ratio= 1:2.0 0.0
Vertical displacement (m)

Slope ratio= 1:2.5 10 12 14 16 18 20
0.8
-0.2
0.6
-0.4 Slope ratio= 1:1.5

0.4
Slope ratio= 1:2.0
0.2 -0.6 Slope ratio= 1:2.5
0.0
10 12 14 16 18 20 -0.8
Wate r content (%) Wate r content (%)
Figure 6. Displacement curves of slopes with different slope ratios.
(a) Slope ratio=2.0 (b) Slope ratio =2.5
Figure 7. Displacement vectors of slopes with different slope ratios at water content of 20%.
as in Chapter 3. As seen in Figure 6, the inflection point appears earlier on the displacement
curves and the displacements of measured points are larger if the slope is steeper. This means
that the steeper the slope is, the more unstable it will be. The slope with slope ratio 1:1.5
fails when the water content reaches 16%.
As seen in Figure 7, the slopes with ratio of 1:2.0 and 1:2.5 approximate their limit equi-
librium state when the surface soil reaches the saturated state. This implies that landslide
can also happen on a gentler slopes and further inclination reduction might not make any
obvious contribution to the stability of expansive soil slopes. Therefore, it is important to
ensure stability and avoid over-excavation at the same time.
4.2. Influence of strength reduction

Expansive soil in unsaturated state possesses higher strength, however, it will reduce signifi-
cantly in saturated state. In order to analyze the effect of strength reduction to the stability,
an expansive soil slope with the height of 10 m and the slope ratio of 1:2.0 was researched.
The shear strength parameters c and ϕ of saturated soil in the weathered layer are reduced
to 1/F of those of natural soil. Without considering the expansion effect, other calculation
parameters are the same as in Chapter 3.
As shown in Figure 8, if the reduction coefficient F is 2.8, landslide starts when the water
content reaches 19.5%. However, landslide does not occur when F is 2.6. It means shallow
landslide would likely happen if F is between 2.6 and 2.8 without considering expansion
effect.
149
0.0
1.6 10 12 14 16 18 20

F=2.6 -0.2
1.2
F=2.8
0.8 -0.4
F=2.6
F=2.8
0.4 -0.6
0.0
10 12 14 16 18 20
-0.8
Water conte nt (%)

Water content (%)
Figure 8. Displacement curves of slopes with different strength reduction degrees.
4.3. Influence of expansion

Swelling is an important characteristic of expansive soil. Soil swells when wet. Swelling
changes its stress state and may lead to shear failure. Expansion also depends on mineral
component of soil. Using an expansive soil slope with the height of 10 m and the slope ratio
of 1:2.0 as research object, the expansion coefficient α in Chapter 3 is multiplied by K. The
shear strength parameters c and ϕ of the weathered soil keep the values of natural state dur-
ing wetting (Namely the strength reduction is ignored). Other parameters are the same as in
Chapter 3.
As shown in Figure 9, higher expansion results in earlier inflection point on the curve and
larger displacement. It means that the slope will easily be damaged in high expansive soils.
Although strength reduction during wetting is ignored, local shearing failure still happens
under the action of expansion as shown in Figure 10. Combining the results with Section 4.2,
it is concluded that swelling is the primary factor for the failure of expansive soil slopes.
0.10
0.06
K=1.0
K=1.0
0.08
K=2.0
K=2.0
0.04
0.06
0.04
0.02
0.02
0.00 0.00
10 12 14 16 18 20 10 12 14 16 18 20
Water content (%) Water conte nt (%)
(a) Horizontal displacement at point B (b) Vertical displacement at point A
Figure 9. Displacement curves of slopes with different expansion coefficients.
150
(a) K=1.0 (b) K=2.0
Figure 10. Displacement vectors of slopes with different expansion coefficients at water content
of 20%.
5. Conclusions
This research adopted DDA to analyze the stability of expansive soil slopes under the effects
of both expansion and strength reduction due to moisture absorption, and established calcu-
lation model for DDA. The failure process of an expansive soil slope in an artificial rainfall
test was simulated by DDA. Several influence factors of slope stability were analyzed. The
results are as follows:
(1) The calculation result of DDA is close to the failure feature from artificial field rain-
fall test. This means that it is feasible to analyze deformation, stability and failure process
through the use of DDA and the established calculation model for expansive soil slopes is
suitable.
(2) Under the effect of swelling, landslide can also happen in gentle expansive soil slope.
Thus, attempting to ensure the stability by reducing inclination may not be the best solution.
(3) Swelling is the primary factor that causes the failure of expansive soil slope, and the
strength reduction as a result of moisture absorption can be seen as a stimulus. Therefore,
taking measures, such as waterproofing; modifying expansive soil; or covering with non-
expansive soil can help to avoid shallow failure of expansive soil slopes.
References
1. Shi G.H. and R.E. Goodman. Two dimensional discontinuous deformation analysis. International
Jouurnal for numerical and analytical methods in geomechanics. Vol. 9: 541–556, 1985.
2. An Yanyong. Study of discontinuous deformation analysis to the slope stability analysis of the
expansive soil. Master Thesis of Guangxi University. 27 May 2006.
3. Qiu Kuanhong, Lin Shaozhong, Huang Bin. Failure Simulation of Expansive Soil Slope based on
DDA. J. Yangtze River Scientific Research Institute (to be published).
151
DDA Simulations for Huge Landslides in Aratozawa Area, Miyagi,
Japan Caused by Iwate-Miyagi Nairiku Earthquake
K. IRIE1,∗ , T. KOYAMA1 , E. HAMASAKI2 , S. NISHIYAMA1 , K. SHIMAOKA1 AND Y. OHNISHI3

1 Department of Urban and Environmental Engineering, Kyoto University
2 Advantechnology, Inc., Sendai, Japan
3 Excutive, Vice President, Kyoto University
1. Introduction
In the mountainous area of Japan, landslides due to earthquakes are one of the major haz-
ards which cause serious damages not only to human lives but also to the various important
structures and infrastructures such as roads and/or railway. To investigate the mechanical
behavior as well as its mechanisms for landslides caused by earthquakes, numerical simula-
tions, especially discontinuum based approaches such as discontinuous deformation analysis
(DDA)1 and/or distinct element method (DEM), which can simulate large displacement of
rock/soil masses, will be useful. The finite element method (FEM) has been commonly used
to investigate the earthquake response of the ground. However large displacement can not be
treated by FEM properly. On the other hand, a few researchers applied DDA to simulate large
landslides caused by earthquakes so far because there are still some difficulties to determine
the stiffness of contact springs and to give the seismic boundary conditions.2 In this study,
one of the largest landslides occurred in Aratozawa area, Miyagi, Japan, on June 14, 2008,
which was caused by the Iwate-Miyagi Nairiku Earthquake3 (the damage cost was about
38.5 billion yen) was investigated. The 2D DDA model for the landslide was created based
on the geological survey and selected one of the cross section was selected. The mechanical
parameters were determined by laboratory mechanical tests using soil/rock samples. For the
seismic boundary conditions, the observed acceleration for the earthquake was converted to
the displacement and given to the bottom basement. The failure process of this landslide was
simulated by DDA and its mechanism was investigated. The simulation results by DDA were
compared with the one obtained from geological survey and the applicability of DDA to the
landslide simulation with large scale was also discussed.
2. Basic Concept for DDA

In the DDA, the fractured rock masses are treated as an assemblage of many independent
blocks separated by discontinuities and mechanical behavior of each block are represented by
six deformation parameters in the 2-dimensional problems. Six parameters are displacements
of a rigid body at the center of gravity of blocks, angle of rotation around the gravity center
of blocks and normal/shear strain of the blocks.
The DDA is formulated by the kinematic equations based on Hamilton’s principle. The
equation of motion can be expressed as
Mü + Cu̇ + Ku = F (1)
where, M; mass matrix, C; viscosity matrix, K; stiffness matrix, F; external force vector, u;
displacements, u̇; velocity, and ü; acceleration of blocks at the gravity center.
∗ Corresponding author. E-mail: irie@geotech.kuciv.kyoto-u.ac.jp

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0057 153
Equation (1) is discretized in time using Newmark’s β method and solved the following
three equations including the block contact in each time step.
K̃ · u = F̃ (2)
with
2 2η
K̃ = M+ M + Ke + Kf (3)
t 2 t
2
F̃ = M · u̇ + (F − f ) (4)
t
where, t; time increment, u; incremental displacement, Ke ; elastic matrix for linear term,
Kf ; displacement constraint and contact matrix, f ; initial stress vector, and F; body force
and point road vector. In addition, the DDA applies the penalty method to contacts and
introduces the contact force by setting contact springs. In this study, seismic vibration (in both
vertical and horizontal directions) was given by inputting the time history of the displacement
(which was calculated by integrating the observed accelerations)to displacement constraint
point.
3. Landslide in Aratozawa Area

The studied landslide area was located in Aratozawa area, Miyagi Prefecture, Japan. On the
14th of Jun, 2008, Miyagi-Iwate Nairiku Earthquake was occurred and caused this landslide.
The size of this huge landslide was 1.3km in length, 900 m in width and 150m (maximum)
in depth and the total amount of the collapsed rock/soil masses was about 70 million m3
(Fig. 1).3
Geological survey was carried out along several survey line and geological cross sections
were obtained. In this study, one of the cross sections called the D-survey line (see Fig. 2) was
selected to create the 2-D DDA model. Because the amount (volume) of collapsed rock/soil
Figure 1. The landslide occurred in the Aratozawa Area.
154
Figure 2. D-survey line.
Figure 3. Geological models (a) before and (b) after the earthquake.
masses did not change much before and after the earthquake. The geological cross sections
and their geological map along the D-survey line before and after the earthquake is shown
in Fig. 3. According to the geological survey, geological map in this area consists of the
following five different layers: welded tuff (purple), pumice tuff (yellow), sandstone and/or
siltstone (light blue), tuff (green), and old caving zone (orange) respectively (see Fig. 3).
The angle of sliding plane is low (0 ∼ 2◦ ). This is one of the geological features in this
area.
155
4. Numerical Modeling with DDA

4.1. DDA model for the Aratozawa Landslide
The 2-D numerical model with DDA was created based on the geological map and fracture
mapping results. Considering the geological maps before and after the earthquake and frac-
ture directions, the upper stream region was divided using relatively large blocks. On the
other hand, the since lower stream region and old caving zone were highly fractured area
and moved fluidly and spread widely after the earthquake was divided using small blocks.
Finally, the collapsed rock/soil masses were divided into 177 blocks (Fig. 4).
4.2. Parameters for simulations and the seismic boundary conditions

The parameters for the simulations are summarized in Table 1. Each parameter was deter-
mined empirically from previous research works and literature.4 One of the most important
parameters in DDA is the stiffness of contact springs. In this study, the stiffness of 720,000
Figure 4. Block model on this site for DDA.
Table 1. Parameters for the DDA simulations.

Item Value
Unit Weight (kN/m3 ) 19.0

Welded Tuff Young’s Modules (MPa) 1,000
Poisson’s Ratio 0.35
Pumice Tuff Young’s Modules (MPa) 80
Sandstone and/or Siltstone Young’s Modules (MPa) 700
Tuff Young’s Modules (MPa) 2,000
Old Caving Zone Young’s Modules (MPa) 80
Frictional Angle (degree) 10
Joint Cohesion(kPa) 0
Tensile Strength (Mpa) 0
156
(kN/m) was given.5 The internal friction angle for discontinuities (with static condition) rep-
resenting the shearing resistance was measured (φ = 10◦ ). According to the geological sur-
vey, groundwater level was relatively high (there is a dam close to this area) and groundwater
plays important role for the landslide. However, in this study, the effect of groundwater was
not considered directly (consider only seismic forces).
As for the seismic boundary conditions, the observed acceleration data obtained from
stations was converted to the displacement (see Fig. 5) and given to the bottom basement in
the DDA model as a compulsory displacement. Other parameters for DDA are summarized
in Table 2.
Figure 5. Seismic boundary conditions converting acceleration data to displacement history (a) hori-
zontal direction, (b) vertical direction.
Table 2. Parameters for the DDA simulations.

Item Value
Time interval (sec) 0.0005

Maximum permissible displacement ratio 0.001
Penalty coefficient(Kn) (kN/m) 720,000
Penalty coefficient(Ks) (kN/m) 720,000
Velocity/Energy Ratio 1
157
5. DDA Simulation Results

As mentioned before, one of the features of this landslide was the angle of sliding plane was
extremely small (0 ∼ 2◦ ). To investigate the mechanism of landslide with very small sliding
angle, the parametric study in terms of internal friction angle of discontinuities was carried
out. One of the possible scenarios will be the internal friction angle which represents the
resistance for shearing becomes smaller and finally close to zero during the earthquake due
to the cyclic loading and/or the groundwater.
5.1. Simulation results only considering seismic loading

There are still difficulties to consider the effect of the pore water pressure directly in DDA
(combining with flow simulations). Hence, the effect of groundwater was considered as the
decrease of the internal friction angle for discontinuities (sliding plane). When the pore water
pressure head of 51m was applied to the sliding plane, the internal friction angle will decrease
up to 5◦ . The simulation result with the internal friction angle of 5◦ is shown in Fig. 6.
Figure 6. The result analyzed without compulsion sliding force.
From this figure, the calculated sliding distance (in horizontal direction) after the earth-
quake was about 100m and much smaller than the observed sliding distance at the center of
the collapsed rock masses (300m) (see Fig. 3b). This result indicates that the internal friction
angle in dynamic condition was smaller than 5◦ , and consistent with the fact that the angle
of slinging plane was 0 ∼ 2◦ .
5.2. Simulation results with additional sliding force

In the previous section, the simulated sliding distance was smaller than the observed one
(especially, the movement of two ridges marked in Fig. 7). Hence, in this section, addi-
tional sliding force was considered and applied to the two ridges (additional sliding force
of 197,000 kN/m and 141,000kN/m were applied to the ridges A and B, respectively). The
additional sliding force of 338,000kN/m will be necessary to reproduce the landslide (ridge
movement of 300m). The simulation result is shown in Fig. 8. The movement upward of
A B
Figure 7. Two ridges which are added the compulsion sliding force.
158
Figure 8. The result analyzed with compulsion sliding force.
highly fractured region (downstream) and the toppling failure (upstream) can be reproduced
by using DDA.
The amount of additional sliding force was determined by trial and error to reproduce the
sliding distance of 300 m. Assuming the total length of sliding plane is 800m, the additional
hydraulic pressure (head) can be calculated by 338,000 [kN/m] ÷ 800 [m] ÷ 10[kN/m3 ] =
42m. Hence, to reproduce the large displacement of 300m, the decrease of internal friction
angle of 5◦ (the internal friction angle of 10◦ was decreased by the effect of pressure head of
51m) wan not sufficient and more pressure head of 42m was required.
In this case, the internal friction angle was significantly decreased up to less that 1◦ , which
agrees with the fact that the angle of sliding plane is 0 ∼ 2◦ and the internal friction angel
was close to zero during sliding. The DDA simulations can evaluate the mechanism of land
slide qualitatively.
6. Conclusions
In this study, the mechanism and processes of the landslide in the Aratozawa area was investi-
gated using the observation and measuring results such as geological feature (maps), seismic
wave and physical properties value of the rock masses. The 2-D DDA model was created
based on the geological maps before and after the earthquake. The sensitivity analysis in
terms of the internal friction angle of sliding plane was carried out to investigate the failure
mechanism and processes quantitatively. To consider the effect of groundwater, the additional
sliding force was also considered. The findings obtained from this study can be summarized
as follows.
• The simulation results clearly showed that the large displacement of rock/soil masses
was caused not only seismic loading but also other factors such as groundwater.
• By considering the additional sliding force caused by the high groundwater level,
the DDA simulation can reproduce the landslide with large movement of the ridges
(about 300m).
• The DDA simulations can reproduce the toppling failure in the upstream region and
fluidly movement in the highly fractured area in the downstream region, which was
observed at the Aratozawa landslide area.
• This result indicates that the internal friction angle in dynamic condition was smaller
than 5◦ , and consistent with the fact that the angle of slinging plane was 0 ∼ 2◦ .
From the simulation results, the fracture geometry, the stiffness of contact springs and
mechanical properties for fractures play important roles for the failure processes of rock/soil
masses. Further study will be necessary to consider the effect of groundwater. Since this
landslide occurred close to the dam site, the effect of the groundwater may not be neglected.
159
Acknowledgements
The authors would like to thank to Dr. Takeshi Sasaki, Suncoh Consultants Co., Ltd. and Dr.
Shigeru Miki, Kiso-Ziban Consultants Co., Ltd. for their valuable comments and suggestions.
References
1. Shi, G.H. and Goodman, R.E., “Discontinuous Deformation Analysis”, Proceedings of the 25th
U.S. Symposium on Rock Mechanics, 1984, pp. 269–277.
2. Jian-Hong Wu, Jeen-Shang Lin and Chao-Shi Chen, “Dynamic discrete analysis of an earthquake-
induced large-scale landslide”, International Journal of Rock Mechanics and Mining Sciences Vol-
ume 46, Issue 2, 2009, pp. 397–407.
3. The farm promotion section of Miyagi Prefecture, “Iwate-Miyagi Nairiku Earthquake, the infor-
mation of the damage in Aratozawa Area, 2008” Web site: http://www.pref.miyagi.jp/nosonshin/
kouikisuirityousei/pdf/20080614,aratosawadamu.pdf
4. Akao, S., Ohnishi, Y., Nishiyama, S. and Nishimura, T., “Comprehending DDA for a block behav-
ior under dynamic condition”, Proceedings of The 8th International Conference on Analysis of
Discontinuous Deformation, 2007, pp. 135–140.
5. Shimaoka, K., Koyama, T., Nishiyama, S. and Ohnishi, Y., “Earthquake response analysis of
rock slopes by Discontinuous Deformation Analysis (DDA)”, Proceedings of International Mini-
Symposium for Numerical Analyses, 2008, pp. 31–40.
160
Modelling Crack Propagation with Nodal-Based Discontinuous
Deformation Analysis
H.R. BAO AND Z.Y. ZHAO∗

School of Civil and Environmental Engineering, Nanyang Technological University, Singapore 639798, Singa-
pore
1. Introduction
The discontinuous deformation analysis (DDA)1 is a discontinuum-based method. It chooses
the displacements and strains of blocks as variables and solves the equilibrium equations in
the same way as the finite element method (FEM) does. Since it is also an implicit method
as FEM, one attractive advantage of the DDA is that an existing FEM code can be readily
transformed into a DDA code while retaining all the advantageous features of the FEM.
The DDA has emerged as a more attractive model than the continuum-based methods for
geomechanical problems, due to its intrinsic feature of block discontinuity at the contact
boundaries.
The DDA employs the complete first order polynomial as the displacement function for
a two-dimensional block, which restricts the block to constant stresses and limits the defor-
mation abilities of the block. If a more complicated stress field and more deformable block
boundary are desired, enhancement to the original DDA method is necessary. Three kinds of
enhancement have been developed by previous researchers. The first one incorporates higher
order displacement functions or two-dimensional Fourier series.2, 3 The second enhancement
is done by introducing artificial joints into the real block.4, 5 The last but most promising
enhancement is to couple the finite element mesh into a block.6, 7 In the writer’s opinion, the
coupled DDA/FEM perhaps is the most promising enhancement because it largely improved
the deformation ability of a single block without inducing any unnecessary contact. How-
ever, previous work on coupling the finite element mesh into the DDA cannot consider the
fragmentation of a block or crack initiation and propagation inside a block. The nodal-based
DDA provided in this paper is based on the valuable work of previous researchers with an
enhanced ability of treating with crack initiation and propagation.
2. Theory of the Nodal-Based DDA

2.1. Basic concepts
In the nodal-based DDA (NDDA), the triangular element is the basic analysis object and the
nodal displacements become the unknowns of simultaneous equation. A group of triangular
elements build up a block. The grid lines can be referred as virtual joints, which will fracture
when certain failure criterion is triggered. The topology of a nodal-based DDA model is
illustrated in Fig. 1.
In the original DDA method, basic unknowns are six displacements of a block, {u0 , v0 , r0 ,
εx , εy , γxy }, which are independent of the block shape. It is very rough to use six variables to
describe the deformation of a big block under complex loading condition. In the nodal-based
DDA, the basic analysis object is triangular element and nodal displacements are the basic

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0073 161
block i block j
virtual joint
real joint
element
Figure 1. Illustration of a nodal-based DDA model.
unknowns. Hence, the degree of freedom of a block is now depending on the number of
nodes it has. The more nodes a block has, the better deformation ability it will gain.
For a triangular element, three nodes provide six unknown displacements, {ui , vi , uj , vj , um ,
vm }T . In a special case where the block is triangular and include only one triangular element,
the six unknowns of NDDA is equivalent to the unknowns of original DDA. The advantage
of using {ui , vi , uj , vj , um , vm }T as element unknowns makes it possible to unify continuous
and discontinuous region in the analysis.
2.2. Displacement functions

The displacement of any point (x, y) inside the element can be obtained by the following
displacement function:
⎧ ⎫
⎪
⎪ ui ⎪
⎪
⎪ vi ⎪
⎪ ⎪
⎪⎪ ⎪
⎨ ⎪ ⎬
u Ni 0 Nj 0 Nm 0 uj
= (1)
v 0 Ni 0 Nj 0 Nm ⎪ ⎪ vj ⎪
⎪
⎪
⎪um ⎪⎪
⎪
⎪
⎪
⎩ ⎪ ⎭
vm
where
ai + bi x + ci y aj + bj x + cj y am + bm x + cm y
Ni = ; Nj = ; Nm =
2 2 2
in which
ai = xj ym − xm yj ; bi = yj − ym ; ci = xm − xj
with the other coefficients obtained by a cyclic permutation of subscripts in the order i, j, m,
and where is the area of ijm.
2.3. Simultaneous equations

Individual triangular elements are connected by nodes to form a block, and blocks are con-
nected by joints and contact springs to build a system. Assuming there are n nodes in the
162
system, the global equilibrium equations will have the following form:
KD = F (2)
where K is the global stiffness matrix, a 2n × 2n matrix. D is the unknown vector and F is
the equivalent force vector. The global equilibrium equation can be written in a submatrix
form as follows:
⎡ ⎤⎧ ⎫ ⎧ ⎫
k11 k12 k13 · · · k1n ⎪ ⎪d1 ⎪⎪ ⎪
⎪ f1 ⎪⎪
⎢k21 k22 k23 · · · k2n ⎥ ⎪⎪ ⎪
⎪ ⎪
⎪ ⎪
⎪
⎢ ⎥⎪⎨ 2⎪
d ⎬ ⎪⎨f 2 ⎪⎬
⎢k31 k32 k33 · · · k3n ⎥ d3 f
⎢ ⎥ = 3 (3)
⎢ .. .. .. . . .. ⎥ ⎪ ⎪ .. ⎪
⎪ ⎪
⎪ .. ⎪
⎪
⎣ . . . . . ⎪ ⎦ ⎪ ⎪
.⎪ ⎪ ⎪ .⎪⎪
⎪
⎩ ⎪ ⎭ ⎪⎩ ⎪ ⎭
kn1 kn2 kn3 · · · knn dn fn
in which, each element kij in the coefficient matrix is a 2×2 submatrix. di is a 2×1 submatrix
and denotes the displacements unknowns {ui , vi } of node i. fi is a 2×1 submatrix and denotes
the equivalent nodal forces {fix , fiy } applied on node i.
2.4. Fracture criterion

In this paper, a fracture mechanism is introduced to make it possible for the fracture initiation
and propagation in a block along the virtual joint. The Mohr-Coulomb criterion is employed
as the failure criterion.
According to the Mohr-Coulomb law, the shear strength on a grid line is
τ = c − σn tan φ (4)
where c is the cohesion and φ is the angle of internal friction. It is noted that the normal
stress σn acting on an inclined plane is defined here to be negative in tension. The stresses on
the grid line are the average value of the two elements sharing the grid line. If σn > σt , tensile
failure will happen; if τ > c − σn tan φ, shear failure will happen.
2.5. Mesh update

A crack is introduced where the normal stress or shear stress reaches the ultimate strength. In
this case, the topology of the system needs to be updated so that this crack can be considered
in the next time step. In a continuum media, cracks are not independent of each other. Once a
crack happen somewhere, it will cause the stress redistribute in the area around it and release
some energy. And finally affect the behaviour of the crack propagation in the nearby field.
The numerical model in the DDA is a multiple crack model with many cracks appearing
in a time step. Traditional crack inserting procedure of DDA just simply separates the joints
among blocks according to the Mohr-Coulomb criterion without taking any consideration
of the fracture sequence among them. When the time interval of a step is small enough and
the parameters is appropriate, the original DDA can provide a proper result.
In the nodal-based DDA, a fracture sequence is considered by a special crack inserting
procedure inside each time step. The procedure includes four steps:
Step 1. Compute the weighted-average normal stress and shear stress on the grid lines among
all elements.
Step 2. Look for the grid line which will crack first according to their failure time and mark
this grid line as a crack, then insert new nodes if need.
Step 3. Update the mesh and all related information of the nodes and elements.
163
Step 4. Compute the updated system again and go back to step 1, unless the last time step
has been reached.
During the Step 2, the most important task is to check the failure time sequence, which
is based on the failure time of each mesh grid. The failure time of each grid line needs to
consider two cases: tensile failure time and shear failure time. The smaller one of them is the
failure time of that grid line.
3. Applications
The above algorithm is applied into a nodal-based DDA program called NDDA. Two numer-
ical examples are introduced here to show the enhanced ability of the nodal-based DDA.
3.1. Example 1
This example is designed to validate the ability of the nodal-based DDA in the analysis of
P-wave propagation in an elastic rock bar with free ends. The elastic rock bar is 1 meter long
and 0.03 meter in height, as shown in Fig. 2. The material properties and analysis parameters
are shown in Table 1.
In this example, the P-wave pulse is generated by a pressure applied on the left boundary
of the bar. The P-wave pulse is shown in Fig. 3. The results obtained by the NDDA are shown
in Fig. 4. The first crack appeared at step 256 (time instant is 0.0002560s), and ran through
the whole section at step 261 (time instant is 0.0002562 s).
The horizontal particle velocity time histories at three different measure points: start point,
midpoint, end point (i.e. nodes 343, 679, 171) are presented in Fig. 5. The calculated P-wave
Figure 2. Configuration of the bar (1m × 0.03m).
Table 1. Analysis parameters.
Rock sample Unit mass (kg/m3 ) 2600

Young’s modulus (GPa) 50
Poisson ratio 0.25
Friction angle 30◦
Cohesion strength (MPa) 24
Tensile strength (MPa) 18
Joint/crack Friction angle 25◦
Control parameter Penalty stiffness (GN/m) 500
Time step size (s) 1 × 10−6
Max displacement ratio 0.1
SOR factor 1.0
Total analysis time (s) 0.002
164
7
2x10
Pressure(pa)
7
1x10
0
-5
0.0 4.0x10
Time(s)
Figure 3. Input P-wave pulse.
(a) step 200 (0.0002s)
(b) step 256 (0.000256s)
(c) step 261 (0.0002562s)
(d) step 1016 (0.001s)
Figure 4. Analysis results from NDDA.
5 5 Node 171
Node 343 Node 679 5
4 4
4
Velocity(m/s)
Velocity(m/s)
Velocity(m/s)
3 3
3
2 2 2
1 1 1
0 0 0
0.0000 0.0004 0.0008 0.0000 0.0004 0.0008 0.0000 0.0004 0.0008

Time(s) Time(s) Time(s)
(a) start point (b) midpoint (c) end point
Figure 5. Horizontal particle velocity of different measure points.
165
velocity propagating through the bar is 4386 m/s and the theoretical one calculated using
the elastic constants is 4385 m/s. The velocity obtained by the NDDA program for P-wave
propagation agrees well with the theoretical value.
3.2. Example 2
A numerical test on the Brazilian disc of rock materials was executed to validate the probabil-
ity of the NDDA on dealing with crack initiation and propagation. Assume the test material
is a continuous, isotropic and homogeneous elastic body. The diameter of the rock disc is
50 mm. The dimension for the rectangular loading plate is 50 × 10 mm. The thickness of disc
and rigid plate are 25 mm, namely the thickness-to-diameter (T/D) ratio is 0.5. The material
properties are shown in Table 2. The load strain rate is applied by the displacement of two
rigid plates with a speed of 0.2 m/s.
Table 2. Analysis parameters.
Rock sample Unit mass (kg/m3 ) 2600

Poisson ratio 0.25
Rigid plate Unit mass (kg/m3 ) 7800
Poisson ratio 0.25
Joint/crack Friction angle 20◦
Control parameter Penalty stiffness (GN/m) 4000
Time step size (s) 1 × 10−5
Max displacement ratio 0.01
SOR factor 1.0
Total analysis time (s) 0.003
The results from the NDDA are shown in Fig. 6. The first crack appeared at around
0.00214 s and propagated toward the contact point with rigid plate very quickly. The numer-
ical experiment results agree well with the laboratory observations.
4. Conclusions
With the addition of a fine element discretization in each block, the nodal-based DDA can
provide more realistic deformation ability in each block and consequently more precise stress
distribution filed for crack initiation in it. In the first example, it is found that the nodal-based
DDA is able to model the wave propagation accurately because it is a continuum-based
method when no crack occurs. In the second example, while cracks occur among elements,
it becomes a discontinuum-based method and the kinematics of blocks come into work. The
results agree well with the laboratory observation.
166
(a) first crack appear (b) cracks propagation (c) after failure
Figure 6. Results from NDDA.
References
1. Shi, G., Discontinuous deformation analysis — a new numerical model for the statics and dynamics
of block systems, in Civil Engineering. 1988, University of California: Berkeley.
2. Koo, C.Y., J.C. Chern, and S. Chen, Development of second order displacement function for DDA,
in Proceedings of the First International Conference on Analysis of Discontinuous Deformation,
J.C. Li, C.Y. Wang, and J. Sheng, Editors. 1995, National Central University: Chungli, Taiwan
ROC., pp. 91–108.
3. Hsiung, S.M., Discontinuous deformation analysis (DDA) with nth order polynomial displacement
functions, in Rock Mechanics in the National Interest, Proceedings of the 38th U.S. Rock Mechanics
Symposium, D. Elsworth, J.P. Tinucci, and K.A. Heasley, Editors. 2001, American Rock Mechanics
Association, Balkema: Rotterdam, Washington DC., pp. 1437–1444.
4. Ke, T.C., Simulated testing of two-dimensional heterogeneous and discontinuous rock masses using
discontinuous deformation analysis, in Civil Engineering. 1993, University of California: Berkeley.
5. Lin, C.T., Extensions to the discontinuous deformation analysis for jointed rock masses and other
blocky systems, in Civil Engineering. 1995, University of California: Berkeley.
6. Shyu, K., Nodal-based discontinuous deformation analysis, in Civil Engineering. 1993, University
of California Berkeley.
7. Chang, C.T., Nonlinear dynamic discontinuous deformation analysis with finite element meshed
block system. 1994, University of California, Berkeley: United States — California.
167
Discontinuous Deformation Analysis for Parallel Hole Cut Blasting
in Rock Mass
ZHIYE ZHAO1, ∗ , YUN ZHANG1 AND XUEYING WEI2

1 School of Civil and Environment Engineering, Nanyang Technological University, Singapore 639798,
Singapore
2 School of Civil Engineering, Chang An University, Xi’an 710061, China
1. Introduction
Rock blasting is a rock excavation technique most widely used in the mining and construction
industry due to its reliability, economy and safety. The explosive is loaded in boreholes and
blasted in a prearranged sequence to fracture, fragment and displace a well defined portion of
the rock from its natural position. The goal of blast design is to attain the expected technical
target (advance and good contour) at an economical cost. In a well designed blast, most of
the explosive energy is spent in breaking rock (to achieve high blasting efficiency and obtain
desired fragmentation level), but some is converted into vibrations, either ground motion
or air overpressure. In a badly designed blast, where poor breakage is obtained, or heavy
damage in the surround rock is caused; or where boreholes are over or under loaded, it can be
that much of the energy is converted into vibrations, since it is not expended in fragmenting
the rock as it should be. The cost saving, small vibration and little damage in the surrounding
rock may be achieved by optimising parameters of the blast design. On the other hand, such
experiments are very expensive and hard to catch the results. Thus the numerical methods
on simulating such problems become feasible and important.
The discontinuous deformation analysis (DDA) proposed by Shi1 is a discrete element
program to investigate the two-dimensional behaviour of the fractured rock mass, and has
been widely used to model the motions of blocky system in rock engineering recently. Due to
its inherent discontinuous mechanics formulation, the DDA has been widely used to model
both static and dynamic problems of rock mass containing multiple parallel or intersect-
ing fractures on stability analysis of rock slope and underground structures. For continuous
analyses where the rock mass are composed of one intact block without fractures, the DDA
can be used as an FEM program by gluing all the subblocks together with very strong joint
properties.2 For discontinuous analysis where the rock mass are composed of multiple blocks
separated by fractures, all the blocks can be assembled to interact with each other with the
real joint properties. The ability to solve both the continuous and the discontinuous prob-
lems makes the DDA a potential method to model the one-dimensional or two-dimensional
dynamic analysis of fractured rock mass.
2. Blast Design Models in Rock Mass

Drill and blast is one kind of methods to detach the rock in excavation. It was first applied in
1627 by the Tyrolean Kaspar Weindl in a silver mine in Banská Štiavnica (former Schemm-
nitz, Slovakia). Since it is suitable for hard rock (e.g. granite, gneiss, basalt, quartz) as well as
for soft rock (e.g. marl, loam, clay, chalk), drill and blast is applicable for rocks with varying
properties. Moreover, drill and blast is advantageous for: (a) relatively short tunnels, where

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0077 169
a tunnel boring machines (TBM) does not be suitable; (b) very hard rock; (c) non-circular
cross section.
Tunnel blasting is a much more complicated operation than bench blasting because the
only free surface that initial breakage can take place towards is the tunnel face.3 Blast design
has direct influence on the time consumption and construction cost of drill and blast tunnels.
The most important operation in the tunnel blasting procedure is to create an opening in the
face in order to develop another free surface in the rock. This is the function of the cut holes.
Cuts can be classified in two groups: parallel hole cuts and angle hole cuts. The parallel cut
consists of one or more larger diameter unloaded boreholes. All holes are drilled at a right
angle to the face and parallel to the tunnel direction. The breakage is against the opening or
void formed by these unloaded holes of diameter 76-150 mm. The parallel hole cut is most
used in operations with mechanized drilling. As this group tends to easier to drill and do not
require a change in the feed angle, it is widely used in practice and the second one has lost its
appeal due to the difficulty in drilling.
2.1. NTNU models

The NTNU blast design model4 developed by the Department of Civil and Transport Engi-
neering at NTNU is an empirical blast design model based on the parallel hole cut. The
tunnel face is usually divided into cut, stoping (easers), lifters (invert) and contour as shown
in Fig. 1.
The blasting starts against an opening that is established by drilling one or more empty
(large) holes. Three standard parallel hole cuts are shown in Fig. 2. The numbers indicates
millisecond detonators interval. The empty hole is drilled first to provide sufficient space for
expansion of the rock.
There are several parameters governing the drill pattern: (1) drill hole diameter; (2) drill
hole length; (3) rock mass blast ability; (4) tunnel cross-section; (5) look-out angle; and (6)
skill level of the tunnel crew. Start the drill pattern design by positioning the cut and the
contour holes first. Secondly, the row nearest the contour and the lifter holes should be
determined. The stoping holes are finally designed.
Figure 1. Different tunnel sections.6
170
Figure 2. Large hole cut for 45 mm drill holes.4
2.2. Swedish models

The tunnel face is divided into five separate sections as shown in Fig. 1. Similarly, the design
calculation includes the following parameters: (1) length of drillhole; (2) diameter of drill-
hole; (3) linear charge concentration; (4) maximum burden; (5) type of explosive; (6) rock
constant; (7) fixation factor.5
The four-section cut is shown in Fig. 3(a). The length of drilling hole depends on the
diameter of the empty hole as shown in Fig. 3(b). The distance between the empty hole
and the blastholes in the first quadrangle should not be more than 1.7 times the diameter
of the empty hole to obtain breakage and a satisfactory movement of the rock. Breakage
conditions differ very much depending upon the explosive type, structure of the rock and
distance between the charge hole and the empty hole.
The burden for the lifters and stopping holes is in principle calculated with the same for-
mula as for bench blasting. The bench height is just exchanged for the advance, and a higher
6
Drill hole length(m) at 95% advance
0
0.00 0.05 0.10 0.15 0.20
Diameter of the empty hole(m)
(a) (b)
Figure 3. (a) Four-section cut; (b) Drill hole length as a function of empty hole diameter for four-
section cut.6
171
fixation factor is used due to the gravitational effect and to a greater time interval between
the holes.6
The burden depends on the linear charge concentration, fixation factor, rock constant and
explosive type. A condition that must be fulfilled is B ≤ 0.6H where H is drillhole length. The
same fixation factor (f = 1.45) is used for lifters and stopping holes in section B (breakage
direction horizontally and upwards, Fig. 1). The fixation factor for stopping holes in Section
C (breakage direction downwards, Fig. 1) is reduced to f = 1.20.
The spacing value of the lifter holes are equal to burden value (S/B = 1) and for both
types of stopping holes the spacing is 1.25 times the burden values (S/B = 1.25). Like the cut
holes, the uncharged length of the lifter and stopping holes is 10 times the drillhole diameter.
The linear charge concentration in the column and the bottom charge (1.25B) may differ; the
column charge can be reduced to 70% (of the bottom charge) for the lifter holes and 50% for
the stopping holes. This is, however, not always common since it is time-consuming charging
work. Usually the same concentration is used both in the bottom and in the column.
3. Numerical Simulation Based on DDA

The DDA1 is a discrete element program to investigate the two-dimensional behaviour of the
fractured rock mass which has been widely used to model the motions of blocky system in
rock engineering recently. During the process of blasting, the rock mass will experience the
process from continuous to discontinuous state. A developed DDA program special for the
crack formation analysis is constructed. In every time step, the program will automatically
check all joint boundaries with the Mohr’s and cut off (tensile) criteria. With the gray back
colour specimen, all the joint boundary lines are drawn gray at first, if the strength boundaries
reach the criteria of failure, it means rock mass occurs failure in certain region, cracks will
initiate indicated by red lines in the next time step. The fractured block will thus detach with
the major part and move independently.
In this section, the DDA method is selected as the developed discontinuous method for
simulating the fracture generation of rock mass induced by the explosives. The objective
is to study whether the DDA method could be applied as an useful numerical method for
such practical problem. Considerations are mainly concentrated on the fracture generation
processes on different loading history.
3.1. DDA model description

A DDA model is constructed based on the charge design in the experiment as shown in
Fig. 4(a). 5516 blocks have been used and each charge hole is modeled by six loading point
around. The block configuration is generated by the input data from another software visu-
alFEA which makes the mesh work on the DDA more efficient and accurate. The outside
four boundaries are free and the rock mass could be moved outwardly free. Dynamic mode
is applied and no damping effect is considered. The explosive is simulated by the load history
curve of each loading point. The simplified curve used in this model is shown in Fig. 4(b).
The t in the figure is a unit which could be changed to any detail value for the consideration
of different blast duration.
For rock mass, laboratory tests were conducted on the Bukit Timah granite at the field site.
It was found that the granite at the site was of good quality. The average density of the rock
was 2650kg/m3 , Possion’s ratio was 0.16,7 Young’s modulus of intact granite was 73.9GPa,
uniaxial compressive strength was 186MPa, tensile strength was 16.1MPa.8 These data are
adopted in this study.
172
160
150
140
130
120
110
Pressure (MPa)
100
90
80
70
60
50
40
30
20
10
0
0 1 2 3 4 5 6 7 8 9 10 11
Time (t-ms)
(a) (b)
Figure 4. (a) Block configuration of the model by the DDA method; (b) Loading history of the explo-
sive in the DDA model.
3.2. Results discussions

3.2.1. Simultaneous blasting
After the numerical simulation, the next step is to conduct the crack configuration analysis.
In this section, the basic introduction on how to read and understand the simulation results
by the DDA method is given. Fig. 5(a) shows the cracks initiated around the charge holes
after explosion. The cracks are starting to generate and beginning to propagate in the radial
direction. During the radial cracks development, the cracks between the radial cracks could
meet each other and form a closed loop. The others are continuing to propagate outward.
Fig. 5(b) shows the formation of the detached body as highlight in yellow lines. More and
more cracks from the adjacent charge hole meet and form the closed district. When the
cracks are enough, the closed loop will form a separate body detached with the other part.
The cracks will also stop to propagate for the energy assumption during the form of this
detached body. Fig. 5(c) displays two cracks modes in detail: cracks connected together and
non-connected.
In this blast design, the control of the detached body is an important technique. The pur-
pose of the design is to produce the detached bodies sufficient with suitable size and less
impact on the surrounding rock mass. Therefore, many factors e.g. the charge magnitude,
coupled type, delay time into the blast design need to be considered.
3.2.2. Comparison of the final crack configuration of Cases 1, 2 and 3

The numerical simulation is conducted using the DDA method to study the effect of delay
time on the rock fragmentation.
In the Case 1, 12 charge holes are considered to blast at the same time. The t in Fig. 4(b)
is taken as 0.1 which means the rising time to the peak pressure 150 MPa is equal to 0.1ms.
The time interval of each time step is taken as 2.5 µs. The maximum displacement ratio in
the program is set as 0.001. This basic set is used in all the cases.
Same as the experiment designed, the charge holes will blast in sequence. The inside four
holes will initiate firstly, then after an interval, the outside four follow and finally the mid
173
(a) (b)
(c)
Figure 5. (a) Crack initiation; (b) Detached body of the rock mass; (c) Connection and non-connection
of the cracks.
four will start at the third stage. See the sequence in Fig. 6. The time interval here is 1ms for
Case 2 and 2 ms for Case 3, respectively. All the other sets are same as the Case 1.
The cracks surrounding the charge holes will start to occur soon after the initiation of the
explosives. The final crack generation will be stable after all the charge holes are blasted. The
process for Case 2 and Case 3 is similar only the start of the crack occurrence is different.
Here the results are put together as shown in Fig. 7. The yellow lines are sketched for the
detached body of rock mass. It could be clearly found that the Case 1 has the least amount of
detached body and Case 2 generates most. This means for this experiment case, the sequence
blast with time interval delay is better than the simultaneous explosion. For loading time
interval, the case of 1 ms delay will give the best blast effect.
4. Conclusions
Rock blasting is a rock excavation technique most widely used in the mining and construc-
tion industry due to its reliability, economy and safety. In this blast design, the control of the
detached body is an important technique. The purpose of the design is to produce enough
fragmentation with suitable size and less impact on the surrounding rock mass. The numer-
ical simulation could be carried out by the discontinuous method based on the concept of
failure of the rock mass strength. The DDA method considered several different influence
174
Figure 6. Blast sequence of the rock mass model.
Figure 7. Final Cracks configuration of Case 1, 2 and 3.
effects. The results show that the numerical method could be a good support for the future
blasting design for its efficiency, economy and feasibility.
References
1. Shi, G., Discontinuous deformation analysis — a new numerical model for the statics and dynamics
of block systems, in Civil Engineering. 1988. University of California: Berkeley.
2. Lin, C.T., Amadei, B., Joseph, J., Jerry, D. Extensions of discontinuous deformation analysis for
jointed rock masses, International Journal of Rock Mechanics and Mining Sciences & Geome-
chanics, 1996. 33(7), p. 671–694.
3. Zare, S., Bruland, A., Comparison of tunnel blast design models, tunneling and Underground
Space Technology, 2006. 21, p. 533–541.
4. NTNU, Project Report 2A-95 Tunnelling — Blast Design, NTNU, 1995. Department of Civil and
Transport Engineering, Trondheim.
175
5. Langefors, U., Kihlstrom, B., The Modern Technique of Rock Blasting, 1978. Third Ed. Almqvist
& Wiksell Forlag AB, Stockholm.
6. Persson, P. A., Holmberg, R., Lee, J., Rock Blasting and Explosives Engineering, 2001. Sixth
printing. CTC Press, USA.
7. Hao, H., Wu, C., Zhou, Y., Numerical analysis of blast-induced stress waves in a rock mass
with anisotropic continuum damage models. Part 1: equivalent material property approach. Rock
Mechanics and Rock Engineering, 2002. 35(2), p. 79–94.
8. Hao, H., Wu, Y.K., Ma, G.W., Zhou, Y.X., Characteristics of surface ground motions induced by
blasts in jointed rock mass. Soil Dynamics and Earthquake Engineering, 2001. 21(2), p. 85–98.
176
The Analysis of Structure Deformation Using DDA with Third
Order Displacement Function
T. HUANG∗ , G.X. ZHANG AND X.C. PENG

China Institute of Water Resources and Hydropower Research, Beijing, China 100038
1. Introduction
Since the concept of Discontinuous Deformation Analysis (DDA) was proposed by Shi1 in
late 1980’s, DDA has become a rapidly developing new numerical modeling technique, and
has been more and more widely applied to engineering problems, such as underground tun-
nels and caverns, analysis of slope stability, engineering blast etc.
In Current version of DDA program, the first order displacement functions were used
to approximate the block movement and deformation. Therefore, the stress and strain of a
block is constant, which degrades the calculating ability of DDA. To overcome the limitation,
traditional methods are adding the artificial joints into the blocks2 or using FEM mesh to
discrete the blocks.3 A new mesh-free displacement approximation mode for DDA is also
proposed,4 namely the MLS approximation, which never re-mesh blocks but uses mesh-free
interpolative nodes scattering into blocks or along the borders. The third order displacement
function is also implemented into the DDA code by some researchers.5–8 But there are also
two problems need to be solved for the DDA with third order displacement function. On
one hand, when it comes to nonlinear deformation, the straight edge block will change into
a curved block, followed by two questions: (1) Precision of curved edge simplex integration
problem; (2) contact detect and simulation of curved edge block. On the other hand, it is that
how to transfer to the next step of initial stress of each step.
This paper will presents analysis of derivation and solve two problems above mentioned.
2. The Third Order Displacement Functions for Block Element

The first order displacement function is used to approximate the displacement field of the
block. The first order Taylor series can be expressed as follows:
u = a1 + a3 x + a5 y
(1)
v = a2 + a4 x + a6 y
The six variables (u0 ,v0 ,r0 ,εx ,εy ,εxy ) were used to describe the movement and deformation
of individual block. Substituted the coefficients of displacement function (a1 ,a2 ,a3 ,a4 ,a5 ,a6 )
by six variables, formula (1) can be expressed in the following matrix form:

u
= [T]2×6 [D]6×1 (2)
v
Where matrix [T]2×6 is the transformation matrix, and [D]6×1 is the displacement matrix.
∗ Corresponding author. E-mail: huangt@iwhr.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0089 177
Y P(x, y)
X
Figure 1. Definition of DDA block.
Based on the simplex integration, DDA algorithms are simple, efficient yet accurate. The
integrations are simply represented by the coordinates of boundary vertices. In the case of
DDA with high order displacement functions, considering the deformation and contact of
blocks, one random shape block is formed by some small segments on the material boundary.
Thus, DDA program will obtain accurately simplex integration of curved blocks and also
deal with contact detection and contact simulation of curved blocks. Shown as Figure 1, the
third order displacement function of one block has the following form:
u = a1 + a3 x + a5 y + a7 x2 + a9 xy + a11 y2 + a13 x3 + a15 x2 y + a17 xy2 + a19 y3

v = a2 + a4 x + a6 y + a8 x2 + a10 xy + a12 y2 + a14 x3 + a16 x2 y + a18 xy2 + a20 y3
Rewrite above formula in matrix form, the displacement function can be expressed as:

u
= [T]2×20 [D]20×1 (3)
v
in which [T]2×20 may be expressed as:

1 0 x 0 y 0 x2 0 xy 0 y2 0 x3 0 x2 y 0 xy2 0 y3 0
[T]2×20 = (4)
0 1 0 x 0 y 0 x2 0 xy 0 y2 0 x3 0 x2 y 0 xy2 0 y3
the displacement variable matrix [D]T is represented:

[D]T = d1 d2 d3 · · · d20 1×20 (5)
3. The Equilibrium Equations and Sub-Matrices Base on the Third Order

Displacement Function
3.1. Coefficient matrix of simultaneous equations for block system
For a system with N blocks, the simultaneous equations may be derived by minimizing the
total potential energy produced by the forces, stresses, and boundary constraints. And total
178
potential energy can be expressed in matrix form as follows:
⎡ ⎤⎡ ⎤
K11 K12 K13 · · · K1N D1
⎢ K21 K22 K23 · · · K2N ⎥ ⎢ ⎥
1 T T T ⎢ ⎥ ⎢ D2 ⎥
⎢ K31 K32 K33 · · · K3N ⎥ ⎢ D3 ⎥
= D1 D2 D3 · · · DTN ⎢ ⎥⎢ ⎥
2 ⎢ .. .. .. .. .. ⎥ ⎢ .. ⎥
⎣ . . . . . ⎦⎣ . ⎦
KN1 KN2 KN3 · · · KNN DN
⎡ ⎤
F1
⎢ F2 ⎥
⎢ ⎥
T DT · · · DT ⎢ F3 ⎥ + C
+ DT D N ⎢ ⎥ (6)
1 2 3 ⎢ .. ⎥
⎣ . ⎦
FN
where [Kii ]20×20 is the stiffness matrix; [Fi ]20×1 is the force matrix, [Di ]20×1 is the unknown
matrix which is the displacement variables [di1 di2 di3 · · · di20 ]T 1×20 of each block and
C is energy produced by friction force.
By minimizing the total potential energy, the simultaneous equations can be expressed in
matrix form as follows:
⎡ ⎤ ⎡ ⎤ ⎡ ⎤
K11 K12 K13 · · · K1N D1 F1
⎢ K21 K22 K23 · · · K2N ⎥ ⎢ D2 ⎥ ⎢ F2 ⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎢ K31 K32 K33 · · · K3N ⎥ ⎢ D3 ⎥ ⎢ ⎥
⎢ ⎥ ⎢ ⎥ = ⎢ F3 ⎥ (7)
⎢ .. .. .. .. .. ⎥ ⎢ . ⎥ ⎢ .. ⎥
⎣ . . . . . ⎦ ⎣ .. ⎦ ⎣ . ⎦
KN1 KN2 KN3 · · · KNN (20×N)×(20×N) DN (20×N)×1 FN (20×N)×1
Following, initial stress in the formulation of DDA with third order displacement function
was derived.
3.2. Initial stress matrix

Following the time sequence, the DDA computes step by step. Current version of DDA with
the first order displacement function compute stresses of previous time step will be settled as
the initial stress transferred to the next time step. Therefore the initial stresses are essential
for DDA computation step by step. Whereas the initial stress within block are not necessarily
constant in third order displacement function. The stress of a random point (x, y) is given
by:
⎧ ⎫
⎛ ⎞ ⎛ ⎞ ⎪ B ⎪
σx0 εx0 ⎨ i1 ⎪
⎪ ⎬
⎝ σy0 ⎠ = [E] ⎝ εy0 ⎠ = [E][Bi ]3×20 D0 Bi2
= [E] [D ] (8)
i 20×1 ⎪
⎪ B ⎪ i
τxy0 γxy0 ⎩ i3 ⎪⎭
Bi4
179
⎡ ⎤ ⎡ ⎤
0 0 0 0 1 0
⎢0 0 0⎥ ⎢2x 0 0⎥
⎢ ⎥ ⎢ ⎥
= ⎢1 0 0⎥ [Bi2 ] = ⎢ 2x⎥
[Bi1 ] ⎢ ⎥; ⎢0 0 ⎥;
⎣0 0 1⎦ ⎣y 0 x⎦
0 0 1 0 x y
⎡ ⎤ ⎡ ⎤
0 0 2y 0 x2 2xy
⎢ 0 2y 0 ⎥ ⎢y2 0 2xy⎥
⎢ 2 ⎥ ⎢ ⎥
= ⎢3x 0 ⎥ ⎢ y2 ⎥
[Bi3 ] ⎢ 0 ⎥ ; [Bi4 ] = ⎢ 0 2xy ⎥ (9)
⎣ 0 0 3x2 ⎦ ⎣0 0 3y2 ⎦
2xy 0 x2 0 3y2 0
The matrix [Bi ]3×20 of third order displacement function has the form as formula (9),
which is not same as matrix [B]3×6 of first order displacement function. The latter has the
form as follows:
⎡ ⎤
000100
[B]3×6 = ⎣0 0 0 0 1 0⎦ (10)
000001
In this case, transfer the initial stress to next step is same as transfer previous displacement.
But in the case of DDA with third order displacement function, it is not convenient to transfer
the stress of previous time step. It is difficult to integrate stress with simplex integration
because matrix [B]3×20 of third order displacement function includes unknown variables x,
y. So transfer the displacement of previous
time step to the next step is right and reasonable.
Therefore, the potential energy σ of the initial stress is given by:
⎡ ⎤

σx
= (εx σx0 + εy σy0 + γxy τxy0 )dxdy = εx εy γxy ⎣ σy ⎦ dxdy
σ τxy

= [Di ]T [Bi ]T [E] [Bi ] dxdy D0i (11)

Then the derivatives are computed to minimize the energy σ :

[f ]20×1 = [Bi ]T [E][Bi ]dxdy[D0i ] (12)
Sub-matrix [f ]20×1 is added to the sub-matrix [Fi ] in the global Equation (7).
3.3. Simulation of contact

All DDA blocks are nonlinear deformation under plane stress condition. In this study, when
two blocks come in contact,9 two directional springs, including normal contact spring and
tangential contact spring, are setting at contact points. Contact mechanism is shown in
Figure 2. Value of contact spring is related with the contact length, which is defined by
below formulas (13):
⎧
L
⎪
⎨Kn = 2 kE (edge − edge)
orKn = kE (corner − edge) (13)
⎪
⎩K = K n
s 2(1+υ)
where k is penalty coefficient, and its value is 10 to 100. In current program k = 20 is chosen.
180
i block i block
KN KN
Ks Ks
j block j block
Case: corner-edge Case: edge-edge
Figure 2. Contact mechanism of DDA with third displacement function.
4. Verification Sample
4.1. General stress and deformation problem
A cantilever beam is presented here for the purpose of validation and demonstration of the
DDA3O. Figure 1 shows the analytical model. The left end is fixed, and right end is applied
vertical point load P, where P = 1T. The cantilever has a span of 1m, a height of 0.1m.
Material properties of the beam were assumed to be E = 105 T/m2 , v = 0.2, a density
ρ = 2.4T/m3 , and the gravity acceleration is ignored.
The closed form solution for the beam deflection v along its axis can be written as below:
px2
v= (x − 3L) (14)
6EI
where L is the length of the beam; I is the moment of inertia of beam cross section.
The stress σx of analytical solution of the beam is:
My
σx = (15)
I
where M is moment of concentrated P force; I is the moment of inertia of beam cross section.
As shown in Figures 4 and 5, solution of the deflection and stress of DDA3O is close to
analytical solution, and the maximum relative error is no more than 1.5%. It is shown the
DDA3O can accurately describe the deformation and stress of a single block.
Figure 3. Cantilever beam configuration and calculating mesh of DDA3O.
181
0.000
-0.002
Deflection in y direction/m
DDA3O's Result
Theoretical Result
-0.004
-0.006
-0.008
0.0 0.2 0.4 0.6 0.8 1.0

Distance from the fixed end(m)
Figure 4. Deflection of cantilever beam calculated by analytical solution and DDA3O.
0
along the bottom of cantilever/10 Pa
Theoretical Solution
4
-100 Simulation Result by DDA3O
-200
-300
-400
-500
-600
x
S
-700
0.0 0.2 0.4 0.6 0.8 1.0
Distance from the fixed end
Figure 5. Stress of cantilever beam calculated by analytical solution and DDA3O.
5. Conclusions
The DDA with a simple linear displacement function is only suitable for simple blocks sys-
tem calculation. Without adding artificial joints and FEM mesh, the numerical model and
formulations of DDA with third order displacement function is presented in this paper. The
stress field and deformation field are greatly improved. Some conclusions can be obtain as
follows:
• Initial stress transfer and Simplex Integration issues are successively solved.
• The deformation and stress and strain in one block can be obtained, which can
greatly enhance the application range of DDA.
182
• The large deformation, material nonlinear mechanical response can be simulated

with DDA3O. In small deformation case, DDA3O can give as well as analytical
result within one block. DDA3O has great potential ability to simulate and analyze
static and dynamics problem.
Acknowledgements
The authors are very grateful to Dr. Genhua SHI for his valuable guidance and encour-
agement. The work has been supported by National Natural Science Foundation of China
(Contact Numbers: 50539010, 50539120).
References
1. Shi, Gen-Hua. Discontinuous Deformation Analysis-A New Numerical Model for the statics and
Dynamics of Block Systems, Ph.D Dissertation, Department of Civil Engineering, University of
California at Berkeley (1988).
2. Ke, Te-chih. Artificial Joint-Based DDA, proceedings of the First International Forum on Discon-
tinuous Deformation Analysis (DDA) and Simulation of Discontinuous Media, June 12-14, TSI
Press: USA, 1996:326–333.
3. CHUNG-YUE WANG, CHING-CHIANG CHUANG, JOPAN SHENG. Time Integration The-
ories for the DDA Method With Finite Element Meshes, proceedings of the First International
Forum on Discontinuous Deformation Analysis (DDA) and Simulation of Discontinuous Media,
June 12–14, TSI Press: USA, 1996:263–287.
4. Ma Yong Zheng, Jiang Wei, Huang zhe Chong, Zheng Hong. A new meshfree displacement
approximation mode for DDA method and its application, Proceedings of the Eighth international
conference on analysis of Discontinuous Deformation Fundamentals & Applications to Mining &
Civil Engineering, August 14–19, Beijing, 2007:81–88.
5. Koo, C.Y. and Chern, J.C. The development of DDA with third order displacement function,
proceedings of the First International Forum on Discontinuous Deformation Analysis (DDA) and
Simulation of Discontinuous Media, June 12–14, TSI Press: USA, 1996:342–349.
6. WANG Xiao-Bo, DING Xiu-Li, LU Bo, Wu Ai-Qing. DDA with high order polynomial displace-
ment functions for large elastic deformation problems, proceedings of the 8th International Con-
ference on Analysis of Discontinuous Deformation, August 14–19, Beijing, 2007:89–94.
7. Max Y. Ma, M. Zaman, J.H. Zhu. Discontinuous Deformation Analysis Using the Third Order
Displacement Function, proceedings of the First International Forum on Discontinuous Defor-
mation Analysis(DDA) and Simulation of Discontinuous Media, June 12–14, TSI Press: USA,
1996:383–394.
8. S.A.Beyabanaki, A.Jafari, M.R.Yeung and S.O. Biabanaki. Implementations of a trilinear hexa-
hedron mesh into Three-Dimensional Discontinuous Deformation Analysis. Proceedings of the
Eighth international conference on analysis of Discontinuous Deformation Fundamentals & Appli-
cations to Mining & Civil Engineering, August 14–19, Beijing, 2007:51–55.
9. G.X Zhang, X.F Wu. Influence of Seepage on the Stability of Rock Slope – Coupling of Seepage and
Deformation By DDA Method[J], Chinese Journal of Rock Mechanical and Engineering, 2003,
22(8):1269–1275.
183
Application of DDA to Evaluate the Dynamic Behaviour of
Submarine Landslides Which Generated Tsunamis In the
Marmara Sea
G.C. MA1,∗ , F. KANEKO2 AND S. HORI3
1 Gifu University, Japan
2 OYO International Corporation, Japan
3 DPT corporation, Japan
1. Introduction
According to the catalogues of historical earthquakes and tsunamis in the Marmara Sea,
their sources would be located along the North Anatolian Fault (NAF). The dates of past
tsunamis are mostly correlating to those of past earthquakes with magnitude M > 7. Also,
a big tsunami traces has been recently discovered at the construction point of the railway
station for the new lines under the Bosporus strait. That was the past port in the southern
coast of old Istanbul city. This makes clear that the past big tsunamis attacked Istanbul coast
at around every half a millennium.1
However, since NAF is a strike slip type, only small tsunamis can be thought to have
occurred. Further, the estimated tsunami heights due to the NAF segments obtained by
tsunami simulation show small vertical values that cannot reach those of the past tsunami
heights. Therefore, not only the movement due to the active fault segment of the NAF, but
also the landslides along the cliffs generated and followed by the movement of NAF, have to
be considered as the possible tsunami sources.
Thus, in order to estimate the tsunami effects exactly, the evaluation of the dynamic
behaviour due to submarine landslides becomes very important. For this purpose, the three
dimensional landslide simulations should generally be adopted. But, since most of the meth-
ods were developed for ground landslide simulation, these methods cannot directly consider
the resistance of the seawater. In order to solve this problem, a two dimensional simulation by
using DDA was attempted. The resistance of seawater was considered by using the viscosity
coefficient, which was used in the rock fall simulation to express the arborous resistance.2–4
In this study, firstly, the development of DDA due to simulate the behaviour of the sub-
marine landslide were summarized. Next, an application to evaluate the dynamic behaviour
of submarine landslide was executed. In the application, firstly, the topographic analysis was
carried out to identify vulnerable slope slipped or may slip by using the existing detailed
bathymetry data; Next, identification simulation was performed to decide the viscosity coef-
ficient by simulating the past landside trace which was estimated by topographic analysis;
Finally, estimating simulation was performed to simulate the vulnerable slope when they
state to slip. This paper reports the outline and results of the topographic analysis, identifi-
cation simulation and the estimating simulation.
2. Development of DDA
2.1. Modeling of discontinuities
Recently, DDA has been popularly applied to Rock-fall analysis2–4 and DDA can be applied
to estimate mass movement of landslide, blasting5 etc.
∗ Corresponding author. E-mail: magc@gifu-u.ac.jp

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0090 185
By DDA, discontinuities were handled as a boundary surface of a rock mass block. In

other words, rock mass block is surrounded with the discontinuities, but blocks were dealt
with as homogeneous rock mass without discontinuities. Therefore, the strength evaluation
of discontinuities expressed mechanical relations in contact or separation between rock mass
blocks, and it has to be using different mechanics models for the discontinuities existing or
occurring with a failure. Both discontinuities would need to obey Mohr-Coulomb criterion,
but failure standards will need to be viewed differently.
We have supposed the failure criterion of new discontinuity obeys Coulomb criterion.
In addition, when a crack was judged to form, the shear strength and tension strength of
the potential surface would become zero together, but supposing the friction angle does not
change. And the potential surface would be has behaviour as a new crack distinguished from
an existing crack after failure.
2.2. Estimate of rock mass strength

By weathering, erosion and scale effect, the strength of rock mass around the potential surface
should be much smaller than the strength provided from the rock examination using the
intact rock. About this, we have supposed that compressive strength and tension strength
of a rock mass would fall off simply with an agreed ratio from its of a rock materials, and
calls the coefficient k as “strength reduction rate”. And the strength reduction rate have been
discussed by reproduced an actual rock mass failure.6, 7
2.3. Energy loss by the collision between blocks

Using DDA, we can simulate the response of rock block systems under general loading and
boundary conditions considering rigid body movements and deformations simultaneously.
This method is suitable because large deformations, such as sliding, jumping and rotating
motions of rock fall can be simulated. But, the actual motions of rock mass have not been
simulated adequately so that energy loss of rock mass has not been calculated by the original
DDA.
The energy loss with collision caused by plastic deformation of rock mass is very impor-
tant to simulate rock mass. Hence, DDA should be improved to consider energy loss during
collision between blocks. Finally, we have developed the improved DDA to simulate energy
loss of rock mass caused by slope absorbability.
Energy loss of rock falls caused by collision is given by a factor β as follows:
F = (1 − β) × F (1)
where, β is an energy loss factor, which means collision damping coefficient between blocks.
F and F are the reaction forces with and without an energy loss, respectively (Fig. 1). The
reaction force F is given as:
F = m×a (2)
where, a is the acceleration of rock fall, m is the mass of rock fall.
Equation (2) indicates that the reaction force depends on the acceleration and mass of
blocks. The coefficient β can be used to improve the original DDA by modifying the acceler-
ation of rock fall reduced by collision as follows.
[v ] = t[a ] + [v0 ] (3)

[a ] = (1 − β)[a] (4)
186
Rock fall
Ground
F’ F : Reaction forces without

F an energy loss
F’ : Reaction forces with an
energy loss
Figure 1. Energy loss model considering collision.2,4
where, [a] is the acceleration calculated at current step (Equation (5)), [v0 ] is the initial veloc-
ity of block for the current step calculation, and t is the time interval. [a’] and [v’] are the
modified acceleration and initial velocity for the next step calculation.
∂ 2 [D(t)] 2 2
[a] = = [Di ] − [v0 ] (5)
∂t 2 t 2 t
where [Di ] is the deformation calculated at current step.
2.4. Resistance of Seawater

The resistance of seawater was considered by using the viscosity coefficient, which was used
in the rock fall simulation to express the arborous resistance.2, 3, 8 In the rock fall simulation
using DDA to analyze arborous resistance force such as energy loss when the block goes
down a slope, we utilize the viscous force to represent the effects. In specific, the resistance
force corresponds to the volume and falling speed of block. As well as rock fall simulation,
the resistance of seawater can be considered as viscous force. We assumed the following
equation as viscous force.

fx μ u
= d (6)
fy t v
where fx , fy — Viscous force per unit volume, t — Time step, u and v — Increment of
displacement, μd : Viscosity coefficient.
The potential energy accumulated with viscous force resistance can be expressed with the
following equation.

fx
= (u v) ds (7)
v fy
s
where s — Area of rock mass block.

It is possible to analyze the effects of viscous force by differentiating the displacement
variables of potential energy and applying them in the conventional DDA formulation.
187
3. Application to Evaluate the Dynamic Behaviour of Submarine Landslide

3.1. Topographical analysis
Fortunately the precise bathymetry data (20m grids) in Marmara Sea bottom is available,
shown in Fig. 2.9 Using the data, the topographic analysis was conducted for identification
of vulnerable slopes that may generate disastrous tsunamis. Some criteria were given by exist-
ing information, for example scale of slopes,10 past activities of active faults11 etc. Though
the analysis was based on land slopes, the situation at submarine level was taken into consid-
eration in so much as we included sea water resistance, weathering by sea water and active
movements by the North Anatolian Fault etc. Soil samplings with dating tests at sea bottom
surface certificate the trace of the past events of slope failure, and past tsunami records might
suggest the possibility of generating tsunami by submarine landslides during or just after the
earthquakes.12 Consequently, the 10 vulnerable slopes are identified, including 3 past events
debris sites for verification of methodology.
Bathymetry (m)
Figure 2. Bathymetry and Topography around the Marmara Sea including Istanbul.11
3.2. Identification simulation for the seawater resistance

Identification simulation of past event was performed to decide the viscosity coefficient by
simulating the past landside traces which identified by topographic analysis. Figure 3 shows
the selected two vulnerable slope locations to be examined for identification simulation.
Figure 4 is the cross section of the vulnerable slopes for “Identification Simulation East”.
From the shapes, the simulation model was established as shown in Fig. 5. Soil properties
were given from the results of the seismic microzonation study at Istanbul municipality.11
After try and error analysis for the sensitivity of key properties like μd , β and angle of
friction etc, are examined. Figure 6 shows the simulation results of Identification simulation
East. In this simulation, μd was 0.12, β was 0.7, angle of friction between slide body and bed
was 8 degrees are thought to be reasonable to reproduce the past landslide event. The shape
of the surface simulated reproduced generally the current geography shown in Fig. 7. And
by applying the shape variation along time and the velocity simulated (The average velocity
shown in Fig. 6) into tsunami simulation as input data, the results of tsunami simulations
188
Identification
Identification
simulation West
simulation East
Estimating
simulation East
Used for Identification simulation

Used for Estimating simulation
Figure 3. Vulnerable slopes identified by topographic analysis.
0
Section 07
-200
Landslide Line
-400 Old geography
Current geography
EL (m)
-600
-800
-1000
-1200
-1400
2500 3000 3500 4000 4500 5000 5500 6000 6500 7000
Distance (m)
Figure 4. Section of Vulnerable slopes identified by topographic analysis (Identification simulation

East).
-95
-1550 6900
2500 Unit : m
Figure 5. Simulation model of Identification simulation East shown in Fig. 6 and Fig. 7.
189
-95
-1550 6900
2500 Unit : m
㪎
㪤㪸㫏㫀㫄㫌㫄㩷㪸㫍㪼㫉㪸㪾㪼㩷㫍㪼㫃㫆㪺㫀㫋㫐䋺㪋㪅㪈㫄㪆㫊
㪍㪤㪸㫏㫀㫄㫌㫄㩷㫍㪼㫃㫆㪺㫀㫋㫐
㪘㫍㪼㫉㪸㪾㪼㩷㫍㪼㫃㫆㪺㫀㫋㫐
㪭㪼㫃㫆㪺㫀㫋㫐㩷㪲㫄㪆㫊㪴
㪌
㪋
㪊
㪉
㪈
㪇
㪇㪈㪇㪇㪉㪇㪇㪊㪇㪇㪋㪇㪇㪌㪇㪇㪍㪇㪇㪎㪇㪇㪏㪇㪇㪐㪇㪇㪈㪇㪇㪇
㪫㫀㫄㪼㩷㪲㫊㪴
P d : 0.12, E :0.7, Angle of friction between slide body and bed: 8 degree
Figure 6. Simulation Results of Identification simulation East.
have been compared with historical records of tsunamis. The estimated tsunami height due
to submarine landslides could approach the level of the past tsunami heights of the records.
3.3. Estimating simulation for the vulnerable slope

Estimating simulation was performed to simulate the vulnerable slope when they start to slip.
Figure 7 and 8 shows the simulation results of estimating simulation. By using the estimated
velocity and the shape of surface into tsunami simulation, we have estimated tsunami height
due to submarine landslides.
4. Conclusions
In this paper, in order to simulate the dynamic behaviour of submarine landslide, the DDA
were developed by adopting the energy loss model which was explained the energy loss
caused by collision between blocks, and considered the seawater resistance as viscous force.
By the application, we mostly reproduced the submarine landslide and estimated the move-
ment behaviour of the vulnerable slope. It was cleared that the simulated results was closely
depended to the shape of slide line, shape of surface and the seawater resistance, but not so
closely to the strength, shape of the discontinuity. If the slide line and the geography before
slip of the past submarine landslides, the past submarine landslide can be reproduced accu-
rately, and the seawater resistance would be identified accurately. Further, if the possible slide
line of the vulnerable slope can be truly presumed, the behaviour of the vulnerable slope can
be estimated exactly.
190
-78
-1508 0 6451
Unit : m
step: 9000 time: 107s
step: 60500 time: 1006s
Figure 7. Simulation results of estimating simulation (Estimating simulation East).
5
Maximum velocity
Maximum average velocity:3.6m/s Average velocity
4
Velocity [m/s]
0
0 500 1000 1500 2000 2500 3000
Time [s]
Figure 8. Simulated velocity of estimating simulation (Estimating simulation East).
191
References
1. Kanako, F., 2009. A Simulation Analysis of Possible Tsunami affecting the Istanbul Coast, Turkey,
Proc. Of the International Workshop on Tsunami and Storm Surge Hazard Assessment and Man-
agement in Bangladesh, Dhaka, 41–50.
2. Ma, G.C., Matsuyama, H., Nishiyama, S. and Ohnishi, Y., 2007. Study on analytical method for
rock fall simulation, Journals of the Japan Society of Civil Engineers, Vol. 63, No. 3, 913–922 (in
Japanese).
3. MA, G.C., Yashima, A., Nishiyama, S., Ohnishi, Y., Monma, K. & Matsuyama, H., 2008. Applica-
tion of DDA to evaluate the mechanism of rock slope instability/rock fall, The Third International
Symposium on Modern Mining and Safety Technology (ICSSE), Fuxin, 67–78, 2008.
4. Ma, G.C., Nakanishi, A., Ueno, S., Mishima, S., Nishiyama, S. and Ohnishi, Y., 2004. Study on
the applicability of rock fall simulation by using DDA, In Proc. of the ISRM Symp. 3rd Asia Rock
Mechanics Symp., Kyoto, 1233–1238.
5. Ma, G.C., Miyake, A., Ogawa, T., Wada, Y., Ogata, Y. and Katsuyama, K., 1995. Numerical
simulations on the blasting demolition by DDA method, Proc. of 2nd International Conference on
Engineering Blasting Technique (ICEBT), Kunming, 79–84.
6. Ma, G.C., Ohnishi, Y. and Monma, K., 2007. Application of DDA to Evaluate the Mechanism of
Rock Slope Instability, Proc. Of ICADD-8, Beijing, 285–295.
7. Monma, K., Chida, Y., Ma, G.C., Shinji, M. and Ohnishi, Y., 2004. Study on the application of
discontinuous deformation analysis to evaluate the mechanism of rock slope instability, Journals
of the Japan Society of Civil Engineers, No. 757/III-66, 45–55 (in Japanese).
8. Shinji, M., Ohno, H., Otsuka, Y. and Ma, G.C., 1997, Viscosity coefficient of the rock-fall simu-
lation, Proc. of ICADD-2, Kyoto, 201–210.
9. TUBITAK/IFREMER, 2005. Bathymetrical Map for the Marmara Sea.
10. Hebert, H., F. Schindele, Y. Altinok, B. Alpar and C. Gazioglu, 2005. Tsunami hazard in the
Marmara Sea (Turkey) : a numerical approach to discuss active faulting and impact on the Istanbul
coastal areas. Marine Geology, 215, 23–43.
11. IMM (Istanbul Metropolitan Municipality), 2007. Seismic Microzonation for Istanbul Metropoli-
tan Municipality, European side.
12. McHugh, C.M.G., L.Seeber, M.H. Cormier, J. Dutton, N. Cagatay, A. Polonia, W. B. F. Ryan, and
N. Gorur, 2006. Submarine earthquake geology along the North Anatolia Fault in the Marmara
Sea, Turkey: A model for transform basin sedimentation, Earth and Planetary Science Letters, 248,
661–684.
192
3D DDA vs. Analytical Solutions for Dynamic Sliding of a
Tetrahedral Wedge
D. BAKUN-MAZOR1,∗ , Y.H. HATZOR1,2 AND S.D. GLASER3

1 Department of Geological and Environmental Sciences, Ben-Gurion University of the Negev, Beer-Sheva, Israel
2 Department of Structural Engineering, Ben-Gurion University of the Negev, Beer-Sheva, Israel
3 Department of Civil and Environmental Engineering, University of California Berkeley, CA. USA
1. Introduction
In this research, the validity of the three dimensional Discontinuous Deformation Analysis
(3D-DDA)1 is examined using analytical solutions for three dimensional problems involving
two different failure modes: 1) dynamic sliding of a single block on an inclined plane, and 2)
dynamic sliding of a tetrahedral wedge simultaneously on two faces.
From the early nineties, researchers in the DDA community have documented the accuracy
of the original two-dimensional method (2D-DDA) by performing validation studies with
respect to analytical solutions, by comparison with results of other numerical techniques, and
from laboratory and field data. A paper by MacLaughlin et al.2 contains a summary of nearly
100 published quantitative validation studies. With respect to dynamic loading and response,
several works [e.g. Refs. 3, 4] have calibrated 2D-DDA results with respect to the Newmark
method5 and the Goodman and Seed6 solution. Wartman et al.7 investigated the analytical
implementation of the Newmark method and Goodman and Seed solution with laboratory
tests, using physical tests of a block sliding on a tilting and shaking table. Tsesarsky et al.8
used Wartman’s data to explore the validity of the 2D-DDA results for dynamic loading.
As expected from numerical forward modelling analysis, the input parameters, such as the
contact spring stiffness, the boundary conditions, and time interval, have a decisive influence
on the accuracy of the output results.
Recently the validity and accuracy of 3D-DDA has been explored, yet only preliminary or
partial work on this subject has been published to date.9–14 The reason may be due to the
difficulty in developing a complete contact theory that governs the interaction of many 3D
blocks.14 Considering 3D validations, Shi1 reports very high accuracy for two examples of
block sliding modelled with 3D-DDA, subjected to gravitational load only. Moosavi et al.11
compare 3D-DDA results for dynamic block displacement with an analytical solution. Yeung
et al.13 validate the wedge stability analysis method using physical models and field case
histories, and report a good agreement between physical and numerical results in terms of
both the effective failure mode and the block displacement history, although no quantitative
comparison between 3D-DDA and lab test results is reported.
In this study, an independent mathematical solution for dynamic block sliding in 3D is
developed based on the vector analysis (VA) formulation presented by Goodman and Shi.15
The developed 3D solution employs static formulation of the force balance on the block at
each time-step, according to the assumed sliding mode. The incremental sliding force or accel-
eration thus calculated is integrated numerically twice to yield the three displacement com-
ponents (x,y,z) versus time t.16 We first compare the developed VA and existing Newmark
solutions, and then proceed with the developed 3D VA solution in validation of 3D-DDA.1
∗ Corresponding author. E-mail: bakun@bgu.ac.il

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0093 193
2. Analytical Formulations of Vector Analysis Solution

2.1. Limit equilibrium equations
The static limit equilibrium equations formulated for each time step are discussed in this
section for both single face and double face sliding. Note that the expected failure mode
must be known in advance to formulate these equations. Furthermore, in all cases studied
here the static and dynamic resultant forces are applied to the centroid of the sliding block,
this is slightly in contrast to the physical reality where the input motion is applied to the
foundation upon which the block rests.
2.1.1. Single face sliding

A typical model of a block on an incline is illustrated in Fig. 1(a). The dip and dip direction
angles are, α = 20◦ and β = 90◦ , respectively. Although it is a simple 2D problem, the
model is plotted as if it were 3D to demonstrate the robust VA solution. For this purpose, a
Cartesian coordinate system (x,y,z) is defined where X is horizontal and points to east, Y is
horizontal and points to north, and Z is vertical and points upward. The normal vector of
the inclined plane is: n̂ = [nx ,ny ,nz ], where:
nx = sin (α) sin (β)

ny = sin (α) cos (β) (1)
nz = cos (α)
The force equations presented below refer to a block with a unit mass. Hence, these equa-
tions can be discussed in terms of accelerations. The resultant force vector that acts on the
system at each time-step is r̄ = [rx , ry , rz ]. The driving force vector that acts on the block (m̄),
namely the projection of the resultant force vector on the sliding plane, at each time step is:
m̄ = (n̂ × r̄) × n̂ (2)
The normal force vector that acts on the block at each time step is:
p̄ = (n̂ · r̄)n̂ (3)
Figure 1. Typical models of sliding blocks in 3D coordinate system. (a) Block on single face inclined
to 20/090, (b) a tetrahedral wedge sliding on two faces, the line of intersection is inclined 30◦ below
North and inclination of the boundary faces are 52/063 and 52/296.
194
At the beginning of a time step, if the velocity of the block is zero then the resisting force
vector due to the interface friction angle φ is:

− tan (φ) p̄ m̂, tan (φ) p̄ < |m̄|
f̄ = (4)
−m̄, else
where m̂ is a unit vector in direction m̄.
If, at the beginning of a time step the velocity of the block is not zero, then:

f̄ = − tan (φ) p̄ v̂ (5)
where v̂ is the direction of the velocity vector.
In an unpublished report,16 the author refers only to the case of a block subjected to
gravitational load, where the block velocity and the driving force have always the same sign.
However, in dynamic input loading cases, momentary driving force could be opposite to the
block velocity.
2.1.2. Double face sliding

Double face sliding, or wedge analysis stability is a classic problem in rock mechanics that
has been studied by many authors.17–19 A typical model of a wedge is shown in Fig. 1(b). The
normal to plane 1 is n̂1 = [nx1 ,ny1 ,nz1 ] and the normal to plane 2 is n̂2 = [nx2 ,ny2 ,nz2 ]. Con-
sider a block sliding simultaneously on two boundary planes along their line of intersection
Î12 , where:
Î12 = n̂1 × n̂2 (6)
The resultant force in each time step is as before r̄ = [rx , ry , rz ], and the driving force in
each time step is:
m̄ = (r̄ · Î12 )Î12 (7)
The normal force acting on plane 1 in each time step is p̄ = [px ,py ,pz ], and the normal
force acting on plane 2 in each time step is q̄ = [qx ,qy ,qz ], where:
p̄ = ((r̄ × n̂2 ) · Î12 )n̂1 (8)

q̄ = ((r̄ × n̂1 ) · Î12 )n̂2 (9)
As in the case of single face sliding, the direction of the resisting force (f̄ ) depends upon
the direction of the velocity of the block. Therefore, as before, in each time step:
⎧
⎪
⎨−(tan (φ1 )|p̄| + tan (φ2 )|q̄|)m̂, V̄ = 0 and (tan (φ1 )|p̄| + tan (φ2 )|q̄|) < |m̄|
f̄ = −m̄, V̄ = 0 and (tan (φ1 )|p̄| + tan (φ2 )|q̄|) ≥ |m̄| (10)
⎪
⎩
−(tan (φ1 )|p̄| + tan (φ2 )|q̄|)v̂, V̄ = 0
2.2. Dynamic equations of motion

The sliding force, namely the block acceleration during each time step, is s = [sx sy sz ] and is
calculated as the force balance between the driving and the frictional resisting forces:
s̄ = m̄ + f̄ (11)
The block velocity and displacement vectors are V = [Vx , Vy , Vz ] and D = [Dx , Dy , Dz ],
respectively. At t = 0, the velocity and displacement are zero. The average acceleration for
195
time step i is:

1
S̄i = (s̄i−1 + s̄i ) (12)
2
The velocity for time step i is therefore:
V̄i = V̄i−1 + S̄i t (13)
It follows that the displacement for time step i is:
1
S̄i t2
D̄i = D̄i−1 + V̄i−1 t + (14)
2
Due to the discrete nature of the VA algorithm, sensitivity analyses were performed to
discover the maximum value of the time increment for the trapezoidal integration method
without compromising accuracy. The results are found to be sensitive to the time interval
size as long as the friction angle is greater than the slope inclination. We find that the time
increment can not be larger than 0.001 sec to obtain accurate results.
3. Results
The validity of the 3D VA formulation presented in Section 2 is tested using the classical
Newmark solution for the dynamics of a block on an inclined plane. Once the validity of
the VA approach is confirmed we proceed to check the validity of 3D-DDA using the VA
approach.
3.1. Single face sliding

The typical Newmark solution requires condition statements and is solved using a numer-
ical time steps algorithm as discussed for example by Kamai and Hatzor.4 We relate here
to the Newmark’s procedure as the ’analytical solution’, to distinguish between the analyt-
ical approach and the VA and DDA solutions. Fig. 2(A) shows a comparison between the
analytical (Newmark), VA, and 3D-DDA solutions for a plane with dip and dip direction of
α = 20◦ and β = 90◦ , respectively, and friction angle of φg 30◦ . We use for dynamic loading
a sinusoidal motion in the horizontal X axis, so the resultant input acceleration vector is
r = [rx ry rz ] = [0.5g sin (10t)0 − g]. The accumulated displacements are calculated up to
10 cycles (tf = 2π sec). The input horizontal acceleration is plotted as a shaded line and the
acceleration values are shown on the right hand-side axis. The theoretical mechanical prop-
erties as well as the numerical parameters for the 3D DDA simulations are listed in Table 1.
For both the Newmark and VA methods the numerical integration is calculated using a time
increment of t = 0.001 sec. For the 3D methods (VA and 3D-DDA), the calculated dis-
placement vector is normalized to one dimension along the sliding direction.
An excellent agreement is obtained between the VA and analytical solutions throughout
the first two cycles of motion. There is a small discrepancy at the end of the second cycle
which depends on the numerical procedures and will decrease whenever the time increment
decreases. The relative error of the VA and 3D-DDA methods with respect to the exist-
ing Newmark solution is shown in the lower panel of Fig. 2A, where the relative error is
defined as:
|DNewmarkl − Dnumerical |
Erel = · 100% (15)
|DNewmarkl |
The relative errors for both VA and 3D DDA are found to be less the 3% in the final
position.
196
1.6 6 2.5 6
Newmark Solution
Vector Analysis

3D-DDA 4 4
2
1.2 Input Motion
Displacement (m)
Displacement (m)
2 2
1.5
0.8 0 0
1
-2 -2
0.4 Vector Analysis
0.5 3D-DDA
-4 -4
Input Motion (x)
Input Motion (y)
0 -6 0 -6
Relative Error (%)
Relative Error (%)

1000 1000 100 100
Erel, VA
100 Erel, DDA 100
10 10 10 10
1 1 1 1
0.1 0.1
0.01 0.01 0.1 0.1
0 2 4 6 0 2 4 6
A Time (sec) B Time (sec)
Figure 2. Block displacement vs. time for the case of a block on an incline subjected to gravitational
and cycles of horizontal sinusoidal loading. (A) Comparison between the Newmark solution, VA and
3D-DDA for 1D horizontal input motion along the X axis. The relative error for the numerical solutions
is plotted in the lower panel where the Newmark solution is used as a reference. (B) Comparison
between VA and 3D-DDA for 2D horizontal input motion along the X and Y axes simultaneously. The
relative error is plotted in the lower panel where the VA is used as a reference.
After the verification procedure with respect to the existing Newmark solution has been
successfully completed, the VA algorithm is found to be suitable to serve as a reference solu-
tion for 3D dynamic problems that are examined using 3D DDA. Fig. 2(B) shows a compar-
ison between the VA solution and 3D DDA results for block sliding on an inclined plane as
presented in Fig. 1(a) and subjected to two components of dynamic, horizontal, input load-
ing. The resultant input acceleration vector is r = [rx ry rz ] = [0.5g sin (10t) 0.5g sin (5t) − g],
and the friction angle is again φg 30◦ . The two components of the input horizontal accelera-
tion are plotted as shaded lines and the acceleration values are shown on the right- hand side
axis. Note that the relative error presented in the lower panel now refers to the VA solution
and defined here as:

DVectorAnalysis − D3D DDA
Erel = · 100% (16)
DVectorAnalysis
The relative error in the final position in this simulation is approximately 8%.
3.2. Double faces sliding

A comparison between VA and 3D-DDA for the dynamic sliding of a wedge is shown in
Fig. 3(A) using cumulative displacement versus time. The input acceleration is now defined
by a sinusoidal curve on the horizontal Y axis, and gravitational load on the vertical Z axis,
so the resultant dynamic load vector is r = [rx ry rz ] = [0 0.5g sin (10t)more − g]. The line
of intersection between the two planes is inclined 30◦ below the Y axis, and the orientations
of the bounding planes are 52/063 and 53/296, as illustrated in Fig. 1(b). The studied friction
angles of the planes are φ1 = φg = 20◦ ; all other numerical control parameters are listed in
Table 1. The relative error is calculated using equation 16 and plotted in the lower panel of
Fig. 3(A).
197
p p
2.5 6 1.6 1.6
Vector Analysis

4 3D-DDA ; k=10 MN/m
2 3D-DDA ; k=1 MN/m
1.2 1.2
Displacement (m)
Displacement (m)
2
1.5
0.8 0.8
0
1
-2 0.4 0.4
0.5 Vector Analysis -4

3D-DDA
0 0
Input Motion (y)
0 -6 15
5
ax
Input Motion (m/s2)
Relative Error (%)
100 100 -5
-15
15
10 10 5
ay
-5
-15
1 1 5
-5
az
-15
0.1 0.1 -25
0 0.4 0.8 1.2 1.6 2 0 1 2 3 4 5

A Time (sec) B Time (sec)
Figure 3. Dynamic sliding of a wedge: comparison between 3D-DDA and VA solutions. (A) Wedge
response to one component of horizontal sinusoidal input motion and self weight. lower panel presents
the relative error calculated according to equation 16. (B) Wedge response to 3D loading using data
from the Imperial Valley earthquake (the three components, multiplied by a factor of 5, are shown in
the lower panel).
The response of the modelled wedge to the Imperial Valley earthquake recorded as mea-
sured in El-Centro, CA, is studied and presented in Fig. 3(B). The lower panel presents the
three components of the recorded signal multiplied by a factor of 5 to obtain meaningful
displacements. The modelled friction angles of the boundary planes here are φ1 = φ2 g = 30◦
so that the block is at rest under gravity load only. Two different numerical spring stiffness
values are studied and the obtained results are plotted with comparison to the VA solution.
Table 1. Numerical parameters for all 3D DDA forward modelling simulations and
VA algorithm.
Model Type Single plane Wedge, sine curve Wedge, El Centro
(Figure) (Fig. 2A,B) (Fig. 3A) (Fig. 3B)
Mechanical Properties:
Elastic Modulus, MPa 20000 20000 20000
Poisson’s Ratio 0.25 0.25 0.25
Density, kg/m3 1000 1000 1000
Friction angle, Degrees 30 20 30
Numerical Parameters:
Dynamic control parameter 1 1 1
Number of time steps 628 800 2500
Time interval, Sec 0.01 0.0025 0.002
Assumed max. disp. Ratio, m 0.01 0.005 0.002
Penalty stiffness, MN/m 10 50 1 and 10
Max. time step for VA, Sec 0.001 0.01 0.001
198
4. Conclusions
• The newly developed VA algorithm can be utilized to validate 3D numerical solu-
tions, for example dynamic sliding of a block on a single plane and along two planes
simultaneously. Since the resisting frictional force direction depends upon the sliding
direction a set of condition statements must be implemented in the VA solution to
obtain the correct solution at each time step.
• We report here very good agreement between VA solution and results obtained with
the existing 2D Newmark solution for dynamic sliding of a block on an incline.
• 3D DDA is validated here using the VA solution for cases of dynamic sliding and
an excellent agreement is found using both synthetic and real earthquake records as
dynamic input for both single and double plane sliding.
• We want to note here that the resultant input acceleration in this study is always
applied to the centre of mass of the sliding block, in all Newmark, VA, and 3D-DDA
types of analyses. In the physical reality, however, the dynamic input is applied to
the foundations and the block responds dynamically to the induced vibrations at the
foundations. Further physical tests must be conducted, for example using carefully
monitored shaking table experiments, to explore wave propagation behaviour from
the shaking foundation to the responding block.
Acknowledgements
Financial support from the U.S. – Israel Bin-national Science Foundation (BSF) through con-
tract 2004122 is gratefully acknowledged.
References
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Symposium, Washington, DC, 2001, pp. 1421–1428.
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ysis (DDA) method", Int J Numer Anal Met, 30, 4, 2006, pp 271–305.
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Int J Rock Mech Min, 38, 4, 2001, pp. 599–606.
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2008, pp. 1321–1340.
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60–139.
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Soil Mech Foundation Div ASCE, 92(SM2), 1966, pp. 125–146.
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dure", J Geotech Geoenviron, 129, 8, 2003, pp. 673–684.
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Analytical, experimental and DDA results", Rock Mech Rock Eng, 38, 2, 2005, pp. 153–167.
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deformation analysis", Rock Mech Rock Eng, 37, 2, 2004, pp. 95–116.
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ysis method", Acta Mechanica Sinica, 20, 3, 2004, pp. 270–282.
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analysis (3-D DDA) validation using analytical solution", The Seventh international conference
on the analysis of discontinuous deformation (ICADD-7), Honolulu, Hawaii, 2005, pp 37–48.
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12. Wang J., Lin G., Liu J., "Static and dynamic stability analysis using 3D-DDA with incision body
scheme", Earthquake Engineering and Engineering Vibration, 5, 2, 2006, pp 273–283.
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deformation analysis as wedge stability analysis methods", Int J Rock Mech Min, 40, 2, 2003, pp.
265–275.
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tinuous deformation analysis", Computers and Geotechnics, 34, 3, 2007, pp. 175–186.
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wood Cliffs, NJ, 1985, 338 pp.
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Unpublished technical report, DDA Company, Belmont, CA, 1999.
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200
Application of Strength Reduction DDA Method in Stability
Analysis of Road Tunnels
XIA CAICHU1,2 , XU CHONGBANG1,2,∗ AND ZHAO XU3

1 Department of Geotechnical Engineering, Tongji University, Shanghai 200092, China
2 Key Laboratory of Geotechnical and Underground Engineering of Ministry of Education,
Tongji University, Shanghai 200092, China
3 The Key Laboratory of Urban Security and Disaster Engineering, Ministry of Education,
Beijing University of Technology, Beijing 100124, China
1. Introduction
Surrounding rock of mountain tunnel is formed in nature under complex geological and
tectonic forces in its evolution and formation progress, has numerous discontinuous inter-
faces such as joints, fractures, faults, folds and fractured rock zones with different sizes and
geometric shapes. Rock mass integrity and uniformity are damaged by these interfaces and
rock strength is reduced. The rock mass is cut into a non-continuum of rock blocks with
various volume and shapes. Obviously, the discontinuity is of very important significance to
the mechanical property of rock mass. To understand such mechanical property is a primary
problem in design tunnels economically and constructs them safely.
Two major means in studying tunnel stability considering the rock mass discontinuity are
model test and numerical analysis.
Many researchers have carried out physical scaled model tests to study tunnel stability.
Everling1 (1964) analyzed deformation property of supported jointed rock mass by physical
scaled model tests; Hobbs2 (1969) proved that a mixture of sand, plaster and water can sat-
isfy the requirements of material for physical model tests and studied the effects on tunnel
stability made by orientation of joints and tunnel span. Goodman3 (1972) studied the defor-
mation of tunnel in jointed rocks by model tests. Jiang4 (1984) studied tunnel stability under
different joint occurrence. Zhu5 (1997) studied results of bolts strengthening of jointed rock
tunnels in excavation. Song6 (2002) researched the effects on tunnel stability of joint spacing,
orientation and the angle between fractures and tunnels.
Though physical scaled model tests can be used in researching tunnel stability in jointed
rocks under certain conditions, but are impossible to be adopted in studying all influencing
factors as they are hard to be repeated and costly. To overcome such disadvantages, numerical
simulation can be used, which provides researchers a fast and convenient method. There are
two main methods in discontinuous rock mass analysis, namely, the distinct element method
(Cundall,7 1971) and discontinuous deformation analysis (Shi,8 1988). The later is adopted
in this paper.
MacLaughlin9 (1997) studied calculation accuracy of the discontinuous deformation anal-
ysis by modelling sliding of a block on a slope, whose results showed that by DDA compu-
tation, sliding displacement of the block could be accurately forecasted. McBride10 (2001)
also proved the efficiency of DDA by compare numerical computation with physical model
tests. Michael11 (2006) carried out sensitivity analysis of parameters in DDA computation.
Zhang12 (2008) studied the failure progress of semi-penetrative joints rock of tunnel.
∗ Corresponding author. E-mail: xubang-2003@163.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0098 201
2. Basic Principals of DDA Theory

In DDA, each block of arbitrary geometry has six degrees of freedom, among which three
components are rigid body motion terms and the other three are constant strain terms. There-
T
fore, the deformation variable of block i can be written as u0 ,v0 ,r0 ,εx ,εy ,γxy , where u0 ,v0
are the rigid body translations along the x, y direction; r0 is the rigid body rotation around
cetroid (x0 ,y0 ) of the block; εx ,εy ,γxy are the strain components. By the minimum energy
principle, the general function of the system can be solved, the general function of the sys-
tem is:
K̄D = F̄
Assuming that this system is composed of n blocks, we can have the function as follows:
⎡ ⎤ ⎡ ⎤ ⎡ ⎤
K11 K12 · · · K1n D1 F1
⎢ K21 K21 · · · K2n ⎥ ⎢ D2 ⎥ ⎢ F2 ⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥
K̄ = ⎢ . .. .. .. ⎥ , D = ⎢ .. ⎥ , F̄ = ⎢ .. ⎥
⎣ .. . . . ⎦ ⎣ . ⎦ ⎣ . ⎦
Kn1 Kn2 · · · Knn Dn Fn
Where, Kij (i,j = 1,2, · · · ,n) is a submatrix with 6 × 6 components and related to material
properties of block i, Kij (i = j) is related to the interaction of block i and j; Di is the
displacement vector of block i; Fj is the load on block i.
3. Strenght Reduction Method Combined with Catastrophe Theory

3.1. Catastrophe function of surrounding rock displacement from strength
reduction method
At first, divide the value of rock strength parameters, cohesion C and internal friction angle
ϕ, by a same factor F, according to the strength reduction method.13 Then a set of new
parameter are obtained as C , ϕ . This new set of parameters will be used in computation
again and displacement ζ0 can be obtained.
C tan ϕ
C = ϕ = arctan ( ) (1)
F F
Repeat this progress for n times. Displacement ζ of these n times computation can be
gained. For critical points of a tunnel, the relationship curve of their displacements and
strength reduction factor can be fitted by least square method, by which we can get a function
between ζ and F which is defined as the safety factor of the tunnel:
ζ = f (F)
This function can be described as a quintic polynomial with sufficient precision, so that we
can get
ζ = a5 F 5 + a4 F 4 + a3 F 3 + a2 F 2 + a1 F + a0 (2)
Where a0 , a1 , a2 , a3 , a4 , a5 are fitting coefficients to be calculated out.
The first derivatives of Eq. (2) with respect to F can be written as Eq. (3), this is a cusp
catastrophe potential function.
V = 5a5 F4 + 4a4 F3 + 3a3 F2 + 2a2 F + a1 (3)
a4
Let q = F = p − q and substitute them into Eq. (3), terms with degree 3 can be
5a5 ,
eliminated and ignore constant term as the constant term dose not change the property of
202
Eq. (4)
V = b4 p4 + b2 p2 + b1 p (4)

1
1
4 4
Then let p = b1 x while b4 > 0, or let p = − b1 x while b4 < 0, substitute them
4 4
into Eq. (4), we get
V = x4 + ux2 + vx (5)
V = −x4 + ux2 + vx (6)

Where u = b2 / b4 , v = b1 / 4 b4 .
Equations. (5) and (6) are standard potential function14 of canonical cusp catastrophe
model and dual cusp catastrophe model whose control variables are state variables u and v.
Their equilibrium surface and bifurcation graph are shown in Figures 1 and 2.
3.2. Failure criteria of tunnel surrounding rock stability

According to theory of cusp catastrophe model, let the first derivative of function V equals
to 0, the following equations can be got:
4x3 + 2ux + v = 0 (canonical cusp catastrophe) (7)

− 4x3 + 2ux + v = 0 (dual cusp catastrophe) (8)
The critical points set defined by Eqs. (7) or (8) composed the equilibrium surface whose
shape in space (x,u,v) are shown in Figures 1 or 2. The shape includes 3 parts including
upper lobe, lower lobe and middle lobe, among which the former two are stable while the
latter one is unstable. Phase points would change on the upper lobe (or the lower lobe) with
equilibrium regardless their path. When the point reaches the edge of the upper lobe (or the
lower lobe), it will jump abruptly across the middle lobe to the lower lobe (the upper lobe).
u
Upper leaf
v
ce
rfa
Middle leaf
su
ed
rv
Lower leaf
cu
e
nc
la
x
Ba
u
ne
Δ >0
la
v
lp
ro
nt
Co
Δ <0
Figure 1. Canonical cusp catastrophe model.14
203
Figure 2. Dual cusp catastrophe model.14
Thus, point with vertical tangent line at equilibrium lobes composes a catastrophe points set
(singular points set) of certain status, whose function can be written as
∂ 2V
= 12x2 + 2u = 0 (canonical cusp catastrophe) (9)
∂x2
∂ 2V
= −12x2 + 2u = 0 (dual cusp catastrophe) (10)
∂x2
The projection of singular points set on plane defined by control variables (u,v) formed
a bifurcation set which is a points set makes status variables catastrophe. Combine Eqs. (7)
and (9), Eqs. (8) and (10) separately, eliminate x, we can get the following questions:
= 8u3 + 27v2 and = −8u3 + 27v2 (11)
For displacement analysis based on strength reduction method of tunnel surrounding rock,
a failure criterion can be defined as follows: while > 0, the tunnel surrounding rock is
stable under the strength reduction factor; while = 0, the rock is at the critical status of
stable to unstable; while < 0, the rock is failed. Thus the rock mass stability status can be
judged according to the stable status of displacement data.
4. Application
4.1. Engineering background
Jinjishan multiple-arch tunnel of the second phase project of Fuzhou city airport is a big
span tunnel with eight traffic lanes, locates between milestone K22 + 235 to K22 + 630,
the total length of which is 295m (Fig. 3). Span of a single tunnel is 18.2m and the cross
section area of inner profile of a tunnel is 171.06 m2. The whole span of the multiple-arch
tunnel is 41.9m and the height is 14.2m (Fig. 4). Middle wall of the tunnel is designed with
3 composite layers.
The tunnel locates in an area of low mountains and hills with a complex ground sur-
face. Surrounding rock of the main tunnel is composed of weak weathered granite, granite-
porphyry and dioritic porphyrite, which is of a rather high strength but a poor integrity,
can be classified as lever IV according to “code for design of road tunnel” in China (JTG
204
Figure 3. Geological profile of Jinjishan tunnel (Left tunnel).
Figure 4. Cross section of Jinjishan tunnel.
D70-2004). The surrounding rock at tunnel portal is composed of residual hillside waste and
highly weathered rock, which is rather loose and classified as lever V. The maximum covering
layer of rock IV is 46.7m and 36.0m of rock 36.0.
4.2. Parameters in computation and strength reduction factor

There are two sets of joints in the surrounding rock which are oriented as 62◦ 75◦ and
63◦ 169◦ according to joint data collected during construction. Average intervals of these 2
sets of joint are 1.6m and 1.8m. Dimension of DDA numerical simulation model is 120.0m
× 80.0m. The covering layer is 30.0m. Mechanical parameters in computation are listed
in Table 1. Mechanical computation Parameters of joints (internal friction angle, cohesive
parameter and tensile strength of joints) are reduced according to the strength reduction
method. Increscent of reduce factor for each computation in sequence is 0.01. The original
reducing factor is 1.00 and the last factor after 31 computations is 1.30. Position of 9 critical
points in the tunnel surrounding rock in computation was shown in Fig. 6.
Table 1. Surrounding rock parameters of Jinjishan tunnel.

Rock Rock Elastic Poisson’s Internal Friction Cohesive Tensile
Density/kN Modulus /GPa ratio Angle of Joints /◦ Parameter of Strength of
Joints/kPa Joints/kPa
20.0 1.5 0.28 34.0 160.0 80.0
205
Figure 5. DDA numerical simulation model.
Figure 6. Critical points.
Horizontal, vertical and total displacement of the critical points in Jinjishan tunnel sur-
rounding rock under different strength reduction factor of joints are shown in Figures 7–9.
According to these figures, the value of vertical displacements is about twice as much as that
of horizontal displacement, so that vertical displacement should be the main object to be ana-
lyzed. Further, of all critical points, the vertical displacements at arch top are more sensitive
to strength reduction factors. So, stability evaluation of Jinjishan tunnel will be made mainly
based on analysis of arch top stability of surrounding rock.
4.3. Tunnel stability analyses

The relationship between displacement of critical points and strength reduction method of
Jinjishan tunnel arch top is shown in Figure 10. According to strength reduction method
combined with catastrophe theory, this relation curve is fitted and analyzed by the trinomial
with degree 5, ζi = fi (F) (where i is the computation number and is bigger than 5). The results
are shown is Table 2.
As shown in Table 4, Safety factor of Jinjishan left tunnel judged by the strength reduction
method combined with catastrophe theory is 1.10, and 1.16 of right tunnel. This means that
the stable status of left tunnel is obviously smaller that the right tunnel under the 2 sets of
joints with the orientation of 62◦ 75◦ and 63◦ 169◦ .
206
Figure 7. Horizontal displacement of critical points.
Figure 8. Vertical displacement of critical points.
Figure 9. Total displacement of critical points.
207
Figure 10. Relation between ζ and F of critical point 3 and 7.
4.4. Discussion
Two problems should be mentioned here in adopting the strength reduction method com-
bined with strength reduction method:
(1) Number of data samples.
In fitting the trinomial ζ = a5 F5 + a4 F4 + a3 F3 + a2 F2 + a1 F + a0 , number of data samples
should be at least 5. This means at least 6 computations of strength reduction method should
be carried out to use the catastrophe theory. Or to say, stable displacements results should be
performed in the first 5 computations in strength reduction method.
(2) Selection of critical pints in tunnel surrounding rock according to the orientation of
joints.
In discontinuous deformation analysis, deformation of a block is effected by the interaction
of sides and numbers of surrounding blocks. Block chosen with critical points should be
located at the tunnel free face and with the smallest number of surrounding contact blocks.
For example (Fig. 11), there are 5 blocks can be chosen among which block 2 is hindered by
block 1 and block 3 while moving downward and block 4 is hindered by block 3 and block
5. In all these 5 blocks, only block 3 and block 5 are subjected to the smallest resistance.
Compare block 3 with block 5, the most satisfactory block to be adopted is block 3.
Figure 11. Possible blocks with critical points.
208
Table 2. Judgment on displacement catastrophe of critical point 3 and 7.

Critical point 3 Critical point 7
No. Strength reduction factor
Judging value Stable status Judging value Stable status
1 1.00
2 1.01
3 1.02
4 1.03
5 1.04
6 1.05 1.25 9385.79
Stable
7 1.06 0.04 19757.71
8 1.07 0.14 73368.69
9 1.08 0.24 86245.58
10 1.09 0.01 59386.54 Stable
11 1.1 0.01 76176.73
12 1.11 −0.24 136365.89
13 1.12 −0.58 138751.59
14 1.13 −21.97 0.08
15 1.14 −28.34 0.02
16 1.15 −2.73 0.04
17 1.16 −26.74 0.08
18 1.17 −16.25 −0.12
19 1.18 −16.49 −0.14
20 1.19 −29.12 −0.11
21 1.2 −87.13 −0.05
22 1.21 −41.52 Unstable −0.04
23 1.22 −581.67 −0.32
24 1.23 −7704.77 −0.45
25 1.24 −758.02 −0.47 Unstable
26 1.25 −3656.04 −0.51
27 1.26 −560.56 −0.21
28 1.27 −2939.17 −0.82
29 1.28 −8934.00 −2.13
30 1.29 −5988.02 −5.03
31 1.30 −5475.79 −12.17
5. Conclusions
The strength reduction method is used in discontinuous deformation analysis, and by dis-
placement catastrophe theory, the catastrophe point is judged. Thus the safety factor of tun-
nel surrounding rock is decided. The following conclusions are obtained in the research:
• Cusp catastrophe theory provided a theoretical basis to judge the displacement catas-
trophe point of tunnel surrounding rock, which avoids the subjectivity in judging the
point of sudden change.
• The strength reduction method combined with displacement catastrophe theory is
feasible to evaluate the stability of tunnel surrounding rock. This method provided
discontinuous deformation analysis and tunnel stability evaluation a new research
way.
209
• In studying tunnel surrounding rock stability by the strength reduction method com-
bined with displacement catastrophe theory, at least 6 computations should be made.
Blocks with critical points should be delicately chosen as those blocks with least
number of contacting blocks at free face.
Acknowledgements
This study is sponsored by the Chinese National Natural Science Foundation 50579088,
50639090. And thank Mr. Peng Yuwen and Mr. Guo Rui for their help in completing this
paper.
References
1. Everling, G. Model Study of rock-joint deformation. Int. J. Rock. Mech. Min. Sci & Geomech.
Abstr. 1: 1964, pp. 319–326.
2. Hobbs, D.W. Scale model study of strata movement around mine roadways–Roadway shape and
size. Int. J. Rock. Mech. Min. Sci &Geomech. Abstr. 6, 1969, pp. 305–404.
3. Goodman, R.E., Heuze, H.E and Bureau, G.J. On modeling techniques for the study of tunnels in
jointed rock. Fourteenth Symposium on Rock Mechanics: 1972, pp. 441–479.
4. Jiang Jueguang, Li Sonpeng, Qian Huiguo,et al. Scale model study of stability of tunnels in differ-
ent occurrence joined rock. Hydrogeology & Engineering Geology, 5, 1984, pp. 13–19.
5. Zhu Weishen, Ren Weizhong, Zhang Yujun, et al. Scale model study of the anchorage effect in
jointed rock under the excavation condition. Rock and Soil Mechanics, 18, 1, 1997, pp. 1–7.
6. Song Xuanmin, Gu Tiefeng, Liu Chongwei. Experimental study on roadway stability in rock-
mass with connected fissures. Chinese Journal of Rock Mechanics and Engineering. 21, 12, 2002,
pp. 1781–1785.
7. Cundall, P.A. Acomputermodel for simulating progressive, large scalemovements in blocky rock
system. Symposium of International Society of Rock Mechanics, Nancy, France, 1971, pp. 11–18.
8. Shi,G-H. Discontinuous deformation analysis — a newmodel for the statics and dynamics of block
systems. Ph.D. thesis, Department of Civil Engineering, University of California, Berkley. 1988.
9. MacLaughlin, M.: Discontinuous deformation analysis of the kinematics of rock slopes. Ph.D.
thesis. Department of Civil Engineering, University of California, Berkley. 1997.
10. McBride, A., Scheele, F. Investigation of discontinuous deformation analysis using physical lab-
oratory models. In: Bicanic,N. (ed.), Proc. Fourth International Conference on Discontinuous
Deformation Analysis, 2001,pp 73–82.
11. Michael Tsesarsky, Yossef H. Hatzor. Tunnel roof deflection in blocky rock masses as a function of
joint spacing and friction — A parametric study using discontinuous deformation analysis (DDA)
Tunnelling and Underground Space Technology 21, 2006, pp. 29–45.
12. Zhang Xiuli, Jiao Yuyong, Zhao Jian Simulation of failure process of jointed rock. J. Cent. South
Univ. Technol.15, 2008, pp. 888–894.
13. Zienkiewicz O.C., Humpheson C & Lewis R. W. Associated and non-associated viso-plasticity
and plasticity in soil mechanics. Geotechnique, 25, 4, 1975, pp. 671–689.
14. Saunders P.T. Introduction of Catastrophe Theory. Translated by Ling Fuhua. Shanghai: Shanghai
Scientific and Technical Documents Publishing House, 1983.
210
Micromechanical Simulation of the Damage and Fracture
Behavior of a Highly Particle-filled Composite Material Using
Manifold Method
HUAI HAOJU, CHEN PENGWAN∗ AND DAI KAIDA

State Key Laboratory of Explosion Science and Technology, Beijing Institute of Technology,
Beijing PR China, 100081
1. Introduction
Polymer bonded explosives (PBXs) are highly particle filled composite materials comprised
of 90–95% by weight of powerful secondary explosive particles and 5–10% by weight of
binder. Understanding and modeling the mechanical responses of PBXs is of great interest to
the defense industry and commercial applications to enable predictive constitutive models.
Previous research has shown that the properties of PBXs are a strong function of crystalline
fracture, interfacial strength and initial damage. For the PBXs and solid propellant materials,
there is a little of mesoscopic simulation data in the literature. Hubner et al.1 developed a
three-dimensional FEM model of an elementary cell to study the effect of detachments of the
matrix material from the filler surface on Poission’s Ratio. In his work, debonding leads to a
decrease in Poisson’s Ratio. A cohesive law is developed by Tan2 for modeling the mechanical
response of hydrostatic and uniaxial tension loaded PBX9501 based on Mori-Tanaka’s effec-
tive medium theory, the bulk modulus of PBX9501 is more than 40% lower than that of the
same material with perfect interfaces without any debonding. Wu3 developed a viscoelastic
cohesive zone model, which was implemented into an implicit finite element code based on a
slightly modified version of Yoon’s model, to predict combined damage of particles and inter-
face debonding in PBXs materials. The interactions can be made responsible for asymmetric
mechanical behavior in the tension and the compression range. The internal deformation and
grain interaction of granular explosives were studied by Bardenhagen using a particle-in-cell
method4 . With more computing power now available, it enables the development of detailed
mesoscopic models, which assess the evolution of internal microstructure, and analyze the
behavior of interfacial debonding.
Manifold Method proposed by Shi5 is a new numerical method, which provides a unified
framework for solving problems with both continuous and discontinuous media. By employ-
ing the concept of cover and two sets of meshes, manifold method combines the advantages
of FEM and Discontinuous Deformation Analysis. It can not only deal with discontinuities,
contact, large deformation and block movement as DDA, but also provide the stress distri-
bution inside each block accurately as FEM can. The numerical model of the original MM
possesses only the first-order accuracy, leading to dissatisfaction in simulating problems that
need high accuracy in displacement and stress distribution. To overcome this and expand the
applicability of MM, Zhang et al.6 developed the second order manifold method with six
node triangle mesh. In this paper, MM method is used to study the process of damage and
fracture of the PBX material under tensile and compressive loading basing on a micromechan-
ical numerical model. The influences of initial microcrack and microvoid on the deformation,
fracture and stress-strain curves of the material are also analyzed.
∗ Corresponding author. E-mail: pwchen@bit.edu.cn

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0121 211
Table 1. Material parameters of PBX

Young Poisson’s Tensile Cohesive Friction
modulus ratio strength strength angle
(GPa) (MPa) (MPa) (◦ )
Particle 31 0.3 4.75 2 30

Matrix 0.12 0.48 2 2 25
Interface / / 0.5 0.5 15
2. Micromechanical Simulation of PBX Under Tensile Loading

The MM models of some irregular particles without and with initial damage are shown in
Figures 1(a) and 2(a). The entire computational domain size is 1×1 unit square and contains
explosive particle and matrix, and the volume fraction of explosive particle is 53%. Three
microcracks and one microvoid are prefabricated as initial damage. The tensile displacement
loading is applied to vertical direction. The explosive particle and matrix are modeled as
elastic materials. The material parameters of PBX are listed in Table 1.
Figures 1 and 2 show the simulation results without and with initial damage. The results
show that interfacial debonding first occurs in the horizontal direction under the tensile
stresses. And then debonding surface develops gradually in the model without initial damage,
while crack develops along the prefabricated crack direction in the model with initial dam-
age. With the development of loading, the crack initiation also appears in the matrix due to
the smaller strength of matrix. The stress concentration forms around particles because of the
Particle
Matrix
1
F
(a) (b) (c)
(d) (e) ( f)
Figure 1. Simulation results of irregular particle without initial damage.
212
Particle
Matrix
1
Void Cr ack
(a) (b) (c)
(d) (e) ( f)
Figure 2. Simulation results of irregular particle with initial damage.

Stress
Stress
Strain Strain
(a) Without initial damage (b) With initial damage
Figure 3. The stress-strain curves.
redistribution of stress, which also causes the initiation and development of other cracks. The
long continuous trans-binder crack dominates the development process, which penetrates the
whole material model and induces the fracture of material. Interfacial debonding and matrix
cracking are key damage modes.
Figure 3 shows the relation of stress and strain without and with initial damage respec-
tively, demonstrating that the stress-strain curves change linear to nonlinear due to interfacial
debonding. The nonlinearity of material is more obvious with development, connection and
perforation of crack.
213
3. Micromechanical Simulation of PBX Under Compressive Loading

The numerical model and material parameters are the same with that of Section 2. The com-
pressive displacement loading is applied to vertical direction, see in Figures 4(a) and 5(a).
Figures 4 and 5 show the development process of crack without and with initial damage
under compressive loading respectively. The interfacial debonding first occurs in the load-
ing direction, and then crack initiation appears in matrix at many different locations. These
cracks propagate and develop due to stress concentration. The fracture of explosive particle
occurs when the stress exceeds the tensile strength of particle, and develops along prefabri-
cated crack direction. Connected crack causes the rupture of material in the end. Compared
with Section 2, the particle occur fracture besides interfacial debonding and matrix crack-
ing in simulation results. In the model with initial damage, the initial damage reduces the
mechanical property, and causes explosive particle to damage easily. It is in good agreement
with microscopic test results of reference.7
4. Asymmetry of Tension and Compression of PBX

In order to only consider the influence of interfacial debonding, we increase the strength of
explosive particle and matrix, and decrease the strength of interface in numerical simulation.
Figure 6 shows the result of asymmetry of tension and compression of PBX without and with
initial damage respectively. The range of asymmetry is controlled by tensile strength of inter-
face. The phenomenon exists due to different influence factors of tension and compression
condition. The interfacial friction effect determines compression mechanical property, while
the bonding strength determines tensile mechanical property. The simulation results are agree
with the result of test,8 see in Figure 7.
Particle
Matrix
F
(a) (b) (c)
(d) (e) ( f)
Figure 4. Simulation results of irregular particle without initial damage.
214
Particle
Matrix
Crack
Void
F
(a) (b) (c)
(d) (e) ( f)
Figure 5. Simulation results of irregular particle with initial damage.
Tensile
Tensile
Compressive Compressive
Stress
Stress
Strain Strain
(a) Without initial damage (b) With initial damage
Figure 6. Asymmetry of tension and compression of PBX.
5. Conclusions
The process of damage and fracture of PBX under tensile and compressive loading was stud-
ied by the manifold method. The simulation results show that interfacial debonding and
matrix cracking are key damage modes, while transgranular fracture is only exist under
compressive loading. Initial damage decreases the mechanical property of PBX, and makes
fracture easily. The results also demonstrate asymmetry of tension and compression of PBX.
The results show that manifold method is effective to simulate the micromechanical damage
and fracture of particle-filled composite materials, and can be used to predict the mechanical
behavior of the composite materials.
215
Tensile
Compressive
Figure 7. Stress-strain curve of tensile and compressive loading of PBX.
Acknowledgements
The authors of this paper acknowledge the support from The National Basic Research Pro-
gram of China (No. 613830202), The National Natural Science Foundation of China (No.
10832003), and New Century Excellent Talents in University of China.
References
1. Hubner, C., Geibler, E., et al, “The Importance of Micromechanical Phenomena in Energetic Mate-
rial”, Propellants, Explosives, Pyrotechnics, 24, 1999, pp. 119-125.
2. Tan, H., Huang, Y., Liu, C., et al, “The Mori-Tanaka Method for Composite Materials with
Nonlinear Interface Debonding”, Int J Plasticity, 21, 10, 2005, pp. 1890–1918.
3. Wu, Y.Q. and Huang, F.L., “A Micromechanical Model for Predicting Combined Damage of Par-
ticles and Interface Debonding in PBX Explosives”, Mechanics of Materials, 41, 2009, pp. 27–47.
4. Bardenhagen, S.G., Brackbill, J.U., Sulsky, D., “The Material-point Method for Granular Materi-
als”, Comput. Methods Appl. Mech. Engrg., 187, 2000, pp. 529–541.
5. Shi, G.H, and Goodman, R.E., “Discontinuous Deformation Analysis”, Proceedings of the 25th
US Symposium of Rock Mechanics, Published by Society of Mining Engineers ,1984, pp. 269–277.
6. Zhang G.X., Sugiura, Y., Hasegawa, H. and Wang, G.L., “The Second Order Manifold Method
with Six Node Triangle Mesh”, Structural Eng./Earthquake Eng. JSCE, 19, 1, 2002, pp. 1-9.
7. Chen, P.W., Damage Theory of Energetic Material and Its Application, Beijing: Beijing Institute
and technology Publishing Company, 2006.
8. Li, M., Wen, M.P., Huang, M., et al, “Evaluation of Coherence Strength of Energetic Crystalline
Granules by Compressive Stiffness Method”, Chinese Journal of Energetic Materials, 15, 3, 2007,
pp 243–247
216
The Application of Discontinuous Deformation Analysis in the
Slope Stability of the Expansive Soil
LIN YULIANG∗ AND WEI LINGJING

College of Civil & Architectural Engineering, Guangxi University, Nanning, Guangxi, 530004, China
1. Introduction
The expansive soil expands while moisture content increases and contracts while moisture
content decreases. According to the relative information about geological prospecting in
China, especially the information about geological prospecting of expansive soil slopes in
Nayou expressway in Guangxi, it is shown that under the effects of geology and natural
weather of dry and wet cycles, fissures are caused and developed in many slopes of expan-
sive soil, the strength of the soil continuously weaken, the unloaded joints on the slope foot
accelerate the joint system development, the slope finally become a block system. Thus there
are following features of the expansive soil slope: (1) Block structure. That is said, under
some certain conditions, many slopes of expansive soil are finally become a block system.
The continuous medium mechanics is not suitable for these slopes. (2) Traction-type failure.
The slope slides again and again for many times. After the first slide, the strength of the
soil continuously weaken, which could form the second, or the third slide again. (3) Step by
step failure. The strength of the soil continuously weakens step by step. (4) Expansibility.
The expansive forces between the blocks and the volume of the blocks increase while the
moisture content increases.
Based on the fact that slope of expansive soil had became block system on the later stage,
and considering the other features of the slope of expansive soil, we put forward a new
method of discontinuous deformation analysis for the slope stability of the expansive soil in
papers.1−2 We will proceed to study further and to discuss the relationship between the slope
stability and the moisture content of the expansive soil especially in this paper.
2. DDA Method for the Slope Stability of the Expansive Soil

2.1. The calculating model of slope block system
There are two component mediums in the expansive soil slopes in NANYOU expressway in
Guangxi: the layer of expansive soil and the layer of mudstone (sometimes there is a layer
of surface soil above). The expansive soil is classified into two layers: the upper layer is
greyish white expansive soil; the under layer is greyish black expansive soil. There are some
horizontal or incline discontinuous planes in expansive soil. Generally, these discontinuous
planes are surface of soil layer, but some probably are joint plane or crack planes causing by
dry condition.
There are also some vertical discontinuous planes which are caused by dry condition: some
are parallel to the top line of slope; another is normal to the top line of slop. The mudstone
is subdivided into several layers in general.
According to the features of slopes of the expansive soil and Discontinuous Deformation
Analysis, we put forward the calculating model of expansive soil slope as Fig. 1. If the vertical
∗ Corresponding author. E-mail: lyl@gxu.edu.cn

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0124 217
Figure 1. 2-D calculating model of slope.
discontinuous planes which are normal to the top line of slop are well developed, there is a
plane stress model; if not, there is a plane strain model. This model has bellow features: Under
the effects of geology and natural weather of dry and wet cycles, many slopes of expansive
soil become a block system; each block can be considered elastic; There are the weight of
block, the frictional force, the water pressure, the expansive force, etc. between the blocks in
the block system; the lower layers are mudstone layers.
2.2. Basic calculating equation of slope block system

According to Dr. Gen-Hua Shi’s Discontinuous Deformation Analysis 3 , we put forward a
new method of discontinuous deformation analysis for the slope stability analysis of the
expansive soil.
Suppose there are constant stress and constant strain in every block at any time, the dis-
placements (u,v) of any point (x,y) in the block can be expressed by six displacement con-
stants:
(u0 ,v0 ,r0 ,εx ,εy ,γxy )
Where (u0 ,v0 ) are the rigid displacements of the special point (x0 ,y0 ) in the block; r0 is the
turning angle round about turning center(x0 ,y0 ); (εx ,εy ,γxy ) are the block strains.
The blocks are connected to form a block system by the contact between the blocks and
the displacement restraints for blocks. Suppose there are n blocks in the block system, the
basic equations are as follows:
⎡ ⎤⎧ ⎫ ⎧ ⎫
K11 K12 K13 ··· K1n ⎪ ⎪ D1 ⎪⎪ ⎪
⎪ F1 ⎪
⎪
⎢ K21 ··· K2n ⎥ ⎪
⎪ ⎪
⎪ ⎪
⎪ ⎪
⎪
⎢ K22 K23 ⎥⎨⎪ D 2 ⎪ ⎪
⎬ ⎨ 2⎪
F ⎬
⎢ K31 K32 K33 ··· ⎥
K3n ⎥ D3 = F3
⎢ (1)
⎢ .. .. .. .. ⎥ ⎪⎪ . ⎪ ⎪ . ⎪
⎣ . . .
..
. . ⎦⎪ ⎪ .. ⎪⎪ ⎪
⎪ ⎪ .. ⎪
⎪ ⎪
⎪
⎪
⎩ ⎪ ⎪
⎭ ⎩ ⎪ ⎭
Kn1 Kn2 Kn3 ··· Knn Dn Fn
Because of every block has six degrees of freedom (u0 ,v0 ,r0 ,εx ,εy ,γxy ), so every matrix
element Kij in above equations is a 6 × 6 submatrix. [Di ]and [Fi ] are 6 × 1 submatrixs where
[Di ]represents the deformed variations (d1i ,d2i ,d3i ,d4i ,d5i ,d6i ) and [Fi ] represents the
loads which are distributed to six variations. Submatrix [Kii ] is relative with the properties of
block i; Submatrix [Kij ] (i = j) represents the contact relationship between block i and block j.
218
2.3. The constitutive law of a block and handle of parameters

2.3.1. The shape of a block
For convenient, suppose there are two types of a block shape: one is quadrilateral; another
is triangle.
2.3.2. The physical and mechanical properties of the blocks

Every block can be consisted of different materials, such as normal soil, expansive soil, nor-
mal rock and expansive rock. So we can input different material parameters for each block.
2.3.3. The force analysis of a block

Every block is acted upon by elastic stresses, dead weight of a block, expansive force, initial
stresses and inertial force etc. The dead weight and expansive force can be considered as
body forces. The dead weight is constant. The expansive force is a function of block moisture
content.
2.3.4. The constitutive equation of a block for expansive soil

Expansive soil belongs to the type of unsaturated soil. We consider that the Fredlund model
can better represents the constitutive model of a bock. In the plane strain condition, the
constitutive equation of a bock is as follows:

1 − μ2 μ us
εx = (σx − ua ) − (σy − ua ) +
E 1−μ Eus

1 − μ2 μ us
εy = (σy − ua ) − (σx − ua ) +
E 1−μ Eus
2(1 + μ2 )
γxy = τxy (2)
E
where E — elastic modulus of expansive soil;
μ — Poisson’s ratio of expansive soil;
ua — pore air pressure;
us — Absorption force
Eus — Elastic modulus of soil structure relating with the variation of absorption force.
2.3.5. The choice of the calculating time step

The calculating time step can not be determined accurately in terms of theory, but in practice,
we adjust the calculating time step by the method of trial and error gradually to determine
the optimum value in the case of the calculating time step is not very large.
2.4. Mechanics of block system

2.4.1. The geometrical contact relation between blocks
The geometrical contact relation between blocks is simplified as the contacts of the edges and
the angle points between adjacent blocks as shown in Fig. 2.
219

L L L M

M M L M

Figure 2. Geometric Contacts between blocks.
2.4.2. The criterions of to plus or to subtract springs between blocks

There are two criterions that must be satisfied while two blocks contact:
(1) Intrusion to each other between the blocks is not allowed;

(2) There are not tensile forces between the edges of blocks.
For satisfying these two criterions, it is necessary to plus or to subtract springs between
blocks in the processing.
2.4.3. The determination of boundary displacement conditions

The points are called fixed point which displacements are known (including the point which
displacements are equal to zero). Stiff springs are needed to plus to block system in the direc-
tions of displacement variety to insure fixed point has appointing displacements. According
to the precision of displacement of fixed point, we can adopt different restraints in variety
degrees that is said to adjust the stiffness of spring for to achieve an optimum restraint state.
3. DDA Program and Calculating Examples

DDA program are compiled by using Visual C++ as development platform of Windows.
The program is two dimensions (plane strain and plane stress). We adopt some slopes which
is composed of expansive soil and mudstone in Nanyou highway of Guangxi, China as cal-
culating examples.
3.1. The relating mechanical parameters of the slopes

The mechanical parameters of expansive soil and mudstone are derived by experiments as
follows.
Table 1. The deformation parameters of greyish white expansive soil.

Deformation parameters in different moisture content
moisture content 5.27% 9.59% 14.39% 17.24% 21.43% 24.90% 28.39% 54.40%
Poisson’s ratio μ 0.20 0.23 0.24 0.35 0.37 0.41 0.48 0.50
E(mPa) 54.26 41.62 33.35 30.85 17.77 13.82 5.52
220
Table 2. The strengths parameters of greyish white expansive soil.

Shear strengths in different moisture content
Saturation level 100.00% 92.38% 85.16% 80.74% 75.01%

moisture content 29.62% 26.89% 24.82% 24.17% 22.01%
Friction angle (˚) 10.77 12.63 15.49 17.4 21.27
Cohesion (kPa) 71.28 86.03 98.28 113.71 156.27
Table 3. The mechanical parameters of grayish black expansive soil.

Deformation parameters Shear strengths
moisture content 10.70% 18.23% 32.05% Moisture content 35% 32.70% 27.41%
Poisson’s ratio 0.26 0.28 0.46 Friction angle (˚) 10.4 14.3 23.5
E(MPa) 45.96 23.04 12.57 Cohesion (kPa) 53.31 71.4 76.4
3.1.1. The mechanical parameters of expansive soil

There are two layers for expansive soil: one is greyish white; another is greyish black. The
mechanical parameters of expansive soil are largely depended on the moisture content as
shown in Tables 1–3 and Figs. 3–6.
According to above information, we can get the mechanical parameters of expansive soil
as shown in Table 4 by the interpolation method.
The unit weights of these two expansive soils are 17.5 and 19.4 kN/m3 respectively.

: :
Figure 3. Poisson’s ratio μ for grayish white soil. Figure 4. Elastic modulus for grayish white soil.

(

: :
Figure 5. Poisson’s ratioμ for grayish black soil. Figure 6. Elastic modulus for grayish black soil.
221
Table 4. The values of μ and E in different moisture content.

Grayish white expansive soil
moisture content 10% 15% 20% 25% 30%

Poisson’s ratio 0.23 0.26 0.36 0.41 0.48
Elastic modulus (mPa) 40.91 32.81 22.23 13.58 4.14
Grayish black expansive soil
moisture content 10% 15% 20% 25% 30%

Poisson’s ratio 0.26 0.27 0.30 0.37 0.43
Elastic modulus (mPa) 47.12 32.87 21.70 17.91 14.12
3.1.2. The mechanical parameters of mudstone

The elastic modulus E is 169(mPa), the Poisson’s ratio μ is 0.27, the unit weight is 21.1
kN/m3 .
3.2. The calculating examples

Two cases about the block displacement and failure situation of expansive soil slopes are
calculated: one is in the case that has the same moisture content; another is in the case that
has different moisture content. Then we analyze these examples according to the results of
calculating.
3.2.1. The displacement patterns of an expansive soil slope in the case of 20%
moisture content
The displacement and failure patterns of an expansive soil slope in the case of 20% moisture
content are as Figs. 7–12 in different calculating time steps.
We can see that, the displacement patterns of an expansive soil slope can be derived by
using the discontinuous deformation analysis step by step. These results are consistent with
practical situation.
Figure 7. Displacement pattern at time step 2. Figure 8. Displacement pattern at time step 5.
222
Figure 13. Displacement pattern for 10% moisture. Figure 14. Displacement pattern for 15% moisture.
3.2.2. The displacement patterns of an expansive soil slope in different moisture

contents
From Sec. 3.1.1, we can see that the mechanical parameters of expansive soil are largely
depended on the moisture contents of expansive soil: while moisture content of expansive soil
increase, the poisson’s ratio μ increase, the elastic modulus and shear strengths decrease. So
the slope stability of the expansive soil must be largely depended on the moisture contents of
223
Figure 15. Displacement pattern for 20% moisture. Figure 16. Displacement pattern for 25% moisture.
Figure 17. Displacement pattern for 30% moisture.
expansive soil too. The relationship between the slope stability of expansive soil and moisture
content is studied by using the DDA program as follows.
The displacement patterns of an expansive soil slope in different moisture content when
calculating time step is 25 (Figs. 13–17).
From Figs. 13–14, we can see that the slope displacement pattern of the expansive soil is
largely relating with its moisture content, the higher the moisture content of expansive soil,
the larger the displacements of slope blocks if the other conditions are the same. These results
are also consistent with practical situation.
4. Conclusions
From above calculating results and the analysis, we can get the following conclusions:
(1) Under the effects of geology and natural weather of dry and wet cycles, many slopes
of expansive soil are caused the development of the fissures and finally become a block
system;
(2) Calculating the block displacement and analyzing the slope stability of expansive soil
are feasible by using Discontinues Deformation Analysis (DDA) while expansive soil
becomes a block system;
224
(3) The slope stability of the expansive soil depends on the moisture content. In general, the
higher the moisture content, the lower the stability of slope if the other conditions are
the same.
References
1. Liu Longwu, Lin Yuliang, An Yanyong, Yan Lie. The Research of Calculating Models and Meth-
ods for the Stability of Swelling Soil Slopes. Theory and Practice of Expansive Soil Treatment
Technology. China Communications Press. 2005. pp. 124–131
2. LIN Yu-liang, CHEN Xiao-liang, YANG Yang. A new method of discontinuous deformation anal-
ysis of the slope stability of expansive soil. Rock and Soil Mechanics. 2007, Vol. 28. pp. 255–258.
3. Shi Genhua. Numerical Manifold Method and Discontinuous Deformation Analysis. Qinghua
University Press. 1997.
225
Extension of Distinct Element Method and Its Application in
Fracture Analysis of Quasi-Brittle Materials
Y.L. HOU1 , G.Q. CHEN1,∗ AND C.H. ZHANG2

1 Dept. of Civil Engineering, Kyushu University, Fukuoka, Japan
2 Dept.of Hydraulic and Hydro-power Engineering, Tsinghua University, Beijing, China
1. Introduction
Fracture and collapse analysis of a system comprised of quasi-brittle materials such as rock
and concrete is an important research topic in the field of computational solid mechanics.
Development of a numerical model that is capable of treating the failure of continuous media
as well as the simulation of transition process from the continuum to discontinuum is a quite
challenging problem. Continuum-based finite element method (FEM) has achieved great suc-
cess in simulating the initiation and propagation of crack by nonlinear fracture mechanics
models such as smeared crack model1 and discrete crack model.2 But the method is not
suitable for the simulation of post-failure processes, especially when large deformation and
topological changes are involved.
In recent years, the distinct element method (DEM) has been applied in the fracture analysis
of quasi-brittle materials due to its inherent advantage in modelling discontinuous media.
In particular, rigid particle DEM3 has attracted much attention nowadays which explains
the macro-scale fracture phenomena through the simulation of the material meso-structure.
Rigid particle DEM is conceptually simple and the material failure as well as the fracture
propagation appears naturally in the simulation process. Unfortunately, approaches based on
trial-and-error are usually needed to determine the microscopic parameters yielding required
macroscopic parameters, which has significantly limited the application of the particle DEM.
Other methods such as the combined finite/distinct element methods4−5 are also available,
which adopt triangular or quadrilateral finite elements by discretizing each block. Usually
the fracture of material is limited to inter-element boundaries if a finite element is adopted
in each block. Obviously, it is necessary to arrange a large number of blocks in order to
solve practical engineering problem, which results in exhaustive computational cost for the
contact detection. When many finite elements are adopted in each block, it is necessary to
introduce new physical cracks through previously intact mass and the finite element mesh
of blocks must be changed adaptively to explicitly capture the propagation of the crack6−7 ,
which becomes a bottleneck of the application of this method.
In order to overcome the above shortcomings, a new method is proposed to deal with the
problem of fracture of quasi-brittle materials in this paper. A discrete crack model is intro-
duced into three-dimensional deformable discrete element code (3DEC)8 to simulate mode
I fracture and I/II mixed mode fracture. In the method, discrete blocks are discretized into
tetrahedral elements to simulate the deformation of the blocks. Moreover, the fictitious inter-
faces between discrete blocks are created along the potential crack paths from the beginning
of the analysis when potential crack paths are known in advance or predicted by other meth-
ods. Along the fictitious interfaces, a discrete crack model is adopted, accounting for the
failure and softening property of the quasi-brittle materials. To illustrate the performance of
the presented method, the numerical model is applied to analyze a concrete beam in mode I
∗ Corresponding author. E-mail: chen@civil.kyushu-u.ac.jp

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0127 227
fracture experiment and an asymmetric three-point bending beam with a single-edge notch in
I/II mixed mode fracture experiment. The comparison between experimental and numerical
results illustrates that the method is capable of quantitatively predicting material failure and
fracture propagation. It is also concluded that the method lays a theoretical foundation for
the numerical simulation from damage initiation in meso-scale (even micro-scale) to complete
process of rupture in macro-scale.
2. Discrete Crack Model

Discrete crack model based on the fictitious crack model concept proposed by Hillerborg and
co-workers9 has been widely and successfully used in the analysis of the fracture of quasi-
brittle materials. In order to simulate the crack initiation and its propagation, it is necessary
to establish some reasonable failure criteria and constitutive models, governing the mate-
rial failure and crack propagation. Different types of failure criteria have been put forward
in the past several decades. In early research works, the criterion for crack occurrence was
exclusively maximum tensile stress criterion, i.e. the crack opens if the normal stress along
the crack plane reaches the tensile strength of the material. Later, Margolin10 suggests that
crack starts if an effective stress intensity factor for mixed-mode fracture is larger than the
fracture stress. Some recent literatures provide new criterion by introducing a failure surface
in the stress space, similar to the yield surface in the classic plasticity theory, which is used
to determine the crack initiation under pure tension, shear-tension and shear-compression
loading.11−12 Once crack occurs, crack propagation mechanism is described with a consti-
tutive model that explains the relationship between the normal and shear stresses on the
crack plane and the corresponding normal opening and shear sliding displacements. In the
proposed approach, the failure surface concept and the shear retention factor in smeared
fixed crack model1 are followed and the approach used by Camocho et al.13 to deal with the
traction-displacement relationship is extended. As to the discrete crack model, a failure cri-
terion featuring tensile-shear zoning is developed based on the classic Mohr-Coulomb joint
failure criterion. The mechanism of micro-cracks initiation and propagation is taken into
account by incorporating the softening behaviour of the material.
2.1. Failure criterion of tensile-shear zoning

The critical stress for crack initiation is estimated from the stress point position in the failure
surface as illustrated in Figure 1 according to the failure criterion of tensile-shear zoning. For
the designated fictitious interface of discrete blocks, the failure surface (positive stands for
tension) F, which is a function that specifies the limiting stress combination for which crack
takes place, is defined by the following expression:
F (σn ,τ ) = |τ | + tan φf σn − c (1a)
F (σn ) = σn − ft (1b)
where σn and τ are the normal and shear stresses on the crack plane (fictitious interface),
respectively. c, φf and ft are cohesion, friction angle and tensile strength, respectively. Failure
surface consists of tension failure surface and tensile-shear failure surface and all the stress
points below the surface are characterized by elastic behaviour. Supposing the stress point
at time t is below the surface and lies in zone 1 of Figure 1, an elastic prediction for the
contact stresses at time t + t is given by:
σn = −kn un (2a)
228
φf
F(σn) = 0 σn
F(σn ,τ ) = 0
Figure 1. Crack surface of tensile-shear zoning.
τ = −ks us (2b)
where kn and ks are the crack contact stiffness in the normal and tangential directions, respec-
tively, and un and us are the normal and tangential relative displacements, respectively. If the
elastic prediction violates the failure function, i.e. F(σn ,τ ) 0 or F(σn ) 0, then micro-
cracks take place and a softening contact constitutive model is adopted (to be presented in
Section 2.2) in the computation of contact stresses. If the elastic prediction stress point lies in
zone 2 , tension failure criterion of the Equation (1b) is adopted and crack starts mainly due
to the normal stress of contact exceeding the tensile strength. If the elastic prediction lies in
zone 3 , crack starts due to both tensile damage and shear damage. If the elastic prediction
stress point lies in zone 4 , Mohr-Coulomb failure criterion of the Equation (1a) is adopted
and crack starts mainly due to shear damage. The stresses at crack initiation as marked by
the arrows in Figure 1 are given by:

σ0 = ft , τ0 = −ks us zone
2 (3a)

σ0 = ft , τ0 = −sign(us )τmax zone 3 (3b)

σ0 = −kn un , τ0 = −sign(us )τmax zone
4 (3c)
where σ0 and τ0 are the normal and tangential stresses at crack initiation, respectively;
sign(x) is the sign function and τmax = −tanφf σ0 + c denotes maximum shear stress. The
adoption of the above proposed failure criterion featuring tensile-shear zoning allows the
determinations of the stress conditions at which micro-cracks initiate in the quasi-brittle
materials considered.
2.2. Simulation of crack propagation

Quasi-brittle materials do not totally exhaust their strength after micro-cracks initiate and
propagate, as the material within the fracture process zone is able to transfer stresses across
the crack interface. Hence, the definition of the traction-displacement relationship along the
229
interface can affect the overall response to a great extent. Camacho et al.13 considered that
the tractions which resist the opening and sliding of the crack decrease with the increase of the
crack opening. Well and Sluys14 also argued that the softening behaviour at the interface was
driven only by the normal separation at the interface. Moreover, many experiments show that
crack is initiated with mixed mode I/II effect, but propagates with mode I dominant under
tensile-shear loading. In this paper, the following rules are applied to model the interfacial
softening behaviour:
(1) Crack initiation is determined by the aforementioned failure criterion of tensile-shear

zoning. The normal stress is a function of the crack opening and is independent of the
relative sliding displacement. A bilinear tension softening model for the tensile strength
proposed by Petersson15 as shown in Figure 2 is adopted and the maximum crack open-
ing wf is determined by fracture energy Gf and normal stress σ0 at crack initiation:
3.6Gf
wf = . (4)
σ0
The normal stress transferred across the discontinuity interface is calculated from:
w
σ0 − wf (σ0 − fm ), (0 ≤ w < wm )
σn = fm (5)
wf −wm (wf − w), (wm ≤ w ≤ wf )

The turning point (wm , fm ) of the curve is (2wf 9, σ0 3). Unloading behaviour is
simulated using the secant stiffness.
(2) The softening curve for the cohesion is the same as the softening curve of the tensile
strength and the cohesion reduces to zero when the normal stress transmitted across the
interface becomes zero. When crack propagates, the cohesion c is given by:
σn c
c = (6)
σ0
(3) The shear stiffness reduces with the crack opening. A linear constitutive law is adopted
between tangential stress and relative sliding displacement. Meanwhile the Mohr-Coulomb
σn
σ0
fm
wm wf w
Figure 2. Bilinear tension-softening model.
230
failure criterion must be satisfied:

σn
β= (7a)
σ0
τ = −βks us , when |τ | ≤ tan φf σn + c (7b)

τ= −sign (us ) τmax when |τ | > tan φf σn + c (7c)

where β is the reduction coefficient of shear stiffness and τmax = tanφf σn + c denotes the
maximum shear stress.
3. Numerical Implementation of Discrete Crack Model in 3DEC

The above discrete crack model is implemented into the 3DEC program through modify-
ing the failure criterion and constitutive model of contact definition with FISH language,
which enables the user to define new variables and functions or to modify the intermediate
data computed by 3DEC according to the user’s request during computation. DEM uses an
explicit time-marching scheme to solve the equations of motion directly. At each time step,
the contact relative displacements calculated by 3DEC in normal and shear directions can
be obtained, and the contact stresses are calculated with FISH language in accordance with
the discrete crack model described above. Based on the extended 3D deformable DEM with
discrete crack model along the fictitious interface, progressive damage and fracture within
quasi-brittle materials can be simulated. Some verification analyses results are shown in the
following section.
4. Verification Analyses
4.1. Analysis of mode I fracture in notched beam
The experimental results published by Petersson15 are commonly used for the verification
analysis of mode I fracture of quasi-brittle materials. The geometry of the notched beam was
2000 × 200 × 50mm3 (length × height × thickness). The depth of the notch was 100 mm.
The loading F is applied by imposing displacement of the loading point on the top of the
notched beam at a velocity of 2.0e-4m/s. The discretization of the test beam is shown in
Figure 3, in which a fictitious interface is created at the top of the notch.
The materials properties in the simulation are shown in Table 1. As mode I fracture is
dominant in the test specimens, the shear stresses transferred across the crack plane should
be nearly zero, hence the cohesion and friction coefficient are set to zero in the numerical
simulations.
The predicted and experimental load-displacement curves of the notched beam are shown
in Figure 4. It can be seen that the computational results mostly fall in the range of those of
F
notch fictitious interface
Figure 3. Discretization of the notched beam.
231
Table 1. Material properties of the test of Petersson beam.15

Young’s modulus (GPa) Tensile strength (MPa) Fracture energy (N/m) Poisson’s ratio
30 3.33 124 0.2
900
600
F (N)
DEM Simulation
300 Exp. Upper
Exp. Lower
0
0.0 0.2 0.4 0.6 0.8
D (mm)
Figure 4. Load-displacement curves.
(a) (b)
Figure 5. Deformed configuration at different displacements (scaled by 100) (a) D = 0.3 mm,
(b) D = 1.0 mm.
the experiments The calculated peak load is very close to the test results, which approves that
the failure criterion adopted in the paper is quite suitable for modelling mode I fracture. It is
also shown that the computed post-peak load-displacement curve compare favourably with
that of the experiment, which is greatly influenced by the definition of the softening curve.
Further results are shown in Figure 5 which presents the deformed configuration scaled
by 100 at two typical loading stages. It is shown that a true crack forms along the fictitious
interface and stability of system would be lost if the displacement at the top side of the beam
above the notch continues to increase. During the loading phase, the modelled system is
progressively damaged and subsequently fractured. The proposed method allows a successive
numerical simulation of the whole loading process from elastic stage to local damage and to
the final overall collapse of the system analyzed.
232
D
P
D
notch
7D/4 D/2 2D D/4
Figure 6. Geometry, force and boundary conditions of the notched beam.
Table 2. Material properties of the test of by Gálvez.16

Young’s modulus (GPa) Tensile strength (MPa) Fracture energy (N/m) Poisson’s ratio
38 3.0 69 0.2
4.2. Analysis of I/II mixed mode fracture test

A mixed-mode fracture experiment with a single-edge notched beam tested by
Gálvez et al.16 is selected to test the performance of the presented method in this paper, which
has also been analyzed by Gálvez et al.12 using a cohesive crack finite element approach. The
geometry, force and boundary conditions of the test are shown in Figure 6. The beam was
dimensioned as 300mm in height, 1350mm in length and 50 mm in thickness. The notch
depth was a half of the beam height. The fictitious interface is predicted by the smeared
crack model developed into 3DEC by Hou et al.17 . Table 2 gives a summary of the material
properties. The fictitious interface had a friction coefficient of 1.2, cohesion of 3.6MPa and
the initial normal and shear stiffnesses of the fictitious interface are 2.0e + 4GPa/m. The
calculation is performed under displacement control at the loading point using displacement
increments corresponding to a velocity of 2.0e − 4m/s. The discretization of the beam is
shown in Figure 7.
The load-displacement (F − D) response of the notched beam is shown in Figure 8, also a
comparison of the load-crack mouth opening displacement (F-CMOD) is given in Figure 9.
It can be seen that the computed peak load is a little smaller than that of the experiments,
but quite close to that calculated by Gálvez et al.12 The cause of lower prediction may be due
to an earlier crack initiation in the computation according to the proposed failure criterion
as compared to the crack occurrence during the experimental test. It can also be observed
fictitous interface
Figure 7. Discretization of the beam.
233
12.0
Exp. Upper
9.0 Exp. Lower
F (KN)
DEM Simulation
Gálvez et al. [12]
6.0
3.0
0.0
0.0 0.1 0.2 0.3
D (mm)
Figure 8. Load-displacement curves.
12.0
10.0 Exp. Upper

Exp.Lower
F (KN)
8.0 DEM Simulation

Gálvez et al. [12]
6.0
4.0
2.0
0.0
0.0 0.2 0.4 0.6
CMOD (mm)
Figure 9. Load-CMOD curves.
that the calculated post-peak response is quite close to the experimental results, which illus-
trates that the proposed relationship of traction-displacements after crack initiates can well
simulate the crack propagation under tensil-shear loading.
Figure 10 shows the deformed configuration of the beam in the vicinity of the notch when
the displacement of load point is 0.1mm and 0.3mm, respectively. It can be seen that even
though noticeable relative sliding displacement can be mobilized as a result of deep crack
formation, its magnitude is much smaller than the crack mouth opening displacement. The
observation from the simulation results illustrates that crack starts under mixed mode under
the loading conditions but propagates in a mode I dominant state.
234
(a) (b)
Figure 10. Deformed configuration at different displacements (scaled by 100) (a) D = 0.1 mm,
(b) D = 0.3 mm.
5. Conclusions
A new method for modelling fracture of quasi-brittle materials under tensile and tensile-shear
stress conditions has been developed based on conventional 3D deformable DEM. A new
discrete crack model with failure criterion featuring tensile-shear zoning is introduced into
3DEC program by the FISH language. Crack propagation is simulated through the gradual
reduction of stiffness and strength which are driven only by the normal opening of the crack,
in which only some ordinary material properties, including the tensile strength, the friction
coefficient and the cohesion, are taken into account. Through verification analyses of both
mode I and I/II mixed mode fracture notched beam experiments, it is shown that the new
approach of incorporating discrete crack model into DEM is capable of simulating the entire
fracture process within quasi-brittle materials.
Acknowledgements
The presented research work and the preparation of this paper have received financial
support from the Global Environment Research Found of Japan (S-4), grants-in-Aid for Sci-
entific Research (Scientific Research(B), C19310124, G. Chen) from JSPS (Japan Society for
the Promotion of Science). These financial supports are gratefully acknowledged.
References
1. De Borst, R. and Nauta P., “Smeared Crack Analysis of Reinforced Concrete Beams and Slabs
Failing in Shear”, Proceedings of the International Conference on Computer Aided Analysis and
Design of Concrete Structures, Swansea: Pineridge Press, 1984, pp. 261–273.
2. Gálvez, J.C, Èervenka, J., Cendón, D.A. and Saouma, V.A., “A Discrete Crack Approach to
Normal/shear Cracking of Concrete”, Cement and concrete research, 32, 1, 2002, pp. 1567–1585.
3. Azevedo, N.M. and Lemos, J.V., “A Generalized Rigid Particle Contact Model for Fracture Anal-
ysis”, International Journal for Numerical and Analytical Methods in Geomechanics, 29, 3, 2005,
pp. 269–285.
4. Ghaboussi, J., “Fully Deformable Discrete Element Analysis Using a Finite Element Approach”,
Computers and Geotechnics, 5, 3, 1988, pp. 175–195.
5. Munjiza, A. and John N.W.M., “Mesh Size Sensitivity of the Combined FEM/DEM Fracture and
Fragmentation Algorithms”, Engineering Fracture Mechanics, 69, 2, 2002, pp. 282–295.
6. Owen, D.R.J., Feng, Y.T., de Souza Neto, E.A., Cottrell, M.G., Wang, F., Andrade Pires F.M. and
Yu, J., “The Modelling of Multi-fracturing Solids and Particular Media”, International Journal
for Numerical Methods in Engineering, 60, 1, 2004, pp. 317–339.
235
7. Klerck, P.A., Sellers, E.J. and Owen, D.R.J., “Discrete Fracture in Quasi-brittle Materials under
Compressive and Tensile Stress States”, Computation Methods in Application Mechanics Engi-
neering, 193, 27–29, 2004, pp. 3035–3056.
8. ITASCA Consulting Group, Inc. USA, “3DEC, 3 Dimensional Distinct Element Code, Version 3.0,
User’s manual”, 2005, Web site: http://www.itascacg.com.
9. Hillerborg, A., Modéer, M. and Petersson, P.E„ “Analysis of Crack Formation and Crack Growth
in Concrete by means of Fracture Mechanics and Finite Elements”, Cement and Concrete
Research, 6, 6, 1976, pp. 773–782.
10. Margolin, L.G., “A Generalized Griffith Criterion for Crack Propagation”, Engineering Fracture
Mechanics, 19, 33, 1984, pp. 539–543.
11. Carol, I., Prat, P.C. and López, C.M., “Normal/Shear Cracking Model: Application to Discrete
Crack Analysis”, Journal of Engineering Mechanics, 123, 8, 1997, pp 765–773.
12. Gálvez, J.C., Cendón, D.A. and Planas, J., “Influence of Shear Parameters on Mixed-mode fracture
of Concrete”, International Journal of Fracture, 118, 2, 2002, pp . 163–189.
13. Camacho, G.T. and Ortiz, M., “Computational Modelling of Impact Damage in Brittle Materials”,
International Journal of Solids and Structures, 33, 20–22, 1996, pp. 2899–2938.
14. Wells, G.N. and Sluys, L.J., “A New Method for Modelling Cohesive Cracks Using Finite Ele-
ments”, International Journal for Numerical Methods in Engineering, 50, 12, 2001, pp. 2667–
2682.
15. Petersson, P.E., “Crack Growth and Development of Fracture Zones in Plain Concrete and Similar
Materials”, TVBM-1006, Division of Building Materials, Lund Institute of Technology, 1981.
16. Gálvez, J.C., Elices, M., Guinea, G.V. and Planas, J., “Mixed Mode Fracture of Concrete under
Proportional and Nonproportional Loading”, International Journal of Fracture, 94, 3, 1998, pp.
267–284.
17. Hou, Y.L., Zhou, Y.D. and Zhang, C.H., “I/II Tensile-shear Mixed Mode Fracture Simulation by
3D Discrete Element Method”, Engineering Mechanics, 24, 3, 2007, pp. 1–7.
236
A Comparison Between the NMM and the XFEM in Discontinuity
Modelling
X.M. AN AND G.W. MA∗

School of Civil and Environmental Engineering, Nanyang Technological University, Singapore
1. Introduction
Discontinuities such as voids, cracks, material interfaces widely exist in nature. In order to
characterize such discontinuities explicitly, various numerical methods have been developed.
The finite element method (FEM) models the cracks by incorporating joint elements or
interface elements. However, such methods require the finite element mesh to coincide with
the cracks, which often complicates meshing task. When crack propagation involved, remesh-
ing is inevitable, making the simulation tedious and time-consuming. In addition, variables
such as displacement, stress and strain need to map to a new set of nodes and quadrature
points. In order to overcome such inconveniences, various modifications to the conventional
FEM has been made within the framework of partition of unity.
Belytschko and Black1 enriched finite elements near the crack tips and along the crack
surfaces with the asymptotic crack tip functions, which allows the cracks to arbitrarily align
within the finite element mesh.
Moes et al.2 introduced the generalized Heaviside function H(x) to describe the discontin-
uous field across a single crack. The finite element mesh is allowed to be independent of the
cracks and remeshing is completely avoided for crack growth problems. In order to repre-
sent branched and intersecting cracks, Daux et al.3 introduced the junction function J(x) and
named their method the extended finite element method (XFEM). The XFEM has been suc-
cessfully applied to 2D static and quasi-static crack growth problems,2 3D crack problems,4
with its extension to modelling voids,3,5 material interfaces,5,6 tangential discontinuities,6
and so on.
Another example of modifications to the conventional FEM is the generalized finite ele-
ment method (GFEM). The mesh in the GFEM can be totally independent of the prob-
lem domain. Recently, Simone et al.7 applied the GFEM for polycrystals with discontinuous
aggregate boundaries by incorporating discontinuous functions Hα (x) corresponding to each
aggregate. Later, Duarte et al.8 extended it for branched cracks.
The numerical manifold method (NMM) can also be viewed as an extension or generaliza-
tion to the conventional FEM. However, different from the XFEM and the GFEM, the NMM
approximation is based on covers. The NMM describes the discontinuities by splitting covers
together with their cover functions. The covers in the NMM are usually generated from a
finite element mesh. Similar to the GFEM, the NMM does not require the mesh conforming
to neither the external boundaries nor the internal discontinuities, therefore the meshing task
in the NMM is easy and remeshing is totally avoided. The NMM has been successfully used
to describe both strong discontinuities9 and weak discontinuities10,11 .
In this paper, the NMM and the XFEM are compared in modelling arbitrary discontinuities
such as voids, cracks, material interfaces. How the covers in the NMM favours the modelling
of discontinuities is fully discussed. Incorporating the concept of covers into the XFEM is
suggested to improve its efficiency.
∗ Corresponding author. E-mail: cgwma@ntu.edu.sg

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0128 237
2. Fundamentals of the NMM

With reference to an example in Fig. 1, the basic concepts in the NMM are introduced.
The NMM adopts a mathematical domain (Fig. 1(b)) to cover the physical domain (Fig.
1(a)). Mathematical domain can be completely independent of but must be large enough to
cover the physical domain.
The mathematical domain is constructed as a union of a finite number of mathematical
covers, denoted as Mi (i = 1 ∼ nM ). In the example in Fig. 1, there are totally two mathe-
matical covers, M1 and M2 (Fig. 1(c)).
The physical covers are the intersection of mathematical covers and the physical domain.
For example, if it is completely cut into several pieces and mi of them are within the problem
j
domain, a mathematical cover, say Mi will form mi physical covers, denoted as Pi (j = 1 ∼ mi ).
In the example in Fig. 1, the M1 is completely cut by the physical features into three pieces
and two of them are within the problem domain, and thus forms two physical covers P11 and
P21 (Fig. 1d). Similarly, the M2 also forms two physical covers, P12 and P22 (Fig. 1(d)).
The manifold element is defined as the common region of several physical covers. For
example, the four physical covers in Fig. 1(d) finally form five manifold elements, shown in
Fig. 1(e).
On each mathematical cover Mi , a weight function ϕi (x) satisfying
ϕi (x) ∈ C0 (Mi )
= 0, x ∈
ϕi (x) / Mi
ϕk (x) = 1 (1)
k
if x ∈ Mk
is defined. The last term of Eq. (1) is known as partition of unity to guarantee the continuity
of approximation.
j j
On each physical cover Pi , a cover function ui (x) is defined.
Weight functions defined on each mathematical cover transfer to physical covers as
j j
ϕi (x) = δi · ϕi (x) (2)
j j
where δi is a modifier, with its value equal to 1 within Pi and 0 elsewhere. It can be proved
that the weight functions in Eq. (2) also have the partition of unity property.
The global displacement field is approximated as

nM
mi
j j

nM
mi
j j
uh (x) = ϕi ui = ϕi δi ui . (3)
i=1 j=1 i=1 j=1
P11 P21
M2 E ( P11 ) E ( P21 )
M1
E ( P12 ) E ( P12 , P22 ) E ( P22 )

P12 P22
(a) (b) (c) (d) (e)
Figure 1. Basic concepts in the NMM: (a) physical domain; (b) mathematical domain; (c) mathemat-
ical covers; (d) physical covers; (e) manifold elements.
238
Theoretically, any shape of mathematical covers can be used in the NMM. However, con-
struction of weight functions of mathematical covers and integration of stiffness matrices
over manifold elements are related to the cover shape, thus a reasonable choice of covers is
very important. The most convenient and commonly used way is to adopt a finite element
mesh to generate mathematical covers and construct weight functions. The so-called finite
element mesh here can be completely independent of the problem domain, therefore actually
different from the one used in the FEM. Regarding the node in the finite element mesh as a
star, the union of the finite elements sharing a common star forms a mathematical cover. The
finite element shape functions naturally form the weight functions of mathematical covers.
3. Comparison Between the NMM and the XFEM

in Discontinuity Modeling
3.1. Modelling voids
Modelling a single void with the NMM is illustrated in Fig. 2(a), where each mathematical
cover with squared star intersects the boundary of the void and forms one physical cover
within its material fraction, while each mathematical cover with circled star is completely
inside the void and does not form any physical covers. The displacement field in the interior
of the void is naturally zero since no physical covers and thus no manifold elements are
formed there.
Modelling a complex case with three voids is depicted in Fig. 3a, where each mathemati-
cal cover with squared star forms one physical cover within its material fraction, while each
mathematical cover with circled star does not form any physical covers. Again, the displace-
ment field in the interior of the voids is naturally zero.
Modelling the same single void with the XFEM is illustrated in Fig. 2(b), where each
squared node whose support intersects the boundary of the void is enriched with the V(x)
(V(x) = 1 when x outside the void, V(x) = 0 when x inside the void) through replacing
classical nodal shape function ϕi (x) by ψi (x) = ϕi (x)V(x), while deleting all the DOFs for the
circled nodes whose support is completely inside the void.
Modelling the complex case with three voids using the XFEM is depicted in Fig. 3(b).
In this case, we need to define three discontinuous enrichment functions Vj (x), j = 1,2,3
corresponding to three voids, where Vj (x) = 1 when x outside the void j, and Vj (x) = 0
when x inside the void j. The enrichment to the nodes is also given in Fig. 3b.
The NMM approximation is based on covers. The displacement field within the voids are
naturally zero since no physical covers are generated there. Multiple voids are modelled in an
MC cut by boundary of Node whose support

void, forms one PC cut by boundary of
within its material void, enriched with
fraction V(x)
Node whose support

MC completely inside completely inside the
the void, forms no PC void, all DOFs deleted
(a) (b)
Figure 2. Modelling a single void with: (a) NMM (MC=mathematical cover; PC=physical cover);
(b) XFEM.
239
Node enriched with V1 ( x)
Node enriched with V2 ( x)

MC cut by
Node enriched with V3 ( x )
boundaries of
voids, forms Node enriched with V1 ( x )V2 ( x)
Void 1 Void 2
Void 1 one PC within
Void 2
its material Node enriched with V2 ( x)V3 ( x)
fraction
Void 3 Node enriched with V1 ( x )V3 ( x )
MC completely Node enriched with
Void 3 inside the void,
V1 (x)V2 (x)V3 (x)
forms no PC
Node, all DOFs deleted
(a) (b)
Figure 3. Modelling a complex case with three voids with: (a) NMM; (b) XFEM.
exactly same way with a single void. In contrast, the XFEM models the voids by introducing
discontinuous enrichment functions into the standard finite element space. Different enrich-
ment functions need to be defined corresponding to different voids. Treatment of a single
void is easy in the XFEM. However, when hundreds of voids involved, defining the enrich-
ment functions and enriching the nodes will be tedious. In the following part, the XFEM
will be re-examined, and the modelling strategy of the NMM will be incorporated into the
XFEM to make it more efficient.
Careful observation on Figs. 2(b) and 3(b) reveals that the XFEM initially defines the
support of each node as the union of all the finite element sharing the node, then introduces
enrichment functions to each squared node and deletes all the DOFs of each circled node to
restrict the real support of each node to its material fraction.
To make it easy, without introducing any enrichment functions or deleting any DOFs, we
can directly define the material fraction of the original support of a node as its real support,
define the material fraction of each original finite element as a real element, and do the
integrations only in the real elements. This modification makes the implementation much
easier than before. It is inspired the modelling strategy of the NMM.
3.2. Modelling cracks

Modelling a single crack with the NMM is illustrated in Fig. 4(a), where each mathematical
cover with squared star is completely cut by the crack surface into two isolated regions
and thus forms two physical covers attached with independent cover functions, while each
mathematical cover with circled star is partially cut by the crack surface and thus forms one
singular physical cover, enriched with the asymptotic crack tip functions.
Modelling a branched crack with the NMM is depicted in Fig. 5(a), where each mathemat-
ical cover cut by the crack surface into two isolated regions forms two physical covers, each
MC completely cut by Node whose support cu

crack, each forms two completely by crack,
PCs enriched with H ( x)
MC contains crack tip, Node whose support

each form one singular contains crack tips,
PC, enriched with enriched with crack tip
crack tip functions functions
(a) (b)
Figure 4. Modelling a single crack with: (a) NMM; (b) XFEM.
240
Crack I
Crack II +1
MC completely cut -1
by crack, each forms H I ( x)
several PCs Node enriched with H I (x)
+1 -1
MC contains crack Node enriched with H II (x) H II (x)

tip, each form one 0
singular PC, enriched Node enriched with J ( x)
-1 +1
with crack tip
functions Node enriched with
J ( x)
crack tip functions
(a) (b)
Figure 5. Modelling a branched crack with: (a) NMM; (b) XFEM.
mathematical cover cut by the crack surface into three isolated regions forms three physical
covers, and each mathematical cover with circled star partially cut by the cracks forms one
singular physical cover. Each physical cover has an independent cover function. The singular
physical covers are enriched with the asymptotic crack tip functions.
Modelling the same single crack with the XFEM is illustrated in Fig. 4(b), where each
squared node whose support is completely cut by the crack is enriched with the general-
ized Heaviside function H(x), while each circled node whose support is partially cut by the
crack is enriched with the asymptotic crack tip functions. The corresponding displacement
approximation is
⎛ ⎞
⎜ ⎟
⎜ 4 ⎟
⎜ ⎟
uh (x) = ϕi (x) ⎜ui + H(x)bi + α aαi ⎟ (4)
⎜
⎟
i ⎝ i∈n
⎠
α=1
i∈n
where n is the set of squared nodes, n is the set of circled nodes.

In order to represent branched or intersecting cracks, additional enrichment functions need
to be introduced. Modelling a branched crack with the XFEM is shown in Fig. 5(b). The
branched crack is treated as the intersection of a main crack, crack I and a secondary crack,
crack II. Three discontinuous functions HI (x), HII (x), and J(x) are defined corresponding to
crack I, crack II, and the junction of crack I and crack II, given in Fig. 5b. The enrichment of
the nodes is as follows: nodes whose support is completely cut by crack I are enriched with
HI (x), nodes whose support is completely cut by crack II are enriched with HII (x), nodes
whose support contains the junction are enriched with J(x), and nodes whose support is
partially cut by the cracks are enriched with the asymptotic crack tip functions.
Similarly, an intersecting crack needs to be treated as the intersection of a main crack,
crack I and two secondary cracks, crack II and crack III. Five discontinuous functions, HI (x),
HII (x), HIII (x), JI,II (x), JI,III (x) need to be defined corresponding to crack I, crack II, crack III,
junction of crack I and II, junction of crack I and crack III. The nodes are then enriched
accordingly.
The NMM approximation is based on covers. Splitting mathematical covers completely
cut by the cracks into several physical covers attached with independent cover functions and
enriching the singular physical covers make the displacement jump across arbitrarily com-
plex cracks be modelled in a straightforward manner. In contrast, the XFEM describes the
cracks by introducing discontinuous enrichment functions. Modelling a single crack is easy
in the XFEM. However, when multiple arbitrarily branched or intersecting cracks involved,
241
defining the enrichment functions and enriching the nodes become tedious. In the following
part, the XFEM is re-examined, and incorporating the modelling strategy of the NMM into
the XFEM is suggested.
The XFEM initially defines the support of a node as the union of all the finite elements
sharing the node. Each node, say xi , originally has a unique unknown ui . If the support of
a node is completely cut by a single crack into two pieces, the H(x) is used to enrich the
node, which results in two independent unknowns ui + bi , ui − bi corresponding to two
pieces of its support. Similarly, if its support is completely cut by a branched crack into three
pieces, the node will be enriched with the J(x), which results in three independent unknowns
corresponding to three pieces of the support. Again, if its support is completely cut by an
intersecting crack into four pieces, the node will be enriched with two junction functions,
resulting in four independent unknowns corresponding to four pieces of its support.
To make it easy, without using any enrichment functions, we can directly assign several
independent unknowns to a node. To be more specific, if its support is completely cut into mi
j
pieces, the node xi will be assigned mi independent unknowns, denoted as ui (j = 1 ∼ mi ).
One node is usually associated with only one unknown. Here, we totally have mi independent
unknowns, it is equivalent to that we totally have mi nodes at the same position of node xi .
j
We denote these nodes as xi (j = 1 ∼ mi ), each of them takes one piece of the support as its
j
support and ui (j = 1 ∼ mi ) as its unknown. This modification makes the implementation
much easier. It is also inspired by the modelling strategy of the NMM.
3.3. Modeling material interfaces
Modelling a material interface with the NMM is illustrated in Fig. 6a. The whole domain
is divided into two distinct sub-domains, [1] and [2] , corresponding to two materials,
respectively. The material interface between [1] and [2] is denoted as [1−2] , which consists
of two coincident surfaces, [1] and [2] , corresponding to two sub-domains [1] and [2] ,
respectively. We define two outward unit normal vectors n[1] and n[2] , associated with these
two distinct surfaces [1] and [2] . The numerically obtained displacement field should satisfy
the following interface compatibility condition along the material interface [1−2] :
u[1] = u[2]
. (5)
t[1] = −t[2].
Each mathematical cover with squared star in Fig. 6a forms two individual physical covers
attached with independent cover functions. From Eq. (3), the displacement field is discon-
tinuous across the material interface. In order to satisfy the interface compatibility condition
given in Eq. (5), the Lagrange multiplier method, the penalty method or the augmented
Lagrange method can be adopted.
If the Lagrange multiplier method is adopted, the corresponding weak form of governing
equation is
T
δ εT σ dV − δ u[1] − u[2] · λd = δuT bdV + δuT t̄d (6a)
1−2 t

δλT · u[1] − u[2] d + δλT · (u − ū) d = 0 (6b)
[1−2] u
where ε is the strain tensor, σ is the stress tensor, u is the displacement vector, b is the body
force per unit volume, t̄ is the traction prescribed on the traction boundary t , λ is the vector
of Lagrange multiplier, which is actually the traction vector at the material interface.
242
MC completely cut Node whose support

Ω[1] by material Ω[1] completely cut by
Ω [2]
interface, each Ω[2] material interface,
forms two PCs enriched with
Γ[1−2] Γ[1−2]
ϕ ( x)
(a) (b)
Figure 6. Modelling a material interface with: (a) NMM; (b) XFEM.
The second term of the left-hand side of Eq. (6a) is the enforcement of the interface com-
patibility condition. The discrete equations can be derived accordingly, see Ref. 10.
If the penalty method is adopted, the Lagrange multiplier is approximated to be the corre-
sponding displacement multiplied by a penalty parameter p such that

λ = p u[1] − u[2] on [1−2] . (7)
Substituting Eq. (7) into Eq. (6) gives the penalized weak form.
In augmented Lagrange multiplier method, it is assumed that
λ = λ̄ + p [u] (8)
where λ̄ is a given algorithmic multiplier, [u] is the error given by
[u] = u[1] − u[2] on [1−2] . (9)
Substituting Eq. (8) into Eq. (6) yields the corresponding weak form, see Ref. [11].
With the augmented Lagrange multiplier method, based on the parameter at step k, the
iterative procedure is followed by setting the multiplier at step k+1 as
λ̄k+1 = λ̄k + p [u]k . (10)
The augmented Lagrange method results in an accurate evaluation of the traction vector
at the material interface, which favours the modelling of debonding at the material interface.
Modelling the same material interface with the XFEM is illustrated in Fig. 6b, where each
squared node whose support is completely cut by the material interface is enriched with
the absolute value of signed distance function, denoted as |ϕ(x)|. The corresponding XFEM
approximation is
⎛ ⎞
⎜ ⎟
uh (x) = ϕi (x) ⎝ui + |ϕ(x)| ai ⎠ (11)

i i∈n
where n is the set of nodes whose support is completely cut by the material interface.
Since |ϕ(x)| is continuous, but |ϕ(x)|,n is discontinuous, therefore, the obtained displace-
ment field from Eq. (11) is continuous, but its derivative is discontinuous across the material
interface.
The NMM initially results in a discontinuous displacement field across the material inter-
face, and then adopts additional techniques to enforce the interface compatibility condition.
The debonding at the material interface is ready to be modelled. The XFEM presents an
243
easier way to account for the material interface by introducing an enrichment function.
However, similar to void problems and crack problems, when multiple material interfaces
involved, defining the enrichment functions and enriching the nodes will become tedious.
When debonding is desired, additional techniques also need to be incorporated.
4. Conclusions
In this paper, detailed comparison between the NMM and the XFEM in discontinuity mod-
elling is presented. The NMM approximation is based on covers. It adopts a set of mathemat-
ical covers to discretize the physical domain. Intersection between the mathematical covers
and the physical domain forms physical covers attached with independent cover functions.
The displacement field within the voids is naturally zero since no physical covers are gen-
erated there. The displacement jump across arbitrarily complex cracks is straightforwardly
captured by splitting mathematical covers into physical covers and enriching singular phys-
ical covers. Interface compatibility condition is enforced by adopting additional techniques,
which seems inconvenient, but makes the debonding ready to be modelled. In contrast, the
XFEM introduces enrichment functions to account for the voids, cracks, and material inter-
faces. When multiple voids, material interfaces, arbitrarily branched cracks involved, defining
enrichment functions and enriching the nodes become tedious. Modification to the XFEM
is then suggested to make it more efficient. For problems with voids, without using V(x),
we can directly define the material fraction of the original support of each node as its real
support. For problems with cracks, without using H(x) and J(x), we can directly assign mi
independent unknowns to node xi whose support is completely cut by cracks into mi isolated
pieces. These modifications are inspired by the modelling strategy of the NMM. They make
complex cases with multiple cracks and arbitrarily branched cracks to be modelled much
easier than before.
References
1. Belytschko, T., Black, T., “Elastic crack growth in finite elements with minimal remeshing”, Inter-
national Journal for Numerical Methods in Engineering, 45, 5, 1999, pp. 601–620.
2. Moes, N., Dolbow, J., Belytschko, T., “A finite element method for crack growth without remesh-
ing”. International Journal for Numerical Methods in Engineering, 46, 1999, pp. 131–150.
3. Daux, C., Moes, N., Dolbow, J., Sukumar, N., Belytschko, T., “Arbitrary branched and intersect-
ing cracks with the extended finite element method”, International Journal for Numerical Methods
in Engineering, 48, 2000, pp. 1741–1760.
4. Sukumar, N., Moes, N., Moran, B., Belytschko, T., “Extended finite element method for three-
dimensional crack modeling”, International Journal for Numerical Methods in Engineering, 48,
11, 2001, pp. 549–1570.
5. Sukumar, N., Chopp, D.L., Moes, N., Belytschko, T., “Modeling holes and inclusions by level sets
in the extended finite element method”, Computer Methods in Applied Mechanics and Engineer-
ing, 190, 46–47, 2001, pp. 6183–6200.
6. Belytschko, T., Moes, N., Usui, S., Parimi, C., “Arbitrary discontinuities in finite elements”, Inter-
national Journal for Numerical Methods in Engineering, 50, 4, 2001, pp. 993–1013.
7. Simone, C.A., Duarte, E, Van, der Giessen, “A generalized finite element method for polycrystals
with discontinuous grain boundaries”, International Journal for Numerical Methods in Engineer-
ing, 67, 8, 2006, pp. 1122–1145.
8. Duarte, C.A., Reno L.G., Simone A. “A high-order generalized FEM for through-the-thickness
branched cracks” International Journal for Numerical Methods in Engineering, 72, 2007, pp.
325–351.
244
9. Ma, G.W., An, X.M., Zhang H.H., Li L.X., “Modeling complex crack problems with numerical
manifold method” International Journal of Fracture, 156, 1, 2009, pp. 21–35
10. Terada, K., Asai, M., Yamagishi, M., “Finite cover method for linear and non-linear analyses of
heterogeneous solids”, International Journal for Numerical Methods in Engineering, 58, 2003,
pp. 1321–1346.
11. Terada, K., Ishii, T., Kyoya, T., Kishino, Y., “Finite cover method for progressive failure with
cohesive zone fracture in heterogeneous solids and structures”, Computational Mechanics, 39,
2007, pp. 191–210.
245
Initial Stress Formulae for High-Order Numerical Manifold
Method and High-Order DDA
HAIDONG SU1,2,∗ AND XIAOLING XIE2

1 DDA Center, Yangtze River Scientific Research Institute, Wuhan, China
2 Department of Material and Structure, Yangtze River Scientific Research Institute, Wuhan, China
1. Introduction
Based on mathematical manifold of modern mathematics, numerical manifold method
(NMM) is invented by Dr. Shi.1 In NMM, the entire material volume is divided into many
finite covers overlapped each other. These covers are called physical covers. They are formed
by two independent cover systems: one is mathematical mesh system defining only the fine
or rough approximations; the other is physical mesh system defining the boundaries of the
material volume and the interfaces of different material zones. On each cover, an independent
local cover function is defined, which can be constants, polynomials or other series. These
functions are connected together to form a global function on the entire material volume
by means of weighted average via weight functions. The intersection areas of these covers
are named manifold elements that can be in arbitrary shapes. Similar to the element in finite
element method (FEM), the manifold element is the fundamental computation unit in NMM.
At present, finite element meshes are often employed as mathematical meshes to define
finite covers of NMM. All elements attached to any a FEM node form a mathematical cover.
Here, the FEM shape function is the weight function for weighted average. Due to the arbi-
trary shape of manifold elements, conventional integration methods, i.e., Gauss quadrature,
are difficult to give precise results for element integrations. Therefore, simplex integration
formulae1 given by Dr. Shi are usually adopted to obtain exact integration results, but it is
required that integrands should be polynomials.
Before the appearance of NMM, Dr. Shi invents Discontinue Deformation Analysis (DDA)
method to investigate the motions and deformations of blocks. On the base of the entrance
theory of contacts between blocks, DDA has been widely utilized in Geotechnical Engineer-
ing. In fact, DDA is a special case of NMM in the point that an independent physical cover
represents a block. That is to say, covers or blocks do not overlap each other. Same as the
general NMM, displacements and deformations of the block are usually approximated via
polynomials in DDA, with the exception that the weight function is always equal to 1.
Some researches show that constant cover functions in NMM or first-order displacement
approximation in DDA usually bring about inaccurate results of displacements and stresses,
unless very fine mathematical meshes are used in NMM. So high-order NMM or high-order
DDA is widely studied. 2–11 Computational accuracy is improved greatly in the case of small
deformations of material, when high-order polynomials are employed as cover functions
or displacement functions. Whereas poor accuracy is obtained and even computation is
not convergent while solving large deformation problems (also called geometric nonlinear
problems),7–10 with the exception of Ref. 11. Although good results are achieved in 11, the
approach is not a typical high-order NMM because of the adoption of six constant covers
in a triangular mesh. It has been pointed out in our previous papers10, 12 that inaccurate or
incorrect treatments for high-order initial stresses, such as applying lower-order initial stress
∗ Corresponding author. E-mail: suhd@mail.crsri.cn

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0013 247
expressions, or not considering the variation of structural configurations when accumulating

initial stresses, are accounted for the unsuccessful cases. The difficulties of solving this prob-
lem come from not only the correct way to accumulate initial stresses, but also the demand
of being expressed explicitly in the form of polynomials in order to use simplex integrations.
This paper makes an attempt to obtain the correct initial stress formulae for high-order
NMM and high-order DDA. The contents are organized as follows: first, a brief introduction
of the equations for large deformations in NMM or DDA is given; then high-order initial
stresses formulae are developed; at last results of large deformations of a cantilever beam are
presented in order to demonstrate the validity of the formulae. For the sake of simplicity, the
following restricts the study to the case of isotropic linear-elastic material of continuum, not
involving the material nonlinear problems due to large deformations.
2. Inertia Dominant Equilibrium Equation

The computations in NMM or DDA follow the time-step sequence. A so-called inertia domi-
nant equilibrium equation is presented in Ref. 1. For linear-elastic material, at each load step
(or time) the equations are given (from t = n − 1 to t = n) as:

([K] + [Kg ]){dn } = {F} + {Fg } − [B]T {σn−1 }dV (1)
V
{dn } = {dn−1 } + {dn } (2)
{σn } = {σn−1 } + [D][B]{dn } (3)

where [K], [B], [D], {F}, {d } and {σ } denote stiffness matrix, strain matrix, elasticity matrix,
load vector (F is the total load which is already applied by the time of n), displacement vector
and stress vector, respectively. [Kg ] and {Fg } are stiffness matrix and load vector due to inertia
forces, respectively. Expressions of these matrices and vectors can be referred to Ref. 1.
It can be seen that the above equations differ greatly from classical FEM formulae for
large deformation computation. The governing Equation (1) involves neither complicated
nonlinear terms nor equilibrium iterations usually appearing in FEM processes. All matrices,
such as [K] and [B], are identical to those of small deformation problems. Hence, program
codes for small deformations can be directly utilized to implement the computation conve-
niently. Equation (2) means coordinates of mathematical meshes and physical meshes are
renewed according to new incremental displacements obtained in each step. Thus all matri-
ces are computed in the new structural configuration. After a number of steps are computed,
small deformations of each step are accumulated to a large deformation. Equation (3) shows
stresses are accumulated as initial stresses for the next step.
Dr. Shi has the following explanations about the rationality of the above equations.14
First, the nonlinear equation for the geometrical nonlinear problems can be transferred to a
series of linear equations via linear approximation, with the only demand that incremental
displacements of each step should be small enough to neglect the second order of the strain.
Second, Eq. (1) is the equilibrium equation that material volume must satisfy at any time.
It is an implicit equation that has a certain ability to eliminate unbalanced forces due to
ignorance of the nonlinear factors. Finally, Cauchy stresses are obtained by means of Eq. (3).
On the other hand, as an important factor to the iteration solver, introduction of inertial
effect can improve the condition of the linear equations to be solved finally, because the
quadratic term of t in the denominator of coefficients of [Kg ] has a strong effect to amplify
248
the principal diagonal terms when t is very small. This is why they are called “inertia
dominant equation”, and why taking account of inertial effect is recommended even in static
analysis. Considering that the statics is the ultimate stabilized state of the dynamics, energy
dissipation should be introduced to solve static problems, such as velocity multiplying an
appropriate constant that is 0.95 in this paper.
In the case oflarge deformations, it is still a problem to accurately compute the initial
stress load term v [B]T {σ }dV, on which this paper focuses.
3. Initial Stress Formulae for High-Order NMM

The approach is illustrated using one-order polynomial cover functions with triangular math-
ematical meshes of two-dimensional problems. In this case the displacement cover functions
of the i-th node (i = 1,2,3) of the mesh are
i
u (x,y) d1 d2 d3
= {t} (4)
vi (x,y) d4 d5 d6 i
where d1 to d6 are coefficients of the series, defining generalized degree of freedoms to be
solved, and {t} = [1 x y]T is the vector of monomial functions. Number of such terms
increases along with the rise of the order of polynomial functions.
The displacement field in the triangular mesh is expressed by using weighted average of
cover functions of three nodes, as given below
ui (x,y)
u(x,y) i i i i d1 d2 d3
= L = (a + b x + c y) {t} (5)
v(x,y) vi (x,y) d4 d5 d6 i
i=1,3 i=1,3
where Li = ai + bi x + ci y is the shape function of triangular meshes, and ai , bi , ci are

coefficients. It can be seen that the displacement functions are two-order polynomials. As
strains are one-order partial derivative of displacements, stresses in the triangular mesh are
distributed as linear functions.
At present, a method given by Refs. 8 and 9 is widely used to handle the initial stress
problem. In this method, incremental stresses are expressed as:
{σ } = [D]{ε} = [D][B]{d} = [D][S]{t} (6)
where [B]{d} is written in the form of a strain coefficient matrix [S] multiplying by the
vector {t}. Then accumulation of σ in Eq. (3) is represented by superposition of coefficients
of [S] for linear-elastic material in which [D] is a constant matrix. This method is efficient
to the problems of relative small deformations. However, it brings about great calculation
errors and even computation failure when large deformations occur.10
In Ref. 12 we find out the reason for the unsuccessful method is that variation of the
structural configuration is not considered during the initial stress accumulation procedure.
According to Eq. (2), stress accumulation and integration of initial stress load should be
implemented in the present configuration. However, {x, y} coordinates of {t} remain unchanged
in this method, implying that material points always stay in their original positions.
We have presented a so-called stress point method to handle the initial stress problem of
high-order NMM,12 in which three nodes of the triangular mesh are usually used as stress
points. After each step is completed, stresses of each point are accumulated according to
Eq. (3). Stresses of any points in the mesh are linear interpolated, similar to the way of
displacement interpolation via Eq. (5), then the stress distribution formula in the mesh is
deduced. It has to be emphasized here that the coordinates of these stress points should be
249
renewed to reflect the variation of the configuration. This method is successfully applied to
compute large deformations of a cantilever beam, and computation errors comparing with
the analytical solutions are very small.
Following the idea, this paper introduces variations of coordinates to make an improve-
ment to the original method given by 8 and 9. When the n step is to be computed, let the
accumulated strain coefficient matrix of the n − 1 step be [Sn−1 ]. Superposition of the initial
strain is written as:
[Sn ] = [Sn−1 ]{tn−1 } + [Sn ]{tn } (7)
In order to transfer the coordinates of the n − 1 configuration, [tn−1 ] = [1 xn−1 yn−1 ]T ,
to those of the n configuration, [tn ] = [1 xn yn ]T , the relationship of them is deduced as
follows:
After the n − 1 step is completed, the incremental displacements of the i-th node are uin−1
and vin−1 , where subscript n−1 represents the computation step and superscript i represents
the i-th node. The displacements can be obtained according to Eq. (4) in an incremental form.
Based on Eq. (5), coordinates of any a point in the triangular mesh are interpolated as

xn = xn−1 + un−1 = xn−1 + Lin−1 uin−1
i

= ain−1 uin−1 + bin−1 uin−1 + 1 xn−1 + cin−1 uin−1 yn−1 (8)
i i i

yn = yn−1 + vn−1 = yn−1 + Lin−1 vin−1
i

= ain−1 vin−1 + bin−1 vin−1 xn−1 + cin−1 vin−1 + 1 yn−1 (9)
i i i
Substitute Eq. (8) and (9) into {t} and write it in the form of a matrix
⎡ ⎤
⎧ ⎫ 1 0 0 ⎧ ⎫
⎨ 1 ⎬ ⎢ ai ui i
b u i + 1

c i ui ⎥ ⎨ 1 ⎬
{tn } = xn = ⎢ n−1 n−1 n−1 n−1 n−1 n−1 ⎥ x
⎩ ⎭ ⎣ i i i ⎦ ⎩ n−1 ⎭
yn ain−1 vin−1 bin−1 vin−1 cin−1 vin−1 + 1 yn−1
i i i
= [Cn−1 ]{tn−1 } (10)
As displacements of each step are very small, the principal diagonal terms of the square
matrix [Cn−1 ] are dominated. So
{tn−1 } = [Cn−1 ]−1 {tn } (11)
Substituting Eq. (11) into Eq. (7), we have the coefficient matrix of initial strain written as
[Sn ] = [Sn−1 ][Cn−1 ]−1 + [Sn ] (12)

then the initial stress load v [B]T [D]{Sn }{t}dV can be computed for the next step.
When cover functions with more than one order are used, Eqs. (8) and (9) remain the same.
What is only to be done is substituting them into a more complicated vector {t} of monomial
functions. With regard to tetrahedron meshes in three-dimensional problems, z coordinate is
introduced into the above equations.
Since
strain matrix [B] is also the matrix of polynomials, integrands of initial stress load
term V [B]T {σ }dV can be expressed as polynomials. Thus simplex integration can be used,
250
but expressions of the integrands for high order terms are usually much complicated. As
a foundation of this paper, approaches are achieved to develop expressions of high-order
NMM matrices and to automatically form program codes by using mathematical software
in Ref. 3.
4. Initial Stresses of High-Order DDA

DDA makes use of polynomials to depict displacements of a block as:

u(x,y) d d ···
= u1 u2 {t} (13)
v(x,y) dv1 dv2 · · ·
where du1 and so on are coefficients, and {t} is also the vector of monomial functions, such
as
{t} = [1 x y x2 xy y2 x3 x2 y xy2 y 3 ]T (14)
in the case from one order to three order monomials.
Since a block can be regarded as one cover of NMM, all matrices and vectors of high-order
DDA are similar to those of high-order NMM except that weight function always remains
1. Accumulation of initial strain is also the same as Eq. (7). However, if we follow the same
idea of NMM for considering variation of coordinates as
xn = xn−1 + un−1 = xn−1 + [du1 du2 · · · ]{tn−1 } (15)
yn = yn−1 + vn−1 = yn−1 + [dv1 dv2 · · · ]{tn−1 } (16)
the maximal power of xn and yn in {tn } gets up to the square of the original order, for
example, 9th power in the case of three-order polynomials. This leads to not only more
complicated derivation of equations but also a large computation amount of integration of
initial stress load.
So an alternate way is chosen. Only for computing initial stress load, the block of DDA
is divided into several triangular meshes, or in an easier way that triangular meshes are
introduced to cover the block, as what is done in NMM in the preceding chapter. Hence, the
integration of initial stress load in the entire block is changed to the sum of integrations of
the small blocks.
For each small block, incremental displacements of the nodes of the triangular mesh to
which the block belongs are computed according to Eq. (13). Coordinates of xn and yn of
any points in the block are obtained according to Eqs. (8) and (9). It can be seen that the
maximal order of xn and yn in {tn } remains the same. Then compute [Cn−1 ] and [Cn−1 ]−1 of
Eqs. (11) and (12) for every small block.
The two-dimensional program written by Dr. Shi is adapted to the above procedures through
implementation of Fortran codes. We consider a cantilever beam shown in Figure 1. The
length of the beam is 10m, with both height and width are 1m. The Young’s modulus E is
3 × 105 kN/m2 , and Poisson’s ratio v is 0.2. The beam is subjected to a concentrated force
P at the midpoint of the section of the free end, which is always downward vertically. The
number of the triangular meshes is 38 in high-order NMM with one-order polynomial cover
functions.
Table 1 gives the results of the displacements of the free end at several steps, and corre-
sponding deformation when P = 1250 kN is shown in Figure 2. Comparing with analytical
251
Figure 1. Manifold meshes of a cantilever beam.
Table 1. Displacements of the mid-point at the free end of the cantilever beam (by high-order
NMM).
P Horizontal displacements — u (m) Vertical displacements — v (m)
(kN) Numerical Analytical Relative Numerical Analytical Relative
solutions solutions13 error (%) solutions solutions13 error (%)
125 0.15 0.16 −6.25 1.60 1.62 −1.23

250 0.56 0.56 3.02 3.02
0.00 0.00
500 1.61 1.60 4.96 4.94
0.63 0.40
750 2.56 2.55 6.08 6.03
0.39 0.83
1000 3.32 3.29 6.76 6.70
0.91 0.90
1250 3.91 3.88 7.21 7.14
0.77 0.98
Figure 2. Deformation of the cantilever beam when P = 1250 kN.
solutions,13 good results of numerical solutions demonstrate the validity of high-order initial
stress formulae. The results are close to those of stress point method in Ref. 12, implying
these two methods are equivalent.
With regards to high-order DDA, 18 triangular meshes cover the cantilever beam in order
to calculate initial stress load. To obtain a precise result in a one-step static analysis, three-
order polynomials for displacements are needed, while four-order functions are required to
compute large deformations of several steps. Results also show the validity of the proposed
method, as given in Table 2.
252
Table 2. Displacements of the mid-point at the free end of the cantilever beam (by high-order
DDA).
P Horizontal displacements—u (m) Vertical displacements—v (m)
(kN) Numerical Analytical Relative Numerical Analytical Relative
solutions solutions13 error (%) solutions solutions13 error (%)
125 0.15 0.16 −6.25 1.61 1.62 −0.62

250 0.51 0.56 −8.92 2.90 3.02 −3.97
500 1.59 1.60 −0.63 4.92 4.94 −0.40
750 2.52 2.55 −1.18 6.00 6.03 −0.50
1000 3.27 3.29 −0.61 6.66 6.70 −0.60
1250 3.84 3.88 −1.03 7.08 7.14 −0.84
It is found that if inertia matrix is not considered, computation is not convergent when very
large deformations occur (when p is greater than 1000 kN). However, if inertia is introduced,
a period of time is required to eliminate the effect of inertia for the static computations. So the
results of some early steps are smaller than the analytical solutions. For example in Table 2,
when p = 250 kN, the horizontal and the vertical displacements are 0.51m and 2.90m, and
relative errors comparing with analytical solutions are 9% and 4%, respectively. If we ignore
inertial effect, the above results change to 0.56 m and 3.05 m, and relative errors are all under
1%.
6. Conclusions
This paper presents initial stress formulae for high-order NMM and high-order DDA, sat-
isfactorily settling the problem of poor accuracy or no convergence for large deformation
computation. This method lay a foundation of discontinue deformation analysis using high-
order NMM and DDA, and fixed-mesh NMM in the future.
NMM is well known for its independence of mathematical meshes from physical meshes.
When mathematical meshes satisfy boundaries of material, and constant cover function are
used, NMM is degraded to the conventional FEM. Hence the equations for large defor-
mations including the initial stress formulae presented in this paper are suitable for FEM.
Since matrices of NMM are the same as those of small deformations, programming is quite
convenient. Therefore, it can be regarded as the improvement of the conventional FEM for
geometrical nonlinear problems.
Acknowledgement
The project is supported by the National Science Foundation of China (10772034).
The research is done under the guidance of Dr. Gen-hua Shi. Thanks for his great helps.
References
1. Gen-hua Shi, Numerical Manifold Method (NMM) and Discontinuous Deformation Analysis
(DDA), Qinghua University Press, Beijing, China, 1997. (in Chinese)
2. Rong Tian, Maotian Ruan, etc, “Fundametals and applications of high-order manifold method”,
Engineering Mechanics, 18, 2, 2001, pp 21–26. (in Chinese)
3. Haidong Su, Xiaoling Xie, Qin Chen, “Application of high-order numerical manifold method in
static analysis”, Journal of Yangtze River Scientific Research Institute, 22, 5, 2005, pp. 74–77 (in
Chinese).
253
4. Shaozhong Lin, Yongfeng Qi, Haidong Su, “Element analysis of high-order numerical manifold
method based on special matrix operations”, Journal of Yangtze River Scientific Research Institute,
23, 3, 2006, pp. 36–39. (in Chinese)
5. S.A. Beyabanaki, A. Jafari, M.R. Yeung and S.O. Biabanaki, “Implementation of a trilinear hexa-
hedron mesh into three-dimensional discontinuous deformation analysis (3-D DDA)”, Proceedings
of the Eighth International Conference on the Analysis of Discontinuous Deformation, Beijing,
China, 2007, pp. 51–56.
6. D. Kourepinis, N. Bicanic, C.J. Pearce, “A higher-order variational numerical manifold method
formulation and simplex integration strategy”, Proceedings of the Sixth International Conference
on the Analysis of Discontinuous Deformation, Trondheim, Norway: A.A Balkema, 2003, pp.
145–151.
7. Xiaobo Wang, Xiuli Ding, Bo Lu, Aiqing Wu, “DDA with higher order polynomial displacement
functions for large elastic deformation problems”, Proceedings of the Eighth International Con-
ference on the Analysis of Discontinuous Deformation, Beijing, China, 2007, pp. 89–94.
8. Ming Lu, “High-order manifold method with simplex integration”, Proceedings of the Fifth Inter-
national Conference on the Analysis of Discontinuous Deformation, A.A Balkema, 2002, pp. 75–
83.
9. Ming Lu, “Complete n-order cover function for numerical manifold method”, STINTEF report,
STF22 F01139, 2001.
10. Haidong Su, Xiaoling Xie, Qin Chen, “Soving large deformation problems using numerical mani-
fold method”, Acta Mechanica Solida SINICA, 25, S. Issue, 2004, pp. 88–92. (in Chinese)
11. Guoxin Zhang, Jing Peng, “Second-order manifold method in structure failure analysis”, Acta
Mechanica Sinica, 34, 2, 2002, pp 261–269. (in Chinese)
12. Haidong Su, “Study on new methods for solving fluid-solid coupling vibration and their appli-
cations”, PHD thesis, Huazhong University of Science and Technology, Wuhan, China, 2006. (in
Chinese)
13. Zhenxing Liu, Yan Sun, Guoqing Wang, Computational Mechanics, Shanghai Jiaotong University
Press, Shanghai, China, 2000, 270 p. (in Chinese).
14. Gen-hua Shi, 2006, Private communication.
254
Development of Coupled Discontinuous Deformation Analysis and
Numerical Manifold Method (NMM-DDA) and Its Application to
Dynamic Problems
S. MIKI1,∗ , T. SASAKI2 , T. KOYAMA3 , S. NISHIYAMA3 AND Y. OHNISHI4

1 Kiso-Jiban Consultants Co., Ltd. 1-5-7, Kameido, Koto-ku, Tokyo, 136-8577, Japan
2 SUNCOH Consultants Co., Ltd. 1-8-9, Kameido, Koto-ku, Tokyo, 136-8522, Japan
3 Kyoto University, Kyoto Univ.-Katsura 4, Saikyo-ku, Kyoto, 615-8540, Japan
4 Kyoto University, Yoshida-Honmachi, Sakyo-ku, Kyoto, 606-8501, Japan
1. Introduction
Earthquakes and heavy rainfall, which repeatedly occurred in Japan, can be a major trigger
for rock slope failures and rock falls and these disasters often caused serious damages to
not only human lives but also infrastructures. The greater part of the Japanese territory is
occupied by mountainous area, and there are many dangerous slopes along the national roads
which are the basis of our social activities. However, it is difficult to reinforce all dangerous
slopes from technical and economical points of views. Hence, it is necessary to establish the
methods to evaluate the damages and/or risks for social stocks and structures/infrastructures
such as roads, railways, houses etc against collapsed rock masses.
In order to predict and estimate the traveling distance and velocities of collapsed rock
blocks, the discontinuum-based numerical approaches such as Distinct Element Method
(DEM)1 and Discontinuous Deformation Analysis (DDA),2, 3 which can introduce fractures
explicitly in the model, will be effective tools. So far, DEM and DDA have been widely used
to analyze the slope stability, excavation of underground cavern, etc in discontinuous rock
masses. Recently, these discontinuum-based numerical methods were applied to the seismic
problems such as slope failures due to earthquakes, where one of the key issues is the esti-
mation of traveling velocities and distances for the collapsed rock blocks and the safety of
the structures adjacent to the slopes.4, 5 For the dynamic response analysis of discontinuous
rock slopes, seismic forces are commonly applied to the basement block modeled using a
single DDA block. However, it is necessary to consider the local variation of seismic forces
and stress conditions, especially when the size of slopes is large and/or the slope geometry
becomes complicated. There is difficulty in DDA to consider the local displacements of the
single block for the basement due to the fact that the strain in the single block is uniform
and displacement function is defined at the gravity center. On the other hand, the Numerical
Manifold Method (NMM)6 can simulate both continuous and discontinuous deformation
of blocks with contact and separation. However, the rigid body rotation of blocks, which is
one of the typical behaviors for rock slope failure, cannot be treated properly because NMM
does not deal with the rigid body rotation in explicit form.
For the numerical simulations of the dynamic behavior of slopes during earthquakes, it
is necessary and preferable to consider both continuous and discontinuous deformations of
fractured rock masses appropriately. According to the above mentioned features and draw-
backs, it is reasonable to combine these DDA and NMM for the slope stability problems
from practical point of view. The mechanical behavior of falling rock blocks is simulated by
DDA with the basement block covered by the NMM mesh, where seismic forces are given.
In this paper, the formulation for the coupled NMM and DDA (NMM-DDA) is presented
∗ Corresponding author. E-mail: mikish@kiso.co.jp

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0017 255
with the programming code developments. For the formulation, NMM and DDA can be
easily combined by choosing displacements of the DDA blocks and NMM cover nodes as
unknowns, because the total potential energy is minimized to establish the equilibrium equa-
tions and block system kinematics are same between DDA and NMM. In this paper, the
application of the NMM-DDA was also presented with the discussion of the applicability for
the dynamic response analysis.
Some technical terms used in this paper are defined as follows (see Figure 1):
‘Block’ means a closed area surrounded by one ‘joint loop’. In DDA, a block is a base
unit to solve displacements. On the other hand, in NMM, a block consists of ‘elements’.
‘Element’ shows an area divided by the numerical ‘cover’ in a ‘joint loop’. In NMM, an
element is a base unit to solve displacements. ‘Cover’ implies numerical mesh (with triangle
and/or rectangular shape) dividing the area surrounded by ‘joint loop’. The ‘cover’ is used for
calculating displacement of the elements. ‘Joint loop’ means the peripheral boundary of the
‘block’. ‘Joint’ means the boundary between ‘blocks’ in contact, and common line segments
of two ‘joint loops’.
2. Development of Coupled NMM and DDA (NMM-DDA)

2.1. Basic concept of NMM-DDA and its displacement function
The combined analyses of NMM and DDA should be performed in the joint loop defined as
DDA blocks and/or NMM elements. Therefore, the joint loop defined as DDA and NMM
will be contact through the joint, which is a segment of common line between two joint loops
as shown in Figure 1. It should be noted that the DDA block and NMM element cannot share
the common area in the same joint loop.
There are two possible methods to combine DDA with NMM theoretically. Chen et al.
proposed one possible method as the extension of NMM, which treats a single DDA block
as a single NMM element overlapped one triangle cover mesh.7 In their method, the displace-
ments of the DDA block are obtained by connecting the displacements for NMM element
and DDA block after NMM calculations and the rigid body rotation is applied separately
to DDA blocks. The other possibility, which is applied in this study, is to combine DDA
and NMM directly, where the coupled term for NMM elements and DDA blocks appears
in the equilibrium equation. In this method, it is also easy to combine NMM and/or DDA
with rigid block system because the equilibrium equation for both DDA and NMM can be
obtained from the same principle so-called the minimization of potential energy.
Joint loop modeled as DDA Material boundary Cover
Element
Block
Joint boundary (Joint) Joint loop modeled as NMM
Figure 1. Notations of NMM-DDA block system.
256
The total potential energy sys of the block system, which includes DDA blocks and NMM
elements, can be expressed as the following equation:

sys = m d
sys + sys + i,j (1)
B,i E,j
where dsysand m are the potential energy for DDA part and NMM part, respectively. The
sys
last term on the right side of Eq. (1) represents the potential energy for the contacts between
DDA block i and NMM element j. The NMM-DDA is formulated from Eq. (1) with the
kinematic equations based on Hamilton’s principle expressed as:
MD̈ + CḊ + KD = F (2)
where M is mass matrix, C is viscosity matrix, K is stiffness matrix, and F is external force
vector. D, Ḋ and D̈ are displacement, velocity and acceleration of DDA block and NMM
element, respectively. The matrices and vector in kinematic equations based on Hamilton’s
principle can be also obtained by minimizing the potential energy expressed as Eq. (1). How-
ever, the potential energy for DDA part dsys and NMM part m sys are minimized with respect
to the displacement of the DDA block and the NMM element, respectively. These processes
are similar to those in original DDA and NMM. Consequently, the formulation of NMM-
DDA is necessary only for the potential energy of the contacts between DDA blocks and
NMM elements. In NMM-DDA, the unknowns are six displacement variables in Eq. (3) and
nodal displacements of the cover in Eq. (4) for DDA and NMM parts, respectively.

u T
= [Tid (x,y)][Ddi ], [Ddi ] = u0 v0 r0 εx εy γxy (3)
v

u T
= [Tim (x,y)][Dm m
i ], [Di ] = u1 v1 u2 v2 u3 v3 (4)
v
In Eq. (3), [Tid ] is the block deformation matrix (displacement function) for i-th DDA block,
(u0 , v0 ) is the rigid body transformation, r0 is the rigid body rotation of the block at the
gravity center, and εx , εy , γxy are the normal (in the x- and y- directions) and shear strains
of the block, respectively. In Eq. (4), [Tim ] is the element deformation matrix for i-th NMM
element and (uj , vj )(j = 1,2,3) means the displacements at the triangle nodes of the cover.
2.2. Contact sub-matrices

For the NMM-DDA codes, the contacts between DDA block and NMM element should be
considered and newly formulated. Assuming that the contact between corner P1 on the DDA
block i and edge P2 P3 on the NMM element j as shown in Figure 2, the distance d from point
P1 to edge P2 P3 , which should be zero after some displacements to prevent the penetration
between DDA block and NMM element, is expressed as follows:

1 x + u1 y1 + v1
1 1
d= = 1 x2 + u2 y2 + v2 , l = (x2 − x3 )2 + (y2 − y3 )2 (5)
l l 1 x + u y + v
3 3 3 3

u1 u2 u3
= S0 + y2 − y3 x3 − x2 + y3 − y1 x1 − x3 + y1 − y2 x2 − x1 ,
v1 v2 v3

1 x1 y1

S0 = 1 x2 y2
1 x3 y2
257
DDA block i
P3(x3, y3) P0(x0, y0) P2(x2, y2)

d
P1(x1, y1)
MM element j
Figure 2. Contact between DDA block and NMM element.
where, (xi , yi ) and (ui , vi ) are the coordinates and displacements of point Pi (i = 1, 2, 3),
respectively, l is the length of edge P2 P3 . Using deformation matrices T(xi , yi ) (i = 1, 2, 3)
defined at the points P1 , P2 and P3 , the distance d can be calculated as follows:
S0
d= + [Hd ]T [Ddi ] + [Gm ]T [Dm
j ]
l
1 y − y3
[Hd ] = [Tid (x1 ,y1 )]T 2 , (6)
l x3 − x2

1 y − y1 1 y − y2
[Gm ] = [Tjm (x2 ,y2 )]T 3 + [Tjm (x3 ,y3 )]T 1
l x1 − x3 l x2 − x1
When the DDA block contacts with the NMM elements, the contact spring with the stiff-
ness of kp is introduced to prevent the penetration between the DDA blocks and the NMM
elements. The potential energy p for the contact spring is:
2
kp 2 kp S0
p = d = + [Hd ]T [Ddi ] + [Gm ]T [Dm
j ] (7)
2 2 l
Minimizing potential energy expressed as Eq. (7) by taking the derivatives in terms of
[Di ], the four 6 × 6 sub-matrices and two 6 × 1 sub-matrices can be obtained. These sub-
matrices are assembled to the global stiffness matrix. The processes for deriving the contact
sub-matrices mentioned above are same as the ones in original DDA and/or NMM. The sub-
matrices for rock bolts, which connect DDA block and NMM element, can be also derived
easily in the similar way.
2.3. Kinematics of DDA block and NMM element

The NMM and DDA originally developed by Shi2, 3, 6 use the same kinematics for block sys-
tem, and the criteria for penetration and separation in DDA is also same as NMM. The con-
tacts between blocks and/or elements are searched along joint loop in both DDA and NMM.
Therefore, the same kinematics for block system in DDA and/or NMM can be adopted in
NMM-DDA. When the DDA blocks contact with the NMM elements, sub-matrices for the
contacts can be easily derived as shown in the previous section.
258
2.4. Programming codes

The developed NMM-DDA code consists of the following four different programs: (1) pre-
processing program to generate the NMM mesh based on the joint geometry data, (2) pre-
processing program to define the joint loops as NMM elements and convert into the joint
loops defined as DDA blocks, (3) main calculation program for NMM-DDA, and (4) post-
processing program to illustrate the results of NMM-DDA calculations.
When all joint loops are defined as NMM, the main calculation program is exactly same
as original NMM code. On the other hand, the main calculation program is also same as
original DDA code when all joint loops are defined as DDA blocks. All programs are written
in C and C++ language.
3. Application to Earthquake Response Analysis of Rock Slope

Figure 3 shows the application of newly developed NMM-DDA to the earthquake response
analysis of rock slopes. The length and height of the rock slope are 250m and 120m, respec-
tively. The basement of the slope was divided by NMM elements, and the rock slope consists
of rectangular DDA blocks. The material properties and analytical conditions are summa-
rized in Table 1. A series of simulations were carried out with different joint strength (cohe-
sion of joint) called Case 1, 2 and 3 to investigate the effect of joint strength on the mechan-
ical behavior of fractured rock masses. The largest cohesion of joint was given for the Case
1 and smallest for Case 3. For Case 3, the larger viscosity coefficient of blocks and elements,
which worked as damper, was given comparing the one for Case 1 and 2. The seismic forces,
which were calculated from the acceleration records of the actual earthquake obtained from
Disp.(cm) Disp.(cm) Disp.(cm) Disp.(cm)
Time(s) Time(s) Time(s) Time(s)

Response displacement (horizontal)
Acc.(m/s2)
Horizontal
120m
Acc.(m/s2) Time(s)
Vertical
250m
Time(s)
Loading acceleration
Disp.(cm) Disp.(cm) Disp.(cm) Disp.(cm)
Time(s) Time(s) Time(s) Time(s)

Response displacement (horizontal)
Figure 3. Loading acceleration and seismic response of displacements at different parts of the slope
(Case 1).
259
Table 1. Physical properties and parameters.

Case 1 Case 2 Case 3
Unit mass (kg/m3 ) 2000 2000 2000

Unit weight (kN/m3 ) 20 20 20
Young’s modulus (GN/m2 ) 1.0 1.0 1.0
Poisson’s ratio 0.3 0.3 0.3
Viscosity coefficient for blocks and elements 100 100 1000
Penalty stiffness (GN/m) 10 10 10
Friction angle of joint (deg) 45 45 45
Cohesion of joint (kN/m2 ) 10.0 1.0 1.0
Tensile strength of joint (kN/m2 ) 0.0 0.0 0.0
Max. time step(s) 0.01 0.01 0.01
the seismic observation station at the ground surface, were given to the basement (NMM
elements) as a dynamic body force. This will be the simplest method to apply seismic forces
to the basement elements because dynamic body forces are proportional to the input seismic
accelerations and can be calculated directly.
The simulation results for Case 1 are shown in Figure 3. From this figure, the waveform
of displacement responses in the basement was similar to the one for the input accelerations
and the displacements in the basement increase toward right hand side because the right
side boundary of the model was free. The DDA blocks moved together with the basement
in the initial stage until the slipping of DDA blocks became dominant. When the slipping
and/or separation between NMM basement and DDA blocks occurred with increasing seis-
mic forces, the displacements of the DDA blocks increased rapidly.
Figure 4 also shows the distribution of displacements for DDA blocks and NMM elements
(for Case 1). From this figure, the DDA blocks fell down along the basement modeled by
NMM and the DDA blocks moved toward the toe of the slope, and the failure mode was
regarded as sliding. This figure also clearly shows that the problem with large displacement
and contact/separation of blocks can be simulated correctly by newly developed NMM-DDA
with the local distribution of the stress and deformation. The NMM-DDA can be success-
fully applied to the dynamic response analysis for the model including both continuous and
discontinuous media.
60
56
52
48
44
40
36
after 1100 step (6.00s) after 1300 step (7.67s) 32
after 1400 step (8.26s)
28
24
20
16
12
8
4
Disp.(cm)
after 3000 step (13.34s) after 4000 step (14.14s) after 6000 step (16.33s)
Figure 4. Displacement distribution for each block after applying seismic loads (Case 1).
260
60
56
52
48
44
40
36
after 1500 step (8.53s) 32
after 800 step (3.00s) after 1100 step (5.90s)
28
24
20
16
12
8
4
Disp.(cm)
Figure 5 shows the distribution of displacement for DDA blocks and NMM elements for
Case 2. The DDA blocks moved toward the toe of the slope along the basement and fell
down from the slope surface. The failure mode of the slope for Case 2 is toppling, which is
different failure mode from Case 1. The DDA blocks started slipping and were separated in
the early stage of the seismic loads, and the separation lines clearly observed in the vertical
direction and grew along the slope surface. However, comparing with the results of Case 1,
the traveling distance of the blocks in Case 2 was shorter.
Figure 6 shows the distribution of displacement for DDA blocks and the basement modeled
as NMM elements for Case 3 with heavily damped case. In this case, the collapse of the DDA
blocks was not observed even though the large displacement occurred during the seismic
loads. However, slipping toward left side and separation between DDA blocks appeared
along the slope surface and these displacements of the blocks were stored as the cumulative
deformation of the slope. This simulation result also indicates that the joints and/or fractures
in the slope will open by earthquake especially near slope surface and these open joints turn
to a defect for following earthquake.
From Figures 4 and 5, the joint strength between blocks plays significant roles for the
failure modes of the slopes during earthquake and traveling distances of falling blocks also
depend on the failure modes. From the simulation results presented in this paper, the traveling
distance of DDA blocks for Case 1 shows larger than one for Case 2 and the failure modes for
Case 1 and 2 were ‘sliding’ and ‘toppling’, respectively. Therefore, it is possible to estimate
60
56
52
48
44
40
36
after 1000 step (4.96s) after 1200 step (6.90s) after 2000 step (14.52s) 32
28
24
20
16
12
8
4
Disp.(cm)
261
that the slope failure by sliding tends to show large traveling distance of falling blocks. In
fact, the failure modes of slopes during earthquakes is affected by many other factors such as
joint distributions, joint strength, slope geometry, intensity and frequency characteristics of
seismic waves, and so on. The effect of these factors on the slope failure modes are key issue
and will be investigated in the future.
4. Conclusions
In this paper, the NMM-DDA analysis method was newly developed and applied to earth-
quake response analysis of the rock slope. Both NMM and DDA originally developed by
Shi 2, 3 and 6 share the common mathematical principles so-called the minimization of the
potential energy to establish the equilibrium equations for kinematics of block system. This
enables to combine NMM and DDA easily and DDA blocks and NMM elements can be
treated at the same time. The findings obtained from this study are summarized as follows:
• In NMM-DDA, the blocks modeled as NMM elements are analyzed by NMM, and
the blocks modeled as DDA blocks are analyzed by DDA.
• The only difference between NMM-DDA and original NMM (DDA) is the treatment
for the contact between NMM elements and DDA blocks.
• The contact sub-matrices between NMM element and DDA block are easily derived
by using the deformation matrices for NMM element [Tjm ] and DDA block [Tid ],
and the proposed NMM-DDA satisfy the principle of minimum potential energy.
• The NMM-DDA compensates the drawbacks of original NMM and DDA, and
NMM-DDA can be applied to many geotechnical problems including both continu-
ous and discontinuous media.
• The results of the earthquake response analysis indicate that the failure modes and
traveling distance of the collapsed rock blocks are affected by the joint strength
between blocks significantly.
The NMM-DDA was applied to the simulation of the discontinuous rock slope behavior
during earthquake successfully, as shown in Figure 3. However, when NMM-DDA is used to
solve the actual geotechnical problems, how to determine the specific parameters such as stiff-
ness of contact springs and displacement control parameters is still key issue. Moreover, very
few systematic methods to determine these parameters have been proposed so far even for
original DDA and NMM. The selections of these parameter values are closely related to the
convergence speed of the calculation and the performance of contact behaviors. Therefore,
the quantitative approaches as well as sensitivity analysis are required in order to determine
parameter values systematically and appropriately in the future.
References
1. Cundall P.A., “A Computer Model for Simulation Progress, Large Scale Movement in Block Sys-
tem”, ISRM Symp., Nancy, France, 1971, pp. 11–18.
2. Shi G.H. and Goodman R.E., “Two dimensional discontinuous deformation analysis”, Int. J.
Numer. Anal. Meth. Geomech., 9, 1985, pp. 541–556.
3. Shi G.H and Goodman R.E., “Generalization of two-dimensional discontinuous deformation anal-
ysis for forward modelling”, Int. J. Numer. Anal. Meth. Geomech, 13, 1989, pp. 359–380.
4. Sasaki T., Hagiwara I., Sasaki K., Horikawa S., Ohnishi Y., Nishiyama S. and Yoshinaka R.,
“Earthquake response analysis of a rock-fall by discontinuous deformation analysis”, Proc.
ICADD-7, Hawaii, 2005, pp. 137–146.
262
5. Hamasaki E. and Sasaki A., “Study on landslide due to earthquake by using Discontinuous Defor-
mation Analysis”, Proc. 3rd ARMS, Kyoto, Japan, 2004, pp. 1253–1256.
6. Shi G.H., “Manifold Method of Material Analysis”, Transactions of the 9th Army Conference on
Applied Mathematics and Computing, Report No.92-1, U.S. Army Research Office, 1991.
7. Chen G.Q., Zen K., Ohnishi Y. and Kasama K., “Extension of Manifold Method and Its Applica-
tion”, Proc. ICADD-4, Glasgow, UK, 2001, pp. 439–450.
263
Stability Analysis of Ancient Block Structures by Using DDA and
Manifold Method
T. SASAKI1,∗ , I. HAGIWARA1 , K. SASAKI1 , R. YOSHINAKA2 , Y. OHNISHI3 ,

S. NISHIYAMA3 AND T. KOYAMA3
1 Rock Engineering Lab., Suncoh Consultants Co., Ltd., Tokyo, Japan
2 Saitama University, Saitama, Japan
3 School of Urban & Environment Engineering, Kyoto University, Kyoto, Japan
1. Introduction
Kerisel, J. (1985) have studied long-term stability and stress concentration of many ancient
masonry structures and evaluates settlement of those foundations by using empirical theory
and pointed out factors of collapse these are the load concentration, the ground condition
and the settlement of foundation.1
Since, in order to evaluate of sedimentary rock in the long–term stability behaviour of
deformation, the authors are analyzed the masonry structure of the Pharaoh Khufu’s Pyra-
mid located in Giza area constructed B.C. 2551 and the Pont of Gard located in French
constructed A.D. 17 by Discontinuous Deformation Analysis (DDA) and Manifold Method
(MM). Those ancient structures still standing and carry us a message. The Khufu’s Pyramid
was constructed on the sedimentary limestone and the formation is not horizontally but little
inclined on the hill. The Khufu’s Pyramid was measured by F. Pytory in 1880 and Ministry of
measurement of Egypt in 1925. And the precise measurement involving the settlement was
done by T. Nakagawa in 1978.2 The width of foundation is about 230m and the height is
about 147m. In the Khufu’s pyramid, there are three chambers as King’s chamber, Queen’s
chamber and underground unfinished chamber at the 30m depth from ground level.3
Those chambers are still stable from after 4500 years in construction. Therefore, the
authors expected to get the knowledge of the long-term stability of sedimentary rock to
analyze those ancient masonry structures. The objective of the studies are evaluates of rock
materials to elucidation of the stress concentrations and the deformation of those ancient
structures by using DDA and MM.
2. Analyses of Khfu’s Pyramid

2.1. Outline of the geology at Giza area
Figure 1 shows the geological map around Giza area as three pyramids constructed.4 Those
pyramids are constructed on the tertiary deposit limestone along a flood plain field of river
Nail. The tertiary deposit limestone called Mokattam formation and the area is about 1.5
Km square and surrounded perpendicular two faults.
Figure 2 shows the geological section near Giza area and the thickness of Mokattam for-
mation is 120m and it is not horizontally with little inclined of South-East direction.
∗ Corresponding author. E-mail: sasakit@suncoh.co.jp

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0021 265
Figure 1. Geological map around Giza area.
Figure 2. Geological section near Giza area.
2.2. Analysis of the upper masonry structure of the Pyramid

The total number of blocks of the Pharaoh Khufu pyramid is estimated about 2300 thousand.
The height of the Pyramid is 147m and the width of the foundation is 230m. The total story
of the masonry is 203. The total volume is estimated about 2 million and 595 thousand and
the total weight is estimated about 5.62 MN. The height of each level, the lower level is
about 1.2m and the upper level is about 75 cm which those are smaller towards the upper
level. The unevenness of each level is 2 to 3 cm and those are surprisingly horizontal. The
block length of horizontal direction, the lower level is 1 to 1.5m and the upper level is 10
cm to 1m at random of the places.2 Figure 3 shows two dimensional DDA model of the
Figure 3. DDA model of the Pharaoh Khufu pyramid.
266
Table 1. Material properties and parameters.

Items Parameters
Material Upper block Foundation
Time increment 0.001 second
Elastic modulus 1GPa 1GPa
Unit mass 20kN/m3 18kN/m3
Poisson’s ratio 0.30
Friction angle, Cohesion φ = 35◦ , c = 0.0 MPa
Penalty coefficient (Normal) 10GN/m3
Penalty coefficient (Shear) 4GN/m3
Viscosity (Block body) 10% × (unit mass) × sec
Viscosity (Normal contact) 10% × (Penalty Pn) × sec
Viscosity (Shear contact) 10% × (Penalty Ps) × sec
Velocity – energy ratio Rock VS Rock: 0.80
Pharaoh Khufu pyramid. The total story of DDA model is 48 and the average height of step
is 2.5m and the average length of horizontal direction is 5m for simplicity. The total number
of blocks is about 1200.
The material property of limestone blocks was determined by experiments considering size
effect of the block as shown Table 1.5
2.3. Results of the DDA model of Pharaoh Khufu Pyramid

Figure 4 shows the principal stress distribution of the static mode calculation. The maximum
principal stress distribution around King’s chamber is 6 to 7 MPa and this value is almost
equivalent what Kerisel (1985) was pointed out by empirical method. The maximum prin-
cipal stresses of near outside part of the pyramid is distributed along pyramid shape and
the inside part is distributed toward perpendicular to the foundation. Figure 5 shows the
Figure 4. Principal stress distribution of DDA (Static analysis).
267
Figure 5. The vertical displacement by the iso-parametric Manifold Method.
principal stress distribution of the dynamic mode calculation. The stress distribution of near
outside part of the pyramid is distributed confused and not smoothed comparison with the
static mode case. In the dynamic mode calculation, once the unbalance force cause numeri-
cally the displacement of the pyramid structure towards development to the collapsed. This
phenomenon shows actual physical behaviour.6
2.4. Analysis of the foundation of the Pyramid by Manifold Method

In order to estimates settlement of the pyramid foundation, the same model as DDA is ana-
lyzed by the triangle original and the 4-node iso-parametric Manifold Methods.7–9
Figure 5 shows the vertical displacement and the maximum settlement is about 60 cm
at centre of pyramid bottom part and relative settlement between centre and side part of
the pyramid is about 10 to 20 cm. The principal stress distribution of the pyramid and the
foundation, no stress concentration caused in the pyramid and the tensile stresses caused
parallel along the bottom part near the foundation. The maximum shear strain distribution
and maximum value is located central part of the structure.
3. Analysis of the Pont DU Gard Ancient Roman Arch Structure

In order to analyze the ancient Roman arch structure of the stress distribution and the set-
tlement, the Pont of Gard is analyzed by Discontinuous Deformation Analysis and the iso-
parametric manifold method. The structure was constructed for aqueduct in ancient Roman
age B.C. 17. The foundation of the structure and the blocks is made of limestone as same
as Khufu’s pyramid. The bridge comprised three levels and build with large blocks with out
cement (dry joints). The first and second level features six and eleven superimposed arches
whose spans vary from 15.5 to 24.5m. And the height is 21.87 and 19.5m respectively. The
third level, which is 490m long, comprises forty seven arches (12 of which were destroyed
in the middle Ages), supports the aqueduct proper. These thirty-five arches are 4.8m wide
and height is 7.4m. To render them waterproof, the walls of the canal are covered by a
reddish-brown plaster-work, a Roman secret call the ‘malthe’.
268
490m
7.4m
19.5m
21.87m
Figure 6. The DDA model of the Pont of Gard.
Figure 7. The principal stress distribution by DDA.
3.1. Analysis of the foundation of the Pon du Gard by DDA
Figure 8. The principal stress distribution by the iso-parametric Manifold Method.
Figure 6 shows the DDA model and the total block is about 2500. The material properties
and the parameter of calculation are same as the pyramid model as shown Table 1.
269
Figure 9. The vertical displacement by the iso-parametric Manifold Method.
Figure 7 shows the principal stress distribution of around main arch and the major stresses
are distributed along each arch shapes. The maximum stresses distribute at the bottom of
pillars which is 1.5 MPa to 2 MPa.
3.2. Analysis of the foundation of the Pon du Gard by Manifold Method

Figure 8 shows the principal stress distribution by the iso-parametric Manifold Method. And
the stresses are disturbed compare with the DDA result.
Figure 9 shows the vertical displacement by the iso-parametric Manifold Method. The
settlements around main arch at upper level are 20 to 27cm. And the first level is 10 to 15cm
experimentally.
4. Conclusions
In order to analyze for long term stability of block structures the ancient two international
heritages in which the Khuhu’s pyramid and the Pont of Gard are analyzed by using Dis-
continuous Deformation Analysis, the triangle and the iso-parametric manifold method. The
reasons of long-term stability of these structures for more than 2000 to 4500 years, the
authors focused the settlements of foundation of the structures and both structures are not
collapsed and still keep standing.
The first reason is to keep horizontal level of foundations of the structures depends on the
mechanical property of the foundation deformability.
The second reason that the masonry structure is released surplus shear forces between
blocks in its self each others because of compare with the distribution of the principal stresses
between DDA and Manifold Method as shown before. And this reason is effective for earth-
quake motions of the masonry structures also.
The third reason, the contemporary design method of structures is estimate the settlement
of foundation or the members of beam before construction and finally constructed them
considering to keeps horizontal position of the structures.
The second bridge of the Gard constructed in 1743 alongside the old aqueduct concealing
all the arches on the first level, which the centre part of bridge is height about 20 centimetres
than the side parts. According to the measurement by T. Nakagawa in 1978, the difference of
270
horizontal relative level between the South-East corner and the North-West corner was 45 to
30 mm of the first story masonry.2 In fact, the constructing works of masonry of the Pyramid
was very précised. But it is impossible to measure the absolute settlement of the foundation
from the initial conditions.
Therefore, we imagine that the ancient designers are also considering in this circumstances
of their experiments and the presented methods of DDA and Manifold Method are have
good applicable to explain those phenomena in static analyses. Both structures have same
condition of the foundation as sedimentary limestone which is stable in chemically for rainfall
and water flow.
However, this paper studied only for the static condition, the earthquake motion of the
dynamic condition is another important factor for the stability of the structure. We will
analyze those structures of the dynamic condition of the earthquake motion in the future as
we recommended model as considering frequency characteristics of the structure.10, 11
The following conclusions are deduced from the analytical results:
• The principle stresses distributions of the upper structure of Pyramid and Pon du
Gard are good agreement by using DDA.
• The settlements of the foundations of Pyramid and Pon du Gard are good agreement
by using Manifold Method.
• The stability of masonry structures are strongly depends the settlements of their
foundations, therefore, the combined analysis of DDA and NMM12 could be effec-
tive for the models.
Acknowledgements
The authors thank Dr. Gen Hua Shi for many informative discussions.
References
1. Kerisel, J., The history of geotechnical engineering up until 1700, Proceedings of the eleventh
international conference on soil mechanics and foundation engineering, San Francisco, 1985,
pp. 12–16.
2. Yoshimura, S., The mystery of pyramid, Kodansha (in Japanese), 1979.
3. Guardian’s Egypt, Web site: http://www.guardians.net/egypt/pyramids.htm
4. Egyptian Geological Survey and Mining Authority, Geological map of grater Cairo area, 1983.
5. Aboushook, M.I., Wkizaka, Y. and Shinagawa, S., Environmental impact on the durability of some
Egyptian and Japanese lime stones, Proc. of 9th ISRM Congress Paris, Vol. 2, 1999, pp. 991–996.
6. Sasaki, T. and Yashinaka, R., Studies of masonry structures by using Discontinuous Deformation
Analysis and Manifold Method, Proceedings 7th Japan Society for Computational Engineering
and Science, 2002, pp. 431–434.
7. Shi, G.H., Block system modeling by discontinuous deformation analysis, Univ. of California,
Berkeley, Dept. of Civil Eng., 1989.
8. Shi, G.H., Manifold method of material analysis, Trans. 9th Army Conf. on Appl. Math. and
Comp., Rep. No. 92-1. U.S. Army Res. Office, 1991.
9. Sasaki, T. and Ohnishi, Y., Analysis of the discontinuous rock mass by four node iso-parametric
Manifold method, Fourth International Conference for Analysis of Discontinuous Deformation,
Glasgow, Scotland, UK, 2001, pp. 369–378.
10. Yoshinaka, R., Sasaki, T., Sasaki, K. and Horikawa, S., Consideration on stability and collapse at
earthquake of soft rock slope based on an example, 11th ISRM Congress Lisbon, Portugal, 2007,
pp. 1109–1112.
271
11. Sasaki, T., Hagiwara, I., Sasaki, K., Ohnishi, Y. and Ito H., Fundamental studies for dynamic
response of simple block structures by DDA, Eighth International Conference on the Analysis of
Discontinuous Deformation, 2007, pp. 141–146.
12. Miki, S., Sasaki, T., Koyama, T., Nishiyama, S. and Ohnishi, Y., Combined analysis of DDA and
NMM (NMM-DDA), and its application to dynamic response models, ICADD9-Singapole, 2009.
(to be appear)
272
Application of Manifold Method (MM) to the Stability Problems
for Cut Slopes along the National Roads
YUZO OHNISHI1 , TOMOFUMI KOYAMA2,∗ , KAZUYA YAGI3 , TADASHI KOBAYASHI3 , SHIGERU MIKI4 ,
TAKUMI NAKAI5 AND YOSHIFUMI MARUKI5
1 Exsective, vice president, Kyoto University
2 Dept. of Urban and Environmental Engineering, Kyoto University
3 Hanshin Kokudo, Kinki Regional Development Bureau, Ministry of Land, Infrastructure and Transport
4 Kiso-Jiban Consultants Co., Ltd
5 Earthtech Toyo, Co, Ltd
1. Introduction
Recently, because of the limitation of the available lands, one of the greatest challenging
problems for civil engineers is how to construct the new structures/infrastructures adjacent
pre-existing ones and how to evaluate the effect of the new construction on the pre-existing
structures. The area studied in this paper (one of the national road, Route 176, in Kinki
region, Japan) is not the exception. The rapid increase of the population in this area causes
the heavy traffic jams and the extension of the national road has been required for long
time. The main planed road extension processes are excavation of the bypass tunnel and cut-
ting the rock slope. One of the difficulties for these constructions will be pre-existing struc-
tures/infrastructures such as old railway tunnel, railway line and pylon (for electric power
supply) on the top of the slope. Therefore, to investigate the effect of the newly constructed
structures and their construction processes on the pre-existing structure/infrastructure is nec-
essary and important because rock slope failure causes serious damage to not only the human
lives but also structures and infrastructures, as well as serious economical losses.
The other challenging issue is how to design the structures in the fractured rock masses.
So far, finite element method (FEM) has been widely used to design the structures. However,
since pre-existing fractures play an important role for the mechanical behavior of fractured
rock masses, it is necessary to consider and evaluate the effect of fractures on the mechanical
behavior of rock slopes properly for the design of cut slopes in the fractured rock masses. The
Manifold Method (MM)1 is one of the discontinuum based numerical approaches to simulate
the mechanical behavior of fractured rock masses including large deformation/displacement
along fractures as well as stress/strain conditions of the rock blocks/masses. In this study, the
MM was used to investigate the stability of the cut slope in the highly fractured rock masses
along one of the national roads in Japan focusing on the effects of new construction on
the pre-existing structures/infrastructures. The effect of reinforcement during the construc-
tion such as rock bolts, anchors etc. was also investigated and evaluated quantitatively by
numerical simulations using MM.
2. Outline for the Constructions and Geology

2.1. Outline of the constructions (bypass tunnel and slope cutting)
Figure 1 shows the outline of the planned constructions (bypass tunnel and slope cutting)
to extend the national road, Route 176 (currently 2 lanes for two directions). The planed
∗ Corresponding author. E-mail: koyama@geotech.kuciv.kyotou.ac.jp

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0047 273
constructions to extend the national road and their processes are as follows: (1) filling the
old railway tunnel (which has not been used any more), (2) excavating the bypass tunnel (for
national road) with the length of 293m and (3) cutting the slope and extend the road from
2 to 4 lanes. The railway line also passes along the slope in the opposite side of the national
road and the pylon for electric power supply is situated on the top of the slope. Hence, in
this study, the following issues were investigated carefully including the slope stability: (1)
the effect of old tunnel on the excavation of the new bypass tunnel and excavation disturbed
zone (EDZ), (2) the effect of cutting slope on the newly constructed bypass tunnel and (3)
the effect of the excavation of bypass tunnel and cutting slope on the pylon located on the
top of the slope (cross section No. 420, in Fig. 1).
Slope cutting
National road,
National road, Route 176 Old railway tunnel
Route 176 Old railway tunnel
(4 lanes)
(2 lanes)
Bypass tunnel Bypass tunnel
(a) (b)
Figure 1. The construction processes, (a) filling the old railway tunnel and excavating the new bypass
tunnel, and b) cutting slope.
2.2. Geological investigation results (fracture mapping)

The hard rocks distribute widely in the slope (granite, porphyry, granite porphyry, welded tuff
and rhyolite) and two faults passes close to the construction area as well as the rock masses
are highly fractured. Hence, for the design of the construction, the effect of fractures on the
mechanical behavior of slope should be investigated. For the numerical simulations using
the Manifold Method (MM), the fracture geometry and mechanical properties of fractures
are required. The fracture distributions were obtained from the borehole TV image and the
on-site geological survey (see Fig. 2). Three different fracture sets were observed and used to
create the 2-D models for the slope (see Table 1). The fracture geometry data was analyzed
by Schmidt net and shown in Fig. 3.
2.3. Geological investigation results (fracture mapping)

The hard rocks distribute widely in the slope (granite, porphyry, granite porphyry, welded tuff
and rhyolite) and two faults passes close to the construction area as well as the rock masses
are highly fractured. Hence, for the design of the construction, the effect of fractures on the
mechanical behavior of slope should be investigated. For the numerical simulations using
274
Southern edge, railway line
Dominant fractures
(a) (b)
Figure 2. The fracture geometry obtained from a) on-site geological survey and b) borehole TV image.
Table 1. Three fracture sets obtained from borehole TV image and on-site geological survey.
Fracture set Direction Interval No. 420 No. 422 Features
cross cross
section section
I EW20N 10–15m J1–J4 J1–J3 20◦ inclined against the

cut slope (dip slope)
II N86E64N 5–10m J5–J7 J4–J6 60◦ inclined against the cut
slope (dip slope)
II N70W70S 10–30m J8–J12 J7–J8 70–75◦ inclined against the
N70W80S cut slope (reverse dip slope)
N N
EW20N
N32E39N
N41E44N
EW59N N86E64N
No. 420 No. 422
Figure 3. The statistical analysis for fractures using Schmidt net.
the Manifold Method (MM), the fracture geometry and mechanical properties of fractures
are required. The fracture distributions were obtained from the borehole TV image and the
on-site geological survey (see Fig. 2). Three different fracture sets were observed and used to
275
create the 2-D models for the slope (see Table 1). The fracture geometry data was analyzed
by Schmidt net and shown in Fig. 3.
3. Numerical Simulation for Slope Stability Problem Using Manifold

Method (MM)
3.1. Outline of MM
The Manifold Method (MM) originally developed by Shi1 is one of the discontinuum based
numerical methods and can simulate the mechanical behaviors including the displacement/deformation
for both continuous and discontinuous media. The detail explanation, formulation and deriva-
tion of equations can be seen in the literature.1 The main features of MM can be summarized
as follows: (1) MM divides blocks into small regions (elements) and the nodal displacements
are unknown parameters like FEM and can calculate the stress/strain with good accuracy, (2)
MM can treat the block contacts and/or separations easily like DDA by using the overlapped
covers (mathematical mesh), (3) MM uses coves (mathematical mesh) where the displace-
ment function (shape function) is defined and can over the physical boundaries unlike FEM
(a kind of ŞmeshlessŤ method) and (4) MM can solve both static and dynamic problems.
3.2. Analytical domain and conditions for the simulations

Figure 4 shows the 2-D models of the slope with fractures for two different cross sections
named No. 420 and No. 422. Based on the statistical analysis for fractures, three fracture
sets were introduced in the model (J1–J9, see Table 1). The slope was divided into four
different regions: (1) highly weathered, (2) weathered, (3) weakly weathered zone and (4)
excavation disturbed zone (EDZ) around old railway tunnel. The material properties for each
region are summarized in Table 2. Since laboratory mechanical tests for fractures were not
performed, the cohesion for fractures was assumed to be zero. Then the sensitivity analysis in
terms of internal friction angle for fractures was performed (details will be explained later).
As for the boundary conditions, the displacements in both x- and y-directions were fixed
along the bottom boundary and the displacement in the x-direction was fixed along the side
boundaries. The first order triangle elements with linier elastic constitutive law were used.
The rock bolts introduced around the newly constructed bypass tunnel were not modeled
Cross section No.420 Cross section No.422 Cutting slope

J1
J2 J1
No420 ᢿ㕙 No422 ᢿ㕙 J2
Highly weathered zone J3 Highly weathered zone
J4 J3
Cutting slope
Weathered zone Old railway tunnel Weathered zone Old railway tunnel
(EDZ) (EDZ)
Bypass tunnel J12 Bypass tunnel

J8 J9 J10 J11 J7 J8 J9
J5 J6 J7 J4 J5 J6
Weakly weathered zone
Figure 4. 2-D models of the slope with fractures for different cross sections.
276
Table 2. The material properties for each region.

Zone Hightly Weathered Weakly EZD around
weathered weathered old tunnel
Rock classification D-CL CL-CM CM −

Density (kg/m3 ) 2200 2600 2600 2600
Young’ modulus (MN/m2 ) 30 220 410 290
Poisson’s ratio 0.4 0.3 0.3 0.35
Cohesion (MN/m2 ) 0.1 0.4 4.5 3.2
Internal friction angle (◦ ) 30 32 34 32
others − − − include the filling material
Friction angle for fractures (◦ ) Parametric study (see Table 3)
Cohesion of fractures(MN/m2 ) 0 0 0 0
Table 3. The material properties for fractures in each region.

Internal friction angle for fractures (◦ )
Cases
Highly weathered Weathered Weakly weathered
Case 1 30 35 40
Case 2 35 40 45
Case 3 No fractures
directly, but consider the stress relief ratio of 70% was introduced to consider the effect
of rock bolts’ support. In the simulations, slope was cut at the same time in the whole cut
area. The simulation processes followed exactly same as the abovementioned construction
processes. As for the parameters for fractures, according to the literature,2–3 the basic friction
angles of fractures for granite, porphyry, granite porphyry, welded tuff, rhyolite (observed in
the studied area) distribute from 30–40◦ . The parameters for fractures used in this study are
summarized in Table 3.
3.3. Simulation results

Because of the page limitation, only simulation results for the cross section No. 422 were
presented in this paper. Figure 5 shows the distribution of horizontal and/or vertical dis-
placements for each simulation case. From this figure, the relatively larger displacements are
distributed in the highly weathered and weathered regions, and the displacement along the
fracture J5 is significant. The amount of the displacement becomes smaller with increase of
the friction angle of the fractures. This figure also clearly shows that the fractures play impor-
tant roles for mechanical behavior of fractured rock masses. However, the continuum based
approaches such as FEM can not treat separation of the blocks properly. On the other hand,
MM can simulate both continuous and discontinuous media. Figure 6 shows the displace-
ment vectors and final displacement for Case 2 (after cutting the slope). From this figure,
the blocks above and below the fracture J8 move downward (subsidence) and upward (ele-
vation), respectively. The maximum displacement of the blocks was less than 4cm and this
displacement can be controlled by installing the reinforcement such as anchors and rock
bolts. Figure 7 shows the stress distributions and maximum shear strain. Some stress concen-
tration can be observed along the fractures, around the old railway tunnel and both sidewall
277
(m)
0.01
0.02
0.03
0.04
0.05
0.06
0.07
0.08
0.09
0.10
0.11
0.12
0.13
0.14
0.15
Figure 5. Simulation results by MM, horizontal (upper) and vertical (lower) displacements for each
case.
Disp = 0.400m
Disp = 0.1600m
Figure 6. Simulation results by MM, the displacement vectors and final displacements for Case 2.
of the bypass tunnel. The large shear strain of 0.6% occurs around the old railway tunnel.
However, significant shear strain cannot be observed at the toe of the slope.
3.4. Design of the reinforcement

Based on the simulation results presented in the previous section, the reinforcement such as
anchors and rock bolts was designed and their effect was investigated quantitatively. The
selection of the method for reinforcement depends on the volume of the rock masses which
should be fixed as well as the depth location of the sliding planes and the condition of the
278
Stress = 4e+006 Stress = 4e+006 Stress = 4e+006
(%)
0.04
0.08
0.12
0.16
0.20
0.24
0.28
0.32
0.36
0.40
0.44
0.48
0.52
0.56
0.60
Figure 7. Simulation results by MM, the stress distributions (upper) and the maximum shear strain
(lower) for each case.
Table 4. Results of slope stability analysis.

Slope stability analysis
Safety factor Planed safety factor Restraint force (kN/m)
Current situation 1.139

Aftercuttingslope 1.026 1.200 630.16
fractures. For the slope investigated in this study, the combination of ground anchors with
rock bolts and/or iron reinforcing rods will be suitable. Figure 8 shows the suggested rein-
forcement for the slope to control the displacement along the possible sliding plane, J5 (see
Figs. 4 and 6).
To investigate the effect of the suggested reinforcement, the numerical simulations were
carried out using MM with rock bolt element and distributed loads (represents restraint
force for anchors). The material properties for the rock bolt element can be seen in Fig. 8.
The distributed load of 630.162kN was introduced as the restraint force of the anchors. The
same material properties and boundary conditions as Case 2 (see Tables 2 and 3) were used
for each region excpt the stress relief rate of 100% for cutting slope.
The distribution of displacments (in horizontal and vertical directions) and maximum
shear stress are compared between cases without and with reinforcement and shown in Fig. 9.
From this figure, the displacements of blocks in both horizontal and vertical directions were
significantly decreased along the fracture J1 and J2 by the reinforcement. This means that the
suggested reinforce system will work properly. However, the suggested reinforcement could
279
F = E ⋅ A ⋅ Δl / l
Iron reinforcing rods (D22, 4 m) where F: axial force, E: Young’s modulus, A cross section area, l:
→ rock bolt element
length, Δl: increment of length.
Restraint force for anchors Now,
→ distributed loads E = 105(kN/mm2), A = (22.2 mm-1.0 mm)2·π/4 = 353 mm2 (1 mm for
corrosion)
Iron reinforcing rods
(D22, 4 m)
l = 4 (m)
→ rock bolt element
Fig. 8 Suggested reinforcement.
Figure 8. Simulation results by MM, the stress distributions (upper) and the maximum shear strain
(lower) for each case.
Without reinforcement
Horizontal disp. Vertical disp. Max shear stress
With reinforcement
Horizontal disp. Vertical disp. Max shear stress
(m) (%)
0.08
0.16
0.24
0.32
0.40
0.48
0.56
0.64
0.72
0.80
0.88
0.96
1.04
1.12
1.20
0.01
0.02
0.03
0.04
0.05
0.06
0.07
0.08
0.09
0.10
0.11
0.12
0.13
0.14
0.15
Figure 9. Simulation results by MM for the cases without (upper) and with installing the reinforce-
ment (lower), horizontal and vertical displacements as well as the maximum shear stress.
not improve the displacement of the block srounded by J2, J3 and J5 along the J3 and more
rock bolts need to be intoduced. On theothr hand, the distribution of maximum shear stress
did not change much after installing the reinforcement.
4. Concluding Remarks
In this study the MM was applied to real slope stability problems along one of the national
roads in Japan with tunnel excavation and slope cutting. Especially, in this construction
site, the effect of new construction on the pre-existing structures/infrastructures such as old
280
railway tunnel, railway line pylon should be carefully investigated. The effect of the rein-
forcement such as anchors, rock bolts and etc was also investigated. In this construction site,
since the mechanical behavior along the fractures is significant, the numerical method based
on the discontinuum approaches will be suitable. The MM can introduce fractures explicitly
in the model and fracture information such as geometry and material properties are requited
to make a model. In this study, the distribution of fractures was obtained from the on-site
survey/observation using borehole camera etc. The simulation results show that displacement
of less than 4cm was observed along the fractures in the stress relaxation region and appro-
priate reinforcement such as rock bolts and/or anchor will be necessary for the stability of
the cut slope. The MM will be applicable to the design of the cut slope in the fractured rock
masses.
References
1. Shi, G.H., “Manifold Method of Material Analysis”, Transactions of 9th Army Conference on
Applied Mathematics and Computing, Report No. 92-1, U.S. Army Research Office, 1991.
2. Nakai, T. and Shimauchi T., “Investigation, analyses and evaluation for fractured rock masses (1)”,
Soil Mechanics and Foundation Engineering, 48(1), 2000, pp. 57–62 (in Japanese).
3. Shimauchi T. and Nakai, T., “Investigation, analyses and evaluation for fractured rock masses (2)”,
Soil Mechanics and Foundation Engineering, 48(3), 2000, pp. 55–60 (in Japanese).
281
Boundary Deformability and Convergence in the Higher-Order
Numerical Manifold Method
D. KOUREPINIS1,∗ , C.J. PEARCE2 AND N. BICANIC2

1 Halcrow Group Ltd
2 University of Glasgow
1. Introduction
Safety critical structures such as nuclear containment vessels and dams, as well as most
civil engineering structures are normally designed to perform in the linear elastic regime
under normal operating conditions. However, there is a wide range of problems that requires
knowledge of how structures behave beyond the linear elastic range; for example, when it
is required to allow for acceptable levels of inelastic deformation, to design for structural
performance under extreme loads induced by earthquakes, blast or impact, or to conduct
forensic studies and assess the effectiveness of retrofit. Furthermore, there are several prob-
lems, such as slope stability, tunnelling and mining, which are inherently discontinuous.
The deformation analysis of problems that exhibit inelastic behaviour through strain local-
ization, followed by development of micro-fractures and coalescence into discrete discontinu-
ities such as cracks has posed significant challenges to the mechanics community for several
decades. This is due to difficulties to resolve numerically and in an accurate and efficient
manner the gradual transition from continuum to discontinuum and, potentially, interaction
of fragmented parts.
One of the difficulties to describe this behaviour numerically stems from requirements to
adapt the approximation locally in order to capture accurately the stress field around evolv-
ing discontinuities. Traditionally, in finite element methods this class of problems has been
approached using remeshing, while in discrete element methods it was attempted using arti-
ficial connection of discrete bodies which are identified a priori to act as continua. However,
neither of these attempts comprises a diritta via for modelling the transition from continuum
to discontinuum efficiently.
The enrichment of finite element methods with higher-order shape functions (p-enrichment)
appears to be appealing for improvement of the numerical approximation without remesh-
ing. However, to capture the evolution of discontinuities, in traditional finite element meth-
ods it is necessary to couple enrichment with remeshing. The Numerical Manifold Method
(NMM) is an attractive alternative for modelling discontinuous deformation problems, advo-
cating the ability to adapt the level of approximation locally,1 coupled with the ability to
introduce discrete discontinuities without remeshing.
Although higher-order enrichment can potentially improve the numerical approximation,
it can also lead to convergence difficulties and insufficiently constrained boundaries. Fur-
thermore, the enforcement of essential boundary conditions, which in NMM is undertaken
traditionally using penalty constraints, is not straightforward and can result to incomplete
enforcement. Similar problems manifest if distributed loads are not applied consistently.
This paper examines convergence issues in higher-order NMM and presents a strategy
for direct and complete enforcement of essential boundary constraints, which is achieved in
general terms using a point collocation method, whereby boundary conditions are enforced
exactly at specified points on the boundary without the use of penalty constraints.
∗ Corresponding author. E-mail: kourepinisd@halcrow.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0055 283
2. Higher-Order Numerical Manifold Method

The problems of improvement and convergence are intrinsic and universal in numerical
approximation techniques. In principle, a numerical solution can be improved by increasing
the number of unknowns employed to define the approximation field, so that the trial field
becomes a closer representation of the actual field. Assuming that the trial field is capable to
reproduce the displacement form of the continuum (or discontinuum), then with refinement
or enrichment of the approximation with additional unknowns, the exact solution may be
obtained.
NMM, which was introduced by Shi,2 is based on the partition of unity concept3 and ideas
similar to those utilized in meshless methods. It integrates aspects of traditional and hierar-
chical finite element methods, and exhibits strong parallels with the more recently developed
Extended Finite Element Method (XFEM) as noted by Kourepinis.1 NMM can be viewed as
a more generalized formulation of Discontinuous Deformation Analysis (DDA),4 whereby
blocks are substituted by assemblages of elements formed by overlapping covers, or domains
of influence. Similar to DDA, the NMM approximation can be enhanced using higher-order
polynomial basis functions, to achieve a variable and potentially improved strain field within
elements without altering the mesh. In NMM it is possible to improve the numerical approx-
imation in two principal ways, similar to finite elements:
• By adapting the level of discretization via remeshing or by modifying the existing

mesh without changing the number of elements, nodes or connectivity (h- and r-
refinement respectively).
• By using higher-order basis functions (p-refinement) without introducing new nodes
and hence without undertaking remeshing. This is typically undertaken in a hierar-
chical manner.
The latter approach appears to be particularly attractive for adaptivity, as it entails a

straightforward and similar implementation for problems of any spatial dimension and mesh
structure.
To date, the original NMM has been extended in attempts to exploit its potential to
improve the level of approximation with higher-order basis functions,1, 5 while preserving
the ability to undertake integration analytically. Furthermore, it has been demonstrated that
local higher-order enhancement can be undertaken by adapting the order of displacement
polynomials that define the approximation field for any arbitrary level, without explicitly
deriving the matrix system.1 A distinct advantage of the latter case is that it is possible to
improve the solution by adapting locally the order of nodal displacement functions using
errors estimators or indicators, without undertaking remeshing. However, to date there has
been limited evidence of potential issues associated with convergence or enforcement of con-
straints in higher-order formulations.1
3. Boundary Deformability in Higher-Order NMM

In traditional finite elements, due to the interpolation of nodal displacements, constraints on
element boundaries between nodes are enforced naturally. This is not the case when higher-
order displacement functions are employed in NMM, since the deformation between nodes
associated with higher-order functions is not anymore an interpolation of nodal displace-
ments. In addition, the unknowns corresponding to nodes associated with higher-order func-
tions are not simply displacements and the unknowns of higher-order functions associated
with constrained nodes are not all necessarily zero. In physical terms the result is that, if
284
the boundary conditions require an entire edge to be constrained and only nodes are utilized
for this purpose, the increased deformability associated with higher-order NMM leads to
incomplete enforcement (Fig. 1). A similar problem manifests itself if distributed loads are
not applied consistently.
Based on the local enrichment concept discussed earlier, this issue can be resolved by
enforcing zero-order displacement functions on the boundary, without necessarily changing
the order of displacement functions elsewhere. By doing this, displacement function coeffi-
cients associated with boundary nodes are always nodal displacements interpolated between
boundary nodes, thereby enforcing the correct boundary conditions along the entire bound-
ary and not only at nodes. This can be demonstrated using the following single element test
(Fig. 2), where zero displacement functions are employed at nodes 2 and 3 and first order
displacement functions at node 1.
The only variables at nodes 2 and 3 are the (already known) prescribed displacements:
T T
a2 = 0 0 and a3 = 0 0 (1)
At point A between these nodes it can be shown that the weight functions of both nodes 2
and 3 are equal to 0.5, therefore the associated shape matrices are equal to:

10 10
T2 = 0.5 and T3 = 0.5 (2)
01 01
whereas the weight function of node 1 at point A is zero, since this point lies on the boundary.
Therefore, the displacement at point A equals zero as shown in Eq. (3), although the resulting
Figure 1. Deformed shape of a two-element test. (a) FEM/NMM with constant-strain triangles
(b) NMM with higher-order displacement functions.
Figure 2. Single element test.
285
Figure 3. Single element test with zero-order displacement functions at nodes 2 and 3 and 1st-order
displacement functions at node 1. (a) Contours of displacement along the horizontal axis (b) Contours
of stress in the horizontal axis.
stress field is not constant as illustrated by Fig. 3.

uAx
= 0 + T2 a 2 + T3 a 3 = 0 (3)
uAy
4. Convergence
In principle, higher-order enhancement may improve the approximation but there are cases
in which convergence is bound to fail. For example, where singularities exist or where point
loads are applied. Furthermore, the use of interpolation with high-order polynomials at
equidistant points can introduce errors as the solution tends to oscillate with increasing poly-
nomial orders at interpolation intervals (Fig. 4). Potential remedies are spline curves and
Chebyshev nodes that become increasingly closer near boundaries.
To illustrate this the problem of Fig. 5 is considered. The problem consists of a 400 ×
200mm membrane of 1mm thickness subject to a uniform axial pressure of 100MPa. A
traction-free circular hole of 20mm radius is situated in the middle of the membrane to
weaken the section. The elastic modulus and Poisson’s ratio are taken as 100,000 MPa and
Figure 4. Runge’s phenomenon: interpolation of Runge’s function with high-order polynomials.
286
Figure 5. Definition of quadrant idealisation of semi-infinite perforated plate (left); problem discreti-
sation (right).
0.3 respectively and the problem is idealised in plane-stress. Since it is desired to enhance
nodes in the vicinity of the hole, it is necessary to discretise the full problem.
The mesh is deliberately coarse in order to examine the effect of enhancement via
p-refinement using zero, first, second, third and fourth-order displacement polynomials. Com-
parison of the energy error in the case of h-refinement alone around the hole (Fig. 6), and
p-refinement (Fig. 7) illustrates that the solution diverges when displacement polynomials of
order higher than two are employed.
Another significant issue is that the imposition of essential boundary conditions associated
with higher-order displacement functions can lead to rank deficiency of the system matrix.
Duarte7 and subsequently Lin8 noted this phenomenon in the context of h-p Clouds and
NMM respectively and recognized that this was due to the fact that the polynomials used to
construct the displacement function included monomials that are reproduced by the weight-
ing functions. Lin proposed that the linear term should be omitted from the displacement
functions although in fact this only partially tackles the problem1 and a potential resolution
can be obtained with appropriately modified displacement functions for nodes on restrained
0.8
0.7
0.6
Energy norm error
0.5
0.4
0.3
0.2
0.1
0
0 100 200 300 400 500 600 700 800
Mesh density (number of nodes)
Figure 6. Energy norm error at A versus mesh density; h-refinement study using remeshing and zero-
order displacement functions.
287
0.8
0.7
0.6
Energy norm error

0.5
0.4
0.3
0.2
0.1
0
0 1 2 3 4 5
Order of displacement polynomials
Figure 7. Energy norm error at A versus the order of global p-refinement.
boundaries. The most straightforward way to achieve this is by enforcing boundary nodes
with zero-order displacement functions.
5. Enforcement of Essential Boundary Conditions Using Projection

Matrices
Due to the non-interpolating nature of the NMM shape functions with respect to nodal
displacements, the enforcement of essential boundary conditions can be rather more compli-
cated than it is in FEM. Traditionally, essential boundary conditions in NMM are enforced
using the penalty method. Although enforcement with penalty constraints is straightforward
from an implementation point of view, the solution is susceptible to artificially high stiffness
constraints which can lead to ill-conditioning of the matrix system.
Alternatively, the enforcement of essential boundary conditions can be resolved in a more
robust way by means of Lagrange multipliers. In paradox, whereas this approach elimi-
nates the requirement for artificial constraining forces, it introduces additional unknowns.
An alternative Lagrange multiplier technique which restores the problem to its original num-
ber of unknowns is employed here in NMM as presented by Ainsworth6 within the context
of finite elements. It can be shown that the discrete system of equations can be derived from
minimization of the discrete version of the modified (constrained) energy functional as:
1 T
min = a Ka − fT a + λT (Aa − q) (4)
a,λ 2
where a is a vector which contains the deformation coefficients of the displacement function
vector, λ is the vector of Lagrange multipliers, K is the structural stiffness matrix, A is a
matrix which couples displacement degrees of freedom to Lagrange multipliers, whereas f
and q are the vectors of external forces and applied displacements respectively. Assuming
this problem is well-posed, the following matrices are well-defined:
Q = I −RA (5)
T T −1
R = A (AA ) (6)
288
where R is an auxiliary matrix and Q is a projection matrix. Thus, there is a unique solution
to the following modified problem:
K̄a = f̄ (7)
where the modified stiffness matrix and force vector are defined as:
K̄ = QT KQ + AT A (8)
T T
f = A q + Q (f − KRq) (9)
and the corresponding Lagrange multipliers can be recovered from:
λ = RT (f − Ka) (10)
The constrained system has the same number of unknowns as the original problem. For
computational efficiency, it is also possible to implement a sequential approach6 rather than
a single step using a global constraint matrix. Thus the approach offers clear advantages over
both the Lagrange multiplier method and the penalty method.
6. Conclusions
Although higher-order enrichment of NMM can potentially improve the numerical approx-
imation, it requires a special level of attention and engineering judgment in order to attain
meaningful results. In particular, care must be given to apply loads and boundary condi-
tions consistently. This paper discussed issues such as incomplete enforcement of boundary
conditions and rank deficiency of the system matrix, and it was advocated that these issues
may be resolved using a local enhancement strategy with zero-order displacement functions
on restrained boundary nodes. Furthermore, a technique for enforcing essential boundary
conditions exactly was presented for any general higher-order case using projection matrices,
without the use of penalty constraints and without increasing the number of unknowns. It is
worthwhile to note that the numerical issues and considerations discussed here are potentially
applicable to other techniques which are conceptually similar to NMM, such as Discontinu-
ous Deformation Analysis (DDA) and XFEM.
Acknowledgements
Halcrow Group Ltd and the Engineering and Physical Sciences Research Council (UK) are
acknowledged gratefully for providing financial support for this research.
References
1. Kourepinis, D. (2008), Higher-Order Discontinuous Analysis of Fracturing in Quasi-Brittle Materi-
als, Doctoral Thesis, University of Glasgow, Glasgow University Library.
2. Shi, G.H. (1995). Simplex integration for Manifold Method and Discontinuous Deformation Anal-
ysis. In Proceedings of Working Forum on the Manifold Method of Material Analysis, pp. 129–164.
3. Babuška, I. and Melenk, J.M. (1996). The partition of unity finite element method: Basic theory
and applications. In Computer Methods in Applied Mechanics and Engineering, 139: 289–314.
4. Shi, G.H. (1988). Discontinuous Deformation Analysis — A new numerical model for statics and
dynamics of block systems. PhD Thesis. University of California, Berkeley.
5. Lu, M. (2002). Numerical Manifold Method with complete N-order cover function. STF22-F02121
to STF22-F02124, SINTEF.
289
6. Ainsworth, M. (2001). Essential boundary conditions and multi-point constraints in finite element
analysis. In Computer Methods in Applied Mechanics and Engineering, 190, 6323–6339.
7. Duarte, C.A. and Oden, J.T. (1996). H-p Clouds – an h-p Meshless Method. In Numerical Methods
for Partial Differential Equations, 12, 673–705, John Wiley and Sons, Inc.
8. Lin, J.S. (2003). A mesh-based partition of unity method for discontinuity modelling. In Computer
Methods in Applied Mechanics and Engineering, 192, 1515–1532.
290
The Numerical Manifold Method and Extended Finite Element
Method — a Comparison from the Perspective of Discontinuous
Deformation Analysis
D. KOUREPINIS1,∗ , C. J. PEARCE2 AND N. BICANIC2

1 Halcrow Group Ltd
2 University of Glasgow
1. Introduction
The computational description of discontinuous phenomena has presented significant chal-
lenges to the mechanics community over the past few decades, driven by rapid technological
developments, increasing social and economical constraints for safer and more complicated
engineering designs, and consequently by increasing requirements for more accurate under-
standing of macro- and micro-structural processes.
Finite element methods have been pushed to their limits in an attempt to resolve strain
localization and ultimately fracturing in a unified and objective manner, while discrete meth-
ods have been utilized by artificial connection of discrete bodies which are identified a priori
to act as continua. Neither of these attempts comprises a diritta via for modelling the tran-
sition from continuum to discontinuum efficiently and this has led to the investigation of
alternative techniques.
The Numerical Manifold Method (NMM) and Extended Finite Element Method (XFEM)
are two relatively recent numerical techniques which advocate distinct advantages for mod-
elling evolving discontinuities, such as cracks, due to their ability to resolve jumps in the
approximation field without the requirement for a priori assumptions and remeshing, but
within a continuum setting.
This paper presents a discussion of the similarities and differences of the two techniques
from the perspective of discontinuous deformation analysis.
2. The Partition of Unity

The essence of finite element techniques lies in approximating the unknown function using
an expansion which contains the unknown parameters (e.g. displacements) and some form of
shape functions, which are typically expressed in terms of independent variables. In the finite
element method (FEM), its extension, XFEM, and NMM, the approximating displacement
function can be expressed in a form equivalent to:

n
u= Ni ai = Na (1)
i=1
where n is the total number of nodes, Ni are the shape functions and ai are the unknown
parameters. Ni and ai can be non-scalar; for example, in NMM when higher-order dis-
placement functions are used Ni are matrices and ai are vectors containing the unknown
coefficients of the approximating displacement polynomials.
It is worthwhile to note that in their simplest form FEM, XFEM and NMM are equiv-
alent. For example, in continuum mechanics when linear shape functions are employed in
∗ Corresponding author. E-mail: kourepinisd@halcrow.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0075 291
NMM, combined with constant displacement functions and simplex elements (i.e. elements
that adopt the form of the simplest possible shape in any given space) the NMM approxi-
mating function is identical to FEM and XFEM.1
The shape functions satisfy the partition of unity condition:

n
Ni (x) = 1 ∀x ∈ e (2)
i=1
0 ≤ Ni (x) ≤ 1 ∀x ∈ i (3)
Ni (x) = 0 ∀x ∈
/ i (4)
where e is the element domain and i is the influence area of a shape function. The above
relationships state that (1) the sum of shape functions at any position within the discretized
domain must equal to one (hence each function is a “partition of unity”), (2) each shape
function takes values from 0 to 1 within its influence area and (3) every shape function
equals to zero at any position which does not lie within its influence area.
From the perspective of discontinuous deformation analysis, the partition of unity is signif-
icant since it can be used to incorporate discontinuous shape functions in the approximation,
and thereby resolve jumps in the approximation field without the requirement to undertake
remeshing and without a priori assumptions with respect to the paths followed by disconti-
nuities. Consequently, methods based on the partition of unity approach appear particularly
attractive for problems that involve simulation of moving boundaries, such as fracturing and
crack propagation.
For example, using Eqs. (2) to (4) it can be observed that once an element is intersected
by a discontinuity, for Eq. (4) to hold, affected shape functions must be set to 0 over the
boundary of the discontinuity. As a result, the shape functions become discontinuous and the
element is partitioned into two sub-domains, one on either side of the discontinuity. However,
this invalidates Eqs. (2) and (3). The partition of unity can be restored by partitioning the
original element it into two elements with boundaries that lie on the discontinuity (hence
undertaking remeshing). Alternatively, additional nodes associated with discontinuous shape
functions that restore the partition of unity may be added so that they overlap the original
nodes. The procedure is illustrated in Figs. 1 and 2.
Figure 1. One-dimensional element intersected by a discontinuity at x.
292
Figure 2. Additional overlapping nodes are introduced with discontinuous shape functions to restore
the partition of unity.
3. Modelling of Evolving Discontinuities

Traditional finite element techniques for modelling strong discontinuities (where the displace-
ment and strain fields in the vicinity of displacement jumps are fully discontinuous), are nor-
mally associated with interface models and remeshing. The use of interface models without
remeshing implies a priori assumptions with regard to the location and trajectory of potential
discontinuities, and therefore may yield results that are not objective due to mesh alignment
and issues associated with integration and fictitious elastic stiffness of interface elements. If
interface elements are introduced only when required, then the use of remeshing techniques
is entailed. This implies that where the continuum is intersected by discontinuities remeshing
takes place and interface elements are introduced aligned to boundaries of discontinuities.
However, whenever a localization zone is remeshed, the neighbouring region may also be
remeshed in order to obtain a smooth transition of the approximation field. This process can
result in a significant increase of unknowns.
A more robust approach can be accomplished with NMM and XFEM, which exhibit
strong parallels since they are both based on the partition of unity framework and exploit
that ability to employ discontinuous shape functions. Jirásek2 notes that in chronological
terms, the concept of modelling discontinuities using the partition of unity concept is traced
back to NMM, which appears in literature almost the same time as the identification of the
partition of unity framework.3
In both NMM and XFEM discontinuous shape functions can be introduced in order to
restore the partition of unity when the domain is intersected by discontinuities. The dis-
continuities introduced in this manner are not limited to element boundaries, but can be
located anywhere in the mesh as displacement jumps are represented by additional degrees
of freedom that overlap the existing mesh. This type of enrichment of the continuum follows
directly from the original topology, so that the additional degrees of freedom are introduced
only on existing nodes intersected by discontinuities. Surrounding elements are unaffected
293
Figure 3. Arbitrary domain with discontinuity introduced using additional (overlapping) nodes.
and therefore remeshing does not take place in the traditional sense. Consequently, the pro-
cedure is similar for any type of element and problem geometry.
The key difference between NMM and XFEM is that NMM captures the jump in the dis-
placement field using discontinuous displacement functions to the ‘left’ and to the ‘right’ of a
discontinuity in order to restore the partition of unity. XFEM on the other hand, introduces
an additional degree of freedom at each node by enriching the trial function. In both tech-
niques the resulting stiffness matrix is symmetric and there is an increase of its size due to the
introduction of additional degrees of freedom.
Another distinctive divergence between the two methods arises from the way the integra-
tion process is carried out. In XFEM integration is carried out numerically at Gauss points,
while in NMM it is undertaken analytically using simplex integration as discussed in the next
section.
Furthermore, it is worth noting that in any case the introduction of displacement discon-
tinuities can be associated with algorithmical difficulties, particularly in three-dimensional
domains. For example, tracking of discontinuities in 3D represents a significant geometrical
challenge although developments in the area of level sets4 employed in XFEM may also be
of use in NMM.
4. Integration
Although NMM and XFEM have several conceptual similarities, where discontinuities
emerge NMM traditionally constructs the approximation space as an enriched product of
standard basis functions, while XFEM constructs the approximation space as a product of
standard basis and special enrichment functions.5
This key difference affects the integration approach adopted in each case as the shape func-
tions and their derivatives can be conceptually different. As a result, in NMM the stiffness
matrix can consist only of integrals of monomial terms, whereas in XFEM it can consist of
integrals of monomial terms and other special functions. In situations where fracture prob-
lems are considered within the framework of linear elasticity and zero traction boundary
conditions on crack surfaces, the XFEM special functions are typically singular linear elastic
near-tip field functions,6, 7 in order to enrich the crack-tip.
In linear elastic cohesive crack models the situation is slightly different, as tractions
between either side of a discontinuity lead to a reduction of stress at the tip. This is desirable
294
since it reduces the non-physical singular stress field at the tip.8 However, singular enrich-
ment functions are not valid. In this case, enrichments at the tip have been undertaken using
non-singular asymptotic functions8 in XFEM, or enrichment functions based on higher-order
polynomial bases.9
Consequently, integration in XFEM is not always as straightforward as it is in NMM
and it is undertaken numerically. This implies that the integration domain must conform to
the boundary of the discontinuity. If the discontinuity is not taken into account, then the
solution can lead to poor results or a non-invertible set of equations if integration points
do not track the discontinuity.10 Therefore, integration of elements that are intersected by
discontinuities requires a form of partitioning of elements into triangular sub-domains. In
addition, in cohesive models the variational principle involves integration over the domain
and integration over segments of the cohesive zone.7, 8
XFEM partitioning is undertaken without introducing additional unknowns since basis
functions are only associated with nodes tied to parent elements.11 However, the computa-
tional cost can increase as the number of integration points increases. Furthermore, integra-
tion by partitioning around a singularity can yield poor results if the integration rule is not
adequate or if the mesh in the proximity of the singularity is coarse.
In NMM with simplex integration non-simplex domains resulting by the intersection
of (simplex) elements and discontinuities are also in essence partitioned into simplex sub-
domains1 similar to the XFEM approach. Also similar to XFEM, no additional unknowns
are introduced. However, in contrast to XFEM, integration in this case is exact and therefore
the additional computational cost of integration of parts of the domain intersected by discon-
tinuities depends only on the order of the displacement functions associated with nodes tied
to parent elements. Furthermore, the NMM approach is guaranteed to yield precise results
as it is exact.
It is worthwhile to note that although simplex integration constrains the shape of the
approximating basis functions, it is likely to avoid potential issues of zero energy modes
associated with inadequate or reduced numerical integration rules12 of non-smooth as well
as smooth problems without the requirement for additional considerations when the order of
the basis functions is increased (for example in adaptive enrichment). However, to date appli-
cation of simplex integration has been restricted to linear elastic problems whereas numerical
integration has been applied extensively to both linear and nonlinear mechanics.
Depending on the form of the special enrichment functions employed, simplex integra-
tion can also be used in XFEM. Similarly, NMM can benefit from the work undertaken in
XFEM in situations where a simplex approach is not desirable, whether this is due to use
of non-simplex elements or enrichment of the approximation field with non-standard basis
functions.
5. Conclusions
From the viewpoint of discontinuous deformation analysis, the principal differences between
NMM and XFEM appear to be restricted to the way the discontinuous approximation space
is constructed and the way integration is carried out (traditionally). Although distinct, it can
be postulated that these divergence points are subtle and as a result there is strong poten-
tial to integrate aspects of XFEM in the NMM framework and vice versa. For example,
the extensive amount of research undertaken with regard to modelling curved or branched
cracks and tracking discontinuities in XFEM using level sets may be potentially utilized for
further developments of NMM. Similarly, the straightforward approach of NMM for mod-
elling discontinuities can be used in XFEM where the use of special enrichment functions is
295
not necessary, or simplex integration may be used in cases where it is more desirable than
numerical integration.
Acknowledgements
Halcrow Group Ltd and the Engineering and Physical Sciences Research Council (UK) are
acknowledged gratefully.
References
1. Kourepinis, D. (2008), Higher-Order Discontinuous Analysis of Fracturing in Quasi-Brittle Mate-
rials, Doctoral Thesis, University of Glasgow, Glasgow University Library.
2. Jirásek, M. and Belytschko, T. (2002), Computational resolution of strong discontinuities, WCCM
V — Fifth World Congress on Computational Mechanics, Mang, H., Rammerstorfer, F.G. and
Eberhardsteiner, J.
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296
Accuracy Comparison of Rectangular and Triangular
Mathematical Elements in the Numerical Manifold Method
H.H. ZHANG1 , Y.L. CHEN1 , L.X. LI1,∗ , X.M. AN2 AND G.W. MA2
1 MOE Key Laboratory for Strength and Vibration, Xi’an Jiaotong University, Xi’an, Shaanxi, PR China, 710049
2 School of Civil and Environmental Engineering, Nanyang Technological University, Singapore, 639798
1. Introduction
The numerical manifold method (NMM), originally proposed by Shi1,2 is a combination
of the finite element method (FEM) and the discontinuous deformation analysis (DDA).3 It
provides a unified framework for both continuous and discontinuous problems using math-
ematical covers that are independent of the physical domain of problem.
Since the advent of the NMM, it has been extensively investigated either in theoretical
study or practical applications. For example, Shyu and Salami4 implemented the mapped
quadrilateral mathematical elements in the NMM, which were more efficient than triangular
mathematical elements originally suggested in the NMM. However, mapped elements suffer
from the element shape. Moreover, lower order elements can give rise to shear locking for
bending problems. Chen et al.5 derived formulations of the high-order NMM using high-
order cover functions and verified its necessity for complicated deformation problems. Cheng
et al.6 incorporated Wilson non-conforming elements in the NMM and verified its efficiency
and accuracy for a cantilever slab bending problem. On the other hand, applications of the
NMM to strong discontinuity problems with cracks are successful. Tsay et al.7 combined the
NMM with the crack opening displacement method to predict the crack growth path. Chiou
et al.8 applied the NMM to model crack growths by means of the virtual crack extension
method. However, in their work, local remeshing was required to accurately capture the
crack path, which increased the burden of meshing to some extent. By incorporating the
singular physical covers in the original NMM, Ma et al.9 investigated the complex crack
problems involving multiple, branched and intersecting cracks. Meanwhile, Zhang et al.10
simulated the propagation of complex cracks without remeshing using the same strategy
as in Ref. 9.
Mathematical covers play a most important role in the NMM because they determine the
approximation accuracy and the physical covers. The prominent feature of mathematical
covers in the NMM is that they are independent of physical features, and therefore regu-
lar mathematical elements are possible to be used in building mathematical covers. In this
paper, rectangular, right-angled (RA) triangular and equilateral (EL) triangular elements are
respectively examined to study their difference in accuracy.
2. Basic Theory
2.1. A brief of the NMM
For ease of reading, the NMM is briefly introduced here.10
For a problem, the mathematical cover system, i.e. the union of mathematical covers, must
be first built to completely cover the physical domain of problem ignoring all the physical
∗ Corresponding author. E-mail: luxianli@mail.xjtu.edu.cn

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0130 297
features such as joints, material interfaces, cracks and boundaries. On each mathematical
cover MI , a weight function is defined such that
φI (x) ∈ C0 (MI ) (1)
φI (x) = 0, x ∈
/ MI (2)
which satisfy the partition property of unity

φJ (x) = 1 (3)
J
if x ∈ MJ
With well-defined mathematical covers, physical covers can be obtained by their inter-
sections with the physical domain, and then the manifold elements are generated as the com-
mon regions of physical covers.
In the NMM, the displacement on an element E is approximated by
P

N
h
u (x) = φi (x) · ui (x) (4)
i=1
where NP is the number of physical covers sharing element E and φi (x)is the weight function
corresponding to the physical cover Pi , which is the same as that defined on the mathematical
cover MI ⊃ Pi . ui (x) is the cover function defined on Pi as
ui (x) = PT (x) · ai (5)
where PT (x) is the matrix of polynomial bases which may have constant, linear or higher
order terms. ai is the vector of unknowns to be determined.
As we can see, use of displacement approximation in Eq. (4) is adequate to model con-
tinuous problems, however, when strong discontinuity problems with cracks are consid-
ered, this approximation cannot effectively represent the stress singularity around the crack
tip10 . Hence, for a more general problem, the displacement approximation in Eq. (4) can be
enriched as Ref. 10
P NP

N S
h
u (x) = φi (x) · ui (x) + φj (x) · ûj (x) (6)
i=1 j=1
where the additional cover functions ûj (x) are

ûj = · cj (7)
for singular physical covers. cj is the array of additional unknowns, and NSP is the number of
singular physical covers associated with the element E · is the matrix of singular bases as

1 0 2 0 3 0 4 0
= (8)
0 1 0 2 0 3 0 4
with

√ θ √ θ √ θ √ θ
[1 ,2 ,3 ,4 ] = r sin , r cos , r sin θ sin , r sin θ cos (9)
2 2 2 2
where (r,θ ) are the polar coordinates in the local coordinates system with the origin at the
crack tip.
298
2.2. Remarks on mathematical elements

The NMM starts with building mathematical covers. In geometry, mathematical covers can
be of any shape, and overlapping of mathematical covers may generate any shape of math-
ematical elements. However, for ease of constructing the weight functions, mathematical
covers are always composed of several elements with a simple shape such as triangles or
quadrilaterals which will be mathematical elements through overlapping of the mathematical
covers.
A straightforward trick to generate the mathematical cover system is to borrow the finite
element mesh, despite that the mesh is conceptually different from that used in the finite
element method (FEM) because the latter requires consistence with the physical domain.
Based on the finite element mesh, a mathematical cover consists of the elements sharing
a common node, which is termed the star of this cover in the NMM. Hence, the whole
mathematical cover system is eventually formed by all mathematical covers starred by every
node in the finite element mesh.
The advantage to employ a finite element mesh is evident. That is, the shape function at
the star for each element will directly transfer to the weight function through being piece-
wise pasted together. Thus, for a mathematical cover with triangular elements, the weight
function is in the form of global coordinates via the area coordinates, while for a mathemat-
ical cover with quadrilateral elements, the weight functions will be obtained via a mapping
technique. Under this circumstance, the approximation accuracy is dependent on the shape
of quadrilateral element. For some extreme cases such as concave quadrilateral elements, the
finite element mesh together with the shape functions is disabled at all.
From the geometric viewpoint, the RA triangle and the EL triangle are simple and perfect in
shape as a triangle. However, for most of previous numerical methods, it is impossible to use
such kinds of elements to discretize the real but complex domain due to the requirement that
the mesh must be consistent with the physical domain. On the other hand, as a quadrilateral,
rectangular elements are the simplest and the perfect one, especially that the shape function
can be expressed in terms of global coordinates as a triangular element. Unfortunately, for a
complex domain in reality, a rectangular shape cannot be guaranteed for each element.
The situation changed since the NMM was born. Due to the independence of the phys-
ical domain, a mathematical cover system with rectangular elements as shown in Fig. 1(a)
becomes feasible. Thus, the weight functions on a rectangular element in the NMM can
Mathematical cover
2 1
y
o x
3 a 4
(a) A mathematical cover system with (b) The rectangular element and
rectangular elements the coordinate system
Figure 1. A mathematical cover system with rectangular elements.
299
be obtained directly from the shape functions on such an element. See Fig. 1(b), they are
expressed by
⎧

⎪ 1 2x 2y 1 2x 2y

⎪ φ
⎨ 1 (x,y) = 1+ 1+ ; φ2 (x,y) = 1− 1+
4 a b 4 a b

(10)
⎪
⎪ 1 2x 2y 1 2x 2y
⎩ φ3 (x,y) = 1− 1− ; φ4 (x,y) = 1+ 1−
4 a b 4 a b
with relative coordinates to the center of the rectangle being

⎧
⎪ x + x2
⎨ x = x − 1
2 (11)
⎪ y1 + y4
⎩y = y −

2
It is noted that the rectangular elements are assumed to be right oriented in the present
paper to avoid unexpected troubles.11
Next, we consider a mathematical cover system with RA triangular elements shown in
Fig. 2 or EL triangular elements shown in Fig. 3. Following the guideline of area coordinates
ξ1 , ξ2 and ξ3 , the weight functions on the two kinds of triangular elements are
⎧
⎨ ϕ1 (x,y) = ξ1
ϕ (x,y) = ξ2 (12)
⎩ 2
ϕ3 (x,y) = ξ3
Mathematical cover
Figure 2. A mathematical cover system with right-angle triangular elements.
Mathematical cover
Figure 3. A mathematical cover system with equilateral triangular elements.
300
To compare the accuracy of different mathematical elements, two numerical examples are
examined, including a cantilever beam bending problem and a mixed mode crack problem.
3.1. Bending of a cantilever beam

A cantilever beam is subjected to a uniform lateral loading at the free end in plane strain
state. The specifications are illustrated in Fig. 4.
Three mathematical cover systems with different mathematical elements are used, in which
the element h, defined as the diameter of the circumscribed circle of the mathematical ele-
ment, manifesting the resolution of the cover systems. Figs. 5 (a)–(c) illustrate the discretiza-
tion when h = 5.10. The vertical displacements at the point (100, 0) normalized by the
analytical solution of 4.03 (see Ref. 12) are summarized in Table 1. It is seen that giving
cover size h, the results by system (a) with rectangular elements are the best and not sensitive
to h. The results by systems (b) and (c) with two kinds of triangular elements are almost same
and become better with h.
3.2. Mixed mode crack problem

A finite plate with an edge crack in the plane strain state is considered, as shown in Fig. 6.
In calculation, the dimensions are H = 8.0,W = 7.0, a = 3.5, and the uniform shear force τ
is taken to be unity. The reference mixed mode stress intensity factors (SIFs) are KI = 34.0
y P/2
P=104
(0,10) (100,10)
E=1.0×107, ν=0.3
x
(0,0) (100,0)
P/2
Figure 4. A cantilever beam subjected to a lateral loading.
(a) An illustrative cover system with rectangular elements
(b) An illustrative cover system with right-angled triangular

l
(c) An illustrative cover system with equilateral triangular elements
Figure 5. Three different cover systems when h = 5.10.
301
and KII = 4.55, respectively13 . Accuracy tests are also performed on three different kinds
of mathematical elements and the normalized SIFs by the reference solutions are listed in
Table 2, from which we can tell that given the cover size, the cover system with rectangular
elements is the best, while the cover system with equilateral triangular elements is apparently
better than that with right-angled triangular elements.
a
E=1.0×107
ν=0.3 H
Figure 6. A finite plate with an edge crack under shear loading.
4. Conclusions
In the present paper, the difference of three mathematical cover systems, respectively with
rectangular, right-angled triangular and equilateral triangular elements is comparatively stud-
ied in accuracy through typical numerical experiments. The results show that, given the ele-
ment size, the cover system with rectangular elements is the best and therefore recommended.
The cover system with equilateral triangular elements is apparently better than that with
right-angled triangular elements for complex problems (e.g. a crack problem), but almost
identical for simple problems (e.g. a bending problem). Due to the difference of inscribed cir-
cles for the three elements, these results can be reasonably interpreted with the mathematical
theory of finite element methods.
Acknowledgements
This work was supported by the National Natural Science Foundation of China (10472090,
10572109, 10972172) and the New Century Excellent Talents of Ministry of Education
(NCET-04-0930).
Table 1. Normalized vertical displacement of the point (100, 0).

Mathematical cover system Mathematical Element Size h
5.10 3.15 1.57
(a) Rectangular 0.892 0.902 0.907

(b) RA triangular 0.793 0.855 0.885
(c) EL triangular 0.802 0.859 0.890
302
Table 2. Normalized SIFs for different mathematical elements.

Mathemetical Element Size h
Mathematical cover system Normalized SIFs
1.18 0.61 0.31
KI 0.916 0.966 0.984

Rectangular
KII 0.974 0.985 0.993
KI 0.828 0.916 0.970
RA triangular
KII 0.908 0.956 0.958
KI 0.864 0.937 0.973
EL triangular
KII 0.945 0.974 0.989
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analysis for forward modeling”, International Journal for Numerical and Analytical Methods in
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Working Forum on the Manifold Method of Material Analysis, California, USA, 1995, pp. 165–
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5. Chen, G., Ohnishi, Y. and Ito, T., “Development of higher-order manifold method”, International
Journal for Numerical Methods in Engineering, 43, 1998, pp. 685–712.
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fold method”, Communications in Numerical Methods and Engineering, 18, 2002, pp. 877–884.
7. Tsay, R.J., Chiou, Y.J. and Chuang, W.L., “Crack growth prediction by manifold method”, Journal
of Engineering Mechanics, 125, 1999, pp. 884–890.
8. Chiou, Y.J., Lee, Y.M. and Tsay, R.J., “Mixed mode fracture propagation by manifold method”,
International of Fracture, 114, 2002, pp. 327–347
9. Ma G.W., An X.M., Zhang, H.H. and Li, L.X., “Modeling complex crack problems with numeri-
cal manifold method” International of Fracture, 156, 2009, pp. 21–35
10. Zhang, H.H., Li, L.X., An, X.M. and Ma, G.W., “Numerical analysis of 2-D crack propagation
problems using the numerical manifold method”, Engineering Analysis with Boundary Elements,
34, 2010, pp. 41–50.
11. Zhang, H.H., Liu, S.J. and Li, L.X., “On the smoothed finite element method”, International
Journal for Numerical Methods in Engineering, 76, 2008, pp. 1285–1295.
12. Li, L.X., Han, X.P. and Xu, S.Q., “The analysis of interpolation precision of quadrilateral ele-
ments” Finite Elements in Analysis and Design 41, 2004, pp. 91–108.
13. Yau, J.F., Wang, S.S. and Corten, H.T., “A mixed-mode crack analysis of isotropic solids using
conservation laws of elasticity”, Transactions of the ASME, Journal of applied mechanics, 47,
1980, pp. 335–341.
303
Development of 3-D Numerical Manifold Method
G.W. MA∗ AND L. HE

School of Civil & Environmental Engineering, Nanyang Technological University, Singapore
1. Introduction
Finite element method (FEM) is inconvenient in meshing process, and limitation of small dis-
placement/deformation, while mesh-freed analysis is limited by boundary treatments, espe-
cially for contact and multi-physical problems. Heterogeneous structure and jointed solids
enable researchers to model a discontinuous material; however, it is restricted in areas such
as multi-intersecting interface cases. Even though Distinct element method (DEM) or Discon-
tinuous deformation analysis (DDA) [Shi, 1988] enable the analysis in discontinuous domain,
their relatively inflexible description of block deformation and insufficiently accurate descrip-
tion on stress field matters.
Numerical manifold method (NMM), proposed by Shi [1991], incorporates these meth-
ods’ benefits and can be viewed as a transition and combination of FEM and DDA, through
its important concept of manifold covers (mathematical and physical covers). Its manifold is
mathematically defined when a function is continuous and differentiable at each independent
cover in the description domain. These overlapping mathematical covers create various man-
ifold elements through intersecting with the physical domain, which generates the continuous
and differentiable function description in the whole domain. Geometrical shape can be user-
defined and each mathematical cover does not require conforming to the boundaries of its
structure, which also reduce the workload in processing the meshes remarkably.Increasing
underground construction and geotechnical works surge a high demand for 3-D discon-
tinuous deformation for more reliable 3-D models. Cheng and Zhang (2008) derived one
relatively basic theoretical formation of 3-D NMM without implementations.
This paper mainly describes the implementation of 3D-NMM. Examples illustrate that
the developed 2D numerical manifold program is effective and applicable to 3D continuum
solids.
2. Geometric Configuration of 3-d Mathematical Cover

2.1. Fundamentals of the NMM
The NMM is based on three important concepts: mathematical cover (MC), physical cover
(PC) and cover-based element (CE). MCs are user-defined overlapping patches. One signifi-
cant advantage of the NMM is that arbitrary geometric shapes (e.g. polyhedron in 3-D) can
be the basic MC of the mathematical domain. Each different shaped MC has its own math-
ematical description inside. These polyhedrons are overlapping in space, and those MCs are
only required to be able to fulfil the whole space completely. Physical domain is used to rep-
resent the portrait of target physical objects (TPO) in a general sense. TPO includes all the
physical features such as internal discontinuities (e.g. joints, material interfaces and cracks)
and external geometries on which boundary conditions are prescribed. MCs intersect and
paste seamlessly to re-divide the TPOs, during which PCs are generated. Further, elements
(CEs) in the NMM framework can be considered as the common part of the overlapping

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0137 305
(a)Physical domain and mathematical covers (b) Physical covers (c) Cover based elements
Figure 1. Illustration of finite cover system in the 3D NMM.
PCs. In this way, the NMM can be easily understood and extended to the three dimensional
case.
Fig. (1a) illustrates three basic concepts of the NMM in a 3-D view. There are two MCs
in total, a sphere MC1 and a hexahedron MC2. The pyramid defines the physical domain.
Intersected with the physical domain, two PCs (i.e. PC1 and PC2) (shown in Fig. (1b)) are
generated. These two PCs finally form three CEs, which are CE1, CE2 and CE3, as shown in
Fig. (1c).
On an MC denoted as MI , a weight function is defined, which satisfies
ϕI (x) ∈ C0 (M1 ) (1a)
ϕI (x) = 0, x MI
with

ϕI (x) = 1 (1b)
I
if x ∈ MI
Equation (1a) indicates that the weight function has non-zero value only on its correspond-
ing MC, but zero otherwise, whereas Equation (1b) is just the partition of unity property to
assure a conforming approximation. The weight function ϕI (x) associated with MI will be
transferred to any of the PCs in MI accordingly. The interpolation approximation can be
constructed. First, a cover function ui (x) is defined individually as a local approximation on
the PC Pi for the displacement field, which can be constant, linear, high order polynomials
or other functions with unknowns (also termed DOFs) to be determined. Then, the global
displacement u(x) on a certain CE e is approximated to be

uh (x) = ϕi (x) · ui (x). (2)
i
if e ⊂ Pi
2.2. Geometric patterns

A Geometric Pattern (GP) is a type of theme of the recurring objects, sometimes referred to as
elements of a set, to generate space or parts of an object [Nooshin et al. (1997)]. The first step
to extend to 3D NMM is to select a basic GP to fill the entire 3-D space, as also required in the
2-D NMM. Most often GP geometry is based on platonic solids. The NMM creates a possible
platform to extend the applications of different platonic solids. However, for computational
convenience, simple and regular geometric patterns are suggested. The equilateral triangle
and rectangle are excellent choice for the 2-D NMM, as their high identity and uniformity.
306
Unfortunately, regular tetrahedron is not able to fill the entire 3-D space. Hexahedron is the
best choice geometrically because it has relatively simple topological structure, and equally
sized hexahedrons can fill the space completely. The generalized octahedron is another wise
choice. It is worth noting that MCs can be any shapes in 5 platonic solids and even some other
possible irregular solids, if proper weight functions are implemented. In addition, the NMM
is based on the incremental method, suitable for large deformation and large displacement
analysis. The simplex integration method can gain the accurate integration for any arbitrary
shape [Li et al. (2005)]. If the interpolation function in a global Cartesian system for any
arbitrary shape is able to be built, the governing equation with the NMM incremental step
is viable. In other words, the hexahedron/octahedron is not the best MC choice in the 3-D
NMM. For integration accuracy, the general tetrahedron is the ideal unit cell to form the
manifold element in 3-D.
Similar to the 2-D NMM, one background node is a star of a MC, which can be any
geometry significance points in the cover (e.g. center of gravity). By considering a tetrahedron
manifold element, four MCs are required to overlap to create one manifold element. On
the other hand, it is well known that any shaped convex polygon can be decomposed into
several triangles. Any convex polyhedron in the 3-D space can also be decomposed into
several tetrahedrons. The decomposition plans are innumerable (e.g. choosing different block
size). The division plan determines the shape of the MCs. It can be seen in Fig. (2) that a
hexahedron can be
As a matter of fact, it is not the only of 6 Tetrahedrons plan (as shown in Fig. (2a)), the
advantage is that the cube divided by the figure shown, has the property of center-symmetry,
and it can build up the entire 3D space without rotation. Two schemes of 5 Tetra-plan (Fig.
(2b) and (2c)) are usually coupled and applied as a mixed-discretization (M-D) zone [Itasca
Consulting Group, Inc (2003)]. As these two kinds of mesh are symmetric to each other, they
can overlap at the same position to decrease “the strain instability disturbed by choosing
mesh direction”. One cubic domain and cover is generated by two “anisotropy" mathemat-
ical covers, which is another extension of the manifold concept. When using the centers of
cube and 6 faces as auxiliary points, a cube can be decomposed into 24 different tetrahe-
drons. The mathematical mesh has extremely symmetrical property by this 24-tetrahedron
decomposition scheme.
2.3. MC and its formulation

The corresponding MC belongs to the field of geometrical topology. When the decomposition
in Fig. (2b) is applied, their geometry structure is shown in Bronstein et al. (2007). Similarly,
other decompositions can also be found to gain a cover structure.
(a) (b) (c) (d)
Figure 2. Decomposition plan from hexahedron to tetrahedron.
307
• Weight Function: Here, four overlapping MCs (one type-I and three type-II covers) have
a common area E (complete tetrahedron element), the displacement functions u(x,y,z),
v(x,y,z) and w(x,y,z) in this common area E can be obtained by taking the weighted
average of the four cover functions, which satisfy Equation (1b). In a tetrahedral common
area (tetrahedron cornered by four nodes), four weight functions of the four covers exist.
• Cover Function: The cover displacement functions can be constant, linear, and even
higher order polynomials or locally defined series. The cover function is expressed as
⎡ ⎤
m fij(x,y,z)
Ui = ⎣ fij (x,y,z) ⎦ (3)
j=1 fij (x,y,z)
Then the displacement for the common area is written as:

q

U= ϕi (x,y,z)Ui (4)
i=1
where q is the sum of the mathematical covers for an element(CE).
On substituting Equation (3) into (4), the following displacement function is obtained:
U = ϕFd = Nd. (5)
3. General Formulations of NMM Approximation

3.1. Weak form of governing equations
According to the principle of virtual work, the virtual work done by external forces is equal
to the virtual strain energy of the system, which leads to the corresponding weak form of
governing equation

δεT σ dV = δuT bdV + δuT t̄d − uT ρ üdV (6)
t
where ε is the strain tensor; u is the stress tensor; u is the displacement vector; b is the body
force per unit volume; t̄ is the traction prescribed on the corresponding boundary; ρ is the
density; ü is the acceleration vector.
An increment approach is adopted in the dynamic analysis. The total-time is divided into
a finite number of time steps. Variables such as displacement, velocity and acceleration are
known at the beginning time tn of the current step, and the increments of several variables
during the current time step tn ∼ tn+1 are as unknowns to be determined. Therefore, the
incremental form of the principle of virtual work is required. Energy status at time tn and
tn+1 are both satisfied under Equation (6). The increment form of the principle is obtained by
subtracting two energy equations at time tn and tn+1 , and ignoring the higher order terms.

δ εT σ dV − δ uT bdV − δ uT t̄d + uT ρ üdV = 0. (7)
V t
3.2. NMM interpolations

In a cover-based element, the NMM interpolation follows Equation (5). The strain is expressed
as
ε = LNd = Bd (8)
where B = LN is the strain matrix; L is the differential operator matrix.
308
The constitutive relation is

σ = DLNd = Sd (9)
where S = DLN is the stress matrix.
Equation (5) can be rewritten in an incremental form
u = N d (10)
Hence, the incremental strain is
ε = LN d = B d (11)
The constitutive relation in the incremental form is
σ = DLN d = S d (12)
4. Illustration Example
4.1. Movement of a free falling block
Since the primary aim of the 3-D NMM is to predict the stability and motion of a discontin-
uous system, the developed program is first validated by simulating the free-falling process
of a single block.
In Fig. (3), the geometry of a single block in the 3-D space can be defined by using the
explanation of physical covers and mathematical covers mentioned in the previous sections.
The cube falls under the pure
Fig. (4) gives the displacement and velocity time history. The error of the numerical solu-
tion is less than 0.1% in the maximum absolute difference, which illustrates the credibility
of the NMM calculation accuracy.
4.2. Effect of MC size and orientation

The NMM consists of independent MCs and PCs and thus the generation of the cover based
manifold elements is not restricted to the MC configurations, instead, the concerned physical
Figure 3. Falling cube under gravity.
309
domain can be obtained by intersection with MCs. The following examples are to investigate
the effect of the MC size and the cutting plane orientations. A plate structure is generated by
cutting a cube and the density of the MC is variable. The orientation of the cutting planes to
produce the same geometry plate can be different.
• MC size effect (quasi-static condition).
A 2 m×2 m×0.1 m plate is subjected to the gravity load with g = 10 and fixed at four
corners. The material properties are assumed to be E = 10000, v = 0.3, ρ = 1.2. Its geometry
of the typical mesh design is shown in Fig. (5) in which the faces of the plate conform to the
axis planes.
Six mathematical cover size of s = 0.52, 0.32 0.22, 0.12, 0.08, 0.05 are used to examine
the MC size effect. After intersection with the physical plate, 190, 684, 1104, 3706, 8100,
19200 manifold elements are respectively generated. In order to clarify the quasi-static
responses of the 6 models, the dynamical ratio is set to be 0. Hence, no velocity of the
manifold element will be transferred to the next time step. Totally five measurement points
are set at the middle of the panel for every edge for each case. More details are listed in
Table 1.
The deformation of case 6 (refinement 5) at the maximum displacement is illustrated in
Fig. (6). It is found that they converge well and all the 4 edges are adequately symmetric, eg.
Figure 4. Comparison between NMM result and exact value of displacement and velocity history.
Figure 5. Geometry of typical mesh design for mesh density effect study.
310
Table 1. Solution history at the center of panel.

Name Base Refinement Refinement Refinement Refinement Refinement
Solution 1 2 3 4 5
“Total 0.16404 m 0.25027 m 0.34334 m 0.37919 m 0.39694 m 0.39973 m

Deformation” [+34.45%] [+27.11%] [+9.45%] [+4.47%] [+0.76%]
Mesh Spacing: Spacing: Spacing: Spacing: Spacing: Spacing:
properties 0.52 0.32 0.22 0.12 0.08 0.05
Elements: Elements: Elements: Elements: Elements: Elements:
190 684 1104 3706 8100 19200
Vertexes: Vertexes: Vertexes: Vertexes: Vertexes: Vertexes:
1156 3812 6116 20184 44282 76800
Figure 6. Deformation of case (refinement 5) at the maximum displacement time.
M1∼4 curves in Fig. (6) are presented the deformation history of four middle points from
up, down, left and right side. The result converges to the closed-form solution when the mesh
density increases. This property is consistent with the result of the FEM, and it supports the
validity of the 3-D NMM calculation.
• MC orientation effect (dynamic condition).
The 2 m×2 m×0.1 m plate is subjected to a constant point load L = 5 at the center and its
four corners are fixed. The material properties of the plate are same as the previous example.
The dynamical ratio is set as 0.999 to investigate the dynamical response fully. Two different
orientations of the plate (Orientation 2 and 3) are shown in Fig. (7) while the orientation 1
is same as the previous example.
The Z displacement histories of the center point are shown in Fig. (8), from which it can be
seen that the orientation of the MCs has negligible effect on the plate maximum displacement
at the plate center. The maximum displacement is accurate and stable after converging, and
the convergence time is about the same when the total element number is almost same.
The results show that the orientation of the MCs has little effect to the simulation result.
This ensures the accuracy and modeling efficiency of the 3-D NMM decreases the mesh divi-
sion complexity in FEM, and increases the modeling efficiency. It also supports the validity
of the 3-D NMM dynamic algorithm.
311
p p
Figure 7. Geometry of mesh designs for mesh orientation effect study.
Figure 8. Z displacement histories of center point.
5. Conclusions
The present study aimed to extend the 2-D NMM to the three dimensional application.
The fundamentals of the NMM are briefly outlined in the 3-D space, and the potential
3-D manifold cover geometry configurations are discussed. The three basic concepts, i.e., the
mathematical cover, physical cover and the manifold element are defined in the 3-D frame-
work and the general formulation of 3-D NMM derived based on the incremental form of
the principle of virtual work has been given. The three numerical examples demonstrated
in section 5 all support the accuracy of the developed 3-D NMM code. Results are credible
both under quasi-static and dynamic analysis. It highlights the algorithm in the aspect of
independence between physical modeling and mathematic cover orientation. Application of
the 3-D NMM to engineering problems can thus be possible especially when a block system
is under concern. Currently we are still seeking for the most suitable contact model to the
3-D NMM and the results will be reported in the next stage.
Acknowledgements
The Ministry of Technology provided financial support to this research.
312
References
1. Cheng, Y.M., and Zhang, Y.H., “Formulation of a three-dimensional numerical manifold method
with tetrahedron and hexahedron elements”, Rock Mechanics and Rock Engineering, 41, 4, 2008,
pp. 601–628.
2. Bronstein, A.M. Bronstein, M.M. Kimmel, R., “Weighted distance maps computation on paramet-
ric three-dimensional manifolds”, Journal of Computational Physics, 225, 2007, pp. 771–784.
3. Li, S.C. Li, S.C. Cheng, Y.M., “Enriched meshless manifold method for two-dimensional crack
modelling”, Theoretical and Applied Fracture Mechanics, 44, 2005, pp. 234–248.
4. Itasca Conculting Group, Inc., 3 Dimensional Distinct Element Code-Theory and Background,
Version 3.0. Minneapolis Press, Minnesota,2003.
5. Nooshin, H., Disney, P. and Champion, O., “Computer Aided Processing of Polyhedric Configu-
rations”, Beyond the Cube: The Architecture of Space Frames and Polyhedra, Chapter 12, 1997,
pp. 343–384.
6. Shi, G.H., “Discontinuous Deformation Analysis: A New Numerical Model for the Statics and
Dynamics of Block Systems”. PhD Thesis. University of California, Berkeley. 1988.
7. Shi, G.H., “Manifold method of material analysis”, Transaction of the 9th Army Conference on
Applied Mathematics and Computing, Minneapolis, Minnesota, 1991, pp. 57–76.
313
Application of the Optimization for Rock Tunnel’s Axis Trend by
Block Theory
YANG WENJUN1,2,∗ , HONG BAONING1,2 , SUN SHAORUI1,2 , AND ZHU LEI1,2

1 Key Laboratory of Ministry of Education for Geomechanics and Embankment Engineering,
Nanjing 210098 China
2 Geotechnical Research Institute, Hohai University, Nanjing 210098 China
1. Introduction
It is one of the key factors to optimize tunnel’s axis both rock cranny’s structural planes
and excavated planes of the tunnel, and it affects awfully engineer if the route of the tunnel
is not circumspect. After known the generating mechanism of weak structural planes when
choosing routes of tunnel, we use key block theory and stereographic projection method,
adjust the trend of excavated planes, and make the area both of stereographic projection and
excavation cone have the same point so that the weight of joints cone is the smallest. In other
words, after known the generating mechanism of structural planes, mechanical properties
and geometric parameter of excavation planes when optimizing and design of tunnel axis
and section, we can adjust the tunnel axis linking the rock maximal orientation of rock
initial stress field, so that the potential arisen key blocks are the smallest, also can analyse
each part stabilization status of the tunnel and anchorage design.
Using the statistic of characteristic parameter of wall rock cranny’s structural planes of
three tunnels, also using key block theory and stereographic projection method, this paper
simulates and analyses the change of the position, size and stability in differ trend of the
tunnel, and it proves simulative correctness and necessity in optimization in contrast with
practical instance, lastly it programmes and reckons the best trend of the tunnel by using the
reformatory measure of the Genetic Algorithm. The results obtained in this paper show that
it is necessary to optimize tunnel’s axis by using key block theory and the modified Genetic
Algorithm, and it has very important referenced worthiness in traffic programming, design
and construction of the tunnel.
2. Block Theory Basic Principles and Rock Joints Statistic

2.1. Block theory rationale and characteristic
Block Theory1, 2 is brought forward by Gen-hua Shi in middle of 1970s, it adopts the Numer-
ical Manifold Method, and adopts absolute math cover and physics network to solve the
interface of material boundary, crack, block and different materials fields, and it is a good
kind of analytic method in rock mass stability analysis, and has been widely used in our
country.
Block Theory is a new method of stability analysis to block crack rock by means of analy-
sissitus, set theory, geometry and vector algebra. Its basal assumptions: (1) structural planes
are plane and pierce rock mass on research; (2) Structure is rigid body; (3) rock mass instabil-
ity begins with engendering shear displacement along structural planes in the different kinds
of load. Three theorems: (1) block bounded-ness theorem; (2) the removability theorem of
bounded convex block; (3) the removability theorem of combinatorial block.
∗ Corresponding author. E-mail: yangwenjun168@hhu.edu.cn

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0032 315
The existent structural planes and its intensity of rock mass often control the intensity
and stabilization of rock mass. Key block theory analyses and differentiate the configuration,
size, location and the movement direction of the key block though the known geological
investigation measure about the generating mechanism of structural planes, space coordinate,
and so on, and it bases on set theory, vector analysis and stereographic projection method,
and then it confirms all the key block and calculates its downslide strength and safety factor
by physical mechanics properties of slip surface, so as to offer decision both of economic
rational reinforcing rock mass and choosing excavation orientation.
2.2. Statistics and analytical method of random block structural planes

parameters
Because the combination of structural planes is random, rock block which are incised by
structural planes is random block. Random block nearby the planes of tunnel excavation
maybe become key slippage block. The main approach on research of random block is:
1. On the basis of on-the-spot geological investigation, we should hold statistical grouping

of cranny’s plane of disquisitive region, and analyses their range of generating mecha-
nism. Statistical grouping of cranny’s plane need to be reshuffled in distinctness of orien-
tation and excavation planes according to the orthonormal theory, and research on the
outcropped characteristic of random block which are incised by structural planes and
excavation planes.
2. On the basis of each combined generating mechanism of structural planes, we should
plat stereographic projection maps of structural planes and each excavated planes, stere-
ographic projection can show easily the points, lines, planes and solids of space in the
planes, and distinguish the types of key blocks in the excavated planes by key block
theory.
3. Statistical analysis includes modality, size, space distribution characteristics character-
istic, and so on. We can calculate both block’s stability and block’s safety factor of at
different operation points by the method of limit equilibrium, so as to offer decision
both of systemic anchorage design and the choosing of classic tunnel orientation. Safety
factor of key block is:
➀ Removable block straightway drop, its safety factor is η = 0.
➁ Sliding block in single plane, its safety factor is:
G cos δ tan ϕ + sc
η= (1)
G sin δ
Formula: G is the weight of removable block, δ is single of slip plane, c and φ is cohesive
1 friction angle of slip plane, and s is area of slip plane. The weight
strengths and internal
of block: G = 3 γ hS, γ is density of rock mass, S and h is bottom area and height
of block respectively.
➂ Sliding block in double planes, its safety factor is:
G cos δ( sin δ2 tan φ1 + sin δ1 tan φ2 ) (s1 c1 + s2 c2 ) sin (1800 − δ1 − δ2 )

η= + (2)
G sin δ G sin δ
Formula: δ is the single of intersectant lines of slip plane, δ1 is the single of intersectant
lines normal and slip plane s1 , δ2 is the single of intersectant lines normal and slip plane
s2 , else parameters are as described above.
316
3. Genetic Algorithm and Reformatroy Measure

3.1. The model structure and principle of genetic algorithm
Genetic Algorithms (GA) is a high-effective randomly searching algorithms, which bases on
the natural evolution and Darwinism. A simple and efficient global optimization method that
it make individual into a certain length of chromosome, and only one chromosome should be
included in each fitness function, so that it may have better “next generation” by inheritance.
Reformulating the possible potential solutions of the problems as a certain length of indi-
vidual form population by genetic code, inter-population evolves the highest disturbed solu-
tion by generation following the principle of genetic selection and nature elimination. With
each generation according of individual fitness value to choose individual in crossover and
mutation probability, they generate new population of new solutions. Through genetic selec-
tion next generation is more easily adapt to environment than the previous one, and the
classic individual of the last generation can get the classic solution by genetic code. Basal
Genetic Algorithms mainly steps include coding, producing initial population, confirming of
fitness function and estimate function (fitness account), choice operation, search operation,
decode, and son. The programme drawing of Genetic Algorithms is shown in Figure 1.
3.2. Proper reformatory measure of genetic algorithms

Basal Genetic Algorithms may find the global optimal solution to solve easy problems, while
basal Genetic Algorithms seems a little spirit is willing but the flesh is weak because the
Start
Input initial data
Random create variable in range
I 1
I=I+1
Calculate fitness YES
(object function W)
Basing on estimation
terms, estimate if
end to optimize?
Use GA, select unit,
mating unit, aberrance
unit to optimize NO
Generate next population

I=I+1 I>maxg?
NO
Output result
Over
Figure 1. The programme drawing of GA.
317
problems are very complicated and the amount of form population is much. The algorithm
of BP neural network is BP algorithm, its ability to seek the topical superior is strong while
its ability to seek the global superior is weak, and easily gets into the topical superior, so
as to BP neural network becomes anamorphic in mapping complicated nonlinear function
coupling.
In view of the advantage and disadvantage of them, we improve on fitness selection,
crossover and mutation operator of basal Genetic Algorithms, and import BP operator to
ameliorate the defect that the ability to seek topical superior is weak, and get easily the
global superior solution because of its strong ability of function mapping.3 Many investiga-
tions show, firstly to optimize initial weight distributing by Genetic Algorithms, and locate a
better search space, then find out the best solution in the small space by BP algorithm. This
mixed BP algorithm is feasible.4
4. Geological Features of Some Tunnels and Stability Analysis of Block

and Tunnel Axis to Optimize
4.1. Engineering geological features of some tunnels and parameters
statistic of structural planes
Yongjia-lucheng Segment of Jinliwen Freeway is 22 kilometers long, Huayantou lying on
the border of Qingtian and Yongjia Counties at its north, its south joining the constructed
freeway in the suburb of Wenzhou City. The segment goes through mountains, the three
selected tunnels are chosen from five tunnels. The structure abridged drawing of multiple
arch tunnel is shown in Figure 2.
There is mainly the quaternary incrustation, the upper Jurassic tuffs and Yanshan forepart
migmatitic granite. The upper Jurassic tuffs and explosive volcanic eruption lie in the project
of the three tunnels. The lithology is compact and hardy, massive structure, and has the
higher weatherproof ability.
The excavation of the three tunnels adopts the means firstly to excavate guided room and
mid-board, the excavation method adopts matte surface demolition. The types of structure
are joints and fissures in the tunnel region, and there no outcrop of fault and fracture zone
in the reconnaissance. Rock joints and fissures are generally developed in the tunnel region.
According to field statistics measure, we find that rock mostly developed three groups. The
above two groups’ structure planes are primarily in the tunnel region, and have small the
angle between their trends and tunnel’s axis.
The three tunnels are Hongfeng Tunnel, Muxidai Tunnel and Yangwan Tunnel of Jinli-
wen Freeway. On-the-spot data acquirement of wall rock joints structural planes are done
Figure 2. The structure abridged drawing of multiple arch tunnel.
318
by Statistics analysis, and past through model and practice distributing by approach and
χ 2 tests, then models tests meet the requirements. The generating mechanisms of structural
planes of the three tunnels’ wall rock basically follow the Gaussian distribution, and spacing
follow the Weibull Distribution. According to the characteristic parameters of the models,
calculate the generating mechanisms of structural planes and spacing by confidence level of
95% and 99% respectively, which are list in Tables 1–3.
Table 1. Geometric features space Statistic of Hongfeng Tunnel’s structural planes.

Structural planes Structural planes 1 Structural planes 2 Structural planes 3
95% dip direction (◦ ) 149.87∼157.77 54.12∼61.72 60∼80

(confidence dip angle (◦ ) 81.22∼83.15 81.78∼83.75 8∼15
level) Spacing (cm) 39.96∼53.58 29.36∼62.18
Reach (cm) 53.20∼82.80 49.26∼98.74
99% dip direction (◦ ) 142.75∼159.01 47.43∼62.92
(confidence dip angle (◦ ) 76.71∼83.46 77.43∼84.06
level) Spacing (cm) 29.87∼56.20 26.79∼67.33
Reach (cm) 52.17∼87.45 53.33∼106.51
Table 2. Geometric features space Statistic of Muxidai Tunnel’s structural plane.

95% dip direction (◦ ) 60.74∼71.72 243.73∼256.91 324.49∼333.98

(confidence dip angle (◦ ) 82.39∼86.72 71.35∼75.50 83.52∼85.23
level) Spacing (cm) 21.36∼30.50 32.92∼56.23 28.54∼39.86
Reach (cm) 53.31∼85.00 62.91∼95.14 48.27∼85.91
99% dip direction (◦ ) 53.06∼73.45 238.92∼258.66 318.13∼335.47
level) Spacing (cm) 13.71∼31.94 26.47∼59.89 21.63∼41.64
Reach (cm) 52.61∼89.98 61.06∼100.21 48.56∼91.82
Table 3. Geometric features space Statistic of Yangwan Tunnel’s structural planes.

95% dip direction (◦ ) 29.11∼33.22 239.95∼253.79 329.42∼336.62

Level) Spacing (cm) 33.87∼50.36 47.64∼87.46 28.59∼43.30
Reach (cm) 71.28∼93.79 43.58∼78.65 34.39∼52.38
99% dip direction (◦ ) 24.01∼33.87 234.78∼255.97 323.65∼337.75
Level) Spacing (cm) 27.35∼52.96 46.05∼93.72 22.42∼45.61
Reach (cm) 68.39∼96.86 45.71∼84.16 29.10∼55.21
319
Figure 3. Distributing diagram of some Figure 4. Key block distributing diagram of

rock joints. some rock joints.
4.2. Simulation methods of tunnel axis

On the known that tunnel figures and tunnel sizes, we adopt stereographic projection method
to select three typical structural planes and excavation slope pattern which form the bound-
ary conditions of tetrahedrons, and automatic search and calculate potential wrought block
shape and size by given structure planes in different position of chambers, and calculate safety
factor of each part block. Distributing diagram of some rock joints is shown in Figure 3, and
key block diagram distributing of some rock joints is shown in Figure 4. Because structure
planes are no filled joints rigid structure planes, take parameters φ = 23.8◦ , c = 0.2 MPa.
4.3. The computing results along tunnels’ axis trend

The quantity of structural planes combination is large, but their basal uptrend is rule-based,
next take typical structural planes of every tunnel for an example to analyze their uptrend.
Three groups of structural planes of Hongfeng Tunnel: α1 = 153.8◦ , θ1 = 82.2◦ , α2 =
57.9◦ , θ2 = 82.8◦ , α3 = 70.0◦ , θ3 = 11.5◦ , and their distributing diagram are shown in
Figure 3, and key block distributing diagram are shown in Figure 4 in a trend of the tunnel.
Under their conditions relations diagram of curves of tunnel trends and stability of key block
are shown in Figure 5.
Three groups of structural planes of Muxidai Tunnel: α1 = 66.2◦ , θ1 = 84.6◦ , α2 =
250.3◦ , θ2 = 73.4◦ , α3 = 329.2◦ , θ3 = 84.4◦ . Under their conditions relations diagram of
curves of tunnel trends and stability of key block are shown in Figure 6.
Three groups of structural planes of Yangwan Tunnel: α1 = 31.2◦ , θ1 = 81.5◦ , α2 =
246.9◦ , θ2 = 75.5◦ , α3 = 330.0◦ , θ3 = 71.4◦ . Under their conditions delaminating with
tunnel trends and stability of key block relations diagram of curves are shown that their
safety factors of reliability are all over three, so the stability of Yangwan Tunnel wall rock is
basically steady-going.
320
left tunnel block weight right tunnel block weight

200 200
180 180
160 160
block weight (kpa)

block weight (kpa)
140 140
120 120
100 100
80 80
60 60
40 40
20 20
0 0
0 40 80 120 160 200 240 280 320 360 0 40 80 120 160 200 240 280 320 360
η<1 η<1.5 η<2 tunnel trend (°) η<1 η<1.5 η<2 tunnel trend (°)
Figure 7. Tunnel trends and stability of key block relations diagram of curves of Hongfeng Tunnel.
left tunnel block weight right tunnel block weight

200 200
180 180
160 160
block weight (kpa)
block weight (kpa)
140 140
120 120
100 100
80 80
60 60
40 40
20 20
0 0
0 40 80 120 160 200 240 280 320 360 0 40 80 120 160 200 240 280 320 360
η<1 η<1.5 η<2 tunnel trend (°) η<1 η<1.5 η<2 tunnel trend (°)
Figure 8. Tunnel trends and stability of key block relations diagram of curves of Muxidai Tunnel.
4.4. The contrast analysis of between simulation result of tunnel axis’

trend and practical trend
1. The orientation of three tunnels cross the mountains chain is the NE direction, and the
tunnels trends (90◦ ∼ 110◦ ) approximately perpendicularly intersect the mountains. In
the eyes of simulation result of the safety factors and weight of tunnels key block, the
safety factor of Hongfeng Tunnel wall rock is not big, but basic steady, and the quantity
of immediate fallen block is small and weight is not big; the safety factor of Muxidai
Tunnel wall rock is big, but always has block to fall firsthand in any case — their safety
factors of key block η = 0; the stability of Yangwan Tunnel is the best of all, and basically
no immediate fallen block.
2. By the Figure 5 ∼ 6 knowable, when the trends of tunnels is near the joints dip direction
of tunnels wall rock, the safety factors and weight of tunnels key block fall sharply, while
block weight increase sharply. So we should avoid the instance that the trends of tunnels
and the joints dip direction of tunnel wall rock are basically accordant in selecting tunnel
axis.
3. Because of two groups of joints dip direction and dip angles of Hongfeng Tunnel are
near, it results in the safety factors of wall rock are not large as a whole, and the weight
of key block is not large when the tunnel trends of and the joints dip direction of tunnel
wall rock are at Larger Angles. Two groups of joints dip direction of Muxidai Tunnel
321
wall rock are opposite and their angels are near, which result in rock mass is incised
reciprocally by joints planes and excavation planes, so a lot of key block firsthand fall and
lead to exist overbreak phenomenon. Three groups of joints dip direction of Yangwan
Tunnel have definite dip angles reciprocally, so the stability of wall rock is very good. In
the whole, we should avoid the rock mass which two groups of joints dip direction of
are opposite while their angels are near in selecting tunnel axis, and it is very significant
to select the best trend of tunnel.
4.5. Tunnel trend to optimize and simulation result

According to geometric features space Statistic parameters of structural planes, we calculate
every different combined structural planes, get relevant the stability of key block, also use
Matlab software and reformatory measure of the Genetic Algorithm to edit programs, simu-
late and analyse to filtrate large numbers of data, at last gained optimization result of tunnel
axis trend.
Whereas the gradient of tunnel is small and to predigest filtration large numbers of data,
we simulate in the case that tunnels gradient is 0◦ and tunnels orientation is in the range of 0◦
to 180◦ . Adopting safety factor criterion η to analyse, we search the distribution and weight
of corresponding block in the different case, η < 1, η < 1.5, η < 2, η < 3, and make η > 2
as one of the judgment basises. The best trend of tunnel will be selected by filtrating data.
As selecting data in the 95% confidence Level of Hongfeng Tunnel, its dip direction range
is 149.87◦ to 157.77◦ and dip angles range are 81.22◦ to 83.15◦ of structural planes 1, and
its dip direction range is 54.120 to 61.72◦ and dip angles range are 81.78◦ to 83.75◦ of
structural planes 2, and its dip direction range is 60◦ to 80◦ and dip angles range are 8◦
to 15◦ of structural planes 3. In the same way the data to select are listed in Table 1 as in
the 99% confidence Level of Hongfeng Tunnel. safety factor criterion η > 2 and weight
G < 100 KN are chosen as judgment basises, use Matlab software and reformatory measure
of the Genetic Algorithm to optimize tunnel axis trend of Hongfeng Tunnel, and the result is
listed in Table 4.
Be based on same argument, structural planes parameters of Muxidai Tunnel and Yangwan
Tunnel can be selected respectively in Table 2 and 3, relevant optimization results of tunnel
trend are listed in Table 4.
Table 4. Optimization Result of Three Tunnel’s Trend.

tunnel / result 95% 99%
(Confidence Level) (Confidence Level)
Hongfeng Tunnel 31◦ ∼ 55◦ 31◦ ∼ 48◦

(condition: η > 2.0,G < 100 kN) 75◦ ∼ 133◦ 75◦ ∼ 127◦
Muxidai Tunnel 72◦ ∼ 97◦ (no)
(condition: η > 2.0,G < 300 kN)
Yangwan Tunnel 0◦ ∼ 92◦ 5◦ ∼ 92◦
(condition: η > 2.0,G < 100 kN) 175◦ ∼ 180◦
322
5. Conclusions
Using Block Theory and stereographic projection method built up, and combining the refor-
matory measures of the Genetic Algorithm (GA) to optimize tunnel axis trend, we may safely
draw a conclusion:
• According to the instance of excavation construction investigation of the three tunnels

wall rock of Jinliwen Freeway, they are basically agree with the simulation result, which
show that Block Theory has the correctness and the affectivity. In fact, tunnel axis trend
can be optimized further, and find out more economical and reasonable routes. To take
Hongfeng Tunnel for an example, the instance of tunnel actual axis trend could be anal-
ysed by simulation result, the key block stability of the left room wall is worse than the
right, and spot investigation also confirm this instance.5 If tunnel can’t blench, we should
take precautionary measures on construction, and sprayed concrete and take bolts to
reinforce in time in the first lining time, avoiding result in a chain reaction for block
falling.
• In the time of programming and design, we have no excavation slope pattern, and
can’t find out the actual instance of generating mechanism of structural planes, den-
sity and position, but we may statistically analyse according to geological prospecting
data, and get preponderant structural planes combination, average generating mecha-
nism and spacing, and then select the best excavation orientation of tunnels axis, and
find the best design scheme of tunnels axis. Also we could forecast possible unstable
block types to face possibly, and potential needful measure to reinforce, which need
enough preparation. When choosing tunnels routes, we still need consider ingredients to
judge synthetically on landform, physiognomy, groundwater, and so on, in order to reach
the economical, high effect, safe, reasonable aims.
• At the stage of engineering excavation, adverse combination of structural planes and
tunnel excavation methods will have an direct impact on the stability of tunnel wall rock
and overbreak questions, so we should ascertain combination forms of structural planes
in reason, and forecast arisen probability of structural planes in time.5 In the course of
excavation actual condition of rock mass structure will be continually exposed, and we
should feed back information and adjust construction scheme in time, even modulate
tunnels axis trends if necessary, in order to increase the stability of tunnel wall rock and
reduce the construction risk of tunnel.
Acknowledgements
Foundation item: Traffic science and technology project of Zhejiang Province (2004H27).
Jinliwen Freeway Corporation of Zhejiang Province provided financial support to this
research.
References
1. Richard E. Goodman, Gen-hua Shi, “Block Theory and Its Application to Rock Engineering”,
Englewood Cliffs, New Jersey: Prentice-Hall, Inc, 1985.
2. Liu Jinhua, Lu Zuheng, “Block Theory and Its Application to Stabilization Analysis on the Engi-
neering Rock Mass”, Beijing of China, Water Resources and Electric Power Press, 5, 1985.
3. LI Duan-you, Gan Xiaoqing, Zhou Wu, “Back Analysis on Mechanical Parameters of Dams Based
on Uniform Design and Genetic Neural Network”, Chinese Journal of Geotechnical Engineering,
1, 2007, pp. 126–127.
323
4. Chen Guoliang, “Stereographic Projection Method and Its Applications”, Beijing of China, People’s
Postal press, 1999, pp. 89–90.
5. Wei Jihong, Wu Jimin, Chen Xianchun, “Application of Block Theory on Overbreak Forecast in
Double-arch Tunnel”, Hydrogeological and Engineering Geological, 5, 2005, pp. 60–61.
324
Quarry Wall Stability Analysis Using Key Block Theory — a
Case Study
LU BO∗ , DINGXIULI AND DONGZHIHONG

Yangtze River Scientific Research Institute, Key Laboratory of Geotechnical Mechanics and
Engineering of the Ministry of Water Resources, Wuhan, China, 430010
1. Introduction
An abandoned quarry is put into reuse for some reason. The norite rock mass in the region
is heavily jointed and contains a number of major and minor discontinuities. The persistence
of most of these major discontinuities is expected to between 10 m and 40 m. Therefore, the
engineering problems of the quarry wall are very complicated. The stability of the quarry
wall is obviously controlled by geological structure, i.e. the combination of joints. When the
rock mass of the quarry is further excavated for engineering construction, some blocks will
develop sliding along joints, and then a chain reaction may occur. So, the key block theory is
the best suited tool for the stability analysis.
The paper is organized as follows. Section 2 is a brief introduction of the Key Block Theory.
Site investigation results are introduced in section 3, and statistical analysis of collected rock
joint data acquired through field survey is performed. We delineated the discontinuities into
subgroups using the density contours of the pole on Schmidt net and identified the dominant
joint sets for later analysis. In section4, the block theory has been applied to identify the
potential unstable rock blocks at the surface of researched area. The orientations of the
major discontinuities that occur in the researched area have been considered in rock block
stability analysis. With the orientations of the dominant joint sets, stereographic projection
method is used to determine the maximum safety angle of the rock slope. Section 5 ends with
a brief conclusion and some suggestions.
2. Key Block Theory — A Brief Introduction

The block theory is a new method to analyze rock mass stability with graph theory, set
theory, and vector algebra, and it has been widely used in the past 30 years for the stability
analysis of rock mass. The underlying axiom of block theory is that failure of an excavation
begins at the boundary with the movement of a block into the excavated space. When the
rock mass is excavated, some blocks will develop sliding along discontinuities, and that may
cause a chain reaction, eventually lead to the collapse of the whole rock mass. These initial
blocks are called key blocks. Base on above thoughts “Goodman and Shi” proposed “block
theory” (Goodman & Shi, 1985). In this theory, the principal assumptions follow.
a. All the joint surfaces are perfectly planar.

b. Joint surfaces cut through the volume of interest.
c. Joint surfaces are rigid.
The main idea behind block theory analysis is that it allows many different combinations
of discontinuities to be passed over and to directly identify and consider critical rock block
known as "key blocks". Types of blocks can be divided into infinite and finite blocks. An
∗ Corresponding author. E-mail: lubo_cky@126.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0059 325
infinite block is not dangerous as long as it is incapable of internal cracking. Finite blocks
can be classified into non-removable and removable blocks. Non-removable tapered block is
finite, but it cannot come out to free space because of its tapered shape.
2.1. Rock blocks defined by system of joints

A block is the region of intersection of half-space formed by the discontinuities that form the
block faces. Each discontinuity is described by two parameters: the dip angle α and the dip
direction β.
A particular block can be created by the intersection of the designated upper or lower
half-spaces corresponding to each of the discontinuities. The block corners are calculated as
the intersection points of three different planes. Only a few corners which are real actually
belong to the considered block. The volume of any type of block can be calculated using the
simplex integration method (Shi Genhua, 1996).
There are five types of blocks in the block theory. An infinite block is of no hazard to
an excavation. Finite blocks are divided into non-removable and removable types. A finite
block may be non-removable because of its tapered shape. The other three are removable
blocks. Their stability depends on the orientation of the resultant force, frictional resistance
of discontinuities and support implementation, etc.
2.2. Removability of blocks

The blocks are defined partly by discontinuity and rock slope half-spaces. The discontinuity
subset of the half-spaces determines the joint pyramid (JP). The set of slope half-spaces is
designated as the excavation pyramid (EP). The block pyramid (BP) is then the intersection
of the JP and the EP for a particular block:
BP = JP ∩ EP. (1)
If the BP is empty (), the block is infinite.
JP ∩ EP = . (2)
Whether a finite block is removable or not is based on the following conditions. A block
is removable if its BP= and JP= and becomes non-removable if its BP= and JP= .
2.3. Failure modes of removable blocks

Only removable blocks require further analysis. There are three failure modes considered.
They are lifting (or falling), sliding on a single plane, and sliding on the intersection of two
planes.
The lifting or falling mode occurs when there are no discontinuities in contact and the
sliding direction is along the resultant force. In the case of sliding in a single plane, there
will be only one discontinuity in contact and the sliding direction is along the orthogonal
projection of the resultant force on that contact plane. As for sliding on the intersection of
two planes, there are two discontinuities in contact and the sliding direction is along the
intersection of those two planes. A fully kinematic analysis used to determine the sliding
direction of the removable blocks has been developed in the block theory.
326
2.4. Stability analysis

From the kinematic analysis of failure modes for removable blocks, one can obtain the
required information for identifying the possible sliding conditions of the removable blocks.
If the removable blocks for a given rock slope do not have any failure mode, they will be
stable and safe.
On the basis of geometric information derived from morphology analysis and with the
mechanical parameters of the discontinuities, static equilibrium calculations are performed.
The factor of safety (FOS) of a defined removable rock block will be given. If the FOS is
below 1.0, then the removable block is viewed as a key block, and support force needed to
keep the block stable will be calculated.
3. Site Investigation
Site investigation helps to understand the geological condition of the quarry. Comprehensive
geological research for the quarry wall has been performed. The aim of site investigation is
to ascertain the rock mass structure, and find out the potential unstable blocks.
3.1. Outline of geological condition

The dip angle of the quarry is about 90 degrees. The lithology of most rock masses is norite.
The top of the quarry is covered by vegetations or soil. The thickness of the completely
weathered layer on the top of the quarry is about 3 m, and the thickness of the intensively
weathered layer is about 5 m.
The quarry wall was formed by blasting. Because of blasting and unloading, the rock
masses were mostly loosened, and many discontinuities are opened. Most of the discontinu-
ities are hard joints and others are weak joints that have infillings.
All the discontinuities that longer than 3m are mapped. The persistence of most of these
major discontinuities is expected to between 10 m and 40 m.
3.2. Method
The whole site investigation work was divided into 3 phases. The first step is to survey the
area where the height is less than 5m, the second step is to survey the area where the height
is between 5 m and 25 m, and the third step is to survey the area higher than 25m (Fig. 1).
The lower part of the quarry wall where the height is less than 5m is easy to deal with the
aid of ladders or other simple facilities. So in the first step, all the joints longer than 3 m on
the bottom quarry were surveyed and recorded in detail.
Boom-lift was used to help to survey the joints on the quarry where the height is between
5 m and 25 m. Almost all the joints longer than 5m expose on this area has been surveyed
during this step.
The boom-lift can only elevate the geologists to the height less than 25 m. So, as to the
joints which are on the area higher than 25 m, they can hardly be surveyed by contact mea-
surement. Eyeballing and photograph method were used here. Then by comparing with the
joints on lower part, the properties of the joints on higher part were approximately deter-
mined.
Scan window method was used to do the joint mapping, the size of each window is
10 m×5 m. The quarry wall was divided into dozens of parts according to the windows
size and then the windows have been surveyed one by one. In each window, all the big joints
327
step3
estimated mapping
step2
(boom - lift)
25m
step1
(ladder)
5m
Figure 1. Site investigation was divided into 3 steps.
whose midpoints located in the window had been described and recorded. Almost all the
joints longer than 3m on the quarry wall have been surveyed.
3.3. Contents
With scan window method, almost all the discontinuities including joints, cracks, bedding
planes, faults, have been investigated. As to each discontinuity, the following properties have
been recorded: orientation, aperture, length, infillings, roughness, weathering degree, under-
ground water condition, and so on.
Except for discontinuities, the following geological conditions were also been recorded:
(a). Height and dip angle of the quarry wall; (b) Depth of the covering layer; (c).Weathering
degree and zoning; (d)Seepage condition on the quarry; (e) Detailed properties of controlling
discontinuities (faults or other big joints longer than 25m); (f) Properties of veins.
What’s more, the geo-physical datum and drilling datum were also been collected and
analyzed.
3.4. Dominant joint sets

Statistical analysis of collected rock joint or discontinuity data acquired through field survey
has been performed. All the joints were projected onto the Schmidt projection net, and then
the discontinuities were delineated into subgroups using the density contours of the pole on
Schmidt net in order to identify the dominant joint sets.
Figure 2 is the rose map of joint treads; it gives the distribution of the joints strike. Figure 3
is the statistical histogram of the dip angles of all the joints, apparently, the joints are mainly
steep angled. The predominant strike of most joints are north-west, and the dip angles are
mostly bigger than 60◦ .
From Fig. 4 we can see that there have 3 group of dominant joint sets on the whole quarry,
their dip direction and dip angles are 205◦ 39◦ , 64◦ 46◦ and 6◦ 65◦ .
328
Figure 2. Rose map of the joint trends of all the joints.
Figure 3. Statistical histogram of the dip angles of all the joints.
4. Block Stability Analysis

In this section, we’ll just introduce the analysis result of one segment of the quarry wall.
4.1. Computational condition and method

The mechanical parameters needed are the friction angle and the cohesion of joints; these
parameters are estimated based on filed observations. Table 1 list the mechanical parameters
of joints used in the following block stability analysis. For hard joint, the friction angle is
about 44.7 degrees, and the cohesion is 208 kPa. For weak joints, the friction angle varies
from 14 to 37 degrees, and the cohesion varies from 20 to 130 kPa.
We perform parameter sensitivity analysis, the friction angle varies from 14 to 44.7 degrees,
and in order to account the weakening effect of water on the joints, cohesion varies from 0
to 208 kPa, for the cohesion is more sensitive to water than the friction angle, especially
Table 1. Mechanical parameters of joints.

Type Friction Angle (Deg) Cohesion (KPa)
Hard Joint 44.69 208.5

Weak Joint 14∼37 20∼130
329
Figure 4. Density contour map of the joints of all the joints.
the weak joints with infillings. Parameter sensitivity analysis is necessary, for the mechanical
parameters in table 1 are not based on test data. They are evaluated according to the charac-
teristics of the joints, such as the JRC, aperture, infillings etc, and there is some engineering
experience in it too. So, parameter sensitivity analysis will provide some help when determine
the joint mechanical parameters.
Gravity is the basic load case, and overlaying load is also considered if exists. The overlay-
ing load will be simplified as uniform pressure exerted on the contact interface between the
block and the overlaying rock layer. The magnitude of pressure is γ H, γ is the gravity density
of the overlaying rock layer, and H is vertical distance from the top of the quarry wall to the
contact interface. It is important to note that the stability analysis doesn’t consider the water
pressure that may be caused by raining and the dynamic force caused by earthquake.
According to the parameter sensitivity analysis results, we obtain the parameter combina-
tion with which the FOS of each block is just 1 through back analysis. Then, with the new
parameters, we calculate the minimum support force needed to ascertain the FOS of each
block is above 1.3. The support is supposed to be perpendicular to the wall face. In must
be pointed out that the parameter combinations with which the FOS is below 1.0 are not
reasonable. The FOS is at least 1.0, for the rock blocks don’t develop sliding up to now.
4.2. Located rock blocks

Figures 5 and 6 show one segment of the quarry wall. Large joints outcropped here including
Ja86, Ja82, Ja76 and Ja77 etc, and they form 8 adverse combinations. The above joints all
extend to the top the quarry wall, so there is no overburden on the blocks here.
(1) For the joint combination of Ja86, Ja82 and Ja87, the stereographic projection and mor-
phology analysis results are shown in Fig. 7.
In Fig. 7(a), the “001” identify the block type, “0” for the upper half space of a joint plane
and “1” for the lower half space of a joint plane. So,”001” signify a rock block that confined
330
Figure 5. Sketch plot of one part of the quarry wall.
Figure 6. Image of the joints numbered Ja86, Ja76 etc).
by the upper half space of joint Ja86 and joint Ja82 and the lower the lower half space of
the joint Ja87. The digit “12” below “001” signifies the failure mode of rock block. For this
case, the block “001” will slide along joint Ja86 and joint Ja82.
331
(a) Stereographic projection of Ja86, Ja82 and Ja87 (001, 12)
(b) shape of located rock block defined by Ja86, Ja82 , Ja87and slope surface
Figure 7. Key block confined by Ja86, Ja82 and Ja87 (lower part).
The volume of the located rock block defined by above joints and the slope surface is
36.44 m3 , and the failure mode of the block is double-face sliding, that’s along the intersec-
tion line of Ja86 and Ja82. The areas of the two sliding faces are 41.26 m2 and 23.40 m2
respectively.
The volume of the located rock block defined by above joints and the slope surface (upper
part) is 170.58 m3 , and the failure mode of the block is single-face sliding, that’s along joint
Ja87. The area of the sliding face is 17.80 m2 .
(3) For the joint combination of Ja76, Ja86, Ja81 and Ja82, the stereographic projection and
morphology analysis results are shown in Fig. 9.
332
a. Stereographic projection of Ja86, Ja82, Ja87 (00 0, 3)
b. shape of located rock block defined by Ja86, Ja8 2, Ja87 and slope surface
Figure 8. Key block confined by Ja86, Ja82 and Ja87 (upper part).
74.27 m3 , and the failure mode of the block is single-face sliding, that’s along joint Ja76. The
area of the sliding face is 15.57 m2 .
(4) For the joint combination of Ja77, Ja76, Ja86, Ja81, Ja73, the stereographic projection
and morphology analysis results are shown in Fig. 10.
72.01 m3 , and the failure mode of the block is double-face sliding, that along the intersection
line of Ja76 and Ja73. The areas of the two faces are 67.82 m2 and 11.55 m2 respectively.
333
a. Stereographic projection of Ja76, Ja86, Ja81, Ja 82 (0001, 1)
b. shape of located rock block defined by Ja76, Ja86, Ja81, Ja82 and slope surface
Figure 9. Key block confined by Ja76, Ja86, Ja81 and Ja82.
195.44 m3 , and the failure mode of the block is double-face sliding, that along the inter-
section line of Ja77 and Ja73. The areas of the two sliding faces are 65.01 m2 and 7.10 m2
respectively.
334
(
(a) Stereographic projection of Ja77, Ja76, Ja86, Ja81, Ja73 (10010, 25)
(b) shape of located rock block defined by Ja77,Ja76, Ja86, Ja81, Ja73 and slope surface
Figure 10. Key block confined by Ja77, Ja76, Ja86, Ja81 and Ja73.
line of Ja76and Ja91. The areas of the two sliding faces are 20.68 m2 and 8.12 m2 respec-
tively.
335
(a) Stereographic projection of Ja77, Ja76, Ja81 and Ja73 (0010, 14)
(b) shape of located rock block defined by Ja77, Ja76, Ja81, Ja73 and slope surface
336
(a) Stereographic projection of Ja77, Ja76, Ja73, Ja91 (1010, 24)
(b) shape of located rock block defined by Ja77, Ja76, Ja73, Ja91 and slope surface
Fi 12 bl k fi d b 6 d
line of Ja77 and Ja91. The areas of the two sliding faces are 11.07 m2 and 1.00 m2 respec-
tively.
(8) For the joint combination of Ja77, Ja76, Ja91, the stereographic projection and morphol-
ogy analysis results are shown in Fig. 14.
337
(a) Stereographic projection of Ja77, Ja73, Ja91 (010, 13)
(b) shape of located rock block defined by Ja77, Ja73, Ja91 and slope surface
Figure 13. Key block confined by Ja77, Ja73 and Ja91.
17.15 m3 , and the failure mode of the block is double-face sliding, that along the intersec-
tion line of Ja76 and Ja91. The areas of the two sliding faces are 19.78 m2 and 8.12 m2
respectively.
4.3. Back analysis and support force

For convenience, the information of above removable rock blocks is collected in Table 2. The
FOS in this table is calculated by using the strength parameters of hard joints.
338
(a) Stereographic projection of Ja77, Ja76, Ja91 (101, 23)
(b) shape of located rock block defined by Ja77, Ja76, Ja91 and slope surface
Figure 14. Key block confined by Ja77, Ja76, and Ja91.
For each of the rock blocks, back analysis is performed to assess all possible parameter
combinations which the FOS is 1.0. Then, with these new parameter combinations, support
forces needed to fit FOS=1.3 is obtained. The results are listed in Table 3.
4.4. Maximum safe slope angle

With the dominant joint sets acquired above, we determine all the unfavourable combina-
tions of joints, according to the spatial relationship of the quarry wall surface and the domi-
nant joint orientations. The orientations of the discontinuities and the excavation surface for
the segment mentioned above are listed in Table 4.
Figure 15 shows the identification of removable blocks for the segment of the quarry wall
corresponding to Fig. 6 using the stereographic projection. When the dip of the excavation
339
Figure 15. Identification of removable blocks for the quarry wall using stereographic projection.
Table 2. Information of removable rock blocks.

Block No. Block type /sliding mode Sliding plane Volume (m3 ) Area of sliding faces(m2 ) FOS
1 001,12 Ja86, Ja82 36.44 41.26 23.40 17.48

2 000, 3 Ja87 170.58 17.80 2.48
3 0001, 1 Ja76. 74.27 15.57 3.02
4 10010, 25 Ja76 , Ja73 72.01 67.82 11.55 14.22
5 0010, 14 Ja77 and Ja73 195.44 65.01 7.10 6.66
6 1010, 24 Ja77 and Ja91 25.04 20.68 8.12 14.88
7 010, 13 Ja77 and Ja91 8.97 11.07 1.00 18.80
8 101, 23 Ja76 and Ja91 17.15 19.78 8.12 20.63
surface is between 50◦ and 90◦ , the JPs 001, and 101 provide removable blocks. For this
segment, the maximum safe slope angle is 50◦ .
To have a design slope angle greater than the maximum safe slope angle, it is necessary
to perform a limit equilibrium analysis incorporating all the forces to estimate the required
support system.
5. Conclusions
From the above analysis, we can see that if the mechanical parameters of hard joints are
used, the removable blocks are stable and there is still a certain safety margin. As a matter of
experience, the block defined by Ja86, Ja82 and Ja87 (the upper part) and the block defined
by Ja76, Ja86 Ja81 and Ja82 are the most dangerous, the safety margin is relatively small.
Still there are considerable loosened or detached rock blocks on the quarry surface and
on the top of wall. So, a thoroughly clearance aiming at above unstable blocks is strongly
recommended. In addition, systematically bolt- shotcrete support is necessary for engineering
safety.
340
Table 3. Support force needed of rock block based on the parameters from back analysis.
FOS=1.0
Block No. Support force Needed (FOS=1.3) (kN)
Friction Angle (Degree) Cohesion (kPa)
1 43.0 0 160
40.0 0 840
35.3 25 900
2 30.0 50 980
24.2 75 1000
17.5 100 1000
41.3 25 100
3 29.4 50 100
14.1 75 100
4 31.1 0 240
5 24.8 0 630
6 30.7 0 85
7 24.5 0 30
8 30.1 0 60
Table 4. Orientation of Dominant of joint sets.

No Dip Direction (Deg) Dip Angle (Deg)
1 205◦ 39◦
2 64◦ 46◦
3 6◦ 65◦
Quarry Surface 100◦ 50◦
The degree of accuracy of the analysis is largely dependent on the mechanical parameters
and the information of discontinuities and on what extent the principal assumptions of block
theory deviate from the actual situation.
Current mechanical parameters of joints are estimated based on field observation. It’s
insufficient for large or important project. Specific in-situ mechanical testing work should
be carried out, especially for the controlling large joints.
Acknowledgements
This research is supported by the Ministry of Water Resources, PRC, under the contracts
of No. XDS2007-10. The authors thank to Dr. Gen-hua Shi for his valuable advices in the
field of DDA engineering applications. The authors also give thanks to Dr. ZhangYihu and
PangZhengjiang for their help with the site investigation.
References
1. R.E. Goodman, Gen-hua Shi. Block Theory and Its Application to Rock Engineering. Prentice-
Hall, Inc, Englewood Cliffs, New Jersey. 1985, 1st edition.
341
2. Shi Genhua. Simplex integration for manifold method, FEM, DDA and analytical analysis. In:
SalamiMR, Banks D (eds.) Discontinuous Deformation Analysis (DDA) and Simulations of Dis-
continuous Media, TSI Press, Albuquerque, New Mexico, USA, 1996, pp. 205–262.
342
Probabilistic Key Block Analysis of a Mine Ventilation Shaft
Stability — a Case Study
GANG CHEN∗
Department of Mining and Geological Engineering, University of Alaska Fairbanks,
Fairbanks, Alaska, USA
1. Introduction
The stability of rock excavations depends on many factors, such as mechanical properties
of rock masses, orientations and properties of rock discontinuities, hydrological conditions,
excavation geometries, and others. In an excavation stability analysis, these parameters are
acquired by either in-situ investigations and/or laboratory tests. Because of the complex
nature of rock masses, these parameters do not usually appear to be uniquely valued, but
vary over a certain range, causing uncertainties in rock excavation stability estimation. The
uncertainty associated with rock excavation stability has been brought to the attention of
many investigators (Chen, et al, 1997 & 1998; Mauldon, et al, 1997; Tyler, et al, 1991; Hat-
zor and Goodman, 1992; Rethati, 1988; Piteau, 1977). It has been recognized that employ-
ing probabilistic analysis to determine the stability of a rock excavation may provide a better
understanding and lead to more rigorous designs of rock excavations.
A vertical ventilation shaft was developed in an underground mine in Alaska, USA. The
shaft, excavated by a raise borer, is approximately 300 feet in length and 3.5 feet in diam-
eter. The surrounding rock is granite with several sets of joints. The discontinuities in the
rock mass had major impacts on the stability of the shaft excavation. Initial static limiting-
equilibrium key block analysis indicated that the shaft should be stable without support.
In-depth probabilistic analysis, however, showed that due to random variations in both joint
orientations and rock properties, there was a high probability of key block failure with sig-
nificant rock volumes.
This paper presents the failure probability study of the ventilation shaft. In the study, the
block theory developed by Goodman and Shi (1985) was applied with the consideration
of uncertainties in rock discontinuities and rock mass properties. Probabilistic analysis was
applied to evaluate the likelihood of a key block occurrence and its failure probability based
on the given distribution of the discontinuity orientations and the mechanical properties of
the discontinuities. The first-order second-moment approximation of the probabilities was
utilized in the study to simplify the computation. In combination with Monte Carlo simu-
lations, analyses were also conducted on the probabilistic safety factor distribution and the
potential rock sliding volume distribution.
2. Probability of Key Block Formation

Mine site investigation revealed that there were 3 major sets of joints in the rock mass sur-
rounding the ventilation shaft. The variations in joint orientations may fit in either Beta
distribution or the well-known Fisher distribution. In this study, only the Beta distribution
∗ Corresponding author. E-mail: gchen@alaska.edu

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0116 343
was employed. The density function of Beta distribution is given by:

1 (x − a)q−1 (b − x)r−1
fX (x) = a x b. (1)
B(q,r) (b − a)q+r−1
In the density function, the parameters a and b define the range of the random variable
variation, and the parameters q and r define the shape of the distribution.
The mean orientations of the joint sets are plotted on a stereographic net as shown in Fig. 1.
As can be seen on the plot (without considering those less likely repeated blocks), there are 8
block types, namely, 000, 001, 010, 011, 100, 101, 110, and 111. Since the ventilation shaft
is vertical, the vector of the upward shaft axis is at the center of the reference circle (dashed
line) and the vector of the downward shaft axis is infinitely away outside the reference circle,
which can not be plotted. Based on the block theory, block types 000 and 111 are infinite
blocks and the other block types: 001, 010, 011, 100, 101 and 110 are potential key blocks.
Preliminary analysis indicated that, block types 010, 011, 100 and 101 would have minimal
volume of caving and should not be of any major concern for the shaft stability. The analysis
was, therefore, focused on the key block types 001 and 110, which would have relatively
large volume of rock failure.
In order for block 001 or 110 to become a key block, each block should have a down-
ward sliding direction. As shown in Fig. 1, the sliding direction for Block 001 is along the
intersection line of J1 and J2 (I12). It is projected outside of the reference circle indicating
a downward vector. For Block 110, it is along the intersection line of J2 and J3 (I23), also
projected outside of the reference circle to point downward. Assuming the joint plane ori-
entations are random variables, I12 and I23 may have a certain probabilities to fall within
the reference circle and become upward vectors and Blocks 001 and 110 would, therefore,
become stable blocks. The probability of this occurs is discussed below.
Figure 1. Great circle plot of the mean orientations of joint sets.
344
A pair of joint planes passing through the origin can be defined as:
A1 X + B1 Y + C1 Z = 0 and A1 = sin α1 sin β1 ; B1 = sin α1 cos β1 ; C1 = cos α1
A2 X + B2 Y + C2 Z = 0 and A2 = sin α2 sin β2 ; B2 = sin α2 cos β2 ; C2 = cos α2
where α1 and α2 are the dip angles for the joint planes 1 and 2; and β1 and β2 are the dip
directions for the two planes respectively. Since the dip angles and the dip directions are
random variables, the six parameters given by these angles are also random variables that
define two randomly distributed planes in the rock mass.
The intersection line of these two planes is a line passing through the origin (0, 0, 0) and
can be defined as:
X = pt; Y = qt; Z = rt (2)
and: p = sin α1 cos β1 cos α2 −cos α1 sin α2 cos β2 ; q = cos α1 sin α2 sin β2 −sin α1 sin β1 cos α2
r = sin α1 sin β1 sin α2 cos β2 − sin α1 cos β1 sin α2 sin β2
where p, q and r are directional numbers defining the orientation of the line. The variable
t is a reference variable and varies in the range of 0 < t < ∞. The directional numbers, p,
q and r, are random variables defined by the parameters of the two random joint planes as
given above. Therefore, the probability that the sliding vector pointing upward, representing
a stable block, can be defined as:
P[block stable] = P[rt > 0]. (3)
Since the parameters p, q and r are all nonlinear functions of multi random variables, α1 ,
α2 , β1 and β2 , applying direct integration to compute the probability is formidable. An
approximation technique with a simplified computation procedure has to be adopted in
order to determine the probability of a block being stable. In this study, the First Order
Second Moment (FOSM) approach is employed.
3. First-Order-Second-Moment Approach for Probability Estimation

The probability as given in Equation 3 involves a random-variable parameter r, which is a
function of random variables, α1 , α2 , β1 and β2 . The calculation of the probability, therefore,
requires multivariable integration, which is in a fairly formidable form and the close-formed
solution may not exist. In order to overcome this difficulty, the First Order Second Moment,
i.e. the FOSM approximation technique is employed to estimate the probability of a block
being stable. The FOSM method is delineated below.
For practical problems of rock excavation stability, the available information is frequently
limited to the means and variances of parameters that are regarded as random variables, that
is, the first and second moments of the random variables. Under this condition, the estimation
of the probability of a block being removable is limited to a formulation based on the first
and second moments of the random variables, i. e. the second-moment formulation.
Based on rock stable probability as given in Equation 3, the performance function g can
be defined as (let t = 1):
g = r = sin α1 sin β1 sin α2 cos β2 − sin α1 cos β1 sin α2 sin β2 (4)
If g > 0, the rock block is stable and the rock excavation being studied is in the safe state.
Whereas if g < 0, the block is a potential key block. Since r is a function of several random
345
variables, g is also a function of those random variables, i.e.:
g(x) = g(x1 ,x2 , . . . ,xn ) (5)
The equation g(x) = 0 defines the boundary between the region of safe state and that of
failure state. When g(x) is a linear function, g(x) = 0 is a flat plane in an n-dimensional space.
The distance from g(x) = 0 line to the origin is defined as the safety index β, which can be
estimated by the following equation (Ang and Tang, 1984):
μx − μx2
β= 1 (6)
σx21 + σx22
where: μx1 , μx2 — the mean values of the random variables; σx1 , σx2 — the standard devia-
tions of the random variables.
If the random variables have normal distributions, the probability can then be estimated
by the standard normal distribution as below (Ang and Tang, 1984):
P = 1 − (β). (7)
For non-normal distributions, such as the beta distribution used in this study, transforma-
tions can be performed to obtain equivalent normal distributions. The mean value and the
standard deviation of the equivalent normal distribution for a random variable Xi can be
estimated as:
∗ N −1 ∗
μN
Xi = xi − σXi [FXi (xi )] (8a)
φ{−1 [FXi (x∗i )]}
σXNi = (8b)
fxi (x∗i )
where: μN N
Xi , σXi - the mean value and standard deviation of the equivalent normal distribu-
tion for Xi ; fXi (x∗i ), FXi (x∗i ) - the original PDF and CDF of the random variable Xi evaluated
at x∗i ; φ(-), (-) – the PDF and CDF of the standard normal distribution.
If the performance function g(x) is nonlinear, as in the case presented in this study, the equa-
tion g(x) = 0 is a curved surface in the space. The curve can be either convex or concave as
shown in the figure. To calculate the exact probability of g(x) < 0 for nonlinear performance
function, it generally requires complex integrations. For practical purposes, approximation
to the exact probability is necessary. According to Shinozuka (1983), the point (X∗ ) on the
failure surface g(x) = 0 with the minimum distance to the origin is the most probable failure
point. Taking a Taylor series of the function at (X∗ ) and truncating at the first-order term
produce a tangent plane at (X∗ ). This tangent plane to the failure surface may then be used
to approximate the actual failure surface and the safety index β may be evaluated as in the
linear case. This first-order approximation of g(x) = 0 at X∗ = (X∗1 ,X∗2 , . . . X∗n ) is expressed
as (Ang and Tang, 1984):

n
∂g
(xi − X∗i ) = 0. (9)
∂xi
i=1
The most probable failure point is (Shinozuka, 1983):
X∗i = −αi∗ β (10)
346
Table 1. Orientation distribution parameters for joint planes.

Beta Distribution Parameters
Mean (dip/dip direction)
a b q r
J1 73◦ /116◦ 66◦ /109◦ 80◦ /123◦ 9.5/10.0 9.0/9.0

J2 85◦ /272◦ 78◦ /265◦ 92◦ /279◦ 10.5/9.5 10.0/9.0
J3 30◦ /285◦ 23◦ /278◦ 37◦ /292◦ 8.0/8.0 9.0/9.5
φ 32◦ 0◦ 51◦ 4 4
Note: φ - frictional angle for all the surfaces
where αi∗ is evaluated by:

∂g
∂xi ∗
αi∗ = (11)
n

∂g 2
∂xi ∗
i=1
All the derivatives are evaluated at (X∗ ) and the solution of g(X∗ ) = 0 yields β. The value
of β can be evaluated by going through several iterations with a simple numerical algorithm
proposed by Rackwitz (1976) and the probability of failure is then estimated by Equation (7).
Due to the linear approximation of the nonlinear function, the failure probability is either
slightly overestimated or underestimated depending on convexity of the function, but in most
cases a sufficiently accurate approximation can be obtained.
With the FOSM approximation, probabilistic analyses for more complex and practical
problems can be performed without much difficulty. By adopting this approach, a FOR-
TRAN90 program, RBK.F90 was developed employing the algorithm proposed by Rackwitz
(1976) to estimate the stability probability of rock blocks. Running the program with the
performance function in Equation 4 and the parameters provided in Table 1 produced very
low probability for either block 001 or block 110 (0.0 and 0.00001 respectively) to be stable
non-key block. Both blocks, therefore, were treated as potential key blocks with certainty.
4. Failure Probability of Key Blocks and Probabilistic Distribution of Block

Volumes
The potential key blocks of 001 and 110 are approximately tetrahedrons formed by three
joint planes, namely, J1, J2, J3 and the shaft excavation surface. As can be determined on the
stereographic plot in Fig. 1, both blocks may potentially slide on two joint planes. Block 001
may slide on J1 and J2, and Block 110 may slide on J2 and J3. Based on the block theory
(Goodman and Shi, 1985) for double face sliding, the sliding force, T, can be calculated by:

−

→
w · (−
→ni×− →n j )
T =
−
(12)

→ni×− →
n j
and the resistance force, R, due to friction is given by:
R = Ni tan φi + Nj tan φj (13)
where: −
→
w is the resultant force vector acting on the rock block (weight only in this study),
ni and −
−
→ →
nj are the normal vectors of joint planes i and j respectively, Ni and Nj are normal
347
forces on planes i and j respectively, and φi and φj are frictional angles for planes i and j
respectively.
Considering only the dry friction of the rock blocks for resistance, the safety factors can,
then, be calculated by:
SF = R/T (14)
Using the mean values in Table 1, the safety factors were calculated for the two concerned
blocks of 001 and 110 to be:
SF(001) = 1.1 and SF(110) = 6.8.
Both blocks seemed stable. However, all the parameters listed above, including the fric-
tional angles are either a random variable itself or a function of several random variables.
The failure probability of a key block is, therefore:
Pf = P(T − R > 0). (15)
Employing the FOSM procedure discussed in the last section, the performance function
can be defined as:

−

→
w · (−
→
ni×− →n j )
g = T−R =
−
− Ni tan φi − Nj tan φj (16)

→
n ×− →n
i j
Running the FORTRAN90 program, RBK.F90 as discussed in the previous section, the
failure probabilities for the two blocks were estimated to be:
Pf (001) = 0.485 and Pf (110) = 0.0012.
The analysis indicated that block 110 was of much less concern in terms of its stability. It
had a very high safety factor of 6.8 and very low failure probability of 0.0012, and should be
stable without support. The most critical block, however, was block 001. Although the safety
factor is above 1.0, further probabilistic analysis showed a significant failure potential of
48.5%. To further verify the probabilistic analysis, Monte Carlo simulations were performed
using a platform package of “R”, a popular statistic analysis package, to check the failure
probabilities and examine the distribution of safety factors. With 100,000 runs, the Monte
Carlo simulation produced similar failure probabilities as given by the program RBK.F90:
Pf (001) = 0.475 ∼ 0.49 and Pf (110) = 0.001 ∼ 0.0013.
The distribution of safety factors generated by the simulation are also shown in Figs. 2(a)
and 2(b). The results clearly indicated that for Block 001, there is a significant chance for the
safety factor to drop below 1.0, while Block 110 is basically stable with much higher safety
factor.
Another critical data in excavation stability analysis is the potential volume of rock block
failure. Following the procedure proposed by Goodman and Shi (1985), it was identified that
the potential maximum key block for both 001 and 110 would be formed by limiting planes
along the projection lines of edges I13 and I23. The maximum key block can approximately
be modeled as a tetrahedron, formed by the three joint planes, J1, J2, J3 and the excava-
tion surface, approximated to be a flat cut surface. Since J1, J2, J3 and the limiting edges
I13 and I23 are all functions of random variables of the joint orientations, the maximum
potential rock failure volume also follows a random distribution. Following Goodman and
Shi’s procedure and applying the random variable parameters listed in Table 1. The prob-
abilistic distribution of potential rock failure volumes was estimated in the Monte Carlo
simulation procedure and was illustrated in Fig. 3. The results revealed that the key block
348
12000 9000
8000
10000
7000
8000 6000
Frequency
Frequency
5000
6000
4000
4000 3000
2000
2000
1000
0 0
2
4
0
.5
12
.5
15
.5
18
.5
0
9
0.
0.
0.
0.
1.
1.
1.
1.
2.
2.
1.
4.
7.
10
13
16
19
Safety Factor Safety Factor
(a) (b)
Figure 2. (a) Block 001 safety factor distribution (b) Block 110 safety factor distribution
16000
14000
12000
10000
Frequency
8000
6000
4000
2000
0
0
0
20
24
28
32
36
40
44
48
52
56
60
Max Key Block Volume (cubic ft)
Figure 3. Probabilistic distribution of max key block volume.
had a potentially sizable volume, most likely in the range of 300 to 450 cubic feet. This is
a fairly significant volume and special attention has to be paid to the support and stability
control of the excavation. Without proper control and support of the potential key blocks,
the sliding of the blocks may cause sever damage and/or serious personal injury.
In this study, probabilistic analysis was applied to evaluate the stability of a mine ventilation
shaft. The FOSM approximation procedure was applied in estimating the probability of
key block formations and key block failure probabilities. In conjunction with Monte Carlo
simulations, the probabilistic distribution of key block safety factors and the probabilistic
distribution of potential maximum key block volumes were also estimated.
The study indicated that taking into account of the uncertainties in rock structure orienta-
tions and rock mass properties, the probabilistic analysis provided a more complete under-
standing of the mine excavation stability as compared to the conventional deterministic anal-
ysis. Although the deterministic analysis in this ventilation shaft stability study resulted in a
349
safety factor of 1.1 for the stability of the most critical key block of 001, the probabilistic
analysis revealed a considerable failure probability of 48.5% with a potentially significant
maximum key block volume of 300 to 450 cubic feet.
The conclusion of the probabilistic study should have prompted special attention to the
key block control and support in the excavation to avoid sever property damage and pre-
vent possible personal injuries. However, in-depth probabilistic analysis was not properly
carried out before the development of the ventilation shaft and there was significant delay
between the completion of the raise boring excavation and the application of the concrete
lining support. The bottom half of the shaft collapsed two months after the completion of
the excavation. Although no personal injury occurred at the time of rock failure, the signif-
icant caving rock volume forced re-development of the ventilation shaft, causing significant
production delay and unexpected cost.
References
1. Ang, A.H.S. and W.H. Tang, 1984. Probability Concepts in Engineering Planning and Design, Vol.
II, John Willey & Sons, New York, USA.
2. Baecher, G.B. and J.T. Christian, 2003. Reliability and Statistics in Geotechnical Engineering, John
Willey & Sons, New York, USA.
3. Chen, G., et al 1998. Probabilistic Analysis of Rock Slope Stability with First-Order Approxima-
tion, International Journal of Surface Mining and Reclamation, Vol. 12, No. 1, pp. 11-17.
4. Chen, G., et al 1997. Probabilistic Analysis of Underground Excavation Stability, International
Journal of Rock Mechanics and Mining Sciences, Vol. 34, No. 3–4, pp. 6.
5. Fisher, R. 1953. Dispersion on a sphere, Proceedings of the Royal Society of London, A217, 295-
350.
6. Goodman, R.E. and G.H. Shi, 1985. Block Theory and Its Application to Rock Engineering,
Prentice-Hall, Englewood Cliffs, NJ, USA.
7. Hatzor, Y. and R.E. Goodman, 1992. Application of block theory and the critical key block con-
cept in tunneling: two case histories. In Proc. Int. Soc. Rock Mech. Conf. on Fractured and Jointed
Rock Masses, Lake Tahoe, California, 632-639.
8. Mauldon, et al, 1997. Limit analysis of 2-D tunnel key-blocks. International Journal of Rock
Mechanics and Mining Sciences, 34(3–4):193.
9. Piteau, D.R. and D.C. Martin, 1977. Slope stability analysis and design based on probability
techniques at Cassiar mine. CIM Bulletin, March, pp. 139-150.
10. Rackwitz, R. 1976. Practical probabilistic approach to design. Bulletin 112, Comite European du
Beton, Paris, France.
11. Rethati, L. 1988. Probabilistic Solutions in Geotechnics, Elsevier Science Publishing Co., Inc., New
York, USA.
12. Tyler, D.B., et al 1991. Rockbolt support design using a probabilistic method of key block analysis.
In Rock Mechanics as a Multidisciplinary Science, J.C. Roegiers, Editor, Rotterdam: Balkema,
1037–104.
350
The Support Design for Slope and Tunnel Engineering Based on
Block Theory
JIAO LIQING, MA GUOWEI∗ , HE LEI AND FU GUOYANG

School of Civil & Environmental Engineering, Nanyang Technological University, Singapore
1. Introduction
The support design is of great importance in the fields of underground projects, such as slope
excavation and tunnel engineering. So it is important to develop rules for the performance
checking of the support design. Till now, many models have been developed to simulate
the rock mass system, and several rules have been developed to check the performance of
the system. The Q-system and rock mass rating (RMR) are the traditional methods used
in underground projects. The Q-system of rock mass classification was developed by Bar-
ton, Lien and Lunde in 1974. In Q-system rock mass classification, six parameters including
Deere’s Rock Quality Designation (RQD), joint set number (Jn ), joint roughness number (Jr ),
joint alteration or filling (Ja ), joint water leakage or pressure (Jw ) and Stress Reduction Factor
(SRF), are used to characterize the rock mass quality. Three key aspects of the rock mass such
as block size (RQD/Jn ), inter block shear strength (Jr /Ja ) and active stress (Jw /SRF) are com-
prehensively considered by the Q-system. The RMR rock mass classification was developed
by Bieniawski (1976). In RMR classification, six parameters including uniaxial compressive
strength of intact rock material, Rock Quality Designation (RQD), joint spacing, joint condi-
tion, ground water condition, joint orientation, are used to determine the rock mass quality.
The six parameters, in Q-system and RMR rock mass classification, can cover almost
all the rock mass classifications. However, it’s really difficult to exclude the value of these
parameters from one specimen, and only geological experts can confirm the value of all the
six parameters. So it’s necessary to develop a theory to express the rock mass system with
easy-to-obtain parameters.
Block theory, developed by Genhua Shi in 1985, can be used to check the performance
of the support design. Using the block theory, five parameters including cohesion, friction,
dip and dip direction of joints and rock density, are used to characterize the performance
of the rock mass system. The values of these parameters are easy to get and it is unique to
one specimen. Only the instability of the block should be considered. So block theory is a
promising method to check the performance of the support design.
In this paper, the block theory was used to study the support design in underground
projects. It is easier to check the performance of the support design compared with the
traditional methods, which may be significant in the application of the slope and tunnel
engineering in underground projects.
2. Support Design Investigation in Tunnel and Slope Engineering Using

Block Theory
This present study focuses on the stability analysis of keyblock. The excavations, which can
skip over many conceivable combinations of joints and proceed directly to consider certain
critical blocks, are named as keyblocks. The keyblock is potentially critical to the stability

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0140 351
of an excavation because by definition, it is finite, removable, and potentially unstable. It

must be made up of the joints and free surfaces. A finite, convex block is removable or not
removable according to its shape relative to the excavation. We have previously termed a
nonremovable finite block as tapered. Necessary and sufficient conditions for the removabil-
ity or nonremovability of a finite block are established by the following theorem. A convex
block is removable if it has the free surfaces and its joints plane can not make a block.
We establish relationships connecting the direction of the resultant force, on an incipiently
sliding block, and the direction of sliding. Coupled with other kinematic constraints and a
specific direction for the resultant force, these rules will permit us to establish which, if any,
sliding mode is applicable to each block. There are three modes of sliding acting on the block
if it can be removed. The direction and the value of the three modes of sliding are defined
shown as below by Genhua Shi in 1985.
Lifting:
s = r F = |r|. (1)
Sliding on a single face:
si = (ni × r) × ni /|ni × r| F = |ni × r| − |ni · r| tan φi . (2)
Sliding on two faces:
sij = (ni × nj )sign((ni × nj ) · r)/|ni × nj | (3)
F = [|r · (ni × nj )||ni × nj |
− |(r × nj ) · (ni × nj )| tan φi − |(r × ni ) · (ni × nj )| tan φj ]]/|ni × nj |2 (4)
s, si , sij are the directions of sliding acting on the block the sliding direction si is the ortho-
graphic projection of r on plane i, sij is the direction along the line of intersection of two
planes i and j that makes an acute angle with the direction of the active resultant r, r is the
resultant force of all other forces acting on the block, F is the value of sliding forces acting on
the block, ni , nj are the upward normal vectors to plane i ,j respectively, φi , φj are the friction
angles of joints i, j respectively.
If the normal force from the adjacent block through the joints and the cohesion acting on
the joint planes are considered, the direction and the value of the three modes of sliding are
redefined as follow.
Lifting:

s = r F = |r| + Fl Fl ∗ tan φl . (5)
Sliding on a single face:

si = (ni × r) × ni /|ni × r| (6)

F = |ni × r| − |ni · r| tan φi + Fl − Fl ∗ tan φl − ci ∗ Ai . (7)
Sliding on two faces:

sij = (ni × nj )sign((ni × nj ) · r)/|ni × nj | (8)
F = [|r · (ni × nj )||ni × nj | − |(r × nj ) · (ni × nj )| tan φi

− |(r × ni ) · (ni × nj )| tan φj ]]/|ni × nj |2 + Fl − Fl ∗ tan φl − ci ∗ Ai − cj ∗ Aj (9)

Fl is the force from all joint planes which made up the block, the direction is normal of
its joint plane, φl is the friction angle of joint planes which made up the block, ci , cj are
352
the cohesions of joint i, j respectively, Ai , Aj are the areas of joint i, j acting on this block
respectively.
The merits of Q-system and RMR are that they can almost cover all rock mass conditions
based on the individual required six parameters of rock mass. Their shortage however is
that determining the values of the parameters requires intensive geological expert and the
exclusive value of them from one specimen is difficult. For block theory, the advantage is
obvious. To support design based on block theory requires only cohesion, friction, the dip
and dip direction of joints and density of rock. The values of these engineering parameters are
relatively easy to obtain, and are unique for an individual specimen. Only the unstable block
identified by the block theory requires support However, the block theory is not adapted to
the excavation around the weak rock mass. Due to the deficiencies of traditional support
designs such as Q-system or RMR, the block theory is also recommended to use in checking
the traditional rock support and reinforcement design.
3. Discussion About Support Design in Slope and Tunnel Engineering

The slope engineering is shown in Fig. 1. The keyblocks of the slope engineering will slide
without support after excavation computed as shown in Fig. 2. The all chromatic blocks will
be detached from the main rock mass without the support.
These blocks are called the batch time sliding blocks as shown in Fig. 3. If they are sup-
ported by enough support force, the overall slope will be safe.
Each individual potential sliding block identified in Fig. 2 are listed in Fig. 4. The first
eight blocks are the first batch potential sliding blocks from (1) to (8). The next six blocks
and the last two blocks are the second batch potential sliding blocks from (9) to (14) and the
third batch respectively, which will slide without any support after the first batch blocks slide
When each joint plane friction and the cohesion are equal to zero, the volume, the potential
sliding force, sliding direction of blocks, the support pressure and the support direction are
computed and summarized in Table 1. The slope will be safe if the support design is based
on the block theory
Figure 1. A rock slope model.
353
Figure 2. The potential sliding blocks in the slope.
Figure 3. The first batch potential sliding blocks.
The density of rock mass is 2.0×103 kg/m3 , the gravity acceleration is 9.8 m/s2 the fric-
tion is zero, the cohesion is zero. The direction of support is the vector of (0.995, −0.000,
−0.100).
A tunnel model with various joint planes is shown in Fig 5. The potential sliding blocks of
the tunnel model will slide without support after excavation as shown in Fig. 6 Due to the
orientation of the joins, the potential sliding blocks are concentrated in the top and right side
of the tunnel excavation.
In the traditional support analysis, if the support pressure is not enough to support the
keyblocks which are the first batch sliding blocks, the decrease of the spacing of the rock
bolts and the increase of the number of rock bolts are usually recommended for the safety
of project. However, it is not necessary for the other blocks, which are inherently stable
In theory, the use of the block theory can facilitate the identification of keyblocks during
underground excavation. It is also necessary to point out the essence of reinforcing the second
batch or the following sliding blocks by adjusting the support force acting on the keyblocks.
354
(1) (2)
(3) (4)
(5) (6)
(7) (8)
(9) (10)
355
(11) (12)
(13) (14)
(15) (16)
Figure 4. The potential sliding blocks.
Figure 5. The tunnel model.
356
Table 1. The information of potential sliding blocks.

The The sliding force (kN) The sliding direction The volume of The
number vector block (m3 ) support
block pressure
(kPa)
1 194328 0.100 0.000 0.995 100 41981.9

2 61152 0.100 0.000 0.995 31 325276.9
3 165194 0.100 0.000 0.995 85 45249.4
4 107312 0.100 0.000 0.995 55 45249.4
5 32395 0.100 0.000 0.995 17 45249.4
6 191689 0.100 0.000 0.995 98 113430.1
7 79093 0.100 0.000 0.995 41 330564.8
8 93909 0.100 0.000 0.995 48 56599.9
9 21140 0.100 0.000 0.995 11 56599.9
10 181233 0.100 0.000 0.995 93 56599.9
11 106188 0.100 0.000 0.995 54 40848.7
12 600275 0.707 0.707 0.000 43 40848.7
13 239486 1.000 0.000 0.000 12 1738683.6
14 403603 0.100 0.000 0.995 207 18315
15 595424 1.000 0.000 0.000 30 40950.9
16 156731 1.000 0.000 0.000 8 28952.9
Figure 6. The potential sliding block of tunnel model.
4. Conclusions
In the present study, the advantages and shortages of Q-system RMR and block theory have
been briefly discussed. Based on the block theory, the optimised support design combined
with the traditional support design is given. The resultant sliding force and direction of force
acting on any potential sliding blocks are computed by the developed code. In the meanwhile,
the support pressure and direction can also be obtained. The support system can then be
designed for each individual potential sliding. To achieve an effective and economical rock
357
support design for slope and tunnel engineering projects, it is recommended to combine the
traditional support based on Q-system and RMR with the block theory.
References
1. N.Barton, R.Lien and J.Lunde. “Engineering Classification of Rock Masses for the Design of Tunnel
Support”. Norwegian Geotechnical Insitute. NR.106. 1974
2. N.Barton. Some New Q-value Correlations to Assist in Site Characterisation and Tunnel Design.
International Journal of Rock Mechanics and Mining Sciences. p185-216.2002
3. Bhawani Singh. Rock Mass Classification-A Practical Approach in Civil Engineering.1999
4. Bieniawski Z. T. Rock Mechanics Design in Mining and Tunnelling p272. Balkema, Rotterdam1984
5. Richard E. Goodman and Shi Genhua. Block Theory and its Application to Rock Engineering.
p295-330.1985
358
Hereditary Problems in Long-wall Mining by Free Hexagons
P.P. PROCHAZKA∗ AND KAMILA WEIGLOVA

Association of Czech Civil Engineers, Prague, Czech Republic, Technical University in Brno
1. Introduction
In the paper time dependent free hexagon DEM is formulated and solved for the stability of
faces during the long-wall mining. The time factor is involved in the natural way into the
model of discrete elements created by the boundary element method. Generally, the main
application of the approach put forward is found in geomechanics, namely in bumps occur-
rence in deep mines. In the deep mines the way of depositing packs and its mechanical prop-
erties are decisive. One of the most important phenomena for long-wall mining, for example,
is the velocity of excavation. Their mutual coupling (the velocity and the way of deposition of
packs) can principally influence the safety against bumps and the appearance of the bumps
is mostly caused by this phenomenon. For correct understanding the behavior of the rock
aggregate (coal seam vs. overburden) nucleation of cracks finally leading to bumps has to be
treated as time depended and certain hereditary problems are to be solved, such as creep and
visco-plasticity mainly in the overburden. According to new experiments and results from
accessible literature and on scale models those effects will be involved into the formulation.
Contact problems created in terms of the free hexagons describing the bumps occurrence
in deep mines have been solved in certain papers of the author for statical and dynamical
case.1, 2 Either lagrangian multipliers,3 or penalty formulation can be used in formulating
the interface conditions between particles. New formulation is submitted in terms of penalty,
which if high enough (bond effect of adjacent elements), it suppresses the influence of debond-
ing forces and debond occurs otherwise. The second case is an impact of rearranged forces
inside of the underground mass due to time dependent behavior. Involving then the inter-
face properties, complex nucleation can be studied and improve the information on possible
rock bursts. The mechanical behavior of the rock or coal is very important. A comprehen-
sive book involving the visco-plastic properties of rock was issued by Elsevier.4 Results from
observations of creeping rock in uniaxial compression regime are accessible in Ref. 5. For the
purpose of this paper description of the visco-plastic development is taken from Ref. 6. The
results are accepted from Kunming location, China. Some examples will show the application
of the procedure proposed.
2. The Creep Model and Basic Equations

In the classical theory of plastic deformation the following basic assumptions are often
adopted:
1. A change of a body’s shape or an increment in this change is regarded as being brought

about by a stress deviator and is not influenced by the spherical stress tensor (classical
assumption in the theory of plastic deformations).
2. On the other hand, the change of a body’s volume or an increment in volume change
results from the spherical stress tensor and is not influenced by the stress deviator.
∗ Corresponding author. E-mail: petr.proch@volny.cz

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0086 359
The normal compressive stress plays an important role in the visco-plastic shear creep
deformation in rock. Therefore, the effects of normal compressive stress on non-linear visco-
plastic shear deformation are further taken into account. At any point located in the sur-
rounding visco-plastic rock, the shear viscosity η in the plane of the maximum shear stress
is regarded as a non-linear function of the maximum shear stress τ , the normal compressive
stress σn acting in the plane of admissible shear stress, and time t, that is:
η = f (τ ,σn ,t) (1)
If the initial stress field in the rock mass results from elasticity, then, three stress fields
in the surrounding rock can be assumed. Around an unsupported underground opening the
rock mass in which the stress value reaches the yield strength is in a state of visco-plasticity.
The rock mass which is far from the visco-plastic region is in an elastic state. The rock mass
between the visco-plastic region and the elastic region is in a state of visco-elasticity. Then,
the strain causing the redistribution of stresses in the surrounding rock can be written as:
γ = γe + γep + γvp (2)
where γe ,γep ,γvp represent the elastic, visco-elastic and visco-plastic shear strains, respec-
tively. If the opening is located in a rock mass at great depth, the surrounding rock can
approximately be regarded as being in the elastic and visco-plastic regions. Therefore, the
strain causing the redistribution of the stresses in the surrounding rock can be simplified and
the governing conditions for visco-plastic state are written as:
if τ < τadm − Fσn then γ = γe ;
if τ > τadm − Fσn then γ = γe + γvp ,τ − τadm + Fσn = f (τadm ,σn ,t) · γ̇ (3)
where τ is the current shear stress at a point located in the surrounding visco-plastic rock,
τadm is the yield limit in the pure shear, parameter F is the equivalent friction coefficient
in the plane of the admissible shear stress, and γe obeys Hooke’s law with G being the
shear modulus. The value of the parameter F is determined by the shear creep tests of rock
material subjected to various normal compressive stresses. In this paper Vyalov’s hypothesis4
pertaining to the similarity of all isochrones including the instantaneous deformation curve
is adopted. If the state of plane strain and the associated flow rule is adopted, the constitutive
equation showing the effect of strain rate in the visco-plastic region can be expressed as:
kP ∂P 1
εij,vp = · t, P = (σ1 − σ2 )2 + Fσn − τadm , (4)
2η(τ ,σn ,t) ∂σij 2
where σ1 ,σ2 are maximum and minimum principal normal stresses, respectively. The incre-
ments of strains appear in the expression of Hooke’s law for eigenstrains.
It remains to express the shear viscosity function η. In the sense of Ref. 6 we obtain:

G A 2 Hs + σn
η(τ ,σn ,t) = T+t 1− , (5)
a·T τs Hs
where T is the time to which the process of creep is observed, and the other coefficients are
obtained fro the shear test.
3. Free Hexagon Method

Starting with statical equilibrium in the first stage of excavation and elastic state, in the
rock continuum and in the coal seam creep appears after making opening due to mining
360
Figure 1. Adjacent grains set up.
and time dependent visco-plastic equilibrium has to be considered. Plain strain state is suffi-
cient to solve. Under the assumption that the material properties of both rock and coal are
known, hexagon elements are created and linear behavior inside of them is supposed. Since
the elements are considered to be small enough, isotropic case is taken into account, i.e. the
elements are homogeneous and. Classical problem involving generalized Coulomb’s friction
and exclusion of tensile stress exceeding the tensile strength along the interfaces (possible
dislocations) is solved. Typical set up of adjacent elements is illustrated in Fig. 1. First the
solution of elastic problem in an element is formulated and the element is put into neigh-
borhood of the adjacent elements. Regular distribution of elements is assumed, i.e. only one
matrix relating tractions and boundary displacements will be provided.
4. Boundary Element Solution in One Particle

The solution of elasticity in each hexagonal element is approximated by concentration of
DOFs to vertices of the hexagon, and distribution of boundary displacements and tractions
along edges
s ,s = 1, . . . ,6 of the hexagon is assumed to be linear. Then, generally, integral
equations formulate the problem:
6
6

cik uk (ξ ) = pj (x)u∗ij (x,ξ ) dx − uj (x)p∗ij(x,ξ ) dx
s=1
s s=1
s

+ bj (x)u∗ij (x,ξ ) dx + ∗
μjk (x)σijk (x,ξ ) dx (6)

where i and j run 1, 2, and s = 1, . . . ,6. In case the regular hexagons are used and linear
distribution of both displacements and tractions is used, cik = 13 δik , δik is Kronecker’s delta.
Knowing the form of kernels denoted by asterisk and substituting approximations for
boundary displacements u and tractions p, neglecting the volume weight influence (for deep
openings a symmetric problem with respect to the horizontal axis can be considered), and
assume that the eigenstrains are uniform in each particle, matrix equations are obtained:
Au = Bp + b, Ku = P + V (7)
where A, B and K are square matrices (12 ∗ 12), u is the vector of displacement approxima-
tions at vertices, P that of tractions and b and V are vectors of eigenstrain influences. The
latter are vectors (1 ∗ 12).
361
Figure 3. Two hexagons in possible contact. Figure 4. Angles and normals with x1 - direction.
5. Statical Contact Conditions

Let us consider two hexagons being in possible contact, see Fig. 2. Arrangement of cur-
rent and neighboring particles together with their geometry is seen from Fig. 3. Introduce a
pseudo-cone K, which is defined as:
K ≡ {u ∈ V,[u]n ≥ 0,pn ≤ p+ +
n , if pn ≥ pn ⇒ pn = 0,
|pt | ≤ c κ(p+ +
n − pn ) − pn tan φ, if |pt | ≥ c κ(pn − pn ) − pn tan φ ⇒ pt (8)
= pn tan φ sgn[u]t }
where [u]n = u2n − u1n , [u]t = u2t − u1t , u is split into normal un and tangential (shear)
ut components, n is the unit outward normal with respect to element 1, V is an admissible
space of displacements, the traction p has now components {pn ,pt }, i.e. projections to normal
and tangential directions, p+ n is the tensile strength, c is the cohesion or shear strength, and φ
is the angle of internal friction of the material (rock, coal), κ is the Heaviside function being
equal to one for positive arguments and zero otherwise. Here strict sign convention is used:
positive sign is tension, while negative one means compression. The pseudo-cone K becomes
a cone for p+n = 0 and frictionless case.
6. Generalized Fischera’s Conditions
Fischera’s conditions have been formerly formulated for K being a cone. In our case the
conditions in normal direction can be written as:
p+ +
n κ(pn − pn ) − pn ≥ 0, [u]n ≥ 0, (9)
Generalizing the above conditions to the tangential direction, it holds:
c κ(p+ +
n − pn ) − pn tan φ − |pt | ≥ 0, |[u]t | ≥ 0, {c κ(pn − pn ) − pn tan φ − |pt |}|[u]t | = 0,
(10)
362
Setting pn = kn [u]n ,pt = kt [u]t , where kn ,kt are normal spring and tangential spring
stiffnesses, the energy of the system can be stored as:
n
1
N
β β β β β
= aα (u,u) − pT u dx + {kβn ([u]n )2 + kβn [u]n |[u]t | + kt ([u]t )2 } dx
2

β
α=1 β=1
n
β
+− {(p+ β + β β β + β
n ) κ(pn − pn )[u]n + c κ(pn − pn |[u]t |}dx,
β=1
β

aα (u,u) = (σ α )T εα dx (11)
α
where α runs over all hexagon elements, α = 1, . . . ,N,β runs all contact edges of possible
contacts
β , β = 1, . . . ,n,
is the external boundary where p is prescribed, aα is the internal
energy (bilinear form) inside a hexagon α , σ α ,εα are respectively stresses and strains in α .
Note that the spring stiffnesses kn ,kt play the role of penalty. Since the functional should
be minimized, then for kn being large enough, the jump in normal displacement along this
interface is suppressed, while the tangential displacements can admit possible jump. On the
other hand, if kt is large, the jump in tangential displacement is zero and the normal jump can
occur. The tangential tractions being induced by sticking of elements in tangential directions
have to obey the Mohr-Coulomb law, see (10). If p+ n ≤ pn (the tensile strength is exceeded)
then pn must be zero and no contact occurs as also pt must be zero from the generalized
Mohr-Coulomb law (using the Heaviside function in specification of the interfacial law).
7. Equilibrium in One Particle Embedded Into Its Neghborhood

Suppose the only element i can move while the others in the neighborhood remain stable at
some time instant t; the denotation t is dropped out in the following formulas. The unknowns
in the formulation of the problem will be displacements along the boundaries of elements in
x1 and x2 directions, which create interfaces between adjacent elements. Recall that along
the interfaces debond or slip can occur. On the contrary to the finite elements a priori sticking
between elements is not assumed and this is why classification of this method leads us to the
set of distinct element methods (DEM).
Then in the element i the interfacial forces act, see Fig. 3.
In x1 - direction:
ij ij ji ij ij ji ij ij ji ij ji
F1 = k11 [u1 − u1 ] + k12 [u2 − u2 ] = k11 [u]1 + k12 [u]2 ,

ij ∗
Q1 = − μijk σ1jk (x;ξj )dx,j = j1 , . . . ,j6 (12)
s
ji ji ij ij
where [u]1 ,[u]2 are obviously jumps in displacements, k11 ,k12 are transformed spring stiff-
nesses, and in x2 -direction:
ij ij ji ij ij ji ij ij ji ij ji
F2 = k12 [u1 − u1 ] + k22 [u2 − u2 ] = k12 [u]1 + k22 [u]2 ,

ij ∗
Q2 = − μijk σ2jk (x;ξj )]dx, j = j1 , . . . ,j6 (13)
s
363
Since the internal equilibrium has to be fulfilled, it inevitably holds:

6
ij ij ij ij ij ji ij ji ij
[(Ki11 i12
kj + k11 )u1 +(Kkj + k12 )u2 − k11 u1 − k12 u2 − Q1 ] = 0,
j=1
k = 1, . . . ,6(14) (14)

6
ij ij ij ij ij ji ij ji ij
[(Ki21
kj + k21 )u1 +(Ki22
kj + k22 )u2 − k21 u1 − k22 u2 − Q2 ] =0
j=1
which is a system of 12 equations for 12 unknowns displacements, six in x1 direction and

six in x2 direction. This system is always solved for fixed time and iteration step, i.e. the
neighboring elements are considered fixed and the value of displacements for them is taken
Figure 4. Viscosity in the rock. a) at the ceiling b) at the side wall.
Figure 5. Setup of free hexagons: grey is the coal.
Figure 6. Low speed of excavation.
364
Figure 7. Fast speed of excavation.
from the previous step. The iteration of position is assumed at a current time instant. After
the iteration of position is stable, the time is simply increased by in advance selected time
increment and the iteration of position repeats. As the movement of the particles is very fast,
the time increment has to be very small.
8. Examples
Study on a longwall mining with various speed of excavation is studied. The material coeffi-
cients are taken from 6. The depth of the opening is 700 m, the opening is about 8×8 m2 mass
density of the rock is 2 780 kg/m3 , the initial stress field is induced by the virgin state. Next
material parameters of the rock mass have the following values: G = 1200 MPa, ν = 0.35,
the angle of internal friction is 35 degrees, i.e. F = 0.4, the shear strength τadm = 4.7 MPa,
τs = 14.5 MPa, a = 3.4 Hs = 2.9 MPa, T = 2100 hours. The coal seam is characterized as
brittle with G = 150 MPa, and ν = 0.25. The surface forces along the free space are rep-
resented by an appropriate horizontal and vertical volume weight substituting its influence.
The load due to the volume weight is given by the overburden along the upper elements. The
number of particles, which are regularly distributed, is 1532. In Fig. 4 observed distribution
of the viscosity coefficient is depicted. The setting of hexagonal elements is seen in Fig. 5,
where the shaded part describes the coal seam and the upper part the overburden. In Fig. 6
and 7 the movements of the particles due to a low speed of excavation (the increment of
surface forces is slow, divided into 10 time steps with the final time t = T) and due to a fast
speed of excavation (the forces are applied at the beginig of the opening the free space).
9. Conclusions
Visco-plastic behavior of the surrounding rock of a coal seam at the moment of possible
rock burst and closely after it is studied in this paper. In comparison with classical DEM, for
instant with the PFC, we start with different shape of particles to enable us to get also stresses
in the particles and between them and with static equilibrium. Generally, in contradiction to
the PFC static equilibrium is taken into consideration and stability problem is solved based
on time increments. The forces induced along the boundaries of adjacent particles or after
mutual contact of extruded particles are caused by Eshelby’s forces, which come out from
the virgin state of the massif along the free space boundary, i.e., if the opening is created due
to a mining, these forces are applied at the proper position in opposite directions on the face
of the mine.
Regular distribution of elements is assumed in the examples, i.e. only one stiffness matrix
relating tractions and boundary displacements is provided inside of each element. This
assumption speeds up the iteration and also provides a better overview at the behavior of
particles in the pertinent pictures. The presented mathematical and numerical approach can
365
consider much more elements, but then the description of movements of particles has to be
probably zoomed.
In order to describe the behavior of the massif no deformation is displayed in the pictures
to show the stress concentration zones. Only two cases, which are decisive for assessment of
possible bumps occurrence, are considered and calculated. Those cases simulate very speed
excavation of the opening (this is not realistic, but for estimate of the effects of the speed of
mining illustrative) on one hand side and on the other side very slow speed of excavation,
when the time increments are divided into 10 steps. In each step the iteration is finished
after moving particles are settled up, i.e. small error between the movements in the old and
new stages is attained. The distribution of time steps is projected also in Eshelby’s forces,
which increase accordingly. It appears that the side wall and the ceiling are relatively stable
(it depends on a quality of material above envisaged) for low velocity of mining and the
stability principally decreases for fast opening.
Acknowledgments
This paper was prepared under financial support of GAÈR, project No. 103/08/0922. Finan-
cial support of Ministry of Education and Sport of the Czech Republic, project numbers
MSM 6840770001 is also acknowledged.
References
1. Prochazka, P.P., “Application of discrete element methods to fracture mechanics of rock bursts”,
Engineering Fracture Mechanics, 71, 2004, pp. 601–618.
2. Prochazka, P.P., “Rock bursts due to gas explosion based on hexagonal and boundary elements”,
to appear in Engineering Analysis with Boundary Elements 2009.
3. Prochazka, P.P. and Sejnoha, M., ”Development of debond region in lag model”, Computers &
Structures, 55, 2, 1995, pp. 249–260.
4. Vyalov, S.S., Rheological Fundamentals of Soil Mechanics. Elsevier. Amsterdam (1986).
5. Okubo, S., Nishimatsu, Y. and Fukui, K., “Complete creep curves under uniaxial compression”,
Int. J. Rock Mechanics and Mining Science & Geomech. Abstracts, 28, 1991, pp. 77–82.
6. Song, D., “Non-linear Visco-plastic creep of rock surrounding an underground excavation-
Technical Note”, Int. J. Rock Mechanics and Mining Science & Geomech. Abstracts, 30, 6, 1993,
pp. 653–658.
366
Analysis of Large Rock Deformation Under High in situ Stress
S.G. CHEN∗ , Y.B. ZHAO AND H. ZHANG

Southwest Jiaotong University, China
1. Introduction
The Jinping Hydropower Project consists of two hydropower stations: namely Jinping Grade
I and Jinping Grade II. The Jinping Grade I is at upstream with a capacity of 3.6 MkW.
The Jinping Grade II is at downstream with a capacity of 4.8 MkW, which is the biggest
hydropower station among 21 stations on the Yalong River, China, with a dam of 305m
high, the highest dam in the world. The distance of the two stations is 150km along the
Yalong River but only about 18 km in straight-line distance.
The Jinping Auxiliary Twin Tunnel is built to connect the two hydropower stations with
a length of 17.5 m, which is parallel to the 4 diversion tunnels of Jinping Grade II. As it is
constructed prior to the diversion tunnels, the construction of the Jinping Auxiliary Twin
Tunnel can provide valuable geological information and site trials for the construction of
diversion tunnels in the next stage. The Jinping Auxiliary Twin Tunnel is deeply buried with
a maximum overburden of 2375m and the overburden over 73% of its total length is 1500 m,
thus there is no condition to build shafts in between.
The tunnel is laid mainly in Triassic system as shown in Fig. 2, while Carbonate rock
(Marbles) occupies about 70–80% including Triassic series (T1), Zagunao formation (T2z),
Baishan formation (T2b) and Triassic upper series (T3). Due to the existence of very high in
situ stress, this area is heavily compressed with very close composite folds in SN direction.
The rock is basically solid with very high UCS of up to 210 MPa and mostly classified as
Grades II and III. The tunnel has a very high groundwater head with a maximum water
pressure of up to 10 MPa.1
The rock in the Jinping Auxiliary Twin Tunnel is generally hard, while the rock between
K3+140∼K4+460 in the tunnel is soft carbon phyllite and silty slate. This section has an
overburden of 2000m and a lateral pressure ratio of 0.8, thus ensuring the tunnel stability
during the construction is the main concern. This study is to investigate the stability of the
tunnel between K3+140∼K4+460 during the construction by using the discrete element
method code UDEC.
2. Computational Model and Material Properties

Figure 1 shows the geological mapping from the site at BK3+237. It illustrates that the rock
is heavily jointed by two major joint sets, one (Joint set I) is a vertical joint set with dip angle
of 82◦ and joint spacing of 0.8 m, the other (Joint set II) is a horizontal joint set with dip
angle of 150◦ and joint spacing of 1–2 m. In addition, one fault (Joint set III) with a dip angle
of 30◦ crosses the tunnel. The rock is classified as Grade IV, a soft rock.
The discrete element code UDEC2 is used to simulate the rock deformation due to tunnel-
ing. The computational model is shown in Fig. 2. Five types of material are involved in the
model including rock, joint, rockbolt, shotcrete and concrete lining. the material properties
are listed in Tables 1–5.
∗ Corresponding author. E-mail: csgchen2006@163.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0101 367
Figure 1. The geological mapping on site. Figure 2. The computational model.
Table 1. Rock properties.

Property Value
Density, kg/m3 2840

Young’s Modulus, GPa 80
Poisson Ratio 0.25
Table 2. Joint properties.

Property Set I Set II Set III
Normal stiffness, MPa/m 1000 10000 800

Shear stiffness,MPa/m 4.25 6.3 3.4
Cohesion, MPa 0 0 0
Friction angle, 35 40 30
UTS 0 0 0
3. Numerical Modelling
Two cases are modelled including the case of no rock support and of with rock support.
3.1. Tunnel stability with no rock support

The tunnel stability due to excavation is closely related to the in situ stress existed in rock
prior to excavation, and the rock joint geometrical distribution apparently affects the in situ
stress distribution. Figure 3 shows the influence of rock joints on the maximum principle
stress distribution in rock mass. It can be seen that the stress distribution is regular in case of
368
Table 3. Shotcrete properties.

Property Value
Density, kg/m3 2500

Young’s modulus, GPa 21
Poisson ratio 0.15
UTS, MPa 1.29
UCS, MPa 27.2
Residual UTS, MPa 1.0
Interface of rock/shotcrete
Normal stiffness, GPa/m 10
Shear stiffness, GPa/m 10
Cohesion, MPa 0.5
UTS, MPa 1.0
Table 4. Rockbolt properties.

Property Value
Density, kg/m3 7500

Diameter, mm 22
Young’s modulus, GPa 210
Maximum tension, tons 15.4
Maximum comp., tons 15.4
Grout stiffness, GPa 24
Grout cohesion, MPa 1.0
Rochbolt spacing, m 1.0
Rockbolt length, m 3.5
Table 5. Lining properties.

Property Value
Density, kg/m3 2500

Young’s modulus, GPa 33.4
Poisson ratio 0.15
UCS, MPa 29.5
UTS, MPa 2.7
no rock joint. When rock joint exists, the in situ stress distribution is much complicated and
even stress concentration appears at the intersection of joints.
Figure 4 shows the rock deformation distribution after tunneling in case of no rock sup-
port. It illustrates that local rock fall occurs at right arch waist and bigger rock deformation
appears on left and right walls. Particularly, serious rock sliding occurs on left wall, indicating
that the tunnel stability could be a problem if no rock support is applied.
369
(a) no rock joint (b) with rock joints
Figure 3. Influence of rock joint on maximum principle stress distribution.
3.2. Tunnel stability with rock support

To avoid above tunnel stability problem, rock support should be applied. As the in situ stress
is very high, the stress in the rock needs to be released at a certain degree before the rock
support is applied.
Based on the computational result and site observation, a rock support design is made.
After the excavation, system rockbolts of 3.5 m in length and 1.0 m in spacing and shotcrete
of 0.2 m in thickness are immediately applied. Point rockbolts and reinforcement mesh could
be applied if necessary. At a certain distance, lining of 60 cm in thickness is applied.
As UDEC is a 2D analysis model, stress release ratios for different rock support application
needs to be taken into account, which can be achieved by using the built-in FISH language in
UDEC.3 In this study, the stress release ratio before the application of rockbolt and shotcrete
adopts 30%. Another 50% stress will be released before the application of the lining. The
left 20% stress will be released after applying the lining.
Figure 5 show the rock deformation distribution after the excavation but before applying
rock support and shotcrete, in which 30% stress is released. From the figure, it can be seen
Figure 4. Tunnel failure with no rock support.
370
Figure 5. The geological mapping on site. Figure 6. The computational model.
that rock is loosen locally at right arch waist and walls, but no rock fall occurs, and the
tunnel is basically stable. The maximum displacement is about 5cm where the rock would be
moved away before applying rock support.
Figure 6 shows the rockbolt and shotcrete support design, except the system rockbolt,
more point rockbolts are applied to the walls to strength the rock there. Figure 7 is the rock
deformation distribution after applying rockbolts and shotcrete but before applying concrete
lining. It indicates that maximum displacement of 6.0cm occurs on the left wall. Potential
rock fall appears at right arch waist, but because of the rockbolt, the rock still stays stable.
Figure 8 shows the final rock deformation distribution after the lining is applied. It illus-
trates that the maximum displacement of 6.4 cm occurs on left and right walls. The most
unstable part comes from left and right walls. Because of the lining application, the tunnel
finally becomes stable.
Rock deformation monitoring is carried out during the construction by using Baset System.
The monitoring data agrees well with the UDEC modelling results.4
Figure 7. Displacement distribution before lining.
371
Figure 8. Final displacement distribution.
4. Conclusions
A numerical study on large rock deformation under high in situ stress is carried out by using
the discrete element code UDEC. From the study, following conclusions can be drawn.
• UDEC is well suitable to simulate the mechanical behaviour of joint rock mass,
including the physical discontinuity involvement in the model, and the discontinuous
rock deformation distribution at the tunnel outline, which agrees well with the site
observation.
• To obtain reliable computational result by using UDEC, the stress release at various
stages must be properly taken into account. The determination of the stress release
ratios is closely related to the rock type and the rock properties, which needs further
investigation.
References
1. Zhang, J., Ren, S., Jiang, H, Chen, X. and Shu, J., “A study on major engineering geological issues
for Jinping Auxiliary Twin Tunnels”, Advances in Science and Technology of Water Resources, Vol.
26, No. 6, 2006, pp. 66–70.
2. Yan, C., Yang, J. and Chen, S.G., “An integrated geological prediction technology and its applica-
tion at Fault F6 of Jinping Auxiliary Twin Tunnel”, Highway Tunnel. Vol. 61, No. 1, 2008, pp.
34–38.
3. Cundall, P.A., UDEC — A generalised distinct element program for modelling jointed rock. Report
PCAR-1-80, Peter Cundall Associates, U.S. Army, European Research Office, London, Contract
DAJA37-79-C-0548, 1980.
4. Chen, S.G., Ong, H.L. and Tan, K.H., “Main considerations on UDEC modeling of tunnel exca-
vation and supports”, IS-Kyoto 2001: Modern tunneling science and technology, Kyoto, Japan,
October, 2001, pp. 433–438.
5. Chinease 2nd Railway Engineering Group Co., The construction technology of deep and long tun-
nels under high water pressure and rich water. Project Report, April, 2008.
372
Gotthard Base Tunnel: UDEC Simulations of Micro Tremors
Encountered During Construction
H. HAGEDORN∗ AND R. STADELMANN

Amberg Engineering Ltd., Switzerland
1. Introduction
The Gotthard Base Tunnel, a 57 km long twin tube single track railway tunnel traversing the
Swiss Alps is currently under construction. The aim of the tunnel is to connect the high speed
railway systems of Germany and Italy. In order to attain a reasonable construction time,
heading started at the portals and at three intermediate points of attack. During operation of
the tunnel, two of these intermediate attacks shall serve as multifunction stations (MFS) for
rescue in case of fire, operation control and maintenance. Additional tunnels are required for
the special ventilation system of the rescue stations (see Fig. 1). The excavation of the three
intermediate points of attack was drill and blast. During construction of the southern point
of attack at Faido a big unknown fault was encountered. A comprehensive drilling campaign
revealed a big fault zone with a kernel consisting of layers with decomposed rock such as
rock debris and rock fragments in a fine-grained matrix (kakirites). During construction
in the fault zone, large displacements in the tunnels occurred giving rise to considerable
difficulties.1 In addition, micro tremors and rock bursts started to develop with increasing
intensities, some of them severely damaging the tunnels and its support, mainly in the East
tube (see Fig. 1).
During March 2004 to June 2005 the Swiss Seismological Service (SED) recorded an accu-
mulation of seismic activity in the area of the MFS Faido, an area normally exhibiting very
low seismic activity. In July 2005 the tunnel’s owner ATG (AlpTransit Gotthard Base Tunnel
AG) formed a work group ‘Micro Tremors’ consisting of representatives from the client, the
Engineering Joint Ventured ‘GBT South’, the supervision, geologists, the SED (Swiss Seis-
mological Service of the Swiss Federal Institute of Technology) and external specialists for
structural dynamics. The aim of this work group was to investigate the following aspects:
• Which were the reasons giving rise for micro tremors and rock bursts?
• Did the construction of the MFS Faido initiate the micro tremors?
• Where are the locations of the micro tremors hypocenters with respect to the tunnels?
• Is the lining’s originally designed bearing capacity capable to resisting additional
seismic loading?
• What is a micro tremor’s damage potential regarding the final tunnel lining?
• Which investigations are required to assess above mentioned aspects?
The work group decided to install an extended seismic measuring program with two
accelerometers in the MFS Faido with first priority. Together with geologists, numerical mod-
els for dynamic simulations were established. The paper shows results from seismic measure-
ments and from numerical discontinuous simulations with UDEC.3
Detailed information regarding the Gotthard Base Tunnel can be found at: http://www.
alptransit.ch/pages/e/
∗ Corresponding author. E-mail: hhagedorn@amberg.ch

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0016 373
East Tube EON
Cross cavern
East
West
West Tube EWN
Figure 1. Left: Initial layout of MFS Faido. Right: Joint system in the fault.
2. The Multifunction Section Faido

The initial layout of the MFS Faido is shown in Fig. 1 (left). The MFS Faido had to be
accessed by a 2.7 km long access tunnel declining at 12.7% from the portal. The overburden
in the MFS Faido is between 1500 and 1800 meters.
The fault strikes at an average angle of about 20◦ to 15◦ to the tunnel axis and dips at
about 80◦ to the East. This unfavorable spatial orientation is shown in Fig. 1, right. The
fault is embedded between hard and brittle Leventina gneiss on the east and folded, more
ductile Lucomagno gneiss on the West.1
3. Results from Seismic Measurements

3.1. Epicenters and chronology
The epicenters of registered micro tremors during Oct. 2005 to Feb. 2008 are depicted in
Fig. 2. The micro tremors’ sources are concentrated in the brittle Leventina gneiss most of
them at a distance of 50 to 350 meters to the East of the tunnel system. The accuracy of the
epicenters’ localization is less than 100 m and less than 250 m in focal depth as determined
by relocation of the calibration shots. Within the error ellipsoid the tremors’ sources were at
tunnel level.2, 4
East Date
M2.4
East tube, EON
West tube, EWN

Measuring station MFS-B Measuring station MFS-A
Figure 2. Epicenters of the micro tremors from Oct. 2005 to Feb. 2008.
374
The highest seismic activity took place during December 2005 and May 2006. During the
period from October 2005 to February 2008 a total of 112 micro tremors were recorded.
The highest magnitude of M2.4 (Richter scale) occurred on 25th March 2006.
3.2. Measured particle velocity (V) of the M2.4 micro tremor at measuring
station MFS-A
The measured particle velocities V (Vx, Vy, Vz) of the M2.4 micro tremor, registered at the
station MFS-A (see Fig. 2), are shown in Fig. 3.
0.03
Particle Velocities V (m/sec)
Vx
0.02
Start of Computations
0.01 Vz
Vy
Z Y
0.00 X
0.0 0.2 0.4 0.6 0.8 1.0
-0.01
-0.03
Time
Figure 3. Measured particle velocities’ components Vx-, Vy- and Vz at measuring station MFS-A.
The orientations of the X-, Y-, and Z — coordinates correspond to those of the model
coordinates. The total measuring interval was 1 sec. The maximum measured amplitude of
0.024 m/s was recorded for Vx, normal to the tunnel’s axis.
The work group ‘Micro Tremors’ decided to consider the M2.4 micro tremor as the ‘design
– tremor’. The corresponding seismic load was used to investigate the bearing capacity of the
initially designed tunnel linings.
4. Models for UDEC Analyses

4.1. Specification of the model’s seismic design load
First, the seismic model load (input wave) corresponding to the M2.4 design tremor had to be
determined. The hypocenter’s distance to the EON tunnel (see Fig. 2) was approximately 250
meters. Prior to arrive at measuring station MFS-A, the emitted wave at the tremor’s source
had to pass the tunnel system and the fault zone. Therefore, the measured signal at MFS-A
corresponded to a damped wave. To determine the wave’s attenuation, 10 times amplified
measured particle velocities were applied at the eastern boundary of the 3D UDEC model
shown in Fig. 4.
In the model point P41 the 10 times amplified measured wave (input wave) excited particle
velocities similar to those of the measured signal (see Fig. 3). The seismic design load was
therefore determined as the 10 times amplified measured signal of the M2.4 micro tremor
registered in measuring station MFS-A (see Fig. 4).
375
0.3 Horizontal cut through
Particle velocity Vx (m/sec)

ǻt
3D model at tunnel level
0.2
P41 EWN
0.1 Fault
EON
0.0
0
0.4
0.0 0.1 0.2 0.3
-0.1 Input wave
-0.2 Input Vx
P41
-0.3
Time t (s)
Figure 4. Left: 3D Model. Right: Horizontal cut through the model with model point P41 simulating
approximately the measuring station MFS-A. Vx input and Vx at P41. t is the wave’s travel time from
the model’s load boundary to Point P41.
4.2. UDEC models for the dynamic simulations

Due to the high computation time parametric studies were not possible with the 3D model.
For parametric studies 2D UDEC models were used instead. Special investigations have been
showing the deviation of seismic waves along weak rock layers. Therefore two different 2D
models with one and with two kakirite layers (see Fig. 5), respectively, were investigated.
The properties for the rock and the two major joint systems considered in the models were
specified together with the geologists.
A joint spacing of 2 m was used for the fault’s kernel zone. In reality the joint spacing in
the fault’s kernel is much smaller. This was accounted for by setting correspondingly reduced
rock’s properties in the model. In addition, weak rock properties were assigned to the layers
containing kakitrite. For modeling support and final lining block elements and structural bar
elements respectively were used. According to the applied shotcrete the support thickness in
the model is 1 meter. The lining thicknesses for the tunnels EWN and EON are 0.6 meters and
0.4 meters respectively. In a first step the static equilibrium of the supported tunnel system
was computed. In a second step the final lining was inserted (stress-free) and the design load
Model_1 Model_2 Rock
Hard, brittle
EWN EON EWN EON Intensively jointed

W E W E
Faults kernel
Kakirite layer
Y 40 m
X Medium hard
Figure 5. Model_1 and Model_2 with 2 and 1 layers of kakirite in the fault’s kernel.
376
applied at the eastern model boundary. The presented results regarding the final lining refer
solely to the dynamic load case.
With Model_1 a stress drop was initiated nearby the EON tunnel. The influence of this
stress drop on the tunnel’s liner is discussed in Chapter 5.2.
5. Computational Results
5.1. Static load case, without tunnel support
Numerical modeling without support was carried out to identify possible reasons for the
micro tremors. It was presumed that high stress concentrations accumulated during con-
struction as a result of the large deformations developing around the tunnels. From overbur-
den, rock mass density and gravity a primary principal stress level of σ yy = 42 MPa and
σ xx = 21 MPa was defined at the top of the model.
Stress
concentration
ıyy = 70 – 80 MPa
West East ıyy = 60 – 70 MPa
Figure 6. Stress redistribution without tunnel support. Vertical stress σ yy.
Figure 6 shows magnitude-ranges of vertical stresses σ yy after excavation of the 3 tunnels.

The results in Fig. 6 show a considerable extension of the stress redistribution due to the
excavation of the tunnels. A general stress reduction occurred within the area of the three
tunnels, σ yy decreasing partially to 10 MPa. To the east of the fault in the hard brittle gneiss
a stress concentration is extending beneath the tunnel along the fault’s boundary. At tunnel
level the vertical stress’ concentration amounts to σ yy = 70 MPa to 80 MPa. Such stress
concentrations were probably the reason for the micro tremors. In general the location of the
model’s stress concentration is in accordance with the micro tremors’ hypocenters determined
from seismic measurements (see Fig. 2).
5.2. Stress drop near tunnel EON in Model_1

The development of the stress drop beneath the EON tunnel and its disturbing influence on
the input wave are depicted in Fig. 7. The load wave’s deviation along the fault’s weak rock
is obvious. The stress drop (shear stress drop) occurred along a joint.
The stress drop starts prior to the arrival of the input wave’s first Vx – peak and was
triggered by a small disturbance. The drop’s shear direction and its magnitude of 17 MPa in
stress release are shown in Fig. 8. The particle velocity Vx induced by the stress drop amounts
to more than 0.40 m/s (Fig. 8).
377
Vx - Load wave
EON
t = 0.1372s t = 0.1403s t = 0.1532s
Figure 7. Development of a stress drop in the vicinity of tunnel EON. Represented are the particle
velocities Vx. Vx — range = −0.2 to +0.2 m/s.
0.0
Tunnel EON
Shear stress (MPa) at contact 2599797

0.0 0.1 0.2 0.3 0.4 0.5
-5.0
-10.0
Reference point
-15.0
Shear stress drop: 17 Mpa

-20.0 ǻt = 0.0022 s
Vx + Vx -25.0 0.135289 s
Y
-30.0
Vx (m/s) Shear direction
X Time t (sec)
Figure 8. Left: Development of Vx around the stress drop area. Vx — range = −0.4 to +0.4 m/s.
Right: Stress drop of 17 MPa. Remaining residual shear stress: −14.5 MPa.
5.3. Influence of the tunnel’s position with respect

to the weak (kakirite) zones
The influence of the tunnels position with respect to the weak rock layers on the lining’s
dynamic loading is shown in Fig. 9 by comparing the stresses in a liner segment of the EON
tunnel for Model_1 and Model_2. The liner segment for comparison is in the eastern invert
abutment. In Model_1 the EWN tunnel is sheltered by the eastern kakirite layer. In Model_2
the EWN is in front of the kakirite layer and is exposed to the arriving load wave form the
East (see Fig. 5). Negative stress denotes compression.
The liner’s concrete peak stresses occur at high frequencies and do not affect the struc-
ture. The computed liner stresses were therefore low-pass (LP) filtered at 60 Hz to obtain
the relevant stress peak for the proof of the liner’s bearing capacity. In case of Model_2 a
remaining compression of −1.3 MPa remains after impact. The damping effect of the eastern
kakirite layer in Model_1 is obvious.
5.4. Loading of the lining due to a stress drop in the vicinity of a tunnel
In addition to stresses and displacements the peak particle velocities (PV) were investigated.
This method is used in mines to specify impacts from rock bursts. The method used for
378
Concrete stress in liner (MPa)
Concrete stress in liner (MPa)

2 2
1 1 EWN
EWN
0 0
Kakirite zones Kakirite zone
0.0 0.1 0.2 0.3 0.4 0.5
-1 0.0 0.1 0.2 0.3 0.4 0.5 -1
unfiltered unfiltered
-2 -2 60 Hz LP filter
60 Hz LP filter
-3 -3
-4 -4
-5 -5
Time t (s) Time t (s)
Figure 9. Left: Concrete stresses (MPa) for Mod_1. Right: Concrete stresses (MPa) for Mod_2.
1000 1000
Particle Velocities PV (mm/s)
Particle Velocities PV (mm/s)

800
EON EON
800
600 600 Lining segment

Point near lining
400 400
stress drop stress drop
no stress drop no stress drop
200 200
0 0
0.0 0.1 0.2 0.3 0.4 0.5 0.0 0.1 0.2 0.3 0.4 0.5
Time t (s) Time t (s)
Figure 10. Left: PV of a point in the rock mass near the lining. Right: PV of the lining segment. With
and without stress drop.
calculation PV’s was:

PV = (Vx)2 + (Vy)2 (1)
The effect of the stress drop near the EON tunnel5 is visualized by comparing PV’s for the
cases with and without stress drop. The rock’s PV in a reference point (see Fig. 8) near the
eastern invert abutment of the EON tunnel is shown in Fig. 10. Figure 10 contains also the
PV’s for a liner segment near the reference point.
Between the tunnel’s support and the liner a sealing foil was mounted. This foil was sim-
ulated by means of a UDEC-interface. The interface properties specify the transmissivity of
the foil. The transimissivity affects the liners vibration behavior. This topic was especially
investigated. Figure 10 reveals the sealing foil’s effect on the lining’s vibrations. A stress drop
in the tunnel’s vicinity could give rise to partial damage of the final lining.
6. Conclusions
• During tunneling at great depth in geological conditions as encountered in the MFS
Faido micro tremors are likely to occur.
• The stress redistribution due to tunneling and the stress concentration in hard rock
in combination with a weak fault striking at small angle to the tunnel axis favors the
occurrence of micro tremors.
379
• The micro tremors did correlate with the excavation activities. After completion of
the excavation of the MFS Faido no more micro tremors occurred.
• A seismic wave is deviated by a weak zone. In the MFS Faido the steep dipping fault
caused deviation of the tremors’ seismic wave towards the tunnels.
• If a tunnel is located in front of a weak zone the impact of a more or less unhin-
dered seismic wave is considerably higher compared to the impact on a tunnel in the
‘shelter’ of a weak zone.
• Micro tremors can trigger stress drops.
• Excluding the loading due to a spontaneous ‘stress drop’ in the direct vicinity of a
tunnel there has been no need for improving (thickness, additional reinforcing) the
linings designed for the static load case in the MFS Faido.
• The assumption for the seismic design load is conservative. The case of a stress drop
in the vicinity of a tunnel has been accepted as a residual risk.
Acknowledgements
Amberg Engineering Ltd. is member of the Engineering JV Gotthard Base Tunnel South,
GBTS, consisting of: Pöyry Infra Ltd., Lombardi Engineering Ltd. and Amberg Engineering
Ltd. The authors thank the AlpTransit Gotthard for the permission to publish the paper.
References
1. Hagedorn, H., Rehbock-Sander, M., Flury, S. “Gotthard Base Tunnel: State of the works and Special
Aspects”, Proc. Int. Symposium on Construction and Operation of Long Tunnels, Taipei, Taiwan,
7. 10.11.2005, Vol. 2, pp. 961–973.
2. Rehbock-Sander, M., “Rock Bursts Experience gained in Mines and Deep Tunnels”, Proc. 4th Asian
Rock Mechanics Symposium (ARMS 2006), Singapore, 8.-10.11.2006, pp. 413.
3. ITASCA, UDEC – Manual, Theory and Background, Itasca Consulting Group, Inc. Minneapolis,
Minnesota, USA
4. Kaiser, P.K., Vasak, P., Suorinemi, F.T. and Thibodeau, D. (2005). New dimensions in seismic data
interpretation with 3-D virtual reality visualization in burst-prone ground, RaSiM6, Perth, Aus-
tralia, pp. 33–47.
5. Heuze, F.E., Morris, J.P., Insights into ground shock in jointed rocks and the response of structures
there-in, Int. Journal of Rock Mechanics & Mining Sciences 44 (2007) 647–676.
380
Discrete Modeling of Fluid Flow in Fractured Sedimentary Rocks
WU WEI, LI YONG AND MA GUOWEI∗

School of Civil and Environmental Engineering, Nanyang Technological University,
50 Nanyang Avenue, Singapore
1. Introduction
The hydro-mechanical properties of rock masses are sensitive to fluid flow, which has always
been a significant issue in rock engineering design and construction. Rock masses consist of
intact rock blocks and various kinds of discontinuities, such as joints, cracks, bedding planes,
etc. For low permeability rocks, the discontinuities always provide the major pathways for
fluid flow while the permeability of the intact rock blocks is generally very low.1 The strength
and deformation of the rocks affected by fluid flow are mainly due to the hydro-mechanical
properties of discontinuities and these behaviors are more pronounced in fine-grained sedi-
mentary rocks.2
The strength and deformation of rocks under the fluid effect was widely investigated in
experimental studies2–5 and numerical simulations.6–9 Euguler and Ulusay,2 Gutierrez et al.,3
Zhang et al.4 and Backstrom et al.5 recognized that the fluid had a remarkable influence on
the mechanical properties of rocks. Generally the presence of fluid reduced the compressive
strength and elastic modulus and affected the stress-strain behavior of rocks. However, rocks
from different origins may display diverse fluid sensitivity due to their physical properties
and chemical compositions. Indraratna et al.,6 Zhang and Sanderson,7 Min et al.8 and Bagh-
banan and Jing9 simulated the fluid flow through rock fractures using UDEC and particularly
concentrated on the permeability of rock masses with various flow rates, joint properties and
boundary conditions. However, there have been little discrete models generated by UDEC
concentrated on the hydro-mechanical properties of the sedimentary rocks and no experi-
ences to validate the realism of the model simulation.
A 3D geological model of a sedimentary strata, as shown in Fig. 1(a), presents that three
sedimentary formations are recognized for a concerned engineering site: a sand layer of
7 meters thickness below the seabed, a mixed sandy and silty clay layer of 42 meters thickness
and a 60-meter mixed layer of sandstone and siltstone at the bottom until 130 meters depth.
The concerned engineering site is located at the lower part of the sandstone and siltstone
layer, between 100 meters to 130 meters depth. At this range, the sedimentary rocks display
low permeability due to high density, low porosity and small apertures. The variable fracture
density and rock materials are governing factors that affect the mechanical properties of the
rocks under fluid flow condition. The objective of the study is to build a discrete model based
on the results of the laboratory testing and estimate how fluid flow influences the mechanical
properties of the sedimentary rocks.
2. Laboratory Testing of the Sedimentary Rocks
2.1. Rock specimen selection and sampling

Ten fully saturated rock specimens were extracted from referenced rock cores 1 and 2, which
were two parts of a typical rock boreholes located at the depth of concerned engineering site,

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0028 381
Sand Referenced rockcores

Clay
Concerned engineering site
Sand stone and siltstone
(a) (b)
Figure 1. (a) 3D geological model and concerned engineering site; (b) Sedimentary rock layers and
referenced rock cores.
as shown in Fig. 1(b). The specimens were divided into two groups based on the different
rock materials, sandstone and siltstone. The siltstone specimens appeared a higher fracture
density on the surfaces than sandstone specimens. The specimens, having a dimension of
50-mm-diameter and 100-mm-high, were manufactured and kept the fully saturated state
during the process.
2.2. Uniaxial compressive tests

The uniaxial compressive tests, based on the ISRM suggested method,10 were conducted on
the specimens by a computer-controlled, servo-hydraulic testing mechine having a maximum
loading capacity of 2.67 MN, which emphasize on the uniaxial compressive strength and
elastic modulus of the rock specimens. The specimen was applied a measured load in axial
direction continuously at a constant stress rate of 0.53 MPa/s such that the failure occurred
within 5–10 min of loading. A LVDT was installed near the specimen vertically to record
the axial deformation of the specimen. The stress-strain curves of four typical sandstone and
siltstone specimens are shown in Fig. 2(a).
3. Numerical Modeling of the Sedimentary Rocks

3.1. The universal distinct element code
The Universal Distinct Element Code is a two-dimensional numerical program based on the
distinct element method to simulate the behavior of discontinuous media under static and
dynamic loading.11 The discontinuous medium is represented as an assemblage of discrete
blocks, which display either rigid or deformable material, and the discontinuities are treated
as boundary conditions between blocks. The program is based on a ‘Lagrangian’ calcula-
tion scheme that is well-suited to perform the large movements and deformations of blocky
system, including the analysis of fluid flow through the fracture network of impermeability
blocks.
382
280 280
240 SA1 240 SA1
SA2 SA2
200 SI1 200 SI1
Stress/MPa
Stress/MPa
160 SI2 160 SI2
120 120
80 80
40 40
0 0
0 0.0014 0.0028 0.0042 0 0.0014 0.0028 0.0042
Strain Strain
(a) (b)
Figure 2. The stress-strain curves of the sedimentary rocks (1) Laboratory testing (2) Numerical mod-
eling.
3.2. The modeling of rock specimens

A preliminary model was firstly established in the same dimension as the specimen used in
the uniaxial compression test with known fractures and materials according to the specimen
surface. The mechanical parameters used in the modeling were listed in the Table 1. A series
of stochastic fractures was then introduced to the model with different fracture length and
density as listed in the first item of Table 2. The generation of discrete fracture network was
based on a stochastic representative elementary volume approach using the Monte Carlo
Simulation technique.1
For the first step of the numerical simulation, a steady fluid flow was applied to the frac-
tured rock specimen to make it become a fully saturated state. The left and right boundaries
of the model were set as impermeable. The steady flow was injected from the top of the
model, while the bottom was fixed and permeable. With sufficient calculation cycles, the
fluid flow filled in the fractures of the model. In the second step, the bottom became imper-
meable to simulate the undrained state of the rock specimen under uniaxial compression. An
axial velocity boundary was then applied on the top of the specimen and the stress-strain
relationship was calculated until rock failure.
4. Discussion
Figure 2(a) reveals that the fully saturated sandstone displays excellent strength and deforma-
bility with the increasing compressive loading and explodes into pieces at the failure point.
Table 1. Mechanical parameters of the UDEC model.

Mass Joint
Rock Density Elastic Shear Initial Residual Initial Residual
(103 kg/m3 ) modulus Modulus friction frictional aperture aperture
(GPa) (GPa) angle (◦ ) angle (◦ ) (mm) (mm)
Sandstone 2720 51 30 75 20
0.5 0.2
Siltstone 2742 40 24 65 15
383
Table 2. Numerical simulation results on the aperture and pore pressure of specimens under increasing
loading.
1. Effective 3. Pore
2. Variable aperture pattern
DFN pressure
0MPa 100MPa 200MPa 270MPa
SA1
SA2
SI1
SI2
• Note: SA: Sandstone, SI: siltstone.
Siltstone has a lower compressibility than sandstone due to the higher fluid sensitivity of pre-
existing fractures that induce shear failure under uniaxial compression. The fracture density
also has significant influence on the strength of both rock types. Generally the lower fracture
density, the less surface exposed to fluid, the higher rock material strength.
384
According to the results of numerical simulation, the stress-strain curves, as shown in

Fig. 2(b), are accordance with the results of laboratory testing. The joints at the center of
the specimen open, while those at the top and bottom close under the increasing compressive
loading. It is implied for the evolving procedure of joint hydraulic aperture as shown in the
second item of the Table 2. Moreover, the pore pressure along the joints distributes increas-
ingly in the vertical direction mainly due to the gravity effect, as plotted in the third item
of Table 2. It is also found that the strength of the joint rock specimens under the saturated
state decreases significantly with the increase of fracture density and the differences of rock
parameters is slight that can not affect the mechanical properties of the rocks seriously.
5. Conclusions
A discrete model that represented the stress-strain behaviors of saturated rock specimens
with the effect of rock materials and fracture density was established based on the results
of laboratory testing. It simulated the evolving procedure of joint hydraulic aperture and
the distribution of pore pressure and found fracture density had a more significant effect on
the mechanical properties of the sedimentary rocks than rock materials, because mechanical
parameters of the sandstone and siltstone have slight differences. However, the material effect
may be serious at the interface of sandstone and siltstone. In the future work the mechanical
behaviors at the interface under fluid flow effect shall be studied to make a better under-
standing on the hydro-mechanical properties of the sedimentary rocks.
References
1. Min, K.B., Jing, L.R. and Stephansson, O., “Determining the Equivalent Permeability Tensor for
Fractured Rock Masses Using a Stochastic REV Approach: Method and Application to the Field
Data from Sellafield, UK”, Hydrogeology Journal, 12, 2004, pp. 497–510.
2. Euguler, Z.A. and Ulusay, R., “Water-induced Variations in Mechanical Properties of Clay-bearing
Rocks”, International Journal of Rock Mechanics and Mining Sciences, 46, 2, 2009, pp. 355–370.
3. Gutierrez, M., Oino, L.E. and Hoeg, K., “The Effect of Fluid Content on the Mechanical Behaviour
of Fractures in Chalk”, Rock Mechanics and Rock Engineering, 33, 2, 2000, pp. 93–117.
4. Zhang, J., Standifird, W.B., Roegiers, J.C. and Zhang, Y., “Stress-dependent Fluid Flow and Perme-
ability in Fractured Media: from Lab Experiments to Engineering Applications”, Rock Mechanics
and Rock Engineering, 40, 2007, 3–21.
5. Backstrom, A., Antikainen, J., Backers, T., Feng, X.T., Jing, L.R., Kobayashi, A., Koyama, T., Pan,
P.Z., Rinne, M., Shen, B.T. and Hudson, J.A., “Numerical Modelling of Uniaxial Compressive
Failure of Granite with and without Saline Porewater”, International Journal of Rock Mechanics
and Mining Sciences, 45, 7, 2008, pp. 1126–1142.
6. Indraratna, B., Ranjith, P.G. and Gale, W., “Single Phase Water Flow through Rock Fractures”,
Geotechnical and Geological Engineering, 17, 2009, pp. 211–240.
7. Zhang, X. and Sanderson, D.J., “Anisotropic Features of Geometry and Permeability in Fractured
Rock Masses”, Engineering Geology, 40, 1995, pp. 65–75.
8. Min, K.B., Rutqvist, J., Tsang, C.F. and Jing, L.R., “Stress-dependent Permeability of Fractured
Rock Masses: a Numerical Study”, International Journal of Rock Mechanics and Mining Sciences,
41, 2004, pp. 1191–1210.
9. Baghbanan, A. and Jing, L.R., “Hydraulic Properties of Fractured Rock Masses with Correlated
Fracture Length and Aperture”, International Journal of Rock Mechanics and Mining Sciences,
44, 2007, pp. 704–719.
385
10. Ulusay. R. and Hudson, J.A., “Determining Uniaxial Compressive Strength and Deformability of
Rock Materials”, The Complete ISRM Suggested Methods for Rock Characterization, Testing and
Monitoring: 1974–2006, pp. 153–156.
11. ITASCA Consulting Group, Inc. (2006) UDEC-Universal Distinct Element Code, Version 4.0,
Vol. 1, 2 and 3, User’s Manual.
386
An Investigation of Numerical Damping for
Modeling of Impact
T. NISHIMURA∗
Tottori University
1. Introduction
When a falling rock block strikes the ground, the block does not bounce much. The block
loses the kinetic energy at impact. This energy loss can be simply represented by the coeffi-
cient of restitution for mass point motion. This unconservative phenomenon is often mod-
eled with the parallel placed spring-viscous dashpot system at contact point and the damp-
ing applies to the mass point or the centroid of the block a force which is proportional to
the velocity but in the opposite direction as well-known in the Distinct Element Method
(P.A. Cundall, 1971). This spring-dashpot system is often used for static problems as well as
dynamic problems.
For static problems, the critical damping coefficient is often adopted to absorb vibrations
due to initial or transient force imbalance and to demonstrate a static equilibrium state (if
it exists) with numerical stability. Dynamic problems, such as rockfall or rock avalanche
analysis, generally require less damping than static ones. Based on the equation of motion
for single mass-spring-dashpot system, Omachi et al. (1986) have derived a form of the
relation between the coefficient of restitution and the fraction of critical damping in the
normal direction. In the tangential direction, the same system can be introduced but the
selection of the damping coefficient can not be performed with certainty because the frictional
dissipation must be considered. The damping force is omitted if sliding occurs and for the
non-sliding, the closely related physical definition in the tangential direction, such as the
coefficient of restitution in the normal, does not exist. The value of the damping coefficient
in the tangential direction is often assumed referring to the value in the normal direction.
However, the tangential damping coefficient controls not only the energy loss but also the
tangential component of velocity when the mass point takes off from the contact plane. The
value of the tangential damping coefficient should be carefully selected.
Numerical damping for modeling of impact using the spring-dashpot system, especially in
the tangential direction of contact plane, is investigated. To control the take-off tangential
velocity component, the relation between the fractions of the critical damping coefficient in
the normal and the tangential is formulated. Numerical simulations on impact motion of
mass point to a plane are conducted using the time marching scheme for the equation of
motion. The result shows the dependency of the take-off direction on the fractions of critical
damping in the normal and the tangential. The formulation explains the dependency well
and can be used for the damping coefficient determination in the numerical schemes which
introduce the spring-dashpot system as well as in the distinct element analysis.
∗ Corresponding author. E-mail: tnishi@cv.tottori-u.ac.jp

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0036 387
2. Impact of a Mass Point to a Plane

2.1. Restitution of reflecting velocity to incoming velocity
The most common used definitions for the bouncing phenomenon are expressed in terms of
restitution of velocities:
vn,r vt,r
Ren = − Ret = (1)
vn,i vt,i
where v is the translational velocity, the subscripts n and t stand for normal and tangential,
and the subscripts i and r stand for incoming and reflecting (Fig. 1).
x3
vi vr
D1 D2
n
t
x1
o
Figure 1. Impact of a mass point to a plane.
The change in the momentum of the mass point is given as:
- tangential ft tc = m(vt,r − vt,i ) (2)

- normal fn tc = m(vn,r − vn,i) = −m(1 + Ren )vi cos α1 (3)
where m and tc are the mass and the duration of contact, fn , ft are the components of the
reaction force, vi is the impact velocity and α1 is the impact angle.
If the tangential component reaches the frictional resistance:
ft ft tc (vt,r − vt,i)
μ= = = (4)
fn fn tc −(1 + Ren )vi cos α1
where μ(= tan φ) is the coefficient of friction. Then Ret is given by:
vi ( sin α1 − μ(1 + Ren ) cos α1 )

Ret = = 1 − μ(1 + Ren ) cot α1 (5)
vi sin α1
For tan α1 = μ(1 + Ren ), Ret = 0, i.e. vt,r = 0, this means that the mass reflects in the
normal direction of the plane. For tan α1 < μ(1 + Ren ), Ret < 0, i.e. vt, r < 0, the direction
of the reflection is in the incoming side to the normal direction. However, this reflection
is unrealistic, the static friction angle φ is not fully mobilized so as to give vt, r > 0. For
tan α1 > μ(1 + Ren ), the friction angle must be fully mobilized, and then the value of Ret
exists in the range of 0 < Ret < 1.
388
2.2. Modeling of impact using spring-dashpot-slider system

The above unconservative contact is often represented by a set of spring-dashpot-slider sys-
tem as shown in Figure 2. The contact forces are related to displacements through the fol-
lowing equation in incremental manner:
fn = kn x3 ft = kt x1

(6)
dn = ηn ẋ3 dt = ηt ẋ1
where kn , kt are the normal and the tangential stiffness, and ηn , ηt are the damping coeffi-
cients in the normal and tangential directions. Here, the following conditions are introduced
to the above to explain no tension force and the frictional limit:
If fn < 0 set fn = 0, ft = 0 and dn = 0, dt = 0 (7)

If abs(ft ) > μfn set ft = μfn · sign(ft ), dt = 0 (8)
Block Block
kn Kn
Contact
kt
P
Kt
Figure 2. A set of spring-dashpot system with slider at contact point.
x3
2S
Tdn=
Zdn
Qe-E n t
vi
vr t
0 tc
contact
Figure 3. The damped response of the mass point in the normal direction.
389
The following differential equations express the motion of the mass for the duration of
contact:
mẍ1 + ηt ẋ1 + kt x1 = 0 (9)
mẍ3 + ηn ẋ3 + kn x3 = 0 (10)

The Eq. (10) will give the following response with the condition of x3 = 0 and ẋ3 = −vn, i at
t = 0:
vn,i
x3 = −e−βn t sin ωdn t (11)
ωdn

βn
ẋ3 = − cos ωdn t − sin ωdn t vn,i e−βn t (12)
ωdn

where ωdn = ω0n 2 − β 2 is the damped circular frequency, ω
n 0n = kn /m is the natural
circular frequency and 2βn = ηn /m. The duration of impact is given by:
π T
tc = = dn (13)
ωdn 2
where Tdn is the damped period.
At t = tc , the mass takes off from the plane, having the velocity in the normal direction:

βn π
vn,r = −vn,i exp − (14)
ωdn
The coefficient of restitution Ren will be given by:
⎛ ⎞

vn,r βn π ζ π
or Ren = exp ⎝− ⎠
n
Ren =− = exp − (15)
vn,i ωdn 1−ζ 2
n
where ζn is the fraction of critical damping in the normal direction and thisfraction is given
by ζn = ηn /η0n in which η0n is the critical damping coefficient and η0n = 2 mkn .
From the Eq. (9) with x1 = 0, ẋ1 = vt, i at t = 0:
vt,i
x1 = e−βt t sin ωdt t (16)
ωdt

βt
ẋ1 = cos ωdt t − sin ωdt t vt,i e−βt t (17)
ωdt
The take-off velocity in the tangential direction at t = tc :

ωdt βt ωdt βt π
ẋ1 |t= ω = cos
π π− sin π vt,i exp − (18)
dn ωdn ωdt ωdn ωdn
The restitution of velocity in the tangential for no-sliding contact is given by:

vt,r βt π ωdt βt ωdt
Ret = = exp − cos π− sin π
vt,i ⎛
ωdn⎞ ωdn ωdt ωdn
(19)
ζt kt ωdt βt ωdt
= Ren exp ⎝ ⎠ cos π− sin π
ζn kn ωdn ωdt ωdn
390
Once sliding occurs, Ret becomes as shown in (20):
Ret = 1 − μ (1 + Ren ) cot α1 (20)
As described in the first chapter, the take-off tangential velocity depends on the value of the
restitution coefficient when the friction angle is fully mobilized. When the friction angle is not
fully mobilized, the spring-dashpot system will explain the energy dissipation at the contact
point. The following condition is needed for Ret > 0 in Eq. (19):

ωdt βt ωdt
cos π − sin π >0 (21)
ωdn ωdt ωdn
According to the value of (ωdt /ωdn ), this inequality is rewritten as follows:

ωdt 1 βt ωdt
(a) for 0 ≤ < > tan π (22a)
ωdn 2 ωdt ωdn
1 ω
(b) for ≤ dt < 1 (Ret ≤ 0) (22b)
2 ωdn

ωdt 3 βt ωdt
(c) for 1 ≤ < < tan π (22c)
ωdn 2 ωdt ωdn
3 ω
(d) for ≤ dt < 2 Ret > 0 (22d)
2 ωdn
The relation between Ren and ζn is derived in Eq. (15). The above conditions are also
explained with ζn and ζt as shown below, e.g. for (a):

kt 1 − ζt2 1 1 − ζt2 kt 1 − ζt2

(a) for 0 ≤ < > tan π (21a’)
kn 1 − ζn2 2 ζt2 kn 1 − ζn2
where ζt is the fraction of critical damping in the tangential direction.
Table 1. Examination of (ζ n , ζ t ) for kt /kn =1 to determine the pairs which give Ret > 0.
(] ] ) p g
]n ]t
(a)0<Zds/Zdn<1/2 (b)1/2<Zds/Zdn<1 (c)1<Zds/Zdn<3/2 (d)3/2<Zds/Zdn<2 2 <Zds/Zdn
391

A pair value of (ζn , ζt ) is grouped into the four ranges by the value of kt /kn
(1 − ζt2 )/(1 − ζn2 ) and is examined with the following function:

1 − ζt2 kt 1 − ζt2
f (ζn ,ζt ) = − tan π (22)
ζt2 kn 1 − ζn2
Table 1 shows an example of the value of f (ζn , ζt ) for kt /kn = 1 with the interval of 0.05
of (ζn , ζt ). In the table, the figures written in italic mean that the pairs of (ζn , ζt ) satisfy the
inequality in Eq. (21).
3. Simulation for Impact of a Mass Point to a Plane

Simulations for impact of a mass point were carried out as shown in Figure 1. In the sim-
ulation, a mass point impacts with the incident angle α1 = 30◦ and the impact velocity
vi = 10.0 m/s. The movement of the mass during the contact is simulated using the time
marching scheme for the equation of motion as described in the Section 2.2. The time step is
t = 1.0 × 10−4 s and the gravitation is not considered.
Figure 4 shows the movement profiles during contact for kn = kt = 10 MN/m (kt /kn = 1)
and φ = 90◦ , i.e. slip never occur during contact and the natural period is the same in both
the normal and tangential direction. The mass point impacts the plane x3 = 0 at x1 = 0.
Two movement profiles for the two values of ζn with the value of ζt = 0.15 are displayed in
the figure. For ζn = 0.75, the take-off direction of the mass point is in the opposite side of
the incoming side, for ζn = 0.70, the direction is in the incoming side.
Figures 5 and 6 show the changes in the velocity components and x3 coordinate (normal
direction of the plane) during the contact shown in Figure 4. For ζn = 0.70 in Figure 5,
the mass leaves from the plane at t = 0.033 s with vt,r < 0 and, after taking off, the mass
flew with the constant velocity. In Figure 6, the mass reflects having vt,r > 0 after the longer
contact period than the case of ζn = 0.70. The contact period depends on the damped period
2π/ωdn and the ratio of ωdt /ωdn is the governing parameter of the reflecting direction as
described in the Chapter 2.
㩷]n =0.70㪃㩷] t㪔0.15, I=90° and kt/kn=1.0

㩷] n =0.75㪃㩷] t㪔0.15, I=90° and kt/kn=1.0
Flight
㪇㪅㪇㪇㪌
Impact
㪇 Surface
㪄㪇㪅㪇㪇㪌
x3 (m)
㪄㪇㪅㪇㪈
㪄㪇㪅㪇㪈㪌
㪄㪇㪅㪇㪉
㪄㪇㪅㪇㪉㪌
㪄㪇㪅㪇㪊
㪄㪇㪅㪇㪊㪄㪇㪅㪇㪉㪄㪇㪅㪇㪈㪇㪇㪅㪇㪈㪇㪅㪇㪉㪇㪅㪇㪊
x1 (m)
Figure 4. Movement profiles during contact for kt /kn = 1 with non-sliding.
392
] n=0.70㪃㩷] t㪔0.15, I=90° and kt /kn=1.0

㪍
㪇㪅㪇㪉
㪋 vt
vn, vt (m/s) 㪉㪇㪅㪇㪈
㪇㪇
㪇㪇㪅㪇㪈㪇㪅㪇㪉㪇㪅㪇㪊㪇㪅㪇㪋
㪄㪉
x3 (m)
Time (s) 㪄㪇㪅㪇㪈
㪄㪋
vn
㪄㪇㪅㪇㪉
㪄㪍
㪄㪇㪅㪇㪊
㪄㪏 x3
㪄㪇㪅㪇㪋
㪄㪈㪇
㪄㪇㪅㪇㪌
Figure 5. Changes in velocity components and x3 coordinate for the case of vt,r < 0 as shown in
Figure 4.
] n =0.75㪃㩷] t㪔0.15, I=90° and kt /kn=1.0

㪍
㪇㪅㪇㪉
㪋 vt
㪉㪇㪅㪇㪈
vn, vt (m/s)
㪇㪇
㪇㪇㪅㪇㪈㪇㪅㪇㪉㪇㪅㪇㪊㪇㪅㪇㪋
㪄㪉 vn Time (s) 㪄㪇㪅㪇㪈
x3 (m)
㪄㪋
㪄㪇㪅㪇㪉
㪄㪍
㪄㪇㪅㪇㪊
㪄㪏 x3
㪄㪇㪅㪇㪋
㪄㪈㪇
㪄㪇㪅㪇㪌
Figure 6. Changes in velocity components and x3 coordinate for the case of vt,r > 0 as shown in
Figure 4.
Figure 7 shows the case of (ζn , ζt ) = (0.36,0.36) for kn = 10 MN/m,kt =1 MN/m (kt /kn =
0.1) and φ = 90◦ , i.e. the natural period of the tangential direction is longer than the period
of the normal. The mass leaves from the plane at t=0.025s with vt,r > 0. This is the case
grouped (a) in which the tangential velocity decrease with the effect of the dashpot but the
mass point takes off from the plane before the tangential velocity becomes negative. These
simulations support the condition written in the Chapter 2 to evaluate the reflecting direction
and to remove the conditions of the reverse-reflection.
4. Conclusions
When we introduce this consideration into the modelling using a rigid body in which the
block has its own shape and volume, the effect of the consideration is sometimes invisible.
393
] n =0.36㪃㩷] t㪔0.36, I=90° and kt /kn=0.1

㪍 vt
㪋㪇㪅㪇㪉
vn, vt(m/s) 㪉㪇㪅㪇㪈
㪇㪇
㪇㪇㪅㪇㪇㪌㪇㪅㪇㪈㪇㪅㪇㪈㪌㪇㪅㪇㪉㪇㪅㪇㪉㪌
㪄㪉
x3 (m)
Time (s) 㪄㪇㪅㪇㪈
㪄㪋
vn
㪄㪇㪅㪇㪉
㪄㪍
㪄㪇㪅㪇㪊
㪄㪏 x3
㪄㪇㪅㪇㪋
㪄㪈㪇
㪄㪇㪅㪇㪌
Figure 7. Changes in velocity components and x3 coordinate for the case of vt,r > 0.
This is because not only the translational motion but also the rotational motion must be for-
mulated in the rigid body simulation. The equations of motion are formulated at the position
of the geometrical centroid but not at the contact point where the spring-dashpot system is
placed. A reverse reflection could also occur depending on the position of the contact point(s)
to the centroid. However, this consideration will not reduce the effect. Each force at the con-
tact points must be evaluated with a model which does not reproduce unrealistic responses
such as the reverse reflection as shown in Figure 4. The reflecting direction of the mass point
or the block depends on the fraction of critical damping. The following conclusions are
deduced from the theoretical results:
• The restitution of velocity in the tangential direction for non-sliding contact is for-
mulated with using the restitution coefficient.
• The restitution of velocity in the tangential direction using the spring-dashpot system
is formulated with the damped circular frequency.
• When using the spring-dashpot system for the impact problem of mass point, the sys-
tem produces the reverse-reflecting in the tangential direction depending on the ratio
of the damped circular frequency. The condition producing the reflection was inves-
tigated and removed with the consideration to the ratio of the tangential damped
circular frequency to the normal one.
Acknowledgements
This work is partly supported by Japanese Society for the Promotion of Sciences (JSPS),
Grant-in-Aid for Science Research, No.20260462.
References
1. Cundall, P.A., A computer model for simulating progressive, large-scale movements in blocky rock
systems”, Symposium on Rock Mechanics, Nancy, Vol. 2, 1971, pp. 129–136.
2. Omachi, T. and Arai, Y: How to determine mechanical properties for Distinct Element Method,
Journal of Structural Engineering, JSCE, Vol. 32A, 1986, pp. 715–723.
394
Development of Modified RBSM for Rock Mechanics Using
Principle of Hybrid-type Virtual Work
N. TAKEUCHI1,∗ , Y. TAJIRI2 AND E. HAMASAKI3

1 Department of Mechanical Engineering, Hosei University, Japan
2 Graduate School of Art and Technology, Hosei University, Japan.
3 Advantechnology Co.,Ltd., Japan.
1. Introduction
The Rigid-Bodies Spring Model (RBSM) is a generalized model for discrete limit analysis, and
assumes a rigid displacement field.1 This model was applied to the non-linear problem such
as the metallic material at first, but it came to be applied to a discrete limit analysis about the
soil and rock foundation. Since this model assumes rigid displacement field, it can evaluate
neither the stress in each element, nor element deformation. On the other hand, authors
developed the Hybrid-type Penalty Method (HPM) which assumes the linear displacement
field using the principle of hybrid type virtual work (PHVW).2, 3 The HPM is based on the
discontinuous Galerkin (dG) method,4, 5 and applies the concept of the spring of RBSM in
Lagrange multiplier.
First, in this paper, we describe the method of computing the stress in each element in
RBSM by applying the rigid displacement field to the displacement field of this HPM. Then,
we propose new numerical model which improves the rigid displacement of RBSM using
PHVW. Finally, we apply this model to simple problem, and examine the accuracy of the
solution of the proposed method.
2. Hybrid-Type Virtual Work and Discretization Equation

2.1. Hybrid-Type virtual work (weak form)
Let ⊂ Rndim , with (1 ≤ nndim ≤ 3), be the reference configuration of a continuum body
with smooth boundary : = ∂ and closure :¯ = ∪ ∂. Here Rndim is the ndim dimensional
Euclidean space. The local form of the equilibrium equation for a deformable body is as
follows:
divσ + b = 0 in (σ = t σ ) (1)
where b is the body force per unit volume, σ is the Cauchy stress tensor respectively. u is
a displacement field of particles with reference position x ∈ and denote the infinitesimal
strain tensor by
1
ε = ∇ s u: = {∇u + t (∇u)} (2)
2
where ∇ := (∂/∂xi )ei is the differential vector operator, ∇ s shows the symmetry part of ∇.
In what follows, we assume that the boundary = u ∪ σ ( = u ∪ σ ,u ∩ σ = ∅). Here
u := ∂u ⊂ ∂ where displacement are prescribed and σ := ∂σ ⊂ ∂ where tractions t
∗ Corresponding author. E-mail: takeuchi@hosei.ac.jp

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0037 395
:= σ n are prescribed as
n|u = u (given) (3)

σ |σ n̂ = t̂ (given) (4)
Here n̂ is the field normal to the boundary σ . The constitutive equation to the elastic body
is provided as follows by the use of the elasticity tensor D.
σ = D:ε (5)
Let consist of M sub-domains (e) ⊂ with the closed boundary (e) : = ∂(e) as shown in
Fig. 1(a). That is = ∪M
e=1 , here ∩
(e) (r) (q) = 0 (r
= q).
(a) Sub-domain (b) Common boundary of

sub-domain and
Figure 1. Sub-domain and its common boundary.
We denoted by <ab> the common boundary for two subdomain (a) and (b) adjoined as
shown in Fig. 1(b), and which is defining as <ab> : = (a) ∩ (b) . The relation for ũ(a) and
ũ(b) are following:
ũ(a) = ũ(b) on <ab> (6)
They are the displacements on <ab> that is intersection boundary in (a) and (b) sub-
domain. It introduces this subsidiary condition into the framework of the variational equa-
tion with Lagrange multipliers λ as follows:

Hab def
= δ λ · (ũ(a) − ũ(b) )dS (7)
<ab>
where δ( • ) shows the variation of ( • ). Physical meaning of the Lagrange multiplier λ is equal
to the surface force on the intersection boundary <ab> .
As described above, the hybrid type virtual work equation is as follows about M subdo-
main and N intersection boundary:
M

σ :grad∂u dV − f · ∂udV − t · ∂udS
e=1 (e) (e) (e)
N

− ∂ λ · ũ(a) − ũ(b) dS = 0 ∀∂u∈V (8)
s=1 <s>
396
2.2. Discretization equation for HPM

Compatibility of the displacement on the intersection boundary is approximately introduced
using the penalty as a spring constant. Therefore, the displacement filed can be assumed for
each element without restraining by the condition of compatibility. So, we assume the linear
displacement field u(e) with rigid displacement and rotation d(e) and constant strain ε(e) in
each sub-domain (e) as follows:
(e)
u(e) = N d d(e) + N (e)
ε ε
(e)
(9)
Since it has the meaning that Lagrange multiplier λ is the surface force on the boundary
<ab> in sub-domain (a) and (b) , the surface force is defined as follows:
λ<ab> = k · δ <ab> (10)
Here, δ <ab> shows relative displacement on the sub-domain boundary <ab> , and it is shown
in two dimensional problems as follows:

λn<ab> kn 0 δn<ab>
= (11)
λt<ab> 0 kt δt<ab>
where, δn<ab> , δt<ab> are relative displacement in the normal and the tangential direction to
the sub-domain boundary <ab> . Similarly, λn<ab> , λt<ab> are Lagrange multipliers in the
normal and tangential direction of the surface forces. The HPM can be described as follows
by penalty function p use as coefficient k.
kn = kt = p (12)
The following discretization equations are obtained by substituting Eqs. (9) and (10) for Eq.
(8).
M
N M

t
δU (e) K (e) U (e) + (δU <s> K <s> U <s> ) = t
δU (e) P(e) (13)
e=1 s=1 e=1

(e) t (e) (e) (e) (e) t (e) t (e) t
K = B D B d, P = N f d + N t̂d,K <s> = B<s> kB<s> d
(e) (e) σ <s>
ε(e) = B U ,δ <ab> = B<ab> U <ab>
(e) (e)
where U (e) is the degree of freedom concerning the sub-domain (e) and U <ab> is the degree
of freedom of the sub-domain boundary <ab> . Since virtual displacement δU is arbitrary,
we obtain the following discretized equations.
KU = P (14)

M
N
M
K= K (e) + K <s> , P = P(e)
e=1 s=1 e=1
When U of Eq. (14) is represented in d and ε, the discretization equation is as follows in

matrix form:

K dd K dε d Pd
= (15)
K εd K εε + D ε Pε
The discretization equation of this model becomes a simultaneous linear equation shown in
Equation (14).
397
3. HPM and RBSM

Equation (15) shows the discretization equation of HPM with linear displacement field by
matrix form. On the other hand, RBSM assumes rigid displacement field as follows:
(e)
u(e) = N d d(e) (16)
If these relations are applied to formulation of above-mentioned HPM, Eq. (15) is as follows:
K dd d = Pd (17)
The detailed descriptions of this equation are as follows:

<sa sa > <sa sb > ⎧ ⎫

N K dd K dd N ⎨P(sa ) ⎬

d(sa ) d
<s sa > <s sb > = (18)
K dd b K dd b d(sb ) ⎩P(sb ) ⎭
n=1 s=1 d
Here, the coefficient matrix is as follows:

<ab> t (a) (b)
kdd = N d kBd d (19)
<ab>
In HPM, k of (19) means a penalty function assumed in Equation (10) and (12). On the
other hand, in RBSM, k is supposed to be a spring constant as shown in Fig. 2, and, in the
two dimensional case, it is defined as follows:

λn kn 0 δn
= (20)
λs 0 ks δs
Here, in the case of a plane strain, kn , ks are as follow:
(1 − ν)E E
kn = , ks = (21)
(1 − 2ν)(1 + ν)(h1 + h2 ) (1 + ν)(h1 + h2 )
E is elastic modulus, ν is Poisson’s ratio and h1 , h2 is height of perpendicular line given to the
intersection boundary from the center of figure of each element. When this spring constant is
used, Equation (17) accords with a discretization equation of RBSM[1].
4 P"
P v 6 kn
v 2 P'
u
1 ks
u s
5
3
before deformation after deformation
Figure 2. Rigid bodies-spring model.
398
4. Modified RBSM
4.1. Stress within element of RBSM
The relation of Eq. (15) can also be written as follows:
K dd d = Pd − K dε ε (22)
Dε = Pε − (K εd d + K εε ε) (23)
The discretization equation of RBSM is the same as the case of ε = 0 of equation (22). Thus,
RBSM is the first order approximation of HPM which assumed the rigid displacement field.
On the other hand, although Eqs. (22) and (23) are simultaneous equations, in this paper,
Eqs. (22) and (23) are solved iteratively. As a result, the approximate stress within an element
is obtained by using the rigid displacement which is the solution to equation (17).
Dε = Pε − K εd d (24)
As shown in Fig. 3, Equation (24) is expanded by making into an example element (1) and
element (2)–(4) which adjoins it. At this time, the integration about the intersection boundary
of a focused element (1) is related only to adjoining element (2)–(4), and it becomes indepen-
dent on simultaneous equations with other elements. A part of Equation (24) to this example
is expressed as follows:
⎡ ⎤⎧ ⎫
.. ⎪ .. ⎪
⎢ . ⎥⎪⎪
⎪ . ⎪
⎪
⎢ A(1) D(1) ⎥⎪ (1) ⎪
⎪
⎢ 0 ⎥⎪⎪
⎪ ε ⎪
⎪
⎢ (2) D(2) ⎥ ⎨ (2) ⎪ ⎬
⎢ A ⎥ ε
⎢ ⎥
⎢ A(3) D(3) ⎥⎪ ε(3) ⎪
⎢ ⎥⎪⎪
⎪
⎪
⎪
⎢ 0 A (4) D (4) ⎥⎪⎪ ε(4) ⎪ ⎪
⎪
⎣ ⎦⎪ ⎪
.. ⎪ ⎩ .. ⎪ ⎭
. .
⎧ ⎫ ⎡ ⎤⎧ ⎫
⎪
⎪ .. ⎪⎪ .. ⎪ .
⎪ . ⎪
⎪ ⎪ ⎢ . ⎥ ⎪ .. ⎪
⎪ ⎪
⎪
⎪
⎪ (1) ⎪
⎪ ⎢ 0 3k(1,1) k(1,2) k(1,3) k(1,4) 0 ⎥ ⎪ ⎪ ⎪
⎪
⎪
⎪ P ⎪
⎪ ⎢ ε ε ε ε ⎥ ⎪
⎪d ⎪
(1) ⎪
⎪ ε ⎪
⎨ (2) ⎬ ⎢ (1,2) (2,2) ⎥⎨⎪ ⎪
⎬
Pε ⎢ kε kε ⎥ d(2)
= −⎢ ⎥ (25)
⎪
⎪ Pε ⎪
(3)
⎪ ⎢ (1,3)
kε (3,3)
kε ⎥⎪⎪d(3) ⎪⎪
⎪
⎪ ⎪
⎪ ⎢ ⎥ ⎪
⎪ ⎪
⎪
⎪
⎪
(4) ⎪ ⎢ k(1,4) k(4,4) ⎥⎪ d ⎪
⎪P ε ⎪
⎪ ⎪ ⎣
⎪ ε ε ⎦⎪⎪ (4)
⎪ .. ⎪
⎪
⎪
⎪ .
⎩ . ⎭ ⎪ .. ⎩ ⎭
. . .
(4) (3)
(1)
(2)
Figure 3. Element (1) and adjoining element (2)–(4).
399
Here, A(e) expresses the area of the e-th element. A(e) D(e) in Eq. (25) is independent for
each element, and the equation about the Eq. (1) element is expressed as follows.

(1,1) (1) (1,2) (2) (1,3) (3) (1,4) (4)
A(1) D(1) ε(1) = P(1)
ε − 3k εd
d + kεd
d + k εd
d + k εd
d (26)
The right side is the force that multiplied stress in the element by an element area and the
left side means force in the element by the surface force in the intersection boundary. Stress
in the element is calculated approximately by these forces being balanced.
4.2. Development of modified RBSM using iterative algorithm

This stress in the element is calculated by a rigid body displacement solved in defiance of a
strain in Equation (22). In other words, a rigid body displacement is not improved by this
method. Therefore a strain solved from Equation (26) is substituted for Equation (22), and
a solution is improved iteratively by computing again.
K dd dn+1 = Pd − K dε εn (27)
Here, n is the iteration number of times and is assumed n = 1 in this paper. However, by the
step of the iteration, a penalty function is used as a spring constant.
5.1. Plate with a circle hole
Figure 4 shows the numerical modelling for plate with a hole acting tensile force.
Figure 4. Numerical model and material properties for plate with a hole.
(a) modified RBSM (b) HPM (linear) (c) HPM (quadratic)
Figure 5. vonMises stress distribution.
400
B
RBSM Modified RBSM
(a) displacement at Point A and B (b) displacement mode
Figure 6. Displacement.
Stress distribution of vonMises is shown in Fig. 5. Figure 5(a) is a solution by proposed

method. Figure 5(b) is a solution by HPM with the linear displacement field, and the Fig. 5(c)
assumed quadratic displacement field. The solution of HPM with linear displacement field
accords with a solution by the constant strain element in the FEM (CST). The maximum
stress occurred in element (a red part) of the hole upper part. The difference of the stress of
present method (1.717 kN/mm2 ) and HPM (quadratic) (1.778 kN/mm2 ) was about 3.5%.
The distribution state of the stress shows an approximately similar tendency in this method
and HPM.
Figure 6 shows the displacement mode and Table 1 shows the displacement value at point
A and B. The difference of modified RBSM and HPM (linear) & FEM (CST) was a little
less than 2%. In the Fig. 6(b), it is comparison in displacement mode of RBSM and modified
RBSM. Because RBSM is rigid displacement field, an unnatural gap occurs between elements,
but it is canceled in modification RBSM.
Table 1. Displacement at Point A and Point B.

Method Point A Point B
Modified RBSM 0.292 0.521

RBSM 0.316 0.541
HPM (linear) & CST 0.287 0.512
HPM (quadratic) 0.310 0.532
150N 150N
P/2 P/2
(h=200mm)
h/2 h h h h/2 h
(a) numerical model (b) mesh division (1487 elements )
Figure 7. Non-reinforced concrete beam.
401
(a) modified RBSM (b) HPM (quadratic)
Figure 8. vonMISE stress distribution.
(a) modified RBSM (b) HPM
Figure 9. Displacement mode.
5.2. Non-reinforce concrete beam

Figure 7 shows the numerical model for non-reinforced concrete beam subjected two-point
loading. Figure 7(a) shows numerical modelling, and a Fig. 7(b) expresses mesh division.
VonMises stress is shown in Fig. 8. Figure 8(a) is a solution by modified RBSM, and
Fig. 8(b) is a solution by HPM (quadratic). The ranks of the color contour lines are unified
with both.
Distribution of a contour differs a little at loading and supporting point because processing
of the load and support condition differ by RBSM and HPM. The stress of modified RBSM
in the bottom edge of the central part of the span is 2.34MPa, and the stress of HPM is
2.29MPa and is about 2.2% of difference.
Table 2. vonMises stress and deflection at center of span.
Method σmises (MPa) δ(mm ×10−3 )
Modified RBSM 2.34 4.60

RBSM 2.34 4.76
HPM (linear) & CST 2.38 4.22
HPM (quadratic) 2.29 4.46
About the deflection of the central part of the span, the difference of modified RBSM and
HPM (quadratic) is about 3%. These values are shown in Table 2.
402
6. Conclusions
In formulation of RBSM, surface force in the intersection boundary was developed by the
dynamics of the spring having a physical meaning. However, when the rigid displacement
field was applied in the formulation of HPM based on the PHVW, it was shown that the
completely same discretization equation as original RBSM is obtained. That is, RBSM can
be considered with a special case of HPM having rigid displacement field.
In this process, relations of strain in the element and rigid displacement can be obtained.
The method to calculate stress in the element with these relations was proposed, and the
accuracy of the solution was verified with a simple numerical examples. As a result, the good
approximate value was able to be calculated.
Furthermore, modified RBSM which improved the accuracy of the rigid displacement by
the iterative processing was proposed. The displacement by this method became the value
that was near to HPM with quadratic displacement field.
The proposed method uses a result obtained by discrete limit analysis with RBSM, and the
application to other technique such as DEM is possible.
References
1. Kawai, T., “New element models in discrete structural analysis”, Journal of the Society of Naval
Architects of Japan, 114, 1977, 1867–193.
2. Takeuchi, N., Ohki, H., Kambayashi, A. and Kusabuka, M., “Material nonlinear analysis
by using discrete model applied penalty method in hybrid displacement model”, Transactions
of JSCES, Paper No 20010002, 2001, 52–62. (http://www.jstage.jst.go.jp/article/jsces/2001/0/
20010002/_pdf/-char/ja/)
3. Ohki, H. and Takeuchi, N., “Upper and low bound solution with hybrid-type penalty method”,
Transactions of JSCES, No. 20060020, 2006, 1–10. (http://www.jstage.jst.go.jp/article/jsces/
2006/0/20060020/_pdf/-char/ja/)
4. Amold, D.N., Brezzi, F. Cockburn, B., and Marini, L.D., “Unified analysis of discontinu-
ous Galerkin methods for elliptic problems”, SIAM Journal on Numerical Analysis, 39, 5,
2002, 1749–1779.
5. Mergheim, J., Kuhl, E. and Steinmann, P., “A hybrid discontinuous Galerkin/interface method for
the computational modeling of failure”, Communications in Numerical Methods in Engineering,
20, 2004, 511–519.
403
High Rock Slope Stability Analysis Using the Meshless Shepard
and Least Squares Method
X. ZHUANG1,2,∗ , H.H. ZHU1 AND Y.C. CAI1

1 Key Laboratory of Geotechnical and Underground Engineering of Ministry of Education,
Department of Geotechnical Engineering, Tongji University, Shanghai, 200092, China
2 The School of Engineering and Computing Science, Durham University,
South Road, Durham, DH1 3LE, United Kingdom
1. Introduction
The evaluation of safety factors of potential slip surface is always an important but not
well addressed topic in rock slope stability analysis. There are two problems need to be
addressed, namely, how to properly model the influence of discontinuities on stress state the
slip surface and how to evaluate the safety factors. Conventional methods usually introduce
assumptions on internal forces for specific failure modes, e.g., balances of force or moment
in a circular mode for a heavily fractured slope or in a wedge mode for blocky rock system.
However, a substantial rock slope is rarely ideal or as simple as assumed due to varying posi-
tions, shapes, orientations and complex spatial spreading and cross link of joints. Finding
the proper assumptions of internal forces becomes difficult and an improper characteriza-
tion of internal forces will result in predictions deviating potentially dangerously. Numerical
methods fare a little better, for example the strength reduction method has been widely used
and is free of any assumption of internal forces according to the failure mode. This method
is associated with the finite element approaches but also has been applied to discontinu-
ous approaches such as the discrete element method (DEM) and discontinuous deformation
analysis (DDA). However, this method changes the mechanical and physical properties of the
geo-material during the analysis can make the final state of the material totally different from
its true and original state. Besides, the need for nonlinear analysis can significantly increase
the computational cost and requires robust software.
A meshless method to analyze rock slope stability based on a meshless model is described
in this paper. The meshless Shepard least squares (MSLS) method is used to model the dis-
continuous stress field near the joints and the stress results are used to evaluate the safety
factor of potential slip surface. There is no assumption on the internal forces as in analytical
methods and no requirement for non-linear analysis in the strength reduction method. Details
are provided of meshless simulation of jointed rock and determination of safety factor. In the
end, the method described here is used to analyze a high rock slope on the left bank of Yalong
River where the junction of Jinping hydropower station is located. The results obtained by
the present method are compared with analytical methods showing the implementation effec-
tively to model the influence joints on potential slip surface and to evaluate the safety factor.
They also show the present method outperforms the conventional methods in modelling the
effects of supporting structure on the slope stability.
∗ Corresponding author. E-mail: xiao-ying.zhuang@dur.ac.uk

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0044 405
Figure 1. An arbitrary analysis domain.
2. The Stress Analysis of Jointed Rock by the MSLS Method

Consider a block of rock with some discontinuities as a problem domain shown in Fig. 1. A
meshless model can be built by discretising the domain into a set of N scattered nodes. Take
an arbitrary node from these nodes, node i, for example, its support domain i is defined
by a circle of radius dmi as shown in Figure 1 and any point inside i is influenced by the
node I, and the superscript or subscript i indicates the node index {i = 1,2, . . . ,N}. The intact
part of rock and the joint are separately modelled in the MSLS method. The intact part of
rock is modelled as continuum and the discontinuous stress field near the joint is captured by
the jump of displacement interpolations. Here, the visibility criterion1 is used for the jump
function. For example, the support domain of node j and k are cut by the joint as shown in
Figure 1 and only the parts light gray parts are used for displacement interpolation.
To get the displacement interpolation over the domain, the local approximation at each
node is firstly constructed. If the distance between a node and node i is less than dmi , the
node is selected to construct the local approximation at node i. Suppose M selected for node
i, then the local approximation is given by

M
uLi (x) = ¯ iu
¯ i (x)uJ = (1)
J
J=1
where
¯ i (x) = [i (x) − i (xi ), · · · , 1 + i (x) − i (xi ), · · · ,i (x) − i (xi )]
(2)
1 1 i i M M
and

m
iJ (x) = pj (x)(A−1 B)jJ = (3)
j=1
are the shape function of supporting nodes obtained by a standard least squares approach.2
The subscript J is the index of supporting nodes and {J = 1,2, . . . ,M}, pj (x) is a monomial
406
in the polynomial basis function p(x) = [1,x,y,xy]T and m are the number basis, e.g., m = 4
for the bilinear basis in two dimensions. A and B are

B = PT = p(x1 ) p(x2 ) · · · p(xM )
⎡ ⎤
1 1 ··· 1
⎢x1 x2 · · · xM ⎥ (4)
⎢ ⎥
= ⎢y1 y2 · · · xM ⎥
⎣ ⎦
.. .. .. ..
. . . .
and
A = PT P (5)
respectively. With the local approximation defined, the displacement at any point x inside the
domain is the partition of unity (PU) of local approximations of all supporting nodes at x

n
u(x) = φi0 (x)uLi (x) (6)
i=1
Here, the Shepard shape function is used as the PU function that
wi (x)
φi0 (x) = (7)

n
wi (x)
i=1
and n is the number of nodes containing x within the support domains and wi (x) is the weight
function defined at node i. The weight function used here is a singular function3
⎧ 2
⎪
⎨ dmi cos2 πdi , d ≤ d
i mi
wi (x) = di2 + ε 2dmi (8)
⎪
⎩
0 di > dmi
where dmi is the radius of nodal support, di is the distance between the point of interest and
node i and ε is a small value parameter to least the a zero value in denominator in Equation 1
and here ε = 1e − 10 is used in analysis. The use of this singular weight functions makes the
PU functions satisfying the delta property so that the prescribed displacement can applied
directly as in the FEM.
The MSLS method is a new kind of meshless method, which removes the difficulty in
applying the essential boundary conditions that appeared in many of the meshless methods
based on the moving least squares (MLS) approximations. It possesses the delta property
and preserves the completeness of the field up to the order of the basis. The proof of these
properties and the choice of support radius dmi can be referred to Ref. 2. In the following
sections, we apply the MSLS method in analyzing rock slope stability.
407
3. Determination of Safety Factors and Implementations

The safety factor is calculated by

(c + σn tan φ) dl
l
F= (9)
τn dl
l
as a result of the resistant force over sliding forces along the sliding surface of length l in two
dimensions, where σn and τn are the normal stress and shear stress, φ and c are the frictional
angle and cohesion of the material.4 The slope stability analysis follows these steps. Firstly,
the stress field of a rock slope containing discontinuous stress around joint are analyzed.
Secondly, the stress results along the potential sliding surfaces needed to compute the safety
factor are recovered using a proper stress recovery method. Then, the sliding force and resis-
tant force along the sliding surfaces are obtained using a certain integration scheme and the
safety factor is calculated using Equation 8. The Mohr-Coulumn failure criterion is used in
the case study while other failure criterions such as Tresca or tensile failure may also be used.
4. A Case Study on a High Rock Slope at Jinping Hydropower Station

In this section, the method described in this paper is used to analyze a high rock slope on
the left bank of Yalong River, where the junction of Jingping hydropower station is located.
The cross section taken for analysis in 2D is shown in Fig. 2. The dashed curve shows the
natural slope before excavation and the solid line shows the slope profile after excavation.
Two potential sliding modes, mode A and mode B are predicted in 5 based on the analysis of
spatial spreading and cross link of joints and the most unfavourable combinations of joints.
According to the design scheme in 5, anchors and nails as supporting structures need to be
installed during excavation and are shown as several sets of parallel slant lines in Fig. 2. The
(a) Division of slices of sliding mode A (b) Division of slices of sliding mode B
Figure 2. The cross section of the slope on the left bank of Yalong River taken for analysis.
408
safety factors of the slope with and without supporting structures are evaluated respectively
for each of the two modes using the method described here and are also compared with the
results in 5 of two slice methods, namely, Sarma method and unbalanced thrust method.
Figure 3. The meshless model of the slope on the left bank of Yalong River.
Figure 4. Contour plot of maximum principle stress σ1 of the slope by the MSLS method (kPa).
4.1. Sliding mode A

The predicted sliding surface of mode A is shown as a thick black curve in Fig. 2(a). A
meshless model is built accordingly as shown in Fig. 3. Figure 4 shows the stress results by the
MSLS method indicating high gradient of stress near the joints. The maximum tensile stress
409
Table 1. The material parameters of slices (mode A).

Index of slices 1 2 3 4 5 6 7 8
Along the cohesion (KPa) 20 20 20 20 20 20 20 20

sliding surface frictional angle (◦ ) 16.7 16.7 16.7 16.7 16.7 16.7 16.7 16.7
Interface dohesion (KPa) 1000 1000 1000 1000 1000 893 812 N/A
between slices frictional angle (◦ ) 45.6 45.6 45.6 45.6 45.6 43.3 41.4 N/A
Table 2. The material parameters of slices (mode B).

Index of slices 1 2 3 4 5 6 7 8
Along the cohesion (KPa) 1000 1000 1000 1000 1000 20 20 20

sliding surface frictional angle (◦ ) 45.6 45.6 45.6 45.6 45.6 16.7 16.7 16.7
Interface dohesion (KPa) 1000 1000 1000 1000 1000 893 812 N/A
between slices frictional angle (◦ ) 45.6 45.6 45.6 45.6 45.6 43.3 41.4 N/A
Table 3. The safety factors by different methods and with or without supporting structures.
Mode Case / Excavation with no Excavation with designed
Method supporting structures supporting structures
Sarma 0.724 1.395

A Unbalanced thrust 0.412 0.995
MSLS based method 0.487 1.344
Sarma 2.160 3.292
B Unbalanced thrust 2.041 3.457
MSLS based method 2.391 4.330
appears at the crosslink of two controlling joints about 3MPa. Safety factors are evaluated for
the predicted sliding surface by the present method and are compared with the slice methods
in Ref. 5 in Table 3. The division of slices used for the slice methods are marked with number
1-8 as shown in Figure 2(a) and the material parameters are listed in Table 1. It can be seen
from the Table 3 that without supporting structure the safety factor of the present method is
close to the unbalanced thrust method and is lower than the Sarma method. With supporting
structures added, the safety factor is significantly increased by the present method and the
increase in more significant than by the Sarma method or the unbalanced thrust method.
4.2. Sliding mode B

In mode B, the sliding surface initiates between lamprophyre dyke and the boundary of
weakly unloaded area shown as a thick black curve in Figure 2(b). In Table 3, the safety
factors of the predicted sliding surface are evaluted by the present method and are compared
with slice methods in Ref. 5. The division of slices used in Ref. 5 is shown in Figure 2(b) and
the material parameters are listed in Table 2. Results show the safety factor of the present
method slightly higher than the slice methods without supporting structures and about 30%
higher than the slice methods with supporting structures.
410
4.3. Remarks on results

The results show the sliding mode A more likely than B after excavation. In mode A, the
safety factor becomes less than 1.0 in all methods after excavation indicating supporting
structures needed. With supporting structure added to the slope, the safety factor is increased
in both modes. However, the increase in the present method is much higher the slice methods
and this is due the different way of modelling structures. In the present method, rock and
supporting structures are deforming compatibly and their stress redistributed. While in the
analytical methods, rigid body assumptions are used so the effects of structure on the slope
stability can not be correctly modelled.
5. Discussions
The method described in this paper requires no prior assumptions on balances of internal
force and thus can be used as a general method for rock slope stability analysis. The eval-
uation of satey factors here is based on the stress analysis using the MSLS method for elas-
tostatics; however other meshless methods are equally viable, e.g., the element-free Galerkin
method (EFG) and the meshless local-Petrov Galerkin method (MLPG). Results show the
present method effectively evalute the safety factors along slip surface and outperforms the
slice methods in modelling the effects of supporting strtures on rock slope stability. The lim-
itation of the present method is that the slope failure is not modelled in a progressive way
where the severity of sliding may be alleviated by stress redistribution of along sliding surface.
The Mohr-Coulumn criterion is used here and other material failure criterion such as Tresca
criterion or maximum tensile stress failure may also be applied with the present method. The
potentials of the present method can be explored in 3D analysis where the assumptions on
slip surface can cause results deviating significantly from the substantial cases. We expect to
finish these works in our subsequent papers.
Acknowledgement
The authors gratefully acknowledge the support of the Joint Fund of Yalong River
Hydropower Development, NSFC (50579093). The first author is supported by a Dorothy
Hodgkin Postgraduate Studentship at Durham University.
References
1. Belytschko, T., Liu, Y. and Gu, L., “Element-free Galerkin Methods”, International Journal of
Numerical Methods in Engineering, 37, 1994, pp. 229–256.
2. Cai, Y.C., and Zhu H.H. “A local meshless Shepard and least square interpolation method based
on local weak form”. Computer Modeling in Engineering and Sciences (CMES), 2008, 34(2):
179–204.
3. Lancaster, P., and Salkauskas K. “Surfaces generated by moving least squares methods”. Mathe-
matics of Computation, 1981, 37: 141–158.
4. Zhuang, X., Cai Y.C. and Zhu, H.H., “Rock slope stability analysis based on meshless method
and shortest path algorithm”. Chinese Quarterly of Mechanics, 2008, 29(4): 537–543.
5. The internal research report on the slope stability and scheme of supporting structure at the
left bank of hydro-junction of Jinping hydropower station, School of Water Conservancy and
Hydropower Engineering, Wuhan University, China, 2005.
411
Numerical Modelling of Laboratory Behaviour of Single Laterally
Loaded Piles Socketed into Jointed Rocks
W.L. CHONG1,∗ , A. HAQUE1 , P.G. RANJITH1 AND A. SHAHINUZZAMAN2

1 Department of Civil Engineering, Monash University, Australia
2 Powerlink, Queensland, Australia
1. Introduction
Pile foundations are commonly used to provide support for a wide range of laterally-loaded
structures, such as transmission towers, offshore platforms, bridge foundations and retain-
ing structures. These foundations can be constructed in either soil, rock or a combination
of both. Substantial research has been conducted in the past on the performance of laterally
loaded piles founded in soils (Broms, 1964). However, rock mass which is usually a discon-
tinuous entity as opposed to soils requires a different design approach. The overall strength
and the stiffness of jointed rock mass are highly variable depending on secondary structures
such as joint spacing, orientation, persistence, roughness and presence of infill. All these fac-
tors may have significant impact on the lateral load capacity of single piles. Chong et al.
(2008) carried out a comprehensive review of the published methods for design of laterally
loaded piles socketed in rock concluding that these methods do not physically consider all
these influential factors. Some of the methods assumed the rock to be intact (Carter and Kul-
hawy, 1992; Reese, 1997), or employed rock mass classification systems, such as Rock Mass
Rating (RMR) (Bieniawski, 1989) or Geological Strength Index (GSI) (Hoek et al., 1988)
to account for the secondary structure in the rock therefore assuming it to be homogeneous
and isotropic in their analyses (Zhang et al, 2000; Gabr et al., 2002; Yang, 2006). There has
been very few studies conducted using numerical modelling to study laterally loaded piles
socketed into rock. Recently, Yang (2006) used a 3D finite element modelling (FEM) code,
ABAQUS, to predict the full-scale lateral pile load behaviour considering the rock mass as
a homogenous medium. However, the model was unable to capture the non-linearity of the
load-deflection response. It is evident that further research is required to provide a full under-
standing of the complex load-deflection behaviour of the pile-rock mass systems under lateral
load conditions.
To reliably predict the load-deflection (P–y) behaviour, it is crucial to study the influence
of physical joint sets in rock on the performance of pile-rock systems. Experiments on piles
embedded in jointed rock mass were conducted by Francis et al. (2004). They reported a
significant drop in lateral capacity of the piles socketed into jointed rock mass compared to
intact rock and employed 2D UDEC to simulate the laboratory behaviour of the laterally
loaded piles. However, the predictions of the load-deflection (P–y) behaviour of the pile were
inconsistent especially in the estimation of the ultimate lateral capacity. It was hypothesised
that this inconsistency was due largely to the three-dimensional nature of the problem. Thus,
this study investigates the numerical modelling of laboratory tests of laterally loaded single
piles using a commercial 3D Distinct Element Code (3DEC). The key modelling parameters
were chosen based on trial and error to match the laboratory test results (Francis et al, 2004).
In addition, this study also investigates the effect of joint orientations on the load-deflection
(P-y) behaviour of laterally loaded piles.
∗ Corresponding author. E-mail: Wailoong.chong@eng.monash.edu.au

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0046 413
Figure 1. (a) Johnstone rock mass with two joint sets. (b) Conceptual sketch of rock mass from
laboratory testing (Francis, 2003).
2. Laboratory Experiment
In this study the laboratory test results of Francis (2003) were used. These were based on
laterally loaded single piles socketed into jointed rock masses of various joint set geome-
tries and orientations. A synthetic rock known as Johnstone (Johnston and Choi, 1986), the
properties of which resemble the properties of mudstone rock local to Victoria, Australia,
was employed. Two joint sets, as shown in Fig. 1, were cut into the cured rock blocks using a
rock saw. Timber planks were used to clamp the jointed rock mass to ensure tight joint con-
tacts. The model pile was a 25mm diameter, solid aluminium bar. A core barrel was drilled
into the rock block to create a cavity for the cylindrical aluminium pile. A customised plaster
which consisted of Portland cement and plaster was used to fill the gap between the pile-rock
interface. Displacement transducers were positioned to measure the lateral displacement of
the pile close to the rock surface and a laterally-driven ram was utilised to apply the lateral
force. Figure 1 shows the overall set up of the experiment. Two sets of joint configurations,
(45/45) and (30/60) were used. Where (30/60) means the first joint set has a dip angle of 30◦
while the second has a dip angle of 60◦ .
3.1. Model set up
Considering the jointed rock mass as a discontinuum medium, the discrete element approach
was considered the most suitable option (Eberhardt, 2003). Therefore, numerical modelling
package 3DEC (Itasca, 2008) was employed to simulate the laboratory behaviour of the lat-
erally loaded pile. Laboratory specifications and dimensions were employed in the numerical
model with a pile diameter (D) of 25mm, embedded pile length (L) of 100mm, and joint
spacing (s) of 40mm. Figure 2 shows the overall dimensions and specifications used in the
numerical model. Mesh size was specified with an edge length of 50mm as illustrated in
Fig. 2. Roller boundary conditions were prescribed to all four sides of the model allowing
movements only along the z-axis. The bottom of the model was fixed in all directions as
shown in Fig. 3. Lateral load was applied in the form of uniformly distributed stress over
the same area on the pile head as used in the laboratory experiment. A FISH subroutine was
written to calculate the total applied force on the pile head.
414
Figure 2. Dimensions and specifications of 3DEC model.
Figure 3. Boundary conditions of model.
Some preliminary trials were conducted to verify the feasibility of the model dimensions
and the extent of joints below the pile tip. The boundary effect was investigated by using
block sizes of lengths 23D and 45D for a given joint condition as shown in Fig. 2. The
results showed that the larger block size required a significantly longer run time (about 20
hours) compared to a small block size that requires approximately 10 hours. However, it
resulted in a difference in lateral deflections of only ±10%. Another trial was carried out
using a fully jointed block as opposed to the partly jointed model shown in Fig. 2. It was
found that the runtime was significantly longer with a minimal difference in lateral deflec-
tions. Moreover, insignificant displacements were encountered beyond the pile tip. Therefore,
the model specifications shown in Fig. 2 were considered to be appropriate for subsequent
analyses.
3.2. Material properties and constitutive models

Chiu (1981) proposed a set of equations to calculate the properties of mudstone based on
water content, w. The measured water content for the laboratory models as reported by
Francis (2003) varied between 15% and 19%. Using the median value of 17%, the mudstone
properties were estimated (Table 1) as a typical input values into the numerical simulation.
In this study, previously established pile-rock interface properties by Francis (2003) were
415
Table 1. Properties for numerical modelling input.

Artificial Johnstone Properties Pile-Rock Interface Properties
Water content, w: MPa 17 Normal Stiffness, jkn: GPa 95

Density, γ : kg/m3 2200 Shear Stiffness, jks: GPa 95
Rock Modulus, E: MPa 153 Friction Angle, φ: degrees 32
Poisson’s ratio, v 0.3 Cohesion, c: kPa 55
Friction Angle, φ: degrees 32.3 Tensile Strength, kPa 27
Cohesion, c: kPa 269.7 Joint Properties
Dilation, ψ: degrees 10 Normal Stiffness, jkn: GPa 95
Tensile Strength, σt : kPa 97.7 Shear Stiffness, jks: GPa 95
Friction Angle, φ: degrees 28
Cohesion, c: kPa 0
Uniaxial Compressive Strength, qu : MPa 1 Tensile Strength, kPa 0
Dilation, ψ: degrees 10
used. The pile was modelled as linear elastic and isotropic material. Elastic-plastic Mohr-
Coulomb constitutive model was assigned to the rock to capture the non-linear response
of the load-deflection behaviour. Pile-rock interface and rock joints were assigned the elastic-
plastic Coulomb slip failure model. Bulk modulus (K) and shear modulus (G) were calculated
based on rock modulus (E) and Poisson’s ratio (v). Details of all input properties are given in
Table 1.
4. Results and Discussion

4.1. Effect of joint normal (kn ) and shear stiffness (ks )
Joint normal and shear stiffnesses are fundamental parameters for the numerical modelling
of laterally loaded piles socketed into jointed rock mass and they are especially important
0.8
0.7
0.6
0.5
Load (kN)
0.4
0.3
Laborat ory Test
0.2 Trial 1: kn=ks=9.5x10^8Pa
Trial 2: kn=ks=9.5x10^9Pa
0.1 Trial 3: kn=ks=9.5x10^10Pa
0
0 0.2 0.4 0.6 0.8 1 1.2
Deflection (m m )
Figure 4. Trials using different values of kn and ks .
416
in determining the linear portion of a load-deflection (P-y) curve. These parameters are diffi-
cult to measure in the laboratory and a recommended guideline to estimate the values of the
stiffnesses is given by Itasca (2008). However, as normal and shear stiffnesses are fictitious
values in 3DEC, a trial and error method was employed to obtain a best-fit laboratory pre-
diction for an appropriate set of stiffness values. The values tested ranged from 9.5 × 108 Pa
to 9.5 × 1010 Pa.
Figure 4 shows the load-displacement (P–y) behaviour of the piles having various shear
(ks ) and normal (kn ) stiffnesses. Trial 1 (ks = kn = 9.5 × 108 Pa) shows a less stiff response
in the linear part of the P-y curve when compared with the laboratory test results. A fur-
ther improvement of the predicted results could be achieved by increasing the stiffness val-
ues to Trial 2 (ks = kn = 9.5 × 109 Pa). However, as also shown in Fig. 4, there are still
some discrepancies between the laboratory results and Trial 2. Therefore, another trial with
higher stiffness values (Trial 3) was carried out. As can be seen, this higher stiffness val-
ues (ks = kn = 9.5 × 1010 Pa) most closely predict the linear portion of the laboratory P-y
curve behaviour. Therefore, pile-rock interface and joint normal and shear stiffness values of
9.5 × 1010 Pa were used in all modelling work.
4.2. Effect of Joint Configuration

4.2.1. Joint Configuration (45/45)
Joint configuration of (45/45) was used to investigate the ability of 3DEC to capture the
load-deflection behaviour of the laboratory experiment. As it was reported that the water
content of the rock blocks in the laboratory varied from 15% to 19% (Francis, 2003), a
median value of water content of 17% was used in this study. It was found that for this joint
configuration of (45/45), water content of 17% for the rock predicted the laboratory results
most accurately. Results from the prediction of 3DEC model together with the laboratory
results are shown in Fig. 5(a). It can be seen from this figure that the pile load behaviour
is almost elastic up to point A followed by non-linear response up to point B. The 3DEC
predictions agree well with the laboratory trend for a water content of 17%. The numerical
model predicted plastic zones perpendicular to the loading direction and this behaviour was
observed during the laboratory testing reported by Francis et al. (2004).
Figure 5. Comparison of 3DEC predictions with laboratory test results (Francis, 2003) for joint con-
figurations: a) (45/45) and b) (30/60).
417
Table 2. Artificial Johnstone rock properties for joint configuration (30/60).

Water content, w: MPa 18 Cohesion, c: kPa 234.7
Density, γ : kg/m3 2200 Dilation, ψ: degrees 10
Rock Modulus, E: MPa 140 Tensile Strength, σt : kPa 50
Poisson’s ratio, v 0.3
Uniaxial Compressive Strength, qu : MPa 0.86
Friction Angle, φ: degrees 31.4
4.2.2. Joint configuration (30/60)

A second joint configuration of (30/60) was modelled in 3DEC to predict the load-deflection
(P–y) behaviour of the laboratory model pile tests. Different water contents were tested to
determine the water content that best fits the laboratory results. It was found that for this
joint configuration of (30/60), water content of 18% for the rock predicted the laboratory
results most accurately (Fig. 5b). Table 2 shows the rock properties corresponding to 18%
water content. Pile-rock interface and joint properties were kept the same as for the (45/45)
case. Figure 5b shows that a water content of 18%, which is within the reported water con-
tent range, generates a matching elastic and post-elastic response of the laboratory behaviour.
This implies that the Mohr-Coulomb material model with a Coulomb slip failure for joints
is adequate to simulate the complex P–y behaviour of laterally loaded piles socketed into
jointed rock mass. Moreover, this study has shown that 3DEC predicts the lateral capacity
more accurately compared to the 2D UDEC predictions as reported by Francis et al. (2004).
As shown in Fig. 5, steeper joint configuration of (45/45) exhibits stiffer linear behaviour
with a 17% higher ultimate lateral capacity compared to the joint configuration of (30/60).
The good predictions of the numerical modelling as evident in Fig. 5 have provided a strong
benchmark model to conduct further investigation on the effect of joint dip angle.
4.2.3. Effect of joint dip angle

The orientations of joints in rocks have substantial impact on the load-deflection (P–y)
behaviour of piles socketed into jointed rock mass. In this study, dip angles ranging between
30◦ and 60◦ for joint set one were investigated by fixing the dip angle of joint set two at 45◦ .
Fig. 6 shows the load-deflection (P–y) results for various dip angles of joint set one.
It is evident from Fig. 6 that as the dip angle increases from 30◦ to 60◦ , the lateral load
capacity of the pile increases significantly for a given pile head deflection. This is not sur-
prising as the shear strength of the higher dip angled joint would provide greater resistance
against shearing under an applied loading condition. This increased shear resistance restricts
the slip movement along the joint planes and returns a lower lateral deflection of the pile,
hence making the pile-rock system behave more rigidly. In contrast, (30/45) and (45/45)
joints exhibit almost identical load-deflection (P–y) response (Fig. 6). This suggests that the
pile-rock mass system becomes relatively rigid when the dip angle of joint set one increases
beyond 45◦ for a constant dip angle of joint set two of 45◦ . In other words, a threshold
lateral capacity of pile exists up to a certain dip angle beyond which a much higher capacity
can be reached for a given pile geometry.
5. Conclusions
Secondary structures such as jointing and fractures present in a rock mass play an important
role in determining the lateral capacity of piles socketed in rock. In this study, numerical
modelling has been carried out to simulate the laboratory behaviour of laterally loaded piles
418
1
0.9
0.8
0.7
Load (kN)
0.6
0.5
0.4
0.3
0.2 3DEC ( 30/ 45)
3DEC ( 45/ 45)
0.1
3DEC ( 60/ 45)
0
0 0.5 1 1.5
Deflection (m m )
Figure 6. 3DEC predictions with different front joint dip angles.
in jointed rock using the 3D distinct element code, 3DEC. This paper has examined the capa-
bility of 3DEC to simulate the laboratory behaviour as well as the effect of joint orientation
on the load-deflection (P–y) behaviour of piles. In summary, the following conclusions can
be drawn:
• Fictitious modelling parameters such as joint normal (kn ) and shear stiffnesses (ks )
have significant impact on the prediction of the linear portion of the P-y curve. In
this study, a joint stiffness value of 9.5 × 1010 Pa was found to be able to capture the
linear portion of the load-deflection curve most accurately.
• 3DEC is proven to be able to predict better the laboratory behaviour of laterally
loaded single piles socketed into jointed rock than UDEC, thus indicating the neces-
sity to use 3D modelling when analysing laterally load piles in jointed rock.
• Joint orientations dictate the lateral load-deflection (P–y) behaviour of rock socketed
piles. An increase in dip angle beyond a threshold value significantly increases the
lateral capacity of piles.
Future research is aimed at understanding the cause of the threshold capacity, establish-
ing a set of influential parameters through a parametric study, developing non-dimensional
relationships between the parameters, understanding the failure mechanisms of the jointed
rocks, and developing design guidelines for laterally loaded piles socketed into jointed rock.
Acknowledgements
The authors acknowledge the financial support provided by Monash University, Australia
and Powerlink, Queensland for this research.
References
1. Bieniawski, Z.T. (1976), “Rock mass classifications in rock engineering”, Proceedings of the Sym-
posium on Exploration for Rock Engineering, Z.T. Bieniawski (editor), Vol. 1, A.A. Balkema,
Rotterdam, Holland, pp. 97–106.
2. Broms, B.B. (1964), “Lateral resistance of piles in cohesionless soils”, Journal of Soil Mechanics
and Foundation Division, ASCE, Vol. 90, SM2, pp. 123–156.
419
3. Carter, J.P. and Kulhawy, F.H. (1992), “Analysis of laterally loaded shafts in rock”, Journal of
Geotechnical and Geo-environmental Engineering, ASCE, Vol. 118, No. 6, pp. 839–855.
4. Chiu, H.K. (1981), “Geotechnical properties and numerical analysis for pile design in weak rock”,
PhD thesis, Department of Civil Engineering, Monash University.
5. Chong, W.L, Haque, A., Ranjith, P.G. and Shahinuzzaman, A., “Lateral Load Capacity of Single
Piles Socketed into Jointed Rocks — A Review”, 2nd Proceedings of First Southern Hemisphere
International Rock Mechanics Symposium, Vol. 1, 2008, pp 297-309.
6. Eberhardt, E. (2003), “Rock slope stability analysis – Utilisation of Advanced Numerical Tech-
niques”, Geological Engineering/Earth and Ocean Sciences, UBC, Canada.
7. Francis, B. (2003), “Laterally loaded piles in jointed soft rock masses”, Masters of Engineering
Science Thesis of Monash University, Clayton, Australia.
8. Francis, B., Haberfield, C., and Kodikara, J. (2004) “Laterally Loaded Model Piles in Jointed Soft
Rock Masses”, Proceedings of the 29th Annual Conference on Deep Foundations, Vancouver,
Canada.
9. Gabr, M.A., Cho, K.H., Clark, S.C., Keaney, B.D. and Borden, R.H. (2002), “P-y curves for lat-
erally loaded drilled shafts embedded in weathered rock”, Draft Report No. FHWA/NC/2002/08,
North Carolina University, Raleigh, NC.
10. Hoek, E. and Brown, E.T. (1988), “The Hoek–Brown criterion — a 1988 update”, Proceedings
15th Canadian Rock Mechanics Symposium, University of Toronto.
11. Itasca (2007), “3DEC User’s Guide”, Itasca Consulting Group Inc., Minnesota, USA.
12. Johnston, I.W. and Choi, S.K. (1986), “A synthetic soft rock for laboratory model studies”
Geotechnique 36 (2), pp. 251–263.
13. Reese, L.C. (1997), “Analysis of laterally loaded piles in weak rock”, Journal of Geotechnical and
Geo-environmental Engineering, ASCE, Vol. 123, No. 11, pp. 1010–1017.
14. Yang, K (2006), “Analysis of Laterally Loaded Drilled Shafts in Rock”, Doctor of Philosophy
Thesis of University of Akron, United States.
15. Zhang, L., Ernst, H. and Einstein, H.H. (2000), “Non-linear analysis of laterally loaded rock-
socketed shafts”, Journal of Geotechnical and Geo-environmental Engineering, Vol. 126, No. 11,
pp. 955–68.
420
Distinct Element Analysis on the Stability of a Stone Pagoda at
Mireuk Temple Site in Korea
H. KIM1 AND S. JEON2,∗

1 School of Civil, Urban & Geosystem Engineering, Seoul National University
2 Department of Energy Systems Engineering, Seoul National University
1. Introduction
The pagoda at Mireuk Temple Site is known as the oldest and largest one among existing
stone pagodas in South Korea. It has highly historical and cultural value and shows how the
technique of building a wooden pagoda was adapted to stones. It seems to have been nine-
storied pagoda originally, but it was partially collapsed before the 17th century and roughly
reinforced with concrete in 1915 as Fig. 1 shows. At present, the pagoda is being dismantled
for repair and restoration because the possibility of additional collapse was anticipated by
the structural safety inspection in 1998.1
In order to restore such unstable structure safely, stability analysis on the pagoda during
and after the restoration is required. In this study, a numerical simulation of the scaled model
test was carried out using 3DEC and the results were compared with experimental data to
verify the adequacy of prediction using numerical model. We investigated the effect of stone
filling inside the pagoda on the overall structural stability. Finally, three restoration plans for
the pagoda were examined based on the analysis of stresses and displacements generated by
self-weight load. In addition, the influence of material deterioration on the structural safety
was evaluated.
2. Restoration Plans for Pagoda

Before the stone pagoda was dismantled, only the east side portion remained relatively
undamaged. There were stacked masonry and concrete patching up the damaged part of
the pagoda in the west side portion as seen in Fig. 1.
On the basis of that shape of pagoda, three restoration plans (RP1∼3, Figure 2) are now
under consideration by cultural properties conservation team2 and each plan has the follow-
ing features:
• RP1: All four sides of the first floor are completely restored to the original state
(shape of the east side). Stones are stacked in the west and the south portion from
the second to the sixth floor to restore the appearance of the pagoda just before
dismantling (the left and back side of model in Figure 2).
• RP2: All four sides are restored to the original state from the first to the third floor.
The fourth to the sixth floor are built like the appearance before dismantling.
• RP3: All six floors are completely restored to the original state.
The comparison with the scaled model test in the next section was carried out with RP2
model and the effect of filling stones in Section 4 was investigated with RP3 model.
∗ Corresponding author. E-mail: sjeon@snu.ac.kr

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0061 421
14.163 m
(a) Side view (From east) (b) Side view (From north)
Figure 1. Stone pagoda at Mireuk Temple Site before dismantling.
(a) RP1 (b) RP2 (c) RP3
Figure 2. Modelling of restoration plans.
3. Comparison with Scaled Model Test
Kwon2 made a stone pagoda model which was based on the restoration plan RP2 and scaled
down to 1/8th of the original size. Loads were measured by load cells located underneath the
bottom plates of the model while an experimenter was stacking stones in traditional method.
Granite that had been used in the building of the stone pagoda was replaced by the stone-like
material made by baking the soil in the form of rectangular solid.
3.1. Mechanical properties of material for numerical analysis

We examined properties of the material using the same test methods for evaluating mechan-
ical properties of rock. Due to the limited sample size, the surface properties such as shear
stiffness, cohesion, and friction angle were obtained from experimental data for Mireuk
Mountain granite.3 The material properties used in the numerical analysis are listed in
Table 1.
422
Table 1. Material properties used in the numerical analysis.

Properties Block Surface
Density Young’s Poisson’s Normal Shear Cohesion Friction
(kg/m3 ) modulus ratio stiffness stiffness (MPa) angle
(×103 MPa) (MPa/m) (MPa/m) (◦ )
Stone-like 2,040 23,900 0.19 4,960 5,910 0.03 28.3

material
3.2. Comparison between experimental and numerical results

Normal stresses were calculated from the observed load data at four filling stone portions
(FS-1∼4) and three decoration stone portions (DS-1∼3) whenever one floor was built in the
numerical model. The results were compared with the experimental data as shown in Fig. 3.
A ratio of absolute difference between the experimental and numerical value to numerical
value (|σexp − σnum |/σnum ) was used for evaluating the accuracy of the prediction. The ratio
of filling stone portions was respectively 7%, 24%, 4%, and 17% on average. The ratio of
decoration stone portions was 32%, 17%, and 8% on average. There was stress decrease
especially in FS-4 portion while stones were stacked without decoration stones in the test
model, and similar trend also emerged in the numerical result.
Blocks in the form of rectangular parallelepiped were stacked densely and the surfaces
were attached to each other in the numerical model. On the contrary, there are a lot of
open spaces between blocks in test model. Therefore, the numerical model of interaction
between blocks has some limit in predicting the behaviour of blocks, but differences between
the experimental and numerical value in this study can be evaluated to be relatively small
considering such assumption in numerical modelling and errors in experiment.
In conclusion, it can be stated that discrete element analysis using 3DEC is able to predict
the behaviour of the masonry structure and furnish data for the evaluation of overall stability
in terms of stresses and displacements. However, there can be some discrepancy due to the
7 7 7
6 6 6
DS-2
5 5 5
4 4 4
Story
Story
Story
FS-4 FS-3
DS-3
3 3 3
DS-1 2 Tested 2 2 Tested

Tested
1 Numerical 1 Numerical 1 Numerical
0 0 0
FS-1 FS-2
0 10 20 30 40 50 0 10 20 30 40 50 0 10 20 30 40 50
Vertical stress (kPa) Ve rtical stress (kPa) Vertical stress (kPa)
(a) Measurement area (b) FS-1 (c) FS-2 (d) FS-3

7 7 7 7
6 6 6 6
5 5 5 5
4 4 4 4
Story
Story
Story
Story
3 3 3 3
2 Tested 2 2 2
Tested Tested Tested
1 Numerical 1 1 1
Numerical Numerical Numerical
0 0 0 0
0 10 20 30 40 50 0 10 20 30 40 50 0 10 20 30 40 50 0 10 20 30 40 50
Vertical stress (kPa) Ve rtical stress (kPa) Vertical stress (kPa) Vertical stress (kPa)
(e) FS-4 (f) DS-1 (g) DS-2 (h) DS-3
Figure 3. Comparison of numerical analysis with experimental measurements.
423
difficulties in accurately identifying the representative properties of block surface. Differences

between two data in each graph (as seen in Fig. 3) would be smaller if the mechanical test
results of stone-like material were used instead of reference data in numerical analysis.
4. Effect of Filling Stones on Structure Stability

4.1. Mechanical properties of filling stones
Before the real scale modelling of the restoration plans was performed, we obtained core
samples from filling stones selected out of many dismantled stones and carried out labora-
tory tests to find out the mechanical properties of the stones. Type of rock is granite, and
the weathered part in surficial portion of large stone block can be seen in Figure 4. The
mechanical properties of stones are listed in Table 2.
Figure 4. Rock core samples obtained from filling stones.
Table 2. Mechanical properties of filling stones.

Density Compressive Young’s Poisson’s Cohesion Friction P-wave S-wave
(kg/m3 ) strength modulus ratio (MPa) angle velocity velocity
(MPa) (×103 MPa) (◦ ) (m/s) (m/s)
2,510∼2,580 39∼85 7.5∼19.8 0.28∼0.34 7∼12 57∼58 1,445∼2,340 718∼1,350
Suh et al.4, 5 carried out non-destructive close examinations for Three-Story Pagoda and
Dabo Pagoda in South Korea to assess structural safety and estimated the strength of stone
blocks from measured ultrasonic wave velocities. Those two stone pagodas were built about
1 century after building of stone pagoda at Mireuk Temple Site and rock type of stone blocks
is granite. So, the estimated properties can be used as comparison data for this study. Consid-
ering the average estimated strength of Three-Story Pagoda is 46.3MPa (ranging from 13.4
to 84.4MPa) and that of Dabo Pagoda is 39.6MPa (ranging from 9.3 to 131.4MPa), com-
pressive strength of filling stones is in the range of the strength of stones used in two pagodas,
and the minimum strength of core samples (39MPa) is similar to two average strengths.
4.2. Stability analysis of stone pagoda with and without filling stones
The numerical model with filling stones which was based on restoration plan RP3 was com-
pared with the model without filling stones to examine the effect of stones filling inside of the
pagoda. The test result of rock sample corresponding to the minimum compressive strength
424
was used. Its density is 2,510 kg/m3 , Young’s modulus is 7.5 × 103 MPa, and Poisson’s ratio
is 0.32. Because the predicted stresses were lower than the block strength and the possibility
of rock failure was low, isotropic elastic model was applied as block model. Coulomb slip
model using the properties listed in Table 1 was applied as joint model.
The vertical stresses of pagoda with filling stones were evenly distributed over all floors.
On the contrary, in the case of pagoda without filling stones, vertical stresses concentrated
at the main stone walls of each floor in the form of arch as seen in Fig. 5(b). The maximum
vertical stress of the former was 1.21MPa at the ceiling of cross aisle of the first floor and that
of the latter was 2.19MPa at similar position. In close investigation shown in Figure 6, the
maximum vertical stresses at each step of pagoda with filling stones were much lower than
that of pagoda without filling stones except for the fifth and the sixth floor. The maximum
stress decrease was 74% at the top step of the first floor (1.29MPa decreased to 0.34MPa)
and the averaged stress decrease was 38%. As a result, it was found that stones filling the
inside of stone pagoda distributed the stresses generated by self-weight load evenly over entire
pagoda and made the structure more stable than pagoda without filling stones.
㪪㪪㪪
(a) Pagoda with filling stones. (b) Pagoda without filling stones.
Figure 5. Vertical stress contours of stone pagoda.
2,500
Filling
2,000 Empty
Max. vertical stress (kPa)
1,500
1,000
500
0
1st 2nd 3rd 4th 5th 6th
Story
Figure 6. Maximum vertical stresses at each step of stone pagoda.
425
5. Stability Analysis of Restoration Plans

5.1. Stresses and displacements by self-weight load
Numerical analyses were carried out for three models based on restoration plans RP1∼3 as
mentioned above. RP3 had about 150 more stone blocks than RP1, and overall
self-weight load increased 12%. Looking at the analysis results, symmetrical stress distri-
bution was observed as expected in RP3 model. On the other hand, asymmetrical stress
distribution was obviously developed in RP1 and RP2 model. In two models, the vertical
stresses of northeast portion with decoration stones were larger than those of southwest
portion without decoration stones (Fig. 7). Maximum vertical stresses of RP1∼3 were all
found at the ceiling of cross aisle of the first floor, and the stress magnitude was 0.9, 1.12,
and 1.21MPa, respectively. The maximum vertical displacements occurred all at the same
location where several blocks slipped slightly into empty space in the first floor, and the
displacement magnitude was 15, 7, and 6mm, respectively. In comparison of the maximum
vertical stresses at each floor as shown in Fig. 8, the stresses of RP3 were 18∼39% larger
than those of RP1 at the first, fifth, and sixth floor, and the differences of the other floors
were below 3%. As a result, small displacements and large stresses were developed symmet-
rically in RP3 model, but relatively large displacements and small stresses were developed
in RP1. However, even though there was asymmetry and concentration in stress distribution
depending on the restoration plan, the developed stresses were smaller than the strength of
stone blocks. So, all stone pagodas to be built based on restoration plan were found to be
structurally stable.
(a) RP1 (b) RP2 (c) RP3
Figure 7. Vertical stress contours at ceiling of the 1st floor and central cross section (SN direction).
5.2. Effect of material deterioration on stability

Natural weathering of stone blocks in the pagoda exposed to air is inevitable. For the inves-
tigation of the effect of material deterioration on structural stability, we carried out 27
numerical modelling in total, with reducing Young’s modulus of block and stiffness parame-
ters (normal and shear) of joint model to 50% and 10%, respectively, of the present values in
each plan. And then analysis of variance (ANOVA) was performed. The purpose of ANOVA
426
1,400
1,200 RP1
Max. vertical stress (kPa)

RP2
1,000
RP3
800
600
400
200
0
1st 2nd 3rd 4th 5th 6th
Story
Figure 8. Maximum vertical stresses at each floor.
Table 3. ANOVA (Maximum vertical stress).

Factor S ù V F
A 94,558.9 2 47,279.4 47.2

B 25,069.3 2 12,534.6 12.5
C 64,217.0 2 32,108.5 32.0
B×C 30,970.0 4 7,742.5 7.7
E 16,036.0 16 1,002.3
T 230,851.0 26
Table 4. ANOVA (Maximum vertical displacement).

Factor S ù V F
A 246.3 2 123.1 0.7

B 1,194.4 2 597.2 3.4
C 24,428.6 2 12,214.3 69.0
B×C 2,769.7 4 692.4 3.9
E 2,833.2 16 177.1
T 31,472.2 26
is to decide whether the differences between the results are simply due to random error or
whether there are systematic treatment effects that have caused results in one group to differ
from results in another.6 As seen in Table 3, F-ratios of restoration plan (factor A), Young’s
modulus (B), and stiffness parameters (C) were all much above critical value F(2, 16, 0.05) =
3.63 at the 5% significance level, and F-ratio of interaction B×C was large, too. Therefore,
it was found that the type of restoration plan and material deterioration had much effect
on the maximum vertical stresses and the interaction between Young’s modulus and surficial
properties of blocks also had significant effect. On the other hand, in Table 4, only reduction
in surface stiffness (factor C) had effect on the maximum vertical displacement.
6. Conclusions
The following conclusions are deduced from the distinct element analysis on the stability of
the stone pagoda at Mireuk Temple Site:
427
• In comparison of numerical analysis results with the results of scaled model test,
there were differences in load distribution ranging from 4 to 32% caused by the
limit of modeling interaction between blocks. But, it was found that the analysis
method could be effective in predicting the stresses or displacements of masonry
structure before actual restoration.
• The stones filling the inside of pagoda distributed the stresses generated by self-
weight load evenly over entire pagoda and made the structure more stable than
pagoda without filling stones. Filling stones increased total load of structure by more
than 48% but decreased maximum vertical stress by 74%.
• The location of stress concentration was investigated from the numerical analyses
of restoration plans RP1∼3. And the structural stability assessment was performed
by their displacements and stresses. The developed stresses were smaller than the
strength of stone blocks, and all stone pagodas to be built based on restoration
plan were found to be structurally stable. It was found, using ANOVA method, that
the type of restoration plan and material deterioration had significant effect on the
stresses of stone blocks. But, only the surface stiffness had effect on displacements.
In future, a study on local stress concentration caused by irregular shape of stones and a
dynamic analysis for earthquake will be carried out for in-depth research.
References
1. National Research Institute of Cultural Heritage, “Research on Repair and Restoration”, 2002.
Web site: http://www.nricp.go.kr/eng/archi/repair.jsp.
2. Kwon, Y.H., Structure Stability of the Stone Pagoda of Mireuksa Temple Site, MS thesis, Seoul
National University, 2008.
3. National Research Institute of Cultural Heritage, Research Report on the Cause of Collapse of
Stone Pagoda at Mireuk Temple Site, Korea, 2005, p. 178.
4. Suh, M., Song., I. and Choi, H., “The Structural Safety Diagnosis of Three-Story Pagoda in Bulkuk
Temple using the Probability of Failure”, Journal of the Korean Geophysical Society, Vol. 4 No. 1,
2001, pp. 57–69.
5. Suh, M., Song., I. and Choi, H., “The Structural Safety Diagnosis of Dabo Pagoda of Bulkuk Temple
using Analyses of Ultrasonic Wave Velocity”, Journal of the Korean Geophysical Society, Vol. 5 No.
3, 2002, pp. 199–209.
6. Hendricks, W., “Quantitative Methods”. Web site: http://www.ilir.uiuc.edu/courses/Lir593/one_
way_ anova _class_notes.htm.
428
Distinct Element Analysis of Staged Constructed Underground
Cavern in the Vicinity of a Fault
H.C. CHUA∗ , A.T.C. GOH AND Z.Y. ZHAO

Nanyang Technological University, Singapore
1. Introduction
In this study, the influence of a major fault in the vicinity of a rock cavern is considered.
Detailed numerical studies were carried out to investigate the effect of various fault locations,
i.e. at left side of the rock cavern, at right side of the rock cavern and intersecting the rock
cavern, on the stresses and displacements around the cavern. The influence of the cavern
excavation sequences on the cavern stability was also considered.
2. Geotechnical Properties
The two-dimensional Universal Distinct Element Code (UDEC) was adopted in this numer-
ical study. The rock mass properties adopted for the numerical model were estimated using
a Q-value of 10, i.e. a typical lower bound Q-value for the Jurong Formation of Singapore
(Zhao et al., 1999). Rock Mass Rating was estimated using the correlation shown below
(Bieniawski, 1984):
RMR = 9 ln Q + 44
The rock mass deformation modulus Em , cohesion c, and friction angle φ were then estimated
using the following equations (Bieniawski, 1984):
RMR−10
Em (GPa) = 10 40
c(MPa) = 0.005(RMR − 1.0)
φ = 0.5RMR + 4.5
The rock mass deformation and shear strength parameters adopted in the study are sum-
marized in Table 1. The rock mass was modelled using the Mohr-Coulomb model in UDEC.
Table 1. Properties of Jointed Rock Mass.
Parameter Value Unit
Unit Weight 26.5 kN/m3

Young’s modulus, Em 23340 MPa
Cohesion, c 0.32 MPa
Friction angle., φ 37 Degree
Ko 2.0 -
∗ Corresponding author. E-mail: cchuahc@ntu.edu.sg

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0064 429
3. Numerical Model
Figure 1 illustrates the general characteristics of the numerical model adopted in this study to
evaluate the effects of fault locations and cavern excavation sequences on the displacements
and plastic point distributions around a cavern. A cavern dimension of 20 m width and 30 m
height was used in the study, as illustrated in Fig. 1. To investigate the effects of fault locations
and cavern excavation sequences, the fault is modelled at left and right side of the cavern,
as well as intersecting the cavern. The cavern has three major stages of excavation, i.e. top
heading (−1), first benching (−2) and second benching (−3). The analyses were classified
into two broad cases, namely, sequential excavation of the top heading (i.e. left drift, middle
heading and right drift), and full heading excavation followed by two stages of benching of
the cavern.
Ĭ=70o
Fault Left Fault Middle Fault Right

(FL) (FM) (FR) H=5.25W
X=-0.5W X=0.5W
L M R
H=1.5W
Bench1
Bench2
(Not to scale)
Figure 1. Illustrations of numerical model.
4. Influence of Fault Locations

The influence of fault locations on the displacements and plastic point distributions around a
cavern are illustrated in Figures 2 and 3, respectively. It can be seen that the effect of the fault
locations becomes insignificant at horizontal fault distance of greater than 1.5 W away from
the cavern centreline. Comparisons of cases involving fault distance of 0.5 W to each left and
right side of the cavern centreline, as well as the case where the fault is intersecting the cavern
indicate the least overall cavern displacements and number of plastic point for the latter. In
addition, the presence of fault adjacent to the right cavern wall also shows relatively larger
overall cavern displacements, but smaller number of plastic points as compared to the case
where the fault is presence adjacent to the left cavern wall. This suggests that constructing a
cavern through a fault may not always be considered as an unfavourable case. In general, the
presence of a fault to the left of a cavern can be considered as the most unfavourable case in
this study as it generally resulted in large overall cavern displacements as well as number of
plastic points around the cavern. Although the displacements of the cavern roof for the case
involving a fault intersecting the cavern is much greater than the displacement of the cavern
roof for no-fault (NF) case, both displacements of the left and right walls seem to be similar
in terms of trend and magnitude.
430
(a) Roof
(b) Left Wall (c) Right Wall
Figure 2. Variations of displacements of cavern at (a) Roof; (b) Left Wall and; (c) Right Wall with
fault locations.
Figure 3. Variations of plastic point distributions around cavern with fault locations.
5. Influence of Excavation Sequences

Figures 4, 5 and 6 show the cavern displacements for cases involving fault and without fault.
The total number of plastic points generated around the cavern after completing cavern exca-
vation is presented in Table 2. As can be seen in Figure 4, top heading excavation sequences
431
(a) Fault Left (b) Fault Middle
(c) Fault Right (d) No Fault
Figure 4. Vertical displacement at Roof for various excavation sequences of cavern for fault (F) and
no-fault (NF) case.
Table 2. Total number of plastic points around cavern.

Cases Fault Locations Excavation Sequences Plastic Points
Left L-M-R 2702

R-M-L 2652
Full Heading 2964
Fault Middle M-L-R 2557
M-R-L 2442
Full Heading 2436
Right L-M-R 2375
R-M-L 2531
Full Heading 2466
No Fault − L-M-R 2352
M-L-R 2277
Full Heading 2316
432
Figure 5. Horizontal displacement at Left Wall for various top heading excavation sequences of cavern
for fault (F) and no-fault (NF) cases.
of the cavern affected the vertical displacements of the cavern roof. However, opposite phe-
nomena were observed for cavern wall displacements, except for the case where the fault is
present at the right side of the cavern wall, as shown in Figures 5(c) and 6(c). It was gen-
erally observed that the full top heading excavation usually resulted in the smallest cavern
roof displacement, for all locations of fault. For cases involving sequential excavation of the
top heading in the vicinity of a fault, excavation sequences of R-M-L and M-R-L resulted in
much smaller cavern roof displacements, as compared to the excavation sequences of L-M-R
and M-L-R.
Comparison between Figures 5(a) and 6(c) shows that the displacement of the left cavern
wall is smaller than the displacement of the right cavern wall, for cases involving fault at
left and right side of the cavern walls, respectively. However, various top heading excavation
sequences of a cavern seem to have negligible effect on the displacement of the cavern wall,
except for the case where the fault is presence at the right side of the cavern wall. As expected,
full top heading cavern excavation induced largest displacement of the right cavern wall as
433
Figure 6. Horizontal displacement at Right Wall for various top heading excavation sequences of
cavern for fault (F) and no-fault (NF) cases.
compared to excavation sequence R-M-L, whereas excavation sequence L-M-R induced the
smallest cavern wall displacement, as a result of minimal stress relief of the rock mass for
excavation sequence L-M-R.
In general, top heading excavation sequences R-M-L and L-M-R of a cavern for cases
involving fault at the left and right side of a cavern, respectively, induced the smallest num-
ber of plastic points. These observations demonstrate that the initial excavation of a drift
further away from the fault could induce smaller stress relief of rock mass, in turn, min-
imised the excessive stresses from being generated around the cavern. Although comparisons
between cases involving fault intersecting the cavern and no-fault case show negligible effect
on the displacements of the cavern walls, the effect of fault on the displacement of the cavern
roof and plastic points generated around the cavern is considered significant, as shown in
Figures 4(b), 4(d) and Table 2.
434
For no-fault case, full top heading excavation resulted in the smallest displacement of the
cavern roof whereas similar displacement magnitude of the cavern roof was observed for
both excavation sequences L-M-R and M-L-R, with negligible effect of excavation sequences
observed for the displacement of the cavern walls. Among the effects of the three excavation
sequences for no-fault case, the least number of plastic points was observed for excavation
sequence M-L-R, followed by full heading excavation. These phenomena may be attributed
to the more prominent arching effect that occurred around the cavern roof for excavation
sequence M-L-R.
6. Conclusions
A series of numerical parametric studies has been conducted to investigate the effects of
an adjacent fault on stresses and displacements induced around an underground cavern.
The geotechnical properties of sedimentary rocks of Jurong Formation of Singapore were
adopted.
For the effects of fault locations, the presence of fault facing the right wall of the cavern
resulted in greater overall cavern displacements, as compared to the fault facing the left
wall of the cavern. However, the opposite was true for stresses induced around the cavern.
It was also found that excavating a cavern through a fault induced almost similar trend
and magnitude of overall cavern displacements as compared to no-fault case, where greater
plastic point distribution was observed for the case involving a fault intersecting the cavern.
This suggests that constructing a cavern through a fault may not necessary be considered
as an unfavourable case. In addition, the effects of fault locations were observed to become
negligible at fault distance of greater than 1.5W from cavern centreline.
For cases involving various top heading excavation sequences with fault adjacent to the
cavern walls as well as intersecting the cavern, the effects of cavern excavation sequences
on displacement of the cavern roof is more significant than cavern walls, except for the case
where the fault is at the right side of the cavern walls. While full top heading excavation
sequence resulted in the smallest displacement of the cavern roof for fault and no-fault cases,
excavation sequences L-M-R and R-M-L generally induced lesser stresses and wall displace-
ments for cases involving a fault at each right side and left side of the cavern wall, respectively.
References
1. Bieniawski, Z.T. 1984. Rock mechanics design in mining and tunneling. Balkema, Rotterdam,
272 pp.
2. Zhao, J., Lee, K.W., Choa, V., Liu, Q. and Cai, J.G. 1999. Underground cavern development in the
Jurong Formation of sedimentary rocks. Nanyang Technological University, Singapore, 100 pp.
435
Numerical Experiment on Thermo-mechanical Behavior of
Jointed Rock Masses Under Cryogenic Conditions
S.K. CHUNG1 , E.S. PARK1,∗ , Y.B. JUNG1 AND T.K. KIM2

1 Korea Institute of Geoscience and Mineral Resources, Korea
2 SK Engineering and Construction Co., Ltd., Korea
1. Introduction
One of the most important problems related to the underground storage of the cryogenic
material is to prevent the leakage of the liquid and the gas from the containment system to
the rock mass caused by the shrinkage of the rock mass around the caverns due to the tensile
stresses (Monsen & Barton, 2001).
Failures of the underground storage system of the cryogenic material (e.g. Liquefied
Natural Gas) were mainly due to the thermal stresses generating cracks in the host rock
and the thermal cracks contributed to induce the gas leakage and to an increase in the heat
flux between LNG (boiled temperature: −162◦ C) and the surrounding rock mass. If the stor-
age is unlined and frozen down to −162◦ C, the rock joints start to open followed by flowing
of a part of the gas into the joints and continues cooling the rock wall. This will successively
reopen the joints, and heavily increase the cooled area and the extent of the cooling front
(Park et al., 2006). The way to prevent a hard rock mass from cracking under cryogenic con-
ditions would be to locate the unlined storage cavern deep enough below the ground level so
that the geostatic stresses counterbalance the tensile stresses caused by cooling. On the other
hand, in-ground insulated concrete tanks have been developed as a reliable LNG storage
technique (Amantini & Chanfreau, 2004). A new concept for storing LNG in a lined rock
cavern has been developed and is based on the combination of a containment system against
thermal shock and a drainage system against freezing of the surrounding rock masses.
The thermo-mechanical behavior of the discontinuous rock masses would be different from
that of the intact rock because joints in rock masses can affect the crack expansion under
cryogenic conditions. Numerical simulations using the PFC 2D code were performed to figure
out the thermo-mechanical behavior of the jointed rock mass around LNG storage cavern.
An important goal of the numerical simulation was to investigate the effect of joints on the
formation of new cracks during the cooling down phase.
2. Fracture Mechanics Related to Cryogenic Conditions

2.1. Generation of new cracks
From a previous study (Lee, 1993), it has been known that when the rock is cooled slowly,
thermal cracks are generated because of the dissimilarity of the thermal expansion between
the rock components. Dahlström (1992) also mentioned that from the results of the Acoustic
Emission experiments on the granite by Shell, the generation of micro crack was started from
−50◦ C. When a thermal stress induced by cooling down exceeds the tensile strength of rock,
micro cracks could be created.
However, there is an effect of compensating tensile stresses with the thermal stresses induced
by cooling down because the in-situ stresses (compression) are present in the rock masses. As
∗ Corresponding author. E-mail: espark@kigam.re.kr

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0068 437
Figure 1. A modified criterion of restraint of crack generation.
a result, the crack generations due to the thermal shock would be suppressed. The criterion
of the LNG storage suggested by Goodall et al. (1989) is given as follows.
In-situ stress + tensile strength > thermal stress (1)

The tensile strength of the rock mass in the Equation (1) can be excluded because it is gen-
erally assumed that the rock mass has no tensile strength for the numerical simulations.
Consequently the cracks are not created when the induced thermal stress is smaller than the
minimum compressive stress in the surrounding rock masses as shown in Fig. 1. However
this modified criterion is considered as a quite conservative one. Further studies are needed
to validate and improve it.
2.2. Propagation of pre-cracks

The expansion of pre-cracks in the discontinuous rock masses is much easier than the gener-
ation of new cracks in the intact rock if the temperature in the rock mass falls down. It means
that the propagation of the pre-cracks could be initiated under the low thermal contraction
because the mechanical characteristics of the discontinuities are less competent than those of
the intact rock.
Groundwater usually flows through the discontinuities of the rock masses and it would
remain locally in the discontinuities if the groundwater in the rock masses around the cav-
erns was badly drained during the construction of the caverns. As a result, the remaining
groundwater in the discontinuities could be frozen and the frost heaving pressures would be
generated during the LNG storage. And it affects the propagation of the pre-cracks within
the rock masses.
The propagation mechanism of a pre-crack could be explained by the relationship between
the stress intensity factor (K) and the fracture toughness (Kc) at the crack tip as in Fig. 2.
3. Thermo-Mechanical (T-M) Analyses

3.1. Determination of basic properties
Generally a temperature drop under the cryogenic conditions shrinks the surrounding rock
masses, and consequently a tensile stress will occur. It means that a tensile strength of the
intact rock is very important for the generation of crack during the cooling down stage.
Therefore based on the tensile strength of the intact rock, the micro properties of the PFC
model were determined by trial and error. About the same numerical samples, a total of 10
438
Figure 2. A criterion of suppression of crack propagation.
(a) Numerical sample (b) Direct tensile simulation
Figure 3. A numerical sample and simulation for determining basic properties.
direct tensile simulations were performed (see Fig. 3). The sample has a tensile strength of
7.6 ± 0.5 MPa for the numerical simulations.
3.2. Thermal stresses induced by a temperature drop

The T-M analyses were carried out to find the distribution of the induced thermal stresses
only without the initial stresses in a model. Fig. 4 shows the model configuration and the
boundary conditions for the T-M analyses. The dimension of the model is 2m high × 2m
wide, and the displacements of all the boundaries are constrained to induce the thermal
stresses from shrinkage. Table 1 represents the results of the T-M analyses due to the temper-
ature drop. When the temperature drops or the thermal expansion coefficient is increased,
the magnitude of the induced thermal stresses becomes larger.
Based on the design concept of the underground LNG storage, a minimum temperature
of the surrounding rock mass does not have to drop below −50◦ C after 30 years of LNG
storage operation. According to this criterion, if a maximum temperature drop is assumed
to be −70◦ C (initial temperature of rock mass: 20◦ C), the thermal stress in the model is
calculated as a tensile stress equivalent to 6.42MPa with 2.62 × 10−6 /◦ C, 13.37MPa with
5.78 × 10−6 /◦ C respectively.
439
Figure 4. Numerical model for T-M analysis.
Table 1. Induced thermal stresses according to thermal contraction coefficients.

Temperature drop (T) Thermal contraction coefficient
2.62 × 10−6 /◦ C 3.711 × 10−6 /◦ C 5.78 × 10−6 /◦ C
−40◦ 3.95MPa, 3.89MPa 5.33MPa, 5.24MPa 7.93MPa, 7.80MPa

Table 2. Calculated thermal stresses according to a temperature drop.

Temperature drop (T) σxx (horizontal stress), σyy (vertical stress)
−40◦ C 5.33MPa, 5.24MPa

−50◦ C 6.49MPa, 6.39MPa
−60◦ C 7.66MPa, 7.54MPa
−70◦ C 0.01MPa, 0.08MPa
−90◦ C 0.08MPa, 0.33MPa
3.3. Fracture analyses for an intact rock

Fracture analyses are performed to figure out the temperature of the crack initiation for an
intact rock model. The model considered has a tensile strength of 7.6MPa and a thermal
expansion coefficient of 3.711 × 10−6 /◦ C under no initial stress. Table 2 represents the hor-
izontal and the vertical stresses in the model caused by a temperature drop.
Figure 5 shows the fracture patterns caused by the temperature drop. As the temperature
drop increases, the induced thermal stresses also become larger before the fractures are cre-
ated. When the thermal stresses is larger than the tensile strength of the intact rock model
(7.6MPa), the fracture initiated below −60◦ C and the magnitudes of the induced stresses are
440
Temp. drop: -70 Temp. drop: -80 Temp. drop: -90
Figure 5. Fracture patterns due to the temperature drop.
(a) 2D trace sections (b) One joint set model (c) Two joint sets model (d) Three joint sets model
Figure 6. Joint set models for thermo-mechanical analyses.
decreased steeply below −70◦ C. And the fractures are distributed on the whole area of the
model at −90◦ C.
3.4. Fracture analyses for jointed rock masses

In order to find out the effect of discontinuities on the crack occurrence and the propagation
in the rock masses under the cryogenic conditions, the coupled T-M analyses were carried
out on a different number of joint sets and the mechanical properties of the joints.
The PFC model is built as the following steps. First, the intact rock is modeled as a sin-
gle rock block of the model size. Then the fracture traces are integrated in the model. The
fracture model in PFC2D was generated from 2D trace sections extracted from the 3D DFN
model developed for Äspö ZEDEX tunnel — see Fig. 6(a). A fracture is identified as a con-
tact that exists between particles that fall on the opposite sides of the joint plane. The frac-
tures are modeled by generating bands of the particles within the matrix. Band particles are
assigned the micro-properties which are different to those possessed by the matrix particles.
Figure 6(b)–(d) shows some PFC jointed rock mass models for the T-M analyses. The dimen-
sion of the model is 30m high × 30m wide, and the displacements of all the boundaries are
constrained to induce the thermal stresses from shrinkage.
Figure 7 shows the results of T-M analyses on the different number of the joint sets with
the constant joint properties. As the number of the joint sets increase, the amount of the
crack occurrence has reduced. Cracks were formed and expanded at a lower temperature as
the joints exist in the PFC models.
441
(a) One joint set model (b) Two joint sets model (c) Three joint sets model
Figure 7. Crack patterns occurred in the model with different number of joint sets (temp. drop =
−60◦ C).
(a) 1/10 of fresh rock (b) 1/10,000 of fresh rock (c) 1/10,000,000 of fresh rock
Figure 8. Crack patterns occurred in the model with different joint properties (One joint set model).
Figure 8 shows the results of the T-M analyses by one joint set model with the different
joint properties when a temperature drop is −60◦ C. As the joint properties decrease, the
amount of crack occurrence has reduced.
As shown in Fig. 6 and 7, new cracks are created and propagated mostly along the joints
during cooling down. It could be thought that because the mechanical properties of the
joints are much weaker than those of the surrounding rock, the joints opened wider due to
the contraction occurred by cooling down of the rock mass. Consequently an induced stress
is concentrated at the tip of the crack and it causes a gradual expansion of the cracks.
4. Conclusions
The following conclusions are obtained from the T-M coupled analyses using the PFC2D
code:
• The magnitude of the induced thermal stress becomes larger when the temperature
drop as well as the thermal expansion coefficient is increased. But its magnitude is
decreased steeply below −70◦ C from which the fracture initiates and then the cracks
are created considerably on the model as the temperature drops further.
• Based on the new design concept for the LNG storage, a minimum temperature of
the surrounding rock mass should be kept above −50◦ C even after 30 years of the
LNG storage operation. According to this criterion, if a maximum temperature drop
442
is assumed to be −70◦ C (initial temperature of rock mass: 20◦ )C, the calculated
thermal stress was a tensile stress equivalent to 6.42 MPa with 2.62 × 10−6 /◦ C,
13.37 MPa with 5.78 × 10−6 /◦ C.
• Cracks are formed and expanded at a lower temperature when a pre-crack exists in
the model. It would be thought that as the mechanical properties of the cracks are
much poorer than those of the surrounding rock, a pre-crack becomes easily wider
due to the displacements occurred by the cooling-down of the rock mass, an induced
stress is concentrated at the tip of the pre-crack and it causes a gradual expansion of
the cracks.
• As the number of the joint sets increase or the joint properties decrease, the amount
of the crack occurrence has been reduced. So it could be thought that the presence
of the joints in the rock masses plays an important role in the creation and the
propagation of the cracks under the cryogenic conditions.
The results of the study are not entirely comparable with the observations from the real
sites due to the complicated geological and the groundwater conditions. However, it could
be possible to estimate qualitatively the mechanisms of fracture with the PFC2D models.
Acknowledgements
This study was funded by the Korea Institute of Construction & Transportation Technology
Evaluation and Planning under the Ministry of Construction & Transportation in Korea
(Grant No. 05-D10, Development of Water Control Technology in Undersea Structures).
References
1. Amantini, E. and Chanfreau, E., “Development and construction of a pilot lined cavern for LNG
underground storage”, 14th International conferences & Exhibition on Liquefied Natural Gas,
Doha, Qatar, 2004, PO–33.
2. Chung, S.K., Park, E.S. et al., “Study on the design parameters for an underground LNG storage
system in lined rock cavern and analysis of results from by a pilot test”, Research report by KIGAM
submitted for SKEC, 2004, p. 144 (In Korean).
3. Dahlström, L.O., Swedenborg, S. and Evans, J., “Localization of underground hydrocarbon gas
storage caverns in respect to performance criteria”, Proc. World Tunnelling Conference, 2004, C29:
1–8.
4. Glamheden, R. and Lindblom, U., “Thermal and mechanical behavior of refrigerated caverns in
hard rock”, Tunnelling and Underground Space Technology, 2002, 17: 341–353.
5. Lee, H.W., A study on thermal cracking and temperature dependence of strength and deformation
behavior of rocks, Ph.D Thesis, Seoul National University, 1992, p. 196.
6. Monsen, K. and Barton, N., “A numerical study of cryogenic storage in underground excavations
with emphasis on the rock joint response”, Int. J. of Rock mechanics & Mining Sciences, 2001, 38:
1035–1045.
7. Park, E.S., Chung, S.K., Kim, H.Y. and Lee, D.H., “Simulation of fracture mechanics for rock
masses under very low temperature conditions”, 4th Asian Rock Mechanics Symposium, Singapore,
2006, p. 276.
443
UDEC Simulation of Block Stability Analysis around a Large
Cavern
A. SOOKHAK1 , A. BAGHBANAN1,∗ , H. HASHEMALHOSSEINI1 AND M. BAGHERI2

1 Mining Engineering Department, Isfahan University of Technology (IUT); Isfahan; IRAN
2 Division of Rock and Soil Mechanics, Royal Institute of Technology (KTH), Stockholm, Sweden
1. Introduction
Evaluation the volume of possible unstable blocks, analysis of block stability and estimation
of minimum required support patterns for blocky rocks are important steps in underground
excavation design. One of the most serious problems in tunnel excavation is the accidental
falling of rock blocks that are formed by the intersection of the tunnel surface and disconti-
nuities in the rock mass. Prediction and prevention of falling blocks demands a removability
analysis on the rock blocks based on a precise characterization of discontinuities in the rock
masses around the tunnel. The volumes of possible unstable blocks are evaluated using Dis-
crete Fracture
Network (DFN) method and the forces acting on blocks and designed support patterns are
also estimated using numerical methods such as Distinct Element Method (DEM) approach.1
In DFN modeling the fracture system geometry based on stochastic representations of frac-
ture systems, using the probabilistic density functions of fracture parameters (e. g. orien-
tation, size and location and aperture) formulated according to field mapping results. DFN
presents a more realistic representation of geology and fracture network geometry. The prob-
lem in generated DFN models is calibration for making representative realizations of DFN.
Using some statistical tests such William-Watson (W-W) test the most fitted DFN models
with mapped fracture in the field are selected for block stability analysis. The W-W test is a
statistical test of means for spherical data which is conducted on the composite data set to
determine the equivalency on the mean fracture orientations from two sets of observations.1
The DEM for modeling discontinues media is relatively new and focuses mostly on appli-
cations in the fields of fractured or particulate geological media. The essence of the DEM is
to represent the fractured medium as assemblages of blocks formed by connected fractures
in the problem domain, and solve the equations of motion of these blocks through contin-
uous detection and treatment of contacts between the blocks. The blocks can be rigid or
be deformable with FDM or FEM discretizations. Large displacements caused by rigid body
motion of individual blocks, including block rotation, fracture opening and complete detach-
ments is straightforward in the DEM, but impossible in the FDM, FEM or BEM.2 The DEM
approach, either explicit or implicit, has become a powerful numerical modeling tool simply
because of its flexibility in handling a relatively large number of fractures, for either purely
mechanical problems or for coupled THM processes.2 The main difficulty for the DEM mod-
eling is the uncertainty about the fracture system geometry, and the effect of this uncertainty
on stability of excavations.
The design of reinforce excavation usually requires a number of simplifying assumptions to
render the problem tractable. A methodology is proposed which is built on the foundations
of block theory laid down by Ref. 3,4. This is consolidated into a rational approach and
supplemented with reinforcement design for unstable blocks. Methodologies for excavation
design have been presented by Ref. 5. In this procedure, if an excavation is assessed to be
∗ Corresponding author. E-mail: bagh110@cc.iut.ac.ir

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0072 445
unstable it needs to be redesigned or a reinforcement scheme proposed. If a reinforcement

scheme is proposed, it must also be assessed to indicate if modifications are required to
improve stability or to optimize design.
The behavior of jointed rock is characterized by the nature and disposition of discon-
tinuities. The near by discontinuities to excavation define the surface block assembly and
influence its stability. When a set of reinforcement is installed through the surface blocks, it
intersects and reinforces the block faces. Block movement is defined by three translational
displacements towards the excavation. These displacements subject the reinforcement at the
discontinuities complex combinations of tension and shear with components of bending, tor-
sion and compression. Experience has shown that reinforcement is most effective under low
stress conditions that accompany surface block instability. This leads us to believe that rein-
forcement schemes for excavations in jointed rock can be designed using a number of simple
concepts based on the examination of the assemblage of surface blocks. Examples of several
forms of reinforcement behavior are shown in Figure 1.5
In this study firstly the generated DFN models are verified by the W-W test and assigned
to the DEM model as the geometric basis for the block stability analysis using Universal
Distinct Element Code (UDEC). The UDEC is a two-dimensional numerical program based
on the distinct element method for discontinuum modeling. UDEC simulates the response
of discontinuous media (such as a jointed rock mass) subjected to either static or dynamic
loading. The discontinuous medium is represented as an assemblage of discrete blocks. The
discontinuities are treated as boundary conditions between blocks; large displacements along
discontinuities and rotations of blocks are allowed. Individual blocks behave as either rigid
or deformable material. The relative motion of the discontinuities is also governed by linear
or non-linear force-displacement relations for movement in both the normal and shear direc-
tions. UDEC is based on a “Lagrangian” calculation scheme that is well-suited to model the
large movements and deformations of a blocky system.6
Two types of reinforcement model are provided in UDEC: local and global reinforcement.
A local reinforcement model considers only the local effect of reinforcement where it passes
through existing discontinuities. A global reinforcement model considers the presence of the
reinforcement along its entire length throughout the rock mass. Surface support consists of
concrete lining, steel sets, shotcrete, etc. that are placed on the surface of an excavation
Figure 1. Reinforcement actions at opening and shearing discontinuities, after.5
446
Table 1. Input geometrical parameters of fracture sets in this study.

Orientation set Coefficient, k Fracture Intensity Length Distribution Parameter
(Dip/DipDirection) For Fisher Percentage (P20 ) Distribution Mean Std. Dev.
Distribution (%) (m) (m)
1 (80/155) 7.63 22 0.062 Lognormal 4.8 1.7

2 (85/260) 9.81 11.3 0.032 Lognormal 4.5 1.4
3 (80/50) 9.81 11.3 0.032 Lognormal 4.5 1.4
4 (90/25) 7.63 22 0.062 Lognormal 4.8 1.7
5 (30/190) 7.63 22 0.062 Lognormal 4.8 1.7
6 (70/90) 9.81 11.3 0.032 Lognormal 4.5 1.4
and, in many cases, act to truly support, in whole or part, the weights of individual blocks
isolated by discontinuities or zones of loosened rock.6 For a large excavation the combination
of shotcrete (for stability of small blocks) and bolt pattern for stability of all primary and
secondary blocks3 is applicable and used in this research work.
In this paper, estimating block volumes based on the DFN generation are first explained.
Then the design methodology for estimating block stability and support pattern using DEM
approach are described. The results of block stability analysis and support design for a large
excavation are presented in Section 4 and finally we draw some conclusion and discuss about
results in Section 5.
2. Estimation Method for Block Volumes Around Excavations

Dershowitz and Einstein introduced two major approaches for describing the assemblage of
geometric joint characterization (disaggregate and aggregate). In the disaggregate approach,
the joint characteristics such as fracture orientation and length are described separately by
their distributions; however In the aggregate approach, the interdependence of fracture char-
acteristics is captured through the joint system model.7,8 The DFN analysis is based on the
second approach.
2.1. DFN generation

A large number of stochastic DFN realizations are generated based on the field results of a
cavern in southeast Sweden as reported in Ref. 8 as shown in Table 1. Using W-W statistical
test the most fitted DFN models among the 1000 DFN realizations, with mapped fracture in
the field are selected for block stability analysis. The real fracture pattern in this site of study
was taken from one cross-cut tunnel perpendicular to the cavern axis. A FORTRAN code
was developed based on the W-W test to check the compatibility of DFN realizations with
the results of fracture mapping.
3. Block Stability Analysis

In this study, block stability around the cavity was analyzed by numerical DEM method.
The geometric dimensions of a horseshoe cavern are 115 m length, 21 m width and 27 m
height, and it has been located horizontally in direction of N12E. The maximum measured
principal stress is horizontal direction and oriented E-W with magnitude of 6 MPa. The
intermediate stress is 4 MPa in N-S in horizontal plane, and minimum principal stress is in
447
Table 2. Mechanical properties of intact rock and fractures.

Intact rock Elastic modulus (GPa) Poisson’s ratio Compressive strength (MPa)
77.0 0.27 161
Fractures Basic friction Residual friction Normal stiffness Shear stiffness

angle angle (MPa/mm) (MPa/mm)
34 27 100 29
Table 3. Property of bolts and shotcrete.

Tensile Bond Axial Shear Ultimate 12 “active” length (m)
Capacity strength Stiffness Stiffness Shear
Bolts
(MN) (MN/m) (N/m) (N/m) Capacity (N)
0.31543 0.3467 2.483×109 0.285×109 0.029 × 106 0.5
Shear Unit Elastic Poisson’s Tensile Residual Compressive

strength Weight Modulus Ratio Yield Tensile Yield
Shotcrete (MPa) (MN/m3 ) (Pa) Strength Yield Strength
(Pa) Strength (Pa) (Pa)
2 0.024525 18×109 0.15 450 × 106 450 × 106 20 × 106
vertical direction which varies by value of overburden. The input mechanical properties of
intact rock and fractures are presented in Table 2 and Mohr-Coulomb criterion has been
used for stability analysis by UDEC. It should be noted that these parameters serve only
as data sources for generations of more realistic model for generic study not for a case of
site application. The results presented and conclusions reached have therefore no link to the
actual site condition at all.
3.1. DEM methodology for rock block stability

The DEM technique is based on the equations of motion of rigid or deformable bodies.
Although the assumption of a rigid body is a simplification, in some circumstances such as
the cases involve large-scale movement on discontinuities this idealization is quit practical.8
In this study firstly the generated DFN models are verified by the W-W test and assigned to
the DEM model as the geometric basis for the block stability analysis using UDEC code. We
firstly simulate the model without any excavation till equilibrium condition is satisfied. The
volumes of possible failed blocks are calculated after cavern is excavated and different bolt
patterns are examined until all blocks become stable. The common mechanical properties of
reinforcement and shotcrete are reported in Table 3.
4. Results
Volume of potential failure blocks and required support patterns for the most compatible
DFN realizations with field fracture mapping are numerically evaluated. Fig. 2 show the fre-
quency (Fig. 2(a)) and cumulative (Fig. 2(b)) distribution of potential unstable block volumes.
Although some large block volumes exist in some models, however the calculated mean value
of block volumes is 2.06 m3. As can be seen the unstable block volumes follow the lognor-
mal distribution function (Fig. 2(a)). About 80 percent of the unstable block volumes are less
448
200
100
95
Loc -1.158
Scale 2.080 80
150 N 210
60
PCDF (%)
Frequency
100
40
Loc -1.158
50 Scale 2.080
20 1.8 9.6 N 210
0
0
0 4 8 12 16 20 0 10 20 30 40
block volume block volume
a) b)
Figure 2. Distribution of key block volume from DFN-DEM analysis (a), and probabilistic cumulative
distribution graph of unstable blocks volume (b).
than 1.809 m3 and 95 percent are less than 9.6 m3 . Which means that small block volumes
are dominated (Fig. 2(b)).
Figure 3 shows an example of block stability analysis of DFN-DEM analysis. The red
arrows show the displacement vectors and boundaries of blocks are represented in green line.
Figure 4 shows a proposed bolt pattern around the wall and roof of cavern. The sequence
of support design procedure from unstable blocks, insufficient and minimum required bolt
pattern for stability of blocks are illustrated in figure 5. Both primary and secondary blocks
(according to the Goodman and Shi definition) may cause the block instability hazard (Fig.
5(a)) and therefore they both need some reinforcements. Beside the mechanical properties of
bolts and shotcrete, density and also length of installed bolts around the cavity are important
parameters in minimum required support pattern for stability of an excavated underground
space. The effects of two lather parameters (bolt density and lengths) on stability of cavern
are considered in this research work. Therefore the total required bolt lengths are evaluated
for different DFN models. Fig. 5(b) shows insufficient 3 m spacing and 1 m bolt length which
was stabilized by a 6m length with 1m spacing pattern of bolts in Fig. 5(c).
Table 4 shows minimum required bolt patterns of 8 DEM models and Fig. 6 show the
frequency distribution (Fig. 6(a)) and also empirical cumulative distribution of required bolt
lengths (Fig. 6(b)) for all fifteen models.
Mean value of required bolt length is 228 m. Like the unstable block volumes distribution
the lognormal distribution function is well fitted with the required bolt length. More than 80
percent of DEM models need only 309.3 m bolt which means that the bolt pattern with 1m
Table 4. Result of DFN-DEM analysis.

DFN number 1 2 3 4 5 6 7 8
blot length (m) 15 3 9 6 3 3 6 15

bolt spacing (m) 5 7 7 1 5 3 3 1
number of bolt 14 11 11 68 14 23 23 68
total blot length (m) 210 33 99 408 42 69 138 1020
449
Figure 3. Failed blocks around the cavern.
Figure 4. Position of bolts in wall and roof cavern.
spacing and 5m length is the mostly sufficient bolt pattern for cavern stability. However only
5 percent of DEM models demand relatively heavy support pattern which is a pattern with
1m spacing and 12 m length of bolts (Figure 6b).
5. Conclusions
Block stability analysis around a large excavation is analyzed with DFN-DEM approach.
Different combination of geometric parameters of fracture sets are selected and unstable
block volumes and minimum required support pattern are estimated probabilistically using
DEM. For generated and calibrated DFN models, a series of numerical DEM modelling
are performed to measure volume of potential unstable blocks and also minimum required
support pattern.
The following results are deduced from our numerical experiment:
• DEM modelling is a very strong tool for stability analysis in large underground excava-
tion in blocky rocks and make a more realistic evaluation for support pattern in engi-
neering works.
450
a) b)
c)
Figure 5. Unstable blocks without any support (a), insufficient of bolt pattern with bolt length of 3m
and spacing of 1m (b), and stable model with bolt pattern of 6m length and 1m spacing (c).
100
20 95
Loc 4.763
Scale 1.154
80
N 15
15
60
PCDF (%)
Frequency
10 40
Loc 4.763
20 309.3 781.2 Scale 1.154
5
N 15
0
0
0 250 500 750 1000 1250 1500 0 200 400 600 800 1000 1200 1400 1600 1800
bolt length (m) bolt length (m)
a) b)
Figure 6. Distribution of required bolt patterns in DFN-DEM analysis (a), and probabilistic cumula-
tive distribution function of bolt length (b).
• Using W-W statistical test, most compatible DFN realizations with field mapping of frac-
tures are selected.
• Probabilistic design provides a flexible tool for engineers to design different support pat-
terns based on the importance of a project and confident level.
451
• In our study, both unstable block volumes and total required bolt lengths follow lognor-
mal distributions.
• Small block volumes are dominated and 80 percent of the unstable block volumes are
less than 1.809 m3 .
• More than 80 percent of DEM models need only 309.3 m bolt which means that the bolt
pattern with 1 m spacing and 5 m length is the mostly sufficient bolt pattern for cavern
stability at this confident level.
References
1. Baghbanan, A. and Sookhak, A. Hashemalhosseini, H. Bagheri, M., “Block stability analysis
around a large cavern using probabilistic approach” , EUROCK2009, Cavata, Croatia, (Accepted
for publication).
2. Jing, L., “A review of techniques, advances and outstanding issues in numerical modeling for rock
mechanics and rock engineering”, in J. Rock Mechanics and Mining Sciences, 2003, pp. 283–353.
3. Goodman, R.E. and Shi, G.H., “Block theory and its application to rock engineering”, 1985.
4. Priest, S.D., “Discontinuity Analysis for Rock Engineering”, 1993.
5. Windsor, C. and Thompson, A., “Reinforcement design for jointed rock masses, Presented at 33rd
US Symposium on Rock Mechanics”, 1992.
6. Itasca Consulting Group Inc, UDEC User’s guide, ver 4.0, Minneapolis, Minnesota, 2004.
7. Dershowitz, W.S. and Einstein, H.H., “Characterizing Rock Joint Geometry with Joint System
Models, Rock Mechanics and Rock Engineering”, 1998, pp 21-51.
8. Bagheri, M. and Baghbanan, A. and Stille, H., “Some aspects on model uncertainty in the calcu-
lation of block stability using kinematics limit equilibrium”, in Proc American Rock mechanics
Symposium, SanFrancisco 2008.
452
The Application of Meshless Methods in Analysis of Discontinuous
Deformation
M. HAJIAZIZI∗
Assistant Professor, Semnan University, Iran
1. Introduction
The computational problems in engineering branch grow ever more in some fields like crack
propagation, fragmentation and large deformation in the simulation of manufacturing pro-
cesses for solid and liquids, etc. One needs to model the large deformation and crack propaga-
tion properly with arbitrary paths. The analysis of these problems with conventional compu-
tational methods such as finite element and finite difference are not well proper. The analysis
of large deformation problems by the methods based on meshes may require the remeshing of
the domain in each step of the evolution. This strategy is proper for method based on meshes
but introduce numerous difficulties. The continuous remeshing of the domain in each step of
the evolution leads to degradation of accuracy and complexity in the computer program and
the time-consuming mesh generation. Over the past three decades, many researchers have
come to realize that so-called meshless methods can be developed that eliminate the meshes
and their difficulties. In the meshless methods there are only nodes.
Although must be taken to meshes in at least parts of the some of meshless methods, often
be treated without remeshing in shape function with minor costs in accuracy degradation.
In this manner some of meshless methods basically require no meshes in background, such
as Finite Point Method (FPM).1 Therefore using methods based on meshes to solve large
classes of problems or three dimensional problems are very awkward. About thirty years
ago until recently many researchers have developed types of meshless methods. T.P. Fries and
H.G. Matthies2 published a special issue on meshless in July 2004 that is classification and
overview of meshfree methods. They introduced type of meshless methods such as Smooth
Particle Hydrodynamics (SPH), Diffuse Element Method (DEM),3 Element Free Galerkin
(EFG),4 Least Squares Meshfree Method (LSMM), Meshfree Local Petrov Galerkin (MLPG),
Local Boundary Integral Equation (LBIE), Partition of Unity Methods (PUM), hp clouds,
Natural Element Method (NEM),5 Meshless Finite Element Method (MFEM), Reproduc-
ing Kernel Element Method (RKEM). In this paper EFG method is used with enforcing the
essential boundary conditions is applied penalty method and the example is shown good
results.
2. Element Free Galerkin Method (EFG)

Belytschko et al.6 modified the constructing shape function for Diffuse Element Method
(DEM). They named it the Element Free Galerkin (EFG) method. The Moving Least Squares
(MLS) approximation procedure related to construct shape function for EFG method. The
MLS approximation uh (x) is defined in the form of

m
h
(x) = pj (x)aj(x) ≡ pT (x)a(x) (1)
j=1
∗ Corresponding author. E-mail: mhazizi@yahoo.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0074 453
where pj (x) are monomials of basis function in the space coordinates

xT = [x,y,z] (2)
PT(x) in 1D space is provided by
PT (x) = [1,x,x2 , . . . ,xm ] (3)
and in 2D space
PT (x,y) = [1,x,y,xy,x2 ,y2 , . . . ,xm ,ym ] (4)
and in 3D space, we have
PT (x,y,z) = [1,x,y,z,xy,yz,zx,x2 ,y2 ,z2 , . . . ,xm ,ym ,zm ] (5)
where m is the number of terms of monomials (polynomial basis). a(x) is a vector of coeffi-
cients and is obtained at any point x by minimizing J.

m
J= w(x − xI )[pT (xI )a(x) − uI ]2 (6)
i=1
where J is a function of weighted residual and constructed using the approximated values of
the field function. The stationary of J with a(x)
A(x)a(x) = B(x)u (7)
or
a(x)=A−1 (x)B(x)u (8)
where

n
A(x)= wI (x)pT (xI )p(xI ) (9)
I=1
B(x)=[w1 (x)p(x1 ),w2 (x)p(x2 ), . . . ,wn (x)p(xn )] (10)
u=[u1 ,u2 , . . . ,un ] (11)
Substituting the Equation (8) into (1) leads to

n
m
uh (x) = pj (x)(A−1 (x)B(x))jI uI (12)
I=1 j=1
or

n
uh (x) = I (x)uI (13)
I=1
where the MLS shape function I (x) is defined by

m
I (x) = pj (x)(A−1 (x)B(x))jI ≡ pT (x)A−1 (x)B(x) (14)
j=1
The partial derivative of I (x) can be obtained as follows

m
I,i = pj,i (A−1 B)jI + pj A−1 (B,i − A,i A−1 B)jI (15)
j=1
454
The weight function wI (x) is positive and an important coefficient. In this paper it is

1 − 6s2 + 8s3 − 3s4 for: dI <= r
wI (x) = (16)
0 for: dI > r
where s = dI /r, dI = x-xI , r = influence domain.

The weight function is large for xI close to x and is small for xI far from x and is zero for
out of influence domain.
3. Displacement, Strain and Stress

The displacement of any point in the domain is obtained by
uh (x) = (x)u (17)

where (x) is shape function and it is defined by
(x) = pT (x)A−1 (x)B(x) (18)
ua is the displacement vector of nodes in the influence domain x.
The displacement vector of nodes is obtained from equilibrium equation. The equilibrium
equation can be obtained from variational principle. The functional of the total potential
energy of a material is given by
= b + f + p (19)
where b is the elastic strain energy of block. f is the potential energy of the body force fe
and p is the potential energy of the concentrated force p. They are given by
1 1 T

b = te εT Db εdx dy = ub (te BT
b Db Bb dx dy )ub (20)
e e 2 2 e e

f = − uT fe dx dy = − uTb ( NT fe dx dy ) (21)
e e e e

p = − uT pm = − uT T
b (N pm ) (22)
m m
We can obtain equilibrium equation from the stationary of functional in (19). The equi-
librium equation of solid materials is given by
KU = P (23)
where

K= te BT
b Db Bb dx dy (24)
e e

P= NT fe dx dy + NT pm (25)
e e m
U = [u1 ,v1 ,u2 ,v2 , . . . ,un ,vn ]T (26)
where te is the thickness of the material e, n is the total number of nodes in the problem
domain, U is displacement vector related to total number of nodes in the problem domain.
455
The displacement of any point into problem domain is obtained by
u = N.ub (27)
where

1 (x), 0, 2 (x), 0, . . . , n (x), 0
N= (28)
0, 1 (x), 0, 2 (x), 0, . . . , n (x)
and ub is the displacement vector of influence domain x. The Strain and Stress at any point x
are given by
ε = Bb ub (29)
σ = Db Bb ub (30)
where
⎛ ⎞
1,x (x), 0, 2,x (x), 0, . . . , n,x (x), 0
Bb = ⎝ 0, 1,y (x), 0, 2,y (x), 0, . . . , n,y (x)⎠ (31)
1,y (x), 1,x (x), . . . , n,y (x), n,x (x)
and for plain stress state

⎛ ⎞
1υ 0
Db = (E/(1 − υ 2 )) ⎝υ 1 0 ⎠ (32)
0 0 (1 − υ)/2
and for plain strain state

⎛ ⎞
1−υ υ 0
Db = (E/(1 − 2υ)(1 + υ)) ⎝ υ 1 − υ 0 ⎠ (33)
0 0 (1 − 2υ)/2
and
ε = [εx ,εy ,εxy ]T (34)

T
σ = [σx ,σy ,σxy ] (35)
4. The Equilibrium Equation with Enforcing the Essential Boundary

Condition
The nodal value of the interpolation function uh (x) in element free Galerkin method is not
equal to the nodal value of the function u(x). This is causes the shape function of EFG method
is not equal to kronecker delta. Namely
I (xJ ) = δIJ (36)
Thus the essential boundary condition should be imposed. A simple and efficient way for
imposing essential boundary condition is penalty method. The essential boundary condition
456
is
u = û on u (37)
where û is the prescribed displacement on boundary u. The equation is obtained from weak
form Galerkin with enforcing the essential boundary condition and using penalty method as7

T T T
δ(Lu) c(Lu)d − δu . bd − δu . tcd − δ u)T .α. (u −O
(.5)(u −O u)d = 0 (38)
t u
Applying mathematical calculation on (38), the final equilibrium equation is
[K + Kα ]U = P + Pα (39)
where Kα and Pα are obtained for the essential boundary condition using penalty method, as

Kα = α NT Nd (40)
u

Pα = α NT ûd (41)
u
where α is penalty factor. Ideally it is true to use infinite penalty factor. But if it is taken as
infinite or too large, the numerical problems will be encountered. Thus the penalty factor is
a number that the constraints be properly enforced. Usually it is equal to 103E to 1013E and
E is elasticity modulus.
Example. In this example an infinite plate with a circular hole is considered (Fig. 1). The
plate is subjected to a uniform tension in the x direction at infinity. The plane strain state is
4 12 17 22 27
3 11 16 21 26
2 10 15 20 25
1 5 9 14 19 24
6
y 7
x 8 13 18 23
Figure 1. The plate with a hole subjected to a tensile load in the x direction.
457
assumed. The uniform tension is 100 KN. 27 nodes are selected in domain. Radius of circle
is equal to 1m with 5 nodes (No. 1, 5, 6, 7, 8) are selected on boundary of circle qudrature.
Distance between nodes in x and y directions 1m are assumed except for nodes on circle
quadrature. 240 cells and 3 ∗ 3 Guass Qudrature point in each cell is selected in domain.
The weight functions were Quadraticspline. The Poisson ratio and elasticity modulus are
0.3 and 20 GPa respectively. The influence domain and penalty factor are 1.185 and 10 5E
respectively. The results from exact solution and present method are compared. To compare
two methods the results for all nodes in x direction in Figs. 2 to 4 are presented. The results
show good concede between exact solution and EFG (MFree) method. The exact solution
Exact MFree
0.000016
Displacement in x direction(m)
0.000012
0.000008
0.000004
0
0 1 2 3 4 5 6 7 8 9
Nodes number
Figure 2. Displacements in x direction for nodes 1 to 9 in hole plate.
Exact MFree
2.50E-05
Displacements in x direction(m)
2.00E-05
1.50E-05
1.00E-05
5.00E-06
0.00E+00
10 11 12 13 14 15 16 17 18
Nodes number
458
Exact MFree
3.00E-05
Displacement in x direction(m)
2.50E-05
2.00E-05
1.50E-05
1.00E-05
5.00E-06
0.00E+00
19 20 21 22 23 24 25 26 27
Nodes number
for displacement is8

σ (1 + ν̄) 1 2 a2 a2 a4
ux = r cos θ + cos θ + 0.5 cos 3θ − 0.5 3 cos 3θ
Ē 1 + ν̄ 1 + ν̄ r r r

σ (1 + ν̄) −ν̄ 1 − ν̄ a2 a2 a4
uy = r sin θ − sin θ + 0.5 sin 3θ − 0.5 3 sin 3θ
Ē 1 + ν̄ 1 + ν̄ r r r
6. Conclusions
The meshless methods are suitable and easy to use compared to methods based on meshes.
The based on meshes method for large deformations problems such as analysis of discon-
tinuous deformation lead in reduction of speed and degradation of accuracy and complexity
of the calculations. The meshless methods can be used for the analysis of discontinuous
deformation. In this paper the Element Free Galerkin method is used and showed very accu-
rate results. This method can be used in homogeneous and nonhomogeneous problems. The
penalty method is used with enforcing the essential boundary condition that is an approach
in the regard. The element free Galerkin method for discontinuous problems in the elastic
state and in the elstoplastic state is used. Comparing of exact solution and EFG (MFree)
method in examples has shown efficiency and accuracy of EFG method.
References
1. Onate, E., Idelsohn, S., Zienkiewicz, O.C., Taylor, R.L. and Sacco, C., “Stabilized finite point
method for analysis of fluid mechanics problems”, Comput. Methods Appl. Mech. Eng., 139,
1996, pp. 315–346.
2. Fries, T.-P. and Matthies, H.-G., Classification and Overview of Meshfree Methods, Braunschweig
Institut fur Wissenschaftliches Rechnen Technische Universität Braunschweig, July, 2004.
459
3. Nayroles, B. Touzot, G. and Villon, P., “Generalizing the finite element method: diffuse approxi-
mation and diffuse elements” Comput. Mech., Vol. 10, 1992, pp. 307–318.
4. Belytschko, T., Lu, Y.Y. and Gu, L., “Element-Free Galerkin Method.”, International Journal for
Numerical Methods in Engineering, Vol. 37, 1994, pp. 229–256.
5. Sukumar, N., Moran, B. and Belytschko, T., “The natural element method in solid mechanics” Int.
J. for Numerical Method in Engng., Vol. 43, 1998, pp. 839–887.
6. Belytschko, T., Lu Y.Y., Gu, L., “Element-Free Galerkin Method”, International Journal for
Numerical Methods in Engineering, 229–256, 1994.
7. Liu, G.R., Mesh Free Methods: Moving beyond the Finite Element Method, CRC Press, Florida,
2002.
8. Timoshenko, S.P., Goodier, J.N., Theory of Elasticity, McGraw-Hill, New York, 1970.
9. Zhu, T., Atluri, N., “A modified collocation method and a penalty formulation for enforcing the
essential boundary condition in the element free Galerkin method”, Computational Mechanics,
(21), 1998, pp. 211–222.
460
The Optimum Distance of Roof Umbrella Method for
Soft Ground by Using PFC
YUSUKE DOI1,∗ , TATSUHIKO OTANI2 AND MASATO SHINJI1

1 Graduate School of Science and Engineering, Yamaguchi University, Yamaguchi, Japan
2 Nishimatsu Construction CO., LTD., Tokyo, Japan
1. Introduction
In recent years, the construction case which adopts the NATM method as a tunnelling
technique has been increasing in the ground condition and the overburden are not suffi-
cient. In these cases, the roof umbrella method such as the forepolling pipe method or the
pipe roof method has been used as an auxiliary method to minimize the surface settlement
of ground, in cases of the tunnel construction close to the existing structures on the con-
straint of land use of urban area (see Photo 1). However, an ordinary design method of roof
umbrella method established based on an experiential technique, so that it cannot consider
the effects of minimizing settlement of the ground. Moreover, all the ground soil between
each forepolling pipes along the tunnel cross section has intend to falling out by the roof
umbrella method or the pipe roof method, as shown in a Photo 2, so that the reinforcement
of the ground by forepolling pipe cannot be expected.
Photo 1. The tunnel construction with the pipe roof method.
In this study, the relationship between general material properties such as the Young’s
modulus and Poisson’s ratio, the cohesion and the internal friction angle of the ground and
the micro-properties of PFC which was one application program of granular material analysis
∗ Corresponding author. E-mail: doi@rock.civil.yamaguchi-u.ac.jp

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0102 461
ĨŽƌĞƉŽůůŝŶŐ ƉŝƉĞƐ
ƐƵƉƉŽƌƚ
Photo 2. The construction situation of forepolling pipes.
method has determined by the simple biaxial element test. And the numerical simulation by
using PFC in which steel pipe diameter and distance between pipes change was carried out the
relationship between the cohesion and the height of shape. Finally we propose the rational
design of the roof umbrella method using this correlation.
1.1. Conventional design method of roof umbrella in Japan

Figure 1 shows the history of the diameter of forepolling pipe by using the pipe roof methods
in JAPAN. It is clear from this figure, the diameter of a steel pipe become was 200 mm or less
in 1960’s, recently it reaches the 1000mm. According to the construction records of the Japan
pipe roof association,1 one of the reason of the large the diameter of a steel pipe is the removal
possibility by manpower in the soft ground including the boulder. Generally, the ratio of
conventional forepolling pipe interval L to the pipe diameter R is experientially designed
less than L/R = 2, it depend the discontinuities and the physical properties of the ground.
͗ǆŝƐƚĞŶĐĞŽĨĂďŽƵůĚĞƌ
͗ĚŽƉƚŝŽŶ ŽĨƚŚĞƉŝƉĞͲũĂĐŬŝŶŐŵĞƚŚŽĚ
The pipe diameter (mm)
ZŽŽĨƵŵďƌĞůůĂ EdDŝƐĨŝƌƐƚ EdDĂĐĐĞƉƚĂƐ '&ŵĞƚŚŽĚ ŝƐ

ŵĞƚŚŽĚŝƐĨŝƌƐƚ ĂĚŽƉƚĞĚĂƚƚŚĞ ĂƐƚĂŶĚĂƌĚ ĚĞǀĞůŽƉĞĚĂŶĚ
ĂĚŽƉƚĞĚĂƐ EĂŬĂǇĂŵĂ ŵĞƚŚŽĚŝŶũĂƉĂŶ ĂƉůůŝĞĚ ŝŶ
ŵŽƵŶƚĂŝŶƚƵŶŶĞů ƚƵŶŶĞů ƉƌĂĐƚŝĐĂůƵƐĞ͘
Construction year
Figure 1. The history of the diameter of forepolling pipe by using the pipe roof methods in Japan.
462
L = R / sin( 45o − / 2)
dŚĞĨŽƌĞƉŽůůŝŶŐ
Pipe roof ƉŝƉĞ
45 o − / 2 dŚĞĨĂůůŝŶŐŐƌŽƵŶĚ
The ground which falls out
Figure 2. The experimental design chart of the determination of the pipe interval.
Figure 2 shoes the experimental design chart of the determination of the pipe interval.1 This
ratio L/R is a experimental ratio that the ground between each forepolling pipes along the
tunnel cross section has intend to falling out.
2. Numerical Modelling by Distinct Element Method

We have to consider the ground behaviour of tunnel excavation in the low cohesive ground.
It may not be suitable to carry out a numerical simulation with the continuum model. In this
study, distinct element method (DEM) is used, with the two-dimensional numerical discon-
tinuum program called PFC2D to simulate the discontinuous behaviour of the part of the
crown in tunnel.
PFC2D simulates the mechanical behaviour of a material by representing it as an assem-
blage of circular particles that can be bonded to one another. The contact-bond model and the
parallel-bond model can be chosen as the bonding method of particles in PFC2D. As shown
in Fig. 3, the contact-bond model can be added to the point between particles, the parallel-
bond model can be added moment force to the contact-bond model can also be transmitted
among particles. In this study, the contact-bond model was adopted and the stress between
particles exceeded designated strength.2
The Contact-Bond
Contact − Bond model The Parallel-Bond
Parallel − Bond model
It has pasted up at the point. It has pasted up in the field.

It has pasted at the point It has pasted at the area
Figure 3. The outline of bonded models.
463
2.1. Model for the biaxial test

The most basic mechanical properties, for example, Young’s modus and Poisson’s ratio, are
derived from laboratory tests. In the continuum model, such elastic properties can be inputted
directly. In PFC2D, however, the mechanical behaviour of the assemblage is dominated by
the micro-properties of the particles and micro-properties of the particles and the bonds
between them. These properties cannot be obtained laboratory tests. Thus, the relationship
between the micro-properties and the mechanical properties should be determined prior to
the simulation of the roof umbrella.
Figure 4 shows the model of biaxial compressive test. For the biaxial test, the top and the
bottom walls, as loading platens, and the velocities of the lateral walls are controlled by a
serve mechanics that maintains a specific confining pressure. Under the confining pressure are
determined 0.05, 0.1, 0.4 Mpa, a set biaxial test is conducted with the associated stress-strain
behaviour. Macro-properties were obtained by using stress-strain behaviour.
Tables 1 and 2 summarized the relationship between micro and macro properties deter-
mined by biaxial test. Moreover, Fig. 5 shows the relationship between macro properties
Figure 4. The model of biaxial compressive test.
Table 1. The relationship between micro and macro properties determined by biaxial test in the case
of change of the internal friction angle.
464
Table 2. The relationship between micro and macro properties determined by biaxial test in the case
of change of cohesion.
ϭ͘Ϯ
Ϭ͘ϴ
Đ;DWĂͿ
Ϭ͘ϲ
Ϭ͘ϰ
Ϭ͘Ϯ
Ϭ
Ϭ Ϭ͘Ϭϱ Ϭ͘ϭ Ϭ͘ϭϱ Ϭ͘Ϯ
ĐďͺƐŶŵĞĂŶ;DWĂͿ
Figure 5. The relationship between the mean contact-bond normal strength and the cohesion.
(cohesion) value and a micro parameters (the mean contact-bond normal strength). It is clear
from this figure this relation well expresses the physical properties of the material.
Photo 3. The modelled part.
465
L
R
Figure 6. The roof umbrella model as a part of the crown Figure 7. The snapshot of the particles
part of the tunnel. just after the gravity calculation.
Figure 8. The detail particles distribution of Fig. 7. Figure 9. The arching shape.
2.2. Simulation model of roof umbrella

In the numerical simulation, as shown in a Photo 3, roof umbrella model as a part of the
crown of the tunnel was applied. The roof umbrella model consists of two parts, the pipe
part and the ground part. The pipe part (the big particle) is simulated forepolling pipe, it is
fixed. Its radius is defined as the diameter R = 812.6, 609.6 and 406.4 mm respectively3 ).
And the interval between forepolling pipes L is defined the ratio (interval / diameter) as 1.8,
2.5, and 3.1 respectively.
466
3. Result and Discussions

3.1. Definition of falling particles
The snapshot of the particles just after the gravity calculation is shown in Fig. 7. It is clear
from these figure particles between forepolling pipes starting fall down by gravity. Figure 8
shows the detail particles distribution of Fig. 7. From Fig. 8, a particle without contact with
the other can find in this figure. We defined these particles as falling particles. The contact
force calculation is performed to the particles of all models, and it marked as black particles
and expressed an arching shape of the ground by the roof umbrella as shown in Fig. 9. By
using Fig. 9 we obtain the arching height H as the remaining continuous ground.
ϭ͘Ϭ ϭ͘Ϭ
Ϭ͘ϴ Ϭ͘ϴ
Ϭ͘ϲ Ϭ͘ϲ
,;ŵͿ
,;ŵͿ
Ϭ͘ϰ Ϭ͘ϰ
Ϭ͘Ϯ Ϭ͘Ϯ
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Figure 10. The relationship between the cohesion Figure 11. The relationship between the
and the arching height. internal friction angle and the arcing height.
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Figure 12. The radius and the ratio of the arching height to the interval of the forepolling pipe by the
difference of the radius of forepolling pipe.
467
3.2. Relationship between the macro properties and the arching height
Figure 10 shows the relationship between the cohesion and the arching height. Figure 11
shows the relationship between the internal friction angle and the arcing height. It is clear
from these figures if the forepolling pipe interval widens the arching height raise. And there
is the correlation of the inverse proportion from Fig. 10 between the cohesion and the arch-
ing height. And the arching height becomes a little lower, when the internal friction angle
increases. However, the correlation is not clear. Figure 12 shows the radius and the ratio of
the arching height to the interval of the forepolling pipe by the difference of the radius of
forepolling pipe. It is clear from these figures that each figure indicates almost same shape
even if the ratio the interval of the steel pipe to the radius of forepolling pipe is different. By
using these figures, if the cohesion of ground is obtained, we can design the optimum interval
of the forepolling pipe.
4. Conclusions
A number of numerical simulation have been conducted in order to understand the optimum
interval of roof umbrella. The following results have been found;
• Relation between a macro parameter and the ratio H to L

The arching height H increases, as the interval of forepolling pipe L widens. Although
the conventional design scheme paying attention to angle of internal friction, the cor-
relation between the cohesion and the ratio H to L is clear.
• The proposal of the optimal design of roof umbrella method
By using the design chart of the interval of forepolling pipe to the cohesion, the
optimum interval of roof umbrella is proposed by using the material properties of
the ground.
References
1. Tatsuhiko Otani, Masato Shinji and Tatsunori Chijiwa; “Proposal of Numerical Model and the
Determination Method of Design Parameters for Pipe Roofing Method”, Doboku Gakkai Ronbun-
shuu F, Vol. 64, No. 4, pp. 450–462, (2008).
2. ITASCA PFC2D version 3.1 Manual, “Bonding Models”, Theory and Background, 2004.
3. TH-Piperoof Kyokai “Piperoofing method Construction method explanation/ Addition data”, p.
41, 2002.
468
3DEC Investigation on Slope Stability at Norwich Part Mine
S.G. CHEN1,∗ AND B. SHEN2

1 Southwest Jiaotong University, China
2 CSIRO Exploration and Mining, Australia
1. Introduction
Two highwall failures with a similar pattern in shape and volume occurred at chainage
CH800 and CH700 of R10N Strip 17 at Norwich Park Mine, Australia, on the 13th and
26th of October 2005. Based on the site investigation, both failures were typical rock wedge
failure. The wedges were cut by a vertical joint on the left and a curved fault on the right
as shown in Fig. 1. The rock wedges are about 15 m wide on the highwall face, 10 m
deep into the highwall and 30 m high. The rock wedge failures are believed to be affected
by: (1) unfavourable geological structures (the vertical joint set and the curved fault); (2)
unfavourable block geometry; (3) shear strength along the joint/fault planes; and (4) water
effect on shear strength of joints/faults. Based on the understanding, a new design was pro-
posed for subsequent Strips to improve the highwall stability.
Figure 1. One of the two similar rock wedge failure in R10N Strip17.
This study is to apply a commercial software 3DEC (Three-dimensional Distinct Element

Code), developed by Itasca, USA1 , to simulate the experienced highwall instability in R10N
∗ Corresponding author. E-mail: csgchen2006@163.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0106 469
Strip 17 and assess the new design in R10N Strip 18. To determine the Factor of Safety of
the new design in R10N Strip 18, the following steps have been taken in this study: (1) The
experienced highwall failures in R10N Strip 17 with the old design are back analysed to
determine the joint/fault shear strength. The Factor of Safety of the failed highwall with the
old design is assumed to be 1.0; (2) The joint/fault shear strength is then applied to the new
design in R10N Strip 18. The critical joint/fault shear strength for the new design is obtained;
(3) Comparing the critical joint/fault shear strength for the new design with that of the old
design, the Factor of Safety is then derived. As the two rock wedge failures are similar, only
one is analysed.
2. Computational Model and Rock Properties

Figure 2 shows a part of the computational model with the completed excavation of the
highwall where the rock wedge can be seen. A total of eight rock strata are introduced in the
model which is derived from the borehole logging data as shown in Fig. 3. The strata with
green colour in the model represent three coal seams: Dysart Seam, Rider Seam and Harrow
Creek Seam.
The rock wedge is located in the centre of the model which is simplified from the field
survey data as shown in Fig. 4. The rock wedge is cut by five faces: the joint (left), the upper
part of the curved fault (right), the lower part of the curved fault (bottom), highwall (front)
and the floor of Harrow Creek Seam (top).
The rock properties used in the model are listed in Table 1. The UCS (uniaxial compression
strength) and density are taken from the borehole logging data as shown in Fig. 3. The UTS
(uniaxial tensile strength) is assumed to be 1/50 of UCS. The Young’s modulus, Poisson’s
ratio and friction angle are based on the laboratory test results of coal and rocks from other
mines in Bowen Basin2,3 . The cohesion is derived from UCS and an assumed friction angle.
Four types of joints are included in the model. The joint/fault properties are listed in Table 2.
The wedge
Figure 2. The computational model.
470
70
Top soil
60 Sandp
50 Upper rock
40 Horrow
a Creek
seam
30
Middle rock
20
Rider seam
10
Lower rock
Dysart seam
-10
Base rock
-20
-30
Figure 3. Borehole logging data and simplified strata used in the model.
Surveyed data The wedge in the model
Figure 4. The failed rock wedge in S10N Strip 17: surveyed data (left) and the wedge in the model
(right).
471
Table 1. Rock properties.

Rock type Density Young’s Poisson Cohesion Friction UTS UCS
kg/m3 modulus ratio MPa angle MPa MPa
GPa ( ◦)
Base rock 2500 4.0 0.25 2.89 30 0.20 10.0

Dysart seam 1300 1.5 0.30 0.70 40 0.06 3.0
Lower rock 2500 4.0 0.25 2.17 30 0.15 7.5
Rider seam 1300 1.5 0.30 0.70 40 0.06 3.0
Middle rock 2500 4.0 0.25 1.44 30 0.10 5.0
Harrow Creek 1300 1.5 0.30 0.70 40 0.06 3.0
seam
Upper rock 2100 1.5 0.25 0.87 30 0.06 3.0
Sandpass 1100 1.0 0.40 0.29 30 0.02 1.0
Table 2. Joint properties.

Joint type Normal Shear Cohesion Friction Tensile
stiffness stiffness MPa angle strength
GPa GPa (◦ ) MPa
Artificial 10 10 104 0 104

joints
Material 10 10 0 30 0
interfaces
Joints 10 10 0 or 0.25 ? 0
Faults 10 10 0 or o.25 ? 0
3. Modelling Cases and Results
The experienced rock wedge failure in R10N Strip 17 with the old design is back-analysed
to determine the joint shear strength. The shear strength is then applied to the new design to
find out the critical friction angle.
To investigate the effect of horizontal/vertical in situ stress ratio and the cohesion, four
cases as listed in Table 3 are modelled. In the first three cases, zero joint cohesion is assumed
and the horizontal/vertical in situ stress ratio is varied to be 0.33, 1.0 and 2.5. The fourth
case has the same horizontal/vertical in situ stress ratio as Case 3 but with joint cohesion
of 0.25 MPa. The effect of joint cohesion on the rock wedge stability can be examined by
comparing Case 4 with Case 3.
The joint/fault shear strength for the old design and the critical joint/fault shear strength
for the new design are determined numerically when the rock wedge is moving from a stable
Table 3. Modelling cases.

Case 1 2 3 4
Horizontal/vertical in situ stress ratio 0.33 1.0 2.5 2.5

Joint/fault cohesion, MPa 0.0 0.0 0.0 0.25
472
state to an unstable state. By specifying the cohesion, the joint/fault shear strength can be
determined by the friction angle only.
The criterion on judging rock wedge failure in the model is based on the velocity, displace-
ment and movement of the rock wedge. For example, Figs. 5 & 6 show the displacement,
velocity and movement when the rock wedge is stable. It can be seen that the displacement
and velocity are very small. However, as shown in Figs. 7 & 8 for a failure case, the dis-
placement and velocity at the rock wedge are large, indicating the rock wedge has failed and
becomes unstable.
Table 4 lists the modelling results for all the cases. The joint/fault friction angles determined
from the back-analysis of the experienced rock wedge failure (with old design) are 32, 33, 33,
Figure 5. Displacement when the rock wedge is stable.
Movement
Velocity
Figure 6. Velocity and movement when the rock wedge is stable.
473
Figure 7. Displacement when the rock wedge is failed.
Movement
Velocity
Figure 8. Velocity and movement when the rock wedge is failed.
32 degrees, respectively for Cases 1 to 4. The Factor of Safety for the old design is assumed
as 1.0.
The critical joint/fault friction angles for the new design are obtained to be 27, 30, 31 and
29 degrees, respective, for Cases 1 to 4. The Factor of Safety for the new design is derived
using the equation below.
ShearStrength c + σn tan φactual

FOS = = (1)
ShearStress c + σn tan φcritical
474
Table 4. Modelling results.

Case 1 2 3 4
Horizontal/vertical in situ stress ratio 0.33 1.0 2.5 2.5

Joint/fault cohesion, MPa 0.0 0.0 0.0 0.25
Old design, φactual 32 33 33 32
Factor of Safety 1.0 1.0 1.0 1.0
New design, φcritical 27 30 31 29
Factor of Safety 1.226 1.125 1.081 1.091
where:
φactual – Joint/fault friction angle obtained from back-analysis of the failures

φcritical – Critical joint/fault friction angle of the new design.
c – Joint/fault cohesion
σn – Normal stress on the joint/fault planes (can be obtained from the model).
If the cohesion is zero, the above equation can be simplified as:

tan φactual
FOS = (2)
tan φcritical
Using Equation (2) for Cases 1–3, and Equation (1) for Case 4, the obtained Factors of
Safety are 1.226, 1.125, 1.081 and 1.091, respectively for Cases 1 to 4.
4. Conclusions
The key findings from this study are listed below:
• The highwall failures in R10N Strip 17 are believed to have been caused by an
unfavourable combination of the joints and curved faults that cut off an major rock
wedge.
• The rock wedge, when totally exposed after extraction of the Dysart Seam, slide due to
insufficient joint/fault shear strength, leading to the highwall failure.
• The new design is predicted to marginally improve the stability of the highwall,
• The predicted Factor of Safety for the new design is within a range from 1.08 to 1.23
depending on the horizontal/vertical in situ stress ratio.
References
1. Itasca Consulting Group, Inc (2003). 3DEC user’s guide.
2. Boland J.N. and Harbers C. (1999). Mechanical testing of rock samples from the Gregory Mine.
CSIRO Exploration and Mining Report 603C, March.
3. Medhurst T.P and Carvolth D.J. (1996). Strength and deformation properties of coal at Moura Pit
18BL. CSIRO Exploration and Mining Report 289C, July.
475
Evaluation of Deformations around a Tunnel by using FEM,
FEBEM, UDEC, UDEC-BE and CFS
RAJBAL SINGH∗
Central Soil and Materials Research Station, Olof Palme Marg, Hauz Khas, New Delhi-110016
1. Introduction
The methods for the analysis of underground openings are analytical methods or closed
form solutions, experimental methods and numerical methods. The numerical methods can
be divided into the following categories:
• Finite difference method (FDM).

• Finite element method (FEM).
• Finite element method with infinite elements (FEM-IE).
• Boundary element method (BEM).
• Coupled finite element and boundary element method (FEBEM).
• Universal distinct element code (UDEC).
• Universal distinct element code with boundary elements (UDEC-BE).
The numerical methods such as FEM and BEM are increasingly used for the analysis of
underground openings. FEM can be used for the analysis of any shape of underground open-
ing incorporating practically any type of material behaviour of geological media and any
complex boundary condition. In this method, the fixation of external boundary to represent
infinite domain as encountered in the case of underground openings introduces approxima-
tion in the results. Also, a large domain is to be discretized and the preparation of data is
tedious.
The use of BEM requires only the boundary of excavation to be descretized. BEM can be
used for openings of any geometrical shape, but with limited zones of different geological
media. This method is more accurate and less tedious than FEM in analysing a particular
case of underground opening. In the case of opening where the material properties are likely
to vary significantly near the face of the excavation, it is difficult to adopt BEM. For such
cases, finite elements can be used near the face of excavations to take care of the complexities
in material properties and boundary elements can be used away from the opening to take
care of the infinite conditions of the media. This could be particularly useful in the case
of underground excavation with boundary at infinity. The coupled FEBEM is being used
extensively for finding out accurate solutions.
The coupling of FEM and BEM was first proposed by Zienkiewicz et al.1 and Kelly et al.2
The application of FEBEM to linear elastic analysis of underground openings was discussed
by Brady and Wassying,3 Beer and Meek,4 Varadarajan and Singh,5 Varadarajan et al.6,7 and
Sharma et al.8 Beer9 applied FEBEM to visco-plastic analysis of mine pillar problem by using
Drucker-Prager yield criterion. Singh et al.10 and Vardarajan et al.11 applied the FEBEM to
elasto-plastic analysis of underground opening. Singh12 applied the method for elastic and
elasto-plastic analysis of circular opening in layered rock media.
In this paper, the applications of finite element method (FEM), coupled finite element and
boundary element method (FEBEM) and universal distinct element code (UDEC) have been
∗ Corresponding author. E-mail: rajbal_s@yahoo.co.in

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0112 477
presented for tunnel excavation problem. Further, the displacement and stresses predicted
by coupled FEBEM and FEM analysis have been compared with closed form solution (CFS)
in terms of accuracy of results. These results have further been compared with UDEC and
UDEC with boundary elements (UDEC-BE). The application and feasibility of appropriate
analysis approach can be judged by keeping in view all the methods.
2. Computer Program for FEM and FEBEM

A computer program FEBEM was developed for two-dimensional analysis of underground
openings with plane strain condition. Simulation of one step excavation was incorporated in
the computer program. The same FEBEM computer program is used for FEM analysis also.
The main computer program of FEBEM was developed by Singh (1985) in three stages for
linear elastic analysis. In the first two stages, the computer program of FEM and BEM were
developed separately and tested for the analysis of circular opening by comparing the results
with available closed form solutions. In the third stage, coupling programs of FEM and
BEM was developed the computer software of FEBEM. The FEBEM program was developed
using 8-noded isoparametric finite elements and 3-noded parabolic boundary elements. The
program has the provision of automatic generation of nodal coordinates, nodal connectivity
of elements and loading on nodal points.
3. UDEC Numerical Modeling

The universal distinct element code (UDEC) is a two-dimensional numerical computer pro-
gram based on the distinct element method for dicontinuum modeling, UDEC simulates the
response of discontinuous media (such as a jointed rock mass) subjected to either static or
dynamic loading. The discontinuous medium is represented as an assemblage of discrete
blocks. The formulation and development of the distinct element method embodied in UDEC
has progressed in last three decades beginning with the initial presentation by Cundall13 .
The program can best be used when the geologic structure is fairly well defined from the
observation or geologic mapping. A wide variety of joint pattern can be generated in the
model. A screen plotting facility allows the user to instantly view the joint pattern. Adjust-
ment can easily be made before the final pattern is selected for analysis.
4. Tunnel Analysis by FEM, FEBEM, UDEC and UDEC-BE

When modelling infinite bodies (e.g. tunnels and underground cavern) or very large bodies, it
may not be possible to cover the whole body with blocks due to constraints on memory and
computer time. Artificial boundaries are placed sufficiently far away from the area of interest
that the behaviour in that area is not greatly affected. It is useful to know how far away to
place these boundaries and what error might be expected in the stresses and displacement
computed for the areas of interest. A series of numerical experiments were performed on a
numerical model containing a circular tunnel in an elastic material.
4.1. Tunnel analysis by FEM and FEBEM

A two-dimensional analysis with plane strain condition was carried out. The excavation of
tunnel was simulated in single step. The discretizations of the circular opening for FEBEM
and FEM are shown in Figs. 1 and 2, respectively. For the present comparison purposes,
the excavation of the circular tunnel opening in a geological medium of infinite extent was
478
Figure 1. FEBEM discretization for circular tunnel.
Figure 2. FEM discretization for circular tunnel.
479
considered. The radius of tunnel was taken as 1.0 meter. The geological medium was consid-
ered to be homogeneous and the behaviour was assumed to be linear-elastic. The modulus of
deformation and Poisson’s ratio were taken as 1 GPa and 0.25 respectively, for hydrostatic
stress condition of .01 MPa.
A comparison of displacements from FEM and coupled FEBEM with closed form solution
are shown in Fig. 3. Based on this study, Singh12 concluded that boundary between FE and
BE interface can be fixed at 4 times the radius of the tunnel while the boundary can be fixed
at 8 times the radius of the tunnel in the case of FEM. The circular tunnel model as used
earlier by Singh12 and Varadarajan et al.7 was adopted for FEM and FEBEM. The results of
these analyses were compared with available closed form solution (CFS) by Pender14 . The
same properties of rock mass were taken for the purpose of comparison.
Figure 3. Fixation for boundary for FEM and FEBEM and comparison with CFS.
Figure 4. UDEC discretisation for circular tunnel.
480
Figure 5. Fixation for boundary for FEM, FEBEM and UDEC and comparison with CFS.
4.2. Tunnel analysis by UDEC

The boundary distance in the case of UDEC was also fixed at the distances of 2, 4, 6, 8, 10
and 12 times the radius of the tunnel. The discretisation of UDEC is shown in Fig. 4. The
ratio of boundary distances and tunnel radius has been plotted against resulting displacement
for CFS, FEM, FEBEM and UDEC as shown in Fig. 5. The results of CFS, FEM and FEBEM
analysis are referred from Singh12 and Varadarajan et al.8 The UDEC analysis was performed
during the research fellowship at NGI by Singh.15
It is seen from the results in Fig. 5 that the boundary fixation does not make much differ-
ence in FEBEM and the boundary between finite element and boundary element regions can
be taken as 3 to 4 times the radius of the tunnel. However, the boundary must be fixed at a
distance of 10 to 12 times the radius of the tunnel in the cases of FEM and UDEC. However,
the boundary should not be less than 8 times the radius of the tunnel for having sufficient
accuracy in the results.
The study shown by Singh12 is interesting to note that the boundary can be fixed at a
distance of 8R in FEM while it can be fixed safely at 4R in the case of FEBEM with a better
accuracy in the resulting deformations and stresses. It can, therefore, be advantageous to
use boundary element boundary in the case of UDEC since the code is having a provision
for boundary element. The rock mass properties (Table 1) were taken the same as used by
Singh.12 The values of normal and shear joint stiffness were chosen for this model by trial
and error increasing or decreasing in the model. About thirty models were run for fixing the
final values of normal and shear stiffness. Bulk modulus and shear modulus of rock mass
were calculated from modulus of deformation and Poisson’s ratio.
Figure 6 shows the comparison of resulting displacement in UDEC by using a fixed bound-
ary (UDEC) and boundary element (UDEC-BE) and using circular boundary (UDEC-CB) in
place of usual squire boundary being used in most of the problems. There is not much differ-
ence in the magnitude of displacement in the case of using BE boundary as compared with
CFS. The BE boundary can be used safely at a distance of 3 to 4 times the radius of the
tunnel. However, boundary can be fixed at a distance of 8 times the tunnel radius in UDEC.
The comparison of accuracy between FEBEM and FEM is given in Table 2. To evaluate
the accuracy of the results, the analytical solution for deep circular tunnel given by Pender14
was used. The percentage errors are indicated with respect to analytical results as also given
in Table 2. In the case of FEBEM, the percentage error is very small and is in the order of
0.09 per cent for displacement. In the case of FEM, the error is 4.47 percent, which is about
50 times higher than that observed in the case FEBEM. Similarly, the magnitudes of error
481
Table 1. Rock mass properties.

S.No. Rock Properties Magnitude with Unit
1. Modulus of Deformation, Ed 44.80 GPa

2. Bulk Modulus, K 23.30 GPa
3. Shear Modulus, G 18.98 GPa
4. Poisson’s Ratio, ν 0.18
5. Joint Normal Stiffness, JKn 100 MPa/mm
6. Joint Shear Stiffness, JKs 100 MPa/mm
7. Cohesion, c 1.60 MPa
8. Friction Angle, φ 41
9. Density, γ 2940 kg/m3
10. Permissible Tensile Strength, τ 8.50 MPa
11. Height of Overburden, h 300 m
12. In-situ horizontal stress, σh 8.82 MPa
13. In-situ vertical stress, σv 8.82 MPa
14. Stress ratio, k 1.00
Figure 6. Fixation for boundary UDEC and UDEC-BE and comparison with CFS.
in stresses predicted by FEM analysis are higher than those predicted by FEBEM. Thus, in
all the cases, FEBEM gives more accurate results than FEM and this is due to the fact that
the interface boundary between finite element and boundary element regions is fixed at four
times the radius of the opening while it is fixed at eight times the radius of the opening in the
case of FEM.
Similar conditions are applied between UDEC and UDEC-BE, which gives more accurate
results than UDEC without boundary elements as given in Table 2. The error in UDEC as
compared to CFS is 3.92 per cent which is about 50 times higher than the error of 0.08 per
cent in UDEC-BE.
5. Conclusions
The following conclusions are drawn on the basis of this research work:
• An efficient alternative is to utilize the advantages of both FEM and BEM by coupling
them especially for the analysis of underground openings with significant modification of
variation in rock mass properties near the tunnel excavation. Finite elements may be used
482
Table 2. Stresses and displacements around a tunnel from different analysis.

S. No. Points of Discus- CFS FEBEM FEM UDEC UDEC-BE
sion
1. Displacements −0.01250 −0.012511 −0.011949 −0.012010 −0.012510

(Percentage (0.09 %) (−4.47 %) (−3.92 %) (−0.08 %)
Error)
2. Major Stress 1.69790 — —
(Percentage 1.69750 1.64590
Error) (−0.02 %) (−3.06 %)
3. Minor Stress 0.30270 0.30270 0.29350 — —
(Percentage (0.20) (−2.85 %)
Error)
near the excavation surface for taking care of the complexities in the material behavior
and boundary elements may be used away from it to take into account of infinite domain.
• From the analysis of circular tunnel excavation and comparison of the results as predicted
by FEBEM and FEM analysis, it has been found that the FEBEM is more accurate and
economical than FEM. Therefore, it is concluded that the coupled FEBEM can efficiently
be utilised for the analysis of tunnel excavations.
• FEM and UDEC can be used for the analysis of tunnel excavation with little compromise
on the accuracy. However, boundary elements can be used effectively with both FEM and
UDEC as external boundary in the discretisation to increase the accuracy in the analysis.
Acknowledgements
The author is extremely thankful to Dr. Suzanne Lacasse, Director, Norwegian Geotechnical
Institute (NGI), Oslo, Norway for awarding Research Fellowship to carry out this study at
NGI. I am also thankful to Mr. Eystein Grimstad, Dr. Nick Barton and Dr. Rajinder Bhasin
of NGI for their useful suggestions, technical assistance and domestic help during the stay
in Norway. The efforts put in by then officials in the Ministry of Water Resources, Govt. of
India are also gratefully acknowledged for timely approval for the fellowship in Norway.
References
1. Zienkiewicz O.C., Kelly D.W and Dettess P., “The coupling of finite element method and boundary
solution procedures”, Int. J. Num. Meth. Engg., 11, 1977, pp. 355–375.
2. Kelly D.W., Mustoe C.G.W. and Zienkiewicz O.C. “Coupling boundary element methods with
other numerical methods”, in Banerjee P.K. and Butterfield R. (eds), Development in Boundary
Element Methods, Vol. 1 Applied Science Publications, London, Chap. 10, 1979, pp. 251–285.
3. Brady B.H.G. and Wassyng A., “A coupled finite element method of stress analysis”, Int. J. Rock
Mech. Min. Sci. & Geomech. Abstr., 18, 1981, pp. 475–485.
4. Beer G. Meek J.L., “The coupling of boundary and finite element methods for infinite problems in
elastoplasticity”, Proc. of Third Int. Seminar Irvine, California, edited by C.A. Brebbia, 1981, pp.
575–591.
5. Varadarajan A. and Singh R.B., “Analysis of tunnels by coupling FEM with BEM”, Proc. 4th Int.
Conf. Of Num. Meth. in Geomech., Edmonton, Canada, Vol. 2, 1982, pp. 611–618.
6. Varadarajan A., Sharma K.G. and Singh R.B., “Analysis of circular tunnel by coupled
FEBEM”,Proc. Indian Geotechnical Conference, Madras, India, VI, 1983, pp. 113–118.
483
7. Varadarajan A., Sharma K.G and Singh R.B., “Some aspects of coupled FEBEM analysis of under-
ground openings”, Int. Journal Numerical and Analytical Methods in Geomechanics, 9, 1985, pp.
557–571.
8. Sharma K.G., Varadarajan A. and Singh R.B., “Condensation of boundary element stiffness matrix
in FEBEM analysis”, Commun. Appl. Num. Methods, 1, 1985, pp. 61–65.
9. Beer G., “Finite element, boundary element and coupled analysis of unbounded problems in elas-
tostatics”,Int. J. Num. Meth, Engg., 19, 1983, pp. 567–580.
10. Singh R.B., Sharma K.G and Varadarajan A., “Elastoplastic analysis of circular opening by
FEBEM”, 2nd Int. Conf. on Comp. Aided Analysis and Design in Civil Engg. Roorkee, India,
1985, pp. 128–134.
11. Varadarajan A., Sharma K.G. and Singh R.B., “Elastoplastic analysis of an underground opening
by FEM and coupled FEBEM”, Int. J. Num. Anal. Meth. in Geomech., 1987, pp. 475–487.
Singh Rajbal, “Coupled FEBEM analysis of underground openings”, Ph.D. Thesis, Dept. of
Civil Engineering, Indian Institute of Technology, New Delhi, India, 1985, pp. 285.
12. Cundall P.A., “A computer model for simulating progressive large scale movements in blocky rock
systems”, Proc. of the Symp. Int. Soc. Rock Mech., Nancy, France, Vol. 1, Paper No. II-8, 1971.
13. Pender M.T., “Elastic Solutions for a Deep Circular Tunnel”,Geotechnique XXX, 2, 1980, pp.
216–222.
14. Singh, Rajbal, “Report on research fellowship at NGI”, Submitted to Norwegian Geotechnical
Institute (NGI), Norway, 1999, pp. 55.
484
Numerical Modeling of Undrained Cyclic Behaviour of Granular
Media Using Discrete Element Method
B. FERDOWSI∗ , A. SOROUSH AND R. SHAFIPOUR

Department of Civil and Environmental Engineering, Amirkabir University of Technology, Tehran, Iran
1. Introduction
In a granular medium such as sand, forces are typically transformed through the contacts
between particles. The discrete nature of the behaviour of the medium under loading makes
its constitutive relation very complex; hence many laboratory testing may be necessary in
order to understand it in detail. An alternative way to study the behaviour of granular media
is to model soil as an assemblage of particles, using a variety of simple shapes such as circular
discs, oval shaped rods, and spheres. Analytical, physical and numerical modelling have been
used for this purpose.
Considering the difficulties in both the analytical and physical (photo-elastic and other
methods) models, which are only limited to very simple cases of loading, the best way to
model assemblies of discs or spherical particles is the numerical technics, mainly discrete
element method (DEM). The DEM is an explicit finite difference scheme, introduced by
Cundall,1 which can handle particles of different shapes and has been used by an increasing
number of researchers in the last two decades.2−6 DEM can be used to determine many of
desired information such as internal stresses, strain and micromechanical characteristics at
any stage of loading path. The major advantage of DEM is the wealth of micromechanical
and statistical information that can be generated along with macroscopic responses.
In this study, the undrained cyclic behaviour of cohesionless soils has been explored in
details using the DEM. Undrained tests on fully saturated geomaterials are generally known
as constant volume tests as a consequence of low particle and fluid compressibility. In prin-
ciple, it seems that a drained strain-controlled constant volume test is equivalent to an
undrained test. This idea has led some researchers to simulate drained loading at a constant
volume, and assume that the results are representative of undrained loading. References 4 and
7–12 have used constant volume modelling to study the undrained (monotonic and cyclic)
behaviour of cohesionless granular media.
Herein, the constant volume testing has been used. A series of cyclic undrained tests were
performed on two dimensional assemblies of circular discs with various initial states includ-
ing two different void ratios of e = 0.208 and e = 0.178 and confining pressures in the range
of p = 60 to p = 550 kPas, covering an almost complete range of loose and dense specimens.
Results of the analysis of the macro- and micro-scale responses are explained in details. The
stress-strain response, pore pressure build-up and stress path are evaluated as macro-scale
response descriptors. Evolutions of deviatoric fabric tensor and coordination number with
progress of cycles are studies as micro-scale responses.
2. Discrete Element Method

DEM models granular materials as individual elements which can make and break con-
tacts with their neighbours and are capable of analyzing interacting bodies undergoing large
∗ Corresponding author. E-mail: ferdosi@gmail.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0123 485
absolute or relative motions. It’s important feature is that it incorporates the Coulomb’s fric-
tional law at contacts between elements. Slippage occurs when the tangential force at contact
exceeds a critical value. The equilibrium contact forces are obtained from a series of calcula-
tions by solving Newton’s law of motion followed by force displacement law at each contact.
When all forces for each contact in the assembly are updated, forces and moment sums are
determined on each element, and the above process is repeated in cycles.
In this investigation, the DEM code developed by Ref. 13 have been used for modelling
the constant volume strain-controlled loading of the specimens. The motion of each particle
is calculated using Newton’s second law as follows:

mp vp = fg + fc + fd (1)
c

Ip ωp = rc × fc + Md (2)
c
in which, mp and Ip are the particle mass and moment of inertia, respectively; vp and ωp
are linear and angular velocity vectors, respectively; dot indicates time derivative; fg is body
force, which is ignored in this study; fc is contact forces between two contacting particles; rc
is branch vector, a vector connecting the center of particle to the point of contact and finally
fd and Md are damping force and moment which are introduced into the model to help the
particles reach the equilibrium state.
Herein, DEM employs a rigid body-soft contact approach, where particles are assumed
to be rigid, and particle deformations occur just in contacts. The Hertzian and simplified
Mindlin-Deresiewicz relations are used for the normal and tangential contact forces, respec-
tively. Furthermore, non-viscose local damping introduced by Ref. 14 is employed
fdi = −α|funbal
i
|sign(νpi ) (3)
Mid = −α|Miunbal |sign(ωpi ) (4)
i
where, funbal and Miunbal are, respectively ith component of unbalanced force and moment
acting on particle p that are sum of the body, contact and fluid forces and moments.
Constant volume condition is employed by setting the strain rate of walls as ε11 = −ε22 so
that the specimen’s volume is kept constant to account for water incompressibility. It should
be noted that in the current code, walls represent rigid boundaries.
3. Input Parameters of the Simulation

A two-dimensional assembly consisting of 7000 discs with diameters ranging from 0.15 to
1.18 mm (four different sizes corresponding to log normal distribution) is used in the numer-
ical simulations. The gradation used here is in the range defined for Regular Ottawa Sand,15
as shown in Fig. 1. The specimen dimensions are 28×28 mms. Initially the disc generation is
accomplished by a random number generator that places nonoverlapping spheres of desired
sizes corresponding to the desired grain size distribution at random locations.
Table 1 shows the input parameters used for the numerical simulations. Density scaling
was adopted to increase the critical time-step and reduce the computational cost of the DEM
simulations.16
4. Sample Preparation and Testing

It is well known that density and cyclic strain amplitude are the major factor affecting the
cyclic behaviour of sands.
486
Dmax=1.18 mm
Dmin=0.15 mm
D60= 0.4 mm
D30= 0.32 mm
D10= 0.2 mm
Cu= 2
Cc= 1.28
Figure 1. Grain size distribution of the assembly.
Table 1. Input parameters for numerical simulations (*Ks

2
was approximated by Kn ).
3
Property Symbol Value
Density (gr/mm3 ) ρ 2 × 1010

Normal stiffness (gr/mm) Kn 7 × 107
Shear stiffness (gr/mm) K∗s 4.67 × 107
Critical time step (sec) tcr 1.0
Damping coefficient α 0.6
Friction coefficient for shearing load μ 0.5
After generating the specimens by randomly distributing the particles in the box, a strain
controlled loading was applied to prepare specimens with desired isotropic confining pres-
sures. It should be noted that desired confining pressures at each void ratio are accessible by
assigning different friction coefficients to the particles during the stage of applying confining
pressure. Afterwards, sinusoidal cyclic strain-controlled loading are applied to the specimens.
The program of the specimen preparations is summarized in Table 2.
Cyclic tests are carried out by applying a constant amplitude sinusoidal strain-controlled
loading on the specimens. Mean normal stress (p) and shear stress (q) are defined as
Eqs. (5) and (6), respectively.
σ1 + σ2 σ1 − σ2
p= , q= (5) and (6)
2 2
Table 2. Simulation’s program.

Void ratio Friction coeff. Confining Press. (kPa.mm) Cyclic strain amplitude (%)
0.208 0.5 150 0.5

0.4 113 2.5
0.3 60
0.176 0.5 550 2.5
0.3 460
487
5. Results
5.1. Macro-scale response
Figures 2 (a–c) show the plot of deviatoric stress (q) vs mean stress (p) for specimens at void
ratio e = 0.208, having initial confining pressures of p = 150, 113, 60 kPas, respectively. It
is seen that with loading and unloading cycles there are gradual decrease in mean stress (p)
and deviatoric stress (q). The behaviour is similar to medium dense sand general behaviour.
At initial cycles of loading, the specimens exhibit quasi-steady state, except the one with the
lowest confining pressure (i.e. p = 60 kPa) which initially reaches the phase transformation
line. Continuing the cycles of loading, all the specimens liquefied. Specimens with initial
confining pressure of 150, 113 and 60 kPas liquefied at 15, 17 and 19 cycles of loading,
b c
Figure 2. Deviatoric vs. mean stress variation for specimens (e = 0.208) at (a) p = 150 kPa,; (b)113
kPa and (c) 60 kPa.
P=150 kPa
P=113 kPa
P=60 kPa

Figure 3. Variation of generated pore pressure vs. number of cycles for specimens (e = 0.208) at initial
confining pressures of p = 150 kPa, 113 kPa and 60 kPa.
488
showing that increasing the initial confining pressure, intensify the compressive behaviour
which leads to a sooner liquefaction.
Figures 3 illustrates the pore pressure build up of the simulations, calculated as u =
σ0 − σ2 which is the difference between the initial confining pressure and the horizontal stress
calculated during the cyclic shearing. The rate of the pore pressure generation in the first cycle
in the first cycle is highest in all of the specimens and it decreases with the number of cycles.
Whenever the pore pressure approaches the initial confining pressure, initial liquefaction
occurs.
The plot of deviatoric stress vs. deviatoric strain at 0.5% deviatoric strain amplitude can
be seen in Figs. 4 (a–c) for specimens with three confining pressures. The assemblies, having
higher initial confining pressures, show higher peak deviator stresses. Thereafter, devaitoric
stress reduces gradually in successive cycles and finally reaches zero deviator stress level,
which shows complete liquefaction.
It is known that one of the factors affecting the deformation and failure of sands in
undrained cyclic loading is the cyclic shear strain amplitude.17 Figs. 5 ((a) and (b)) show
the stress path and deviatoricstress vs. cyclic strain plots of the assembly generated with
e = 0.208, at initial confining pressure of 150 kPa under cyclic loading amplitude of 2.5%.
It can be seen that increasing the strain amplitude, will result in a considerable increase in
the peak deviatoric stress. The deviator stress (q) reaches the critical state line at first cycle.
a b c
Figure 4. Variation of deviatoric stress vs. cyclic strain for specimens (e = 0.208) at initial confining
pressures of (a) 150 kPa, (b)113 kPa and (c) 60 kPa.
a b
Figure 5. (a) stress path (b) deviatoric stress vs strain for speciman (e = 0.208) at initial confining
pressure of 150 kPa, 2.5% cyclic strain amplitude.
489
a b
Figure 6. Stress path plot for speciman (e = 0.175) at initial confining pressures of (a) 550 kPa and
(b) 460 kPa, 2.5% cyclic strain amplitude.
a b
Figure 7. Deviatoric stress vs cyclic strain plot for speciman with (e = 0.175) at initial confining
pressures of (a) 550 kPa and (b) 460 kPa, 2.5% cyclic strain amplitude.
Furthermore, the shape of the deviatoric stress-strain changes compared to specimens under
0.5% cyclic strain.
In order to simulate the behaviour of dense sand under cyclic undrained loading, another
set of specimens were prepared with void ratio of e = 0.175 with initial confining pressures
of 550 and 460 kPas. The specimens were then subjected to undrained cyclic loading of 2.5%
strain amplitude. Figs. 6 (a and b) show the stress path plots of the assemblies. Representing
the dense sand behaviour, the specimens never liquefied. Once the stress state reached the
phase transformation line, the stress-strain curve (Figs. 7 (a and b)) move back and forth
along and below the steady-state line and shear strain developed gradually.
5.2. Micro-scale response

Figure 8(a–c) show the plots of average coordination number (number of contacts per parti-
cle) vs. mean normal stress (p) for specimens with the three initial confining pressures. The
plots show that the average coordination number (CN) decreases with progression of the
cycles such that it finally becomes one (C.N. = 1), which is an indication of liquefaction or
zero effective confining pressure, because in this case the discs are not capable of transferring
their loads to each other. It can be seen that in the sequence of reaching the phase transforma-
tion to initial liquefaction, the specimens become unstable, showing a noticeable fluctuations
in the values of coordination number.
490
a b c
Figure 8. Variation of average coordination number vs. mean normal stress for specimens (e = 0.208)
at initial confining pressures of (a) 150 kPa; (b)113 kPa and (c) 60 kPa.
a b c
Figure 9. Variation of deviatoric fabric tensor vs. number of cycles for specimens (e = 0.208) at initial
confining pressures of (a) 150 kPa; (b) 113 kPa and (c) 60 kPa.
In the continuation of this study, the variation of deviatoric fabric tensor with the number
of cycles for specimen of void ratio (e = 0.208) at three confining pressures of 150, 113
and 60 kPas are derived. It is now well established that shear deformation of granular media
produces an induced structural anisotropy which is developed primarily as a result of contact
separation occurring in directions which are approximately orthogonal to the direction of the
major principal stress.16
Structural anisotropy is defined by the distribution of contact orientations and charac-
terized by the structural anisotropy or fabric tensor ( ij ). For spherical particles, the fabric
tensor is given by Ref. 18.
1 k k
Nc
ij = ni nj (5)
2Nc
k−1
where Nc the number of contacts, ni is the component of the unit branch vector in the i
direction, and the branch vector is the vector joining the centroids of the two contacting
particles. The principal values, 1 , 2 and 3 , and the principal directions of the fabric
tensor can be calculated by considering the eigenvalues and eigenvectors of the fabric tensor.
The deviator fabric ( 1 − 3 ) quantifies the anisotropy of the microstructure.16,19 For the
three simulations of specimen with void ratio of e = 0.208, the fabric tensor was calculated
by considering all the contacts in the specimen. Regarding the results presented in Figs. 9
(a–c), it can be seen that the quantity of the deviatoric fabric tensor, initially increases for all
of the specimens till the deviatoric stress reach the phase transformation line. So all of the
plots have a peak deviatoric fabric tensor when the q-p plot pass the phase transformation
491
line. By progression of the number of cycles, deviatoric fabric tensor decreases to the onset
of liquefaction. The deviatoric fabric tensor fluctuates about a value of about 0.002–0.008
for the specimens, which a higher value are recorded for the specimen with higher initial
confining pressure.
6. Conclusion
In this study, the undrained cyclic behaviour of cohesionless soils has been explored in details
using the DEM. Assemblies of two dimensional 7000 discs are prepared under the con.ning
pressures in the range of 60 to 550 kPas and different void ratios covering both loose and
dense states. The prepared specimens are then subjected to cyclic undrained loadings.
Results of the analysis of the macro- and micro-scale responses are explained in details.
The stress-strain response, pore pressure build-up and stress path are evaluated as macro-
scale response descriptors. Evolutions of deviatoric fabric tensor and coordination number
with progress of cycles are studied as micro-scale response.
The DEM simulations have modeled the liquefaction and undrained behavior of loose and
dense assemblies very close to the observed behavior of real sands in laboratory experiments,
while the presented results give a qualitative insight into the saturated sand response under
cyclic loadings from a micromechanical point of view.
References
1. Cundall, P.A. and Strack, O.D.L., “A discrete numerical model for granular assemblies”, Geotech-
nique, 29, 1, 1979, pp. 47–65.
2. Thornton, C. and Randall, C.W., “Applications of theoretical contact mechanics to solid parti-
cle system simulations”, In Mechanics of granular materials, (Eds. Satake and Jenkins), Elsevier,
Amsterdam, Netherlands, 133–142, 1988.
3. Ting, J.M., Corkum, B.T., Kauffman, C.R. and Greco, C., “Discrete numerical model for soil
mechanics”, Journal of Geotechnical Engineering, ASCE, 3, 1988, pp. 379–398.
4. Ng, T.T., “Numerical simulation of granular soils under monotonic and cyclic loading: a particu-
late mechanics approach”, PhD thesis, Rensselaer Polytechnic Institute, Troy, N.Y., 1989.
5. Bathurst, R. and Rothenburg, L., “Investigation of Micromechanical Features of Idealized Granu-
lar Assemblies using DEM”, Proc. of 1st U.S. Conf. on Discrete Element Methods, Golden, Colo.,
1989.
6. Itasca, Particle Flow Code, PFC3D, Release 3.0, Itasca Consulting Group, Inc., Minneapolis, 2003.
7. Ng, T.T. and Dobry, R., “Numerical simulations of monotonic and cyclic loading of granular
soils”, International Journal of Numerical and Analytical Methods in Geomechanics, 18, 2, 1994,
pp. 388–403.
8. Kishino, Y., “Quasi-static simulation of liquefaction phenomena in granular materials”, in Second
international symposium for science on form, Tokyo, 1999, pp. 157–174.
9. El-Metskawy, M., “Discrete element simulation for seismically-induced soil liquefaction”, PhD
thesis, State University of New York at Bufflo, Bufflo, NY, USA, 1998.
10. Sitharam, T.G. and Dinesh, S.V., “Numerical simulation of liquefaction behavior of granular mate-
rials using discrete element method.”, In: Proceedings of the Indian Academic Science (Earth
Planet Science), 112, 3, 2003, pp. 479–484.
11. Sitharam, T.G., “Discrete element modeling of cyclic behavior of granular materials”, Geotechnical
and Geological Engineering, Springer, 21, 2003, pp. 297–329.
12. Sitharam, T.G., Vinod, J.S., “Critical state behaviour of granular materials from isotropic and
rebounded paths: DEM simulations”, Granular Matter, Springer, 11, 1, 2008, pp. 33–42.
13. Shafipour, R. and Soroush, A., “Fluid coupled-DEM modelling of undrained behavior of granular
media”, Computers and Geotechnics, Elsevier, 35, 5, 2008, pp. 673–685.
492
14. Cundall, P.A., “Distinct element methods of rock and soil structures”, in Analytical and
computational methods in engineering rock mechanics (Ed. E.T. Brown), Allen & Unwin, 1987,
pp. 129–163.
15. ASTM, Standard specification for standard sand, C 778-02, Annual Book of ASTM Standards,
14.04, 2006.
16. Thornton, C., “Numerical simulations of deviatoric shear deformation of granular media”,
Geotechnique, 50, 1, 2000, pp. 43–53.
17. Mitchell, J.K., Fundamentals of soil behaviour, 3rd ed., Wiley, USA, 2005.
18. Satake, M., “Fabric tensor in granular materials”, in Deformation and failure of granular materials
(Eds. P.A. Vermeer and H.J. Luger), Rotterdam, Balkema, 1982, pp. 63–68.
19. Cui, L. and O. Sullivan, C., “Exploring the macro- and micro-scale response characteristics
of an idealized granular material in the direct shear apparatus”, Geotechnique, 56, 7, 2006,
pp. 455–468.
493
A Fundamental Study on the SPH Method Application for Impact
Response of RC Structural Members
J. FUKAZAWA AND Y. SONODA∗

Dept of Civil Engineering, Kyushu University, Fukuoka, Japan
1. Introduction
Many analytical studies have been performed on the impact resistance of civil engineering
structures subject to impact loads, and it is reported that the elastic-plastic impact response
of structural members such as a RC beam and a RC slab could be estimated by existing FE
analysis software.1 However, the phenomena with discontinuous displacement such as the
penetration of collision objects have not yet been established. In general, these phenomena
are essentially difficult to be handled by FE method.2 For the discontinuous displacement
field, the particle method3,4 such as smoothed particle hydrodynamics (SPH) is considered
to be more appropriate. Consequently, this study performed a fundamental review on the
application of the SPH method, aiming to establish an analytical method for evaluating the
elastic-plastic response of protective structural objects and destruction of them. The SPH
method was proposed for analyzing compressive fluids by Lucy, Monagham, et al5−7 in the
late 1970s. The SPH method can continue the analysis even if individual particles move
widely from their initial position by resolving the motion equation while varying the inter-
acting force by the weight corresponding to particle distance. Accordingly, the method can
handle destruction phenomena such as cracking, penetration, and destruction, which are dif-
ficult to handle with the FE method, and was applied to the ultrafast fracture problem due
to space debris in the 1990s. However, differing from the fluid problem where only restag-
ing of particle group rough flow is sufficient and the ultrafast fracture problem subjected to
the generation of structural destruction, it is very important to obtain the strain field accu-
rately at the initial phase of plasticity with small deformation at the beginning to evaluate
the possibility of solid state material destruction.
In this study, a fundamental review was made taking the theoretical characteristics of the
SPH method. First, the modelling issues of the SPH method were considered. In addition,
when performing elastic-plastic impact analysis, the means of ensuring sufficient analysis
accuracy by using the SPH method in the region where elastic particles and plastic particles
are mixed, was reviewed. Finally, simulation analyses were performed for the weight drop
impact test of RC slab conducted and possible application of the SPH method was discussed.
2. Basic Equations of the SPH Method

In the SPH method, the continuum is represented by a set of arbitrarily distributed particles,
therefore physical quantities such as the acceleration and strain of each particle at any time
are approximated by the smoothing kernel function:

f (x) ≈ f (x )W(x − x ,h)dx (1)
where f is an arbitrary function, W(x − x ,h) is the smoothing kernel function, h is the
smoothing length defining the area of influence of the smoothing kernel function W, x is
∗ Corresponding author. E-mail: sonoda@doc.kyushu-u.ac.jp

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0138 495
a coordinate value of an approximated point, and x is an arbitrary coordinate value. The

domain integral representations in the support domain can be converted to discretized forms
of summation over all the particles in the support domain by the following equation:

N
mJ
f (x) ≈ f (xJ )W(x − xJ ,h) (2)
ρJ
J=1
Where J is particles in the support domain, m is the mass of a particle, ρ is density, and N
is the total number of particles in the support domain. The derivative of the equation is
given by:

N
mJ
· f (x) − f (xJ ) · W(x − xJ ,h) (3)
ρJ
J=1
Equation (3) states that the derivative of one physical quantity is approximated using the
gradient of the smoothing kernel function. This idea is a basic characteristic of the SPH
method, and it is the most important equation for the SPH method. The smoothing kernel
function must have some conditions. For example, it must be normalized over its support
domain, must satisfy the Dirac delta function condition, and must be fully smoothed. Some
smoothing kernel functions are submitted based on the support domain and considering the
stability of solutions in addition to the above conditions. This study applied the following
spline-type smoothing kernel function:
⎧
⎪ 2 r 2 1 r 3 r
⎪
⎪ − + 0≤ <1
⎪
⎪
r 15 ⎨ 3 h 3 2 h h
1 r r
W = × 2− 1≤ <2 (4)
h 7πh2 ⎪ ⎪ 6 h h
⎪
⎪
⎪
⎩0 r
2≤
h
where h is the smoothing length defining the influence area, and r is the distance between
particle I and particle J.
In the case of SPH, the computing time becomes extremely long as the total number of
particles increases. Thus, the computational efficiency of the SPH is improved by a multi-
thread technique in this study.
3. Analysis Accuracy of Impact Response Using SPH Method

3.1. Treatment of boundary particles
In the SPH analysis, internal forces arising from the particle interactions are calculated by
a weighted mean using a smoothing kernel function. This calculation method causes a lack
of approximation at the boundary particles shown in Fig. 1. Thus, the following two simple
correction methods are applied and their efficiency is discussed.
(a) Virtual particle method: In order to improve the lack of surrounding particles, virtual
particles are arranged outside the free surface as shown in Fig. 2(a).
(b) Correction of kernel function: In order to correct the weighted mean directly, the weight
of boundary particles is increased as shown in Figure 2(b).
First, the response of a 2-D cantilever beam 1000 mm long, 100 mm high, and 100 mm thick
as shown in Fig. 3 under a total constant load of 1.5 kN (refer to Fig. 4) was calculated using
496
Analysis accuracy of boundary particles decrease

due to the lack of neighboring particle.
Interior particles are calculated accurately.
Smoothing length
Figure 1. SPH kernel and particle approximations.
Virtual particle
In the case of kernel approximation of boundary particle,
boundary boudary the weight of interior particles (ex;No1䌾3) are modified.
Boundary Boundary
particle 1 2 3 particle
Interior Interior
particle particle
(a) Virtual particle (b) Modifying the kernel approximation
Figure 2. Boundary treatment.
load 1.5kN
fixed H=100mm
L=1000mm
Figure 3. 2-D cantilever beam model.
3.0
Load ( kN )
2.0
1.0
0.0
0 2 4 6 8 10
Time ( ms )
Figure 4. Load-time relation.
497
the above two correction methods and their accuracies were compared with the theoretical
value. In this model, the material was assumed to be an isotropic elastic with Young’s mod-
ulus E = 2.1 × 104 N/mm2 and Poisson’s ratio . ν = 0.3. The time increment was set as
t = 1.0 × 10−7 sec which satisfies Courant’s condition.
The stress distribution near the fixed end and the displacement response at the free end
of each model at 20 ms are shown in Figs. 5 and 6. These figures indicate that the stress
distribution of the cantilever beam was improved and closer to the Euler-Bernoulli beam
assumption. However, correction using the kernel function gives an error four times larger
than when using the virtual particle method. Therefore, the correction method using the
kernel function should be given an accurate strain distribution in advance and is not suitable
for problems with an arbitrary stress field. In the case of virtual particle method, the response
could be simulated with certain accuracy. However, their computational efficiency is not
always reasonable due to the increase of particle number.
Distance from center ( mm )
50.0
40.0
30.0
20.0
10.0
Stress ( N/mm2 )
0.0
-15.0 -10.0 -5.0 -10.0 0.0 5.0 10.0 15.0
-20.0
No correction䋨diference26.7%䋩
-30.0 Virtual particle䋨diference13.3%䋩
Kernel correction䋨diference43.3%䋩
-40.0
Theoritical value
-50.0
Figure 5. Stress distribution in the cross section.
Figure 6. Displacement — time relations of the beam.
498
Table 1. FE analyses model size.

Case Number of partitions Remarks
Height Length
1_1 2 20 1 Element: 5.0×5.0 cm

1_2 4 40 1 Element: 2.5×2.5 cm
1_3 5 50 1 Element: 2.0×2.0 cm
1_4 10 100 1 Element: 1.0×1.0 cm
1_5 20 200 1 Element: 0.5×0.5 cm
3.2. Analysis accuracy of SPH method

Next, we applied no correction method using as many particles as possible within an appro-
priate computing time and investigated the relation between analytical accuracy and degree
of segmentation. On this occasion, the conventional analytical FEM method with a linear
shape function was also calculated and their accuracy and computing efficiency were com-
pared.
(1) Accuracy of FE analysis
In order to compare the accuracy of FE analysis, the response of a 2-D cantilever beam 100
mm high and 1000 mm long was compared with the theoretical value. Table 1 shows the
five mesh sizes of model used in this study (refer to Fig. 7). The displacement error compared
with the theoretical solution is shown in Fig. 8. It can be seen that the displacement response
is simulated well with more than 4 or 5 elements in the beam height direction.
(2) Accuracy of SPH analysis
To compare the accuracy of SPH analysis with no correction method, the response of a 2-
D cantilever beam was calculated using 4 kinds of particle sizes. The resulting stress error
compared with the theoretical solution is shown in Fig. 9 and the displacement error is
shown in Fig. 10. These figures show that the analysis results converge as the particle size
(a) Case No.1_1
(b) Case No.1_2
(c) Case No.1_3
(d) Case No.1_4
(e) Case No.1_5
Figure 7. FE analysis models.
499
4.9
4.8
4.7
Displacement (mm)
4.6
4.5
4.4 Theoritical value 4.762mm
4.3
4.2
4.1
4
1_1 1_2 1_3 1_4 1_5
Case No.
Figure 8. Displacement error by FE analysis.

Distance from center ( mm )
50.0
40.0
30.0
20.0
10.0
Stress ( N/mm2 )
0.0
-150.0 -100.0 -50.0-10.0 0.0 50.0 100.0 150.0
-20.0 2.5mm
5mm
-30.0 10mm
-40.0 20mm
Theoritical value
-50.0
Figure 9. Stress distributions by SPH analysis.
Figure 10. Displacement responses by SPH analysis.
500
becomes smaller. However, it is found that the SPH analysis is less accurate than the FE
analysis. Regarding the displacement of the SPH result with no correction method, in order
to obtain the response within 10% error, it requires at least 40 particles in the beam height
direction. Therefore, when we apply the SPH method to structural response problems, we
should use about 10 times smaller segmented particles compared to the FE mesh using a
linear interpolation algorithm.
4. Elastic-Plastic Analysis Using the SPH Method

For the elastic-plastic problem, the concept of SPH based on weighted mean using a smooth-
ing kernel function must be considered due to the mixture of elastic particles and plastic par-
ticles. To confirm the effect of the smoothing length, weighted mean strain in the axial direc-
tion is compared for two smoothing lengths, h and 1/2h. Furthermore, the impact response
using FE analysis is compared. In this calculation, Object A is assumed to be made of steel,
assuming von Mises yield criterion with 300 N/mm2 yield stress. After the yield condition,
strain hardening with an initial stiffness of 1/100 is considered. For object B, it is assumed to
be a concrete material that has a bi-linear stress-strain curve with 30 N/mm2 yield strength
and strain hardening with an initial stiffness of 1/100 is considered. Regarding the impact
conditions, an initial impact velocity of 20 m/s is applied to object A as shown in Fig. 11.
Figure 12 shows the equivalent stress distribution at the maximum displacement response.
In this figure, the yellow area indicates the domain whose equivalent stress exceeds the yield
100mm
Initial velocity 20m/s
Obj.A (Steel)
Fixed 50mm
100mm
300mm
Obj.B (Concrete)
Figure 11. Impact analysis model by FEM.
N/mm2
Plastic
Elastic Area
31.0
Elastic
23.0
15.0
7.0
Elastic & Plastic Area
Figure 12. Impact responses result by FEM.
501
Table 2. Weighed mean error by smoothing length.

Case Elastic or plastic Smoothing length Strain X(μ) Difference (%)
FEM SPH
A Elastic h 20.765 19.407 6.5

B1 Plastic h −45.100 −86.371 91.5
B2 Plastic h/2 −45.100 −41.136 8.8
㪈㪉㪅㪇
㪜㫈㫌㫀㫍㪸㫃㪼㫅㫋㩷㪪㫋㫉㪼㫊㫊㩷㩿㩷㪥㪆㫄㫄㩷㪀
㪉
㪏㪅㪇㪩㪼㫊㫌㫃㫋
㪠㫅㫇㫌㫋
㪋㪅㪇
㪇㪅㪇
㪇㪉㪇㪇㪋㪇㪇㪍㪇㪇㪏㪇㪇㪈㪇㪇㪇
㪜㫈㫌㫀㫍㪸㫃㪼㫅㫋㩷㪧㫃㪸㫊㫋㫀㪺㩷㪪㫋㫉㪸㫀㫅㩷㩿㩷μ 㩷㪀
Figure 13. Stress response with no return mapping scheme.
stress of object B. Table 2 show the precise stress distribution in the elastic-plastic domain.
From this table, it is observed that the smoothing length affected the weighted mean strain
in the SPH analysis. Thus, it is preferable to change the size of smoothing length consider-
ing the elastic-plastic stress state. Figure 13 shows the equivalent stress Ű equivalent plastic
strain relation in a particle as an example. We could find that the stress response oscillates in
spite of the sufficiently-small time increment (t = 1.0 × 10−7 sec by Courant’s condition).
In view of these circumstances, the return mapping scheme is used in the SPH analysis at
every time increment. Figure 14 shows the result using the return mapping scheme and we
confirmed that the stress response of the plastic particle becomes stable, which can be traced
to the assumed stress-strain curve.
Finally, we simulated impact response of RC slab using the SPH method with the return
mapping scheme.
Figure 15 shows an overview of the RC slab analysis model and reinforcing bars arrange-
ment. Figure 6 shows applied stress-strain curves. In this simulation, the effect of mechanical
characteristic of concrete after the tensile strength is considered by comparison with tension
cut-off model and no cut-off model. In the case of (c), tensile stress cannot be transferred
over the 3N/mm2 tensile strength.
Figure 17 shows the effect of cut-off model on the displacement response of the RC slab.
This figure clearly shows the tensile stress cut-off effect on the displacement response. There-
fore, it is found that the elastic-plastic impact analysis of a RC structural member requires
special treatment for the tensile failure in order to obtain accurate analytical results.
502
㪈㪉㪅㪇
㪜㫈㫌㫀㫍㪸㫃㪼㫅㫋㩷㪪㫋㫉㪼㫊㫊㩷㩿㩷㪥㪆㫄㫄㩷㪀
㪉
㪏㪅㪇㪩㪼㫊㫌㫃㫋
㪠㫅㫇㫌㫋
㪋㪅㪇
㪇㪅㪇
㪇㪉㪇㪇㪋㪇㪇㪍㪇㪇㪏㪇㪇㪈㪇㪇㪇
㪜㫈㫌㫀㫍㪸㫃㪼㫅㫋㩷㪧㫃㪸㫊㫋㫀㪺㩷㪪㫋㫉㪸㫀㫅㩷㩿㩷μ 㩷㪀
Figure 14. Stress response with return.
(a) Overview of RC Slab model (b) Reinforcing bar
Figure 15. RC slab model.
ǻ
0OO ǻ
0OO

ǭ

ǭ

(a) Reinforcing bar (b) Concrete (No cut-off) (c) Concrete (Cut-off)
Figure 16. Stress-strain relations.
5. Conclusions
The following conclusions are deduced from this study
503
㪫㫀㫄㪼㩷㩿㩷㫄㫊㩷㪀
㪇㪅㪇㩷
㪇㪅㪇㩷㪌㪅㪇㩷㪈㪇㪅㪇㩷㪈㪌㪅㪇㩷㪉㪇㪅㪇㩷㪉㪌㪅㪇㩷㪊㪇㪅㪇㩷
㪄㪇㪅㪌㩷
㪄㪈㪅㪇㩷
㪛㫀㫊㫇㫃㪸㪺㪼㫄㪼㫅㫋㩷㩿㩷㫄㫄㩷㪀
㪄㪈㪅㪌㩷
㪄㪉㪅㪇㩷
㪄㪉㪅㪌㩷
㪄㪊㪅㪇㩷㪈㪆㪈㪇㪇㩷㪟㪸㫉㪻㪼㫅㫀㫅㪾
㪚㫌㫋㩷㫆㪽㪽
㪄㪊㪅㪌㩷
㪄㪋㪅㪇㩷
Figure 17. Displacement response of RC slab.
(1) According to the fundamental analysis of kernel approximation, it is difficult to find a

correction method of free surface that has an assumed accuracy and reasonable efficiency
under the arbitrary stress fields.
(2) When we apply the SPH method to structural response problems, we should use about
10 times smaller segmented particles compared to the FE analysis.
(3) For the elastic-plastic problem, the SPH method requires appropriate return mapping
scheme to obtain accurate results.
(4) In order to simulate the impact response of a RC structural member, special treatment
for the tensile failure of concrete should be considered.
References
1. Impact problem committee of JSCE, Fundamentals and applications of impact test and analysis,
Structural Engineering Series 15 of JSCE, Maruzen, 2004 (in Japanese).
2. Hughes, T.J.R. The Finite Element Method, Linear Static and Dynamic Finite Element Analysis,
Prentice Hall Inc., 1987.
3. Cundall, P.A. Distinct element models of rock and soil structure, Analytical and Computational
Methods in Engineering Rock Mechanics, 1987, pp. 129–163.
4. Koshizuka, S. et al. Numerical analysis of breaking waves using the moving particle semi-implicit
method, International Journal for Numerical Methods in Fluids, 1998, Vol. 26, pp. 751–769.
5. Lucy, L.B. Numerical approach to testing the fission hypothesis, Astronomical Journal, Vol. 82,
pp. 1013–1024
6. Monaghan, J.J. Particle methods for hydrodynamics, Computer Physics Report, 1985, Vol.3,
pp. 71–124.
7. Monaghan, J.J. An introduction to SPH, Computer Physics Communications, 1988, Vol. 48,
pp. 89–96.
8. Liu, G.R., Liu, M.B. Smoothed Particle Hydrodynamics, World Scientific Pub Co Inc., 2003.
504
2-D FEM Analysis of the Rock Fragmentation by Two Drill Bits
S.Y. WANG1,∗ , Z.Z. LIANG2 , M.L. HUANG3 AND C.A. TANG2

1 Centre for Geotechnical and Materials Modelling,
Department of Civil, Surveying and Environmental Engineering, The University of Newcastle, Australia
2 School of Civil & Hydraulic Engineering, Dalian University of Technology, Dalian, P.R. China
3 School of Civil Engineering, Beijing Jiaotong University, Beijing, P.R. China
1. Introduction
Rock fragmentation by a drill bit is the preferred technique for effective mechanical methods
and rock fragmentation. Usually, the kinetic energy is transferred to the drill bit by means of
a stress wave. The stress wave travels through the bit until it reaches the end in contact with
the medium to produce failure and fractures.1 Many experimental investigations on rock
fragmentation have been carried out in the past decades.2 However, the process of fractures
initiation, propagations and coalescence under mechanical indentation is rarely observed
directly in the standard laboratory tests.
Numerical methods based on finite elements method (FEM) have been developed to simu-
late the impact problem in rock drilling. Liu3 developed and used R-T2D (Rock-Tool inter-
action) to simulate successfully the rock fragmentation process induced by single and double
indenters. The heterogeneity of rock is considered and the progressive process of rock frag-
mentation in indentation is reproduced. However, his work on rock fragmentation due to
indenters is limited to quasi-static state. In the present study, the numerical code RFPA2D,4
was used to simulate the evolution of dynamic fractures initiation, propagation in rock due
to static, dynamic and coupled static and dynamic loading, respectively.
2. Brief Description of RFPA2D

Briefly, the code RFPA2D5 is a two-dimensional finite element code that can simulate the
fracture and failure process of quasi-brittle materials such as rock. To model the failure of
rock material (or rock mass), the rock medium is assumed to be composed of many meso-
scopic rectangle elements with the same size. Their material properties are different from one
to another and are specified according to a Weibull distribution. These elements are acted as
the four-nodded iso-parametric elements for finite element analysis. Elastic damage mechan-
ics is used to describe the constitutive law of the meso-scale elements, and the maximum
tensile strain criterion and the Mohr-Coulomb criterion are utilized as damage thresholds.
The effects of strain rate on the strength of rock have been conducted widely especially
through experiments. Based on a variety of experimental results of granite, Zhao6 proposed
that the Mohr-Coulomb is also applicable to dynamic loading conditions if only the increase
of cohesion with the strain rate is taken account. The relation between dynamic uniaxial
compressive strength and loading rate can be described with a semi-log formula as follows.
σcd = A log (σ̇cd /σ̇c ) + σc (1)
where σcd is the dynamic uniaxial compressive strength (MPa), σ̇cd is the dynamic loading
rate (MPa/s), and σ̇c is the quasi-brittle loading rate (approximately 5 × 10−2 MPa/s), σc is
∗ Corresponding author. E-mail: bcwangsy@126.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0030 505
the uniaxial compressive strength at the quasi-static loading rate. Parameter A is considered
as a material parameter. For different rock material, this parameter should be different, and
should be determined based on variety of laboratory test. The compressive/tensile strength
ratio is assumed to be unchanged for dynamic loading conditions.
3. Model Setup
In the following numerical simulations, the indentation problem is simplified to a plain strain
condition. A plane passing through the central axis of the indenter is considered, as shown
in Fig. 1(a)–(c). Fig. 1(a) is for the case of static problem; Fig. 1(b) is for the case of dynamic
(impact) problem, and Fig. 1(c) is for the case of coupled static and dynamic problem. For
the static case, a displacement increment (0.005 mm/step) is applied on the indenters. For the
dynamic (impact) case, an impact loading with peak stress of 90 MPa are applied as shown in
Fig. 2. For the coupled static and dynamic case, the axial pre-compression stress of 180N was
applied firstly, and then the same impact loading shown in Fig. 2 was applied. The indenter
is simulated as a homogeneous material whose elastic modulus is a few times higher than
that of rock in order to safeguard against permanent deformation of the indenter. The rock
Static loading
(a)
Dynamic loading
(b)
Coupled static and dynamic loading
(c)
Figure 1. Mechanical models of numerical simulation: (a) Static case, (b) Dynamic (impact) case; (c)
Coupled static and dynamic case.
506
90
P (MPa)
60
0 10 20 30 40
t (μs)
Figure 2. Dynamic impact compressive stress waves applied at the top surfaces of two indenters for
cases (b) and (c).
Table 1. Material properties of specimens.

Homogeneity index (m) 3
Mean compressive strength (σ0 ) 300(MPa)
Mean elastic modulus (E0 ) 30,000(MPa)
Poisson ratio (μ) 0.25
Table 2. Material parameters for indenters.

Homogeneity index(m) 20
Mean compressive strength (σ0 ) 3000(MPa)
Mean elastic modulus (E0 ) 300,000(MPa)
Poisson ratio (μ) 0.25
specimen is considered as heterogeneous material. The basic parameters for rock specimen
are listed in Table 1. For the dynamic case, the time step is 0.2 μ s, and the wave velocity
is 3500 m/s. The strength and elastic modulus of indenters in the current models are given
enough high value, in order that the indenters will not fail during the rock fragmentation.
The properties of indenters are listed in Table 2.
4. Numeiral Simulated Results

4.1. Numerically simulated rock fragmentation process due to static
loading
Figure 3 shows the comparison of the numerical simulated rock fragmentation due to static
loading. When the indenter acts on the rock, a high stress zone, corresponding to the high-
light zone in Fig. 4 (stage A) some small fractures come into being immediately beneath the
indenter. As the stress intensity builds up with an increasing load, one or more of the flaws
nucleates the so call initial radial crack around the two corners of the truncated indenter in
stages B and C in Fig. 3. It is noted that due to the heterogeneity of rock, the initial radial
crack propagating path from the two indenters are not totally the same. The initial radial
507
(A) (B)
(C) (D)
(E) (F)
Figure 3. Numerical simulated of fracture process of specimen subjected to static loading.
crack from left indenter grows faster than that of right indenter (stages C and D). After-
wards, along with the increasing stress, all of the cracks propagate downwards (Stages E and
F). In addition, the stages A–F are corresponding to the points A–F in the force-penetration
curve in Fig. 4. The associated seismicity, which is usually called the acoustic emission (AE)
phenomenon in rock mechanics, is obtained by recording the counts of the failure elements.
From Fig. 4 the force-penetration curve has almost a linear shape in the initial loading stage
(before Stage B). It is noted that there are two evident force-drops in points C and D in Fig. 4.
It indicates that the more cracks occur and propagate in Stages C and D in Fig. 3, which lead
to the bearing ability of rock decreasing and then the compressive forces in these two stage
drop suddenly.
B C
A
E F
Figure 4. Force-penetration curve during rock fragmentation subjected to static loading.
508
4.2. Numerically simulated rock fragmentation process due to dynamic

(impact) loading
Figure 5 shows the numerical simulated of fracture process of specimen due to dynamic
(impact) loading. At the stage of impact loading (t ≤ 20 μs), the stress fields induced by the
double indenters are equal to those induced by the case of static loading (t ≤ 40μs). With
compressive stress waves from two impact points propagating 40μs ≤ t ≤ 60 μs, the two
compressive waves meet and interfere and some incipient chip occurs especially concentrating
on the inter-zone of two indenters, as the interaction of stress field between the two indenters
enhance the fractures initiations in such zone. Along with the compressive waves developing,
these tensile cracks between the two indenters propagate fast (60 μs ≤ t ≤ 100μs). Mean-
while, there are also some tensile cracks on the other side of the two indenters emerging.
Comparing the static case, owing to interaction of two compressive stress waves, the incipi-
ent chip initiation and propagation in the inter-zone of two indenters enhance inevitably the
fragmentation of rock.
4.3. Numerically simulated rock fragmentation process due to coupled

static and dynamic loading
In this section, the axial pre-compression stress of 480N was applied firstly, and then the
impact loading with peak stress of 90 MPa was applied. Figure 6 shows the numerical simu-
lated of fracture process of specimen due to coupled static and impact loading. For the stage
of pre-compression, it is the same with the static case. The pre-compression stress of 480N
is corresponding to point P in Fig. 4. In this stage, there are no fractures occur under the
two indenters. Afterwards, at the stage of impact loading (t ≤ 20μs), comparing with the
pure dynamic case in Fig. 5, due to the pre-compression, the indenters have entered the rock
10μs 20μs
40μs 60μs
80μs 100μs
Figure 5. Numerical simulated of fracture process of specimen subjected to dynamic (impact) loading.
509
Pre-compression stress of 480N 20μs
40μs 60μs
80μs 100μs
Figure 6. Numerical simulated of fracture process of specimen subjected to coupled static and
dynamic loading.
before the impact loading applied. At a result, more fractures initiate and propagate from
the two indenters. With the impact loading applied (20μs ≤ t ≤ 60μs), the secondary radial
cracks driven by tensile stresses run downward along the stress trajectories of the maximum
principal stresses. Afterwards, more and more some incipient chip occurs especially concen-
trating on the inter-zone between two indenters (60μs ≤ t ≤ 100μs). Comparing with the
pure dynamic case in Fig. 5, the fractures in the inter-zone between two indenters propagate
even faster than the fractures from the two indenters in Fig. 6. It indicates that the rock can
be more fragmentized when the rock is subjected to the coupled static and dynamic (impact)
loadings. It is noted that the different pre-compression stress and different peak stress of
impact loading can affect the efficiency of fragmentation in indentation. The influence of the
combination of different pre-compression stress and peak stress of impact loading will be
discussed in another paper.
5. Conclusions
In this study, RFPA2D code has been applied to simulate rock fragmentation due to static,
dynamic and coupled static and dynamic loadings. Although the reality is often much more
complex than the numerical models applied, the study provides interesting indications for
improving performance of rock fragmentation in indentation. Numerical simulated results
show that comparing the static case, owing to interaction of two compressive stress waves,
the incipient chip initiation and propagation in the inter-zone of two indenters enhance
inevitably the fragmentation of rock. In addition, due to the pre-compression, the rock can
be more fragmentized when the rock is subjected to the coupled static and dynamic (impact)
loadings.
510
Acknowledgements
The work described in this paper was partially supported Australian Research Council grant
DP0881238, and the grant of National Natural Science Foundation of China 50804006, to
which the authors are very grateful.
References
1. Chiang, L. Dynamic force-penetration curves in rock by matching theoretical to experimental wave
response. J Exp Mech 2004, 2, pp. 167–175.
2. Kou, S.Q. Some basic problems in rock breakage by blasting and by indentation. PhD thesis, Luleå
University of Technology, 1995.
3. Liu, H.Y. Numerical modeling of the rock fragmentation process by mechanical tools. PhD Thesis:
32D, Lulea University of Technology, Sweden, 2004.
4. Zhu, W.C., Tang, C.A. Numerical simulation of Brazilian disk rock failure under static and dynamic
loading Journal of Rock Mechanics & Mining Sciences, 2006, 43, pp. 236–252.
5. Tang, C.A. Numerical simulation of progressive rock failure and associated seismicity. International
Journal of Rock Mechanics and Mining Sciences, 1997, 34, pp. 249–261.
6. Zhao, J. Application of Mohr-Coulomb and Hoek-Brown strength criteria to the dynamic strength
of brittle rock. Int. J. Rock Mech. Min. Sci., 2000, 37, pp. 1115–112.
511
Determination Method of Rock Mass Hydraulic Conductivity
Tensor Based on Back-Analysis of Fracture Transmissivity and
Fracture Network Model
LI XIAOZHAO1,∗ , JI CHENGLIANG1 , WANG JU2 , ZHAO XIAOBAO1 , WANG ZHITAO1 ,

SHAO GUANHUI1 AND WANG YIZHUANG1
1 NJU-ECE Institute for Underground Space and Geoenvironment,
School of Earth Sciences and Engineering, Nanjing University, Nanjing 210093, Jiangsu, China
2 Beijing Research Institute of Uranium Geology, Beijing 100029, China
1. Introduction
The Representative Element Volume (REV) and the 3-D hydraulic conductivity tensor are
very important for the evaluation of hydraulic properties of the rock mass. Usually, the
stochastic discrete fracture network that characterize rock mass structure is built to ana-
lyze the seepage properties.1,2 Although many researches have been done to describe rock
mass fracture system during recent years,1−11 there are many problems. The measurement of
fracture width is difficult and inaccurate, which may cause great error for the hydraulic con-
ductivity calculated based on the discrete fracture fluid flow model. Yu Qingchun3,4 decided
the equivalent fracture width of the discrete fracture flow model by simulating the infiltra-
tion test. M. Wang2 obtained the flow rate per unit hydraulic gradient by simulating the
packer tests in the borehole assuming that the difference between the average values of the
transmissivity for different fracture sets is not significant. The transmissivity of each fracture
is obtained by simulating the borehole packer test based on the discrete fracture network
using the data from televiewer and packer test in the borehole in this paper. Based on the
transmissivity calibrated fracture fluid flow model, the permeability property of rock mass in
Beishan area, Gansu Provence, China, a high-level radioactive waste geological repository, is
analyzed.
Firstly, based on the geometry statistical parameters of fractures mapped in field, the
stochastic discrete fracture network was established and calibrated using Monte-Carlo
method. Then, the transmissivity of the discrete fracture fluid flow models with different
sizes was calibrated by simulating the packer test in the 3# borehole. The existence of the
REV scale was proved by analyzing the variation of the directional hydraulic conductivity of
three directions with block sizes. The 3-D hydraulic conductivity tensor of the fractured rock
mass near the borehole was decided using regression method. Finally, the principal hydraulic
conductivity and the directions were decided.
2. Three-Dimensional Stochastic Fracture Network and Its Validation

The rock mass dealt within the paper is composed of granite. It is located Gansu Province,
West of China, where a high-level radioactive waste geological repository lies in. Near the 3#
borehole, 11 scan windows provide more than 800 fractures. Table 1 shows the summary of
fracture set delineation results obtained for the granite rock mass based on the data mapped.
Empirical Fisher distribution is suitable to fit the statistical distribution of orientation of
fracture sets.5 The Lognormal distribution was found to be the best distribution to represent
fracture trace length. Packer test data were available from various depths of 3# borehole.
∗ Corresponding author. E-mail: lixz@nju.edu.cn

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0083 513
Table 1. Summary of fracture set delineation results.

Fracture Orientation (Dip direction/Dip angle) Trace Length 2-D Density
set (◦ ) (m) (/m2 )
number
Mean Fisher Distribution Mean Value Variance Distribution
Orientation Parameter Value
1 258.48/85.29 16.169633 Fisher 1.095 0.478 Lognormal 0.39

Table 2. Summary of 2-D and 3-D intensity of fracture

sets after calibration.
Fracture set no. 2-D density (/m2 ) 3-D density (/m3 )
1 0.36 0.67
2 0.20 0.38
3 0.18 0.29
The borehole of length 500 m provides 400 deterministic fracture data through acoustic tele-
viewer technique. For simplification, only the packer test between 171.5 m and 178 m was
simulated to calibrate the transmissivity of fracture fluid flow models with different sizes.
Based on the geometry statistical parameters showed in Table 1, the 3-D stochastic discrete
fracture network model with edge length 50 m was built using Monte-Carlo method. The
model is established on the hypothesis that a fracture is a circular disc in space and the
location of the center of the disc distribute randomly. To built the fracture model that can
characterize the real structure of rock mass in site, the above process must be repeated to
verify the validity of the model.1,2 The 3-D density of fractures of each set which decides the
count of fractures is a very important parameter during modeling. Generally speaking, the
parameter can not be measured in field. The inverse-model method3,4 was used to determine
the 3-D density of each fracture (Table 2) of the model by comparing the 2-D density of the
model with the observed 2-D density of each fracture from the outcrops.
3. Three-Dimensional Fracture Fluid Flow Model and Calibration of

Fracture Transmissivity of the Model
3.1. Pipe flow network model
A lot of fractures in the stochastic fracture network model do not connect with any other
fractures/boundary (isolated fractures) or connect with the only one fracture/boundary (dead-
end fractures) and consequently are not involved in the fluid flow in the network. These frac-
tures should be removed from the discrete fracture network when the fluid flow calculation
was conducted to speed up the computing process. After the fractures above-mentioned were
removed from the network, new fractures that should be removed will occur. Therefore, the
process that removes fractures from the network should be repeated until all the fractures in
the model connect with at least two other fractures or at least one fracture and a boundary.3
The model then was called connected fracture network model.
514
Subsequently, pipe flow network model should be developed based on the connected frac-
ture network model. M. Wang2,10 and Yu Qingchun3,4 suggest that it is reasonable to use
equivalent one-dimensional pipes to represent conceptually the fluid flow in a 2-D fracture
in order to simplify and minimize the complexity of fluid flow in a fracture. The intersection
lines between fractures in the connect fracture network model were determined. The center
point of a fracture disc and the middle point of the intersection line between the fracture and
the other one are set to be nodes. The pipes are placed between the center of the fracture disc
and the midpoint of the intersected line of the intersected fractures. Between two intersected
fractures, two equivalent single flow pipes as shown in Fig. 1 represent flow from one fracture
to another. It is assumed that the fluid in a fracture flows to another or vice versa through the
pipe. The pipe between two intersected fractures should be considered as a trapezoid zone as
shown in Fig. 2.
The equivalent width of the flow pipe can be derived from the Darcian law. The bc in
Fig. 2 is the width at one end of flow path crossing the diameter of the fracture disc and can
be obtained by the Equation (1), bL is the other end of the flow path equal to the length of
the intersection line between two fractures.

2R bL
bc = × (1)
NL bTm
where R is the radius of fracture disc, NL is the total number of intersections between the
fracture and the other fractures or boundaries, bTm is the average of lengths of all the inter-
sections between the fracture and the other fractures or boundaries. According to the Darcian
law, the equivalent width of the flow pipe can be derived. bm can be written as a function of
bc and bL such as Equation (2).

bL − bc
bm = (2)
ln bbL
c
Figure 1. Features of nodes and pipes in the model.
bc
bL bm
Figure 2. The equivalent process of a flow sub-domain on a fracture.
515
3.2. Calibration of fracture transmissivity of the flow model

The fracture transmissivity (T) reflects the permeability of the fractures in the model and can
be obtained by the Equation (3).
gb3
T= (3)
12νw
where b is the fracture equivalent width, νw is the kinematic viscosity coefficient of water,
g is gravitational acceleration constant. It can be obtained from Equation (3) that the fracture
width has great influence on the permeability of the fracture. Usually, fracture transmissivity
is calculated by the randomly generated fracture width that fits a certain distribution. This
method requires good measurement of fracture width in field. Generally speaking, the frac-
ture width is difficult to measure in field because of the weathering of the rock outcrop and
the fillings in the fracture. Therefore, the fracture transmissivity of the discrete fracture fluid
flow model is calibrated by simulating the borehole packer test in this paper. Then, based
on the calibrated flow model, the permeability of the rock mass near the borehole can be
analyzed.
In the 3-D conceptual linear pipe discrete fracture fluid flow model, the average value of
the transmissivity for each fracture of all fracture sets needs calibration. The packer test for
the depth range 171.5–178 m of the 3# borehole will be simulated to calibrate the equivalent
fracture transmissivity of the flow model. The data of fractures that lie in the range were
obtained through acoustic televiewer. The in situ observation data for the fractures exposed
on the borehole walls indicated that the average values of the aperture and the extent of the
filling in fractures for different fracture sets to be almost the same.2,10 It provided support
on the point that the difference between the average values of the transmissivity for different
fracture sets can be ignored.
Cubic samples of sizes 6.5, 6.8, 7.1, 7.4, 7.7, 8.0, 8.3, 8.6, 8.9, 9.2, 9.5, 10.0, 10.5, 11,
12 m were selected from the center of the cube with edge length 50 m that was developed and
validated in Section 2 to calibrate the fracture transmissivity of the these models. In each of
these samples, the borehole was placed vertically at the center of the cube to have the center
of the packer interval to coincide with the center of the cube. The observed fractures on the
borehole from the televiewer were placed in the stochastic fracture network model to the
considered depth length with the disc center coinciding with the borehole in the horizontal
plane. For the observed fractures, the known dip angle, dip direction and location of each
fracture on the borehole were used in setting the place. The diameters of these determin-
istic fractures were set to be the average values of fracture set they belong to respectively.
The centers of observed fractures that intersect the borehole were set to be nodes which
the hydraulic heads have been known. It is assumed that the fluid of the packer test in the
borehole flow from the centers of the deterministic fractures to the boundary through the
“stochastic-deterministic model”. It was decided to use the injection water pressure value as
the input to numerical discrete fracture fluid flow model and predict the injection flow rate
as the output. The difference of hydraulic heads between the nodes on the borehole and that
on the boundary was set to be the injection pressure. The injection flow rate of packer test
was available to compare with the predicted flow rate to calibrate the fracture transmissivity
of the discrete fracture fluid flow model. Similarly, the Equation (4) is suggested to calculate
the flow path width bc for a fracture that intersects a borehole in an interval of packer test
such as fracture B in Figs. 3 and 4.

2πR bL
bc = × (4)
NB bTm
516
D
B
A
C
Borehole
Figure 3. Intersections between deterministic fractures and stochastic fractures.
bL D
bc
bL B
Borehole
bL C
Figure 4. Trapezoid sub-domain on a fracture that intersect the borehole.
where R is the radius of borehole intersected fracture such as fracture A in Fig. 3, NB is the
total number of intersections between the fracture A and the other stochastic fractures and
bTm is average of the lengths for all the intersections in the fracture A.
The resulting injected flow rate was then compared with the observed injected flow rate
of packer test between 171.5 and 178.0 m. This procedure was repeated for each model
using different selected transmissivity (T) until excellent agreement was obtained between
the predicted and observed injected flow rates.
4. Estimation of REV Size and Determination of Hydraulic Conductivity

Tensor in 3-D
4.1. Estimation of REV size
A series of stochastic fracture network models with different sizes which the fracture trans-
missivity has been calibrated in Section 3.2 were used to estimate the REV size for the granite
rock mass around the 3# borehole. Each cubic block has two vertical faces perpendicular to
the N-S (North-South) direction. The calibrated fracture transmissivity value for the depth
range 171.5–178.0 m was assigned for the fractures in each block. To calculate the direc-
tional hydraulic conductivity in a chosen direction, a unit hydraulic gradient was applied in
that direction using the two perpendicular planes of the cube corresponding to the chosen
517
4.00E-007
N-S direction
3.50E-007 REV Size E-W direction
Directional Hydraulic Conductivity(m/s)

Vertical direction
3.00E-007
2.50E-007
2.00E-007
1.50E-007
1.00E-007
5.00E-008
0.00E+000
6 7 8 9 10 11 12
Block Size(m)
Figure 5. Directional hydraulic conductivity in S-N, W-E and vertical direction vs. block sizes.
a b c
Figure 6. Variation of directional hydraulic conductivity in 3-D space ((a): view along the direction
having trend 341◦ and downward plunge = 21◦ ; (b): view along the direction having trend 209◦ and
downward plunge 19◦ ; (c): view along the direction having trend 7◦ and downward plunge 31◦ ).
direction.10 The other boundaries of the block were specified as no flux boundaries in per-
forming the flow calculations under the steady state. The directional hydraulic conductivities
obtained in the directions N-S, E-W and vertical for each block are shown in Fig. 5.
It is clear from Fig. 6 that the hydraulic conductivities in different directions do not change
with the block sizes for block sizes greater than 9.5 m. This implies that the REV size for the
granite rock mass of this area can be considered to be about 9.5 m.
4.2. Determination of hydraulic conductivity tensor in 3-D

To calculate the hydraulic conductivity tensor for the rock mass near the 3# borehole, a
cube of 9.5 m was chosen from the center of the cube of size 50 m having the corresponding
fracture network. The calibrated fracture transmissivity corresponding to the 9.5 m block
was assigned to the model. As mentioned earlier, a unit hydraulic gradient was applied in
that direction using the two perpendicular planes of the cube corresponding to the chosen
direction to calculate the directional hydraulic conductivity. The other boundaries of the
block were specified as no flux boundaries in performing the flow calculations using the dis-
crete element method. Trough this way, the directional hydraulic conductivity was calculated
518
Table 3. Values and directions of principal hydraulic con-

ductivity near the borehole.
Principal hydraulic Trend (◦ ) Downward
conductivity (×10-7) plunge
(m/s) (◦ )
K1 2.08 110 80
K2 1.71 349 5
K3 0.47 258 8
in more than 280 directions covering the 3-D space. Fig. 6 shows the spatial variation of
hydraulic conductivities in 3-D.
The Equation (5) can be derived from the Darcian law and the tensor form of hydraulic
conductivity.2,10
m2i1 K11 + m2i2 K22 + m2i3 K33 + 2mi1 mi2 K12
+ 2mi2 mi3 K23 + 2mi1 mi3 K13 = Kd (− →
mi ) (5)
where K11 , K22 , K33 , K12 , K23 and K13 are six independent components of the hydraulic
conductivity tensor, Kd (−
→
mi ) is the ith directional hydraulic conductivity along the hydraulic
→
−
gradient unit vector mi = (mi1 ,mi2 ,mi3 )T .
The estimation of K11 , K22 , K33 , K12 , K23 and K13 can be obtained by applying the method
of regression. In addition, the three principal values of the hydraulic conductivity tensor and
the corresponding three principal directions were determined (Showed in Table 3).
Note that the hydraulic conductivity of the rock mass is significantly anisotropic. The
highest hydraulic conductivity is obtained along the sub-vertical direction. This compares
well with the fracture system of the rock mass that has three sub-vertical fracture sets. The
geometrical mean value of the three principal hydraulic conductivities also compares well
with the equivalent hydraulic conductivity obtained from the equivalent continuum model.
5. Conclusions
• It is indicated that there were three fracture sets in this area through the statistic data.
Based on the statistical model, the stochastic fracture network model which characterizes
the rock mass structure was built and validated. The 3-D density that was obtained by
the “back-analyze” method was used to generate fractures of each set.
• Assuming that the transmissivity of each fracture in the model is the same, the parameters
of each model with different size was calibrated by simulating the packer test of the depth
range 171.5–178.0 m. The error evoked by the measurement of fracture width can be
avoided by this method.
• The REV size of the rock mass around the 3# borehole was determined to be about
9.5 m. The values and directions of principal hydraulic conductivities were obtained by
the method of regression. It is find out that the geometrical mean value of the three
principal hydraulic conductivities compares quite well with the hydraulic conductivity
obtained through the radial flow continuum porous media assumption for the rock mass
around the borehole. So the results obtained by simulation can be used to evaluate the
permeability of the rock mass around the borehole.
• The permeability of this area is significantly anisotropic as the three principal hydraulic
conductivities reflect. The direction of the highest hydraulic conductivity is sub-vertical.
519
This compares well with the fact that all the three fracture sets of this area are sub-
vertical. So it can be concluded that the fluid flow in this area is controlled by the three
main fracture sets.
Acknowledgements
The authors acknowledge the financial support of National Natural Science Foundation of
China (NSFC) (40702046) and “the eleventh five year plan” project of the Commission
of Science, Technology and Industry for National Defence (Ke Gong Ji [2007] 825). The
support received for this project from the Beijing Research Institute of Uranium Geology is
appreciated very much.
References
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hydraulic conductivity tensor for a fractured rock mass through a single well packer test and
discrete fracture fluid flow modelling [J]. International Journal of Rock Mechanics and Mining
Sciences, 2002, 39: 887–904.
3. Yu Qingchun, Wu Xiong, Ohnishi Yuzo. Channel Model for Fluid Flow in Discrete Fracture Net-
work and its Modification [J]. Chinese Journal of Rock Mechanics and Engineering, 2006, 25(7):
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ing, 2005, 24(4): 662–668.
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Geological Education, 1985, 33: 266–269.
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Mechanics and Rock Engineering. 1998, 31(4): 217–235.
8. Lianyang Zhang, Einstein H.H. Estimating the intensity of rock discontinuities [J]. International
Journal of Rock Mechanics and Mining Sciences. 2000, 37: 819–837.
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Technology, 1984.
10. Wang M. Discrete fluid flow modeling, field applications in fractured rocks. Ph.D. dissertation,
The University of Arizona, Tucson, AZ, 2000.
11. Panda B.B. Investigation of relations between the geometrical properties and hydraulic properties
of jointed rock through numerical simulation. PhD dissertation, The University of Arizona,Tucson,
AZ, 1995.
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Non-Planar Surface [J]. Rock Mechanics and Rock Engineering. 2006, 39(2): 131–146.
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from Sellafield, UK [J]. Hydrogeology Journal, 2004, 12: 497–510.
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KTH Land and Water Resources Engineering, Stockholm, 2004.
520
Numerical Simulation of Scale Effect of Jointed Rock Masses
Z.Z. LIANG1,∗ , L.C. LI1 , C.A. TANG1 AND S.Y. WANG2

1 School of Civil and Hydraulic Engineering, Dalian University of Technology, Dalian, P.R. China
2 Centre for Geotechnical and Materials Modelling, Department of Civil,
Surveying and Environmental Engineering, The University of Newcastle, Australia
1. Introduction
Jointed rock masses are often encountered during excavation in civil engineering and mining
engineering. The design of high rock slopes, typical of open pits, and tunnel excavation
often requires the evaluation of the rock mass strength containing joints. Many failures of
underground openings during excavation are reported closely relate to joints. Joints usually
occur in sets which are more or less parallel and regularly spaced. And also there are usually
several sets in very different directions so that the rock mass is broken up into a blocky
structure.1
The importance of scale effect for the design of rock masses as well as other heterogeneous
materials is a well debated issue. The combination of the Weibull statistical theory of random
strength and energetic theory is one of the promising approaches to explain the phenomena
of scale effect. Scale effect rises originally from microstructures of brittle materials. Many
explanations have been put forward to predict the strength and fracture behaviour of brittle
materials, such as rock, concrete and ceramics et al. Based on experiments on fatigue frac-
ture of metals and heuristic arguments, Weibull2 introduced his probability distribution into
the theory of fatigue failure of metals and ceramics and obtained the first power law for the
statistical scale effect. For about a half of a century, almost all experimentally observed scale
effects in all materials are attributed to Weibull theory. If it is only attributed to the heteroge-
neous nature of the material, Weibull theory seems provides a satisfactory answer3 . However,
serious discrepancies appear from experiments conducted on quasi-brittle materials4 , which
lack plasticity and are characterized by gradual softening in a fracture process zone that
cannot be negligible compared to structure size. The deterministic energetic scale effect is
obtained for not too large structure sizes, and the Weibull statistical scale effect is obtained
as the asymptotic limit for very large structures.3 Scale effect of jointed rocks can be studies
by analytical analysis, experimental study and empirical investigation. Jaeger proposed an
empirical formula to predict the rock mass strength. Numerical study has been come to be a
useful tool to better understand the failure process as well as scale effect of brittle materials
nowadays. A direct approach to studying the scale effect phenomenon in a heterogeneous
material, such as concrete, is based on the square lattice network5−8 . Bazant et al.,5 and
Schlangen and van Mier et al.7 modified the Herrmann approach in several ways in order to
apply it to concrete.
In this paper, progressive failure process of the heterogeneous jointed rock specimen was
simulated by a two dimensional numerical micromechanics model with a view to study the
scale effect in strength. The rock mass specimens containing pre-existing layered joints and
randomly distributed joints were represented to undertake uniaxial compressive loading tests,
and the specimens had the similar shape but different sizes. The size effect on peak strength,
deformation and fracture patterns was discussed.
∗ Corresponding author. E-mail: Z.Z.Liang@163.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0107 521
2.1. Numerical code and joint model
A numerical code RFPA was applied to investigate the failure behaviours of jointed rocks.
RFPA is a numerical code developed by C.A. Tang and is used to simulate many problems on
brittle materials, such as rocks, concretes and ceramics. The RFPA code has been developed
by considering the deformation of an elastic material containing an initial random distri-
bution of micro-features to simulate the progressive failure in a more visual way, including
simulation of the failure process, failure induced seismic events and failure induced stress
redistribution. Difference from common Finite Element Method, the RFPA code can sim-
ulate non-linear deformation of a quasi-brittle behaviour with an ideal brittle constitutive
law for the local material by introducing heterogeneity of rock properties into the model.
By introducing a reduction of material parameters after element failure, the RFPA code can
simulate strain-softening and discontinuum mechanics problems in a continuum mechanics
mode. When the elements reach the failure assumed criteria, the elastic modulus will reduce
to a certain value. The macro-failure of rock is the accumulation results of the failure of ele-
ments. Not only the peak strength but also the fracture process of the rocks can be obtained
by using this code. For further particulars, please refer to literature.9,10
In RFPA code, joint elements are considered to be a kind of special material, and they have
smaller shear strength and tensile strength compared with rock elements. Generally, they are
assumed to have no tensile strength and fracture when subjected to tensile stress. The normal
stiffness and the tangential stiffness of the joint elements are the same when they are in elastic
stage before failure. However, when the tensile stress is beyond the tensile stress, the joints
will fracture in tensile failure mode and the normal stiffness is reduced to a value close to zero.
When the shear stress satisfied the shear strength criterion of the joint elements, the joints
will fracture in shear failure mode, and the shear stiffness will be reduced to a small residual
value. Thus, whichever failure mode the joint elements have, they can have a relatively large
displacement in either normal or shear direction correspondingly. When the joint elements in
shear failure mode are compressed in next step, the normal stiffness will be rebuilt up which
can prevent element imbedding.
2.2. Numerical modelling

In this study, three kinds of rock masses were considered. For the first kind of rock masses,
layered joints with the dip angle 30◦ , 45◦ and 60◦ were arranged, and the scales of the
specimens are 1m×1m, 2m × 2m, 3m × 3m, 5m × 5m, 7m × 7m, 10m × 10m, 15m × 15m,
20m × 20m and 30m × 30m respectively. In order to investigate the anisotropic mechanical
behaviour of jointed rocks, the specimens of 5m × 5m and 10m × 10m were prepared by
varying the joint dip angle from 0◦ , 15◦ , 75◦ , to 90◦ . There were totally 32 cases for this kind
of rock mass containing one set of joints. For the second kind of rock masses, two groups of
joints perpendicularly were distributed, and the scales of the specimens were the same, 1m
× 1m, 2m × 2m, 3m × 3m, 5m × 5m, 7m × 7m, 10m × 10m, 15m × 15m, 20m × 20m
and 30m × 30m. For the last kind of rock masses, rock joints were randomly distributed
throughout the rock mass specimens by using Monte-Carlo method. The even value of the
distance between two sets of joints was 2.5m, and the even length of the joints was 2m. The
even dip angle for there two sets of joints was 120◦ and 30◦ .
Only uniaxial compressive loading was applied on the top of the specimens when the
bottom of them was fixed in vertical direction. Compressive loading was implemented by
using a constant rate of displacement increment. In the numerical model, both the rocks and
522
the joints were considered to be heterogeneous. The heterogeneity index for the rocks was
assumed to be 2.0, and the index for joints, which were much more heterogeneous than
rocks, was assumed to be 1.5. The parameters used in the simulation were listed in Table
1. The jointed rock specimen containing one set of joints with the dip angle 45 was shown
in Fig. 1(a), the jointed rock specimen containing two sets of joints with dip angle 45 was
shown in Fig. 1(b), and the rock specimen containing two sets of randomly distributed joints
was shown in Fig. 1(c).
Table 1. Parameters used in simulation.

Parameters UCS(MPa) E (GPa) C/T Poisson ratio φ(◦ ) RS
Rock 120 20 10 0.25 30 0.1

Joints 20 0.5 20 0.25 30 0.1
1m×1m 1m×1m
3m×3m 3m×3m
5m×5m 5m×5m
7m×7m 7m×7m
10m×10m 10m×10m
15m×15m 15m×15m
20m×20m 20m×20m
(a) 30m×30m (b) 30m×30m
5m×5m
7m×7m
10m×10m
15m×15m
20m×20m
(c) 30m×30m
Figure 1. Sketch of jointed rock specimens with different scales ((a) One sets of joints with dip angle
45, (b) Two sets of joints with dip angle 45◦ , and (c) Randomly distributed joints).
523
The joints had the heterogeneity index 1.5, which were more heterogeneous than the rocks.
Due to the small elastic modulus, the joint elements had a large deformation relatively along
the joints surface even though they could not slide far way. However, the failed joint elements
would get a high stiffness if they were compressed to reach the maximal strain coefficient.
The high stiffness would prevent the imbedding problem. In Table 1, UCS was the uniaxial
compressive strength, C/T represents the ratio of UCS to uniaxial tensile strength, and RS
represents the coefficient of residual strength, the ratio of the strength of the intact rock to
failure rock.
3. Numerical Simulation and Results

3.1. Scale effect
The peak strength of the specimens tested was obtained as shown in Fig. 2, Fig. 3 and
Fig. 4. As found by other investigators, the peak strength under uniaxial compressive loading
decreased with the increasing of jointed specimen scale. When the scale grew larger and
reaches to a critical value, the peak strength tended to be a constant. The critical scale
can be regarded as REV (Representative Elementary Volume). Numerical results of rock
mass with two perpendicular joints also showed the same principle, as shown in Fig. 3 and
Fig. 4. When the scale of the specimens increased to 20m, the peak strength would never
decrease any more. The mechanical parameters of the specimen with this critical scale are
much important for the evaluation of the total rock engineering. The relation of the peak
strength and specimen scale could be well fitted by a negative exponential function. The
function could be described as y = a + be−cx , where y represents the peak strength and x is
the specimen scale. Parameter a, b and c were all constant. When the scale tended to be
zero, the peak strength would be an unexpected large value, and if it tended to be large
enough, the peak strength would be a constant value, which represented the critical value
REV. Many authors have given this function to describe the size rule of brittle materials.1−3,5
Peak strength (m)
Specimen scale (m)
Figure 2. Relation between the peak strength and the specimen scale of the specimens containing on
set of joints with different dip angle.
524
Peak strength (MPa)
Scale (m)
Figure 3. Plot of peak strength for the jointed specimens containing two sets of joints at different
scale.
Peak strength (MPa)
Scale (m)
Figure 4. Plot of peak strength for the rock specimens containing two sets of randomly distributed
joints at different scale.
3.2. Anisotropic feature of peak strength

When we kept the scale unchanged and vary the dip angle, we got the relation between peak
strength and the dip angle. Figure 6 showed the simulated results of the specimens with the
scale of 5m×5m and 10m×10m. Both curves showed a V shape. The peak strength decreased
as dip angle increases to 60◦ . However, when the angle increased further, the peak strength
increased. The specimens with the joints of 60◦ gave the minimal peak strength, while the
specimens with the joints of 90◦ had the maximal peak strength.
As found by other scholars, the dip angle with respect to the loading direction has much
influence on the strength of layered rocks. As the dip angles increase, the peak strength of
rock samples undergoes a decrease-increase process, and the strength of the jointed rocks
shows a shoulders type feature.1,11
525
Peak Strength (MPa)

Peak Strength (MPa)
y = 2.8581+4.5393e−0.3623x R =0.971 y = 2.3343 + 7.3190e−0.6639x R2 = 0.985

2
Scale (m)
Scale (m)
(a) single set of joints, 45° (b) two sets of joints, 45°
(a) single set of joints, 45◦ (b) two sets of joints, 45◦
Figure 5. Fitted function for the scale effect of rock masses containing joints of 45◦ .
gj
Peak strength (MPa)
Dip angle (°)
(a) 5m×5m (b) 10m×10m.

(a) 5m×5m (b) 10m×10m.
Figure 6. Plots of peak strength vs. the dip angle.
3.3. Fracture patterns

It is very interesting to find that there are two different fracture patterns for the jointed spec-
imens with dip angle 45◦ . When the scale was less than 10m, the fracture of the specimens
was dominated by shear slide along a single joint surface. The strength of the specimens
depended on the strength of the joints (Fig. 7(a)).
When the scale was larger than or equal to 10m, shear fractures along joints were observed
at the beginning loading stage, while the vital fractures were found perpendicular to the sur-
faces of the joints. The failure showed a tensile fracture mode. In these cases, the coalescence
of these tensile fractures led to the final failure of the jointed rock masses. In this fracture
mode, the peak strength would not depend on the shear strength of the joints, as shown in
Figs. 7(b) and 7(c).
When the dip angle changed to be 60◦ , there existed another fracture mode between tensile
fracture mode and shear fracture mode. As shown in Fig. 8 for the specimen with joints angle
526
(a) (b) (c)
Figure 7. Different fracture modes for specimens with different scale ((a) Shear failure (5m×5m, 45◦ ),
(b) Tensile failure (10m×10m, 45◦ ), and (c) Tensile failure (30m×30m, 45◦ )).
(a) 7m×7m, 60° (b) 10m×10m, 60°
Figure 8. Fracture patterns of the rock mass specimens containing on set of joints with dip angle 60◦ .
60◦ , both shear fractures and tensile fractures are observed in the specimen of 7m×7m. It
was difficult to determine which fracture dominates the coalescence of the specimen.
As shown in Fig. 9, even though the rock masses containing two set of joints had the
same size rule as those containing one single set of joints depicted by a negative exponential
function (Fig. 5(b)), the fracture mode of them were not similar. For the larger specimens,
the failure was influenced by two groups of joints. For the specimen with small scale, much
different from the cases for small jointed specimens containing one single set of joints, not
obvious shear fractures but tensile fractures were found.
Figure 10 gives the fracture process of the typical rock specimens. The fracture process
had three main stages: crack initiation stage, crack propagation and coalescence stage and
collapse stage. At the starting loading stage, the stress was not high enough to break the
joints. Stress concentration was found at the tips of the joints and at the intersections of
the joints. At the first fracture stage, failure defects were scattered along the joints where
stress was built up. When stress increased, shear stress led to failure of the joints, and cracks
527
10m×10m, 45° 20m×20m, 60° 30m×30m, 60°
Figure 9. Fracture patterns of the rock mass specimens containing two sets of joints with dip angle
45◦ .
propagated along the joints when subjected to tensile stress. As uniaxial compressive stress
applied continuously, cracks went ahead and broke the rock bridges, which would lead to
the coalescence of the cracks.
It should be noted that the fracture angle of the specimens with idealized joints depended
on the joint dip angle. In Fig. 10(a), the vital rupture was along the joints and they had the
same dip angle. For the specimens containing two sets of perpendicular joints, even though
cracks propagated along the joints, the vital rupture was formed perpendicular to the joints
by the coalescence of the cracks, as shown in Fig. 10(b). While in specimens containing
randomly distributed joints, as shown in Fig. 10(c), different from idealized distributed joints,
the fractures occurred throughout the entire specimen in different directions. It seemed that
the propagation of the cracks resulting from one set of joints had no influence on that of
the cracks from another set of other joints. At the final stage, cracks propagated further and
linked to each other.
4. Discussion
Scale effect or size effect for jointed rock masses maybe originates from the joint distribution,
the strength of joints and rocks, and the boundary condition. Many researchers considered
heterogeneities in rocks and other materials was the key factor of scale effect. The distri-
bution of joints, including joint density, length, width as well as depth in three-dimension,
can be regarded as one of the heterogeneities contained in rocks. As shown by the numerical
simulation, the strength of jointed rocks is influenced by the strength of rocks and joints.
The strength of the jointed rock masses decreases with the increasing of the scale/size,
which can be predicted by a negative exponential formula. In our simulation, a power func-
tion y = a + bxc is also optional for the effect. The failure mode of the jointed rock masses
can be classified into tensile fracture perpendicular to the joints or shear fracture parallel
to the joints. In relatively smaller specimens, rock specimens containing fewer joints have a
higher strength, so the peak strength depends on the shear strength of the joints. However,
in relatively larger specimens, rock specimens containing more joints, due to the interaction
528
(a) 5m×5m, 45°
(b) 30m×30m, 45°, single sets of joints
(c) 30m×30m, two sets of randomly distributed joints
Figure 10. Fracture process of the specimens with different scales containing joints.
between shear fractures appearing at the beginning loading stage, the coalescence of these
shear fractures induced by tensile stress will predominate in the failure.
Stress condition and loading style will have influence on scale effect of jointed rocks. It
should be noted that in this study only uniaxial compressive tests were undertaken to inves-
tigate the scale effect. It can be predicted that the fitted formulas will be different more or
less and the scale effect of jointed rocks under confining pressure will be not so obvious as
the results under uniaxial loading. Further investigation on jointed rocks will be presented in
another paper.
5. Conclusions
The problem of scale effect of jointed rock masses is an important issue in civil and mining
engineering. The scale/size effect of the rock mass specimens containing ideally distributed
joints and randomly distributed joints subjected to uniaxial compression was studied numer-
ically by using a numerical code. By varying the dip angle of the joints, the numerical rock
mass specimens showed a strong anisotropic feature. Numerical results confirmed that scale
529
effect or size effect for jointed rock masses maybe originates from the joint distribution,
the strength of joints and rocks. The strength of the jointed rock masses decreased with the
increasing of the scale/size, which can be predicted by a negative exponential formula. The
failure mode of the jointed rock masses can be classified into tensile fracture perpendicular
to the joints or shear fracture parallel to the joints. The results will give help to understand
the mechanical behaviors of jointed rock masses.
Acknowledgements
This research was supported by National Basic Research Program of China (973 Program,
Grant No. 2007BAF09B01 and 2007CB209400) and the National Natural Science Founda-
tion of China (Grant No. 50804006 and 40638040).
References
1. Jaeger, C. Rock Mechanics and Engineering (2nd Edition). Cambridge University Press, London,
1979.
2. Weibull, W. “The Phenomenon of Rupture in Solids”, Proc Rswed Inst Engng Res (Ing Akad
Handl Sweden), 153, 1939, pp. 1–55.
3. Bazant, Z.P. and Yavari, A. “Is the Cause of Size Effect on Structural Strength Fractal or Energetic–
Statistical?”, Engineering Fracture Mechanics, 72, 2005, pp. 1–31.
4. Walsh, P.F. “Fracture of Plain Concrete”, Indian Concr J, 46, 11, 1972, pp. 469–470, 476.
5. Bazant, Z.P., Tabbara, M.R., Kazemi, M.T. and Pijaudier, C.G. “Random Particle Model for Frac-
ture of Aggregate or Fibre Composites”, ASCE J Engng Mech, 116, 1990, pp. 1686–705.
6. Herrmann, H.J., Hansen, A. and Roux, S. “Fracture of Disordered Elastic Lattices in Two Dimen-
sions”, Phys Rev B, 39, 1989, pp. 637–48.
7. Schlangen, E. and Van, M.J. “Experimental and Numerical Analysis of Micromechanisms of Frac-
ture of Cement-Based Composites”, Cement Concrete Comp, 14, 1992, pp. 105–18.
8. Walraven, J.C. “Aggregate Interlock: A Theoretical and Experimental Analysis”, PhD Thesis, Delft
University of Technology, The Netherlands, 1980.
9. Tang, C.A. “Numerical simulation on progressive failure leading to collapse and associated seis-
micity” Int J Rock Mech Min Sci, 34,1997, pp. 249–262.
10. Tang, C.A. and Kou, S.Q. “Fracture propagation and coalescence in brittle materials” Engineering
Fracture Mechanics, 61, 1998, pp. 311–324.
11. Tien, Y.M. and Tsao, P.F. “Preparation and mechanical properties of artificial transversely isotropic
rock”, Int J Rock Mech Min Sci, 37, 2000, pp. 1001–1012.
530
Influence of Cobblestone Geometrical Property on Equivalent
Elastic Modulus of Cobblestone-soil Matrix
M.Z. GAO1,2,∗ , H.S. MA1,3 , AND J. ZHAO1

1 Ecole Polytechnique Federalede Lausanne (EPFL), LMR, CH-1015 Lausanne, Switzerland
2 College of Water Resource and Hydropower, Sichuan University, Chengdu 610065, China
3 School of Civil and Environment Engineering, University of Science and Technology Beijing,
Beijing 100083, China
1. Introduction
In the past decades, the technology of mechanised tunnel excavation has been developed
rapidly. Tunnelling boring machine (TBM) excavation is regarded as one of the most popu-
lar methods of tunnel construction1 . Although TBM is more versatile and capable of boring
through greatly varying geologic conditions than the conventional excavation method, the
geological situation will greatly influence the effect and overall success of TBM.2 Mixed-face
ground has been a prominent problem due to its adverse influence on TBM tunnelling.3 It
can lead to cutter wear, jam of roller cutterhead, settlement, further to TBM performance
and cost overrun.4 In Metro Line 1 of Chengdu, China, such problems were encountered
during excavation of tunnels where cobblestone-soil ground was presented (Fig. 1). The geo-
logical situation is a typical mixed-face ground. On macroscopic scale, it can be regarded
as continua, statistically homogeneous. The cobblestone and soil are usually firmly bonded
together at the interface.5 The cobblestone strength generally is many times as the soil’s. In
order to understand the whole material deformation performance in advance, the research of
the cobblestone-soil is becoming more and more important in TBM’s good performance.
This paper is intended to address the problem of the equivalent elastic modulus of the
materials. Although many theory prediction models have been proposed for composite mate-
rial in the past years, most of them based on assumptions which might deviate from actual
situation in the site.6 The assumptions will limit the use of existing theoretical models in
dealing with complex materials. Therefore, with the development of computing technology,
the numerical methods are becoming increasingly important and widely used in research.7
For analyzing equivalent elastic modulus of materials, the research does not take into
account material failure process and only highlights the deformation. Thus, the numerical
modelling process was carried out in the framework of a linearly elastic. The numerical
modelling software is ANSYS. The cobblestone is assumed as the perfect ellipse shape. The
geometrical shape is represented by the length ratio of the major axis to shorter axis of
cobblestone, and fixed at 1.5 in the current study. These data of cobblestones come from
Chengdu Metro site by the screen separation and digital image technique method. Two fac-
tors affected the equivalent elastic modulus were analysed:
(a) The angle between the cobblestones major axis and loading direction. It varies from 0 to
90◦ at interval of 15◦ .
(b) The cobblestone percentage content. It ranges from 0% to 60% at interval of 5%.
∗ Corresponding author. E-mail: gaomingzhong@163.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0113 531
Figure 1. The ground situation of Chengdu Metro Line 1.
2. Cobblestone Shape and Distribution

The size distribution for cobblestones was done at Chengdu Metro site. Samples were taken
from four different sites along the metro line 1 from north to south. Three group tests were
carried out at each site. The main composition of cobblestones includes granite, diorite and
quartzite. Sorting features are relatively good. Most of the cobblestone is approximately
ellipsoidal or globular. The geometrical parameters were gained based on statistical analysis.
In order to get more credible data, two-dimensional digital image technique method was
used.8 The method is capable of obtaining the data at TBM site where it could be difficult to
take samples. Origin image is the high resolution colour image. It is very easy to transform
the image data to the gray level image by assigning the brightness to a different integer value
which is named as the gray level at each pixel. Mostly used 256 gray images whose gray levels
have the integer interval from 0 to 255 were adopted. Because the cobblestones usually have
higher gray levels and the remaining matrices usually have lower gray levels, as a result, the
interfaces usually have some great changes of the gray levels. The interface between matrix
and cobblestone can be identified from their different gray levels. Two different digital image
techniques are adopted to acquire the actual interface in digital image processing: region
segmentation method and edge detection method.9 The interface line can be transformed to
vector data which can be opened by existing software AutoCAD. By this way the same data
as the size distribution can be acquired.
As the result of the statistic analysis, the diameter of cobblestones mostly ranges from 10 to
80mm. A few bigger boulders can be found randomly. The maximum diameter encountered
is 512mm. The distribution of diameter can be supposed normal distribution (Fig. 2). The
average and variance value are 38.23mm and 26.50 respectively. The average length ratio of
the major axis to shorter axis of cobblestone is 1.54. In the mechanical analysis later shown
in the paper, it was fixed at 1.50.
3. Modelling
The model width and height are 300mm and 600mm respectively according to laboratory
sample. For studying the effect of cobblestone on whole model, the model size should be at
least five times as the maximum size of cobblestone.10 The cobblestones with diameter below
532
30%
25%
20%
15%
10%
5%
0%
7.5 15 25 35 45 55 65 75 85 95 105 115 125 135 145 155 165 175 185 195 205
The diameter of cobblestones(mm)
Figure 2. The distribution of cobblestone diameter.
Figure 3. The DWF file (60% cobblestone at 30◦ ). Figure 4. The finite element mesh in ANSYS.
5mm were regarded as fine matrix. Therefore the cobblestones created lie in between 5mm
and 60mm. All cobblestones were generated using Monte Carlo method. The size distribution
of cobblestone is normal distribution following size analysis at site. Cobblestones generated
beyond range from 5mm to 60mm were eliminated. The cobblestones were located in model
zone randomly. Any cobblestone can not overlap with others. The process can be performed
automatically by a self-editing Visual Basic program. The result files include DWF vector file
(Fig. 3) and ANSYS command flow file. The command flow file can run directly in ANSYS
for meshing and calculating (Fig. 4).
533
Table 1. Properties of materials.

Matrix Cobblestone
Elastic Modulus(MPa) 8.0 20000

Poisson’s Ratio 0.35 0.25
Figure 5. The equivalent elastic modulus and cobblestone percent.
The computational models were assumed to be the perfect elastic material and their proper-
ties are listed in Table 1. The left and right boundaries are free. In vertical direction, displace-
ment is fixed at the lower boundary and displacement load is applied at the upper boundary,
respectively. The model was discretized with finite element mesh (Fig. 4). The element size
was set to 5mm and can be adjusted automatically.
4. Numerical Simulation Results and Discussion

4.1. Numerical simulation results
Due to the topology arithmetic, it is very difficult and slow to generate more cobblestones
when the cobblestone content is above 60%. Consequently the paper just models the cob-
blestone content from 0% to 60%. The result also applies to the same range of cobblestone
content.
As shown in Fig. 5 and Fig. 6, the following result can be shown:
(a) The equivalent elastic modulus increases obviously with increasing of cobblestone per-
centage content.
(b) The equivalent elastic modulus also increases with decreasing of the angle between the
cobblestones major axis and loading direction.
4.2. Compare between numerical and theoretical approach

Analytic solution for the equivalent elastic modulus can be derived from theoretical approach
resembling the cube imbedded formulation deduced by Paul in 1960.11 During the deriving
process, the strain was assumed uniform in the whole model and the length of each side of
model is regarded as 1. Analytic equation for composite matrix equivalent elastic modulus
534
Figure 6. The equivalent elastic modulus and cobblestone position.
Figure 7. The equivalent elastic modulus and cobblestone position.
with elliptical cobblestones which major axis is perpendicular to the loading direction was
derived with the same principle, and is shown as Eq. 1.
⎛ √ ⎞
1−m2 1−
m ln √
1 mb ⎜ 2 ⎟
⎜π + 1+ 1−m ⎟ + 1 − 2b ( |m| < 1)
= ⎝ ⎠ (1)
E E1 1 − m2 E1
where m = 2a(EE1−E ) , E, E1 and E2 are the equivalent elastic modulus, matrix elastic modulus
2 1
and the material imbedded elastic modulus respectively. a and b are length of the major axis
and the shorter axis in an ellipse. As shown in Fig. 7, the theory solution is reasonably close to
numerical modelling result when the cobblestones major axis is perpendicular to the loading
direction.
4.3. Discussion
During tunnelling in Chengdu Metro Line 1, the cobblestone-soil ground extensively affects
the TBM performance. For example, cutter wear, jam of roller cutterhead, settlement, and
cost overrun have already been encountered. To a certain extent, those problems were induced
535
by the lack of knowledge about such special ground. TBM in the cobblestone-soil ground
with good performance is essential for applying of TBM method in future tunnelling. In
order to further realize cobblestone-soil, the equivalent elastic modulus of the material was
discussed based on numerical modeling and analytic theory.
The numerical simulation and analytic solution show the equivalent elastic modulus
increases with increasing of cobblestone percentage content. The trendline agrees with second
order curve very well. The effect of cobblestone content on the equivalent elastic modulus
will be improved with increasing of cobblestone content. The situation also can be found
in Fig. 6. It is quite obvious that the interval of curve is progressively larger as the cobble-
stone content changes from 0% to 60%. It is easy to understand the phenomena which the
equivalent elastic modulus of material will be enhanced when another material with higher
elastic modulus mixed.6,12 For cobblestone-soil material, the whole property deformed was
controlled by property of soil itself yet when the cobblestone content is relative small. When
the cobblestone content exceeds 30%, it will extremely affect the whole property deformed.
In that case, the cobblestones could form a column zone forced in vertical loading direction
from top to bottom with small space in each cobblestone. The top loads will be endured
mainly by forced zone. As a result, the interface strength between cobblestone and matrix
will play a significant role in deforming performance of the cobblestone-soil material.
The equivalent elastic modulus also increases with decreasing of the angle between the
cobblestones major axis and loading direction. The trend becomes obvious gradually as cob-
blestone content increasing. The main reason could be that it is easier to form the vertical
column zone forced when the cobblestones major axis parallels to the loading direction under
the same cobblestone content condition. The cobblestone position just takes a more promi-
nent role only when the percentage of cobblestone reaches a certain value. The value is related
to performance of each material.
The digital image method shows most of cobblestones are close to horizontal direction in
Chengdu Metro site. The reason could be long-term geological process of river. However, the
cobblestones are always simultaneous occurrence of different position in actual engineering
site. Only one type of cobblestone position in actual engineering is impossible. Therefore the
equivalent elastic modulus of cobblestone-soil should be the result of taking into account
different positions in one model. The research of this paper is basically an attempt to pre-
liminary estimates the deforming capability of cobblestone-soil for the benefit of the further
development of TBM and its performance.
5. Conclusions
The study presented in this paper provides the following conclusions:
(a) The equivalent elastic modulus increases with increasing of cobblestone percentage con-
tent. The trendline agrees with second order curve very well (Fig. 5).
(b) The equivalent elastic modulus also increases with decreasing of the angle between the
cobblestones major axis and loading direction (Fig. 6).
(c) The theory solution for the equivalent elastic modulus is reasonably close to numeri-
cal modelling result when the cobblestones major axis is perpendicular to the loading
direction (Fig. 7).
(d) The digital image method shows most of cobblestones are close to horizontal direction
in Chengdu Metro site.
536
Acknowledgements
The junior author thanks the China Scholarship Council for financial support. The authors
are very grateful to all the contractors for their helps on data collecting at Chengdu Metro
sites.
References
1. Zhao, J., Keynote: Tunnelling in rocks-present technology and future challenges. Proceedings of
the 33rd ITA-AITES World Tunnel Congress. Prague 2007.
2. Zhao, J., Gong, Q.M. and Eisensten, Z., “Tunnelling through a frequently changing and mixed
ground: A case history in Singapore”, Tunnelling and Underground Space Technology. 22, 4,
2007, pp. 388–400.
3. Ranjith, P.G., Zhao, J. and Seah, T.P., A case study of effects of ground conditions on Tunnel
boring machines. Proceedings of the 28rd ITA-AITES World Tunnel Congress. Australia 2002.
4. Blindheim, O.T., Grøv, E. and Nilsen, B., “The effect of mixed face conditions (MFC) on hard
rock TBM performance”, Proceedings of the 28rd ITA-AITES World Tunnel Congress.Australia
2002.
5. Hashin, Z., “Analysis of Composite Materials - A Survey”, Journal of Applied Mechanics,
Transactions ASME. 50, 3, 1983, pp. 481–505.
6. Wang, M. and Pan, N., “Predictions of effective physical properties of complex multiphase mate-
rials”, Materials Science and Engineering R. 63, 1, 2008, pp. 1–30.
7. de Borst, R., “Challenges in computational materials science: Multiple scales, multi-physics and
evolving discontinuities”, Computational Materials Science. 43, 1, 2008, pp. 1–15.
8. Chen, S., Yue, Z.Q. and Tham, L.G., “Digital image-based numerical modeling method for pre-
diction of inhomogeneous rock failure”, International Journal of Rock Mechanics and Mining
Sciences. 41, 6, 2004, pp. 939–957.
9. Yue, Z.Q., Chen, S. and Tham, L.G., “Finite element modeling of geomaterials using digital image
processing”, Computers and Geotechnics. 30, 5, 2003, pp. 375–397.
10. Holtz, W. and Gibbs, H., “Triaxial shear tests on pervious gravelly soils”, Journal of the Soil
Mechanics and Foundations Engineering Division, ASCE. 82, 1, 1956, pp. 1–22.
11. Paul, B., “Prediction of elastic constants of multiphase materials”, Transactions. AIME. 218, 1960,
pp. 36–41.
12. Hashin, Z. and Monteiro, P.J.M., “An inverse method to determine the elastic properties of the
interphase between the aggregate and the cement paste”, Cement and Concrete Research. 32, 8,
2002, pp. 1291–1300.
537
Comparative Studies of Physical and Numerical Modeling on
Regular Discontinuities
ABBAS MAJDI1,∗ , HESSAM MOGHADDAM ALI2 , AND KAYUMARS EMAD3

1 Associate Professor, School of Mining Engineering, University of Tehran, Iran
2 Head of Infrastructures, Transportation Research Institute (TRI), Ministry of Road and Transportation, Iran
3 Senior Extraction Engineer, IMPASCO Company, Ministry of Industries and Mines, Iran
1. Introduction
All in-situ natural rocks may consist of the two parts; discontinuities and rock substances. As
such, in most cases due to the proximity of the discontinuities the corresponding properties
represent the inherent in-situ rock mass. Such discontinuities geometrically are recognized
as the smooth surfaces or wavy curve shapes, and/or saw teeth-like joints within the rock
mass. From strength point of view, when they are subjected to a perpendicular tensile load-
ing are characterized low resistance compared with the force that required breaking the same
rock mass in compression. In reality, the normal and shear stresses are transferred to such
discontinuities due to execution of earthwork engineering activities. Hence, determination
of the most crucial discontinuity with the lowest shear strength is essential to properly eval-
uate rock structural stability surrounding any open excavations and or underground struc-
tures. This strength depends on discontinuities’ conditions and therefore is strongly related
to parameters such as roughness and thickness of filling materials, joint water, weathering of
the discontinuous surfaces and other associated factors.
In this research, several laboratorial made plaster samples with regular discontinuous sur-
faces were prepared and tested for determination of the critical shear surfaces. The labora-
torial results in connection with the current shear strength criteria were used to illustrate the
representative shear strength parameters. These representative parameters were further used
as the input data for a numerically prepared model on the basis of 3DEC software. Finally
the results of numerical modelling were back analysed and then compared with that attained
in real samples tested in laboratory.
2. Physical Modelling of Regular Discontinuity

In physical modelling, in order to study the behaviour of discontinuities with taking the effect
of roughness of the jagged surfaces of the joints into account, several laboratory samples with
artificial joints with different geometries were investigated.1 To date, various experiments
have been performed by changing the geometric conditions of the discontinuities.2 Artificial
samples preparation for the shear test is very similar to that is used for preparation of the
regular rock samples. In this test, samples were prepared in a way that the top and bottom
of the discontinuous surfaces of the joints are parallel to the discontinuity governing axis.
Subsequently the samples were tested under the constant normal loading (N or σn ) then, the
shear force (τ ) was applied parallel to the discontinuous layer. In this research, the relative
horizontal and vertical displacements (u,v) of the discontinuity have been measured versus
the shear force as are discussed hereafter.
∗ Corresponding author. E-mail: amajdi@ut.ac.ir

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0115 539
2.1. Samples preparation

In this research, samples were prepared with plaster materials, fine sands and water with w/s
ratio 1:1, 1:1, and 3:5. Where w represents weight of water and s is the weight of combined
solid materials in the samples. The artificial samples were produced with jagged regular geo-
metric roughness. During the shear test performance the two parameters; normal load and
discontinuity surface roughness were considered variables as they are frequently happen in
natural in-situ conditions. Dimensions of the sample preparation box were taken: (30 cm ∗
30 cm ∗ 15 cm; W ∗ L ∗ H). Where; W is the width, L represents the length, and H is the
height of the samples. The height of each sample has been divided into two equal sections,
each section with a length of 7.5 cm.
For preparing the samples with regular jagged surface, 3 templates with three different
joint asperity angles; 15, 30 and 40 degrees were prepared (Fig. 1). Four samples were pro-
duced for each angle and then tested at different vertical loading conditions.
In order to determine the basic friction angle of the joint surface (ϕb ), two samples were
prepared in smooth discontinuity format called the saw-cut samples. In order to maintain
the consistency of the results, in all experiments, the physical and strength properties of the
samples were kept identical. After completion of the direct shear test and drawing the so
called τp − σn diagrams, the basic friction angle equal to 35 degrees was estimated.
2.2. Geometric and mechanical characteristics of the samples

JRC is one of the most representative geometric parameters which can be used to deter-
mine the strength characteristics such as normal stiffness of the discontinuity. In this study,
Z2 -Method4 is used to evaluate JRC of the samples. This method is based on a statistical-
probability relationship between the JRC and Z2 where Z2 is the root mean square of the
first derivative of the discontinuity surface profile with a correlation coefficient of R = 0.986.
JRC = 32.2 + 32.47 log Z2 (1)

⎡ ⎤1/2
1 m
Z2 = ⎣ (yj+1 − yj )2 ⎦ (2)
m(x)2
j=0
L = 30 cm W
VN
H =15 cm
W =30 cm
Type 1 Type 2 Type 3
i= 15 degree i= 30 degree i= 40 degree
View of sampling format L = 2 cm L = 2 cm L = 2 cm

Figure 1. Geometrical characteristics of joint roughness profile in 3 templates format (L = X)
and i = asperity angle) [after 3].
540
Table 1. Geometric and strength characteristics of the Samples under CNL loading [After 3].
Sample Jogged σc σt D (Fractal JRC σn τexp Up (mm) Vp (mm)
Number Degree (Kg/cm2 ) (Kg/cm2 ) Dimension) (Kg/cm2 ) (Kg/cm2 )
1-1 15 44.5 12.0 1.032 13.62 8.8 8.44 5.5 0.77

1-2 15 45.3 12.1 1.023 13.62 6.2 6.62 6.5 1.14
2-1 30 45.0 11.8 1.154 24.45 8.8 15.11 5.0 1.29
2-2 30 44.5 12.1 1.154 24.45 6.2 11.11 6.0 1.77
3-1 40 45.1 12.1 1.305 29.72 8.8 17.84 4.8 2.137
3-2 40 44.9 12.2 1.305 29.72 6.2 16.00 5.5 2.689
Where in Eq. (2), m represents total data points spaced at a constant small distance X
along the discontinuity surface profile. yj−1 and yj+1 illustrate the amplitude of two data
points with respect to the centre line that is, yj , at each side of X on joint surface, and JRC
is the joint roughness coefficient.
As it can be seen from the Eq. (2), Z2 -value inversely corresponds to X. in order to
increase the accuracy of the calculated JRC coefficient; the Z2 -value should be kept as small
as possible.4 The results of this study including strength parameters such as the uniaxial
compressive strength, tensile strength and friction angle that obtained from the direct shear
tests of the samples are also presented in Table 1.
3. Initial Estimation of the Shear Strength

In order to compare the results of physical modeling with the existing shear strength crite-
ria, two approaches proposed by Patton,5 and Barton and Choubey6 were used to estimate
the samples joints shear strength. Patton’s bilinear criterion has the capability of evaluating
the shear strength of the discontinuity in both shearing and sliding up conditions. In these
models, the testing conditions have been divided into two parts, (a) state of the normal stress
level is low; in this case, due to non-restricted dilation, the slide up occurs, (b) state of the
normal stress level is high; due to the dilation constraint, degradation of the joints asperities
occurs and hence shear failure may take place across the discontinuity surface.5
τp = σn tan (ϕb + i) when σn < σt (3)
τp = c + σn tan (ϕb ) when σn > σt . (4)
Where C is the cohesive strength; ϕb represents the basic friction angle of the joint surface,
and i is the asperity angle to the direction of shear force application.
It is rare that natural discontinuities behave exactly according to Patton’s criterion; how-
ever a combination of the two different aforementioned mechanisms as shown by Equations
(3) and (4) may control the natural discontinuities.5 Barton and Choubey presented the fol-
lowing non-linear relationship to determine the natural joint’s shear strength.5,6

JCSn
τ = σn tan φr + JRCn log . (5)
σ
Meanwhile taking the effect of non-conformity of the joints for shear strength estimation,
Zhao7 proposed a new term, JMC, that to be incorporated within the Equation (5).

JCSn
τ = σ tan φr + JMC × JRCn × log (6)
σ
541
Where τ represents the shear strength of the joint, JRCn is the joint roughness coefficient,
JCSn is the joint wall compressive strength, and JMC is coefficient of joint compliance which
illustrates the degree of non-conformity of the jaggy surface of the natural joints, σ and φr is
the normal stress and the residual friction angle respectively. Generally, the JMC-value varies
from 1; in fully matched joint, to zero in the fully separated joint.7 However, the lowest
possible value for JMC in natural joint contact is equal to 0.3. The shear strength results
obtained on the basis of the equations proposed by Patton, and Barton and Choubey are
shown in Table 3. These results were compared with that obtained in laboratory.
4. Failure Mechanism of Laboratory Samples

The peak shear strength τp is attained at an early shearing stage and the corresponding shear
displacement is Up or U. Then, due to a gradual decrease of shear stress, it reaches to a
constant value which represents the residual shear strength, τr of the sample. It is obvious
that the corresponding maximum vertical movement occurs at the failure point which repre-
sents the dilation, Vp or V. Upper block horizontal movement velocity is another effective
parameter when dealing with shear testing, and hence, 2.258 mm/min is taken in all tests.
Constant Normal Loading (CNL) was adopted in all laboratory tests for which the maxi-
mum value equal to 8.8 Kg/cm2 was assigned. The laboratory measured displacements and
shear strength are shown in Table 1.
5. Numerical Modelling of Regular Discontinuity

In this paper, the numerical models were constructed on the basis of 3DEC discontinuous
method. Hence, all numerical requirements including geometric, simulation of the discontin-
uous surface, displacement velocity, etc. along with the corresponding mechanical properties
were employed according to the general guidelines of the software. With regard to the com-
plex behaviour of the discontinuity within the physical model, the quantitative evaluation of
normal stiffness, Kn and shear stiffness, Ks were made by means of Bandis et al’s equations,8
and then the selection of the representative behavioural model was made.
5.1. Selection of discontinuity behavioural model

After construction the appropriate numerical models, among the two behavioural models
proposed in 3DEC manual preference was given to the selection of Continuously Yielding
Model due to the closeness of its results with the actual condition.9 Parameters needed to
describe the characteristics of the continuously yielding model are: normal and shear stiffness
of discontinuity, joint surface roughness and inherent friction angle of the joints.
5.2. Determination of normal and shear stiffness coefficients

To evaluate the normal stiffness of discontinuity, the relations proposed by Bandis et al8 and
given by Equations (7) and (8) shown below are used to estimate the quantitative value of
Kni, tan. Subsequently, the results obtained from Equation (8) is plugged into Equation (9) to
compute the value of Kn, tan . Kn values estimated for the laboratory samples discontinuity are
presented in Table 2.

0.04σc
et ≈ JRC − 0.02 (7)
σd
542
Table 2. Normal and shear stiffness values of sample discontinuity based on Bandis et al relations.
Sample JRC σn (Kg/cm2 ) σd (Kg/cm2 ) V max (mm) ei Kn Ks,avg

Number (MPa/mm) (MPa/mm)
1-1 13.62 8.8 4.45 0.77 0.2726 105.70 15.55

1-2 13.62 6.2 4.53 1.14 0.2726 107.30 15.65
2-1 24.45 8.8 4.5 1.29 0.489 125.63 28.08
2-2 24.45 6.2 4.45 1.77 0.489 124.63 27.07
3-1 29.72 8.8 4.51 2.037 0.5944 135.06 41.87
3-2 29.72 6.2 4.49 2.889 0.5944 134.66 41.57
σd
Kni, tan ≈ 7.15 + 1.75JRC + 0.02 (8)
ei

(6n − 6ni )
kn, tan = kni, tan 1 − . (9)
(6n − 6ni ) + (Kni, tanVmax )
ei : average initial discontinuity aperture. ei in mm under a normal stress of approximately

1 KPa could be estimated
Vmax : maximum normal displacement produced by increasing σn from specified seating
pressure (mm)
σc : uniaxial compressive strength (MPa)
σd : joint wall compressive strength referred by Barton as JCS (MPa)
Kn, tan : initial tangent normal stiffness (MPa/mm)
Kn, tan : normal tangent stiffness (MPa/mm)
Bandis et al8 in a survey of the peak shear stiffness, measured on some 450 discontinuities
ranging in length from 200mm to faults extending for more than 100 km found that for a
given normal stress, shear stiffness was inversely proportional to the discontinuity length.
Bandis et al10 also found that the initial tangent shear stiffness, Ksi, tan, with increasing nor-
mal stress is associated with the following power function
Ksi, tan ≈ Kj (σn )ni (10)
where Kj and ni : are empirical constants termed the stiffness number and the stiffness expo-
nent respectively. Subsequently, the tangent shear stiffness can be computed by using the
following relation5
2
τ × Rf
Ks, tan = Ksi, tan 1 − (11)
τf
where Rf is failure ratio given by τf /τult . The τf can be estimated from Equation (5) and τult
is ultimate shear stress at large shear displacement when the failure ratio, Rf , is found. The
result of this relationship is presented in Table 2.
5.3. Discussion on the results of regular joint modelling with 3DEC software
As it was mentioned earlier in this paper, on the basis of continuously yielding method
in 3DEC software with employing the geometric and strength properties of the laborato-
rial samples the desired numerical models were constructed. The results of Bandis et al8,10
543
relations both shear and normal stiffnesses were used as the input data for the models.
Three models with three different discontinuous indentation angles ranging as 15, 30 and
40 degrees were prepared. In all numerical models, normal stresses and displacement veloc-
ities used in laboratory tests were also employed. The upper part of model geometry with a
constant speed of 0.037 mm/s, moves in x-direction while the lower part of the model was
kept fixed similar to the laboratory conditions. However, the possibility of normal movement
in vertical direction was taken into consideration as well. Fig. 2(a) illustrates shear stress ver-
sus the corresponding shear displacement resulted from model series 1–1, with indentation
angle of 15 degrees and the normal stress of 8.8 Kg/cm2. The maximum estimated shear
strength is equal to 8.9 Kg/cm2 when the Continuously Yielding Method was used. Whereas
the maximum shear strength measured in laboratory direct shear test of the same model was
equal to 8.44 Kg/cm2 .
The results indicate that the physical and numerical modelling values match in sample
series 1–1 very well. The other 6 numerical models were also constructed on the basis of
physical specifications of the laboratory models. Figure 2(a) illustrates a non-linear behaviour
up to peak stress and followed by a gradual decrease in shear stress, then continues almost
with a constant residual stress.
Figure 2(b) illustrates the change of normal displacement versus the corresponding shear
displacement of the sample series 3–1. As it can be seen from this diagram the normal dis-
placement is negative at early stage of loading which expresses the closing state of the dis-
continuity. Subsequently by rising the normal stress along with increasing the corresponding
shear stress on the upper block, the resulting normal displacement increases and attains at
maximum when it reaches the failure point, then it remains constant. Then after if shear
loading continues the shear displacement will increase while normal displacement remains
constant as shown in Fig. 2(b). In order to evaluate other output parameters of the models,
displacements contour-lines resulting from failure behaviour under the Continuously Yield-
ing Method in remaining samples were studied separately.
a) b)
Normal displacement (m)
Shear stress (MPa)
W Max = 8.9 Kg/cm

2
Shear displacement (MPa) Shear displacement (m)
Figure 2. Variation of; (a) Shear stress vs. shear displacement, (b) Normal displacement vs. shear
displacement in continuously yielding model.
544
Table 3. Results of numerical and physical modelling, Barton and Choubey, and Patton rela-
tionships on regular discontinuity samples.
Sample number τexp (Kg/cm2 ) τModelling (Kg/cm2 ) τBarton (Kg/cm2 ) τPaton (Kg/cm2 ) JRC
1-1 8.44 8.99 8.74 10.59 13.62

1-2 6.62 6.21 6.56 7.42 13.62
2-1 15.11 12.5 11.41 19.06 24.45
2-2 11.11 8.31 9.11 13.34 24.45
3-1 17.84 14.4 13.07 33.17 29.72
3-2 16.00 12.0 10.83 32.22 29.72
6. Comparison of Numerical and Physical Modelling Results
Table 3 represents the final results of numerical and physical modelling along with those
obtained based on Barton and Choubey,6 and Patton5 relationships on regular discontinu-
ity samples for the sake of comparison. Figure 3(a) illustrates the change of shear strength
obtained from both numerical and physical modelling with respect to the prescribed joint
asperity angles, that is, 15, 30 and 40 degrees along with the corresponding JRC. As it can
be seen from Fig. 3(a), with increasing the indentation angle, JRC, and ei representing joint
geometrical characteristics, the results obtained from the two models, numerical and experi-
mental, diverges from each other considerably.
A comparative analysis was also made using the results obtained from Barton and
Choubey,6 and Patton5 shear strength relations with those computed on the basis of physi-
cal and numerical modelling. Figure 3(b) illustrates the aforementioned comparative results.
Figure 3(b) clearly reflects the proximity of the results obtained from all 4 methods up to
30 degrees of the indentation angles, whereas afterwards the Patton’s method diverges and
shows overestimation of the discontinuity shear strength significantly. However, Barton and
Choubey’s method yields a very accurate result which confirms the validity of the method.
JRC JRC
13.62 13.62 24.45 24.45 29.72 29.72 13.62 13.62 24.45 24.45 29.72 29.72
20.00 35.00
18.00 30.00
16.00 a b
14.00 25.00
12.00 20.00
t 10.00 t
15.00
8.00
6.00 10.00
4.00
5.00
2.00
0.00 0.00
1
1-1 2
1-2 3
2-1 4
2-2 5
3-1 6
3-2 11-1 21-2 32-1 42-2 53-1 6
3-2
Numerical Modeling Expxrimental Exp Paton Barton Model
Figure 3. Comparative analysis of: (a) Numerical and physical modelling, (b) Numerical and physical
modelling, Barton and Choubey, and Patton shear strength criteria.
545
7. Conclusions
A number of laboratorial samples with regular discontinuous surfaces were prepared and
tested for determination of the critical shear surfaces. The laboratorial results in connec-
tion with the current shear strength criteria were used to illustrate the representative shear
strength parameters. These representative parameters were further used as the input data for
a numerically prepared model on the basis of 3DEC software.
After construction the appropriate numerical models, among the two behavioural models
proposed in 3DEC manual preference was given to the selection of Continuously Yielding
Model due to the closeness of its results with the actual condition. The results of numerical
modeling were compared with those obtained by laboratory testing. The comparative con-
sideration revealed a minor difference between the two different models results. The results
obtained from laboratorial physical and numerical modelling were further compared with
those computed on the basis of Barton and Choubey, and Patton shear strength relations.
The comparative analysis reflects the closeness of the results obtained from all 4 methods up
to 30 degrees of the indentation angles, whereas afterwards the Patton’s method diverges and
shows overestimation of the discontinuity shear strength significantly. However, Barton and
Choubey’s method yields a very accurate result which confirms the validity of the method.
Final conclusion confirms the validity of Bandis et al’s equation for the normal and shear
stiffness’ determination of regular discontinuities.
References
1. Benmokrane, B. and Ballivy, G., “Laboratory study of shear behaviour of rock joints under con-
stant normal stiffness conditions". Proc. 30th U.S. Symp. Rock. Mech. 1989, pp. 50.
2. Hudson, J.A. and Harrison, J.P., Engineering Rock Mechanics (An Introduction to the Principles),
Pergamon, 1997.
3. Askari, M. and Ahmadi. M., Post-peak shear behaviour of artificial joints, M.Sc. Thesis, Faculty
of Engineering, Dept. of Mining Engineering, University of Tarbiat Modarres, 2006.
4. Tse, R. and Cruden, D.M., “Estimating Joint Roughness Coefficients". Int. J. Rock Mech. & Min.
Sci., 16, 1978, pp. 303-307.
5. Priest S.D., Discontinuity Analysis for Rock Engineering, Chapman and Hal, London, 1997, p.
473.
6. Barton, N. and Choubey, V., The shear strength of rock joints in theory and practice. Rock
Mechanics 1/2:1–54. Vienna: Springer. Also NGI Publ., 1978, p. 119.
7. Zhoa. J. “Joint Surface Matching and shear strength", Part B: JRC-JMC Shear Strength Criterion,
Int. J. Rock Mech. & Min. Sci., Pergamon. Vol. 34, No., 1997, pp. 179-185.
8. Bandis, S.C., Lumsden, A.C. and Barton, N.R., “Experimental studies of scale effects on the shear
behavior of rock joints"., Int. J. Rock Mech. & Min. Sci, 18, 1981, pp. 1–21.
9. Itasca Codes, “Manual of 3DEC", Theory and Background, Section Four, Interface, 2004, pp.
1–36.
10. Bandis, S.C., Lumsden, A.C. and Barton, N.R., “Fundamentals of rock joint deformation"., Int.
J. Rock Mech. & Min. Sci, 20, No. 6, 1983, pp. 68–249.
11. Ladanyi, B. and Archambault, G., “Simulation of the shear behavior of a jointed rock mass", Proc.
11th. U.S. Symp. On Rock Mechanics, 1970, pp. 105–125.
546
Probabilistic Assessment of a Railway Steel Bridge
B. CULEK1 , V. DOLEZEL1,∗ AND P. P. PROCHAZKA2

1 University of Pardubice, Czech Republic
2 Association of Czech Civil Engineers, Prague, Czech Republic
1. Introduction
The structural engineering profession needs new approaches if we want to provide the best
possible service to society. We have to consider the transition from the deterministic “way of
thinking” to open-minded probabilistic concepts accepting the random character of individ-
ual variables involved as well as their interaction. Tools such as simulation techniques and
powerful personal computers will contribute to reaching such goals.1,2
A general method for lifetime performance analysis of existing steel girder bridges is pre-
sented in.3 Only the superstructure components are considered. The formulation is estab-
lished by identifying four distinct categories: limit state equations, random variables, deter-
ministic parameters and constant coefficients.
The design fatigue life of a bridge component is based on the stress spectrum the com-
ponent experiences and the fatigue durability. Changes in traffic patterns, volume, and any
degradation of structural components can influence the fatigue life of the bridge. A fatigue
life evaluation reflecting the actual conditions has value to bridge owners. Procedures are out-
lined in the Guide Specifications for Fatigue Evaluation of Existing Steel Bridges to estimate
the remaining fatigue life of bridges using the measured strain data under actual vehicular
traffic. The paper4 presents the methodology with an actual case study of Patroon Island
Bridge. The results indicate that most of the identified critical details have an infinite remain-
ing safe fatigue life and others have a substantial fatigue life.
The paper5 focuses on the fatigue damage caused in steel bridge girders by the dynamic
tire forces that occur during the crossing of heavy transport vehicles. This work quantifies
the difference in fatigue life of a short-span and a medium-span bridge due to successive
passages of either a steel-sprung or an air-sprung vehicle. The bridges are modelled as beams
to obtain their modal properties, and air-sprung and nonlinear steel-sprung vehicle models
are used. Bridge responses are predicted using a convolution method by combining bridge
modal properties with vehicle wheel forces.
The lifetime performance of deteriorating structures, defined by their time dependent con-
dition index and reliability index, is analyzed in Ref. 6
Authors in Ref. 7 describe approach of fatigue life assessment of thermo-mechanical fatigue
problems.
Fatigue cracks are one of the most devastating problems for orthotropic steel bridge decks.
Well known examples of fatigue cracks are those observed in the bascule bridge Van Brieneno-
ord in Rotterdam in summer 1997. These were cracks in the decks plate at the crossing of
the crossbeam and the longitudinal girder and are known as the most dangerous cracks for
traffic safety. The number and amplitude of stress cycles, which are closely related to amount
of axles and their loads, govern the fatigue phenomena.8 In this paper results of probability
∗ Corresponding author. E-mail: vladimir.dolezel@upce.cz

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0136 547
Figure 1. Longitudinal section.
calculation of the lifetime of the railway steel bridge are presented. The bridge composed
from continuous beams, (Fig. 1).
These calculations are subsequently compared with calculations performed through linear
hypothesis by Corten-Dolan. Assessment of the service life comes from the real records of
the response of traffic loads, which are obtained by strain-gauge measurements, which were
realized for above mentioned bridge. For calculations of service life there were chosen places
of probability creation of fatigue rifts.
2. Basis of Lifetime Assessment

Total number of strain gauges on the construction was 30 (in position over whole construc-
tion). Critical place for lifetime assessment was on connection between longitudinal and
cross beams The railway bridge was monitored 24 hours. During this period were measured
in total 151 passing trains, (Fig. 2).
TRAIN 5304
20
15
Stress curves [MPa]
T 13
10
T 14
5
T 25
0 T 28
-5 T 22
T 39
-10
-15
-20
5 10 15 20 24
Time [hrs]
Figure 2. Strain gauge data record.
548
2.1. Service life assessment by the help of Corten Dolan Hypothesis

According to the Corten-Dolan (CD) hypothesis stands total number of oscillations to a
failure:
p
ni
i=1 Np
H(CD) = k∗w = p , (1)
ni
p σai ni σai k∗w
∗ ∗
i=1 Np σap i=1 hz σap
where
ni is a number of cycles of a given amplitude,

Np is a number of cycles of the highest amplitude until failure,
hz is a total number of oscillations of all the amplitudes,
σai is a size of given amplitude,
σap is a size of the maximal amplitude,
w is an exponent of the fatigue curve,
k is a reduction of the fatigue curve.
For the cycle counting of stochastic process of the stress there was a two-parametric
Rain Flow counting method (RF) used. Fatigue curve was obtained empirically and it has
a functional shape:
log N = log a − w∗ log σC , (2)
for T39K:
a = 11.4
w = −3.0
σC = 52.0 MPa
Service life Z of railway bridge in the position of strain gauge T39K was determined by
classical calculation (using of one linear fatigue curve and CD hypothesis) at:
ZT39K = 1.695819E + 05 hours, (19.35856 years)
Calculation was done by virtue of computer system Zivot2, which was developed by
authors of this article. Calculation corresponds to 50% failure probability. This also takes
into account the influence of the mean value. Demonstration of the calculation is shown in
Fig. 3.
2.2. Assessment of the Service life by means of probability approach

Probability assessment is based on simulation of a response of loads, experimental determi-
nation of fatigue curve and hypothesis chosen for the assessment of service life.
2.2.1. Simulation of the response of the load

Simulation of the response of the load is necessary because of keeping a stochastic character
of the response of the load. Important parts of the simulation are:
• method of the three parametric Rain Flow (RF),

• generation of the two parametric matrices of RF,
• backward transformation.
549
Figure 3. Assessment of the lifetime given by classical hypothesis.
2.2.2. Method of three-parametric rain flow (RF)

The method is composed from two parts. The first part is identical with two-parametric
method (authored by N. E. Dowling, 1972), its description and principle is described, e.g.,
in.9 The second part, which progresses similarly to the first one, includes recording the times
of amplitudes into files. Number of files with amplitude times corresponds with the number
of elements of the matrix. If the size of RF matrix will be [n, m], then number of the files will
be n ∗ m. Times of particular amplitudes in cells correspond to the origins of rain running-
down, (Fig. 4).
Left branch of RF Right branch of RF

Time [s]
σ a [MPa] σ a [MPa]
1 0.00
0.02 2
3
0.04
0.06 4
5
0.07
0.09 6
7
0.11
0.13
Figure 4. Left and right branch of RF with marked numbers of particular amplitudes and appropriate
times.
550
2.2.3. Generation of two-parametric matrixes of rain flow

We obtain RF matrix of a measured record by processing measured record by RF method. In
order to create (simulate) a continuation of measured record it is necessary to obtain a new
RF matrix, which is different from matrix source record responding probabilistic study. The
difference in stochastic and deterministic access is given by various frequencies of amplitudes
at a given mean value. Progress of RF matrix generation is as follows:
(a) Division of the matrix on separate mean values.

(b) Evaluate the distribution function for every mean value (concerning only those, which
have frequency of the amplitudes nonzero).
(c) On basis of this knowledge the distribution function generate stochastic numbers and
assigns them to those stochastic appropriate amplitudes, (Fig. 7).
(d) Gradual generation of amplitudes and their inserting into new matrices. Generation runs
as long as frequencies of the amplitudes at given mean values of the new and original
matrices are different.
(e) Result composition of generated matrices.
2.2.4. Backward transformation

Basis of backward transformation produce generated matrices. We create in reversal a simu-
lated record of the stress from these matrices by following procedure:
(f) generation of new amplitudes,

(g) assignment of the times to newly generated amplitudes,
(h) arrangement of amplitudes according to the different times,
(i) modification of the same times and alternation of maxima and minima.
Figure 5. Illustration of original and simulated record.
551
Generation of new amplitudes and assignment of times to newly generated amplitudes

progresses simultaneously. The assignment time progresses as follows:
(j) generation of appropriate amplitude and its mean value,

(k) determination for which the components of the matrix are the generated amplitudes,
(l) opening the file with times, belonging to given component of the matrix,
(m) random selection of one time instant,
(n) assignment of time to generated amplitude.
The next step is re-creation of time sequence. One of the most effective methods for
arrangement data upwardly according to size (in our case according to time) is Quicksort
method,.13
Backward transformation carried out in terms of calculation of the service life assessment
the most time-consuming. To make the calculation faster, a dynamic variables principle is
used, and the whole signal is loaded to the RAM of computer. In this phase the velocity
especially depends on performance of processor of a computer. Illustration of original and
simulated record is in Fig. 5.
2.2.5. Fatigue curve

The best way on how to assess the service life it seems to determine the fatigue curve exper-
imentally. Experimental determination of the curve is mostly limited by certain number
of measurements,10 by virtue of a limited set of points, which a regression curve meets.
In case of logarithmic coordinates this curve possesses a linear character. By meeting these
points by a linear regression curve instead of the fatigue curve yields the result in logarithmic
scale illustrated in Fig. 6.
3. Conclusion
In the first step the changes of mechanical properties arise from the structural changes occur-
ring in the whole volume of the material during the cyclic loading. Depending on the cyclic
deformation resistance of the material, strengthening (resistance increase) or softening (resis-
tance decrease) can take place. The processes leading to the changes of mechanical properties
Linear regression curve

6.2
6.0
Y= -1.4122x + 8.0742
2
R = 0.975
5.8
log N
5.6
5.4
5.2
5.0
1.4 1.5 1.6 1.7 1.8 1.9 2.0 2.1 2.2
log σ [MPa]
Figure 6. Example of linear regression curve.
552
Figure 7. Lifetime assessment histogram and distribution function.
mentioned above are of the saturation type and occur during a relatively short time with
regard to the life time of the material. The resulting structures in the saturation state depend
on the stress amplitude and, from the structural point of view, especially on the cross slip
facility. In the course of the second stage, the processes initiated by an intensive plastic defor-
mation particularly near the free surface of the material and leading to the nucleation of
fatigue cracks occur. Structural changes and corresponding changes in the surface relief are
briefly described and the assessment of the considered mechanisms of fatigue crack nucle-
ation is carried out.
The third stage of the fatigue process is characterized by the propagation of cracks. The
classification of the ways of fatigue crack propagation according to the mechanisms of their
growth and according to the dependence of the growth rate of fatigue cracks on stress inten-
sity factor range is carried out. The final part of the lecture is devoted to the mechanisms of
fatigue crack propagation both in the initial stage of their growth (i.e. during the first stage
of propagation) and during the second stage of propagation which characterized especially
by the formation of fatigue striations. Attention is also paid to the effect of the structure
(particularly of the cross slip facility) on the way of fatigue crack propagation. Both accesses
of assessment of the service life are close to real life of the construction detail. In real life of
the bridge there were found cracks in expected positions, (Fig. 7). First type (classical) is very
fast preview on the lifetime. This access is easy to use, it is very fast, but without any chance
to include more loads into calculation or to determine percentage probability of crack. Sec-
ond approach is more complex, it allows including of other load factors into calculation,
variability of traffic loads during time, etc. Probability calculation has higher requirements
on PC performance.
Our result is that “classic” form of assessment of the service life is recommended only
in those cases, when we have only one type of accidental load (but not combination of
accidental loads) and only in such cases, when form of the stressed part corresponds to
tabular classification according to current norms.
Acknowledgements
This paper was prepared under financial support by Grant Agency of the Czech Republic No
103/08/0922.
553
References
1. Marek, P. & Brozzetti, J., From Deterministic to Probabilistic Way of Thinking in Structural Engi-
neering, Adjusted Reprint: European Association of Civil Engineering Faculties, Newsletter, 2001.
2. Šertler, H., Assessment of Reliability of Railway Bridges, Scientific and Technical Proceedings of
Czech Railway 7, Czech Republic, 1999.
3. Akgül, F. & Frangopol, D.M., Lifetime Performance Analysis of Existing Steel Girder Bridge Super-
structures, J. Struct. Engrg., Vol. 130, Issue 12, pp. 1875–1888, 2004.
4. Alampalli, S. & Lund, R., Estimating Fatigue Life of Bridge Components Using Measured Strains,
J. Bridge Engrg., Vol. 11, Issue 6, pp. 725–736, 2006.
5. MacDougall, C., Green, M.F. & Shillinglaw, S. Fatigue Damage of Steel Bridges Due to Dynamic
Vehicle Loads, Journal of Bridge Engineering, Vol. 11, No. 3, pp. 320–328, 2006.
6. Neves, D.M., Luis, A.C. & Frangopol, D.M., Lifetime multi-objective optimization of mainte-
nance of existing steel structures, International symposium on steel bridges, Constructional Steel-
work Association, “Steel bridges: proceedings”, Prague 2006.
7. Skála, O., Hejman, M. &, Papuga, J., Hodnocení únavové životnosti pøi komplikovaném
pùsobení mechanického namáhání a teplot, Computational mechanics 2006, 22nd Conference
with International Participation, Czech Republic, 2006.
8. De Jong, F.B.P. & Boersema, P.D.E, Lifetime calculation for orthotropic steel bridge decks, Min-
istry of Transport, Civil Engineering Division, Section Steel & Mechanical Engineering, Nether-
lands, 2004.
9. Matsuiski, M., Endo, T.: Fatigue of metals subjected to varying stress, Japan Soc. Mech. Engrg,
1969.
10. Culek B. jr., Culek B.: Determination of non-traffic loads of the Czech Railways bridges, Reliabil-
ity, Safety and Diagnostic of Transport Structures and Means 2005, 2nd International Conference,
Pardubice, 2005.
11. Bericht ERRI C 178/RP2 Vereinheitlichung der Methoden der Lebensdauerbestimmung dynamisch
beanspruchter Bauteile, Utrecht, 1992.
12. Frýba, L., Dynamics of railway bridges, Thomas Telford, London 1996.
13. Culek, B., Evaluation of fatigue life of steel structures under complex stress, Ph.D. thesis, Pardu-
bice, 2003.
14. Doležel, V., Procházka, P.: Back analysis of underground structures. In: 11th Intern. Conference
RB 07, CI Premier, 14-17 November 2007, pp. 362–369, North Cyprus, 2007.
554
An Analysis of Dynamic Tensile Fracture in Concrete Under High
Strain Rate
M. KURUMATANI1 , S. IWATA2 , K. TERADA1 , S. OKAZAWA3,∗ AND K. KASHIYAMA2

1 Department of Civil and Environmental Engineering, Tohoku University
2 Department of Civil Engineering, Chuo University
3 Department of Social and Environmental Engineering, Hiroshima University
1. Introduction
Since concrete specimens under high strain-rate exhibit quite different mechanical behav-
ior from those under quasi-static loading (low strain-rate),1−3 it is commonly recoginized
that the overall or apparent material behavior of concrete is to be distinguished for dynamic
and quasi-static problems. Also, the dynamic responses observed in experiments depend on
the rate of loading; that is, the overall peak strength and overall elastic modulus measured
from the speciems subjected to high strain-rate are greater than those under low strain-
rate.4,5 In addition, the failure modes or the fracture patternsvary depending on strain-rates.4
Fig. 1 shows the representative examples of crack patterns — cracks pass through the mor-
tar and propagate along the interfaces under low strain-rate while flatted cracks penetrate
through the aggregates under high strain-rate. It is thus a common practice that the concrete
is regarded as a rate-dependent material. Accordingly, the numerical studies, which have
been made to characterize the overall material behavior of concrete, rely on visco-elastic or
viscoplastic type constitutive models to represent the rate-dependency.6−8 The use of rate-
dependent models seems to make consistent with the specimens’ overall responses observed
in experiments, but makes us to close our eyes to the underlying meso-scale mechanisms that
reproduce rate-dependent fracture behavior of concrete.
(a) Failure mode at low strain-rate (b) Failure mode at high strain-rate
Figure 1. Difference of failure modes between low and high strain-rates.
On another front, a key to understanding the deformation and strength characteristics

of concrete subjected to dynamic loading is thought to be the clarification of the fracture
process with cracking under tensile loading. Although numerous experimental studies have
been made for the investigation of the tensile fracture processes of concrete, the tensile tests
tends to provide the scattering results and, as a result, few reliable data are available in the
literature. This is probably due to the fact that the overall tensile strength of concrete spec-
imens is extremely sensitive to the local tensile strength and heterogeneities. Thus, reliable
∗ Corresponding author. E-mail: maok@civil.tohoku.ac.jp

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0041 555
crack simulations of mesoscale heterogeneous structure of the concrete, which is composed

of mortar matrix, aggregated inclusions and the interfaces, seem to be promising to find out
if the constitutive responses under dynamic and quasi-static loading are essentially the same.
That is, it might be possible to reproduce the rate-dependent mechanical behavior of concrete
specimens without introducing rate-dependent constitutive models.
In this context, care should be exercised in crack simulations of concrete, since it is a quasi-
brittle material, unlike pure brittle material such as glass. One of the main characteristics is
the formation of a fracture process zone (FPZ) that involves softening behavior due to micro-
crack interactions. To represent the softening behavior, the so-called cohesive crack model9
is commonly introduced at fictitious fractured surfaces and is dispensable for the reliable
simulations of the fracture process, or equivalently crack nucleation and propagations, in
concrete’s meso-scale heterogeneous structure.
In this paper, in order to examine the strain-rate dependency, we perform the numerical
simulations for the tensile dynamic fracture behavior of concrete’s meso-scale structure. The
concrete is regarded as a three-phase composite composed of mortar matrix, aggregated
inclusions and the interfaces, and its heterogeneity is explicitly considered in our numerical
models. In the suggested analysis method, the standard dynamic explicit code for the FEM
is used to solve the equations of motion and, at the same time, the discrete crack model is
employed together with the cohesive crack model. A numerical example is carried out to
examine the strengthening effects and failure modes obtained withlow and high strain-rates.
2. Dynamic Fracture Analysis Using Cohesive Crack Model

In this section, we present a method for dynamic fracture analysis of quasi-brittle materials
and a modeling method for propagating cracks. After explaining the finite element analysis
of discrete cracks together with the cohesive crack model, an approximation procedure of
quasi-brittle softening behavior based on the cohesive crack model and the details of the
discrete crack simulation are illustrated.
2.1. Cohesive crack model

Concrete is a quasi-brittle material, involving softening behavior during the process of frac-
ture, which is characterized by the formation of fracture process zone (FPZ) as shown in
Fig. 2(a). The FPZ is formed between the unbroken elastic domain and the fully separated
stress-free fractured domain, and the stress is transmitted in the FPZ due to interlocking of
aggregates and micro-crack interactions. The softening behavior in the FPZ is realized by
the decrease of the stress transfer due to the increase of the crack opening displacement.
The cohesive crack model is one of the major fracture mechanics model to represent such
softening behavior of concrete. The stress transfer in the FPZ is substituted for the cohe-
sive traction force between two fictitious fractured surfaces facing with each other as shown
in Fig. 2(a). The relation between the cohesive traction andthe crack opening displacement
(traction–separation law) is namedasa tension softening curve, and the area under the curve
is called the fracture energy, which is also defined as the fracture energy necessary to create a
unit crack area.
The traction–separation law prescribed in this study, in which the tensile strength and the
fracture energy are introduced as material parameters,10, 11 is given by

ft
tcoh (w) = ft exp − w on PZ (1)
Gt
556
Elastic domain Fracture Process Zone Traction-free crack

t coh
g n
Γ EL Γ PZ t coh
t coh
ft t coh (κ )
u [a]
Gf
κ (x) := || g ||
κ u [b]
t coh = p coh g
(a) Schematic of fracture process zone and the cohesive crack model (b) Spring-based cohesive crack model
Figure 2. Fracture mechanics model for quasi-brittle materials.
where tcoh (w) is the norm of cohesive traction vector and w is a history parameter of
the gap displacement u[1] − u[2] ever experienced during the loading process. Here, ft is
the tensile strength of material, which is the critical stress to form the FPZ, and Gf is the
fracture energy, which is the energy dissipation per unit crack area. Since the original cohesive
crack model has been proposed for the analysis of statically propagating cracks, the tensile
strength ft and the fracture energy Gf are assumed to be rate-independent. Thus, the rate-
independent fracture mechanics model is employed for local material response, whereas the
overall structural response is obtainedby solving the equationof motion for the specimen.
2.2. Application of the cohesive crack model to dynamic fracture analysis

In the original cohesive crack model, the cohesive traction is treated as a kind of dynamic
boundary condition of distributed external loading, and the nonlinear softening behavior is
approximated by iterative convergent calculation.11 This conventional procedure, however,
leads to numerical instability because the dynamic fracture simulations involve complicated
cracking behavior. In this study, in order to realize eficient and stable computations, we
rewrite the cohesive traction as a reaction force of cohesive spring expressed in the following
equation:
tcoh = pcoh g = pcoh (u[a] − u[b] ) (2)
where prmcoh is the nonlinear spring stiffness between cracked surfaces, which is given by
tcoh
pcoh = (3)
g
which can be approximated by means of the relative displacement of the previous time step
and is updated only when the crack opening displacement increases. Therefore, the dynamic
fracture simulation is expected to be performed with adequate accuracy, when we employthe
dynamic explicit solution method with small time increment.
557
2.3. Weak form of the dynamic fracture analysis using cohesive

crack model
In this paper, the discrete crack model, in which discontinuous deformation is expressed as
the separation of neighboring element edges, is employed for the modeling of progressive fail-
ure. To be more specific, the penalty method is applied to impose the interfacial constraints
at the FE edges with double nodes. Figure 3(a) illustrates the schematic of our methodol-
ogy. The penalty spring p0 has been used until the fracture is generated. Once the fracture
occurs, the penalty spring p0 is replaced by the cohesive spring pcoh , which represents the
quasi-brittle softening behavior in the FPZ.
The week form for dynamic FE analysis using the penalty method and cohesive crack
model is given by

ρδuü d + ∇δu:σ d + p0 δg · g d + pcoh δg · g d
P PZ

= δu · b̄ d + δu · t̄ d ∀δu (∀δg) (4)

where ρ is the material density, ü is the acceleration vector, δu is the virtual displacementvec-
tor, σ is the Cauchy stress tensor, b̄ is the body forcevector, t̄ is theexternal tractionvector, is
the whole domain, t is the Neumann boundary, p is the boundary where the penalty spring
is inserted and PZ is the FPZ; that is the boundary where the cohesive spring is introduced.
2.4. Modeling of discrete crack propagations

The characteristics of dynamic fracture in concrete is that quite a few cracks and interfacial
debondings are generated over a wide range in the specimen. Since it is impractical to consider
all these discontinuities as they are, we employ the conventional discrete crack approach in
this paper, in which cracks propagate along only finite element edges as schematized in Fig. 3.
Here again, the penalty spring is used before fracture and the cohesive spring is applied after
the fracture begins.
To perform the progressive failure analysis, we need to introduce the fracture criteria for
internal and interfacial fracture. In this paper, since the penalty springs are inserted along FE
interfaces, the traction vector can approximately be calculated by the product of the penalty
parameter and the relative displacement vector as follows:
tP = p0 g (5)
h
pat
ck
Cra
p coh
p0
Finite element mesh Penalty springs are inserted before fracture Cohesive springs are introduced after fracture
Figure 3. Discrete crack approach with the penalty and the cohesive springs.
558
We determine the generation and propagation of internal cracking and interfacial debonding
by using the traction vector tP . Discontinuities are formed when the traction tP reaches the
fracture criteria postulated as
tP · n > 0 andtP ≥ ft (6)
where n is the outward unit normal vector at FE interface.
A numerical example is presented to examine the influence of strain-rates on the rate-
dependent fracture behavior in concrete by applying the suggested analysis method to
dynamic fracture simulation of concrete’s meso-scale structure; see Ref. 12 for the referenced
experiment.
We simulate dynamic tensile fracture of concrete’s test specimen subjected to low and high
strain-rates as shown in Fig. 4. The concrete is regarded as a meso-scale three-phase compos-
ite composed of mortar matrix, aggregated inclusions and the interfaces, and its heterogeneity
is explicitly considered in our numerical models. The material parameters of each phase are
prescribed by educated guess; in particular, the tensile strengths of aggregate, matrix and
interface, fta , ftm and fti , are ordered as fta > ftm > fti . The displacement are constrained
along the bottom and right edges, and the deformation rates are applied at the top surface.
Either low or high deformation rate is applied and is gradually increased from zero as shown
in Fig. 5(a) to prevent the impact shock loading. Although the modeling of contact or fric-
tion is not incorporated, there is no possibility that the release force due to fracture causes
overlapping of separated segments because of the introduction of cohesive springs.
First, we present the relationship between the percentage of fractured surfaces and the dis-
placement at loading position in Fig. 5(b). This graph illustrates that the amount of generated
crack sunder high strain-rate is much more than that under low strain-rate. This is identical
with the experimental observations in Ref. 4 and implies the validity of the suggested method.
Fig. 5(b) also shows the overall load–displacement curve. As can be seen from this figure, the
peak strength evaluated with high strain-rate is greater than that with low strain-rate. The
same applies to the overall elastic response; that is, the overall elastic modulus estimated with
Velocity
Matrix Inclusions
Young's modulus
20000 40000
(MPa)
Poisson's ratio 0.10 0.10
Density
2000 2500
(kg/m3)
40 mm
5x5
mm
Matrix Inclusions Interfaces
Tensile strength
3.5 6.0 3.0
(MPa)
Fracture energy
0.03 0.0003 0.03
(N/mm)
23 mm
Figure 4. Meso-scale structure of concrete and material parameters.
559
High rate : Low rate
Reaction force / loading surface (MPa)

4
Percentage of fractured surfaces (%)

20 : High rate 20
Deformation rate (mm/sec)
20 mm/sec
6 MPa
High rate 3 60
Low rate M
Pa
10 2
10
1
0.2 mm/sec
Low rate
0 0 0
0 0.001 0.002 0.003 0 0.01 0.02
Time (sec) Displacement at loading surface (mm)
(a) Time history of applied loading-rates (b) Load-displacement curve with the number of local cracking
Figure 5. Time history of loading rate and load–displacement curve with the number of local cracking.
Displacement at top surface

: 0.0083 mm
6.0
0.0
(MPa)
Displacement at top surface

: 0.0159 mm
(a) Simulation results at low strain-rate (b) Simulation results at high strain-rate
Figure 6. Fractured configuration with principal stress in meso-scale structure.
high strain-rate is 1.1 times as high as that with low strain-rate, which is consistent with the
result reported in Ref. 5.
It is, therefore, confirmed that the macros copic rate-dependent mechanical responses are
properly simulated by solving the equation of motion together with the cohesive crack model.
Particularly it should be emphasized that no rate-dependent parameters is introduced in our
560
numerical analysis. At the same time, it can be seen from the results that the softening incli-
nation in the case of high strain-rate is steeper than that of low strain-rate. This is probably
due to the fracture of aggregates.
Figure 6 shows the principal stress distributions together with crack patterns in the cases
of low and high strain-rate, respectively. When the deformations become large, the cracks
with low strain-rate propagate within the mortar phase and along the interfaces, while the
cracks with high strain-rate penetrate through the aggregates. In addition, the formed crack
path with high strain-rate is flatter than that with low strain-rate, because the crack has little
time to seek the path of least resistance at high strain-rate. These results are in agreement
with those reported in Ref. 4, too.
We have performed the numerical simulations for dynamic tensile fracture behavior of con-
crete’s meso-scale structure, and examined the rate-dependent fracture behavior in concrete.
The analysis method is based on dynamic explicit code for the FEM, which is incorporated
with the discrete crack model together with the cohesive crack model. The numerical example
demonstrates that the strengthening effects and the different failure modes with high strain-
rate is properly simulated without anyrate-dependent material model. In order to simulate
the rate-dependent fracture behavior in concrete, we have solved only the equation of motion
together with the cohesive crack model for quasi-brittle materials. Consequently, it is quite
likely that the origin of rate-dependency is not the material responseof concrete,but rather its
structural response.
Acknowledgements
This research is supported by “The Ministry of Education, Culture, Sports, Science and Tech-
nology, Grant-in-Aid for Scientific Research B-19360207”.
References
1. Mindess S., Banthia N., Yan C., “The fracture toughnessof concrete under impact loading”, Cem.
Concr. Res., 17, 1987, pp. 231–241.
2. Ross C.A., Tedesco J.W., Kuennen S.T., “Effects of strain rate on concrete strength”, ACI Material
Journal, 92, 1995, pp. 1–11.
3. Malvar L.J., Ross C.A., “Review of strain rate effects for concrete in tension”, ACI Material
Journal, 95, 1998, pp. 735–739.
4. Yan D., Lin G,. “Dynamic properties of concrete in direct tension”, Cem. Concr. Res., 36, 2006,
pp. 1371–1378.
5. Rossi P, Toutlemonde F,“Effect of loading rate on the tensile behaviour of concrete: description of
the physical mechanisms”, Mater. Struct., 29, 1996, pp. 116–118.
6. Zheng D., Li Q., “An explanation for rate effect of concrete strength based on fracture toughness
including free water viscosity”, Engng. Fract. Mech., 71, 2004, pp. 2319–2327.
7. Georgin J.F., Reynouard J.M., “Modeling of structures subjected to impact: concrete behaviour
under high strain rate”, Cem. Concr. Compos., 25, 2003, pp. 131–143.
8. Pedersen R.R., Simone A., Sluys L.J., “An analysis of dynamic fracture in concrete with a contin-
uum visco-elastic visco-plastic damege model”, Engng. Fract. Mech., 75, 2008, pp. 3782–3805.
9. Hillerborg A., Modéer M., Petersson P.-E., “Analysis of crack formation and crack growth
in concrete by means of fracture mechanics and finite elements”, Cem. Concr. Res., 6, 1976,
pp. 773–782.
561
10. Wells G.N., Sluys L.J., “Anew method for modelling cohesive cracks using finite elements”,Int. J.
Numer. Meth. Engng., 50, 2001, pp. 2667–2682.
11. Kurumatani M., Terada K., “Finite cover method with multi-cover-layers for the analysis of evolv-
ing discontinuities in heterogeneous media”, Int. J. Numer. Meth. Engng., 79, 2009, pp. 1–24.
12. Fujikake K., Uebayashi K., Ohno T., Emori K., “Study on dynamic tensile softening characteristic
of concrete material under high strain-rates”, http://library.jsce.or.jp/jsce/open/00037/2001/669-
0125.pdf.
562
A New Equivalent Medium Model for P-Wave Propagation
Through Rock Mass with Parallel Joints
G.W. MA∗ , L.F. FAN AND J.C. LI

School of Civil and Environmental Engineering, Nanyang Technological University, Singapore 639798
1. Introduction
Joints commonly exist in rock mass, which often occur as nearly parallel groups or sets. Such
set (or sets) of joints often control the hydraulic and mechanical behaviour of a rock mass. If
a wave propagates through a jointed rock mass, its amplitude will be greatly attenuated (and
slowed) due to the presence of the set (or sets) of joints. Thus, a study of wave propagation
through jointed rock mass is of great importance to mine stability, waste isolation, prediction
of earthquake motions and assessing the damage of rock structures under dynamic loads.
A usual method for analyzing the wave propagation through jointed rock mass is the
equivalent medium method (EMM), which treat problems from a viewpoint of entirety and
are utilized usually for highly jointed medium, in which the intact rock block and the con-
tained joints together are treated as an equivalent continuous medium. Usually, the equiva-
lent medium methods relate averages of constitutive variables, e.g. average strain and aver-
age stress. Thus, a representative elementary volume (REV) is assumed, and the effective
moduli are seeded to predict the aggregate effects of joints in the REV,1 so as to make a
continuum analysis of the jointed media practicable. Using a static approach, Zhao et al.2
developed an equivalent medium model to explain the wave phenomena when the incident
wavelength is substantially greater than the fracture spacing. It is observed that the pres-
ence of joints resulted in anisotropy in the material properties of a rock mass, therefore,
Schoenberg3 derived constitution expressions of a transversely isotropic medium to repre-
sent a rock mass containing a single set of plane parallel fractures by a dynamic approach.
In their works, the constitution of the effective medium model contained five effective elastic
constants in terms of the elastic properties of the intact rock, the fracture spacing, and the
fracture specific stiffness. Hence, the wave velocities would be obtained by the equivalent
medium without fractures. Thomsen4 derived the expression of the phase velocity as a func-
tion of the angle of incidence, and a comparison of the normalized group velocity with the
displacement discontinuity model was carried out. However, as mentioned by Cook,5 the
effective moduli models do account for the effects of joints on seismic velocities, but they
cannot account for their effect on attenuation. The effective moduli methods limit to the
effective elastic moduli of the rock mass, which is effective only if the frequency-dependence
is ignored.
Pyrak-Nolte6 recommends the no longer purely elastic equivalent medium, e.g. viscoelastic
equivalent medium, to consider the attenuation. Johnston et al.7 investigated the attenuation
of the seismic waves propagation through the dry and saturated rocks. Both the mecha-
nism studies and Laboratory measurements are carried out. Pyrak-Nolte6 found that the real
joints can be expected as the interface possess elastic coupling with viscous by the labora-
tory experiments on seismic wave transmission across natural joints. The deformation waves
of arbitrary shape propagation through viscoelastic solids have been reviewed by Kolsky,8
both the experimental and theoretical aspects of the stress wave propagation has been inves-
tigated. However, how to introduce the viscoelastic equivalent medium model to represent
∗ Corresponding author. E-mail: CGWMa@ntu.edu.sg

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0042 563
the parallel jointed rock mass and how to identify the material parameters of the viscoelastic
equivalent medium model from the jointed rock mass and how to describe the attenuation
using the viscoelastic equivalent medium model have not yet to be introduced.
The purpose of this paper is to propose an equivalent medium model for a parallel jointed
rock mass. This model is a viscoelastic continuum medium, which is suitable for the dynamic
investigation of rock mass under a dynamic load. And it can be used to consider the effec-
tive moduli of the jointed rock mass, the effective velocities of the stress wave propaga-
tion through the rock mass and the attenuation of the stress wave across the jointed rock
masses. In order to identify the parameters of the present model, the current solution for
stress wave propagation through a rock mass with single joint is used. The transmitted wave
forms obtained from the present model are compared to the results for the displacement
discontinuity method for theoretically verification.
2. Viscoelastic EMM for Rock Mass with Parallel Joints

The investigation of Cook5 also shows that the dynamic approach based on elastic equiva-
lent medium model cannot account for attenuation of the stress wave propagation through
jointed rock mass. Therefore, a viscoelastic EMM introduced to eliminate the limitations of
the traditional elastic EMM.
Figure 1 shows the viscoelastic equivalent medium model. The model can be regarded as
an auxiliary spring placed in series with the Voiget model, which will be used to display either
the attenuation or the frequency-dependence of the transmitted wave. The constitution of the
model can be obtained as below
∂σ ∂ε
(Ea + Ev )σ + ηv − ηv Ea − Ev Ea ε = 0 (1)
∂t ∂t
where σ is stress, ε is strain, Ea and Ev are the elastic moduli of the springs; ηv is the viscosity
ratio.
The equation of the longitudinal motion for a one-dimensional problem can be expressed
in the term of velocity as
∂v ∂σ
ρ = (2)
∂t ∂x
Meanwhile, from the harmonious equation,
∂ε ∂v
= (3)
∂t ∂x
Ev
Ea
Kv
Figure 1. Viscoelastic equivalent medium model.
564
So that differentiating Eq. (1) with respect to x and t, then substituting for σ from Eq. (2)
and substituting for ε from Eq. (3), we obtained
∂ 3v ∂ 2v ∂ 3v ∂ 2v
ρηv + ρ(Ea + Ev ) − ηv Ea − Ev Ea =0 (4)
∂t3 ∂t2 ∂x2 ∂t ∂x2
with an arbitrary incident wave, at the boundary x = 0 as fellow,
v (x,t) |x=0 = v0 (t) (5)
The application of the Fourier Transformation to the motion Eq. (4) and the boundary
Eq. (5) yields,

i
−ω2 ρηv + iωρ(Ea + Ev ) ṽ (ω) − ηv Ea − Ev Ea ṽ,xx (ω) = 0 (6)
ω
and
ṽ (x,ω) |x=0 = ṽ0 (ω) (7)
respectively, where we use the velocity in the frequency domain ṽ(ω) to describe Fourier
Transformed time domain velocity. And ω means the frequency. i denotes imaginary sign,
as we have i2 = −1. The comma in the Eq. (6) denotes the differential to x. ṽ0 (ω) is the
boundary condition of ṽ0 (t) after Fourier Transformation.
Solving Eq. (6) on the boundary condition Eq. (7) and consider the convergence of the
solutions. The results can be written as

ṽ(x,ω) = ṽ0 (ω) exp − B/Ax (8)
where B = −ω2 ρηv + iωρ (Ea + Ev ) and A = ηv Ea − iEv Ea /ω.

An inverse Fourier Transformation will be applied to obtain the velocity in the time
domain,
∞
1
v(x,t) = ṽ0 (ω) exp − B/Ax exp (iωt)dω (9)
2π −∞
In Eq. (9), ṽ0 (ω) is obtained from the transformation of the arbitrary function v0 (t), so the
method can be applied to solve the motion problems with any shapes of the incident wave.
Furthermore, no assumption is introduced during the procedure, so no additional errors will
be introduced.
3. DDM for Rock Mass with Parallel Joints

A displacement discontinuity method (DDM) is introduced here to theoretically verify the
present EMM. DDMs have been applied to study the wave propagation through jointed
rock mass by several investigators. The essential assumption of these methods is that stresses
across the interface of the joint are continuous, but the displacements across the interface are
discontinuous.
Pyrak-Nolte et al.6 obtain the transmission coefficient for a P-wave at normal incidence,
with equal material properties on either side of the joint is
2k/z
T(ω) = (10)
−iω + 2k/z
where z is the wave impendence, define as z = ρC, ρ is density of the intact rock and C is the
P-wave velocity in the intact rock.
565
Therefore, if an incident P-wave is applied at the left boundary of rock mass with the form
of u = u0 exp ( − iωt) (assume at x = 0), the transmitted wave after the rock mass (assume at
x = S) with one joint can be derived and written as
2k/z
u= u0 exp (−iωt + inS) (11)
−iω + 2k/z
When a wave incident to a rock mass with multiple joints, it is recognized that the multi-
ple reflection has significant effect on the transmitted wave forms. However, it is difficult to
explicitly determine the superposition of the reflected waves. One of the simplified methods
was by ignoring the multiple reflections as an approximation. Laboratory experiments car-
ried out verified that this approximation is valid, when the joint space is larger relative to
the incident wave-length, in that case, the firstly arriving wave is not contaminated by the
multiple reflections.6
4. Parameter Studies of Viscoelastic EMM

Equation (1) indicates that the dynamic terms (the strain rate and stress rate terms) only
related to the damping ratio ηv . That means the elastic parameters are independent on the
magnitude of the loading ratio. Thus, for a quasi-static loading procedure, the stress can be
obtained from Eq. (1) as
Ev Ea
σ = ε = Ec ε (12)
(Ea + Ev )
where Ec is written for the moduli for the two springs in series, so that 1/Ec = 1/Ea + 1/Ev .
The comparison between a representative element of rock mass and a representative ele-
ment of the equivalent medium is made. Figure 2 shows a representative element in a rock
mass with parallel joints. S is the initial length of the total representative element. The normal
strain is
S Sj + Sr
ε= = (13)
S S
where S denotes the deformation of the total element, Sj is the closure of the joint and
Sr is the deformation of the rock, respectively.
Based on the in series properties and the stress expressions of the joint and the intact rock,
and consider the suggestion by Li and Ma9 the constitution of the representative element of
Joint
Rock
V V
a b
S
Equivalent length
Figure 2. Representative element of linear jointed rock mass.
566
rock mass can be obtained as

kn SEa
σ = ε (14)
kn S + Ea
Where, kn is the normal stiffness of the joint, E is the Young’s moduli, the subscript j means
the properties of the joint and r denotes the properties of the rock.
Eq. (12) is derivate from the discontinuous rock mass, which can be represent by the
continuous equivalent medium. Therefore, it should have the same stress-strain relationship.
After the comparison of Eqs. (12) and (14), we can obtained,
Ev = kn S (15)
In order to achieve the damping ratio ηv , the characteristic method will be used to analyze
the Eqs. (1)–(3). The velocity of the P-wave attenuates following

∗ ρCv
v = v exp − x = v∗ exp (−ς x) (16)
2η
where, Cv is the wave velocity along the characteristic line, which can be expressed as C2v =
Ea /ρ, v∗ = v(0,0) is wave velocity at the initial time on the boundary x = 0 and ς is the
attenuation factor, which is defined as
⎡ ⎤
1 2k/z
ς (ηv ) = − ln ⎣ 2
⎦ (17)
S
ω + 2k/z
2
Therefore, the attenuation factor can be measured from the wave propagation experiment
or can be simulated from the theoretical study as the works done by Pyrak-Nolte et al.6 or
Cook.5 Meanwhile, the density ρ and the Young’s moduli of the spring Ea and Ev can be
obtained by the regular statics experiment. Thus, the damping ratio can be obtained from
Eq. (17).
Based on the above discussion, it can seen that the incident wave v (0, t) can be any arbitrary
functions. Assume a half-cycle sinusoidal wave is applied as the incident wave at the left side
of a rock mass. e.g.

0.02 sin (100πt) 0 ≤ t ≤ 0.01
vI (t,0) = , when (18)
0 others
where 0.02 is the amplitude of the incident wave. 100π is the angular frequency of the
incident wave.
In the present numerical examples, it is assumed that rock density ρ is 2650Kg/m3 , P-wave
velocity C is 5830m/s, the normal joint stiffness kn is 3.5GPa. The Young’s moduli of the
intact rock Ea = 90GPa. Fig. 3(a) and 3(b) respectively show the relationships between Ev
and ω, ηv and ω, when S is λ, 2λ, and 5λ. It is observed from two figures that either Ev or
ηv depend on the incident wave frequency and the joint spacing S. For a given S, Ev and ηv
decrease with the increasing ω. And for a given ω, Ev and ηv increase with the increase of S.
If an incident P-wave at the boundary with the form of Eq. (18) propagates through a rock
mass. The transmitted waves can be obtained by the present viscoelastic EMM and DDM,
respectively. Figure 4 shows the transmitted waves when the incident wave across the jointed
rock mass using the two different methods. The “. . . ” curves denote the incident wave with
567
8000 120
S=5λ 100 S=5λ

6000 S=2λ S=2λ
S=1λ S=1λ
80
η v (GPa)
Ev (GPa)
4000 60
40
2000
20
0 0
0 50 100 150 200 0 50 100 150 200
Frequency ω (× 2π , Hz) Frequency ω (× 2π , Hz)
(a) Ev ~ ω (b) ηv ~ ω
Figure 3. The relation between parameters Ev , ηv and frequency ω.
the form of Eq. (18), the “—◦—” curves denote the transmission waves obtained by the
viscoelastic EMM and the“— —” curves denote the transmission waves from DDM.
6. Discussions
6.1. Comparison of transmitted waveforms
The transmitted waveforms obtained by using viscoelastic EMM are compared with those
by using DDM, with the same incident wave propagates through a rock mass containing a
set of joints. Figure 4(a)–(d) show the results for different joints numbers, respectively. It is
found from the figures that the waveforms of transmitted waves by two different methods are
basically the same. The comparison proves the validity of the present EMM can effectively
describe the dynamic property of the rock mass with a set of joints subjected to a normal
incident wave.
The compassion procedure also shows that the present viscoelastic EMM is a more effec-
tive method to obtain the transmitted waveforms than the DDM, especially when the rock
mass contains multiply joints. For an example, when the rock mass with n joints. In order
to obtain the transmitted waveforms by the DDM, each transmitted waveform across indi-
vidual joint should be calculated, therefore, it will cost n steps until the final transmission
waveforms be obtained. However, for the present viscoelastic EMM, which consider the
jointed rock mass as an entire continuous medium. Therefore, it can obtain the transmitted
waveform as simplily as the rock mass contain only single joint.
6.2. Comparison of transmission coefficients

The transmission coefficient is defined as the ratio of the amplitude of the transmission wave
to the amplitude of the incident wave. It can be seen from Fig. 4 that the transmitted waves
have an obvious attenuation on the amplitude of the incident velocity.
When an incident wave in the form given by Eq. (18) with f = 50Hz propagates across a
rock mass with a set of linear deformational joints. The Transmission coefficients obtained
by the DDM and by the present viscoelastic EMM for the rock mass with one to four joints
are obtained, respectively. A comparison of the transmission coefficients is carried out. The
results are listed in Table 1.
568
0.020 Incident wave 0.020 Incident wave

Transmitted wave (by EMM) Transmitted wave (by EMM)
Transmitted wave (by DDM) Transmitted wave (by DDM)
0.015 0.015
Velocity (m/s)
Velocity (m/s)
0.010 0.010
0.005 0.005
0.000 0.000
0.00 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.10 0.00 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.10
Time (s) Time (s)
(a) Single joint (b) Two joints
0.020 Incident wave 0.020 Incident wave

Transmitted wave (by EMM) Transmitted wave (by EMM)
Transmitted wave (by DDM) Transmitted wave (by DDM)
0.015 0.015
Velocity (m/s)
Velocity (m/s)
0.010 0.010
0.005 0.005
0.000 0.000
0.00 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.10 0.00 0.01 0.02 0.03 0.06 0.07 0.08 0.09 0.10 0.11 0.12
Time (s) Time (s)
(c) Three joints (d) Four joints
Figure 4. Transmission waveforms by EMM and DDM with different joint number (S = λ).
Table 1. Comparison of transmission coefficients.

Joint numbers 1 2 3 4
EMM 0.8365 0.7160 0.6225 0.5545

DDM 0.8430 0.7235 0.6300 0.5575
Difference (%) 0.7770 1.0475 1.2048 0.5410
It can be seen from Table 1 that the transmission coefficients for a rock mass with single
joint is about 0.84, and for a rock mass with multiply joints, it fellows the |T|N -method. It
also can be seen from Table 1 that transmission coefficients obtained from EMM are very
close to the results from DDM.
6.3. Comparison of effective velocities

The effective velocity for stress wave is a function of the length of the medium to the time
difference for the two peak velocities of incident and transmitted waves. Assume the incident
569
wave in the form of Equation (18) with f = 50Hz and the joint spacing is 1λ. From the
waveforms in Fig. 4, the effective velocities can be obtained.
For the present viscoelastic EMM, the effective velocity Ce for single joint case is
5336.4m/s, for two joints case is 5360.9m/s, for three joints case is 5348.6m/s, and for
four joints case is 5354.8m/s. The difference is caused by the errors introduced during the
numerical process. Therefore, an average effective velocity Ce is proposed for the present
viscoelastice EMM, which is Ce = 5350.2m/s. Agree well to the effective velocity value in
reference6 (DDM) where the interaction between joints and multiple reflections are ignored.
The difference between the effective velocity based on EMM and DDM is less than 1.3%.
7. Conclusions
A viscoelastic equivalent medium model is proposed in the present paper for parallel jointed
rock mass. In the present EMM, the linear visco-elastic property of the medium is considered,
and the time delay property and the attenuation of the transmitted waves are considered. The
following results can be concluded,
• By comparing the wave propagations through a rock mass with one joint and the
corresponding equivalent medium respectively, the visco-elastic parameters in the
new model can be theoretically estimated.
• Meanwhile, the frequency-dependent of joint are obviously shown in the present
viscoelastic equivalent medium model.
• By comparing the effective velocity of P-wave through a jointed rock mass using the
DDM and the present viscoelastic EMM respectively, it can be seen that the present
viscoelastic EMM can be used to calculated the time delay by the joint, while the
traditional static approaching cannot.
• By comparing the transmitted waveforms of P-wave through a jointed rock mass
using the DDM and the present viscoelastic EMM respecitively, it can be seen that
the attenuation can be taken into account in the present viscoelastic EMM, while
the effect is lost in the previous effective medium model (both elastic static approach
and elastic dynamic approach).
• It can be seen from the verification of the new model that the present viscoelastic
EMM can replace the displacement discontinuity method to study the wave propa-
gation in a rock mass with parallel joints.
Above all, a viscoelastic EMM is proposed in this paper using a continuous medium to
describe a discontinuous medium, which simplifies the dynamic response of parallel jointed
rock mass and makes the wave propagation solutions explicit.
References
1. Singh, B., “Continuum Characterization of Jointed Rock Masses”, International Journal of Rock
Mechanics and Mining Sciences, 10, 1973, pp. 311–349.
2. Zhao, X.B., Zhao, J. and Cai, J.G., “P-wave Transmission Across Fractures with Nonlinear Defor-
mational Behaviour”, International Journal for Numerical and Analytical Methods in Geomechan-
ics, 30, 11, 2006, pp. 1097–1112.
3. Schoenberg, M., “Reflection of Elastic Waves from Periodically Stratified Media with Interfacial
Slip”, Geophysical Prospecting, 31, 1983, pp. 265–292.
4. Thomsen, L., “Weak Elastic Anisotropy”, Geophysics, 51, 10, 1986, pp. 1954–1966.
570
5. Cook, N.G.W., “Natural Joint in Rock: Mechanical, Hydraulic and Seismic Behaviour and Prop-
erties under Normal Stress”, International Journal of Rock Mechanics and Mining Sciences, 29, 3,
1992, pp. 198–223.
6. Pyrak-Nolte, L.J., Myer, L.R. and Cook, N.G.W., “Anisotropy in Seismic Velocities and Ampli-
tudes from Multiple Parallel Fractures”, Journal of Geophysical Research, 95, B7, 1990,
pp. 11345–11358.
7. Johnston, D.H., ToksÖz, M.N. and Timur, A., “Attenuation of Seismic Waves in Dry and Saturated
Rock, II: Mechanisms”, Geophysics, 44, 4, 1979, pp. 691–711.
8. Kolsky, H., “Stress Waves in Solids”, Journal of Sound and Vibration, 1, 1, 1964, pp. 88–110.
9. Li, J.C., Ma, G.W. and Zhao, J., “An Equivalent Viscoelastic Model for Rock Mass with Parallel
Joints”, submitted.
571
Stability Analysis of Transformer Cavern and the Corresponding
Bus Duct System at Siyah Bishe Pumped Storage Power Plant
ABBAS MAJDI1,∗ , KAYUMARS EMAD2 AND HESSAM MOGHADDAM ALI3

1 Associate Professor, School of Mining Engineering, University of Tehran, Iran
2 Head of Infrastructures, Transportation Research Institute (TRI), Ministry of Road and Transportation, Iran
3 Senior Extraction Engineer, IMPASCO Company, Ministry of Industries and Mines, Iran
1. Introduction
Siyah Bishe pumped storage power house is located near the Siyah Bishe village between
Tehran- Chalous road 120 km. away from Tehran. It has been designed for producing 1000
Megawatt Hydro- power to balance the national electrical network needs during the peak
electricity consumption in the country. Detailed engineering geological site investigations
revealed significant joints and micro-faults within the rock mass surrounding the transformer
cavern and the corresponding bus duct galleries. Since the surrounding rock mass due to stage
excavations may behave accordingly, hence, 3DEC1 software has been used to simulate the
three dimensional discontinuous nature of the rock masses for construction of the desired
numerical models.
Rock mass joints and strength characteristics obtained from the site investigations along
with the laboratory test results have been used as input data for the numerical models.
Then, the outputs were used for stress and displacement analysis at different stages of the
excavations. For long term stability analysis, the predicted displacements obtained from the
numerical analyses were compared with that calculated by Sakurai’s critical strain approach.
Subsequently, regions surrounding the cavern where the predicted displacements were more
than the critical displacements have been classified as unstable zones.
Next, the results obtained from the numerical models and those predicted by Sakurai’s
method were back analysed with the in-situ displacements provided by the monitoring system
after the support installations.
The analyses focus with first priority on the type of support requirement for the final exca-
vation stage of the caverns. For this condition, wedge and Finite Element Analyses (FEA)
were also performed, and the respective deformations were estimated adopting the contrac-
tor’s preferred excavation sequence which is described further in this paper. The tabulated
deformation results can be compared to values actually measured on the site and will thus
allow judging the adequacy of the parameter assumptions used for stability analyses.
2. Geometric and Mechanical Characteristics of the Numerical Model

Transformer cavern is excavated in sedimentary layered strata with a thickness ranging from
0.2m to 3.5m. Physical and mechanical properties of the constituent rocks were obtained
laboratorial and displayed in Table 1 in which D is a factor that depends upon the degree of
disturbance to which the rock mass has been subjected by blast damage and stress relaxation.
It varies from 0 for undisturbed in situ rock masses to 1 for very disturbed rock masses.2
With regard to the type of excavation, D-value” representing the rock mass characteristic
after excavation was taken equal to 0.7 for the numerical model construction purpose.
∗ Corresponding author. E-mail: amajdi@ut.ac.ir

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0117 573
Table 1. Rock mass properties in Siyah-Bishe pumped storage project.3

D=0 D = 0.7
Rock Type GSI σc rock mi φ(◦ ) C (MPa) σcm E (GPa) φ(◦ ) C (MPa) σcm E (GPa)
(MPa) (MPa) (MPa)
Quartzite- 53 85 20 53 1.6 22 11 46 1.1 14 7.1

Sandstone
Red Shale 48 50 9 41 0.98 7.9 6.3 32 0.66 4.7 4.1
Table 2. In-situ test results (Flat Jack) in Siyah-Bishe pumped storage project.3
Rock type Poisson’s ratio – ν Young’s Modulus – E (GPa)
Sandstone (quartzite-sandstone) 0.2 15

Red shale 0.25 7.5
The modulus of elasticity and Poisson’s ratio required as part of the numerical modelling
input data were taken from the In-situ stress measurements made by using Flat Jack method
and represented in Table 2.3 Three dimensional models have been constructed with in a 300
m ∗ 300 m ∗ 300 m geo-structural frame shown in Fig. 1 The underground spaces including
the transformer cavern and the corresponding bus ducts are located at the centre of the
model.
In order to suitably employ the joint characteristics including; dips and orientations of
joints and bedding planes in the model 650 in-situ joint measurements have been made
through mapping of the cavern roof.4 Then joint analysis was performed by using Dips and
161 m
300 m
27 m
47 m
16 m 51 m
300 m
300 m
132 m
Major discontinuities (bedding planes, 25 m

joints and faults in 3D model -Siyah-
Bishe pumped storage project)
Figure 1. 3DEC model representation with major discontinuities along with the corresponding under-
ground spaces.
574
Figure 2. Graphical illustrations of joint analysis results for selecting the major discontinuities to be
taken in the model — Siyah-Bishe pumped storage project.
Table 3. Geometric and mechanical properties of discontinuity in Siyah-Bishe pumped stor-

age project.
Discontinuity Discontinuity properties
number
Dip Dip Friction Ks (GN/m) Kn (GN/m) Joint spacing (m)
direction (Degree) angles
(Degree) (Degree)
Bedding planes 147 60 25 7.5 20 variable

Joint-J1 295 70 30 7 20 0.5
Joint-J2 175 60 30 7 20 1.2
Joint-J3 92 76 35 7.5 20 1.0
Joint-J4 284 81 27 7 20 1.5
Joint-J5 324 53 30 7 20 0.75
Wedge Software to determine the governing discontinuities and the corresponding orienta-
tions to be taken into the model as part of the input parameters (Fig. 2). Table 3 represents
the geometrical characteristics and mechanical properties of the governing discontinuities of
the rock mass. For a design of the required rock supports the most relevant joint orientations
were given more weight than the others. Major discontinuities considered in the numerical
models are illustrated in Fig. 1.
3. Displacement Analysis of the Walls and Roofs of the Excavation

Change of displacements measured at 132 points in some regions of the models’ roof and
walls are referred henceforth as observational or check and or history points. Some of these
points were characterized on the basis of unstable and critical points resulted from the pri-
mary numerical models prepared for this project. Some complementary history points were
also determined from the bus duct cross cuts along with the extensometers measuring points.
The effect of stage excavations of transformer on both stress and displacement changes of
history points were checked. Then the model has been reconstructed to represent post con-
struction behaviour as compared with the monitoring results.
575
N DS
a History Points of Cavern Roof
e b
f c
BD1 g d
BD2
h
BD3
BD4
US
History Points of Bus Duct Roof
Figure 3. Locations of observational points installed on the roof of the bus ducts and Transformer
cavern — Siyah-Bishe pumped storage project.
Displacements after drilling the

Initial displacements roof of Transformer cavern
17 m
Vertical displacement (cm)
15 m 17
10 m
6m 15
10
0
Roof (0)
Step of software run
Figure 4. Effect of stage excavation on cavern deformational behaviour (check point c in Figure 3)-
Siyah-Bishe pumped storage project.
In this paper the check points locations are primarily located on the transformer cavern
roof and on the roof of the T-junction of transformer cavern and the corresponding bus ducts
as well (Fig. 3). Multiple point extensometers were installed at the observational points up to
576
Initial displacements Displacements after drilling the Boss Duct

Vertical displacement (cm)
10 m
6m
10
2m
6
Roof (0) 2
0
Step of software run
Figure 5. Effect of stage excavation on bus ducts deformational behaviour (check point f in Fig. 3) –
Siyah-Bishe pumped storage project.
20 m and 10 m into the transformer cavern and the T-junction roofs respectively. One mea-
suring point was assigned for each meter of the extensometer length. Hence, for consistent
comparative analysis of the results, these very points have also been taken into account in
the numerical models. Bus duct numbers with brevity 1BD, 2BD, 3BD and 4BD have been
displayed in Fig. 3. Variation of vertical displacements reflecting the effect of stage excava-
tions obtained from model analysis at 0, 6, 10, 15, and 17 meters depths into the transformer
cavern roof at check point c are illustrated in Fig. 4. Cavern roof at 0 m-and at 17 m depths
with 36mm and 6mm respectively exhibits the maximum and the minimum vertical displace-
ments correspondingly. The extent of the roof vertical displacement clearly indicates that the
effective length of the required rock bolts must be more than 17 meters. Similarly, the effect
of stage excavations have been analysed for check point f at T-junction of transformer cavern
and the corresponding bus ducts. The respective vertical displacements in T-junction of bus
duct 2 at 0, 2, 6, and 10 meters depths into the roof are displayed in Fig. 5. In this case
the T-junction roof at 0 m- and at 10 m depths with 11.8mm and 5mm respectively exhibits
the maximum and minimum vertical displacements correspondingly. Whereas the maximum
vertical displacement at the depth of 10m prior to bus duct excavation was 3mm.
4. Modelling of Excavation and Support Members

Each section of the transformer cavern with a length of 10m has been excavated in ten cross
sectional stages. Hence, the representative longitudinal model has been divided into 16 sec-
tions. As such the sequence of excavation for each model was performed in 160 stages. Exca-
vation is simulated according to the currently executed or envisaged excavation sequence.
577
Table 4. Shotcrete mechanical properties in Siyah-Bishe pumped storage

project.
Mechanical Density Young’s v UCS Kn Ks C φ
Properties (kg/m3 ) Modulus (MPa) (GPa) (GPa) (MPa)
of Shotcrete (GPa)
2500 21 0.2 30 3.5 2.1 0.5 35
The support is simulated so that adequate safety is reached while not overloading the sup-
port members.
Shotcrete, Rock Bolts and Tendons for support members were simulated in model. The
Young’s Modulus in Shotcrete is set to 21,000 MPa and ν to 0.2 (Table 4). The liners are
installed after excavation of each stage at the final surface excavated during that stage. The
rock bolts are modelled as fully bonded bolts and each anchor behaves as a single element.
The rock support was designed to satisfy the support requirements determined by the
above analyses. In Table 5 rock support design with each member is shown. It has to exert
sufficient support pressure so that wedges are held with sufficient safety. On the other side
the support members must not be overstressed in the course of subsequent excavation stages
and related deformations.
5. Stability Analysis of Transformer Cavern and Bus Ducts

Discontinuous numerical modelling has been used to perform deformational analysis of the
roof, floor and the walls of the transformer to assure the total stability of the structure. It
is obvious that in designing any underground structure a design criterion must be fulfilled.
Hence, for long term stability analysis, estimating the critical deformation after the support
installation is crucial. In this paper critical strain method proposed by Sakurai5 has been
used to compute the critical strain of the prospected sections of the transformer and the
corresponding bus ducts. At 4 locations on the longitudinal profile of the Cavern 4-points
multipleextensometers were installed so that the distance between every two adjacent points
is taken as 2 meters. Hence, the total length of each extensometer was taken 8m into the
Table 5. Transformer cavern and bus ducts rock support items in Siyah-Bishe pumped storage project.
Rock Rock bolts Tendons Shotcrete
support
items Grid (m2 ) Capacity Length Grid (m2 ) Capacity Length Thickness
(kN) (m) (kN) (m) (cm)
Transformer 3 140 6 6 890 15 20

cavern roof
U/S wall 3 140 6 and 8 10 300 12 15
D/S wall 9 140 5 12 890 12 15
Shafts of 4 140 8 – – – 15
bus bar
system
Bus duct 4 140 5 – – – 10
galleries
578
Figure 6. Transformer cavern monitoring plan in longitudinal section — Siyah-Bishe pumped storage
project.
roof. The installation location of the extensometers were chosen some how to be the most
critical with regard to shear planes or the critical discontinuities. The results obtained from
the extensometers were back analysed as a base of comparison for the numerical analysis.
14 locations on the peripheral area of the cavern were chosen for monitoring purposes.
4 at roof and 4 at each corresponding side at the spring line both on the upstream and
downstream sides (Fig. 6).
With regard to the critical strain concept the following three different risk levels are given5 :
log εc = −0.25 log E − 0.85 I

uc
log εc = −0.25 log E − 1.22 II εc =
R
log εc = −0.25 log E − 1.59 III.
Where, εc represents the critical strain, E is the modulus of elasticity, uc stands for crit-
ical displacement, and finally R illustrates the radius or width of underground excavation.
If εc num represents the critical strain obtained from the numerical modelling analysis and
εc meas stands for the critical strain computed based on in-situ stress measurements then the
a b
Model and Instruments Displacements (mm)
1.2 10 12 12
Critical Displacements (mm)
Critical Displacements (mm)
9
1.0 10 10
8
WALL WALL
7
8 8 8
6
6 5
6 6
D/S U/S 4 D/S U/S
4
3 4 4
2
2
1 2 2
0 0
0 0
0 200 400 600 800 1000 1200 1400 1600
0 200 400 600 800 1000 1200 1400 1600
Recording sequence
Recording sequence
Sakurai’s critical Measured Predicted model

displacements (mm) displacements (mm) from the first ring extensometer displacements (mm)
Figure 7. Comparison of the measured displacements with; Sakurai’s critical displacements and pre-
dicted model displacements at first ring of instrument; (a) 140 m from south end wall in Fig. 6, (b) 78
m from south end wall in Fig. 6 - Siyah-Bishe project.
579
following limits can be considered:

εc num or εc meas = εc ⇒ Equilibrium state (1)
εc num or εc meas > εc ⇒ Critical state (2)
εc num or εc meas < εc ⇒ Safe state. (3)
Depending up on type of the projects one can use any of the above given risk levels. Then
regardless which risk level is employed one of the three states given in Eqs. (1) to (3) is
resulted. Care must be taken into account that the desired modulus of elasticity must be
obtained from in-situ measurements. Fig. 7 represents the comparative analysis of the results
obtained from the numerical modelling performed in this research with those obtained from
in-situ measurements and that calculated from the Sakurai’s method.
6. Conclusions
Numerical simulation has been performed to evaluate the transformer cavern and the corre-
sponding bus duct systems behaviour. Rock mass joints and strength characteristics obtained
from the site investigations along with the laboratory test results have been used as input
data for the numerical models. Then, the outputs were used for stress and displacement
analysis at different stages of the excavations. For long term stability analysis, the predicted
displacements obtained from the numerical analyses were compared with that calculated by
Sakurai’s critical strain approach. Subsequently, regions surrounding the cavern where the
predicted displacements were more than the critical displacements have been classified as
unstable zones. The results clearly reflected the role of support systems in minimizing the
undesired displacement, in particular, for long term stability of the cavern.
Hence, the analyses focus with first priority on the type of support requirement for the
final excavation stage of the caverns.
References
1. Itasca Consulting Group, Hnc., “3DEC, 3 dimensional distinct element code”, Version 2.00, User
Manual.
2. Hoek, E., Carranza-Torres, C., and Corkum, B., “Hoek — Brown failure criterion — 2002 edition,
www.rocscience.com.
3. Soils engineering services (SES), Tehran, Iran, Reports of rock mechanics laboratory tests, February,
2004.
4. Tablyeh construction engineering company, “Reports of joint mapping and geotechnical investiga-
tions in TC, PHC and bus ducts- Phase III”, Program No. 3, Vol. I, Report January 2005.
5. Sakurai, S., “Lessons learned from field measurements in tunnelling”. Tunnelling and Underground
Space Technology, Vol. 12, No. 1999, 4, pp. 453-460
580
Process Zone Development Associated with Cracking Processes in
Carrara Marble
L.N.Y. WONG1,∗ AND H.H. EINSTEIN2

1 Nanyang Technological University
2 Massachusetts Institute of Technology
1. Introduction
In this study, laboratory compressive loading tests have been conducted on prismatic Carrara
marble specimens, which contained a pair of pre-existing artificial flaws. Cracks initiating
from the pre-existing flaws are found to be preceded by development of individual linear to
curvilinear white patches. Observation with the scanning electron microscope (SEM) shows
that the macroscopic white patches in marble, which develop prior to the initiation of macro-
scopic cracking, consist of microcracking zones (process zones).
2. Background
Crack-tip plasticity is an established concept used to account for the inelastic material defor-
mation. The size and shape of the associated process zone are related to the material param-
eters and the loading conditions.1−5 One of the key assumptions is that the local material
yielding occurs adjacent to a crack tip. Yielding ahead of the crack tip continues as the crack
propagates and lengthens.
As shown in previous experimental studies by the same authors,6,7 which consisted of
compressive loading of prismatic Carrara marble containing pre-existing artificial flaws, indi-
vidual white patches developed from the pre-existing flaws in response to loading prior to
the initiation of any macroscopic observable cracks (Fig. 1). Once developed, most of the
white patches (free of any observable macroscopic cracks) then propagated (increased in
length), widened and intensified in colour as the applied loading further increased. It is inter-
esting to note that instead of initiating and propagating from the pre-existing flaw as a single
macroscopic continuous crack, multiple individual tensile cracks usually developed as short
en-echelon crack segments. These en-echelon cracks lengthened, and eventually linked up to
form a continuous crack as loading further increased. It has to be emphasized that the above
observations were based on video recordings at a macroscopic scale.
A similar white patch development was also observed in other experimental studies on
marble.8−10 The white patch development was suspected to be due to the presence of induced
microcracks8 or “deviation and failure of crystalline grains”.10 However, no experimental
attempts (e.g. microscopic imaging) were made by these authors to confirm their hypotheses
on the nature of the white patches.
To investigate the nature of these white patches, the present study consists of loading
identical Carrara marble specimens with pre-existing artificial flaws to different stress levels,
at which only white patches but no observable cracks have developed. The microstructural
characteristics of the corresponding white patches are then examined by using the scanning
electron microscope (SEM) imaging technique. The SEM imaging technique has also been
successfully used by others to observe the details of cracks in rocks (e.g. 11–14).
∗ Corresponding author. E-mail: LNYWong@ntu.edu.sg

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0076 581
i 1 k l i bl i f h i b fl i b f l di b
Figure 1. Crack coalescence in Carrara marble. (a) View of the region between flaw tips before load-
ing. (b) A white patch developed between flaw tips in response to loading. (c) A short tensile crack
initiated within the white patch. (d) Multiple short tensile cracks developed. (e) A continuous crack
formed due to the lengthening and coalescence of the short tensile cracks. The distance between the
tips of the pre-existing flaw is 13 mm.
Figure 2. Artificial flaw pair geometry prepared for the white patch study in marble specimens. Each
flaw is 13 mm long and 1.3 mm wide. Compressive loading direction is vertical. The specimen is com-
pressively loaded vertically.
3. Experimental Procedures
Three identical Carrara marble specimens (152 mm × 76 mm × 32 mm) containing a pair
of pre-existing flaws (13 mm long, 1.3 mm wide) as shown in Fig. 2 are prepared. The flaws
are created using an OMAX abrasive jet.
These marble specimens are loaded to respectively 50%, 70% and 90% of the specimen
failure stressa , which lead to the development of white patches of different extent (Fig. 3).
The loaded marble specimens are then trimmed down and polished to obtain flat and smooth
surfaces. Carbon coating is applied to the specimen before being examined in the scanning
electron microprobe (SEM). The microprobe model used for this study is a JEOL JXA-733
SEM.
a The average failure stresses of Carrara marble specimens containing the same flaw pair geometry
determined from previous tests16 was 52.0 MPa. This stress value is used for computing the percentage
of failure stress to be applied to the marble specimens.
582
Figure 3. Sketches of development of white patches (grey lines) in three different marble specimens,
which have been subjected to uniaxial (vertical) compression loading of up to (a) 50%, (b) 70% and (c)
90% of the specimen failure load.15 The thick black lines represent the pre-existing flaws. The induced
white patches indicated by arrows are later examined by the SEM as shown in Fig. 5.
Figure 4. (a) The grain boundary of the elliptical grain A is identifiable where there is an adequate
color contrast between adjacent grains; (b) Grain boundary cracking (inter-granular cracking), which
appears black in color, occurs around grain B; (c) Grain C is dissected into three parts by multiple
almost parallel intra-granular cracks (indicated by arrows), which terminate at the boundary of grain
C. Intra-granular cracks refer to those cracks completely embedded within mineral grains, but not along
grain boundaries. (d) An intra-granular crack (main crack) cuts through grain D and grain E. (e) The
intra-granular cracks in grain F are controlled by two dominant set of cleavages (indicated by arrows).
4. Results
4.1. White patch development — macroscopic observation
In response to the applied uniaxial loading, individual white patches of conventional wing
appearance, which are identifiable even with unaided eyes, emanate from the flaw tips. The
length and width of the white patches increase with the applied stress level, and this is accom-
panied by an intensification of the white colour. All of these white patches are free of any
macroscopic cracks as observed with a 10× handlens. It was observed in a previous study7
that further loading of specimens with identical configuration would eventually lead to the
development of tensile wing cracks along these white patches.
583
Figure 5. Assemblages of SEM images for individual white patches observed in the marble speci-
mens. The bottom right black regions are the pre-existing flaws. Refer to Fig. 3 for the regions under
examination.15
4.2. White patch development – microscopic observation

Figure 5 shows the SEM images taken along the white patches as indicated in Fig. 3. The
crack density distribution is classified into one of the four classes – background (B)b , low (L),
medium (M) and high (H) as shown in Fig. 6 (overlay of crack density distributions onto
crack traces). The classification is carried out by visually comparing the actual crack distri-
bution against the four reference grids shown in the top left portion of Fig. 6. Throughout
the discussion below, a microcracking zone is defined as a region with microcrack densities
of class L or higher. The characteristics of the microcracking zones observed at different
loading levels are discussed below. Also refer to Fig. 4 and the corresponding caption for the
identifications and descriptions of the typical microcracking features.
50% loading (Fig. 6(a)) – The individual white patch close to the flaw consists of an under-
lying zone having multiple short microcracks (inter-granular and intra-granular), but not
with any observable dominant cracks. The development of dominant cracks occurs at subse-
quent higher loading levels. As shown in Fig. 6(a), the crack density inside the microcracking
zone belongs to class M in the core and class L in its vicinity. Note that crack density class
H has not yet developed at this level of loading. Outside the microcracking zone, the crack
density drops to class B. Figure 6a also shows that the amount of microcracking decreases
with distance away from the flaw face (black region in the bottom right). At a sufficiently
b Note that the microcracks constituting the background crack density (B) were due to two sources —
inherent microcracks and microcracks due to the cutting action of water abrasive jet.
584
Figure 6. Overlays of crack density distribution over the sketches of crack traces shown in Fig. 5. The
keys of the different classes of crack density (qualitative) — background (B), low (L), medium (M) and
high (H) are shown in the top left region of the figure.15
remote distance (not shown in the figure), individual grains completely free of microcracks
such as those illustrated in Fig. 4(a) exist.
70% loading (Fig. 6(b)) — The individual white patch close to the flaw consists of an
underlying zone, having a central elongated core of class H, and regions of classes L and
M on its flank. The central region consists of a dominant undulating generally continuous
crack, which usually follows grain boundaries. This central dominant crack is also flanked
by multiple much shorter intra-granular cracks (classes L and M). The density of these intra-
granular cracks, which usually trend more or less parallel to the dominant crack, is the
highest next to the central dominant crack (class H). It drops off rapidly with distance from
this central crack (note that a large portion of the central region of class H is flanked by
regions of relatively low crack density (class L & class B). The crack density also drops in a
direction orthogonal to the flaw face.
90% loading (Fig. 6(c)) – Similar to the specimens subject to 70% loading, an individual
white patch develops close to the flaw tips and it can be correlated with a microcracking
zone. The microcracking zone again consists of a central elongated densely cracked zone
(class H) and multiple much shorter orthogonal intra-granular cracks of classes M and L at
its flank. The density of the microcracks is also the highest in the central core and decreases
with distance from it. However, the extent of regions of class M and class L, which flank
the central class H region (Fig. 6(c)) is larger for the 90% case (Fig. 6(c)) than that for 70%
case (Fig. 6(b)). In addition, the region of class H inside the white patch due to 90% loading
is composed of multiple long microcracks (indicated by arrows in Fig. 6(c)), which trend
along with the general orientation of the white patch, instead of only one single dominant
585
Figure 7. Schematic representation of microcrack density along and away from an induced white
patch.
crack as was the case for 70% loading (Fig. 6(b)). Based on the above observations, the
properties of the microcracking zone underlying a while patch are schematically represented
in Fig. 7. The three small sketches show that the microcrack density (ρ), which can be defined
as number of microcracks per unit area, generally decreases away from the white patch. At
a distance sufficiently far away from white patch, the microcrack density (ρo ) drops to that
of the background level (class B). In addition, the microcrack density (ρ1 > ρ2 > ρ3 > ρo )
and the width of the microcracking zone (d1 > d2 > d3 ) decrease in a direction orthogonal
to the flaw face.
To summarize, white patches develop and evolve in response to the applied loading along
the trajectories of future tensile wing cracks. At a 50% load level, an elongated zone scattered
with microcracks (classes M and L) forms adjacent to the flaw face around the tip regions. As
the applied loading progressively increases, a microcracking zone consisting of a dominant
continuous crack becomes identifiable. This dominant crack with a core region of class H
is flanked by multiple microcracks with crack density decreasing away from the dominant
Figure 8. Schematic illustration of the tensile wing crack development in marble associated with the
evolution of microcracking zones (modified from 15).
586
Figure 9. Idealized representation of crack propagation and the associated process zone. Note that
the actual size and shape of the process zone depends on the material parameters and the loading
conditions.
feature and from the flaw face (classes M and L). As the applied loading increases further,
the microcracking zone lengthens and widens (larger extent of regions of classes M and L).
The density of microcracks next to the central core region also becomes higher. The sketches
in Fig. 8 summarize the evolution of the microcracking zones underlying the white patch.
There is a strong indication that these regions of high crack density (H) are the locations
where macroscopic tensile cracks develop (see Background, Section 2), hence leading to the
initiation of unconnected tensile cracks (en-echelon cracks) within the white patch in marble
(sketch e in Fig. 8) before the occurrence of a continuous observable macroscopic crack
(sketch f in Fig. 8).
5. Discussion
In conventional treatment of fracture mechanics, local material yielding is assumed to occur
adjacent to a crack tip. Yielding ahead of the crack tip continues as the crack propagates and
lengthens (Fig. 9). The present study in Carrara marble shows that the initiation of macro-
scopic cracks in marble is associated with the enlargement and coalescence of microcracking
zones and also with an increase of crack density in areas in close proximity to, but not neces-
sarily adjacent to, the crack tips. In other words, yielding is not restricted to finite zone ahead
of the crack tip region (Fig. 8). Similar observations were made in a recent study on granite.17
This phenomenon in rocks is likely to be attributed to the inherent fabric and heterogeneous
nature of rocks. The presence of local defects, including crystal cleavages, open/closed grain
boundaries, inherent microcracks due to past geological history, can alter the local stress field
and thus the development of a process zone, significantly.
6. Conclusions
The scanning electron microprobe (SEM) imaging technique is used to study the microscopic
development of white patches in marble. Consequently, a relation between the macroscopic
and microscopic mechanisms in marble in the formation of tensile cracks is established in
the present study. The microscopic imaging study in marble showed that the macroscopic
white patches consist of extensive microcracking zones. The initiation of macroscopic cracks
in marble is associated with an enlargement and coalescence of the microcracking zones and
also with an increase of crack density.
References
1. Irwin, G.R., “Plastic Zone near a Crack and Fracture Toughness”, Sagamore Research Conference
Proceedings, Vol. 4, 1961, Syracuse University Research Institute, Syracuse NY, pp. 63–78.
587
2. Dugdale, D.S., “Yielding in Steel Sheets Containing Slits”, Journal of the Mechanics and Physics
of Solids, Vol. 8, 1960, pp. 100–104.
3. Barenblatt, G.I., “The Mathematical Theory of Equilibrium Cracks in Brittle Fracture”, Advances
in Applied Mechanics, Vol. VII, Academic Press, NY, 1962, pp. 55–129.
4. Dodds, R.H., Jr., Anderson, T.L. and Kirk, M.T., “A Framework to Correlate a/W Effects
on Elastic-Plastic Fracture Toughness (Jc )”, International Journal of Fracture, Vol. 48, 1991,
pp. 1–22.
5. Nakamura, T. and Parks, D.M., “Conditions of J-Dominance in Three-Dimensional Thin
Cracked Plates”, Analytical, Numerical, and Experimental Aspects of Three-Dimensional Frac-
ture Processes, ASME AMD-91, American Society of Mechanical Engineers, New York, 1988,
pp. 227–238.
6. Wong, L.N.Y. and Einstein, H.H., “Systematic Evaluation of Cracking Behavior in Specimens
Containing Single Flaws under Uniaxial Compression”, International Journal of Rock Mechanics
and Mining Sciences, 46, 2, 2009, pp. 239–249.
7. Wong, L.N.Y. and Einstein, H.H., “Crack Coalescence in Molded Gypsum and Carrara Marble:
Part 1 — Macroscopic Observations and Interpretation”, Rock Mechanics and Rock Engineering,
42, 3, 2009, pp 475–511.
8. Chen, G., Kemeny, J.M. and Harpalani, S., “Fracture Propagation and Coalescence in Marble
Plates with Pre-cut Notches under Compression”, In L.R. Myer, N.G.W. Cook, R.E. Goodman
& C.F. Tsang (Eds). Symposium on Fractured and Jointed Rock Mass, Lake Tahoe, CA, 1995,
pp. 435–439.
9. Martinez, A.R. Fracture Coalescence in Natural Rock, SM Thesis, Massachusetts Institute of Tech-
nology, 1999, p. 341.
10. Li, Y.P., Chen, L.Z. and Wang, Y.H., “Experimental Research on Pre-cracked Marble under Com-
pression”, International Journal of Solids and Structures, 42, 2005, pp. 2505–2516.
11. Sprunt, E.S. and Brace, W.F. “Direct Observation of Microcavities in Crystalline Rocks”, Interna-
tional Journal of Rock Mechanics and Mining Sciences and Geomechanics Abstracts, 11, 1974,
pp. 139–150.
12. Tapponnier, P. and Brace, W.F., “Development of Stress-Induced Microcracks in Westerly Granite”,
International Journal of Rock Mechanics and Mining Sciences and Geomechanics Abstracts, 13,
1976, pp. 103–112.
13. Kranz, R.L., “Crack Growth and Development During Creep of Barre Granite”, Interna-
tional Journal of Rock Mechanics and Mining Sciences and Geomechanics Abstracts, 16, 1979,
pp. 23–35.
14. Sagong, M. and Bobet, A., “Micro-fractographic Characterization of Tensile and Shear Cracks”,
In P.J. Culligan, H.H. Einstein & A.J. Whittle (Eds). Soil and Rock America 2003, Cambridge,
MA, 2003, pp. 937–944.
15. Wong L.N.Y. and Einstein, H.H., “Crack Coalescence in Molded Gypsum and Carrara Marble:
Part 2 – Microscopic Observations and Interpretation”, Rock Mechanics and Rock Engineering,
42, 3, 2009, pp. 513–545.
16. Wong, N.Y., Crack Coalescence in Molded Gypsum and Carrara Marble, PhD Thesis, Mas-
sachusetts Institute of Technology, Cambridge, MA, 2008, pp. 876.
17. Miller, J.T., Crack Coalescence in Granite, SM Thesis, Massachusetts Institute of Technology,
2008, p. 474.
588
Simulation of Stress Singularity Around the Crack Tips for LEFM
Problems Using a New Numerical Method
G.R. LIU1,2 AND N. NOURBAKHSH NIA1,∗

1 Center for Advanced Computations in Engineering Science (ACES), Department of Mechanical Engineering,
National University of Singapore, 9 Engineering Drive 1, Singapore 117576
2 Singapore-MIT Alliance (SMA), E4-04-10, 4 Engineering Drive 3, Singapore, 117576
1. Introduction
The strain smoothing technique was applied in the finite element method settings and the
smoothed finite element method (SFEM) was developed using cell-based smoothing domains
created by further dividing elements.1 A node-based smoothed finite element method (NS-
FEM)2 has also been proposed using smoothing domains constructed based on nodes in
FEM settings. The NS-FEM is found instable temporally due to its “overly soft” feature
rooted at the use of a small number of smoothing domain in relation to the nodes3–5 and
cannot be used to solve dynamic problems. To eliminate the temporal instability, Liu et al.6
proposed the edge-based smoothed finite element (ES-FEM) which uses smoothing domains
constructed based on edges of the elements. The significance of the ES-FEM is that it is often
found much more accurate than the linear FEM using the same mesh and even more accurate
than the FEM using quadrilateral elements with the same set of nodes. Most importantly, the
implementation procedure in ES-FEM offers a very convenient way to create the displace-
ment field using the simple point interpolation method (PIM). This is because we need only
the shape functions values on the edges of the smoothing domains in the ES-FEM formula-
tion in computing the stiffness matrix. Therefore, we can create a desired displacement field
in a very flexible manner using the PIM for various applications, such as simulating a proper
singular stress field to be discussed in this work. This paper develops a singular ES-FEM for
simulating the stress singularity for linear fracture problems, considering the first (opening)
mode. In the present ES-FEM we use a triangular mesh that can be generated automatically
for problems with complicated geometry. The numerical results have shown that the strain
energy, displacement and J-integral obtained using the present singular ES-FEM method is
more accurate than the standard linear FEM and even the quadratic FEM with standard
6-node crack tip elements.
2. The Idea of Singular ES-FEM

2.1. Reproducing stress singularity at the crack tip
Currently, the most widely used standard method for simulating the stress singularity at the
crack tip is to use the so-called (quadratic) 6-node crack-tip element using mapping based on
elements with the mid-edge nodes being shifted by a quarter edge-length towards the crack-
tip. In the ES-FEM method, however, no mapping is needed and the stress singularity can be
created by a simple point interpolation method with extra basis functions of proper fractional
order polynomials. In the present ES-FEM, we use 3-node triangle elements for areas without
singularity, and one layer of specially designed singular 5-node triangular elements containing
the crack-tip to produce the stress singularity behaviour at the crack tip. In these elements as
∗ Corresponding author. E-mail: nasibeh.n@nus.edu.sg

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0092 589
(a) an additional node is added on each edge (b) coordinate for an edge connected to the crack-tip
of the triangular elements connected to
the crack tip
Figure 1. Node arrangement near the crack tip. Dash lines show the boundary of a strain smoothing
domain for an edge directly connected to the crack tip node.
shown in Fig. 1 we have added in a node on each edge of the triangular elements connected
to the node at the crack tip. The location of the added node is at the one quarter length of
the edge, as shown in Fig. 1.
Based on this setting, the displacement field, for example the component u, at any point of
interest on an edge which is directly connected to crack tip node (node 1 in Fig. 1.) can be
created using.
√
u = c0 + c1 r + c2 r (1)
where r is the radial coordinate originated at the crack-tip (node 1), and ci (i = 0, 1, 2) are
the constants yet to be determined. After using Equation (1) at node 1, 2 and 3 we can solve
the simultaneous system of three equations for ci . By substituting them back to Equation (1),
we shall obtain:
⎡ ⎤⎧ ⎫
r r r r 2r r ⎨ u1 ⎬
⎢1 + 2 − 3 −4 + 4 − ⎥
u=⎣
⎦ ⎩ 2 ⎭
l l l l l l u (2)

φ1 φ2 φ3 u3
where l is the length of the element edge, and ci i (i = 1, 2, 3) are the shape functions for
these three nodes on √ the edge. It is clear that the shape functions are (complete) linear in r
and “enriched” with r that is capable to produce a strain (hence stress) singularity field of
an order of 1/2 near the crack-tip, because the strain is evaluated from the derivatives of the
assumed displacements. To perform the point interpolation using the 5-node triangle element
at the crack-tip, it is assumed that in the radial direction the displacements vary in the same
fashion as given in Equation (1). In the tangential direction, however, it is assumed to vary
linearly. Figure 2 shows two 5-node elements parts of which form one edge-based smoothing
domain. (1-C1 -2-C2 -1).
For any point on line 1 − γ − β the displacement calculated as Eq. (13);
u = u1 φ1 + uγ φ2 + uβ φ3 (3)
where

lγ −4 lγ −4 lβ−2 lβ−2
uγ = 1 − u4 + u5 & uβ = 1 − u2 + u3 (4)
l4−5 l4−5 l2−3 l2−3
590
Figure 2. Two 5-node elements at the crack tip node 1, and interpolation within element 1-2-3-4-5.
lγ −4 lβ−2
in which li−j is the distance between points i and j. Because of the fact that l4−5
= l2−3
= α:
u = φ1 u1 + (1 − α)φ3 u2 + αφ3 u3 + (1 − α)φ2 u4 + αφ2 u5 (5)

N1 N2 N3 N4 N5
The general form of shape functions for the interpolation at any point within the 5-node
crack-tip element can be written as:
⎧
⎪
⎪ N1 = ϕ1
⎪
⎪
⎪
⎪ N = (1 − α)ϕ3
⎨ 2
N3 = αϕ3 (6)
⎪
⎪
⎪
⎪ N4 = (1 − α)ϕ2
⎪
⎪
⎩N = αϕ2
5
Because in our singular ES-FEM, we do not need derivatives of shape functions, Equation (6)
is all we need in computing the stiffness matrix and creating the numerical model.
2.2. Stiffness matrix evaluation

In order to calculate the stiffness matrix in the present ES-FEM, strain smoothing domains
are constructed associated with the edges of each element. Each 3-node triangular elements
are divided into three equal sub-triangular areas corresponding to three edges of the triangle
and two such sub-triangular areas sharing with the same edge form a smoothing domain.
For a 5-node crack-tip element, however, we divide the original smoothing domain to some
sub-smoothing domains to better capture the singular strain field as shown in Fig. 3.
Based on the ES-FEM procedure, the stiffness matrix of the whole model is the summation
of the sub-matrixes of the stiffness matrix associated with all the strain smoothing domains.

Ns
K̄IJ = K̄IJ(k) where K̄IJ(k) = B̄T
I DB̄J dA (7)
k=1 Ask
where K̄IJ is the assembled stiffness matrix and KIJ(k) is the stiffness matrix of the smoothing
T
domain of the edge k and Ask is the kth strain smoothing area associated with edge k. BI can
591
a) One smoothing domain 1-C1-2-C2-1 b) Two sub-smoothing domains: 1-B1-4-B2-1 and 4-B1-
C1-2-C2-B2-4 (S-SD=2)
c) Three smoothing cells: 1-D1-E-D2-1, E-D1-B1-4-B2-D2-E, 4-B1-C1-2-C2-B2-4 (S-SD=3)
Figure 3. Further division of the smoothing domain associated with edge 1-4-2 into smoothing cells.
be calculated using
⎡ ⎤
bIx (xk ) 0
⎢ ⎥ 1
BI (xk ) = ⎣ 0 bIy (xk )⎦ : (b (x
Ix k ) = NI (x)nkh (x)d (h = x, y)) (8)
Ask (k)
bIy (xk ) bIx (xk )
in which NI is the shape functions of the element, (k) is the integration domain and nkh is
the outward normal vector matrix on the boundary (k) and has the form
⎡ ⎤
nx 0
nk (x) = ⎣ 0 ny ⎦ (9)
ny nx
It should be noticed that for the boundary segments associated with the standard 3-node
triangular element, one Gaussian point at the midpoint of one boundary segment is enough,
while for a 5-node crack tip element more than one Gaussian point is needed.
2.3. J-integral evaluation

For a two-dimensional, planar, elastic solid including a sharp crack which is typically shown
in Fig. 4 J-integral can be defined by Ref. 7

∂ui ∂q
J=− σij − wδ1j dA (10)
AJ ∂x1 ∂xj
When σij is the stress, ui is the displacement vector referred to a Cartesian coordinate
system located at the crack tip, and w is the strain energy density. In addition, AJ is the area
enclosed by the segments J1 , − , J2 and + as shown in Fig. 4; in which − and + are
592
Figure 4. A closed paths around the crack tip.
respectively parts of bottom crack face and top crack face. Furthermore, q is a sufficiently
smooth weighting function on AJ which takes a value of unity on J1 and zero on J2 .
2.4. Numerical examples

Three geometries under the first fracture mode have been examined to investigate the prop-
erty of singular ES-FEM. These geometries are shown in Figs. 5–7. The Young modulus for
all structure is E = 2 × 107 and Poisson’s ratio ν = 0.3. All the problems have been ana-
lyzed using different methods including FEM-T3, FEM-T6, standard ES-FEM and singular
ES-FEM using one and more sub-smoothing domains (S − SD = 1,2,3,4), and the results in
terms of strain energy and displacement were studied. For the first example in addition to the
strain energy and displacement, J-integral was also studied to examine the power of singular
ES-FEM to evaluating the J-integral.
2.5. Results and discussion

The results of strain energy and displacement for the first example have been plotted in Figs. 8
and 9, respectively. The compact tension specimen has also been solved using FEM-T3, FEM-
T6 and standard ES-FEM and the results in terms of the strain energy and displacement have
been plotted in Figs. 10 and 11. Similarly the double cantilever beam under tension load
was studied and the results in terms of strain energy are shown in Fig. 12. As it mentioned
previously, the first example has been chosen to investigate the Singular ES-FEM’s power to
J-integral evaluation. The results have been depicted in Fig. 13.
Figure 5. Example 1 (Plate with a edge crack under a tension load).
593
Figure 6. Example 2 (Compact tension specimen). Figure 7. Example 3 (Double Cantilever beam).
0.00823
0.00821
0.00819
Strain energy
0.00817
FEM-T3
ESFEM-T3
0.00815
FEM-T6
Singular ES-FEM(S-SD=1)
0.00813
Reference Solution
0.00811
200 700 1200 1700 2200
DOF
Figure 8. Strain energy for the rectangular plate with an edge crack computed using different methods.
From all the results of strain energy and displacement, it can be seen clearly that the results
of the present singular ES-FEM with S − SD = 1 for each crack tip edge are much more
accurate and convergence much faster than the FEM-T3 and standard ES-FEM. Besides, by
increasing the number of smoothing cells to 2, 3 or 4 strain smoothing cells (only for the
crack tip elements) the results can be further improved. when S − SD = 2 the results are
more accurate and converge much faster not only than FEM-T3 and ES-FEM, but also even
than the FEM-T6 with standard crack tip elements. It can be also observed that there is no
significant change in the results when S − SD ≥ 2 for the each crack tip edges. Similarly, the
results of J-integral calculation shows that singular ES-FEM yields to much more accurate
results compared to the FEM-T3 ad standard ES-FEM-T3 for all cases and by increasing
the number of sub-cells from 1 to 2, further improvement in the results will be observed.
In this case the results are very closer to the analytical value in comparison with FEM-T3,
ES-FEM-T3 and even Singular ES-FEM using one sub-smoothing domain. Moreover, when
performing the integration along the lines surrounding the strain smoothing area in equation
(8) using 7 Gaussian points gives almost the same results as using 5 Gaussian points. As a
conclusion, 5 Gaussian points can be recommended for our Singular ES-FEM.
594
0.00821
0.00819
Displacement
0.00817
0.00815
FEM-T3
ESFEM-T3
FEM-T6
0.00813 Singular ES-FEM(S-SD=1)
Reference Solution
0.00811
200 700 1200 1700 2200
DOF
Figure 9. Displacements for the rectangular plate with an edge crack computed using different meth-
ods.
0.011
0.0105
0.01
0.0095
Strain energy
0.009
0.0085
0.008
0.0075 FEM-T3
ES-FEM-T3
FEM-T6
Reference Solution
0.006
800 1000 1200 1400 1600 1800 2000 2200 2400 2600 2800
DOF
Figure 10. Strain energy for the compact tension specimen computed using different methods.
1.20E-04
1.15E-04
1.10E-04
Displacement
1.05E-04
1.00E-04
9.50E-05
FEM-T3
ES-FEM-T3
9.00E-05 FEM-T6
8.50E-05 Singular ES-FEM(S-SD=3)
Reference Solution
8.00E-05
1000 1200 1400 1600 1800 2000 2200 2400 2600 2800
DOF
Figure 11. Displacement for the compact tension specimen computed using different methods.
595
4.10E-04
4.00E-04
3.90E-04
Strain energy
3.80E-04
3.70E-04
FEM-T3
3.60E-04 ES-FEM-T3
FEM-T6
3.50E-04 Singular ES-FEM(S-SD=2)
FEM-T6-VERY FINE MESH
3.40E-04
700 900 1100 1300 1500 1700 1900
DOF
Figure 12. Strain energy for the cantilever beam computed using different methods.
0.95
0.9
Normalized J
0.85
FEM-T3
0.8
ES-FEM-T3
Singular ES-FEM (S-SD=1,GP=5)
0.75 Singular ES-FEM (S-SD=2,GP=5)
Analytical Solution
0.7
100 600 1100 1600 2100
DOF
Figure 13. Normalized J-integral calculated by different methods.
3. Conclusions
The following conclusions are deduced from the experimental results:
• The singular ES-FEM have much more accurate results in term of the strain energy,
displacements in comparison with the standard ES-FEM-T3, FEM-T3 and even
FEM-T6 with the standard 6-node crack tip elements.
• Increasing the number of sub-smoothing domains from one to two can yield to some
improvement between the results. However, for S-SD>2 the results do not consider-
ably change.
• The singular ES-FEM works well with the J-integral. Using one strain smoothing
domain and 2 sub- smoothing domains presents excellent results in comparison with
FEM-T3 and ES-FEM-T3.
• We now, for the first time, have a basically linear displacement method, singular
ES-FEM, that works very well for simulating desired singular stress field.
596
Acknowledgements
“This work is partially supported by A*Star, Singapore (SERC Grant No: 052 101 0048)”. It
is also partially supported by the Open Research Fund Program of the State Key Laboratory
of Advanced Technology of Design and Manufacturing for Vehicle Body, Hunan University,
P.R. China under the grant number 40915001.”
References
1. Liu, G.R., Dai, K.Y. and Nguyen, T.T., “A smoothed finite element method for mechanics prob-
lems”, Computational Mechanic, 39, 2007, pp. 859–877.
2. Liu, G.R., Nguyen, T.T., Nguyen, X.H. and Lam, K.Y., “A node-based smoothed finite element
method for upper bound solution to solid problems (NS-FEM)”, Computers and Structures, 87,
2009, pp. 14–26.
3. Puso, M.A. and Solberg, J., “A stabilized nodally integrated tetrahedral”, International Journal for
Numerical Methods in Engineering, 67, 2006, pp. 841–867.
4. Puso, M.A., Chen, J.S., Zywicz, E., Elmer and W., “Meshfree and finite element nodal integration
methods”, International Journal for Numerical Methods in Engineering, 74, 2008, pp. 416–446.
5. Nagashima, T., “Node-by-node meshless approach and its applications to structural analyses”,
International Journal for Numerical Methods in Engineering, 46, 1999, pp. 341–385.
6. Liu, G. R., Nguyen-Thoi, T. and Lam, K. Y., “An edge-based smoothed finite element method (ES-
FEM) for static free and forced vibration analysis”, Journal of Sound and Vibration, 320, 2009, pp.
1100–1130.
7. Li, F. Z., Shih, C. F. and Needleman, A., “A comparison of methods for calculating energy release
rates”, Engineering Fracture Mechanics, 21, 2, 1985, pp. 405–421.
597
Modeling of Three-Dimensional Hydrofracture in Permeable
Rocks Subjected to Differential Far-Field Stresses
L.C. LI∗ , C.A. TANG, G. LI AND Z.Z. LIANG

School of Civil and Hydraulic Engineering, Dalian University of Technology, Dalian 116024, China
1. Introduction
Hydraulic fracturing is one of the most important stimulation techniques of the energy indus-
try. Other applications of hydraulic fracturing include the disposal of waste drill cuttings
underground, heat production from geothermal reservoirs, goafing and fault reactivation in
mining, and the measurement of in situ stresses.1
Since the pioneering work by Khristianovic and Zhelto, there have been numerous contri-
butions on the analysis of hydraulic fracturing. The early efforts naturally focused on analyti-
cal solutions for fractures of simple geometry, either straight in plane strain or penny-shaped.
However, as pointed by Savitski,2 all these solutions are approximate as they contain strong
assumptions about either the opening or the pressure field.
In recent years, the limitations of analytical models have shifted the focus of research
towards the development of numerical algorithms to model the three-dimensional propaga-
tion of hydraulic fractures. In the 3D modelling, fracture geometry models can be classified
as pseudo-three-dimensional (P3D) and three-dimensional (3D). P3D models were developed
in the 1980s, and extended the work of Simonson et al. to multiple layers. P3D models are
a crude, yet effective, attempt to capture the physical behavior of a planar 3D hydraulic
fracture at minimal computational cost. There have also been attempts to model fully 3D
hydraulic fractures with limited success.1,3 A number of open questions still need to be prop-
erly addressed in the modeling of hydraulic fractures. These include: (i) how to efficiently
model 3D or “out of plane” effects. The success of fracture stimulation is largely dependent
on the shape and the propagation behavior of the created hydraulic fracture. A recent trend
is therefore to develop coupled non-planar fracture models and their use for interesting para-
metric studies to understand the complex fracture growth; (ii) related to (i), how better to
develop an efficient and physically realistic code for 3D modelling. Although the computa-
tional burden on 3D model systems is excessive, 3D models are essential in both complex
situations and the validation of the pseudo-three-dimensional models (P3D); (iii) the influ-
ence of heterogeneity in rock on the fracture pattern or hydraulic fracture path cannot be
taken into account in most of the existing flow-coupled models. It is well known that rock is
a heterogeneous geological material containing many natural weaknesses. When rock is sub-
jected to hydraulic loading, these pre-existing defects can induce crack or fracture growth,
which can in turn change the structure of the rock and alter the fluid flow properties of
the rock.4
As a contribution towards the recent trend that more and more coupled non-planar frac-
ture models is develop and used for hydraulic fracturing studies, a 3D model based on Tang’s
work4 is proposed in this paper. The governing equations and the solution strategy are
described. Example simulations are presented.
∗ Corresponding author. E-mail: li_lianchong@163.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0104 599
2. Outline of the Improved Flow-Stress-Damage (FSD) Model

In this study, a numerical code, RFPA3D based FEM, is employed to conduct the numeri-
cal test. The heterogeneity in rocks can be taken into account by assuming the mechanical
parameters randomly distributed according to the Weibul’s function through Monte-Carlo
method.4 The fluid pressure in rock mass and its changes in time and space are one of the
basic factors affecting rock stability. The fundamental assumption behind the model pre-
sented here is that the rock is fully saturated and the flow of the fluid (water) is governed
by the Biot’s consolidation theory. As isotropic conditions are considered for the hydraulic
behavior at the elemental scale, according to the Darcy’s law of seepage flow in porous media,
the following equation of the isothermal seepage flow in rock mass can be obtained.
∂p ∂εv
k · ∇ 2p = S −α (1)
∂t ∂t
where k = permeability, p = pore pressure, S = Biot coefficient, a = Biot’s coefficient and
εv = volumetric strain.
The equations of equilibrium and the strain-displacement relations can be expressed as
+
σij,j fi = 0 (2)
1
εij= (μi,j + μj,i) (3)
2
where fi = component of body force and ui = component of displacement in the i-direction.
The governing equations for mathematical model of an isotropic linear poroelastic medium
deformation considering the fluid pore pressure can be expressed as
(λ + G)μj,ji + Gμi,jj + fi + (αp),i = 0 (4)
where λ = Lame’s constant, G = shear modulus, δij = Kronecker delta.

The elastic damage constitutive law of element under uniaxial compressive stress and ten-
sile stress is illustrated in Fig. 1. When the stress of the element satisfies the strength criterion
(such as the Columb crierion), the element begins to fail. In elastic damage mechanics, the
elastic modulus of element may degrade gradually as damage progresses, and the elastic
modulus of damaged material is defined as
E = (1 − D)E0 (5)
where D = damage variable, E = elastic modulus of the damaged materials and E0 = elastic
modulus of the undamaged materials.
According to different failure modes, damage variable D can be described as following.
When the tensile stress in an element reaches its tensile strength σt , that is σ3 > σt , the
damage variable can be described as
⎧
⎪
⎨0 (ε < εt0 )
1−σrt
D= εE (εt0 ≤ ε ≤ εut ) (6)
⎪
⎩ 0
1 (ε > εut )
The parameters in above equation are defined in Fig. 1(a). The variation of damage variable
is obtained when the element is subjected to uniaxial tensile stress. In RFPA3D code, rock
specimens are subjected to 3-D stress loading, according to Mazars investigation, we extend
600
it from one dimensional damage model to a 3-D model. In Mazars study, effective strain can
be defined as

ε = ε1 2 + ε2 2 + ε3 2 (7)
where ε1 , ε2 , and ε3 are principle strains and x is a function and it can be defined as

x x≥0
x = (8)
0 x<0
In order to describe the element damage under compressive or shear stress condition, we
choose the Mohr-Coulomb criterion as the second damage criterion
1 + sin φ
σ1 − σ3 ≥ σc (9)
1 − sin φ
where φ = friction angle; σc = uniaxial compressive strength. The damage variable under
uniaxial compression is described as

0 ε1 < εc0
D= 1−σrc (10)
1 − E0 ε1 ε1 ≥ εc0
where σrc = compressive residual strength and εc0 is can be described in Fig. 1(b).
In the mathematical model, the stress is directly associated with the changes of permeability
of rock. During elastic deformations, rock permeability decreases when the rock compacts,
and increases when the rock extends. Most of the theories regarding stress induced variation
of permeability are only valid in pre-failure region. The permeability variation for an intact
rock element (when D = 0) in elastic state can be described as

σii /3 − p
ke = k0 exp −β (11)
H
where the k0 = initial permeability of rock element, β = coupling coefficient, H = Biot’s
coefficient and σii /3 = average total stress.
However, it is noted that when a rock element is loaded to a state where macro frac-
tures begin to form, the permeability will undoubtedly increase dramatically. This is one
of the important concerns in the model. In the post-peak stage, dramatic change in rock
permeability can be expected as a result of generation of numerous micro fractures. There
remains the difficulty of determining the permeability of the fractured material. In order to
apply appropriate post-peak hydraulic characteristics, the use of a strain-based formulation
ε ut ε t0 σ
ε 0
σc
σ rt
σ rc
σt
ε c0 ε1
(a)tensile mode (b)compressive mode
Figure 1. Elastic damage constitutive law for element.
601
Intact rock
element b
b
b
Figure 2. Schematic illustration of permeability of a rock element under due to brittle failure.
for permeability variation is more suitable.5 We assume that a damaged rock element may
be represented hydraulically as a unit of rock containing three orthogonal fractures. This is
shown conceptually in Fig. 2. Assuming that the three fractures are planar and have parallel
sides, the aperture of the fractures is approximately given by
√
3

V εv V εv V
b≈ 2 ≈ √3
= (12)
3l 3 V2 3
where
V is the change of volume of the element due to dilatation, and l is the side length
of the element before dilatation. The so-called cubic law gives the flow rate between smooth
parallel plates as
b3 ρl g b3 ρl g
H
q= Jf = (13)
12μl 12μl l
where
H is the fluid (water) head loss across the two ends of the conduit, μl is the viscosity
coefficient of the fluid, b is the aperture, l is the length of the plates in the direction of the
flow, and g is the acceleration due to gravity. In Eq. 13, the hydraulic conductivity is given
by the term b2 ρl g/12μl . Therefore the hydraulic conductivity for a damaged rock element
(when D > 0) can be expressed as
√
3
b2 ρl g V 2 ρl g 2
kd = = ε (14)
12μl 108μl v
In RFPA3D, we rely on FEM parallel computing to perform the seepage and stress analysis
of the model. Linear elastic calculating is implemented with a library package MPI (Message
Process Interface) and Fortran 77 language. The stress is then examined and those elements
that are strained beyond the pre-defined strength threshold level are assumed to be dam-
aged irreversibly. For a damaged element, the element stiffness and strength will be reduced
whereas its permeability will be changed accordingly. The model with new parameters will
be re-analyzed. The number of failed elements and associated energy released, which can be
treated as indicators of the acoustic emission (AE) activities accompanying the failure, are
also numerically simulated.4
602
3. Numerical Simulation and Discussion

3.1. Discussion of test results
Numerical simulations of a number of cases have been performed to investigate the behav-
ior of the propagated fracture geometry from the wellbore under different stress regimes.
A hydraulic fracturing section is located at the center of a wellbore of 40 mm diameter as
shown in Fig. 3. The wellbore is assumed to be located in a block of 1000mm×1000mm×
1200 mm dimensions, which has been discretized into a 100×100×120 (1,200,000) ele-
ments. Hydraulic pressure is applied along the boundary of the interior hole of hydrofrac-
turing section. The rate of pressurization is kept constant throughout the numerical tests at
0.2 MPa/step. Four different cases are simulated to illustrate the influence of far-field stress
on the hydraulic fracturing behavior. The applied far-field stresses are shown in Table 1, with
the borehole axis aligned with one of the far-field stress directions. The properties of the rock
and fluid are given in Table 2.
50mm
Hydrofracturing
section
Figure 3. Schematic of the numerical model.
Table 1. Far-field stress for the four cases.

σx (MPa) σy (MPa) σz (MPa)
Case 1 1 1 4
Case 2 4 4 1
Case 3 1 3 5
Case 4 1 1 1
Table 2. Mechanical parameters for numerical simulation.

Elastic Compressive Tension Friction Poisson’s Coefficient of
modulus strength strength angle (deg) ratio permeability
(MPa) (MPa) (MPa) (cm/s)
8000 100 10 30 0.25 1e-10
603
3.2. Discussion of test results

Figure 4 shows the evolution of pore pressure during the hydraulic fracturing process of
Case 1 (at section Z = 625 mm). Generally speaking, there is no preferential location along
the wellbore wall for the fracture to initiate since the geometry of the sample is symmetri-
cal, and the magnitude of far-field stresses σx and σy is equal. Therefore, the location and
orientation of the fracture initiation is unpredictable. Typically three stages of the hydraulic
fracturing process are noted. They are:
1. Elastic deformation leading to fracture initiation. In this stage, stresses accumulate

(step = 1–37), as the internal pressure increases. A fracture was initiated along the pre-
ferred direction first, i.e. along σz . The height (diameter) of the initiated fracture mouth at
the wellbore wall was 50 mm, which was then propagated stepwise. Pressures developed
at the fracture mouth during fracture propagation.
2. Stable fracture propagation. In the second stage, cracks propagate stably (step = 38–57,
is defined as the state of cracks propagated under continually increasing hydraulic pres-
sure). Due to the further increase in the borehole pressure, the diameter of the borehole
Step =38 Step =53 Step =58 fracture location
Figure 4. Hydraulic fracturing mode of case 1.
Figure 5. Pore pressure contour. Figure 6. Minimum principal stress contour.
604
p p g y
(a) hydraulic fracturing mode of case 2

(b) hydraulic fracturing mode of case 3
(c) hydraulic fracturing mode of case 4
Figure 7. Hydraulic fracturing process and the final failure pattern of case 2, 3 and 4.
continues to increase, and hence to widen the fracture and drive the fracture to propa-
gate. A planar fracture parallel to σ z came into being gradually.
3. Fracture growth leading to breakdown. In the third stage, cracks propagate unstably
(step = 58, is defined as the state of cracks propagated without increasing hydraulic
pressure). Beyond step 58, the pressure reaches its peak level (breakdown pressure Pb =
11.6 MPa), which indicates the unstable propagation without increasing pressure. Fig-
ures 5 and 6 are pore pressure and corresponding minimum principal stress contour
under breakdown pressure. As the fracture initiated and propagated, the highest tensile
stresses immediately concentrated at the immediate vicinity of the fracture edge.
Figure 7 is the numerical results for the case 2, 3 and 4. The fracture pattern closely
resembles the experimentally observed hydraulic fracture path obtained in hydraulic frac-
ture tests.6 From the figures, one can conclude that the propagation of hydraulic fractures is
controlled by the far-field stress orientation and pre-existing field of defects. The hydraulic
fracture deterministically selects a path of least resistance through the material with statistical
605
p p g y
Figure 8. AE location at different visual angle during the hydraulic fracturing process in case 4.
Figure 9. AE counts with load step.
features, and the random location of the individual inhomogeneities results in an irregular
hydraulic fracture trajectory. In reality, a perfect transverse fracture (in other words a perfect
planar fracture perpendicular to any stress direction) is not possible in highly heterogeneous
reservoir rock. As soon as the fracture goes slightly out of plane, the shear component starts
developing to reorient the fracture further towards the preferred direction for fracture prop-
agation with minimum resistance. For example, though the cracks in case 1, 2 and 3 initiate
and propagate in a plane, they branch out after growing for a short distance. One can also
note that isolated fractures also open within the rock mass. Such fractures should repre-
sent the existence of weak elements. Figures 7(c) indicate multiple major traces without any
preferred orientations are formed. There are significant branching and isolated fracturing.
Comparison of the present results with experiments6 shows that the present model can pre-
dict the initiation and development of fractures fairly accurately. These results indicate that
the crack pattern depends on the homogeneity when the far-field stress ratio is close to one.
AE location in case 4 is shown in Fig. 8. One can note that although a few events are still
occurring throughout the volume of the sample, most events are clustered near the nucle-
ation zone in the central part of the sample. The AE counts during fracture propagation are
plotted in Fig. 9. The results clearly show that the fracture initiated along the non-preferred
direction (Case 4) requires relatively high pressure for propagation. This indicate that the
fractures propagate unstably once initiated, which agree well with the point, concluded by
606
Detournay and Carbonell,7 that at slow pressurization rates and uniform far-field stress con-
dition fracture initiation always results in unstable propagation.
4. Conclusions
It is a very general perception that the fracture initiated in the non-preferred direction and
plane turns and twists during propagation and tends to be aligned with the preferred direc-
tion and plane. However, if a perfectly planar fracture is perfectly oriented along the non-
preferred direction, theoretically the fracture should propagate in plane though may require
higher pressure than that for the fracture in the preferred direction. In the field, however, the
rock formation is extremely heterogeneous which is more likely to induce out of plane frac-
ture growth. It is very important to optimize the well trajectory, perforation direction and
fracture configurations for a given stress condition in the field to avoid the treatment failures
related to complex fracture growth.
A number of cases studies have been successfully conducted by the numerical tool, RFPA3D .
The phenomenological approach has rightly facilitated the coupled fluid flow and deforma-
tion analysis capability that is crucial to accurately model the fluid driven propagating behav-
ior of hydraulic fractures. Although many of the conclusions that are given here may even be
common sense, the reproduction of these phenomena in a numerical simulation is significant
for several reasons. Firstly, to the best knowledge of the authors, no convenient experimental
method has been available for obtaining the stress or strain field during the hydraulic frac-
turing process until now. Numerical simulation provides supplementary information on the
failure-induced stress redistribution. Secondly, although the AE technique has been used to
monitor micro-fracturing in rocks for many years, very few theoretical methods have been
available to simulate the locations of AE event sources. The numerical simulation of AE
provides a further means by which to check results that are obtained with AE techniques.
Finally, and most importantly, the successful reproduction of experimentally observed failure
phenomena with a numerical method will help us to make further progress in the field of
hydraulic fracturing.
Acknowledgements
The study presented in this paper was jointly supported by grants from the China National
Natural Science Foundation (Grant Nos. 50820125405, 40638040 and 50804006) and the
National Basic Research Program of China (Grant No. 2007CB209404).
References
1. Adachi, J., Siebrits, E., Peirce, A. and Desroches, J., “Computer simulation of hydraulic fractures”,
Int. J. Rock Mech. & Min. Sci., 44, 2007, pp 739–757.
2. Savitski, A.A. and Detournay, E., “Propagation of a penny-shaped fluid-driven fracture in an
impermeable rock: asymptotic solutions”, Int. J. Solids Struct., 39, 2002, pp 6311–6337.
3. Mofazzal Hossain, Md. and Rahman, M.K., “Numerical simulation of complex fracture growth
during tight reservoir stimulation by hydraulic fracturing”, J. Pet. Sci. Eng., 60, 2008, pp 86–104.
4. Tang, C.A., Tham, L.G., Lee, P.K.K., Yang, T.H. and Li, L.C., “Coupled analysis of flow, stress
and damage (FSD) in rock failure”, Int J Rock Mech Min Sci, 39, 4, 2002, pp 477–89.
5. Yuan, S.C. and Harrison, J.P., “Development of a hydro-mechanical local degradation approach
and its application to modelling fluid flow during progressive fracturing of heterogeneous rocks”,
Int J Rock Mech Min Sci, 42, 2005, pp 961–984.
607
6. Doe, T.W. and Boyce, G., “Orientation of hydraulic fractures in salt under hydrostatic and non-
hydrostatic stress”, Int. J. Rock Mech. Sci. Geomech. Abstr, 26, 6, 1989, pp 605–611.
7. Detournay, E. and Carbonell, R., “Fracture mechanics analysis of breakdown process in minifrac
or leak-off tests”, Proceeding of Eurock 94, Rotterdam: Balkema, 1994, pp 399–407.
608
Crack Propagation Analysis Using Wavelet Galerkin Method
S. TANAKA1,∗ , S. OKAZAWA1 AND H. OKADA2

1 Graduate School of Engineering, Hiroshima University
2 Faculty of Science and Technology, Tokyo University of Science
1. Introduction
In this paper, crack propagation analyses using wavelet Galerkin method are presented.
Wavelet Galerkin method is one of the methodology to solve partial differential equations.
Scaling function and wavelet function are used as the basis function in Galerkin formula-
tion. The wavelet functions have the so-called multiresoution properties. High spatial reso-
lution wavelet functions can be superposed where high stress concentration region such as
hole edges or crack tips. In this study, B-spline scaling function/wavelet function are used
as the wavelet Galerkin basis functions to solve two dimensional crack propagation anal-
yses. B-spline scaling function/wavelet function are piecewise polynomial function and are
compact support basis functions. The B-spline wavelet basis functions are tractable to solve
solid/structural analyses in the Galerkin formulation because the integration and differenti-
ation operations are relatively easy.7 On the other hand, there are some difficulties to treat
discontinuous displacement of crack faces because displacement continuity is assumed in the
wavelet Galerkin method. Then, new enrich functions based on the concept of X-FEM1,3 are
introduced as the wavelet Galerkin basis functions to represent displacements discontinuity
of crack faces and near crack tip asymptotic solution. Stress intensity factors (SIFs) calcula-
tion for the two dimensional mixed-mode crack problems are carried out by the interaction
integral method8 . The interaction integral method can split KI and KII components of SIFs
from energy release rate obtained by J-integral.
To proceed crack propagation analyses, crack grows angle θ ’ and crack growth rate a are
important parameters. In this study, crack angle θ ’ is determined by the maximum circumfer-
ential criterion2 and crack growth rate a is assumed constant. In this paper, mathematical
formulations of the wavelet Galerkin method and strategy for the crack propagation anal-
ysis is presented. Two dimensional crack propagation analysis is presented as a numerical
example.
2. Crack Propagation Analysis Using B-Spline Wavelet Galerkin Method

2.1. B-spline wavelet Galerkin method
In this chapter, mathematical formulation and discretization to the B-spline wavelet Galerkin
method for two dimensional crack problems are presented. Illustrations of B-spline wavelet
Galerkin discretization are shown in Fig. 1. B-spline wavelet Galerkin method can consider as
a one of the fixed grid finite element analyses. In the B-spline wavelet Galerkin method, solid
or structure are discretized by equally spaced structured cells. The interpolation functions
(B-spline scaling function/wavelet) are periodically located along the coordinate axes. Sub-
cell approach is adopted to accurately represent boundary of body or hole edges. The high
resolution wavelet function are superposed where high stress concentration region such as
hole edge or crack tips. Gauss integration is carried out to the cell or sub-cells to integrate
∗ Corresponding author. E-mail: satoyuki@hiroshima-u.ac.jp

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0108 609
(a) (b)
Figure 1. B-spline wavelet Galerkin discretization to the two dimensional crack problem [(a) 2D
boundary value problem to be solved, (b) B-spline wavelet Galerkin discretization].
stiffness matrices. Linear B-spline scaling function/wavelet used in this study are shown in
Fig. 2.

(a) (b)
Figure 2. Basis functions of B-spline wavelet Galerkin method [(a) Linear B-spline scaling function,
(b) Linear B-spline wavelet function].
(a) (b)
Figure 3. B-spline wavelet Galerkin discretization of near crack tip region [(a) Illustration of near
crack tip region, (b) B-spline wavelet Galerkin discretization].
610
B-spline wavelet Galerkin discretization of near crack tip region is shown in Figs. 3(a) and
3(b). In the Bspline wavelet Galerkin analyses, displacements can represent by superposing
scaling function and different length scale wavelets. Level m+1 displacement uwx
m+1 (x) for two
dimensional crack problems are shown as,

3
uwx
m+1 (x) = m,k,1 (x)um,k,1 + i
m,k,1 (x)vim,k,1 + H(x)m,k,1 (x)bm,k,1
k,1 i=1 k,1 k,1∈Js

4
3
4
+ m,k,1 (x) γn (x)cnm,k,1 + i
m,k,1 (x) n
γn (x)dm,k,1 (1)
k,1∈Cs n=1 i=1, 1∈Cw n=1
The first term m,k,1 (x) is level m linear B-spline scaling function and um,k,1 is their coef-
1
ficient (k, l is position of the scaling function), second terms m,k,1 2
(x), m,k,1 3
(x), m,k,1 (x)
are level m linear B-spline wavelet function and v1m,k,1 , v2m,k,1 , v3m,k,1 are their coefficients,
respectively. The third term of equation (1) is enrich function to represent discontinuity dis-
placements of crack faces. Here, H(x) is Heaviside step function as,

1 ∈ +
H(x) = (2)
−1 ∈ −
where + and − are upper and lower region of crack faces shown in Fig. 3(a). bm,k,1
are their coefficient and k, l are location of the enrich function. The discontinuous enrich
function is located on the triangle nodes in Fig. 3(b). The forth term and fifth term are enrich
functions to represent near crack tip asymptotic solution for the scaling function m,k,1 (x)
and wavelet functions m,k,1
1 (x), m,k,1
2 3
(x), m,k,1 (x), respectively. The function γi (x) (i =
1,2,3,4) represents near crack tip asymptotic solution of elastostatic crack tips as,
√ θ √ θ √ θ √ θ
γ1 (x) = r cos , γ2 (x) = r sin , γ3 (x) = r sin sin θ , γ4 (x) = r cos sin θ , (3)
2 2 2 2
where (r,θ ) is polar coordinate with the origin at the crack tip shown in Fig. 3(a). Enrich
function of the forth and fifth term are located in the radius re corresponds to square nodes
Cs and cross nodes Cw in Fig. 3(b).
The linear B-spline wavelet function shown in Fig. 2(b) did not have the so-called Kro-
necker delta property, penalty formulation are adopted to prescribe the displacement bound-
ary condition. The principle of virtual work for the penalty formulation are shown as,

ε(δuwx ):D:ε(uwx )d − δuwx · t̄d
t + α δuwx · (uwx − ū)d
u = 0 (4)

t
u
where, uwx , δuwx are the displacement and its variation and ε(uwx ), ε(δuwx ) are the strain
components and its variation. D is elastic tensor, α is penalty parameter. The displacements
uwx
m+1 (x) of eq. (1) into eq. (4), we obtain the simultaneous linear equation as,
(K + Kα )Uwx = f + fα (5)
where Uwx is unknown vector, K is global stiffness matrices and f is right hand side vector.
Kα and fα is stiffness matrices and right hand side vector of penalty formulation.
Enrich functions of eq. (1) have the discontinuous function or trigonometric function.
Spatial integration rule is needed. In this study, sub-cell integration scheme is adopted shown
in Fig. 3(b). 2×2 integration are adopted to each sub-cells.
611
2.2. Calculation of stress intensity factors

In this chapter, calculation of stress intensity factors for the two dimensional mixed-mode
crack problems is presented. Illustration of interaction integral method is shown in Fig. 4. The
interaction integral method8 can evaluate the SIFs KI and KII by splitting the energy release
rate obtained by J-integral.6 We consider two independent equilibrium state of an elastic
(1) (1) (1) (2) (2) (2)
solid. One is actual state 1 J(1) (ui ,εij ,σij ) and the other is auxiliary state J(2) (ui ,σij ,σij ).
The auxiliary state is determined by the asymptotic solution of elastostatic crack problems.
(1+2) (1+2) (1+2)
The superimposed state J(1+2) (ui ,εij ,σij ) are assumed by the sum of two states as,
(1+2) (1+2) (1+2) (1) (1) (1) (2) (2) (2)

J(1+2) (ui ,εij ,σij ) = J(1) (ui ,εij ,σij ) + J(2) (ui ,εij ,σij ) + I(I+2) (6)
where third term on the right-hand side I(1+2) is interaction integral of state 1 and state 2.
The interaction integral I(1+2) can be written as,
(2) (1)

(1+2) (1) ∂ui (2) ∂ui (1+2) ∂q(x)
I = σij + σij −W δ1j dA (7)
A ∂x1 ∂x1 ∂xj
where the local coordinate x1 are taken to be parallel

to the crack faces and nj is normal in
(1) (2) (2) (1)
Fig. 4 (b). In eq. (7), W (1+2) σij εij = σij εij is interaction strain energy. Function q(x) is
continuous function and has the property q(x) = 1 on
1 and q(x) = 0 on
0 . In B-spline
wavelet Galerkin discretization, the function q(x) is defined in the circle of radius R, the
centre located on the crack tip as shown in Fig. 4(c).
The interaction integral in eq. (7) can be written to be,
2 (1) (2) (1) (2)

I(1+2) = K K + K K (8)
E I I II II
(1) (1) (2) (2)

where KI , KII and KI , KII are stress intensity factors for state 1 and state 2. E’ is Young’s
modulus,
⎧
⎨ E, for plane strain
E = E (9)
⎩ for plane stress
1−v

(a) (b) (c)
Figure 4. Illustration of interaction integral method [(a) superposition of two states, (b) domain inte-
gral region, (c) definition of q(x) function].
612
(2)
where ν is Poisson’s ratio. If the state 2 (auxiliary state) is chosen pure mode I (KI =
(2)
1, KII = 0), we obtain the mode I SIF of the state I (actual state) as,
(1) E (1+2)
KI = I . (10)
2
(2) (2)
Otherwise, if the auxiliary state is chosen pure mode II (KI = 0, KII = 0), the mode II SIF
for state 1 are determined as,
(1) E (1+2)
KII = I . (11)
2
2.3. Procedure of crack propagation analysis

In this chapter, procedure of crack propagation analysis using wavelet Galerkin method is
presented. Flowchart of crack propagation analysis is shown in Figure 5 (a). The procedures
are follows, (a) analysis of initial cracks are carried out, (b) calculation of SIFs KI and KII of
the cracks are employed, (c) determine crack length a and crack propagation angle θ ’ from
the SIFs (d) crack definition and enrich function relocation are employed in accordance with
crack geometry, and (e) analysis of the cracks are carried out again. Procedures from (b) to
(e) are carried out repeatedly for finite steps. In this study, the crack length a is assumed
constant, and maximum circumferential criterion is used to obtain crack propagation angle
θ ’. The angle θ ’ are obtained by eq. (12) from SIFs KI, KII,

1 K K
θ = 2 tan−1
I I
± +8 . (12)
4 KII KII
Crack propagation analysis for edge crack in rectangular plate with a hole is carried out.
Illustration of the rectangular plate is shown in Fig. 6(a). Dimension of the plate is 2W =
100 (mm), 2H = 150 (mm). Diameter of the hole is D = 20 (mm). The initial edge cack length

(a) (b)
Figure 5. Crack propagation procedure for the wavelet Galerkin method [(a) Flowchart of crack
propagation analysis, (b) Determination of crack propagation angle θ’ and crack propagation velocity
a].
613
(a) (b) (c)
Figure 6. Crack propagation analysis for edge crack of rectangular plate [(a) Rectangular plate to be
solved, (b) Crack path and location of enrich function, (c) Comparison of crack paths].
is a = 20 (mm). Distance between initial crack tip and hole edge is L = 15 (mm). Plane stress
condition is assumed in this analysis and Young’s modulus E = 3300 (MPa), Poisson’s ratio
ν = 0.33 are used as the material data. Uniform tension load 1.0 (MPa) is enforced on the
left side of the plate.
The rectangular plate is divided 243×162 equally spaced structured cells. 2×2 gauss
quadrate rule is adopted to each cells to integrate the stiffness matrices. To accurately rep-
resent hole edge, the cells near the edge are divided 32×32 sub-cells and no integration is
carried out to the centre of sub-cells located in the hole.
Two kinds of crack growth rate (a = 1.5 (mm), a = 3.0 (mm)) are used. Crack path
and location of enrich functions are shown in Fig. 6(b). In this analysis, enrich function to
represent near crack tip asymptotic solution of the scaling function and wavelet function in
eq. (1) are located internal area re = 1.35 (mm) from crack tip. As the crack growth, the crack
tip approaches to the hole edge. Crack paths for (a = 1.5 (mm), a = 3.0 (mm)) shown
in Fig. 6(c) are compared with numerical result of.9 These analyses are good agreement with
the conventional numerical result.
4. Conclusion
In this study, B-spline wavelet Galerkin analysis for the two dimensional elastostatic crack
propagation analysis is adopted. To represent crack geometry, enrich functions are intro-
duced in the B-spline wavelet Galerkin displacement function. Interaction integral method is
used to calculate stress intensity factors for two dimensional mixed-mode crack problems.
Maximum circumferential criterion is adopted to predict the crack angle. Crack propaga-
tion analysis for rectangular plate with a hole is presented. The numerical results are good
agreement with the conventional numerical results.
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9. Norikura T., Murakami Y., Application of the body force method to the analysis of stress intensity
factors and the prediction of crack propagation path under two-dimensional mixed boundary
conditions, Transactions of the Japan Society of Mechanical Engineers, A, 49–443, 1983, pp. 818-
828.
615
Simulation of Multiphase Fluid Motion in Pore-scale Fractures
M.B. LIU1,∗ AND J.Z. CHANG2

1 Institute of Mechanics, Chinese Academy of Science, Beijing 100190, China
2 School of Mechatronic Engineering, North University of China, Taiyuan, Shanxi 030051, China
1. Introduction
Small scale environmental and geophysical flows are very important, but are usually difficult
to simulate because of the associated multiple fluid phases and multiple physics, as well as the
existence of complex geometries and arbitrarily moving interfaces. For example, fluid motion
in the vadose zone is very critical for groundwater recharge, fluid motion and contaminant
transport. Flow through fractures and fractured porous media can lead to exceptionally rapid
movement of liquids and associated contaminants.1,2 The physics of fluid flows in unsatu-
rated fractures and porous media is still poorly understood due to the complexity of multiple
phase flow dynamics. Experimental studies of fluid flow in fractures and fractured porous
media are limited, and in computer simulations it is usually difficult to take into account the
fracture surface properties and microscopic roughness. A broadly applicable model must be
able to simulate a variety of phenomena including film flow with free surfaces, stable rivulets,
snapping rivulets, fluid fragmentation and coalescence (including coalescence/fragmentation
cascades), droplet migration and the formation of isolated single-phase islands trapped due
to aperture variability.
Realistic models for multiphase fluid flows in fracture and fractured porous media must be
able to handle moving interfaces, large density ratios (e.g., ≈1000:1 for water and air), and
large viscosity ratios (e.g., ≈100:1 for water and air). These requirements combined with
the complex geometries of natural fractures present severe challenges to mechanistic mod-
els. Grid based numerical methods such as finite difference methods, finite volume methods
and Eulerian finite element methods require special algorithms to treat and track the inter-
face between different phases. However, continuum grid based numerical models usually do
not take account of the detailed void and obstacle geometries, fluid-fluid interface dynam-
ics within pores and complex fluid-fluid-solid contact line dynamics. They rely on consti-
tutive equations that describe the coarse-grained behaviour and can, at least in principle,
be derived from the results of pore scale simulations or experiments. Therefore, small-scale
simulations with mechanistic models are needed to develop a better understanding of the
temporal and spatial dynamics of multiphase flow through pore-scale structures such as frac-
tures and fractured porous media. Pore-scale flows have been studied extensively using grid
based methods including finite difference method,3 finite volume method,4 and finite element
method,5 However, due to the difficulties associated with geometrically complex boundaries,
fluid-fluid-solid contact line dynamics, and fluid-fluid interface dynamics, it is difficult to
apply conventional grid based multiphase simulation methods coupled with interface track-
ing algorithms to pore-scale multiphase flow modelling.
Dissipative particle dynamics is a meso-scale particle method. Though it may be less com-
putationally efficient than the grid-based methods, it is advantageous in simulating pore-scale
multiphase flow modelling in fractures. DPD is a Lagrangian method, and conserves mass
exactly. In DPD method, there is no explicit interface tracking — the motion of the fluid is
represented by the motion of the particles, and fluid surfaces or fluid-fluid interfaces move
∗ Corresponding author. E-mail: liumoubin@imech.ac.cn

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0126 617
with the particles. In this paper we will demonstrate the application of the DPD in simulating
multiphase fluid flow in fractures with a number of numerical examples.
2. Basic Concept of Dissipative Particle Dynamics

Dissipative particle dynamics6,7 is a relatively new mesoscale technique that can be used to
simulate the behaviour of complex fluids. In DPD simulations, a complex system can be sim-
ulated using a set of interacting particles. A particles represent clusters of molecules that inter-
act via conservative (non-dissipative), dissipative and fluctuating forces. Because the effective
interactions between clusters of molecules are much softer than the interactions between indi-
vidual molecules, much longer time steps can be taken relative to molecular dynamics (MD)
simulations. A longer time steps combined with a larger particle size makes DPD much more
practical to simulate hydrodynamics than MD. DPD is particularly promising for the sim-
ulation of complex liquids, such as polymer suspensions, liquids with interfaces, colloids
and gels. Because of the symmetry of the interactions between the particles, DPD rigorously
conserves the total momentum of the system, and because the particle-particle interactions
depend only on relative positions and velocities, the resulting model fluids are Galilean invari-
ant. Mass is conserved because the same mass is associated with each of the particles, and
the number of particles does not change.
It is convenient to assume that all of the particles have equal masses, and use the mass of
the particles as the unit of mass. Newton’s second law governs the motion of each particle.
The time evolution for a certain particle, i, is given by the following equation of motion
dri dvi
= vi , = fi = fiint + fiext , (1)
dt dt
where ri and vi are the position and velocity vectors of particle i, fiext is the external force
including the effects of gravity, and fiint is the inter-particle force acting on particle i. The
particle-particle interaction is usually assumed to be pairwise additive and consist of three
parts: a conservative (non dissipative) force, FijC ; a dissipative force, FijD ; and a random force,
C
FijR , i.e. fiint = Fij = Fij + FijD + FijR . Fij is the inter-particle interaction force exerted on
j =i j =i
particle i by particle j, which is equal to Fji in magnitude and opposite in direction. This
symmetry of the interactions ensures that momentum is rigorously conserved. The pairwise
particle interactions have a finite cutoff distance, rc , which is usually taken as the unit of
length in DPD models.
The dissipative force FijD represents the effects of viscosity, and is given by FijD = −γ wD (rij )
(r̂ij gvij)r̂ij , where γ is a coefficient, rij = ri − rj , r = rij = |rij |, r̂ij = rij /rij , vij = vi − vj
and wD (rij ) is the dissipation weight function. The random force FR ij represents the effects
of thermal fluctuations, and is given by Fij = σ w (rij )ξij r̂ij , where σ is a coefficient, wR (rij )
R R
is the fluctuation weight function, and ξij is a random variable. The fluctuation-dissipation
2
relationship8 requires wD (r) = [wR (r)]2 and γ = 2kσ T , where kB is the Boltzmann constant
B
and T is the temperature. One straightforward choice for the dissipative and random weight
functions is wD (r) = [wR (r)]2 = (1 − r)2 , r < 1.
The conservative force, FijC , is a “soft” interaction acting along the line of particle centres,
and has the form FijC = aij wC (r)r̂ij , where aij is the magnitude of the repulsive interaction
strength between particles i and j. For particles from different media, the strength coefficient
can be different. wC (rij ) is the weight function for the conservative force. In previous DPD
618
implementations, a conservative force weighting function in a simple form of wC (r) = 1 − r

has been used. Because the fluid generated by DPD simulations with this purely repulsive
conservative force is a gas, it cannot be used to simulate the flow of liquids with free sur-
faces, the behaviour of bubbly liquids, droplet dynamics and other important multiphase
fluid flow processes. Including a long-range attractive component in wC (r) is necessary for
such applications.
3. Modification of the Interaction Potentianl Function

We constructed a new particle-particle interaction potential U(r) by combining the commonly
used SPH cubic spline smoothing functions W(r,rc ) with different interaction strengths A and
B, and different cutoff distances rc1 and rc2 , multiplied by an interaction strength coefficient a
U(r) = a(AW(r,rc1 ) − BW(r,rc2 )) (2)
The DPD conservative particle-particle interaction forces are thus given by FijC = −dU(r) dr
r̂ij .
The constructed interaction potential function U(r) consists of short-range repulsive and
large range attractive interactions (when A > B, and rc1 < rc2 ) and allows the behavior
of gases, liquids, solids and multiphase systems to be simulated. A certain set of parame-
ters A, B, rc1 and rc2 in equation (2) determines the shape of the particle-particle interaction
potential which describes the property of the corresponding fluid. The magnitude of the con-
servative force weight function and the location of the transition point from repulsion to
attraction should be easily adjustable to allow the behavior of different fluids to be simu-
lated. Figure 1 shows the conventional DPD potential function, U(r) = 0.5 − r − 0.5r2 ,
the cubic spline potential functions, U(r) = W(r,1.0), and two particle-particle interac-
tion potential functions resulting from the cubic spline, U(r) = 2W(r,0.8) − W(r,1.0) and
U(r) = 2W(r,0.8) − 0.9W(r,1.0).
In DPD simulations, the effects of solid walls are usually be simulated by using fixed par-
ticles to represent the solid matrix near the solid-fluid interface. In our implementation, the
1.2
U(r) = 2W(r, 0.8) - 0.9W(r, 1.0)
1
U(r) = 2W(r, 0.8) - W(r, 1.0)
0.8
0.6 U(r) = W(r, 1.0)
0.4
U(r)
2
0.2 U(r) = 0.5-(r-0.5r )
0
0
-0.2
-0.4
0 0.2 0.4 0.6 0.8 1

r

Figure 1. The conventional DPD potential function, U(r) = 0.5 − r − 0.5r2 , the cubic spline
potential functions, U(r) = W(r,1.0), and two potential functions resulting from the cubic spline,
U(r) = 2W(r,0.8) − W(r,1.0) and U(r) = 2W(r,0.8) − 0.9W(r,1.0).
619
entire computational domain is covered by a grid and grid cells are labeled “0” for fluid
filled regions and “1” for solid filled regions. DPD particles are injected into the compu-
tational domain randomly until a pre-defined particle number density is reached, and the
system is then run to equilibrium using a DPD simulation. The particles within the solid cells
(marked as “1”) are then ‘frozen’ to represent the solid matrix. In order to reduce computa-
tional effort only the frozen particles that are within 1 DPD unit (or rc ) from the solid-fluid
interface are chosen as boundary DPD particles. The random distribution of the frozen wall
particles describes the solid surface roughness in a natural way. A reflective boundary was
used in addition to the interactions between fluid and wall particles. The implementation of
no-slip boundary conditions with randomly distributed frozen wall particles was found to
be very flexible, especially for problems with complex geometries such as porous media and
fracture geometries.9
4. Multiphase Flow in a Fractured Junction With Fractal Surfaces

The geometry of the fracture junction is shown in Fig. 2, in which the fracture walls were
represented by self-affine fractal surfaces characterized by a Hurst exponent.10 The size of
the computational domain is 128 × 3 × 128 in the x, y and z direction. The fracture walls
were represented by 7116 frozen wall particles. The coefficients used in the DPD model were
σ = 3.0 and kB T = 1.0(γ = 4.5). The interaction strength between the fluid particles was
af = 18.75, and aw , the strength of the interactions between the fluid and wall particles, can
be changed to mimic different wetting behaviors. A modified velocity-Verlet time integration
algorithm was used for time integration.7 The parameters for the SPH potential and weight
functions were A = 2.0, rc1 = 0.8, B = 1.0 and rc2 = 1.0. The particle-particle interaction
potentials were given by U(r) = af (2W1 (r,0.8) − W2 (r,1.0)) for fluid-fluid particle interac-
tions and U(r) = aw (2W1 (r,0.8) − W2 (r,1.0)) for fluid-wall particle interactions.
Figure 2 shows the particle distribution of an injection flow into the fracture junction from
the top fracture
aperture, with an injection rate of 200 particles per 100 steps, an interaction
ratio aw af of 5, and gravitational forces, gx = −0.02, and gz = −0.02 along negative x,
and z direction. A few particles evaporated from the bulk fluid and the flow was a two-
phase flow with co-existing liquid-gas phases. The particles near the fracture walls moved
into the aperture faster than those far from the walls, and the fluid exhibited a strong wetting
behaviour with a small contact angle. In contrast to grid-based methods in which the contact
angle is imposed on the fluid, the contact angle in DPD is estimated from the position of the
wall and liquid particles. The strong wettability of the fluid leaded to a continuous film flow
(a) (b) (c) (d)
Figure 2. Sequential images of an injection into the fracture junction at (a) 1000, (b) 20000, (c) 30000
and (d) 40000 steps obtained using DPD method.
620
(a) (b) (c) (d)
Figure 3. Sequential images of flow of a liquid droplet through the fracture junction at (a) 300, (b)
1100, (c) 2500, and (d) 4300 steps obtained using DPD method.
formed along the fracture wall surface (Figs 2(b), (c), and (d)). A gas bubble was entrapped
in the bulk liquid due to the wetting effects and fracture aperture variation (Fig. 2(c)).
Figure 3 shows the sequential images of flow of a liquid droplet through the fracture
junction with an interaction ratio aw af of 3, and gravitational forces, gx = −0.05, and gz =
−0.05, along negative x, and z direction. The gravitational force was large enough to offset
the capillary and viscous forces. Therefore, the liquid drop broke at the fracture junction,
and entered the left horizontal and lower vertical apertures. Some liquid was disconnected
from the bulk fluid, and formed thin films along the fracture walls. The contact angles of the
wetting fluid varied at the upstream and downstream of the bulk liquid, and demonstrated
as advancing and receding contact angles. The advancing and receding contact angles varied
with position and time. Further investigation revealed that the contact angle was closely
related to af , aw and g, whereas af , aw and g, characterized the dynamic balance of viscous,
capillary, and gravitational forces. This velocity dependent contact angle behavior was also
observed in real systems.11
5. Multiphase Flow Through a Porous Media Overlying a Fracture With

Fractal Surfaces
The geometry of this case is shown in Fig. 4, which is a heterogeneous granular porous
overlying a fracture with self-affine fractal surfaces. The size of the computational domain is
128 × 2 × 128 in x, y and z direction. The fracture walls were represented by 9734 frozen
wall particles. In x, y and z direction, periodic boundary was applied, where on fracture
surfaces, no-slip boundary was imposed. The coefficients used in the DPD model were σ =
(a) (b) (c) (d)
Figure 4. Sequential images of an injection into a porous media overlying a fracture at (a) 1000, (b)
20000, (c) 40000, and (d) 55000 steps obtained using DPD method.
621
3.0 and kB T = 1.0(γ = 4.5). The interaction strength between the fluid particles was af =

18.75, and the interaction ratio is aw af = 0.5. The parameters for the SPH potential and
weight functions were A = 2.0, rc1 = 0.8, B = 1.0 and rc2 = 1.0. Figure 4 shows the
injection of liquid into the porous media with an injection rate of 100 particles per 100
steps, and a downward vertical gravitational force, g, of 0.05. Since the interaction between
fluid particles, af , is larger than the interaction between fluid and wall particles, aw , the

liquid exhibits a non-wetting behaviour with a contact angle larger than π 2. The contact
angle varied with position and time due to the dynamic balance between viscous, capillary,
and gravitational forces. The injected fluid particles moved downward, through the porous
media, as the density of the injected particles and the concomitant pressure increased, and
then reached the fracture aperture. The gravitational force was large enough for some liquid
to break from the bulk liquid and form some small liquid drops.
6. Multiphase Flow in a Fracture Network

A numerical study using a volume of fluid (VOF) method was presented by Huang and his co-
workers to investigate the unsaturated multiphase flow through a fracture network, together
with a flow experiment based on the same fracture network fabricated using polymethyl-
methacrylate.12 Here a DPD simulation was also conducted for the same fracture network
geometry. The size of the computational domain is 100 × 3 × 103 in DPD unit in x, y and z
direction. The fracture walls were represented by 13844 frozen wall particles. In x, y and z
direction, periodic boundary was applied, where on fracture surface, no-slip boundary was
imposed. The coefficients used in the DPD model were σ = 3.0 and kB T = 1.0(γ = 4.5). The
interaction strength between the fluid particles was af = 18.75, and the interaction ratio is

aw af = 5. The parameters for the SPH potential and weight functions were A = 2.0, rc1 =
0.8, B = 1.0 and rc2 = 1.0. In the simulation, the gravitational force was taken 0.3 in DPD
unit. In the flow experiment, the apparatus was tilted 2.5◦ in the plane of the photograph.
This corresponds to a diagonal gravitational force with a component along both the leftward
horizontal and downward vertical directions. The injection was conducted at two DPD cells
along the left fracture wall of the top entrance. This corresponds to the injection of water
into the top entrance of the channel network using a syringe pump positioned next to the left
top fracture aperture.
(a) (b) (c)
Figure 5. Comparisons of the injection flow into the channel network at an intermediate stage from
DPD model (a), VOF model (b), and (3) experimental observation (5c).
622
Figure 5 shows the comparisons of the injection flow into the channel network at an
intermediate stage obtained from DPD model (Fig. 5(a)), VOF model (Fig. 5(b)) and (3)
experimental observation (Fig. 5(c)). It is clear that the DPD simulation result agrees qual-
itatively with the experimental observation and VOF result provided in.12 There are some
discrepancies if precisely examining the figures from the DPD simulation, VOF simulation
and experiment. This is understandable since even for very simple fracture geometries, the
multiphase flow can exhibits very complex spatial and temporal behaviours. Small pertur-
bations in the simulation and experiment can give rise to quite different flow modes. The
VOF simulation assumed constant fracture aperture with smooth fracture surface, and the
advancing and receding contact angles were prescribed to be constant. The fracture walls in
the experiment are more or less rough rather than smooth in micro-scale, which can affect
the wetting behaviour and flow modes of the fluid. The DPD simulation used randomly dis-
tributed frozen wall particles, whose positions determine the roughness of the fracture wall
surfaces, and affect the advancing and receding contact angles.
7. Conclusions
This paper presented the simulations of multiphase flow in complex pore-scale fracture
geometries using a dissipative particle dynamics method. This dissipative particle dynam-
ics method employed conservative particle-particle interactions that combine short-range
repulsive and long-range attractive interactions to simulate gases, liquids, solids and mul-
tiphase systems, depending on the average particle density, the temperature and the details
of the particle-particle interactions. The interaction strength between the fluid particles, and
between the fluid and wall particles are closely related to the wetting behaviour and the
contact angles.
The simulations revealed that multiphase flow in pore-scale fracture geometries is compli-
cated due to the interplay of viscous, capillary and gravitational forces, fracture geometry,
and the inflow conditions. Different flow modes can coexist in a complex fracture geometry
system, including continuous or discontinuous film flow, entrapment of one phase in another
one, stationary or moving droplets. Small perturbations of the flow regime or fracture surface
can give rise to quite different flow modes. The advancing and receding contact angles can
vary spatially and temporally, depending on the dynamic balance of viscous, capillary and
gravitational forces.
References
1. Scanlon, B.R., Tyler S.W. and Wierenga P.J., “Hydrologic issues in arid, unsaturated systems and
implications for contaminant transport”, Reviews of Geophysics, 35, 4, 1997, pp. 461.
2. Nativ, R., Adar E., Dahan O. and Geyh M., “Water recharge and solute transport through the
vadose zone of fractured chalk under desert conditions”, Water Resources Research, 31, 2, 1995,
pp. 253.
3. Anderson, J.D., Computational fluid dynamics: The basics with applications, McGraw Hill, New
York, 2002.
4. Chung, T.J., Computational fluid dynamics, Cambridge University Press, 2002.
5. Zienkiewicz, O. C. and Taylor R.L., The finite element method, Butterworth-Heinemann, 2000.
6. Hoogerbrugge, P. J. and Koelman J., “Simulating microscopic hydrodynamic phenomena with
dissipative particle dynamics”, Europhysics Letters, 19, 1992, pp. 155.
7. Groot, R.D., “Dissipative particle dynamics: Bridging the gap between atomistic and mesoscopic
simulation”, Journal Of Chemical Physics, 107, 11, 1997, pp. 4423.
8. Espanol, P. and Warren P., “Statistical mechanics of dissipative particle dynamics”, Europhysics
Letters, 30, 4, 1995, pp. 191.
623
9. Liu, M.B., Meakin P. and Huang H., “Dissipative particle dynamics simulation of pore-scale flow”,
Water Resources Research, 43, 2007.
10. Meakin, P., Fractals, scaling and growth far from equilibrium, Cambridge university press, 1998.
11. Cox, R. G., “Inertial and viscous effects on dynamic contact angles”, Journal of Fluid Mechanics,
357, 1998, pp. 249.
12. Huang, H., Meakin P., Liu M. B. and McCreery G. E., “Modeling of multiphase fluid motion in
fracture intersections and fracture networks”, Geophysical Research Letters, 32, 2005.
624
An Analysis of Model Tests on Rock Cavern Damage Induced by
Underground Explosion
ZHANG XINGUI1,∗ , MA GUOWEI2 , WU WEI2 , YAN LIE1 , LI MANGYUAN1 AND CHENG QINGSHENG1
1 School of Civil & Architectural Engineering, Guangxi University, Nanning, Guangxi, 530004, China
2 School of Civil & Environmental Engineering, Nanyang Technological University, 639798, Singapore
1. Introduction
The rock cover thickness required for construction of underground ammunition facilities can
be designed based on currently existing design manuals, mainly US DoD 6055.STD1 , NATO
AASTP-1 Part III 2 , and UK JSP 482.3 It is found that rock cover requirement is scattered
from 0.8 Q1/3 to 1.2 Q1/3 (Q: Charge Weight in kg) according to different manuals, where
the effects of loading density and rock mass strength have not been incorporated. The damage
pattern and intensity of rock cover are not addressed in the design manuals. Due to the fact
that full scale underground explosion tests are extremely expensive, it is almost impossible
to evaluate rock cover damage based on full scale tests.
The traditional analysis simplifies rock cover failure using a quasi-static approach, which
ignored dynamic failure feature of the rock mass.4−7 The design manuals for rock cover
are empirical and lack significantly theoretical basis. A rock cover damage model based on
dynamic analysis is of special interests for underground ammunition storage design.
The objective of the proposed blast test project is to investigate rock cover damage induced
by underground explosion to support the development of rock cover design criteria for under-
ground ammunition storage. The effects of rock mass strength, loading density, and cover
depth on the dynamic failure of the rock cover will be studied through model tests of under-
ground explosions, and to find the critical overburden of rock chambers under the conditions
of scheduled underground cave room and ammunition quantity through explosion tests on
rock chambers. The model tests include:
(a) Two different rock types, i.e. soft rock and hard rock;
(b) Rock chamber with different depths;
(c) Detonation with different loading densities.
It is expected that the test results can provide some insight understanding on rock cover
damage induced by underground explosion.
2. Experimental Setup and Scheme

2.1. Design of geometric parameters
The test model and the prototype shall be of geometric similarity, which is a basic require-
ment for homogeneous analogue and shall only involve similarity of independent geometrical
quantities, such as length, height and distance which are parameters directly influencing the
test results. For non-independent items, such as area, volume, sectional module, their simi-
larities are not necessary unless specifically required. Those geometrical quantities that are
irrelevant with the main parameters during the model tests are also not required to satisfy the
∗ Corresponding author. E-mail: zhxingui@gxu.edu.cn

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0133 625
similarity conditions. Therefore, a test model was established with a scaling rate of 1:200.
The chamber in the prototype model was designed as a square shape. However, round cham-
ber was selected in the test for the convenience of drilling. A typical test model and the
indication of dimensions are shown in Fig. 1, and the dimension of test models are listed in
Table 1.
Figure 1. A typical test model and the indication of dimensions.
Table 1. Dimension of test models.

Parameters Model 1 (cm) Model 2 (cm) Model 3 (cm) Model 4 (cm) Model 5 (cm)
Width 58 68 78 88 100
Height 44.5 52 59.5 67 76
Thickness 50 50 50 50 50
Diameter 4 4 4 4 4
Thickness of 13.5 16 18.5 21 24
overburden
W1 27 32 37 42 48
W2 27 32 37 42 48
h 27 32 37 42 48
Table 2. The physical and mechanical properties of the granite

and marble blocks.
Physical and mechanical properties Granite Marble
Nature weight density 2499 kg/m3 2596 kg/m3

Dry density 2495 kg/m3 2594 kg/m3
Water absorptivity 0.21% 0.15%
Uniaxial compressive strength 167 kN 119 kN
Poisson’s ratio 0.22 0.23
Modulus of Elasticity 39.92 GPa 71.50 GPa
626
2.2. Physical and mechanical properties of the rock specimens

Thirty granite and marble blocks were blasted and manufactured from Gongcheng County,
Guilin City, Guangxi Zhuang Autonomous Region, P.R.China. The physical and mechanical
properties of the granite and marble blocks are given in Table 2.
3. Indoor Test Devices
Sensor
The blast test was near-field blasting vibration velocity test for rock particle. It was required
that the measurement frequency range of sensors should be sufficient. Thus high frequency
accelerometers were then used which were able to measure the shock waves at the block
surface.
Data collection device

The test employed UBOX-1 portable data collection device produced by China Sichuan
Tuopu Digital Devices Co., Ltd, particularly designed for site exploration, vibration, impulse,
noise tests and a mini device used for signal recording and analysis.
Topview2000.BM
The software, Topview2000.BM, is used for demolition vibration analysis to provide signal
recording test, data analysis, data management, document management, report production
and so on.
WSD-2 digital sonicator

WSD-2 digital sonicator was used for acoustic wave or ultrasonic non-destructive test in
structures and non-ferrous materials such as concrete, rock mass, borehole specimens, ceram-
ics and graphite, etc. And it can be used for intensity test, deficiency test of interior structures,
detection of splits, and parameters tests of elasticity of materials, etc.
4. Test Procedures
4.1. Peak particle velocity test
Arrangement of test measuring points
Five points for installation of sensors were installed symmetrically against both horizontal
and vertical central axial lines on the top surface of the rock blocks. The distance between
any two points in horizontal or vertical direction is set as h. The layout of five points is shown
in Fig, 2.
Powder charge
TNT explosive, made into 12 cm long cylindrical form, was put at the centre of charge
hole with detonation tube being controlled by electromagnetic pulse blaster. And the charge
hole was sealed with wood stopper. The quantity of explosive and blasting energy were
determined by required quantity of the test and calculated through scale conversion based on
parameters from standards.
627
Figure 2. Layout of measuring points.
Control of boundary effect

In order to simulate an underground explosion, the charge hole was closed and fastened by
steel rail, wood plate, rebar and bolts, etc.
Installation of sensors
The five accelerometers were pasted onto the rock surface at the measuring points with
hydrous gypsum slurry and connected to a data recorder
Detonation and data recording

TNT explosive was ignited by the electromagnetic pulse blaster. Then test data was down-
loaded from the data recorder to a computer and the results were analyzed by Viewtop 2000
software. Each rock block was blasted for three times with different charges.
4.2. Integrality test

Arrangement of test measuring points
Integrity test was carried out for each rock block by an acoustic detector prior to the blast
test. The measuring points were selected at the upper portion of two side surfaces of the rock
block to measure the wave acoustic velocity, as shown in Fig. 3.
Site test
The procedure of site test is as follows: erection of acoustic wave detection instrument, acous-
tic sensor coated with Vaseline and acoustic sensor clung to measuring point.
628
Figure 3. Arrangement of measuring points for acoustic wave examines.
5. Test Results Analysis

5.1. Analysis of peak particle velocity at the top surface
Effect of cover thickness
From the test data, relationship between the cover thickness of granite and marble specimens
and the peak particle velocity with different loading density is plotted in Fig. 4, which shows
the peak particle velocity at the top surface versus the cover thickness for the granite and
marble specimens, respectively. With different loading density and rock properties, the peak
particle velocity at the top surface decreases within the increase of the cover thickness.
Effect of loading density

The effect of the loading density on the peak particle velocity attenuation is also shown in
Fig. 4 for the granite and marble specimens respectively. It is clear that, considering the same
cover thickness, the peak particle velocities under 25 kg/m3 loading density are obviously
loading density of 25kg/m3 marble

65 loading density of 25 kg/m3 granite
Peak particle velocity
60 loading density of 10 kg/m3 granite

55 loading density of 10 kg/m3 marble
50
45
40
(m/s)
35
30
25
20
15
10
5
0
0.135 0.16 0.185 0.21 0.235
Cover thickness of specimens (m)
Figure 4. Contrast of integrative factors.
629
larger than those under 10 kg/m3 . It indicates that the higher loading density, the larger
vibration intensity.
Effect of rock types

The rock type also affected slightly the measured peak particle velocities at the top surface.
Fig. 4 compared the peak particle velocities for the two different rocks. It is observed that
the peak particle velocity in the granite specimen was slightly lower than that in the marble
specimen. It is worth mentioning that the granite has much higher compressive strength. The
reason that the peak particle velocity in granite specimen was lower is probably due to the
inherent cracks in the marble specimens which largely dissipated the blast energy.
Contrast analysis of integrative factors

Design of underground ammunition facilities require many relative factors such as cover
thickness, loading density, rock types etc. From Fig. 4, two factors, loading density and rock
types, is in direct proportion to peak particle velocity reflecting degree of rock breakage
in the test. When loading density increases and rock medium became harder, peak particle
velocity is higher, vice versa. But cover thickness is in reverse trend. When cover thickness
increases, peak particle velocity decreases. Under the same explosive condition, the higher
loading density, the greater explosive energy releases; the harder rock, the better medium
through which stress wave can transmits; the thinner covering layer, the less distance of wave
transmission, thus peak particle velocity is greater, vice versa.
5.2. Integrality test results analysis

Figure 5 and 6 indicate that the acoustic wave velocity after the two blast tests is smaller than
the original one regardless that the loading density is 10 kg/m3 or 25 kg/m3 . In the explosion
test with loading density of 10 kg/m3 , the wave velocity reduction rate η of measuring point
1 at the direct top of the hole is about 10%, while that of point 2 a little bit far away from
the hole is smaller than 10%. In the explosion test with the loading density 25 kg/m3 , the
wave velocity reduction rate η at the measuring points 1 and 2 was larger than 10%.
Figure 5. Acoustic wave velocity data contrastive analysis before and after explosion test with loading
density 10kg/m3 .
630
Figure 6. Acoustic wave velocity data contrastive analysis before and after explosion test with loading
density 25 kg/m3 .
5.3. Analysis of break-up tests

The energy release of scaled explosion test became larger when the charge weight or loading
density was increased. Break-up tests was conducted to examine the capacity of the rock
blocks to resist close-explosion. The accelerometers were removed from the rock surface
since it was doubted that the damage of rock might cause the accelerometers to fail. The
charge weight was increased gradually until it was able to break the rock blocks.
The break-up tests results reveal that except the charge weight of granite type I and marble
type I is less than 31.25g, which is calculated under loading density of 50kg/m3 , explosive
quantity of other pieces are more than 50kg/m3 and gradually increases along with increment
of cover thickness of caverns. On the whole, the necessary explosive quantity for marble is
less than that for granite.
6. Conclusions
The relation between Q and H is included in current design criteria for cover thickness of
underground powder magazine is
1
H = β · Q3 (1)
Where, β refers to relation coefficient of Q and H, which is defined within 0.8-1.2.
The initial test plan selected β within 0.6-1.0 and the cover thickness was thus designed
by scaling down the charge condition of 100 ton TNT equivalent with loading density of 10
kg/m3 , 25 kg/3 and 50 kg/3 respectively. From the present break-up tests, the coefficient β in
the existing design guide is slightly larger or conservative.
Based on the acoustic test results, it can be concluded that the empirical damage criteria
recommended by Bauer and Calder (1978)8−9 was very conservative. The acoustic test results
in the present study showed that the rock blocks did not experience severe damage with the
measured peak particle velocity as high as 63.5 cm/s. However, it should be mentioned here
is that the measured peak particle velocity is from the free rock surface which may be larger
than the free field quantity due to surface reflection.
From the current test results, the rock blocks were maintained the integrity and no major
damage was observed for all the cases when the loading density was 10 kg/m3 and 25 kg/m3 .
It implied that the coefficient β in the range of 0.6–1.0 is sufficient and the cover thickness
designed based on Eq. (1) is very safe to the loading density level below 25 kg/m3 .
631
When the loading density increased to about 50 kg/m3 or above, the coefficient β reduced
correspondingly and its range is between 0.43 and 0.65 which depends on the loading density.
This means that the cover thickness requirement as specified in the empirical formula which
gives β in the range of 0.6–1.0 is rather conservative.
References
1. Ammunition and Explosive Standards DOD 6055.9-STD. 1999, US Department of Science: Wash-
ington D.C.
2. Nato, Manual on NATO Safety Principles for the storage of Ammunition and Explosives. 2000.
p. AC/258, AASTP1-PartIII.
3. ESTC, UK MOD Explosive Safety Regulations — JSP482. July, 2003.
4. Raina, A.K., A.K. Chakraborty, M. Ramulu and J.L. Jethwa, Rock mass damage from under-
ground blasting, a literature review, and lab- And full scale tests to estimate crack depth by ultra-
sonic method. Fragblast, 2000. 4(2): pp.103-125.
5. Maxwell S.C. & Young R P Seismic imaging of blast damage. Int. J.Rock Mech. Min. Sci &
Geomech. Abstr., 1993, 30(7):1435-1440.
6. John S. Rinehart. Stress Transients in Solid. Hyper Dynamics. San Fe, New Mexico, 1975.
7. Kutter H.K.and Fairhurst C.F. On the Fracture Process in Blasting, Int. J. Mech. Min. Sci. 1971,
Vol. 8:181-202.
8. Singh, S.P. & Lamond R. D. Investigation of Blast Damage and Underground Stability. In: Pro-
ceeding of 12th Conference on Ground Control in Mining. 1993: 366-372.
9. Bauer, A. and Calder, P.N. Open Pit and Blasting Seminar. Mining Engineering Department,
Queens University, Kingston, Ontario, 1978.
632
Microscopic Numerical Modelling of the Dynamic Strength of
Brittle Rock
G.F. ZHAO AND J. ZHAO∗

Ecole Polytechnique Federale de Lausanne (EPFL), Rock Mechanics Laboratory,
EPFL-ENAC–LMR, Station 18, CH-1015 Lausanne, Switzerland
1. Introduction
Rock, representing both rock materials and rock mass, is the key research object of rock
mechanics. Unlike any other man-made materials, rock usually has experienced a geolog-
ical history involving appreciable mechanical, thermal and chemical actions over millions
of years. Complex structures can be detected in rock materials as well as in rock mass (as
shown in Fig. 1), which make the mechanical properties of rock more complex than those
of other man-made materials. This structural complexity of rock plays an important role
in rock mechanics, especially the strength and fracture pattern of rock materials. Dynamic
effect of rock material, influence of strain rates on strengths and deformational modules etc.,
is one of the most important research issues in rock dynamics. It is a key element in the
solution of many engineering problems involving dynamic loading conditions. In order to
describe the dynamic strength of brittle rock, based on experimental results Zhao1 developed
the dynamic version of Mohr-Coulomb and Hoek-Brown criteria by adding a loading-rate-
dependent term. However, the mechanism governing the rate-dependent behaviour of rock
materials is still not clear now. Different kinds of models, such as heat activation theory,2
spring-dashpot models3 and sliding crack model4 are try to explain the dynamic effect. In
this paper we try to explain the dynamic effect based on the microscopic mechanical response
of rock material.
In recent years, researchers have realized that it is important to consider the microstruc-
ture of a material when studying its macroscopic mechanical properties. For example, it is
difficult to assign a unique value of fracture toughness to rock materials without cognizance
of their microstructural characteristics.5 Microscopic experimental observations will offer
promising explanation to dynamic effects of rock material failure. The three-dimensional
texture of granite was observed in microscope through using an ultra-bright synchrotron
radiation (SR)–CT system and time-dependent fracturing behaviour was studied.6 The scan-
ning electron microscope (SEM) is another used device, e.g., micro-cracking and propagation
of concrete at different temperatures was studied through SEM.7 Recent developments in
laboratory-based micro X-ray diffraction have extended X-ray examination of geo-materials
to the microscopic level (50–500 um).8 This will help researchers perform further studying
on micromechanics of rock materials. However, these experimental methods have been lim-
ited by the instruments. For example, CT and SEM are only applicable at low loading rates
which could not well study the dynamic responses of rock materials. This would become a
barrier of performing study on the dynamic effect of rock materials.
With the rapid advancements in computing technology, numerical methods provide
extremely powerful tools for rock mechanics. There exist a large number of numerical meth-
ods which have been applied to study the microscopic mechanical behaviours of rock materi-
als. The most well-known model is Bonded-particle model (BPM) which can describe damage
∗ Corresponding author. E-mail: jian.zhao@epfl.ch

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0135 633
Figure 1. Microstructure of sandstone (left) and structure of rock mass (right).
mechanisms and time-dependent behaviours by adding a damage-rate law.9,10 The contin-

uum based methods also have been used, e.g., combining continuum damage model with
element delectation technique and the Weibull distribution model FEM was successfully used
in micromechanics study of rock materials.11 Similar works were also done by Prisco and
Mazars to analyze the crush-crack of concrete12 and Du et al.13 to study the influence of
strain rates on the dynamic tensile strengths of concrete. The SPH method was also used to
simulate the dynamic behaviours of rock material at microscope.14 However, both the con-
tinuum based methods and discontinuum based methods share their own limitations. As the
continuum based methods are good at the pre-failure stage while bad at the post-failure stage,
the discontinuum based methods have reserve performance. Recently, the authors proposed
a microstructure based model of elasticity and developed the corresponding numerical model
based on the theory. The proposed numerical model could reconstruct the elasticity solution
before failure and smoothly change into discontinuum response after failure happen. This
makes it a promising choice to study the microscopic mechanical response of rock materials.
For this reason, the model will be used to study the dynamic strength of brittle rock in this
paper. The modelling results show that the model could produce the dynamic Hoek-Brown
criterion through a simple micro failure law. From the modelling results it is also observed
that the microstructure of rock materials plays an important role for the dynamic strength of
brittle rock.
2. The Distinct Lattice Spring Method

2.1. The real multi-dimensional internal bond model (RMIB)
The RMIB model15 is an extension of VMIB16 in which materials are discretized into mass
particles linked through distributed bonds. The microstructure of the model is shown in
Fig. 2 in which spherical particles are distributed randomly in space. The particles are not
restricted to the same size. Whenever two particles are detected in contact, they are linked
together through bonds between their center points. The multidimensional internal bond of
VMIB is adopted, that include one normal bond and one shear bonds. The shear bond is a
vector spring in 3D case and a normal spring in 2D case. The model is a useful description for
fracture modelling of materials such as rock and concrete. Due to the explicit considerations
634
R spring x
Internal bond
L spring
Contact point i y
(a) Continuum element (b) Multi-dimensional internal bond
Figure 2. Microstructure of the real multi-dimensional internal bond model (RMIB).
of the microstructure of the material, the proposed micromechanical model has the poten-
tial to give more realistic modelling of material failure behaviours than a phenomenological
model does.
Based on Cauchy-born rules and the hyperelastic theory, the relationship between the
micromechanical parameters and the macro material constants, i.e. the Young’s modulus
and the Poisson ratio can be obtained as follows:
3E
kn = 3D (1)
α (1 − 2ν)
3(1 − 4ν)E
ks = 3D
α (1 + ν)(1 − 2ν)
where k is the normal stiffness of the spring, k shear stiffness, E Young’s modulus, v Poisson
ratio and α 3D is a microstructure geometry coefficient which can be obtained from:

li2
α 3D = (2)
V
where li is the original length of the ith bond, V is the volume of the geometry model. The
details of this model can be found in.15
2.2. The Distinct Lattice Spring Model (DLSM)
The Distinct Lattice Spring Model17 is a numerical method based on the RMIB model rather
than elasticity equations. In DLSM, material is discretized into mass particles with different
size. Whenever the gap of particles are following a given threshold value, they are linked
together through bonds between their center points. The threshold value will influence the
lattice structure of the model. Different threshold value would produce different lattice struc-
tures. The particles and springs make a whole system which represents the material. For this
system, its motion equations can be expressed as
[K]u + [C]u̇ + [M]ü = F(t) (3)
where u represent the vector of particle displacement, [M] the diagonal mass matrix,
[C] the damping matrix, F(t) the vector of external forces on particles. In DLSM, the motion
635
equations of particle system are solved through the explicit center finite differences scheme.
The interaction between particles is represented by one normal spring and one shear spring.
The shear spring is a multi body spring which is different from the conventional lattice spring
methods. The multi-body shear spring is introduced to make the model can handle problems
which Possion’s ratio is beyond 0.25. The behaviour of normal spring is in a conventional
way. For example there existing one bond between particle i and particle j. The unit normal
n(nx ,ny ,nz ) points form particle i to particle j. The relative displacement is calculated as:
uij = uj − ui . (4)
Then vector of normal displacement and interaction force between two particles can be given
as
unij = (uij • n)n and Fijn = kn unij (5)
where kn is the stiffness of the normal spring. The multi-body shear spring between two
particles is introduced through a spring with a multi-body shear displacement vector. The
shear displacement between two particles is evaluated by a local strain state. Assume the
strain of each particle is evaluated as [ε]i and the strain state of bond is given as the average
value of two particles.
[ε]i + [ε]j
[ε]bond = (6)
2
⎡ ⎤
εxx εxy εxz
where [ε] = ⎣ εyx εyy εyz ⎦. The shear displacement vector of the bond is given as
εzx εzy εzz
ûsij = [ε]bond nT − (([ε]bond nT ) · n)n. (7)
Then the shear interaction between two particles is given as
Fijs = ks ûsij (8)
where ks is the stiffness of the shear spring. Equations (7) and (8) are available for unbroken
bonds.
When the normal or multi-body shear displacement of the bond is exceeding the prescribed
value, the bond will be broken. After failure happen the bond will change into a contact bond
where only normal springs with zero strength is applied. At current stage, only a simple
fracturing law is adopted and more comprehensive study on the fracture is needed. We can
see that there are only two spring parameters and two failure parameters in the model. This
makes the model can be used easily. It is much suitable for microscopic modelling as the
less inputted parameters the better and easier to focus on the microstructure influence on
mechanical response.
3. Microscopic Study the Dynamic Strength of Brittle Rock

The computational model used in this paper is shown in Fig. 3(a) and a constant vertical and
opposite displacements is imposed on the particles that make up the top and bottom of the
636
(a) The numerical model (b) Micro-discontinuities (c) tensile failure (d) Compressive failure
Figure 3. The computational model and failure pattern of uniaxial tensile and compressive test.
specimen to create a piston-like effect. The applied constant rate of strain is

2 ∂ 2vz (t)
ε̇1 = (uz (t)) = (9)
h0 ∂t h0
where h0 is the sample height and uz (t) is the imposed displacement. The dimension of the
sample is 10×10×20 mm and the size of particle is around 1 mm. There are about two thou-
sands of particles in the model. It is targeting at studying the macroscopic dynamic response
of Bukit Timah granite based on a microscopic numerical model. The inputted Young’s mod-
ulus and Possion’s ratio are 73.9 Gpa and 0.15. The limited value of bond’s tensile and shear
stretching are 0.0002 mm and 0.0024 mm. In order to reproduce the interlocking effect of
rock materials, two types of microstructures are used in the paper. The first one is ran-
domly enriching the strength of bonds of a given percent. The second one is to enrich the
bonds which do not cut by the randomly distributed discs (as shown in Fig. 3(b)). From the
simulation results it shows both these two method can produce the required inter-locking
7 8
x 10 x 10
16 2
confining stress = 4Mpa confining stress = 4Mpa
confining stress = 8Mpa 1.8 confining stress = 8Mpa
14
confining stress = 12Mpa confining stress =12Mpa
1.6
12
1.4
10
1.2
stress (Mpa)
stress (Pa)
8 1
0.8
6
0.6
4
0.4
2
0.2
0 0
0 0.002 0.004 0.006 0.008 0.01 0.012 0 0.002 0.004 0.006 0.008 0.01 0.012
strain strain
(a) The random bonded model (b) The micro-discs model
Figure 4. The strain-stress curves of the different microstructure model.
637
effect. The tensile failure and compressive failure of the computational model are shown in
Fig. 3 (c) and (d).
Uniaxial tensile, uniaxial compressive and tri-axial tests are performed under these three
different strain rates as 10−1 , 10 and 101 Fig. 4 shows the strain-stress curves of the different
microstructure model under different confining stress. Increasing the confining pressure the
corresponding strength will increase which is in agreement with experimental observations.
The results show that the microstructure have influence the strength of the model. The uni-
axial compressive tests under different strain rate are performed. The results are given in
Fig. 5 which shows that the dynamic strength will increase with the increasing of strain rate.
It should be mention that there is no rate law used in the model, the dynamic effect is a
result rather than a constitutive effect. Figure 6 shows the comparison of the failure envelope
7 7
x 10 x 10
14 18
strain rate = 10-1 strain rate = 10-1
16
12 strain rate = 100 strain rate = 100
strain rate = 101 14 strain rate = 101
10
12
8
stress (Pa)
stress (Pa)
10
6 8
6
4
4
2
2
0 0
0 0.5 1 1.5 2 2.5 3 3.5 4 0 1 2 3 4 5 6
strain -3 strain -3
x 10 x 10
Figure 5. The strain — stress curves of uniaxial compressive tests under different strain rates.
180 250
160
200
140
120
150
100
S1 (Mpa)
S1 (Mpa)
80
Hoek-Brown with strain rate 10-1 100 Hoek-Brown with strain rate 10-1
60 DLSM with strain rate 10-1 DLSM with strain rate 10-1
Hoek-Brown with strain rate 100 Hoek-Brown with strain rate 100
40
DLSM with strain rate 100 50 DLSM with strain rate 100
Hoek-Brown with strain rate 101 Hoek-Brown with strain rate 101
20
DLSM with strain rate 101 DLSM with strain rate 101
0 0
-20 -15 -10 -5 0 5 10 15 -20 -15 -10 -5 0 5 10 15
S3 (Mpa) S3 (Mpa)
Figure 6. The Hoek-Brown failure criterion and the envelope obtained from numerical simulation.
638
obtained from numerical simulations with that of Hoek-Brown failure criterion. The results
review that the numerical modelling could reproduce the Hoek-Brown failure criterion which
derived from experimental data based on a simple microscopic failure law.
4. Conclusions
The dynamic strength of brittle rock is studied through a microscopic numerical model
DLSM, some conclusions are derived from the numerical modelling:
• The existing of microstructure and inter-locking have great influence on the strength of
rock materials.
• Different microstructures will produce different strength.
• The dynamic effect of brittle rock material could be reproduced through a microscopic
model which does not include a rate-dependence law.
• The Hoek-Brown criterion could be reproduced through the numerical model with a
simple micro-failure criterion.
Acknowledgements
Financial support from the China Scholarship Council to the first author is gratefully acknowl-
edged. The research is also partially supported by the Swiss National Science Foundation
(200021-116536).
References
1. Zhao, J., “Applicability of Mohr-Coulomb and Hoek-Brown strength criteria to the dynamic
strength of brittle rock”, International Journal of Rock Mechanics and Mining Sciences, 37(7),
2000, pp. 1115–1121.
2. Kumar, A., “Effect of Stress Rate and Temperature on Strength of Basalt and Granite”, Geophysics,
33(3), 1968, pp. 501–510.
3. Chong, K.P., Hoyt, P.M., Smith, J.W. and Paulsen, B.Y., “Effects of Strain Rate on Oil-Shale Frac-
turing”, International Journal of Rock Mechanics and Mining Sciences, 17(1), 1980, pp. 35–43.
4. Li, H.B., Zhao, J. and Li, T.J., “Micromechanical modelling of the mechanical properties of a
granite under dynamic uniaxial compressive loads”, International Journal of Rock Mechanics and
Mining Sciences, 37(6), 2000, pp. 923–935.
5. Nasseri, M.H.B. and Mohanty, B., “Fracture toughness anisotropy in granitic rocks”, Interna-
tional Journal of Rock Mechanics and Mining Sciences, 45(2), 2008, pp. 167–193.
6. Ichikawa, Y., Kawamura, K., Uesugi, K., Seo, Y.S. and Fujii, N., “Micro- and macrobehavior
of granitic rock: observations and viscoelastic homogenization analysis”, Computer Methods in
Applied Mechanics and Engineering, 191(1–2), 2001, pp. 47–72.
7. Wang, X.S., Wu, B.S., Wang, Q.Y., “Online SEM investigation of microcrack characteristics of
concretes at various temperatures”, Cement and Concrete Research, 35(7), 2005, pp. 1385–1390.
8. Flemming, R.L., “Micro X-ray diffraction mu XRD: a versatile technique for characterization of
earth and planetary materials”, Canadian Journal of Earth Sciences, 44(9), 2007, pp. 1333–1346.
9. Cho, N., Martin, C.D. and Sego, D.C., “A clumped particle model for rock”, International Journal
of Rock Mechanics and Mining Sciences, 44(7), 2007, pp. 997–1010.
10. Potyondy, DO., “Simulating stress corrosion with a bonded-particle model for rock”, International
Journal of Rock Mechanics and Mining Sciences, 44(5), 2007, pp. 677–691.
11. Tang, C.A. and Kaiser, P.K., “Numerical Simulation of Cumulative Damage and Seismic Energy
Release During Brittle Rock Failure-Part I:Fundamentals.” Int. J. Rock Mech. & Min. Sci, 35(2),
1998, pp. 113–121.
639
12. Prisco, M. and Mazars, J., “Crush-crack a non-local damage model for concrete”, Mechanics of
Cohesive-Frictional Materials, 1(4), 1996, pp. 321–347.
13. Du, J., Kobayashi, A.S. and Hawkins, N.M., “FEM dynamic fracture analysis of concrete beams”,
Journal of Engineering Mechanics, 115(10), 1989, pp. 2136–2149.
14. Ma, G.W., Dong, A.A. and Li, J., “Modeling strain rate effect for heterogeneous brittle materials”,
Transactions of Tianjin University, 12 (SUPPL), 2006, pp. 79–82.
15. Zhao, G.F., Fang, J., Zhao, J., “A new microstructure-based constitutive model for failure model-
ing of elastic continuum”, European Journal of Mechanics, A/Solids, 2009, (submitted).
16. Zhang, Z.N. and Ge, X.R., “Micromechanical consideration of tensile crack behavior based
on virtual internal bond in contrast to cohesive stress”, Theor. Appl. Fract. Mech., 43(3), 2005,
pp. 342–59.
17. Zhao, G.-F., Fang, J.N. and Zhao, J., “A 3-D distinct lattice spring model for elasticity and
dynamic failure”, Communication in Numerical Methods in Engineering, 2009, (Submitted).
640
Fault Studies and Coal-gas-outburst Forecast in Coal Mines
H.Q. CUI∗ , X.L. JIA, Z.P. XUE, AND F.L. YANG

Henan Polytechnic University, Jiaozuo, China 454003
1. Introduction
Coal-gas-outburst accidents in coal mines have been the most serious geological hazards in
China. The situation has become worse than ever with the mining of deeper coal seams at
higher production rates in a more complex underground mining environment, in order to
meet the huge national demand for coal-fuelled power plants.1 A program named “four in
one” has been carried out to prevent coal and gas outburst in all coal mines with outburst
proneness in China.2 The program includes four steps: (1) Outburst proneness forecast of
coal seam, (2) Application of preventing methods, (3) Available examination of applied pre-
venting methods, and (4) Application of safe measures. The most basic step in the program is
to forecast outburst proneness, which is directly related with what and how many preventing
methods and measures should have to be applied in a mining area. Therefore, precision of
forecasting outburst proneness of a special mining area has been required as high as possible
to save unnecessary preventing engineering under safe consideration. According to coal min-
ing practices, it has been found that fault studies are very useful to more accurately forecast
dangerous mining sites where coal-gas-outburst accidents may occur if preventing measures
would not be taken suitably. Based on fault studies, safer mining design and efficient preven-
tion of coal-gas-outburst accidents could pursue in coal mining operation.
2. Relationship Between Faults and Coal-gas-outburst Accidents

2.1. It is around faults where coal and gas outburst usually takes place
Based on reported cases in Henan, more than seventy percent of coal-gas-outburst accidents
took place around different-scale faults. Fig. 1 is two examples in Henan that coal and gas
outburst accidents concentrate in influencing zones of the faults known as Xingdian Normal
Fault and Niuzhuang Reverse Fault. Eight and eleven outburst accidents took place respec-
tively around the two faults.
2.2. Reactivated faults result in coal and gas outburst

It is common features that faults have activated more than once since they were developed at
a special geological period. The reactivated faults are easier to result in coal and gas outburst
because there is more developed tectonically disturbed coal or soft coal in their influencing
zones 4,5 . The soft coal usually provides necessary physical condition of outburst accidents.
Furthermore, human mining action may change the stress and strain states around a faulting
zone and promote it reactivation. The reactive faulting zone reduced by human mining may
result in coal and gas outburst as well. It has been proved that the stress concentration and
reactivation of fault surface resulted from the roadway heading to it should be the key cause
of the outburst accident. Fig. 2 is the modeling result of an outburst accident happened in
∗ Corresponding author. E-mail: hqcui@hpu.edu.cn

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0015 641
N
Ni
50 m uz 40 m
N Ni hu
uz an
hu g
re
Rail raise
an ve
g rse
sy
nc fau
H1 line lt
t
aul H2
rmal f
n no
dia way
Xin g road
dip
elt conveyin H3
B
Rail
a b
fault coal line normal fault reverse fault syncline coal and gas outburst position
Figure 1. Concentrated coal and gas outburst accidents around faults (After Guo, D. and Han, D.,
1998).
Figure 2. Distribution of maximum principal stress around a fault end while a coal roadway heading
to it.
Henan through finite-difference method, showing that the stress concentration and the high
deviatoric stress values at end of the reverse fault above the coal roadway provide the key
condition of coal-gas outburst with high compressive gas in coal seam of hanging-wall.
642
2.3. Different fault types and fault systems have different criticality for
coal and gas outburst
Different fault types have different function on controlling gas content in coal seam. In gen-
erally, the faults with tensional features hold less gas content than those with shear or com-
pressive features. When the faults are currently under control of compressive or shear stress
fields, more serious outburst accidents may take place around them because of their sealing
faulting zones and more blocked gas content.6 Because normal fault systems, such as half-
graben and horst-and-graben, are helpful for gas escape in coal seam, few of them result in
coal-gas-outburst accidents; the reverse fault systems, otherwise, are more prone to promote
coal and gas outburst. Furthermore, there may be different gas content zones in different
parts of a fault system, and different dangerous degree for outburst. Figure 3 is an example
of reverse fault systems, where the part ćó is of outburst proneness, and the part ćñandćòare
usually quite safe because there is no deep coal seam which supplies them with enough gas
resource. There are different zones of gas content around faults, known as gas content loss
zone, reduced zone and increased zone. The gas content increased zones adjacent to the fault
are more dangerous areas of outburst than other zones.
2 2 5
1 3
2
3 4
ൕ ൖ ൗ
sealing fault plane gas flow
1-gas loss zone 2-gas content reduced zone 3-gas content increased zone
4-gas content normal zone 5-surface
Figure 3. Different gas content zones in a reverse fault system.7
2.4. Around vanishing end of fault is the most dangerous site

where outburst accident may occur
Vanishing ends of faults usually concentrate higher stress, and around the ends there are more
accompanied or induced joints and fractures than at other parts of the faults.8 Therefore, it
is possible to centralize more free gas with high pressure around vanishing ends of fault in
coal seam. It is why many outburst accidents took place around the vanishing ends of faults
in Henan (Fig. 1). Figure 4 is a maximum principal stress contour map that shows stress
concentration around vanishing ends of a fault under general triaxial stress state. The stress
concentration around vanishing ends of fault is quite clear, and high stress difference between
hanging-wall and footwall is obvious as well (Fig. 5). All these features provide advantage
for coal and gas outburst at vanishing ends of faults during coal mining.
643
◦
Figure 4. Stress concentration around vanishing ends of fault (Fault surface dip: 45 . Modeling soft-
ware: FLAC3D ).
Figure 5. Relationship between maximum principal stress difference and distance away from the fault
plane.
3. Safer Mining Design and Better Preventing Measures

Based on Fault Studies
Based on fault studies, safer mining design and better measures for preventing coal–gas-
outburst accidents could be made around faults. For example, excavation layout and working
644
order could be arranged more helpful for stress relief around vanishing ends of faults, and
even stress relief blast could be applied when a coal roadway is heading to the vanishing end
of fault. Preventing engineering and measure for coal-gas outburst could be reduced around
the faults and fault systems with tensional features.
4. Conclusions
The following conclusions are deduced from above examples and analysis:
• Coal-gas-outburst accidents have direct relationship with faults. Fault studies can
help to more accurately forecast the dangerous sites where outburst proneness may
be high in a mining area.
• Serious coal-gas-outburst incidents usually take place around reactivated faults. The
reactivation of a fault can be induced in geological history or while currently coal
mining.
• Different mechanical types of faults and fault systems have different effects on coal
and gas outburst. Contractional faults and contractional fault systems are more help-
ful for holding gas content and for promoting coal and gas outburst than extensional
faults and extensional fault system.
• The most dangerous sites, where coal-gas-outburst accidents may occur, are located
near to the vanishing ends of faults because there is higher stress concentration there.
References
1. Liu, M., Mitri, H., and Wei, J., Recent Trends of Coal and Gas Outburst Accidents in China, 27th
International Conference on Ground Control in Mining, 2007. Web site: http://218.196.244.90/.
2. Coal Industry Department, Detailed Rules for Preventing Coal and Gas Outburst, China Coal
Industry Publishing House, Beijing, China, 1995.
3. Guo, D. and Han, D., Research on the Types of Geological Tectonic Controlling Coal Gas Out-
bursts, Journal of China Coal Society, 4, 1998.
4. Wang, N., Study on Geological Structure Projecting Mechanism, Journal of Jiaozuo Institute of
Technology, 3, 2005.
5. Zhang, Y., Zhang, Z., and Cao, Y., Deformed-coal Structure and Control to Coal-gas Outburst,
Journal of China Coal Society, 3, 2007.
6. Tang, Y. and Cao, Y, Study on the Outburst Prone of Different Fault Sides, Journal of Coal Science
& Engineering, 6, 2002.
7. Yu, Q., Prevention and Treatment of CMM, China University of Mining and Technology Press, Xu
Zhou, Jiangsu, China, 1992.
8. Su, S., Affection of Faults on Stress Field and its Significance on Engineering, Chinese Journal of
Rock Mechanics and Engineering, 2, 2002.
645
Suggestion of Equations to Determine the Elastic Constants of a
Transversely Isotropic Rock Specimen
CHULWHAN PARK1 , CHAN PARK1, ∗ , E.S. PARK1 , Y.B. JUNG1 AND J. W. KIM2
1 Korea Institute of Geoscience and Mineral Resources, Daejeon, Korea
2 Cheongju University, Cheongju, Korea
1. Introduction
Anisotropy which can easily be found in stratified sedimentary rocks and foliated meta-
morphic rocks is one of characteristics to realize the rock mass or the intact rock. Some
of volcanic rocks show it despite of apparent isotropy. These rocks which have undergone
several formation processes may present more than one direction of planar anisotropy, and
these directions are not necessarily parallel or perpendicular to each other. It has already
been counted that rock anisotropy is important in civil, mining and petroleum engineering
before Amadei (1996) pointed out in Schlumberger Lecture Award paper. Improvements of
the computer and the analysis program enable to simulate a rock mass to be an anisotropic
body more virtually in the design of underground structures.
Orthotropy which implies the different properties in the three mutual perpendicular direc-
tions may represent the rock mass such as coal with bedding plane and cleat. And rock
masses usually have several types of planar anisotropy in a rock mass. But it has been known
that the identification of nine independent elastic constants of an orthotropic body is very
hard and three or more specimens are need for laboratory test. For this reason, orthotropic
rock may be referred imaginary and anisotropic rock are generally regarded as a transversely
isotropic body which can reduce the number of independent elastic constants to five (Wittke,
1990).
Many researchers have studied the varieties of strengths and deformabilities of the
anisotropic rock. It is still difficult to characterize five constants by compression tests in
laboratory, even though the numerical design with a model simulation is not complicated
any more. If many specimens from a rock mass are given, its five constants can be deter-
mined without any assumption. But this might still not be easy because it will be practically
difficult to get many field specimens which should be uniform each other. In engineering,
the limited amount of or even only one specimen is occasionally given. With a single spec-
imen of the transversely isotropic rock, the number of independent strains to be obtained
in measurement is only four and one equation should be assumed. Eq. (1) has been used
after Saint-Venant’s approximation in 1863 and many researchers have approved its valid-
ity through many kinds of tests. FLAC program (Itasca, 2005) is still using this equation in
itself.
1 1 1 + 2ν2 1
= + (as defined by in this paper) (1)
G2 E1 E2 G∗
∗ Corresponding author. E-mail: chan@kigam.re.kr

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0060 647
But some studies reported that this empirical relation was not revealed to be acceptable
and the modified equations were also suggested. Worotnicki (1993) reviewed the reported
results of over 200 tests and analyzed that quartzfeldspathic and basic/litic rocks, low to
moderated degrees of anisotropy, G2 conforms closely to Saint-Venant’s approximation. He
also found actual G2 can be twice to three times lower than this for rocks in other classes and
he suggested the possibility of a new equation as Eq. (2), independent of Eq. (1). Talesnick
and Ringel (1999) investigated by torsional shear tests that G2 can be much higher than that
from Eq. (1) and G2 can be defined as Eq. (3) with a correction factor.
G2 = G1 E2 /E1 (2)
G2 = G ∗ (2E1 − E2 )/E1 (3)
Very recently Gonzaga et al. (2008) proposed the methodology to determine elastic con-
stants for a single specimen with nine strains measurement. The predicted strains have also
errors to experimental data for St-Marc limestone by using Eqs. (1) and (3). And the non-
linear behavior caused by porosity and microcracks was taken consideration into this method-
ology. Duevel and Haimson (1997) also studied non-linearity and anisotropy for pink Lac
Du Bonnet granite.
Throughout testing experiences in our laboratory, Eq. (1) generally yields the acceptable
ranges of constants for rocks with steep angle of dip. But the unreasonable ones have occa-
sionally been obtained in most cases of the flat specimens, which may have cause for the need
of another approximation replacing Eq. (1). This study aims to suggest new equations and
measuring directions of four independent strains in order to determine the five constants of
a single specimen for a transversely isotropic rock. The equations are originated by a differ-
ent approach of Eq. (1) and do not consider the nonlinearity. Validation of each equation is
discussed in simple numerical models and actual rocks under uniaxial compression tests as
well.
2. Theory Review
The stress - strain relations for a linear elastic material are defined by generalized Hooke’s
low.(Flugge, 1972) The elastic moduli represent a tensor of the fourth order and the number
of components is 81. By using theory of elasticity, independent moduli are 9 for an orthotropy
and only 2 for an isotropy.
The rock material may be realized an anisotropy rather than an isotropy on the presence of
bedding, stratification, foliation, schistosity or jointing. Orthotropy which implies the differ-
ent properties in the three mutual perpendicular directions may represent the rock mass such
as coal with bedding plane and cleat. But it is very hard to identify the 9 independent elastic
constants of an orthotropic body and three or more specimens are need in laboratory test.
For this reason, orthotropic rock may be referred imaginary and anisotropic rock is generally
regarded as a transversely isotropic body which can reduce to 5 of independent elastic con-
stants. (Wittke, 1990) Eq. (4) is the constitutive equations for a transversely isotropic body.
There are 5 constants of the second order, even expressed in the first order, and G1 ( = G13 )
is dependent and two equation are duplicated. Thus 5 constants (E1 , E2 , ν1 = ν13 = ν31 ,
ν2 = ν21 and G2 = G21 ) and 4 equations are independent each other. ν12 is different from
ν21 , but is a dependent constant on symmetry of the compliance matrix as in Eq. (5) which
648
is already applied in expansion of Eq. (4).

⎡ ⎤ ⎡ ⎤⎡ ⎤
ε1 1/E1 −v2 /E2 −v1 /E1 0 0 0 σ1
⎢ ε2 ⎥ ⎢−v /E2 1/E2 −v /E2 0 0 0 ⎥ ⎢ σ2 ⎥
⎢ ⎥ ⎢ 2 2 ⎥⎢ ⎥
⎢ ε3 ⎥ ⎢−v /E1 −v /E2 1/E1 0 ⎥ ⎢ ⎥
⎢ ⎥=⎢ 1 2 0 0 ⎥ ⎢ σ3 ⎥ (4)
⎢23 ⎥ ⎢ 0 0 ⎥⎢
⎥ ⎥
⎢ ⎥ ⎢ 0 0 1/G2 0 ⎢τ23 ⎥
⎣31 ⎦ ⎣ 0 0 0 0 1/G1 0 ⎦ ⎣τ31 ⎦
12 0 0 0 0 0 1/G2 τ12
νij /Ei = νji /Ej (5)
In this reason, two or more specimens with different shapes should be tested if many
specimens from a rock mass are given. This experiment with multi-tests and multi-shaped
specimens may be a hard work and it will also be practically difficult to get many field spec-
imens which should be uniform each other. In engineering, the limited amount of specimen
or even only one specimen is occasionally given. In the single specimen test, one supposition
such as Eq. (1) might be essential to identify the 5 independent elastic constants.
3. Directions of Strain Measurements

As in Eq. (4), number of the independent strains obtained is 4 in maximum for a single
specimen in compression test. Fig. 1 explains the directions of strain measurements and their
notations as well. Strain rosette is placed on the infinitesimal plane A in the direction of x,
y, and 45 degree (actually −45 degree in mathematics) when compression load acts on y
direction and one gauge is on B in z direction.
Strains in other direction are all dependent on those by using the transformation in the
oblique coordinate. There of course may be other sets of 4 gauges, but they absolutely
measure smaller amounts of strains, which can increase the errors in measurements. It was
reported that the maximum principal strain on A acts almost same as in y directions, with
independence of the amounts of elastic constants. (Park, 2001) In order to reduce the error in
strain measurements and to upgrade the accuracy in experiments, it would be recommended
to set another 4 strains in same way on the other sides of planes A − B.
The angle, φ is the angle of dip of the transversely isotropic plane (e.g. bedding plane) and
can be defined as the anisotropic angle. The axis of symmetry of rotation has the angle of
π + φ.
4. First Suggestion
As described above, 4 strains from the adequate measurement require one more equation.
Throughout our experiences and many other researches, Eq. (1) have not yield acceptable
values of constants not only for the rock engineering range that ν varies 0.11 ∼ 0.46 but also
for the thermodynamic constraints of −1 ∼ 1 (Amadei, 1996). In this moment the fifth equa-
tion would now like to be suggested as Eq. (6) by using Ea , the apparent Young’s modulus
which can be derived directly from strain measurements as in Fig. 1.
This equation is independent of Eq. (4) and also looks independent of Eq. (1) because
its origination and terms are totally different each other. This may not consider the elastic
constraints (if yes, it may be dependent equation and useless any more) except the three
critical cases that φ = 0, φ = π/2 and E1 = E2 .
1 1 1
= sin2 φ + cos2 φ (6)
Ea E1 E2
where, Ea = σy /εy
649
(a) strain rosette on plane A
(b) lateral strain on plane B
Figure 1. Axis of a transversely isotopic specimen and strain gauges.
However, the resultants by applying Eq. (6) are just same as that by applying Eq. (1) in
solution of 5 constants with 4 strain measurements. After the identity of two approximations
is become aware from the analysis result, it has been proved in mathematics by using the
direction cosines.
As both are identified as identical each other, the historical equation can be characterized
by analyzing Eq. (6), which is that the apparent Young’s modulus is a function of E1 , E2 and
φ. And it is a monotonous increasing function by the differential (dEa /dφ, Fig. 2), if E1 is
bigger than E2 .
Nasseri et al. (2003) concluded the relation of Ea − φ under 2 categories that the one
shows U or W shapes with peak(s) and the other shows monotonous by collecting data from
reported test results. They carried out unconfined and confined compression tests on four
types of Himalayan schists of which two show U shapes and other two show monotonous
as in Fig. 4.
It will be concluded that the suggested equation in this paper is compatible on account
of identity of the historical equation and those may be useful to determine 5 independent
elastic constants in single specimen test of the rocks with the monotonous relation. And it is
also found that the other equation should be needed for the rocks with the non-monotonous
relation.
Apparent Young’s Modulus
E1 > E2
E2
E1 < E2
0 10 20 30 40 50 60 70 80 90
Anisotropic Angle
Figure 2. Apparent Young’s modulus on angle.
650
Figure 3. Relations of Ea − φ in literatures (top; diatomite under uniaxial compression after Allirot
and Boehler, 1979, bottom; artificial rock block I after Tien and Tsao, 2000).
Figure 4. Relations of Ea − φ of four types of Himalayan schists (after Nasseri et al., 2003).
5. Secondary Suggestion and Validation

5.1. Suggestion of Equations
Based on the effectiveness of Eq. (6) and the need of new one, two more equations are
suggested here as Eqs. (7) andby using the apparent Poisson’s ratio which can directly be
651
derived from strain measurements as in Eq. (9). These equations may not consider the elastic
constraints except the three critical cases like in Eq. (6). Each has an advantage to apply to
the rocks whether the Ea − φ relation is monotonous or not. They may have a role to replace
the previous equations at least in rocks of which the Ea − φ relation is not monotonous.
νa = 0.5(ν12 + ν21 ) sin2 φ + ν2 cos2 φ (7)

2φ π − 2φ
νa = 0.5(ν12 + ν21 ) + ν2 (8)
π π
where,νa = −0.5 (εx + εz )/εy (9)
5.2. Model of a transverse isotropy

A model of the transversely isotropic body is constructed in order to verify the validity of the
suggested equation. Throughout experiences and literatures of many experiments, the range
of elastic modulus of rock is several tens GPa and E1 is generally bigger than E2 (Wittke,
1990). Based on the assumptions, the elastic moduli in two directions of the transversely
isotropic model are assumed 50 GPa and 40 GPa respectively. Poisson’s ratio of the isotropic
plane is assumed to be 0.25, and ν21 expressed as ν2 is 0.22 at first and a variable. Those two
may have a value between 0.1 and 0.4 respectively.
The shear modulus of the anisotropic plane is also assumed a variable. If it is as the same
as G∗ (new notation of G2 only when calculated by Eq. (1), 17.86 GPa in this model),
strains in Fig. 1 are definitely controlled by Eq. (1) or Eq. (6) and the other fifth equations
are not needed nor existed any longer. Rock may have the value around this but not same,
furthermore it has already been found that many types of rocks show the non-monotonous
relation of Ea − φ. In this consideration, let G2 of a model be 16.96 GPa which is just 5%
smaller than G∗ . Their new notations in the first order and values in the model are listed in
Table 1.
Table 1. Independent elastic constants.

independent the first order value
constant notation in the model
E11 E1 50 GPa
E22 E2 40 GPa
ν31 ν1 0.25
ν21 ν2 0.22 or var
G12 G2 16.96 GPa
5.3. Validation of the suggested equations

If the value of G2 of the model is bigger or smaller than G∗ , some error will occur for Eq. (1).
And it will be evaluated whether the error is acceptable or not. The validation flowchart is
shown in Fig. 5. The effectiveness of the suggested equation can be evaluated by the error
between the input in the first step and the output from the last step of the every elastic
constant.
Six strains from step C in the flowchart can be generated following by Eq. (4), but the inde-
pendent strains obtained here are only four. By using Mohr’s strain circle, four independent
652
Figure 5. Flowchart of validation of equation.
strains in X − Y direction can be derived in step D. They are 4 strains including Z-direction
strain, which are just same as the strain measurements obtained from actual test as in Fig. 1.
Step E to transform them in 1 − 2 − 3 coordinates system can make it easy to calculate the
constants by the four constitutive equations and one of suggested equations.
5.4. Validation in models

For example in a model with φ = 20, strain in y direction is measured as much as 24.72
μ-strain when 1 MPa is applied in y direction, and others are listed in the first column of
Table 2. Converted strains and apparent constants are in the second column and the third
column respectively.
Final output with applying Eq. (1) are in the first column in Table 3 and the relative error
(RE) for every constant, which can be defined as Eq. (9) are also mentioned. The sum and the
average of RE are 67.4% and 16.8% respectively without counting the value of G2 because
it is always identical to the input at any model. Three other resultants which are almost same
as the input may be acceptable, but ν1 shows a large difference with 51.5% of RE even G2
is given 5% smaller than the expected one in Eq. (1).
RE = 100% × (1 − output/input) (10)
With applying Eq. (7), the whole results are presented in second column. Not only the sum
or the average, but also the every RE is much smaller than those with Eq. (1), which explains
that Eq. (7) may be more compatible and become a tool to solve the constants for some kinds
of rocks.
It is revealed that the results in third column with applying Eq. (8) present smallest error.
The sum and the average of RE are analyzed as much as 17.7% and 4.4% respectively
and the largest one is 13.6% in ν1 which is much smaller than those with applying other
two equations. This analysis explains that Eq. (8) is the most compatible equation and also
becomes an alternative in this model. It is also induced that E2 and ν2 tend to be analyzed
with small errors and E1 and ν1 are calculated with large differences to the input values in
models of flat angle. In the other models with steep angle, constants tend to be analyzed vice
versus and Eq. (7) is the most compatible one. It is true that this tendency is practically found
in actual tests.
653
Figure 6. Guide map to select the most compatible equation.
6. Map to Select the Compatible Equation

It is verified that the secondary suggestions are useful and has higher compatibilities in models
even if they are constructed with less consideration of theory of mechanics. They may be
more applicable than Saint-Venant’s because of the possibility to apply in models whether
their Ea − φ relations show monotonous or not. It has been found that applying Eq. (7)
results in the closer constants for a large angle model and Eq. (8) for a small angle model
where G2 is given just the smaller value than G∗ . In models of E1 /E2 = 1.2 and ν1 = 0.25,
the most compatible equation among three ones can be selected by comparing RE with the
various inputs of ν2 and φ.
Figure 6 is the guide map to select the adequate equation for this model on the variations
of ν2 and φ. This map indicates that Eq. (1) is the most applicable equation for model with
mid angle (marked SV), Eq. (7) for larger angle and Eq. (8) for smaller angle. It is found
that both equations in boundaries of transition show the almost same results in the model.
It is also disclosed in the large angle model that resultants and REs are analyzed in the
almost same values for 3 equations while Eq. (7) is the best. Saint-Venant’s approximation
Table 2. Strains in a model with φ = 20.

Strains in Step C Strains in Step D Apparent
(m–s/MPa) (m–s/MPa) Value
εy = 24.72 ε1 = −2.52 Eapp = 40.45 GPa

ε(45) = 9.90 ε2 = 21.43 νapp−x = 0.2348
εx = −5.80 ε12 = 18.95 νapp−z = 0.2201
εz = −5.44 ε3 = −5.44 νapp = 0.2275
654
Table 3. Results and errors in a model with φ = 20.

with Eq. (1) with Eq. (7) with Eq. (8)
constant
amount error amount error amount error
E1 44.8 GPa 10.31% 47.5 GPa 4.99% 48.6 GPa 2.72%

E2 39.9 GPa 0.16% 40.0 GPa 0.07% 40.0 GPa 0.04%
ν1 0.121 51.53% 0.188 24.96% 0.216 13.62%
ν2 0.232 5.37% 0.225 2.46% 0.222 1.32%
RE Sum 67.4% 32.4% 17.7%
RE Average 16.8% 8.1% 4.4%
is preferable even though Eq. (7) shows the smaller error on account of its renownless in
the case of the large angle model. There exist the blanks of no compatible equation for the
models with extremely acute angle which shows the RE average with more than 15% and
one of 4 individual RE with more than 25%. This means that it is very difficult to analyze
the true values of constants in the small angle rock specimen.
7. Application to Rock Tests

It is definitely occurred that the measured strain data occasionally results in the unacceptable
magnitudes of constants, which may be induced by applying Eq. (1), especially ν1 and E1
for a specimen with flat angle through the testing experiences. Samples from two different
tunnel projects may be good examples to explain this fallacy which has been revealed in the
model analysis. Every specimen of tested granite and mudstone has one dominant foliation as
general in class-B rock (Gonzaga et al., 2008). And testing data on St-Marc limestone from
literature is also to be presented.
7.1. Seoul gneiss

Two specimens of high strength gneiss from Seoul subway construction site were tested with
double sets of strain measurements as in Fig. 1. Both specimens have same anisotropic angle
of 17 and can be assumed to have same characteristics as much as the similarity of their
Figure 7. Stress-strain curves for two specimens of Seoul gneiss.
655
Table 4. Strain measurements in gneiss specimens (unit; μ-strain/MPa).

specimen planes εy ε45 εx εz
on A and B 19.059 9.510 −5.485 −7.492

Gneiss – A on A’ and B’ 21.566 9.791 −5.491 −5.694
average 20.312 9.651 −5.488 −6.593
on A and B 19.755 8.220 −5.694 −6.582
Gneiss – B on A’ and B’ 22.302 8.595 −6.835 −6.804
average 21.028 8.408 −6.264 −6.693
Imaginary Specimen – C average of two specimen 20.670 9.029 −5.876 −6.643
Table 5. Resultants of deformability analysis of gneiss.

specimen equation E1 E2 ν1 ν2 G∗
Eq. (1) 176.44 46.12 3.2493 0.2531 26.09

Gneiss − A Eq. (7) 55.41 45.90 0.3345 0.3050 18.82
Eq. (8) 43.13 45.80 0.0387 0.3263 16.87
Eq. (1) 69.84 46.18 0.7876 0.2893 20.62
Gneiss − B Eq. (7) 54.17 46.10 0.3865 0.3066 18.71
Eq. (8) 46.97 46.05 0.2022 0.3185 17.59
Eq. (1) 100.07 46.15 1.4857 0.2712 23.03
Imaginary Specimen C Eq. (7) 54.78 46.00 0.3607 0.3058 18.76
Eq. (8) 45.35 45.93 0.1266 0.3216 17.29
strengths, 155 MPa and 160 MPa respectively. Stress-strain curves are illustrated in Fig. 7
and their tangent values in the unit of μ-strain/MPa in the linear zone are described in Table 4
for both and their averages. Strains are measured as much as 19.059, 9.510, −5.485, −7.492
μ-strain/MPa on plane A and B, and 21.566, 9.791, −5.491, −5.694 μ-strain/MPa on plane
A’ and B’ in order for the specimen A. Their averages are listed in the first row in Table 4.
Imaginary specimen (C) of 17 angle can be constructed with the strains as much as averages
of two tested specimens.
The independent elastic constants as the analysis resultants with applying each suggested
equation are listed in Table 5. It is clearly disclosed that ν1 and E1 are absolutely analyzed
unacceptable with Eq. (1). Higher values and lower values of ν1 are analyzed by applying
Eq. (7) and Eq. (8) respectively. It will be the next task to choose the best one of the two
which may result in the compatible values of constants.
It is not correct that Eq. (8) is the best when being chosen from the guide map in Fig. 6
because G2 for tested specimen is not smaller than G∗ derived by Eq. (1). For specimen A,
G2 is as much as 26.09 GPa from actual test, and G∗ is evaluated 18.82 or 16.87 in applying
Eq. (7) or Eq. (8). If model of which G2 is larger than G∗ instead of model mentioned before
is investigated, Eq. (7) can be the best on another guide map. It will be another evidence to
show that Eq. (7) is the best that the similarity of ν1 values for 2 specimens with Eq. (7) is
better than that with Eq. (8).
The average values of constants, 54.79 GPa, 46.00 GPa, 0.3605 and 0.3058 in order with
applying Eq. (7) are the correct results in this sample and they are almost same values as
those of an imaginary specimen C. There may be large differences when Eq. (1) or Eq. (8) is
applied. It is noted that the resultants with 3 equations should be re-evaluated whether G2 is
smaller than G∗ and whether another guide map is needed.
656
7.2. Busan mudstone

Two specimens of the greenish gray colored silty mudstone from Busan area were tested
with angles of 26 and 22, in the high strengths of 196 MPa and 188 MPa respectively.
Experiment was conducted with double sets of strain measurements as well and the data
were reported in Korean journals (Park and Park, 2002, and Park, 2001) where the direction
of strain measurements was focused. Average tangent values in the linear zone are described
in Table 6. Imaginary specimen can also be constructed with averages of strains and angle
of 24.
The analysis resultants are listed in Table 7. It is found that all of constants are analyzed
almost same values except ν1 and may have the acceptable amounts with every equation. It
will also be the next task to choose the best one of three equations. Generally the equation
which yields the medium values is the best one. Eq. (1) is the most compatible one in this case.
Another way to choose is the application of the guide map by comparing G2 from test
(independent of the fifth equation) to G∗ derived from 4 constants with every equation. G∗
with Eq. (7) is 14.66 GPa just 4% larger than G2 , which means that Eq. (8) is the compatible
one on the guide map as Fig. 6. Thus the constants with Eq. (7) cannot be the best compatible
equation. And G∗ with Eq. (8) is analyzed 13.91 GPa just 2% smaller, which means that
Eq. (7) will be compatible on the other guide map where G2 is larger than G∗ , and Eq. (8)
cannot be chosen either.
Based on the two methods to choose the best equation, Eq. (1) is the best and one of Eq. (7)
and Eq. (8) cannot be the best in this sample.
In this sample, 8 independent equations can be constructed because of the difference of
angles of two specimens, which enables to solve 5 independent constants by root mean
square method to minimize the error of strain measurements. This kind of the optimum
solution can produce the true constants. The last row in Table 7 mentions its resultants, the
Table 6. Strain measurements in mudstone specimens.

specimen angle εy ε45 εx εz
Mudstone – A 26 27.020 7.553 −6.724 −7.032

Mudstone – B 22 21.230 4.801 −5.992 −6.349
Imaginary Specimen – C 24 24.125 6.177 −6.358 −6.690
Table 7. Resultants of deformability analysis of mudstone.

specimen equation E1 E2 ν1 ν2 G∗
Eq. (1) 26.55 40.84 0.2211 0.2746 13.23

Mudstone – A Eq. (7) 27.52 40.96 0.2654 0.2626 13.59
Eq. (8) 26.03 40.76 0.1970 0.2814 13.03
Eq. (1) 28.43 52.76 0.2426 0.3162 15.13
Mudstone – B Eq. (7) 30.42 52.93 0.3300 0.2972 15.87
Eq. (8) 27.88 52.71 0.2189 0.3217 14.91
Eq. (1) 27.56 46.05 0.2306 0.2928 14.14
Imaginary Specimen – C Eq. (7) 28.95 46.20 0.2926 0.2778 14.66
Eq. (8) 26.95 45.98 0.2034 0.2998 13.91
Optimum Solution 20.6 52.2 0.36 0.24 14.14
657
amounts of constants are far from those with the suggested approximations. These results
may be evaluated the erred ones because E2 is far from Ea . It may be considered that the
suggested equation yield the better results than the optimum solution in this case. It may also
be concluded that the optimum analysis for multi-tests on similar shaped specimens cause an
erroneous result because strains and strain measurements always involve the errors.
7.3. St-Marc limestone from literature

There is one literature to use the directions of strain measurement as in Fig. 1 to examine
St-Marc limestone with φ = 44.5 where 9 strains were measured (Gonzaga et al., 2008). 4
independent ones were included and analyzed as much as 16.162, 6.821, −4.161, −4.774
μ-strain/MPa in order, of which 45 degree directional strain measured in the other direction
of Fig. 1 was here transformed. Ea , νa and G2 are interpreted as 61.87 GPa, 0.2764 and
24.64 GPa respectively.
Table 8. Resultants of deformability analysis of St-Marc lime-

stone.
equation E1 E2 ν1 ν2 RE sum G∗
Eq. (1) 69.0 56.3 0.373 0.234 40.1% 24.64

Eq. (7) 71.5 57.8 0.422 0.213 25.6% 25.87
Eq. (8) 71.7 57.9 0.427 0.211 25.8% 25.98
true value 70.1 61.6 0.40 0.19 − −
Table 8 presents the resultants by applying three equations and the true values of the
constants measured in the literature. The amounts of all constants may be analyzed in the
acceptable ranges. Each of ν2 showing the higher value because its true value is known as
high as 0.40, is also acceptable. All three approximations may be adequate on this analysis.
The RE sum comparing to the true value is calculated as much as 40.1%, 25.6% and 25.8%
for every suggested equation, which means Eq. (7) can be the best. If true values are not
known, Eq. (8) may be most compatible because the guide map indicates in this case.
8. Conclusions
Test of two or more uniform specimens can identify the exact values of the five independent
elastic constants of a transversely isotropic rock. It is found from the analysis of actual test
that the optimum analysis for multi-tests on similar shaped specimens may cause an erro-
neous result because strain measurements always accompany the errors. In engineering, they
might be often measured with a single specimen and Saint Venant’s approximation is essential
on the lack of one relation in the constitutive equations.
The directions of 4 strains suggested in Fig. 1 may minimize the errors in measurement
and 2 sets of strain gauge can increase the accuracy. The first suggested equation has been
approved identical to Saint-Venant’s approximation. Both equations present that the appar-
ent Young’s modulus is dependent on and monotonously increasing to the anisotropic angle,
which may conclude that they are not applicable to rocks with the non-monotonous relation.
They may also result in the unacceptable constants in the case of a small angle specimen.
The second and the third equations defined by the apparent Poisson’s ratio are also
approved useful through the analysis of numerical models and actual tests of rocks. Each
658
equation has an advantage to apply to the rocks whether the relation between the apparent
Young’s modulus and the anisotropic angle is monotonous or not. Each equation obviously
has a role as an alternative to replace the historical equation which may yield the unreason-
able results especially in the case that anisotropic angle of a specimen is small. The adequate
equation can be selected by the amounts of ν2 and φ as shown in the guide map. If G2 is
larger than G∗ after analysis, the adequate equation can be found from the other guide map.
Even though one of those two suggestions can show the smaller amount of error as in model
analysis, Saint-Venant’s approximation is preferable in the case that the anisotropic angle of
a specimen is large and the resultants has amounts in the engineering ranges.
Acknowledgements
This study was funded by the Korea Institute of Construction & Transportation Technology
Evaluation and Planning under the Ministry of Construction & Transportation in Korea
(Grant No. 05-D10, Development of Water Control Technology in Undersea Structures).
References
1. Allirot, D. and Boehler J.P., “Evolution of mechanical properties of a stratified rock under confin-
ing pressure”, I 4th ISRM Congress, Montreal, 1979, pp. 15–22.
2. Amadei, B., “Importance of anisotropy when estimating and measuring in situ stresses in rock”,
International Journal of Rock Mechanics and Mining Science, 33, 3, 1996, pp. 293–325.
3. Duevel, B. and Haimson, B., “Mechanical characterization of pink Lac Du Bonnet granite: Evi-
dence of nonlinearity and anisotropy”, International Journal of Rock Mechanics and Mining Sci-
ence, 34, 3, 1997, pp. 117e1–e18.
4. Flugge W., Tensor analysis and continuum mechanics, Springer-Verlag, Berlin, 1972.
5. Gonzaga, G.G., Leite, R. and Corthesy R., “Determination of anisotropic deformability parame-
ters from a single standard rock specimen”, International Journal of Rock Mechanics and Mining
Science, 45, 2008, pp. 1420–1438.
6. Goodman R.E., Introduction to rock mechanics, John Wiley & Sons, 1980.
7. Park, Chulwhan, “Analysis of elastic constants of an anisotropic rock”, Tunnel and Underground
Space as KSRM Journal, 11, 1, 2001, pp. 59–63.
8. Park, Chulwhan and Park, Chan, “Suggestion of testing method to determine elastic constants of
an anisotropic rock”, Proc. Seminar on Standard Method of Rock Testing in Civil Engineering by
KSRM Rock Testing Commission, 2002, 101 pp.
9. Talesnick, M.L. and Ringel, M., “Completing the hollow cylinder methodology for testing of
transversely isotropic rocks; torsion testing”, International Journal of Rock Mechanics and Mining
Science, 36, 6, 1999, pp. 627–639.
10. Tien, Y.M. and Tsao, P.F., “Preparation and mechanical properties of artificial transversely
isotropic rock”, International Journal of Rock Mechanics and Mining Science, 37, 4, 2000, pp.
1001–1012.
11. Wittke W., Rock mechanics – Theory and applications with case histories, Springer-Verlag, Berlin,
1990.
12. Worotnicki, G., “CSIRO triaxial stress measurement cell”, Chap 3–13 in Comprehensive Rock
Engineering (edited by Hudson J. A.), Pergamon Press, 1993, pp. 329–394.
659
Numerical Analysis of Deep Excavation Affected by Tectonic
Discontinuity
L. MICA1,∗ , V. RACANSKY1,2,∗ AND J. GREPL1

1 Brno University of Technology, Faculty of Civil Engineering, Institute of Geotechnics
2 Keller – speciální zakládání, spol. s r.o., Czech Republic
1. Introduction
Retaining structures are in most cases excavated in soils (coarse grained or fine-grained soils)
whereas rock environments are less common. This can change in the near future. As the
space is scarce especially in cities, the use of underground is more and more common. The
consequence of this may be fact that during excavation of the foundation pit, rock environ-
ment formed mainly by solid rocks will be reached. This environment was subject to many
geological process which have altered the rock properties. The most significant are tectonic
processes. They usually cause many discontinuities (cracks, clefts). This was the background
for the paper analysing retaining structures which are built in the rock environment affected
by tectonic disturbances.
The main content of the paper is the numerical analysis of the retaining structure in the
rock environment disturbed by joints. An influence of some factors on displacements and
bending moments of retaining structure (diaphragm wall) is studied. Particularly an incli-
nation, thickness and location of the joint (fault) from the retaining wall is analysed. A FE
analysis of the shale rock affected by tectonic disturbances is presented. Joints were modelled
by clusters, instead of using interface elements, due to significant fault thickness of up to 3 m.
2. Material Parameters of the Tectonic Fault

Parameters for the fault zone are based on the laboratory tested samples 1 collected during
the excavation of Mrázovka tunnel in Prague. The material is made by mixture of flat spalls
of the shale and fine-grained silty matrix. The size of the shale is less than 10 cm. Studied
tectonic disturbance was found in Ordovician series of the shale rock. Triaxial testing (diam-
eter of the sample was 38 mm) and large-diameter set (1 × 1 × 0.75 m) were conducted. For
the standard sample size triaxial test, it was necessary to exclude the grains whose size was
more than 4 mm. For large-diameter tests, no such exclusion was necessary. The laboratory
results have showed following: the material without grains over 4 mm has a peak friction
angle of 32.9◦ and the material with grains over 4 mm has a peak friction angle of 34.9◦ .
This illustrates the fact that fine-grained matrix of the fault has a dominant influence on the
shear strength. The oedometric module has been evaluated from the large-diameter test from
the consolidation phase. This module has been recalculated for Young’s modulus “E”. Input
data are summarized in the Chapter 3.2.
3. Numerical Analysis
3.1. Description of model
In the first step, just before carrying out the numerical analysis, the retaining structure was
designed neglecting the presence of the fault. On the basis of this step four times strutted
∗ Corresponding author. E-mail: mica.l@fce.vutbr.cz, racansky.v@fce.vutbr.cz

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0095 661
diaphragm wall has been designed. Its thickness was 600 mm, length was 27 m for a depth of
the excavation of foundation pit which is 25 m. Different positions of the tectonic disturbance
were defined for this geometrical setup. The tectonic disturbance has been chosen with angles
30◦ , 45◦ , 60◦ and 75◦ at three positions. The thickness of tectonic disturbance has been
selected 3 m. Nine different position of the fault zone has been defined. Dimensions of the
problem are given in Fig. 1(a).
FE code PLAXIS V94 was used for calculations. A 2D plane strain analysis using 15-noded
triangular elements for modelling of soil behaviour was performed. Drained soil behaviour
was considered in the analysis for the construction period of the excavation. Structure, retain-
ing wall, was modelled as plate element. Struts were modelled by bar element. A width of
the model is 130 m and the depth is 85 m. Generated mesh contained approx. 3500–4500
elements (Fig. 1(b)).
The construction was divided in 11 construction stages:
1. Generation of initial stresses,

2. Construction of diaphragm wall
3. Excavation at the depth – 4.0 m
4. Construction of 1st level of strut at depth 3 m
6. Construction of 2nd level of strut at depth 8.0 m
8. Construction of 3rd level of strut at depth 13.5 m
9. Excavation at the depth – 19.5.0 m
10. Construction of 4th level of strut at depth 19.0 m
11. Final excavation to depth 25 m
Mechanical behaviour of the rock environment has been approximated using Mohr-
Coulomb and Hardening soil models with material characteristics given at Chapter 3.2. Also
the material parameters for the material of the fault and of structural elements are given in
Chapter 3.2.
3.2. Input data
The analysis of the influence of tectonic disturbance has been carried out for subsoil formed
by shale. They are characteristic for the area of Prague (Czech Republic). Behaviour of shale
has been extensively studied2 during the excavation of tunnel “Mrázovka” (1999-2004).
Tests have been carried out on the material of the rocks as well as on tectonic disturbance.
On basis of this information the geological profile has been compiled. The profile was used
for numerical analysis with following data field:
0.0 – 4 .0 m Deluvial Sediments

4.0 – 14.0 m Partly weathered Shale
14.0 – m Unweathered Shale
Material characteristics based on [3] which were used in the numerical analysis are sum-
marized in Table 1.
Input data for material which forms tectonic fault are based on1 and are given at Table 2.
Similarly as for previous materials this material has been described by Mohr-Coulomb model
and Hardening soil model.$
662
Strut Diaphragm wall
-4.0 Diluvial Sediments
-8.5 a
-14.0 Partly weathered Shale
Pos. I -17.0
-19.5
-25.0
Pos. II -26.0
Fault zone -32.0

Pos. III
Unweathered Shale
(a) Geometry used for the analysis (cross-section)
(b) Finite element mesh – Pos. III_4
Figure 1. Geometry.
The diaphragm wall was defined by axial stiffness (EA) and bending stiffness (EI). The
thickness of diaphragm wall is 0.60 m and Young modulus of the concrete used in the analysis
was 30 GPa. The axial stiffness of the prop is EA = 1.6e − 8 kN per 3 m.
663
Table 1. Model parameters – soils and rocks.

Parameter Unit MC model
Deluvial Sediments Partly weathered Shale Unweathered Shale
γsat /γunsat kN.m−3 21/21 23.5/23.5 25.2/25.2

Eref kN.m−2 10 000 80 000 400 000
c kN.m−2 22 20 40
ϕ ◦ 5 26 32
ψ ◦ 0 0 0
ν - 0.3 0.35 0.265
Table 2. Model parameters – tectonic fault - joint.

Parameter Unit Material model
MC model HS model
γsat /γunsat kN.m−3 21/21 21/21

Eref kN.m−2 44 600 -
ref
E50 kN.m−2 - 31 000
Eref
oed
kN.m−2 - 31 000
Eref
ur kN.m−2 - 93 000
c kN.m−2 8/0 8/0
ϕ ◦ 32.9 32.9
νor νur - 0.3 0.2
ψ ◦ 16/0 16/0
m - - 0.6
Rf - - 0.9
4. Results
Series of numerical analysis have been performed in order to examine the influence of joints
on bending moment in the retaining structure. Diaphragm wall with four levels of struts was
modelled in the shale rock mass of Libeň region. Joint of 3m of thickness was modelled with
four different angles (30◦ , 45◦ , 60◦ and 75◦ ) and three different depth levels with respect to
the structure. The geometry of the variants, which has been analysed is given in Fig. 2. For
description of mechanical behaviour of the joint two constitutional models have been chosen:
MC model and HS model. In addition to the values given in Table 2 the analysis with the
parameters „c“ and „ψ“, which both equal 0, has been also done. The rock mass outside the
area of the failure has been modelled by MC model.
Model without any tectonic fault was regarded as a reference one. Bending moments cal-
culated in models with the tectonic fault were always compared to the reference solution. It
has been assumed, that the reinforcement of the diaphragm wall wall has been done the same
way in both surfaces (i.e. for maximal bending moment of the wall).
Numerical analysis shows, that in case of given geological conditions there is not a sig-
nificant difference between modelling of the tectonic fault by MC and HS model. For both
cases it is possible to observe the same trend in the change of the bending moments. A differ-
ence has been in the bending moment values. The MC model has given slightly higher values
664
Model
Pos. I. Pos. II. Pos. III.
30° - 45° - 60° - 75° - 30° - 45° - 60° - 75° - 30° - 45° - 60° - 75° -
I_1 I_2 I_3 I_4 II_1 II_2 II_3 II_4 III_1 III_2 III_3 III_4
Figure 2. Scheme of the models.
(Fig. 3). Considering these facts and the fact that the HS model gives better description of
the soil behaviour compared to the MC model (standard MC model uses constant Young’s
modulus of elasticity which is independent on the stress level and also on strains). Results
for HS model only will be presented. Results from the 11th stage which give the most critical
results are shown.
Faults located in position II have the most significant influence on the wall behaviour. An
increase (in percents) of bending moments for selected fault inclinations is: 30◦ - 45%; 45◦
- 64%; 60◦ - 57%; 75◦ - 53%). For faults located in position I, the change of the maximal
bending moment has not exceeded 10 %. However the change of bending moments was up
to 100% for angle of 45◦ and above. This was caused by the bending moment redistribution
at the point where the fault crosses the wall. The bending moment on the intrados has risen
whereas the moments on the extrados has decreased. For the fault position III the maximal
bending moment has slightly changed compared to the reference case (Fig. 4(b)). However,
an anomaly can be observed in model III_1, where the bending moment has significantly
Bending moment kN/m Bending moment kN/m

-600 -400 -200 0 200 400 600 800 -600 -400 -200 0 200 400 600 800
0 0
-3 -3
-6 -6
0
-9 -9
Depth of the wall (m)
II_1
-12 -12
-15 -15 II_2
-18 -18 II_3
-21 -21
II_4
-24 -24
-27 -27
HS model MC model
Figure 3. Comparison of bending moment for MC and HS Model – Pos. II.
665
Bending moment kN/m Bending moment kN/m

-300 -200 -100 0 100 200 300 400 500 -400 -200 0 200 400 600
0 0
-3 -3
-6 -6
0
0
-9 -9
Depth of the wall (m)
I_1 III_1
-12 -12
I_2
-15 -15 III_2
I_3
-18 I_4 -18 III_3
-21 -21
III_4
-24 -24
-27 -27
4a) Redistribution of moment at Pos. I. 4b) Bending moment for Pos. III.
Figure 4. Differences between bending moment for position I and III compared with model without
the fault.
increased at the wall toe. This is most probably caused low quality mesh generated for this
model in the toe zone.
Regarding wall displacements, following was observed: models with faults in position I
had the highest value of horizontal displacement at the point where the joint crosses the
wall. Models with faults in position II had the highest value at wall toe. Models with faults
in position III had nearly identical horizontal displacements as the reference case.
Further, the same analysis was performed with tectonic fault strength parameters c = 0 kPa
and ψ = 0◦ . Same conclusions regarding bending moments and displacements are valid,
however the values of bending moments are higher.
5. Conclusion
An FE-analysis of a deep excavation influenced by a tectonic fault is reported. Primary aim of
the analysis was to evaluate the influence of the different positions and thickness of tectonic
fault on the behaviour of the retaining wall. Motivation for this study was the fact, that a
conventional analysis used for the design cannot take inclined layers into account. Following
conclusions can be drawn:
(1) For given geological conditions it has been shown that the worst position of the fault
is the position II, with maximal rise in bending moment for joint angle of 45◦ . Bending
moments for faults in positions I and III have not changed significantly.
(2) Neglecting the presence of the tectonic fault when using conventional design methods
(limit equilibrium method, beam on elastic (elasto-plastic) subgrade) is not on the safe side
for design of the retaining wall. Example may be the case with the fault in position II where
the maximal bending moment has increased by 64%. This increase can already have serious
consequences.
666
The analysis shows that the fault can significantly influence the retaining wall design. It
has to be stressed out that these conclusions are partial. Author’s aim is to continue with this
topic and reach more general conclusions, which can be helpful for technical practice.
Acknowledgements
This contribution was financially supported by the project of the Czech Science Foundation
(GA CZ) No. GA103/09/1262 and by the research project of The Ministry of Education,
Youth and Sports (MŠMT CZ) No. MSM0021630519. Authors appreciate this support.
References
1. Mašín, D., Vliv výplnì tektonických poruch na deformace tunelu, Master thesis, Faculty of Science,
Charles University in Prague, Prague, Czech Republic, 2001, (in czech).
2. Hudek, Exploratory galéry of the Mrazovka tunnel in Prague, Tunel, Vol. 6, No. 3, 1997, Czech
Republic, pp. 13–16.
3. Doležalová, M., Zemanova, V., Danko, J., The Mrazovka expoloratory adit – modelling of rock
mass mechanical behaviour according to field measurements, Tunel, Vol. 8, No. 1, Czech Republic,
pp 8–15.
4. Plaxis 2D – Version 9.0, Edited by R.B.J. Brinkgreve & W. Broere, D. Waterman, 2008.
667
The Finite Element Analysis for Concrete Filled Steel Tubular
Columns under Blast Load
J.H. ZHAO∗ , X.Y. WEI AND S.F. MA

School of Civil Engineering, Chang’an University, Xi’an 710061, China
1. Introduction
The responses of blast load are always taken into consideration for the significant building
and protective construction. Presently, concrete filled steel tubular (CFST) is widely used in
construction because it has the beneficial qualities of both concrete and steel. In order to
study the mechanical behavior of the CFST column under blast load, the dynamic responses
of a square CFST column under surface explosion were simulated by the nonlinear finite
element program ANSYS/LS-DYNA. The JHC model was used for concrete material and
the MAT_PLASTIC_KINEMATIC model which accounted for the strain rate used for steel.
The failure behavior of the CFST column at scale distance equal to 1.0 was analyzed. The
results indicate that the inner concrete was seriously damaged, however, the deformation of
concrete was restricted by the steel tube. It shows that CFST column has excellent ductility
and blast resistance. The time-history curve of displacement of key nodes at different scale
distance are compared, which indicates that the deformation of column obviously decreases
with the increase of scale distance.
2. Numerical Simulation
2.1. Numerical model
As shown in Fig. 1, the responses of CFST column under surface blast occurred at various
stand-off distances are investigated. The clear height of the CFST column is H = 3 m. Assum-
ing the column has square cross section and the width, the depth and the thickness of the
steel tube is 500 mm, 500 mm and 10 mm, respectively. The top and bottom of the column is
considered as fully fixed. A 3-D numerical model of concrete filled steel tubular column was
set up. Solid elements are used to model both the concrete and the steel. There are a total of
40460 elements in the numerical model. Convergence test is conducted and it was found that
further refinements in mesh density did not significantly improve global response.
2.2. Material model

The Johnson-Holmquist (J-H) material model is used for concrete. This model can be used for
concrete subjected to large strains, high strain rates, and high pressures. The equivalent stress
is expressed as a function of pressure, strain rate and damage. A more detailed description
can be found in LS-DYNA theoretical manual.8 The parameters of concrete used in this study
are shown in Table 1.
The MAT_PLASTIC_KINEMATIC material model is used for steel. Isotropic, kinematic,
or a combination of isotropic and kinematic hardening may be obtained by varying a parame-
ter β between 0 and 1. For β = 0 and β = 1, respectively, kinematic and isotropic hardening
∗ Corresponding author. E-mail: zhaojh@chd.edu.cn

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0070 669
Figure 1. Concrete filled steel tubular column under blast.
Table 1. Concrete material parameters (g-mm-ms).

Parameter MID RO G A B C N
Value 1 2.25E-3 1.38E4 0.75 1.65 0.007 0.76

Parameter FC T EPS0 EFMIN SFMAX PC UC
Value 40 3.92 0.001 0.01 7 13.33 7.3E−4
Parameter PL UL D1 D2 K1 K2 K3
Value 800 0.1 0.038 1 1.74E4 −3.88E4 2.98E4
Table 2. Steel tube material parameters (g-mm-ms).

Parameter MID RO E PR SIGY ETAN BETA SRC SRP FS VP
Value 2 7.85E-3 2.1E5 0.3 345 1180 0 40.4 5 0.3 0
are obtained. Strain rates effect is accounted for using the Cowper-Symonds model which
scales the yield stress by a strain rate dependent factor. The parameters of steel used in this
study are shown in Table 2.
2.3. Blast loading model

The explosive process is not included in this study. The blast pressures are generated using
procedures outlined in TM5-1300 and the loading functions corresponding to these blast
pressures are then applied to the numerical model. TM5-1300 is widely used by blast engi-
neers for preliminary design purpose. It adopts the cube-root scaled distance for considering
various stand-off distances and charge weight. The scaled distance is defined as
Z = R/W 1/3 (1)
in which R is the distance from the source and W is the weight of explosives.
Figure 2 shows a free-field typical pressure-time history. At any point away from the burst,
the pressure disturbance has the shape shown in Fig. 2. The shock front arrives at a given
location at time tA and after the rise to the peak value, Ps0 the incident pressure decays to
the ambient value P0 in time to which is the positive phase duration. This is followed by
a negative phase with a duration t0− . The negative pressure has a maximum value of P− s0 .
670
Figure 2. Free-field pressure-time variation.
Usually the negative phase is less important in the design than is the positive phase. Hence,
only the positive phase of blast pressure is considered in the numerical simulation.
The empirical pressure-time history in Ref. 2 is used herein:
P(t) = Ps0 (1 − t/t0 ) exp ( − bt/t0 ) (2)
in which b is the parameter of the shock wave.

The shock waves propagate with supersonic velocity and finally it hit the building. They
reflect from the building with amplified overpressures and it can be determined from TM5-
1300. Assuming the stand-off distance is 5 m, three blast scenarios are considered, i.e., the
scaled distance Z = 0.7, 1.0 and 1.3. The blast pressure is uniformly loaded on the column
surface.
3. Numerical Results
Numerical simulations are carried out to estimate the blast response and damage of the CFST
column subjected to explosive blast loading based on the transient dynamic finite element
program LS-DYNA.
3.1. Results of scaled distance = 1

Figure 3–5 shows the deflection in X direction and maximum principal stress of concrete of
time t = 2 ms, 5 ms, 9 ms, respectively. It is observed that the maximum deflection occurs at
the middle of the column. It is expected because the column has symmetrical supports and
it is under uniform load. The deflection increases with time and reach its maximum value
of 117 mm when t = 9 ms. From the stress contour of the column, it can be found that the
tensile damage occur first at the top and bottom of the concrete. The maximum principal
stress reaches the tensile strength of concrete. When time increases to 9 ms, the concrete at
the middle of the column is also damaged and erosion occurs. However, the ratio between
the deflection and the height of column is 3.9%. Hence, it can be concluded that the steel
tube effectively restricted the lateral deflection of the column and thus can improve the blast
resistances.
671
(a) Column deflection in x direction (b) Maximum principal stress of concrete
Figure 3. Deflection and stress of t = 2 ms.
(a) column displacement in x direction (b) maximum principal stress of concrete
3.2. Comparison of Displacement

Figures 6(a) and (b) shows the deflection in x direction of the column for scaled distance z =
0.7m/kg1/3 and z = 1.3m/kg1/3 , respectively. It can be seen that the maximum deflections
of the column decrease significantly with increase of the scaled distances.
672
(a) column deflection in x direction (b) maximum principal stress of concrete
(a) scaled distance z=0.7m/kg1/3 (b) scaled distance z=1.3m/kg1/3
Figure 6. Deflection in x direction.
4. Conclusion
The following conclusions are deduced from the numerical results:
The Johnson-Holmquist (J-H) material model can be applied to simulate reasonably both
the compressive crush zone and tensile damage.
When scaled distance is 1.0 m/kg1/3 , the ratio between the deflection and the height of col-
umn is 3.9%. It can be concluded that the steel tube effectively restricted the lateral deflection
of the column and thus can improve the blast resistances.
The maximum deflections of the column decrease significantly with increase of the scaled
distances.
673
Acknowledgements
The supports of the Fund for the Doctoral Program of Higher Education of China
(20040710001) and Shaan Xi Province Natural Scicence Foundation (SJ08E204) are grate-
fully acknowledged.
References
1. Georgios Giakoumelis, Dennis Lam. Axial capacity of circular concrete-filled-tube columns. Journal
of constructional Steel Research, 60, 2004, pp. 1049–1068.
2. Ben Young, Ehab Ellobody. Experimental investigation of concrete- filled cold-formed high strength
stainless steel tube columns. Journal of Constructional Steel Research, 62, 2006, pp. 484–492.
3. Zhang, F.G. and Li, E.Z. A computational model for concrete subjected to large strains, high strain
rates, and high pressures. Explosion and Shock Waves. 2002, 22(3), pp. 198–202.
4. LSTC. LS-DYNA keywords manual, Version 970, Livermore Software Technology Corporation,
Livermore, CA, 2003.
5. Wei, X.Y. Dynamic response of concrete and masonry structure under explosive and impact loads.
Reports of post PhD, 2007.
6. TM5-1300. Structures to resist the effects of accidental explosions. US Army, USA, 1990.
7. LSTC. LS-DYNA theoretical manual, Livermore Software Technology Corporation, Livermore, CA,
1998.
674
Numerical Simulation of Performance of Concrete-Filled FRP
Tubes under Impact Loading
C. WU1,∗ , T. OZBAKKLOGLU1 , G. MA2 AND Z.Y. HUANG3

1 School of Civil, Environmental and Mining Engineering, The University of Adelaide, SA, Australia
2 College of Engineering, Nanyang Technological University, Singapore
3 College of Civil Engineering, Hunan University, Changsha, Hunan, 410082, China
1. Introduction
Fiber reinforced polymer (FRP) composites have found increasingly wide applications in civil
engineering due to their high strength-to-weight ratio and high corrosion resistance.1 One
important application of FRP-composites is as a confining material for concrete, in both the
retrofit of existing reinforced concrete (RC) columns and in concrete-filled FRP tubes in new
construction. As a result of FRP confinement, both the compressive strength and the ultimate
strain of concrete under static loads can be greatly enhanced. However, little research has
been carried out to investigate FRP confined concrete under impact loads.
Numerical modelling techniques have been used to simulate the performance of FRP con-
fined concrete under static loads. An explicit finite element model with a concrete material
model based on the K&C concrete material model released in 1994 has been used to analyze
test data by Suter and Pinzelli2 on concrete cylinders wrapped by aramid. Malvar et al.3 has
successfully used numerical modeling to reproduce the strength enhancement observed in the
test specimens for various level of confinement under static loads. It is believed that these
developed models can also be used to model the behaviours of FRP confined concrete under
impact loads.
In this paper the Karagozian & Case (K&C) Concrete damage Model — Release III in
LSDYNA4 was validated by static test data on the performance of concrete specimens with
two different sizes confined with single-layer and double-layer CFRP sheets. The concrete
damage model was further verified by the recorded data from Split Hopkinson Pressure Bar
Test (SHPB) on CFRP confined concrete specimens under impact loads. The validated numer-
ical model was then used to conduct parametric studies on how CFRP confinement affects
dynamic strength of concrete under impact loads. Using the simulated data DIF formulae for
CFRP confined concrete specimens under different strain rates are derived.
2. Material Model for Concrete

Concrete is a common construction material and a lot of available material models have
been developed to model the performance of concrete under static loads. In this paper the
Karagozian & Case (K&C) Concrete damage Model — Release III with the equation of state
“Tabulated Compaction” in the LS-DYNA program was used to simulate the performance of
the confined concrete. The K&C Concrete Model is a three-invariant model, uses three shear
failure surfaces, includes damage and strain-rate effects, and has origins based on the Pseudo-
TENSOR Model (Material Type 16). The most important parameters for Concrete damage
Model are compressive damage scaling parameter (B1), tensile damage scaling exponent (B2)
and damage scaling coefficient for triaxial tensile (B3) which are determined in the process
of comparison and correction with the results of static test. Based on the recorded data for
∗ Corresponding author. E-mail: cwu@civeng.adelaide.edu.au

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0125 675
Figure 1. Plain concrete specimens.
Figure 2. A comparison of stress-strain curves.
plain concrete specimens with a diameter of 100 mm with height of 195 mm as shown in
Fig. 1, it was found that the input parameters B1, B2 and B3 are equal to 1.35, −0.65
and 1.15, respectively. Figure 2 shows a comparison of simulated and tested compressive
stress-strain curves. It can be seen the numerical results match well with the tested data,
demonstrating that the concrete damage model with the input parameters B1, B2 and B3 can
well simulate the performance of concrete material.
3. Simulation of Static Tests on FRP Confined Concrete Specimens

With the above concrete damage model, concrete specimens confined with CFRP sheets as
shown in Fig. 3 were simulated. The CFRP tubes were manufactured from the carbon fiber
sheets with epoxy resin. The Young’s modulus of CFRP is 240 GPa and tensile strength is
3800 MPa. The thickness of CFRP sheet used in this study is 0.117 mm. CFRP sheet was
modelled using an elastic-brittle material model in the LS-DYNA program. Figure 4 shows
676
Figure 3. CFRP confined concrete specimens.
Figure 4. Numerical model of CFRP confined concrete.
the numerical model of the FRP confined specimen. Figure 5 shows the stress-strain curves
of static test and numerical simulation for single-layer (SL) confined concrete specimen. It is
noted that the elastic parts of simulated and tested results are almost coincident. The result
of simulated ultimate compressive strength is 79.1 MPa, slightly higher than that of the static
test 72.5 Mpa. Generally, the two stress-strain curves match very well. Figure 6 shows a
677
Figure 5. Stress-strain curves for SL specimen.
Figure 6. Stress-strain curves for DL specimen.
comparison of the results for double-layer (DL) CFRP confined concrete specimens. It also
demonstrates that the numerical result agrees well with the test data.
4. Simulation of Impact Tests on FRP Confined Concrete Specimens

The above validated numerical method is used to simulate SHPB tests on FRP confined con-
crete specimens with diameter 75 mm and height 75 mm. A typical SHPB experimental set
up and specimen failure are shown in Fig.s 7 and 8, respectively. Figure 9 shows the numeri-
cal model of SHPB test in LS-DYNA program including striker bar, input bar, specimen and
output bar. In the numerical simulation the stress and strain of each element are more or
less different due to possible non-uniform stress/strain inside the specimen. Therefore, the
average result of the all elements of the specimen is used for the stress and strain of the con-
crete specimen. Figure 10 shows a comparison of the axial strain time histories of input bar
between the simulated and recorded data. As shown, the simulated result agrees well with
the measured data. Figures 11 and 12 show the simulated and recorded stress and strain time
histories of the CFRP confined concrete specimens and the simulated results matching well
with the measured data is observed again.
678
Figure 7. SHPB Test set up.
Figure 8. Specimen failure.
Figure 9. Numerical model of SHPB test set up.
5. Dynamic Increase Factor

Using the above model, parametric studies are conducted to investigate the stress strain
relationships of FRP confined concrete specimens under static and impact loads. Then, the
dynamic increase factor (DIF) which is defined as the ratio of dynamic carrying capacity over
static carrying capacity of specimens can be estimated. If Pd is the dynamic load carrying
679
Figure 10. SHPB Test simulation.
Figure 11. Specimen stress-time curves.
Figure 12. Specimen stress-time histories.
capacities and Ps is the static loading carrying capacity, the DIF for capacity is written as,
Pd
DIF = . (1)
Ps
680
Figure 13. Dimensions of striker bars (mm).
Figure 14. Incident waves from tapered striker bars.
To achieve DIF in different strain rates for FRP confined concrete, different length of striker
bars should be used to enable a range of incident stress waves. The lengths of striker bars used
in the parametric studies are 150 mm, 300 mm, 600 mm and 900 mm, respectively. Figure 13
shows the shapes of the four striker bars which will play an important part in the dynamic
increase factor research. With the four striker bars incident stress waves of short and long
time durations have been successfully simulated. Figure 14 shows incident waves produced by
impact loads from the four striker bars onto the incident bar at the same speed. As shown, the
shorter incident wave has a shape similar to a half-sine waveform with total time duration of
about 110 ms, while the other three incident waves have the total duration of about 175 ms,
285 ms and 395 ms, respectively, demonstrating that the duration is directly proportional
with the length of striker bar. The maximum strains of four groups are almost the same
except for the longest striker bar having a slight increase. Thus with variation of strike bar
lengths DIF of FRP confined concrete specimens with varying strain rates can be achieved.
A series of numerical analyses has been conducted on concrete specimens confined with
SL and DL CFRP tubes under impact loads. Figures 15 and 16 show a comparison of results
for SL and DL CFRP confined concrete under static and dynamic simulation. It is found that
DIF is 1.12 at strain rate of 85 and 1.21 at strain rate of 112 for SL CFRP confined concrete
and 1.16 at strain rate of 140 and 1.27 at strain rate of 176 for DL CFRP confined concrete.
Using the simulated results the relationships between DIF and average strain rate for SL and
681
Figure 15. SL CFRP confined concrete simulation.
Figure 16. DL CFRP confined concrete simulation.
DL CFRP confined concrete specimen are plotted in Fig. 17. As shown at the same strain
rate DIF for SL CFRP confined concrete is slightly smaller than that for DL CFRP confined
concrete. The main reason leading to this situation is because CFRP tube will fail earlier
before concrete crashing under a high strain rate for SL CFRP confined specimens while on
the contrary, for DL CFRP confined specimen concrete crashing becomes earlier before CFRP
failure due to the high confinement ability of DL CFRP sheets. Figure 18 shows DIF versus
average strain rate for SL and DL CFRP confined concrete in a semi logarithmic scale. It is
observed that the strain rate effect can be expressed by bilinear approximations respectively.
Using the simulated data DIF for SL CFRP confined concrete can be derived as
DIF = 1.01 + 0.001 log (ε̇) 0 ε̇ 30 s−1 (2)
DIF = 0.975 + 0.001 log (ε̇) 30 ε̇ 200 s−1 . (3)
For DL CFRP confined concrete:
DIF = 1.01 + 0.002 log (ε̇) 0 ε̇ 30 s−1 (4)
DIF = 0.986 + 0.001 log (ε̇) 30 ε̇ 200 s−1 . (5)
682
Figure 17. SL CFRP confined concrete specimens.
(a) SL CFRP confined concrete (b) DL CFRP confined concrete
Figure 18. Semi logarithmic plot of DIF versus average strain rate for SL and DL CFRP confined
concrete.
Figure 19. Comparison between plain concrete and CFRP confined concrete.
683
A comparison of DIF versus strain rate for plain concrete and CFRP confined concrete is
shown in Fig. 19. The data for plain concrete was tested by Zheng et al.5 As shown, DIF for
plain concrete is much higher than CFRP confined concrete.
6. Conclusions
The following conclusions are deduced from the experimental results:
• A numerical model for CFRP confined concrete specimens under static loads and impact
loads is validated.
• Dynamic increase factors for CFRP confined concrete specimens under different strain
rates are derived from the numerical simulation.
• DIF for SL DIF CFRP confined concrete is smaller than that DL CFRP confined concrete,
but they are smaller compared with plain concrete.
Acknowledgements
The numerical analysis was conducted as part of an advanced master research project ‘FRP
confined concrete under impact load’ by Mr Lei Guo.
References
1. Mirmiran, A. and Shahawy, M., “Behavior of Concrete Columns Confined by Fiber Composites”,
Journal of Structural Engineering, May, 1997, pp. 583–590.
2. Suter, R. and Pinzelli, R., “Confinement of concrete columns with FRP sheets”, Proc. 5th Int.
Conf. on Fibre Reinforced Plastics for Reinforced Concrete Structures, University of Cambridge,
Cambridge, UK 2001, pp. 793–802.
3. Malvar, L.J., Morrill K.B. and Crawford J.E., “Numerical Modeling of Concrete Confined by
Fiber-Reinforced Composites” Journal of Composites for Construction, July/August 2004, pp.
315–322.
4. Malvar, L.J., Crawford, J.E. and Morrill, K.B., “K&C Concrete Material Model Release III
— Automated Generation of Material Model Input.” K&C Technical Report TR-99-24-B1, 18
August 2000.
5. Zheng, S., Haussler-Combo, U., and Fibl, J., “New Approach to Strain Rate Sensitivity of Concrete
in Compression” J. Eng. Mech., 125(12), 1999, pp. 1403–2410.
684
Estimating Hydraulic Permeability of Fractured Crystalline Rocks
Using Geometrical Parameters
R. VESIPA∗ , Z. ZHAO AND L. JING

Royal Institute of Technology, Stockholm, Sweden
1. Introduction
Flow analysis in rock masses is very important for many engineering and environmental
problems, such as safety assessment of high-level radioactive waste repositories,1 geothermal
energy and oil/gas reservoirs, hydrocarbon storage in rock caves and hydropower projects.2,3
In crystalline rock masses, the rock matrix has almost negligible permeability, and the
hydraulic proprieties of the whole rock mass can be assumed to entirely depend on its fracture
system.4 For such geological systems, the rock mass permeability analysis usually deals with
two problems. The first one is to estimate whether the fracture connectivity is adequate to
permit flow through the regions concerned, i.e. to judge if the fracture system is percolating.
The other problem is to estimate the flow rate for the percolating fracture networks for back
calculation of the permeability.
In order to estimate the probability of a connected fracture cluster to be hydraulically
conductive, percolation theory have been extensively used.5−11 Basically, some parameters
describing network connectivity, such as fracture density per unit area or intersection density
per unit area, were defined. Then, models with different values of this parameter are built
and the hydraulic proprieties are estimated. Finally, a relation between the chosen parameters
and the likelihood of having a percolating system is established.
In order to estimate the flow rate, two approaches can be used: a deterministic approach
or a stochastic approach.
Since the significant spatial variability of the actual geometry of in-situ fracture networks,
deterministic approaches for fluid flow simulations in the fracture systems are usually of lim-
ited applicability. Therefore, stochastic approaches are often required, based on distributions
of geometrical parameters of the fracture networks, such as length, aperture, orientation and
location, which are used for generating realizations of fracture network models for percola-
tion and fluid flow analyses.
For estimating permeability of percolating fracture networks, approaches of different com-
plexity can be used. The first approaches were to estimate the permeability from the geometry
of the fracture network, without building a numerical model of the network and considering
real connectivity, but just considering the fracture network parameter value distributions.1
A second one is the approach of Discrete Fracture Network (DFN) for Monte Carlo simu-
lations of fluid flow with a large number of DFN models, using the parameter distributions
from the field mappings.
The objective of this paper is to develop a direct technique for estimating the equivalent
hydraulic permeability of fractured crystalline rocks without using numerical methods for
fluid flow simulations, but using only the fracture network models.
The problem was assumed to be in 2D, the rock matrix was considered impermeable; thus
the fluid moves through the connected fractures only. The effects of fracture roughness and
stress were not considered for simplicity at this stage. The cubic law (Eq. (1)) was adopted to
∗ Corresponding author. E-mail: riccardo.vesipa@gmail.com

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0001 685
define the flow rate q of a fluid with dynamic viscosity μ along a smooth rock fracture with
a constant aperture a, length l and pressure difference between the two fracture ends p.
a3 p
q= · . (1)
12μ l
2. Equivalent Permeability Estimation
Equivalent permeability is often represented as a permeability tensor,12 as defined in Eq. (2).

The flow in the i-th direction qi is related to the pressure gradient in the j-th direction pj by
the permeability tensor term kij .

qy kyy kyx py
= (2)
qx kxy kxx px
This paper purposed a geometrical method to estimate all the terms of the permeability
tensor as shown in Eq. (2), without using direct numerical flow simulations.
For a fracture network model with N linear channels (fractures) connecting two opposite
boundaries of a DFN model (Fig. 1), the equivalent permeability of the network as a porous
medium in a specific direction y is given by Eq. (3d), which is obtained by letting the flow
rate in the y-direction qy of the fractured network shown in Fig. 1(a) (and represented by Eq.
(3a)) equal to the flow rate of the equivalent continuum medium as shown in Fig.1(b) (and
represented by Eq. (3b)), through the mathematical manipulation shown in Eq. (3c).
N
a3i p1 − p2
qy = (3a)
12μ li
i=1

p1 − p2
qy = wKyy,Eq (3b)
L
N
p1 − p2 a3i L
N N
a3i p1 − p2 a3i L p1 − p2
qy = = = (3c)
12μ li 12μ L li L 12μ li
i=1 i=1 i=1
1 a3i L
N
qy L 1
Kyy,Eq = = = Nk̄ (3d)
w (p1 − p2 ) w 12μ li w
i=1
(a) (b)
Figure 1. Equivalence between a fracture network (a) and a porous continuum (b).
686
In Eq. (3d), k̄ is the average permeability of one channel, and is defined as Eq. (4),
1 a3i L
N
k̄ = (4)
N 12μ li
i=1
where N is the number of equivalent channels.

The next step is to model the actual network realization of randomly distributed fractures
as shown in Fig. 2, as an “equivalent channel network”.
At this stage of the research, we assumed that a randomly distributed and percolating frac-
ture system can be simplified as a sum of two regular networks of parallel and persistent
fractures in the two principal directions of its permeability tensor. In Fig. 2 a randomly dis-
tributed DFN is simplified as the sum of two perpendicular sets of regular fractures (channels)
of large length and uniform apertures.
Equation (3d) is used to evaluate the equivalent permeability in the vertical direction,
Kyy,Eq , but the fracture network is made up of n fractures. The number of equivalent channels
and the mean permeability are given by Eq. (5) and (6).

n
ly,i
i=1
N= (5)
L

n
ly,i

n
a3i i=1
k̄ = (6)
12μ n
i=1 li
i=1
where ly,i is the length of the projection of the fracture in the vertical direction.
The proposed approach is a more advanced step forward than that as reported in1 where
a model was developed to use the vertical projection of the fracture length,1 but the average

n
n
permeability was calculated not considering the correction factor in permeability, ly,i / li ,
i=1 i=1
due to the fracture inclination.
Figure 2. Equivalence between randomly distributed fracture system and regularized channel (frac-
ture) systems.
687
3. Testing and Results

In order to validate the method purposed above, the estimated values of permeability obtained
with realistic DFN models were compared to results using code UDEC with flow simulations.
3.1. Fracture network construction

At first randomly generated network models (Fig. 3) were built. The geological data and the
model construction technique used have been extensively published in previous work.12 In
the following paragraphs, only a brief description is given.
A square DFN model is characterized by a model side length L and a randomly gener-
ated fracture network, based on distribution functions of fracture length, fracture orienta-
tion, fracture aperture and centre. The number of fracture is defined by the fracture density
parameter.
Fracture length is assumed to follow a power law distribution, while fracture orientation
is assumed to follow the Fisher distribution. Fracture centre position follows a Poisson distri-
bution, while fracture aperture in this first analysis stage has been set as constant. The Monte
Carlo method is used to generate the previously listed parameters.
3.2. Approaches and results of equivalent permeability estimation

The first step of analysis, for both the developed geometrical method and UDEC flow mod-
elling is the regularization of the network as reported in.12 Regularization process removes
dead ends and isolated fractures, since these features do not contribute to fluid flow in the
fracture systems. During the study it has been noted that including dead ends on permeability
calculation for the proposed geometrical method can lead to an error estimation up to 70%.
The next step is to apply Eqs. (5, 7, 8) to estimate the permeability tensor components by
the developed geometrical method and by UDEC code for fluid flow simulations. In order to
Figure 3. DFN model and hydraulic boundary conditions in the UDEC modelling of fluid flow with
pressure gradient in y-direction. The flow directions are shown as well.
688
Table 1. Values of hydraulic permeability estimations with

varying block numbers.
Blocks K̄yy,UDEC K̄yy,Est ε
3 3 3
[1] [m /Pa·s/m] [m /Pa·s/m] [%] [m /Pa·s/m]
1–1000 4.21E-12 2.79E-12 −51 1.42E-12

1001–2000 1.14E-11 8.78E-12 −30 2.6E-12
2001–3000 1.63E-11 1.44E-11 −13 1.81E-12
3001−5000 2.13E-11 2.05E-11 −4 8.49E-13
5001−7000 2.53E-11 2.56E-11 1 2.74E-13
7000 + 3.07E-11 3.14E-11 2 7.08E-13
measure the fluid flow through the DFN models using UDEC code, two linearly independent
boundary conditions are applied. Each model is also rotated a given number of times with
fixed rotation angles (e.g. 30◦ , as reported in12 ). For simplicity, only the results for compo-
nent Kyy,Eq are compared here due to page limit. The hydraulic boundary conditions in the
UDEC models are shown in Fig. 3.
It was found that the density of the fractures, which determines the block numbers in
the DFN models, plays a significant role on the accuracy of permeability estimation by the
proposed geometrical method (since the UDEC modelling was considered reliable). Therefore
the results are compared as functions of the block number of the DFN models, by increasing
the fracture density. The results obtained by using the two methods are compared in Fig. 4
Figure 4. Comparisons between the proposed geometrical method and UDEC modelling with varying
block numbers.
689
Figure 5. Change of estimation error of the proposed geometrical method as function of block num-
ber.
and Table 1, both for estimated value K̄yy,Est and for measured value (K̄yy,UDEC ). An error
ε, calculated with Eq. (7), and the absolute difference, calculated by Eq. (8), are listed as well
and plotted in Fig. 5.
Kyy,UDEC − Kyy,Est
ε= · 100 (7)
Kyy,UDEC
= Kyy,UDEC − Kyy,Est (8)
4. Discussions and Concluding Remarks

The results show that the number of blocks is a parameter determining whether the rock
mass permeability can be modelled with the proposed geometrical method with reasonable
accuracy. For the DFN models used in this study, if the number of blocks is smaller than
1000 the relative error is too big to permit an accurate estimation by the proposed geometri-
cal method. Different lower limits may vary on site-specific conditions of the fracture system
geometry. Therefore, the proposed geometric method can be used when fracture density is
adequately high, well connected and percolating, as an alternative method at early stage of
site investigations. The DEM fluid flow modelling techniques, on the other hand, have no
such limitations. However, they suffer from the fact that much more extensive numerical
modelling efforts must be spent to determine the equivalent hydraulic permeability of frac-
tures rocks through fluid flow simulations and it is time consuming and costly, especially for
large scale projects. A proper combination of the geometrical method and numerical flow
simulations using DFN or DEM approaches may be a better approach.
The geometrical method as reported in this paper is at its early stage of development and
is simple, since it involves only network generations from geological parameter distribution,
and a pre-processing of fracture system regularization as reported in literatures. However,
it provides a fast approach for initial estimation of in-situ permeability of subsurface rock
masses using preliminary fracture mapping data, useful for preliminary site characterization
and design of subsurface rock engineering projects..
690
Acknowledgments
We would like to acknowledge the financial supports from Swedish Nuclear Fuel and Waste
Management Co (SKB) through the DECOVALEX-2011 project.
References
1. Oda, M. “An equivalent continuum model for coupled stress and fluid flow analysis in jointed
rock masses” Water resources research 22(13), 1845–1856, 1986
2. Lin, H & Lee, C. “An approach to assessing the hydraulic conductivity disturbance in fractured
rocks around the Syueshan tunnel, Taiwan” Tunneling and Underground Space Technology 24,
222–230, 2009
3. Zhang, X; Powrie, W; Harkness R &Wang S. “Estimation odf permeability for the rock mass
around the shiplocks of the Three Gorges Project, China” Int. j. of Rock Mechanics and mining
Sciences 36, 381–397, 1999
4. Lee, C; Deng, B. & Chang, j. “A continuum approach for estimating permeability in naturally
fractured rocks” Engineering Geology 39, 71–85, 1995
5. Sisavath, S; Mourzenko, V; Genthon, P; Thovert, J & Adler, P. “Geometry, percolation and trans-
port proprieties of fracture networks derived from line data” Geophys.J. Int. 157, 917–934, 2004
6. Mo, H; Bai, M; Lin, D & Roegiers J. “Study of flow and transport in fracture network using
percolation theory” Applied Mathematical Modeling 22, 277–291, 1998
7. Balberg, I; Berkowitz, B. & Drachsler, G. “Application of a percolation model to flow in fractured
hard rocks” Journal of Geophysical Research 96, 10015–10021, 1991
8. Nakaya, S. & Nakamura, K. “Percolation conditions in fractured hard rocks: A numerical
approach using the three dimensional binary fracture network model” Journal of Geophysical
Research 112, B12203, 2007
9. Berkowitz, B. “Analysis of fracture network connectivity using percolation theory” Mathematical
geology 27, 467–483, 1995
10. Berkowitz, B. “Percolation approach to the problem of hydraulic conductivity in porous media”
Transport in porous media 9, 275–286, 1992
11. Ahn, J; Furuhama, Y; Li, Y & Suzuki, A. “Analysis of radionuclide transport through fracture
networks by percolation theory” Journal of nuclear science and technology 28(5), 433–446, 1991
12. K.B. Min, L. Jing & O. Stephansson. “Fracture system characterization and evaluation of the
equivalent permeability tensor of fractured rock masses using a stochastic REV approach” Int. J.
Hydrogeology, 12(5), 497–510, 2004.
691
Mutual Effect of Tectonic Dislocations and Tunnel Linings During
Tunnelling
K. WEIGLOVÁ∗ AND J. BOŠTÍKA

Brno University of Technology, Faculty of Civil Engineering, Institute of Geotechnics
bostik.j@fce.vutbr.cz
1. Introduction
In the implementation of underground structures and in the course of their lifetime external
forces arise that have the effort to change the mutual position of the structure and the sur-
roundings. The difference in behaviour of the elements and whole system is determined by
the genesis and a complex process of the development of rock mass, which during its exis-
tence was subjected to a number of external and internal influences.1–2 The most important
of them are the tectonic processes that caused the origin of discontinuities (flaws, cracks).
In the first part of this paper a prognosis of behaviour of underground structure and its sur-
roundings is presented in the systems with extreme and exceptional conditions, which were
studied using physical models. The research was focused on the third limit state of cracks,
the visible impairment of the structures considered, under the conditions of the principal
orientations of surfaces of the dislocation that are the decisive factor basically affecting the
interaction of the underground structure and its surroundings.
In the second part of the paper 2D numerical analysis of the circular tunnel (tunnels) in
the rock mass impaired by the tectonic dislocation (fault zone) is described. On the model
problem the effect of selected factors on the stability of the tunnel (tunnels) is studied. It
involves the occurrence of fault zone in the rock mass, its acclivity, thickness and distance
from the tunnel (tunnels). The analysis was carried out by the finite element method (FEM).
2. Physical Models
For practical solution of this complex problem we started from the parametric studies of
models:
A — Geo-Brno-III-2 M 1 : 100 (three models a, b, c were built – see Figs. 1, 2, 3)

B — Geo-Brno-III-2 M 1 : 10 (see Fig. 4)
The phenomena of physical dislocations decide about the heterogeneity, anisotropy and
behaviour of the rock mass. Besides the type, shape and density of the surfaces of dislocations
another important parameter, deciding about the mutual arrangement of the blocks in the
mass, is the space orientation of surfaces and their unbrokenness.
To make the models fulfil the condition of the perfect similarity it was necessary to choose
the model scale. In its choice we also had to take into consideration the dimensions of the
modelling stands.
∗ Corresponding author. E-mail: weiglova.k@fce.vutbr.cz

ISBN: 978-981-08-4455-4
doi:10.3850/9789810844554-0091 693
2.1. Model GEO — BRNO III-2, 2008 M 1:100

For the approximate space observation the scale 1 : 100 was chosen as the most suitable.
Three models of the underground structure were made, denoted as a, b, c:
a Blockdiagram: without the surfaces of dislocation (Fig. 1)

b Blockdiagram: the surfaces of dislocation with the axis of stope of the underground struc-
ture are non-parallel (Fig. 2)
c Blockdiagram: the surfaces of dislocation with the axis of stope are almost horizontal,
slightly inclined (Fig. 3)
Figure 1. Model Geo-2008 III a Blockdiagram a without dislocation surfaces — starting state.
Figure 2. Model Geo-2008 III b Blockdiagram b of dislocation surface with the axis of the stope of
the underground non-parallel structure.
Figure 3. Model Geo-2008 III c Blockdiagram c of the surface of horizontal dislocation — after
variable advance.
694
The most interesting result of the experiment appeared during the tunnelling in model c. In
the case of safe face and variable purchases of tunnelling with almost horizontal dislocation
surfaces the limit state of failure of the underground structure and surrounding rock is
observed.
2.2. Model GEO — BRNO III-2, 2008 M 1:10

Based on results of three conception models having been built on a scale 1:100 (a, b, c)
preparation of an essentially more complex model started and spatial problems were solved
for tunnelling of the underground structure with a variable purchase with almost horizontal
orientation of the dislocation surfaces. The dimensions of the model were 200×200×50 cm3 .
For physical modelling a real sector was chosen with low overburden layers. In the rock
below the tunnel at the depth of 200 cm two circular utility tunnels are placed with the profile
of 200 cm (cable utility tunnel KK, and circular sewer KS). The underground structure was
modelled with the diameter of 400 cm and circular lining (Fig. 4). Figs. 5 to 9 depict a
development of construction of the model underground structure.
Figure 4. Model Geo-2008 III M 1:10 State after finishing the building of the model.
Figure 5. Model Geo-2008 III M 1:10 State after finishing the building of the model.
695
i 6
Figure 6. Model Geo-2008 III M1:10 Technological shield tunnelling in the model.
Figure 7. Model Geo-2008 III M1:10 Formation of cracks during tunnelling.
After mounting and calibration of 7 pressure cushions the creation of model has been
carried out according to the time schedule. Altogether 34 layers of equivalent material was
created with the total weight of material for building of 1 665 kg.
Monitoring the stress state and reshaping during the building and the subsequent
tunnelling was implemented by means of pressure cushions, tensometric measurement,
electromechanical resonance (string) gauges, mechanical recorders, electromagnetic
thermometers (core and contact ones), electric gauges, and geodetic and photogrammetric
measurements.
After a ten-week observation of the model with the space orientation of dislocation sur-
faces the progress of the technology of advancing was begun and carried out with variable
engagement.
The results of the technological procedure of advancing of the underground structure
showed the following: considerably reduced material cohesion, contact stresses substantially
increase, certain regions of interaction of the underground structure with the surroundings
are disappear, flaws and cracks appear, the surface and direction of dislocations are com-
pressed (e.g. by preventing transversal deformations inside the mass) and these pressures
caused buckling and interaction of tectonic prestress (Fig. 10).
696
Figure 8. Model Geo-2008 III M 1:10 Finishing the tunnelling in the model.
Figure 9. Model Geo-2008 III M 1:10 Formation of cracks after finishing tunnelling.
3. Numerical Analysis of the Effect of the Fault Zone

By means of numerical modelling (finite element method) the effect of the damaged zone
between the two parallel tunnels of circular profile,3 was studied. In the same manner as
in the experimental model, the tunnels are situated in small depth below the surface of the
terrain, which, within the study carried out, is constant, being approximately 1.7 multiple of
the diameter of tunnel D. A more detailed overview about the geometric arrangement of the
problem and parameters, whose effect was studied, is shown in Fig. 11.
Mechanical behaviour of the rock environment was approximated by means of the Mohr-
Coulomb material model with material characteristics also given in Fig. 11. Calculations
were carried out in the plane strain state using Plaxis program,4 in the following variants:
– simulation of the parallel tunnelling of two tunnels,

– simulation of successive tunnelling (left tunnel → right tunnel) and
– simulation of successive tunnelling (right tunnel → left tunnel).
697
Figure 10. Model Geo-2008 III M 1:10 Formation of cracks after finishing tunnelling.
Figure 11. Analysed task.
Unbalanced forces were applied to the respective (active) parts of the model either to full
extent or up to the failure. The reinforcement of the tunnels by lining was not considered in
the computation.
698
Figure 12. An example of discretisation of region solved (x = 1.5, t = 3 m, α = 45◦ ).
In the cases when loading was applied (as a consequence of tunnelling) to full extent, the
safety factor (SF) was calculated. SF was stated by the method of reduction of the strength
parameters.
In Fig. 12, for illustration’s sake, the discretisation of a part of the rock mass is given, which
had been considered in the mathematical models. Shapes and dimensions of all models were
identical, namely they were rectangles 82 by 37.82 m.
Individual solved cases were then compared. Further the evaluation the safety factor is
mentioned.
3.1. Parallel excavation of two tunnels

A summary overview of the stability of the tunnels in this case is given in Table 1, in which
the calculated safety factors for the monitored parameters are stated. Free cells denote cases
when the load due to the tunnel excavation was not applied in full extent.
Table 1. Safety factor — parallel tunnelling of tunnels.

tunnels separation 1.5D tunnels separation 2D
t/α 0 15 30 45 60 75 90 0 15 30 45 60 75 90
1 1.05 1.05 1.07 1.01 1.00 1.06 1.11 1.14 1.14
2 1.03 1.04 1.00 1.03 1.10 1.13 1.12
3 1.01 1.02 1.00 1.08 1.11 1.12
4 1.06 1.09 1.11
tunnels separation 2.5D
t/α 0 15 30 45 60 75 90
1 1.09 1.02 1.08 1.13 1.13 1.15 1.15
2 1.02 1.01 1.11 1.13 1.15 1.15
3 1.10 1.12 1.15 1.15
4 1.07 1.11 1.15 1.15
699
The change of the safety factor depends on the inclination of the damaged zone up to about
14 %, on the thickness of the failure and distance between the tunnels. From the table it is
evident that with increasing distance of the tunnels also the extent of 100 % load increases
within the cases considered. With the increase of the thickness of tectonic discontinuities
there is a drop in the safety factor. In a larger distance of the tunnels (2.5D) and a steeper
inclination of the damage zone (75, 90◦ ) the value of SF practically does not change with the
thickness of the damage zone (t).
For the case of the rock mass not weakened by the damage zone SF is, as expected, most
favourable and for the distance of the tunnels 1.5D, 2D and 2.5D SF was calculated as 1.07,
.1.15 and 1.15, respectively. The last mentioned value corresponds with the value of a steeply
running damage zone at the largest considered distance of the tunnels.
3.2. Successive excavation of tunnels

Individual dependencies of SF vs. t, SF vs. α and SF vs. distance of tunnels for the case
of successive excavation are again pictured in the tabular form, only for the distance 1.5D.
Table 2 corresponds to the case of excavation of first the left tunnel and then the right tunnel.
In Table 3 the stated value of SF then corresponds to the opposite order of tunnel excavation.
From the results it can be seen that the region of stable tunnels in the final stage (i.e. after
driving both tunnels) delimited by the variable parameters of the analysis is in the simulation
of the successive excavation of tunnels more or less in agreement with the region determined
at the simulation of the contemporaneous excavation of the tunnels, even though in the
values of SF it is possible to observe certain differences.
From the view of an only one tunnel excavation the region of the stable tunnel is more
extensive in the case of the left tunnel (i.e. the tunnel situated over the failure zone), so that
it is possible to admit a milder inclination of the failure zone and/or its higher thickness. The
difference mentioned is more significant at a shorter distance of the tunnel from the fault
zone.
Table 2. Safety factor – gradual tunnelling of tunnels (left → right), x = 1.5D.

left tunnel both tunnels
t/α 0 15 30 45 60 75 90 0 15 30 45 60 75 90
1 1.08 1.09 1.10 1.15 1.15 1.14 1.13 1.05 1.05
Æ
2 1.01 1.04 1.04 1.12 1.13 1.13 1.11 1.03 1.04
3 1.02 1.09 1.11 1.11 1.08 1.07 1.02
4 1.01 1.05 1.09 1.08 1.07 1.00
Table 3. Safety factor – gradual tunnelling of tunnels (right → left), x = 1.5D.

right tunnel both tunnels
t/α 0 15 30 45 60 75 90 0 15 30 45 60 75 90
1 1.09 1.04 1.03 1.10 1.09 1.10 1.13 1.02 1.05 1.05
Æ
2 1.01 1.06 1.08 1.09 1.12 1.00 1.03 1.04
3 1.02 1.05 1.07 1.09 1.03
4 1.02 1.05 1.07 1.00
700
4. Conclusions
4.1. Physical modelling
During the excavation of underground structure (at a two-component shield coating) the
course of the values necessary for the coefficient KZP (ratio of the purchase to the tunnel
diameter) was monitored.
As an optimum safety limit of KZP for our model on the basis of the experiment it was
stated the value
KZP = 0.32 − 0.37 (1)
Another significant result of the experiment is the value of the coefficient KSt — i.e. the
ratio of the equivalent material volume to the surface settlement surface (equals to the ratio
of the volume of equivalent material and the value of the volume of the tunnel area)
KSt = 0.25 − 0.31 (2)
In conclusion of the experiments carried out it is possible to conclude that in the case of
underground structure under extreme conditions it is for purposeful and economic master-
ing of the possible extraordinary contingency suitable to study not only all documents of
engineering geological investigation, results of measurements in situ, but also to confront the
mathematical modelling with the physical modelling.
4.2. Numerical analysis

From the results obtained by numerical analysis it can be judged that the occurrence of
discontinuities, represented here by the tectonic discontinuity zone of a certain thickness, can
lead to a significant influencing of the response of the mass to the advance of underground
works. The rate of influencing is then determined by not only the inclination and thickness
of the fault zone, but also by its localisation with respect to the tunnels.
As a part of the extents considered of the individual parameters of analysis it is possible to
admit milder inclination and/or higher thickness of the discontinuity zone. The instability of
tunnels at a low inclination of this zone it is evidently done due to the fact that the damage
zone either crosses the stope or runs in its immediate neighbourhood, which appears above
all with its higher thickness.
In the excavation of a single tunnel, from the point of view of tunnel stability, the occur-
rence of a tectonic discontinuity zone above the tunnel (the right tunnel) appears as less
favourable.
Acknowledgements
This contribution was financially supported by the project of the Czech Science Foundation
(GA ÈR) No. 103/07/P323 and by the research project of The Ministry of Education, Youth
and Sports (MŠMT ÈR) No. MSM0021630519. Authors acknowledge this support.
References
1. Weiglová, K., Procházka, P., Increase of Stability of Underground Works, 1st International Confer-
ence on Underground Spaces — Design, Engineering and Environmentas Aspects — Underground
Spaces, Wessex, UK, WITpress, 2008, pp 139–147, ISBN 978-1-84564-125-2.
701
2. Weiglová, K., Phan, T.S., The prediction of behaviour of underground structure and surroundings in
extreme conditions (in Czech), Czech - Slovak Conference Stavební konstrukce z pohledu geotech-
niky, December 11–12, 2008, Brno, pp 103–108, ISBN 978-80-7204-609-6.
3. Boštík, J., A contribution to response of rock mass during driving underground structures (in
Czech), 12th International Conference Geotechnics 2008, September 10-12, 2008, Slovakia, Pod-
banské, pp 243–248, ISBN 978-80-248-1850-4.
4. Plaxis 2D — Version 9.0, Edited by R.B.J. Brinkgreve & W. Broere, D. Waterman, 2008.
702
Author Index

A N
Ahn, T. Y. 127 Nakai, T. 273
Ali, Hessam Moghaddam 539, 573 Nakamura, K. 39
An, X. M. 47, 237, 297 Nia, N. Nourbakhsh 589
Ning, Y. J. 73, 83, 91
B Nishimura, T. 387
Baghbanan, A. 445 Nishiyama, S. 39, 153, 255, 265
Bagheri, M. 445 O
Bai, J. G. 135 Ohnishi, Y. 39, 153, 255, 265, 273
Bakun‐Mazor, D. 193 Okada, H. 609
Bao, H. R. 99, 161 Okazawa, S. 555, 609
Bicanic, N. 283, 291 Otani, T. 461
Boštík, J. 693 Ozbakkloglu, T. 675
C P
Cai, Y. C. 405 Park, Chan 647
Chang, J. Z. 617 Park, Chulwhan 647
Chen, G. Q. 227 Park, E. S. 437, 647
Chen, G 343 Pearce, C. J. 283, 291
Chen, P. W. 73, 83, 91, 211 Peng, X. C. 177
Chen, S. G. 367, 469 Prochazka, P. P. 359, 547
Chen, Y. L. 297 Q
Cheng Q. S. 625 Qiu, K. H. 145
Chong, W. L. 413
Chua, H. C. 429
Chung, S. K. 437
R
Cui, H. Q. 641 Racansky, V. 661
Culek, B. 547 Ranjith, P. G. 413
Ryu, S. H. 127
D
Dai, K. D. 211
S
Ding, X. L. 325 Sasaki, K. 265
Doi, Y. 461 Sasaki, T. 255, 265
Dolezel, V. 547 Shafipour, R. 485
Dong, Z. H. 325 Shahinuzzaman, A. 413
Shao, G. H. 513
E Shen, B. 469
Einstein, H. H. 581 Shi, G. H. 1, 135
Emad, Kayumars 539, 573 Shi, G. B. 135
F Shimaoka, K. 153
Fan, L. F. 563 Shimauchi, T. 39
Ferdowsi, B. 485 Shinji, M. 461
Fukazawa, J. 495 Singh, Rajbal 477
Fu, G. Y. 351 Song, J. J. 127
G Sonoda, Y. 495
Gao, M. Z. 531 Sookhak, A. 445
Glaser, S. D. 193 Soroush, A. 485
Goh, A. T. C. 429 Stadelmann, R. 373
Grepl, J. 661 Su, H. D. 247
Sun, S. R. 315
Sun, B. P. 135
H
Hagedorn, H. 373 T
Hagiwara, I. 265 Tajiri, Y. 395
Hajiazizi, M. 453 Takeuchi, N. 395
Hamasaki, E. 153, 395 Tanaka, S. 609
Haque, A. 413 Tang, C. A. 505, 521, 599
Hashemalhosseini, H. 445 Terada, K. 555
Hatzor, Y. H. 13, 193 V
He, L. 47, 305, 351 Vesipa, R. 685
Hong, B. N. 315 W
Hori, S. 185 Wang, J. 513
Hou, Y. L. 227 Wang, M. 135
Huai H. J. 211 Wang, S. Y. 505, 521
Huang, M. L. 505 Wang, Y. 135
Huang, T. 177 Wang, Y. Z. 513
Huang, Z. Y. 675 Wang, Z. T. 513
I Wei, L. J. 217
Irie, K. 153 Wei, X. Y. 669, 169
Iwata, S. 555 Weiglová, K. 359, 693
J Wong, L. N. Y. 581
Jeon, S. 421 Wu, W. 381, 625
Jia, X. L. 641 Wu, A. Q. 27
Jiang, W. 109 Wu, C. 675
Ji, C. L. 513 X
Jiao, L. Q. 351 Xia, C. C. 201
Jing, L. 685 Xie, X. L. 247
Jung, Y. B. 437, 647 Xu, C. B. 201
K Xue, J. 119
Kaneko, F. 185 Xue, Z. P. 641
Kashiyama, K. 555 Y
Kim, H. 421 Yagi, K. 273
Kim, J. W. 647 Yan, L. 625
Kim, T. K. 437 Yang, F. L. 641
Kobayashi, T. 273 Yang, J. 73, 83, 91
Kourepinis, D. 283, 291 Yang, Q. G. 27
Koyama, T. 153, 255, 265, 273 Yang, W. J. 315
Kulatilake, P. H. S. W. 59 Yoshinaka, R. 265
Kurumatani, M. 555
L Z
Lee, C. I. 127 Zhang, C. H. 227
Li, G. 599 Zhang, G. X. 177
Li, J. C. 563 Zhang, H. 367
Li, L. C. 521, 599 Zhang, H. H. 297
Li, L. X. 297 Zhang, X. G. 625
Li, X. J. 27 Zhang, Y. 169
Li, X. Z. 513 Zhao, G. F. 633
Li, Y. 381 Zhao, J. 531, 633
Liang, Z. Z. 505, 521, 599 Zhao, J. H. 669
Lin, S. Z. 145 Zhao, X. B. 513
Lin, Y. L. 217 Zhao, X. 201
Liu, G. R. 37, 589 Zhao, Y. B. 367
Liu, M. B. 617 Zhao, Z. 685
Liu, Y. Q. 91 Zhao, Z. Y. 99, 161, 169, 429
Lu, B. 27, 325 Zheng, H. 109
M Zhu, H. H. 405
Ma, G. C. 185 Zhu, L. 315
Ma, G. W. 47, 73, 83, 237, 297, 305, 351, 381, 563, 625, 675 Zhuang, X. 405
Ma, G. S. 27
Ma, H. S. 531
Ma, S. F. 669
Majdi, Abbas 539, 573
Mangyuan, Li 625
Maruki, Y. 273
Mica, L. 661
Miki, S. 255, 273

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Preface

2. Rock Stability Computation

Corresponding author. E-mail: sghua@aol.com

Analysis of Discontinuous Deformation: New Developments and Applications.

Table 1. Physical data of rock mass of gravity dam foundation.

Unit weight 2.4 2.4 2.4

Weight unit: Ton

2.3. Rock falling of underground power chambers

Figure 2. Result of dam foundation of case 1 to case 5.

Table 2. Geometric data of joint sets of the underground power

Dip angle 35 degree 70 degree 85 degree

Table 3. Physical data of underground chamber rock mass.

Unit weight 2.7 Dynamic ratio 1.0

2.4. Rock bolting of an underground power chamber

Table 4. Physical data of underground chamber rock mass.

Unit weight 2.7 Dynamic ratio 0.97

Table 5. Geometry and physical data of joint set.

1 (foliation) 70 degree 7 ft 2000 ft 0 psf 10 degree

Weight unit: Ton

2.5. Stability computation of toppling slopes: foliation planes have 70

AB5 dip=70 with weak zone

2. Dynamic DDA Validations

ay = tan (φ − α)g (1)

Corresponding author. E-mail: hatzor@bgu.ac.il

Analysis of Discontinuous Deformation: New Developments and Applications.

interval θ until yield acceleration is attained is given by:

F   $$! ! NALYT IC

F   $$! ! NALYT IC

Horizontal Input motion (m/s2)

Horizontal Input motion (m/s2)

Relative Error (%)

2.2. Block response to induced displacements at foundation

M=0.1 DDA Analytic

Displacement of upper block (m)

2.3. Dynamic rocking

(1) Instantaneous response — dynamic motion which takes place simultaneously

2.4. Block slumping

3. Rock Slope Stability

3.2. Overhanging cliffs

250 bolts are numbered sequentially from bottom

4. Stability of Shallow Karstic Caverns Below Open Pit Mines

1 0/0 ∞ 0.70 m 1.0 0m

1(6) 2(6) 4(6) 5(6)

WU AIQING1,∗ , YANG QIGUI2 , MA GUISHENG2 , LU BO1 AND LI XIAOJUN3

2. Spatial Features and Geological Condition

Figure 1. Seismic intensity map of Wenchuan earthquake.

Figure 2. Original scenery of Tangjiashan site (from upstream view).

∗ Corresponding author. E-mail: wuaiqing@vip.sina.com

Figure 3. Spatial morphology of landslide (from downstream view).

gravel and soil mixture

cataclastic rock weakly weathered

Foundation rock of Qingping group muddy siltstone by deposit

Figure 4. Geological section of the landslide.

2.2. Geological condition

3. DDA Simulation Model

Figure 5. Cataclastic rock with its structure remained.

Figure 6. Block system in DDA model.

3.2. Mechanical parameters

Table 1. Parameters for case-trial calculation.

Residual deposit 29∼40 20∼70 0.5 0.3

3.3. Seismic acceleration records

Figure 7. Acceleration records used in DDA model.

Table 2. Actual parameters of the landslide.

F $$! ! NALYT IC

F $$! ! NALYT IC