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A Comparison of Numerical Methods and Analytical Methods in

Determination of Tunnel Walls Displacement – A Case Study

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 32nd International Conference on Ground Control in Mining
A Comparison of Numerical Methods and Analytical Methods in
Determination of Tunnel Walls Displacement – A Case Study
Behdeen Oraee-Mirzamani,
Oraee-Mirzamani, B.
Ph.D. Student
Centre For Environmental Policy
Zandi, S.
ImperialOraee, K.
College London
London, United Kingdom

Saeed Zandi, Msc Student

South Tehran Branch
Azad University
Tehran, Iran

Kazem Oraee, Professor
Department of Management
University of Stirling
Stirling, United Kingdom

ABSTRACT There are various methods for analysing tunnel stability and
the determination of tunnel walls’ displacement. Two of the main
Tunnel stability has an important role in the production process methods are analytical methods and numerical methods. These
of an underground coal mine. There are various methods for methods have been used widely in order to analyse the stability of
analysing tunnel stability, such as numerical methods and analytical tunnels during the design process of underground coal mines.
methods. In this paper, numerical methods (Phase2 software) have
been used to determine tunnel wall displacement in a mining tunnel In this research, both methods have been used in order to
of the Parvade underground coal mine. The Ground Reaction Curve determine the displacement fields in the case study. A comparison
has also been drawn using analytical methods to determine tunnel between the two methods was carried out that indicated that
wall displacement. The comparison of results from the numerical there is some difference between the results obtained from the
method and the analytical method show a noteworthy difference two methods.
in the tunnel wall displacement. The displacement calculated
by the numerical method shows a lower value than that of the After comparing these methods, the suitable method can be
analytical method because the numerical method is more suited chosen based on these results and the mine conditions for the
to modeling the various coal and rock layers, as well as the shape correct calculation of tunnel’s roof and walls displacement. The
of the excavations found in coal mines. The methodology used in significance of this comes into light when one seeks a suitable
this paper together with the results obtained from both methods implementation method and installation of the support system in
can serve as useful tools for the coal mine design engineer when the tunnel.
determining the ground support requirements.
PARVADE UNDERGROUND COAL MINE
INTRODUCTION
The Tabas coal region is one of the most comprehensive coal
Excavation and ore extraction processes cause problems such as resources in Iran. Tabas underground mine is the main mine
a displacement field generated in the orebody and the surrounding of the Iranian Coal Enterprises and is located in the Khorasan
rock. This is one of the major engineering problems that engineers Province of Iran. The Parvade coalfield lies approximately 85km
are faced with in underground mining (Singh, Singh, and Murthy, south of the city of Tabas in mid-eastern Iran. The total probable
2010). In the design process of an underground coal mine, the anthracite reserve in the Parvade region is approximately 1.2 billion
stability of tunnels is an important parameter that should be studied tons. Furthermore, the minable reserve suitable for underground
carefully because it has an important role in the production process production is 28 million tons in the Parvade1 (Manteqi, Shahriar,
of the mine. Instability and collapse of tunnels may cause different and Torabi, 2012). Physical and mechanical properties of the
damages. Such damages not only result in an increase in costs, but rock mass used for numerical modelling are presented in Table1
also are dangerous towards the miners. Therefore, accurate analysis (IRITEC, 2003; Manteqi, Shahriar, and Torabi, 2012).
and determination of the displacement in the tunnel’s roof and
walls can help implement a suitable support system and therefore, ANALYTICAL METHODS: CONVERGENCE
make the tunnel more stable. CONFINEMENT METHOD

In this paper, the displacement fields in the roof and walls of Analytical methods are very useful in geomechanics because
tunnels in the Parvade coal mine have been studied. This mine is they provide results with very limited effort and highlight the most
one of the main coal mines in Iran. Several collapses have occurred important variables that determine the solution to problems (Bobet,
in this mine and instability of tunnel’s roof and walls is one of the 2010). In this paper, we used analytical methods (convergence
most important problems in this mine. confinement method) to draw the Ground Reaction Curve in order
to determine the tunnel walls’ displacement in a mining tunnel of
the Parvade underground coal mine. The convergence confinement

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 32nd International Conference on Ground Control in Mining
method has been described by other authors (e.g., Gesta et al., In general, two different types of methods are used to calculate
1980; Duncan Fama, Fairhurst, and Carranza-Torres, 2002) and has the GRC in a tunnel: analytical methods, which are expressed in
been commonly used for the support system design in conventional mathematical terms and numerical methods, where the differential
tunnelling. The method achieves a 2D simplified approach for equations of the problem have to be solved numerically. In this
resolving 3D rock support interaction problems. research, the Duncan-Fama analytical method for drawing the
ground reaction curve has been used, as implemented in the
The main assumption of the convergence confinement method is ‘RocSupport’ software (RocScience Inc., 2000-2005).
that the support load required in order to stabilize the excavation
decreases with inward tunnel displacement. As the boundary rock DUNCAN-FAMA ANALYTICAL METHOD
moves inward, tangential stresses increase, which results in both
yielding of the rock mass and increased confining stresses on the This method is based on the Mohr-Coulomb failure criterion.
surrounding (Carranza-Torres and Fairhurst, 2000). Therefore, this method requires parameters such as modulus of
elasticity (MPa), Poisson’s ratio, internal friction angle, and rock
GROUND REACTION CURVE mass compressive strength in order to draw the ground reaction
curve (Carranza-Torres and Fairhurst, 1999; 2000). Furthermore,
The Ground Reaction Curve (GRC) can be defined as a curve the tunnel was excavated in the coal seam and the weakest member
that describes the decrease of inner pressure and the increase of of rocks based on the table 1 for drawing the ground reaction curve
radial displacement of the tunnel’s wall. The GRC analyses the has been used. The ground reaction curve for Figure 2 has been
behaviour of the rock mass surrounding the tunnel. Based on the drawn using the Duncan-Fama analytical method (RocScience Inc.,
applied pressure on the support system, the GRC determines the 2000 – 2005). As evident from Figure 2, the maximum tunnel wall
tunnel convergence or the displacement of tunnel walls. A typical displacement calculated by the Duncan-Fama method is 164mm.
GRC is shown in Figure 1.
NUMERICAL MODELLING OPTIONS

Numerical methods are tools that enable engineers to evaluate,

both qualitatively and quantitatively, the effects of geology on the
design and the consequences of the design on geology. Numerical
modelling applications are intended to provide mining and rock
mechanics engineers a better understanding for solving problems
related to the mine layout and roof support system design to enable
consistent and techno-economic viable performance of mining
structures throughout their planned life of operations (Singh, Singh,
and Murthy, 2010). Numerical methods are promising and effective
tools in understanding the rock mass response subjected to complex
loading conditions.
Figure 1. Typical ground reaction curve.

Figure 2. Ground reaction curve drawn using the Duncan-Famma method.

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 32nd International Conference on Ground Control in Mining

Table 1. The rock mass input parameters used in numerical modelling (Manteqi, Shahriar, and Torabi, 2012).
Sandy Silty
Rock Definition Siltstone Coal Mudstone Sandstone
Siltstone Mudstone
Definition code 1 2 3 4 5 6
Density (M/N/m3) 0.0272 0.0271 0.0268 0.016 0.0263 0.027
Internal Friction
27.42 31.75 22.17 15.76 20.13 43.52
angle(ϕ)
Cohesion c (MPa) 0.357 0.443 0.257 0.084 0.231 0.767
Modulus of elasticity
2238 2818 1778 749 1995 3548
E (MPa)
Tensile strength
0.012 0.007 0.005 0.002 0.013 0.017
(MPa)
Poisson’s ratio v 0.25 0.25 0.28 0.25 0.31 0.25
Bulk modulus a(K)
1492 1878 1347 499 1750 2365
(MPa)
Shear modulus D(G)
895 1127 695 299 761 1419
(MPa)
Uniaxial compressive
0.273 0.287 0.114 0.015 0.165 1.01
strength (MPa)
a
(K) = E/3(1-2 v)
D
(G) = E/2(1+ v)

The numerical methods for rock mechanics problems are divided

into two main groups: the continuum methods and the discrete
methods. Although the choice of continuum or discrete methods
mainly depends on the problem scale and fracture system geometry,
the choice also depends on other problem-specific factors (Jing and
Hudson, 2002).

For the continuum methods, there are three main approaches:

the Finite Difference Method (FDM), the Finite Element Method
(FEM), and the Boundary Element Method (BEM). The main
discrete methods include the Discrete Element Methods (DEM)
and the Discrete Fracture Network (DFN) methods (Jing and
Hudson, 2002). It is important to be aware that the drawback
of analytical methods is that they cannot represent complex in-
situ conditions and geometry, and this is the main reason that
the numerical methods are used. The numerical methods should
Figure 3. The created model in Phase2.
be used carefully and with a complete understanding of the
background of the problem that is being analysed in order to obtain to solve a wide range of mining and civil engineering problems
accurate conclusions. (Roccience, Inc., 2002).

FINITE ELEMENT METHOD MODELLING IN PHASE2

The finite element method is perhaps the most widely applied The first step of numerical analysis with the Phase2 software
numerical method across the science and engineering fields. is modelling the underground opening in the computer. In this
Since its origin in the early 1960s, much finite element method stage, we enter and edit the model boundaries, in situ stresses,
development work has been specifically oriented towards rock and material properties and create the finite element meshes. The
mechanics problems (Jing and Hudson, 2002). This is because created model in Phase2 is shown in Figure 3.
it was the first numerical method with enough flexibility for the
treatment of material heterogeneity, non-linear deformability, The extracted results of the software are shown in Figure 4. As it
complex boundary conditions, in-situ stresses, and gravity. can be seen in Figure 4, the horizontal displacement on the tunnel
walls is high. Furthermore, Figure 4 shows the deformation vectors
In this paper, we used the Phase2 software to determine the on the tunnel walls.
tunnel walls’ displacement in this particular case study. Phase2 is
a two-dimensional finite element program that calculates stresses According to the extracted results from Phase2, the maximum
and displacements around underground openings. It can be used tunnel wall displacement is 20mm (Figure 5).

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 32nd International Conference on Ground Control in Mining
stress conditions and shape of the excavation, producing more
realistic displacement results. After this comparison, the finite
element method appears to be a more suitable method for stability
analysis of tunnels in coal mines (based on these results, the mine
observed conditions and engineering judgment). Therefore, special
care has to be taken when using each of these methods since their
assumptions and limitations may have a great effect on the final
result. Furthermore, one of the objectives of this research was to
show these different assumptions and limitations and their effect on
the results.

Analytical solutions, often have limited application because

they must be used within the range of assumptions made for their
development. Such assumptions usually include elastic behaviour;
homogeneous, isotropic material; time independent behaviour;
Figure 4. Horizontal displacement around the tunnel (Note: on quasi-static loading, and the ratio of horizontal stress to vertical
the tunnel walls). stress being constant (it is often equal to 1). Rocks and soils may
not be isotropic or homogeneous and the loading may not be static.
Additionally, the geometry of the problem may be complex. In
these cases, solutions can only be obtained numerically. One of the
other limiting assumptions in drawing the ground reaction curve
(and determining the tunnel walls’ displacement) is the circular
cross section of the tunnel. Numerical methods can widely be
used in order to perform stability analysis in every underground
excavation with different shapes and dimensions without the
analytical method’s limited assumptions.

REFERENCES

Bobet, A. (2010). “Numerical methods in geomechanics.” The

Arabian Journal for Science and Engineering.35(1B).

Figure 5. Maximum tunnel wall displacement. Carranza-Torres, C., Fairhurst, C. (1999). “The elasto-plastic
The displacement of the tunnel walls calculated by the numerical response of underground excavations in rock masses that
method (Phase2 software) shows a lower value than that of satisfy the Hoek-Brown failure criterion.” International
analytical method (Duncan-Fama method). Journal of Rock Mechanics and Mining Science.36:777–809.

Carranza-Torres, C., Fairhurst, C. (2000). “Application of the

CONCLUSIONS convergence-confinement method of tunnel design to rock
masses that satisfy the Hoek-Brown failure criterion.”
In this paper, the displacement field was calculated for the Tunneling and Underground Space Technology. 15(2):187–213.
mining tunnel’s roof and walls of Parvade coal mine. It is necessary
to determine the displacement in the tunnel’s roof and walls after Duncan Fama, M.E. (1993). “Numerical Modelling of Yield Zones
excavation so that suitable implementation and installation of in Weak Rocks” In: Hudson JA (ed) Comprehensive Rock
support systems take place in the tunnel due to the existence of Engineering, 2. Pergamon, Oxford, pp. 49-75
historical collapses in the Parvade mine. The displacement field
was calculated using both analytical and numerical methods. IRITEC. (2003). Tabas Coal Mine Project, Detailed Engineering
Report, vol. 1, Underground Mine Revision A, IRITEC.
After comparing the results obtained from each method, it
was found that the numerical method shows a lower value of Jing, L., Hudson, J.A. (2002). “Numerical methods in rock
displacement in the tunnel walls in comparison with the analytical mechanics.” International Journal of Rock Mechanics and
method. There was some difference between these methods’ Mining Science.39:409–427.
results owing to the fact that their capabilities and assumptions are
different to one another. The analytical method requires several Manteqi, H., Shahriar, K., Torabi, R. (2012). “Prediction of first
simplifying assumptions, which contributes to large displacements weighting distance in longwall coal mining by 3D numerical
being predicted. Firstly it assumes that the excavation is circular modeling – A case study.” In: Proceedings of the 31st
in a uniform stress field, which is seldom true in coal mining. In International Conference on Ground Control in Mining.
addition, the method can only consider a single material type. In
this study, it was assumed the entire rock mass consists of coal, the Rock Science Inc. (2000 – 2005). RocSupport (Rock support
weakest material. This simplifying assumption led to the very large interaction and deformation analysis for tunnels in weak rock),
predicted displacements. On the other hand, the finite element Tutorial Manual, Canada: Rock Science Inc.
model was able to accurately simulate the various rock types, field

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 32nd International Conference on Ground Control in Mining
Rock Science Inc. (2002). Phase2 User’s Guide, finite element
analysis and support design for excavations. Canada: Rock
Science Inc., pp.54–72.

Singh, G.S.P, Singh, U.K, Murthy, V.M.S. (2010). “Application of

numerical modeling for strata control in mines.” Geotechnical
and Geological Engineering. 28:513–524.

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