Albana Arreza, BSc

Validation of Embedded Beam Row for Anchor

Modelling in PLAXIS 2D

MASTER´S THESIS
to achieve the university degree of
Diplom-Ingenieurin

Master’s programme Civil Engineering, Geotechnics and Hydraulics

submitted to

Graz University of Technology

Supervisor
Ao.Univ.-Prof. Dipl.-Ing. Dr.techn. M.Sc.
Helmut Schweiger

Institute of Soil Mechanics, Foundation Engineering and Computational

Geotechnics

Co-supervisor
Dipl.-Ing. Simon Oberhollenzer, BSc.

Graz, November 2018

Eidesstattliche Erklärung
Ich erkläre an Eides statt, dass ich die vorliegende Arbeit selbstständig verfasst,
andere als die angegebenen Quellen/Hilfsmittel nicht benutzt, und die den
benutzten Quellen wörtlich und inhaltlich entnommenen Stellen als solche
kenntlich gemacht habe. Das in TUGRAZonline hochgeladene Textdokument ist
mit der vorliegenden Arbeit identisch.

I declare that I have authored this thesis independently, that I have not used other
than the declared sources/resources, and that I have explicitly marked all material
which has been quoted either literally or by content from the used sources. The
text document uploaded to TUGRAZonline is identical to the present master‘s
thesis.

………………. ……………………………………….
Datum Unterschrift
Acknowledgements
To Prof. Schweiger, for inspiring me to choose computational geotechnics as the
most challenging discipline in geotechnics and for always supporting me…

To Prof. Marte, for showing me how intuitive and creative a technical field can be
and for being an example for his kind and respectful way of treating others…

To Simon, for his intensive guidance throughout this thesis…

To my parents, for teaching me the meaning of unconditional love and for showing
it to me when I deserved it the least and needed the most…

To my brother Endri, for always remembering me to keep searching…

To my brother Toni, for bringing me down to earth when I get lost in dreams…

To my grandpa, for always making me feel „his favourite“…

To Jelena, for helping me find the inner strength when I fall apart…

To Gor, for being such a beautiful soul…

To the people who have touched my life, but weren´t meant to be forever, for
making me feel special, loved and appreciated, for helping me grow into the person
I am today…
Kurzfassung
Gebirgsanker werden hauptsächlich zur Gebirgsvergütung im Berg- und
Tunnelbau eingesetzt. Diverse numerische Methoden, wie z.B. die FEM
(Goodman et al., 1968), die BEM (Crotty & Wardle, 1985) bzw. die Blockmethode
(Cundall, 1971) haben Modelle für Felsbolzen implementiert. Die Finite Elemente
Software PLAXIS 2D ermöglicht durch sog. embedded beam rows Pfahl- oder
Ankerreihen in 2D zu modellieren. In der gegenständlichen Masterarbeit wird die
Anwendung dieses Elementtyps im Tunnelbau untersucht. Die Validierung erfolgt
dabei mit Hilfe des numerischen Programms Phase2. Letztere Software ermöglicht
die Modellierung von Ankern basierend auf diversen Modellen. Ein einfaches
Tunnelbeispiel ist Gegenstand umfangreicher Parameterstudien. Die
resultierenden Ankerkräfte für Ankersysteme in Phase2 werden dabei mit den
Ergebnissen aus PLAXIS 2D (embedded beam row) verglichen. Die Ergebnisse
zeigen, dass embedded beam row eine effiziente Alternative zur Modellierung von
fully bonded, swellex und tieback ist, aber nur bedingt Übereinstimmung mit den
Ergebnissen des plain strand cable bolt zeigt.
Abstract
Rockbolts are widely used in engineering practice for supporting excavations in
rock. Bolt models have been implemented in various numerical methods already,
such as FEM (Goodman et al., 1968), BEM (Crotty & Wardle, 1985) and block
methods (Cundall, 1971). PLAXIS has implemented the embedded beam row
feature to primarily model pile rows in 2D. The aim of this thesis is to analyse the
possibility of using embedded beam row for applications in tunneling. For the
validation, the 2D finite element program Phase2 by Rocscience was selected, due
to its capability of modelling different types of rockbolts. A simplified tunnelling
problem was modelled in both codes and the results regarding the axial force
distribution along the anchors for different types of anchors were compared. The
influence of various factors affecting the performance of cable bolts has been
evaluated as well. It was concluded that embedded beam row can be an efficient
tool for modelling fully bonded, swellex and tieback bolts, but it shows limitations
in simulating the cable bolt behaviour.
Table of contents
1 Introduction 1

2 Technological background 2

Rockbolting 2
2.1.1 Discretely mechanically or frictionally coupled systems (DMFC) 2
2.1.2 Continuously frictionally coupled systems (CFC) 3
2.1.3 Continuously mechanically coupled systems (CMC) 4
Cablebolting 5

3 Scientific background 6

Bolt support models in Phase2 6

3.1.1 End Anchored Bolt 6
3.1.2 Fully Bonded Bolt 7
3.1.3 Swellex / Split Sets 8
3.1.4 Tiebacks 9
3.1.5 Plain Strand Cable 10
Embedded beam row in PLAXIS 2D 11
3.2.1 Beam properties 12
3.2.2 Interaction properties 12

4 Numerical Model 15

Model geometry 15
Material parameters 16
4.2.1 Parameters for Fully Bonded bolts 16
4.2.2 Parameters for Swellex bolts 17
4.2.3 Parameters for Tieback bolts 17
4.2.4 Parameters for Plain Strand Cable bolts 18
Calculation phases 23
Influence of the lining discretization 25
Influence of element type and mesh coarseness 26

5 Validation of the PLAXIS EBR by comparison with Phase2 30

Fully Bonded bolts 30

 Swellex 34
Tiebacks 36
Plain Strand Cable bolts 38
5.4.1 Evaluation of the influence of rock mass properties 41
5.4.2 Evaluation of the influence of stress level 44
5.4.3 Evaluation of the influence of cable bolt geometry 45

6 Conclusion 49

7 Bibliography 50

Appendix A 52

Development of the Plain Strand Cable model 52

Appendix B 57

Input parameters for the different bolt types in Phase2 57

Appendix C 59

Input parameters for the calculation PLAXIS EBR vs. Phase2 59

Appendix D 64

Modelling of End Anchored bolts 64

65
List of figures
Figure 1: Main components of DMFC rockbolts (adapted from Stillborg 1986) .. 2
Figure 2: Split-set rockbolt (adopted from Stillborg 1986) ................................... 3
Figure 3: Swellex rockbolt (after Hoek 2007) ....................................................... 4
Figure 4: Main components of CMC rockbolts (adopted from Hoek 2007) ......... 5
Figure 5: End Anchored bolt model (Rocscience, 2018) ....................................... 6
Figure 6: Fully Bonded bolt model (Rocscience, 2018) ........................................ 7
Figure 7: Failure criteria for fully bonded bolts (Rocscience, 2018) ..................... 8
Figure 8: Swellex / Spilt Sets model (Rocscience, 2018) ....................................... 8
Figure 9: Schematisation of the principle of EBR (Brinkgreve et al., 2018a) ..... 11
Figure 10: Soil structure interaction for EBR (Brinkgreve et al., 2018b) ............ 14
Figure 11: Model geometry in PLAXIS (left) and Phase2 (right) ........................ 15
Figure 12: Axial force on anchor 1 in Phase2 for varying w:c ratios .................. 19
Figure 13: Axial force in anchor 1 for different definitions of skin resistance.... 21
Figure 14: Maximum force in anchor 1 for layer dependent skin resistance....... 21
Figure 15: Calculation phases in PLAXIS ........................................................... 23
Figure 16: Calculation phases in Phase2 .............................................................. 24
Figure 17: Normal force in the tunnel lining (linear-elastic rock, no anchors) ... 25
Figure 18: Normal force in the tunnel lining (linear-elastic rock, no anchors) ... 26
Figure 19: Different mesh discretizations in PLAXIS (very coarse, medium, very
fine) ...................................................................................................................... 26
Figure 20: Normal force in the tunnel lining (rock MC, no anchors) .................. 27
Figure 21: Plastic point history in PLAXIS (left) and Phase2 (right).................. 27
Figure 22: Plastic points after excavation of top heading, coarse and very fine mesh
.............................................................................................................................. 28
Figure 23: Axial force on anchor 1 for 6-noded vs. 15-noded elements (rock MC)
.............................................................................................................................. 28
Figure 24: Axial force on anchor 4 for 6-noded vs. 15-noded elements (rock MC)
.............................................................................................................................. 29
Figure 25: Comparison of axial force distribution for anchor 1 (linear-elastic rock)
.............................................................................................................................. 30
Figure 26: Comparison of axial force distribution for anchor 4 (linear-elastic rock)
.............................................................................................................................. 31
Figure 27: Comparison of axial force distribution for anchor 1 (MC rock) ........ 32
Figure 28: Comparison of axial force distribution for anchor 4 (MC rock) ........ 32
Figure 29: Plastic point history in PLAXIS (left) and Phase2 (right) .................. 33
Figure 30: Normal force on anchor 1- Swellex bolts (rock MC) ......................... 34
Figure 31: Normal force on anchor 4- Swellex bolts (rock MC) ......................... 35
Figure 32: Axial force on anchor 1 – Tiebacks (rock MC) .................................. 36
Figure 33: Axial force on anchor 1 – Tiebacks (rock MC) .................................. 37
Figure 34: Plastic points in PLAXIS (left) vs. Phase2 (right) at the end stage.... 38
Figure 35: Anchor force 1 for varying interface shear stiffnesses ....................... 39
Figure 36: Anchor force 1 for varying interface shear stiffnesses....................... 40
Figure 37: Anchor force 1 for varying rock mass stiffnesses (interface shear
stiffness 5 MN/m/m) ............................................................................................ 41
Figure 38: Anchor force 4 for varying rock mass stiffnesses (interface shear
stiffness 5 MN/m/m) ............................................................................................ 42
Figure 39: Anchor force 1 for varying rock mass strength (interface shear stiffness
10 MN/m/m) ........................................................................................................ 43
Figure 40: Anchor force 4 for varying rock mass strength (interface shear stiffness
10 MN/m/m) ........................................................................................................ 43
Figure 41: Anchor force 1 for varying stress levels (interface shear stiffness 10
MN/m/m) ............................................................................................................. 44
Figure 42: Anchor force 4 for varying stress levels (interface shear stiffness 10
MN/m/m) ............................................................................................................. 45
Figure 43: Anchor force 1 for 15mm cable diameter and varying borehole diameter
(interface shear stiffness 5 MN/m/m) .................................................................. 46
Figure 44: Anchor force 1 for 15mm cable diameter and varying borehole diameter
(interface shear stiffness 5 MN/m/m) .................................................................. 46
Figure 45: Anchor force 1 for varying cable diameter - borehole diameter 38mm
(interface shear stiffness 10 MN/m/m) ................................................................ 47
Figure 46: Anchor force 4 for varying cable diameter - borehole diameter 38mm
(interface shear stiffness 10 MN/m/m) ................................................................ 48
Figure 47: Axial force vs. axial displacement for 0.3 w:c ratio (Hyett et al, 1995)
.............................................................................................................................. 53
Figure 48: Cable bolt bond failure response for a 0.3 w:c, opposite the MHC results
(Hyett et al, 1995) ................................................................................................ 54
Figure 49: Axial force in anchor 1 for MC rock and node-to-node anchor
(PLAXIS) vs. end anchored bolts (Phase2) ......................................................... 65
Figure 50: Axial force in anchor 1 for MC rock and node-to-node anchor
(PLAXIS) vs. end anchored bolts (Phase2) ......................................................... 65
List of tables
Table 1: Material parameters for the rock mass ................................................... 16
Table 2: Material parameters for the anchors ...................................................... 16
Table 4: Comparison of input parameters for the different bolt types in Phase2 57
Table 5: Input parameters for EBR (PLAXIS 2D) acc. to chapter 4.2.1.............. 59
Table 6: Input parameters for fully bonded bolts (Phase2) acc. to chapter 4.2.1 . 59
Table 7: Input parameters for EBR (PLAXIS 2D) acc. to chapter 4.2.2.............. 60
Table 8: Input parameters for Swellex bolts (Phase2) acc. to chapter 4.2.2 ......... 61
Table 9: Input parameters for EBR (PLAXIS 2D) acc. to chapter 4.2.3.............. 61
Table 10: Input parameters for node-to-node anchor (PLAXIS 2D) acc. to chapter
4.2.3 ...................................................................................................................... 62
Table 11: Input parameters for Tiebacks (Phase2) acc. to chapter 4.2.3 ............. 62
Table 12: Input parameters for EBR (PLAXIS 2D) ............................................. 63
Table 13: Input parameters for Plain Strand Cable Bolts (Phase2) ..................... 63
Table 14: Input parameters for node-to-node anchor (PLAXIS 2D) .................. 64
Table 15: Input parameters for End Anchored bolts (Phase2) ............................. 64
List of symbols and abbreviations
Small letters
c´ [kN/m²] cohesion
ci [kN/m²] cohesion of the interface
p1 [m] Radial pressure at r = r1
ua [mm] axial displacement at end point
ur [mm] radial displacement
ur1 [mm] radial displacement at r = r1
ux [mm] axial displacement
∆u [mm] relative displacement
∆ue [mm] elongation of the bolt element

Capital letters

A [m²] cross-sectionl area

A1 [m²] apparent cable-grout interface contact area
D [m] diameter
E [kN/m²] Young’s modulus
EA [kN] axial stiffness
Eb [kN/m²] Young’s modulus bolt material
F [kN] axial force
Fa [kN] axial load on cable

Fbot,max [kN] maximum base resistance

Fe [kN] axial force
Fmax [kN] base resistance
Fyield [kN/m²] yield force
Gsoil [-] shear modulus soil
IS [kN/m²] interface stiffness for EBR
 ISFRS [-] axial stiffness factor
ISFRN [-] lateral stiffness factor
ISFKF [-] base stiffness factor
Kb [kN/m²] bolt stiffness
kji [-] coefficients for cable bolt model
KF [kN/m²] stiffness base
Krc [kN/m²] radial stiffnes of the cable
K0 [-] initial stress ratio
Le [m] bolt length
Lpile [m] pile length
Lrock bolt [m] rock bolt length
Lspacing [m] out-of-plane spacing
Npile [kN] bearing capacity for piles
Nrock bolt [kN] bearing capacity for rock bolts
Req [m] equivalent radius
Rinter [-] interface factor
RN [kN/m²] stiffness axial direction
RS [kN/m²] stiffness lateral direction
TS,max [-] maximum force axial direction
Tskin [kN/m] skin resistance
Tskin,start,max [kN/m] skin resistance at the pile top /first point
Tskin,end,max [kN/m] skin resistance at the pile bottom /second point

Greek letters
 [%] deconfinement value
 [kN/m³] unit weight
k [kN] shear stiffness for the bolt - grout interface
 [-] Poisson‘s ratio
 [-] dilation due to splitting
i [kN/m²] shear stress of the interface
 [°] friction angle
´ [°] average coefficient of friction
i [°] friction angle of the interface
‘ [°] dilatancy angle
1 Introduction 1

1 Introduction
The embedded beam row feature in PLAXIS has been developed to model piles in
2D considering a soil-structure interaction. It has been validated as part of a master
thesis (Sluis, 2012) in various loading conditions. However, the loads were
assumed to be static and the lateral skin resistance was unlimited, so the application
of embedded beam row was restricted to a certain pile spacing-diameter ratio. In
the PLAXIS version of 2015, a limiting lateral skin resistance has been
implemented to deal with laterally loaded piles and piles with larger spacing.
Algulin and Pedersen (2014) have applied the embedded beam row feature for
modelling a piled raft foundation. Van der Kwaak (2015) used embedded beam
row to simulate the dynamic pile behaviour during earthquake.

The main objective of this thesis is validating the PLAXIS 2D embedded beam
row for applications in tunneling. The validation is performed by comparison with
the finite element program Phase2. Five different bolt models have been
implemented in Phase2: end anchored, fully bonded, plain strand cable,
swellex/split set and grouted tiebacks. For the validation, a simplified tunneling
problem was modelled in PLAXIS and Phase2. The comparison is done by
investigating the axial force distribution along the bolts in both FE-codes.

This short introduction is followed by a chapter focusing on some technological

aspects of bolting. The most common bolt types are presented concisely.

The background theory of the bolt models used in Phase2 is explained in chapter
3. Furthermore, the embedded beam row concept is described in detail. Information
about the development of the theory used for Plain Strand Cable model is given
in Appendix A.

Chapter 4 presents the numerical model used in PLAXIS and Phase2. 6-noded
finite elements are used in both codes, since Phase2 only provides 6-noded
triangular elements. The sensitivity of the results to the mesh coarseness and the
element type is afterwards studied in PLAXIS. Two different material models,
namely linear-elastic and Mohr-Coulomb are used for modelling the rock.
Moreover, the modelling procedure for the different bolt types is described.

In chapter 5, the results from PLAXIS using embedded beam row are compared
with the results for fully bonded bolts, swellex, grouted tiebacks and cable bolts
from Phase2. Parametric studies were performed to evaluate the influence of
various factors affecting the mechanical behaviour of cable bolts, as rock
properties, stress level and cable geometry. For modelling of end anchored bolts,
node-to-node anchors are used in PLAXIS. The results are shown in Appendix D.

Chapter 5 is followed by a summary of the conclusions and recommendations for

modelling of bolts by means of embedded beam row.
2 2 Technological background

2 Technological background
Rockbolts and cablebolts are designed to help the rock mass support itself
(Rabcewicz, 1964). This is practically achieved by a load transfer mechanism
between the ground and the reinforcement through the bonding. All reinforcements
consist of four principal components (Windsor, 1996):

 Rock
 Element: the main function of the reinforcing bar is to restrain the
deformations of the surrounding ground.
 Internal fixture: the way the reinforcing bar is coupled to the rock.
 External fixture: a plate and a nut.

The mechanical behaviour of the support system is dictated by the interaction of

all components. The main difference between rockbolts and cablebolts is the use
of a bar or a several-wire strands as a reinforcing element.

Rockbolting
Based on the anchoring of the rod to the rock or soil, the bolting systems can be
classified as follows (Windsor, 1993):

 discretely mechanically or frictionally coupled systems (DMFC);

 continuously frictionally coupled systems (CFC), and
 continuously mechanically coupled systems (CMC).

2.1.1 Discretely mechanically or frictionally coupled

systems (DMFC)
DMFC rockbolts are anchored to the rock at the borehole far end, just over a small
length, while the rest of the bar is free. They are the earliest and also the simpliest
system to come into widest use (Martin, 2012).

Figure 1: Main components of DMFC rockbolts (adapted from Stillborg 1986)

2 Technological background 3

Anchoring can be achieved using:

 A fast-set resin grout

 Altenatively a slot-and-wedge mechanism
 Or an expansion shell

They are active rockbolts - they can provide immediate support action, what is the
principal advantage of them. Besides, the time of installation is quite short. When
it comes to the loads, they are not able to deal with shear loads unless the shear
displacement exceeds the thickness of the borehole annulus. On the other side,
DMFC systems can handle tensile, compressive and bending loads.

Regarding their disadvantages, perhaps the most important is the need to regularly
check the proper tensioning of the bar: creep behaviour, vibrations induced by
blasting or losening of the face plate can drastically reduce the load on the bar.
Furthermore, DMFC systems cannot be used in neither very hard nor very soft
rock conditions. Moreover, DMFC systems are more efficient when they are as
perpendicular to the strata as possible.

2.1.2 Continuously frictionally coupled systems (CFC)

CFC rockbolts rely on full-length contact to provide the reinforcing frictional
action between the bar and the borehole wall. They are very easy to install and can
hold a combination of tensile, compressive and bending loads. In addition, they
can acommodate large rock deformations, which make them suitable for deep
excavation applications (Martin, 2012). Since they mainly provide support action
if the surrounding ground tries to deform, they are passive rockbolts.

The most popular friction bolts are Swellex and Split-set, where the bar is metallic.

Split Set rockbolts:

Split-set’s main adavantage is the speed and the ease of installation. On the other
hand, the risk of corrosion remains one of its main problems, and the borehole
requires very specific dimensions and regularity.

Figure 2: Split-set rockbolt (adopted from Stillborg 1986)

4 2 Technological background

Swellex rockbolts:

The main advantage of the Swellex rockbolt is that it embraces the shape of the
borehole, assuring a good contact along its length. The speed of installation is
another important asset. In situ, the Swellex bolt is inserted into the borehole with
the closed extremity facing the borehole end. High-pressure water (approximately
30 MPa) is then injected inside the folded tube, which thereby inflates and deforms
plastically, coming into contact with the borehole walls.

Figure 3: Swellex rockbolt (after Hoek 2007)

2.1.3 Continuously mechanically coupled systems (CMC)

CMC are refered to as fully grouted rockbolts. They are anchored to the rock or
soil along their entire length. Since the entire length of the bar is embedded in the
grouting material, the risk of corrosion is reduced. CMC rockbolts can be used
either as a temporary or a permanent reinforcement. They are able to hold a
combination of tensile, compressive, shear and bending loads. Other advantages
of those rockbolts are: high flexibility and resistance to corrosion and chemical
attacks, high strength-to-weight ratio, electromagnetic neutrality and ease of
handling (Martin, 2012).

Fully grouted rockbolts can only provide support action if the surrounding soil or
rock mass tries to deform: they are passive anchorage systems.
2 Technological background 5

Figure 4: Main components of CMC rockbolts (adopted from Hoek 2007)

Cablebolting
Cablebolts are based on the same principles as rockbolts. They are normally fully
grouted and can sustain tensile, compressive, shear and bending loads. In contrast
to rockbolts, cablebolts are made from steel ropes, instead of plain bars. The
standard configuration consist of several wires wound around a central wire (plain
strand cable bolt). In order to increase the load transfer mechanism , the wires may
be rewound to particular structures (e.g. birdcage, nutcage, mini-cage etc). Due to
their helical structure, cablebolts are able to hold torsional loads. Furthermore,
cablebolts have a higher capacity, compared to the traditional rockbolts.

Another advantage of cablebolts is their flexibility, thus they can be packaged as

coils and be easily transported.

Finally, the most important characteristic of cablebolts with respect to rockbolts is

the need to use face plates. Cables may rotate under tensile loads, if one of the
extremities is left free. As a consequence, the wires tend to untwist themselves and
form an dissociated structure (Martin, 2012).
6 3 Scientific background

3 Scientific background
Bolt support models in Phase2
Five bolt support models are available in Phase2: End Anchored, Fully Bonded,
Plain Strand Cable, Swellex/Split Set and Tiebacks. The bolts are represented by
one or a series of 1D elements, which interact with the finite element mesh as
individual "bolt elements". Depending on the bolt type, bolt elements may fail in
tension (tensile failure), shear (bond failure) or both modes may occur. Failure of
a single bolt element does not necessarily cause failure of the entire bolt, except
for end-anchored bolts. The theory of the bolt support models implemented in
Phase2 is outlined in this chapter. (Rocscience, 2018)

3.1.1 End Anchored Bolt

For the end-anchored bolt model, the whole bolt length is considered as a single
bolt element (Figure 5). The bolt interacts with the FE-mesh through the endpoints
only.

Figure 5: End Anchored bolt model (Rocscience, 2018)

The axial force is calculated from the axial displacement as follows:

𝐹 = 𝐾𝑏 ∆𝑢 (1)

where Kb is the bolt stiffness (equal to 𝐸𝐴⁄𝐿 ) and ∆𝑢 is the relative displacement
between the endpoints.

Failure of end-anchored bolts is controlled by the yield strength of the bolt

material. Since the end-anchored bolt consists of a single element, failure of the
entire bolt occurs if the bolt material has exceeded his tensile capacity. A residual
capacity after failure may also be assigned, but in most cases the residual capacity
would be equal to zero.
3 Scientific background 7

Input parameters for end-anchored bolts

The behaviour of end-anchored bolts in Phase2 is defined by the geometry (Bolt

Diameter) and material properties (Bolt Modulus Tensile Capacity, Residual
Tensile Capacity). Additionally, a Pre-Tensioning Force can be specified.

3.1.2 Fully Bonded Bolt

Fully bonded bolts are divided into bolt elements, determined by the intersection
of the bolt with the FE-mesh. The bolt elements act independently and influence
each other only through their effect on rock mass. Thus, individual bolt elements
can fail, independently of neighbouring bolt elements within the same bolt- failure
of a bolt element does not lead to the failure of the entire bolt.

Figure 6: Fully Bonded bolt model (Rocscience, 2018)

Figure 6: Fully Bonded bolt model (Rocscience, 2018)

The axial force is determined from the axial displacement of the bolt element:
𝐸𝐴
𝐹𝑒 = ∆𝑢 (2)
𝐿𝑒 𝑒

where Le is the length of the bolt element and ∆𝑢 the elongation of the element.

Fully bonded bolts can fail in tension only, if the axial force exceeds the tensile
capacity of the bolt material. In Phase2 it is also possible to define a residual tensile
capacity. In this case, the bolt can still carry load (equal to the residual capacity)
after exceeding the yield strength (Fyield).

Input parameters for fully bonded bolts

The information required for modelling of fully bonded bolts includes the
geometry (Bolt Diameter) and the material properties (Bolt Modulus  Tensile
Capacity, Residual Tensile Capacity). Same as for end-anchored bolts, a Pre-
Tensioning Force can be specified.
8 3 Scientific background

Figure 7: Failure criteria for fully bonded bolts (Rocscience, 2018)

3.1.3 Swellex / Split Sets

Swellex / Spilt Sets (also called shear bolts or frictional bolts) consider the shear
force due to the relative displacement between the bolts and rock mass, so the shear
stiffness of the bolt/rock interface is taken into account. The bolt behaves as a
single element. Even though the bolt is divided into elements according to the
intersections with the FE-mesh, each element influences the adjacent elements.

Figure 8: Swellex / Spilt Sets model (Rocscience, 2018)

Figure 8: Swellex /
Spilt Sets
The equilibrium equation may be written as follows (Farmer, 1975, Hyett et al.,
1996): model
(Rocscie
nce, 𝑑 2 𝑢𝑥
2018) 𝐴𝐸𝑏 + 𝐹𝑠 = 0 (3)
𝑑𝑥²

where A is bolt cross-sectional area, Eb is the Young´s modulus for the bolt and Fs
represents the shear force (per unit length). The shear force is defined as a linear
function of the relative displacement between the rock mass and the bolt:

𝐹𝑠 = 𝑘 (𝑢𝑟 − 𝑢𝑥 ) (4)

where k represents the shear stiffness for the bolt-grout interface, usually
determined from laboratory pull-out tests.
3 Scientific background 9

Swellex/Split Set bolts may fail in two modes: in tension- if the tensile capacity is
exceeded, or in shear- if the bond strength is exceeded. By defining a residual
tensile capacity, the axial capacity after the axial load in the load has reached the
tensile capacity, will be controlled by the residual tensile capacity.

Input parameters for Swellex / Split Set bolts

The input parameters required for modelling of frictional bolts include:

 Tensile Capacity (only if Plastic Bolt Model is selected for the bolt material
behaviour) and Residual Tensile Capacity
 Bolt Modulus
 Tributary area (cross sectional area without the hollow area of the bolt,
together with Bolt Modulus, it determines the Axial Stiffness of the bolt)
 Bond strength (the maximum shear force of the bolt / rock interface – can
be determined from pull-out tests)
 Bond shear stiffness (the shear stiffness of the bolt / rock interface – it
represents the slope of the elastic part of the graph on a shear force vs.
displacements graph from pull-out tests)
 Elastic or Plastic material behaviour for the Bolt Model (if Elastic Bolt
Model is selected, the forces in the bolt are determined by the Axial and
Shear Stiffness of the bolt; if Plastic behaviour is selected, the Bond
Strength, the Tensile Capacity and the Residual Tensile Capacity are taken
into account)

Additionally, the user can simulate Face Plates on bolts, add a Pull Out Force,
add a Pre-Tensioning Force and account for the effects of Rock Joints on the bolt.

3.1.4 Tiebacks
Tiebacks consist of a free (unbonded) length and a bonded length. The free length
behaves as a single element, so the interaction with the FE-mesh is through the
endpoints only. If failure of the free length occurs, the entire free length is
considered failed. The bonded length is modelled in the same way as Swellex/Split
Set bolt, as a series of bolt elements, determined by the intersections with the FE-
mesh. Same as for Swellex, the shear resistance for the bonded length is taken into
account.

Input parameters for Tieback bolts

The necessary input data for Tiebacks includes:

 Borehole and Cable Diameter

 Cable Modulus (Young´s modulus of bolt material)
 Cable Peak (tensile strength of the cable)
 Bond length and eventually secondary bond length
10 3 Scientific background

 Bond strength (the maximum shear force along the bond length)
 Bond shear stiffness (the shear stiffness of the bolt / rock interface)
 Elastic or Plastic material behaviour for the Bolt Model (same as for
Swellex)

Furthermore, the user can add a Pre-Tensioning Force and also account for the
effects of Rock Joints on the bolt.

3.1.5 Plain Strand Cable

Due to the intersections of the cable bolt model with the FE- mesh, a number of
bolt segment are created. Nevertheless, each bolt segment influences the adjacent
elements and the entire bolt behaves as an individual element.

The plain strand cable model considers the stiffness of the grout, as well as the
stiffness and strength of bolt/grout interface.The shear stress generated at the cable
is defined by the amount of relative slip at the cable/grout interface and the
stiffness of this interface.

The only failure mechanism at present is tensile failure of the cable. Failure of the
cable/grout may also occurs, but is not considered as a failure mechanism, because
as the rock moves, this interface is assumed to be in a plastic state. Failure of
grout/rock interface is not considered at present.

Input parameter for Plain Strand Cable bolts

The parameters needed for plain strand cable bolts are:

 Borehole and Cable Diameter

 Cable Modulus (Young´s modulus of bolt material)
 Cable Peak (tensile strength of the cable)
 Water Cement Ratio

The shear stiffness in Phase2 is defined as the slope of the curve in the shear stress
vs. shear displacement graph for the bolt and it is in general non-linear. As a result,
the shear stiffness changes depending on the shear stress on the bolt. Alternatively,
a constant shear stiffness can be defined as an input parameter. In this case, the
shear stiffness will not depend on the shear stress on the bolt.

Additionally, the user can simulate Face Plates on bolts, add a Pull Out Force,
add Bulges and account for the effects of Rock Joints on the bolt.
3 Scientific background 11

Embedded beam row in PLAXIS 2D

The pile (rock bolt /grouted anchor) – soil/rock interaction is a fully three
dimensional phenomenon, impossible to model realistically in a 2D model. The
embedded beam row feature represents a possibility to deal with a row of rock
bolts, ground anchors or piles in a 2D plane strain model.

The pile is represented by a Mindlin beam element and is superimposed „on“ the
mesh. As a result, the mesh is continuous. The soil interacts with the pile by a
special interface, represented by springs in axial and lateral directions along the
pile, and a point-to-point interface at the base (Figure 9). The spring forces are
limited by the pile capacity, which is an input parameter, consisting of the shaft
capacity and base capacity. The principle is illustrated in the figure below.

Figure 9: Schematisation of the principle of EBR (Brinkgreve et al., 2018a)

When creating embedded beam elements, the special interface elements are
created automatically.

PLAXIS offers the possibility to choose between the behaviour of piles, rock bolts
and grout body. The three behaviour types differ only with respect to the selection
of the connection point.

Regarding the connection of the EBR with the solid finite elements, three options
are available: free, rigid and hinged. In the first option, the connection point of the
EBR can move relatively to the soil finite element. If the connection is rigid, the
relative movement is not allowed. The hinged connection allows relative rotation,
but no relative displacements. When using grout body behaviour, the connection
type is automatically set to free.
12 3 Scientific background

The information required for modelling of rock bolts by means of EBR includes
the properties of the rock bolt itself, the interaction with the surrounding rock and
the out-of-plane spacing.

3.2.1 Beam properties

The material properties for embedded beams are defined by Young´s modulus E
and the unit weight of the material γ.

The geometrical properties required for embedded beams include:

 Beam type (predefined/ user defined)

 Predefined beam type (Massive circular beam/Circular tube/Massive square
beam)
 Diameter (for Massive circular beam and Circular tube)
 Width (for Massive square beam)
 Thickness (for Circular tube)

3.2.2 Interaction properties

A special interface element is used to model the interaction between the pile/rock
bolt and the surrounding soil/rock. The interface behaviour is described by an
elastoplastic model. The bearing capacity consists of Skin resistance (Tmax) and
Base resistance (Fmax), which are both input parameters. The interface remains
elastic, when the shear force does not exceed the skin resistance (|ts| < Tmax). The
elastic behaviour accounts for the displacement differences between the pile/rock
bolt and surrounding soil/rock. For plastic behaviour, when the shear force reaches
the skin resistance (|ts| = Tmax), permanent slip may occur.

Since it is a plane strain analysis, the values for skin resistance are automatically
divided by the out-of-plane spacing.

Due to lateral displacements, the beam can undergo transverse forces as well. The
Lateral skin resistance, which is also an input parameter, limits the transverse
forces.

The skin resistance

The axial skin resistance and the lateral skin resistance can be defined as Linear,
Multi-linear, or Layer dependent functions.

 Linear is mostly applicable in homogeneous soil layers. The pile bearing

capacity is then given by:
1
𝑁𝑝𝑖𝑙𝑒 = 𝐹𝑚𝑎𝑥 + 𝐿 (𝑇 + 𝑇𝑠𝑘𝑖𝑛,𝑒𝑛𝑑,𝑚𝑎𝑥 ) (5)
2 𝑝𝑖𝑙𝑒 𝑠𝑘𝑖𝑛,𝑠𝑡𝑎𝑟𝑡,𝑚𝑎𝑥
3 Scientific background 13

where Fmax is the base resistance, Lpile the pile length, Tskin,start,max the skin resistance
at the pile top, and Tskin,end,max the skin resistance at the pile bottom.

Rock bolts do not have an end bearing, so the bearing capacity is defined as
follows:
1
𝑁𝑟𝑜𝑐𝑘 𝑏𝑜𝑙𝑡 = 𝐿 (𝑇 + 𝑇𝑠𝑘𝑖𝑛,𝑒𝑛𝑑,𝑚𝑎𝑥 ) (6)
2 𝑟𝑜𝑐𝑘 𝑏𝑜𝑙𝑡 𝑠𝑘𝑖𝑛,𝑠𝑡𝑎𝑟𝑡,𝑚𝑎𝑥
where Lrock bolt is the length of the rock bolt, Tskin,start,max the skin resistance at the
first point of the line, and Tskin,end,max the skin resistance at the second point of the
line.

 The Multi-linear option takes into account different properties of multiple

soil layers, resulting in different resistances.
 When using the Layer dependent option, the local skin resistance is given as
a function of the strength properties (friction angle φ and cohesion c) and the
interface factor, Rinter, of the surrounding soil/rock.

𝑡𝑎𝑛𝜑𝑖 = 𝑅𝑖𝑛𝑡𝑒𝑟 𝑡𝑎𝑛𝜑𝑠𝑜𝑖𝑙 (7)

where τi is the local shear stress resistance of the interface, ϕi and ci are the friction
angle and the cohesion of the interface, ϕsoil and csoil are the friction angle and the
cohesion of the soil/rock, Rinter is the strength reduction factor related to the soil
layer and p´ is the normal stress. In this case the bearing capacity depends on the
stress state in the soil/rock.

The skin resistance, Tskin, is defined as:

𝑇𝑖 = 2𝜋𝑅𝑒𝑞 𝜏𝑖 (8)

To avoid undesired high values for the skin resistance, a maximum resistance Tmax
can be defined, which acts as a cut-off value.

This option is available only for the Axial skin resistance.

Interface stiffness factor

The interface stiffness factors should account for the difference in the
displacements between the pile (or rock bolt, or ground anchors) and the soil /rock
surrounding the pile.

The interface stiffnesses are defined as follows:

𝐺𝑠𝑜𝑖𝑙
𝑅𝑠 = 𝐼𝑆𝐹𝑅𝑆 (9)
𝐿𝑠𝑝𝑎𝑐𝑖𝑛𝑔
14 3 Scientific background

𝐺𝑠𝑜𝑖𝑙
𝑅𝑁 = 𝐼𝑆𝐹𝑅𝑁 (10)
𝐿𝑠𝑝𝑎𝑐𝑖𝑛𝑔

𝐺𝑠𝑜𝑖𝑙 𝑅𝑒𝑞
𝐾𝐹 = 𝐼𝑆𝐹𝐾𝐹 (11)
𝐿𝑠𝑝𝑎𝑐𝑖𝑛𝑔

RN = stiffness lateral direction

RS = stiffness axial direction
KF = stiffness base
Ts;max = maximum force axial direction
Fbot;max = maximum base resistance

Figure 10: Soil structure interaction for EBR (Brinkgreve et al., 2018b)

where ISFRS is the axial skin stiffness factor, ISFRN is the lateral skin stiffness factor
and ISFKF is the pile base stiffness factor.

The default values of interface stiffness factors are related to the out-of-plane
spacing and pile diameter, according to:

𝐿𝑠𝑝𝑎𝑐𝑖𝑛𝑔 −0.75
𝐼𝑆𝐹𝑅𝑆 = 2.5 ( ) (12)
𝐷
𝐿𝑠𝑝𝑎𝑐𝑖𝑛𝑔 −0.75
𝐼𝑆𝐹𝑅𝑁 = 2.5 ( ) (13)
𝐷
𝐿𝑠𝑝𝑎𝑐𝑖𝑛𝑔 −0.75
𝐼𝑆𝐹𝐾𝐹 = 25 ( ) (14)
𝐷
The default values are derived as part of a master thesis study (Sluis, 2012) for
bored piles, statically loaded in axial direction. The validation has been performed
by fitting with the load-diplacement curves of the Dutch annex of Eurocode for
bored piles (for axial loading) and 3D calculations (for lateral loading). Since the
derived formulas are not based on physical principles, the default values can be
overruled.
4 Numerical Model 15

4 Numerical Model
For the validation of embedded beam row, a simplified tunneling problem was
modelled in PLAXIS 2D and Phase2. Tunnel geometry and material properties
were taken from Schädlich (Schädlich, 2013). For the calculation, plain strain
conditions are assumed. The calculations were performed using 6-noded triangular
elements in both codes, since Phase2 only provides 3 or 6-noded triangular
elements. The sensibility of the numerical model to the element type and mesh
coarsness was subsequently studied in PLAXIS 2D.

Model geometry
The same tunnel geometry is used in PLAXIS and Phase2. The finite element
model has a height and a width of 100m. The circular tunnel, located at the center
of the model, has a diameter of 9.4m. The support consists of five anchors of 6m
length and a tunnel lining of 20cm thickness. The boundary at the bottom of the
model is fixed in all directions, vertical model boundaries are fixed in horizontal
direction and the top boundary of the model is free in all directions. The
groundwater table is located at the bottom of the model and drained conditions are
assumed. Figure 11 shows the model as implemented in PLAXIS and Phase2.

Figure 11: Model geometry in PLAXIS (left) and Phase2 (right)

16 4 Numerical Model

Material parameters
The rock mass properties are summarized in Table 1. The anchor parameters are
listed in Table 2. The self-weight of anchors is neglected and the yield strength is
considered as the maximum capacity of the anchors. It should be noted that the
material parameters for the anchors may differ depending on the anchor type. A
detailed outline of the input parameters required for modelling of the different
anchors in PLAXIS and Phase2 is provided in Appendix C.
Table 1: Material parameters for the rock mass
Unit weight γ 25 kN/m3
Young´s modulus E 850 MPa
Poisson´s ratio ν 0.2
Initial stress ratio K0 0.4
Cohesion c´ 300 kPa
Friction angle ϕ´ 28°
Dilatancy angle ψ 0

Table 2: Material parameters for the anchors

Diameter Ø 0.032
Unit weight γ 0
Young´s modulus E 210 GPa
Length L 6.0 m
Tensile capacity 230 kN
Spacing 1.0 m
The tunnel lining consists of linear elastic plate elements. The Young´s modulus
for the shotcrete directly after excavation is assumed as 5 GPa and for the cured
shotcrete 15 GPa.

4.2.1 Parameters for Fully Bonded bolts

Fully bonded anchor elements can fail only in tension if the tensile capacity of the
bolt material is exceeded. Since skin failure is not possible, the skin resistance of
the EBR is set to a high value (Tskin,start,max = Tskin,end,max = 500 MN/m). The base
resistance is set to zero for all calculations in PLAXIS 2D.

The interface stiffness factors in PLAXIS are left to their default values.

The other geometrical and material properties required are as given in Table 2. In
2D plane strain analysis, the out-of-plane spacing is also required. The FE-
programs will divide internally the stiffness of the anchor by the out-of-plane
spacing to calculate the stiffness per meter width.
4 Numerical Model 17

4.2.2 Parameters for Swellex bolts

Swellex bolts can fail in tension, as well as in shear if the ultimate skin friction is
exceeded. For the EBR in PLAXIS, the ultimate skin friction has been defined by
a constant distribution of skin friction (Tskin,start,max = Tskin,end,max = 5 kN/m). In
Phase2, the bond strength of the Swellex bolts is set to 5 kN/m. This unrealistically
low value has been chosen in order to trigger skin friction failure for the given rock
properties. Usually, pull-out test are performed to define the input value for this
parameter. Since the limiting skin friction is an input parameter, it should be noted
that the external bearing capacity cannot be determined from this calculation.

For the shear stiffness, the default values of the interface stiffness factors are used
in PLAXIS, whereas in Phase2 the bond shear stiffness is set to 100 MN/m/m, as
suggested from Rocscience, based on lab and field tests done worldwide.

The other input parameters are calculated according to the parameters given in
Table 2.

4.2.3 Parameters for Tieback bolts

Tieback bolts consist of a free anchor length and a grout body. The free length of
tiebacks in both models is defined as 6m and the grouted part 4m. The material
properties are as given in Table 2. The free length of tiebacks, which represents
the connection between the tunnel lining and the grout body, is modeled by means
of node-to-node anchor in PLAXIS 2D. As the name implies, the anchor is
connected only through the ends to the other elements and in between there is no
interaction with the surrounding ground. The grouted part of tiebacks is modelled
by means of embedded beam element. For the behaviour of EBR the option grout
body is selected. The endpoint of node-to-node anchor is then automatically
connected to the EBR, and not to the surrounding rock (connection type free). The
interaction with the surrounding rock is provided by the interface elements of the
EBR.

In practice, the bond length is usually pressure grouted to ensure a rigid contact
between the grouted body and the surrounding soil/rock. In PLAXIS the skin
resistance of the embedded beam row is set to a high value (500 kN/m) in order to
avoid relative movement along the bond length. In Phase2 the same value is used
for the bond strength.

For the shear stiffness of the grouted part of the anchor, the default values of the
interface stiffness factors are used in PLAXIS, and the bond shear stiffness is set
to 100 MN/m/m in Phase2.
18 4 Numerical Model

4.2.4 Parameters for Plain Strand Cable bolts

The Plain Strand Cable model implemented in Phase2 is based on the model
proposed by Hyett (Hyett et al., 1995). In contrast to the other bolt models in
Phase2, the bolt-grout interface is considered more precisely, taking into account
the grout stiffness as well as the strength and stiffness of this interface.

Due to the fact that the Plain Strand Cable is based on a rather complex model, it
is necessary to examine the differences between PLAXIS and Phase2, in order to
form a judgement about the possibility of modelling cable bolts by means of EBR.

In Phase2, the shear stress generated at the cable is defined by the amount of
relative slip at the cable/grout interface and the stiffness of this interface. The only
failure mechanism at present is tensile failure of the cable. Failure of the
cable/grout may also occur, but is not considered as a failure mechanism, because
as the rock moves, this interface is assumed to be in a plastic state. Failure of
grout/rock interface is not considered at present.

PLAXIS on the other hand, defines the behaviour of EBR by the amount of relative
displacements at the interface and the interface stiffness. In this case, the relative
slip at the interface cannot be taken into account. The relative displacements are
refered to the difference in the displacements between the bolt and the surrounding
rock. When reaching the ultimate skin resistance (interface elements are modelled
as elastoplastic material), permanent slip occurs, indicating failure.

Phase2 considers the progressive failure mechanism of the cable bolts. The axial
force at the cable is determined according to the stress decrement during the
debonding process. The EBR cannot take this effect into account, since the
interface stiffness is only related to the shear modulus of the surrounding rock.

Furthermore, the grout annulus cannot be modelled when using EBR, since the
geometry is defined by a single diameter. The influence of the grouting material
can therefore not be captured appropriately. From Hyett (Hyett et al., 1995) it is
known that the grout effects the load transfer mechanism of cable bolts, not only
through the stiffness properties (low w:c ratio increases the cable bolt capacity),
but also through the effect of dilatancy/volumetric strains (after cracking of the
grout occurs, the individual grout wedges can be radially displaced along the
fractures, increasing the pressure at the borehole wall, which in turn generates an
additional pressure at the cable/bolt interface, resulting in higher bond strength).

Therefore, it is questionable whether the embedded beam row feature is able to

show a good performance when modelling plain strand cable bolts. Despite the
differences in the model formulation, an attempt was made to model cable bolts as
implemented in Phase2 using EBR.
4 Numerical Model 19

Since the formulation of EBR in PLAXIS does not allow modelling of the grout
annulus, first the influence of the grout on the anchor force distribution was
evaluated in Phase2. Phase2 accounts for the grout quality through the w:c ratio,
which is an input parameter. It is well known that stiffer grouts can increase the
cable bolt capacity. This statement was verified by varying the w:c ratio of cable
bolts in Phase2 and analyzing the effect on anchor forces. The calculation was
performed according to the calculation phases described in the following chapter
(chapter 4.3) and using MC plasticity for the rock mass. The geometry of cable
bolts in Phase2 is defined by the borehole diameter and the cable diameter. The
standard cable bolt was selected for modelling. The cable diameter is 15.2mm and
the borehole diameter is assumed equal to 38mm. The other input parameters are
as given in Table 2. The results (Figure 12) confirm that the grout quality affects
the cable bolt behaviour.

2
Figure 12: Axial force on anchor 1 in Phase
Phase2 for
for varying
varying w:c
w:c ratios
ratios

As expected, stiffer grouts yield higher anchor forces. However, for applications
in tunneling, w:c ratios between 0.3 and 0.4 are suggested and the influence in this
range is minimal, so it can be neglected for this specific problem.

The properties of EBR in PLAXIS 2D include the stiffness properties of the cable
and the interaction properties with the rock.
20 4 Numerical Model

Stiffness properties of EBR for Cable Bolts

For the stiffness of EBR, two input parameters should be specified: the Young´s
Modulus, E, and the cross section geometry. The stiffness of cable bolts is
dominated by the axial stiffness of the cable EA, since after cracking of the grout
body, it will no longer contribute to the axial stiffness of the cable bolt. On the
other hand, the geometry is dominated by the grout body, so when specifying the
geometry, the diameter of the grout body should be selected. Now, in order to get
the actual stiffness of the cable EA, a fictious value of E was determined, so that
the product of the fictious E with the cross section area of the grout body, is equal
to the stiffness EA of the cable. The cable diameter is 15.2mm and the borehole
diameter was assumed as 38mm, leading to a fictious E of 34 GPa.

Interaction properties of EBR for Cable Bolts

The interaction properties with the rock involve the skin friction and the interface
stiffness factors.

Skin friction

The skin friction can be defined as linear, multi-linear or layer dependent. For
homogeneous soil layers, linear skin friction function can be assumed.
Nevertheless, the layer dependent option was also considered for this calculation,
since it relates the skin resistance to the strength properties and the stress level in
the surrounding rock. To investigate the influence of the skin resistance on the
behaviour of EBR, the calculation was performed with high and low values for the
constant skin resistance, as well as with layer dependent skin resistance. The
interface stiffness factors are left to their default values. Mohr-Coulomb plasticity
is assumed for the material behaviour of the rock. The other material parameters
are given in Table 2. The calculation was performed according to the calculation
phases as listed in chapter 4.3. As it can be seen from Figure 13 , the results for
linear and layer dependent skin resistance are identical when the interface strength
is set to rigid.
4 Numerical Model 21

Figure 13: Axial force in anchor 1 for different definitions of skin resistance
Figure 13: Axial force in anchor 1 for different definitions of skin resistance

The only parameter that influences the behaviour of EBR when using layer
dependent skin resistance is the strength reduction factor Rinter. To study this
influence, Rinter has been varied from 0 to 1 and the results for the maximum force
in anchor 1 are shown in Figure 14.

Figure
Figure 14:
14: Maximum
Maximum force in anchor
force in anchor 11 for
for layer
layer dependent
dependent skin
skin resistance
resistance
22 4 Numerical Model

To simulate the interaction anchor/rock, the strength reduction factor Rinter can be
assumed between 0.7 and 0.8. The influence of Rinter in this range is minimal, thus
linear skin resistance was selected for the further calculations. Since failure of the
interface is not considered a failure mechanism in Phase2, the skin resistance for
EBR in PLAXIS was set to a high value (Tskin,start,max = Tskin,end,max = 500 kN/m).

Interface stiffness

The default values for the interface stiffness factors (ISF) have been derived as
part of a master thesis (Sluis, 2012) and are not based on physical principles, but
on fitting the load-displacement curve from pile tests with the deformation curve
from the Dutch annex of EC7. Therefore, the ISF can be overruled to manipulate
the relative displacements between EBR and surrounding ground. The
determination of reasonable values for the interface stiffness factors (ISF) is
essential in order to obtain a realistic representation of the behaviour of cable bolts,
since they control the relative displacements between the EBR and the rock and
consequently the shear stress generated at the cable. In Phase2, the amount of shear
stress generated at the cable is controlled by the shear stiffness of the cable/grout
interface. Therefore, for modelling of cable bolts in PLAXIS, the assumption was
made that the interface stiffness of the embedded beam elements should be equal
to the shear stiffness in Phase2. The shear stiffness in Phase2 is defined as the slope
of the curve in the shear stress vs. shear displacement graph for the bolt and in
general it is non-linear. As a result, the shear stiffness will change depending on
the shear stress. In this case (variable shear stiffness), the interface shear stiffness
is internally calculated and is a function of the grout quality, the surrounding rock
properties and the stress level. It also considers if the grout is cracking as well as
if the fractures are open, closed, or partially open. Alternatively, a constant shear
stiffness can be defined as an input parameter. Consequently, the shear stiffness
will not depend on the shear stress. Of course, the calculation with variable shear
stiffness reflects the real behaviour of cable bolts more accurately, but in this case
no correlation to the interface stiffness in PLAXIS is possible. Therefore, the basic
idea for the modelling was to perform the calculation in Phase2 using variable
shear stiffness, in order to get the relatively realistic axial force distribution and
then determine the constant shear stiffness to fit the former. The value of the
constant shear stiffness is afterwards used in PLAXIS to define the interface
stiffness factors for the EBR according to equations (9) and (10). The calculated
ISF are the input parameters for EBR. The assumption is subsequently verified
with parametric studies, to evaluate the influence of the factors that affect the
interface shear stiffness.
4 Numerical Model 23

Calculation phases
In order to simulate the tunnel construction process according to the New Austrian
Tunnel Method (NATM), the construction process is divided into two stages. In
the first stage, the top heading is excavated, followed by the installation of the
tunnel lining and anchors. In the second stage, the invert is excavated and
subsequently the tunnel lining is installed. To simulate the construction process in
PLAXIS, the ß- method is used. Figure 15 and Figure 16 illustrate the calculation
phases performed in PLAXIS and Phase2, respectively. Five calculation phases are
performed in both codes:

Phase 1 Phase 2 Phase 3

Phase 4 Phase 5

Figure 15: Calculation phases in PLAXIS

Figure 15: Calculation phases in PLAXIS

Phase 1 Phase 2 Phase 3

24 4 Numerical Model

Phase 4 Phase 5

Figure 16: Calculation phases in Phase22

Figure 16: Calculation phases in Phase

1.Initial phase

The initial stress field is generated using the K0 procedure, with the K0 - value of
0.4.

2.Pre-relaxation of top heading

The value of deconfinement (β-value) for the top heading is assumed as 0.3. The
initial stress acting around the tunnel is divided in two parts. 70% of the load acts
on the unsupported tunnel, while the other part (30%) should be carried by the
support in the next calculation phase.

3.Excavation of top heading

The top heading is de-activated and the support consisting of the tunnel lining
(„young“) and anchors is activated.

4.Pre-relaxation of invert (top heading lining „old“)

For the invert, ß-value is assumed as 0.65. 35% of the stresses acts on the
unsupported invert, while 65% should be carried by the support in the last
calculation phase. Moreover, the material properties of the tunnel lining are
modified – top heading lining is set to „old“.

5.Excavation of the invert

In the last calculation phase, the invert is de-activated and additionally the invert
lining („young“) is activated.
4 Numerical Model 25

Influence of the lining discretization

PLAXIS and Phase2 show some differences concerning the tunnel lining
discretization. The tunnel lining in PLAXIS 2D is discretized into curved beam
elements, whereas Phase2 uses straight beams. To evaluate the influence of this
differences, the calculation is performed without anchors first. The rock mass is
modelled as linear-elastic material, as well as using Mohr-Coulomb failure
criterion. The results for the axial forces in the tunnel lining are shown in the Figure
17 and Figure 18.

Figure 17: Normal force in the tunnel lining (linear-elastic rock, no anchors)

The normal force distribution in the tunnel lining for linear-elastic rock (Figure
17) shows a good agreement between the two codes for invert forces, while some
differences are notable for top heading forces. Thus, the calculation in Phase2
yields higher top heading forces. In order to get a better approximation, a larger
number of elements should be used for the discretization of the tunnel lining in
Phase2.
Figure 18 illustrates the tunnel lining force distribution for MC rock mass.
Compared to the calculation with linear-elastic rock, the normal forces in the top
heading increase and invert forces decrease in both codes. As it can be seen from
Figure 18, reasonable agreement between PLAXIS and Phase2 is achieved for MC
rock. The top heading forces fit well and only a slight difference can be seen in the
26 4 Numerical Model

invert lining force distribution. Therefore, the influence of different lining

discretizations has been neglected for the further calculations.

Figure 18: Normal force in the tunnel lining (linear-elastic rock, no anchors)
Figure 18: Normal force in the tunnel lining (rock MC, no anchors)

Influence of element type and mesh coarseness

As previously mentioned, for the comparison of the results between PLAXIS and
Phase2, 6-noded triangular elements are used in both codes, since Phase2 provides
only 3 or 6-noded triangular elements. To study the influence of the element type
on the results, additionally a calculation using 15-noded elements was performed
in PLAXIS 2D. Furthermore, the mesh was varied from a very coarse to a very
fine mesh and the effect on the tunnel lining and anchor forces was investigated.
The anchors were modelled as described in chapter 5.1, assuming an unlimited
bond strength.

Figure 19: Different mesh discretizations in PLAXIS (very coarse, medium, very fine)
Figure 19: Different mesh discretizations in PLAXIS (very coarse, medium, very fine)
4 Numerical Model 27

Figure 19 illustrates the different finite element meshes generated in PLAXIS 2D.
Figure 20 shows that the mesh coarseness and the element type do not affect the
tunnel lining force distribution significantly.

Figure 20: Normal force in the tunnel lining (rock MC, no anchors)

Nevertheless, the mesh coarseness influences the anchor force, particulary if the
anchor is affected by plastic points (Figure 21), as for anchor 1. The maximum
forces on anchor 1 are in the same range, but the force distribution differs, if very
fine mesh is used. So, a plateau of constant force can be observed close to the
lining, while very coarse mesh and 6-noded elements yield a linear normal force
distribution along the anchor (Figure 23). This behaviour can not be seen for
anchor 4, which is located outside the plastic zone.

Figure 21: Plastic point history in PLAXIS (left) and Phase2 (right)
 28 4 Numerical Model

A closer look at the plastic points around the tunnel after top heading excavation
reveals the development of some „cherry pit“ mechanism in the very fine mesh.
The very coarse mesh on the other hand, produces a rather diffuse plastic zone
(Figure 22).

Figure 22: Plastic points after excavation of top heading, coarse and very fine mesh

Figure
Figure23:
23:Axial
Axialforce
forceononanchor
anchor1 1for
for6-noded
6-nodedvs.vs.15-noded
15-nodedelements
elements(rock
(rockMC)
MC)
4 Numerical Model 29

The influence of mesh coarseness and element type can be seen on anchor 4 as
well (Figure 24). Although the normal forces follow the same path, the very coarse
mesh and 6-noded elements show higher normal forces in anchor 4.

Figure
Figure 24:
24: Axial
Axial force
force on
on anchor
anchor 44 for
for 6-noded
6-noded vs.
vs. 15-noded
15-noded elements
elements (rock
(rock MC)
MC)

Due to the influence of the mesh coarseness on the results, very fine mesh was
generated for all the further calculations.
30 5 Validation of the PLAXIS EBR by comparison with Phase2

5 Validation of the PLAXIS EBR by

comparison with Phase2
In this chapter, the results from PLAXIS for different anchor types are compared
with the results from Phase2. For the validation of fully bonded bolts, the rock mass
was modelled as linear-elastic material as well as using Mohr-Coulomb failure
criterion. For the other rock bolt types Mohr-Coulomb plasticty was assumed for
the rock mass. The parameters for the different bolt models are described in the
previous chapter. The comparison is done by investigating the axial force
distribution along the anchors.

Fully Bonded bolts

As mentioned in the previous chapter, the skin resistance of the embedded beam
row elements is set to a high value in order to simulate fully bonded bolts. In Figure
25 and Figure 26 the normal forces in two anchors with respect to radial distance
are plotted, for various excavation stages. Linear-elastic material behaviour is
assumed for the rock mass.

Figure
Figure25:
25:Comparison
Comparisonof
ofaxial
axialforce
forcedistribution
distributionfor
foranchor
anchor11(linear-elastic
(linear-elasticrock)
rock)
5 Validation of the PLAXIS EBR by comparison with Phase2 31

Figure 26:
Figure 26: Comparison
Comparison of
of axial
axial force
force distribution
distribution for
for anchor
anchor 44 (linear-elastic
(linear-elastic rock)
rock)

As it can be seen, the results from PLAXIS are similiar to those computed in
Phase2. The maximum anchor force occurs at the tunnel lining and decreases with
increasing distance to the lining. Discrepancies are observed at the end of the
anchors where anchor forces in PLAXIS tend to zero, whereas in Phase2 a residual
anchor force is present, probably due to a lack of tension cut-off in Phase2
(Schädlich, 2013).
32 5 Validation of the PLAXIS EBR by comparison with Phase2

In Figure 27 and Figure 28 the axial forces for anchor 1 and anchor 4 from
calculations in PLAXIS are compared with the results obtained from Phase2 for
MC rock mass.

Figure
Figure 27: Comparison of axial force distribution for anchor 1 (MC rock)

Figure
Figure28:
28:Comparison
Comparisonofofaxial
axialforce
forcedistribution
distributionfor
foranchor
anchor44(MC
(MCrock)
rock)
5 Validation of the PLAXIS EBR by comparison with Phase2 33

The normal forces in both codes follow a similiar path, but a notable spike is
observed in Phase2 for anchor force 1 at ~1.5m distance to the lining. Such
behaviour can neither be seen in PLAXIS results, nor in the axial force of anchor
4, which is situated outside the plastic zone (Figure 29), nor in the results for linear-
elastic rock mass (Figure 25).

Figure 29: Plastic point history in PLAXIS (left) and Phase2 (right)

This indicates that the reason for the spike is plasticity in the rock mass. It seems
like Phase2 facilitate the development of complex failure mechanisms, which
control the mobilization of anchor forces (Schädlich, 2013).

For the comparison of plastic points (Figure 29), the plastic point history was
chosen for the display of the PLAXIS results, since Phase2 shows in each
calculation phase all stress points that reached failure at any previous or the current
calculation phase. Only a slight difference between both codes can be seen
regarding the plastic points around the tunnel excavation.
34 5 Validation of the PLAXIS EBR by comparison with Phase2

Swellex
The skin resistance of EBR in PLAXIS was reduced to 5 kN/m in order to simulate
interface slip at the anchors for the given rock mass properties. The rock mass was
modelled with MC. Figure 30 and Figure 31 compare the axial force distribution
calculated by PLAXIS with the solution for Swellex, calculated by Phase2. The
results are shown only for the last stage (end of the tunnel excavation) since the
other stages are almost identical.

Figure 30: Normal force on anchor 1- Swellex bolts (rock MC)

5 Validation of the PLAXIS EBR by comparison with Phase2 35

Figure
Figure 31:
31: Normal
Normal force
force on
on anchor
anchor 4-
4- Swellex
Swellex bolts
bolts (rock
(rock MC)
MC)

As it can be seen that the results from PLAXIS are in very good agreement with
Phase2. The skin friction is fully mobilized along the anchor length, resulting in a
maximum normal force of ~30 kN. Due to the constant skin friction, the axial force
distribution is approximately linear.
36 5 Validation of the PLAXIS EBR by comparison with Phase2

Tiebacks
In order to simulate the behaviour of grouted anchors, the tieback bolt type was
selected in Phase2, whereas in PLAXIS the free length was modelled using node-
to-node anchor and the grouted length using EBR. The rock mass was modelled
with MC material model. The results obtained from PLAXIS and Phase2 are
illustrated in Figure 32.

Figure 32: Axial force on anchor 1 – Tiebacks (rock MC)

It can be seen that the axial force distribution along the fixed length is similiar in
both codes. The calculation shows some differences in the axial force along the
free length, where a lower anchor force is revealed in PLAXIS. The deviation of
the forces could be related to the slightly different bond lengths. Thus, the bond
length in Phase2 is slightly larger than the emdedded beam element length in
PLAXIS and a higher axial force is generated along the bond length in Phase2,
which is eventually transferred along the free length.
5 Validation of the PLAXIS EBR by comparison with Phase2 37

Figure 33: Axial force on anchor 41 – Tiebacks (rock MC)

38 5 Validation of the PLAXIS EBR by comparison with Phase2

Plain Strand Cable bolts

As mentioned in chapter 4.2.4, the determination of suitable values for the
interface stiffness factors in PLAXIS 2D is essential, due to the fact that they
control the relative displacements between emdedded beam row and the
surrounding rock, and consequently the shear stress generated at the cable. To
study the influence of the varying shear stiffness on the behaviour of the bolt,
several calculations were performed in both codes. The rock is modelled using MC
material model. The necessary input parameters for the anchors are provided in
Appendix C.

The shear stiffness is varied from 5 to 100 MN/m/m. For each constant shear
stiffness value, the corresponding value of ISF in PLAXIS 2D is calculated, which
serves as input parameter for EBR. Furthermore, a calculation is performed in
Phase2 considering the variable shear stiffness. Since in this case the shear stiffness
depends on the shear stress generated at the cable, it is assumed that the relatively
most accurate solution is obtained with variable shear stiffness.

The results from both codes for anchor 1 are shown in Figure 35. In general, the
results from Phase2 show a plateau in the normal force distribution close to the
lining, whereas in PLAXIS the normal force is distributed almost linearly along
the anchor length (Figure 35). When defining high values for the shear stiffness,
the behaviour of the EBR in PLAXIS still follows the same path as for low shear
stiffness – maximum force occurs at the lining and decreases toward the end of
the anchor. On the other hand, in Phase2 a peak at about 2m distance from the
lining is notable, which increases with increasing shear stiffness. This phenomen
is revealed only at anchor 1 which is located in the plastic zone and can not be seen
neither in anchor 1, nor in PLAXIS.

Figure 34: Plastic points in PLAXIS (left) vs. Phase22 (right) at the end stage
Figure 34: Plastic points in PLAXIS (left) vs. Phase (right) at the end stage
5 Validation of the PLAXIS EBR by comparison with Phase2 39

Figure 35: Anchor force 1 for varying interface shear stiffnesses

It seems like Phase2 is able to facilitate complex failure mechasims, which as a

result control the mobilization of skin friction. The relatively high shear stiffness
of the interface enables eventually the load transfer to the cable, leading to higher
axial forces.

Furthermore, it can be seen that the results from both codes for anchor 1 agree
reasonably well for low values of constant shear stiffness (between 5 and 10
MN/m/m). The best fit with the results with variable shear stiffness is obtained for
constant shear stiffness equal to 10 MN/m/m.

In Figure 36 the results for anchor 4 from both codes are presented. The EBR
approach yields similiar results to Phase2, however EBR tends to overestimate the
axial forces at small distances to the tunnel lining.
40 5 Validation of the PLAXIS EBR by comparison with Phase2

Figure 36: Anchor force 1 for varying interface shear stiffnesses

As previously mentioned, the behaviour of cable bolts is affected by various

factors. In order to demonstrate the role of some of these factors, parametric
analyses were performed. MC plasticity was assumed for the rock mass. For all
calculations, the constant shear stiffness in Phase2 was varied in order to get the
best fit to the results with variable shear stiffness. After defining the value for the
constant shear stiffness, the ISF for the EBR in PLAXIS 2D were calculated and
set as input parameters for the calculation in PLAXIS. Same procedure was used
when changing the rock properties, stress level and cable bolt geometry. The
following figures illustrate only the results obtained using the shear stiffness that
yields to the best agreement between both codes. The results are compared in terms
of axial force distribution along anchor 1 and anchor 4 for the last excavation stage.
5 Validation of the PLAXIS EBR by comparison with Phase2 41

5.4.1 Evaluation of the influence of rock mass properties

Influence of rock mass stiffness
To study the influence of the ground stiffness on cable bolt behaviour, the Young´s
modulus of the ground was varied from 100 to 850 MPa. Reasonable agreement
between the results from PLAXIS and Phase2 were obtained for interface shear
stiffness equal to 5 MN/m/m.

The comparison of the results for the normal force along the anchors when varying
the rock mass stiffness is presented in Figure 37 and Figure 38. In both codes the
maximum force decreases with increasing Young´s modulus. In weak rocks the
mobilized forces on the cable are higher due to the large displacements on the
ground, which induce a higher force in the cable. The calculation with Phase2
delivers a plateau of almost constant force near the excavation surface, whereas
EBR shows a nearly linear distribution of the normal force. Better agreement
between both codes is achieved for relatively high rock mass stiffness, particulary
in anchor 4. For weak rock conditions a significant discrepancy exists between the
results in both anchors.

37: Anchor
Figure 37: Anchor force
force 11 for
for varying
varying rock
rockmass
massstiffnesses
stiffnesses(interface
(interfaceshear
shearstiffness
stiffness
MN/m/m)
5 MN/m/m)
42 5 Validation of the PLAXIS EBR by comparison with Phase2

Figure
Figure38:
38:Anchor
Anchorforce
force44for
for varying
varying rock
rock mass
mass stiffnesses
stiffnesses (interface
(interface shear
shear stiffness
55MN/m/m)
MN/m/m)

Influence of rock mass strength (shear stiffness 10 MN/m/m)

The results for the EBR (PLAXIS) and plain strand cable bolts (Phase2) are
compared in Figure 39 and Figure 40. The best fit was obtained for shear stiffness
of 10 MN/m/m.

From the plots it can be seen that the results from PLAXIS reflect the trend shown
in Phase2 for the normal force distribution along the bolts. As for most of the
calculations presented in this study, a better agreement is achieved for anchor 4.
5 Validation of the PLAXIS EBR by comparison with Phase2 43

Figure 39:
Figure 39: Anchor
Anchor force
force 11 for
for varying
varying rock
rock mass
mass strength
strength (interface
(interface shear
shear stiffness
stiffness
10 MN/m/m)
10 MN/m/m)

Figure 40: Anchor force 4 for varying rock mass strength (interface shear stiffness
MN/m/m)
10 MN/m/m)
44 5 Validation of the PLAXIS EBR by comparison with Phase2

5.4.2 Evaluation of the influence of stress level

To investigate the effect of the confining pressure on cable bolt behaviour, the FE-
model height was varied from 50 to 100m resulting in different stress levels in the
surrounding ground. For the calculation, the shear stiffness in Phase2 was set to 10
MN/m/m, since the best agreement between the results with constant shear stiffness
from both codes and the one with variable shear stiffness in Phase2 was obtained
for this value.

The results for the axial force distribution from both codes are presented in Figure
41 and Figure 42. Higher stress levels cause an increase of the forces mobilized in
the anchor in both codes. Furthermore, it can be seen that the axial forces follow
the same path in both codes, indicating a good performance of EBR in simulating
the cable bolt behaviour.

varying stress
Figure 41: Anchor force 1 for varying stress levels
levels (interface
(interface shear
shear stiffness
stiffness 10
10MN/m/m)
MN/m/m)
5 Validation of the PLAXIS EBR by comparison with Phase2 45

Figure 42: Anchor force 4 for varying

varying stress
stress levels
levels (interface
(interface shear
shear stiffness
stiffness 10
10MN/m/m)
MN/m/m)

5.4.3 Evaluation of the influence of cable bolt geometry

Influence of Borehole Diameter

The borehole diameter was varied in Phase2, whereas in PLAXIS additionally a

fictious value for the Young´s modulus of the EBR was defined, as explained in
chapter 4.2.4. The shear stiffness was set to 5 MN/m/m.

The comparison of the results for EBR in PLAXIS and plain strand cable bolt in
Phase2 is shown in the following figures. It can be seen that the borehole diameter
has no influence on the cable bolt behaviour. The agreement between both codes
regarding the normal force distribution is not quite satisfactory.
46 5 Validation of the PLAXIS EBR by comparison with Phase2

Figure 43: Anchor force 1 for 15mm cable diameter and varying borehole diameter
(interface shear stiffness 5 MN/m/m)
MN/m/m)

Figure 44: Anchor force 1 for 15mm cable diameter and varying borehole diameter
MN/m/m)
(interface shear stiffness 5 MN/m/m)
5 Validation of the PLAXIS EBR by comparison with Phase2 47

Influence of cable diameter

Moreover the cable diameter was varied in both codes. The shear stiffness was
assumed as 10 MN/m/m. The results of the calculation are presented in the
following figures. Obviously, when increasing the cable diameter a higher load
can be transfered along the anchors. Furthermore, it can be seen that the maximum
anchor forces are in the same range in both codes, but the behaviour is different,
since a plateau of normal force near the tunnel lining is revealed in Phase2, while
the normal force in PLAXIS is almost linear.

Figure
Figure 45:
45: Anchor
Anchor force
force 1 for varying cable diameter - borehole diameter 38mm
38mm (interface
(interface
shear
shear stiffness
stiffness 10
10 MN/m/m)
MN/m/m)
48 5 Validation of the PLAXIS EBR by comparison with Phase2

Figure 46: Anchor force 4 for varying cable diameter - borehole diameter 38mm
(interface shear stiffness 10 MN/m/m)
6 Conclusion 49

6 Conclusion
Five different bolt models were analysed to verify the possibility of EBR for
applications in tunneling. The following conclusions can be drawn:

Fully bonded: By artificially increasing the skin resistance, the EBR shows a good
performance in modelling fully bonded bolts.

Swellex: To simulate the effect of interface slip, a low skin resistance should be
defined. The validation demonstrates that EBR can be an effective tool for
modelling Swellex bolts.

Tiebacks: Can be modelled as a combination of node-to-node anchor, which

represents the anchor free length and EBR, which simulates the grouted part of the
anchor. The results show good agreement between the two codes.

Plain strand cable bolts: The key obstacle in modelling cable bolts by means of
EBR is the incapabilty of conseridering the effects of various factors on the shear
stiffness of the cable-grout interface. Given the complex interaction between the
rock mass properties, stress level and excavation geometry, it is not possible to
determine interface stiffness factors for the EBR to fit every possible situation. The
derived values for the interface stiffness factors are restricted to the cases studied
in this thesis. Even though the results indicate relatively good agreement with
Phase2, one should be aware about the limitations of this model.

- At present, the interface stiffness in PLAXIS is only related to the shear modulus
of the soil/rock and the out-of-plane spacing. In order to model a realistic
mobilization of the skin resistance a stress-dependent interface stiffness is
necessary.

- The progressive failure mechanism should also be considered and consequently

the stress decrement at the interface during the debondig process.

- The formulation of EBR in PLAXIS is not able to capture the development of

fractures in the grout. Therefore the effect of dilatancy can not be simulated
(dilatancy influences the bond strength).
50 7 Bibliography

7 Bibliography
Algulin, J.; Pedersen, B. (2014) Modelling of a piled raft foundation as a plane
strain model in PLAXIS 2D. Master thesis. Chalmers University of Technology
Göteborg, Sweden

Brinkgreve, R.B.J.; Kumarswamy, S.; Swolfs, W.M. (2018a) PLAXIS 2D

Reference Manual 2018. Plaxis bv. Delft, The Netherlands.

Brinkgreve, R.B.J.; Kumarswamy, S.; Swolfs, W.M. (2018b) PLAXIS 2D

Material Model Manual 2018. Plaxis bv. Delft, The Netherlands.

Crotty, J.M. and Wardle, L.J. (1985) Boundary integral analysis of piecewise
homogeneous media with structural discontinuities. Int. J. of Rock Mech. And
Mining Sci & Geomech. Abst., 22 (6), 419-427.

Cundall, P.A. (1971) A computer model for simulating progressive, large scale
movements in blocky rock systems, Proc. Symp Int. Soc. Rock Mechanics, Vol.
1.

Farmer, I.W. (1975) Stress distribution along a resin grouted rock anchor, Int. J.
of Rock Mech. And Mining Sci & Geomech. Abst., 12, 347-351.

Goodman, R.D.; Taylor, R.L.; Brekke, T.L. (1968) A model for the mechanics of
jointed rock. J. of the Soil Mech and Foundation div., ASCE, Vol.14, 637-659.

Hoek, E. (2007) Practical Rock Engineering

Hyett, A.J,; Bawden, W.F.; MacSporran, G.R.; Moosavi, M., (1995) A

constitutive law for bond failure of fully grouted cable bolts using a modified
Hoek cell, Intl. J. Rock Mech. and Mining Sci. & Geomechanics Abstracts, Vol
32, No.1, pp 11-36.

Hyett A.J. Moosavi M. and Bawden W.F. (1996) Load distribution along
fully grouted bolts, with emphasis on cable bolt reinforcement, Int. J. Numer
and Analytical meth. In Geomech., 20, 517-544.

Martin L.B. (2012) Theoretical and experimental study of fully grouted rockbolts
and cablebolts under axial loads. Dissertation. Ecole Nationale Superieure des
Mines de Paris.

Rabcewicz, L. (1964) The New Austrian Tunnelling Method (NATM). vol. I, II,
III.

Reichert, R.D.; Bawden W. F.; Hyett A. J. (1992) Evaluation of design bond

strength for fully grouted cable bolts. Bull. Can. Inst. Min. Metall. 85, 110-118
7 Bibliography 51

Schädlich, B. (2013) Embedded piles for anchor modelling in PLAXIS 2D.

Sluis, J. (2012) Validation of Embedded Pile Row. Master thesis. Delft University
of Technology, The Netherlands.

Stillborg, B. (1986) Professional Users Handbook for Rock Bolting (Trans Tech
Publications).

Van der Kwaak, B. (2015) Modelling of dynamic pile behaviour during an

earthquake using PLAXIS 2D Embedded Beam (rows). Master thesis. Delft
University of Technology, The Netherlands.

Windsor, C. and Thompson A. (1993) Rock reinforcement- technology, testing,

design and evaluation. Comprehensive Rock Engineering - Principles, Practice and
Projects (Pergamon Press, Oxford). vol. 4. pp. 451–484.

Windsor C. and Thompson A. (1996) Terminology in rock reinforcement practice

in Proceedings of the 2nd North American Rock Mechanics Symposium (Rock
Mechanics: Tools and Techniques, Montreal, Canada), edited by Aubertin,
Hassani & Mitri (Balkema, Rotterdam). pp. 225–232.

https://www.rocscience.com/help/rs2/pdf_files/theory/Bolt_Formulation.pdf
(25.10.2018)
52 0 Appendix A

Appendix A
Development of the Plain Strand Cable model
Hyett (1994) developed a constitutive law based on a frictional-dilatational
behaviour of the cable bolt bond.

To gain insight into the mechanics of load transfer between the cablebolt and the
surrounding rock mass, Hyett performed a series of pull tests using a modified
Hoek cell. The confining pressure at the outside of the grout annulus was
mantained constant during the test. The axial displacement was increased at a rate
of 0.3 mm/sec. The axial pullout force and the radial displacement were measured.
To investigate the effect of the confining pressure, three or four confining
pressures , which are more likely to occur at the borehole wall in operational
practice, were applied. The influence of the grouting material was analyzed using
three different grout qualities (w:c = 0.3, 0.4, 0.5).

The tests revealed that the bond strength increases and the radial dilatation
decreases with confining pressure. The w:c cement ratio also influenced the bond
strength and the radial dilatation. Stronger grout flutes (lower w:c ratio) were
associated with higher bond strengths.

Three failure mechanisms may occur along the embedment length:

-dilatational slip, accomodated by radial fractures

-unscrewing of the cable from the grout

-shear failure of the bolt-grout interface

The interplay between these failure mechanisms is pressure dependent. At low

pressures on the cable grout inteface, dilatational slip dominates the bond failure.
At higher pressures, unscrewing or shear failure is more likely to occur. Tests
showed that bond failure of cables occurs by rotation rather than shear failure (due
to low torsional rigidity and helical structure), whereas for solid bolts shear failure
is important. To model realistic behaviour of cable bolts, unscrewing during bond
failure should be considered. In practice, all three failure modes occur
concurrently. Even at high confining pressures, when no dilation occurs, the radial
fractures are always present.

Hyett divided the failure process into four stages:

0 Appendix A 53

-Stage 1 (ua<1 mm). The behaviour of the cabel bolt in the initial stage is controlled
by the elastic properties of the cable, grout and the interface inbetween.
Nevertheless, the tests results (Figure 47) indicate sensitiveness of the initial
stiffness to the confining pressure. These observations confirm the frictional nature
of the bond, even during the initial elastic stage.

Figure 47: Axial force vs. axial displacement for 0.3 w:c ratio (Hyett et al, 1995)

Stage 2-Stage3 (splitting of the grout annulus ua=1 mm). After 1 mm of axial
displacement the cement annulus starts to split. Two mechanisms may initiate,
either the individual grout wedges can be radially displaced resulting in dilatational
slip, or shearing through the cement flutes. At high confining pressures the radial
dilatation due to radial splitting is reversible, whereas at low confining pressure it
remains.

-Stage 3 (ua=1 – 50 mm). The most important part in the load transfer mechanism
at this stage is the friction along the cable-grout interface, which prevents the cable
from slipping. The failure process at the cable-bolt interface is related to the radial
confinement. The frictional response is governed by the frictional properties of the
cable-grout bond and the amount of stress transferred from the outer surface of the
grout annulus where the pressure is applied to the cable-grout interface where slip
occurs. The radial dilatation as the grout wedges are forced apart, generates extra
normal pressure at the cable-bolt interface, resulting in higher bond strengths.

For cables with low torsional rigidity, unscrewing failure may occur during stage3.
Less shearing and less dilatation will result in an almost perfect plastic response
and lower bond strengths.
54 0 Appendix A

- Stage 4 (ua>50 mm). After 40- 50mm of axial displacement, the radial dilatation
is constant. The ultimate capacity is reached.

Graphical Model

Using the MHC data, and assuming the cable bolt bond failure is similiar to shear
failure of rock joints, response curves have been constructed to provide insigt into
the cable bolt bond behaviour (Figure 48). At low confining pressure, the cable
bolt bond behaves almost perfect plastic, whereas at high pressures work hardening
occurs. The friction angle at the interface can be estimated by dividing the pull
force by the contact area of the interface. The radial stiffness (Quadrant 2)
increases with confining pressure, as the fractures are closed.

Figure 48: Cable bolt bond failure response for a 0.3 w:c, opposite the MHC results
(Hyett et al, 1995)

Hyett et al. performed a series of pull tests to investigate the influence of different
radial stiffnesses and variable radial pressures. Regarding the radial stiffness,
higher bond strengths were observed for tests with higher radial stiffness in both
experimental data and graphical model. For the tests conducted under variable
0 Appendix A 55

radial pressure, the graphical model couldn´t account for the path dependent
effects, since the model assumes a load path independent bond strength.

Mathematical Model

The mathematical formulation makes it possible to implement the model into

numerical methods.

The Cable-Grout Interface

-Splitting of the cement annulus

The radial displacement at the bolt-grout interface may be written as:

𝑣0 𝑝1
𝑢𝑟1 = 𝑣0 − 𝑝1 ∗ − (15)
(𝐾0 ∗ 𝑣0 + 𝑝1 ) 𝐾𝑟𝑐

where ν0 represents the dilatation caused by splitting when no pressure acts on the
interface (p1 = 0), and K0 the radial stiffness of the interface immediately after
splitting. The third term describes the radial contraction as the pressure p1 is
applied. The radial stiffness of the cable is given by Krc.

-Friction coefficients

The axial force is given by three components: the force related to dilatation slip
after splitting of the grout, the force responsible for unscrewing and the force for
shear failure of the grout. Since presently, no rational basis exists for the
determination of the length over which shearing dominates, it is not possible to
determine the exact axial force, so an average friction angle is introduced. The
average axial force is then given by:

𝐹𝑎 = 𝐴1 ∗ 𝑝1 ∗ 𝑡𝑎𝑛ф´ + 𝑄 (16)

where Q is the force required for untwisting of the free length of the cable and ф´
is the average friction angle, which can be determined experimentally.

-Dilatation angles

The relation radial displacement - axial displacement was determined empirically.

Based on observations the average radial displacement along the embedment
length is:

𝑘1 𝑣0 𝑝1
𝑢𝑟1 = ∗ (𝑢1 − 1) + 𝑣0 − 𝑝1 ∗ − (17)
𝑝1 𝐾0 ∗ 𝑣0 + 𝑝1 𝐾𝑟𝑐

where k1 is the empirical constant that relates the axial displacement to the radial
displacements.
56 0 Appendix A

The Grout Annulus

The cement annulus is assumed to have fully split after 1 mm of axial displacement
and no tangential loads can be transfered. Depending on the confining pressure and
the dilatation at the cable-grout interface, three cases are possible.

-Case1: closed radial fractures

-Case2: partially open radial fractures

-Case3: fully open radial fractures

For the same confining pressure p2 more stress is transfered through the grout in
case 3. In this case, the incremental change in pressure at the interface depends
only on the incremental change in pressure at the outer surface of the grout annulus.
For cases 1 and 2, it depends also on dilatation, so even for constant p2, p1 increases
with dilatation. The dilatation at the cable-bolt interface is in case 1 and 2 higher
than at the outside of the annulus, whereas for case 3 the deformations are equal
when p2 is maintained equal.

Coupling the Grout Annulus to the Cable-Grout Interface gives the mathematical
formulation to fully describe the behaviour of bond failure during a pull test. Each
incremental axial displacement changes the annulus and bolt-grout interface radial
response, resulting in an increment of the axial force, which is calculated.

The model also accounts for the grout quality. The use of low w:c ratio grouts
(<0.40) can increase cable bolt capacities by 50% to 75% (Reichert R.D. et al,
1992). This effect is maximized under high radial confinement.
0 Appendix B 57

Appendix B
Input parameters for the different bolt types in Phase2
Table 3: Comparison of input parameters for the different bolt types in Phase2
Bolt Type

Input Unit End- Fully Cable Swellex/ Tieback

parameter anchored Bonded Bolt Split
Sets

Bolt/Cable mm
Diameter
   

Borehole mm
 
Diameter

Bolt MPa
    
Modulus

Tensile/Peak MN
Capacity
    
Bolt Properties

Residual MN
Tensile    
Capacity

Out-of-plane m
Spacing     

Tributary mm2

Area

w:c ratio - 
Bond MN/m
 
Strength

Residual MN/m
Bond 
Strength

Bond Shear MN/m

Stiffness /m 
58 0 Appendix B

Bolt Type

End- Fully Cable Swellex Tieback

Input
Unit anch Bonded Bolt /Split
parameter
ored Sets

Elastic/
 
Bolt Model

Plastic

Joint Shear    

Pre-
Tensioning

Tensioning MN   
Force
Pre-

Face Plates   
Plates
Face
Pull-Out

Pull-Out
MN   
Force

Force
Add
Const.Shear

MN/m/
Stiffness 
Stiffness

m
Add Buldges

Bulges  
Bond Length

Bond
%/m 
Length
0 Appendix C 59

Appendix C
Input parameters for the calculation PLAXIS EBR vs.
Phase2
EBR (PLAXIS 2D) vs. Fully Bonded (Phase2)

Table 4: Input parameters for EBR (PLAXIS 2D) acc. to chapter 4.2.1
parameter value unit

Young´s modulus E 210 GPa

diameter Ø 0.032 m

unit weight γ 0 kN/m3

length L 6 m

tensile capacity Np 230 kN

skin resistance start Tskin,start,max 500 MN/m

skin resistance end Tskin,end,max 500 MN/m

lateral skin resistance Rs unlimited MN/m

base resistance Fmax 0 kN

axial stiffness factor ISFRS default -

lateral stiffness factor ISFRN default -

base stiffness factor ISFKF default -

out-of-plane spacing Lspacing 1 m

Table 5: Input parameters for fully bonded bolts (Phase2) acc. to chapter 4.2.1
parameter value unit

bolt modulus E 210 GPa

diameter Ø 0.032 m

length L 6 m
60 0 Appendix C

parameter value unit

tensile capacity Fyield 0.023 MN

residual tensile capacity Fres 0.023 MN

out-of-plane spacing Lspacing 1 m

EBR (PLAXIS 2D) vs. Swellex / Split Sets (Phase2)

Table 6: Input parameters for EBR (PLAXIS 2D) acc. to chapter 4.2.2
parameter value unit

Young´s modulus E 210 GPa

diameter Ø 0.032 m

unit weight γ 0 kN/m3

length L 6 m

tensile capacity Np 230 kN

skin resistance start Tskin,start,max 5 kN/m

skin resistance end Tskin,end,max 5 kN/m

lateral skin resistance Rs unlimited kN/m

base resistance Fmax 0 kN

axial stiffness factor ISFRS default -

lateral stiffness factor ISFRN default -

base stiffness factor ISFKF default -

out-of-plane spacing Lspacing 1 m

0 Appendix C 61

Table 7: Input parameters for Swellex bolts (Phase2) acc. to chapter 4.2.2
parameter value unit

bolt modulus E 210 GPa

tributary area A 804.25 mm2

length L 6 m

tensile capacity Fyield 0.023 MN

residual tensile capacity Fres 0.023 MN

bond strength 0.005 MN/m

residual bond strength 0.005 MN/m

bond shear stiffness 100 MN/m/m

out-of-plane spacing Lspacing 1 m

EBR (PLAXIS 2D) vs. Tiebacks (Phase2)

Table 8: Input parameters for EBR (PLAXIS 2D) acc. to chapter 4.2.3

parameter value unit

Young´s modulus E 210 GPa

diameter Ø 0.032 m

unit weight γ 0 kN/m3

length L 4 m

tensile capacity Np 230 kN

skin resistance start Tskin,start,max 500 kN/m

skin resistance end Tskin,end,max 500 kN/m

lateral skin resistance Rs unlimited kN/m

base resistance Fmax 0 kN

62 0 Appendix C

parameter value unit

axial stiffness factor ISFRS default -

lateral stiffness factor ISFRN default -

base stiffness factor ISFKF default -

out-of-plane spacing Lspacing 1 m

Table 9: Input parameters for node-to-node anchor (PLAXIS 2D) acc. to chapter 4.2.3
parameter value unit

Axial Stiffness EA 169e3 kN

length L 6 m

out-of-plane spacing Lspacing 1 m

Table 10: Input parameters for Tiebacks (Phase2) acc. to chapter 4.2.3
parameter value unit

bolt diameter Ø 0.032 m

borehole diameter Ø 0.034 m

bolt modulus E 210 GPa

length L 6 m

bond length Lbond 4 m

tensile capacity Fyield 0.023 MN

residual tensile capacity Fres 0.023 MN

bond strength 5 MN/m

bond shear stiffness 100 MN/m/m

out-of-plane spacing Lspacing 1 m

0 Appendix C 63

EBR (PLAXIS 2D) vs. Plain Strand Cable Bolt (Phase2)

Table 11: Input parameters for EBR (PLAXIS 2D)
parameter value unit

Young´s modulus E 34 GPa

diameter Ø 0.038 m

unit weight γ 0 kN/m3

length L 6 m

tensile capacity Np 230 kN

skin resistance start Tskin,start,max 500 kN/m

skin resistance end Tskin,end,max 500 kN/m

lateral skin resistance Rs unlimited kN/m

base resistance Fmax 0 kN

axial stiffness factor ISFRS 0.028 -

lateral stiffness factor ISFRN 0.028 -

base stiffness factor ISFKF 1 -

out-of-plane spacing Lspacing 1 m

Table 12: Input parameters for Plain Strand Cable Bolts (Phase2)
parameter value unit

cable diameter Ø 15.2 mm

borehole diameter Ø 38 mm

cable modulus E 210 GPa

length L 6 m

cable peak 0.023 MN

water cement ratio w:c 0.35 -

out-of-plane spacing Lspacing 1 m

64 0 Appendix D

Appendix D
Modelling of End Anchored bolts
Node-to-node anchors are used in PLAXIS in order to simulate the behaviour of
end-anchored bolts. The necessary parameters for modelling of anchors in both
codes are given in Table2. Mohr Coulomb plasticity is assumed for the rock mass.
The results from the calculation with PLAXIS and Phase2 are presented in the
following figures. Both codes deliver constant normal force distribution, since
these bolts are connected to the structural elements only through the endpoints and
there is no interaction with the surrounding ground. Some differences between the
results from PLAXIS and Phase2 are notable in the axial force for anchor 1 (Figure
49). The difference may be related to the different discretization of the tunnel
lining in both codes, that results in slightly different displacements of the
connection point of the anchor to the lining. However, for anchor 4 the results are
in good agreement (Figure 50).

Table 13: Input parameters for node-to-node anchor (PLAXIS 2D)

parameter value unit

Axial Stiffness EA 169e3 kN

length L 6 m

out-of-plane spacing Lspacing 1 m

Table 14: Input parameters for End Anchored bolts (Phase2)

parameter value unit

bolt diameter Ø 32 mm

bolt modulus E 210000 MPa

length L 6 m

tensile capacity Fyield 0.023 MN

residual tensile capacity Fres 0 MN

out-of-plane spacing Lspacing 1 m

0 Appendix D 65

Figure 49: Axial force in anchor 1 for MC rock and node-to-node anchor (PLAXIS) vs.
end anchored bolts (Phase2)

Figure
Figure 50: Axial force in anchor 1 for MC rock and node-to-node anchor (PLAXIS) vs.
2
endbolts
end anchored anchored
(Phasebolts
2
) (Phase )