energies

Article
Back Analysis of the Initial Geo-Stress Field of Rock
Masses in High Geo-Temperature and
High Geo-Stress
Wei Meng * and Chuan He
Key Laboratory of Transportation Tunnel Engineering, Ministry of Education, Southwest Jiaotong University,
Chengdu 610031, China; chuanhe21@swjtu.edu.cn or 13060061625@163.com
* Correspondence: yelang123151@my.swjtu.edu.cn




Received: 19 December 2019; Accepted: 9 January 2020; Published: 11 January 2020


Abstract: In a high geo-temperature environment, it is rarely reported that geo-temperature has

been considered during a back analysis. This may cause the initial geo-stress field that is obtained
by a back analysis to be wrong. In this study, according to the theory of elasticity, the theoretical
solution of the hydraulic fracturing equation is obtained in a high geo-temperature environment.
Since the vertical stress that is obtained by the hydraulic fracturing method is calculated using the
density of overlying strata, this vertical stress lacks the thermal stress that is caused by geothermal
gradients. Therefore, in a high geo-temperature environment, inverting the initial geo-stress field of
rock masses directly using the stress that is measured by the hydraulic fracturing method can cause
serious errors. We propose that the regression coefficient of a gravitational stress field should be set
to one during a back analysis if stresses are measured by the hydraulic fracturing method, and this
regression coefficient should not be equal to one if stresses are measured by overcoring methods.
We also propose a workflow for the back analysis of the initial geo-stress field of rock masses that
considers geo-temperature, and this workflow is applied to the Sangzhuling tunnel in China.

Keywords: high geo-temperature; high geo-stress; initial geo-stress field; back analysis; rock mass

1. Introduction
With the gradual implementation of underground engineering projects in western China, such as
the Sichuan–Tibet Railway and the Sichuan–Tibet Highway, deep, long, and high geo-stress tunnels
have emerged in Tibetan areas [1–3]. In order to understand the state of in situ stresses in Tibetan
areas, scholars have measured the in situ stresses of rock masses using the hydraulic fracturing
and overcoring methods proposed by the International Society for Rock Mechanics (ISRM) [4,5].
The results of measurements show that maximum horizontal principal stresses are greater than vertical
stresses in these areas [6–9]. That is, there is strong tectonism in rock masses due to tectonic plate
movements. Therefore, in these areas, the distribution of the initial geo-stress field of rock masses is
more complicated than that of the gravitational field of rock masses [10]. However, the initial geo-stress
field of rock masses is the basis for calculating stresses and displacements after excavation is performed
in an underground engineering project [11]. Consequently, it is of great practical significance to
understand the distribution of the initial geo-stress field of rock masses [12,13]. Moreover, because of
difficult downhole conditions and high costs [14], measured in situ stresses are usually insufficient,
such that it is difficult to use the measured in situ stresses to express the macroscopic distribution
of the initial geo-stress field of rock masses. As a result, in order to obtain the initial geo-stress field
with macroscopic distribution, it is of great theoretical significance to invert the initial geo-stress field
of rock masses [15–17]. In summary, the initial geo-stress field of rock masses is very important to
underground engineering projects.

Energies 2020, 13, 363; doi:10.3390/en13020363 www.mdpi.com/journal/energies

Energies 2020, 13, 363 2 of 20

However, current studies rarely report that geo-temperature has been considered during a back
analysis of the initial geo-stress field of rock masses [12,15,18–31]. Because high geo-temperature is
rarely observed in practice, these studies are acceptable. However, if high geo-temperature is observed
in an underground engineering project, these studies will not apply. In order to make the initial
geo-stress field that is obtained by a back analysis more compatible with the actual state of rock masses,
we propose a workflow for a back analysis that considers geo-temperature and is based on current
studies. That is, the thermal stress of rock masses that is caused by geothermal gradients is added
during the back analysis. In this study, one important hypothesis, that the geothermal gradient of
the same stratum is the same, should be made. Moreover, this hypothesis has been proposed (see
Equation (3)).
In this study, according to the theory of elasticity, we firstly obtain the theoretical solution of the
hydraulic fracturing equation in a high geo-temperature environment. Then, we propose a workflow
for a back analysis that considers geo-temperature. Finally, taking as an example the Sangzhuling
tunnel, in which high geo-temperature and high geo-stress occur, we carry out a back analysis of the
initial geo-stress field of rock masses.

2. The Thermal Stress of Rock Masses Caused by Geothermal Gradients

Rock masses expand due to the heat flow from the Earth’s interior, and surrounding rock masses
constrain the expanded rock masses, which causes the thermal stress in rock masses (i.e., compressive
stresses) [32,33]. The magnitude of this thermal stress can be approximated by Equation (1) given by
Yu et al. [32] and Zheng et al. [33].
σT = αβEZ (1)

where σT stands for the thermal stress of rock masses in MPa; α stands for the geothermal gradient in
◦ C/100m; β stands for the thermal expansion coefficient in ◦ C−1 ; E stands for the elastic modulus of

rock masses in MPa; and Z stands for the distance from a certain point in rock masses to the constant
temperature zone in m. As can be seen from Equation (1), the thermal stress field of rock masses is in a
state of hydrostatic pressure [32,33]. That is,

σTx = σTy = σTz = σT . (2)

The geothermal gradient of the same stratum can be calculated by Equation (3) [34,35].

T − T0
α= (3)
H−h
where T stands for the virgin rock temperature at the depth of H in ◦ C; T0 stands for the rock
temperature of the constant temperature zone in ◦ C; H stands for buried depth in m; h stands for the
distance from the constant temperature zone to land surfaces in m; Z = H − h; and α can be obtained
through the regression of many sets of T and H. Zhan and Cai [36] gave the definition of the constant
temperature zone.
(1) The constant temperature zone is defined as the stratigraphic zone that geo-temperature does
not change over time. The thickness of the strata for the constant temperature zone is about 3–5 m.
The reason why geo-temperature does not change over time is that the heat flow from the Earth’s
interior and the thermal radiation from the Sun are in equilibrium near the constant temperature
zone. (2) The variable temperate zone is defined as the stratigraphic zone that geo-temperature
changes over time. The variable temperature zone is positioned above the constant temperature
zone, and is about 20–30 m away from land surfaces. The geo-temperature of the variable temperate
zone changes periodically due to the thermal radiation from the Sun. Therefore, there are diurnal,
monthly, and annual temperature changes in the variable temperate zone, as shown in Figure 1. (3)
The temperature-increasing zone is defined as the stratigraphic zone that geo-temperature is not
affected by the periodic changes in the thermal radiation from the Sun, and is only affected by the
Energies 2020, 13, 363 3 of 20

Energies 2020, 13, x FOR PEER REVIEW 3 of 21

heat flow from the Earth’s interior. The temperature-increasing zone is positioned below the constant
temperature zone, and the geo-temperature of the temperature-increasing zone is positively correlated
temperature zone, and the geo-temperature of the temperature-increasing zone is positively
with depth. The vertical distribution of the variable temperate zone, constant temperature zone, and
correlated with depth. The vertical distribution of the variable temperate zone, constant temperature
temperature-increasing zone is shown in Figure 1.
zone, and temperature-increasing zone is shown in Figure 1.

Figure 1.
Figure The vertical
1. The vertical distribution
distribution of
of the
the temperature
temperature zone
zone of
of rock
rock masses.
masses.

Thermal stress
Thermal stressinside
inside rock masses
rock is usually
masses considered
is usually in underground
considered engineering.
in underground For example,
engineering. For
example, in tunnel engineering, the thermal stress near tunnels needs to be determined. tunnels
in tunnel engineering, the thermal stress near tunnels needs to be determined. Moreover, are
Moreover,
usually located
tunnels in the
are usually temperature-increasing
located zone, and thezone,
in the temperature-increasing thermal
andstress inside rock
the thermal stressmasses
insideinrock
the
temperature-increasing zone can be simply and approximately expressed by Equation
masses in the temperature-increasing zone can be simply and approximately expressed by Equation (1). Therefore,
in this
(1). study, the in
Therefore, geothermal
this study, gradient method (Equation
the geothermal (1)) was
gradient used (Equation
method to approximately
(1)) wasestimate
used the
to
thermal stress field of rock masses. In order to determine the state of in situ stresses,
approximately estimate the thermal stress field of rock masses. In order to determine the state of in the hydraulic
fracturing
situ and
stresses, theovercoring
hydraulicmethods
fracturingareand
usually used tomethods
overcoring measureare in usually
situ stresses. The
used to measurement
measure in situ
principles of the hydraulic fracturing and overcoring methods are presented
stresses. The measurement principles of the hydraulic fracturing and overcoring methods are in Section 3.
presented in Section 3.
3. The Measurement Principles of the Hydraulic Fracturing and Overcoring Methods
3. The
3.1. TheMeasurement Principles
Measurement Principle of the
of the Hydraulic
Hydraulic Fracturing
Fracturing Method andin Overcoring Methods
a Non-High Geo-Temperature
Environment
3.1. The Measurement Principle of the Hydraulic Fracturing Method in a Non-High Geo-Temperature
Haimson and Cornet [4] gave the measurement principle of the hydraulic fracturing method.
Environment
The following two points should be noted with respect to hydraulic fracturing: (1) it is assumed that
Haimsonaxis
the borehole and ofCornet
hydraulic[4] fracturing
gave the measurement
is parallel to one principle of thestresses
of principal hydraulic fracturing
of rock masses;method.
and (2)
The following two points should be noted with respect to hydraulic
when maximum horizontal principal stresses are estimated, it is assumed that rock masses fracturing: (1) it is assumed that
are linearly
the borehole
elastic, axis of hydraulic
homogeneous, fracturing
and isotropic. Further is parallel
informationto oneon of hydraulic
principal stresses of stress
fracturing rock masses; and (2)
measurements
when maximum horizontal principal stresses are estimated,
can be found in Haimson and Cornet [4]. Therefore, the mechanical model of hydraulic fracturing it is assumed that rock masses are
linearly elastic, homogeneous, and isotropic. Further information
stress measurements can be simplified to the plane problem shown in Figure 2. That is, horizontal on hydraulic fracturing stress
measurements
principal stresses can
arebe foundtoin
applied Haimson
a flat plate with anda circular
Cornet hole [4]. Therefore,
of radius a. the mechanical
According to themodel
theory ofof
hydraulic fracturing stress measurements can be simplified
elasticity, the stress at any point M outside the circular hole can be expressed as to the plane problem shown in Figure 2.
That is, horizontal principal stresses are applied to a flat plate with a circular hole of radius a.
σH +σh the a2stressσHat

−σhany point 4a2 3a4 outside the circular hole can be
   
According to the theory ofσr elasticity,
= 1 − 2 + 1 − 2 + M cos 2θ
2 2 4

 r  r  r
σH +σh σH −σh

expressed as a2 3a4
 
σθ = 2

1 + r2 − 2 1 + r4 cos 2θ (4)



σ −σ 2 4
  
  στHrθ+=σh− 2 a 2 1 +σHr2− σ
H h 2a 3a
−h r4 sin 4 a22θ 3a 4 


 σr = 1− 2  +  1 − 2 + 4  cos 2θ
 2  r  2  r r 
where σr stands for the radial stress of rock masses; σ θ stands for the tangential stress of rock masses; τrθ
 σH + σh  a 2
 σH − σh  3 a 4

stands for the shear stress  1 + 2 σ−H and σh stand
σθ =of rock masses; 1 + 4for the2maximum
 cos θ and minimum horizontal
(4)

principal stresses, respectively; 2 a isthe radius
r  of2the borehole r  for hydraulic fracturing; r stands for the
 σ − σh  2 a 2 3a 4 
τrθ = − H  1 + − 4  sin 2θ
 2  r2 r 
Energies 2020, 13, 363 4 of 20

distance from point M to the origin of coordinates; and θ stands for the angle between the σr -direction
and the x-direction. When r = a, the state of the stress on the borehole wall can be expressed as

σr = 0



σθ = (σH + σh ) − 2(σH − σh ) cos 2θ .

(5)



 τ =0

rθ

As can be seen from Equation (5), when θ = 0◦ , the minimum tangential stress on the borehole
wall can be obtained. That is,
σθ = 3σh − σH . (6)

Therefore, when the hydraulic fluid pressure is greater than 3σh − σH + σt , in the direction of the
maximum horizontal principal stress, a fracture is initiated on the borehole wall, and this hydraulic
fluid pressure is taken to be the breakdown pressure (Pb ). σt stands for the tensile strength of the tested
rock. Pb can be expressed as
Pb = 3σh − σH + σt . (7)

In saturated rocks with low permeability, the pore pressure (P0 ) should be added. Therefore, the
breakdown pressure can be expressed as

Pb = 3σh − σH + σt − P0 . (8)

As the hydraulic fluid pressure increases, the induced fracture will extend further. When the
depth of the induced fracture reaches three times the diameter of the borehole of hydraulic fracturing,
the pressure at this time is close to the state of in situ stresses. When the pump is shut off, and the
hydraulically induced fracture closes back, the reached pressure is the shut-in pressure (Ps ). Moreover,
the shut-in pressure is in equilibrium with the minimum horizontal principal stress (σh ). That is,

Ps = σh . (9)

As can be seen from Equations (8) and (9), σh and σH can be obtained by σt , P0 , Pb , and Ps .
However, the tensile strength (σt ) is difficult to obtain. In order to overcome this problem, the fracture
reopening pressure (Pr ) is used. When the induced fracture that has closed completely after the initial
pressure cycle reopens, the reached pressure is assumed to be the fracture reopening pressure (Pr ).
Since a fracture has be induced, the tensile strength (σt ) is equal to zero, and thus Equation (8) becomes

Pr = 3σh − σH − P0 . (10)

The vertical stress of rock masses (σV ) can be calculated by the overburden weight of rock masses.
n
X
σV = ρi gDi (11)
i=1

where ρi is the mass density of the i-th rock layer; g is the gravitational acceleration; and Di is the
thickness of the i-th rock layer.
In summary, the three principal stresses that are measured by the hydraulic fracturing method
can be expressed as
σh = Ps



 σH = 3Ps − Pr − P0




 n . (12)
 σ = P ρ gD


 V i i
i=1
 can be expressed as

 σh = Ps

σH = 3 Ps − Pr − P0 .
 n
(12)
 σ = ρ gD
Energies 2020, 13, 363
 V  i =1
i i 5 of 20

σh

σθ
σr

M
r
x
θ
a
σH σH

σh

Figure
Figure 2. The
2. The mechanical
mechanical modelofofhydraulic
model hydraulic fracturing
fracturing stress
stressmeasurements.
measurements.

3.2. The
3.2.Measurement Principle
The Measurement of the
Principle Hydraulic
of the Fracturing
Hydraulic FracturingMethod
Methodin
in aa High Geo-Temperature
Geo-Temperature Environment
Environment
In a high geo-temperature environment, deeply buried rock masses are subject to the thermal stress
describedIn inaEquation
high geo-temperature
(1). Moreover, environment,
the thermaldeeply
stressburied
field ofrock
rockmasses
massesareissubject to the
in a state thermal
of hydrostatic
stress
pressure described
(see Equation in (2)).
Equation (1). Moreover,
Therefore, the thermal
the tectonic state ofstress
rock field of rock
masses masses
is shown inisFigure
in a state of is,
3. That
hydrostatic pressure (see Equation (2)). Therefore, the tectonic state of rock masses is shown in Figure
the thermal stress that is caused by geothermal gradients is added to boundary stresses. In a high
3. That is, the thermal stress that is caused by geothermal gradients is added to boundary stresses. In
geo-temperature environment, it is assumed that the temperature of water in the borehole of hydraulic
a high geo-temperature environment, it is assumed that the temperature of water in the borehole of
fracturing is the same as the virgin rock temperature because of the good thermal conductivity of water.
hydraulic fracturing is the same as the virgin rock temperature because of the good thermal
In other
conductivityitofis water.
words, assumed that the
In other water
words, it isinassumed
the borehole of water
that the hydraulic
in thefracturing
borehole ofdoes not cause
hydraulic
thermal stresses. Then, the stress at any point M outside the circular hole becomes
fracturing does not cause thermal stresses. Then, the stress at any point M outside the circular hole
becomes
σH +σh +2σT σ −σ
  2
 2
 4

 σr,T = 1 − a + H h 1 − 4a + 3a cos 2θ
 σH + 2σh + 2TσT  r2a2 2  σH2 − σh  r24 a4 2 r34a4 



σr ,T== σH +σh +2σ 1+
σθ,T 1 −a 2 −+ σH −σh 1 + 1 − 3a 2 + cosr 42θ cos 2θ

. (13)

 22   2 rr2  4  22  rr4 


σ −σ

τrθ,T = σ− +Hσ2 h+ 21σ+ T 2a −2 3a

  sin 2θ  

σ − σ 4

r2 a r4 3 a
σθ ,T = 1+ 2  −  1 + 4  cos 2θ
H h H h
. (13)
 2  r  2  r 
When r = a, the state of the stress on the borehole wall becomes
σH − σ h  2 a 2
3 a 4

τrθ
,T = −  1 + 2 − 4  sin 2θ
 
 σr,T = 20  r r 
 
σ σ σ T − 2(σ − σ ) cos 2θ .

= + + 2σ (14)

When r =a , the state

 θ,T H h
of the stress on the borehole wall H becomes
h
 τrθ,T = 0


σr , T = 0

 (14), when θ = T0◦ , the minimum tangential stress on the borehole
σθ ,T = ( σH + σh + 2σ ) − 2 ( σH − σh ) cos 2θ .
As can be seen from Equation (14)
wall can be obtained. That is, 
τrθ ,T = 0
σθ,T = 3σh − σH + 2σT . (15)

Since the shut-in pressure is in equilibrium with the minimum horizontal principal stress, and
the minimum horizontal principal stress shown in Figure 3 is σh + σT , the shut-in pressure in a high
geo-temperature environment becomes

Ps,T = σh + σT . (16)

The fracture reopening pressure in a high geo-temperature environment becomes

Pr,T = σθ,T − P0
(17)
= 3σh − σH + 2σT − P0
Energies 2020, 13, 363 6 of 20

Therefore, in a high geo-temperature environment, σT is added to the shut-in pressure, and 2σT is
added to the fracture reopening pressure. Moreover, the maximum and minimum horizontal principal
stresses are calculated based on the shut-in pressure, the fracture reopening pressure, and the pore
pressure, as shown in Equation (12). Thus, in a high geo-temperature environment, the maximum
horizontal principal stress that is measured by the hydraulic fracturing method becomes

σH,T = 3P
 s,T − Pr,T
 −P0 
= 3 Ps + σT − Pr + 2σT − P0 (18)
= 3Ps − Pr − P0 + σT

As can be seen from Equation (18), the maximum horizontal principal stress increases σT as
compared to a non-high geo-temperature environment. In a high geo-temperature environment, the
minimum horizontal principal stress that is measured by the hydraulic fracturing method becomes

σh,T = Ps,T = Ps + σT . (19)

As can be seen from Equation (19), the minimum horizontal principal stress increases σT as
compared to a non-high geo-temperature environment. However, the vertical stress of rock masses
(σV ) is calculated by the overburden weight of rock masses. That is, the vertical stress of rock masses is
independent of geo-temperature. Therefore, in a high geo-temperature environment, the vertical stress
measured by the hydraulic fracturing method lacks the thermal stress caused by geothermal gradients,
as shown in Equation (20).
σh,T = Ps + σT



 σH,T = 3Ps − Pr − P0 + σT




 n (20)
σ ρ
P
= gD



 V i i
i=1

As can be seen from Equation (20), in a high geo-temperature environment, since the vertical
stress that is measured by the hydraulic fracturing method contains only gravitational information,
inverting the initial geo-stress field of rock masses directly using the stress measured by the hydraulic
fracturing
Energiesmethod can PEER
2020, 13, x FOR cause serious errors.
REVIEW 7 of 21

σ h +σ T

σ θ ,T
σ r,T

M
r
x
θ
a
σ H +σ T σ H +σ T

σ h +σ T

Figure 3. 3.The
Figure The mechanical modelofofhydraulic
mechanical model hydraulic fracturing
fracturing stressstress measurements
measurements in geo-
in a high a high
geo-temperature environment.
temperature environment.

3.3. The Measurement Principle of Overcoring Methods

After excavation is performed in an underground engineering project, in order to understand
the state of in situ stresses, overcoring methods proposed by Sjöberg et al. [5] are usually used to
measure in situ stresses. Further information on overcoring stress measurements can be found in
Sjöberg et al. [5]. The results measured by overcoring methods comprise the complete stress tensor
that can be expressed as three principal stresses (magnitudes and orientations) [5], and Leeman [37]
Energies 2020, 13, 363 7 of 20

3.3. The Measurement Principle of Overcoring Methods

After excavation is performed in an underground engineering project, in order to understand the
state of in situ stresses, overcoring methods proposed by Sjöberg et al. [5] are usually used to measure
in situ stresses. Further information on overcoring stress measurements can be found in Sjöberg et
al. [5]. The results measured by overcoring methods comprise the complete stress tensor that can be
expressed as three principal stresses (magnitudes and orientations) [5], and Leeman [37] presented the
computed theory of overcoring methods. That is, in a high geo-temperature environment, the stress
measured by overcoring methods contains not only gravitational information, but also the information
of stresses caused by geo-temperature, weathering, deposition, erosion, or tectonism. In other words,
the stress measured by overcoring methods is closest to the in situ stress of rock masses.

4. The Workflow for a Back Analysis Considering Geo-Temperature

4.1. In Situ Stresses Are Measured by the Hydraulic Fracturing Method

In a high geo-temperature environment, the vertical stress that is measured by the hydraulic
fracturing method contains only gravitational information (see Equation (20)). Therefore, the regression
coefficient of the gravitational stress field of rock masses should be set to 1 during a back analysis, as
shown in Equation (21). In other words, gravitational and thermal stress fields are used as known
stress fields, and only tectonic stress fields need to be inversely determined. As noted, when the stress
that is measured by the hydraulic fracturing method is used to invert the initial geo-stress field of rock
masses, the workflow for a back analysis considering geo-temperature is as follows: (1) gravitational
and thermal stresses should be removed from the measured horizontal in situ stresses of rock masses;
(2) the back analysis of tectonic stress fields should be carried out (i.e., the regression coefficients of
tectonic stress fields should be solved); and (3) the initial geo-stress field of rock masses should be
obtained by superposing the gravitational, tectonic, and thermal stress fields of rock masses. Thus, the
adopted regression model of the initial geo-stress field of rock masses can be expressed as

grav n
 σ jk = C0 σ jk + Ci σtect + σT + e


 meas P
jk (21)

 i=1
C0 = 1



grav
where σmeas
jk
stands for the measured stress of rock masses; σ jk stands for the calculated stress caused
by gravity; σtect
jk
stands for the calculated stress caused by tectonic loads; C0 and Ci are regression
coefficients; and e stands for random error.

4.2. In Situ Stresses Are Measured by Overcoring Methods

As can be seen from Section 3.3, in a high geo-temperature environment, the vertical stress that is
measured by overcoring methods contains not only gravitational information, but also the information
of stresses that is caused by geo-temperature, weathering, deposition, erosion, or tectonism. Therefore,
C0 is introduced to reflect the information of stresses that is caused by weathering, deposition, erosion,
or tectonism. In other words, only the thermal stress field of rock masses is used as a known stress
field, and gravitational and tectonic stress fields need to be inversely determined. As a result, when
the stress that is measured by overcoring methods is used to invert the initial geo-stress field of rock
masses, the workflow for a back analysis considering geo-temperature is as follows: (1) the thermal
stress of rock masses should be removed from the measured in situ stresses of rock masses; (2) the back
analysis of gravitational and tectonic stress fields should be carried out (i.e., the regression coefficients
of gravitational and tectonic stress fields should be solved); and (3) the initial geo-stress field of rock
masses should be obtained by superposing the gravitational, tectonic, and thermal stress fields of
Energies 2020, 13, 363 8 of 20

rock masses. Thus, the adopted regression model of the initial geo-stress field of rock masses can be
expressed as
X n
meas grav
σ jk = C0 σ jk + Ci σtect
jk
+ σT + e. (22)
i=1

In summary, based on the information of measured vertical stresses, the proposed workflow
for a back analysis considering geo-temperature is shown in Figure 4. Moreover, the advantage of
the hydraulic fracturing method is that there is no theoretical limit to the depth of measurement [4].
The disadvantage of the hydraulic fracturing method is that there are difficult downhole conditions
and high costs [14], and it is necessary to assume that the borehole axis is parallel to one of the principal
stresses [4]. The advantage of overcoring methods is that overcoring methods can obtain a complete
stress tensor [5]. The disadvantage of overcoring methods is that stresses can only be measured after
Energies 2020, is
excavation 13,performed
x FOR PEER REVIEW
in an underground engineering project [5]. 9 of 21

Geological information Physical parameters Measured in-situ stresses

Establishing a numerical model, defining boundary conditions, and transforming the coordinate of in-situ stresses

In-situ stresses are measured by the hydraulic fracturing

In-situ stresses are measured by overcoring methods
method

Removing gravitational and thermal stresses from the Removing thermal stresses from the measured in-situ
measured horizontal in-situ stresses of rock masses stresses of rock masses

Solving regression coefficients of gravitational and

Solving regression coefficients of tectonic stress fields
tectonic stress fields

Superposing the gravitational stress field ( σ jk ),

grav
Superposing the gravitational stress field ( C0σ grav
jk ),
tectonic stress fields ( Ciσ jk ), and thermal stress field tectonic stress fields ( Ciσ jk ), and thermal stress field
tect tect

( σ T ) of rock masses ( σ T ) of rock masses

Obtaining the initial geo-stress field that is more compatible with the measured in-situ stress of rock masses

Figure
Figure 4. The workflow
4. The workflow for
for aa back
back analysis
analysis of
of the
the initial
initial geo-stress
geo-stress field
field of
of rock
rock masses
masses considering
considering
geo-temperature.
geo-temperature.
5. Engineering Application: A Case Study
5. Engineering Application: A Case Study
5.1. Project Overview
5.1. Project Overview
The Sichuan–Tibet Railway runs from Chengdu to Lasa, passes through Ya’an, Kangding, Changdu,
The
Linzhi, andSichuan–Tibet
Shannan, andRailway
has a totalruns from
length Chengdu
of 1742.39 km.to Lasa, passes
Moreover, through Ya’an,
the Sichuan–Tibet Kangding,
Railway passes
Changdu, Linzhi, and Shannan, and has a total length of 1742.39 km. Moreover, the
through the Himalayan geothermal belt [38,39], and this geothermal belt is one of the most active Sichuan–Tibet
Railway passes
geothermal beltsthrough
in Chinathe Himalayan
[40], as showngeothermal
in Figure 5a.belt [38,39],
There and
are 10 this geothermal
tunnels belt is one of the
with high geo-temperature
along the Sichuan–Tibet Railway, and the geo-temperature ranges from 28.7 to 89.9 with
most active geothermal belts in China [40], as shown in Figure 5a. There are 10 tunnels ◦ C athigh geo-
a depth
temperature
range alongmthe
of 392–1347 Sichuan–Tibet
[41]. Railway,
Moreover, along and the geo-temperature
the Sichuan–Tibet Railway, thereranges from
are 35 28.7 to
tunnels 89.9
with °C
high
at a depth range of 392–1347 m [41]. Moreover, along the Sichuan–Tibet
geo-stress, and 7 tunnels pass through active faults [41], as shown in Figure 5b. Railway, there are 35 tunnels
with high geo-stress, and 7 tunnels pass through active faults [41], as shown in Figure 5b.
Energies 2020, 13, 363 9 of 20
Energies 2020, 13, x FOR PEER REVIEW 10 of 21

Figure 5. The Himalayan geothermal belt: (a) the distribution of geothermal resources in China [39];
Figure 5. The Himalayan geothermal belt: (a) the distribution of geothermal resources in China [39];
(b) the number of tunnels with high geo-stress, with high geo-temperature, and that pass through
(b) the number of tunnels with high geo-stress, with high geo-temperature, and that pass through
active faults.
active faults.

The Sangzhuling tunnel in the Sichuan–Tibet Railway is a typical high geo-temperature and
The Sangzhuling tunnel in the Sichuan–Tibet Railway is a typical high geo-temperature and high
high geo-stress tunnel, and it is located in the Tibetan Plateau, as shown in Figure 6a. The Tibetan
geo-stress tunnel, and it is located in the Tibetan Plateau, as shown in Figure 6a. The Tibetan Plateau
Plateau is one of the regions with the strongest tectonic movement in China [10]. The longer the
is one of the regions with the strongest tectonic movement in China [10]. The longer the length of the
length of the arrow in Figure 6a, the greater the speed of crustal movements, and the stronger the
arrow in Figure 6a, the greater the speed of crustal movements, and the stronger the tectonism. The
tectonism. The ground elevation of the Sangzhuling tunnel is about 3300–5100 m. The total length
ground elevation of the Sangzhuling tunnel is about 3300–5100 m. The total length and the maximum
and the maximum buried depth of this tunnel are about 16,258 and 1347 m, respectively, as shown in
buried depth of this tunnel are about 16,258 and 1347 m, respectively, as shown in Figure 6b. It can
Figure 6b. It can be seen that the Sangzhuling tunnel is a long and deeply buried tunnel, and it is a
be seen that the Sangzhuling tunnel is a long and deeply buried tunnel, and it is a critical element in
critical element in the Sichuan–Tibet Railway.
the Sichuan–Tibet Railway.
Figure 6c shows the measured virgin rock temperatures in the Sangzhuling tunnel. The highest
Figure 6c shows the measured virgin rock temperatures in the Sangzhuling tunnel. The highest
recorded virgin rock temperature in this tunnel was 89.9 ◦ C [3]. The process for measuring virgin
recorded virgin rock temperature in this tunnel was 89.9 °C [3]. The process for measuring virgin
rock temperatures is as follows: (1) a 5 m deep hole is drilled using a 50 mm drill near the tunnel
rock temperatures is as follows: (1) a 5 m deep hole is drilled using a 50 mm drill near the tunnel face
face or sidewalls; (2) virgin rock temperatures are measured using infrared radiation thermometers or
or sidewalls; (2) virgin rock temperatures are measured using infrared radiation thermometers or
temperature sensors (see Figure 6c). Through the regression of many sets of measured virgin rock
temperature sensors (see Figure 6c). Through the regression of many sets of measured virgin rock
temperatures and buried depth, the geothermal gradient in the Sangzhuling tunnel is determined (i.e.,
temperatures and buried depth, the geothermal gradient in the Sangzhuling tunnel is determined
(i.e., α = 5.5 °C/100 m) [41,42]. Therefore, according to the physical parameters in Table 1, the thermal
and gravitational stresses of diorite can be calculated, as shown in Equations (23) and (24),
respectively.
 In the Sangzhuling tunnel, the distance from the constant temperature zone to land surfaces ( h )
is about 20 m [41,42]. That is, Z = H − 20 . Therefore, when the buried depth of diorite exceeds 800 m,
thermal stresses are more than 60% of gravitational stresses. Thus, it is necessary to consider geo-
temperature during the back analysis of the initial geo-stress field of rock masses in the Sangzhuling
tunnel.
Energies 2020, 13, 363 10 of 20
In order to ensure that the initial geo-stress field obtained by a back analysis is reliable, a small
area with a length of 4000 m (at the mileage location of DK184+000–DK188+000 m) is used for the
α = 5.5 ◦ C/100 m) [41,42]. Therefore, according to the physical parameters in Table 1, the thermal and
back analysis. Figure 6d shows the longitudinal section of the Sangzhuling tunnel in this area, and
gravitational stresses of diorite can be calculated, as shown in Equations (23) and (24), respectively.
the stratum that the Sangzhuling tunnel passes through in this area is composed of diorite. The
physical parameters of theσTdiorite and
= 0.055 × 8the rubble
× 10 −6
× 36soil
× 10are
3 shown in Table 1. In order to understand
Z ≈ 0.016ZMPa (23)
the state of in situ stresses in the Sangzhuling tunnel, at the mileage location of DK186+327 m, in situ
stresses were measured by the hydraulicγH fracturing method proposed by ISRM [4] and are shown
= 0.026HMPa (24)in
Table 2.

Figure 6. The general situation of the Sangzhuling tunnel: (a) the GPS velocity field of Crustal
Movement Observation Network of China with respect to Eurasia [43]; (b) the topography of the
Sangzhuling tunnel; (c) the measured virgin rock temperatures in the Sangzhuling tunnel; (d) the
longitudinal section of the Sangzhuling tunnel.
Energies 2020, 13, 363 11 of 20

Table 1. The physical parameters of rock masses [30,42].

Thermal
Elastic Modulus
Rock Matrix Poisson’s Ratio Density (kg/m3 ) Expansion
(GPa)
Coefficient (◦ C−1 )
Diorite 36 0.20 2600 8 × 10−6
Rubble soil 0.1 0.38 2300

In the Sangzhuling tunnel, the distance from the constant temperature zone to land surfaces
(h) is about 20 m [41,42]. That is, Z = H − 20. Therefore, when the buried depth of diorite
exceeds 800 m, thermal stresses are more than 60% of gravitational stresses. Thus, it is necessary to
consider geo-temperature during the back analysis of the initial geo-stress field of rock masses in the
Sangzhuling tunnel.
In order to ensure that the initial geo-stress field obtained by a back analysis is reliable, a small
area with a length of 4000 m (at the mileage location of DK184+000–DK188+000 m) is used for the
back analysis. Figure 6d shows the longitudinal section of the Sangzhuling tunnel in this area, and the
stratum that the Sangzhuling tunnel passes through in this area is composed of diorite. The physical
parameters of the diorite and the rubble soil are shown in Table 1. In order to understand the state of
in situ stresses in the Sangzhuling tunnel, at the mileage location of DK186+327 m, in situ stresses
were measured by the hydraulic fracturing method proposed by ISRM [4] and are shown in Table 2.

Table 2. The measured in situ stresses of rock masses in the DK-SZLSD-2 borehole [30].

Serial No. Buried Depth (m) σH,T (MPa) σh,T (MPa) σV (MPa) Orientations of σH,T
1 205.85 −9.41 −5.61 −4.92 N9◦ W
2 297.70 −10.58 −7.70 −7.31 (N2.67◦ W)
3 392.10 −11.36 −8.61 −9.76 N6◦ W
4 477.20 −12.58 −9.70 −11.98 (N2.67◦ W)
5 582.85 −17.72 −13.10 −14.72 N7◦ E
Note: σH,T is the maximum horizontal principal stress in a high geo-temperature environment; σh,T is the minimum
horizontal principal stress in a high geo-temperature environment; σV is the vertical stress (i.e., gravitational stress);
and the orientation in parentheses is the average orientation of σH .

Table 2 shows that maximum horizontal principal stresses are greater than gravitational stresses.
Thus, there is a strong tectonic stress field near the Sangzhuling tunnel. Moreover, it is difficult to
express the macroscopic distribution of the initial geo-stress field of rock masses using the in situ
stresses of the five measuring points listed in Table 2. Therefore, it is more necessary to invert the initial
geo-stress field of rock masses in the Sangzhuling tunnel.

5.2. Establishing a Three-Dimensional Numerical Model

As shown in Figure 7, the calculation area of the three-dimensional numerical model is a rectangular
area with a length of 4000 m and a width of 3000 m. This numerical model consists of 1,166,718
elements and 204,646 nodes. Since the elastic modulus of diorite is 36 GPa, the finite element analysis
(FEA) program ANSYS was used for the calculations, and a linear elastic stress–strain criterion was
adopted. ANSYS is a general-purpose finite element computer program. In order to ensure that the
calculations were reliable, the bottom of this numerical model was set to 1000 m below the axis of
the Sangzhuling tunnel. In order to conveniently compute the stress perpendicular to the axis of the
Sangzhuling tunnel, the x-direction of this numerical model was set to the direction of the tunnel axis,
and the y-direction and z-direction of this numerical model are shown in Figure 7.
Energies 2020, 13, 363 12 of 20
Energies 2020,
Energies 2020, 13,
13, xx FOR
FOR PEER
PEER REVIEW
REVIEW 13 of
13 of 21
21

Figure 7.
Figure 7. The
The three-dimensional
three-dimensional numerical
numerical model
model after
after meshing.
meshing.

5.3. Defining
5.3.
5.3. Defining Boundary
Boundary Conditions
Conditions
Since the
Since
Since the in
the in situ
in situ stresses
situ stresses of
stresses of the
of the Sangzhuling
the Sangzhuling tunnel
Sangzhuling tunnel were
tunnel were measured
were measured by
measured by the
by the hydraulic
the hydraulic fracturing
hydraulic fracturing
fracturing
grav n n
by σ jk = σby grav ρ gD and
 ρσi gD
T = αβEZ,
P n
method,
method,gravitational andandthermal stresses can be calculated V =σgrav
method, gravitational
gravitational thermal
and thermal stresses
stresses can be
can be calculated
calculated by σi=
jk
jk 1
==i σσVV i==  ρ i i
and
gDi and
i =1
respectively. Therefore, gravitational and thermal stress fields can be used as known stress fields, and i = 1
T
σσT ==tectonic
only αβEZ ,, respectively.
αβEZ respectively. Therefore,
Therefore,
stress fields need gravitational
gravitational
to be inversely and thermal
and
determined. thermal stress
Figure stress
8 showsfields
fields can be
can
the tectonic be used
used as
boundary as known
known
loads
stress
that
stress fields,
were and
applied
fields, and toonly tectonic
thetectonic
only numericalstress
model
stress fields need
shown
fields needintoto be
Figureinversely
7.
be inversely determined. Figure
determined. Figure 8 shows the 8 shows the
tectonic boundary
tectonic boundary loads
loads that
that were
were applied
applied toto the
the numerical
numerical model
model shown
shown in in Figure
Figure 7. 7.

ττ xy
xy

ττ yx
yx

ττ yx
yx

σσ y
y

Z
ττ xy
xy
Z X
X
Y O
Y O
σσ x
x

(a) (a) (b) (b) (c) (c)

Figure 8.8.
Figure
Figure 8.Tectonic
Tectonicboundary
Tectonic boundary
boundary loads:
loads: (a)
(a) (a)
loads: the
the the tectonic
tectonic boundary
boundary
tectonic load along
load along
boundary load along the x-direction;
the x-direction;
the x-direction; (b) the
the
(b) the tectonic
(b)
tectonic boundary
boundary
tectonic boundary load
load along along
thealong
load the y-direction;
the y-direction;
y-direction; (c) the
theshear
(c) the tectonic
(c) tectonic shear
loads
tectonic loads
in the
shear in
xy in
loads the xy
plane.
the xy plane.
plane.

5.4. Transforming
Transforming the
5.4. Transforming the Coordinate
Coordinate of of in
in Situ
Situ Stresses
Stresses
5.4. the Coordinate of in Situ Stresses
Figure
Figure 999 shows
shows that
that the
the XOY
XOY coordinate
coordinate system
system used
used in
in the
the three-dimensional
three-dimensional numerical
numerical model
model
Figure shows that the XOY coordinate system used in the three-dimensional numerical model
is
is different
different from
from the
the NOW
NOW coordinate
coordinate system
system used
used in
in the
the measured
measured in
in situ
situ stresses
stresses of rock
of rock masses.
masses.
is different from the NOW coordinate system used in the measured in situ stresses of rock masses.
Therefore,
Therefore,the the measured
measuredin insitu
situ stresses
stressesof of rock
rockmasses
massesneed
need toto be
be converted. According
According to
converted. According to the theory
the theory
theory
Therefore, the measured in situ stresses of rock masses need to be converted. to the
of elasticity,
of elasticity, Equation
elasticity, Equation (25)
Equation (25) can
(25) can be
can be used
be used to
used to convert
to convert the
convert themeasured
the measured in
measured in situ stresses
in situ of
situ stresses rock
stresses of masses,
of rock and
rock masses, the
masses, and
and
of
converted
the convertedin
converted insitu stresses
in situ of
situ stresses rock
stresses of masses
of rock
rock masses are
masses areshown in
are shown Table
shown in 3.
in Table
Table 3.3.
the
σi0σ ′ =α
σj0i′j= αi0′i αj0′ jσσij
′ ′ = α i′ α ′ jσ ij
(25)
(25)
(25)
ij ii jj ij

where σ
where σij is
is the
the stress
stress before
before conversions;
conversions; σ σi ′j ′ is
is the
the stress
stress after
after conversions;
conversions; α αi′i and
and αα j ′j are
are
ij i ′j ′ i ′i j ′j
conversion coefficients;
conversion coefficients; the
the X
X direction
direction of
of the
the XOY
XOY coordinate
coordinate system
system isis defined
defined as
as the
the direction
direction of of
the tunnel axis; and the N direction of the NOW coordinate system is defined as the direction
the tunnel axis; and the N direction of the NOW coordinate system is defined as the direction of true of true
north.
north.
Energies 2020, 13, 363 13 of 20

where σij is the stress before conversions; σi0 j0 is the stress after conversions; αi0 i and α j0 j are conversion
coefficients; the X direction of the XOY coordinate system is defined as the direction of the tunnel axis;
Energies
and the2020, 13, x FOR PEER
N direction REVIEW
of the NOW coordinate system is defined as the direction of true north. 14 of 21

σH,T σ y ,T
τ yx

N The direction of
the tunnel axis
Y
9° σh,T
τ xy
σ x ,T 100.61°
X σ x ,T
W O
τ xy

σh,T
Serial no. 1 in Table 2

τ yx
σ y ,T σH,T

Figure 9. The coordinate systems of the three-dimensional numerical model (XOY) and measured
Figure 9. The coordinate systems of the three-dimensional numerical model (XOY) and measured in-
in-situ stresses (NOW).
situ stresses (NOW).
Table 3. The converted in situ stresses of rock masses.
Table 3. The converted in situ stresses of rock masses.
Serial No. σx,T (MPa) σy,T (MPa) σV (MPa) τxy (MPa)
σ x ,T (MPa) σy ,T (MPa) σV (MPa) τxy (MPa)
1 Serial No. −6.04 −8.98 −4.92 −1.20
2 1 −7.85 −6.04 −8.98
−10.43 −4.92
−7.31 −1.20 −0.64
3 2 −8.83 −7.85 −11.14
−10.43 −9.76
−7.31 −0.64 −0.75
4 −9.85 −12.43 −11.98 −0.64
3 −8.83 −11.14 −9.76 −0.75
5 −13.12 −17.70 −14.72 −0.29
4 −9.85 −12.43 −11.98 −0.64
Note: σx,T is the x-direction in situ stress in a high geo-temperature environment; σ y,T is the y-direction in situ stress
in a high geo-temperature5 environment. −13.12 −17.70 −14.72 −0.29
Note: σx ,T is the x-direction in situ stress in a high geo-temperature environment; σ y , T is the y-
5.5. Removing
direction inGravitational
situ stress in and Thermal
a high Stresses environment.
geo-temperature
According to Section 4.1, since the in situ stresses of the Sangzhuling tunnel were measured by the
5.5. Removing Gravitational and Thermal Stresses
hydraulic fracturing method, gravitational and thermal stresses should be removed from the measured
horizontal in situtostresses
According Sectionof4.1,
rock masses
since shown
the in in Table of
situ stresses 3. the
Therefore, the horizontal
Sangzhuling tectonic
tunnel were stressesby
measured in
the x-direction and y-direction
hydraulic fracturing can be
method, obtained byand
gravitational Equations
thermal(26) and (27),
stresses respectively,
should and are
be removed shown
from the
in Table 4. horizontal in situ stresses of rock masses shown in Table 3. Therefore, the horizontal
measured
n
tectonic stresses in the x-direction and υ X
y-direction canρ be obtained by Equations (26) and (27),
σtect
x = σ x,T − i gDi − σ
T
(26)
respectively, and are shown in Table 4. 1−υ
i=1
n n
υ υ
σ tect =σ x ,T −  ρi ρgD − σT T
X
σtect
y x = σ y,T − i i −σ
i gD (26)
(27)
1−υ1 − υi =1
i=1

where σtect
x is the x-direction horizontaltect
tectonic stress
υ after
n removing gravitational and thermal stresses;
σtect
y is the y-direction horizontal tectonic σ y ,T − after removing
σ y =stress
1 − υ i =1
T

ρi gDi − σgravitational and thermal stresses;(27)
and
υ is Poisson’s ratio.
where σxtect is the x-direction horizontal tectonic stress after removing gravitational and thermal
stresses; σ ytect is the y-direction horizontal tectonic stress after removing gravitational and thermal
stresses; and υ is Poisson’s ratio.
Energies 2020, 13, 363 14 of 20

Table 4. The tectonic stresses after removing gravitational and thermal stresses.

Serial No. σxtect (MPa) σytect (MPa) τxy (MPa)

1 −3.82 −6.77 −1.20
2 −3.58 −6.16 −0.64
3 −2.46 −4.76 −0.75
4 −1.57 −4.15 −0.64
5 −2.48 −7.06 −0.29

5.6. Solving Regression Coefficients and Superposing Stress Fields

Table 1 shows that the elastic modulus of diorite is high. Therefore, an elastic constitutive model
can be used to approximately calculate the initial geo-stress field of rock masses. Moreover, in high
geo-temperature and high geo-stress environments, it is usually assumed that the initial geo-stress field
of rock masses is approximately composed of gravitational, tectonic, and thermal stress fields. As can
be seen from Section 5.1, the in situ stresses of the Sangzhuling tunnel were measured by the hydraulic
fracturing method. Thus, Equation (21) can be used as the regression model of the initial geo-stress
field of rock masses in the Sangzhuling tunnel. Combined with the three tectonic boundary loads
shown in Figure 8, the adopted regression model considering geo-temperature can be expressed as

grav 3
σmeas = σ jk Ci σtect + σT + e
P
jk
+ jk
i=1 (28)
grav y xy
= σ jk + C1 σxjk + C2 σ jk + C3 σ jk + σT + e

In order to conduct a comparison with previous works, the initial geo-stress field without
considering geo-temperature was added, and the adopted regression model can be expressed as

grav 3
σmeas = σ jk Ci σtect
P
jk
+ jk
+e
i=1 (29)
grav y xy
= σ jk + C1 σxjk + C2 σ jk + C3 σ jk + e

y
where σxjk is the calculated stress caused by the x-direction tectonic load shown in Figure 8a; σ jk is the
xy
calculated stress caused by the y-direction tectonic load shown in Figure 8b; and σ jk is the calculated
stress caused by the tectonic shear loads in the xy plane shown in Figure 8c.
C1 , C2 , and C3 can be solved by the least-squares method, and the least-squares method can
determine the unique solution of regression coefficients. That is, this unique solution can minimize
the error between calculated stresses and measured ones. If geo-temperature is considered, C1 , C2 ,
and C3 are equal to 0.67, 4.67, and 2.88, respectively. Then, the initial geo-stress field of rock masses
grav
can be obtained by superposing the gravitational stress field (σ jk ), the tectonic stress fields (0.67σxjk ,
y xy
4.67σ jk , and 2.88σ jk ), and the thermal stress field (0.016Z) of rock masses. The initial geo-stress field
after superposition can be expressed as
grav y xy
σmeas
jk
= σ jk + 0.67σxjk + 4.67σ jk + 2.88σ jk + 0.016Z + e. (30)

If geo-temperature is not considered, the initial geo-stress field after superposition can be
expressed as
grav y xy
σmeas
jk
= σ jk + 1.51σxjk + 7.69σ jk + 3.54σ jk + e. (31)

5.7. Discussion
The calculated value of in situ stress magnitudes with and without considering geo-temperature
can be obtained by Equations (30) and (31), respectively. For the calculated value of in situ stress
Energies 2020, 13, 363 15 of 20

orientations, horizontal principal stresses can be obtained by Equation (32) firstly. Then, the angle
between the direction of maximum horizontal principal stresses and the x-direction can be obtained by
Equation (33). Finally, according to the relationship between the x-direction shown in Figure 9 and
true north, Equation (34) can be obtained, and the azimuth of maximum horizontal principal stresses
can be obtained by Equation (34). The calculated values of in situ stress magnitudes and orientations
are shown in Table 5 and Figures 10–12.
s
σx,T + σ y,T σx,T − σ y,T
!2
σH,T
(
= ± + τ2xy (32)
σh,T 2 2

tan α = (σH,T − σx,T )/τxy (33)

ϕ = α + 100.61◦ − 180◦ (34)

where α is the angle between the direction of maximum horizontal principal stresses and the x-direction;
ϕ is the azimuth of maximum horizontal principal stresses, and clockwise is defined as positive.

Table 5. Stress magnitudes, stress orientations, residuals, and the residual sum of squares.

Buried Depth (m) Residual

Magnitudes and Orientations
Sum of
205.85 297.7 392.1 477.2 582.85
Squares
Measured values −6.04 −7.85 −8.83 −9.85 −13.12
Calculated values for model 1 −6.58 −7.18 −8.69 −10.40 −12.60
σx,T (MPa) Calculated values for model 2 −10.07 −7.67 −7.09 −7.25 −7.60
Residuals for model 1 0.54 −0.67 −0.14 0.54 −0.51 1.32
Residuals for model 2 4.03 −0.18 −1.74 −2.60 −5.51 56.53
Measured values −8.98 −10.43 −11.14 −12.43 −17.70
Calculated values for model 1 −8.17 −10.00 −12.11 −14.01 −16.37
σ y,T (MPa) Calculated values for model 2 −11.46 −11.57 −12.11 −12.63 −13.31
Residuals for model 1 −0.82 −0.42 0.98 1.58 −1.33 6.06
Residuals for model 2 2.48 1.14 0.98 0.21 −4.39 27.77
Measured values −1.20 −0.64 −0.75 −0.64 −0.29
Calculated values for model 1 −0.81 −0.76 −0.71 −0.70 −0.66
τxy (MPa) Calculated values for model 2 −0.83 −0.86 −0.82 −0.83 −0.79
Residuals for model 1 −0.39 0.12 −0.05 0.05 0.37 0.31
Residuals for model 2 −0.37 0.22 0.06 0.18 0.50 0.47
Measured values −9 −2.67 −6 −2.67 7
Calculated values for model 1 −12.20 −3.63 −0.61 0.03 0.89
ϕ (◦ ) Calculated values for model 2 −14.46 −1.36 1.59 2.08 2.91
Residuals for model 1 3.20 0.96 −5.39 −2.70 6.11 84.76
Residuals for model 2 5.46 −1.31 −7.59 −4.75 4.09 128.43
Note: Model 1 is the regression model considering geo-temperature (see Equation (30)); model 2 is the regression
Energies 2020,without
model 13, x FOR PEER REVIEW
considering geo-temperature (see Equation (31)). 17 of 21

σx,T (MPa) σy,T (MPa) τxy (MPa)

0 −3 −6 −9 −12 −15 0 −3 −6 −9 −12 −15 −18 0.0 −0.3 −0.6 −0.9 −1.2 −1.5
100 100 100
Ψ for model 2 = 56.53 (MPa)2

Ψ for model 2 = 27.77 (MPa)2

Calculated values for model 1
Calculated values for model 2

Calculated values for model 1

Calculated values for model 2
Calculated values for model 1
Calculated values for model 2

Ψ for model 1 = 1.32 (MPa)2

Ψ for model 1 = 0.31 (MPa)2

Ψ for model 2 = 0.47 (MPa)2
Ψ for model 1 = 6.06 (MPa)2

200 200 200

Buried depth (m)

Buried depth (m)

Buried depth (m)

Measured values

Measured values
Measured values

300 300 300

400 400 400

500 500 500

600 600 600

Figure
Figure 10. The comparison
10. The comparison of
of the
the magnitude
magnitude between
between measured
measured in
in situ
situ stresses
stresses and
and calculated
calculated ones.
ones.

Measured azimuth
−12.20° Calculated azimuth 0.89°
−9° Tunnel axis 7°
Δϕ1 = 3.20° Δϕ5 = 6.11°
N Δφi Residual N
350 0 10 Ψ Residual sum of squares 350 0 10
340 20 Ψ = ( Δϕ1 ) +  + ( Δϕ5 ) = 84.76 ( ° )
2 2 2
340 20
30 330 30
Bu

Bu

Bu
Cal
Cal
Ψf
Ψf

Ψf
Ψf
Cal
Cal
Me

Ψf
Ψf
Cal
Cal

Me
Me
500 500 500
500 500 500

600 600 600

600 600 600

Figure
Energies 10.363
2020, 13, The comparison of the magnitude between measured in situ stresses and calculated ones.
16 of 20
Figure 10. The comparison of the magnitude between measured in situ stresses and calculated ones.
Measured azimuth
−12.20° Measured
Calculatedazimuth
azimuth 0.89°
−12.20
−9°° Calculated 7° 0.89°
Tunnel axisazimuth Δϕ5 = 6.11°
Δϕ1 = 3.20° −9° N
Δϕ1 = 3.20°
Δφi Tunnel
Residualaxis N 7° Δϕ5 = 6.11°
Δφ
Ψ i Residual sum of squares
350 N
0 10 350 N0 10
340 20 ( Δϕ1 ) +sum
Ψ =Residual
2
( Δsquares
 +of ϕ5 ) = 84.76 ( ° )
2 2
340 20
330 340 350 0 10 350 0 10
20 30 Ψ = ( Δϕ1 )2 +  + ( Δϕ5 )2 = 84.76 ( ° )2 330 340 20 30
320 330 30 40 320 330 30 40
320 40 50 320 40 50
310 310
310 50 310 50
300 60 300 60
300 60 300 60
290 70 290 70
290 70 290 70
280 80 280 80
280 80 280 80
W 270 90 E W 270 90 E
W 270 90 E W 270 90 E
260 100 260 100
260 100 260 100
250 110 250 110
250 110 250 110
240 120 240 120
240 120 240 120
230 130 230 130
230 130 230 130
220 140 220 140
220 210 150 140 220 210 150 140
210 200 160 150 210 200 160 150
190 180 170 190 180 170
200 160 200 160
190 180
S 170 190 S
180 170
S S

Figure
Figure 11.
11. The
The comparison
comparison of
of in
in situ
situ stress
stress orientations
orientations considering geo-temperature.
considering geo-temperature.
Figure 11. The comparison of in situ stress orientations considering geo-temperature.
Measured azimuth
−14.46° Measured 2.91°
Calculatedazimuth
azimuth
−14.46
−9°° 7° 2.91°
Calculated
Tunnel axisazimuth Δϕ5 = 4.09°
Δϕ1 = 5.46° −9° N
Δϕ1 = 5.46°
Δφi Tunnel
Residualaxis N 7° Δϕ5 = 4.09°
Δφ
Ψ i Residual sum of squares
350 N 0 10 350 N0 10
340 20 ( Δϕ1 ) +sum
Ψ =Residual
2
( Δsquares
 +of ϕ5 ) = 128.43 ( ° )
2 2
340 20
350 0 10 350 0 10
330 340 20 30 Ψ = ( Δϕ1 )2 +  + ( Δϕ5 )2 = 128.43 ( ° )2 330 340 20 30
320 330 30 40 320 330 30 40
320 40 50 320 40 50
310 310
310 50 310 50
300 60 300 60
300 60 300 60
290 70 290 70
290 70 290 70
280 80 280 80
280 80 280 80
W 270 90 E W 270 90 E
W 270 90 E W 270 90 E
260 100 260 100
260 100 260 100
250 110 250 110
250 110 250 110
240 120 240 120
240 120 240 120
230 130 230 130
230 130 230 130
220 140 220 140
220 210 150 140 220 210 150 140
210 200 190 180 170 160 150 210 200 190 180 170 160 150
200 160 200 160
190 180S 170 190 180
S 170
S S
Figure 12. The comparison of in situ stress orientations without considering geo-temperature.

Table 5 shows (1) the maximum residual of in situ stress magnitudes considering geo-temperature
is 1.58 MPa, and the residual sum of squares for in situ stress magnitudes considering geo-temperature
is Ψ = 1.32 + 6.06+ = 7.69(MPa)2 . Similarly, the maximum residual and the residual sum of
squares for in situ stress magnitudes without considering geo-temperature are −5.51 MPa and
84.77 (MPa)2 , respectively. Therefore, the calculated stress magnitude considering geo-temperature is
more consistent with the measured stress magnitude of rock masses. (2) The maximum residual of in
situ stress orientations considering geo-temperature is 6.11◦ , and the residual sum of squares for in situ
stress orientations considering geo-temperature is 84.76(◦ )2 . Similarly, the maximum residual and the
residual sum of squares for in situ stress orientations without considering geo-temperature are −7.59◦
and 128.43(◦ )2 , respectively. Therefore, the calculated stress orientation considering geo-temperature is
more identical to the measured stress orientation of rock masses. (3) Moreover, Figures 10–12 show that
temperature is more consistent with the measured stress magnitude of rock masses. (2) The
maximum residual of in situ stress orientations considering geo-temperature is 6.11°, and the residual
sum of squares for in situ stress orientations considering geo-temperature is 84.76 ( ° ) . Similarly, the
2

maximum residual and the residual sum of squares for in situ stress orientations without considering
Energies 2020, 13, 363 17 of 20
geo-temperature are −7.59° and 128.43 ( ° ) , respectively. Therefore, the calculated stress orientation
2

considering geo-temperature is more identical to the measured stress orientation of rock masses. (3)
the distribution
Moreover, of calculated
Figures 10–12 show in situ
thatstress magnitudes and
the distribution orientations
of calculated in considering geo-temperature
situ stress magnitudes and
orientations considering geo-temperature is more consistent with that of measured As
is more consistent with that of measured in situ stress magnitudes and orientations. noted,
in situ the
stress
accuracy of and
magnitudes the initial geo-stress
orientations. field obtained
As noted, by aof
the accuracy back analysis
the initial considering
geo-stress field geo-temperature
obtained by a back is
higher than that without considering geo-temperature.
analysis considering geo-temperature is higher than that without considering geo-temperature.
If geo-temperature
If geo-temperature isisnot
notconsidered,
considered,gravitational
gravitationalandand tectonic stresses
tectonic areare
stresses used to superpose
used to superposethe
thermal
the stress
thermal in the
stress inmeasured stressstress
the measured of rock
of masses. However,
rock masses. the thermal
However, stress field
the thermal offield
stress rock of
masses
rock
is in a state of hydrostatic pressure (see Equation (2)). Moreover, gravitational and tectonic
masses is in a state of hydrostatic pressure (see Equation (2)). Moreover, gravitational and tectonic stress fields
are in fields
stress a stateare
of non-hydrostatic pressure. Therefore,
in a state of non-hydrostatic pressure. superposing the thermal stress
Therefore, superposing by gravitational
the thermal stress by
and tectonic stresses will produce low accuracy. That is, if geo-temperature
gravitational and tectonic stresses will produce low accuracy. That is, if geo-temperature is not considered, the
is not
accuracy of the initial geo-stress field obtained by a back analysis will be low. Figure
considered, the accuracy of the initial geo-stress field obtained by a back analysis will be low. Figure 13 shows the
vertical
13 showsstress in the longitudinal
the vertical stress in thesection along section
longitudinal the tunnel
alongaxis.
the tunnel axis.

(a) (b)

Figure
Figure 13.
13. The
Thevertical stress
vertical in in
stress thethe
longitudinal section
longitudinal along
section the tunnel
along axis axis
the tunnel (a) considering geo-
(a) considering
temperature; (b) without considering geo-temperature.
geo-temperature; (b) without considering geo-temperature.

If geo-temperature
geo-temperature isisnot notconsidered
consideredduring
duringa aback
backanalysis,
analysis,thethe
regression model
regression of Equation
model of Equation(29)
should
(29) be adopted.
should be adopted.That is, compared
That is, compared with Equation
with Equation(28), Equation
(28), Equation (29)(29)
ignores thethe
ignores thermal
thermalstress of
stress
rock
of masses.
rock Moreover,
masses. the inthe
Moreover, situinstresses of rock masses
situ stresses of rockinmasses
the Sangzhuling tunnel were tunnel
in the Sangzhuling measured by
were
the hydraulic
measured fracturing
by the method,
hydraulic that is,method,
fracturing the vertical
that stress
is, theshown
verticalin stress
Table 2shown
lacks the thermal
in Table stressthe
2 lacks of
rock masses
thermal (see
stress ofEquation (20)).(see
rock masses Therefore,
Equationif geo-temperature
(20)). Therefore,isifnot considered during
geo-temperature a back
is not analysis,
considered
the initial
during geo-stress
a back fieldthe
analysis, obtained by a back analysis
initial geo-stress will lack
field obtained bythe vertical
a back thermal
analysis willstress
lack field of rock
the vertical
masses (see
thermal Figure
stress field 13b),
of rockwhich
masses can(see
cause serious
Figure errors.
13b), which can cause serious errors.

6. Conclusions
6. Conclusions
(1) Since the vertical stresses that are measured by the hydraulic fracturing method contain only
gravitational information in a high geo-temperature environment, if stresses are measured by the
hydraulic fracturing method, the regression coefficient of the gravitational stress field of rock
masses should be set to one during a back analysis.
(2) In a high geo-temperature environment, the vertical stresses that are measured by overcoring
methods contain not only gravitational information, but also the information of stresses caused
by geo-temperature, weathering, deposition, erosion, or tectonism. Therefore, C0 is introduced to
reflect the information of stresses caused by weathering, deposition, erosion, or tectonism during
a back analysis. That is, if stresses are measured by overcoring methods, the regression coefficient
of the gravitational stress field of rock masses will not be equal to one during a back analysis.
(3) Based on the information of measured vertical stresses, a workflow for the back analysis of the
initial geo-stress field of rock masses considering geo-temperature is proposed (see Figure 4), and
Energies 2020, 13, 363 18 of 20

this workflow can obtain the initial geo-stress field that is more compatible with the measured in
situ stress of rock masses.
(4) In the Sangzhuling tunnel, since in situ stresses were measured by the hydraulic fracturing
method, only tectonic stress fields need to be inversely determined.
(5) In this study, the thermal stress field of the same stratum was discussed. However, actual rock
masses contain different strata. Therefore, the thermal stress field of different strata will need to
be investigated in the future.

Author Contributions: W.M. wrote the paper. C.H. provided guidance for the whole work. All authors have read
and agreed to the published version of the manuscript.
Funding: This research was supported by the High-Speed Railway and Natural Science United Foundation (Grant
No. U1734205), National key research and development program of China (Grant No. 2016YFC0802201), and
Doctoral Innovation Fund Program of Southwest Jiaotong University (Grant No. D-CX201802). This work utilizes
data from literature which are cited in the main reference list.
Conflicts of Interest: The authors declare no conflicts of interest.

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