Interactive design for deep excavations

. Arbanas
Civil Engineering Institute of Croatia, Department of Rijeka, Croatia; Faculty of Civil Engineering, University of
Rijeka, Croatia

M.-S. Kovaevi, V. Szavits-Nossan

Faculty of Civil Engineering, University of Zagreb, Croatia

ABSTRACT
The paper presents the advantages of the use of interactive design, especially for construction in the rock
mass. The rock mass deformability and strength characteristics are determined from the rock classification,
and the characteristics of the supporting system for deep excavations is determined from rockbolt pull-out
tests. This does not provide sufficient knowledge on the behavior of the rock mass and the supporting system
during construction. In order to improve the safety of deep excavations in the rock mass it is very advantageous to use the interactive design, where in situ measurements of the rock mass displacements are made and
compared to the design ones. If discrepancies between these displacements occur, it is possible to use contingency measures to assure the excavation stability. Back-analysis in the early excavation stages are also very
helpful for the determination of the safety of the design geometry and supporting system. They also provide
valuable information on the actual rock mass and supporting system characteristics.
Keywords: interactive design, deep excavation, rockbolt

1 INTRODUCTION

When excavations are made in the rock mass for

the construction of roads and buildings in urban
areas, the only parameter that can be controlled is
the excavation slope. Generally, the excavation
slope depends on the rock conditions and the chosen support system for the excavation stability. In
urban areas excavations sometimes have to be
made vertically with safe and demanding support
systems, which require strict technical construction of the support system.
The deformability and strength characteristics
of the rock mass are determined from geotechnical
investigation and the use of the rock mass classification system. It is then possible to make the geotechnical model for the rock mass and perform the
stability and stress-strain analyses. It is first assumed that the rock mass slope is unsupported
during excavation, which results in the initial
value of the factor of safety. If a low initial factor
of safety is obtained, the stability analysis should
include a support system. The design support system will thus result from the stability analysis,
which provides a satisfactory factor of safety during all phases of excavation. Due to the uncertainties regarding the rock mass and the supporting

system characteristics that are included in the described design process, it is necessary, especially
for demanding geotechnical structures, to use additional methods in order to secure the structure
stability.
The interactive design methods for cuts in the
rock mass are presented by Hoek and Bray (1977)
and Hoek and Brown (1980). The interactive design for deep excavations is applied throughout
excavation and construction of the support system
and includes extensive monitoring (Nicholson et
al., 1999; Kovaevi et al., 2002; Kovaevi,
2003; Arbanas, 2002). The selection of the support systems during interactive design is presented
by Windsor and Thompson (1992) and the selection of corresponding rockbolts by Stillborg
(1994). According to the suggested procedures, a
new design of the excavation and/or the application of additional support measures are required
when instability of the excavation, or insufficient
stability, is detected during construction. If additional support measures are necessary, they usually consist of modifications or optimalization of
the design support system (Windsor and Thompson, 1992). Stillborg (1994) suggests monitoring
of the excavation throughout construction and also

when it is completed, as a part of the whole design

process. This process, which includes field investigation, initial design, construction, monitoring
and the resulting contingency measures, should be
handled by the designer and the supervising engineer.
The paper describes the whole process of interactive design of deep excavations. It starts with
engineering geology and field investigation, and
proceeds with the classification of rock samples
and laboratory determination of rock characteristics, supported by additional rock strength determination during excavation. It then includes extensive monitoring in order to get sufficient
knowledge on the actual behavior of the rock mass
with the support system during excavation and
construction, back-analyses, and contingency
measures. The contingency measures consist of
design modifications and/or additional support
elements in case when monitoring results and
back-analyses show that the excavation safety is
uncertain.
The interactive design is still not used often
enough, even though its advantages are quite obvious. The stress-strain analyses are mostly used
only for the determination of limiting values of the
allowed rock mass deformations during excavation for the initial design, whereas stress-strain
back-analyses are seldom used during excavation,
only for cases of unexpected events or, even
worse, rock mass failure (Sonmez et al., 1998).
The least used are additional stability analyses
with the actual rock mass deformability characteristics and rockbolt forces, which provide the best
way of determining the actual stability of the excavation in progress.
2 INTERACTIVE DESIGN
2.1 Engineering geology mapping

The engineering geology mapping of the location

for excavation is the first step in the process of interactive design. The geologic structure of the
rock mass, including the rock mass type and the
discontinuities that it contains, is one of the key
factors which influence the stability of the excavation.
Surface mapping is combined with the mapping
of the open excavation and the analysis of core
samples from investigation boreholes. It is, thus,
possible also to determine weaker zones at greater
depths in the rock mass. When deep excavations

are made in very fractured rock mass, the rock

blocks are relatively small compared to the excavation depth, so that the influence of discontinuities on the excavation stability has to be considered with respect to the excavation depth (Sjoberg,
1996).
2.2 Rock classification

The rock classification is one of the main requirements for the excavation design. It also provides information from which correlations can be
made with the rock mass deformability and
strength characteristics. This, in turn, makes it
possible to determine the appropriate support system (Hoek, 2000).
There are several rock classification systems in
use. The geotechnical RMR classification (Rock
Mass Rating System) was developed by Bieniawski in early seventies of the last century (Bieniawski, 1976). It was further elaborated according to the results of its application and verification
at numerous underground construction sites in different geologic conditions (Bieniawski, 1979).
The final version of the RMR classification was
also developed by Bieniawski (1989) on the basis
of gathered experience in the construction of tunnels, underground structures, quarries, mines, cuts
and foundations. It takes into account the following parameters: the uniaxial compressive rock
strength, the RQD index (Rock Quality Designation), the spacing, state and orientation of discontinuities, and the underground water conditions.
The rock classification is completed by the use
of strength parameters (Bieniawski, 1989). The
Point Load Test (ISRM, 1981) is usually performed on rock samples in order to determine
their compressive strength. The classification is
then used for the final determination of the deformation modulus (Bieniawski, 1979; Serafim and
Pereira, 1983; Hoek and Brown, 1997; Hoek,
2004) and strength parameters of the rock mass
(Hoek, 1994; Hoek et al., 1995; Hoek et al., 2002)
for the stability analysis and the design. Engineering judgment has to be used along with the rock
classification system.
2.3 Monitoring

The design factor of safety for deep excavations

obtained from the stability analysis based on correlations with the rock classification system may
not be realistic due to uncertainties related to the

lack of knowledge on the real behavior of the rock

mass. It has also been shown that the rock mass
deformations during construction in the rock mass
are generally much larger than those predicted by
the stress-strain analysis based on correlations
with the rock classification system (Kovaevi et
al., 2005). It is, thus, necessary to use additional
methods in order to get sufficient knowledge on
the behavior of the rock mass in the process of excavation and construction of the support system
for deep excavations.
This is possible when interactive design is used.
One of the main elements of interactive design is
monitoring during excavation and construction of
the support system, which includes surveying of a
net of benchmarks, and measurements of the rock
mass displacements by inclinometers and extensometers-deformeters. The inclinometers, placed
in the vertical borehole, measure horizontal displacements of the rock mass from the surface
(Amstad et al., 1988) and the extensometers (deformeters and sliding micrometers) are used for
measuring displacements along the borehole
(Kovari et al., 1987; Amstad et al., 1988). These
measurements make it possible to determine the
accurate values of the deformation modulus of the
rock mass through stress-strain back-analyses in
which measured and calculated displacements are
matched to the level of engineering acceptable accuracy (Arbanas, 2002; 2003; 2004; Arbanas et
al., 2003; 2004).
The stiffness of the rockbolts within the range
of the design rockbolt forces is determined from
the rockbolt testing (ISRM, 1981). The forces in
the rockbolts can be determined from measurements performed in all excavation stages. The
most favorable measuring methods are the installation of the measuring device on the rockbolt
(Farmer, 1975), and the use of extensometers right
next to the rockbolt (Thompson et al., 1995), but
these methods are rarely used because of their
high cost.
The rockbolt bearing capacity is controlled by
performing in situ pull-out tests (ISRM, 1981).
According to the ISRM standard, at least 5% of all
installed rockbolts are tested, which is not sufficient for a reliable stability analysis. In addition,
the tested rockbolts have to be rejected and can no
longer be used for reinforcing the rock mass. A
much more reliable stability analysis can be performed if the rockbolt bearing capacity is determined by in situ acoustic emission tests (Arbanas
et al., 2005). These tests can be performed, if nec-

essary, on all the installed rockbolts and still

maintain their rock reinforcing function.
2.4 Back-analyses and contingency measures

The monitoring results make it possible to perform back-analyses of the supported rock mass
behavior for every excavation stage. The stressstrain analyses, with measured activated forces in
installed rockbolts, result in more accurate values
of the rock mass deformation modulus. These
back-analyses provide the values of the deformation modulus which usually turn to be quite different from the one obtained through correlations using the rock classification system. The new
stability analysis can also be performed, usually
by the method of limiting equilibrium, by using
the measured bearing capacity of installed rockbolts. The obtained factor of safety is, thus, much
more reliable than the one obtained prior to design, because it is now based on the actual rock
mass and support system behavior in the excavation and the actual rock and rockbolt properties.
If the back-analyses show that the original design is not safe enough, contingency measures can
be taken. They consist of prestressing the rockbolts, installing additional rockbolts in the excavated rock mass and/or changes of the excavation
geometry for the next excavation stages.
Stillborg (1994) suggests that the design should
be regarded as a process, combining the original
design, extensive monitoring during construction
and exploitation, which is all included in the interactive design. The best approach to interactive design is to include monitoring and possible contingency measures in the original design.
3 EXAMPLE

A deep excavation was made in Rijeka, Croatia, in

2001, over a period of 9 months, for the construction of underground garages and a high storey
building (Arbanas, 2003; Arbanas et al., 2003;
2004). The construction location was situated between a railway at its southern side and Pomerio
Street at the North, on the area of 90 m x 60 m.
The deepest and most complex part of the excavation was at the northern side of the construction
site, close to Pomerio Street and the surrounding
buildings. This part of excavation, almost vertical,
was 21 m deep, and a stone wall of 7 m was made
to support the excavation (Figs. 1 and 2).

VERTICAL
INCLINOMETER - POMERIO ST. No.19
DEFORMETER

30

POMERIO ST.

25

SELF-DRILLING ROCKBOLTS
L=16.0 m
Elevation (m)

20

15

Horizontal deformeter
L=16.0 m

10

Figure 1. Deep excavation in Rijeka, northern side

SELF-DRILLING ROCKBOLTS SELF-DRILLING ROCKBOLTS

L=12.0 m
L=16.0 m
0

10

15
20
25
Horizontal distance (m)

30

35

Figure 3. Deep excavation in Rijeka, the support system

and measuring devices (Kovaevi et al., 2005)

Figure 2. Deep excavation in Rijeka, eastern side

After geologic mapping and geotechnical investigation it was determined that the rock mass was
composed partly of limestone and partly of flysh
layers. The RMR classification was made for both
rock types, and deformability and strength characteristics of the rock mass were determined accordingly.
The stability analysis showed that a reinforced
concrete girder with self-drilling rockbolts at the
crossings of the girder beams has to be used to
support the excavation. The stress-strain analysis
for the chosen excavation geometry and the selected support system gave the expected rock
mass displacements.
The monitoring of the excavation progress at its
northern side was carried out with a horizontal deformeter 16 m long, and a vertical inclinometer
25 m long (Fig. 3). The excavation was made in
stages, each 2 m high, according to the vertical
spacing of the girder beams. The displacement

measurements were taken after each excavation

stage was completed, and 15 days upon its completion.
The stress strain back-analyses started with the
design deformability characteristics of the rock
mass based on the RMR classification and the
rockbolt stiffness wad determined form in situ
control pull-out tests (ISRM, 1981). The resulting
displacements, of up to 0.50 mm, were close to the
design ones, but much smaller than those measured in situ, which were up to 7 mm (Fig. 4). In
order to match calculated and measured displacements it was necessary to decrease the rock mass
modulus of elasticity by a factor of 20 in subsequent back-analysis.
The final stress-strain analysis gave the stress
state in the rock mass and activated forces in
rockbolts. By applying the appropriate factor of
safety to these forces it was possible to determine
the rockbolt parameters required for the stability
analysis. The stability analysis showed that the design excavation geometry was safe.
However, due to much larger in situ displacements compared to the design ones, after excavating the first three stages, it was necessary to
prestress the rockbolts and to install additional
rockbolts between the girder crossings. The in situ
measurements also indicated that the rock mass
was loosing stability if left unsupported for longer
than 12 hours, thus endangering the surrounding
street and buildings, so that a time limit was imposed on the construction of the support system
for lower excavation stages.

15,50

13,50

Cut (m a.s.l.)

11,50

Phase 1
Phase 2
Phase 3
Phase 4

9,50

Phase 5
Phase 6
7,50

5,50

3,50
0,00

2,00

4,00

6,00

8,00

10,00

Displacement (mm)

Figure 4. Horizontal displacements at the position of vertical inclinometer, obtained by the final stress-strain backanalysis (Arbanas, 2002)

4 CONCLUSIONS

Because the rock mass strength and deformability

characteristics, which are for design determined
from correlations with the rock classification system, do not provide reliable enough information
on the rock mass behavior during construction of
demanding geotechnical structures, it is necessary
to provide additional means for securing the structure. For deep excavations in the rock mass it is
also necessary to have additional knowledge on
the characteristics of the supporting system, especially on the actual forces in the rockbolts.
The interactive design provides all the tools
which are required for safe construction in the
rock mass. The main advantage of interactive design is the monitoring of the structure during construction that it includes. The displacement measurements of the supported rock mass, which result
from the monitoring, make it possible, first, to detect any discrepancies with the design displacements and to make in situ provisions for securing
the structure. They also provide valuable data for
carrying out stress-strain and stability backanalyses. The stress-strain back-analyses are carried out in the early stages of the excavation, until
the calculated and measured displacements of the
rock mass are matched to the engineering acceptable accuracy.
The final back-analysis gives the appropriate
rock mass deformability characteristics, which
usually turn out to be very much different form

the ones determined through the rock classification system for the original design. It also gives
the actual forces in rockbolts, which are, after applying the required factors of safety, then used in
the new stability analysis. This analysis is very
useful because it can, more reliably than in the
original calculation, determine the excavation factor of safety. In case when the new factor of safety
is lower than required, the progress of excavation
can be changed in the original design.
Any changes on the structure, as compared to
the original design, represent the contingency
measures. They can consist of changes in the supporting system, like prestressing the rockbolts and
installing additional ones, changes of the excavation geometry, and/or changes in the time schedule of excavating.
In the presented example of the use of interactive design for a deep excavation in Rijeka, Croatia, where extensive monitoring and back-analyses
were performed, it was necessary to prestress the
rockbolts, install additional ones, and change the
time schedule for the consecutive excavation
stages.
Even though the advantages of interactive design are quite obvious, it is still not very much in
use. The back-analyses are particularly seldom
used. The paper is intended for advancing the use
of interactive design, to make sure that monitoring
is included in the projects for demanding geotechnical structures in the rock mass, and to emphasize
the need for including possible contin-gency
measures in the original design.
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