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International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195

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Updated owcharts for rock mechanics modelling and

rock engineering design
J.A Hudsona,, X.T. Fengb
a
Imperial College and Rock Engineering Consultants, 7 The Quadrangle, Welwyn Garden City, Herts AL8 6SG, UK
b
Institute of Rock and Soil Mechanics, Chinese Academy of Sciences, Wuhan 430071, China
Accepted 10 June 2006
Available online 28 August 2006

Abstract

In an earlier paper, the ways ahead for rock engineering design methodologies were discussed. In this paper, following an overview of
earlier approaches, we present two updated owcharts: one for rock mechanics modelling in which the modelling options are outlined;
and one for rock engineering design in which the three phases of overall assessment, initial design and nal design are incorporated. We
outline the steps necessary and the principles involved in utilising the owcharts, especially the appropriateness of the modelling methods
for different circumstances together with the integration of methods. Particular emphasis is placed on the cycling through feedback and
nal design. We demonstrate the procedure with three illustrative case study examples representing the range of complexity: a
conventional tunnel, the design and construction of the underground powerhouse for the Shuibuya hydro-electric project in Hubei
Province, China, and designing a radioactive waste repository. The rst and third case examples are presented briey: the rst because of
its relative simplicity; the third because of its relative complexity. The second case of the powerhouse design and construction is presented
at greater length because it clearly illustrates the application of the owcharts.
r 2006 Elsevier Ltd. All rights reserved.

Keywords: Rock engineering; Design; Flowchart; Modelling; Back analysis; Case example

1. Introduction and earlier work
In a previous paper [1] we discussed the ways ahead for
rock engineering design methodologies. In this follow-on
paper, we rstly present a rock mechanics modelling
owchart which includes the main modelling methods
and then we present an updated owchart for the steps in
the rock engineering design process. It is intended that
these owcharts and the associated descriptions and
illustrative examples should cover the principles, an outline
of the procedures, plus recent developments in intelligent
rock mechanics.1
There have been many earlier presentations on this
subject: e.g. the owcharts developed by Hoek and Brown
[2], Pahl and Beitz [3], Brady and Brown [4] Bieniawski
Corresponding author. Tel.: +44 1707 322819; fax: +44 1707 375912.
E-mail address: jah@rockeng.co.uk (J.A. Hudson).
1
The term intelligent rock mechanics refers to the use of articial
intelligence methods in rock mechanics analyses.
[5,6], Hudson [7] and more recently through the work of Li
[8] and Goricki [9]. These owcharts are reproduced here in
Figs. 17. Our intention here in the introduction is to
present examples of previous owcharts, not to attempt to
include all such earlier design owcharts.
In the owchart in Fig. 1, the work starts with collection
of geological data and then there is the division between
types of instabilityleading to the four columns in the
owchart considering instability due to adverse structural
geology, excessively high rock stress, weathering and/or
swelling rock and excessive groundwater pressure or ow.
This then leads to decisions on the support and the
applicability of the site.
The owchart in Fig. 2 covers the steps of conceptualis-
ing the problem, preparing preliminary layouts, establish-
ing the denitive layout and documenting the nal details.
This is more of an administrative guidance, rather than
dealing with rock mechanics issues specically.
The owchart in Fig. 3 provides an outline for mine
design which has multiple feedback modesindicating the

1365-1609/$ - see front matter r 2006 Elsevier Ltd. All rights reserved.
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 ARTICLE IN PRESS
J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195 175

Fig. 1. Flowchart for the design of underground excavations in rock (from Hoek and Brown [2]).

need to assess the mine response in terms of the site
characterisation, model formulation and design analysis, so
that mine operations can be optimised through a continu-
ing feedback and hence improvement process.
Bieniawskis owchart in Fig. 4 covers the collection of
the necessary data leading to processing of the data and
then the design studies. However, the methods of analysis
are not explicitly covered and so the precise data required
are not specied. Although the general principles are
appropriate, modern numerical methods require specic
input parameters.
The 10 steps in Fig. 5 provide a more expanded
explanation of the design process from the statement of
the problem in Stage 1 to implementation in Stage 10,
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176 J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195

Fig. 2. Flowchart for design steps according to Pahl and Beitz [3].

representing evolution of the design by continuously
improving the design in Stages 68, although the exact
methods are left to the engineer.
The diagram in Fig. 6 [7] illustrates the con-
ceptual nature of the rock engineering design process
as a three-tier process. The outer border represents the
entry to the problem; the middle border represents
the inter-relations between the various factors; and the
inner border represents the analysis of individual subjects.
The overall design process involves entering the diagram
with an objective, establishing the content of the three
borders, and then exiting with a progressively developed
design.
The owchart in Fig. 7 [8] concentrates on the three
components of data from previous projects, rock mass
classication and numerical analysis. Li et al. explain that
Precedent Type Analysis is a semi-analytic method that
applies the geological conditions of a so-called typical
project to an analysed tunnelling project for its stability
analysis. A completed tunnelling project can be used as a
typical or reference project for others if it satises three
criteria: (1) monitoring through construction periods has
been carried out and all the data obtained are reliable;
(2) an in situ rock mass characterisation has been carried
out for the project and a relevant complete set of data
obtained; and (3) the project should be recognised as
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J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195
Fig. 3. Outline owchart for mine design with multiple feedback modes,
Brady and Brown [4].
Fig. 4. Flowchart for the design of rock engineering structures with
emphasis on the detailed site characterisation, from Bieniawski, [5].
177
Fig. 5. Flowchart for the design of underground excavations in rock, from
Bieniawski [6].
having a common feature for the tunnels driven in similar
rock mass classes. Hence, precedent type analysis is based
on the same principles as rock mass classication but
formalises the process for design.
In Fig. 8, Gorickis owchart [9] illustrates a sequential
procedure for characterising the rock mass, using a
hierachical procedure for identication of rock mass
behaviour and potential failure modes, and then integrat-
ing techniques for support determination.
As mentioned earlier, we have not attempted to include
all such rock engineering design owcharts but to illustrate
the variety of types that have already been developed. The
owchart in Fig. 1 includes specic guidance on the rock
mechanics approaches to follow. The owcharts in
Figs. 26, although helpful, do not highlight either the
rock mechanics mechanisms nor the actual analysis
procedures. The owchart in Fig. 7 follows a somewhat
different approach in that, after establishing the rock mass
types and their characteristics, together with those of the
excavation, the behavioural types are identied from a
library of behaviour types and from this the excavation and
support are determined. The owchart in Fig. 8 considers
behaviour types based on the rock conditions and type of
excavation.
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178 J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195

Fig. 6. Diagram illustrating the three tiers of the rock engineering design problem, from Hudson [7].

Fig. 7. Precedent type analysis and the inter-relations between the three components, from Li et al. [8].

Because of the signicant developments in numerical
modelling and site investigation techniques, it is topical
now to consider an updated approach to both the rock
mechanics modelling and the rock engineering design
procedure which builds on the previous owcharts but
also takes advantage of all the recent developments in
theory, numerical modelling and construction experience.
Thus, based on the previous work and in line with
providing more complete guidance for rock engineering
design, in this paper we present two updated owcharts.
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Fig. 8. Flowchart for the basic procedure of excavation and support
design for underground structures, from Goricki et al. [9].
The rst is a rock mechanics modelling owchart which
covers all the rock mechanics modelling approaches and
how these can be used separately or in combination. The
second is a rock engineering design owchart which
highlights the design process in a series of seven main steps
and utilises the modelling owchart.
2. The modelling owchart
We start by reproducing here in Fig. 9 the modelling
owchart presented earlier in [1]. This concentrates on the
analysis approaches.
The purpose of this modelling owchart is to include the
eight basic categories of modelling within the framework of
the project objective, site investigation, design and con-
struction. The four columns in the large box in Fig. 9,
Categories AD, are four levels of complexity from the left
179
to the right, simple to complicated. The rst three types
of methods, Categories AC, are widely used in rock
engineering design. The fourth method in the top row of
Category D, extended coupled modelling, is currently being
developed on an international basis, e.g. in the DECOVA-
LEX research program and associated papers on coupled
modelling can be found in the proceedings of the GeoProc
conferences [10,11]. The fourth method in the bottom row
of Category D, integrated systems and Internet-based
approaches, has not yet been developed.
The two rows of boxes with the eight modelling methods
in the large box represent the two main ways in which the
mechanisms are mapped in the modelling. In the top row,
Level 1, 1:1 mapping, there is an explicit attempt in the
modelling to represent the geometry and operating
mechanisms on a 1:1 basis. For example, if there is a
major fracture in the vicinity of a tunnel, this can be
incorporated explicitly in a numerical model. However, in
the lower row, Level 2, not-1:1 mapping, the modelling
techniques are not designed to include the geometry and
mechanisms directly. For example, in the neural network
technique, there are nodes in the neural network used but a
specic node cannot be directly associated with either a
location or a physical variable, as in the nite element
approach.
Nowadays we need an integrated approach, incorporat-
ing the parallel and sequential use of the analysis methods
harmonising the rock engineering design with the host rock
character. The integrated modelling should be a process of
cognition-calibration and modication-re-cognition to
capture the rock-engineering system behaviour. The term
adaptive is appropriate because it refers to the process of
problem solving enabling adaption to changes of geological
conditions, thinking modes, mechanical parameters and
models, and analysis methods. Thus, an adaptive capability
is a key requirement in order to be able to circle through
the feedback loop illustrated in Fig. 9of modelling,
design, construction, further site investigation data to
modelling. Moreover, the system modelling and the
problem solving process is a pattern, so the modelling
should be arranged to facilitate recognition of the pattern,
especially the relation between the system input and output
and the recognition of the inuence of changing or new
factors.
It should be noted that some of the approaches in
the right-hand part of the owchart, Method D, are
currently on the limit of precedent practice but develop-
ments are anticipated in this column in the near future.
The extended numerical models involve fully coupled
thermo-hydro-mechanical-chemical (T-H-M-C) processes
and work in this subject area is proceeding in many
countries. The non-1: 1 approaches, integrated systems
approaches, possibly internet-based, are being developed
especially in China.
The eight rock mechanics modelling methods highlighted
in Fig. 9 can be used singly, or any number can be used in
combination, or as a sequential permutation, depending on
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The rock mechanics modelling flowchart

Objective

Method A Method B Method C Method D

Extended
Use of Basic numerical
Analytical numerical Level 1
pre-existing methods, FEM,
methods, methods,
standard BEM, DEM, 1:1 mapping
stress-based fully-coupled
methods hybrid
models
Site
Invest-
igation
Database
Integrated
Precedent type Rock mass expert
systems Level 2
analyses and classification, systems, &
approaches, Not 1:1 mapping
modifications RMR, Q, GSI other systems
internet-based
approaches

Design based on forward analysis Design based on back analysis

Construction

Fig. 9. Flowchart of rock mechanics modelling techniques.

the modelling requirements. We explain how this can be
done later in the paper.
3. The rock engineering design process
3.1. Updated rock engineering flowchart
We will use two owcharts for the rock engineering
design process. The rst is the summary of analysis
procedures already presented in Fig. 9 in the previous
section. This is to be used in conjunction with the updated
rock engineering owchart in Fig. 10, which is similar in
concept to Bieniawskis 1993 owchart (Fig. 5) but
concentrates on the analysis methods and the initial-nal
design work.
The project purpose naturally affects the design because of
the different criteria associated with the purpose. In the
case of a high-pressure water tunnel, the main design
parameter could be the minimum in situ principal stress
value. For an underground train tunnel, the main design
issue is maintaining the long-term displacements within
acceptable values. Thus, there can be no xed standard
design or site investigation because both depend on the
project purpose and the constraints involved. This is why
we have placed the project purpose and constraints at the
beginning of the owchart.
3.4. Establishing the design approach strategy via the
modelling options

3.2. Steps in the rock engineering design process
The individual steps in Fig. 10 are outlined in Table 1.
3.3. Project purpose, constraints and key features of the site,
rock mass and project
In Fig. 10 we outlined the rock engineering design
process. It is of crucial importance to have a clear
understanding of the purpose of the project, plus any
constraints on the design. For example, the design
considerations and the site investigation parameters
required for a short-term mining rock slope and for a
long-term radioactive waste repository will be different.
In order to design a rock engineering structure, it is
necessary to be able to evaluate the consequences of
different design options, i.e. to be able to predict what will
happen if a structure with a certain design is constructed in
a given rock mass. In order to do this, some form of
predictive capability is requiredthrough modelling. Thus,
in the overall assessment and establishment of the design
approach strategy, the type of modelling has to be chosen
from a combination of the eight individual methods
outlined in Fig. 9.
The choice will depend on the nature of the project and
the risk involved, i.e. to what extent any failure can be
tolerated. As an example, consider the design of a simple
cavern in sedimentary rock with a design life of 120 years.
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The rock engineering design flowchart

DESIGN STEP CONTENTS OF THE DESIGN STEP

1. Project purpose Establish the objective and sub-objectives of the project

2. Key features of the

Identify the features and constraints of the site,
site, rock mass and
rock mass and project
project
OVERALL
ASSESSMENT
3. Design approach Develop the overall design approach strategy based on
strategy the options in the Methods A to D in the Fig. 9 flowchart

4. Choose modelling Utilize the principles Utilize the principles

method and appropriate of modelling, of code implementation,
code(s) choose method(s) choose code(s)
INITIAL
DESIGN

5. Establish Establish initial design, conduct hazard assessment, and

initial design initiate construction, with monitoring

Consider feedback inform-

6. Integrated
modelling and feedback
information
7. Final design
and verification
Consider the integration
ation from construction,
of the modelling
as in Fig. 9, leading to
methods in Fig. 9
closed-loop design
FINAL
DESIGN
Establish final design and verify by monitoring

Fig. 10. Updated owchart for the rock engineering design process.

Table 1
Notes on the steps in the rock engineering design process

1. Project purpose: There can be many engineering objectives and sub-objectives which need to be rmly established at the top of the owchart. Different
project objects imply that different rock properties and analyses are required for the different purposes. Unless this is rmly established before the
design work commences, the work cannot be optimally conducted.
2. Key features of the site, rock mass and project: Different sites, rock masses and projects mean that there will be different emphases in the design,
indicating that it will be rarely that two projects are essentially identical. Thus, each rock engineering design is likely to be a one-off occurrence. This is
why the application of the principles is so important.
3. Design approach strategy: Given the identication of the features in Step 2, a modelling design approach strategy is now provisionally established by
the choice of modelling methods in Fig. 9. There are many aspects to be considered, such as the resources available for the work, the consequences of
design failure, spatial variations in the rock mass properties, whether there is any need to consider time dependent effects, etc.
4. Choose modelling method and appropriate code(s): In this step, the overall approach is now made specic through the exact choice of methods and
codes. It is wise to go through the principles outlined later in this paper in order to ensure that correct choices are made.
5. Establish initial design: This step crystallises the initial design so that construction can begin. We are anticipating that this may not be the nal design
but it is the best that can be achieved before monitoring results and back analysis are possible.
6. Integrated modelling and feedback information: In this step, we change from a forward analysis to a back analysis (see Fig. 9) by directly using the
monitoring results to improve the design through enhanced integration of the rock property information, modelling methods, monitoring information
and back analysis. In other words, the initial construction is a full-scale experiment enabling the nal design to be established.
7. Final design and verification: Finally, the monitoring is continued, so that the criteria associated with the engineering objective are conrmed to be
satised.

There will be many variations on the seven step theme described here, but it is extremely useful to bear the structure of this upgraded owchart in mind
throughout the design and construction project. For example, if a tunnel is passing through a cyclothem of sandstone, limestone and mudstone, the
owchart can be considered to apply to each of the geological domains.
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Design of a simple cavern

in sedimentary rock

Method A Method B Method C Method D

Use of analytical Not required
methods, stress- Use of standard
Consideration of Extended
based for numerical
pre-existing numerical
Level 1
guidance on methods, to
standard methods, 1:1 mapping
stress concen- account for 3-D,
methods fully-coupled
trations and shape, fractures
Site displacements models
Invest-
igation Not required Not required
Consideration of
Use of rock mass
guidance from Database expert Integrated Level 2
classification,
precedent type systems, & other systems
RMR, Q, GSI Not 1:1 mapping
analysis system approaches,
approaches internet-based

Design based on forward analysis Design based on back analysis

Construction

Fig. 11. Example of the modelling methods used in the design of a simple cavern in sedimentary rock.

If there are no complicating features, a design strategy can
be based on (see the shaded boxes in Fig. 11):
 consideration of pre-existing standard designs;
 via precedent type analysis, consideration of the type of
standard design best suited to the conditions;
 use of analytical methods for rst pass study of stress
concentrations, potential for block fallout and displace-
ments;
 use of rock mass classications, RMR, Q, GSI to
indicate required support; and
 use of standard numerical methods, e.g. Examine,
FLAC, UDEC, 3DEC, to provide more detailed study.
Rather than jump directly the last bullet point, it is better
to utilise the methods in this order, to check that the
different approaches are indicating similar designs. This
provides the overall assessment as indicated in Fig. 10.
In the more complex case for radioactive waste disposal,
it is necessary to ensure, not only the practicality of
construction and the long-term stability of openings, but
also the over-arching project purpose: that an unacceptable
quantity of radionuclides should not escape to the bio-
sphere. In this case, much more complex modelling is
required, as highlighted in Fig. 12.
3.5. Utilising the principles of modelling and code
implementation
To lead into the initial design in Fig. 10 having decided
on a modelling strategy, it is important to consider whether
the modelling can indeed capture the relevant character-
istics of the site, rock mass and project. For example, if
long-term displacements are a key issue, then an elastic
analysis is inappropriate, by denition.
Ideally, there should be a protocol established to ensure
that the modelling is appropriate (e.g. [12]). In Table 2, we
outline nine principles for good modelling practice. These
are expressed fairly strictly and, for various reasons, it may
not be possible to ensure that they are all followed. However
and conversely, the modelling could be adversely ineffective
if, for example, a key variable is missing in the modelling.
It is all too easy to use an off-the-shelf computer
program and hope that it is sufcient for the purpose. In
fact, an effort should be made, going back to the code
distributor if necessary, to ensure that it is t for the
modelling purpose. In Table 3, we provide a further seven
principles, in this case for code implementation.
This then leads to Step 5 in Fig. 10 in which the initial
design is established and construction can begin. It is
anticipated that later there will be feedback from monitor-
ing information enabling Steps 6 and 7 in Fig. 10 to be
completed. If this is not anticipated, then naturally the
initial design will then be the nal design and care must be
taken to ensure that it has been sufciently well established.
3.6. Establishing and verifying the design
Steps 6 and 7 in Fig. 10 represent the modied design in
which the monitoring information has been utilised,
together with an improved integration of the modelling
methods. We provide a specic example of how this is done
in the Shuibuya case example following. Also, given the
closed-loop operation between Steps 6 and 7, there could
be several iterations depending on the complexity and
variability of the project and rock mass.
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Design of a radioactive
waste repository

Method A Method B Method C Method D

Not possible
Inadequate Basic Extended
numerical numerical
Use of
methods,
Level 1
Analytical methods, FEM,
pre-existing 1:1 mapping
methods, stress- BEM, DEM, fully-coupled
standard
based hybrid models
methods
Site
Invest-
igation
Not possible Database
Integrated
Rock mass expert
Precedent type classification, systems, &
systems Level 2
approaches, Not 1:1 mapping
analysis and RMR, Q, GSI other systems
internet-based
modifications approaches

Design based on forward analysis Design partly based on back analysis

Construction

Fig. 12. Example of the modelling methods used in the design of a radioactive waste repository.

Table 2
Suggested modelling principles to ensure that the modelling does indeed
represent the rock reality
Principles for modelling
1. All relevant processes (e.g. gradients and mechanisms) should be
incorporated in the analysis.
2. All relevant properties, including any variability, should be
incorporated in the analysis.
3. The necessary spatial dimensionality of the analysis should be captured
in the modelling.
4. Temporal effects should be captured in the modelling.
5. Any computer code used should be checked for correctness.
6. Any code considered should be able to incorporate the processes and
properties in the context of the geometry and time frame being
modelled.
7. The algorithms incorporated in the code should be appropriate in
content and execution.
8. The output should be commensurate with the engineering objective.
9. The code should not use properties that are ill dened or signicantly
subjective.
Table 3
Principles of numerical code implementation
Principles of code implementation
1. The engineering objective, i.e. reasons for requiring the modelling,
should be clearly dened, together with the required output
information.
2. All relevant properties should be available for inclusion.
3. Only realistic values of properties should be utilised.
4. The modelling domain should be of appropriate size and resolution to
provide sufciently accurate results.
5. Recognising that it might not be possible for all the other principles to
be fully satised, an assessment should be made of the errors
introduced by any deviations and assumptions made.
6. A criterion should be established for determining when the modelling
has satised the modelling objective.
7. If required, a modelling protocol should be established by producing a
reasoned narrative regarding each of the code selection and code
implementation principles.

4. Use of the procedure with three illustrative case examples
We now illustrate how the updated rock engineering
design owchart in Fig. 10 (supported by the rock
mechanics owchart in Fig. 9) is utilised by presenting
three case examples:
1. the design of a conventional tunnel in China;
2. the design of the powerhouse cavern for the Shuibuya
project, Hubei Province, China, where there are alter-
nating weak and strong sedimentary strata; and
3. the design of a radioactive waste repository in a
crystalline rock mass.
The rst and third case examples are presented
briey: the rst because of its relative simplicity;
the third because of its relative complexity. The
second case of the powerhouse cavern design and
construction is presented at greater length because it
clearly illustrates the application of the owcharts. In the
presentation of these illustrative case examples, we have
highlighted the key issues related to the design approach.
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We have not been able to include all the details of the
projects.
4.1. Illustrative example 1: The design of a conventional
tunnel: design of Qiaotou tunnel for the Yuanmo expressway,
China
4.1.1. Overview of the project
The Qiaotou tunnel forms part of the Yuanmo Express-
way, China. It has a length of 280 m, is a double span and
has a united arch architecture with a central wall [13]. The
tunnel has single spans of 10.53 m, a net height of 7.2 m and
the side wall is curved. The central wall is rectangular with
thickness 2 m. The tunnel has an overall width of 23.05 m
and excavation span of 24.65 m (Fig. 13). The surrounding
rock is Classes III and IV in the Chinese rock quality
system with a maximum overburden of 74 m. It belongs to
the geological sub-segment of the Xiatongjingxing group of
the Baier series (K1J1). The lithology is ash, sandstone with
inter-layered claystone. The maximum thickness of the
strongly weathered strata is 17.9 m. The weakly weathered
strata are relatively intact with some large blocks. The
support system was designed using WID25 rockbolts with
a length of 3 m and spacing of 1  1 m, C25 shotcrete with a
thickness of 200 mm, reinforcing net 200  200 mm, and the
secondary support is armoured concrete, 500 m thick.
The construction sequence involved excavation of the
upper and lower benches for the left and right tunnel.
When the upper part of the tunnel wad excavated and has
the secondary support installed and was 30 m distance from
the working face of the other tunnel, the working face
excavation was continued. Finite element simulation
analysis and monitoring of eld displacements during and
after the construction enabled verication of the design.
4.1.2. Steps in the Fig. 10 design flowchart
The modelling procedure used to support the design of
this tunnel was as illustrated in Fig. 11 for the design of a
simple cavern in sedimentary rock. The steps in Fig. 10
design owchart were straightforward and as follows:
Step 1: Objective. To design the conventional double
highway tunnel mainly in the weak sandstone rock.
Fig. 13. Section of the Qiaotou double highway tunnel, part of the
Yuanmo Expressway, China.
Step 2: Features. No overburden problem, no water
problem, sandstone with weak layers.
Step 3: Design approach strategy. Use conventional
design adapted to the local circumstances.
Step 4: Modelling methods. Rock mass classication and
nite element simulation with feedback from monitored
displacements.
Step 5: Initial design. Established via the rock mass
classication approach (the Precedent Type Analysis, [8]).
Step 6: Integration and feedback. The initial design was
considered in the light of the nite element analysis of the
specic ground conditions, and the monitored displace-
ments.
Step 7: Final design and verification. The nal design was
conrmed on the basis of Step 6 study.
4.1.3. Example 1: summary
The Qiaotou double highway tunnel was chosen as a
conventional tunnel. There were no outstanding design
difculties and the design could be established using the
PTA approach through a knowledge of the ground
conditions and conrming the design by nite element
analyses supported by monitored displacements. Thus the
design pathway is as illustrated in Fig. 11 but note that the
design elements form a pathway through the analysis
options.
4.2. Illustrative example 2: The design of the powerhouse
cavern for the Shuibuya project, Hubei Province, China
Following the case of the conventional tunnel in
Illustrative Example 1, we now present a case example of
intermediate difculty. The Shuibuya powerhouse cavern is
part of a hydroelectric project which has a 233 m high
concrete faced rockll dam, interesting Carboniferous
geology with hard and soft strata, and the use of intelligent
rock mechanics analyses with back analysis, and associated
design modication. Because of the more detailed ap-
proach we are presenting, the descriptive text for this case
example is more extensive.
4.2.1. Overview of the project and geological conditions
The Shuibuya underground hydropower house is located
near the Shuibuya village in Badong county, Hubei
province in the middle reaches of Qingjiang river, China,
see Fig. 14a.
The Shuibuya power plant is located in the mountainous
rocks of the right bank of the Qingjiang river. The
elevation of the crest of the bank is 540550 m, and the
strike and dip of the strata are 245+8151. The angle
between the main plant axis and the strata strike is 391, the
powerhouse has dimensions 141  23  68 m, and the main
powerhouse axis trends at 2961. The elevation of the main
powerhouse roof is 233 m and that of the oor 165 m. The
minimum distance between the north-west end of the
powerhouse to the right bank of the Qingjiang river is
about 80 m. The rock strata from the top downwards
 ARTICLE IN PRESS
J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195 185

Harbin

Urumqi

Shenyang
Hohhot
Beijing

r
Riv e
w
lo

Yel

er
v
Ri
Lanzhou Yel l ow
Ya
ng
zt Xi'an Nanjing
e
Shanghai

R
iv
Chengdu Wuhan
er
Lhasa
er Chengqing
Riv

te
z

g
Ya n
Taiwan
Kunming
Shuibuya Guangzhou

Nanning

Haikou
(a)

(b)

Fig. 14. (a) Location of the Shuibuya hydroelectric project in China. (b) The Qingjiang river gorge location of the Shuibuya hydroelectric project. The
powerhouse location is inside the left-hand rock mass (which is the right-hand bank of the river).

consist of the Maokou group (P1m), Qixia group (115
sections of P1q) and Maan group of the Permian system
and the Huanglongqun group of the Carboniferous system,
as well as the Xiejingshi group (D3x), Huangjiadeng group
and Yuntaiguan group of the Devonian system (Fig. 15).
The exposed strata in the powerhouse from the top
downwards consist of the Qixia group P41q , P31q , P21q , P11q as
well as the Maan group P1ma and Huanglong group. The
strata strike is almost orthogonal to the river direction. The
strata dips slightly towards the left bank at 8201. The rock
 ARTICLE IN PRESS
186 J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195

Fig. 15. Geological map and section of the Shuibuya powerhouse. P21m upper layer of the Maokou group, thick layer limestone; P11m lower layer of the
Maokou group, thick layer limestone; P15 14 13 124 123 122 121 11 10 9 8 7 6 5 4 3 2 1
1q , P1q , P1q , P1q , P1q , P1q , P1q , P1q , P1q , P1q , P1q , P1q , P1q , P1q , P1q , P1q , P1q , P1q as the different segments
of the Xixia group limestone; P1ma Maan group quartz sandstone and powdery sandstone, Permian system; C2hlimestone and quartz sandstone of the
Huanglong group, Carboniferous system.

strata consist of alternating soft and hard layers with the
Qixia group mainly consisting of weak rock, such as
carboniferous biogenic detrital limestone, lime mud,
clayish limestone, chalky clay, etc. Their cumulative
thickness is 18% of the total thickness.
The main faults are F2 and F3. The distance between F2
and F3 at elevation 165 m is 330 m. The shortest distance
from the east end of the main powerhouse to F2 is 160 m,
while that from the west end to F3 is 25 m. The layout of
the powerhouse avoids the inuence of the larger faults F2
and F3 with its long axis being almost perpendicular to the
main fault orientations.
The hard intact rock in the crown of the main power-
house consists of limestone of the 4th section (P41 ), Qixia
group. The mean uniaxial saturated compressive strength
of rock specimens was 6065 MPa and the deformation
modulus 1520 GPa. The rock belongs to Class II type of
surrounding rocks, i.e. strong so the crown rock of the
main powerhouse is stable in general. The strata in section
P41q of the main powerhouse are interspersed with weak
layers such as thin and extra-thin chalky clays, carbonifer-
ous chalky clay, etc. There are altogether 21 weak layers in
the powerhouse sidewall of thicknesses generally
20120 mm; however, the thinnest is only 5 mm and the
thickest reaches 180 mm. The weak layers are embedded
between harder limestones and can be weathered and
damaged easily. There exist eight prominent shear zones
between the layers. There are 15 embedded weak layers in
the P41q stratum above the crown of the main powerhouse,
among them seven layers have experienced prominent
shearing. The existence of such embedded weak layers and
shearing zones weakens the rock continuity, decreases the
rock mass stiffness, and has an inuence on the stability of
the crown.
A crane beam was installed on the two side walls of the
powerhouse cavern. The rail elevation is 220 m and the
elevation of the concrete base is 216.8 m. Part of the crane
beam reaches the lower part of the P41q rock and the other
part is in the P31q rock mass. The cumulative thickness of
the weak rock here is 3.75 m, which consists of 56% of the
6.7 m rock mass in the P31q upper part of the main plant
There are also four shear zones in this location. Two of
them have a thickness of about 1 m, while the total
thickness of the four shear zones is 2.9 m. Therefore, it can
be seen that the weak rock proportion in the P31q upper
rock mass is signicant. There are many shear zones with a
large thickness. In addition, due to the faults and fractures
in the rock mass, its overall strength is very low. The safety
of the crane beam crane could be affected in the
operational period by plastic deformation and creep
deformation due to secondary stresses and the crane beam
loading.
The height of the sidewalls of the powerhouse is 46.5 m.
The strata seen from the top down are P41q , P31q , P21q , P11q ,
P1ma , etc. Among them, P21q and P41q belong to Class II
category of strong surrounding rocks. These represent
63.3% of the sidewall area. P31q , P11q and P1ma mainly
belong to Class IV to IV category of surrounding rocks.
The proportion of their sidewall area is 36.7%.
Problems arose because of the following set of circum-
stances. The rock hosting the four outlets in the upper
stream sidewall of the powerhouse consists of P11q , P21q ,
 ARTICLE IN PRESS
J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195 187

whilst the rock hosting the four inlets in the lower stream
sidewall consists of P21q , P31q , and the arch rock mainly consists
of P31q . The rock hosting the inlet of the water-out tunnel in
the machine niche consists of P11q , P1ma and C2h, and that of
the arch consists of P11q and P1ma. The surrounding rock at the
intersection is mainly of Class IV category of surrounding A-A
rock. The stress state at the intersection is complex but there
are high stress concentrations. The strata have potential free
faces along the dip direction. The rock mass mainly belongs to y
Class IV category of host rock which has developed shear
zones. At the inlet mouth, there is a developed shear zone,
while at the mouth of the inlet tunnel there are four shear x
zones. At the inlet mouth of the water-out tunnel there are z
B-B
three shear zones. In addition, the faults and cracks further (a)
exacerbate the situation making the construction of cavern at
the intersection difcult due to caving and sidewall sliding Right-upper P1q4
Left-upper
during excavation. P1q3
The bottom of the side wall of the main powerhouse P1q2
consists of P11q and P1ma rock mass, which belongs to Class Main power
Generatrix cavern
IV or V category of host rock. The proportion of soft rock P1q1
Water-in tunnel house
in the rock mass is also higher. There are two shear zones in P1ma
this soft rock at larger scale and with worse properties. The C2h
stress concentration at the side wall bottom is higher.
Water-out tunnel
Therefore, this is a region where plastic deformation can Left-bottom
occur and problems such as sliding between layers and Replacement area with 3 m width
(b)
creep deformation may also occur. Reinforcement mea-
sures must be utilised in the design.
The surrounding rock at the machine niche of the main
plant mainly consists of strata P11q , P1ma and C2h, which
mainly belong to Classes IVV category of host rock. Main
powerhouse Main
There are low shear strength shear zones in the surround- powerhouse
ing rock with c values of 0.0050.01 MPa and low friction
angles. Usually, the Huanglong shear zone is thicker in this
location and exhibits fractured rock and weak cohesion.
The overall strength of the rock mass is low. About one Possible passages set inside
half of the strata in the excavation face of the machine (c) Replacement area with 3 m width
niche shows a free face along the dip direction. In addition, Fig. 16. (a) Main powerhouse system. (b) A section: depth of replacement
the faults and cracks will further deteriorate the rock mass for soft strata P31q , P11q , P1ma : shown in vertical section A-A of main power
causing unstable blocks or free faces along the dip house. (c) Possible passages set inside cavern in horizontal section B-B of
direction. The surrounding rock of the machine niche has main power house.
comparably high secondary stress concentration and this,
together with the loading of the machines and other
auxiliary equipments, will result in the surrounding rock at sequence of the cavern peripheral rock was rstly the left
the machine niche being less stable. lower and right lower and then the left upper and right
As a consequence of the conditions described and in order upper areas. The replacement height of the three strata P31q ,
to ensure the safety of the arch and side walls of the main P11q and P1ma was the whole height with a replacement
powerhouse as well as the wall crane beam and machine niche, width of one gallery. The replacement depths were 3, 6 and
it was necessary to replace the upper part the soft rock of the 6 m, respectively, see Fig. 16 [14,15].
Qixia 3rd section (P31q ) and the lower part of the soft rock of
the Qixia 1st section and Maan group (P1ma) by concrete. 4.2.3. Determination of in situ stress
Before the design, the in situ stress was established by
4.2.2. Optimal design of the soft rock replacement scheme at using the hydraulic fracturing method as s1 5:6 MPa
the design stage using intelligent and FEM methods with trend SW 2531 and plunge 591; s2 3:0 MPa with
The optimal soft rock replacement scheme was estab- trend SE1081 and plunge 261; s3 2:1 MPa with trend
lished by using a genetic algorithm, neural network and NE101 and plunge 151. However, the stress state was also
nite element method. The result was the alteration of the estimated by the overcoring method as kx 1:021:4, kz
depth of the water-out tunnel by 1 m, and the replacement 0:821:0 (for hard rock) and kx 0:720:9, kz 0:520:7
 ARTICLE IN PRESS
188 J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195

Fig. 17. Cross-section of the Shuibuya underground powerhouse excavation.

3.0 Calculated using non self-gravity in situ stress is reasonable to assume that the in situ stress eld at the
2.5 Calculated using self-gravity in situ stress Shuibuya underground powerhouse is mainly caused by
The convergent displacement (mm)

Monitored
2.0
1.5
1.0
0.5
0.0
1 2
-0.5
-1.0
Monitoring section nos.
-1.5
Fig. 18. Comparison of the computed and monitored displacements at the
shoulder of the underground powerhouse after nishing the rst
construction layer shown in Fig. 17.
(for soft rock), in which x is the axis of the powerhouse and
z is perpendicular to the axis of the powerhouse (see
Fig. 16a for the orientations of the axes). Unfortunately,
the results from the two methods were quite different.
Feedback analysis based on the monitored displacements
was carried out. The computed displacement eld at the
shoulder of the underground powerhouse after nishing
the rst construction step (Fig. 17) using a gravitational in
situ stress eld has the same vectorial directions and values
in line with the monitored displacements (Fig. 18). The
direction of the displacement was an expansion of the
powerhouse which is contrary to the convergence displace-
ments which would be associated with a major principal
stress acting perpendicular to the powerhouse. Therefore, it
the overburden.
In fact, this conclusion is compatible with the tectoni-
cally de-stressed stress state at the underground power-
housewhich is located at the east wing of the wide and
slightly dipping Sanyouping syncline and between exten-
sion faults F2 and F3. The strata are slightly dipping and
there are soft layers, such as shear zones among the layers;
3 4 moreover, the deep gorge face is adjacent to the project.
4.2.4. Intelligent back analysis of rock mass parameters
The monitored displacements of the sections 508A-508B,
509A-509B, s2-1, s3-1 and s2-3 after nishing the excavation
of the 1st to 6th steps were used to estimate Youngs
modulus of the strata, such as P11q , P1ma , P21q , P31q and P41q
(see Figs. 1822). The back analysis method is based on a
genetic algorithm, support vector machine and FLAC3D
[15]. The calculated displacements using the Youngs
modulus values listed in Table 4 for these ve strata are in
good agreement with the monitored values shown in Fig. 20.
4.2.5. Design of the optimal support system for the
underground powerhouse
Based on experience and numerical calculation, the
designer drew up the initial design for the underground
powerhouse. The design was then to be veried and
modied according to the monitored displacement and re-
determined in situ stress eld
 Design of the optimal support system for the 1st
excavation step of the underground powerhouse
 ARTICLE IN PRESS
J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195 189

According to analysis of the monitored displacements,

conclusions were drawn as follows: (1) The entire
underground powerhouse is stable; therefore the density
of the cable anchor system can be reduced. (2) Some
local areas of the underground powerhouse should be
reinforced by rock bolts; the engineering geologist
suggested that no. 1-1 block and no. 2-1 blocks are
potentially unstable but no. 3 block is stable. (3) The key
to the support is monitoring the displacement velocity
development.
 Design of the optimal support system for the 2nd to 3rd
excavation steps of the underground powerhouse
Because the rock bolted crane beam is located in the
region of the 2nd to 3rd excavation steps and the soft
strata are also replaced by concrete, there is no need for
modication of the support system design. However, the
cumulative vertical displacements at the crown and
Fig. 19. Geological cross-section and the positions of the monitored shoulder of underground powerhouse after the comple-
displacements.
tion of excavation of the 1st to 3rd steps were calculated
using FLAC3D with input of the recommended rock

23m

166.5m

f545
f671
f580

Bus tunel
y
65.47m

z x Replacement of soft rock 3#Set

(a)
(b) Tailrace 1# Set

Fig. 20. (a) The model mesh for the calculation region and (b) the underground powerhouse cavern group.

Fig. 21. Sketch of the layout of the displacement monitoring lines used in the feedback analysis of rock mass parameters.
 ARTICLE IN PRESS
190 J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195

mass mechanical parameters. The results were compared
with the monitored values (Tables 5 and 6).
The difference arises from the fact that the suggested
mechanical parameters are higher than the actual ones.
Therefore, back analysis of the mechanical parameters
based on the monitored displacement is required.
 Design of the optimal support system for the 4th to 8th
excavation steps of the underground powerhouse
The support system for the 4th to 8th excavation steps
of the underground powerhouse was modied by a
study based on a combination of genetic algorithm,
12
Monitored
Calculated using the recognized parameters
10
Displacement (mm)
support vector machine and FLAC3D. The algorithm is
described by Feng et al. [14,15]. Key values, such as the
mean settlement at the crown, the mean convergence of
the side wall, the volume of the yielding regions and the
volume of the tensile zone of the surrounding rock mass,
the locations of the side wall where displacements are
larger than 10 mm, plus the support expense, are used to
judge the applicability of the support system.
Accordingly, the optimal support designs retain the
thickness of concrete as in the initial design as 150 mm. The
three rows of pre-stressed cable anchor for the upper
stream and down stream side walls in the original design
can be reduced to 2 rows, because two rows of the cable
anchors in the upper area can be united as one, and the
inter-cavern cable anchor in the lowest row can be kept.

8 Meanwhile, the spacing of the cable anchors can be

increased from the original design of 4.57 m. The spacing
6 and row distance of the rock bolt system can be increased
to 3  3 m, and the length of the primary and secondary
4 rock bolts can be changed to 6 and 8 m, respectively.
Using the optimal support system as an input to
2 FLAC3D, the calculated results show that the maximal
displacement at the crown is 4.3 mm. The maximal
0 convergence displacement at the side wall is 12.0 mm, with
1 2 3 4 5 a mean value of 8.8 mm and mean settlement of 3.4 mm.
The monitoring line nos.
The volume of the tensile area is 110 m3 and the plastic
Fig. 22. Comparison between the calculated displacements (using the zone 10368 m3. The tensile stress around the powerhouse is
back-analysed mechanical parameters) with the monitored values. less than the tensile strength. Therefore, the underground
powerhouse is entirely stable. These results were veried by
the eld monitored displacements, indicating that the
Table 4 assumed optimal support system is adequate (Figs. 23
The recognised Youngs moduli values for different strata using the
monitored displacements after nishing the excavation from the 1st to 6th
and 24).
steps, in GPa
4.2.6. Design of the excavation procedure for the generator
P11q P1ma P21q P31q P41q foundation
8.1 1.4 19.3 5.1 20.3
The generator foundation socket was excavated starting
from the 7th step. The issues were that the surrounding

Table 5
Comparison of the calculated cumulative vertical displacement at the crown of the underground powerhouse (after nishing excavation of the 1st to 3rd
steps) with the monitored values (negative values refer to downward displacement)

Cross section no. (XCF)0+140.00 (XCF)0+120.00 (XCF)0+086.00 (XCF)0+055.00

The monitored settlement at the crown (mm) 2.0 2.2 2.9 4.5
The calculated settlement at the crown (mm) 2.4 2.6 2.8 3.6

Table 6
Comparison of the calculated convergence at the shoulder of the underground powerhouse after the completion of excavation of the 1st to 3rd steps with
the monitored values (negative values refer to inward displacement)

Cross section no. (XCF)0+140.00 (XCF)0+120.00 (XCF)0+086.00 (XCF)0+055.00

The monitored convergence at the shoulder (mm) 3.0 2.1 3.0 4.1
The calculated convergence at the shoulder (mm) 1.3 1.9 1.9 5.2
 ARTICLE IN PRESS
J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195 191

Fig. 23. Initial support system design provided by the designer (Rook boltRock bolt).

rock mass is weak and there is a secondary stress

1 2
Fig. 24. Sketch of the key points in the model for calculating the
displacements (Table 7).
concentration. Therefore, an optimal excavation procedure
and support system needed to be developed including
enhancing the stability of the peripheral rock mass. With
3 4 the recognised mechanical parameters listed in Table 3, the
excavation procedure and support system of the generator-
socket design were optimised using a combination of
genetic algorithm, support vector machine and FLAC3D.
The following ve options were considered:
Scheme 1: When full sectional powerhouse excavation is
carried out to the level 179 m, the rock mass below the
 ARTICLE IN PRESS
192 J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195

bench should be reinforced using a rock bolt and bolt-pile
system and then the rock mass bench at level 179 m should
be reinforced by using armoured concrete of 20 mm
thickness and concrete grouting. The side wall of the rock
mass bench is then reinforced by using pre-stressed cable
anchors and system rock bolts during the excavation
process of the water-out tunnel. The Maanxi group coal
and the exposed rock mass is replaced with concrete.
Scheme 2: When full sectional excavation is carried out
to the level 169 m (i.e. the base of the powerhouse), the
Maanxi group coal and the exposed rock mass is replaced
with concrete to form a generator foundation.
Scheme 3: There is no rock bolt-pile; otherwise the
design is the same as Scheme 1.
Scheme 4: The Maanxi group coal and rock mass
exposed is replaced with concrete, and the remaining design
is the same as Scheme 1.
Scheme 5: When full sectional excavation is carried out
to the level 179 m, the generator socket foundation is not
supported.
It can be seen from Tables 7 and 8 that Scheme 1 was the
most reasonable for the stability of the generator-socket
foundation.
4.2.7. Example 2 summary
With reference to our design owchart in Fig. 10, the
design steps are as follows:
Step 1: Objective. To provide a suitable design for the
Shuibuya powerhouse under the conditions known and
with particular reference to the soft rocks present.
Step 2: Features. The main feature to be taken into
account was the presence of the weak strata inter-bedded
with the harder strata in the sedimentary formation, plus
the fact that the host rock in the region was likely to be
destressed because of the proximate faults and gorge walls.
Step 3: Design approach strategy. The approach strategy
included rock mass classication experience in this type of
rock mass plus FEM analyses leading to an initial design
which was to be adapted according to calculations and
monitored observations.
Step 4: Modelling methods. The modelling methods are
shown in Figs. 25 and 26.
Step 5: Initial design. The method for establishing the
initial design is illustrated in Fig. 25, which is the basic
modelling owchart of Fig. 9 but with shaded boxes to
show the methods used. Note that the methods used in the
initial design were Method A Levels 1 and 2, Method B
Level 2 and Method C Level 1as forward analysis.
Step 6: Integration and feedback. This design was used
for construction. Displacements were monitored and back
analysis conducted to estimate the rock stress and rock
mechanics parameters.
Step 7: Final design and verification. Given the construc-
tion experience and the back analysis of the rock stress and
mechanical parameters, it was possible to re-analyse the
powerhouse circumstances by enhancing the modelling
methods, as shown in Fig. 26. Note that now, and as a
comparison with Fig. 25, the modelling methods used were
Method C Levels 1 and 2 and Method D Level 2as
linked to back analysis.
This Shuibuya example demonstrates the way in which
an initial design is converted into a nal design using
monitored data during construction for further modelling
based on back analysis. So, although the circumstances
could have appeared daunting initially, the systematic use
of a procedure as in Fig. 10 backed up by the modelling
methods as structured in Fig. 9 enabled the nal design to
be established and the powerhouse to be safely built in this
sedimentary rock mass with difcult soft and weak layers.
The initial and nal analysis steps are highlighted in Figs.
25 and 26.

Table 7
The calculated sidewall displacements (mm) for Schemes 1 and 2

The monitoring lines in Fig. 19 Central section of Central section of Central section of Central section of
Generator 1 Generator 2 Generator 3 Generator 4

Scheme 1 10.0 11.2 9.5 9.0

L5 Scheme 2 11.8 16.2 14.8 10.9
Scheme 1 12.6 11.3 9.5 5.2
L6 Scheme 2 16.3 17.5 14.7 9.0

Table 8
The calculated displacements and yielding regions of the different foundation excavation schemes

Scheme no. Key point 1 in Fig. 24 Key point 2 in Fig. 24 Key point 3 in Fig. 24 Key point 4 in Fig. 24 Volume of yielding region
(mm) (mm) (mm) (mm) (m3)

1 18.4 21.8 12.9 6.5 7427

3 20.2 24.0 14.8 7.9 7496
4 21.3 24.1 15.3 8.3 7478
5 22.6 26.5 16.9 10.2 7564
 ARTICLE IN PRESS
J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195 193

Shuibuya Powerhouse

Method A Method B Method C Method D

Extended
Use of Basic numerical
Analytical numerical Level 1
pre-existing methods, FEM,
methods, methods,
standard BEM, DEM, 1:1 mapping
stress-based fully-coupled
methods hybrid
models
Site
Invest-
igation
Database
Integrated
Precedent type Rock mass expert
systems Level 2
analyses and classification, systems, &
approaches, Not 1:1 mapping
modifications RMR, Q, GSI other systems
internet-based
approaches

Design based on forward analysis Design based on back analysis

Construction

Fig. 25. Modelling methods used to support the initial design for the Shuibuya powerhouse.

Shuibuya Powerhouse

Method A Method B Method C Method D

Extended
Use of Basic numerical
Analytical numerical Level 1
pre-existing methods, FEM,
methods, methods,
standard BEM, DEM, 1:1 mapping
stress-based fully-coupled
methods hybrid
models
Site
Invest-
igation
Database
Precedent type Rock mass expert Integrated
analyses and classification, systems, & systems Level 2
modifications RMR, Q, GSI other systems approaches Not 1:1 mapping
approaches

Design based on forward analysis Design based on back analysis

Construction

Fig. 26. Modelling methods used to support the nal design of the Shuibuya powerhouse.

4.3. Illustrative example 3: The design of an underground There are three primary aspects inuencing the design of
radioactive waste repository in crystalline rock a repository for the disposal of radioactive waste.

The disposal of radioactive waste is a design problem
unprecedented in rock engineering and involves many
issues, both technical and political. Here we simply
summarise the general principles of the modelling
and design based on the structured approach provided by
Figs. 9 and 10.
1. From the technical point of view and apart from
political considerations, there is a wide choice for the
location of such a repositoryas compared to a
civil engineering tunnel which must run from Point A
to Point B or a mine which must be located at the
orebody.
 ARTICLE IN PRESS
194 J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195

2. The design life of the repository is much longer than that
of a civil or mining underground structure. The life of a
mine excavation can be anything from a few days to a
hundred years. Civil engineering structures are usually
designed for a life of about 120 years. However, a
radioactive waste repository must be designed for
thousands, hundreds of thousands, or millions of
yearsdepending on a particular countrys policy.
3. The function of the repository is that the waste should
be contained so that unacceptable radionuclide migra-
tion to the biosphere does not occur. So, the repository
is totally successful if nothing happenswhich is
effectively non-functional compared to a civil and
mining engineering facility.
Despite this extraordinary combination of factors, the
design procedure still follows the outline in Fig. 10 and is
supported by the modelling techniques highligfhted in Fig.
9 and specically shown in Fig. 12. However, the rock
engineering design cannot be conducted in isolation
because there are other relevant subject disciplines, such
as geology, hydrogeology, hydrogeochemistry and envir-
onmental issues. The interactions between all the dis-
ciplines have to be taken into account [12].
Because of the importance and complexity of a
repository for radioactive waste, the initial design can be
additionally supported by the use of an Underground
Research Laboratory, as has been done in several
countries.
The steps in the rock engineering design owchart in
Fig. 10 are as follows for this third case example.
Step 1: Objective. To design an underground repository
for the disposal of radioactive waste such that unacceptable
quantities of radionuclides do not escape to the biosphere.
Step 2: Features. The three main features listed at the
beginning of this third case example, plus the many FEPs
(features, events and processes) identied during elicitation
workshops.
Step 3: Design approach strategy. The design approach is
based on a hazard avoidance strategy, i.e. on nding a
location where the rock stresses are not too high, brittle
deformation zones are not too close, water ow through
proximate fractures is acceptable, chemical effects are not
safety-critical issues, etc.
Step 4: Modelling methods. With reference to Fig. 9, we
cannot use Method A techniques because there is no
adequate precedent experience. Also, Method B Level 1
techniques are too simple. All other methods can then
be used, especially to provide cross-checking of the
results, Fig. 27. Moreover, the use of an extensive site
investigation and Underground Research Laboratory
provides the in situ ability to measure the rock parameters
directly and to use both forward and backward analyses. A
variety of full-scale experiments can be conducted, includ-
ing a prototype repository construction, to provide
monitored values.
Step 5: Initial design. The initial design is then based on
the hazard avoidance strategy backed up by the modelling
and in situ eld work.
Step 6: Integration and feedback. There is considerable
feedback through Steps 57 in Fig. 10. Additionally, there
has to be inter-disciplinary interaction and feedback to

Radioactive waste repository

Method A Method B Method C Method D

Extended
Use of Basic numerical
Analytical numerical Level 1
pre-existing methods, FEM,
methods, methods,
standard BEM, DEM, 1:1 mapping
stress-based fully-coupled
methods hybrid
models
Site
Invest-
igation
Database
Precedent type Rock mass expert Integrated
analyses and classification, systems, & systems Level 2
modifications RMR, Q, GSI other systems approaches Not 1:1 mapping
approaches

Design based on forward analysis Design based on back analysis

Construction

Fig. 27. Modelling techniques used for the nal design and further in situ data provided through the use of an underground research laboratory plus the
repository construction itself.
 ARTICLE IN PRESS
J.A. Hudson, X.T. Feng / International Journal of Rock Mechanics & Mining Sciences 44 (2007) 174195
ensure that the repository design is harmonious with all
aspects.
Step 7: Final design and verification. The nal design
cannot be validated (in the sense that validation means full
conrmation that the design is adequate) because the
repository function cannot be tested for hundreds of
thousands of years, but it can be veried through
monitoring of key parameter values.
4.3.1. Example 3 summary
Although the design of a radioactive waste repository is
the most complex rock engineering design task, the
modelling and design principles still follow the owchart
outlines in Figs. 9 and 10.
5. Conclusions
We have reviewed earlier rock mechanics modelling and
rock engineering design owcharts and concluded that
there is a need for updates to be provided. These have been
provided via the two owcharts in Figs. 9 and 10.
The use of the two owcharts has been demonstrated by
three illustrative case examples covering a conventional
highway tunnel, an underground powerhouse in sedimen-
tary rock with weak layers, and a repository for radioactive
waste. Despite the wide range of engineering functions,
scales and design lives, the new owcharts provide the
necessary systematic framework for approaching the
modelling and design.
The rst and third case examples have been presented
briey: the rst because of its relative simplicity; the third
because of its relative complexity. The second case of the
Chinese Shuibuya powerhouse design and construction has
been presented at greater length because it illustrates the
owchart application so clearly. We described the Shui-
buya project, the geology, rock mechanics setting and
special features, the initial design of the underground
powerhouse, the monitoring and design feedback, the
modied design and design verication.
Thus, the owcharts in Figs. 9 and 10 can be used for the
full spectrum of rock engineering designfrom the
simplest conventional type of tunnel right through to the
more comprehensive analyses required for increasingly
complex projects.
Acknowledgements
Financial support from the National Nature Science
Foundation of China under Grant No. 50325414 and the
Special Funds for Major State Basic Research Project
under Grant No. 2002CB412708 are gratefully acknowl-
edged. The authors would like to thank Mr. Qigui Yang,
195
Mr. Ying Hu and Mr. Feng Zhang for their help with the
stability analysis of Shuibuya underground powerhouse
and to thank Shuibuya Construction Ltd. Co. and the
Changjiang Institute of Survey Planning Design and
Research, Yangtze Water Conservancy Committee, for
the use of the eld and laboratory data relating to the
Shuibuya underground powerhouse. Dr John Harrison of
Imperial College, London, is also thanked for his
contribution to the modelling and code implementation
principles presented in Section 3.5.
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