Rock Engineering

Practice & Design

Lecture 1:
Introduction

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Author’s Note:
The lecture slides provided here are taken from the course
“Geotechnical Engineering Practice”, which is part of the 4th year
Geological Engineering program at the University of British Columbia
(V
(Vancouver, Canada).
C d ) The
Th course covers rock k engineering
i i andd
geotechnical design methodologies, building on those already taken
by the students covering Introductory Rock Mechanics and Advanced
Rock Mechanics.
Mechanics
Although the slides have been modified in part to add context, they
of course are missing the detailed narrative that accompanies any
l
lecture. It is also
l recognizedd that
h these
h lectures
l summarize,
reproduce and build on the work of others for which gratitude is
extended. Where possible, efforts have been made to acknowledge
th vvarious
the ri us ssources,
urc s with
ith a list of
f references
r f r nc s being
b in provided
pr vid d att the
th
end of each lecture.

Errors, omissions, comments, etc., can be forwarded to the

author at: erik@eos.ubc.ca

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Course Overview
This course will examine different
principles, approaches, and tools used in
geotechnical design. The examples and
case histories
hi t i reviewed
i d will
ill f
focus
primarily on rock engineering problems,
although many of the analytical and
numerical techniques reviewed are also
used in other areas of engineering.

Rock engineering design has largely evolved from

different disciplines of applied mechanics. It is
a truly interdisciplinary subject, with
applications in geology and geophysics, mining,
petroleum and geotechnical engineering.

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Course Overview
What makes geotechnical engineering unique is the complexity and
uncertainty involved when interacting with the natural geological
environment.

Rock masses are complex systems!

Often, field data (e.g. geology, geological structure, rock mass

properties, groundwater, etc.) is limited to surface observations and/or
limited by inaccessibility, and can never be known completely.

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Deep Tunnels
Gotthard Base-Tunnel (CH)
Cost = $7 billion (and counting)
Time to build = 12+ years
Length = 57 km
Sedrun shaft = 800 m
Distance between parallel tubes = 40 m
Excavated material = 24 million tonnes

0)
Loew et al. (2000
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 Deep Tunnels – Importance of Geology
Weak rock under high stresses may lead to
squeezing ground conditions, which may result
in damage/failure to the ground support
system or require the costly re
system, re-excavation
excavation
of the tunnel section.
Loew et al. (2000)

In strong brittle rock, high stress conditions may

lead to rockbursting (the sudden release of stored
strain energy). Bursts manifest themselves through
the sudden ejection of rock into the excavation.

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Deep Open Pits
Chuquicamata (Chile)
Classification = open pit copper mine.
Pit size = 4,500m long, 3,540m wide
Pit depth = 800m (1100m by 2014)
Production = 650,000 metric tons/year
Ore grade = 1.1% Cu

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Deep Open Pits - Complex Interactions
Finsch Mine, South Africa
(Flores & Karzulovic, 2002)

Numerous mining operations are

considering the move to underground
in order to mine deeper resources
when
h open pits
it near their
th i end.
d
However, our body of practical
knowledge related to the impacts of
underground mining on the surface
environment
i t is
i limited,
li it d iintroducing
t d i
economic risks to the mine and
safety risks to mine personnel.

P l b
Palabora, S
South
th Africa
Af i
(Moss et al., 2006)

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Hydroelectric Projects

et al. (2004))
Thuro e
Nathpa Jhakri Hydroelectric Project (India)
Estimated cost = $2 billion
Dam = 60.5 m concrete gravity dam
Capacity = 1500 MW
Construction = began in 1993 (was to take 5 years)
Status = 4 units running,
running 2 still to be completed
Boasts = largest & longest headrace tunnel in India

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Hydroelectric Projects – Rock Mass Interactions
E W
M.a.s.l.
Creeping
4000 rock mass

Fo
lia Typical major
ti on
3000 (qu rock slide (Fig.2)
art
H z-m
ica Satluj
-sc
his
ts
Str an
es dr
s ela
2000 t ed
roc
kt h
fie yp
ld es
) 
UPHILL
Tunnel Deformation of
rock mass under
1000 str
es compression / tension
s

4000 3000 2000 1000 0m 1000

fie
ld

 Spalling
of rock material
and shotcrete

04)
Shear  Buckling
deformation of steel ribs

Thurro et al. (200

11,5 m

Cracks in
shotcrete lining

11,5 m
Fo
lia
tio
n (qu
art
z-m
ica DOWNHILL
-sc
his
t)

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Rock as an Engineering Material

A common assumption when dealing with

the mechanical behaviour of solids is
that they are:
· homogeneous
· continuous
· isotropic

However, rocks are much more complex

However
than this and their physical and
mechanical properties vary according to
scale As a solid material,
scale. material rock is often:
· heterogeneous
· discontinuous
· anisotropic

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Rock as an Engineering Material

Homogeneous Continuous Isotropic

sandstone strength
equal in
all directions

Heterogeneous Discontinuous Anisotropic

shale fault high
strength
varies with
direction
low

sandstone joints

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Rock as an Engineering Material
The k
Th key factor
f t that
th t di
distinguishes
ti i h rock k engineering
i i f from other
th
engineering-based disciplines is the application of mechanics on a
large scale to a pre-stressed, naturally occurring material.
Hoek’s GSI
Classification intact
rock

rock mass ground response

fractured
rock

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Influence of Geological Factors
In the context of the mechanics problem, we should consider the
material and the forces involved. As such, five primary geological
factors can be viewed as influencing a rock mass.
We have the intact rock which is
itself divided by discontinuities
to form the rock mass structure.

We find then the rock is already

subjected to an in situ stress.

Superimposed on this are the

influence of pore fluid/water
flow and time.

With all these factors, the geological history has played its part,
g the rock and the applied
altering pp forces.

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Influence of Geological Factors – Intact Rock

The most useful description of the

mechanical behaviour of intact rock

992)
is the complete stress-strain curve

ner et al. (19

in compression.

Lockn
From this curve, several
features of interest are
derived:

Damage, AE
cohesion

Relative C

al. (1999)
· deformation moduli (E, )
· brittle fracture parameters Cumulative D

Cohesion

erhardt et al
· peak strength criteria
· the post-peak behaviour damage

Ebe
Normalized Stress (/cd)

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Influence of Geological Factors – Intact Rock

7)
arrison (1997
Strength, or peak strength, is the
maximum stress, usually averaged over a
plane, that the rock can sustain. After
it is exceeded, the rock may still have

Hudson & Ha
some load-carrying capacity, or residual
strength.

H
high stiffness medium stiffness low stiffness low stiffness
high strength medium strength low strength low strength
very brittle med. brittleness brittle ductile

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Influence of Geological Factors - Discontinuities
Discontinuities such as faults and
joints may lead to structurally-
controlled instabilities whereby
bl k form
blocks f th
through h th
the
intersection of several joints, which
are kinematically free to fall or
slide from the excavation periphery
as a result of gravity.

Hoek et al. (1995)

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 Influence of Geological Factors – In Situ Stress
When considering the loading conditions imposed on the rock mass, it must
be recognized that an in situ pre-existing state of stress already exists in
the rock.

In the case of an
underground excavation,
such as a mine or tunnel,
tunnel no
new loads are applied but
the pre-existing stresses
back et al. (1989)

are redistributed.
Zob

Total = In Situ + Excavation-

Stress Stress Induced Stress

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Influence of Geological Factors – In Situ Stress

Marttin et al. (1999)

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Influence of Geological Factors – In Situ Stress

1

Unstable St
Stress
Concentration
Stable

Wedge

00)
In-Situ
In Situ Stress

er et al. (200
Stress Path
Relaxation
3

Kaise
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Influence of Geological Factors – Groundwater
Many rocks in their intact state have a very low
permeability compared to the duration of the
engineering construction, but the main water flow is
usually
ll via
i secondary
d permeability
m bilit (e.g.
( jjoints).
i t ) Th
Thus
the study of flow in rock masses will generally be a
function of the discontinuities, their connectivity and
the hydrogeological
y g g environment.

A primary concern is when the water

is under pressure, which in turn acts
to reduce the effective stress
and/or induce instabilities. Other
aspects such as groundwater
aspects,
chemistry and the alteration of rock
and fracture surfaces by fluid
movement may also be of concern.

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Rock Engineering Design
Given the large scale of
many of these projects,
there is considerable
economic benefits in
designing these
structures in the optimal
way.

In practice,
practice it quickly
becomes evident that one
ignores rock mechanics
principles
p p and rock
engineering experience at
considerable physical and
financial peril.

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 Integrated Risk Assessment
gün & Lacassse (2005)
Düzg

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 Site Investigation & Data Collection
Geological Geophysical
Willenberg ett al. (2008)

investigations investigations

geological
l i l model
d l

Rockmass
processes
W

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Site Investigation & Data Collection
Geological Geophysical
investigations investigations

geological
l i l model
d l

Rockmass
processes

failure
kinematics

Geotechnical Stability
St bilit
monitoring analysis

Controlling
mechanism(s)
m m( )
Willenberg et al. (2008)

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Design Methodology
Successful
S f l engineering
i i d design
i iinvolves
l a design
d i process, which
hi h is
i a
sequence of events within which design develops logically. Bieniawski
(1993) summarized a 10 step methodology for rock engineering design
problems,, incorporating
p p g 6 design
g principles:
p p

Step 1: Statement of the

problem
p

performance
objectives

Step 2: Functional
requirements and
constraints

3)
Bieniawski (1993
Design Principle 1: Clarity of
g objectives
design j and
functional requirements.

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Design Methodology
Bi ni ski (1993)
Bieniawski
Step 1: Statement of the problem
performance Design Principle 1: Clarity
objectives
of design objectives and
functional requirements.
requirements
Step 2: Functional requirements
and constraints
design variables &
d i
design iissues
Design Principle 2: Minimum
Step 3: Collection of information uncertainty of geological
g
geological
g characterization,, conditions.
rock mass properties, in situ
stresses, groundwater, etc.

Step 4: Concept formulation

design variables & Design
D i Principle
P i i l 3:
3
design issues Simplicity of design
components
Step 5
5: Analysis
y of solution ((e.g.
g geotechnical
g model).
)
components

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 Analysis of solution Design Principle 3:
Step 5:
components Simplicity of design
observational,
l analytical,
l l components.
t
empirical, numerical
methods Design Principle 4: State of
Step 6
6: Synthesis
y and specification
p the art practice.
for alternative solutions
shapes & sizes of excavations,
rock reinforcement options and
associated safety factors
Design
D i Principle
P i i l 5:5
Step 7: Step 8:
Optimization of design
Evaluation Optimization (through evaluation of
p
performance consideration of non-rock analysis
ana y rresults,
ut , m monitoring,
n t r ng,
assessment engineering aspects (ventilation,
power supply, etc.)
etc.).

Step 9: Recommendation
Design Principle 6:
- feasibility study
- preliminary & final designs
Constructability
bl ((can the
h
lessons
learned design be implemented
safely and efficiently).
Step 10: Implementation
Bi i
Bieniawski
ki (1993)
efficient excavation &
monitoring

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Lecture References
Bieniawski, ZT (1993). Design methodology for Rock Engineering: Principles and Practice. In
Comprehensive Rock Engineering: Principles, Practice & Projects. Pergamon Press, Oxford, 2: 779-793.
Düzgün, HSB & Lacasse, S (2005). Vulnerability and acceptable risk in integrated risk assessment
framework. In Landslide Risk Management. A.A. Balkema: Leiden, pp. 505-515.
Eberhardt, E, Stead, D & Stimpson, B (1999). Quantifying pre-peak progressive fracture damage
in rock during uniaxial loading. International Journal of Rock Mechanics and Mining Sciences 36(3):
361-380.
Flores, G & Karzulovic,
Flores Karzulovic A (2002).
(2002) Geotechnical guidelines for a transition from open pit to
underground mining. Benchmark report. Project ICS-II, Task 4.
Hoek, E, Kaiser, PK & Bawden, WF (1995). Support of Underground Excavations in Hard Rock.
Balkema: Rotterdam.
Hudson, JA & Harrison, JP (1997). Engineering Rock Mechanics – An Introduction to the Principles .
Elsevier Science: Oxford.
Kaiser, PK, Diederichs, MS, Martin, D, Sharpe, J & Steiner, W (2000). Underground works in
hard rock tunnelling g In Proceedings,
g and mining. g , GeoEng2000,
g , Melbourne. Technomic Publishing:
g
Lancaster, pp. 841-926.
Lockner, DA, Byerlee, JD, Kuksenko, V, Ponomarev, A & Sidorin, A (1992). Observations of
quasistatic fault growth from acoustic emissions. In Fault mechanics and transport properties of
rocks. Academic Press: San Diego.
g

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Lecture References
Loew, S, Ziegler, H-J & Keller, F (2000). AlpTransit: Engineering geology of the world’s longest
tunnel system. In: Proceedings, GeoEng 2000, Melbourne. Technomic Publishing: Lancaster, pp. 927–
937.
Martin, CD, Kaiser, PK & McCreath, DR (1999). Hoek-Brown parameters for predicting the depth
of brittle failure around tunnels. Canadian Geotechnical Journal 36(1): 136-151.
Moss, A, Diachenko, S & Townsend, P (2006). Interaction between the block cave and the pit
slopes at Palabora mine. Journal of The South African Institute of Mining and Metallurgy 106: 479-
484.
Thuro, K, Eberhardt, E & Gasparini, M (2004). Deep seated creep and its influence on a 1.5 GW
hydroelectric power plant in the Himalayas. Felsbau 22(2): 60-66.
Willenberg, H, Loew, S, Eberhardt, E, Evans, KF, Spillmann, T, Heincke, B, Maurer, H &
Green AG (2008).
Green, (2008) Internal structure and deformation of an unstable crystalline rock mass above
Randa (Switzerland): Part I - Internal structure from integrated geological and geophysical
investigations. Engineering Geology 101(1-2): 1-32.
Zoback, ML, Zoback, MD, et al. (1989). Global patterns of tectonic stress. Nature 341(6240):
291 298
291-298.

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