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CHAPTER 6: ROCK STABILISATION

METHODS

Mode of instability in rock & requirement for

Stabilisation methods

Principles of stabilisation method in rock

(underground excavation only)

Classification & mechanism of methods

Considerations for selecting suitable method

Chapter 6: Rock stabilisation methods

Cost of rock engineering structures will increase
if they require:
methods of stabilisation
stability of higher degree & maintained for
long period of time

Proper excavation method (TBM & controlled

blasting) helps to reduce instability & cost of
stabilisation. Comparatively, TBM is preferred to
blasting (if conditions allow e.g. shape of tunnel
& rock conditions)

Improper excavation will induce significant

disturbance to rock mass – consequently a
higher degree of instability!

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Chapter 6: Rock stabilisation methods

If initial analysis shows that a proposed tunnel is
going to be unstable, it should first be established
whether a change in geometry is feasible (e.g.
shape & depth of tunnel).

In early design stage, this is the cheapest solution

but not feasible if tunnel has been excavated.

Our focus is on:

Methods to support the surface of the excavation
(excavation walls)
Methods to improve/strengthen the rock mass
(rock mass in the yield zone around the
excavation)

Principles of rock stabilisation methods

Despite of presence of weakness planes, some
rocks do inherit high strength. During excavation,
this inherent strength must be conserved as much
as possible so that the rock remains strong & self-
supporting!

Utilising this inherent strength is one of the

principles in rock stabilisation.

Some stabilisation methods are aimed at

mobilising this inherent strength e.g. shear
strengths of weakness planes.

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Effect of confinement on highly jointed rock

Confining pressure
provided by support system
increases contacts
between loose unstable
joint blocks, consequently
this increases frictional
strength between the
unstable blocks → increase
resisting forces

Principles of rock stabilisation methods

In tunneling stabilisation is to help rock near the
boundaries of excavation (i.e. yield zone) to
support itself by maintaining its load-carrying
capability
So ideally, stabilisation methods must be installed
a soon as possible (temporarily or permanently),
while the rock in the yield zone is still strong &
before it starts loosing its strength & eventually
fails.

NOTE: Stabilisation methods for rocks are

different from soils

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Principally in rock we need to stabilise only the

unstable key-blocks, not the whole rock mass!!
In soil, due to weak bonding
between soil grains, the
‘weakness planes’ are
throughout the soil mass &
in every direction, you need
to stabilise the whole slope.

… this is why method like

retaining wall is not
Key-blocks practical for rock slope.

The principal → to mobilise

the inherent strength so
that the rock can support
itself!

Principles of stabilisation in ug excavation

When excavation is created, rock at the boundary
of the excavation (yield zone) will move towards
the excavation.
This radial displacement of rock is induced by
radial stress (σ
σr). It cannot be stopped but must be
controlled to a certain safe amount.
If this movement is allowed to continue, raveling
will occur & lead to major failure of rock.

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Principles of stabilisation in ug excavation

Supports must not be rigid, but deforms together
with the surrounding rock, up to certain amount
(allowable deformation), – active or yielding
support that yields together with the rock.

They must be installed immediately, i.e. before

excessive displacement of the surrounding rock
occurs – this can be achieved by installing
temporary support

Instrumentation in ug excavation
The radial stress (σ
σr) and its affecting volume (the
yield zone) can be estimated and verified.

This info is for predicting the amount of allowable

deformation of surrounding rock & at what value of
deformation it is best to install support.

The radial stress (σ

σr)
& its affecting volume
can be measured
in situ using
instrumentation

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During design stage, stresses around the

excavation (σσr & σθ) are predicted (empirical or
simulation).

The stresses are verified during excavation by

installing instrumentation which measures the
actual stress around the excavation.

Instrumentation plays an important role u.g.

excavation (NATM)

Radial stress:
σr = 1/2 (σv + σh) (1-R2/r2) + 1/2 (σv - σh) (1- 4R2/r2 + 3R4/r4) cos

Tangential stress:
σθ = 1/2 (σv + σh) (1 + R2/r2) – 1/2 (σv - σh) (1 + 3R4/r4) cos2θ

Instrumentation
Instrumentation like Talbot’s cell & extensometer
are used measure the radial stress and its
affecting volume during actual excavation. Data
obtained is used to
predict ground
reaction curve for the
in situ rock

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GROUND REACTION CURVE

In tunneling, characteristic of the ground reaction
curve for the surrounding rock is important in order
to determine the optimum allowable strain & the
best time to install support system

Sequence of excavation & support installation:

An example of tunnel being advanced by full-face
drill & blast method with steel sets being installed
after each mucking cycle. Note that support
system is installed in stages, say per m run of
excavation

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Classification of stabilisation methods

Stabilisation methods for excavation in rock
(tunnel & cavern) are divided into 2 main types:

SUPPORT SYSTEM (passive & active)

REINFORCEMENT SYSTEM
Each system offers different stabilising
mechanism, and is suitable for specific modes of
instability in rock.
Some stabilisation methods are used as temporary
supports – to create safe working condition during
excavation & before permanent supports can be
installed.

SPECIAL stabilisation methods

Fault/shear zone can induce significant
weaknesses in rocks. Some rock types (shale &
schist) are naturally weak.

This condition may not be safe for excavation work

& crews. Therefore these weak rocks may require
to be stabilised in advance, before it can be
excavated safely.

This special stabilisation is termed

PRE-SUPPORT

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PRE-SUPPORT
Several methods of pre-support are available. In
cold climate, ground freezing is commonly used.
The ground water is frozen to form ice, thus
making the rock stronger.

Others include fore-poling, pipe roof umbrella

(umbrella system) & grouting (applicable for
tropical countries).
The objective is to strengthen the weak rock
ahead of excavation face, so to create safe
working area, i.e. to increase the STAND-UP of
rock in the roof section. The depth of rock (into
excavation face) to be stabilised depends on
advancement rate & degree of weakness in the
rock.

STAND-UP TIME
The most important geological parameter for
excavation is soundness of rock mass

The soundness of rock is related to an important

criterion called the stand-up time (time taken after
creation of an excavation in rock before its
unsupported roof section begins to collapse). If the
stand-up time is less than few hours, the
installation of tunnel supports is handicapped.

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Unsupported
roof section
(free-span)
immediately
after
excavation

Ideal conditions - rock is solid & continuous, no weakness

planes.

In sound, massive & very strong rock the stand-up time can
extends up to several months or years, as there is no (little)
weakness planes to induce movement in the rock upon
excavation

However, rock is not free of discontinuities (e.g. joints,

faults & bedding planes – hence rock is not solid & sound.
Discontinuities make the rock mass weaker!

Unsupported
roof section
(free-
(free-span)
immediately
after
excavation

In stratified (bedded) rock, beddings at the roof section

will sag (bend downwards) upon creation of an excavation
within its body

Stand-up reduced significantly can be several days or even

several minutes

If sagging continues, beddings will exhibit extension &

significant tensile stress will occur in the beds. If support
is not installed, the roof section will collapse

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Unsupported
roof section
(free-
(free-span)
immediately
after
excavation

In jointed rocks (more than 2 sets & intersecting) the stand-

up time reduced more significantly, as blocks of rock
separated by the joints are in ‘loose state’

Upon excavation, the roof may collapse immediately (few

hours or even minutes)

Joints of more than 1 set are common in ALL ROCK TYPES –

this discontinuous nature of rock is measured using RQD!

Unsupported
roof section
(free-
(free-span)
immediately
after
excavation

Stand-up time is inversely proportional to the length of free-

span at the roof section. Longer free span shorter stand-up
time.

For a given rock condition, if the free-span at the roof

section is reduced, i.e. smaller width of excavation (smaller
cross-section), the stand-up time can be increased to a
certain amount.

Excavation by blasting may induced disturbance (fractures)

into the surrounding rock, consequently stand-up time is
reduced further

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The stand-up time can be estimated using the relevant input

parameters of the in situ rock mass properties (joint spacing,
RQD, UCS etc.), using RMR system

Parameters &
properties of Rock Mass Rating (Rock Class)
rock mass
100-81 (I) 80-61 (II) 60-41(III) 40-21 (IV) < 20 (V)
Classification Very good Good Fair Poor Very poor
of rock mass
Average 10 years 6 months 1 week for 10 hours 30 min.for
stand-up time for 15 m for 8 m 5 m span for 2.5 m 1 m span
span span span
Cohesion of
rock mass > 0.4 0.3 – 0.4 0.2 – 0.3 0.1 – 0.2 < 0.1
(MPa)*
Angle of
internal > 450 35 0 – 45 0 250 – 350 15 0 – 250 150
friction of
rock mass
Note * These values are applicable to slopes only in saturated and weathered
rock mass

Average stand-up time for rock mass based on the

Rock Mass Rating, RMR (Bieniawski, 1979)

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PRE-SUPPORT
2 types of pre-support commonly used:
Pipe roof umbrella/grouted arch canopy
(umbrella system).
Fore-poling/spiling.

The umbrella system is a pre-support system

installed in the roof section & ahead of excavation
face. Consists series of perforated plastic/steel
pipes inserted in drilled holes. Grouts are pumped
into the pipes which then dissipate into the
surrounding rock filling up any cavities.

After excavation, the umbrella system remains in

the roof, forming part of the stabilisation system
for the excavated structure.

PRE-SUPPORT
Fore-poling consists of temporary reinforcement
system (e.g. grout, rock dowels made from FRC),
inserted into the rock to be excavated & ahead of
the excavation face.

It is to stabilise the volume of rock to excavated, if

this rock is not pre-supported it may fail during
excavation (unsafe for machines & crews).

In contrast to umbrella system,

the fore-poling material is
excavated together with the
rock thus, the material for
fore-poling must be relatively
weak materials e.g. plastic.

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PRE-SUPPORT
In weak rock, both fore-poling and pipe roof
umbrella may be required.

PRE-SUPPORT
The ‘umbrella system or pipe roof umbrella’ is
installed in the roof.

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PRE-SUPPORT – umbrella system

Tools & accessories for

pre-support

PRE-SUPPORT – umbrella system

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PRE-SUPPORT – umbrella system

PRE-SUPPORT

Collapse of excavated face. Upon failure it

exposes the pipe roof umbrella installed ahead of
the excavation face. In this condition, the fore-
poling is necessary before the face is excavated.

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PRE-SUPPORT – Fore-poling

PRE-SUPPORT – Fore-poling

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SUPPORT SYSTEM

Use of support elements like shotcrete/gunite,

wire-mesh, steel U-section & precast concrete
slab (segment). These stabilising elements are
installed on tunnel surface (thus the term
‘support’).

The stabilising mechanism of support system is

to increase the stability of rock (at the face &
within the yield zone), by applying confining
pressure on the newly excavated face.
Confinement makes the rock stronger

Support system: Shotcrete or gunite

In tunnel shotcrete is used to hold small rock
blocks from falling and as water-proof lining
(used to protect rock slope material from
percolation of surface run-off water & other
weathering agents).

Shortcrete is often applied as temporary &

permanent support system

It is a special cement mix / mortar sprayed on

newly excavated face (30 - 50mm thick), acts
as a surface cover

Contains fine aggregates, high % of cement &

low permeability

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Support system: Shotcrete or gunite

High shrinkage (improve by cement additives),

high strength (glass & plastic fibres) and high
workability (superplasticiser) for pumping

Rock must be strong to ensure effective

bonding (surface UCS > 40 MPa), not applicable
for weak & highly foliated rock (schist & slate)

Fibre-reinforced shotcrete exhibits higher load-

carrying capability & larger deformation before
cracking occurs (however more expensive &
difficult to apply)

Spraying shotcrete
layer on rock
surface which has
been fixed with
welded mesh

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Shotcrete lining (wire mesh + steel arch) in tunnel

Besides stabilising small rocks on the surfaec,

specially designed shotcrete may be applied on
tunnel surface as water-proof lining, against
inflow of groundwater into the tunnel

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Support system: Steel Arch

Choice between U-channel, T-Section & H-
Section installed on the tunnel surface, and
used as permanent support system.

Consists of more than 1 segment/section, joint

together using special clamp. Installation must
take into account deformation/movement of
surrounding rock, i.e. steel arch must not be
rigid (active support).

Steel sections are manufactured according to

tunnel shape; circular or U shaped. Installed at
selected distance, 2 - 3 m interval along tunnel.

Shotcrete / wiremesh / precast slabs / concrete

segments may be installed in between the
steel arch, to stabilise small rock in between.

Steel section arch: support

system for tunnel. It must be
active (not rigid) & yields to
movements of rock mass
surrounding the tunnel (tunnel
closure)

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Steel section at
interval as tunnel
lining & support

Steel section with

shotcrete lining

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Steel section with

shotcrete lining or
wiremesh or precast
slabs

Support system: Precast slabs

Also termed as precast tunnel segments, they
are reinforced concrete slabs – permanent
support

The slabs are curved and installed on the
tunnel face (common for circular tunnel) with
interlocking mechanism. Also installed in
between steel arches.

The circumferential and radial joints of the
slabs are specially designed to deform with
surrounding rock.

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Interlocking pre-cast
concrete slab as tunnel
lining & support.
Segmental joint between
pre-cast slabs are
specially designed to
deform

Precast tunnel Continuous pre-cast

segment as tunnel
support system segments/concrete slab
as lining in tunnel, it
for tunnel
yields with the
surrounding rock

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Support system: Wire mesh

Wire mesh (chain-link & welded mesh) is fixed
onto tunnel walls using dowels or rock bolts.

Can be used as temporary support, however if

installed properly, wire mesh can be integrated
into the final permanent support system.

Mechanism of stabilisation is to restrain small

unstable rocks especially the ‘key-blocks’ from
falling (scaling is essential). Falling of smaller
rocks may lead to a larger failure – ‘raveling’.
Can be fixed in between steel arch & precast
slab.

Steel wire mesh (chain-link or welded mesh)

fixed over potentially unstable slope face

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Support system: Wire mesh

Choice between welded & chain-link mesh

depends on purpose, in terms of flexibility &
strength, chain-link is more superior and
suitable for uneven slope face

Gap between wire mesh and slope face is

important. Due to its flexibility, chain-link is
preferred for uneven tunnel walls

For higher load carrying capability welded

mesh is preferred (4.2 mm diameter wires,
spaced at 100 mm centres)

Chain-link low load-carrying capability but flexible

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Welded mesh high load-carrying capability but less

flexible

Support system: Wire mesh

The anchorage of wire mesh to the rock (using
dowel or rock bolt) is very essential, weak
anchorage leads to loosening of the mesh –
ineffective support !

Thus wire mesh is suitable for strong rock like

sandstone, granite & limestone – to ensure
proper anchorage of dowel/rock bolt to the
rock mass.

Preferably, the wire mesh should follow the

profile of the excavation surface. Larger gap
between mesh and rock surface may lead to
loosening of key-blocks .

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Rock dowel or rock bolt is used to fix the wire

mesh on the slope face

Combination of wire mesh + shotcrete

Good practice to spray shotcrete on slope
face/tunnel walls where wire mesh has been
installed

When installed together, they compliment with

each other:
Wire mesh acts as a reinforcement for thin
layer of weak shotcrete. Shotcrete insulates
the wiremesh (steel) from contact with H2O &
O2 (corrosion)

Welded mesh is preferred when the mesh is

used to reinforce shotcrete. This is mainly due
to the difficulty of applying shotcrete
satisfactorily through smaller opening of chain-
link mesh

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Welded wire mesh

installed together
with shotcrete +
steel arch.

Shotcrete + wire mesh

+ weep holes.

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REINFORCEMENT SYSTEM

Use of reinforcing elements like grout, dowel,

rock bolt, & rock anchor that are inserted into the
rock mass (thus, the term reinforcement)
Stabilising mechanism is achieved by increasing
the inherent/internal strength (tensile & shear) of
rock mass, e.g. by increasing internal shear
strength of joint planes in rock.
In principal it is similar to the action of rebar in
reinforced concrete or pre-tensioned rebar in pre-
stressed concrete

Reinforcement system: Grouting

A method where cement grout (e.g. Portland

cement mix) is injected into rock mass to fill-up
fractures & large cavities. Plays an important
role in pre-support system, such as pipe roof
umbrella.

Grouting can double the mass strength of

fissured & highly jointed rocks

Alternative to cement grouts are foamed

concrete or uncemented rock paste

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Reinforcement system: Grout

Cement additives & fibre may help to improve
grout strength & workability. Grout consists of
cement & water helps to reduce bleeding
(sedimentation) after emplacement, and
shrinkage on curing.

Weak underground cavities (in limestone) can

be reinforced with grout injected through
boreholes; fluid mixture of 1 : 10 ratio of
cement : PFA or fines.

It is essential to identify the locations & sizes

of these cavities before grouting can be carried
out – detailed SI & expensive operation!

Reinforcement system: Grout

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Grouting - operation

Reinforcement system: Dowel, rock bolt &

rock anchor

In principle, these 3 reinforcement elements

are similar in features. They consist essentially
of tendon (steel bar & multiple strand steel
cable), anchorage (bonded) length, bearing
plate & tensioning device

The differences – load bearing capacity, type

of tendon & installation procedures

They are installed to intersect discontinuities

(joint & fault) thus, help to increase the
inherent strength (shear strength) of these
weakness planes. Must be of sufficient length
to anchor unstable blocks onto a stronger rock

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Rock bolt & dowel is to stabilise unstable blocks

(plane & wedge failures). The tendon must be of
sufficient length to intersect the discontinuities ,
and to anchor the unstable block to a more
stable rock mass

Reinforcement system: Dowel, rock bolt &

rock anchor

Rock bolt is more expensive to install however,
they are effective for long-term stability, thus it
is part of permanent stabilisation system.

Rock dowel is for temporary & for short-term or

temporary reinforcement (fore-poling in
underground excavation, mining & quarrying)

For larger unstable blocks (> 1000 tonnes), the

use of rock bolts is not feasible (in terms of
quantity & load bearing capacity) – rock anchor
is recommended

Instead of steel rebar, rock anchor uses high

capacity multiple strands steel cables (similar
cables used in suspension bridge)

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25 mm steel rebar
with threaded
length & locking
nut

FRC rebar as for

rock bolt

Diameter 12-40mm (< 20mm not generally used for life > 2 years)
Grouted and mechanical 22.8m as published
Maximum fixed anchors 30.0m considered feasible
length Cartridge or capsule 5.0 to 8.0m
Hot-rolled mild or General applications
high-yield steel to BS970
Wrought carbon steel to
BS970, grades:
Material 080 M30 (EN5) General applications
080 M40 (EN8)
Stainless, chrome/nickel,
manganese/molybdenum Special applications
steel
Typical High strength steel bars 8% over 200mm gauge
length
ductility Low strength steel bars 17% over 200mm gauge
length

Specifications of bars for rock bolts (after

Douglas and Arthur, 1983)

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Differences between DOWEL & ROCK BOLT

REINFORCEMENT
ELEMENT: steel rebar

LOCKING BONDING AGENT:

NUT resin or grout

BEARING PLATE

Fully-grouted dowel with

bearing plate &
tensioning nut

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Installation of fully
grouted dowel:
1. Drill hole

2. Insert resin/grout

3. Insert bar

4. Twist to mix resin

5. Install bearing plate & nut

Full-bonded rock bolt uses 2 types of RESIN; fast

& slow setting resin. Portion of bolt length is
bonded to the surrounding rock using fast setting
resin, before it is tensioned. While in tension, the
remaining bolt length is covered with slow
setting resin – Rock bolt should remains in
tension throughout its service life

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Installation procedures for:

Fully bonded dowel (temporary use)
End anchored rock bolt (tensioned dowel)
Fully bonded rock bolt (permanent use)

Tensioning rock bolt during installation;

hydraulic jack & stressing chair

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Installation & tensioning of rock bolts

Rock bolts are installed

using specialised
machine: drilling,
install tendon, apply
resin, tensioning &
bearing plate

The difference between dowel & rock bolt

Dowel is passive bolt, installed without any

tension. Tension develop after installation,
when there is movements in joints it intersects

Rock bolt is active dowel, installed with

pretension (usually Tw ≈ 60 – 70 % Tu). Due to
this pre-tension, rock bolt exhibits several
positive characteristics as permanent
reinforcement

Bonding agent (along bond length) can be

grout or resin. Resin is normally used for rock
bolt (long-term reinforcement). Grout are used
for dowel & rock anchor

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FRICTION EFFECT: Full-bonded rock bolts induces

clamping effect on bedding planes. This increase
the shear of the bedding planes & their effective
thickness as composite beddings

ARCHING EFFECT: Tension in rock bolts induces

compression effect on fracture rock this increase
shear strength along fracture planes – forming a
stable arch – confinement effect!

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