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CHAPTER 5: UNDERGROUND
EXCAVATION IN ROCK

Underground excavation in rock include cavern,

tunnel, shaft & drift.

Long-term stability, service life & cost for

construction must be assured.

Underground cavern, large excavation in

rock for powerhouse in HEP project

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Underground cavern, large excavation in

rock for powerhouse in HEP project

Tunnel as underground access & transportation,

e.g. LRT & underground drainage & utilities
(power, gas & water supply)

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Shaft is vertical opening to create access between

underground cavern or mines and surface

CHAPTER 5: EXCAVATION IN ROCK

When these structures are excavated in rock, 2
kind of stresses in the rock must be understood:

The prevailing stresses (‘virgin’ & residual

stresses) that are induced by geological processes.
They can be regional or localised & can affect the
structures – Structural Geology
Excavation will disturb the rock, stresses in the
rock & close to the excavation will change
(directions & values) creating new stresses, called
‘construction induced stresses’ – Rock Mechanics

Understanding of the interactions between these 2

sets of stresses is important to ensure stability &
service life of the structures.

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CHAPTER 5: EXCAVATION IN ROCK

With regard to excavation, geologically &
tectonically induced stresses are associated with
the following geological structures:
Faults
Folds
Regional surface landforms & features of the
site (e.g. presence of major mountain range)

The associated stresses, induced by these

structures, will remain & stored in the rock in the
form of strain (εε). As rock exhibits elastic modulus
(E), the strain can produces stresses; compression,
shear & tensile, depending on the types of
structures – hence the terms remnant or residual
stresses.

CHAPTER 5: EXCAVATION IN ROCK

Remnant & residual
stresses in rocks.

Area with its rock

formation which
display geological
structures such folds
& faults is called
geologically disturbed
area. Instability of
excavation in this
rock formation is
expected.

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CHAPTER 5: EXCAVATION IN ROCK

Geological structures associated with induced
stresses & these stresses remain (stored) in the
rock to form residual/remnant stresses.
Faults in rock, they also
occur in rock at depth

CHAPTER 5: EXCAVATION IN ROCK

Rock close to the fault may store residual strain in
the form of shear stress. Fault is large fracture or
discontinuity in rock. Its presence may form a
boundary/limit for transmission of stresses,
creating uneven stress distribution in a relatively
uniform & homogeneous rock body.

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CHAPTER 5: EXCAVATION IN ROCK

Folded strata can also occur in rock at depth

CHAPTER 5: EXCAVATION IN ROCK

Folded strata can also occur in rock at depth

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CHAPTER 5: EXCAVATION IN ROCK

For a normal fold, the upper beds extend more,

residual tensile stress is being stored in this layer
of rock. The bottom layers shorten more, residual
compressive stress is stored in this layer.

A more complex stress distribution can be

expected in rock at
depth, & which has
been deformed by
tectonic stresses. In
this rock, stresses
consists of virgin stress
(σv & σh), as well
as remnant stresses.

CHAPTER 5: EXCAVATION IN ROCK

Remnant & residual
stresses in rocks

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CHAPTER 5: EXCAVATION IN ROCK

Surface landforms & features (e.g. presence of
major mountain range) can induce variations in
regional stresses in rock at depth.

CHAPTER 5: EXCAVATION IN ROCK

Surface landforms & topography – plain and flat
land at surface

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CHAPTER 5: EXCAVATION IN ROCK

Surface landforms & topography of an area –
mountainous & rugged landforms

CHAPTER 5: EXCAVATION IN ROCK

An excavation at depth is subjected to vertical (σv)

& horizontal stress (σh). If the ground surface is
plain & the rock is homogeneous & isotropic, σh
on either side of the tunnel can be assumed to be
approximately equals.
Ground surface

σv = ρgH
σv ≠ σh
σh1 = σh2 σv

σh2 σh1

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CHAPTER 5: EXCAVATION IN ROCK

If the ground surface exhibits a massive mountain
range at one side, σh on either side of the tunnel is
unlikely to be equal.

Ground surface

σv ≠ σh
σh1 > σh2, due to
higher overburden σv
created by the
mountain
σh2 σh1

CHAPTER 5: EXCAVATION IN ROCK

If the ground surface exhibits massive mountain
range at one side & there is a major fault in
between the tunnel & the mountain.

Ground surface

σh1 ≠ σh2
In fact σh1 can be
smaller than σh2
σv
Major fault line

σh2 σh1

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CHAPTER 5: EXCAVATION IN ROCK

Fault is a discontinuity (fracture) thus, high
overburden stress created by the mountain,
cannot be transmitted through the major fault. It is
often observed that σh1 < σh2

Ground surface

σv

σh2 σh1

Circular tunnel in an ideal rock is subjected to 3-D

stresses (x y z direction). This can be simplified to
be 2-D, as σy along the axis of the excavated
tunnel can be taken as zero, as discussed in the
following topic

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CHAPTER 5: EXCAVATION IN ROCK

1-D linear elasticity can be generalised to 3-D as
indicated by the direction 1, 2 & 3, and with the
following assumptions (Jaeger & Cook,1979):

o Each component of strain is linear function to

stress component;
o Axial stress (σ
σ) is proportional to axial strain (εε);
o Rock is isotropic, homogeneous & solid (no
fracture planes).

For principal stresses & strains proportionality of σ

& ε can be expressed by:
σ1 = (λ
λ + 2G)εε1 + λε2 + λε3. (1)
σ2 = λε1 + (λ
λ + 2G)εε2 + λε3. (2)
σ3 = λε1 + λε2 + (λ
λ + 2G)εε3. (3)

CHAPTER 5: EXCAVATION IN ROCK

λ & G are Lame’s constants. Equation (1), (2) & (3)
shows that one constant (i.e. (λ
λ + 2G)) relates the
stress & strain in the same direction, while λ
relates the stresses & strains in the other 2
perpendicular directions which must be on the
same footings.

Substituting volumetric strain:

∆ = ε1 + ε2 + ε3 (4)

Subst. (4) into equation (1) to (3):

σ1 = ∆λ + 2Gεε1, σ2 = ∆λ + 2Gεε2, σ3 = ∆λ + 2Gεε3 (5)

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CHAPTER 5: EXCAVATION IN ROCK

Besides λ and G, other important constant in 1-D
elasticity is Young’s modulus, E. E = ∆σ/∆ε
∆ε is a
∆σ ∆ε,
constant that relates stress & strain under uniaxial
compression (UCT).

For uniaxial stress, σ2 = σ3 = 0 & in this case

equation (1) to (3) become:
σ1 = (λ
λ + 2G)εε1 + λε2 + λε3 (6)
0 = λε1 + (λ
λ + 2G)εε2 + λε3 (7)
0 = λε1 + λε2 + (λ
λ + 2G)εε3 (8)

It follows that:
ε2 = ε3 = − [λ
λ/[2(λ
λ + 2G)]εε1 (9)
and,
E = σ1/εε1 = G(3λλ + 2G)/(λ
λ + G) (10)

CHAPTER 5: EXCAVATION IN ROCK

In this case σ1 is +ve (compression), ε1 is +ve
(contraction), and ε2 & ε3, are −ve (expansion).
The ratio of lateral expansion to longitudinal
contraction (−ε−ε2/εε1) is Poisson’s ratio ν, and from (9):
ν = λ/[2(λ
λ + G)] (11)

The bulk modulus of incompressibility, K, is defined

as the ratio of hydrostatic pressure p to volumetric
strain ∆ (p/∆
∆). If σ1 = σ2 = σ3 = p, adding the 3
parameters in equation (5), gives:
3p = (3λλ + 2G)∆ ∆
K = p/∆
∆ = λ + 2/3G (12)

The reciprocal of K (i.e. 1/K) is compressibility, β .

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CHAPTER 5: EXCAVATION IN ROCK

Relationships between K, G, E, λ & ν exist, the most
important are:

λ = Eν
ν/[(1 + ν)(1 − 2ν
ν)], G = E/[2(1 + ν)] (13)
K = [2(1 + ν)G]/[3(1 − 2ν ν)] = E/[3(1 − 2ν
ν)] (14)
E = 9KG/(3K + G), λ/G = 2ν ν/(1 − 2ν
ν) (15)

The assumed σ - ε relations refer to principal axes.

For a mutually perpendicular axes Ox, Oy & Oz, it is
shown (Jaeger & Cook, p. 111) that the general
relations for any axes, where σx, σy, σz are acting
mutually are:

σx = λ∆ + 2Gεεx ; σy = λ∆ + 2Gεεy ; σz = λ∆ + 2Gεεz (16)

CHAPTER 5: EXCAVATION IN ROCK

There are certain restrictions on value of ν by the
above equations, e.g. from (15), ν < 1/2 & from (13) ν
> −1. This is known as two constants theory, i.e. for
complete specification of a material, two values of
K, G, E, λ & ν are needed.
However, certain simplifying assumptions are made
which reduce these parameters to unity or 1. The
most important is Poisson’s relations, λ = G. Then,
from (13) to (15) we may obtain the following:

λ=G; K = 5G/3 ; E = 5G/2 ; ν = 1/4 ( = 0.25) (17)

Simplification of theoretical results has also been

shown in experimental work that many substances
exhibit ν ≈ 0.25.

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CHAPTER 5: EXCAVATION IN ROCK

In practice there are cases where linear elasticity
is applicable and this include the following cases:

CASE 1: Uniaxial stress, σ1 ≠ 0, σ2 = σ3 = 0:

The case where rock specimen is axially loaded in
one direction & free of loading in the other two
directions (eqn. (6) to (10)). It is contraction
ε1 = σ1/E in the direction of σ1 & expansion
ε2 = ε3 = −νε1 in the other perpendicular directions.

The fractional change in volume is:

∆ = (1 − 2ν
ν)σ
σ1/E (18)
Since ν < 1/2, there is a decrease in volume if σ1>0
and increase if σ1<0.

CHAPTER 5: EXCAVATION IN ROCK

CASE 2: Uniaxial strain: ε1 ≠ 0, ε2 = ε3 = 0:
From (1) to (3) & using (15),

σ1 = (λ
λ + 2G)εε1 ; σ2 = σ3 = λε1 [ν
ν/(1 − ν)]σ
σ1 (19)

Assumption is that there is no displacement (or

strain) perpendicular to the σ1 - axis, stresses σ2
and σ3 is to prevent displacement in the respective
axis. This case arises in an attempt to calculate
stress below the earth's surface (assumption:
confined conditions where there is no lateral or
radial displacement – triaxial compression test on
rock sample obtained at depth > 100 m.

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CHAPTER 5: EXCAVATION IN ROCK

CASE 3: The case where: ε1 ≠ 0, ε2 = 0, ε3 = 0, this is
not equal to ε2 = ε3 = 0 as in Case 2:
Eεε1 = (1 − ν2)σ
σ1 ; σ2 = νσ1 ; ε3 = − [ν
ν/(1 − ν)]εε1 (20)

Zero stress & zero strain in two directions

perpendicular to the σ1- axis. This is the case when
there is not restrained upon the development of
strain in the other two directions perpendicular to
the σ1 – axis.

CHAPTER 5: EXCAVATION IN ROCK

CASE 4: It is termed biaxial stress or plane strain
plane strain stress, σ1 ≠ 0 and σ2 = σ3 ≠ 0:

Eεε1 = σ1 − νσ2; Eεε2 = σ2 − νσ1; Eεε3 = − ν/(σ

σ1+σ
σ2) (21)

This is a situation where σ2 = σ3 & ε in two direction

perpendicular to σ1 is equal

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CHAPTER 5: EXCAVATION IN ROCK

To calculate the stresses close to an excavation
face, it is necessary to know the in situ state of
stress in an undisturbed rock. All methods of stress
measurement in underground (e.g. Talbot cell &
instrumented bolt) unfortunately, are methods
conducted from excavation faces (disturbed rock
conditions) thus, accuracy of data is questionable

Basic concept is state of stress due gravity alone

i.e. hydrostatic state of stress, where σ1 = σ2 = σ3,
& state of stress at any point at depth is given by:

σ = ρgz (22)

ρ is density of overlaying rocks, g is gravity & z is

depth

CHAPTER 5: EXCAVATION IN ROCK

In practice there are 2 important stresses:

Virgin rock stresses - stresses in rock before any

excavation.

Field stresses - for any part of an excavation

(stresses which would exist in the neighborhood of
this part of excavation before it was made).

The field stresses are determined from the virgin

stresses and the remainder of the excavation
stresses.

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CHAPTER 5: EXCAVATION IN ROCK

Consider a flat-lying horizontal region of density ρ
under gravity. Assume that there is no horizontal
displacement anywhere and taking the Z-axis
vertically downwards the components of the body
force are: X=Y=0, Z= – g:

σz = ρgz (23)

with σx & σy functions of z only.

By hypothesis, εx = εy = 0, ∆ = εz, the stress - strain

relations (see eqn (16)), is given as:

σx = σy = λεz, σz = (λ
λ + 2G)εεz (24)

CHAPTER 5: EXCAVATION IN ROCK

It follows that:

σx = σy = [λ
λ/(λ
λ + 2G)]σ
σz = [ν
ν/(1 –ν
ν)]σ
σz = ν/(1 –ν
ν) ρgz (25)

Thus, the horizontal stresses (σ

σx & σy) are:

ν/(1 –ν
ν) × vertical stress (σ
σz = ρgz)
or about 1/3 of σz, if ν ≈ 1/4 or 0.25.

σx = σy = [ν
ν/(1 –ν
ν)]σ
σz

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CHAPTER 5: EXCAVATION IN ROCK

Rock type Elastic modulus, Poisson’s

E (GPa) ratio, ν
Andesite, Basalt 60 0.20
Gabbro, Dolerite 90 0.20
Coal 3 0.42
Dolomite 70 0.15
Gneiss 60 0.24
Granite 60 0.22
Limestone 70 0.30
Quartzite 80 0.17
Sandstone 20 0.15
Shale 12 0.10

Typical values of Poisson’s ratio for various types

of fresh rock [Stacey & Page, 1986]

CHAPTER 5: EXCAVATION IN ROCK

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