MKAJ 1073

ENGINEERING CHAPTER 10
ROCK UNDERGROUND
EXCAVATION IN ROCK
MECHANICS
DR MUHAMMAD IRFAN BIN SHAHRIN
UNDERGROUND EXCAVATION
IN ROCK
Underground excavation in rock include
cavern, tunnel, shaft & drift.

Long-term stability, service life & cost for

construction must be assured.

3
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)
Shaft is vertical opening
to create access
between underground
cavern or mines and
surface
 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.
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 (e).
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.
8
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

9
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.
EXCAVATION IN ROCK
EXCAVATION IN ROCK

Folded strata can also

occur in rock at depth
 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

(sv & sh), as well as remnant stresses.

13
EXCAVATION IN ROCK

Remnant & residual

stresses in rocks
EXCAVATION IN ROCK

Surface landforms &

features (e.g. presence of
major mountain range)
can induce variations in
regional stresses in rock
at depth.
EXCAVATION IN ROCK

Surface landforms &

topography – plain and
flat land at surface
EXCAVATION IN ROCK

Surface landforms &

topography of an area –
mountainous & rugged
landforms
 EXCAVATION IN ROCK
An excavation at depth is subjected to vertical (sv) & horizontal stress (sh).
If the ground surface is plain & the rock is homogeneous & isotropic, sh
on either side of the tunnel can be assumed to be approximately equals.
Ground surface

sv = rgH sv
sv ¹ sh
sh1 = sh2
sh2 sh1

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

Ground surface

sv ¹ sh sv
sh1 > sh2, due to higher overburden
created by the mountain

sh2 sh1

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 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

sh1 ¹ sh2 sv
In fact sh1 can be smaller than sh2

Major fault line

sh2 sh1

20
 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 sh1 < sh2
Ground surface

sv

Major fault line

sh2 sh1

21
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 sy along the
axis of the excavated
tunnel can be taken as
zero, as discussed in the
following topic
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):

• Each component of strain is linear function to stress component;

• Axial stress (s) is proportional to axial strain (e);
• Rock is isotropic, homogeneous & solid (no fracture planes).

For principal stresses & strains proportionality of s & e can be expressed by:

s1 = (l + 2G)e1 + le2 + le3. (1)

s2 = le1 + (l + 2G)e2 + le3. (2)
s3 = le1 + le2 + (l + 2G)e3. (3)

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

Substituting volumetric strain:

D = e1 + e2 + e3 (4)

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

s1 = Dl + 2Ge1, s2 = Dl + 2Ge2, s3 = Dl + 2Ge3 (5)

24
EXCAVATION IN ROCK
Besides l and G, other important constant in 1-D elasticity is
Young’s modulus, E. E = Ds/De, is a constant that relates stress
& strain under uniaxial compression (UCT).

For uniaxial stress, s2 = s3 = 0 & in this case equation (1) to (3) become:
s1 = (l + 2G)e1 + le2 + le3 (6)
0 = le1 + (l + 2G)e2 + le3 (7)
0 = le1 + le2 + (l + 2G)e3 (8)

It follows that:
e2 = e3 = - [l/[2(l + 2G)]e1 (9)
And,
E = s1/e1 = G(3l + 2G)/(l + G) (10)

25
EXCAVATION IN ROCK
In this case s1 is +ve (compression), e1 is +ve (contraction), and e2
& e3, are -ve (expansion).

The ratio of lateral expansion to longitudinal contraction (-e2/e1) is

Poisson’s ratio n, and from (9):
n = l/[2(l + G)] (11)

The bulk modulus of incompressibility, K, is defined as the ratio of

hydrostatic pressure p to volumetric strain D (p/D).
If s1 = s2 = s3 = p, adding the 3 parameters in equation (5), gives:

3p = (3l + 2G)D
K = p/D = l + 2/3G (12)

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

26
EXCAVATION IN ROCK
Relationships between K, G, E, l & n exist, the most important are:

l = En/[(1 + n)(1 - 2n)], G = E/[2(1 + n)] (13)

K = [2(1 + n)G]/[3(1 - 2n)] = E/[3(1 - 2n)] (14)
E = 9KG/(3K + G), l/G = 2n/(1 - 2n) (15)

The assumed s - e 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 sx, sy, sz are acting mutually are:
sx = lD + 2Gex ; sy = lD + 2Gey ; sz = lD + 2Gez (16)

27
EXCAVATION IN ROCK
There are certain restrictions on value of n by the above equations, e.g.
from (15), n < 1/2 & from (13) n > -1. This is known as two constants theory,
i.e. for complete specification of a material, two values of K, G, E, l & n
are needed.

However, certain simplifying assumptions are made which reduce these

parameters to unity or 1. The most important is Poisson’s relations, l = G.
Then, from (13) to (15) we may obtain the following:

l = G ; K = 5G/3 ; E = 5G/2 ; n = 1/4 ( = 0.25) (17)

Simplification of theoretical results has also been shown in

experimental work that many substances exhibit n » 0.25.

28
EXCAVATION IN ROCK
In practice there are cases where linear elasticity is applicable and this
include the following cases:
CASE 1:
Uniaxial stress, s1 ¹ 0, s2 = s3 = 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

e1 = s1/E in the direction of s1 & expansion

e2 = e3 = -ne1 in the other perpendicular directions.

The fractional change in volume is:

D = (1 - 2n)s1/E (18)

Since n < 1/2, there is a decrease in volume if s1>0 and increase if s1<0.
29
EXCAVATION IN ROCK
CASE 2:
Uniaxial strain: e1 ¹ 0, e2 = e3 = 0:
From (1) to (3) & using (15),

s1 = (l + 2G)e1 ; s2 = s3 = le1 [n/(1 - n)]s1 (19)

Assumption is that there is no displacement (or strain)

perpendicular to the s1 - axis, stresses s2 and s3 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.

30
EXCAVATION IN ROCK

CASE 3:
The case where: e1 ¹ 0, e2 = 0, e3 = 0, this is not equal to e2 = e3 = 0
as in Case 2:

Ee1 = (1 - n2)s1 ; s2 = ns1 ; e3 = - [n/(1 - n)]e1 (20)

Zero stress & zero strain in two directions perpendicular to the

s1- axis. This is the case when there is not restrained upon the
development of strain in the other two directions perpendicular
to the s1 – axis.

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EXCAVATION IN ROCK

CASE 4:
It is termed biaxial stress or plane strain plane
strain stress, s1 ¹ 0 and s2 = s3 ¹ 0:
Ee1 = s1 - ns2; Ee2 = s2 - ns1; Ee3 = - n/(s1+s2) (21)

This is a situation where s2 = s3 & e in two direction

perpendicular to s1 is equal

32
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 s1 = s2 = s3, & state of stress at any point at
depth is given by:

s = rgz (22)
r is density of overlaying rocks, g is gravity & z is depth

33
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.

34
EXCAVATION IN ROCK

Consider a flat-lying horizontal region of density r 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:
sz = rgz (23)

with sx & sy functions of z only.

By hypothesis, ex = ey = 0, D = ez, the stress - strain relations

(see eqn (16)), is given as:
sx = sy = lez, sz = (l + 2G)ez (24)

35
EXCAVATION IN ROCK

It follows that:
sx = sy = [l/(l + 2G)]sz = [n /(1 –n )]sz = n /(1 –n ) rgz (25)

Thus, the horizontal stresses (sx & sy) are:

n/(1 –n) ´ vertical stress (sz = rgz) or about 1/3
of sz, if n » 1/4 or 0.25.

sx = sy = [n/(1 –n)]sz

36
EXCAVATION IN ROCK
Rock type Elastic modulus, E Poisson’s ratio,
(GPa) n
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]

37
 Circular opening in solid,
homogeneous & isotropic rock

The following topics discuss the state of stresses in

rock at depth & method used to estimate
construction induced (disturbing) stresses around
a circular opening.

38
 Circular opening in solid,
homogeneous & isotropic rock
A rock mass is in a state of ‘equilibrium’. Any excavation & construction
will disturb the existing state of equilibrium in the rock.

As soon as a circular tunnel is excavated, the rock mass close to

excavation face will react upon being disturbed, forming a layer of
disturbed rock called yield zone.

New sets of stresses will occur in this zone, which are different from the
field stresses. They must be controlled & monitored so to help the rock
mass reaching its 2nd state equilibrium sooner (e.g. by installing
stabilisation methods).

39
YIELD ZONE As soon as tunnel is excavated,
(ZON ALAH) surrounding rock mass will be
disturbed, forming a layer of
CIRCULAR disturbed rock - yield zone. This
TUNNEL the volume of rock need to
monitored & controlled during
construction.
SURROUNDING
ROCK MASS

40
 EXCAVATION IN ROCK

Method of excavation & design of tunnel (shape & size) must be

carefully considered to reduce the disturbance (or thinner yield
zone), & to conserve the inherent strength of the rock mass
(longer stand-up time)

If excavation work induces excessive disturbance, it may lead to

instability & significant loss in the inherent strength of the rock
mass (eventually fail).

41
 EXCAVATION IN ROCK
Initial state of stresses (before excavation) that exists in rock at depth, is influenced by:

- Weight of overlaying strata (overburden stress) may be soils & rocks.

- Geological discontinuities (e.g. fault, joint & bedding planes).

- Physical characteristics of surrounding rock mass (massive, fractured or highly

jointed).

- Strength of rock material (e.g. intact small rock sample tested in lab) & rock mass
(e.g. in situ properties, intact + discontinuities + weathering).

42
 EXCAVATION IN ROCK
In practice approximation of the initial earth stresses is essential in underground
construction:

Initial state of stress in underground at depth is approximated by hydrostatic

stress, laterally restrained & laterally unrestrained.

The 3 states are insufficient to embrace all the possible state of initial stresses (e.g.
over-bridging beds & lateral transmission of stress which partly affect the vertical
stress (rgz)).

In other case, erosion releases part of vertical stress while lateral stress remains
unchanged, or presence of fault zone may result in significant difference between
lateral stresses.
43
 EXCAVATION IN ROCK

Stresses in rock are approximated by concept of superposition of the 3 stress

fields:

- A horizontal force due to orogenetic pressure (e.g. mountain building pressure,

residual stresses in folded strata), often the largest component.

- Vertical force resulting from weight of overburden.

- Hydrostatic pressure equal in all directions.

44
 Circular opening in solid,
homogeneous & isotropic rock

Developed by Mindlin (1939) based on theory of elasticity (circular x-section in

semi-infinite elastic solid subjected to gravity only.

Assumptions – earth’s stress is given by the 3 state of stresses mentioned earlier.

Panek (1942) refined the theory & stated that the zone of stress caused by
introduction of opening is confined to a small area around the opening.

The maximum tensile & compressive stresses occur at the boundary of the
opening, the roof & floor are in tension & the walls are in compression

45
 EXCAVATION IN ROCK

The theory uses simple geometrical shapes in an ideal rock mass. The
result is then used for actual design with appropriate approximations
& assumptions to suit practical conditions.

For a more critical structure (e.g. transport tunnel), data from

instrumentation & monitoring of stresses during & after construction
is essential to check the design input parameters are correct.

Any significant deviation from the data used in the design (e.g. stress
& strain) may require changes in the design or other contingency
plans.
46
EXCAVATION IN ROCK
sv

Tunnel
A tunnel subjected
to field stress sv &
sh. In the yield
zone new stresses
occur, their values
sh
& directions is not
equal to sv & sh

Yield
zone

47
Circular tunnel
subjected to 3-D
stresses sz, sx, sy.
sx & sy are
horizontal stress
(sh) & sz is vertical
stress (sv). Ideal
rock therefore sx =
sy = sh.

48
For a circular tunnel in an ideal rock & geologically undisturbed, it will be being
subjected to in situ or field stress only (eqn (20)):

sx = sy = sh = [n/(1-n)] sz (note: sz = sv)

substitute n for rock » 0.25,

sh = 1/3sv

True only if there is no lateral strain (note that the tunnel wall is free to deform
after excavation).

Poisson’s ratio of rock creates a horizontal stress sh which is 3 times smaller than
vertical stress sv.

49
When tunnel is excavated, field stress will redistribute (change in value & direction) in
an attempt to achieve another state of equilibrium. This gives rise to a new set of
stresses in the yield zone, & termed as sq & sr :

sq : tangential stress acting around the tunnel & tangential to its surface.

sr : radial stress acting around the tunnel & towards its centre.

(Note that along vertical axis, sr is not equal to sv).

The value sq & sr within the yield zone varies, depending on their locations around &
within the yield zone as

50
Excavation of
circular tunnel
subjected to sv =
rgz only, will
induce new set
of stresses, sq &
sr in the yield
zone around the
tunnel

51
The following curves show distribution of sq & sr around a circular tunnel, when
subjected to sv only. However in actual case, the tunnel is subjected to both sv & sh
(hydrostatic state of stress). The effect of sh will be considered later

sq & sr are all expressed in terms of sv (as unit stress), the tunnel is being subjected
to vertical stress only.

sv is compression (+ve).

52
sv

Tunnel

Yield
zone

53
sq & sr around circular 5

tunnel, subjected to
VERTICAL STRESS sv 4

only. r/a s r

From point A and at 3

r/a into the roof.
2

o
From point B and at
q

2
1
r/a into the wall. +1 0 -1
o
o v o v
q

a is radius of tunnel A
1

& r depth into the r

o r

rock, measured form a

B
0
1 2 3 4

tunnel centre. r/a

54
 sv

Along Point A,
distribution of sq &
sr vertically 4
A
upwards into the
s
tunnel roof, and at r/a r

various depths (in 3

terms of ratio r/a)

into the rock.
3
2

o q

2
1
+1 0 -1
o o q
v o v 55
A
 3
2

o q

2
sv
1
Along Point
+1 B, 0 -1
o
distribution ofosv q
q
o v
& sr horizontallyA 1
into the tunnel o r
wall, and
r at
various depths a 0
1 2 4 B
B 3
(r/a ratio) into
the rock. r/a

56
 5

r/a s r

Value of sq & sr
around circular 2
3

tunnel subjected to o q

sv only. 1
2
+1 0 -1
o o q
v o v
A
1
o r
r
a 0
B 1 2 3 4

r/a

57
At tunnel surface or at r/a = 1.0:
at Point A: sr = 0 & sq = - sv (-ve tensile)
at Point B: sr = 0 & sq = 3sv (+ve compression)
At depth r/a > 1, values of sr & sq change
accordingly as shown in the figure.

At depth into the rock mass at point r/a = 4.0:

at Point A: sr = sv (compression) & sq = 0 at Point
B: sr = 0 & sq = sv

58
At point A : when r/a > 4, sr ® sv & sq ® 0 (sq does not exist
anymore & value of sr is approaching the value of field
stress sv).

At a point B : when r/a > 4, sr ® 0 & sq ® sv (sr does not exist

anymore & value sq is approaching the value of sv).

The zone beyond which sq & sr ® sv is area not affected by

the excavation work, i.e. volume of rock outside the yield
zone. In the yield zone value & line of action of sq & sr is
not equal sv .

If value of sq & sr are greater than the strengths of in situ

rock then, rock within the yield zone will starts to deform
& eventually fails. 59
EXCAVATION IN ROCK
sv

Tunnel
Undisturbed rock
lies outside the
yield zone.
In this zone along
vertical axis sr ®
sv & sq ® 0.
Along horizontal
axis sr ® 0 & sq ®
sv
Yield
zone

60
When a circular opening is excavated in an ideal rock, and is
subjected to a stress in one axis only (sv (= rgz)), at r/a = 1 (exactly
at the roof & wall of the tunnel, point A & B) this will induce:

A stress, 3 ´ sv & compressive,

acting at point lies perpendicular to the first axis (i.e. point B).

Another stress, similar value as sv but, tensile, acting at point lies

parallel to the first axis (i.e. point A).

…this is CASE I

See Case I and Case II in the following figures

61
 EXCAVATION IN ROCK

sv

Case I: -sv
when sv ¹ 0 & sh = 0, only sv
is acting on the tunnel
3sv

62
 EXCAVATION IN ROCK

In hydrostatic state of stress, the tunnel is

not only being subjected to sv but also sh.

By similar argument as CASE I, the

following can be deduced if the tunnel is
subjected to sh.

63
 EXCAVATION IN ROCK

3sh

Case II:
when sv = 0 and sh ¹ 0, only
sh is acting on the tunnel sh

-sh

64
EXCAVATION IN ROCK
sv

Tunnel
As the tunnel is
subjected to both sv
& sh, by Law of
Superposition of
Case I & II, gives the
sh following stresses at
Point A & B.

Yield
zone

65
EXCAVATION IN ROCK

-sv + 3[n/(1-n)]sv

3sv - [n/(1-n)]sv

Law of superposition –
case I impose onto case II, &
substituting sh = [n/(1-n)]sv

66
 EXCAVATION IN ROCK

Rocks are not ideal (inhomogeneous, anisotropic

not perfectly elastic) and geological processes may
render rocks to be imperfect materials therefore,
deviation theoretical prediction can be expected.

Stress distribution around an excavation is affected

by many factors, among others include:

67
 EXCAVATION IN ROCK

a) Types of geological structure & discontinuity in rock mass.

b) Types of rock (massive, jointed, stratified, foliated &

laminated).

c) Rock strengths & properties (creep & fatigue).

d) Regional & remnant stress that exists in the rock.

e) Size & shape of opening / excavation (tunnel & cavern).

f) Depth from surface.

68
Stress distribution around
circular-shaped tunnel

69
Stress distribution around
oblong-shaped tunnel

70
Stress distribution around
square-shaped tunnel

71
Design & construction of structure in rock must take into
consideration the factors listed in (a) to (f), so that:

• Process to attain 2nd stage equilibrium & redistribution of

stress following excavation involving very minimal ground
movements.

• Any induced stresses due to excavation (sr & sq) must not
exceed the strength of the in situ rock.

• Equilibrium must be achieved within a short period of time.

• The equilibrium must prevail & be maintained throughout

the project life.

72
If conditions (a – f) are not critical, shape & size of
underground excavation (tunnel & cavern) play an important
role for the stability of rock mass around excavation:

• Stress distribution is fn (W/H) of tunnel. In ideal condition (sh

= 1/3 sv) elliptical tunnel is the best choice with its major axis
in vertical direction.

• For stability preferred shapes are: hexagonal/elliptical;

circular; pentagonal; arched & rectangular

73
 Shape of excavation affects stress distribution &
stability of the excavation.

Consideration on roof span (width), shape of roof

(curved & flat)

(m) (n) (o) (p)

74
• For tunnels of equal cross-section, narrower tunnel (smaller
width) is most stable.

• Closure of a tunnel is 1/µ to its curvature, i.e. closure ­ as

curvature ¯ (or as radius of curvature ­). Thus, a
rectangular tunnel is the least stable due to zero curvature.

• Arch-shaped tunnel to compromise between operational

use & closure control.

• The larger the size the more unstable is the excavation.

Larger excavation intercepts more discontinuities or
weakness planes in rock.

75
Effect of size of
underground openings
with respect to fractures
(e.g. joint) spacing

76
Very often, theoretical prediction (computer simulation) of
the thickness of the yield zone & value of stresses within the
disturbed zone cannot be determined reliably.

Hence, it is necessary to install various types of

instrumentation around the tunnel as part of monitoring
system. This is to check the actual data (e.g. stress, strain &
deformation in rock) against the data used in the design
(predicted data).

77
 Application Simple methods Complex method
Surface movements Optical surveys of Electrical tiltmeter.
monuments, settlement Electrical strain meter.
plates. Vertical extensometer.
Water level device.
Simple strain meter.
Wire extensometer.
Subsurface Settlement points. Inclinometer.
deformations Borros points. Deflectometer.
Rock bolt & rod type MPBX Wire type MPBX
extensometer. Shear- extensometer.
strip indicator. Acoustical emissions.
In situ pressures & Tell tales (pile load tests). Pneumatic & electrical
stresses Open-system piezometers.
piezometers. Strain gauges.
Pressure cells.
Vibrating-wire stress meter.
Residual rock Strain meter on rock Borehole devices.
stresses surfaces. Flat jacks.

78
Typical
instrumentation
for monitoring
stress/strain &
movement around
underground
excavations

79
Rod extensometer
to measure
movement in a
pre-drilled
borehole in rock.

80
 Over-coring (trepanning) to
Talbot cell with embedded
relieve stresses around
strain gauges, to monitor
borehole where a Talbot cell
stress in rock
has been installed
81
 Installation of pressure cells
in concrete to monitor stress Using pressure cells to
monitor loading on rock bolt
& pile performance
82
It has been shown that sr & sq occur at 2 along
perpendicular locations (point A and B). The fact that
these induced stresses occur all around the tunnel, 0 to
3600.
Consider a circular tunnel in an ideal rock material & at
depth z m from the surface:
Assume that the principal stresses are sv & sh, and Pi
(lining pressure) = 0.
If the depth (z) & density (r) of the overlaying rock are
known, sv can be calculated.
If n is known, the horizontal stress can be obtained using
sx = sy = [n/(1-n)]sz

83
 e
e

Borehole
(depth, h)

C
B
r = R +h
A O

R
Tunnel Axis
O C
B

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• As shown due to the excavation of the circular tunnel & presence
of sv, sh & n, in the tunnel walls (i.e. the yield zone), new sets of
stresses will occur namely sr & sq.

• The presence of sr & sq occasionally gives rise to shear stress trq.

This depends on the magnitude of sr & sq.

• At depth in the tunnel walls, empirical equations are available for

estimation purpose (e.g. at detailed design stage).

• The ‘actual stress’ in the tunnel walls can only bemeasured using
instrumentation (e.g. Talbot’s cells, instrumented bolt), however this
is only possible during tunneling work, i.e. availability of access to
install the instrumentation.

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For the stresses sr (radial), sq (tangential) & trq (shear) at depth in the
tunnel walls, the following equations are applicable with assumptions:

Tangential stress:
sq = 1/2 (sv + sh) (1 + R2/r2) – 1/2 (sv - sh) (1 + 3R4/r4) cos2q

Radial stress:
sr = 1/2 (sv + sh) (1-R2/r2) + 1/2 (sv - sh) (1- 4R2/r2 + 3R4/r4) cos2q

The shear stress:

trq = - 1/2(sv - sh) (1+ 4R2/r2 - 3R4/r4) sin2q

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 sv

Circular tunnel
q sH with borehole
And subjected to
Pi R principle stress

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 sq
sr
sr e
e
sq sq sr
sq
sq r
sq
sr q sq
(90o -q)
sq sr
a

Cross-section A-A
(tunnel) Cross-section B-B (tunnel)

sq = sv

Cross-section e-e (borehole)

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THANK YOU

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