Support of Underground Excavations in Hard Rock fl A.A, BALKEMA/ROTTERDAM/BROOKFIELD/2000ie Fort pine 200, Ain myn cee ieee ‘FUSS a0 prc ps USO 0 pray ld dial Copy Care ‘Ces 32 Ranonrd Dine, Dunes MA 082, USA Fer he Spiaons ht Soh ea et ara be Tense png Ser fo Ex Buen ox 15 20008 onan, Nees Eipdinenilomai ‘A, Baloma Pb, OP Rod, rok, VTOSON6S7, USA Rocaoaio sy Boma nooratptecon ISBN 905410186 Sound atin ISBN SHI 173 aden parredton 1 2000 A.A. Rae, Rauertr na he ated ‘Table of contents Foreword Preface 1 Anoverview ofrock support design 1. Ttreduction 12 Stages in mine development 1.21 Exploration and peliminary design 122 Minedesign 1.23 Katty years of mining 124 Later years of mining 1.3 Supportdesign 2 Assessing acceptable rsksin design 1 Intretution 222 Factorafafety 233 Sensi studies 244 The aplication of probability to design 255 Probably ofalre 26 Problems to which probability cannot be applied 3 Evaluation of engineering geological data 31 Inteoduction 532 Engineering geological dats collection 33 Simetaal geological terms 344 Srtural geological data collection 35 Structural geological data presentation 3.6 Geological daa analysis 4 Rock mass ca 41 Introditon 42. Engineering rock mass clasification 42.1 Terzaghi's rock mass lassiication ‘42.2 Classifications involving stand time 4233 Rock quality designation index (ROD) 44.24 Rockstructue ang (SR) 43 Geomechanics clasifeation ‘4 Modifications to RMR fr mining 45 Rock tanneling quality index, 0 46 Using rock mas clssifestion systems 43 Estimation of ins deformation modslus 5 Shear strength of discontinuities 532 Shoarstength of planar surfaces 53 Shearsrength of rough sufces 531 Fekdestimates of JRC xt 10 10 15 18 20 20 20 2 2 2B 4 n n n 2 2» a 3 ” 3” 4s 8 a ° SI32 Feldestimaws of CS 5.33 Inlucnos of ale on JRCand JCS 54 Shear strength led discontinuities 55 Influence of water pressure 56 Instantaneous cobesion and fiction 6 Analysis of structurally controlled instability GI Ineduction 652 Ldentcation of potential wedges 63 Suppor to control wedge flare 6:31 Rockbotng wedges 6.32 Shoteree suppor for wedges 64 Consideration of excavation sequence {65 Application of probability theory 7 msi and induced stresses TA Intduction 72 Insitustesses TL The World Stress Map 2.2 Developing ase measuring programme 13 Analysis of induced suesos, 73.1” Numerical method of stress analysis “Two dimensional and thre dimensional models 7333 Stress analysis using the programa PHASES 8 Strength of rock and rock masses 81 Induction 82 Definition ofthe problem 83 Strength ofintactrock 8.4 Thossrenth of jointed rock masses 85 Use of rock masscasifcations for estimating GSI 8.5 When touse the Hoek-Brown file citron 9 Support design for overstressed rock 91 Inreduction 922 Suppor interaction analysis 9.21 Definion of failure erterion 9222 Amaysisof wane behaviour 923 Deformation ofan unsupported tannct 9.24 Deformation characterises of suppor. 9.25 Bstimates of supporteapacity 9.26 Suppor interaction example 93 The PHASES program 9.3.1 Suppor ineraction analysis using PHASES 10 Progresive spalling in massive brittle rock 10.1 Tawoduetion 10.2 Examples of spalling in underground excavations 10.3 The ABCL Underground Resesreh Laboratory 103.1 Insitusresses at 420 evel. 1032 Propeies of ac du Bonnet granite 1033 URL Rooms 413 and 405 103 URL Test tunel 2 8 & 0 3 st 6 6 6 6 a 2 B 0 u 4 u 4 iS » 2 m7 8 9 39 101 Jo 102 108 106 07 107 104 Example fom Teniate Mine, Chile 105 South Afiean experience 104 Implications fr support design 1066.1 Rocktoling, 1062 Stoterete 10633 Discussion “Typical support applications 111 Ingestion 112 ‘Safe soppat systems 13 Peomanet mining ecsratons 114 Dpoints and reps 115 Smal openings in locky vosk 116 Stal openings in evi joined rock 117 Pesempar opens an sop sopprt 1172 Previnfocemeate permanent openings 1173 Reiaecementof oxen sopes 12 Rockbolts and dowels 121 Ineoduction 122 Reckbots 122.1 Mechanically anchored rockbolts 1222 Resinanchoredrockbols, 123 Dowels 123.1 Gromeddowels 123.2 Friction dowels r ‘Split Set stabilisers 1233 "Sweex dowels 124 Lowi-deformation characteristics 13 Cablebote reinforcement 1B. Tnragution 132 Cablebltandware 13 Cablebolt bond szength BA Grous and grouting 1BS Cablbot instalation 1366 Mosiedcabebots 14 The Stability Graph method HLL Introduction 14.2 The Stability Graph method 1421 Thestabily number, N’ 14.2.2 The shape facto, 1423 Thestailty graph 143 Cablebole design 1144 Discussion ofthe method 145 Worked subiity graph example 145.1 Structural geology 1452 Q'elesifcation 14533 Preliminary stope design 15 Shoterete support 15.1 Invodseton 9 120 134 it Ds 2s 2 17 1 rt 1a 136 rc 1a ir M6 re 152 152 32 152 156 158 158 160 Is! 16s 165, 165, 167 168, m1 14 176 176 176, 15, 180 180 at 12 182 1a 183 188 190 190 Table of cones VILVI Table ofcomons 15.2 Short technology 1S21 Dey mixshoterete 15.2.2 Wet mix shorrete 15.2.3 Steel fibre reinforced microsilcashotcrete 15.2.6 Meshrelnforced shoterte 15.3 Shoterte application 154 Design of soterete suppor References Software Information Author index Subject index Foreword Support of underground excavations ix hard rock isthe west com plete and up-to-date mana for use inthe design of excavations snd Eupportmestianisms fr underground mines. "This srk resulted from clove collaboration bexwen industry and university inthe feds of pre compaitve researc. ‘The mining in- {dustry provided funding and advisory suppor through the recently formed Mining Research Directorate (MRD). The Universities of ‘Toronto, Laurentian and Queen’, under te direction of Professors Hoek, Kaiser and Bawden, provided the stimulus and facility for car ‘ying out the tasks, These professors Were ssited by some 40 engi- eer and graduate stdents who researched knowledge sources snd experience world-wide "Tho final product includes three computer programs: DIPS, LUNWEDGE and PHASES. These programs were funded jointly by the mining industry, through the MRD, and by the Universities Re search incentive Fond, “This Canadian book and the associated programs should prove to bbe an invaluable contibution to the (raining of mining engineers and ‘echnologss at universities and colleges throughout the wodd, and should prove extremely usefl to undorpround mining practitioners, ‘everywhere. ‘The overall focus is directed towards more productive Safer and eavironmenally sound mining operations. “The book Support of underground excavations in hard rock westi- fies to the willingness of Canadian industies and universities tocol Iaborste in the field of pro-competitive research and leaming, 10 joinly pursue excellence, and to work together towards the economic {and social beterment of Ou society. ute, Cotr*— Dr, Walter Curlok Inco Limited May 18,1993,Preface ‘This volume isthe produc of four yeas of research cari out under the direeton of Profesor Evert Hock of the Department of Civil Faginering atthe Univesity of Toronto, Professor Peter K. Ksser of tie Geomeshanies Research Cente a Laurentian University and Professor William F. Bawden ofthe Departzont of Mining Engine ing at Queen's University Punding wus co-ordinated by the Mining Research Directorate and was provided by Belmoral Mines Limited, Cominco Limited, Denison Mines Limited, Falconbridge Limited, Hudsoa Bay Mining and Smelting Co, Lid, Taco Limited, Lac Minerals Limited, Min nova Ine, Noranda Inc, Placer-Dome Ine, Rio Algom Limited and {he Teck Corporation. Funding was alzo provided by the University Research Incentive Fund, administered by the Ministry of Colleges and Universities of Ontario, “The results ofthis research ae summarised in this book. The pro: sams DIPS, UNWEDGE and PHASES, used in his book, were deve: ‘oped dating the project and are available from the Rock Enginering ‘Group ofthe University of Toronto! "Many individuals have contbuted tothe preparation ofthe book andthe associated programs; it would be impossible ro name them Sil Tc advice aud cocouuagetent provided by the Technical Ad. ‘sory Committee on the project and by Mr Charles Graham, Man aging Director of MRD, are warmly scknowledged. The asstance provided by the many engineers and miners atthe vavious field sts, fn which research was carted out, was grealy appreciated. The Imajor contibutions made by research engineers and graduate st dents who were supported by this project are acknowledged. Special thanks are duc o Dr Jean Hutchinson, who assisted with the wing ofthis volume and te program manuals, 19 Dr José Carvalho, Mr “Mark Diederchs, Mr Brest Corkum and Dr Bin Li who were te sponsible for most ofthe program development and to Mrs Theo Hock who compiled the list of references and proot-ead the final smanuseript 'A draft ofthe book was sent io @ number of reviewers around the world, Amost all of them responded, contributing very constructive ‘rics and suggestions. As a result ofthis review proces, several chapters were re-wren and one new chapter was added. While it ‘would not be practical to list al of these reviewors individually, the authors wish bexpeess thei incre thanks to all those who took so ‘auch trouble to review the draft nd whose conebutions have aed {0 the valve ofthe book “The authors anticipate that sme of the subject matter contained in this book will be superseded quite quickly as the technology of| An ones fom fe th progres ined tthe bck of tis book xtXM Preface underground support continues (0 develop. Readers ae encouraged to send comments or suggestions which ean bo incorporated into fi ture etions ofthe book. These contributions can be Sen (0 ny one bf the authors atthe addresses sted below DrBver Hock ‘West Broadway Professional Cente 412-2150 West Broadway ‘Vancouver, Bish Columbia, V6K 4L9 Canada Profesor Peter Kaiser Geomechanics Research Centre Laurentian University Fraser Building F217 Ramsey Lake Road Suabury, Ontario P3E 2C6 Canade Profesior W.F, Bawden Department of Mining Engineering Goodwin Hal Qusen's University Kingston, Ontario K7L 3N6 Canads 1 An overview of rock support design LLL Introduction “The potential for instability in the rock surrounding underground mine openings isan ever-present threat o both the safety of men hd auipment in the mine. In addition, because of dilution of the ore due to rook falls, the profitability ofthe mining operation may be reduced If failures ae allowed to develop inthe rock surounding stope. In ‘order to counteract these threats, i is necessary tO understand the ‘causes ofthe instability and to design measures which will eliminate ‘orminimise any problems. Its important to rezogise that there are to seals involved in the creation of potential instability problems. The frst scala, which may be termed the mine scale, is one involving the entire orebody, the mine iniastrucure and the surounding rock mass, The second or local stale i limited tothe rock in the vicinity of the underground ‘openings, These to seles ar istratd in Figure 1. "The composition and nature of the orebody apd the surounding host rock, the insta stresses and the geometry and excavation se quence ofthe sopes all have aa influence upon the oveal stability St the mine, Mining stopes in the incoeost sequence, leaving piles of inadequate size between stopes, incorrectly locating shafts and ‘repases, in areas which are kely (0 be subjected to mar sess Changes, teal problems whic have to be dealt with by considering the overall geomtiry ofthe mine ‘On the other hand, the stability of the rock surrounding a single stope, 2 shat station or a haulage depends on stress and structural ‘ondtons inthe rack mass within a few ens of mets ofthe open- ing boundary. The local suesses are influenced by the mine seale onctions, but local instability willbe contoled by local changes in stress, by the presence structural features and by the amount of dam age t0 the rock mass caused by blasting. In general tis the local ‘Scale which i of primary concer inthe design of support, 1.2 Stages in mine development ‘Table 11 gives a summary of the diffen stages of mine develop sent, Different amounts of Information are available at each stage and this influences the approach to support design which can be used foreach stage. Each of hase stages is eviewed briefly in the follow~ ing discussion. The reader should not be concemed if some of the texms or concep included inthis brief review ate unfamiliar. These Will be discussed in dtl ia ater chapters oF this volume tis also worth pointing out that the term “suppor is used to cover all types of rockbolis, dowels, cables, mesh, saps, shoerete fnd steel sets used to minimise instability in the rok around the tine openings. In more detailed discussions in lator chapters, rmsAn overview of rock support design 3 2 Support of underground excavations in hardrock such a active suppot, passive support and seinforeement wil be troduced to differentiate between the ways in which each of these ' suppart types works. 1.24 Exploration and preliminary desten The amount of information, which is availble during the exploration sand preliminary design stages of a eine, is usually limited to that Obtained from regional geology maps, geophysical ste, surface i ‘mapping and exploration boreholes. Exploration diling programmes generally donot include pouision for obtaining geotechnical infor ati and hence the information available fom the boreholes may be limited to rock types and ore grades. Consequently, itis only possible to constuct a very emide rock mass elassifiction upon Which preliminary estimates of rock support requirements can be based. Tis is generally not « major problem at tis stage since the mine owner oaly needs to make a rough estimate of potential support ‘More detailea estimates normally require the ding ofa fw jo Aiciously positioned borsholes and having geotechnical technician fl ‘aefully log the core. The information obtained from such an inves. tigation is used to construct arock mass classification and, posi to provie input for very simple numerical analyses. Iecan also pr vide a sound bass for planing more detailed sit investigations for 1 the nex stage of the mine development. 1.22 Mine design (Once it has been conchadd tha the ore deposit can be mined prof itably ad an overall mining suategy has been developed. the project ‘can move into the next stage which usually involves sinking an ex- : Ploration shaft or ifthe orebody is shallow, a ramp end exploration is These provide underground accesso the ore body andthe sue rounding rock mass and also permit mach more detailed geotechical cvaltion than was posible durin the exploration sage Siructurel mapping of the features exposed in te exploration ‘openings, laoratry testing of core samples obained from under round dling and measurement of in situ sreseeaze the types of sctivtes which shouldbe included inthe geotechnical programme ‘sociated with this stage. Observations of the rock mass file can be used to estimate rock mass properties and in sity steses. These activities also provide information forthe construction of rock mass Classifications and for numerial models, which can be used forthe ‘preliminary analysis of instability around Wypeal mine openings, Stuis cared out during the mine design stage can also be used ‘o estimate the support requirements for permanent openings such as \ shat stations, refuge stations, underground ersher chambers, rps and haulages, These designs tend to be more conservative than those for the suppert in normal mine openings, since safety of men and ‘equipment is prime consideration in these permanent openings. ‘An important activity a this stage ofthe mine development pro sramme is the layout of stopes and the choice of stope dimensions 4nd stoping sequence. The vole of support and of backfling the4 Support of underground excavations in hard rook “Table. Surmary of information stat Deepen sige ttemmoene es eaves ioe Lanse mine ns sn apostate of ppt a vc a ie develope Tatra vlbie Design appro ‘can and are of der ands Use sk accion abi Aimenaryintension se hoteck em Samira sepa ences ‘otra dig duce map, ‘Steg and ins svesscoctian fom Sn mene eso denen Imogen geasvemeascarouin pt fr ean ena te ‘raion sand sae Ste ol peso pes Dene iformaon nck mas sins- Refine of sia sng bor ‘ceandstergn st cumsgn onthe tanec met tt peg tenons ferme of seed soppr syeme Sut cesol of sper alton Expence om may sear of rfienett Fea of apart me see sfereaton andsipart isles ad, eres ih osc he ste eps. seraascdiserat aed” heiress hoe stopes have to be evaluate, In entry stopes, such as cut and fill slopes, the support is required for both safety and dilution cf Toe pinay function of suppor is so-enty stopes is forte cool 123. Barly years of mining Daring they yeu of ming: icant ano of vl voted to excvating and stabisng the pxmaneat mine open ings suck as shat shaft stations, hangs, rape rpases ule. ground cruier chambers, underground gage, cecal ssa tons and refuge staions. "These excavations ae foqued to prove Safe ace fr theif ofthe mine oor sigifcant pat of ie nd hence, ahigh degre of security i required. The design of ese ceva sata in many ways tothe design of el ng ing tunnels and cavern and high dens of support may be e ued in ere to reduce potato AN abslue in ‘run. What separates the sopport of mining opening fom the Soppor of simlar evil engineering sutures fhe fet in openings may have to survive Inge defrmatons as a rs of hanging sess conditions indiced by progressive mining. The up. port has to remain effective tn gradual degrading rok, tnt may Fava sain dic sign ofthis support equies ily detailed knowlege of the rock map seuctue and the inst sess condong, These are erally bined fom the sete stile asocated with che Mine design sage docssed exer. Namerel mots can be used state the extent of potential insabiyinthe rock suvouning, Derneat mine openings and to exign typical sapport system Conuol is Tosubity. In general the design of sport for tee Permanent openings eds to be coeservative tha th esgner i feoeraly ern the sie of specifying moe ater than es suppor, 1 ake care of unforeseen condins, Retablstion of perma ‘openings can spt mine operation and ean be aie and er pensive, Conseqenty, the at to do the job once and no ave Worry about again. Special methods of onion te ook ass An overview of rock support design response may be justified for back analysis studies imed at improv {ng the understanding ofthe support performance ‘At this stage ofthe development ofthe mie, the stopes wil gen erally be relatively small and isolated and it should be posible to ‘ainain safety and minimise dtuion with a modest artountof sup port. However, itis important hat stress changes, whic will be asso lated with later mining stages, be anticipated and provision made for dealing vith chem. This may mean that support hes tobe placed in areas which appear to be perfectly stable in onder to preserve the stably ofthe rock uring ister mining ‘A good example ofthis type of pre-placed support can be found inthe reinforcement of arawpoins. When these ate mined, before the Stope above them has been blasted, they are generally in stable rock ‘hich doesnot requir suppent. However, when the overying topes ae blasted and the drawpoins come ito operation, Ihe sess ‘ange, due co the creation of a large new excavation and the dy amie fores resulting from the movemeat of the broken ore, can fesult in serious oversessing of the rock surounding the drawpoint, ‘Where these changes have Been anticipated and tht rook ras has been reinforced the stably of the dawpoints can be maintained fr the life of the siope to which they provide acess. Typically, unten- Sed grouted wire rope, installed during excavation of the wough drive and the drawpoints, provides excllet reinforcement for these ‘conditions. Wire rope i recommended in place of sel rebar becase its greater resistance to damage due to impact fom large rocks. This stage of mining lso provides an opportunity to sort oUt some of the practical problems associated with suppor installation, For example, the watercoment ratio of the grout used for growing tables in place isan important factor in determining the capacity of this type of suppor. Pumping a Tow wale-cemeat ratio rout Fe quires both the correct equipment and a well-trained crew. Invest ‘ent of the ime and effort required to sor out equipment problems snd to tai the erews willbe amply rewarded at ltr stages inthe ‘mine development. 1.24 Later year of mining ‘When an underground mine reaches maturity and the activites move towards the mining of stopes of significant size and the recovery of pillars, the problems of suppore design tend to become severe. The ‘mine engincer is now requiea to use all of the experience, gained in the early troublefee years of mining, to design support systems ‘which will continue wo provide safe acces and wo minimise dilaton Depending upon the nature and the scale ofthe potential instil. ity problems encountered the support may be similar to that used catliet, oc new and innovative support designs may be implemented, tis generally at this time thatthe use of the most sophisticated sup ort design techniques is justified [At this stage of mining & good geotechnical database should be available. This may inelade the results of observations and measure ‘ments of excavation deformation, rock mass fall, suppor per- formance and in sty stress changes. An analysis of these measure ‘ments and observations can provide a sound basis for estimating the sAn overview of rock support design 7 6 Suppor of underground excavation in hardrock 7 Cao rsa = fms to sablse the openings oe 13. Support design Wiie the amount of information available at various stages of mine Es design, development and production varies, the basic steps involved saan sod icon of pal iar noo in he design of suppor: remain unchanged. The lack of information = “ | atthe early stages of mine design and development means tha sme ‘ofthe steps inthis design process may have 1o be skipped or be _ based upon rough estimates ofthe sruetiral geology in sits stresses, ‘Sees ce pry ain rock mass stength and othe information, “Seas ota avi = a The basic steps involved inthe design of suppor for underground oes es l I | hhard rock mines are summarised in Figure 1,2, Tino a | | raisin ofFnsmealy posible] [Decision feds earmark “Asigamatofsbeararengiio px] [”Asiganet oie mss ropes Ghana of tayo Taf ie of everze res [ Eegpaamwotsmeeio | | [Topierine l | | | ‘ration of he lina ang nd elu on ppOR (sole reat coneed as oat) pasando evens eden inane sapere qui coml penne ek | Rog, corn ening sod rong na oectve ocean el I freon where ego. ‘ong of rcovaion od app bhavioor vase doign adopt | nota ue Ses ‘awe 12: Sep imei in spp ign fr uerund excavations Ma2 Assessing acceptable risks in design 2a Introduction How does one assess the aceptaility of an engineering design? Relying on judgement alone can lad 9 one ofthe two extremes i Tstted in Figure 2.1. The first ease is economically unacceptable while the example lustated in the lower drawing violates all normal safety standard Soon as ros on retin pishd by he Department of Meso We fre Aas) Assessing acceptable risks in design 22 Factor of safety “The classical approach used in designing engineering structures i to consider the relationship between the espacty C (strength or resist: fing force) ofthe element and the demand D (arese or distrbing fore). The Factor of Safety ofthe structure is defined as F = CID and failure it assumed to oceur when Fis es tha 1 Consider the case of apaten of rockblts which are designed to hold up slab of rock inthe back ofan excavation, Figure 2.2 shows 4 slab of thickness being supported by one rockbolt in a parm Spaced on aged spacing of S'S. Assuming thatthe unit weight of {he broken rock is'y =2.7 tonnes, the thickness ofthe slab =I m land that grid spacing $= 15m, the weight ofthe block being carried by the bolt, is given by W= y4S?= 61 tonnes. The demand D on the rockiolt is equal to the weight W ofthe block and, if the Erengih or capacity ofthe bol i C= 8 tonnes the factor of eafety F=siG1=13, ‘The value ofthe factor of safe, whichis considered acceptable fora desig, is usally established from previous experience of se cessful designs. A facor of safety of 1.3 would generally be consi ered adequate fora temporary mie opening while a valto of 1.510 2.0 may he required fora “permanent” excavation suchas an under- ‘round crusher station. sto squcedon aged SxS tein ppc ty a okt in preSuppor of underground excavations in hardrock 23 Se ivity studies Rather than base an engineering design decision ona single calcu fated factor of safety an alemaive approach, which is frequently tse to give a more rational assessient ofthe risks associates with & paricutar design, i 0 cay outa sensitivity study. This involves & Eerie of calculations, in which each significant parameter is varied ‘Sjstcmatically over ite maximim credible range, in order to deter tin ts infvence upon the factor of suet. In the very simple example discussed in the previous section, the rockbolt designer may consider thatthe thickness rof the slab could ‘vary from 0:7 13 mand tha the strength ofthe rockbols could lie bemvecn 7 and 9 tonnes, Hence, keeping all otber parameters con Sant tho fatorof sly wil vary fem 172.7 181.5) = 0.88 0 maximum of 9/(2.7 x0.1 x 159) = 2.12 "The minimum factor of saery of O88 is certainly unacoeptat and the designer would then have to decide what to do next. I it was felt tha significant numberof bolts could be overiaded, common Sense would normally dictate thatthe average factor of safety of 1.3 ‘Should be increased fo say 1.5 by decreasing the bolt spacing from 15 to 14m. This would give a minimum factor of safety of 02 and 2 maximum of 243 forthe assumed conditions. 24 The application of probability to design “The very simple sensivity study discussed above isthe ype of ca ‘alan witch is caed Out rvkinly on tes around te Word a fn ongoing mining operation the number of rockbol failures woul soon indicate whether the average design was acceptable ot whether modifications were required Tt wil be evident tothe reader that his design process involves a considerable amount of judgement based upon experience built up from careful observations of actual performance. When no such ex perience is avalable Because the design Is for anew area or fora ow mine, what tools ae avaiable to assist the designer in make tngincering decisions? While the use of probability thory does sot provide all the answers which the designer may seek, it does fer & Ieans for assessing ik na rational manner, even when the amou3t (of data available very lite, "A complete diseussion.on probability theory exceeds the scope of this book andthe techniques discussed on the following pages ae intended to introduce the reader tothe subject and o give an indice tion ofthe power of these techniques in engineering decision mak ing. A more detailed treatment ofthis subject wil be found in book by Harr (1987 ented "Reibility-based design in civil engineer ing’ A paper on geotechical applications of probability theory em- {ied “Evalatng calculated skin geotechnical engincering' was published by Whitman (1984) an is recommended reading for any ‘ae with 2 frius interest inthis subject. Pine (1992), Tyler eta. G01, Hitzor and Goodman (1992) and Carter (1992) have pub- Fished! papers onthe application of probability theory to the analyis of problems encountered in underground mining and civil engineer ing ‘Assessing acceptable risks indesign 11 Most geotechnical engineers regard the subject of probability the- ‘ory with doubt and suspicion. Atleast pat of the reason for this mistrust s associated with the language Which has been adopted by those who specialise inthe field of probability theory and risk as- ‘sessment The following definitions are given in an attempt to dispel some ofthe mystery which tends to suround this subject. ‘Random variables: Parameters such es the angle of friction of rock joi, the uniaxial compressive svength of rock specimens, the in- lination and orientation of discomtinsties im a sock mass and the ‘measured in sta suesses in te rock surrounding an opening do not have a single fxed value, but may assume any number of valucs, ‘There is no way of predicting exact what the vale of one of these parameters willbe a any given location, Hence these parameters are Sescrted a random variables. Probabiiy distribution: A probsbility density function (PDF) de- seribes the relative likelihood that a random variable wil assume a particular valu. A typical probablty density funtion is illustrated ‘opposite. In his case the random variable is continvously distributed (Gey itean take on all posible values). The area unde the PDFs slays unity, ‘An alterative way of presenting the same information is inthe form of a curative distibuion function (CDF) which gives the probability thatthe variable will have a valueless than of equal to the selected value. The CDF is the lateral of the corresponding probability density function, ie, the ornate atx, onthe cumulative Slsetbutin, (sme area under tie probably density function tothe Tett of 2 Note the fs) is used forte ordinate of « PDF while 3) is used fora CDF, One ofthe most common graphical representations ofa probabil ity dstibuton ie a histogram in which the fraction of all observa- ‘ons, falling within a specified interval, is plotted aes bar above tht iterval Data analysis: For many applications i is not necessary to use all of the information contained in a dstbution function. Quantities, sum- rmarsed only by the dominant fetuses of the disubution, may be doquate, “The sample mean or expected value or frst moment indicates the cenite of gravity of a probability distribution. Atypical application Would be the analysis af est of results x,y, from uniaxial Strength ests cared oat nthe laboratory. Assuming tha there ae individ test vals the man ¥ is given By i. 18 an 1 snp sree oe cond moneda he mano a distribution is defined asthe mean ofthe square ofthe diference between the value of sand the mean value ©. Hence robha oy @2) 1) Fy) ol Cama erie feton eon12 Support of underground excavations in hard rock [Note that, theoretically, the denominator for escalation of variance ff samples should be m,not (re). However, fora finite number of ‘Samples, it can be shown that the coection factor n(n), known a8 ‘Bessel correction, gives a better estimate. For practical purposes the ‘correction is oly neceseary when the sample size is es han 30. The standard deviations i given by the posiive square root of the variances, In te case ofthe commonly used normal distibu- tion about 685 ofthe test values wl all within an interval defined by the mean one standard deviation while approximately 95% of all the fst results wil fll within the range defined by the mean foro standard deviations. A sll standard deviation wil indicate & figily cussed dataset. while a large standard deviation willbe Found for data set in which thee is a large sate about he mean, "The coeficient of varlaion (COV) is the ratio ofthe standard deviation to he mean, Le, COV ~ al. COV is dimensionless and i {st paticulrly useful measure of unceainty. A small uncertainty ‘woul typically be represented by a COV = 0.05 while considerable Uncertainty would be indicated by a COV = 025. [Normal distribution: The normal or Gaussian distebatin isthe most oman type of probability distibtion function and the distribu: tions of many random varsbles conform tO this distibuion. Is generally used for probabilistic studies in geotechnical engineering Enless there are good reason for selecting a different distribution, Typically, variables which arise a a sum ofa numberof random ef- fess, none of which dominate the toa, are normally distibuted. "The problem of defining a sormal distbution isto estimate the values ofthe govering perameters whlch are te rue teu (3) and true standard deviation (6)- Generally, the best estimates for these ‘values are given by the sample mean and standard deviation, deter Jnined from a numberof tests or observations. Hence, [rom equation: 2itand 22: ae 03) o=s es tis important to recognise that equations 23 and 2.4 give the mos: probable values of Land @ and not necessarily te tru vals. ‘Obviously, itis desirable to include as many samples as possible in any set of observations, However, in geotechnical engineering, there are setious practical and financial limitations to the amount 0 {ata hich can be collected. Consequently, its offen necesary to ‘make estimates on the basis of judgement, experience or from com: parsons with results published by eters. These difficulties are often Used as an excuse for not using probabilistic tools but, 28 willbe ‘Showa later inthis chapter, useful results can sil be obtained from vey Timid dra ‘Having estimate the mean and standard deviation o, the prob ability density function fora normal distibution is defined by: £08) es, Assessing acceptable risks indesign forww SxS ‘As will be sen later this range fom = to 4 can cause problems ‘een a normal distibuton is used a8 a basis for a Momte Carlo “analysis in which the enie range of values is randomly sampled “This can give rise to afew very smal (Sometimes negative) and very Jarge aubers which, in some cases, can cause numerical instability In order to overeore this problem, the normal distribution is some- tines truncated so that only values falling within a specified range tue considered valid " =e ‘The cumulative distribution funtion (CDF) ofa normal distibu- tion must be found by aumerzal integration since there is no closed form solution. Other dsvbutions: Inston to the commonly used normal dst bution, there are a number of alternative distbutions which ae used in probability analyses. Some ofthe most wsefal are: 1 Bata distibuions (act, 1987) are very versatile distributions, which ean be uzel to replace almost any of the common disibue tions end which do not suffer from the extreme value problems discussed above, because the domain (ange) is bounded by specified values. + Exponential! distributions are sometimes used to define events such a the orcurence of earthquakes orrockbursts or quantities ‘Such athe length of joins ina rock mass. + Lognormal distributions are useful when considering processes sch a the crushing of agregats in which the final pare size fouls from a number of seliions of pariler of many saz, ‘moving in diferent directions. with diferent velocities. Such Inulilitive mechanism tend to result ia variables which ae Iognormally distributed as opposed to the normally distbued ‘aiables resulting fom addtve mechanisms. 4+ Weibuldistbtions are used to represent the lifetime of devices in eliablty stdies or the outcome of tests, such a point load testson rock coe, in which afew very high values may occur 1 is no longer necessary forthe person stating out in the field of probability theocy to Know and understand the mathematics involved In all ofthese probability distibutions. Today, commercially aai- thle software programs can be wed o camry out many ofthe compu- lutions automatically. Note thatthe authors are not advocating the blind use of “black-box” software and the reader should exercise ex- treme caution in using such software without trying to understand tactly what the software is doing. However, there is no point in ‘writing reports by hand i one is prepare to spend the time Facing how to use a good word-processar comeetly and the same applies to ‘mathematical software ‘One of the most useful sofware packages for probability analysis isa program called Best Iehas a builtin library of 18 probability istrbtions and it can be used to it any one ofthese dstbutions to "Heat for Windows aed conpnion grog ORISK. for Mion Excl Lats 2 Gor Windows or Nacsa ava fom he Palate Caron 31 Dates Roos Refit, New Yor ae, USA. Fox sme B14 Support of wxdergrowud excavations in hard rock given st of data, Alternatively it canbe allowed astomatically to Getermine the ranking ofthe i of al 18 dstrsbutions tothe dataset. ‘The results from such an analysis can be entered directly into a com anion program called @RISK which can be used for risk evalustions tsing the techniques desribed below. Sampling techniques: Consider the case of the rockbolt holding up a oot slab ilustated in Figure 2.2. Assuming thet the rockbolt spac Jing is fixed, the slab thickness # and the ockbolt capacity C ean be regarded as random variables. Assuming Dat the values of these Vatiables are distnuied about her means in a manner which can be “eserbed by one ofthe continuous disiibiion functions, such as the formal distribution deserbed eave, the problem is how to use this Tnformation to determine the distribution of factor of safety values, “The Monte Carlo method wses random or pseudo-random mim bers to sample from probability distibaions an, if sufiientl large funbers of samples ate generated and used in acalulation, such 2s that for fctr of safety, a distribution of values fr the end: product ‘ll be generated The frm ‘Monte Caro’ is believed to have been Introdnced as a code word to describe this hitand-miss sampling technique uted during Work on the development ofthe atomic bomb during World War Il Hare, 1987). Today Monte Carlo techniques tan be epplied to a wide vacety of problems involving random be haviour and a numberof algorithms sve available for generating ran om Monte Carlo samples from different types of input probability Cistibations. With highly optimised sofware programs such at ‘risk, probiems involving relatively large samples ean be run ef ‘Gently én most desktop or porable computers. ‘The Latin Hypercube sampling technique is a relatively rece: evelopment, hich gives comparable results to the Monte Carle technique, but with fewer samples (Imam eta, 1980, Statzman and ‘Watesbergee, 1985). The method is bused upon stratified sampling ‘wih random selection within each stratum. Typically, an analysis Using 1000 samples obtained by the Latin Hypercube technique will produce comparable results to an analysis using S000 samples ob fsined using the Monte Cazlo method, Tis technique is incorporated into the program @RIsK ‘Note that both the Monte Carlo and the Latin Hypercube tech niques require tha the distribution of all the input variables shoulé ither be known or that they be assumed. When no information on the distibation i avaiable, i usual to assume @ normal ofa tune ‘ated normal distibuon. “The Generalised Point Estimate Method, exginally developed by Rosenbluth (1981) and dicuseed in derail by Harr (1987), can be tsed for pid calculation of the mean and stndard deviation of + quantity, such asa factor of safety, which depends upon random be- Faviouof input variables. Hoek (1989) discused the application of this technique tothe analysis of surface erown pillar stability while Pine (1992) and Nguyen and Chowdhury (1985) have applied this fecbnique to the analysis of slope sabilty and other mining prot- lems, To caleulate a quantity, such as factor of safey, two point est mates are made a one standard deviation on either side ofthe mean Assessing acceptable risks in design (446) from each distribution representing a random variable. The factor of safety is calculated for every posible combination of point ‘estimates, producing 2" solutions, whete isthe number of random ‘arabes invalved. The mean sod the standard deviation of the factor ‘of safety are then caletated from these 2 solutions While this technique does not provide a full distbution of the ‘urput variole, 2 do the Monte Cario and Latin Hypercube meth~ (0, is very simple to use for problems with relatively few random arable and i usefl when general ends are being investigated, ‘When the probability distribution function for the output variable is ‘nov, fr example, from previous Monte Carlo analyses, the mean and standard deviation vals canbe used to calculate the complete tutput distribution. This was done by Hoek (1989) in bis analysis of Surface crown pillar Faire 25 Probability of failure Considering again the very simple example of the roof slab sup- ported by 2 paltemn of rockbolt listed in Figure 22, the follow Ing discussion illustrates the application ofthe probability techniques lined shove othe assessment of he rsk of faire, Table 2. lists the hypothetical results obtained from 62 pull out texts on 17 min dlameter expansion shell rockbos with @ nonin pall out strength of 8 tonnes. Figure 2.3a gives these results inthe orm ofa frequency distribution or histogram. Fach cross-hatched bar as been dra so that its aea is proportional to the number of represenis normal distribution which hss been fied tothe input ‘ata using the program Best. This iting process yields mean or expected value forthe pull-out esis as C= 7.85 tomes with a stan (ard devition of ¢ = 0.37. Note thatthe minimum and maximum ‘values ace 695 and 8.62 tonnes respectively. The cumulative pro ability distribution function for the same da et is given in Figure 23, . The average thickness ofthe oot slab being supported has been cstimatod at I'm. Shor of drilling dozens of holes to measure the ‘variation inthe valu of rover a representative area of the roof, there Jeo way of determining dstbution for this vanible inthe same way as Was posible forthe roekbolt capacity. This is 8 common problem in geotechnical enginecrng, where it may be extremely d= Feult or even impossible to obtain reliable information on cecain variables, and the oaly effective solution isto use educated gues vor. Tn the ease of the roof slab, it would not be unreasonable to as- some that the thickness ris normally distributed about the mean of F= 1 m, Obviously, + cannot be les than 0 since negative values produce a meaningless negative factor of safety while = O results in “aivide by zero" errors, In order fo avoid this problem the noroal disteibuion hes to be truncated. An arbitrary minimum value of 120.25 mas been used to truncate the lower end ofthe normal di tsbution since smaller valuet will produce very high factor. of safety, Ite unlkely that would exosed say 2 m, and hence, this ean 156 Support of underground excavations in hard rock “Te 2: Rew of 6 pallu ton 7 mm ltr mechanical anchored 7H Ta Ta Tae te Tse Ml Ta Tae ja te in in on te ie te Te Tut tas Tt bats 38 te im fm ts ot Rs fs tbe 8a. 12, ost WZ “eT a 85S Recto uote aus (ome) "4 ATT ae rs Rostok pal ot oad aos eae) Fige 23; Hyon om ptt a 1 ne eas ‘tl ebay esbatone shown a connuou ier oa) «ODI en ‘iy fescon sd) mutie duo ton, Assessing acceptable vsks in design 17 ‘be used as an upper limit fr the truncated normal distibation. For ‘ant of any beter information it wil be assumed thatthe standard Hem kash “Toate ofc seems SRR 100-559 Lemen [pa iu 41: sede for meen ad clean of ROD (te Det, 889) Palmstrim (1982) suggested that, when no core is available but discominuity aces aze visible in surface exposures or exploration its, the ROD may be estimated for the aumber of discontnates per unit volume. ‘The suggested relalionship for clay-fee rock ROD=11533), a where J isthe sum ofthe number of joints per unit length forall Joint (discontinuity) sets known as the volumetie joint count "ROD is a directionally dependent parameter and its value may change significantly, depedding upon the borehole orientation. The tse ofthe volumetric joint count canbe quite useful in reducing tis ‘iectonal dependence. "ROD Is intended to represent the rock mass quality in sia, When ‘sing diamond dil core, caro must be tke to ensure that fractures, Which have been caused by handling or the dailing process, are ‘dented and ignored when determining the value of ROD. When tsing Palmistim's relationship for exposure mapping, blast induced ffnctires should not be included when estimating J. Deer's ROD has been widely used, particule in Noch Ames ca, forthe past 25 years. Cording and Deere (1972), Mest (1972) fnd Deere and Deere (1988) have aempred to relate ROD to Ter Z2aghi's rock load factors and to rockbol requirements in tunnels, Ia the context ofthis discussion, the most important use of ROD is as & component ofthe RMR and @ rock mas clasifications covered later fn this chapter. 4.24 Rock Srueture Rating (RSR) Wickham etal. (1972) described a quantitative method for describing the quality of rock mass and for selecting appropriate suppor on the Basis oftheir Rock Structure Rating (RSR) clasifiation. Most of the ease histories, used in the development of this system, were for relatively small anne supported by means of stot ses, although historically this system was the first to make reference 19 shotcrete support In spite of this limitation, itis worh examining the RSR fystem in some detail since it demonstrates the logic involved in do ‘veloping s quasi quantitative rock mass classification system andthe ttlisation ofthe resulkng index for suppor estimation. “The significance of the RSR system, in the context of this dis- cussion, is that it introduced th concep of rating each of the campo- nent listed below toarive st a numerical valve of RSK=A'4 B+ C. 1. Parameter A, Geology: General spprasal of geological structure ‘on the basis of a Rock type origin (igneous, metamorphic, sedimentary). '. Rock hardness (hard, medium, soft decomposed. © Geologic strc'ure (massive, slightly faultedifoided, moder- ately faultedfolded, intensely faulted folded) Parameter B, Geometry: Effect of discontinuty pattem with = spect to the direction ofthe tunnel dive onthe bas of 2 Join spacing. by Join orientation (strike and dip). ©, Direction of tunnel dive 3. Poramerer C: fect of groundwater inflow and joint condition on the bass of a Overal rock mass quality on the basis of A and B combined. Joint condition (good, Fa, por). © Amount of water inflow (in gallons per minute per 1000 feet of tame!) Note thatthe RSR classification sed Imperial units and that these Units have Bee retained ia thie discussion. “Tare tables fom Wickham et al's 1972 paper are reproduced in Tables 4.1, 42 and 4.3. These tables can be used to evaluate the at- fg ofeach of these parameter to anive a the RSR valve (maximum BSR = 100). For example, a hard metamorphic rock whichis slighty folded or faulted has a rating of A= 22 (from Table 4.1). The rock mass is moderately jointed, vith joints stiking perpendicule to the eael xis Which is being driven east-west, and dipping at between 20° and 50°, Table 4.2 gives the rating for B = 24 for diving with dip (defined in the margin sket). The value of A'+ B= 46 and this ‘means that, for joints of fair condition Gighily weathered and al: tered) and moderate water inflow of between 200 and [,000 gallons per minute, Table 4.3 gives the rating for C = 16. Hence, the final ‘alu ofthe rock swuctre rating RSR= A+ B+ C= 62. Rock mass elasifcation Drv apt ip 31