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Rock Mechanics Mécani q ue des roches

Course Lectures

Part 5 – Rock Foundations and Slopes (a)

Professor ZHAO Jian EPFL ENACLMR Rock Mechanics and Tunnel Engineering

Introduction Rock foundations (of buildings, bridges, and dams) Rock slopes (and
embankments)

Rock tunnels (caverns, mines, and hydropowers)

Introduction

Foundation engineering involves the design and analysis of type, load carrying and settlement of

foundations and their construction

, . Introduction

Types of Rock Foundations

Spread footings: Foot directly on adequate rock surface. Foundation is supported by bearing of the rock.

Socketed piles: Socketed or sinked into underlying adequate rock. Foundation is supported by sidewall shear resistance and end bearing.   Introduction

Types of Rock Foundations

Dam foundations: Dam footing directly on adequate rock surface to support the gravity load and water pressure. Foundation is supported by bearing and sliding resistance of the rock.

Tension foundations: Steel bolt and cable anchored into rock to support tension (uplift) loads. Foundation is supported by shear resistance of the anchor and the rock mass. Failures of Rock Foundation

Failure of Rock Foundations

(

mass

For heavily fractured and weak rock mass may leads to general wedge failure of foundation.

( b) Compression of jo i nts

For open joints, failure is by compression.

a ) Sh

f

k

d f

d

k

ear o wea an

rac ure roc

t  Failures of Rock Foundation

Failure of Rock Foundations

(

Often for a rigid layer overlying soft material.

(d) Breaking of pinnacles

Often for weathered rock surface

) P

hi

fl

l f

il

c unc ng or exura a ures  Failures of Rock Foundation

Failure of Rock Foundations

(e) Collapse of shallow

cave and cavities.    Failures of Rock Foundation

 Failure of Rock Foundations ( ) Sid ll lid d l g e‐wa s e an arge settlement of piles. (h) Creep failure when at high stress level. Creep may also occur due to degradation of rock subj ected to weathering.

Failures of Rock Foundation

Failure of Rock Foundations

k mass failure at dam toe under high water pressure.

(j) Failure of anchor grout or rock mass around anchor by large tensile load.

( i) Slidi

f d

b

d/

ng o

am ase an or roc  Influence of Geological Features on Foundation Failures

 Features Effect on Foundation Rock type Strength and deformation characteristic – bearing capacity and settlement. Creep rock – creep and time dependent failure. Stratigraph Layered structure ‐ punching or shearing of rigid layer of rock above soft layer. Fold Rock surface inclined due to folding – bearing surface may be inclined. Rockhead contour – drastic change of rock surface and rock type. Fault Day‐ lighting fault – slope failure with foundation. Faulting of rock structure – drastic change of rock type. Fault with infill – displacement due to compression of infill material. Joint Open joints – failure by compression. Closely spaced joints – general wedge failure. Intersecting joint sets – forming wedge block and shear along the joints. Day‐ lighting joint – sliding of rock block. Weathering Weathered cavities – punching or shear of thin layer of roof rock. Weathering of rock – may cause creep failure. Karst Karstic surface – pile tip bending and damage, failure of pinnacles. Solution cavities – punching or shear of thin layer of roof rock.

Rock Foundation Design Parameters

In Situ Rock Mass Compressive Strength

R

σ 1 = σ 3 + (m b σ 3 σ ci + s σ ci 2 ) a

m b = m i exp [(GSI–100)/28]

For rock masses of reasonable quality, i.e. GSI > 25,

s = exp [( GSI–100 ) /9 ], a = 0.5

For poor rock masses, i.e., GSI < 25, s 0,

a = 0.65 – GSI/200

k M

St

th f

H

k B

C it

i

oc ass reng rom oe rown r er on

Rock Foundation Design Parameters

Granite rock mass, GSI=75, σ ci =150MPa, a=0.5. m i for granite is 32, m b = m i exp[(GSI – 100)/28] = 13.1 s = exp[(GSI – 100)/9] = 0.062 σ 1 = σ 3 + (1956 σ 3 + 1395) 0.5 σ cm = 37 MPa, σ tm = 0.7 MPa

Siltstone rock mass, GSI=20, σ ci =65MPa, s=0. m for siltstone = 7 m b = m i exp[(GSI – 100)/28] = 0.40 GSI < 25, a = 0.65 – (GSI/200) = 0.55 σ 1 = σ 3 + (26 σ 3 + 0.59) 0.55 σ cm = 0.8 MPa, σ tm = 0

i

 σ 3 (MPa) σ 1 (MPa) 0 37 0.2 43 0.4 47 0.6 0.8 55 1.0 59 1.2 63 1.5 67 2.0 75 ‐0.7 ( σ tm ) 0 σ 3 (MPa) σ 1 (MPa) 0 0.8 0.2 1.8 0.4 2.8 0.6 3.6 0.8 4.3 1.0 5.0 1.2 5.6 1.5 6.5 2.0 7.8 0 ( σ tm ) 0

Rock Foundation Design Parameters

Rock Mass Cohesion and Friction using Hoek Brown Criterion and Mohr Circles

Use HB to generate a series σ 1 σ 3 data, plot them by Mohr circles, and fit them with the ‘suitable’ linear tangent envelope, to find c and φ.

τ

c Good granite rock mass
τ
φ
M‐ C
Estimated
c = 4.5 MPa
φ = 50 °
σ c Poor siltstone rock mass
φ
M‐ C
Estimated
c = 0.38 MPa
φ = 35 °
σ

Rock Foundation Design Parameters

Rock Mass Cohesion and Friction from RMR

These values are enerall lower than that estimated from strength criteria.

g

y

 RMR c (MPa) φ (degree) < 20 < 0.1 < 15 21 – 40 0.1 – 0.2 15 – 25 41 – 60 0 .2 – 0 .3 25 – 35 61 – 80 0.3 – 0.4 35 – 45 > 81 > 0.4 > 45

By strength

Calculation

c = 0.38 φ = 35

c = 4.5 φ = 50

Rock Foundation Design Parameters

In Situ Rock Mass Deformation Modulus

E ti

t d f

R k M

Q

lit

s ma e

rom oc

ass ua y

 E m = 25 log Q for Q > 1 E m = 10 (Q σ ci /100) 1/3 E m = 2 RMR – 100 for RMR > 50 E m = 10 (RMR – 10)/40 for 20 < RMR < 85

E m = 10 (15 logQ+40)/40

Rock Foundation Design Parameters Bearing Capacity of Foot Foundations

Surface Footing on Uniform Rock Mass

Maximum support is the strength ( σ 1 ) of the rock mass under footing in triaxial compression (red), whose confining stress σ 3 equals to the uniaxial strength σ cm of the adjacent rock mass (green).

σ 1 σ 1 Uniaxial
σ
σ
cm
3
Triaxial

Bearing Capacity of Foot Foundations

Uniaxial strength of the rock mass (green):

σ cm = s ½ σ ci

Triaxial strength of the rock mass (red):

σ 1 = σ cm +(m b σ cm σ ci +sσ ci 2 ) ½

σ 1 = s ½ σ ci +(m b s ½ σ ci 2 +sσ ci 2 ) ½ Uniaxial
σ cm
σ cm
σ 1
σ 3 = σ cm
σ 3 = σ cm

σ 1

Bearing Capacity of Foot Foundations

Allowable bearing capacity of surface footing

q a = C f1 σ 1 / FS

C f1 is the shape correction factor, given in Chart F1. FS is factor of safety, 23, typically 3.

 Foundation shape C f1 C f2 Strip (L/B > 6) 1.0 1.0 Chart F1 Rectangular (L/B = 2) 1.12 0.9 Rectangular (L/B = 5) 1.05 0.95 Square 1.25 0.85 Circular 1.2 0.7    B L

Bearing Capacity of Foot Foundations

Recessed Footing

St

mass under foundation is in triaxial compression (red),

whose confining stress ( σ 3 ) equals to the triaxial strength ( σ 1 ) of the adjacent rock

th

f th

k

e roc

reng

( σ 1 ) o

h

mass (green) , w ose

confining stress is the surcharge pressure ( σ 3 ). σ
1

σ 1 σ 3 is the surcharge pressure σ 3” = q s
σ
1”
Triaxial
σ
σ
3
3
Triaxial

Bearing Capacity of Foot Foundations

Surcharge pressure σ 3 = q s = unit weight time the recess depth.

Triaxial strength of mass (green):

σ 1 = q s +(m b q s σ ci +s σ ci 2 ) 1/2

Triaxial strength of mass (red):

σ 1 = σ 1 +(m b σ 1 σ ci +s σ ci 2 ) 1/2

Allowable bearing capacity

q a = C f1 σ 1 / FS

(C f1 in Chart F1) σ 3” = q s
Uniaxial
σ 1”

σ = σ

3

σ 1 1”
T
riaxial

σ 1

Bearing Capacity of Foot Foundations

Bearing Capacity of Weak/Poor Rock (Bell Solution)

q a

γ is the rock unit weight, c rock mass cohesion, C f2 in Chart F1.

= C N +½C B N +D N /FS

( f1 c

c

f2 γ

γ

γ q )

 N c = 2 N φ ½ (N φ + 1), N γ = N φ ½ (N φ 2 – 1), N q = N φ 2 N φ = tan 2 (45 + ½φ ) N c , N γ , N q can also be found chart.

Bearing Capacity of Foot Foundations

Bearing Capacity of Weak and Poor Rock Mass

If th f

ti

i

f

d f

d ti

d i

e

oo ng s a sur ace an

t

l

oun a on oa s

large (>>weight of rock mass), the equation can be

simplified:

q a = (C f1 cN c ) / FS

Bearing Capacity of Foot Foundations

Bearing Capacity of Footing on Slope

q a = (C f1 cN cq +½C f2 B γ N γ q ) /FS

γ is the rock unit weight, c rock mass cohesion, C f2 in Chart F1.

N cq and N γ q are bearing capac it y fac tors, in Char t F2.

Stability Number N 0 = γ H / c  Chart F2
(US Navy Dept, 1982)

Settlement of Foot Foundations

Stress Distribution below Foot Foundation

St

b

l

i

t l

d ( B

i

ouss nesq

1885)

ress e ow a po n oa  Settlement of Foot Foundations (Winterkorn & Fang 1975)

Distribution of vertical stress due to a loaded circular footing on elastic material: (a) along vertical lines; (b) along horizontal lines.

Settlement of Foot Foundations (Winterkorn & Fang 1975)

Stress contours for footings on elastic material: (a) vertical normal stresses below circular area; (b) radial stresses below line load.

Settlement of Foot Foundations  (Winterkorn & Fang 1975)

Vertical normal stress below circular area of two layers elastic materials.

Settlement of Foot Foundations

Footing on Homogeneous and Isotropic Rock Mass

δ = C d qD(1 – ν 2 )/E

q is the uniformly distributed bearing pressure, D characteristic dimension of the loaded area ( φ for circle and B for rectangle), ν and E Poisson’s ratio and Young’s modulus.

C d is the shape and rigidity factor, given in Chart F3. D
E, ν

Settlement of Foot Foundations

 C d for settlement calculations (Winterkorn & Fang 1975) Shape Centre Corner Middle of B ‐ side Middle of L‐ side Average Circle 1. 00 0. 64 0. 64 0. 64 0. 85 Circle (rigid) 0.79 0.79 0.79 0.79 0.79 Square 1.12 0.56 0.76 0.76 0.95 Chart F3 Square (rigid) 0.99 0.99 0.99 0.99 0.99 Rectangle (L/B=1.5) 1.36 0.67 0.89 0.97 1.15 Rectangle (L/B=2) 1.52 0.76 0.98 1.12 1.30 Rectangle (L/B =3) 1.78 0.88 1.11 1.35 1.52 Rectangle (L/B=5) 2.10 1.05 1.27 1.68 1.83 Rectangle (L/B=10) 2.53 1.26 1.49 2.12 2.25 Rectangle (L/B=100) 4.00 2.00 2.20 3.60 3.70 Rectangle (L/B=1000) 5.47 2.75 2.94 5.03 5.15

Settlement of Foot Foundations

Footing on Compressible Layer over Rigid Base

δ = C’ d qD(1 – ν 2 )/E

q the bearing pressure, D dimension of the loaded area, ν and E Poisson’s ratio and Young’s modulus of the com pressible layer.

C’ d is the shape factor, given in Chart

F4. D E, ν

Settlement of Foot Foundations

 C’ d for settlement of centre on elastic layer over rigid base (Winterkorn & Fang 1975) H/D Circle Rectangle Diameter D L/B=1 L/B= 1.5 L/B=2 L/B=3 L/B=5 L/B=10 L/B=∞ 0.1 0.09 0.09 0.09 0.09 0.09 0.09 0.09 0.09 0.25 0.24 0.24 0.23 0.23 0.23 0.23 0.23 0.23 Chart F4 0.5 0.48 0.48 0.47 0.47 0.47 0.47 0.47 0.47 1.0 0.70 0.75 0.81 0.83 0.83 0.83 0.83 0.83 1.5 0.80 0.86 0.97 1.03 1.07 1.08 1.08 1.08 2.5 0.88 0.97 1.12 1.22 1.33 1.39 1.40 1.40 3.5 0.91 1.01 1.19 1.31 1.45 1.56 1.59 1.60 5.0 0.94 1.05 1.24 1.38 1.55 1.72 1.82 1.83 ∞ 1.00 1.12 1.36 1.52 1.78 2.10 2.53 ∞

Settlement of Foot Foundations

Footing with Compressible Layer between Stiff Layers

δ = C” d qD(1 – ν 2 )/E’

E’ = (E 1 H 1 +E 2 H 2 )/ (H 1 +H 2 )

C” d is given in Chart F5.

It is the same as Chart F4, by replacing H

ith H +H

w

(

1

2 ). H 1
E 1
H 2
E 2

Settlement of Foot Foundations

 C” d for settlement of elastic layer between stiff layers (Winterkorn & Fang 1975) (H 1 +H 2 )/ Circle Rectangle D Diameter D L/B=1 L/B= 1.5 L/B=2 L/B=3 L/B=5 L/B=10 L/B=∞ 0.1 0.09 0.09 0.09 0.09 0.09 0.09 0.09 0.09 0.25 0.24 0.24 0.23 0.23 0.23 0.23 0.23 0.23 Chart F5 0.5 0.48 0.48 0.47 0.47 0.47 0.47 0.47 0.47 1.0 0.70 0.75 0.81 0.83 0.83 0.83 0.83 0.83 1.5 0.80 0.86 0.97 1.03 1.07 1.08 1.08 1.08 2.5 0.88 0.97 1.12 1.22 1.33 1.39 1.40 1.40 3.5 0.91 1.01 1.19 1.31 1.45 1.56 1.59 1.60 5.0 0.94 1.05 1.24 1.38 1.55 1.72 1.82 1.83 ∞ 1.00 1.12 1.36 1.52 1.78 2.10 2.53 ∞

Settlement of Foot Foundations

Footing on Stiff Layer over Compressible Formation

(i) Calculate settlement as if all compressible below, with shape factor C d from Chart F4. δ = C d qD(1 – ν 2 2 )/E 2

(ii) Determine H/D E /E and then

, the correction factor a from Chart F6, calculate actual settlement δ = aδ

1

2, H
D
E 1
E 2 , ν 2

Settlement of Foot Foundations

 Correction factor a for settlement elastic layer below stiff layer (Winterkorn & Fang 1975) H/D E 1 /E 2 1 2 5 10 100 0 1.0 1.000 1.000 1.000 1.000 Chart F6 0.1 1.0 0.972 0.943 0.923 0.760 0.25 1.0 0.885 0.779 0.699 0.431 0.5 1.0 0.747 0.566 0.463 0.228 1.0 1.0 0.627 0.399 0.287 0.121 2.5 1.0 0.550 0.274 0.175 0.058 5.0 1.0 0.525 0.238 0.136 0.036 ∞ 1.0 0.500 0.200 0.100 0.010

Settlement of Foot Foundations

(i) For eccentric distance e < B/6,

q 1 = (Q/B) (1 + 6e/B)

q 2 = (Q/B) (1 – 6e/B)

(ii) For eccentric distance e > B/6,

q 1 = (4/3 Q) / (B 2e) e
q 2
q 1
Pressure distribution e
q 1
Pressure distribution

Settlement of Foot Foundations

Settlement of Foundation with Complex Formations and Loads

Stress distribution and settlement of foundations on complex formation and/or with complex loads can be calculated by numerical modelling, e.g., FEM.

Rock Socketed Pile Foundations (1) Pile in rock at sides and base, supported by both side friction and end bearing. Usually Q s >Q b

(2) Pile in rock at sides with loose cutting or weak seam at base, supported by side friction only.

Q b =0

(3) Pile in soil at sides and base on good rock , side friction is small, supported mainly by end bearing.

Q b >>Q s

Rock Socketed Pile Foundations

Side Friction and End Bearing of Pile Foundation

oc soc e e p es are suppor and/or side friction.

R k

k t d

il

t b

y en

d b

i

ear ng

Side Friction: need to estimate rock concrete shear resistance.

End Bearing: use rock mass strength to estimate.

Settlement: need to consider displacements of both rock mass and concrete.

Rock Socketed Pile Foundations

Side Friction of Pile Foundation

All

Q s = τ s π D L / FS

τ s is sidewall shear resistance, D pile diameter, L socket length

τ = τ /FS R σ ½

bl

id

i t

owa e s e res s ance

a

s

m ( s)

σ m(s) is rock mass uniaxial compressive strength, R is socket wall roughness coefficient, 0.3 for undulating >10mm, 0.25 for undulating <10mm

Rock Socketed Pile Foundations

End Bearing of Pile Foundation

All

Q b = ¼ π D 2 σ 1m(b) /FS

σ 1m(b) triaxial compressive strength of rock mass below pile, D pile diameter.

Rock mass triaxial strength can be estimated by the Hoek Brown criterion.

bl

owa e en

d b

i

f

k

ear ng or roc mass

Rock Socketed Pile Foundations

Settlement of Friction Pile

m(s)

Q applied load, D pile diameter, E m(s) surrounding rock mass modulus.

I is the settlement influence

 f i i Ch P1 actor, g ven n art .

R=E c /E m(s) Q
E c
L
E m(s)
D Chart P1
(Pell & Turner 1979)

δ =

Q

I / D E

Rock Socketed Pile Foundations

Settlement of End Bearing Pile δ = 4 / D 2 L/E c ) + 4 / D 2 RF ’C D 1– 2 /E
( Q π
)(
( Q π
)[
(
ν )
d
m(b) ]
Deformation of pile
Deformation of rock mass below pile

Q applied load, D pile diameter, L depth to pile end, E c of concrete, ν and E m(b) of rock mass. C d shape factor (Chart F4).

Reduction factor RF’ is given in Chart P2. Q
E c
L
D
E m(b) Chart P2
(Pell & Turner 1979)
Reduction factor , RF’

Rock Socketed Pile Foundations

Settlement of Side Friction and End Bearing Pile

m(s)

Q is the applied load, D pile diameter, E m(s) socket rock mass modulus, I the settlement influence factor given in Chart P3.

Use Chart P3 to estimate percentage of load carried by end bear ing. Chec k en bear ing and s ide f r ic tion that do not exceed the allowable capacities.

δ =

Q

I / D E Rock Socketed Pile Foundations
Chart P3
I
I
I
Chart P3
Chart P3
Q
b
— (%)
Q
Q
Q
b
b
— (%)
— (%)
Q
Q
L/B
Influence factor and end‐ bearing ratios for socket pile foundations.

L/B

(Rowe & Armitage 1987)

L/B

Dam Foundations

Foundation for Gravity Dams

D

rock. The foundation must be strong enough to carry the weight of the dam, and the water pressures acting on the dam.

Footing bearing is usually not a common problem. The most common dam foundation failure is the sliding movement under high water pressure.

tl b ilt

am are mos y u

t

on compe en

t Dam Foundations

Sliding Resistance along the Surface

( i) O h H, water
V, weight
pressure
u, water uplift
A, base area Inclined base

i

t

l

f

n or zon a sur ace

FS = total resistance / sliding load

FS = [cA + ( Σ V Σ u) tanφ ] / Σ H

c = cohesion, φ = friction angle

( ii) On inclined surface

To result resistance and sliding forces along the sliding plane.

FS = total resistance / sliding load

Dam Foundations

Recessed Dam Footing

+ rock mass strength at toe) / sliding load

FS = ( lid

e res s ance

i t

s (i) Sliding resistance = cA + ( Σ V Σ u) tanφ

c = cohesion, φ = friction angle

(ii) Rock mass strength = σ cm = s σ ci

½

σ cm  s = exp [(GSI–100)/9] (for generally good rock mass)

σ ci = uniaxial compressive strength of rock material

(iii) Sliding load (horizontal water) = Σ H

Dam Foundations

Dam Stability and Displacement

 D t th l l f d f d ti ue o e genera comp ex o

am oun a on

geometry, loading and rock mass, numerical modelling are usually used. Numerical modelling can also include the foundation reinforcement.

Tension Foundations

Tension Foundations with Anchors

t rock mass and grouted, to provide tensile load support structures. E.g., anchor roof protecting rock fall on slope, tiedowns to prevent dam overturning, rock anchor to support tensioned cable for bridge.

e compe en   St

l

h

i th

ee anc or n   t

Tension Foundations Rock mass
mobilised
by anchor
 L d i itt d f h oa s ransm e rom anc or

t through the steelgrout and grout rock to the surrounding rock mass, through shear resistance between those materials. The overall load is

b can be failed by the pull out of the cone block.

ta en y t e roc mass , w c

k

h

k

hi h Tension Foundations

Design Principle of Anchor Foundation

l sufficient size to carry the designed load (check with steel products specifications).

( i) Di

f t

h

S

ti

h

f

ame er o s ee anc or: e ec ng anc or o

t

l

(ii) Bond length of anchor socket: Estimating the required bond length based on bond strengths between steelgrout rock.

(iii) Rock mass strength: Estimating size of mobilised rock mass and strength of the rock mass, including the weight.

Tension Foundations

Anchor Bonding

T i

ll

t

l

t b

di

i

t

i

t

k

yp ca y, s ee grou on ng s w ce grou roc

bonding (by tests). The anchor bonding is governed by grout rock bonding. Allowable load capacity of anchor due to bonding is defined as:

Q a = ½ πDL b τ ult = πDL b σ c /20

D is the effective diameter of the borehole , L b length of the grouted anchor bond. τ ult is the ultimate grout bond strength (failure tests or grout products specifications), or 1/10 σ c (of rock or grout, lower one).

Tension Foundations

Location of Rock Mass Failure

For competent rock mass,

the potential failure is

initiated at the base of

 the anchor. For poor /weak rock mass ,

the potential failure is initiated at the midpoint of the bonded section.  Tension Foundations

Uplift Capacity of Rock Anchor

t the weight of the cone (W c ) and the rock strength along the cone surface (F r ).

U

oa s a en y wo par s:

lift l

p

d i

t k

b t

W c = γ r π L 3 tan 2 θ

f r = σ tm π L 2 /cos 2 θ

Uplift capacity

Q = (f r + W c cos ψ ) /FS Q
γ r
L
σ tm
θ
30
for poor rock,

45 for good rock Q
ψ

Tension Foundations

Load Bearing Capacity of Rock Masses

The load bearing capacity of the anchor tension foundation depends on rock fracture systems. The size and dimension of the ‘cone’ is influenced by the f racture pattern. Tensile strength of the rock mass greatly reduced by the existence of the fractures.   Tension Foundations

Steeply Inclined Uplift of Anchor

di lower part of the cone is under shear resistance, while other part is tensile failure.

en ψ excee ng ( ) , some

Wh

90 θ

From competent rock mass generally τ >> σ tm . ψ
σ
θ
τ

tm

Tension Foundations

Other Conditions of Anchor

e direction of the cone weight need to be analysed, and the lower half of the cone is under shear resistance.

ownwar anc or,

With d

d

h

th

With groundwater, the buoyant effects need to be considered. The cone should take the effective weight. σ tm
ψ
Q
τ
Q
γ r
GW

Rock Mechanics Mécanique des roches

Course Lectures

Part 5 – Rock Foundations and Rock Slopes (b)

Professor ZHAO Jian EPFLENACLMR Rock Mechanics and Tunnel Engineering