Rock Engineering

Practice & Design

Lecture 1:
Introduction

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Authors Note:
The lecture slides provided here are taken from the course
Geotechnical Engineering Practice, which is part of the 4th year
Geological Engineering program at the University of British Columbia
(V
(Vancouver,
Canada).
C
d ) The
Th course covers rock
k engineering
i
i and
d
geotechnical design methodologies, building on those already taken
by the students covering Introductory Rock Mechanics and Advanced
Rock Mechanics.
Mechanics
Although the slides have been modified in part to add context, they
of course are missing the detailed narrative that accompanies any
l
lecture.
It is also
l recognized
d that
h these
h
lectures
l
summarize,
reproduce and build on the work of others for which gratitude is
extended. Where possible, efforts have been made to acknowledge
th vvarious
the
ri us ssources,
urc s with
ith a list of
f references
r f r nc s being
b in provided
pr vid d att the
th
end of each lecture.
Errors, omissions, comments, etc., can be forwarded to the
author at: erik@[Link]
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Course Overview
This course will examine different
principles, approaches, and tools used in
geotechnical design. The examples and
case histories
hi t i reviewed
i
d will
ill f
focus
primarily on rock engineering problems,
although many of the analytical and
numerical techniques reviewed are also
used in other areas of engineering.

Rock engineering design has largely evolved from

different disciplines of applied mechanics. It is
a truly interdisciplinary subject, with
applications in geology and geophysics, mining,
petroleum and geotechnical engineering.

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Course Overview
What makes geotechnical engineering unique is the complexity and
uncertainty involved when interacting with the natural geological
environment.
Rock masses are complex systems!

Often, field data (e.g. geology, geological structure, rock mass

properties, groundwater, etc.) is limited to surface observations and/or
limited by inaccessibility, and can never be known completely.
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Deep Tunnels
Gotthard Base-Tunnel (CH)

Loew et al. (2000

0)

Cost = $7 billion (and counting)

Time to build = 12+ years
Length = 57 km
Sedrun shaft = 800 m
Distance between parallel tubes = 40 m
Excavated material = 24 million tonnes

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Deep Tunnels Importance of Geology

Loew et al. (2000)

Weak rock under high stresses may lead to

squeezing ground conditions, which may result
in damage/failure to the ground support
system or require the costly re
system,
re-excavation
excavation
of the tunnel section.

In strong brittle rock, high stress conditions may

lead to rockbursting (the sudden release of stored
strain energy). Bursts manifest themselves through
the sudden ejection of rock into the excavation.
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Deep Open Pits

Chuquicamata (Chile)
Classification = open pit copper mine.
Pit size = 4,500m long, 3,540m wide
Pit depth = 800m (1100m by 2014)
Production = 650,000 metric tons/year
Ore grade = 1.1% Cu

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Deep Open Pits - Complex Interactions

Finsch Mine, South Africa
(Flores & Karzulovic, 2002)

Numerous mining operations are

considering the move to underground
in order to mine deeper resources
when
h
open pits
it near their
th i end.
d
However, our body of practical
knowledge related to the impacts of
underground mining on the surface
environment
i
t is
i limited,
li it d iintroducing
t d i
economic risks to the mine and
safety risks to mine personnel.
P l b
Palabora,
S
South
th Africa
Af i
(Moss et al., 2006)

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Thuro e
et al. (2004))

Hydroelectric Projects

Nathpa Jhakri Hydroelectric Project (India)

Estimated cost = $2 billion
Dam = 60.5 m concrete gravity dam
Capacity = 1500 MW
Construction = began in 1993 (was to take 5 years)
Status = 4 units running,
running 2 still to be completed
Boasts = largest & longest headrace tunnel in India
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Hydroelectric Projects Rock Mass Interactions

E

M.a.s.l.

Creeping
rock mass

4000

Str
es
2000

Typical major
rock slide (Fig.2)
z-m
ica

-sc

his
ts

Satluj
an
dr
ela
t

fie
ld

ed
roc

kt

yp
es

h
UPHILL

Tunnel

Deformation of
rock mass under
compression / tension

str
es
s

1000
4000

3000

2000

1000

0m

1000

fie
ld

Shear
deformation

Spalling
of rock material
and shotcrete
Buckling
of steel ribs

11,5 m

Cracks in
shotcrete lining
Fo
lia
tio
n

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(qu
art
z-m
ica
-sc
his
t)

Erik Eberhardt UBC Geological Engineering

DOWNHILL

Thurro et al. (200

04)

on
(qu
art

11,5 m

3000

Fo
lia
ti

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Rock as an Engineering Material

A common assumption when dealing with
the mechanical behaviour of solids is
that they are:
homogeneous
continuous
isotropic

However, rocks are much more complex

However
than this and their physical and
mechanical properties vary according to
scale As a solid material,
scale.
material rock is often:
heterogeneous
discontinuous
anisotropic
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Rock as an Engineering Material

Homogeneous

Continuous

strength
equal in
all directions

sandstone

Heterogeneous
shale

Discontinuous
fault

sandstone

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Isotropic

Anisotropic
strength
varies with
direction

high
low

joints

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Rock as an Engineering Material

The k
Th
key factor
f t that
th t di
distinguishes
ti
i h rock
k engineering
i
i f
from other
th
engineering-based disciplines is the application of mechanics on a
large scale to a pre-stressed, naturally occurring material.
Hoeks GSI
Classification

intact
rock

rock mass

ground response

fractured
rock
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Influence of Geological Factors

In the context of the mechanics problem, we should consider the
material and the forces involved. As such, five primary geological
factors can be viewed as influencing a rock mass.
We have the intact rock which is
itself divided by discontinuities
to form the rock mass structure.
We find then the rock is already
subjected to an in situ stress.
Superimposed on this are the
influence of pore fluid/water
flow and time.

With all these factors, the geological history has played its part,
g the rock and the applied
pp
forces.
altering
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Influence of Geological Factors Intact Rock

damage
Normalized Stress (/cd)

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Ebe
erhardt et al
al. (1999)

deformation moduli (E, )

brittle fracture parameters
peak strength criteria
the post-peak behaviour

cohesion

Relative C
Cohesion

Cumulative D
Damage, AE

From this curve, several

features of interest are
derived:

Lockn
ner et al. (19
992)

The most useful description of the

mechanical behaviour of intact rock
is the complete stress-strain curve
in compression.

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Hudson & Ha
H
arrison (1997
7)

Influence of Geological Factors Intact Rock

Strength, or peak strength, is the
maximum stress, usually averaged over a
plane, that the rock can sustain. After
it is exceeded, the rock may still have
some load-carrying capacity, or residual
strength.

high stiffness

medium stiffness

low stiffness

low stiffness

high strength

medium strength

low strength

low strength

very brittle

med. brittleness

brittle

ductile

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Influence of Geological Factors - Discontinuities

Hoek et al. (1995)

Discontinuities such as faults and

joints may lead to structurallycontrolled instabilities whereby
bl k form
blocks
f
th
through
h th
the
intersection of several joints, which
are kinematically free to fall or
slide from the excavation periphery
as a result of gravity.

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Influence of Geological Factors In Situ Stress

When considering the loading conditions imposed on the rock mass, it must
be recognized that an in situ pre-existing state of stress already exists in
the rock.

Zob
back et al. (1989)

In the case of an
underground excavation,
such as a mine or tunnel,
tunnel no
new loads are applied but
the pre-existing stresses
are redistributed.

Total
Stress
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In Situ + ExcavationStress

Induced Stress

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Marttin et al. (1999)

Influence of Geological Factors In Situ Stress

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Influence of Geological Factors In Situ Stress

1
Unstable

St
Stress
Concentration

Wedge

Relaxation
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In-Situ
In
Situ Stress

Stress Path

3
Erik Eberhardt UBC Geological Engineering

Kaise
er et al. (200
00)

Stable

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Influence of Geological Factors Groundwater

Many rocks in their intact state have a very low
permeability compared to the duration of the
engineering construction, but the main water flow is
usually
ll via
i secondary
d
permeability
m bilit (e.g.
(
jjoints).
i t ) Th
Thus
the study of flow in rock masses will generally be a
function of the discontinuities, their connectivity and
the hydrogeological
y
g
g
environment.

A primary concern is when the water

is under pressure, which in turn acts
to reduce the effective stress
and/or induce instabilities. Other
aspects such as groundwater
aspects,
chemistry and the alteration of rock
and fracture surfaces by fluid
movement may also be of concern.

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Rock Engineering Design

Given the large scale of
many of these projects,
there is considerable
economic benefits in
designing these
structures in the optimal
way.
In practice,
practice it quickly
becomes evident that one
ignores rock mechanics
principles
p
p
and rock
engineering experience at
considerable physical and
financial peril.

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Dzg
gn & Lacassse (2005)

Integrated Risk Assessment

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Site Investigation & Data Collection

Willenberg ett al. (2008)
W

Geological
investigations

Geophysical
investigations

geological
l i l model
d l

Rockmass
processes

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Site Investigation & Data Collection

Geological
investigations

Geophysical
investigations

geological
l i l model
d l

Rockmass
processes

failure
kinematics
Geotechnical
monitoring

Stability
St
bilit
analysis
Controlling
mechanism(s)
m
m( )

Willenberg et al. (2008)

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Design Methodology
Successful
S
f l engineering
i
i d
design
i iinvolves
l
a design
d i process, which
hi h is
i a
sequence of events within which design develops logically. Bieniawski
(1993) summarized a 10 step methodology for rock engineering design
problems,, incorporating
p
p
g 6 design
g principles:
p
p
Step 1:

Statement of the
problem
p

Step 2:

Functional
requirements and
constraints

Design Principle 1: Clarity of

g objectives
j
and
design
functional requirements.
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Bieniawski (1993
3)

performance
objectives

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Design Methodology
Step 1:

performance
objectives

Step 2:

Functional requirements
and constraints
design variables &
d i
design
iissues

Step 3:

Collection of information

Step 4:

Concept formulation

g
geological
g
characterization,,
rock mass properties, in situ
stresses, groundwater, etc.

design variables &

design issues

Step 5
5:

Bi ni ski (1993)
Bieniawski

Statement of the problem

Analysis
y
of solution
components
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Design Principle 1: Clarity

of design objectives and
functional requirements.
requirements

Design Principle 2: Minimum

uncertainty of geological
conditions.

Design
D
i Principle
P i i l 3:
3
Simplicity of design
components
((e.g.
g geotechnical
g
model).
)

Erik Eberhardt UBC Geological Engineering

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Step 5:

Analysis of solution
components
observational,
l analytical,
l
l
empirical, numerical
methods

Step 6
6:

Synthesis
y
and specification
p
for alternative solutions
shapes & sizes of excavations,
rock reinforcement options and
associated safety factors

Step 7:

Step 8:

Evaluation

Optimization

p
performance
assessment

consideration of non-rock
engineering aspects (ventilation,
power supply, etc.)

Recommendation

Step 9:

- feasibility study
- preliminary & final designs

lessons
learned

Step 10:

Implementation

Design Principle 3:
Simplicity of design
components.
t
Design Principle 4: State of
the art practice.

Design
D
i Principle
P i i l 5:
5
Optimization of design
(through evaluation of
analysis
ana
y
rresults,
ut , m
monitoring,
n t r ng,
etc.).
Design Principle 6:
Constructability
bl
((can the
h
design be implemented
safely and efficiently).

efficient excavation &

monitoring
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Bi i
Bieniawski
ki (1993)

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Lecture References
Bieniawski, ZT (1993). Design methodology for Rock Engineering: Principles and Practice. In
Comprehensive Rock Engineering: Principles, Practice & Projects. Pergamon Press, Oxford, 2: 779-793.
Dzgn, HSB & Lacasse, S (2005). Vulnerability and acceptable risk in integrated risk assessment
framework. In Landslide Risk Management. A.A. Balkema: Leiden, pp. 505-515.
Eberhardt, E, Stead, D & Stimpson, B (1999). Quantifying pre-peak progressive fracture damage
in rock during uniaxial loading. International Journal of Rock Mechanics and Mining Sciences 36(3):
361-380.
Flores, G & Karzulovic,
Flores
Karzulovic A (2002).
(2002) Geotechnical guidelines for a transition from open pit to
underground mining. Benchmark report. Project ICS-II, Task 4.
Hoek, E, Kaiser, PK & Bawden, WF (1995). Support of Underground Excavations in Hard Rock.
Balkema: Rotterdam.
Hudson, JA & Harrison, JP (1997). Engineering Rock Mechanics An Introduction to the Principles .
Elsevier Science: Oxford.
Kaiser, PK, Diederichs, MS, Martin, D, Sharpe, J & Steiner, W (2000). Underground works in
g and mining.
g In Proceedings,
g , GeoEng2000,
g
, Melbourne. Technomic Publishing:
g
hard rock tunnelling
Lancaster, pp. 841-926.
Lockner, DA, Byerlee, JD, Kuksenko, V, Ponomarev, A & Sidorin, A (1992). Observations of
quasistatic fault growth from acoustic emissions. In Fault mechanics and transport properties of
rocks. Academic Press: San Diego.
g

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Lecture References
Loew, S, Ziegler, H-J & Keller, F (2000). AlpTransit: Engineering geology of the worlds longest
tunnel system. In: Proceedings, GeoEng 2000, Melbourne. Technomic Publishing: Lancaster, pp. 927
937.
Martin, CD, Kaiser, PK & McCreath, DR (1999). Hoek-Brown parameters for predicting the depth
of brittle failure around tunnels. Canadian Geotechnical Journal 36(1): 136-151.
Moss, A, Diachenko, S & Townsend, P (2006). Interaction between the block cave and the pit
slopes at Palabora mine. Journal of The South African Institute of Mining and Metallurgy 106: 479484.
Thuro, K, Eberhardt, E & Gasparini, M (2004). Deep seated creep and its influence on a 1.5 GW
hydroelectric power plant in the Himalayas. Felsbau 22(2): 60-66.
Willenberg, H, Loew, S, Eberhardt, E, Evans, KF, Spillmann, T, Heincke, B, Maurer, H &
Green AG (2008).
Green,
(2008) Internal structure and deformation of an unstable crystalline rock mass above
Randa (Switzerland): Part I - Internal structure from integrated geological and geophysical
investigations. Engineering Geology 101(1-2): 1-32.
Zoback, ML, Zoback, MD, et al. (1989). Global patterns of tectonic stress. Nature 341(6240):
291 298
291-298.

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