04-1 Site Investigation

Tunnel Engineering
4. Site Investigation in Tunnel

Engineering
School of Highway，Chang’an University
2020
Site Investigation
4. Site Investigation in Tunnel Engineering
• 4.1 Introduction
• 4.2 Site investigation in general

 Procedures in general
 Site investigation for a tunnel project
• 4.3 Ground characteristic parameters
• 4.4 Ground (rock mass) classification
• 4.5 Site investigation reports
2
Site Investigation
Introduction
• Importance of knowing ground conditions
• Geotechnical scope issues
• Guidelines for projects

 Past practices of site investigations in tunnel project
 When to conduct geotechnical investigations
 When to do less or more investigation
3
Site Investigation
Aims of a geotechnical
investigation
Compositions
• To establish the soil, rock Formations
and groundwater Structures
conditions; Distribution
• To determine the Properties as
properties of the soil and surrounding
rock; rocks
• To gather additional Features of

relevant knowledge about the neighbors
the site
Introduction 4
Site Investigation Stages/Steps Focus Structure design
Geological formation Structure line and
(1) Site Investigation and structure orientation
Geotechnical Ground characteristics

(2) and conditions of Location of a tunnel
Investigation surrounding rocks
Behaviors of Structures and

(3)
Empirical model surrounding rocks and
supporting system construction method
Site Mechanical model Safety and construction

Design in details
(4) analysis
investigation
in a tunnel Design criteria Safety
checking
No
project, in Yes
By pass
stages Risk assessment Contractual Aspects
Construction as
design
Ground and supporting No

system behaviors In situ monitoring
as predicted
Yes
For the actual state only
Introduction unknown safety margin
Safe and go on
5
Site Investigation
Note:
Tunnel engineering Site investigation is parts of the
jobs in this procedure;
design in stages The focus of the task changes
accordingly, but similar job
• Overall Assessment may be done in stages.
 ① Project purpose
○ Establish the objective and sub-objectives of the project
 ② Key features of the site, rock mass and project
Ground conditions
○ Identify the features and constraints of the site, rock mass and project
 ③ Design approach strategy
○ Develop the overall design approach strategy Surrounding rocks
models
• Initial Design
 ④ Choose modelling method and appropriate code(s)
○ Utilize the principles of modelling, choose method(s)
○ Utilize the principles of code implementation, choose code(s)
Surrounding rocks
 ⑤ Establish initial design behaviors
○ Establish initial design, conduct hazard assessment, and initiate construction, with monitoring
• Final Design
 ⑥ Integrated modelling and feedback information
○ Consider the integration of the modelling methods
○ Consider feedback information from construction, leading to closed-loop design
 ⑦ Final design and verification
○ Establish final design and verify by monitoring (feedback on design and construction)
Introduction 6
Site Investigation
Geological and hydrogeological map of

the study area （Semnan tunnel）
Zarei H R, Uromeihy A,
Sharifzadeh M. Evaluation of high
local groundwater inflow to a rock
tunnel by characterization of
geological features[J]. Tunnelling &
Underground Space Technology,
2011, 26(2):364-373.
7
Site Investigation
Geological longitudinal cross section,

with water inflow and instability shown
（Semnan tunnel）
Geological cross-section along the Semnan tunnel
8
Site Investigation
Guidelines for projects

• Being executed in a planned way, such as in stages
• To be early and enough, such as
 Geotechnical investigations shall be planned in such a way as to
ensure that relevant geotechnical information and data are
available at the various stages of the project;
 Geotechnical information shall be adequate to manage identified
and anticipated project risks;
 For intermediate and final building stages, information and data
shall be provided to cover risks of accidents, delays and damage.
• To consider
 Features of the project, such as the unique of the planned tunnel
 Requirements and conditions to work
Introduction 9
Site Investigation
4.2 Site investigation in general

Main stages of a tunnel project
• Components of site
Planning
investigations
Pilot tunnel or
 Desk study test tunnel
Conceptual design or
 Site reconnaissance Establishment of project
 Field investigations
 Laboratory tests Preliminary
 Exploratory/investigation design
tunnel or shaft
Construction
• Phased investigation of a document design
tunnel project
Design revising
• Site investigation for tunnel Construction
or modification
design and construction
Operation and
• Challenges of site investigation management
10
Site Investigation
Phased Investigation of Projects

• Feasibility Flow of investigation in stages
studies: to collect Flow of design in stages Stages Main points
enough data to confirm the Investigation
To assess the main
feasibility of the project; (first campaign)
ground conditions
To identify the major
• Preliminary Feasibility
studies
Feasibility
Additional
investigation
risks
To quantitatively analysis
design: to determine validated ? No
Investigation
the behavior of soil/rock
mass vs. excavation
quantitative characteristics of Yes (second campaign) To achieve a validated
the ground so that technical Preliminary solution in terms of
solutions may be developed to design methods and sequence
Additional
a point where reliable costs Reliable cost investigation
and duration can be and duration ? To identify in a reliable
established; No
way the properties of
Investigation all the ground units
• Detailed Yes
Detailed
(third campaign) To reduce the residual
uncertainties to a level
design: to reduce the design
Residual risk
Additional
investigation
ALARP
residual uncertainty and ALARP ? No

inherent risks to a level as low
as reasonably practicable; Yes
Bidding & Note: ALARP-as low as reasonably possible

• During Construction
construction
Site investigation in general 11
Site Investigation
Site investigation in general
Main task of site investigation

Project
Stages Main task
phase
Pre- Feasibility To collect enough data to confirm the feasibility of
design studies the project
To determine quantitative characteristics of the
Preliminary ground so that technical solutions may be
design developed to a point where reliable costs and
Design duration
Detailed To reduce the residual uncertainty and inherent risks
design to a level as low as reasonably practicable
Construction and
Mainly an iterative process of data collection,
iterative design
assessment, re-evaluation and redefinition of
during
investigations
construction
12
Site Investigation
Schematic knowledge vs. cost curve
Geological/hydrogeological
knowledge
100%
90%
2/3
Construction
1/3 Detailed
Preliminary design
design
Feasibility Cost
Possibly not <1% In most

of the total project cost case ~3%
(ITA 2015)
13
Site Investigation
Desk study
• Topographic Maps
• Aerial Photographs
• Geological Maps and Reports
• Adjacent Projects, e.g., Qinling tunnels
• Hydro-geological Surveys and Well Logs
• Remote Sensing Data

Site Investigation
Investigations for feasibility studies

*Modified from (ITA 2015)[2]

Site Investigation
16
Site Investigation
Map of Yosemite National Park, USA
Information
• Rocks
• The main
structures
• Geological
history or
evolution
17
Site Investigation
Seismotectonic map of the Wenchuan earthquake

with major historical earthquakes till 2008
• Types of faults
Strike –slip fault
Reverse fualt
Normal fault
• Is the faults
active or not?
(Xu et al. 2008)

Site Investigation
The Wenchuan earthquake

algorithm and the ruptured faults
• The red line
showing
ruptured
faults)
during the
Wenchuan
earthquake
2008
(Xu et al. 2008)

Site Investigation
Beichuan Bridge plate was shifted northeastward,

whereas the bridge pillars were not displaced
• The bridge
was
damaged?
• The tunnel
was slightly
damaged?
Why?
(view to NW) (Xing & Xu 2011)

Site Investigation Site investigation in general
Escarpment on the Cumberland

Plateau, Tennessee
• Broken by
a fault?
• Types of Fault?
the fault?
Fault?
https://commons.wikimedia.org/wiki/File:Escarpment_on_the_Cumberland_Plateau,_Tennessee.jpeg 21
Site Investigation
Site reconnaissance
• Stratigraphy
• Key Outcrops
• Existing Slopes
• Ground and Surficial Water
• Geologic Constraints
• Explorations
• Drilling Logistics
• Environmental Considerations

Site Investigation
Investigations for preliminary design

Site Investigation
Field Mapping and Measurements

of Rock Discontinuities
• Factors & K: Number
E: Orientation
α-dip direction
ψ-dip A: Rock type
Parameters of sets B,
J1 , J 2
Affecting I: Spacing
St
J2
α
J1
N
ψ
Geologic St =Sapp sinθ
S bedding B G: Aperture
Mapping of S bedding
(open)
Rock Mass J:
Persistence
(l) M: Seepage
Features (Wyllie 1999)
Sapp
B: Wall L: Block
strength H: Filling type, D: F: Roughness size/shape
width discontinuity (i)
type; bedding,
fault etc i

Site Investigation
Parameters Affecting Rock Mass

Behaviors – by discontinuities
Rock mass properties indexed by parameters, e.g.:
• joint spacing
• roughness
• degree of weathering
• dip & dip direction of slip planes
• Infilling
• extent of discontinuities
• groundwater conditions

Site Investigation
Patton’s experiment on the shear

strength of saw-tooth specimens
The factors of :
• strength of the rock
• the properties of the discontinuity
• the magnitude of normal stress 26
Site Investigation
Influence of loading direction on the

strength of graphitic phyllite
Salcedo (1983)

Site Investigation
Investigations for detailed design

Site Investigation
Thorough Subsurface Exploration

-Pre-construction site characterization
• General Considerations Must obtain an accurate
description of ground
• Site location conditions.
• Regional geology
Tunneling risks are
• Site conditions associated with ground and
 Physiography ground water conditions.
 Surficial geology
Identify the adverse geology
 Bedrock geology,
 e.g., types, properties, structures, stress, temperatures,
 Hydrological conditions

Site Investigation
Thorough Subsurface Exploration

• Geotechnical Reconnaissance
 Historic borings
 Historic construction
• Phase I Exploration
 deep, widely spaced borings (300m apart)
• Phase II Exploration
 1.5 to 2 tunnel diameters below invert (<150 m apart)
• Phase III Exploration
 Explore any anomalies identified in Phase I or II
 Faults, shear zones, etc.

Site Investigation
Geological description of a rock zone
• Zoning
 Name of the geological formation in accordance with a genetic
classification
 Geologic structure and fracturing of the rock mass

with strike and dip orientations
 Colour, texture and mineral composition

 Degree of weathering
 Parameters of the rock mass
• Primary stress field of the ground
• Water conditions
• Deformability of the rock mass
• Swelling or squeezing potential of the rock
Site Investigation
Sedimentary rocks
• Sedimentary Rocks are formed by
the accumulation and subsequent
consolidation of sediments into
various types of rock.
• They usually consist of layers or
strata; hence they are also called
stratified rocks. Depending on what Tunnel in sedimentary rocks
they're made of, sedimentary rocks
fall into one of three types.
 Clastic sedimentary rocks
 Biochemical sedimentary rocks
 Chemical sedimentary rocks
32
Site Investigation
Igneous rocks
• Igneous Rocks: Igneous rocks are
formed from the solidification of molten
rock material. There are two basic types.
 Intrusive igneous rocks crystallize below
Earth's surface, and the slow cooling that
occurs there allows large crystals to form.
Examples of intrusive igneous rocks are
diorite, gabbro, granite, pegmatite, and Granite
peridotite.
 Extrusive igneous rocks erupt onto the
surface, where they cool quickly to form small
crystals. Some cool so quickly that they form
an amorphous glass. These rocks include
andesite, basalt, dacite, obsidian, pumice,
rhyolite, scoria, and tuff. Welded Tuff
Metamorphic rocks
• Metamorphic rocks are
formed when other rocks
are subjected to heat and
pressure.
• These are the primary
metamorphic rocks:
 Slate
 Phyllite
 Schist
 Gneiss
 Marble
 Quartzite
34
Site Investigation
The geological environment, cross

section of a river valley

Structures
Sedimentary rocks
Fold Intrusive vein

Fault Limestone
Sandstone
Shale
Intrusive
rocks
Fault
The relationship of the geological units, in terms of geology evolution

36
Site Investigation
Geological cross-
section along the
headrace tunnels of
the Jinping II
Hydropower Station

Adverse Geological Features

A geological unit or feature, which may have an
adverse effect on the stability, construction or
operation of a tunnel or underground structures.
• E.g., the adverse features may be due to ground
water:
 Artesian pressure of groundwater or higher pressure
in deeper aquifer
 Water inflow or ingress
 Aggressive groundwater
 Soluble sulfates that attack concrete and shotcrete
 Pyrites
 Acidic
38
Site Investigation
Adverse geology
• Gravity driving • Geological and geotechnical
process features, may due to
excavation
 Landslide
 High in situ stress and rockburst
 Debris flows  Swelling ground
 Earthflows  Squeezing ground
 Frost soils
 Rockfalls
 Gassy ground (Methane, H2S)
 Sinkhole in karst  Erosive ground water
or loess areas  High rock temperatures
 Sinkholes and Karst Topography
 High water pressure and water inflow
Site Investigation
Rockburst
• Rockburst has been defined as damage to
underground workings caused by the
uncontrolled disruption of rock associated
with a violent release of energy additional
to that derived from falling rock fragments.
• The main causes of rockbursts are

associated with the energy changes
induced by excavating in the rocks
surrounding large excavations.
Site Investigation
Effects of a rockburst in a deep-

level South African gold mine
(Heok 1966)
The main
characteristic
of a rockburst
is the fact
that it occurs
in hard, brittle,
highly
competent
rocks.

Site Investigation
Subsurface Exploration Methods

• Test Pits and Trenches
• Soil Drilling
• Rock Drilling
 Types of Core Drilling
 Observation During Core Drilling
 Rock Quality Designation (RQD)
• Geophysical methods
• Pilot tunnel

Site Investigation
Test Pits and Trenches

• Test pit
• Trial trenching

Site Investigation
Possible borehole locations for a

mountain tunnel
Borehole
site
Borehole L
Tunnel
Tunnel
E F
H D E F A B C D
B C
A
(a) In longitudinal section (b) In plan
Note: (1) The depth of H may be several meters to one or

two times of the tunnel diameter; (2) the distance of L is
about same as the tunnel diameter; (3) A, B ... E and F show
geological units.
Site Investigation
Sketch showing poorly, fairly and preferred

boring layout along a planned tunnel
Planned tunnel Reverse fualt Preferred boring

Fairly designed borehole
Poorly designed borehole
1100
Elevation
900
700 0 500
Note:
(1) The width of the fault belt varies from 80 to 120m.
(2) The wallrocks are mainly slightly weathered sedimentary rocks, with two sets of joints.

Site Investigation
Rock Drilling
• Types of
Core Drilling
• Observation Core Barrels
and logging
• Rock Quality
Designation
(RQD)
Diamond, Carbide Tungsten,
Sawtooth
Carbide Type Bits

Core Recovery
• Core Runs taken in either 1.5- or 3-m

sections
• Log the amount of material recovered
• Core Recovery is percentage retained
Storage of Rock Core Boxes

47
Procedure for measurement and calculation of

RQD (After Deere 1989)
RQD 
 Length of core pices  10cm length
100
Total length of core run
Total length of core run = 200mm

38  17  20  35
RQD  100  55
200
Rock Quality Description
RQD Rock quality
0-25 Very poor

25-50 Poor
50-75 Fair
75-90 Good
90-100 Excellent
48
Geophysical Methods
• Seismic Refraction and Reflection
• Electrical Resistivity
• Ground Penetrating Radar
49
Site Investigation
Representative Compression Wave Velocities

of Various Soil and Rock Materials

Field Setup & Procedures for Seismic

Refraction Method
51
An interpreted depth section of a

seismic reflection survey profile
52
RIP profile for the Hsuehshan

Tunnel The results of the resistivity image
profiling (RIP, Tsai et al. 2005)
The No.1 RIP profile, with rich groundwater belt shown The No.2 RIP profile, with fracture zones shown
53
Distribution of the bedrock

topography in GPR map
54
In Situ Testing
• Why
• Tests for Soils Investigations
 Standard penetration (SPT), cone penetration test (CPT),
piezocone (CPTu), flat dilatometer (DMT), pressuremeter (PMT),
and vane shear (VST)
• Permeability Tests
• In situ stress measurement
55
Sequence of driving split-barrel sampler

during the standard penetration test
56
General Test Procedures for the Field

Vane in Fine-Grained Soils.
Note:Interpretati
on of undrained
strength shown is
for standard
rectangular vane
with H/D = 2.
57
Orientations of horizontal principal stress from in situ

stress measurements and observations in China
(World Stress Map Release 2008)
58
Vertical stress and lateral stress coefficients, k

down to a depth of 3 km in the Earth’s crust
(Zang and Stephansson 2010)
σ k
k
σv=27z (MPa/km)
Note: In (b) , the upper and lower bound of k values from Brown and Hoek (1978) are shown. For reference
in (c), the k values at KTB from borehole in Sweden and core-based methods down to 9.1 km depth are
shown. In (c), Heim’s rule ( k =1) and the biaxial stress model ( k =1/3) are indicated by vertical lines
59
Horizontal Stresses with depth in China

（景锋等 2007）
朱焕春和陶振宇（1994）
60
Ratio of Horizontal Stresses and

Vertical stresses with depth in China
（景锋等 2007）
61
0.0 1.0 2.0 3.0

0
k=100/z+0.3
-500
-1000
0.3+100/z<k
Overburden-Z (m)
-1500 <0.5+1500/z
k=1500/z+0.5
-2000
-2500
-3000
K=Horizontal stress/vertical stress
Plot of variation of horizontal stress with depth below
surface (after Hoek and Brown 1980)
62
High in-situ stress indication from the

damages in a borehole wall
Example of stress induced Explanation of dog earring

sloughing of material from a
borehole wall
63
Borehole breakout and drilling-

induced fracture
• Breakout occurs
along the
minimum
horizontal stress
(Sh) on the other
hand it forms
perpendicular to
direction of the
maximum
horizontal stress
(SH)
(Tingay et al. 2008)
64
Non-symmetrical core discing, indicating that the core

axis is not a principal stress direction
Core discs symmetrical

with respect to the core
axis
65
Damages in tunneling due to

high in-situ stress
• Inclined dog earing in a • Rockburst in
tunnel illustrating an
inclined in situ stress tunnel
direction (by Dr C D Martin)
66
Rockbursts at the deepest

sections of the access tunnels
(Zhang et al 2012)
• (a) the extremely intense rockburst in access tunnel B

(facing west);
• (b) the intense rockburst in access tunnel A (facing west).
Zhang, Z.Q.,Feng, X.-T., Zhou, H. Estimation of in situ stress along deep tunnels buried in complex geological conditions.
International Journal of Rock Mechanics and Mining Sciences, Vol. 52, 2012, 139–162, 67
Brittle failures of headrace tunnel 4

at Jinping II Hydropower Station,
16.7 km in length and have a maximum depth of 2525 m
(a)
(b)
• (a) Failures of the “7.14” extremely intense rockburst;
• (b) The EDZ calculated and measured at the cross-section with
Stake 9+810.
(Zhang et al 2012)
68
Site Investigation
4.3 Ground characteristic parameters
• Geotechnical Material Description

• Soil Properties Interpretation
• Rock mass structure and characterisation
• Rock Mass Properties Interpretation
• Selecting Soil and Rock Properties in
Designs
69
Site Investigation Ground characteristic parameters
Geotechnical description soils

• Soil identification (laboratory testing):
• Mechanical properties determined by laboratory

testing
• Mechanical properties detemined by field testing
• Ground water condition e.g. permeability, as

determined by pumping tests.
70
Site Investigation Ground characteristic parameters
Soil identification by laboratory testing
• Particle size distribution
• Atterberg limits, wl, wp
• Unit weights, γd, γz
• Water content, w
• Permeability, k
• Core recovery
71
Site Investigation
{
Range of {
“ ”
hydraulic “ ”
conductiv （
）
ity values
based on *
soil type
Ground characteristic parameters (Holtz and Kovacs 1981) 72

Site Investigation
Parameters of the rock mass

• Features of rock mass
 Thickness of the layers
 Fracture intercept
 Core recovery
 Uniaxial compressive strength of the rock, derived from laboratory tests
 Angle of friction of the fractures (derived from laboratory direct shear
tests)
 Strength of the ground in on-site situations
 Deformation properties (modulus)
 Effect of water on the rock quality
 Elastic Seismic velocity
• Grade of rock mass
Ground characteristic parameters 73

Site Investigation
Primary / initial stress field of the ground
• For larger tunnel projects, tests evaluating the

natural stresses in the rock mass may be
recommended.
• For usual tunnel projects one should least estimate
the stress ratio σh/σv at tunnel level, Where σh is the
lateral ground pressure and σv the major principal
stress (usually in the vertical direction), for which
the weight of the overlying rock generally may be
taken.
• Tectonic stresses should be indicated
Site Investigation
Ground characteristic parameters
Deformability of the rock mass
Properties for TBM to be

employed include:
• Abrasiveness and hardness
• Mineral composites, e.g. quartzite
contents
• Homogeneity
75
Site Investigation
Mechanical properties
• Mechanical properties determined by laboratory
testing:
Friction angle φu, φ
Cohesion cu, c
Compressibility mv, cv
• Mechanical properties detemined by field testing:
Shear strength τ (Vane-test)
Penetration N (Standard Penetration Test)
Deformability E (Plate bearing, Dilatometer)

Site Investigation
4.4 Rock mass classification

• Introduction
• Rock mass properties
• The stability of excavations
• The classifications in the world
• BQ system in China
• Some comments
77
Site Investigation
Rock mass classification
Introduction
• Features of a tunnel or underground
structure
• Rock mass properties and the stability of a

tunnel or underground excavations
• Design method in practice
• Rock mass classification
78
Site Investigation
Rock Mass Properties

• Rock mass is a matrix consisting of rock material
and rock discontinuities.
• Properties of rock mass therefore are governed
by the parameters of rock joints and rock
material, as well as boundary conditions.
• The behaviour of rock changes from continuous
elastic for intact rock materials to discontinues
running of highly fractured rock masses,
depending mainly on the existence of rock joints.
Rock mass classification 79

Site Investigation
Prime parameters governing
rock mass property
• Joint Parameters
• Material Parameters
 Number of joint sets
 Compressive strength
 Orientation
 Modulus of elasticity
 Spacing
• Boundary Conditions
 Aperture
 Groundwater pressure and
 Surface roughness flow
 Weathering and  In situ stress

alteration 80
Site Investigation
Scale effects
in rocks
• Idealised
diagram
showing the
transition from
intact to a
heavily jointed
rock mass with
increasing
sample size
81
Site Investigation
Stability of excavations
The stability of excavations depends on main factors,
including:
• Geotechnical conditions
 Intact rock strength
 Rock mass properties and strength
 In situ stress
 Water flow and pressure
• Design and construction
 Dimensions and shapes of the excavations
 Excavation method
 Supporting system and construction sequence
82
Site Investigation
Structurally controlled instability in tunnels

Wedges formed in the roof, floor
Roof fall and sidewalls of a tunnel
Sidewall wedge
Excavated in a jointed rock mass

Site Investigation
Influence of the stress state on stability
Stress state due to
• In situ stress (structural or gravity reason)
• Redistribution of the stress due to excavations
• Dimensions and shape of the excavations
• Strength of the rock mass
• Ground water conditions
• .....
Site Investigation
Strength and stress state

controlled rocks
Percent strain ε = (tunnel radial closure δ / tunnel radius R0)×100

30
• Stress state
Carranza-Torres and Fairhurst solution
 High in situ stress 25 Duncan Fama solution
 Redistribution of stress 20
due to excavation
15
ε = 0.2 (σcm /P0) -2
• Deformation of the wall
rocks 10
 Stress state
5
 Strength of the wall rocks

 Mode of the stress
0
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
Rock mass strength σcm / In situ stress P0
loading

Site Investigation
Stress state-Stability of
excavations （deformation）
• (σcm)/ P0
Strain ε = tunnel wall displacement δ / tunnel radius r0 ×100

14
σcm- Rock mass uniaxis 12 Strain greater than 10%

Extreme squeezing problems
compressive 10
strength
8 Strain between 5% and 10%
P0-in situ stress Very severe squeezing problems
6
• σcm / P0 <0.2,
Strain between 2.5% and 5%
4 Severe squeezing problems
Strain between 1.0% and 2.5%
in high stress state 2
Minor squeezing problems
Strain less than 1.0%
Few support problems
• Large deformation
0.1 0.2 0.3 0.4 0.5 0.6
squeezing σcm / P0 = rock mass strength / in situ stress

Site Investigation
Large convergence (deformation)

under squeezing condition
• Large radial
deformation –
convergence
• Expanding
excavation after
initial supporting Faido station tunnel in France
system
installation
87
Site Investigation
The influence of ground water

• Water pressures, e.g., effective stress
influence
• Softening the rocks
• Washing of the infillings in discontinuities
• Effect of the moistures changing
• Effect of the changing of ground water table,

e.g. settlement
88
Site Investigation
Design methods
• In engineering in rock, three design
strategies can be distinguished:
analytical, empirical, and numerical.
• Empirical, i.e. rock mass classification,
methods are extensively used for
feasibility and pre-design studies, and
often also for the final design.
89
Site Investigation
Rock mass classifications

• Base on the case histories, some parameters or
indexes were empirically related to the behavior
of the rock mass during and after the excavation
of tunnel or underground structures.
• Various rock mass classification systems (rock
engineering classification systems) have been
developed to describe the rock masses and to
formalize an empirical approach to tunnel design.
• In short, rock mass classification schemes are to
assist in the collection of rock masses into
common or similar groups, with empirically
formalized behaviors and corresponding
suggestions in terms of design and construction.
90
Site Investigation

• Rock mass classification systems are used
for various engineering design and stability
analysis.
• These are based on empirical relations
between rock mass parameters and
engineering applications, such as tunnels,
slopes, foundations, and excavatability.
• The first rock mass classification system in
geotechnical engineering was proposed in
the 1940s for tunnels with steel set support.
91
Site Investigation
Objectives of rock mass

classifications
• Identify the most significant parameters influencing the
behavior of a rock mass.
• Divide a particular rock mass formulation into groups of
similar behavior – rock mass classes of varying quality.
• Provide a basis of understanding the characteristics of
each rock mass class
• Relate the experience of rock conditions at one site to
the conditions and experience encountered at others
• Derive quantitative data and guidelines for engineering
design
• Provide common basis for communication between
engineers and geologists 92
Site Investigation
Benefits of rock mass

classifications
• Improving the quality of site investigations
by calling for the minimum input data as
classification parameters.
• Providing quantitative information for
design purposes.
• Enabling better engineering judgment and
more effective communication on a project.
93
Site Investigation

• Rock Load Factor / Rock load classification (Terzaghi 1946)
• Stand-up time (Lauffer1958)
• RQD (Deere 1964)
• Rock Structure Rating-RSR （Wickhan1972）
• Rock Mass Rating - RMR (Bieniawski1974)
• Q-system (Barton et al. 1974)
• GIS (Heok et al. 1994, 1995)
• BQ system in China (1995, 2004, 2014, 2016, 2018)

94
Site Investigation
Rock load classification method

(Rock Load Factor)
• It was the first rational method of rock
classification.
• It was developed by Karl von Terzaghi for mined
tunnels, supported by steel sets.
• It is not suitable for modern tunneling methods
using shotcrete and rockbolts. This classification
may be too general to give an objective
evaluation.
• The load of ground will thrust on the supporting
system can approximated by a“Rock Load
Factor”.
95
Site Investigation
Rock Load Factor

• It classifies rock mass Ground surface
into 9 classes. W1
• The concept used in H B1

this classification c d
Loosened area
system is to estimate
W HP
the rock load to be
carried by the steel
arches installed to Ht
support a tunnel.
a b
B

Site Investigation
Rock Load Factor

Rock Load Factor Hp
Rock class Remark
(feet) (B and Ht in feet)
Light lining required only if spalling or
I. Hard and intact 0
popping occurs
Light support for protection
II. Hard stratified
0 to 0.5B against spalling. Load may change
and schistose
between layers.
III. Massive, Light support for protection against
0 to 0.25 B
moderately jointed spalling.
IV. Moderately
0.25 B to 0.35 (B + Ht) No side pressure.
blocky and seamy
V. Very blocky and
(0.35 to 1.1) (B + Ht) Little or no side pressure.
seamy
VI. Completely Considerable side pressure. Softening
crushed but 1.1 (B + Ht) effects by water at tunnel base. Use
chemically intact circular ribs or support rib lower end.
VII. Squeezing rock
(1.1 to 2.1) (B + Ht)
at moderate depth Heavy side pressure. Invert struts
VIII. Squeezing required. Circular ribs recommended.
(2.1 to 4.5) (B + Ht)
rock at great depth
up to 250 feet, Circular ribs required. In extreme cases
IX. Swelling rock
irrespective of B and Ht use yielding support.
97
Site Investigation
Comments on the Rock Load

Factor Classification
• (a) It provides reasonable support pressure
estimates for small tunnels with diameter up to
6 m.
• (b) It gives over-estimates for large tunnels with

diameter above 6 m.
• (c) The estimated support pressure has a wide

range for squeezing and swelling rock
conditions for a meaningful application.

Site Investigation
Stand-up time classification

• The main significance of this method
is that an increase in tunnel span
leads to a major reduction in the
stand up time.
• This method has influenced the
development of more recent rock
mass classification systems.

Site Investigation
Active Span and Stand-Up Time

• Stand-up time is the
length of time which
an excavated
opening can stand Cross section Longitudinal section
without any mean of
support.
• Rock classes are

assigned according Cross section Longitudinal section
to the stand-up time.
Active Span
100
Site Investigation
Stand-up time classification

• The Stand-up time classification by Lauffer is
often regarded as the origin of the New
Austrian Tunnelling Method (NATM). The
original system as developed by Lauffer is
nowadays by many regarded as obsolete but
his ideas are incorporated in modern rock
mechanics science, such as the relation
between the span of a tunnel and the stand-
up time, and notably in the New Austrian
Tunnelling Method.
• Reference: Lauffer, H. (1958). "Gebirgsklassifizierung für den
Stollenbau". Geology Bauwesen 74 (1): 46–51.
101
Site Investigation
Excavation-support relation
102
Site Investigation
Rock quality designation (RQD)

• RQD
represents Rock Quality Description
fracturing
RQD Rock quality
degree of the
rock mass. 0-25 Very poor
• It partially 25-50 Poor
reflecting the 50-75 Fair
rock mass 75-90 Good
quality. 90-100 Excellent
103
Site Investigation
RQD From Jv
• Jv - the volumetric joint count
• It is very difficult to relate RQD to Palmstrom (1974):
other jointing measurements
(Palmstrom 2005), RQD is a one- RQD =115 -3.3Jv
(RQD = 0 for Jv > 35, and
dimensional, averaged
RQD =100 for Jv < 4.5)
measurement based solely on
core pieces longer than 0.1 m.
• Simulations using blocks of the
same size and shape penetrated
by a borehole at different angles
have been used for such
estimations.
104
Site Investigation
Rock Structure Rating

(RSR) system, RSR =(A+B)+C
• A, Geology: geological structure on the basis of:
 a. Rock type origin (igneous, metamorphic, sedimentary).
 b. Rock hardness (hard, medium, soft, decomposed).
 c. Geologic structure (faulted/folded).
• B, Geometry: Effect of discontinuity pattern with respect to
the direction of the tunnel drive on the basis of:
 a. Joint spacing.
 b. Joint orientation (strike and dip).
 c. Direction of tunnel drive.
• C: Effect of groundwater inflow and joint condition on the basis
of:
 a. Overall rock mass quality on the basis of A and B
combined.
 b. Joint condition (good, fair, poor).
 c. Amount of water inflow (in gallons per minute per 1000
feet of tunnel).
Wickhan（1972）
105
Site Investigation
RSR support estimates for a 7.3 m

diameter circular tunnel
• Note that
rockbolts
and
shotcrete
are
generally
used
together.
(After Wickham et al 1972)
106
Site Investigation
Rock mass rating (RMR) system

• Also: Geomechanics Classification
• Bieniawski (1973, 1976) developed his scheme

using data obtained mainly from civil
engineering excavations in sedimentary rocks in
South Africa.
• Bieniawski has made significant changes in the

ratings assigned to different parameters.
• The 1989 version of the classification

(Bieniawski, 1989).
107
Site Investigation
Rock Mass Rating – RMR: 0~100

(Bieniawski, 1989)
RMR system incorporates Five (SIX) basic

parameters.
• (1) Strength of intact rock material: uniaxial
compressive strength or point load index; 0~15 (Rating)
• (2) RQD; 3~20

• (3) Spacing of discontinuities: average spacing ; 5~20
• (4) Condition of discontinuities: aperture, roughness, surface
weathering and alteration, infilling; 0~30
• (5) Groundwater conditions: inflow or water pressure; 0~15

• (6) Orientation of discontinuities; 0~-12
108
Site Investigation
The effects of joint strike and dip in

tunnelling (after Bieniawski, 1989).
Strike perpendicular to tunnel axis
Strike perpendicular to tunnel axis
Drive with dip Drive against dip
Dip 45-90º Dip 20-45º Dip 45-90º Dip 20-45º
Very favorable Favorable Fair Very unfavorable
Strike parallel to tunnel axis

Strike parallel to tunnel axis
Dip 45-90º Dip 20-45º Dip 0-20º irrespective of strike
Unfavorable Fair Fair

Site Investigation
Structural regions
• In applying this classification system, the rock mass
is divided into a number of structural regions and
each region is classified separately.
• The boundaries of the structural regions usually
coincide with a major structural feature such as a
fault or with a change in rock type.
• In some cases, significant changes in discontinuity
spacing or characteristics, within the same rock type,
may necessitate the division of the rock mass into a
number of small structural regions.

Site Investigation
RMR and rock mass quality

RMR Ratings 81-100 61-80 41-60 21-40 <20
Rock Mass A B C D E
Class
Description Very good Good rock Fair rock Poor rock Very poor rock
rock
Average stand- 10 years for 6 months for 1 week for 10 hours for 30 minutes for
up time 15m span 8m span 5m 2.5m span 0.5m span
span
Rock mass >400 300-400 200-300 100-200 <100
cohesion
(kPa)
Rock mass >45º 35º-45º 25º-35º 15º-25º <15º
friction
angle
• The occurrence of the discontinuity is considered in the RMR.

Site Investigation
Guidelines for excavation and support of 10 m span rock
tunnels in accordance with the RMR system
(After Bieniawski 1989)
112
Site Investigation
Estimating the stand-up time with

parameters of RMR and active span
Rock mass classification (Bieniawski 1984) 113

Site Investigation
Rock Tunnel Quality Q-

System Barton et al (1974, 1989)
• RQD - Rock Quality Designation.

• Jn - joint set number.
• Jr - joint roughness number.
• Ja - joint alteration number indicating the degree of
weathering, alteration and filling.
• Jw = joint water reduction factor.
• SRF = stress reduction factor.
Site Investigation
=0.001 to 1000
• RQD: 0~100
• Jn: 0.5~20, varying from 0.5 for a massive rock mass with no or
few joints to 20 for crushed or diaggregated rock
• Jr: 0.5~5, varying from 0.5 for slickensided, planar surfaces to 5
fornon-persistent structures with spacings larger than 3 m
• Ja: 0.75~20, varying from 0.75 for wall-wall contact in unaltered
rock or for joints containing tightly healed, hard, non-softening,
impermeable filling to 20 for structures with thick fillings of clay gouge
• Jw: 0.05~1, varying from 0.05 for exceptionally high inflows or
for water pressure continuing without noticeable decay to 1.0 for dry
conditions or minor inflows
• SRF: 0.5~ 400, varying from 0.5 for high stress but tight
structure conditions in good quality rock to 400 for heavy squeezing
rock pressures or heavy rock burst conditions and immediate dynamic
deformations in massive rock
115
Site Investigation
Q-value and rock mass quality

Q-value Class Group Rock mass quality
400~1000 A1 Exceptionally good
100~400 A2 Extremely good
1
40~100 A3 Very good
10~40 B Good
4~10 C Fair
2
1~4 D Poor
0.1~1 E Very poor
3
0.01~0.1 F Extremely poor
0.001~0.01 G 4 Exceptionally poor
Site Investigation
Q system application
( Barton, Lien and Lunde 1974; Barton 1989).

Site Investigation
G F E D C B A
Chart for
design of
steel fibre 9 8 7 6 5 4 3 2 1
reinforced
shotcrete
and
systematic
bolting
support
Χ Χ
Note for Reinforcement Categories:

①Unsupported; ②Spot bolting; ③Systematic bolting; ④Systematic bolting, (and unreinforced shotcrete, 4-
10 cm); ⑤Fibre reinforced shotcrete and bolting, 5-9 cm; ⑥Fibre reinforced shotcrete and bolting, 9-12 cm;
⑦Fibre reinforced shotcrete and bolting, 12-15 cm; ⑧Fibre reinforced shotcrete, >15 cm, reinforced ribs of
shotcrete and bolting; ⑨Cast concrete lining
Palmstrom & Broch (2006) 118
Site Investigation
Excavation Support Ratio (ESR)

( Barton, Lien and Lunde 1974)
Excavation category ESR
A-Temporary mine openings. 3-5
B-Permanent mine openings, water tunnels for hydro power (excluding

high pressure penstocks), pilot tunnels, drifts and headings for large 1.6
excavations.
C-Storage rooms, water treatment plants, minor road and railway tunnels,
1.3
surge chambers, access tunnels.
D-Power stations, major road and railway tunnels, civil defence chambers,
1.0
portal intersections.
E-Underground nuclear power stations, railway stations, sports and public
0.8
facilities, factories.

Site Investigation
Geological Strength Index- GSI

• Development and practical application of the
Hoek-Brown empirical rock mass strength
criterion
• Hoek (1994) and Hoek et al. (1995) introduced
a new rock mass classification scheme
known as the Geological Strength Index (GSI)
• The GSI was developed to overcome some of
the deficiencies that had been identified in
using the RMR scheme with the rock mass
strength criterion
Site Investigation
The GSI is based and for

• The strength of a jointed rock mass
depends on the properties of the intact
rock pieces and also upon the freedom
of these pieces to slide and rotate
under different stress conditions.
• The GSI seeks to account for two
features of the rock mass:
Structure as represented by its blockiness
and degree of interlocking
The condition of the discontinuity surfaces
Site Investigation
Geological Strength Index- GSI

• GSI was aimed to estimate the reduction
in rock mass strength for different
geological conditions.
• The system gives a GSI value estimated
from rock mass structure and rock
discontinuity surface condition.
• The direct application of GSI value is to
estimate the parameters in the Hoek-
Brown strength criterion for rock masses.
Site Investigation
Characterisation of blocky rock masses on

the basis of interlocking and joint conditions
(Heok 2007)
90
N/A N/A
80
70
60
50
40
30
20
10
N/A N/A
123
Site Investigation
GSI and rock mass quality

GSI value 76-95 56-75 41-55 21-40 <20
Rock mass quality Very good Good Fair Poor Very poor
• GSI was found mainly useful for weaker

rock masses with RMR < 20.
• As GSI is used for estimating input
parameters (strength), it is only an
empirical relation and has nothing to do
with rock engineering classification.

Site Investigation
BQ system in China-where?
• BQ system FOLLOWING Standard for
engineering classification of rock masses (GB
50218-94, 2014), with soil being added;
• Code for Design of Road Tunnel (JTG D70-2004)
• Specifications for Design of Highway Tunnels,

Section 1 Civil Engineering (JTG 3370.1-2018)
• Guidelines for the Design of Highway Tunnel (JTG/T

D70-2010)

Site Investigation
BQ system in China-where and how?
• In the BQ system, the basic quality of rock masses is

described with two basic parameters, the hardness
of rock mass and intactness of rock mass.
• The BQ system (GB 50218-1994, 2014) covers the
classifications of rock masses, which exclude soils.
• Tunnels may also be built in soils. And therefore,
when the BQ system is quoted into the rock mass
classification system in the design codes for road or
railway tunnels, the soils are added into the
classification system.
• So the rock masses in these systems include both
soils and rocks.
Site Investigation
Tunnels in rocks
-Main considerations
• Geological and geotechnical conditions of the surrounding
rocks
 Strength
 Hardness
 Weathering condition
 Structures and Intactness showing discontinuities, integrity, isotropy
 Fractures, joints, faults, etc.
 Thickness of rock layers
 Weathering and alteration
• Stability of the surrounding rocks during and after excavating
( stand-up time)
 Influence of in situ stress
 Influence of ground water conditions
 Influence of discontinuities
127
Site Investigation
The general procedure and main points of the

grade evaluation of the surrounding rocks of
rock tunnels
Grade of rock Grade of rock mass
hardness intactness
Step I Qualitative division Quantitative indices

Determination of grade of of classification of classification
rock mass basic quality parameters parameters
Classification of rock mass basic quality
Adjustment for Adjustment for the Adjustment for

adverse influence of influence of the
groundwater discontinuity state of initial
Step II conditions orientation stress
in underground engineering
Rock mass classification in tunnel

and underground engineering
Site Investigation
Rock mass classification for the

tunnels in rocks
• Basic quality of the rock mass, BQ Value
Hardness of rocks
Intactness of rock masses
Each of the above two parameters is assigned a value corresponding to

the characteristics of the rock mass.
These values are derived from both field surveys and laboratory tests.
The values of the rock masses basic quality, BQ, are calculated with the
indexes of rock mass intactness and rock strength.
129
Site Investigation
The value for the BQ

• BQ＝90 + 3Rc + 250 KV
Where is Rc＞90Kv＋30, with Rc=90Kv＋30
in calculation
Where is Kv＞0.04Rc＋0.4，with Kv=0.04Rc
＋0.4 in calculation
 Kv-Index or coefficient of rock mass intactness
（velocity index of rock mass）
 Rc – Intact rock compressive strength

Site Investigation
Grades of rock mass quality

(JTG D70-2004)
Note：It is noted that the sub-grade system is not suggested in the Specifications for
Design of Highway Tunnels, Section 1 Civil Engineering (JTG 3370.1-2018)

Site Investigation
The adjusted values of the BQ-[BQ]

• This BQ value may be adjusted for the
influence of ground water conditions,
discontinuity orientation, and the state of
ground initial stress, by applying the
correction coefficients.
• [ BQ ] = BQ - 100 ( K1 +K2 + K3)
with 50<100(K1 +K2 + K3)<310

 K1, K2 and K3 are correction coefficients for:
 the ground water conditions
 discontinuity orientation, and
 the state of ground initial stress, respectively
132
Site Investigation
The correction coefficients

Correction coefficients (K1) for the influence of ground water conditions (GB 50218-2014)
BQ values >550 550~451 450~351 350~251 ≤250
Damp or dripping, water pressures, P ≤0.1 MPa, or
Ground 0 0 0~0.1 0.2~0.3 0.4~0.6
inflow per 10 m tunnel length, Q ≤ 25 L/(min·10m)
water
Dripping or flowing, 0.1<P≤0.5MPa, or 25<Q≤125
inflowing 0~0.1 0.1~0.2 0.2~0.3 0.4~0.6 0.7~0.9
L/(min·10m)
conditions
Inflowing, P>0.5 MPa, or Q >125 L/(min·10m) 0.1~0.2 0.2~0.3 0.4~0.6 0.7~0.9 1.0
Site Investigation
Adjusting due to stress state

• Stress state
High stress state: Rc/σmax=4~7
Extremely high stress state: Rc/σmax<4
• Coefficient for stress state adjusting
0.5~1.0 for high stress state
1.0~1.5 for extremely high stress state

134
Site Investigation
Rock mass classification for the

tunnels in soils
• Three grades of soil quality are considered,
with clayey soils, sandy soils and gravel soils
being presented separately.
• Three grades of the surrounding rocks of
soils are considered as IV, V and VI.
 The grade IV of soils is belonging to the sub-grade IV3
in Code for Design of Road Tunnel (JTG D70-2004)
 Similarly, the grade V of soils is considered as two
sub-grades, V1 and V2 in the code (JTG D70-2004)
 Soft clays and loose sandy soils belonging to grade VI
Site Investigation
Three grades of soil quality
136
Site Investigation
Applications of the BQ system

• In the design codes and guidelines for tunnels,
the BQ-classification system are used for, such as
 Estimating the stand-up time, geotechnical parameters, and
 Selecting rock support in tunnel design, based on the grades
of rock mass
• The values for these design parameters are
tabulated in design codes and guidelines, such as
 Specifications for Design of Highway Tunnels, Section 1
Civil Engineering (JTG 3370.1-2018) and
 Guidelines for design of highway tunnel (JTG/T D70-2010)
Site Investigation
Estimating the stand-up time
138
Site Investigation
Estimating geotechnical
parameters
139
Site Investigation
4.5 Site Investigation Report
• Geotechnical Data Report (GDR)
• Geotechnical Interpretive Report (GIR)
• Geotechnical Design Memorandum (GDM)
• Geotechnical Baseline Report (GBR)
140
Site Investigation
(GDR) Report-Content
The Geotechnical Data Report (GDR) should
contain the following information (ASCE, 2007):
• Descriptions of the geologic setting
• Descriptions of the site exploration programs
• Logs of all borings, trenches, and other site
investigations
• Descriptions/discussions of all field and
laboratory test programs
• Results of all field and laboratory testing
Report 141
Site Investigation
Sample Outline for Geotechnical Data Reports

(After Brierley 1998)
• Introduction
• Background Information
• Field Investigations
• Laboratory Testing Program
• Figures
• Appendices
Report 142
Site Investigation
Geotechnical Baseline Report

• A fundamental principal in contracting practices for
tunnel projects is the equitable sharing of risk between
the owner and contractor, with the objectives of reducing
contingency fees in contractor bids, achieving lower total
cost for the project, and streamlining resolution of
contractor claims for changed conditions during
construction.
• The interpretive geotechnical report to be incorporated
into the Contract Documents for underground projects,
originally, was called the Geotechnical Design Summary
Report (GDSR). Since 1997, the incorporated report be
called Geotechnical Baseline Report (GBR)
Report 143
Site Investigation
The primary purposes of the GBR

ASCE (2007):
• Establish a contractual document that defines
the specific subsurface conditions to be
considered by contractors as baseline conditions
in preparing their bids.
• Establish a contractual procedure for cost
adjustments when ground conditions exposed
during construction are poorer than the baseline
conditions defined in the contract documents.
Report 144
Site Investigation
The secondary purposes of the GBR

ASCE (1997) :
• It presents the geotechnical and construction
considerations that formed the basis of design
• It enhances contractor understanding of the key project
issues and constraints, and the requirements of the
contract plans and specifications
• It identifies important considerations that need to be
addressed during bid preparation and construction
• It assists the contractor in evaluating the requirements
for tunnel excavation and support; and
• It guides the construction manager in administering the
contract and monitoring contractor performance
Report 145
Site Investigation
Comments:
• The primary motivation for adopting a risk-
sharing approach to tunnel construction
contracts
• The GBR is not intended to predict or warranty
actual site conditions
• It is also important to clearly differentiate the
GBR from other interpretive reports may be
prepared by the design team to addressing a
broad range of design issues for the team’s
internal consideration
Report 146

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Tunnel Engineering

4. Site Investigation in Tunnel

School of Highway，Chang’an University

4. Site Investigation in Tunnel Engineering

• 4.2 Site investigation in general

 Site investigation for a tunnel project

• 4.3 Ground characteristic parameters

• 4.4 Ground (rock mass) classification

• 4.5 Site investigation reports

• Geotechnical scope issues

• Guidelines for projects

 When to conduct geotechnical investigations

 When to do less or more investigation

• To gather additional Features of

Geotechnical Ground characteristics

Behaviors of Structures and

Site Mechanical model Safety and construction

Ground and supporting No

Geological and hydrogeological map of

Geological longitudinal cross section,

Geological cross-section along the Semnan tunnel

Guidelines for projects

4.2 Site investigation in general

Phased Investigation of Projects

residual uncertainty and ALARP ? No

Bidding & Note: ALARP-as low as reasonably possible

Main task of site investigation

Schematic knowledge vs. cost curve

Possibly not <1% In most

• Geological Maps and Reports

• Adjacent Projects, e.g., Qinling tunnels

• Hydro-geological Surveys and Well Logs

• Remote Sensing Data

Investigations for feasibility studies

Site investigation in general 15

Map of Yosemite National Park, USA

Seismotectonic map of the Wenchuan earthquake

(Xu et al. 2008)

The Wenchuan earthquake

(Xu et al. 2008)

Beichuan Bridge plate was shifted northeastward,

Site investigation in general 20

Escarpment on the Cumberland

• Ground and Surficial Water

Site investigation in general 22

Investigations for preliminary design

Site investigation in general 23

Field Mapping and Measurements

Site investigation in general 24

Parameters Affecting Rock Mass

Site investigation in general 25

Patton’s experiment on the shear

Influence of loading direction on the

Site investigation in general 27

Investigations for detailed design

Site investigation in general 28

Thorough Subsurface Exploration

Site investigation in general 29