Statistical-Based Generation of Joint Systems for Stability

Analysis of Tunnels in Discontinuous Rocks Mass

S. Villalobos Cifuentes & P. Pazzoto Cacciari
PhD Students, GeoInfra-USP, Polytechnic School, University of São Paulo, São Paulo, Brazil
M. Massao Futai
Associate Professor, GeoInfra-USP, Polytechnic School, University of São Paulo, São Paulo, Brazil

ABSTRACT:
Geotechnical analysis of tunnels in complex jointed/discontinuous rock masses requires an increased
understanding and more rigorous considerations of the impact of inter-block structure, such as the
network of rock joint systems and other discontinuity types on rock mass behavior.
Accuracy in predicting rock mass behavior depends on adequate characterization of in situ rock
properties. The performance of tunnels constructed in discontinuous rock masses depends on geometric
characteristics of joint/discontinuities (orientation, spacing and persistence), on the resistance
characteristics of the discontinuities and the intact rock, and on the effect of water. Difficulties arise
because parameters describing these characteristics are not unique, but distributed. This distributive
character affects both analyses in which rock mass parameters are used and sampling plans by which
parameters are obtained. However, stochastic description of discontinuous rock masses and the statistical
distribution of its geometric characteristics have developed considerable advances in the past 45 years.
In this article, the parallel deterministic and parallel statistic models about the distributional form of
geometric characteristics are used to the generation of rock joint systems. These are coupled in two-
dimensional numerical models based on finite elements software to evaluate the tunnel stability. A case
study of a Brazilian railway tunnel excavated in a discontinuous rock mass is used.

1. INTRODUCTION
Several old tunnels in Brazilian roads and railways were constructed in hard rock masses without any
support system. Recently, some of these tunnels are presenting localized problems of rock falls mainly
related with rock discontinuities distributions and some punctual weathering processes. The Vitoria-
Minas Railway (VMR), owned by VALE SA, is one of the oldest railways in Brazil, requiring geological and
geotechnical investigations to provide parameters and evaluate the stability state. Considering this
problem, a partnership between Polytechnic School of the University of São Paulo and VALE S.A. was
initiated to propose a methodology and study of these tunnels (Cacciari and Futai, 2016b).
This paper presents a two-dimensional semi-discontinuous numerical modelling approach to evaluate
the tunnel stability behaviour in fractured/discontinuous rock mass using the statistical characterization
of rock discontinuity systems obtained from terrestrial laser scanning (TLS) images, and two-
dimensional discrete fracture networks generation models.

2. ROCK JOINT SYSTEM MODEL

Based on the paper written by Dershowitz and Einstein (1988) the characterization of rock joint
geometry with joint system models is described as follow.
Geometric and mechanical characterization of rock joints is the basis for most of the work of engineering
geologists, civil and mining engineers when dealing with rock masses. However, the complete description
of joints is difficult because of their three-dimensional nature and their limited exposure in outcrops,
borings or tunnels. An ideal characterization of jointing would involve the specific description of each
joint in the rock mass, exactly defining its geometric and mechanical properties.
Joints in a rock mass are usually described as an assemblage rather than individually. The assemblage
has stochastic character in that joint characteristics vary in space. Such variations may be minute as in
the case of the orientation of a set of approximately parallel joints or they may be large if a particular
property has substantial variability.
In the present work is considered the aggregate characterization of rock joint system where the
interdependence of joint characteristics is captured through the formulation of joint system models.
Joint system models describe the joint characteristics as an entity. Since there are so many geometric
joint characteristics and thus a seemingly infinite number of combinations, one could produce a
corresponding number of joint system models. On the other hand, reality shows a relatively limited
number of predominant rock mass geometries. The joint system models, which will be described below
can represent many, although not all real joint geometries. In each model, some characteristics have
specific relationships with each other, but can otherwise vary. By capturing the relationships of joint
characteristics, joint system models can represent rock mass geometry as an entity.
A detailed information about of the rock joint system generation models used in this work through the
FEM-RS2 commercial software (Rocscience, 2015) is given bellow.

2.1. Parallel Deterministic Model

The parallel deterministic model was developed for rock joint that defines a network of parallel joints
with a fixed spacing and orientation (see Fig. 1a). In this case deterministic refers to the fact that the
spacing, length and persistence of the joints is assumed to be constant (i.e., exactly known with no
statistical variation). However, the parallel deterministic model does allow randomness of the joint
location.

Figure 1: Rock joint system models: (a) Parallel deterministic model; (b) Parallel
statistics model; (c) persistence [Rocscience, 2015].

The orientation defined by the trace plane in the joint network is simply the cross-sectional plane of the
FEM-RS2 model. Depending on the setting of the trace plane option, the joint orientation and spacing can
be defined using strictly two-dimensional input with respect to the trace plane, or three-dimensional
measurements can be accounted for. In this work was choiced the three-dimensional orientation and
spacing of the joint planes, and the trace plane orientation. FEM-RS2 models will then use this three-
dimensional input to determine the two-dimensional traces of the joint planes on the trace plane. It is
important to indicate that the FEM-RS2 plane strain analysis is two-dimensional. Therefore, when is enter
the three-dimensional joint plane orientations, is not defining a three-dimensional joint network. FEM-
RS2 only uses the three-dimensional information to determine the two-dimensional traces of the joint
planes on the trace plane. Once this has been determined, the actual analysis is two-dimensional (i.e., the
model will behave as if the joints were perpendicular to the trace plane).
The spacing is the perpendicular distance between the parallel joint planes. For the parallel deterministic
joint network model, the spacing is a constant value (i.e., equal spacing between all joint planes). It is
important to note that the definition of spacing depends on the trace plane option. In this case the spacing
which must enter is the actual, three-dimensional spacing between the joint planes (i.e., the true
perpendicular distance between the parallel joint planes, as measured in three-dimensions).
For the parallel deterministic model, the location of the joint network can be randomly generated, then
the FEM-RS2 will randomly generate the position of the joint network (i.e., although the joint spacing,
orientation and length are fixed, the position of the joint network is randomly generated).
The trace length defines the length of each individual joint in the network, as measured in the plane of
the model (i.e., the trace plane). For the parallel deterministic model, all joints in the network will have
the same length.
The persistence is defined as the ratio of joint length to total length along any joint plane, as illustrated in
the Fig. 1c (persistence = L1/L2). The persistence is a measure of joint continuity along a given plane. For
the parallel deterministic model, the persistence is a constant value, and defines a uniform length of intact
material between each joint segment.

2.2. Parallel Statistical Model

The parallel statistical model allows to define a network of parallel joints with defined statistical
distributions (Normal, Uniform, Exponential, Lognormal, Fisher) for the joint spacing, length and
persistence (Fig. 1b).
The orientation parameters for the parallel statistical joint network model (trace plane, inclination, etc.)
have the same definition as the parallel deterministic model.
The spacing, trace lebgth and persistence can be defined as a random variable by selecting a statistical
distribution, and entering the mean, standard deviation and relative minimum and maximum values.
For the parallel statistical model, if both the joint length and persistence are defined as random variables,
then the length of each joint segment, and the gap of intact material between adjacent joint segments,
will be variable, according to the statistical distributions you have defined.
The average values of joint spacing, length and persistence for the network should be approximately
equal to the mean values, when measured over the entire joint network. This will however depend on
the size of the region, relative to the size of joint network (i.e., if only a few joints are generated in the
region, then the actual joint spacing, length and persistence will not necessarily match the theoretical
distributions you have defined, due to the small sample size).

(c)
(a) (b)

Figure 2: (a) Faro Focus 3D Laser Scanner (Faro Inc.) and an example of the TLS tunnel
image (point cloud) generated by this instrument (Cacciari and Futai, 2016b).
Discontinuity measurements in the TLS point cloud. (b) Trace lengths, and (c)
orientations. (Cacciari and Futai, 2016a).

3. STATISTICAL CHARACTERIZATION OF ROCK DISCONTINUITY SYSTEMS

The faro focus 3D laser scanner was used to generate the tunnel point cloud (Fig. 2) and the Polyworks
software (InnovMetric Software) was used to perform the discontinuity mapping. The discontinuity
analyses were performed in Visual Basic-Excel programs. The methodology can be summarized by the
following steps:
1) Full discontinuity mapping of the TLS point clouds measuring all discontinuity positions, trace lengths,
and orientations.
2) Discontinuity analyses for determining the probability density functions (pdf) of the trace lengths and
orientations of each discontinuity set.
3) Obtain the areal intensity (P21).

3.1. Discontinuity Mapping in the TLS

The discontinuity mapping in TLS point cloud consists basically in interpreting the discontinuities
apparent in the tunnel rock face and taking measurements. The trace lengths (intersection between
discontinuities and the rock face) are measured by taking the distance between the endpoints of
polylines fitted in these traces. The orientations are measured by selecting coplanar points of the
discontinuity exposed areas and extracting the normal vector of a plane fitted in these points. All the
normal vectors measured are converted into the structural geology notation (Dip/Dip direction). Fig. 1b
shows examples of trace lengths and orientation measurements in the point cloud.

3.2. Discontinuity Analysis

First, a goodness-of-fit test (i.e. Kolmogorov-Smirnov test) is used to find the pdf of the measured trace
lengths [f(l)], of each discontinuity set. The most common distribution for trace lengths are the log-
normal, gamma and negative exponential (Zhang and Einstein, 2000).
Next, the window-sampling method proposed by Wu et al. (2011) is used to find the unbiased mean trace
lengths (µ), calculated as:
wh(1  R 0  R 2 )
=
(1  R 0  R 2 )(wB  hA) (1)
where w is the width, h is the height of a rectangular window, R0 and R2 are the fractions of transecting
(both ends censored) and contained (both ends observable) traces. A and B are constants that depend on
the discontinuity set and rock face orientations (see more details in Wu et al., 2011 and Cacciari and
Futai, 2016a). The standard deviation (σ) is calculated using the coefficient of variation (Zhang and
Einstein, 2000), as:
 =   cv m
cv m   m / lm (2)
where σm, lm and cvm are the mean, standard deviations and coefficient of variation of the measured trace
lengths, respectively, and can be directly obtained from the TLS discontinuity data.
The tunnel was subdivided in tree regions with a fitted rectangular sampling-window in each one of
them: the roof (R), the east-wall (EW) and the west-wall (WW). Figure 3a shows a section of the tunnel
with this subdivision and the trace map obtained from TLS. The walls were considered vertical sampling
planes and the roof a horizontal sampling plane to simplify the application of Eq. 1. Fig. 3b shows the roof
of the tunnel section mapped with TLS and Fig. 3c shows the trace map with the rectangular sampling
window fitted to calculate µ and σ.

3.3. P21 Calculation from DFN Generations

The areal intensity is defined by the total trace length apparent divided by the windows sampling area,
thus calculated as:

N
l
i 1 i
P 21 =
A (3)
where N in the total number of discontinuities apparent in a given sampling surface li is the length of the
ith discontinuity trace and A is the area of the sampling surface.
 Figure 3: (a) Section of the tunnel indicating the three regions. (b) TLS mapped point
cloud of the R region, and (c) trace map with the rectangular sampling window (Cacciari
and Futai, 2016b).

3.4. Example of Application: Monte Seco Tunnel

The case studied herein is a 8m-long section of the he Monte Seco tunnel, also presented in Cacciari and
Futai 2016a and 2016b. This tunnel is part of the Vitória-Minas Railway (VMR) and located in the State
of Espirito Santo, southeastern Brazil. VMR is operated by Vale SA, and is responsible for transportating
raw materials (mainly iron ore) from the State of Minas Gerais to the Tubarão seaport, in Vitória (State
of Espirito Santo).
As presented by Cacciari and Futai 2016a, the tunnel is constructed in a gneissic rock mass with four
discontinuity sets identified and characterized during field inspections: Two shear fracture sets (F1 and
F2); one sheet joint set (F3) and the rock foliation (Sn). The same sets were mapped in detail with TLS
images. Fig. 4 shows the orientation measurements in TLS images with the identifications of each of these
sets and the tunnel axis. The F3 family does not appear on this particular section of the tunnel; thus, it
will not be used on the numerical models.

(a) (b)

Figure 4: (a) Stereographic plot of the discontinuity orientation (poles) measured in

TLS images, and (b) lognormal distributions fitted to F1, F2 and F3 trace length data.
In most cases, discontinuity trace lengths are described by lognormal, gamma or exponential
distributions (Zhang and Einstein, 2000). Cacciari and Futai (2016b) used Kolmogorov-Smirnov tests to
analyze all trace lengths mapped (TLS images) from each discontinuity set (F1, F2) to find the best-fitted
distribution forms. As show the Fig. 4b, both F1 and F2 are best-fitted by log-normal distributions.
Next, the window-sampling method is used to obtain the local (8m-long section analyzed) unbiased trace
lengths and standard deviations for F1 and F2. The P21 was also calculated on these windows. The Fisher
distributions were obtained by stereonet analyses using the software Dips (Rocscience Inc.). Table 1
summarizes all the results of the discontinuity analyses of this particular section of the tunnel. These data
were used as input for the numerical analyses.

Table 1: geo-structural data used for two-dimensional numerical analysis.

Parameter F1 F2 Sn
Dip (o) 86 62 53
DipDir (o) 159 245 85
K, Fisher (-) 21 46 -
Spacing (m) 0,48 0,3 0,5
Length (m) 3,9 4,9 Infinite
St.Dev. (m) 1,98 2,45 -
Persistence (-) 0,5 0,5 -
P21 (m/m2) 1,68 2,08 -

4. NUMERICAL MODELLING
Based on the geological and geotechnical information described above, plane-strain semi-discontinuous
elasto-plastic numerical models using the FEM-RS2 commercial software were completed. The
methodology is described below.

4.1. Geometry, Boundary Conditions and Material Model

Because the main objective of this work was to observe the rock mass stability behaviour around the
tunnel excavation, the edges of the finite elements model have been restricted in the horizontal and
vertical direction. Triangular finite elements with 3 nodes was used in the analysis, considering a higher
density of finite elements mesh near the excavation (see Fig. 5a).
The tunnel shape is defined as a horseshoe with height equal to 6,5 m and width equal to 6,0 m (see Fig.
5b). The in-situ vertical stress state was estimated considering the lithology column on the tunnel´s roof,
and with a horizontal/vertical stress ratio K0 = 1.30.

Figure 5: (a) Geometry and boundary conditions of finite elements model. (b)
Dimensions of horseshoe tunnel section. (c) Random rock joint system generation
[Villalobos et al., 2016].
The rock mass material model selected was the generalized Hoek-Brown (Hoek et al., 2002). It has been
adapted in accordance with the methodology described in Diederichs (2003), whereby peak and residual
strength parameters are selected such that strain-softening behaviour occurs close to the excavation
perimeter whilst under increasing confinement (i.e., further from the excavation perimeter, strain-
hardening occurs) (Sweby et al., 2014). Three clearly defined rock joint systems (fracture planes: F1, F2;
and foliation plane: Sn) were considered to follow Barton-Bandis failure criteria (Bandis et al., 1981;
Barton et al., 1985).

4.2. Rock Joint System Simulations

The numerical modelling have incorporated the geo-structural data to evaluate the formation and
stability of rock blocks around the tunnel excavation (see Fig. 5c). The rock mass was modelled as elastic-
plastic material type intersected by geological discontinuities, in this case the network of rock joint
systems presented in Table 1.
Considering the mechanical properties of intact rock and discontinuities, one can predict major failures
controlled by discontinuities in the semi-discontinuous model. It was considered an intact rock material
with good mechanical properties, then the discontinuities are generally much weaker mechanical
properties than the intact rock blocks. Therefore, the semi-discontinuous numerical modelling provides
a valuable analysis tool because the displacement of unstable blocks along rock joint systems is allowed.

4.3. Results Interpretation

Explicit network of rock joint systems was generated within a limited area to reduce computation time
while maintaining a high accuracy in the immediate vicinity of the tunnel excavation. The generation of
rock joint system was used to provide more realistic representations of the jointing patterns based on
the geometrical data.
The main objectives of this work was to demonstrate and highlight the significant effect that imply the
explicit modelling of rock joint systems on the stress-deformation behaviour and failure patterns around
a tunnel excavated in discontinuous rock masses. The outcomes of plane-strain semi-discontinuous
models highlight the implications of the inclusion of rock joint systems using two-dimensional FEM
numerical approaches.
The outcomes of total displacement contours for the three models of rock joint system generation studied
are shown in the Figs. 6a-f. Based on the outcomes, it have the following observations:
The results obtained for the parallel deterministic model shows maximum total displacements between
1,5 to 3,4 mm (see Fig. 6a). Different to the previous model, for the parallel statistical model, maximum
total displacements between 1,5 to 4,1 mm are obtained. Both models have similar extension of the
yielding zone (red colour joints), both the roof and sidewalls excavation.
According to the obtained results is important to indicate that for the semi-discontinuous numerical
models, it is possible to observe anisotropic patterns of deformation and displacements at the boundary
of the tunnel excavation.
Due to low shear strength of rock joint systems, and the looseness/unconfined condition of rock mass
due to the unloading by the excavation works, rock blocks are formed by the intersection of two or more
rock joint systems.
In the Figs. 6b, e and Figs. 6c, f, it is possible to see the deformation vectors and the deformation contours,
respectively. These figures indicate that the yielded rock joints form the unstable rock blocks that tend
to fall, topple and slip, at roof and sidewalls of tunnel excavation. Differences in the deformation patterns
are observed between the parallel deterministic and parallel statistical models results.
In the Figs. 6g-h the over-break profiles measured by means of TLS for the analysed tunnel section are
showed in the Figs. 6g-j.
(a) (d)

(b) (e)

(c) (f)

(g) (h) (i) (j)

Figure 6: Two-dimensional section of the tunnel showing the total displacement,

deformation vectors, and deformation contours for the parallel deterministic model,
(a), (b) and (c), respectively. Two-dimensional section of the tunnel showing the total
displacement, deformation vectors, and deformation contours for the parallel statistical
model, (d), (e) and (f), respectively. (g), (h), (i), and (j), over-break profiles measured
by means of TLS for the tunnel section studied (Cacciari, 2014).
In general, the outcomes (both, the parallel deterministic and parallel statistical models), where the
yielded rock joints extension less than 1,5 m, show a good similarity with the observed in the field. For
this scenario, unstable rock blocks with height apex close to 1,5 m on the East sidewall (right sidewall of
Figs. 6a-f) are observed, which is closely resembles the measurements inside the tunnel (see Figs. 6g, h).
These results are similar to those observed in the Figs. 6g-j where are shown four profiles of over-break
excavation of the Monte Seco tunnel, which were measured by means of TLS. Over-break excavation
measurements show that the type of failure commonly occurring within the tunnel has been the sliding
of blocks with height apex lower than 1,5 m on the East sidewall. Localized falls on the West sidewall
have also been observed with height apex between 0,9 to 1,25 m.

5. CONCLUSIONS
In this work, statistical characterization of rock discontinuity systems and two-dimensional FEM-RS2
software was used to demonstrate and highlight the importance of explicit modelling rock joint systems
on the stability patterns around tunnel excavated in discontinuous rock masses.
TLS is a practical and powerful tool for discontinuity mapping in tunnels because it overcomes difficulties
associated with the traditional hand-made geological mapping.
Parallel deterministic and parallel statistical models about the distributional form of geometric
characteristics were used to the generation of rock joint systems
Due to the existence of rock joint systems, plastic zone is formed around the excavation. Some joint
plastic zones also appear far away from the tunnel but they have little influence on the stability of the
excavation. The results from semi-discontinuous numerical models show an anisotropic behaviour on
the displacement patterns.
Both, the parallel deterministic and parallel statistical models results, where the yielded rock joints
extension less than 1,5 m, show a good similarity with the observed over-break profiles in the field, which
were measured by means of TLS.

ACKNOWLEDGEMENTS
The authors would like to thank the company VALE S.A. for the logistical and financial support. The first
author would like to thank The Chilean National Council of Research, Science and Technology (CONICYT)
for the doctoral research scholarship provided. The co-authors would like to thank the Brazilian National
Council of Technological and Scientific Development (CNPq) for the financial support.

REFERENCES
[1] CACCIARI, P. P. Estudo de um túnel em maciço rochoso fraturado por investigação geológico - geotécnica e analise pelo
método dos elementos distintos. Dissertação de Mestre em Ciências (Engenharia Geotécnica), Escola Politécnica da
Universidade de São Paulo. 2014. 213p.
[2] CACCIARI, P.P.; FUTAI, M.M. Mapping and characterization of rock discontinuities in a tunnel using 3D terrestrial laser
scanning. Bull Eng Geol Environ, 2016a. Vol. 75, p. 223–237.
[3] CACCIARI, P.P.; FUTAI, M.M. Integrating Terrestrial Laser Scanning and Discrete Fracture Networks Approaches for Tunnel
Modelling in Fractured Rock Masses. In: VII Simpósio Brasileiro de Mecânica das Rochas, Belo Horizonte. 2016b.
[4] DERSHOWITZ, W.S, and EINSTEIN, H.H. Characterizing Rock Joint Geometry with Joint System Models. Rock Mechanics and
Rock Engineering, 1988. Vol. 21, pp. 21-51.
[5] Rocscience. RS2 Finite Element Analysis for Excavations and Slopes Software, Version 8.0, Rocscience Inc., Toronto. 2015.
[6] VILLALOBOS, S.A., CACCIARI, P.P., and FUTAI, M.M. Modelamiento numérico de la formación e inestabilidad de bloques en
tuneles excavados en macizos rocosos discontinuos. In: IX Congreso Chileno de Ingenieria Geotecnica, Valdivia, Chile. 2016.
[7] WU, Q., KULATILAKE, P.H.S.W. and TANG, H. Comparison of rock discontinuity mean trace length and density estimation
methods using discontinuity data from an outcrop in Wenchuan area, China, Comput Geotech., 2011. Vol. 38, p. 258-268.
[8] ZHANG, L. and EINSTEIN, H.H. Estimating the intensity of rock discontinuities, Int J Rock Mech Min Sci, 2000. Vol. 37, p. 819-
837.
Title: Sergio Villalobos Cifuentes
Place of work: GeoInfra-USP, Polytechnical School, University of São Paulo, Brazil
E-mail address: svillalobos.ic@gmail.com

Title: Pedro Pazzoto Cacciari

Place of work: GeoInfra-USP, Polytechnical School, University of São Paulo, Brazil
E-mail address: ppazzoto@gmail.com

Title: Marcos Massao Futai

Place of work: GeoInfra-USP, Polytechnical School, University of São Paulo, Brazil
E-mail address: futai@usp.br