Methods for Design and Stability

Analysis of UG Excavation

P K Behera
 DESIGN OF OPENIGS IN ROCK
NEEDS TO ACHIVE
SAFETY - STABILITY - ECONOMY
FROM GEOTECHNICAL POINT OF VIEW MOST
ESSENTIAL IS STABILITY
IT CAN BE BROADLY DUE TO
HIGH STRESSES
ADVERSE GEOLOGICAL DISCONTINUITIES
EXCESSIVE WATER FLOW AND PRESSURE
WEATHERING/SWELLING/SQUEEZING OF
ROCK MASS
 DESIGN OF OPENIGS IN ROCK

MOST OF THE SITUATIONS STRESSES

AROUND OPENING HAS SIGNIFICANT
ROLE ON ITS STABILITY
HENCE STABILITY CAN BE ACHIVED BY
KNOWING
STRESSES-STRAIN-DISPLACEMENT
INDUCED ARUOND EXCAVATION
 DESIGN OF OPENIGS IN ROCK

When an opening is excavated for an

underground structure
• The existing stresses prior to excavation
redistribute and adjust themselves to a
new equilibrium condition.
• These stress changes require
displacements to occur and the excavated
ground tries to converge toward the
opening.
FINAL DESIGN

MONITORING
 Main types of failure
The main modes of failures or instability in underground
openings may develop in basically three different ways:
1. Loosening and falls of single blocks or
fragments.
2. Collapse; i.e. the tunnel is filled with the fallen blocks
which become wedged together and provide support
to the remaining loose, unstable blocks.
3. Limited deformations on the surface of the opening
caused by the redistribution of the stresses forming
a stable arch in the surrounding rock masses.
 MAIN FEATURES INFLUENCING
UNDERGROUND STABILITY
The following factors have been found most
decisive for the stability of underground
constructions in jointed rock masses:
1. The inherent properties of rock mass
surrounding the opening. They consist mainly
of:
a. Intact rock properties.
b. Properties of jointing and discontinuities.
c. Structural arrangement of joints and other discontinuities.
d. Swelling properties of rocks and minerals.
e. Durability of the material.
MAIN FEATURES INFLUENCING
UNDERGROUND STABILITY
2. The external forces acting in the ground:
a. Magnitude and anisotropy of horizontal and
vertical stresses in undisturbed rock.
b. Ground water.
3. The excavation features, such as:
a. Shape and size of the underground opening.
b. Method(s) and timing of rock support.
c. Method of excavation.
d. Ratio of joint spacing/span width.
MAIN FEATURES INFLUENCING
UNDERGROUND STABILITY
4. The time-dependent features, mainly
consisting of:
a. The effect of stand-up time.
b. The long-term behaviour (caused by changes
in 1. and 2.) 6 - 8 The influence of these
features and their possible application in a
method for stability and rock support design
are described in the following.
DESIGN METHODS FOR EXCAVATION
IN ROCK
BASIC AIM
TO UTILISE THE ROCK ITSELF AS THE
PRINCIPAL STRUCTURAL MATERIAL,
CREATING AS LITTLE DISTURBANCE
AS POSSIBLE DURING THE
EXCAVATION AND ADDING AS LITTLE
AS POSSIBLE IN THE WAY OF
SUPPORT OR REINFOREMENT.
DESIGN METHODS FOR EXCAVATION
IN ROCK
MAIN DESIGN APPROACHES FOR
EXCAVATION IN ROCK
 ANALYTICAL METHODS
 EMPIRICAL METHODS
 OBSERVATIONAL METHODS
 PHYSICAL MODELLING
 COMPLIANCE(MINING LAW)
 NUMERICAL MODELLING
 ANALYTICAL METHODS
• PRESSURE ARCH THEORY
• STRESSES AROUND OPENING
 THEORY OF ELASTCITY
 THEORY OF PLASTCITY
• ENERGY RELEASE APPROACH
• BEAM AND PLATE SOLUTION
• VOUSSOIR BEAM APPROACH
• TRIBUTARY AREA APPROACH
• LIMITING EQUILIBRIUM APPROUCH
• DISCOTINUITY ANALYSIS
 ANALYTICAL METHODS
PRESSURE ARCH THEORY
AS SOON AS AN OPENING IS MADE, THE
VERTICAL LOAD DIRECTLY ABOVE THE
OPENING SHIFTS OUTWARD TO BOTH
SIDES OF THE RIBS, LEAVING A DESTRESS
ZONE RESEMBLES AN ARCH AND THUS IT
CALLED A PRESSURE ARCH. THE SPAN OF
PRESSURE ARCH INCREASES WITH DEPTH.
[W= 0.15h+60] (in ft.)
PRESSURE ARCH THEORY
 ANALYTICAL METHODS
STRESSES AROUND OPENING
When an underground excavations is made in a
rock mass, the stresses which previously existed
in rock are distributed, and new stresses are
induced in the immediate vicinity of the opening.
If the induced stresses are higher than the
strength of rock mass it causes instability of the
opening. Theories of elasticity and plasticity is
use for estimating stress and strain induced If
rock mass elastic in nature.
Displacement
PLASTIC
YIEDING
 ANALYTICAL METHODS
ENERGY RELEASE RATE
MINING OF AN UNDERGROUND OREBODY
USUALLY IMPLIES WIDENING OF EXCAVATIONS BY
INCREMENTS. THIS LEADS TO ENERGY RELEASE
RATE (ERR) PER UNIT SURFACE. THE ERR
DEPENDSON GEOMECHANICAL PROPERTIES OF
ROCKMASS, IN SITU STRESS CONDITION AND
MINE GEOMETRY. INCIDENCE OF VIOLENT ROCK
FAILURE INCREASE IN ERR. AS A RESULT, ERR
BECOME ONE OF THE MOST USED PARAMETER
FOR STOPE DESIGN IN DEEP UNDERGROUND
HARD ROCK MINES.
 ANALYTICAL METHODS
BEAM/PLATE THEORY
IN SEDIMENTARY ROCKS, STRATIGRAPHIC
CHARACTERISTICS OF IMMEDIATE ROOF AND THE
RELATIVELY WEAK BONDING BETWEEN
NEIGHBORING STRATA, IT IS REASONABLE TO
ASSUME THAT EACH INDIVIDUAL STRATUM IN THE
ROOF IS AND BEHAVES LIKE A BEAM/PLATE.
THEREFORE, ROOF SPAN DESIGNS USUALLY
RELY ON BEAM/PLATE THEORIES BY
CONSIDERING THE ROOF STRATA AS A SINGLE
BEAM/PLATE OR A SERIES OF BEAMS/PLATES
LYING ONE ON TOP OF OTHER.
 ANALYTICAL METHODS
VOUSSOIR BEAM THEORY
DURING AN EXCAVATION OF UNDERGROUND
OPENING IN BLOCKY ROCK MASS (BEDDED
ROCKMASS WITH JOINTS INTERSECTING BEDDING
PLANES) ELMINATE THE ABILITY OF THE
ROCKMASS TO SUSTAIN BOUNDARY-PARALLEL
TENSILE STRESSES. THE VOUSSOIR BEAM
THEORY IS APPLIED ASSUMING THAT THE BEAM
CONSISTS OF A NO TENSION MATERIAL AND
CARRIES ITS WEIGHT BY ARCHING. VOUSSOIR
BEAM THEORY CAN BE USED TO PREDICT
STABILITY OF SUCH ROOF.
B= Beam span d= Beam thickness

T = Resultant horizontal (normal) force

σn =Maximum axial compressive stress

V = Resultant vertical (shear) force

Assumed stress distribution in classic voussoir beam analysis

 B

Assumed stress distribution in classic voussoir beam analysis

 ANALYTICAL METHODS
TRIBUTARY AREA LOADING CONCEPT
IN THE UNDERGROUND LAYOUT OF BORD &
PILLAR WORKING, THE AREA SUPPORTED BY A
PILLAR COVERS THE AREA ABOVE IT AND
NEIGHBORING AREA TRIBUTARY TO IT. IN OTHER
WORDS, A PILLAR UNIFORMLY SUPPORTS THE
WEIGHT OF THE ROCK OVERLYING THE PILLAR
AND ONE-HALF THE WIDTH OF GALLERY /ENTRIES
ON EACH SIDE OF PILLAR. THUS AVERAGE
STRESS ON PILLAR IS CALCULATED TO DESIGN
PILLAR.
Pillar load according to tributary area theory in a wide array
 ANALYTICAL METHODS

DISCONTINUITY ANALYSIS METHOD

IT IS WELL KNOWN THAT ROCK CONTAINS
DISCONTINUITIES IN THE FORMS OF
BEDDING PLANES, JOINTS, FAULTS,
FOLDS, SHEAR ZONES, SEAMS, GAUGES,
DYKES, AND FRACTURES.THESE
DISCONTINUITIES TOGETHER WITH THE
PLANES OF EXCAVATION CAN FORM A
BLOCK WHICH IS UNSTABLE AND MAY
FALL INTO THE OPENING.
DISCONTINUITY ANALYSIS METHOD
 ANALYTICAL METHODS
DISCONTINUITY ANALYSIS METHOD…
DEPENDING ON NUMBER OF JOINT SETS PRESENT
AND THEIR ORIENTATIONS, ROCK MASS IS
DIVIDED INTO INFINITE OR FINITE BLOCKS. FOR
INFINITE BLOCKS, STABILITY IS NEVER A
PROBLEM. IN FIGURE, THE FINITE BLOCKS
MARKED 1, FORMED BY THE INTERSECTIONS OF
AT LEAST THREE OR MORE SETS OF JOINTS, WILL
FALL INTO THE OPENING IF FRICTION AT THEIR
INTERFACES BECOME INCAPABLE OF RESISTING
THE MOVEMENT. BLOCKS 2 WILL NOT SLIDE
UNLESS BLOCKS 1 ALREADY HAVE FALLEN OUT.
BLOCKS 3, 4 AND 5 WILL NOT FALL INTO THE
OPENING UNLESS HYDROSTATIC PRESSURES
MOVE THEM UPWARD.
 ANALYTICAL METHODS
DISCONTINUITY ANALYSIS METHOD…
FOR ENSURING STABILITY, THE BLOCKS
MUST REMAIN IN THEIR POSITION. THIS IS
USUALLY DONE BY PROVIDING EXTERNAL
SUPPORT.
GOODMAN (1988) INDICATED THAT IT IS ONLY
NECESSARY TO PROVIDE STABILITY TO THE
“KEY BLOCK.” HE DEFINED “KEY BLOCK” AS
THE SINGLE BLOCK, THE REMOVAL OF WHICH
WILL BRING UNCONTROLLABLE MOVEMENT
OF SEVERAL OTHER BLOCKS THAT ARE
SUPPORTED BY THE “KEY BLOCK”.
 Limit Equilibrium Method
Stability problems of openings in blocky jointed rock
are generally associated with fall of rock mass/blocks
from the roof and sidewalls.
The conventional limit equilibrium methods investigate
the equilibrium of the rock mass/block tending to slide
down or fall under the influence of gravity.
When factor of safety is found to be ≥1 of rock block it
is assessed be stable.
The factor of safety (FS) is defined as
Re sisting Forces
FS 
Mobili sin g Forces
 Wedge

UNDERGROUND
OPENING
 EMPIRICAL METHODS
ENGG. ROCK MASS CLASSIFICATION
Empirical methods have received increased
attention in recent years despite the
development of sophisticated analytical tools
for design of excavation and supports.
Rock mass classifications form the backbone
of the empirical design approach and are widely
employed in rock engineering. In fact, on many
projects, the classification approach serves as
the only practical basis for the design of
complex underground structures.
PHYSICAL MODELLING METHODS
•EQUIVALENT MATERIAL
•PHOTO-ELASTIC
•ANALOGUE
PHYSICAL MODELLING METHODS

Equivalent Material Model

It is made of material which exibits mechanical
behaviour similar to that of rock where opening
to be made
The purpose of this model or realistic model is to
simulate in the laboratory the behaviour of full
scale prototype
Elastic, plastic behaviour, viscous flow, fracture
of the modeled structure can be simulated.
PHYSICAL MODELLING METHODS
Equivalent Material Model..
• Models are built on principles of dimensional
Similitude
• Model Materials : generally weak fabricated
materials, materials are blended to simulate
stratification, jointing and other realistic
geological features.
• Plaster of Paris, lead oxide saw dust oil ,
gypsum plaster
• Disadvantages are time taking, involves labour,
for every study different models are to be built.
PHYSICAL MODELLING METHODS

• It is a miniature replica of physical form of

mine opening.
• These are more commonly abstractions of
reality.
• Models are used to simulate in the
laboratory the behaviour of full scale mine
opening.
PHYSICAL MODELLING METHODS
PHOTO-ELASTIC
Photo-elasticity is an experimental method to
determine stress distribution in a material.
The photo-elastic stress analysis technique depends
upon the fact that certain optical properties of most
transparent material change when these materials are
subject to stress.
The model is made from a stress birefringent
material like glass or plastic,for, e.g., excavation in
rock represented as an opening in a plate
PHYSICAL MODELLING METHODS
PHOTO-ELASTIC…
 Glass or epoxy resin – for hard and moderate
deformable rockmasses develop stress after
being loaded at boundaries
 When a polarised light passes through a stress
birefringent material patterns of coloured or
black fringes are produced. Fringes give
trajectories of principle stresses and its
direction.
PHOTO-ELASTIC MODEL
 COMPLIANCE METHODS
Designing of excavations as per mining
regulations/laws and /or other
underground limitations, e.g ventilation,
transportation, etc
 NUMERICAL MODELLING
In general, the numerical, or analytical, design
methods are derived from the fundamental laws of
force, stress and elasticity. Numerical modelling
techniques require far more computational power than
analytical techniques, but they are well suited to
address complex geometries and material behaviour.
Numerical models can represent complex geometries
with a high degree of accuracy.
Numerical modelling used for design of openings are
listed in Table. Each method listed involves a
discretization of the problem domain, which is
facilitated by a computer-assisted analysis.
In addition, hybrid methods have evolved by combining
two or more of these individual methods.
 Beam Element Method
It is also referred to as “Coefficient of Subgrade
Reaction method”. The tunnel lining rock is simulated
by beam elements. The surrounding ground, that
provides the embedment of the lining, is simulated by
spring elements. Spring elements are typically
oriented perpendicular to the lining, simulating the
normal stresses induced to the ground from outward
lining deflection. In addition, tangential spring
elements can simulate shear stresses induced
between the lining and the ground. The stiffness of the
spring elements is determined from the stiffness, i.e.
the modulus, of the ground and the curvature of the
lining. To simulate actual conditions, spring elements
under tension must be eliminated from the calculation.
This is done through an iterative process.
NUMERICAL MODELLING
•Approach adopted in all numerical
methods is to “divide the problem into small
physical and mathematical components
and then sum the influence of the
components to approximate the behaviour
of the whole system”.
• The series of complete mathematical
equations formed in this process are then
solved approximately.
 Excavation

Zone

Gradually changed mesh: fine mesh in the vicinity of excavation (inside red
dashed line), coarse mesh in other parts of the model
NUMERICAL MODELLING
The Continuum assumption implies that at
all points in a problem region; the
materials cannot be torn open or broken
into pieces. All material points originally in
the neighbour hood of a certain point in
the problem region remain in the same
neighbour hood throughout the
deformation or transport process.
 Boundary Element Method (BEM)
This method divides into elements, only boundaries
of the problem geometry (i.e., excavation surfaces, the
free surface for shallow problems, joint surfaces and
material interfaces), thus reducing the problem
dimensions by one and greatly simplifying the input
requirements. In this method the conditions on a
surface could be related to the state at all points
throughout the remaining medium, even to infinity. The
information required in the solution domain is
separately calculated from the information on the
boundary, which is obtained by solution of boundary
integral equation.
Boundary Element Method
Finite Element Method (FEM)
The continuum is approximated as a
series of discrete elements connected to
adjacent elements only at specific shared
points called nodes. The behaviour of
each element is then described
individually using exact differential
equations. The global behaviour of the
material is modeled by combining all
individual elements.
Finite Element Model
Finite Element Method (FEM)
FEM is perhaps the most versatile of all
methods and capable of yielding the most
realistic results even in complex geo-
mining conditions. Complexity in problem
formulation and requirements of long
computer time and large memory space
seem to be its major shortcomings.
Finite Difference Method (FDM)
The continuum is represented by a series of
discrete grid point at which displacements,
velocities and accelerations are calculated. The
displacement field is computed by approximating
the differential equations for the system as a set
of difference equations (central, forward or
backward) that Finite Difference Method are
solved discretely at each grid point. The
differential equations are approximated through
the use of difference equations.
Finite Difference Method (FDM)
FDM results into conditionally stable
solution. That is, the convergence of the
solution at different stages of iteration to a
true solution depends on the size of
elements and size of the load steps. It has
also got the advantage of time-stepping
which allows a better understanding of the
trend and mode of a failure”.
 Discrete Element Method
(DEM)
The DEM focuses mainly on applications in the
fields of fractured or particulate geological media.
The essence of DEM is to represent the fractured
medium as assemblages of blocks formed by
connected fractures in the problem region, and
solve the equations of motion of these blocks
through continuous detection and treatment of
contacts between the blocks. The blocks can be
rigid or be deformable with FDM or FEM
discretizations. The distinct element method is
ideally suited to modelling of both large scale
geological discontinuities such as faults, dykes and
highly fractured assemblages of rock blocks.
 Hybrid methods
It combine FEM/BEM, DEM/FEM and DEM/BEM
to take advantages of the strength of each
method while avoiding many of its
disadvantages. FEM/DEM is used for non-linear
or fractured near fields where explicit
representation of the fracture is needed. BEM is
used for simulating far field rocks as equivalent
elastic continuum. Hence, the hybrid of these
methods provide numerical technique for
effective representation of the effects of the far
field to the near field rocks.