PART 10: BASIC DESIGN PARAMETERS FOR SLOPE AND

TUNNEL IN ROCK
Rock type, orientation and types of weakness planes in rock mass must be verified

and assessed during initial stage of a project through site investigation (SI).
During SI, evaluation on geological aspects & detailed assessments on rock mass
properties and discontinuities in the field (RQD, RMR & Q-System) should be carried
out. Rock cores obtained from drilling can provide ample info on rock properties.
The objectives are to obtain as much reliable and objective data as possible.
BASIC DESIGN PARAMETERS FOR ROCK SLOPE
Joint survey (ukur kekar) as discussed in Part 5 is an essential scope of work during
initial field assessment. Among the important parameters that need to be evaluated
include:
o Types of discontinuities (joint, fault bedding planes)
o Joint aperture (bukaan kekar) & matched or filled joint
o Surface texture of joint; roughness & weathering grade
o Joint orientation (dip angle & dip direction/strike)
o Water conditions in joint
Inclined weakness planes is critical to any structure involving excavation in rock.
Thus, parameters such as dip angle and dip direction of the plane must be
determined to verify its effect on the structure.
Analysis of this data (stereonet projection method) indicates the stability of a cut
slope in terms of geometry.
If in terms of geometry the slope is found to be stable, further verification, in terms
of strength & mechanics, is necessary (e.g. weathering state, conditions and shear
strength of joint) is necessary.

Joints (discontinuities) in rock

Definition of dip angle, dip direction

Measurement of
joint orientation
and strike for an inclined plane in rock
using
Bruntons compass.
STABILITY ANALYSIS IN TERMS OF GEOMETRY
Figure 10.1 Cross-section of a rock mass with one set of weakness planes (joints or
bedding planes?) that dips in 2700 N, dip angle is a = 300.
Proposed cut slope: a-b-c or j-i-h with dip angle f = 550.
Chose the most stable slope, in terms of geometry.
This analysis should be undertaken before the slope is cut.
There are 2 conditions for a cut slope to be stable in terms of geometry:

Figure 10.1
Condition 1: If possible, the slope should dip in opposite direction of the dipping of
the weakness planes. If this is possible then the slope angle becomes non-critical
(depend on other parameters).
Condition 2: If dip direction of the slope is parallel to the dip direction of the
weakness planes, then the slope angle must be smaller than the dip angle of the
weakness plane (less than f = 550).
Note that slope c-b-e may be more stable than c-b-a however, aspect on cost on
excavation and method for slope stabilisation should be considered accordingly for
the actual excavation. If stabilisation is cheaper then slope c-b-a is the best choice.
If in terms of geometry a proposed slope is stable, further verification on the
following factors are essential:
Effect of shear strength of joints on slope stability roughness, basic friction angle f.
Rock strength UCS, Youngs modulus (E), Poissons ratio () & presence of water in
joint.

 Long-term effect weathering of joint & rainfall throughout the service life of the
slope.
Effect of these parameters, are evaluated during the detailed design stage &
suitable FOS is applied into the final design of the slope.
Concept of factor of safety [FOS):
FOS = [ resisting forces] / [ disturbing forces]
Some of the disturbing forces changes and fluctuates through time and season: rate
of rainfall, weight of unstable blocks, water in the joint, building of structure on the
slope crest.
Resisting forces: shear strength of weakness plane, stability imposed by
stabilisation methods.

Inclined joint in rock mass

Critical slope height relative to discontinuity

based on risk on economy & life
orientation

Typical FOS for slopes,

SLIDING DUE TO GRAVITY

Consider FIG 22 where an unstable rock block is about to slide down along a
weakness plane (W, , W sin , W cos & R as defined).
Resisting force = Shear Stress:
= tan + c
(1)
Normal stress acts across the plane (area A) of the sliding block:

 = (W cos )/A
Shear stress:
= [(W cos )/A] tan + .or,
Resisting force:
R = .A = c.A + (W cos ) tan

(2)

(3)
Block with base area A

R
(Friction = R)

Wsin
W

Wcos

Sliding of unstable block due to gravity

State of limiting equilibrium : resisting forces = disturbing forces (FOS = 1.0),
hence;
R = W sin = c.A + (W cos ) tan
(4)

If c = 0 condition of limiting equilibrium becomes:

W sin = (W cos ) tan
Shear stress = [(W cos )/A] tan + c.or,
Resisting force, R = .A = c.A + (W cos ) tan .

Limiting equilibrium (i.e. FOS = 1.0) for dry slope is:

(W sin )/(W cos ) = tan ,
or
=
(5)

From the definition of FOS, in this case (friction angle) is the resisting force &
(slope inclination) is the disturbing force hence,
FOS = /

BASIC DESIGN PARAMETERS FOR TUNNEL IN ROCK

In addition to the effect of orientation of weakness planes in rock (as in slope),

the following factors are equally important:
[a] Size of excavation relative to distribution & scale of weakness planes in rock
mass see Figure 10.2
[b]Shape of tunnel in terms of stability & purpose; ellipse (most stable), circular,
hexagonal & rectangular (least stable).
[c] Rock strength (compression, tri-axial and tensile). At tunnel walls induced stress
is compression & at tunnel roof/floor induced stress is tensile (most critical!).

Figure 10.2 : Ratio between size of excavation and size of weakness planes
in rock
[d]Stress distribution following excavation
(monitored by instrumentation).
[e] Geological history of the in situ rock (e.g.
remnant stress due to folding & stress
distribution due to geological structures).
(f) Depth of tunnel from surface, effect of overburden stress, P = rgh & no of joint set
(RQD).

The design of the tunnel & subsequent

excavation must be ensured so that the
construction stresses do not exceed the
strength of the in situ rock.

Figure 10.3 : Effect of depth of structure on

conditions of rock mass; at depth means
less number of discontinuities & rock is under confined condition (p = rgh).
STRESS AROUND CIRCULAR TUNNEL & SUPERPOSITION

Figure 10.4 shows the distribution of & r around a circular tunnel. & r are
expressed in terms of v (unit stress) & it is compression (+ve value):
o r is radial distance from tunnel centre to a depth in surrounding rock & a is
tunnel radius.
o curves represent distribution of & r around the tunnel, at various depth
into the tunnel surface:
a) Point A (vertical) at depth (r/a) into the rock.
b) Point B (horizontal) at depth (r/a) into the rock.

Figure
10.4

Stress & r distribution, due to the effect of vertical stress v only, around circular
tunnel, at horizontal & vertical axis at depth (r/a) into the rock.
Note:
a, is the radius of tunnel, r is depth into rock mass surrounding the tunnel
A, is a point on the roof at vertical axis
B, is a point on the tunnel wall at horizontal axis
At tunnel surface or r/a = 1.0:
o At Point A: r = 0 & = v ( ve, tensile)
o At Point B: r = 0 & = 3v (+ve, compression)
At depth r/a > 1, values of r & change accordingly as shown in the figure.
At point r/a = 4.0 in the rock mass surrounding the tunnel:
o At Point A : r = v (compression) & = 0
o At Point B : r = 0 & = v
Note that:
o At point A : when r/a > 4, r v &
0 ( does not exist anymore &
r is approaching v ).
o At point B : when r/a > 4, r 0 &
v (r does not exist anymore &
is approaching v ).
The zone beyond which & r v is
an area where rock material is not
affected by the excavation work.
The zone where v changes to & r is termed yield zone i.e. zone affected by the
excavation.
If value of & r are greater than the strengths of rock mass then, tunnel will fail.
As soon as a tunnel is excavated, surrounding rock mass will be disturbed
formation of yield zone. Design & method of construction must be carefully
considered so that disturbance to surrounding rock is reduced (thinner yield zone,
less affected volume).
STRESS AROUND CIRCULAR TUNNEL & LAW OF SUPERPOSITION
It can be inferred that when a circular opening is excavated in an ideal rock (elastic,
homogeneous), and it is subjected to a stress in one axis only (z (= gz)), this will
induce:
o A stress, 3-times higher in value & compressive, acting perpendicular to the first
axis.

o Another stress, of similar value but tensile, acting parallel to the first axis.
See Case I and Case II in the following figures:

v
3h

3v
h
Figure 10.5: Case I: when v 0 & h = 0
= 0 and h 0

Figure 10.6: Case II: when v

v + 3[/(1)]v

3v [/(1)]v

Law of superposition - case I impose onto case II, & substituting h = [/(1
)]v
BASIC DESIGN PARAMETERS FOR TUNNEL IN ROCK
In general, excavation of tunnel in strong & massive rock at a deeper depth (stresscontrolled, P = rgh) is relatively easier than excavation in weak & fractured rock at
shallower depth or near surface (structurally-controlled).
For civil engineering work, tunnels are generally located at shallow depth (e.g.
highway & LRT tunnel).
Deep tunnels/underground spaces are usually associated with mining activities &
radio active disposal.