STABILITY EVALUATION AND DESIGN OF TUNNEL OPENINGS

IN BRITTLE-MASSIVE ROCK MASSES

Ergin ARIOGLU
Istanbul Technical University-Mining Engineering Dept., Istanbul, Turkey
Başar ARIOGLU
Yapı Merkezi Inc. Camlıca, Istanbul, Turkey
Canan GIRGIN
Yapı Merkezi Inc. Camlıca, Istanbul, Turkey

ABSTRACT
In this study, the simple and reliable method for stability assessment of tunnels in massive brittle
σ
rocks is presented taking into account the scale effect of rock mass and variation of k= h . The
σv
design procedure for steel fibre reinforced shotcrete lining exposed to rock burst is also provided
in an analytical format.

1. INTRODUCTION
Tunnel and underground mine openings in massive brittle rocks give rise to a problem of
unstable mode of the rock mass surrounding to openings, especially in deep openings where high
and anisotropic stresses are likely to occur. In essence, the nature of unstable mode of massive
brittle rocks around high stressed openings is observed in the form of sudden failures with
explosive violence. This behavioural mode of tunnel and underground openings is named as
"rockbursting" in rock mechanics literature. Rockbursting failures are seen as breaking up into
fragments, blocks or slab, depending on type and magnitude of rock burst. Apart from damaging
to the stability of the openings, a most vital feature of rock burst is bringing about, fatalities and
serious injuries in tunnel and mining sector. In brief the effects of rock burst should be taken into
account very carefully when dealing with selection and dimensioning of appropriate support
systems to be utilized in overstressed tunnel and underground mine openings.

From a design point of view this paper presents the principle and the factors involved in
evaluation of stability of overstressed tunnel openings in massive brittle rocks. A simple and
reliable method to assess the stability of tunnel openings is also provided. In addition, a general
principle for design of steel fibre reinforced shotcrete placed using the wet mix method is
explained in an analytical format.

2. STABILITY ASSESSMENT OF TUNNELS IN MASSIVE BRITTLE ROCKS

2.1 General Principles
The term "stability index" for the assessment of underground mine openings/tunnels has been
utilized by several researchers such as Zaslavskiy, 1972 ; Sikora and Kidybínski; Nakano, 1979
; Aldorf and Exner,1986; Aydan et.al, 1993; Arıoğlu, 1995; and Palmstrøm, 1996. In massive
brittle rock, the stability index "S" can be defined as :
σ
S= m (1)
σt
In which,
σm = the uniaxial compressive strength of a rock mass
σt = the tangential stress

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σt,r = the tangential stress in roof
σt,w = the tangential stress in wall

The tangential stresses acting in rock masses around a tunnel can be approximately computed by
the following expressions (Hoek and Brown, 1980)
σt,r= (A.k - 1). σv (2)
σt,w= (B.k - 1). σv (3)
where
A, B= roof and wall factors for various tunnel shapes. For example (Table 1),

Table 1 Roof and wall factors depending on tunnel shapes

A= 3.2 A= 3.1 A= 3.0 A= 1.9

B= 2.3 B= 2.7 B= 3.0 B= 1.9

k = the ratio of average horizontal "σh" to a vertical stress "σv" . To estimate k values a
simplified expression put forward by Sheorey,1994 can be utilized :
 1
k= 0.25 + 7 Eh  0.001 +  (4)
 H
where, H is the depth (m) and Eh (GPa) is the average rock mass elastic modulus. For example,
in the Scandinavian Precambrian and Palaeozoic and in the Canadian crystalline rocks, the
horizontal stresses are remarkably highly than the vertical stress down to a few hundred meters
(Palmstrøm, 1996). Based upon a preparatory assessment of graphs given by Arjang, 1998 the
σ
following approach can be used for calculation of k= h values in
σv
• Crystalline rock types such as most hardrock mines-road tunnels
k= 5.13 H −0.16 , H (m) (5)
Equation 4 (Eh= 100 GPa)
• Low stiffness sedimentary and satisfied rocks :
Equation 4 (Eh < 100 GPa , preferably 25-75 GPa)

In evaluation of the stability of underground openings continuity of the ground plays an

important role in characterizing the ground. A continuity factor "CF" is defined as a ratio
D
CF = t (6)
Db
Continous rock masses exist as
• Massive rocks (slightly jointed) with a continuity factor CF ≤ ∼ 5 ; or
• Highly jointed and crushed rocks, where the factor under consideration CF > ∼ 100
In other words, discontinuous rock masses possess CF factors between the values above
mentioned (Palmstrøm, 1996). Taking into account continuity factor corresponding to massive
rocks the uniaxial compressive strength of rock mass "σm" can be estimated (Arıoğlu and Girgin,
1998).

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 0.2
 
d 
0.2  
 d lab . 
σ m = f s .σ lab . =  lab .  .σ lab . = .σ lab . (7)
 Db   Dt 
 
 CF 
π 2
At = D e = 0.785 D e2 , D e = 1.128 A t
4
CF= 5
dlab.= 0.05 m

For Dt = 6.0-16.0 m, the mean value of D t−0.2 can be taken as 0.65.

σ m = 0.758 D t−0.2 σ lab . ≈ 0.50 σ lab (8)

In which,
σm= the uniaxial compressive strength of rock mass
fs= a factor defining the scale effect for the uniaxial compressive strength
σlab.= the uniaxial compressive strength of a laboratory rock sample with a diameter of dlab.=
0.05 m, intact rock strength, MPa
Db= the block diameter measured , m
Dt = the diameter of tunnel , m
De = the equivalent diameter of tunnel , m
At= the area of tunnel, m2
The Geological Strength Index (GSI), proposed by Hoek,1994 provides a tool for predicting the
reduction in rock mass strength for different geological conditions. In this analysis, it is
interesting to make use of Hoek's approach for hard, strong, brittle rocks such as Gneiss, Granite,
Granodiorite, Diorite, Gabbro. It is reasonable to assume GSI= 80 for massive brittle rocks as a
mean value. Using relationship between ratio of cohesive strength "Cm" -in situ strength -to
uniaxial compressive strength of intact rock "σlab." and GSI given by Hoek and Brown,1998 for
GSI= 80 the value of Cm/σlab. can be determined to be 0.10. In addition, the friction angle "φ' "
for different combinations of GSI and mi (rock constant for intact rock) was provided in the same
source. Using the values of GSI and m i the value of φ' is read as 450-470 (For the above-
mentioned rocks mi can be assumed to be in the order of 33 and 27).
Making use of the Mohr-Coulomb criterion , the uniaxial compressive strength of the rock mass
and the slope of the line relating major principal stress and minor principal stress can be
estimated from
σ m = 2 K Cm (9)
1 + sin φ′ 1 + sin 45
K= = = 5.828 (10)
1 − sin φ′ 1 − sin 45
For massive brittle rocks in question the uniaxial compressive strength of the rock mass may be
as follows
Cm
= 0.10
σ lab .
σ m = 2 5.828 (0.10 σ lab ) ≅ 0.483 σ lab .
As can be seen, the results of two different approaches seem to be in good agreement. In passing,
the scale factor "fs" was reported to be 0.45-0.55 in Palmstrøm, 1995, which agrees with the
values obtained from the approaches given herein.
Having estimated the uniaxial compressive strength of the rock mass, the stability index "S" (Eq-
1) can be rewritten in the following form

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 0.5 σ lab . σ lab .
S= = 18.5 (11)
( A k − 1) σ v ( A k − 1) H
σ v ≅ 0.027 H , MPa , H (m)

Equation 11 for arch shaped tunnel (A=3.2, B=2.3) is plotted in Fig.1 which illustrates the
stability index "S" variation against the depth of tunnel "H" in a function of the uniaxial
compressive strength of intact rock- laboratory strength- "σlab." This chart gives directly the
stability index under following conditions :
• High and variable anisotropic stresses owing to tectonic stresses are not taken into
account. The ratio horizontal/vertical stress is reasonably well predicted by Equation 5 based on
actual stress measurements.
• The strength of the rock sample should be determined in the same direction as the
tangential stress is occuring . If strength anisotropy in the rock is well defined this property can
be included in the analysis taking a proper reduction factor into consideration.
• Characterization of failure mode in massive brittle rock reported by Palmstrøm, 1995
and 1996 is adopted :

Stability index “S” Failure modes

> 2.5 No rock stress induced in stability

2.5 - 1 High stress-slightly loosening
1 - 0.5 Light rock burst or spalling

< 0.5 Heavy rock burst

These values are also indicated in Fig.1. Examining Fig.1, the main results can be summarized as
follows :
• For a given uniaxial compressive strength of rock sample "σlab." , as the depth of
tunnel increases the stability index decreases. For example, for σlab.= 125 MPa if the depth of
tunnel is approximately 450 m the tunnel under consideration will be subjected to "light rock
burst" or spalling in roof. If the depth of tunnel is about 1000 m the tunnel is likely to be exposed
to "heavy rock burst".
• In case of constant depth of tunnel as the uniaxial compressive strength of rock sample
increases - the rock becomes brittle- the stability index increases. For example, if H is taken as
400 m for σlab.= 50 MPa the stability index can be estimated to be 0.5 i.e "heavy spalling" will
occur in the tunnel in question. If the uniaxial compressive strength is 250 MPa the stability
index for the same tunnel can be predicted as about 2.25. This means that the tunnel will be
overstressed. From a failure mode point of view, slight loosening may be expected.

2.2 Stability Problems of Road Tunnels in Norway

In this section, by using engineering values belonging to the Heggura abd Kobbskaret road
tunnels prediction capacity of Fig.1 was illustrated. The values under consideration were
obtained from Myrvang and Davik, 1997. As can be seen from Fig.1 the Heggure road tunnel
(σlab.= 120-195 MPa, H=600-700 m) is in zones of high stress-slightly loosening and high rock
burst/spalling. As for the Kobbskaret road tunnel (σlab.= 36-143 MPa, H=25-600 m), this tunnel
is subjected to high rock stresses and heavy rock burst. According to actual behaviour of the

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 4.0
1
Heggure tunnel/Norway
3.5

No rock stress High stress

Kobbskaret tunnel/Norway

in stability loosening
induced
3.0 2
Legends
Stability Index , S

2.5 1 σlab.= 250 MPa

3 2 = 200 MPa

slightly
2.0 4 3 = 150 MPa
4 = 125 MPa
1.5 5 = 100 MPa
5
6 6 = 75 MPa
1.0

spalling burst

Light
burst, rock
rock Heavy
7 7 = 50 MPa
0.5

0.0
200 400
600 800 1000 1200 1400 1600 1800 2000
Depth of Tunnel , H , m
Fig.1 Relationship between depth of tunnel and stability index for different uniaxial compressive

strength of rock sample.

tunnels reported in the above mentioned reference, heavy spalling owing to high rock stresses
was experienced in both tunnels. In brief, the findings of Fig.1 can be said to be in good
agreement with true behaviours of tunnels in review.

3. DESIGN OF STEEL FIBRE REINFORCED SHOTCRETE (SFRS) TUNNEL

LININGS SUBJECTED TO ROCK BURST

3.1 General
Steel fibres are broadly employed for shotcrete owing to holding several advantages (Moyson,
1994):
• Ductility : the addition of steel fibres provides the shotcrete an important degree of
ductility. This ductility enhances flexural loading capacity of steel fibre reinforced shotcrete
linings. Especially for tunnels subjected to rock burst, the structural performances of SFRS
linings are said to be very effective due to the fact that they provide a remarkably additional
deformation capacity after exceeding their strength depending upon type and geometry of steel
fibres (Arıoğlu and Girgin, 1998).
• Practical : the steel fibres are easy to add to the shotcrete mixtures. In comparison to
conventional mesh system a good deal of time saving and labour reduction can be realized in a
tunnel project.
• Economy : the shorter execution time and savings in labour expenditure make SFRS a
competitive and economical support element.

3.2 Design Procedure and Numerical Example

The design procedure of steel fibre reinforced shotcrete makes (SFRS) for tunnel linings
subjected to rock burst is outlined in Table-2.
In design the critical parameter is estimation of permanent radial support pressure required to
stabilize the roof of an opening exposed to rock burst. Estimation of support pressure can be
made from well known formula in rock engineering literature (Barton,Lien and Lunde, 1974).

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 According to this source,for 0-2 joint sets (Jn<6) the support pressure "Ps" can be computed from
2 Q −0.333 J n0.5
Ps = , Ps (MPa) (12)
30 J r
the Tunneling Quality Index "Q" (Barton,Lien and Lunde, 1974) is defined by :
RQD J r J w
Q= (13)
J n J a SRF
where :
RQD = Rock Quality of Designation
Jn = Joint Set Number. In massive brittle rocks Jn can be assumed to vary in value from 0.5 to 6.
In this analysis, the mean value of Jn is taken as 3.
Jr = Joint Roughness Number describing both large and small scale surface texture for
discontinuities. Assuming rough condition Jr can be adopted as 1.5.
Ja = Joint Alteration Number defining the surface alteration and frictional resistance of the
critical joint set. In the case of massive brittle rocks as the joint alteration is negligible the
value of Ja can be taken equal to 1.
Jw = Joint Water Reduction Number. Jw varies from 1.0 for dry openings to 0.05 for openings
with excessive water pressure and large inflow.In this analysis Jw is assumed to be equal to 1.

SRF : Stress Reduction Factor. According to Grimstad and Barton,1993 , in the case of massive
brittle rocks SRF=1 for favourable stress condition ; S= 0.5-2 for high stress ; S= 5-50 for
moderate spalling /slabbing ; S= 50-200 for slabbing and rock burst and S=200-400 for heavy
rock burst.
For assumed values given in Table-2, Fig.2 displays relationship between the stress reduction
factor and support pressure in function of various the rock quality designation. From Fig.2 it is
important to notice that as SRF factor increases the expected radial pressure on tunnel support
system enhances markedly. For example, for normal condition corresponding to SRF=1 the
support pressure is about 3 t/m2 (0.03 MPa). If the tunnel is subjected to heavy rock burst (SRF=
200-400) then the rock pressure acting on the support system may be in order of 16 t/m2 (0.16
MPa). In brief, in the case of rock burst in massive brittle rocks the support pressure should be
increased when dealing with the design of support systems.
0.20 0.5-2 5-50 50-200 >200
Ps [MPa] RQD= 60 %
0.18 Slabbing RQD= 70 %
High Moderate spalling
stress and rock RQD= 80 %
0.16 burst RQD= 90 %
RQD= 100 %
0.14
0.5
RQD Jr Jw -0.333
0.12
Ps = 2.Jn
30.Jr [ Jn Ja SRF ] , [MPa]
0.10
Jn = 0.5-6 , mean 3 Jw= 1
0.08 Jr = 1.5 Ja = 1
0.06
Heavy
0.04 rock
burst
0.02

0.00
0.5 1 10 100 400
SRF
Fig.2 Relationship between the stress reduction factor (SRF) and support pressure Ps in function
of the Rock Quality of Designation (RQD)

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Table 2 Design of Steel Fibre Reinforced Shotcrete (SFRS) Lining Subjected to Rock Burst

DESIGN OF SFRS LININGS SUBJECTED TO ROCK BURST

Data :
• Depth of tunnel (H)
• Diameter of tunnel (Dt )
• Uniaxial compressive strength of laboratory rock sample ( σlab. )
• Characteristic compressive strength of shotcrete at 28 days ( fc )

• Scale effect fs for uniaxial compressive strength of massive rocks taking CF=5 ,
0.2
 d 
f s =  lab .  is calculated
 D t / CF 
• Tangential stresses acting on roof and wall of tunnel are estimated ;
for roof σt,r = ( A.k - 1 ) σv and for wall σt,w = ( B.k - 1 ) σv
f . σ lab .
• Stability index S = s is determined (Fig-1)
σt

• Stress Reduction Factor SRF can be accessed by taking into account previous field data,
experience and value of stability index S , S → SRF
RQD J r J w
• Tunneling Quality Index Q is defined by Q =
J n J a SRF
2 Q −0.333 J n0.5
• Support pressure Ps = (MPa) is estimated. In massive brittle rocks, for
30 J r
(RQD)m= 90 % , (Jn)m=3, Jr= 1.5, Ja=1, Jw=1 , Ps= 0.0217 (SRF)0.333 (MPa) (Fig-2)

• Span length (lb) and spacing distance of rock bolts (a) are found depending on Q
• Maximum bending moment is calculated → Mmax. = Ps .a. l b2 / 8

• First crack flexural strength of plain shotcrete can be predicted from f o = 0.4 f c0.66
• Toughness quotient ( Re ) is described depending on fibre type and in situ dosage.
Re
• Average post cracking (equivalent) flexural strength is determined f e = fo
100

Maximum bending moment "Mmax." can be assumed M max to. be

• Thickness of SFRS layer t is computed from ≤ fe
Ps .a.l b2 2 a t 2
/ 6
M max . = = 0.125 Ps.a. l b , Mmax. (Nmm/mm) (14)
8

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which corresponds to maximum bending moment of simply supported beam uniformly loaded.
In other words, the steel fibre reinforced shotcrete layer acts as a bearing element supported by
bolts and arches (Fig.3).
Static model
1 Ps
a
lb
lb
1 Roof bolts
2 2 Steel fibre reinforced shotcrete layer

Fig.3 Cross section of tunnel with steel fibres reinforced shotcrete layer

The magnitude of maximum flexural stress "σmax." is computed with the following formula :
M max . 0.125 Ps .a.l b2 Ps .l b2
σ max . = = = 0.75 2 ≤ f e (15)
W a t2 / 6 t
The average post cracking strength or equivalent flexural strength "fe" can be expressed as
R
f e = e .f o = 4x10 − 3 .R e .f c0.666 , MPa (16)
100
Putting Eq.15 into Eq.14 SFRS thickness can be obtained from the following expression
0.5
 Ps 
t ≥ 13.7 l b   , Ps (MPa) (17)
 R .f 0.666 
 e c 
where
W = section modulus of the crack free section , mm3
lb = span length, mm (Fig.3)
a = width of the shotcrete layer-spacing distance of bolts , mm (Fig.3)
t = thickness of shotcrete layer , mm
fe = equivalent flexural strength , MPa
fo = first crack flexural strength of plain shotcrete. Its value can be predicted from the following
empirical formula
fo= 0.4 f c0.666 MPa (N/mm2) . In which fc is 28 days compressive strength measured on cubes,
N/mm2 (Vandewalle, 1997)
Re= toughness quotient depending upon type and in situ dosage of steel fibres. Toughness
quotient values can be directly obtained from identity charts established by N.V.Bekaert S.A . Re
can be also predicted by means of the following expression (Arıoğlu and Girgin, 1998).
Re= A0 . m f2 + B0 .mf + C0 (18)
where
A0, B0 and C0 = constant values belonging to (Eq.18) (Table.3)
mf = Fibre dosage-in situ , kg/m3
r= Correlation coefficient

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 Table 3 Constants of regression relationship for Dramix ® steel fibres
Fibre type A0 B0 C0 r
RC 65/30 -0.0262 3.0548 -10.5 0.996
RC 65/35 -0.0167 2.0881 14.571 0.999
ZP 305 -0.0271 3.15 -17 0.998

3.3 Numerical Example

A cross section of the tunnel is shown in Fig.3. The material properties of shotcrete and
geomechanical conditions are described as follows :
{ Compressive strength of shotcrete at 28 days f c = 40 MPa- cube specimen
{ Depth of tunnel H= 850 m
{ Type of rock : Gneiss
{ Uniaxial compressive strength of rock sample σlab.=130 MPa
{ Rock Quality of Designation RQD = 80 %
Access the stability of this tunnel and dimension steel fibre reinforced shotcrete layer (SFRS) to
be utilized in this tunnel project, adapted procedure outlined in Table 2 can be utilized.
• Evaluation of stability
The ratio horizontal/vertical stress is
k= 5.13 H −0.16 =5.13 (850)-0.16= 1.74 , H (m)
The uniaxial compressive strength of rock mass is
σm ≅ 0.5 σlab.= 0.5x130= 65 MPa
The stability index S is determined to be
σ lab . 130
S = 18.5 = 18.5 = 0.64 , A=3.1 (Table-1) (Fig.1)
( A k − 1) H ( 3.1x1.74 − 1)x850
According to Palmstrøm, 1995 and 1996, failure mode under given conditions may be light rock
burst or spalling.

• Estimated support pressure Ps

In the case of spalling, mean value for SRF can be assumed to be 125 (Fig.2).

Ps= 0.0217 (SRF)0.333 = 0.0217 (125)0.333 = 0.108 MPa

Ps= 10.8 t/m2
• Dimensioning of thickness of SFRS
{ First crack flexural strength of plain shotcrete

f o = 0.4 f c0.666 = 0.4x(40) 0.666 = 4.66 MPa

{ Toughness quotient of the steel fibre reinforced shotcrete for fibre Dramix® RC
65/35 and fibre dosage-in situ- 40 kg/m3 from the Dramix Identity Chart the value in
question can be obtained as Re= 72
{ Average post cracking flexural strength of SFRS
Re 72
fe = fo = x4.66 = 3.35 MPa
100 100
{ Spacing distance of roof bolts

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 The Q value is computed as follows :
RQD J r J w 80 1.5 1
Q= = x x = 0.32
J n J a SRF 3 1 125
According to Chouquet and Charette, 1988 lb x lb pattern for span length of roof bolts
can be predicted from
1 1
lb = 0.5
= ≅ 1.0 m
( −0.227 ln Q + 0.839) ( −0.227 ln 0.32 + 0.839) 0.5
{ Thickness of SFRS layer from Eq.17 can be calculated as mm
0.5 0.5
 Ps   0.108 
t ≥ 13.7 l b   = t ≥ 13.7 x 1000  = 155 mm
 R . f 0.666   72 x 40 0.666 
 e c   

The following design values can be established :

• Support pressure Ps= 0.108 MPa

• First crack flexural strength of plain/shotcrete fo= 4.66 MPa
• Average post cracking flexural strength of SFRS fe= 3.35 MPa
• Span length of bolts lb= 1000 mm
• Thickness of SFRS t= 155 mm

4. CONCLUSIONS
• A simple and reliable method for preliminary stability assessment of tunnel to be subjected to
σ
rock burst is suggested by taking into account variation of the ratio K = h and the scale effect
σv
of rock mass (Fig.1).

• The design procedure for steel fibres reinforced shotcrete lining is also described in an
analytical format (Table-1). Since the choice of SRF is very important in the case of rock burst
in this procedure the modified stress reduction factor SRF in the Q-system has been taken into
consideration to estimate appropriate rock pressure on the tunnel support systems (Fig.2) .

• Recent trials and careful observations carried out in Norwegian road tunnels disclose that steel
fibre reinforced shotcrete (SFRS) linings with roof bolts display a good structural performance in
rock burst conditions. Nevertheless, the thickness of SFRS should be dimensioned by paying
attention to the parameters (support pressure, geometry of roof bolting, compressive strength of
plain shotcrete, average post-crack flexural strength, fibre type and dosage etc.) involved in the
design (Section 3.2).

ACKNOWLEDGEMENT
The authors would like to gratefully acknowledge Dr.Eng.Ersin ARIOĞLU, chairman of the
Yapı Merkezi Inc., Camlıca, Istanbul, Turkey, for his academic encouragement and unfailing
interest.

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