CHAPTER 4

EXCAVATION IN ROCKS
Important components of excavation:
-Ease of excavation
-Stability of the excavation

Factors that influence the above components:

-Shear strength of the ground
-Magnitude of the stresses
-Geological structures
-Groundwater level (level of pressure head at depth)
-Permeability and storage of ground
-Temperature of rock and heat flow (for tunnels)

Detailed Geological study is CRITICAL!

METHODS OF EXCAVATION
-Drilling and Augering
-Machine boring
-Blasting
-Scrapping, ripping and digging
DRILLING
-Factors affecting drilling progress:
-hardness (scratch power)
-toughness (resistance to fracture: tensile strength of rock): mineral
cement, mineral cleavage, grain size
-abrasiveness (ability of rock fragments to wear away the drill bits): quartz
containing rocks are highly abrasive
-geological structures (joints, faults, folds)
-broken rocks are more difficult to drill:
-energy is wasted at every discontinuity
-drilling bit is subjected to wandering
-casing may be required
-soft materials filling discontinuities may bind drilling bit
-penetration is best in holes which cross discontinuities at a steep
angle: to cross them at a low angle leads to deviation of the
direction of the hole which may have to be back-filled and re-
drilled on the correct course
-drilling down dip is more difficult than drilling across dip
(although various rock types have to be crossed in the latter case).
-deviation is higher in angled holes than vertical holes; and tends
to increase with distance from the rig
-drilling fluids (air, water, mud, polymers and aerated emulsions or foam)
-may cause increased core loss in soft sediments (shale, sandstones).
MACHINE BORING

-Used to bore tunnels (short teeth for sediments, picks for weak rock and discs for strong
rocks): Understanding the GEOLOGY is very CRUCIAL (otherwise short teeth may
encounter hard rock and destroy the machine); homogeneity of the ground affects the
performance of boring machines
-machines for soft sediments: protected by an outer tube (shield)
-machines for hard rocks: protected by only a hood (to protect rock falls)
-lateral jacks extend from the side of the machine and press against the tunnel wall
to generate the reaction and thrust necessary for boring: this reaction can be
difficult to obtain if the walls are soft.

BLASTING
-used to excavate hard rocks (both surface and underground)
-efficiency of blasting is determined by:
-geological structures of the rock (bedding, jointing, cleavage and other
discontinuities) reflect the shock waves and cause the rock to fail in tension;
Fractures are also opened by the expansion of gases liberated by the blast
-rock strength: especially fragmental rocks (agglomerates, conglomerates,
breccias, with differential strength of the grains and the matrix) are difficult;
-Stresses within the ground: high stresses can increase the difficulty with which
the fractures may be generated and opened.
-Tensile stresses resulting from blasting can cause a rock, that is
compressed under high stress around a tunnel, to expand and this may
be sufficient to lock the rock mass and choke the blast).
 CONTROL OF GROUNDWATER
-In excavations below the water table:
-protect unacceptable inflow of water to the excavation or
-lower pressure of water by sub-aqueous techniques (draglines, dredging
etc.)
-Sub-surface geological investigations are essential to avoid hazards due to an
encounter of an unexpected water-bearing zones and water pressures.

-To control GROUNDWATER FLOW it is necessary to know:

1. volume of water: void space, porosity, permeability, hydrogeological
boundaries, faults, fractures
-wide area must be investigated as water can flow from distant
sources
2. rate of flow: permeability, hydraulic gradient
3. pressure of water: if high, it will change soil to viscous fluid (mud) and
may eventually cause failure.
-To control PRESSURE of groundwater:
-pumping (de-watering)
-isolation of pressure head by creating artificial barrier (grout curtain, cut
off curtain)
 SURFACE (OPEN) EXCAVATIONS
-Surface excavations can be those which should
-remain stable for long periods (road cuts)
-be stable for short periods (quarry faces, excavations for buildings)
-in both cases, rock and soil strength and groundwater pressure are important.

GEOLOGICAL INVESTIGATIONS
-slope stability (geology, geological structures, landslide vulnerability etc.) over a
wide area
-sub-surface investigation on the ground beneath the floor of the proposed
excavation (geophysical surveys)
-vertical geological sections and maps produced (to determine the weathered and
fresh rock zones for a quarry etc.)
-detailed structural geological studies (dip directions determine the degree of
stability).
 UNDERGROUND EXCAVATIONS
-Shafts, drifts, inclines, mines, tunnels, large chambers
-Tunnel: passageway (Invert-floor, back-crown-roof, wall, spring line,
Ground-muck or tailing
-can be hard rock (firm or intact ground)
or soft (soil/sediment): ravelling, running, flowing, squeezing,
swelling

INVESTIGATIONS
-Geological conditions are usually difficult to predict and need serious
investigation
GENERAL
-water-bearing zones and fractures are usually dangerous
-limestones with solution cavities are usually dangerous
-surface geological mapping is essential to locate boreholes accurately
-probing ahead of an excavation is essential to locate shafts and
excavations accurately
IN ROCK
-Investigate homogeneity of rock
-Investigate response to blasting of the rock
-Investigate if there is a need for support during actual excavation
IN ROCK….
-in moderately hard to firm ground and if badly faulted, or if it is beneath
water-bearing zone or a river: pilot headings are necessary
-excavations in moderately hard ground can be influenced by subtle
changes in geology (amount of quartz matrix, presence of clay seams in
limestone etc.)
-design of large excavations requires better geological information than
provided by only boreholes
-boreholes provide information on general geology, structures
(bedding, faults, etc.)
-shafts and adits provide-provide detailed geological information
required for final design
IN SEDIMENT
-Excavations in general at all times need support
-Investigations directed towards establishing the general stratigraphy of
the ground to be excavated
-permeable zones (sands, gravels) should be identified prior to
actual excavation as they are usually weak zones (drain water)
-strength and in-situ moisture content of sediments must be
determined
-presence of silt should be noted (they dry or moist easily with
slight fluctuation of moisture content.
IN SEDIMENT….
-clay seams should be clearly marked: they may be the easiest from
sediments to be excavated (as they are generally impermeable and act as
intact ground); however, the presence of limestone seams, gravel and sand
bands etc. may cause local permeability increasing the moisture content
of the clay and makes it dangerous.

GASES IN TUNNELS
-Various gases present in the upper levels of the Earth’s crust may be lethal when
encountered in the enclosed space of an underground excavation. Such gases
include:
-CO2 (coal oxidation, limestone dissolution): at the floor (1.53x wt. of air)
-CO (coal bearing rocks): at the crown (0.97x wt. of air), toxic
-CH4 (organic rich sediments and coal): (0.55x wt. of air), highly mobile,
explosive, rises up and drains downward in water
-H2S (decay of organic sediments, and sulphide minerals): (1.19x wt. of
air), highly toxic, explosive, readily mixes with water
-others include: SO2, H, N,N2O
-gas bursts: pressure release during excavation
-in tunnels above the water table: water level rising may derive gases
towards ground level, de-oxygenation follows and gases may concentrate
in tunnel.
STABILITY OF TUNNELS
-During excavation, load is transferred to the surrounding ground, resulting in
change in the in-situ stresses with respect to the original values (before excavation);
failure (instability) may result if the magnitude of the resulting stress exceeds the
strength of the ground.
-failures may be in the form of
-rock falls (along bedding surface, joints, cleavages) due to tensions in the
roof, or reduction in compressive strength (frictional or cohesive forces).
The following geological conditions aggravate this situation:
1. strike of surface parallel to the axis of excavation: large and
continuous surfaces form the roof. Instability may arise if the dip
is <150 or > 700
2. strike of surface orthogonal to the axis of excavation: an uneven
profile develops in the roof when the dip is <200. When the dip is
>200 , severe falls may occur between weak layers
3. strike is oblique to the axis of excavations: conditions are in
between depending on the strike and dip
SURVEY OF GEOLOGICAL STRUCTURES PERMITS THE
MAGNITUDE OF THESE PROBLEMS TO BE PREDICTED
-Compressive failure: when compressive stresses around an excavation are
high, the surrounding ground may fail in shear. And the larger the
excavation, the greater the change in stress.
STABILITY OF TUNNELS…
-three forms of failure in compression are common:
1. Squeezing ground- soft materials and expansive soils may swell
into the excavation, and hinder the progress of the tunnelling and
may result in total closure of the tunnel
2. Gentle failure- rocks that are not too brittle may fail gently by
cracking
3. Rock bursts- results of excessive rock stress and occurs in very
brittle hard rocks. Occurs as a sudden, violent detachment of
masses of rock from the sides of an excavation. Hundreds of tons
of rock may be involved, producing ground motions that can be
detected at seismic stations hundreds of Km away.
-Support- protects tunnels from failure during or after excavation
-if rocks are strong (hard)-natural arch supports the ground
-if strong rocks contain weak surfaces (joints filled by clay), weak
rocks, all soils: require support, some even before excavation,
others immediately after excavation (by special ground treatment
or special excavation techniques)
-to calculate support requirements in soil or rock excavations,
requires a knowledge of the mechanical properties, magnitude of
stress, groundwater pressures and joint and other geological
structure properties.
STABILITY OF TUNNELS…
-portals are mostly located at weathered rocks or old landslides, and they
need special support and protection against active slope instabilities.
-at ground level above an unsupported excavation, failures may occur in
the form of subsidence, formation of caving holes, consolidation and
eventual settlement of soft sediments into the excavation and draining of
groundwater.

Disposal of excavated material

-excavation always results in bulking (increase in volume by up to 20% in tunnel
excavation)
-disposal can be at the surface:
-coarse fractions are tipped
-fine material transported as a slurry to settlement ponds (on strong
grounds, and not above groundwater zones)
IN SUMMARY…GEOLOGICAL PROBLEMS IN TUNNEL SITES

-the most important geological factors considered in tunnelling are:

1. The ease of excavation of the rocks: depends on

-strength of the rock
-proportion of discontinuity (RQD)
-In general, high RQD strong rocks are strong and abrasive and require
high energy but are generally stable during and after excavation
-shattered rocks (with low RQD) are difficult to excavate (due to over-
breakage), and unstable during and after excavation

2. Strength of rocks
-massive intrusive rocks can be excavated with great difficulty
-volcanic rocks, if not jointed/fractures are hard /tough
-massive sandstone forms a stable and strong tunnel, and easy to excavate
-calcareous rocks (limestone, marble) are easy to excavate but not stable as they
are easily dissolvable
-foliated metamorphic rocks are easy to excavate but are not stable due to planes
of weakness
IN SUMMARY…GEOLOGICAL PROBLEMS IN TUNNEL SITES

3. Rock stratification: determines the amount of stress on the lining, crown, wall,
etc. of the tunnel.
-Vertical pressure:
-horizontal beds,
-across strike of dipping strata,
-vertical strata
-Pressure on one side of the tunnel:
-along strike of dipping strata
-On the key of the arch
-along strike of vertical strata
-tunnels located in an anticline
-water will flow away from excavation and generally stable if deep
seated
-tunnels located in a syncline
-water will flow into the excavation and generally unstable
-tunnels across a slope where the slope face is opposite to the dipping
direction: tunnel will be stable
-tunnels across a slope where the slope face is parallel to the dipping
direction: tunnel will be unstable
IN SUMMARY…GEOLOGICAL PROBLEMS IN TUNNEL SITES

4. Geological structures: generally determine the stability of a tunnel during and

after excavation.
-joints, faults, and fractures are very disastrous if they are of high
magnitude and frequency
-during investigation special attention should be given to the study of the
orientation, frequency and geologic history of fractures in the vicinity as
they have direct influence on the stability of the tunnel.

5. Water in tunnels: usually a significant factor in determining the stability of a

tunnel
-may drip from the crown, penetrate through the walls, along new water
ways formed during the blasting which may divert flow directions and may
result in eventual flooding of the tunnel.
-since locating tunnels above water tables is not always easy, correct
estimate of water inflow into the tunnel to be constructed is essential, as it
influences the construction work and the tunnel stability. Acid solutions
may also drain into the tunnel deteriorating the rocks.
6. Other factors:
-temperature,
-presence of poisonous gases