ENGINEERING GEOLOGY (MINING)

SUBJECT CODE: GLGE2A2

ENGINEERING GEOLOGY

COURSE NOTES

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 GROUND WATER (after Lurie, J. (2000) South African Geology)

1. ROCKS AS WATER BEARERS

The rocks of the earth’s crust contain interstitial spaces that serve as reservoirs of water
underground. In many rocks the pore spaces are interconnected so that water can percolate
throughout. In other rocks, however, the spaces are isolated and there is little percolation.
Porosity is the percentage of the total volume that is made up of pore spaces or voids.
Porosity depends on a number of factors, including the shape and arrangement of particles.
Generally, the most common type of water bearing stratum is composed of rock or mineral
fragments more or less rounded through transport before deposition. In this material the water
occurs in irregular voids between grains. In the case of a number of identical perfect spheres
close packing (Fig. 1.1 (b)) of spheres gives a porosity of 27%. Open packing (Fig 1.1(a)) of
these spheres gives a porosity of 47%. If the grains are all of similar size the porosity is
higher than in the case of a mixture of sizes. In the latter case, the smaller grains partly fill the
interstices between the larger and so reduce pore space (Fig. 1.1(c)).

FIGURE 1.1: Porosity influenced by packing.

The amount of cement present is also a factor affecting porosity. Interstices may be partly or
wholly filled with mineral material that bonds the grains together.
Another factor affecting porosity is fracturing which forms joints and fissures.
The porosity of soils and clays generally exceeds 45% while that of loose sand and gravel lies
between 20 and 47%. Sandstones and limestones have values ranging between 5 and 25%,
dolomites below 5%, granites and other igneous rocks below 1% and quartzite about 0,5%.

2. THE MOVEMENT OF WATER IN ROCKS

Permeability is the capacity of a rock for transmitting water. Materials that do not allow
water to pass through them are impermeable. Sands and gravels that have large pore spaces
are highly permeable; clays, on the other hand, are practically impermeable because pore
spaces are extremely small and the water contained in them is virtually stationary.
Gravity is the main force causing ground water to flow. It causes water to percolate
downward from the surface and spread out.
A rock formation that is permeable and yields sufficient water to constitute an important
source is known as an aquifer. A formation that is impermeable and virtually does not
transmit water at all is known as an aquiclude.

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3. THE WATER TABLE

In areas with an adequate rainfall the permeable rocks below a certain level are usually
saturated with water. Their voids are completely filled with water. This is the saturated zone
and its upper surface is the water table.
The water table is not a flat surface but varies approximately with the ground surface but
generally with more subdued slopes. In massive impermeable rocks water may stand in
fissures and joints to a common surface—this surface then constitutes the water table—this
situation is common in South Africa. It should be noted that in this case the rocks are not
saturated below the water table. A perched water table may form when a localised
impervious formation occurs within generally permeable formations.

FIGURE 2: Water table

It is believed that deep below the surface the mass of overlying material is so great that open
spaces cannot exist so that there is a lower boundary of porous rocks and, therefore, ground
water. Various estimates put the lower boundary of fracturing in rocks at a few kilometres.
Boreholes and mine workings, however, indicate that rocks are dry up to relatively high
levels. Porous rocks out of which water can flow are seldom found deeper than 600 m below
surface and in South Africa there are relatively few boreholes below 120 m that yield water.

The water table watershed corresponds broadly with the surface watershed. Thus ground
water tends to flow from high ground to valleys. This is really applicable to the topmost
unconsolidated and fractured zone. Movement is mainly under the influence of gravity. The
rate of movement depends on void size, porosity, grade (slope) of water table and
temperature—the rate increases with an increase in each of these. Measured rates vary from a
few cm to over 6 m per day. The water table rises during periods of rainfall and falls during
drought. However, since the movement of the water is slow there is a time lag before the
water table responds.

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4. SPRINGS

When ground water flows out at the surface it forms a spring.

Stratum springs arise when downward-percolating water in a permeable formation reaches
an impervious layer and a stratum spring occurs where the contact outcrops.
Valley springs form where the surface level falls below the water table.
Fault springs form when a permeable formation is brought against impermeable rocks by
faulting.
In an artesian spring the water emerges under pressure as a consequence of being trapped in
a geological formation so that the water table is at a higher elevation than the exit of the
spring.
Underground in limestone areas solution of the rock by water containing carbon dioxide takes
place as previously described. Thus streams flow along bedding planes, fissures and joints
enlarged by solution. These may emerge as springs.

FIGURE 3: Springs

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5. WELLS AND BOREHOLES

The commonest way of recovering ground water is to sink a well and lift the water. In South
Africa there is often no real water table owing to the lack of permeable strata. The under -
ground water circulates along bedding planes, joints and fissures. Thus there are productive
wells even in solid granite and other crystalline rocks.
In the general situation when water is pumped from a well, the surface of the water table
immediately around the well is lowered, and it assumes roughly the form of an inverted cone.
This is known as the cone of depression. When pumping stops, the water will gradually rise
to the original level.

6. GROUND WATER IN SOUTH AFRICA

Developing boreholes with adequate and permanent supplies is important over large parts of
South Africa where surface water supplies are inadequate. The siting of boreholes presents
problems in areas where the rocks are impermeable and where there are few outcrops.
Since about one-third of South Africa is underlain by hard, non-porous crystalline rocks it
becomes necessary to locate fractured and weathered zones.
The South African Geological Survey provides an invaluable service in siting boreholes with
the use of various techniques. Airphotos are useful for tracing dykes, zones of fracturing and
other favourable structures. Geophysical methods (often in combination) are extensively
used. Magnetometric surveys are used for locating dykes and sills under superficial cover
(contact zones are often good aquifers). Electrical resistivity methods are used for locating
basins of weathering in igneous rocks. An electromagnetic technique has been developed for
locating water-bearing fissure zones in rocks where weathering is shallow.
Good ground water supplies are located in the indurated (hardened by heat) contact zones of
dolerite dykes cutting sediments. The yield however falls off rapidly with distance from the
contact. A successful borehole therefore, should be one that enters the contact zone below the
water table. In the case of a well-exposed dyke whose dip can be ascertained there is reason-
able certainty of success. However, in the case of a dyke weathered to depth and covered by
overburden, geophysical methods must be resorted to.

7. SINKHOLES AND DOLINES

Sinkholes form in limestone areas due to the collapse of cave roofs where solution of the
limestone by reaction of ground water and carbon dioxide forms large solution cavities.
While a sinkhole appears suddenly as a steep-sided hole, a doline is a surface depression that
forms slowly over a period of years.
In the case of a sinkhole a series of interconnected solution caverns forms immediately below
the water table. Above the water table steeply-inclined joints and fissures are widened by
solution and become choked by soil and relatively insoluble chert. If the water table is
lowered below the zone of caverning the material choking the fissures is eroded into the
underlying cavern by downward flowing water. Successive collapse towards the surface may
result ultimately in the formation of a sinkhole.
A doline also results from the lowering of the water table where previously water-saturated
materials such as unconsolidated debris and especially wad, compact on loss of water leading
to relatively slow subsidence.

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FIGURE 4: The formation of sinkholes and dolines.

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 ENGINEERING PROPERTIES OF ROCKS AND SOILS

1. STRENGTH OF ROCKS

1.1 Rock Strength Definition

Rock strength is defined as the maximum value of the applied stress that the rock can
sustain under a given set of conditions before failure occurs.
Three characteristics are taken into account when assessing the strength of rock:
 Compressive strength
 Shear strength
 Tensile strength

The compressive strength of a rock is the stress required to break a loaded sample when
unconfined at the sides and may be expressed as kg/m2 or MPa. (Megapascal). The
compressive strength is determined by ‘squeezing’ a cylindrical rock specimen (borehole
core of at least NX – 54mm diameter) between two steel plates until it fails. The stress
applied to make the rock fracture is the uniaxial compressive strength of the rock.

The shear strength depends on the resistance of parts of the rock to slide, relative to one
another.

The tensile strength of a rock is the maximum tensile stress (tension force) that a rock can
withstand before failure. This depends on the ability of the components of the rock to resist
separation. An indication of the tensile strength can be obtained from a point-load test where
a cylindrical rock sample is loaded between two steel points until it fails.

Classification of intact rock based upon some of these strength parameters is as follows:

Description Compressive Tensile Field estimation

strength (Point load)
(Mpa) strength
(Mpa)
Very soft rock – material crumbles under firm blows with
Weak 1.5 - 15 0.03 – 1.0 sharp end of geological hammer
Moderately strong 15 – 50 1–3 Soft rock. 5mm indentations with sharp end of pick
Hard rock, hand-held specimen can be broken with a single
Strong 50 – 120 3 – 10 blow of a hammer
Very strong 120 – 230 Very hard rock, more than one blow of geological hammer
Over 10 required to break specimen
Extremely strong Over 230

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 TABLE 1: Classification of intact rock based on strengths

1.2 Factors Influencing the Strength of Rocks

There are a number of factors that influence the strength of a rock.

The texture of a rock, particularly its grain size, grain shape, nature of grain contacts and
fabric exert an influence on the physical properties of the rock. Finer-grained rocks are
usually stronger than coarser grained varieties.

The strength of sedimentary rocks is dependent on the amount and type of cement and/or
matrix material that binds the grains. If cement binds the grains together a stronger rock is
produced. The amount of cementing material is important, as is the type of cement. For
example, sandstone with siliceous cement is stronger than one with an equal amount of
calcareous cement.

Pore water plays a significant role as far as the compressive strength and deformation
characteristics of sedimentary rocks are concerned. It can reduce the unconfined
compressive strength by 30 – 60%. Pore water has the effect of reducing the shear stress
required to make grains slip relative to each other.

Confining pressure increases the effective strength of a rock by increasing the stress
required to cause failure.

2. STRENGTH OF ROCK MASSES

2.1 Introduction

Rock differs from most other engineering materials in that it contains fractures of one type or
another which render its structure discontinuous. Thus a clear distinction must be made
between the rock material on the one hand and the rock mass on the other. Rock material is
the term used to describe the intact rock between discontinuities. The rock mass is the total
in-situ medium containing bedding planes, faults, joints, folds and other structural features.
Rock masses are discontinuous and have heterogeneous and anisotropic strength properties.
The nature and distribution of structural features within the rock mass is known as the rock
structure. Obviously, rock structure can have a dominant effect on the strength of the rock
mass and its response to mining operations.

In some cases it may be the behaviour of the intact rock material that is of concern such as
when considering the stability of excavations in good quality, brittle rock that is subject to
rockburst conditions. In other instances, the behaviour of single discontinuities, or of a small
number of discontinuities, will be of paramount importance. For example the equilibrium of
blocks of rock formed by the intersections of three or more discontinuities and the roof or
wall of an excavation, and cases in which slip on a major throughgoing fault must be
analysed. Finally, it is sometimes necessary to consider the global response of a jointed rock

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 mass in which the discontinuity spacing is small on the scale of the problem domain.

Figure 2.1 illustrates the transition from intact rock to a heavily jointed rock mass with
increasing sample size in a hypothetical rock mass surrounding an underground
excavation.

Figure 2.1 Idealised illustration of the

transition from intact rock to a heavily
jointed rock mass with increasing
sample size

Which model will apply in a given case will depend on the size of the excavation relative to
the discontinuity spacing, the imposed stress level, and the orientations and strengths of the
discontinuities.

2.2 Discontinuities

It is common in rock engineering to use the term discontinuity as a collective term for all
fractures or features in a rock mass such as joints, faults, shears, weak bedding planes and
contacts that have zero or relatively low tensile

Bedding planes divide sedimentary rocks into beds or strata. They represent interruptions in
the course of deposition of the rock mass. Bedding planes are generally highly persistent
features, although sediments laid down from water currents may contain cross bedding.
Bedding planes may contain parting material of different grain size from the sediments
forming the rock mass, or may have been partially healed by low-order metamorphism. In
either of these two cases, there would be some ‘cohesion’ between the beds; otherwise, shear
resistance on bedding planes would be purely frictional. Arising from the depositional
process, there may be a preferred orientation of particles in the rock, giving rise to planes of
weakness parallel to the bedding.

Folds are structures in which the attitudes of the beds are changed by flexure resulting from
the application of post-depositional tectonic forces. They may be major structures on the
scale of a mine or mining district or they may be on a smaller local scale. The major effects
of folds are that they alter the orientations of beds locally, and that certain other structural
features are associated with them. In particular, well-defined sets of joints may be formed in
the crest or trough and in the limbs of a fold. Axial-plane or fracture cleavage may also
develop as a series of closely spaced parallel fractures resulting from the shear stresses

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 associated with folding.

Faults are fractures on which identifiable shear displacement has taken place. The sense of
this displacement is often used to classify faults. Faults may be pervasive features that
traverse a mining area or they may be of relatively limited local extent on the scale of metres.
Fault thickness may vary from metres in the case of major, regional structures to millimetres
in the case of local faults. This fault thickness may contain weak materials such as fault
gouge (clay), fault breccia (recemented), rock flour or angular fragments. The wall rock is
frequently slickensided and may be coated with minerals such as graphite and chlorite that
have low frictional strengths. The ground adjacent to the fault may be disturbed and
weakened by associated structures such as drag folds or secondary faulting. These factors
result in faults being zones of low shear strength on which slip may readily occur.

Shear zones are bands of material, up to several metres thick, in which local shear failure of
the rock has previously taken place. They represent zones of stress relief in an otherwise
unaltered rock mass. Fractured surfaces in the shear zone may be slickensided or coated with
low-friction materials, produced by the stress relief process or weathering. Like faults, shear
zones have low shear strengths.

Dykes are long, narrow intrusions of generally fine-grained igneous rock with steep or
vertical and approximately parallel sides. They may vary in width from a few centimetres to
several metres and may appear as dyke swarms. Dykes may also be of considerable length.
Some dyke rocks are more resistant to weathering than the country rock, but the basic
igneous dyke rocks such as dolerite can weather to montmorillonite clays which are noted for
their swelling characteristics. The dyke margins are frequently fractured and altered during
the intrusion. They form potential seepage paths and zones of low stiffness and shear strength
in which movements will tend to be concentrated. Because of their high stiffness,
unweathered dyke rocks can develop high stresses and so be susceptible to stress-induced
failure or, as in the deep-level gold mines of South Africa, be associated with rockburst
conditions.

Joints are the most common and generally the most geotechnically significant structural
features in rocks. Joints are breaks of geological origin along which there has been no visible
displacement. A group of parallel joints is called a joint set, and joint sets intersect to form a
joint system. Joints may be open, filled or healed. They frequently form parallel to bedding
planes, foliations or slaty cleavage, when they may be termed bedding joints, foliation joints
or cleavage joints. Sedimentary rocks often contain two sets of joints approximately
orthogonal to each other and to the bedding planes. Joints are planes that have zero or
relatively low tensile strength.

2.3 Rock Mass Strength Classification

The determination of the global mechanical properties of a large mass of discontinuous, in

situ rock is one of the most difficult problems in the field of rock engineering. Overall
strength properties are required for the assessment of pillar strength, displacements induced
around mine excavations and the extent of discontinuous subsidence.
The Rock Mass Rating (RMR) scheme developed by Bieniawski is currently widely used in
civil engineering and, to a lesser extent, in mining practice. Bieniawski’s scheme is used to
give a rating to rock masses that gives an indication of rock mass strength and behaviour.

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Bieniawski’s Rock Mass Rating classification scheme uses five classification parameters.

1. Strength of the intact rock material. The uniaxial compressive strength of the intact
rock is measured on cores. Alternatively, for all but very low-strength rocks, the point
load index may be used. Given a rating between 0 – 15.
2. Rock Quality Designation (RQD). The rock quality designation is an attempt to
quantify discontinuity spacing. It is determined from drill core by considering the ratio
of the lengths of individual pieces of core longer than 0.1m in a drill run relative to the
total length of the drill run. Rating between 3 – 20.
3. Spacing of joints. In this context, the term joints is used to describe all
discontinuities. Rating between 5 – 20.
4. Condition of joints. This parameter accounts for the separation or aperture of
discontinuities, their continuity or persistence, their surface roughness, the wall condition
(hard or soft) and the nature of any in-filling materials present. Rating between 0 – 25.
5. Groundwater conditions. An attempt is made to account for the influence of
groundwater pressure or flow on the stability of underground excavations in terms of the
observed rate of flow into the excavation, or by a general qualitative observation of
groundwater conditions. Rating between 0 – 10.

For various ranges of each parameter, a rating value is assigned. The allocation of these
rating values allows for the fact that all parameters do not necessarily contribute equally to
the behaviour of the rock mass. The overall Rock Mass Rating (RMR) is obtained by adding
the values of the ratings determined for the five individual parameters. This RMR value may
be adjusted for the influence of discontinuity orientation by applying a correction.
The interpretation of these Rock Mass Ratings in terms of stand-up times of unsupported
spans in underground excavations and rock mass strength parameters is given in the figure
below.

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2.4 Strength of Some Typical Rocks

The plutonic igneous rocks are characterised by granular texture, massive structure, and
relatively homogeneous composition. In their unaltered state they are essentially sound and
durable with adequate strength for any engineering requirement. In some instances, however,
intrusive rocks may be highly altered by weathering or hydrothermal attack; furthermore
fissure zones are by no means uncommon in granites. This will significantly reduce the
overall strength of the rock mass.
Older volcanic deposits do not prove a problem in foundation engineering, ancient lavas
having unconfined compressive strengths frequently in excess of 200MPa. But volcanic
deposits of geologically recent age at times prove treacherous, as they often represent
markedly anisotropic sequences in which lavas, pyroclastics and mudflows are interbedded.
In addition, weathering during periods of volcanic inactivity may have produced fossil soils,
these being of much lower strength. The individual lava flows may be thin and transected by
a polygonal pattern of cooling joints.
Slates, phyllites, and schists are characterized by textures that have marked preferred
orientation. This preferred alignment of platy minerals accounts for cleavage and schistosity
that typify these metamorphic rocks and means that slate is notably fissile. Such rocks are
appreciably stronger across, than along, the lineation. Cleavage and schistosity adversely
affect the strength of metamorphic rocks and also makes them more susceptible to decay.
The engineering performance of gneiss is usually similar to that of granite. However, some
gneisses are strongly foliated which means that they possess a texture with a preferred

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 orientation. Fresh, thermally metamorphosed rocks such as quartzite and hornfels are very
strong and afford good ground conditions.
Sandstones may vary from thinly laminated micaceous types to very thickly bedded
varieties. Moreover they may be cross-bedded and are invariably jointed. The compressive
strength and deformability of a sandstone is influenced by its porosity, the amount and type
of cement, and/or matrix material, grain contact, as well as the composition of the individual
grains. If cement binds the grains together a stronger rock is produced than one in which a
similar amount of detrital matrix performs the same function.
The mineral content of shales influences their geotechnical properties, the most important
factor in this respect being the quartz—clay minerals ratio. Consolidation with concomitant
recrystallization and the parallel orientation of platy minerals, notably micas, give rise to the
fissility of shales and anisotropic strength behaviour. The natural moisture content of shales
varies from less than 5% to as high as 35% for some clayey shales. When the moisture
content exceeds 20% they are less strong as they tend to develop high pore water pressures.
The swelling properties of certain shales have proven extremely detrimental to the integrity
of many civil engineering structures. Swelling is attributable to the absorption of free water
by certain clay minerals, notably montmorillonite, in the clay fraction of shale. Highly
fissured shales have greater swelling tendencies than poorly fissured clayey shales, the
fissures providing access for water. Cemented shales are invariably stronger and more
durable than compacted shales.
The engineering properties of carbonate sediments are influenced by grain size and the
post-depositional changes that bring about induration. Limestone when dolomitized
undergoes an increase in porosity of a few per cent and therefore tends to possess a lower
compressive strength than limestone that has not been dolomitized. Joints in limestone have
generally been subjected to various degrees of dissolution so that some may gape. Sinkholes
may develop where joints intersect and these may lead to an integrated system of
subterranean galleries and caverns. The latter are characteristic of thick massive limestones.
3. STRENGTH OF SOILS

3.1 Formation of soils

Soils are the products of weathering of rocks. They may be sedentary, produced by
weathering in situ, or they may be transported. Weathering is accomplished by the
mechanical or chemical breakdown of the minerals of the rock.
Quartz – only mechanical disintegration
Feldspars – with carbon dioxide and water break down to clay, carbonate and some silica
Olivine – breaks down to serpentine, iron oxide and a little silica
Pyroxene and amphiboles – break down to serpentine, chlorite, carbonate and iron oxide.
The serpentine and chlorite further decompose to carbonate, iron oxide and a little silica.

The character of a soil is thus dependent on the rock type of the primary material from which
it is derived. Since feldspars are the most abundant minerals of the earth’s crust, clays are the
most abundant minerals of soils.

3.2 Soil properties

The properties of soils depend on the moisture content of the soil. Sorbed water consists
largely of capillary water that has the effect of holding the soil particles together by surface
tension. The amount of capillary water depends on the grain size and is greater in clays.

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 The cohesion of a material depends on the attractive electrostatic forces, known as van der
Waal’s forces, between the particles. These forces increase with decreasing distance between
particles and are thus a minimum in gravels and sand and a maximum in stiff clays. Shear
strength is controlled by the cohesion of a material.

Swelling in soil results from the sorption of water by clay minerals, particularly
montmorillonite. The swelling exerts a pressure that can be as high as 300kPa that can
damage overlying structures.

Compaction is the process whereby the soil particles are forced closer together ridding the
material of voids and increasing its density. Compaction depends on the moisture content.
On excavation most soils take up a bigger volume because of increasing the void spaces.
This is known as bulking. Sand bulks to 110% of its field volume and earth to about 125%.

3.3 Strength of soils

Grain size and sorting have a significant influence on the engineering behaviour of granular
soils. Generally, the larger the particles, the higher the strength, and deposits consisting of a
mixture of different sized particles are usually stronger than those which are uniformly
graded. However, the behaviour of such soils depends on their relative density.
The strength of a granular soil is due to the friction when the grains in the zone of shearing
are caused to slide, roll and rotate against each other. This friction, and hence strength, is
influenced by the grain size distribution and grain shape. The larger the grains the wider is
the zone affected, and the more angular the grains, the greater is the frictional resistance as
the grains interlock more thoroughly than rounded ones.

The principal minerals in a clay deposit influence its engineering behaviour. For example the
swelling property of a clay soil depends on the type of clay mineral (montmorillonite)
present. The shear strength is related to the type of clay minerals present in the clay soil
together with the presence of cementing agents. Strength is reduced with increasing
montmorillonite content, but increases with the presence of cementing agents, especially
calcite.

SITING OF WORKS AND EXCAVATIONS

1 OPEN EXCAVATION/OPEN CUT

Open excavation refers to the removal of material, within certain specified limits, for
construction purposes. In order to accomplish this economically and without hazard the
character of the rocks and soils involved and their geological setting must be investigated.
Indeed, the method of excavation and the rate of progress are very much influenced by the
geology on site. Furthermore, the position of the water table in relation to the base level of the
excavation is of prime importance, as are any possible effects of operations on the surrounding
ground and/or buildings.

1.1 Slope stability

The stability of slopes is a critical factor in open excavation. This is particularly the case in

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cuttings (e.g. for roads, railways and open pits) where slopes should be designed to resist
disturbing forces over long periods. In other words, a stability analysis should determine under
what conditions a proposed slope will remain stable.
Instability in a soil mass occurs when slip surfaces develop and movements are initiated within
it. Undesirable properties in a soil such as low shearing strength, development of fissures, and
high water content tend to encourage instability and are likely to lead to deterioration of slopes.

The design of a slope excavated in a rock mass requires as much information as possible on the
character of the discontinuities within the rock mass, since its stability is frequently dependent
upon the nature of the discontinuities. Information relating to the spatial relationships between
discontinuities affords some indication of the modes of failure which may occur and
information relating to the shear strength of the rock mass, or more particularly the shear
strength along discontinuities, is required for use in the stability analysis. The joint inclination
is always the most important parameter for slopes of medium and large height, whereas density
is more important for small slopes than friction. Cohesion becomes less significant with
increasing slope height whilst the converse is true as far as the effects of water pressure are
concerned.

Excavation in fresh, massive, plutonic igneous rocks such as granite and gabbro can be left
more or less vertical after removal of loose fragments. On the other hand, volcanic rocks such
as basalts and andesites are generally bedded and jointed, and may contain layers of ash or tuff,
which are usually softer and weather more rapidly. Thus, slope angles have to be reduced
accordingly.

Gneiss, quartzite, and hornfels are highly weather-resistant and slopes in them may be left
almost vertical. Schists vary in character and some of the softer schists may be weathered and
tend to slide along their planes of schistosity. Slate generally resists weathering although slips
may occur where the cleavage dips into a cut face.

If strata are horizontal, then excavation is relatively straightforward and slopes can be
determined with some degree of certainty. Vertical slopes can be excavated in massive
limestones and sandstones that are horizontally bedded. In brittle, cemented shales slopes of
600 and 750 are usually safe but increasing fissility and decreasing strength necessitate flatter
slopes. Even in weak shales slopes are seldom flatter than 45 0. However, excavated slopes
may have to be modified in accordance with the dip and strike directions in inclined strata. The
most stable excavation in dipping strata is one in which the strata dip into the face. Also, where
the face is orientated normal to the strike, there is a low tendency for rocks to slide along their
bedding planes. Conversely, the worst situations are likely to occur when the strata dip out of
the slope. This is most critical where the rocks dip at angles varying between 300 and 700.
Sedimentary sequences in which thin layers of shale or clay are present may have to be treated
with caution, especially if the bedding planes are dipping at a critical angle. Weathering may
reduce such material to an unstable state within a short period of time which, in turn, can lead
to slope failure.

Slope failure in soils is a surface phenomenon that is caused by the particles rolling over each
other down the slope. The packing density of sands is important. For example, densely packed
sands that are very slightly cemented may have excavated faces with high angles that are
stable. The water content is of paramount importance in loosely packed sands for if these are
saturated they are likely to flow on excavation.

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 The most frequently used gradients in many clays varies between 300 and 450. In certain clays,
however, in order to achieve stability the slope angle may have to be less than 200. The
stability of slopes in clay depends not only on its strength and the angle of the slope but also on
the depth to which the excavation is taken and on the depth of a firm stratum, if one exists, not
far below the base level of the excavation. In stiff, fissured clays the fissures appreciably
reduce the strength of the mass. Generally, steep slopes can be excavated in such clays initially
but their excavation means that fissures open due to the relief of residual stress and there is a
change from negative to positive pore pressures along the fissures. Not only does this weaken
the clay but it also permits a more significant ingress of water, which means that the clay is
softened. Irregular-shaped blocks may begin to fall from the face and slippage may occur
along well-defined fissure surfaces.

1.2 Geological conditions and tunnelling

Large planar surfaces form most of the tunnel roof in a rock formation that is not inclined at a
high angle and strikes more or less parallel to the axis of a tunnel. In tunnels where jointed
strata dip into the side at 30 0 or more, the updip side may be unstable. Joints which are parallel
to the axis of a tunnel and which dip at more than 45 0 may prove especially treacherous,
leading to slabbing of the walls and fallouts from the roof (see Figure 1). The presence of flat-
lying joints may also lead to blocks becoming dislodged from the roof.

When the tunnel alignment is normal to the strike of jointed rocks and the dips are less than 15 0
large blocks are again likely to fall from the roof. The sides, however, tend to be reasonably
stable.

When a tunnel is driven perpendicular to the strike in steeply dipping or vertical strata each
stratum acts as a beam with a span equal to the width of the cross section. This is the most
favourable orientation for driving a tunnel in a rock mass.

If the axis of a tunnel runs parallel to the strike of vertically dipping rocks, then the mass of
rock above the roof is held by the friction along the bedding planes alone. This is an unstable
condition and leads to fallouts from the hangingwall. In such a situation the upper boundary of
loosened rock does not extend beyond 0.25 times the tunnel width above the crown.

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 Fig. 1. Tunnel in rock with steeply dipping joints: (a) steeply dipping joints (45~90o) which are
parallel to the tunnel axis, lead to stabbing of the wall and fallouts from the roof. At point A the slab
‘daylights’ at the feather-edge bottom and would probably fall with the force of the blast during
tunnel advance. The slab, B, may not fall; however, it could be loosened by the original blast and
would be susceptible to additional loosening by the shocks of later blasts and by the ‘working’ of
the rock under peak tangential stresses around the tunnel periphery. Unless restrained, the slab, B,
might eventually fall. Joints at depth such as C and D may tend to open. Joint blocks at E may be
extremely dangerous, appearing stable after the blast but becoming unstable as the tunnel advances
and the rock adjusts to the new stress field

When the joint spacing in horizontally layered rocks is greater than the width of a tunnel, then
the beds bridge the tunnel as a solid slab and are only subject to bending under their own
weight. Thus, if the bending forces are less than the tensile strength of the rock the roof need
not be supported. Where horizontally lying rocks are thickly bedded and contain few joints the
roof of the tunnel is flat. Conversely, if the rocks are thinly bedded and are intersected by
many joints a peaked roof may form. Nonetheless breakage rarely, if ever, continues beyond a
vertical distance equal to half the width of the tunnel above the top of a semicircular payline
(Fig.2).

Fig. 2 Overbreak in thinly bedded horizontal strata with joints. Ultimate overbreak occurs if no support is
installed.

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Faults generally mean non-uniform rock pressures on a tunnel. Generally, problems increase as
the strike of a fault becomes more parallel to the tunnel opening. However, even if the strike is
across the tunnel, faults with low dips can represent a hazard. If the tunnel is driven from the
hanging wall, the fault first appears at the bottom of the face and it is generally possible to
provide adequate support or reinforcement when driving through the rest of the zone.
Conversely, when a tunnel is driven from the foot-wall side, the fault first appears in the top of
the face, and there is a possibility that a wedge-shaped block, formed by the fault and the
tunnel, will fall from the roof without warning.

Major faults are usually associated with a number of minor faults and the faulted zone may
occur over many metres. Rock material within a faulted zone may be shattered and unstable.
Problems tend to increase with increasing width of the fault zone. Sometimes a fault zone is
filled with sand-sized crushed rock that has a tendency to flow into the tunnel. If, in addition,
the tunnel is located beneath the water table, a sandy suspension and water may rush into the
tunnel. Large quantities of water in a permeable rock mass are impounded by a fault zone
occupied by impervious gouge and are released when tunnelling operations penetrate through
the fault zone.

Rocks, especially those at depth, are affected by the weight of overburden and the stresses so
developed cause the rocks to be strained. The stress that is not dissipated by strain remains in
the rocks as residual stress. While the rocks remain in a confined condition the stresses
accumulate and may reach high values, sometimes in excess of the breaking point of the rock.
If the confining condition is removed, as in tunnelling, then the residual stress can cause
failure. The pressure relief, which represents a decrease in residual stress, may be
instantaneous or slow in character, and is accompanied by movement of the rock mass with
variable degrees of violence.

In tunnels driven at great depths, rock may suddenly break from the sides of the excavation, a
phenomenon known as rock bursting. Rock bursts are due to the sudden release of residual
stresses which exceed the strength of the ground around the excavation, and their frequency
and severity tend to increase with depth — most rock bursts occur at depths in excess of 600m
and in rocks that have unconfined compressive strengths greater than 140 Mpa.

Folded strata also result in non-uniform rock pressures and stress on a tunnel. A tunnel along
the axis of an anticline relieves the vertical pressure on the lining, but the crest of the anticline
is also subject to tensile stress that will reduce the shear strength of the rock mass. It is thus
more likely that there will be blocks dislodged from the hanging-wall. In permeable strata an
anticline will cause groundwater to flow away from the tunnel. A tunnel along the axis of a
syncline will be subjected to increased pressure and stress. Compressive stress will be greater
which may lead to failure of the rock mass. In permeable strata however, a syncline will tend
to cause groundwater to flow towards the tunnel.

Page 18 of 18