.

.
iii
 PREFACE
PREFACE
Indian Society for Rock Mechanics and Tunnelling Technology (ISRMTT) organises Indorock: Indian Rock
Conference
Indian Society on regular
for Rock basisMechanics
to address andtheTunnelling
tunnellingTechnology
related issues faced by
(ISRMTT) industryIndorock:
organises and rockIndian mechanics
Rock
fraternity. Indorock-2023: 9 th
Indian Rock Conference is being organised
Conference on regular basis to address the tunnelling related issues faced by industry and rock mechanics by ISRMTT in association with Central
Soil and Materials
fraternity. Indorock-2023:Research 9thStation
Indian (CSMRS)
Rock Conference at New Delhi is being on organised
16-18 November
by ISRMTT 2023.in association with Central
SoilRock
and Materials
may be used Research Station (CSMRS)
as construction material,atfor New Delhiasonfoundation
serving 16-18 Novemberof civil 2023.
engineering structures or to host
the Rock
underground
may be used tunnels and caverns.material,
as construction In all the forcases,
serving apart from strength
as foundation andengineering
of civil deformationstructures
characteristics,
or to hostits
water
the related properties
underground tunnelsalso andhave a large
caverns. In bearing
all the on the design
cases, apart from of structures
strength envisaged.
and deformationThe nature and properties
characteristics, its
of discontinuities
water related properties in the alsorockhavemass a largelargely
bearing governon thethe behaviour
design under envisaged.
of structures different loading
The nature conditions. Large
and properties
variations
of in number
discontinuities of discontinuities;
in the rock mass largely condition
govern of the
jointsbehaviour
and the infilling material;loading
under different orientation of jointsLarge
conditions. with
respect to the
variations structures
in number of and the given loading
discontinuities; conditions
condition of jointsguidesandthe thedesign andmaterial;
infilling analysis orientation
of structures. of joints with
respect
Overtothe theyears,
structures
subjectandofthe rock given loading and
mechanics conditions guides the has
rock engineering design and importance
gained analysis of structures.
like any other sciences.
Despite
Over extensive
the years, research
subject ofand rock innovations,
mechanics still and rock the rock mass classifications
engineering are empirical.
has gained importance Eachother
like any classification
sciences.
system has
Despite its ownresearch
extensive advantages and and limitations.
innovations, stillThethepersonal
rock mass judgements and experience
classifications are empirical. is used
Eachfor classification
of rock has
system masses.
its own Theadvantages
rock mass and grading largely The
limitations. impact the stability
personal of structure.
judgements Additionally,
and experience is usedtheforgrading of rock
classification
hasrock
of large implications
masses. The rock onmassthe contractual
grading largely obligations
impact the too.stability
Since, ofthestructure.
classification systems the
Additionally, relygrading
on one’s own
of rock
judgement,
has it is likely toondiffer
large implications from the other
the contractual persons. Holistically,
obligations too. Since, the multiple classification
classification systems systems
rely on canone’s
be used own to
classify the itrock
judgement, mass.to differ from the other persons. Holistically, multiple classification systems can be used to
is likely
classify
It is thevery rock mass. to address the variability in rock mass, particularly in the Himalayan regions where
difficult
uncertainties prevail
It is very difficult overto any
address extentthe of geological
variability and geotechnical
in rock investigations
mass, particularly in carried
the Himalayanout. Furthermore,
regions wherein the
case of long water conveyance or transportation tunnels, it is not possible
uncertainties prevail over any extent of geological and geotechnical investigations carried out. Furthermore, in the to completely define the rock mass all
along its alignment due to practical difficulties, thereby, leading to substantial
case of long water conveyance or transportation tunnels, it is not possible to completely define the rock mass all difference in predicted and actually
encountered
along geological
its alignment due toconditions. Because of thereby,
practical difficulties, adverse leading
geological features, there
to substantial are examples
difference of projects
in predicted being
and actually
abandoned during construction phases too. Huge investments goes waste
encountered geological conditions. Because of adverse geological features, there are examples of projects being and in certain circumstances, may lead
to losses of lives and property also. Therefore, investigations and explorations
abandoned during construction phases too. Huge investments goes waste and in certain circumstances, may lead should not be confined to the pre-
construction stage only, rather construction and exploratory studies should
to losses of lives and property also. Therefore, investigations and explorations should not be confined to the pre- go hand in hand leaving aside no
scope for uncertainties.
construction stage only, rather construction and exploratory studies should go hand in hand leaving aside no
scope
In for uncertainties.
India, use of underground space started with the development of hydropower schemes. The underground
water conveyance
In India, use ofsystems
underground and power spacehousestarted complexes have many advantages
with the development of hydropower over the surfaceThe
schemes. based structures.
underground
With rapid
water requirements
conveyance systemsand andgrowthpowerover house thecomplexes
years, the have use ofmany underground
advantages space
overhastheextended its boundaries
surface based structures. to
transportation
With tunnelling,andurban
rapid requirements growth infrastructure
over the years, forthe rapid
use of transportation
underground network,
space has oil/storage,
extended itsnuclear boundaries wasteto
disposal, defence
transportation installations,
tunnelling, urban sports and recreational
infrastructure facilities,
for rapid parking spaces
transportation etc. The
network, stability of
oil/storage, the structure
nuclear waste
as well asdefence
disposal, the structures over ground
installations, sports andhaverecreational
to be ensured at any parking
facilities, cost. Instrumentation
spaces etc. The and monitoring
stability of theofstructure
various
parameters
as well as the plays a vital role
structures overinground ensuring havethe to
safety of the structures
be ensured at any cost. as well as the workers.
Instrumentation and monitoring of various
parameters plays a vital role in ensuring the safety of the structures as well
In the past and recently also, many devastating calamities costing loss to human life and physical property as the workers.
haveIn occurred.
the past and The recently
causes may also,bemany natural as well as calamities
devastating unnatural reasonscosting andlosssometimes,
to human life are theandresult
physicalof ignorance
property
and lack
have of knowledge.
occurred. The causes Therefore,
may be natural documentation
as well asofunnatural
case studies and and
reasons theirsometimes,
specific solutions may be
are the result useful for
of ignorance
younger
and lack generations
of knowledge. to learn and tackle
Therefore, various adverse
documentation of casesituations.
studies and their specific solutions may be useful for
younger
The maingenerations
aim oftothe learn and tackle
conference is various
to provide adverse situations.
a platform for Governmental/public sector/private developers
involved
The main in aim underground
of the conference tunnelling activities
is to provide for various
a platform applications, researchers,
for Governmental/public sector/private academicians,
developers
manufacturers/suppliers, consultants etc. to debate on various
involved in underground tunnelling activities for various applications, researchers, academicians, problems faced in tunnelling related areas to seek
durable and economic solutions.
manufacturers/suppliers, consultants etc. to debate on various problems faced in tunnelling related areas to seek
durable
In viewand economic solutions.
of the above, Indorock-2023 has been designed to debate on issues related to underground
construction
In view of forthevarious
above, purposes.
Indorock-2023 Conference has includes
been designed special to technical
debate sessions
on issuesonrelated Norwegian Method of
to underground
Tunnelling and
construction forRishikesh- Karnprayag
various purposes. Rail Link includes
Conference project. special technical sessions on Norwegian Method of
Tunnelling
I hope the andparticipants
Rishikesh-shallKarnprayagbenefit fromRail Link project. through interaction and debate.
the conference
I hope the participants shall benefit from the conference through interaction and debate.

(Hari Dev)
(Hari Dev)
President, ISRMTT
President, ISRMTT

iv
 FOREWORD
Despite numerous innovations in rock engineering particularly during last five decades, still empirical rules
are being used in design of structures. Guidelines and standards for the design of supports and strengthening
measures for stable structures are being framed based on tunnelling experience in Himalayas.
Focus of use of underground space has been shifted from hydropower development to other areas like
road/rail infrastructure development to provide all weather safe connectivity in the young Himalayas in view of
fragile geology. Apart from this, the underground caverns for oil and gas storage; defence installations, nuclear
waste disposal, recreational purpose and underground parking facilities in urban areas has increased manifold.
Applications of Rock Mechanics is in progress all over India, mainly due to execution of projects for
hydropower generation, urban infrastructure, underground cavern for oil storage and nuclear waste deposits,
highway/railway tunnels, irrigation projects, stabilisation of rock slopes, mitigation of landslides and mining
purposes.
The Indian Society for Rock Mechanics and Tunnelling Technology (ISRMTT) aims at promoting
cooperation amongst engineers and scientists for the advancement and dissemination of knowledge in the field of
rock mechanics and tunnelling technology. This includes the allied fields of geotechnical engineering,
engineering geology, civil and mining engineering and their practical applications as field or laboratory testing or
instrumentation and computer aided analysis and design. It achieves its objectives by conducting conferences,
workshops, seminars, training courses and lectures by eminent persons in this field. It also publishes a biannual
Journal of Rock Mechanics and Tunnelling Technology.
ISRMTT has over 2300 life members, 18 institutional members, 20 executive committee members, 9
honorary fellows, 8 local chapters and 30 editorial board members from India and abroad.
The Indorock - 2000: 1st Indian Rock Conference was conducted successfully by ISRMTT at New Delhi on
28-29 November 2002.
The Indorock - 2009: 2nd Indian Rock Conference was organized in association with Central Soil and
Materials Research Station (CSMRS) on 12-13 November 2009 at CSMRS, New Delhi.
In the mean-time, special conferences were conducted for Tehri Dam Project, Nathpa Jhakri Hydroelectric
Project and Tala Hydroelectric Project, Bhutan.
Indorock - 2011: 3rd Indian Rock Conference was organized in association with IIT Roorkee and CIMFR on
13-15 October 2011 at IIT Roorkee, Uttarakhand.
The Indorock - 2013: 4th Indian Rock Conference was organized in association with Jaypee University of
Information Technology (JUIT) on 29-31 May 2013 at JUIT Waknaghat, Distt. Solan, Himachal Pradesh.
Indorock - 2014: 5th Indian rock Conference was organised in association with Central Water Commission
and Central Soil and Materials Research Station on 12-14 November 2014.
Indorock - 2016: 6th Indian Rock Conference was organised in association with Indian Institute of
Technology at Mumbai on 17-18 June 2016.
Indorock - 2017: 7th Indian Rock Conference was organised in association with CSMRS and WAPCOS Ltd.
at New Delhi on 25-27 October 2017.
Indorock - 2019: 8th Indian Rock Conference was organised in association with CSMRS and WAPCOS Ltd.
at New Delhi on 04-05 November 2019.
The Society organised Training Courses on Rock Mechanics almost every year from year 2007 onwards
mostly in association with CSMRS New Delhi.
First Training courses on “Rock Engineering for Large Hydropower Projects” was organised in association
with CSMRS on 10-12 December 2008 at New Delhi. Second Training courses on “Rock Engineering” was
organised in association with CSMRS on 24-25 January 2011 at New Delhi. All the lectures were delivered by
Dr. Nick Barton during these training courses.
Third training course on “Rock Engineering” was organised on 29th May 2013 at JUIT Waknaghat by Dr.
Nick Barton.

vi
 Conference proceeding of Indorock-2023 includes one conference lecture, 8 keynotes and 40 technical
papers. On behalf of ISRMTT, we are thankful to all the authors for their quick response and efforts put in for
preparing abstracts as well as final papers for the conference on a short notice. It was possible to bring out the
Conference proceeding of Indorock-2023 includes one conference lecture, 8 keynotes and 40 technical
proceeding of the conference in this form due to the collective efforts and cooperation from all the authors.
papers. On behalf of ISRMTT, we are thankful to all the authors for their quick response and efforts put in for
preparing
We areabstracts
thankfulastowell as final papers
the Executive for theofconference
Committee ISRMTT on for ahaving
short notice. It was
faith and possible
giving us thetoopportunity
bring out the
to
proceeding
conduct this of the conference in this form due to the collective efforts and cooperation from all the authors.
conference.
We are
We arelooking
thankfulforward
to the Executive Committee of discussions
to fruitful presentations, ISRMTT forandhaving faith and
interactions giving
among theus the opportunity
delegates to
during the
conduct this conference.
Indorock-2023: 9th Indian Rock Conference.
We are
With all looking
the best forward
wishes, to fruitful presentations, discussions and interactions among the delegates during the
Indorock-2023: 9th Indian Rock Conference.
With all
Dr. Rajbal the best wishes,
Singh Hari Dev
Chairman, Technical Committee Co-Chairman, Technical Committee
& Editor
Dr. (Indorock-2023)
Rajbal Singh & Editor (Indorock-2023)
Hari Dev
Chairman, Technical Committee Co-Chairman, Technical Committee
& Editor (Indorock-2023) & Editor (Indorock-2023)

vi
 ACKNOWLEDGEMENTS
Assistance and co-operation of all concerned is the hallmark for successful organisation of any event. Many
hands joined together in organising INDOROCK-2023: 9th Indian Rock Conference. The conference is being
organised in association with Central Soil and Materials Research Station (CSMRS) at New Delhi, 16-18
November 2023.
Since its formation, the society has been instrumental in providing various platforms for dissemination and
sharing of knowledge in the field of rock mechanics and tunnelling technology through organisation of training
courses, seminars, conferences and workshops. The application of rock as construction material, foundation,
underground space, mineral exploration, mining, providing infrastructure in urban and hilly areas, development of
road and rail network has prompted ISRMTT to play a big role in bringing the geo-professionals together.
Indorock-2023 may act as big boon for the rock mechanics and tunnelling fraternity in understanding rock for
numerous applications.
First and foremost, we would like to express our sincere thanks to Executive Committee, organising
committee, advisory committee, technical committee and other committees for guidance and sharing various
responsibilities.
We are thankful to Dr. R. Chitra, Director, CSMRS and Sh. Hari Dev, President, ISRMTT and Scientist ‘E’
(Erstwhile Joint Director), CSMRS for planning the event and making it happen successfully. Thanks are due to
Dr. A.K. Dhawan, Former Director, CSMRS for guidance and inspiration in organisation of conference. We
would also like to express gratitude to Dr. Rajbal Singh, Top Level Expert, WAPCOS for his technical
organisational contribution.
We would like to express our sincere gratitude to Dr. Gopal Dhawan, Founder and Chairman, DDAG Pvt. Ltd.
(formerly CMD, NHPC & ED (Geo Tech), NHPC), who was kind enough accept our invitation for delivering the
Conference Lecture and provided the write up at a short notice. We would also like to express our sincere thanks
to Dr. Rajinder Bhasin, NGI, Norway for his whole hearted contributions to ISRMTT and its activities.
We would like to express our appreciation to all the keynote speakers who were kind enough to accept our
request to share their experiences and for providing the write-up for future reference.
Organisation of any event requires sufficient funds. We are extremely thankful to all our sponsors for the
financial support.
Thanks are due to officers of CSMRS for working tirelessly for sharing various responsibilities. We would
like to express our sincere gratitude to members of the Executive Committee of ISRMTT for guidance
throughout. We also acknowledge the special efforts put in by Dr. R.K. Goel and Sh. Sumit Jain, GM (RVNL) in
making this event a grand success.
We are thankful to authors who submitted their abstracts and full length papers within a short time. We
express our gratitude to the reviewers for reviewing the papers and making value additions to the technical
papers.
The responsibility of deciding the ISRMTT Awards was shared by Dr. Rajbal Singh as Chairman of the
Awards Committee. We express our gratitude to Awards Committee.
No event is possible without the participation of delegates. Thanks are due to all the delegates and their
respective organisations for nominations. We hope that meaningful discussions and deliberations amongst the
delegates and the experts will take place during the event.

Organising Secretaries

Dr. D.V. Sarwade, CSMRS Vachaspati Pandey, NHPC

vii
 Indian Society for Rock Mechanics and Tunnelling Technology
(ISRMTT)
Executive Committee 2022-2024

Sl. Post Name

No.
1. President Mr. Hari Dev
2. Immediate Past President Mr. R.K.Gupta
3. Vice President (1) Dr. R.K.Goel
4. Vice President (2) Mr. Amitabh Tripathi
5. Treasurer Dr. Altaf Usmani
6. Honorary Secretary Dr. D.V. Sarwade
7. Member (1) Dr. Rajbal Singh
8. Member (2) Mr. Sanjeev Kumar Garg
9. Member (3) Mr. C.S. Khokhar
10. Member (4) Prof. Mahendra Singh
11. Member (5) Mr. Prashant Rai
12. Member (6) Dr. D.S. Subramaniam
13. Member (7) Mr. Shubham Handa
14. Member (9) Mr. A.N.N. Prasad
15. Member (10) Mr. Sumit Jain
16 Member (11) Mr. Vachaspati Pandey
17 Member (12) Dr. R.D. Dwivedi
18 Member (13) Smt. P. Sumana
19 Institutional Member CSMRS
20 Institutional Member Patel Engineering

viii
 Indorock-2023: Ninth Indian Rock Conference
Patron
Dr. A.K. Dhawan, Ex-Director, CSMRS
Dr. Subhash Mitra, Ex-Chief Engineer, IRI, Roorkee
U.S. Rajvanshi, Ex-Chief Engineer, UP Irrigation

Organising Chairman
Dr. Rajbal Singh

Organising Secretaries
Dr. D.V. Sarwade, Scientist, CSMRS
Sh. Vachaspati Pandey, NHPC

Organising Committee Technical Committee

Dr. Rajbal Singh – Chairman Dr. R.K. Goel – Chairman
Sh. Hari Dev, CSMRS Prof. Mahindar Singh, IIT Roorkee
Dr. D.V. Sarwade, CSMRS Dr. Rajbal Singh, WAPCOS
Sh. Vachaspati Pandey, NHPC Sh. Hari Dev, CSMRS
Sh. Amitabh Tripathi, WAPCOS Ltd Dr. R.D. Dwivedi, CIMFR
Dr. D.S. Subramaniam, NIRM
Sh. Sumit Jain, RVNL Dr. D.V. Sarwade, CSMRS
Sh. Sanjeev Garg, IGS Sh. Prashant Rai, NHPC
Sh. C.S. Khokhar, AECOM Sh. A.N.N. Prasad, WAPCOS
Sh. Shubham Handa, Geodata Sh. Sumit Jain, RVNL
Finance
Finance
Committee
Committee Accommodation
Accommodation
Mr.Mr.
HariHari
Dev,Dev,
CSMRS
CSMRS Dr.Dr.
D.V.D.V.
Sarwade,
Sarwade,
CSMRS
CSMRS
Dr.Dr.
Altaf
Altaf
Usmani,
Usmani,
EILEIL Dr.Dr.
R.P.R.P.
Yadav,
Yadav,
CSMRS
CSMRS
Dr.Dr.
D.V.D.V.
Sarwade,
Sarwade,
CSMRS
CSMRS Mr.Mr.
Vijay,
Vijay,
CSMRS
CSMRS
Sh.Sh.
V.K.V.K.
Gupta
Gupta
Food
Food
andand
Refreshment
Refreshment
Registration
Registration
Dr.Dr.
K.K.K.K.
Mishra,
Mishra,
CSMRS
CSMRS
Dr.Dr.
D.V.D.V.
Sarwade,
Sarwade,
CSMRS
CSMRS
Mr.Mr.
V.K.
V.K.
Gupta,
Gupta,
CSMRS
CSMRS
Mr.Mr.
Senthil
Senthil
P., CSMRS
P., CSMRS
Dr.Dr.
K.K.K.K.
Mishra,
Mishra,
CSMRS
CSMRS
Awards
Awards
Committee
Committee
Mr.Mr.
Senthil
Senthil
P., CSMRS
P., CSMRS
Dr.Dr.
Rajbal
Rajbal
Singh,
Singh,
Chairman
Chairman
Mr.Mr.
Sukhdev
SukhdevSingh,
Singh,
CSMRS
CSMRS
Dr.Dr.
R.D.R.D.
Dwivedi,
Dwivedi,
CIMFR,
CIMFR,
Roorkee
Roorkee
Mr.Mr.
Sanjeev
Sanjeev
Garg,
Garg,
IGS,
IGS,
Delhi
Delhi
Technical
Technical
Sessions
Sessions
Committee
Committee
Mr.Mr.
C.S.C.S.
Khokhar,
Khokhar,
Aecom
Aecom
Dr.Dr.
Rajbal
Rajbal
Singh,
Singh,
WAPCOS
WAPCOS
Ltd.Ltd.
Dr.Dr.
D.V.D.V.
Sarwade,
Sarwade,
CSMRS,
CSMRS,Convenor
Convenor
Mr.Mr.
HariHari
Dev,Dev,
CSMRS
CSMRS
Dr.Dr.
D.V.D.V.
Sarwade,
Sarwade,
CSMRS
CSMRS

ix
 Contents
Contents
Conference Lecture
1 Advancement in Rock Mass Rating System 1
GOPAL DHAWAN
Keynote Lectures
2 A Simple Approach for Assessing Safe Vertical Cut Height for 18
Highways in Garhwal Himalayas
MAHENDRA SINGH, LAL HRUAIKIMA, SARADA PRASAD
PRADHAN
3 Data driven Soft rock Interpretation with TBM Operational Data: Rail 27
link Rishikesh-Karnaprayag (India)
G.H. ERHARTER, S. JAIN, Ø. DAMMYR, R.K. BHASIN
4 Evaluation of Shear Strength Parameters for A Concrete Gravity Dam 34
in Bhutan Himalaya
RAJBAL SINGH AND SANJEEV KUMAR GARG
5 Tackling rock engineering challenges for construction of climate 41
resilient infrastructures in the Himalayas
RAJINDER BHASIN, ARNSTEIN AARSET, RAJBAL SINGH
6 Tunnelling in Himalaya: A Case Study 52
R. D. DWIVEDI
7 Harnessing the Power of Geophysics for Safe & Sustainable 59
Development of Underground Space
SANJAY RANA, ARUN NARAYAN MISHRA, PRAVEEN KUMAR RAI
8 Brief overview of Norwegian Tunnelling Technology including Projects 65
and Equipment
ARNSTEIN AARSET, RAJINDER BHASIN
9 Development of Pump Storage Projects (PSP) – Necessity, Issues and 74
Challenges
AMITABH TRIPATHI
Theme 01 - Emerging techniques for rock and rock mass characterisation
10 Shear Behaviour of Unfilled-Planar Rock Joints: A Comparative Study 78
between Weathering Grades II and III Joints of Granite and Quartzite
BIKASH KUMAR RAM, DEEPAK AMBAN MISHRA AND HEMANT
KUMAR SINGH
11 Deformability of Rock Mass for a Concrete Gravity Dam 81
RAJBAL SINGH AND SANJEEV KUMAR GARG
12 Behaviour of Quartzite Rockmass under Incremental Cyclic Loading 88
VIJAY, SENTHIL P., SARWADE D.V. AND HARI DEV
13 Correlation between Ultrasonic Pulse Velocities with Physico- 94
Mechanical Properties of Gneissic Rocks from Eastern India
D. KUMAR, S. MATIA AND PSK MURTHY
14 Exploring the Correlations between Index Tests of Sandstones. A Case 103
Study of Sagipora, Kupwara Sandstone of Pohru Formation
AASIF IBNI AHAD AND SYED KAISER BUKHARI
15 Variability in Deformation Modulus of Sandstone – A Study based on 108
Strain Energy Analysis
R.P. YADAV, K.K. MISHRA, SACHIN GUPTA, SENTHIL P. AND
PANKAJ KUMAR

x
16 Correlation between In-situ and Laboratory Deformability Moduli of 114
Himalayan Gneiss
S. SINGH., SENTHIL P., PANKAJ KUMAR, D.V. SARWADE AND R.P.
YADAV
17 Behaviour of Fine-grained Sandstone under Normal and 119
Hot-water Saturation with varying pH conditions
DIVYANSHOO SINGH, KUMAR NILANKAR, AND HEMANT
KUMAR SINGH
Theme 02 - Use of underground space for urban infrastructure development and
highway railway tunnels
18 Effect of Construction of a New Tunnel Nearby an Existing Tunnel: 126
Static and Seismic Analysis for Varying Horizontal Spacing
S.T. AMIN, S.M. ABBAS2 AND A. USMANI
Theme 03 - Tunnelling through weak and fragile rock mass
19 Tunnelling in Weak Rock - A Case Study in Connection with Broad 132
Gauge Rail Link between Rishikesh and Karnaprayag, Uttarakhand,
India
RISHI SHARMA AND POOJA SWAMI, PIYUSH ISASARE
Theme 04 - Case Histories - Hydropower Development
20 Geological Surprise- A Paradoxical Context, Case of Rangit-IV HEP, 138
Sikkim
R.N. SAHOO, PANKAJ RAWAT, SAURABH SINGH, PRAVEEN KR.
SINGH
Theme 05 – Oil gas storage caverns and nuclear waste disposal caverns
21 Creep Analysis of Salt Cavern 146
CHANDAN KUMAR, ATUL NANDA
Theme 06 - Instrumentation and numerical modelling
22 Instrumentation and Monitoring of Slope-A Case Study 154
R.S. SEHRA, HARI DEV, MAHABIR DIXIT
23 Optimization of Tunnel Support System on the Basis of 3D Monitoring 162
Data
HAMID SAMADI, RAHUL DEV PATE2 AND PIYUSH PANT
24 Stability of Tunnel Portal- A Case Study of Rishikesh Karnprayag BG 174
Railway Line-(Package 6)
KHEZR MOHAMMADAMINI, HAMID SAMADI
25 Use of Strain Gauge Rings for Monitoring Stresses Induced Near Fault 190
or Shear Zone During TBM Tunnelling in Soft Rocks-A Case Study
KANI ULUKAN, RISHI KUMAR GAUTAM
Theme 07 - Case histories of underground structures
26 Assessment of Single Shield TBM Performance Through Himalayan 201
Phyllites
MAJID TAJIK, SUMIT JAIN, MOHAMMAD FOROOGHI

xi
 27 Tunnel Portal location fixing & development of Adit-05, Tunnel-11 207
Rishikesh- Karanprayag New Railway Line PKG-06, Srinagar,
Uttarakhand
B.N. NARENDRA KUMAR, MUKESH SHARMA, HAMID SAMADI
28 A Case Study on Mitigating Measures of a Collapsed 217
Portal Slope: Application of False Tunnel and Geogrids
SHUBHAM HANDA, NEERAJ KUMAR DAS, ARUN GANGWAR,
ASHOK KR SINGH
29 Predicted Geological Appraisal and Actual Geological Conditions - A 226
Case Study in Connection with Broad Gauge Rail Link between
Rishikesh and Karnaprayag, Uttarakhand, India
RISHI SHARMA, POOJA SWAMI
Theme 08 - Land slide hazard mitigation
30 Stability Analysis of a Rainfall Induced Landslide: A Case Study from 233
the Garhwal Himalayas, Uttarakhand, India
P. CHANDNA, K. PANDIT, S. GANESH KUMAR,, S. SARKAR
31 Comparative Evaluation of GIS-based Landslide Susceptibility 237
Assessment using Bivariate and Multivariate Approach along NH-1,
Kashmir Himalaya
IFTIKHAR HUSSAIN BEIGH AND SYED KAISER BUKHARI
32 Geological and Geotechnical Aspects of Construction of Twin Tube 245
Tunnels in Low Cover Zone
A. USMANI, S. PAL, N.K. MISHRA
Theme 09 - Blasting techniques for safe and economic excavations
33 Study of Blast-Induced Damaged Impact on Weak Rock Mass Stability 251
SOM NATH, HARSH KR VERMA, ASHOK KR SINGH, NACHIKETA
RAI
Theme 10 - Mining engineering – open cast and underground mines
34 Underground Coal Mining in India - Challenges and Strategies 256
PRAFULLA CHANDRA TIWARI
35 In-situ stress measurements at deep underground mine of Rampura 261
Agucha, Rajasthan, India – A Case study
DS SUBRAHMANYAM, G SHYAM, VAMSHIDHAR K, VIKRAM S
36 Study on the Mechanism of a Large Wedge Failure in Dadam Opencast 268
Mine, Haryana
MANISH KR MEENA, ASHOK KR SINGH, R. D. DWIVEDI, J. K.
MOHNOT
Theme 11 - Rock support techniques – state of the art technologies
37 Behaviour of Tunnels in Mixed Geological Formation of Himalaya 274
PHIBE KHALKHO, R.D. DWIVEDI, J.K. MOHNOT AND ASHOK
SINGH
38 Design of Primary Support System by Empirical, Semi-Empirical and 282
Numerical methods for Tunnels
M MAHALAKSHMI, G SUMANTH, CH SAI SANTHOSH,
G DORASWAMY RAJU

xii
39 Slope Stability of Portal 2, Tunnel 11 - A Case Study in view of Long- 290
Term Stability of the Slopes due to Space Constraints - Rishikesh
Karan Prayag BG Railway Line- Package 6
HAMID SAMADI, RAHUL DEV PATEL, HUSEYIN KARAOGLAN,
AJIT YADAV

Theme 12 - Pumped Storage Projects

40 Engineering Geological Mapping of Underground Pump House Cavern 297
Foundation of Kaleshwaram Lift Irrigation Scheme Package-10,
Telangana State, India
D.S. RAWAT, A.K. NAITHANI, PRASNNA JAIN, L.G. SINGH
41 Estimation of design parameters of shale rock and comparison of the 306
rock behavior using failure criteria
G.V RAMANA AND ABHISHEK DASH2 AND PAIDI PRIYANKA
Theme 13 - Geological and Geophysical Investigations
42 Engineering Geological Assessment for the Intake Pool Cut Slopes of 313
Polavaram Hydroelectric Project (80 X 12 MW), Andhra Pradesh,
India
L.G. SINGH, A.K. NAITHANI, D.S. RAWAT AND PRASNNA JAIN
43 Seismic refraction and Electrical Resistivity Tomography is an Input 322
for preliminary design and cost estimation for railway tunnels between
Imphal- Moreh sections of N.F Railway
SUBRATA KUNAR, SANJEEV KUMAR GARG
44 Geophysical Well Logs to Study Properties of Sedimentary Rocks 331
SRINAIAH J.
45 Practical Approach of the Modification of Rock Quality Designation 335
(RQD) in Rock Mass Rating (RMR)- A case study Railway Tunnel in
Himalaya, Rishikesh- Karanprayag Broad Gauge Rail Link project
(PKG 5)
GHOLAMREZA KESHTPARVAR, SANDEEP NAINWAL AND VAHID
ABOLHASANI RAHNAMA
46 Electrical Resistivity Tomography for Delineation of Rock Lithology 340
SENTHIL P, SRINAIAH J, D.V. SARWADE AND HARI DEV

JRMTT 346

Advertisements 347

xiii
xiv
 Advancement in Rock Mass Rating System
Conference Lecture

Advancement in Rock Mass Rating System

GOPAL DHAWAN
Founder and Chairman, DDAG Pvt. Ltd.
Formerly CMD, NHPC & ED (Geo Tech), NHPC
email: g.dhawangeologist

1. INTRODUCTION
Several attempts have been made during 20th century to formulate an engineering classification system
that could categorize the rock mass based on its engineering properties, to communicate to engineers
about quality of the rock mass he has to deal with. Some of the noteworthy early classifications are –
Terzaghi’s Rock Load Classification, Lauffer’s Stand Up Time Classification, Deere's Rock Quality
Designation, Palmstrom’s formula for calculation of RQD from Jv. These classifications were stepping
stones towards development of philosophy of modern rock mass classification systems viz., RMR system
by Z. T. Bieniawski, Q System by Nick Barton, Classification based on Austrian Society for
Geomechanics (ONORM B2203-1) and I-System by B. Hoss. Here an attempt has been made to review
modifications made in Bieniawski’s Rock Mass Rating System, since its inception and discuss
applicability of latest updates with help of solved examples.
2. CHRONOLOGICAL DEVELOPMENT OF RMR SYSTEM
The Rock Mass Rating (RMR) system was proposed by Bieniawski in 1973 at South African Council of
Scientific and Industrial Research (CSIR) based on his experiences in shallow tunnels / mines in
sedimentary rocks. This is also known as Geomechanic Classification System. This classification became
very popular and used world-wide. It was revised several times in past 50 years, most recently in 2014.
The chronological development of RMR system is explained in following paragraphs.
2.1. EARLY DEVELOPMENTS
• 1973 - RMR was first proposed by Bieniawski. The geomechanics classification proposed included
following parameters:
i. Rock Quality Designation (RQD)
ii. State of weathering
iii. Uniaxial compressive strength of intact rock
iv. Spacing of joints or bedding
v. Strike and dip orientation
vi. Separation of joints
vii. Continuity of joints
viii. Ground water inflow
Based on observation of these parameters, geomechanics classification was proposed as described in
Table.1.
Table.1: Geomechanics classification of jointed rock masses (Bieniawski, 1973)
Item Class 1 2 3 4 5
number Very Good Good Fair Poor Very Poor
and its
description
1 RQD (%) 90-100 75-90 50-75 25-50 <25
2 Weathering Unweathered Slightly Moderately Highly Completely
weathered weathered weathered weathered
3 Intact rock >200 100-200 50-100 25-50 <25
strength
(MPa)
4 Spacing of >3m 1-3m 0.3-1m 50-300mm <50mm
joints
5 Separation <0.1mm <0.1mm 0.1-1mm 1-5mm >5mm
of joints
6 Continuity Not Not Continuous, Continuous Continuous
of joints continuous continuous no gouge with gouge with gouge

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 Gopal Dhawan

7 Ground None None Slight Moderate Heavy

water inflow <25 L/min 25-125 L/min >125 L/min
(per 10m of
adit)
8 Strike and Very Favourable Fair Unfavourable Very
dip favourable unfavourable
orientations

Individual ratings for classification parameters are given in Table.2.

Table.2: Ratings of individual parameters (Bieniawski, 1973)

Item Parameter Class
1 2 3 4 5
1 RQD 16 14 12 7 3
2 Weathering 9 7 5 3 1
3 Intact rock strength 10 5 2 1 0
4 Spacing of joints 30 25 20 10 5
5 Separation of joints 5 5 4 3 1
6 Continuity of joints 5 5 3 0 0
7 Ground water 10 10 8 5 2
8 Strike and dip Tunnels 15 13 10 5 3
orientations Foundations 15 13 10 0 -10

Total ratings for rock mass classes proposed are shown in Table.3.
Table.3: Total ratings of rock mass classes (Bieniawski, 1973)
Class No. 1 2 3 4 5
Description of Very good Good rock Fair rock Poor rock Very poor
class rock rock
Total Rating 100-90 90-75 75-50 50-25 <25
This initial classification served as a guideline for considering alternatives in selection of tunnel support.
• 1974 – Reduction of classification parameters from eight to six. Out of the six parameters, one
parameter was for tunnel orientation adjustment.
• 1975 – Adjustment of ratings and reduction of recommended support requirements.
• 1976 – Modification of class boundaries to multiples of 20. It is same as that being followed
at present.
• 1979 – Adoption of ISRM rock mass description
2.2. RMR UPDATE 1989
A set of guidelines were published for selection of support in tunnel in rock for which RMR has been
determined. These guidelines have been published for 10m span horse shoe shaped tunnel constructed
using drill and blast method, in a rock mass subjected to a vertical stress <25MPa (equivalent to a depth
below surface <900m).
In this version of Rock Mass Rating (RMR) five basic parameters and one parameter for rating
adjustment for joint orientation with respect to tunnel axis are considered. These parameters are discussed
below:
i. Uniaxial compressive strength of intact rock material (maximum score 15)
ii. Rock quality design (RQD) (maximum score 20)
iii. Joint or discontinuity spacing (maximum score 20)
iv. Joint condition (maximum score 30)
v. Ground water condition (maximum score 15)
These five parameters represent the basic parameters in the (RMR) classification system. The RMR
calculated by adding these five parameters is called RMRb (RMR basic). It is the total rating of each of
these five parameters out of maximum score of 100. Higher the score, better the rock quality.
The standard ratings for determining RMR basic are given in Table.4.

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 Advancement in Rock Mass Rating System

Table.4: Standard ratings for determining RMR basic (Bieniawski, 1989)

vi. Rating Adjustment for Joint orientation – It is the sixth parameter which is treated separately
because the influence of discontinuity orientations depends upon engineering applications. In case of
tunnels, it depends upon direction of progress of tunnel and most effective joint set.
RMR = RMRbasic+ adjustment for joint orientation
To accommodate effect of orientation of the axis of a tunnel with respect to the most dominant (most
persistent, Sheared or closely spaced) set of discontinuities in the ground, the RMRb is adjusted with the
criteria shown in Table.5.
Table.5: RMRb adjustment with respect to the orientation of tunnel axis versus discontinuities
(Bieniawski, 1989)

The final RMR values are grouped into five rock mass classes, viz. Very Poor, Poor, Fair, Good
and Very Good. Each class has a range of 20. Following Table.6 shows these rock classes –
Table.6: Rock mass classes based on RMR (Bieniawski, 1989)
RMR Value Range Rock Class Number Rock Class

(RMR 81-100) Class-I Very Good

(RMR 61-80) Class-II Good
(RMR 41-60) Class-III Fair
(RMR 21-40) Class-IV Poor
(RMR≤20) Class-V Very Poor

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2.3. RMR UPDATE 2000

In 2000, Geocontrol SA introduced a modification to the criteria for calculating the RMRb (RMR basic).
Two previous parameters, viz. RQD assessment and spacing of discontinuities were replaced by the
number of joints per meter in the face of the excavation, with total score of 40 points.
Criteria for assessing the conditions of discontinuities was also extended with five subdivisions – viz.
persistence, aperture, roughness, infilling and weathering. Each of these subdivisions have maximum
score of 6, and total score of discontinuity condition remain 30 (same as RMR89).
Other two parameters from classification of 1989, viz. UCS and groundwater condition remained same.
So now, the number of basic parameters were reduced to four from that of five in classification proposed
in 1989. These are listed below:
i. Uniaxial compressive strength (maximum score 15)
ii. RQD and spacing of joints (maximum score 40)
iii. Discontinuities condition (maximum score 30 i.e. 6 x 5)
iv. Groundwater condition ((maximum score 15)
Total score of RMRb remained 100.
Following table (Table.7) presents the parameters for calculating RMRb as per modifications of 2000.
Table.7: Criteria for calculating RMRb (Bieniawski, 2000)

2.4. RMR UPDATE 2007

Based on over 500 case studies, Bieniawski developed rock mass excavability (RME) index to estimate
the performance of double shield and open type TBMs. Excavability is defined as the rate of excavation
expressed in machine performance in meters per day. It is based on five parameters listed below:
i. Abrasivity (or drillability)
ii. Discontinuity spacing

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 Advancement in Rock Mass Rating System

iii. Stand up time

iv. UCS of the rock material
v. Ground water inflow
The first three parameters have strong influence on average rate of advance of TBM, expressed in
m/per day. The last two parameters are the basic parameters of rock mass.
The input parameters and their ratings are further illustrated in following table (Table.8).
Table.8: Input parameters for RME index (Bieniawski, 2007)

2.5. RMR Update 2014

After 25 years of last major modification in RMR proposed in 1989, large database was collected and
accordingly, RMR was updated. This is known as RMR14. In this updated RMR, two more factors, viz.
Fe and Fs were introduced to increase its accuracy. It is presented by following expression:
RMR14 = (RMRb + F0) . Fe . Fs
Where,
RMRb = RMR basic of the rock mass, without any effect of excavation, tunnel direction & stress –
strain behaviour.
F0 = Adjustment factor for the orientation of tunnel axis with regard to the main set of discontinuities
in the rock mass. F0 is always negative.
Fe = Adjustment factor to account for an excavation method.
Fs = Adjustment factor taking into account stress-strain behaviour of the rock mass at the tunnel faces.
Three parameters of previous scheme of classification, viz. uniaxial compressive strength
(maximum score 15 points), number of discontinuities per meter (maximum score 40) and effect of water
(maximum score 15) have been retained in RMR14.

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Two new parameters have been included RMR14 – revised discontinuity condition (max rating 20
points), and intact rock alterability (max rating of 10 points).
Revised discontinuity condition with maximum score of 20 points has four subdivisions of 5 points
each, viz. persistence, roughness, infilling type and degree of weathering.
The intact rock alterability with maximum rating of 10 points is rated according to results of slake
durability test.
The ratings to assess the above two new parameters are given in following table (Table.9).
Table.9: Ratings for discontinuity condition & intact rock alterability : RMR14 (Bieniawski, 2014)

For ease of comprehension the parameters of RMR14 are listed below:

i. Uniaxial compressive strength (maximum score 15 points)
ii. Number of discontinuities per meter (maximum score 40)
iii. Effect of water (maximum score 15)
iv. Discontinuity condition (max rating 20 points)
- Persistence
- Roughness
- Infilling type
- Degree of weathering
v. Intact rock alterability (max rating 10 points)
RMR basic is adjusted by three factors – tunnel axis orientation (F0), excavation method Fe, and
stress-strain behaviour Fs.
Tunnel axis orientation (F0) – It takes into account the effect of tunnel axis orientation with respect
to major joint set of discontinuities. This factor is same as that of RMR89, and has already been discussed
previously in section under RMR Update 1989 and illustrated in Table.5.
Factor for excavation method (Fe) – The excavation method – blasting or mechanical - modifies the
stress strain behaviour of the ground in different ways. Mechanical means – TBMs, road headers or
hydraulic hammers – is less damaging to the rock than blasting. For use of blasting in tunnel, for
RMR<35 this is not used, whereas for RMR>80, the effect of blasting on the remaining rock is very
insignificant when blasting is well planned and well executed.
After calculating the RMR (i.e. RMRb + F0), it is adjusted for excavation method by multiplying
with the factor Fe. The value of Fe is obtained through following equations using the value of RMR –
For RMR < 40: Fe = 1 + 2 . (RMR/100)2
For RMR > 40: Fe = 1.32 - √(RMR-40) / 25
Factor for stress – strain behaviour (Fs) – The RMR at the tunnel face is found to be significantly
lower than that estimated during design phase based on geological mapping. This happens due to the
yielding of tunnel face and walls. The factor Fs allows for the diminishing effect of yielding at the face.
For calculating Fs, Índice de Comportamiento Elástico ( i.e. Elastic Behaviour Index) ICE, proposed
by Bieniawski and Celada (2011) is employed. ICE predicts the stress strain behaviour of faces of the
tunnels classifying them into five categories-

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 Advancement in Rock Mass Rating System

Table.10: Stress strain behaviour of tunnel section as function of ICE (Bieniawski and Celada, 2011)
ICE Stress deformation behaviour
>130 Completely elastic
70-130 Elastic with incipient yielding
40-69 Moderate yielding
15-39 Intensive yielding
<15 Mostly yielding
Only the excavation faces with ICE<70 present substantial deformation for significant variation in
RMR.
Based on the calculated value of ICE, Fs is determined by following relations:
ICE < 15 : Fs = 1.3
15 < ICE < 70 Fs = {2.3 x √(100-ICE)} / { 7.1 + √(100-ICE)}
ICE > 70 Fs = 1
Multiplying by these two factors, Fe and Fs, RMR is modified for excavation method and stress
strain behaviour of tunnel face.
Corelation between RMR89 and RMR14
The following figure shows good corelation between RMR89 and RMR14.

Fig.1: Corelation between RMR89 and RMR14 (Bieniawski 2014)

The RMR89 and RMR 14 can be corelated with following equation:
RMR 14 = 1.1 x RMR 89 + 2
3. ESTIMATION OF ROCK MASS RATING USING RMR 89
This is the most popular and commonly used version of RMR classification. It is still being used
worldwide in most of the engineering projects where rock quality is to be determined. Further, Fig.1.
Clearly indicates that there is a good corelation between the outcome of rock mass ratings - RMR89 and
RMR14. RMR89 is convertible to RMR14 through equation given above. Moreover, RMR89 is more
user friendly as all the parameters and adjustment factor (F 0) are directly estimable in the field, even
during investigation stage of a project. Whereas, Bieniawski has proposed two additional adjustment
factors, i.e. Fe and Fs in RMR14. These additional factors require inputs from slake durability test and
estimation of in-situ stresses. Therefore, for benefit of practising geologists and engineers, we have
chosen to explain method of estimation of rock mass rating using RMR 89.

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 Gopal Dhawan

As explained earlier, RMRb is calculated using five basic parameters.

i. Uniaxial compressive strength of intact rock material (maximum score 15)
ii. Rock quality design (RQD) (maximum score 20)
iii. Joint or discontinuity spacing (maximum score 20)
iv. Joint condition (maximum score 30)
v. Ground water condition (maximum score 15)
RMRb is modified by adjustment for joint orientation as per following relation:
RMR = RMRbasic+ adjustment for joint orientation
The final RMR value is always lower than RMRb because of the addition of sixth parameter which
is always negative. Reduction in RMR value depends upon unfavourability of joint orientation, i.e. more
unfavourable orientation, more reduction in final RMR value. The ratings for adjustment of RMRb with
respect to the orientation of the axis of the tunnel versus discontinuities is given in Table.5.
Depending upon the angle between strike of major joint set and tunnel axis, its favourability is
determined and rating is given. This rating is always negative or zero as brought out in Table.5.
Scenario-I: For strike perpendicular to tunnel axis and dip of the joint plane is in the same direction
as tunnel drive (beds dipping into the face)
Steeper the dip, more favourable the condition, i.e. for dip varying between 45 & 90, condition is
considered very favourable, and rating adjustment is zero, whereas for dip varying between 20 & 45,
condition is considered favourable and rating adjustment is -2.
Scenario-II: For strike perpendicular to tunnel axis and dip of the joint plane is opposite the tunnel
drive (beds dipping towards the face)
This scenario has worse ratings than scenario-I. for steeper dips, i.e. dips ranging from 45-90,
condition is considered fair with rating -5. For gentler dips ranging from 20-45, condition is considered
unfavourable, and rating is -10.
Scenario-III: For strike parallel to tunnel axis
This is a worse scenario than both the above two. Here, gentler dips are considered better, with
condition Fair, and rating -5. Whereas, steeper dips ranging from 45-90 are considered worst, condition
being very unfavourable and rating -12.
Scenario-IV: Irrespective of strike
Where beds are gentle, i.e. horizontal to sub-horizontal with dips – 0-20, condition is considered
Fair with rating -5.
All the six parameters of RMR 89 are discussed here in further detail along with an example of
calculation of RMR value.
3.1. Strength of Intact Rock
Strength of intact rock material should be obtained from rock cores. Ratings based on both UCS
and Point Load Test are given in the Table.11. However, UCS is preferred. UCS may also be obtained
from the point load strength index tests on rock lumps at the natural moisture content. Following table
shows ratings for strength of intact rock.
Table.11: Strength of intact rock (Bieniawski 1989)
Qualitative Description Compressive Point Load Strength Rating
Strength (MPa) (MPa)

Exceptionally Strong >250 >10 15

Very Strong 100-250 4-10 12
Strong 50-100 2-4 7
Average 25-50 1-2 4
Weak 5-25 Use of UCS is 2
preferred
Very Weak 1-5 As above 1
Exceptionally Weak <1 As above 0
3.2. Rating for RQD
RQD can be determined from rock cores or volumetric joint count (Jv). It is the percentage of rock cores
equal to or more than 10cm long in one meter drill run.

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 Advancement in Rock Mass Rating System

Table.12: Rating of RQD (Bieniawski 1989)

Qualitative Description RQD Rating
Excellent 90-100 20
Good 75-90 17
Fair 50-75 13
Poor 25-50 8
Very Poor <25 3
3.3. Rating for Discontinuity Spacing
The term discontinuity includes joints, bedding, foliation, shears, faults and other surfaces of
weakness. Linear distance between two adjacent discontinuities of all sets is measured. The presence of
discontinuities reduces the strength of the rock mass. Their spacing decides the degree to which it is
reduced. The rating according to discontinuity spacing is given in Table.13.
Table.13: Rating of discontinuity spacing (Bieniawski 1989)
Qualitative Description Spacing (m) Rating
Very Wide >2 20
Wide 0.6-2 15
Moderate 0.2-0.6 10
Close 0.06-0.2 8
Very Close <0.06 5

3.4. Rating for Discontinuity Condition

This parameter includes the roughness of discontinuity surfaces, their separation, length of
continuity, weathering of the wall rock, and filling material. The joint set which is oriented unfavourably
with respect to the structure, should be studied in detail for its condition along with its spacing. Rating
of discontinuity condition is given in Table.14 and Table.15.
Table.14: Rating of discontinuity condition (Bieniawski 1989)
Description Joint Rating
Separation
(mm)
Very rough and unweathered, wall rock tight and discontinuous, no 0 30
separation
Rough and slightly weathered, wall rock surface separation <1mm <1 25
Slightly rough and moderately to highly weathered, wall rock surface <1 20
separation <1mm
Slickensided wall rock surface or 1-5mm thick gouge or 1-5mm wide 1-5 10
continuous discontinuity
5mm thick soft gouge, 5mm wide continuous discontinuity >5 0

Table.16: Classification of discontinuity (modified after Bieniawski 1989)

Persistence <1m 1-3m 3-10m 10-20m >20m
Rating 6 5 4 2 0
Aperture None <0.1mm 0.1-1.0mm 1-5mm >5mm
Rating 6 5 4 2 0
Roughness Very Rough Rough Slightly Rough Smooth Slickensided
Rating 6 5 4 2 0
Infilling None Hard Filling Hard Filling Soft Filling Soft filling
(gouge) 6 <5mm >5mm <5mm >5mm
Rating 5 4 2 0
Weatherin Unweathered Slightly Moderately Highly Decomposed
g 6 Weathered weathered weathered 0
Rating 5 4 2

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3.5. Rating for Ground Water Condition

The rate of inflow of ground water in litre per min per 10m length of tunnel is measured or general
conditions like dry, damp, wet, dripping or flowing are observed. The ratings for various ground water
conditions are given in following Table.16.
Table.16: Rating for ground water condition (Bieniawski 1989)
General Description Completely Damp Wet Dripping Flowing
Dry
Inflow per 10m tunnel length (litre/min) none <10 10-25 25-125 >125
Ratio of joint water pressure to major 0 0-0.1 0.1-0.2 0.2-0.5 >0.5
principal stress
Rating 15 10 7 4 0

3.6. Joint Orientation

Table.17: Effect of Joint Orientation (Bieniawski 1989)
Strike perpendicular to tunnel axis Strike parallel to tunnel axis Irrespective
Drive with dip Drive against dip of strike

Dip 45°-90° Dip 20°- Dip 45°- Dip 20°-45° Dip 20°-45° Dip 45°-90° Dip 0°-20°
45° 90°
Very Favourable Fair Unfavourable Fair Very Fair
Favourable Unfavourable

Table.18: Adjustment for Joint Orientation (Bieniawski 1989)

Joint Very Favourable Fair Unfavourable Very
Orientation Favourable Unfavourable
Assessment for
Tunnels 0 -2 -5 -10 -12
Raft foundation 0 -2 -7 -15 -25
Slopes 0 -5 -25 -50 -60

4. SOLVED EXAMPLE OF RMR CALCULATION (RMR 89)

Consider a Slightly Weathered Quartzite in which a 10m Span Tunnel is being driven towards
N130°. The Major Joint Orientation is 240/40 having medium persistence, slightly rough joint surface,
partly open aperture ≤ 5mm with hard filling. Spacing of foliation joints S1 is 8-10cm, whereas, spacing
of S2 joints is approximately 20cm. Determine RMR value.
The rock mass Parameters are as follows:
1. UCS of slightly weathered quartzite:
Quartzite is usually a very strong rock. Therefore, the range of strength is 100-250 MPa.
However, in the present case rock mass is slightly weathered, hence, value of UCS is considered as 150
MPa.
Parameter value – 12
2. RQD
No. of S1 Joints per sqm-12 (counted on the face perpendicular to strike of S1)
No. of S2 Joints per sqm-5 (counted on the face perpendicular to strike of S2)
Jv =17
RQD is calculated from Jv (Palmstrom, 2005).
RQD = 110-2.5 x Jv
= 110-2.5 x 17
=110-42.5
= 67.5%
Parameter value – 13

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Fig.2: Joints in a cubic meter of block

3. Spacing of most dominant set (S1): 8-10cm
Parameter value – 8
4. Given Condition of joint is described as under:
 Medium persistence, slightly rough, partly open aperture ≤ 5mm with hard filling, S1 is
spaced 8-10cm, S2 is spaced 20cm
 Values of these parameters will be taken from following tables (Table.19 & Table.20)
 Description given for persistence, spacing and aperture can be corelated with numerical
values of these parameters vide Table.19 and Table.20.
Table.19: Persistence (IS: 11315 (Part-3) 1987)
Description Length
Very Low <1m
Low 1-3 m
Medium 3-10 m
High 10-20 m
Very High >20 m

Table.20: Spacing (IS: 11315 (Part-2) 1987)

Description Spacing
Very closely spaced < 6 cm
Closely spaced 6 cm – 20 cm
Moderately spaced 20-60 cm
Widely spaced 60-200 cm
Very widely spaced >200 cm

Medium Persistence (i.e. 3-10m as per Table.19) – Rating 4

Aperture ≤ 5mm – Rating 2
Slightly rough – Rating 4
Hard Filling (for ≤5mm aperture) – Rating 5
Slightly weathered – Rating 5
Discontinuity condition Rating – 4 + 2 + 4 + 5 + 5 = 20
5. Water Inflow = 10-15 lpm
Parameter value – 7
Basic RMR: 12 + 13 + 8 + 20 + 7 = 60

6. Rating Adjustment for Joint Orientation:

Joint orientation (DD/Dip) – N240°/40°
Strike of joint - N150-N330

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 Gopal Dhawan

Strike of the joint making an angle of 20° with tunnel drive - Strike parallel to tunnel drive
Dip amount – 40°
Condition - Fair
Adjustment for joint orientation = -5

Fig.3: orientation of tunnel w.r.t. major joint sets

Final RMR = 55
Rock Class – III : Fair
5. TOOLS FOR CALCULATION OF RMR
Few windows tools and android apps are available to easily calculate RMR. Some of these are
mentioned here.
QuickRMR - A windows computer program to calculate both RMR89 and RMR14 - Kundu et al
(2020).
Rock Mass Classification - Sarangi (2013)
GeoToolbox - Filipponi (2013)
Geostation - Geomecanica Apps (2014)
RMR Calc - Geomecanica Apps (2014)
Slope Mass Rating (SMR) - Assis (2016)
PSU Rock Slope Rating - Pantaweesak et al. (2017)
Disclaimer: DDAG & AFA do not have any idea about accuracy of above tools.
6. APPLICATION OF RMR
 Selection of method of excavation & support system
 Unsupported span and Stand-up time
 Support pressure
 Cohesion and Angle of internal friction
 Deformation modulus of rock mass
 Estimation of Geological Strength Index (GSI)
6.1. Selection of Method of Excavation & Support System

Table.21: RMR classification guide for excavation and support in rock tunnels (Bieniawski, 1989).
Shape: horseshoe; Width: 10 m; Vertical stress: below 25 MPa; Excavation by drill & blast
Rock Mass Excavation Support
Class 20 rock bolts Shotcrete Steel sets
(20mm dia, fully
bonded)
Very good rock Full face: 3m Generally no support required, except for occasional spot
(RMR 81-100) advance bolting
Good rock Full face: Locally bolts in 50 mm in crown None
(RMR 61-80) 1.0-1.5 m crown, 3 where required
advance; m long, spaced
Complete support 2.5 m
20 m from with occasional
face wire
mesh

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Fair rock Top heading and Systematic bolts 4 50-100 mm in None

RMR: 41-60 bench: m crown, and 30
1.5-3 m advance in long, spaced 1.5-2 mm in sides
top m in
heading; crown and walls
Commence with
support after wire mesh in
each blast; crown
Commence
support 10 m
from face
Poor rock Top heading and Systematic bolts 100-150 mm in Light ribs spaced
RMR: 21-40 bench: 4-5 m crown and 100 1.5 m where
1.0-1.5 m advance long, spaced 1-1.5 mm in sides required
in top m in
heading; crown and walls
Install support with
concurrently wire mesh
with excavation -
10 m from
face
Very poor rock Multiple drifts: Systematic bolts 150-200 mm in Medium to heavy
RMR < 21 0.5-1.5 m advance 5-6 m crown, 150 mm ribs spaced 0.75
in top long, spaced 1-1.5 in sides, and 50 m
heading; m in mm on face with steel lagging
Install support crown and walls and forepoling if
concurrently with required. Close
with excavation; wire mesh. Bolt invert
shotcrete as invert
soon as possible
after
blasting
6.2. Unsupported Span And Stand-Up Time
The stand-up time depends upon an unsupported span of the opening, which is defined as the width
of the opening or distance between the tunnel face and last erected support (whichever is smaller). For
arched opening, stand up time is significantly higher than flat roof (Fig.4). Controlled blasting increases
the stand-up time as there is less damage to the surrounding rock mass.
Table.22: Stand Up Time and Unsupported Span for Various Rock Classes (Bieniawski, 1984)
RMR 100-81 (I) 80-61 (II) 60-41 (III) 40-21 (IV) <20 (V)
Rock Class Very Good Good Fair Poor Very Poor

Average stand- 10 years for 6 months for 1 week for 10 hr for 30 min for 1m
up time 15m span 8m span 5m span 2.5m span span

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 Gopal Dhawan

Fig.4: Stand up time versus unsupported span for various rock mass classes according to RMR
(Bieniawski 1984).
6.3. Support Pressure
In 1983, on the basis of his studies in coal mines, Unal proposed the following correlation for
estimation of support pressure using RMR for openings with a flat roof.

pv = {(100-RMR)/100} . γ . B

where,
pv = support pressure, γ = unit weight of rock and B = tunnel width
Subsequently, using the measured support pressure values from 30 instrumented Indian tunnels,
Goel and Jethwa (1991) proposed another equation for estimating support pressure.

B = span of opening in m, H = overburden in m, p v = short term roof support pressure in MPa, RMR =
actual post excavation RMR just before supporting
6.4. Cohesion and Angle of Internal Friction
Shear strength of the rock mass depends upon cohesion and angle of internal friction. RMR is used
to estimate cohesion and angle of internal friction as shown in following table (Table.23 & Table.24).
The values given in the table are for peak failure and are applicable to slopes only in saturated and
weathered rock masses.
Table.23: Estimation of cohesion based on RMR values (Bieniawski, 1984)
RMR 100-81 (I) 80-61 (II) 60-41 (III) 40-21 (IV) <20 (V)
Rock Class Very Good Good Fair Poor Very Poor

Cohesion of >0.4 0.3-0.4 0.2-0.3 0.1-0.2 <0.1

rock mass
(MPa)*
Table.24: Estimation of angle of internal friction based on RMR values (Bieniawski, 1984)
RMR 100-81 (I) 80-61 (II) 60-41 (III) 40-21 (IV) <20 (V)
Rock Class Very Good Good Fair Poor Very Poor

Angle of >45 35-45 25-35 15-25 <15

internal
friction of rock
mass

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 Advancement in Rock Mass Rating System

6.5. Modulus of Deformation

There is an approximate correlation between modulus of deformation and rock mass rating
suggested by Bieniawski, 1978.
Ed= 2 RMR – 100, GPa (for RMR > 50)
Serafim and Pereira (1983) suggested following correlation
Ed= 10 (RMR -10) / 40, GPa (for RMR < 50)

Fig.5: Modulus of deformation (Bieniawski, 1978)

6.6. Allowable Bearing Pressure
RMR may be used to obtain net allowable bearing pressure as per Table.25 (Singh, 1991; Mehrotra,
1992). Engineering classifications listed in Table.25 were developed based on plate load tests at about
60 sites and calculating the allowable bearing pressure for a 6 m wide raft foundation with settlement of
12 mm.
Table.25: Net allowable bearing pressure based on RMR (Singh, 1991; Mehrotra, 1992)
RMR 100-81 (I) 80-61 (II) 60-41 (III) 40-21 (IV) <20 (V)
Rock Class Very Good Good Fair Poor Very Poor
Allowable bearing 600-440 440-280 280-135 135-45 45-30
pressure (t/m2)
*These values are applicable to slopes only in saturated and weathered rock mass.
6.7. Estimating GSI from RMR
For Better Quality Rock mass (GSI >25) GSI can be estimated directly from 1976 RMR rating chart
of Bieniawski considering groundwater rating as dry (10) and joint orientation adjustment as 0 (very
favourable). If 1989 RMR classification is considered then GSI= RMR89 -5 (in RMR, 1989 rating for dry
condition is 15).

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 Gopal Dhawan

7 CONCLUSIONS AND RECOMMENDATIONS

RMR 89 is a versatile method of rock mass classification that has several applications in
determining other physical parameters of rock mass.
Parameters required for calculating RMR89 can be easily collected in field by an experienced
geologist and reliable estimation of rock mass quality can be carried out.
This method of rock mass classification may be used in planning and design stage of a project for
determining the quality of rock mass.
RMR14 requires some additional inputs, viz., Alterability and two new additional adjustment
factors Fe & Fs. Alterability of intact rock can be obtained from slake durability of rock samples. Fe is
adjustment factor for excavation method and estimation of Fs requires value of Ko (ratio of horizontal to
vertical stresses). Normally, these inputs are not available during investigation phase of a project.
Therefore, it is recommended that RMR14 can be used during construction phase when these additional
inputs are available. Moreover, Fig 1 establishes good correlation between RMR89 and RMR14. Hence,
both the versions of RMR system shall provide similar results.
References
Alternative Software for Evaluating Preliminary Rock Stability of Tunnel using Rock Mass Rating (RMR)
and Rock Mass Quality (Q) on Android Smartphone; Pantawee P.; Phongpat S.; Danupon T.;
ENGINEERING JOURNAL Volume 23 Issue 1; January 2019.
Bieniawski, Z.T. (1973); Engineering Classification of Jointed Rock Masses; The Civil Engineer in South
Africa, v.15, p.335-343
Bieniawski, Z.T. 1976. Rock mass classification in rock engineering. In Exploration for rock engineering,
proc. of the symp., (ed. Z.T. Bieniawski) 1, 97-106. Cape Town: Balkema.

INDOROCK 2023: 9th Indian Rock Conference 16-18 November 2023

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 Advancement in Rock Mass Rating System

Bieniawski, Z. T. (1978). Determining rock mass deformability, experience from case histories.
International Journal of Rock Mechanics and Mining Sciences—Geomechanics Abstracts, 15, 237–
247
Bieniawski, Z. T. (1979). The geomechanics classification in rock engineering applications. In
Proceedings of the 4th Congress of the International Society for Rock Mechanics (Vol. 2, pp. 41–
48). ISRM Montreux, September 2–8.
Bieniawski, Z.T. (1989); Engineering Rock Mass Classifications: a Complete Manual; New York: John
Wiley and Sons, 251p.
Bieniawski ZT [2004]. Aspectos clave en la elección del método constructivo de túneles (in Spanish). In:
Proceedings of Jornada Técnica (Madrid, Spain), pp. 1–37. Also in: Ingeopress, No. 126, pp. 50–
68
Bieniawski, Z.T., Celada B., (2007); Mechanized Excavability Rating for Hard-Rock Mining.
Tardáguila I., Varona P., Rodríguez A., Bieniawski, Z.T. (2014); Innovating Tunnel Design by an
Improved Experience-based RMR System; World Tunnel Congress 2014 – Tunnels for a better Life;
Foz do Iguaçu, Brazil.
Dhawan G., Sayeed I. (2011); Application of RMR System for Assessment of Tunneling Conditions and
A Comparison with Actually Encountered Rock Classes from NW Himalayas, India; 45 th US Rock
Mechanics / Geomechanics Symposium; San Francisco, CA, June 26–29, 2011
“Engineering rock mass classification” by Bhawani Singh and R.K. Goel, 2011
IS 11315 (Parts- 2, 3), 1987, Methods for quantitative description of discontinuities in rock masses.
Mehrotra, V. K. (1992). Estimation of engineering properties of rock mass (p. 267). Ph.D. Thesis.
Uttarakhand, India: IIT Roorkee.
Pantaweesak et al, (2019), Alternative Software for Evaluating Preliminary Rock Stability of Tunnel
using Rock Mass Rating (RMR) and Rock Mass Quality (Q) on Android Smartphone Engg. Jr. Vol
23, Issue 1, ISSN 0125-8281
Singh, B., Jethwa, J. L., Dube, A. K., & Singh, B. (1992). Correlation between observed support pressure
and rock mass quality. Tunnelling and Underground Space Technology, 7(1), 59–74.

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 Keynote Sarada Prasad Pradhan
Mahendra Singh, Lal Hruaikima,

A Simple Approach for Assessing Safe Vertical Cut Height for Highways in Garhwal
Himalayas

MAHENDRA SINGH1, LAL HRUAIKIMA2, SARADA PRASAD PRADHAN3

1
Professor, Department of Civil Engineering, IIT Roorkee, Roorkee-247667, India
2
Research Scholar, Department of Civil Engineering, IIT Roorkee, Roorkee-247667, India
3
Associate Professor, Department of Earth Sciences, IIT Roorkee, Roorkee-247667, India
email: mahendra.singh@ce.iitr.ac.in

1.0 INTRODUCTION
Infrastructural development is taking place at face pace in India. All weather roads are being constructed to
connect remote place in Himalayas with other parts of the country. Many existing roads are being widened. In this
process, steep-cut rock slopes are being constructed along the highways in the Indian Himalayas (Fig. 1).
Researchers have reported a significant fraction of Indian Himalayan region to be affected by landslides (Kanungo
et al., 2013; Ray et al., 2020). These large number of observed slides are mainly road-cut slopes. Various
contributing factors come into play that led to these slides such as the complex Himalayan geology, severe climatic
conditions, and anthropogenic activities (Siddique et al., 2017, 2020). At many sites, the side-slope cutting
practices are done vaguely without giving due consideration to the inherent geological discontinuities, their
orientation, and the height of the slopes to pace up the work progress. The end-results are large number of slope
failures along these highways.

Fig. 1 Steep-cut rock slopes along national highway (NH-07)

The usual practice in mitigating rock-cut slope slides involves assessing the safe rock-cut height of the slope.
The preliminary assessment includes rock mass classification, kinematic analysis, and slope stability analysis. The
application of several rock mass classification systems used worldwide has been widely explored by many
researchers to assess the suitability to the Himalayan geology (Akhtar et al., 2023; Ansari et al., 2013; Gupta &
Mukherjee, 2022; Kumar & Pandey, 2021; Kundu et al., 2017; Lenka et al., 2017; Siddique et al., 2015, 2020;
Verma et al., 2019; Vishal et al., 2017). Extensive geological and geotechnical survey is required to determine the
safe cut height of the rock slopes. However, generally it is not feasible to assess each site extensively as they are
time-consuming and costly. And hence, the need arises for a quick decision-making tool to estimate a rough safe
rock-cut slope height to avoid any potential hazard.
The article discusses a multi-graph technique to estimate an approximate safe height of rock-cut slopes from
asily obtainable rock slope parameters in the field (Hruaikima et al., 2023). The technique was developed from
extensive field survey of rock-cut slope carried out in the Garhwal Himalayas. The methodology uses a modified
Joint Factor termed as Jf_slope (Hruaikima et al., 2023). The Jf_slope is an index which quantifies the weakness within

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 A Simple Approach for Assessing Safe Vertical Cut Height for Highways in Garhwal Himalayas

the jointed rock slope. Charts showing the relationship between the slope height and the Jf_slope were presented.
The applicability of the proposed multi-graph technique needs further validation by extending it to other regions.
2.0 JOINT FACTOR (JF) CONCEPT
Ramamurthy (1985) introduced the Joint Factor (Jf) concept to evaluate the strength and deformation
behavior of jointed rock mass. The idea was proposed using results from extensive laboratory testing on jointed
and natural rocks with strengths between 5 and 120 MPa. (Ramamurthy, 1985). The Jf concept is a weakness
coefficient which integrates the effects of joint plane frequency, surface roughness of the joints, and orientation
with respect to the loading direction. (Arora, 1987; Ramamurthy, 1993; Ramamurthy & Arora, 1994; Singh, 1997;
Singh et al., 2002). The Joint Factor is calculated using the following equation:
𝐽𝐽𝑛𝑛
𝐽𝐽𝑓𝑓 = (1)
𝑛𝑛.𝑟𝑟
Where Jn is the joint frequency in the direction of the major principal stress, ‘n’ is the parameter which
depends on the orientation of the joint plane with respect to the loading direction, and ‘r’ is the parameter which
depends on the strength of the joint plane.
Experiments conducted on specimens with one or more joints served as the foundation for the initial
development of the Jf concept. Later, this was expanded to include rock mass specimens with a large number of
elemental blocks. (Singh, 1997; Singh et al., 2002). The elemental blocks were piled in different forms to achieve
various dip of the joint plane and interlocking conditions. Singh (1997) noted that the rock mass fails in either
splitting, shearing, rotation, or sliding, depending on the joint's orientation and the interlocking circumstance.
2.1 Applicability of Joint Factor concept to rock slopes
Similar to the Joint factor concept, a weakness index J f_slope is introduced (Hruaikima et al., 2023). In the
case of Jf_slope the orientation parameter “n” was modified according to the angle formed by the dip direction of
the joint plane and the slope face. Jf_slope is calculated using the following equation:
𝐽𝐽𝑛𝑛
𝐽𝐽𝑓𝑓_𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 = (2)
𝑛𝑛𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐 .𝑟𝑟

Where Jn= joint frequency in the direction of the loading; 𝑛𝑛𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐 is corrected inclination parameter 'n'
which is determined by the angle formed by slope dip direction and the direction of the joint plane, and 'r' depends
on the shear strength along the joint plane and is taken equal to the tan of the joint friction angle, j.
In the case of rock slopes with multiple joint sets, the Jf_slope is determined for each set of joints. The joint set
with the highest value of Jf_slope is deemed critical and is therefore taken to be the Jf_slope of the rock slope.
The Jf_slope for every rock slope was computed using the data gathered from field study. The unit weight of
the rock, the strength of the intact rock, and the height of the rock slope were used to normalize the height of the
rock slope. For each slope the normalized height was calculated using the safe height and unsafe height.
Normalized height of the slope was plotted against the Jf_slope. Fig. 1 shows the normalized height versus Jf_slope
(Hruaikima et al., 2023). The hazard resulting from the rock slope can be approximated using the graph. The
proposed chart can also be used for the estimation of the safe height of the rock slopes.
3.0 MULTIPLE-GRAPH TECHNIQUE FOR ESTIMATION OF SAFE HEIGHT OF A
ROCK SLOPE
A multiple-graph technique was proposed by Hruaikima et al. (2023) to determine the safe height of steep-
cut rock slopes in the Garhwal Himalayas (Fig. 3). The multiple-graph technique consists of four sub-graphs:

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 Mahendra Singh, Lal Hruaikima, Sarada Prasad Pradhan

Fig. 2 Variation of normalised height with the J f_slope (after Hruaikima et al., 2023)

Graph I: Estimation of the apparent dip of joint plane:

When the difference between the dip direction of the slope face and the joint plane is less than 20o the
influence of the joint plane on the stability of the rock slopes becomes maximum. When the dip direction of joint
plane and the slope face moves farther apart, that is, when the difference between the slope face's dip direction
and the joint's dip direction increases, influence of the joint inclination gradually decreases. When there is a 90o
or greater difference between the slope face dip direction and the joint plane, the apparent dip becomes zero. For
various values of the true dip of the joint, curves drawn between the apparent dip and the difference between the
dip direction of the slope face and the joint plane are provided. The curves are drawn on a normal scale (Graph I).
Using Graph I, one can estimate the apparent dip of the joint plane if the dip direction of the slope face, the dip
direction of the joint plane, and the true dip of the joint plane is known.

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 A Simple Approach for Assessing Safe Vertical Cut Height for Highways in Garhwal Himalayas

Fig. 3 Multiple-Graph Technique for estimation of hazard due to rock slopes (after Hruaikima et al., 2023)

Graph II & III: Estimation of Jf_slope

Graph II provides the graph for the estimation of the J f_slope for joints having a joint spacing of 1 cm. The
graph shows a set of curves drawn between the apparent dip of the joint plane and the J f_slope. This graph can be
used to calculate the Jf_slope for a joint having a normal spacing of 1 cm given that the value of the joint friction
angle (j) is known.
The following expression provides the value of Jf_slope for joints having a normal spacing of S cm:
𝐽𝐽 (1 𝑐𝑐𝑐𝑐)
𝐽𝐽𝑓𝑓_𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 = 𝑓𝑓_𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 (3)
𝑆𝑆
Where Jf_slope (1 cm) is the joint factor for 1 cm spacing of joints and S is the normal joint spacing (in cm) of
the joint in the field.
Graph III represents equation 3 in a graphical form, which can be used to determine the value of J f_slope for
joints having a normal spacing of S cm.

Graph IV: Hazard estimation of a rock slope

Using Graph IV and based on the value of Jf_slope and the normalized height of the rock slope, the hazard due
to steep-cut rock slope can be estimated.
The step-by-step guide on the application of the proposed methodology is shown in Fig. 4.
3.1 Case studies
Using data obtained from site investigations, the following section demonstrates the applicability of the
proposed methodology as a tool for estimating the hazard and safe height of the rock slope.
Slope height: 18 m
Orientation of slope face: 70/154
Spacing of joint: 13.7 cm
Orientation of the joint plane: 55/208
Joint wall compressive strength (JCS) = 32.35 MPa
Joint Roughness Coefficient: 11

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 Mahendra Singh, Lal Hruaikima, Sarada Prasad Pradhan

Unit weight of rock: 26.5 kN/m3

The solution is shown in Fig. 3. Step-by-step procedure is given below:

Step 1: Joint friction angle estimation

Using Barton’s JRC-JCS model (Barton, 1976), the joint friction angle is estimated as 51.46o.

Step 2: Application of the proposed Multiple Graph for hazard estimation

From the given data, |𝐷𝐷𝐷𝐷𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 − 𝐷𝐷𝐷𝐷𝑗𝑗𝑗𝑗𝑗𝑗𝑗𝑗𝑗𝑗 | = 54, dip of joint plane = 55. The apparent dip of the joint is
obtained from Graph I (Point A). Move left toward Graph II and obtain Jf_slope (1 cm) for the value of φj (Point B).
Move vertically upward to Graph III and obtain Jf_slope (S cm) depending on the joint spacing (Point C).
Now, move right to Graph IV and obtain the hazard due to the rock slope based on the normalized height of
the slope and the Jf_slope (S cm). Mark the point as point D. which indicates the hazard due to the steep-cut rock
slopes. This point D can also be used as an indicator to work out the maximum height of the steep-cut rock slopes.
The suggested method is used to calculate the hazard due to steep-cut rock slopes obtained from different
locations. These locations are designated S-1 to S-5 (Fig. 5). The slopes are observed to have varying degrees of
stability. Table 1 shows the data used for hazard estimation. The results of the hazard assessment are shown in
Fig. 6. These results are found to be matching with the field observations. This demonstrates the applicability of
the proposed approach in assessing the hazard due to vertical cut slopes.
Table 1 Parameters obtained from five slopes used in the case studies.
Slope Face Joint Plane
Site Spacing of 𝛾𝛾𝛾𝛾
Dip Dip |DDj - DDs| 𝜙𝜙𝑗𝑗 (°) Jf_slope
No Dip Dip Joints, cm 𝜎𝜎𝑐𝑐
Direction Direction
S-1 55 208 70 154 54 13.7 51.46 16.85 0.014
S-2 75 230 65 195 35 4.56 44.05 95.75 0.013
S-3 55 085 75 195 110 20.45 58 3.12 0.0075
S-4 48 200 75 135 65 10.52 36.53 28.75 0.005
S-5 55 265 57.5 289 24 6.89 48.26 150.15 0.0089

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 A Simple Approach for Assessing Safe Vertical Cut Height for Highways in Garhwal Himalayas

Fig. 4 Flowchart depicting the steps involved in the estimation of hazard of rock slopes using the proposed
multiple-graph technique.

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 Mahendra Singh, Lal Hruaikima, Sarada Prasad Pradhan

Fig. 5 Photographs showing the slopes on NH-07, used in case studies of the proposed multiple-graph
technique. (a) S-1 (b) S-2 (c) S-3 (d) S-4 (e) S-5

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 A Simple Approach for Assessing Safe Vertical Cut Height for Highways in Garhwal Himalayas

Fig. 6 Results of multiple-graph technique (Hruaikima et al., 2023) obtained from the case studies.
4.0 CONCLUSION
Applicability of multi-graph technique as suggested by Hruaikima et al. (2023) has been assessed by
extending the studies to 5 different rock slopes in the Garhwal region of Indian Himalayas. The multi-graph
technique is found to be able to assess the hazard and also the safe height of vertical cut rock slopes on the
highways. The technique was developed based on data pertaining to specific meteorology and seismicity. Hence,
its global applicability needs to be further explored by considering slopes from other regions.
ACKNOWLEDGEMENTS
The authors express their sincere gratitude and acknowledge the partial financial support provided by National
Disaster Management Authority (NDMA), New Delhi and Ministry of Human Resource Development (MHRD),
New Delhi in order to carry out the research work.
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of Earth System Science, 132(3). https://doi.org/10.1007/s12040-023-02104-2
Ansari, M. K., Ahmad, M., & Singh, R. (2013). Rockfall Hazard Rating System for Indian Rockmass. In Article
in International Journal of Earth Sciences and Engineering.
https://www.researchgate.net/publication/259823889

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Siddique, T., Masroor Alam, M., Mondal, M. E. A., & Vishal, V. (2015). Slope mass rating and kinematic
analysis of slopes along the national highway-58 near Jonk, Rishikesh, India. Journal of Rock Mechanics
and Geotechnical Engineering, 7(5), 600–606. https://doi.org/10.1016/j.jrmge.2015.06.007
Siddique, T., Pradhan, S. P., Vishal, V., Mondal, M. E. A., & Singh, T. N. (2017). Stability assessment of
Himalayan road cut slopes along National Highway 58, India. Environmental Earth Sciences, 76(22), 759.
https://doi.org/10.1007/s12665-017-7091-x
Siddique, T., Pradhan, S. P., Vishal, V., & Singh, T. N. (2020). Applicability of Q-slope Method in the
Himalayan Road Cut Rock Slopes and Its Comparison with CSMR. Rock Mechanics and Rock Engineering,
53(10), 4509–4522. https://doi.org/10.1007/s00603-020-02176-2
Singh, M. (1997). Engineering Behavior of Jointed Model Materails [PhD Thesis]. Indian Institute of
Technology, Delhi.
Singh, M., Rao, K. S., & Ramamurthy, T. (2002). Strength and deformational behaviour of a jointed rock mass.
Rock Mechanics and Rock Engineering, 35(1), 45–64. https://doi.org/10.1007/s006030200008
Verma, A. K., Sardana, S., Sharma, P., Dinpuia, L., & Singh, T. N. (2019). Investigation of rockfall-prone road
cut slope near Lengpui Airport, Mizoram, India. Journal of Rock Mechanics and Geotechnical Engineering,
11(1), 146–158. https://doi.org/10.1016/j.jrmge.2018.07.007
Vishal, V., Siddique, T., Purohit, R., Phophliya, M. K., & Pradhan, S. P. (2017). Hazard assessment in rockfall-
prone Himalayan slopes along National Highway-58, India: rating and simulation. Natural Hazards, 85(1),
487–503. https://doi.org/10.1007/s11069-016-2563-y

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 Keynote with TBM Operational Data:
Data driven Soft rock Interpretation
Rail link Rishikesh-Karnaprayag (India)

Data driven Soft rock Interpretation with TBM Operational Data:

Rail link Rishikesh-Karnaprayag (India)

G.H. ERHARTER1, S. JAIN2, Ø. DAMMYR1, R.K. BHASIN1

Norwegian Geotechnical Institute, Oslo, Norwayr
1
2
Rail Vikas Nigam Limited (RVNL), New Delhi, India
(georg.erharter@ngi.no)

ABSTRACT: Rail Vikas Nigam Limited (RVNL) is constructing a 125 km broad gauge rail link between
Rishikesh and Karnaprayag in the Indian lower Himalayas. One construction lot is currently being excavated with
two single shield, hard rock tunnel boring machines (TBM) in challenging geological conditions including weak
rocks and an overburden of up to 859 meters. To optimize the excavation performance, the TBMs are equipped
with state-of-the-art instruments to permit early detection of unfavorable ground conditions and thus ensure the
timely deployment of countermeasures. Using the cutterhead as a means of ground investigation as well as novel
“void measurement devices”, the TBM operational data is continuously monitored and advanced parameters such
as the specific excavation energy or the torque ratio are used for ground interpretation. This contribution presents
the current data analysis pipeline and discusses benefits and challenges associated with high-resolution TBM
operational data analysis.
1. INTRODUCTION
Rail Vikas Nigam Limited (RVNL) is currently building a 125 km long new broad gauge rail link between
Rishikesh and Karnaprayag in the state of Uttarakhand having one of the most challenging geologically setting of
the world i.e. The Himalayas. The whole route section is separated into 10 construction lots of which one comprises
a roughly 14.52 km long twin tube (Tunnel-8), out of which tunnel boring machines (TBM) will excavate 10.50
km. The excavation is being done in challenging Himalayan rock mass conditions featuring heterogeneous and
weak rocks with potentially high stresses. TBMs have seen a rapid increase in their usage through the past decades
since they promise efficient, fast and safe excavation of large diameter tunnels. However, unfavourable rock mass
conditions can significantly impact the excavation performance and thus countermeasures must be considered to
avoid lengthy standstills due to problems such as squeezing rock mass.
To ensure this, the Rishikesh and Karnaprayag project uses state-of-the-art machines that are equipped with
modern sensory systems that allow to retrieve a maximum of information about the TBM-rock mass interaction.
This contribution presents a data processing pipeline that was established to permanently interpret the encountered
soft rock conditions to ensure timely deployment of countermeasures in case unfavorable conditions are being
encountered. In section 2 background information about the project and its geology is provided. Section 3
elaborates the processing pipeline that was developed to interpret the TBM operational data using the latest TBM
data parameters and the novel “void measuring system” that is used on the machines. Interpretations about the
encountered rock mass conditions are then presented in section 4 and lastly section 5 draws conclusions and gives
an outlook on development goals that are being pursued right now.
2. BACKGROUND
2.1. Rishikesh – Karnaprayag Rail Link
The project is situated in the Indian State of Uttarakhand, the most visited tourist destinations in the country,
having prominent Hindu pilgrim-destinations known as Char Dham, nestled among the serene heights of the great
Himalayas. The Project was conceived mainly to boost economic development of the region and to support
Religious and Tourist activities by improving connectivity along Ganga and Alaknanda River valleys. Project
alignment takes off from existing Virbhadra railway station at km 0.00 (30°4'29.69"N 78°15'8.14"E) and ends at
Karnaprayag (30°17'17.11"N 79°14'48.18"E) at km 125.138. The railway line will connect important towns like
Devprayag, Srinagar, Rudarprayag, Gauchar and Karanprayag through 5 districts of Dehradun, Tehri Garhwal,
Pauri Garhwal, Rudraprayag and Chamoli (Fig. 1).

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 G.H. Erharter, S. Jain, Dammyr, R.K. Bhasin

Fig. 1 Schematic map of Rishikesh Karnaprayag Railway project highlighting TBM Tunnel-8.

Two identical Herrenknecht TBMs are deployed on site. The TBMs are single shield TBMs for hard rock
excavation with a total shield length of about 10 m and a cutterhead diameter of around 9 m (without overcut).
The shield is slightly tapered to avoid jamming of blocks in between the shield gap and to allow for ground
displacement. The TBMs are also equipped with other special technology such as the possibility to offset the
cutterhead horizontally and vertically during strokes to achieve an overcut without extending any cutters. Another
special system is that the machines are equipped with a void measuring system (VMS) which consists of three
cylinders on one side of the cutterhead that can measure the size of the shield gap. The spacing between the VMS
cylinders is exactly one stroke to enable repeated measurements of eventually deforming tunnel walls (see section
3.3). An overview of the main geometrical features of the TBMs is given in Fig. 2.

Fig. 2 Schematic 3D sketch of the main geometrical features of the TBMs at the Rishikesh-Karnaprayag
railway project.
2.2. Geological background
The dominant rock type along the TBM alignment is phyllites of the Jaunsar Group, varying between quartzite
phyllite (thickly bedded) and schistose phyllite. The overburden (distance between ground level and rail level)
with respect to the TBMs varies between 72 – 859 m. The average uniaxial compressive strength (UCS) of intact
rock samples tested in the laboratory varies along the alignment from 25 MPa to 45 MPa, with an overall average
of ≈35 MPa. The average Point Load (PL) strength index (IS 50) on samples from boreholes before construction
was 2.58. PL index tests performed regularly during construction can be used to calibrate or verify intact rock
strength. Average ratio UCS/IS50 before construction was 15.5. The same ratio would translate to UCS = 38-40
MPa for the samples tested during construction. A higher UCS/IS50 ratio of 22, which are reported for the tests
during construction, would translate to 54-57 MPa.
The estimated rock mass rating (RMR) varies between 25-55 (poor-fair) along the alignment. Most fault/shear
zones (potentially weak zones) along the TBM drives have not been assigned specific RMR values. Shear zones
in the drill & blast sections have been assigned RMR values <20 (very poor). Shear zones are generally assumed

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 Data driven Soft rock Interpretation with TBM Operational Data:
Rail link Rishikesh-Karnaprayag (India)

to have an estimated width of ≈ 30 m. The rock mass quality and the width of weak zones are, together with the
in-situ stress, important parameters for the prediction of squeezing conditions.

Fig. 3 Geological cross section for TBM Tunnel-8 of Rishikesh-Karnaprayag railway project.

3. TBM OPERATIONAL DATA ANALYSIS

3.1. Data processing pipeline
To permanently analyse the TBM operational data from the construction site, a Python based data analysis
framework was developed that is being continuously updated. The system consists of several steps: i) the TBM
operational data is recorded on site and transmitted to the Herrenknecht servers; ii) the data processing framework
accesses the Herrenknecht server via an application programming interface (API) and retrieves the latest data; iii)
the data processing framework is (currently) automatically executed every three hours, processes all new data and
performs all required analyses; iv) the new analyses are sent to a SharePoint via another API and v) can then be
retrieved and viewed on the construction site. Fig. 4 shows a schematic overview of the developed data processing
pipeline.

Fig. 4 Process diagram that shows how the data is being transmitted from the construction site, to NGI servers,
then processed and analysed and finally sent back to the construction site via SharePoint. Updates are (currently
being done every 3 hours).

3.2. Conventional TBM analysis parameters

While a lot of information can be retrieved from direct TBM parameters such as the total thrust or the
cutterhead torque, a whole range of more informative, computed parameters exist today that can be utilized to get
more information about the rock mass behaviour from the data. To this end the following TBM parameters were
computed:
The thrust force loss (𝐹𝐹𝑟𝑟 ) as defined by eq. 1 where 𝐹𝐹𝑡𝑡 is the total thrust of the TBM and 𝐹𝐹𝑎𝑎 the advance force
that acts on the cutterhead (see also Erharter et al. (2023) – section 2 for a detailed description of all components
of 𝐹𝐹𝑟𝑟 ). Note that this parameter can only be computed for TBMs where a separate recording of total thrust and
cutterhead advance force is recorded.
𝐹𝐹𝑟𝑟 = 𝐹𝐹𝑡𝑡 − 𝐹𝐹𝑎𝑎 eq. 1

The specific penetration (𝑝𝑝𝑠𝑠 ) is computed as given in eq. 2 where 𝑝𝑝 denotes the recorded penetration of the
TBM in mm per rotation.
𝑝𝑝
𝑝𝑝𝑠𝑠 =  eq. 2
𝐹𝐹𝑎𝑎

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 G.H. Erharter, S. Jain, Dammyr, R.K. Bhasin

The specific excavation energy after Teale (1965) is a parameter for the energy that is required to excavate
one unit volume of rock mass and it can be split into a rotational and a thrust component. Especially the rotational
share of the specific excavation energy is well suited to identify different types of rock mass as also elaborated in
Bergmeister and Reinhold (2017) where in most cases a low specific energy corresponds to low rock mass strength
and a high specific energy to the opposite. In eq. 3, 𝑒𝑒𝑟𝑟 denotes the rotational share of the specific energy, 𝐴𝐴 the
area of the tunnel face,𝑁𝑁 the cutterhead rotations and 𝑇𝑇 the cutterhead torque.
2𝜋𝜋 𝑁𝑁𝑁𝑁
𝑒𝑒𝑟𝑟 = ( ) ( ) eq. 3
𝐴𝐴 𝑝𝑝
The torque ratio was originally presented by Radoncic et al. (2014) and represents the ratio between the
measured cutterhead torque (𝑀𝑀𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 ) and a computed theoretical cutterhead torque (𝑀𝑀𝐶𝐶𝐶𝐶,𝑡𝑡ℎ ). It is highly informative
for the encountered rock mass conditions and after several years of development (Bach et al. 2018; Radončić et al.
2019) it is now implemented in the new Austrian contractual standard for TBM excavation ÖNORM B2203-2.
The theoretical torque can be computed according to eq. 4 where 𝐹𝐹𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡 is the tangential force that acts on the
cutters, 𝑛𝑛𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 the number of cutters on the cutterhead, 𝐷𝐷𝐵𝐵𝐵𝐵 the cutterhead radius in meters and 𝑀𝑀0 the torque that
is required to rotate the cutterhead without excavation work.
𝑀𝑀𝐶𝐶𝐶𝐶,𝑡𝑡ℎ = 0.3 ∗ 𝐹𝐹𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡 ∗ 𝑛𝑛𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 ∗ 𝐷𝐷𝐵𝐵𝐵𝐵 + 𝑀𝑀0 eq. 4

Rows one to three in Fig. 6 show the above-mentioned computed parameters for an exemplary section of one
of the TBMs. Approximately, in the first half of the shown section, comparably hard rock mass was encountered
characterized by high specific energy, low specific penetration and few fluctuations in the torque ratio. In the
second half several weakness zones are encountered characterized by overall lower specific energy, higher specific
penetration and several excursions of the torque ratio above 1.
3.3. Void measuring system data
As given in section 2.1, the TBMs are equipped with a novel void measuring system (VMS). The VMS consists
of three cylinders on one side of the shield that are being used to measure the size of the shield gap after every
stroke. As the distance between the three VMS cylinders corresponds to the length of one stroke, one single point
on the tunnel wall will be measured three times thus allowing to compute tunnel wall deformation rates.
An example is given in Fig. 5 where the first VMS measured a shield gap of 55 mm; one stroke and 2 hours
later, the second VMS measured a shield gap of 50 mm; another stroke and 3h later, the third VMS measures a
shield gap of 47 mm. With these readings a deformation rate series can be produced, where the deformation rate
between VMS 1 and 2 was 2.5 mm/h and between VMS 2 and 3 it was 1 mm/h. Doing these measurements
continuously enables to retrieve tunnel wall deformation rates continuously throughout the length of the whole
tunnel. A challenge in interpreting this data is its sensitivity towards the TBM positioning. If strokes are not being
fully excavated, or the TBM excavates further than one stroke – which can happen due to the flexibility in the
system –not the exact same point in the tunnel will be measured by consecutive measurements of the VMS system.
If different points are being measured, the influence of the tunnel wall roughness becomes significant, and the
measurements cannot yield reliable deformation rates anymore.
Nevertheless, a last benefit of the VMS measurements is that they are also a good indicator for the occurrence
of overbreaks or other irregularities in the tunnel wall, when they measure a larger shield gap than what would be
expected due to the cutterhead dimension and eventually applied overcut. The fourth row of Fig. 6 shows tunnel
wall deformation data corresponding to TBM operational data.

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 Data driven Soft rock Interpretation with TBM Operational Data:
Rail link Rishikesh-Karnaprayag (India)

Fig. 5 Explanatory schematic of how the tunnel wall deformation rates can be retrieved from the void
measuring system that is installed on the TBMs. Measuring the shield gap after every stroke, yield a series of
shield gaps, which can be used to compute deformation rates.

Fig. 6 Exemplary 600m long section of TBM data from one of the machines. 1. row: Total thrust force and
cutterhead advance force and their difference; 2. row: specific penetration (blue) and rotational share of specific
energy (orange); 3. row: torque ratio; 4. row: tunnel wall deformation rates based on void measurement systems.

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 G.H. Erharter, S. Jain, Dammyr, R.K. Bhasin

4. OBSERVATIONS AND INTERPRETATION

The developed TBM data processing pipeline allows to get a holistic picture of the onsite conditions.
Continuously observing the interplay of the different parameters in combination with the onsite observations
allows to interpret the encountered rock mass conditions as given in Table 1.

Table 1 Interpretation of the TBM operational data and void measuring system.
Specific Specific Torque ratio Deformation Shield gap Interpretation
penetration energy rates size
low high stable at around low normal Favourable, hard rock mass
1 conditions
high low fluctuating with evtl. increased normal Softer rock mass or weakness
value excursions zones; potentially squeezing rock
>1 mass
high / high & fluctuating Not reliably maximum Heterogeneous and weak rock
fluctuating fluctuating measurable mass with overbreaks; evtl. low
stress conditions

It needs to be noted that the interpretations of table 1 are based on the so far encountered rock mass conditions
on site and therefore they are subject to change and extension with the ongoing excavation. The terms “low” and
“high” are to be understood as relative specifications with respect to the so far existing measurement series. The
torque ratio is found to be at around 1 in regular advance conditions, which is also a site specific value and may
change for other projects (Bach et al. 2018).
5. CONCLUSION AND OUTLOOK
Driving TBM tunnels in rock mass conditions as they are given in the lower Himalayas is challenging and
requires special measures to ensure high production rates and an efficient tunnelling process. In the case of the
Rishikesh – Karnaprayag project, it was decided to deploy TBMs that are equipped with state-of-the-art sensors
to allow continuous monitoring of the interaction between the TBMs and the rock mass. This monitoring aims at
ensuring that unfavourable rock mass conditions are detected as soon as possible and countermeasures (e.g.,
increasing the overcut, injecting bentonite) can be deployed in a timely manner.
So far continuous and automatic TBM data monitoring and interpretation has shown to be a well-suited tool
to aid this purpose. However, the presented data processing framework is under constant development to i) increase
its capability to serve as an early warning system for adverse geological conditions and ii) implement means to
predict adverse geological conditions ahead of the current tunnel face. To achieve the latter, continuously
overlapping exploratory drillings are being done on both machines where the measurement while drilling data is
collected for interpretation. Additionally tunnel seismic prediction systems are being used to get even more
information from beyond the face. Finally, machine learning (a subfield of artificial intelligence) (Marcher et al.
2020) will be used to integrate all these data sources and retrieve the best possible prediction ahead of the face.

REFERENCES
Bach D, Holzer W, Leitner W, Radončić N (2018) The use of TBM process data as a normative basis of the
contractual advance classification for TBM advances in hard rock. Geomechanik und Tunnelbau 11:505–
518. https://doi.org/10.1002/geot.201800042
Bergmeister K, Reinhold C (2017) Learning and optimization from the exploratory tunnel - Brenner Base
Tunnel. Geomechanik und Tunnelbau 10:467–476. https://doi.org/10.1002/geot.201700039
Erharter GH, Goliasch R, Marcher T (2023) On the Effect of Shield Friction in Hard Rock TBM Excavation.
Rock Mech Rock Eng. https://doi.org/10.1007/s00603-022-03211-0
Marcher T, Erharter GH, Winkler M (2020) Machine Learning in tunnelling – Capabilities and challenges.
Geomechanik und Tunnelbau 13:191–198. https://doi.org/10.1002/geot.202000001
ÖNORM B 2203-2:2023 (2023) Untertagebauarbeiten ÖNORM B 2203-2:2023 03 01. Österreichisches
Normungsinstitut
Radoncic N, Hein M, Moritz B (2014) Determination of the system behaviour based on data analysis of a hard
rock shield TBM / Analyse der Maschinenparameter zur Erfassung des Systemverhaltens beim
Hartgesteins-Schildvortrieb. Geomechanik und Tunnelbau 7:565–576.
https://doi.org/10.1002/geot.201400052

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 Data driven Soft rock Interpretation with TBM Operational Data:
Rail link Rishikesh-Karnaprayag (India)

Radončić N, Purrer W, Pichler K (2019) A model for fair compensation of construction costs in TBM tunneling:
A novel contribution. In: Peila D, Viggiani G, Celestino T (eds) Tunnels and Underground Cities:
Engineering and Innovation meet Archaeology, Architecture and Art. CRC Press, pp 4567–4573
Teale R (1965) The concept of specific energy in rock drilling. International Journal of Rock Mechanics and
Mining Sciences & Geomechanics Abstracts 2:245. https://doi.org/10.1016/0148-9062(65)90016-1

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 Keynote
Rajbal Singh and Sanjeev Kumar Garg

Evaluation of Shear Strength Parameters

for A Concrete Gravity Dam in Bhutan Himalaya

RAJBAL SINGH1 AND SANJEEV KUMAR GARG2

WAPCOS Ltd.
1

Indian Geotechnical Services

2

email: drrajbalsingh@gmail.com, mkg25in@yahoo.com

ABSTRACT: The present paper includes the comprehensive rock mechanics in-situ shear tests for the design of
concrete gravity dam of Jomori Hydroelectric Project, Bhutan. Shear strength parameters (cohesion and friction
angle) were determined by conducting in-situ shear tests on rock to rock and concrete to rock interfaces after
preparing 4 sets of 5 blocks each inside drifts at left and right banks of proposed dam. The values of shear strength
parameters were recommended for the design of concrete gravity dam based on 10 blocks in-situ shear tests for
concrete to rock and rock to rock interfaces inside drifts at left and right banks.
1 INTRODUCTION
It was decided to conduct the in–situ rock mechanics testing for Jomori Hydroelectric Project, Bhutan for
evaluating modulus of deformation of rock mass and shear strength parameters of rock to rock and concrete to
rock interfaces. The Druk Green Power Corporation Limited (DGPC) has undertaken the preparation of detail
project report (DPR) for construction of Jomori Hydroelectric Project. Field tests were conducted in drifts at left
and right banks of dam site to determine the design parameters, confirming to relevant specifications and the
guidelines.
Jomori Hydropower Project is located in the South-Eastern Part of Bhutan under Samdrup Jongkhar District.
The project envisages construction of run-of-river scheme with an installed capacity of 90 MW. The project
envisages the construction of 32 m high concrete gravity dam. The water from Jomori dam will be conveyed to
the surface power house through head race tunnel of 6.298 km located on the left bank.
The geology of dam complex mainly comprises of light coloured coarse grain moderately strong to strong
undulatory augen gneiss. The RMR values at left and right bank drifts are varying from 30 to 59. The Q values of
rock mass are varying from 2.46 to 9.15 as per 3-D geological log of the drifts.
The present paper includes the comprehensive in-situ tests for rock mass inside two drifts at proposed 32 m
height concrete gravity dam at Jomori Hydroelectric Project, Bhutan. Shear strength parameters (cohesion and
friction angle) were determined by conducting in-situ shear tests on rock to rock and concrete to rock interfaces
inside drifts at left and right banks of proposed dam.
2 THE PROJECT
Jomori Hydropower Project is located in the South-Eastern Part of Bhutan under Samdrup Jongkhar District.
The project envisages construction of run-of-river scheme with an installed capacity of 90 MW.
A 32 m high concrete gravity dam above river bed level is proposed across Jomori to impound water up to
FRL of 1156 m to enable diversion of river through the intake structure for generation of power. The dam is located
150 m downstream of the Jomori and Zangtheri confluence. A 6.299 km long and 4.1 m diameter modified horse
shoe shaped head race tunnel (HRT) is aligned along the left bank of Jomori river. A 10 m diameter restricted
orifice open to sky surge shaft is proposed to absorb the water hammer or elastic shock waves generated in highly
pressurized pipes due to closure or opening of valves or gates. The pressure shaft for this project has a vertical
pressure shaft about 290 m drop and a 435 m horizontal. 30 m each unit pressure shaft further branches out into 2
penstocks before entering the machine hall. A surface power house is located at the left bank of Jomori at ground
EL 782 m. The water from the 2 units will be discharged through 2 nos. of concrete channels combined after
downstream of the powerhouse. The tail race channel (TRC) has been designed to discharge 28.66 m3/s coming
out of the machine halls. The 70 m long TRC is sloped with its outfall at EL 773.40 m to discharge back the water
into the Jomori River.
Locations photo of Jomori dam and drifts is shown in Fig. 1. Jointing at portal of left and right bank drifts are
shown in Figs. 2 and 3, respectively.

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 Evaluation of Shear Strength Parameters
for A Concrete Gravity Dam in Bhutan Himalaya

Fig. 1 Locations of Jomori dam and drifts Fig. 2 Jointing at portal Fig. 2 Jointing at portal
of left bank drift of right bank drift
3 GEOLOGY AT DAM SITE
The geology of dam complex mainly comprises of light coloured coarse grain moderately strong to strong
undulatory augen gneiss. The RMR values at left and right bank drifts are varying from 30 to 59. The Q values of
rock mass are varying from 2.46 to 9.15 as per 3-D geological log of the drift. However, RMR calculation and
projection of rock class is based on the surface assessment and is tentative.
4 IN-SITU SHEAR TEST IN DAM DRIFTS
4.1 Test Procedure
In-situ shear tests were conducted to determine the shear strength parameters of rock to rock and concrete to
rock interfaces. A set of blocks of rock mass for rock to rock interface and concrete blocks for concrete to rock
interface is made for testing purpose (IS 7746:1991, ISRM: 1981 and CBIP: 2010, Singh (2009) and Ramamurthy
(2007)). Diamond wheel cutter, chisel and hammer were used to separate the rock mass of block size (70 cm x 70
cm x 35 cm) from parent rock. Steel frame of 20 mm thickness MS plates is placed over the block and filled with
cement grout. 20 mm thick MS plates were used to prepare side and top reaction pads, strengthen by RCC. The
care was taken to keep the top and side reaction pads concentric with the block.
For concrete to rock interface, the rock surface was prepared by cleaning the muck in the drift as horizontal
as possible by removing all undulations with the help of chisel and hammer. After levelling the rock surface as
smooth as possible, the concrete block of 70 cm x 70 cm x 35 cm was prepared by using steel frame. All the blocks
were cured for 21 days before shearing. One set of 5 blocks was cast.
Each block was sheared at constant but different normal load. Vertical load was applied by 150 T capacity
hydraulic jack and MS cylinders were used to fill up the gap between the top reaction pad and the hydraulic jack.
The shear load was applied by another 200 T capacity hydraulic jack from the side reaction pad at an angle of 15 o
with the horizontal in order that the resultant force passed through the centre of the test block. This was achieved
by two wooden wedges placed across the jack. The application of shear force was kept until the peak and residual
shear stresses were attained.
Five such blocks were sheared. Each block was tested for a particular normal stress which was kept constant
during the test. The shear force and shear displacement of block were measured and recorded during the test. The
vertical, horizontal and lateral displacements of the block, produced during the test were measured by eight dial-
gauges (four for normal displacement, two for shear displacement and two for lateral displacement) each of 0.01
mm least-count.
The observations were recorded till failure and continued even after the failure to the extent possible to get the
information regarding residual frictional resistance.

4.2 Calculations
Normal stress and shear stress are obtained from normal load and shear load recorded during the in-situ test.
The shear stress and normal stresses are calculated from the following equations:

Ps P cos 
Shear Stress, τ   sa (1)
A A

Pn P  Psa sin 
Normal stress, σn   na (2)
A A

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nformation regarding residual frictional resistance.

4.2 Calculations Rajbal Singh and Sanjeev Kumar Garg

Normal stress and shear stress are obtained from normal load and shear load recorded during the in-si
The shear stress and normal stresses are calculated from the following equations:
Where,Where,
Psa
sa P=sa = Applied P P cos 
shearshear
Applied
s
loadload
sa
Shear Stress, τ = Total
= Total
Total 
shear force
shear
shear stress
force (1)
Pnn P =n = TotalTotal A
normal Aforceload
normal force
A A = = AreaArea of block
of test test block
Pna
na P
= na =
AppliedApplied normal
normal load load
P  P sin 
0
α α = = Inclination
P
Inclination
n
of applied
of applied shearshear
na
forceforce
sa
at anatangle of 15of0. 15 0.
an angle
Normal stress,As αAs
σn is00 in150this
is α15 
in this 
case,case, the applied
the applied normal
normal forceforce is reduced
is reduced afterafter
eacheach increase
increase in shear
in shear
(2)
forceforce byamount
by an an amount
Psa sin α in order to maintainA the A normal stress approximately constant. At failure
sa Psa sin α in order to maintain the normal stress approximately constant. At failure and after failure and after failure (residual) the the
(residual)
shearshear
stress is plotted
stress against
is plotted the normal
against stress
the normal and the
stress and“curve of best
the “curve fit” is
of best drawn
fit” usingusing
is drawn linear regression
linear analysis.
regression analysis.
From the equation
From the equation of straight line line
of straight obtained, the intercept
obtained, on the
the intercept on Y-
theaxis givesgives
Y- axis cohesion
cohesion‘c’ of
‘c’the
of rock massmass
the rock and and
the slope
the slope of theof line
the line
givesgives the friction
the friction angleangle ‘φ’the
‘φ’ of of rock
the rock
mass.mass.
4.3 In–situ Shear
4.3 In–situ TestTest
Shear in Left and and
in Left Right Bank
Right Drifts
Bank Drifts
OneOne setfive
set of of five blocks
blocks eacheach of in-situ
of in-situ shearshear
teststests
was was conducted
conducted consisting
consisting withwith dimensions
dimensions of 70ofcm70 xcm70xcm70 cm
x 35xcm.35 cm.
The The location
location planplan of shear
of shear blocks
blocks in and
in left left and
rightright
bankbank
driftsdrifts are shown
are shown in Fig.
in Fig. 4 along
4 along withwith locations
locations of of
plateplate jacking
jacking teststests indrifts.
in the the drifts.
The The T-Sections
T-Sections ofdrifts
of the the drifts
werewere
also also utilised
utilised for conducting
for conducting in-situ
in-situ rockrock mechanics
mechanics
tests.tests.
The The
locations of concrete
locations to rock
of concrete (CR)(CR)
to rock and and
rockrock
to rock (RR)(RR)
to rock havehave
beenbeen
marked withwith
marked numbers
numbersat different
at different
locations in the
locations in drifts.
the drifts.

Fig. Fig. 4 Locations

4 Locations of concrete
of concrete to rock
to rock (CR1(CR1 to CR10)
to CR10) and and
rockrock to rock
to rock (RR1(RR1 to RR10)
to RR10)
in and
in left left and
rightright
bankbank
driftsdrifts

4.4 4.4In–situ Shear

In–situ TestTest
Shear in Left Bank
in Left DriftDrift
Bank
The The locations
locations of concrete
of concrete to rock
to rock (CR1(CR1 to CR5)
to CR5) and and
rockrock to rock
to rock (RR1(RR1 to RR5)
to RR5) havehave
beenbeen marked
marked in Fig.
in Fig. 4 4
alongalong
withwith locations
locations of plate
of plate jacking
jacking teststests
(PJT)(PJT) in vertical
in vertical and and horizontal
horizontal directions
directions in dam
in the the dam
driftsdrifts at and
at left left and
rightright
banks, respectively.
banks, respectively.
The The
photograph of in-situ
photograph shearshear
of in-situ test in
testdam driftdrift
in dam is shown in Fig.
is shown 5. The
in Fig. overturned
5. The block
overturned for measuring
block for measuringcorrect
correct
shearshear
areaarea
is shown in Fig.
is shown 6. 6.
in Fig.

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36
 Evaluation of Shear Strength Parameters
for A Concrete Gravity Dam in Bhutan Himalaya

Fig. 5 View of direct in-situ shear test Fig. 6 View of the overturned block after shear test
on rock to rock interface on rock to rock interface
4.4.1 Rock to rock in-situ shear test in left bank drift
One set of in-situ shear test consisting of five blocks was conducted for rock to rock interface. The shear stress
versus shear displacement curves for all 5 blocks is shown in Fig. 7 to determine peak and residual shear stresses.
The shear stress versus shear displacement curve shows a flat peak, which shows the joints are filled joints. The
values of peak and residual shear stresses for all 5 blocks at different normal stresses are given in Table 1.
Based on the data of shear test on rock to rock interface, the plots of shear stresses (peak and residual) versus
normal stress are shown in Fig. 8. For peak shear strength parameters, the cohesion, c and friction angle, φ are
0.25 MPa and 55.710, respectively. The cohesion, c and friction angle, φ for residual shear strength parameters of
rock to rock interface are 0.0 MPa and 43.88 0, respectively.
3.5
3.0
RR-1
3.0
2.5 RR-2
RR-3 2.5
2.0 RR-4
Shear Stress (MPa)

2.0
Shear Stress (MPa)

RR-5
1.5
1.5
1.0 1.0

0.5 0.5

0.0 0.0
-
5 10 15 20 25 30 35 40 45 50 55 60 0.0 0.5 1.0 1.5 2.0 2.5
Shear Displacement (mm) Normal Stress (MPa)

Fig. 7 Shear stress versus shear displacement curve Fig. 8 Shear stress versus normal stress curve for
for rock to rock interface in left bank drift rock to rock interface
Table 1 Peak and residual values of shear stress for different normal stress
in left bank drift for rock to rock shear test
Normal stress Peak shear stress Residual shear stress
Block No.
MPa MPa MPa
RR-1 0.349 0.635 0.329
RR-2 0.698 1.353 0.705
RR-3 1.047 1.917 0.982
RR-4 1.396 2.287 1.274
RR-5 1.745 2.727 1.723

4.4.2 Concrete to rock in-situ shear test in left bank drift

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37
 Block No.
MPa MPa MPa
RR-1 0.349 0.635 0.329
RR-2 0.698 1.353 0.705
RR-3 1.047 Rajbal Singh and Sanjeev
1.917
Kumar Garg 0.982
RR-4 1.396 2.287 1.274
RR-5 1.745 2.727 1.723

4.4.2 Concrete to rock in-situ shear test in left bank drift

One set of in-situ shear tests was conducted consisting of five blocks of concrete to rock interface with
dimensions of 70 cm x 70 cm x 35 cm. The location plan of shear blocks in left and right bank drifts are shown in
Fig. 6 along with locations of plate jacking tests in the drifts. The T-Sections of the drifts were also utilised for
conducting in-situ rock mechanics tests. The locations of concrete to rock (CR) and rock to rock (RR) have been
marked with numbers at different locations in the drifts.
The shear stress versus shear displacement curves for all 5 blocks are shown in Fig. 9 to determine peak and
residual shear stresses. The values of peak and residual shear stresses for all 5 blocks at different normal stresses
are given in Table 2.
Table 2 Peak and residual values of shear stress for different normal stress in left bank drift
for concrete to rock shear test
Normal stress Peak shear stress Residual shear stress
Block No.
MPa MPa MPa
CR-1 0.349 0.712 0.423
CR-2 0.698 1.103 0.511
CR-3 1.047 1.233 0.840
CR-4 1.396 1.880 1.404
CR-5 1.745 2.158 1.335
Based on the data of shear test on concrete to rock interface, the plots of shear stresses (peak and residual)
versus normal stress are shown in Fig. 10. For peak shear strength parameters, the cohesion, c and friction angle,
φ are 0.32 MPa and 46.440, respectively. The cohesion, c and friction angle, φ for residual shear strength
parameters of concrete to rock interface are 0.09 MPa and 37.89 0, respectively.

2.5 2.5
CR-1
CR-2
2.0 CR-3 2.0
CR-4
Shear Stress (MPa)

1.5 CR-5 1.5

Shear Stress (MPa)

1.0
1.0
0.5
0.5
0.0
- 5 10 15 20 25 30 35 40 45 50 55 0.0
Shear Displacement (mm) 0.0 1.0 2.0
 Normal Stress (MPa) 
Fig. 9 Shear stress versus shear displacement curve Fig. 10 Shear stress versus normal stress curve for
for concrete to rock interface in left bank drift concrete to rock interface in left bank drift

5 SUMMARY OF SHEAR STRENGTH PARAMETERS AT DAM SITE

The shear strength parameters were required for the design of proposed concrete gravity dam. The in-situ shear
tests were conducted to evaluate shear strength parameters of rock to rock and concrete to rock interfaces. This
evaluation procedure was based on earlier work done by Singh (2009), Singh and Sarwade (2016) and Singh and
Garg (2017a,b).
The results of tests from left bank and right bank drifts have been plotted jointly for 10 blocks as shown in
Figs. 11 and 12 for concrete to rock and rock to rock interfaces, respectively.
Summary of the results based on in-situ shear test conducted in dam drifts at left bank, right bank and jointly
for 10 blocks (left and right banks) are given in Table. 3 for peak and residual shear strength parameters of concrete
to rock and rock to rock interfaces.

5.1 Concrete to rock interface

INDOROCK 2023: 9th Indian Rock Conference 16-18 November 2023
38
Garg (2017a,b).
The results of tests from left bank and right bank drifts have been plotted jointly for 10 blocks as shown in
Figs. 11 and 12 for concrete to rock and rock to rock interfaces, respectively.
Summary of the results based on in-situ shear test conducted in dam drifts at left bank, right bank and jointly
Evaluation
for 10 blocks (left and right banks) are given in Table.of3 Shear Strength
for peak Parameters
and residual shear strength parameters of concrete
to rock and rock to rock interfaces. for A Concrete Gravity Dam in Bhutan Himalaya

5.1 Concrete to rock interface

Based on 10 blocks of concrete to rock tested in dam drifts at left and right banks as shown in Fig. 11, the
shear strength parameters of concrete to rock interface, cohesion and friction angle (Table 3) are 0.25 MPa (c) and
46.420 (φ), and 0.09 MPa (cr) and 37.550 (Φr) for peak and residual shear strength parameters, respectively.
5.2 Rock to rock interface
Based on 10 rock blocks tested in dam drifts at left and right banks as shown in Fig. 12 and given in Table 3,
the shear strength parameters of rock to rock interface, cohesion and friction angle are 0.14 MPa (c) and 55.94 0
(φ), and 0.0 MPa (cr) and 44.510 (Φr) for peak and residual shear strength, respectively.

2.5 3.5

3.0
2.0
Shear Stress (MPa)

Shear Stress (MPa)

2.5
1.5 2.0

1.0 1.5

1.0
0.5
0.5
0.0 0.0
0.0 1.0 2.0 0.0 1.0 2.0
Normal Stress (MPa) Normal Stress (MPa)
Fig. 11 Shear stress versus normal stress Fig. 12 Shear stress versus normal stress
combined curve for concrete to rock interface combined curve for rock to rock interface
in left and right bank drifts in left and right bank drifts

5.3 Recommendations of Shear Strength Parameters

In view of above discussion it is recommended to utilise cohesion and friction angle for combined data based
on 10 blocks each of left and right bank drifts for concrete to rock and rock to rock interfaces, respectively, as
given in Table 3.
Table 3 Summary of shear strength parameters in dam drifts

Concrete to rock interface Rock to rock interface

Drift Peak shear strength Residual shear Peak shear strength Residual shear
No. parameters strength parameters parameters strength parameters
Cohesion Friction Cohesion Friction Cohesion Friction Cohesion Friction
c angle cr angle, c angle cr angle
MPa Φ0 MPa Φ r0 MPa Φ0 MPa Φ r0
Left Bank 0.32 46.44 0.09 37.89 0.25 55.71 0.0 43.88
Right Bank 0.19 46.41 0.10 37.20 0.05 55.92 0.01 45.21
Left + Right
0.25 46.42 0.09 37.55 0.14 55.94 0.00 44.51
Banks

The recommended shear strength parameters of concrete to rock interface, cohesion and friction angle (Table 3)
are 0.25 MPa (c) and 46.420 (φ), and 0.09 MPa (cr) and 37.550 (Φr) for peak and residual shear strength parameters,
respectively.

The recommended shear strength parameters of rock to rock interface, cohesion and friction angle are 0.14 MPa
(c) and 55.940 (φ), and 0.0 MPa (cr) and 44.510 (Φr) for peak and residual shear strength, respectively.

It is seen from Table 3 that there is not much difference in shear strength parameters based on combined data of
both drifts in this case as compared to data of left and right banks separately. In some cases this difference has
been found different. But, it definitely gives a confidence that the shear strength parameters are based on 10 blocks.

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 Rajbal Singh and Sanjeev Kumar Garg

6 CONCLUSIONS
The following magnitudes of shear strength parameters (cohesion and friction angle) were recommended for
the design of concrete gravity dam on the basis of in-situ rock mechanics testing at site:
 The recommended shear strength parameters of rock to rock interface, cohesion and friction angle were 0.14
MPa (c) and 55.940 (φ), and 0.00 MPa (cr) and 44.510 (Φr) for peak and residual shear strength, respectively.
 The recommended shear strength parameters of concrete to rock interface, cohesion and friction angle were
0.25 MPa (c) and 46.420 (φ), and 0.09 MPa (cr) and 37.550 (Φr) for peak and residual shear strength parameters,
respectively.
 The in-situ shear tests were conducted on one set each of 5 shear test blocks for rock to rock and concrete to
rock interfaces in left and right bank drifts at proposed dam site. However, final design parameters were
evaluated by combining 10 blocks from both the drifts.

REFERENCES

CBIP (2010), “Manual on Rock Mechanics”, Publication No. 310, Central Board of Irrigation and Power (CBIP),
New Delhi, October, 585p.
ISRM (1981), “Suggested Methods for Rock Characterisation, Testing and Monitoring”, Commission on Testing
Methods, International Society for Rock Mechanics, E. T. Brown (Ed.), Pergamon Press, 211pp.
IS: 7746 – 1991, “Code of practice for in-situ shear test on rock”.
Farmer, I.W. and Kemeny J.M. (1992),”Deficiencies in the rock test data,” Int. Conf. Eurock 1992, Thomas
Telford, London, pp. 298-303.
Ramamurthy T. - Editor (2007) “Engineering in Rocks for Slopes, Foundations and Tunnels”, 252p.
Singh Rajbal (2007), “Chapters 11 on Field Shear Test”, Engineering in Rocks for Slopes, Foundations and Tunnels”,
Text Book edited by T. Ramamurthy, 252p.
Singh Rajbal (2009) “Measurement of In-situ Shear Strength of Rock Mass”, Journal of Rock Mechanics and
Tunnelling Technology, ISRMTT, Volume 15, No. 2, pp. 131-142.
Singh Rajbal and Garg Sanjeev Kumar (2017a), “Evaluation of Single Set of Shear Strength parameters for Numerical
Modelling of a Concrete Gravity Dam”, Workshop on Numerical Modelling in Hounor of prof. M.N. Viladakar,
IIT Roorkke, 2-3 March.
Singh Rajbal and Garg Sanjeev Kumar (2017b), “Evaluation of Shear Strength parameters of rock mass by conducting
in-situ tests”, Indorock-2017: 8th Indian Rock Conference, 25-27 October.
Singh Rajbal and Sarwade D.V. (2016), “Evaluation of Shear Strength Parameters in Jointed Rock Mass”, Journal
of Rock Mechanics and Tunnelling Technology, Volume 22, No.1, pp.21-36.

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 Keynotefor construction of climate resilient
Tackling rock engineering challenges
infrastructures in the Himalayas
INDOROCK 2023: Ninth Indian Rock Conference 16-18 November 2023

Tackling rock engineering challenges for construction of climate resilient

infrastructures in the Himalayas

RAJINDER BHASIN1, ARNSTEIN AARSET1, RAJBAL SINGH2

1
Norwegian Geotechnical Institute 2WAPCOS Limited
e-mail:rkb@ngi.no

ABSTRACT: The Norwegian Geotechnical Institute (NGI) has been involved in the design and monitoring of
several large underground infrastructure projects (tunnels and caverns) over the past two decades in the Himalayan
Region of India and Bhutan. Due to the complex geological and tectonic settings prevalent in the Himalayas, it
has been experienced that detailed engineering geological mapping, rock mass characterization, geophysical
investigations and numerical modelling for verifying the rock support requirements in tunnels are warranted for
the successful completion of these infrastructure projects. This paper describes some of studies performed for some
tunnels and caverns in the Himalayas for gaining a better insight into the prevailing rock mass conditions. The
data gathered has helped to better understand the behavior of the rock mass in underground openings. A key
component of the Norwegian Method of Tunneling (NMT), which includes the application of reinforced ribs of
shotcrete (RRS), is described. This technique has been successfully implemented at an ongoing rail tunnel project
in the Himalayas and has replaced expensive steel sets and cast concrete arches in tunnels. RRS is considered as
both cost efficient and more flexible in application because it is not prefabricated.
1 INTRODUCTION
In recent years a large number of underground structures have been constructed throughout the world and
especially in the complex geological and tectonic settings of the Himalayas. Numerous challenges have been faced
during the construction of these structures in the heavily jointed and weak rocks which are prevalent in the
Himalayan region. The problems faced during tunnelling in such rocks include loosening of the rock mass and
squeezing. Loosening results in the separation of the rock mass from the main body and produces a dead load
requiring heavy rock support. Squeezing rock mass results in large deformation in tunnels where the state of stress
following excavation exceeds the strength of the rock. If such rock mass conditions are not foreseen then the cost
of construction can escalate exponentially. This has occurred in many of the underground projects in the Himalayas
where both time and resources have been underestimated prior to the commencement of a project such as a road,
railway, or hydropower tunnel.
In view of the above, detailed feasibility studies are often warranted before the commencement of an important
infrastructure project such as a road or head race tunnel or an underground powerhouse. The purpose of such a
study is to gain an insight to the rock mass conditions for stability purposes, rock support requirements, for proper
planning of construction and much more. Not conducting these investigations may lead to significant delays and
cost over-runs, as experienced by the numerous projects where large and unforeseen problems occurred during
construction. Modern tools such as airborne resistivity surveys using AEM (Airborne Electro-Magnetic)
technology combined with ground based geophysical investigations and engineering geological mapping can help
identify weak zones along the tunnel alignment thereby avoiding problematic areas which can save significant
resources to the project. This paper describes how rock engineering challenges can be overcome for construction
of climate resilient infrastructures in the Himalayas.
2 CASE STUDIES
Several bypass road tunnels are being made in the Indian Himalayas to shorten the communication routes
and to avoid complex landslides, debris flows and snow avalanches. Along the Jammu-Srinagar road in Northern
India (Fig. 1), eleven tunnels are under construction in the Indian Himalayas (Goel et al. 2015). A 9.4 km long
Chenani-Nashri tunnel, with a maximum overburden of 1,100 m, has recently been completed. The tunnel reduces
the distance between Jammu and Srinagar by 30 km and cuts the travel time by two hours. The tunnel, will bypass
the snow and landslide prone Kud, Patnitop and Batote on the Jammu-Srinagar national highway. A view of the
main tunnel adjoining the escape tunnel is shown in Fig. 2. Work on the other tunnel projects are underway and
once constructed, these will reduce the length of 293 km between Jammu and Srinagar by 62 km, and the distance
of 231 km in mountainous terrain will be covered in about 4 hours.

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 Rajinder Bhasin, Arnstein Aarset, Rajbal Singh

INDOROCK 2023: Ninth Indian Rock Conference 16-18 November 2023

Himalayas

Fig. 1 Map showing the 293 km Jammu-Srinagar road in the Himalayan Region of Northern India

Fig. 2 A view of Chenani-Nashri main tunnel and adjoining escape tunnel (photo: dailyexcelsior.com)

It is estimated that the reduced travel time will result in a saving of fuel worth USD 50,000 per day on traffic
projections (www.nbmcw.com/metro-tunneling/36371-chenani-nashri-tunnel-an-engineering-marvel.html).
Another tunnel in the Himalayas that has been completed is the Rohtang Pass tunnel in Himachal Pradesh in
Northern India (Figs. 3a and 3b). The authors of this manuscript visited the portal of this tunnel, which is at 3000m
above sea level, during the design and planning stage of the tunnel and witnessed the complex geological and
geotechnical conditions prevailing at the site. The tunnel was built under the Rohtang Pass in the eastern Pir Panjal
range of the Himalayas on the Leh-Manali Highway. With 8.8 km (5.5 mi) tunnel length, this has reduced the
distance between Manali and Keylong by about 60 km. Rohtang pass receives heavy snowfall and blizzards during
winter months and was open for road traffic only four to six months in a year before the completion of the tunnel.

Fig. 3a The southern portal at Rohtang Pass (wikipedia)

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42
 Tackling rock engineering challenges for construction of climate resilient
infrastructures in the Himalayas

INDOROCK 2023: Ninth Indian Rock Conference 16-18 November 2023

Fig. 3b The original road above the Rohtang Pass (John Hill, https://commons.wikimedia.org/w/index.php?curid=1580502)
3. MITIGATING LANDSLIDES IN BHUTAN HIMALAYA
Several tunnels are under planning in Bhutan Himalaya, which is located in Eastern Himalayas (Fig. 1), to
avoid major landslide areas. These include the Jumbja tunnel along the Phuentsholing-Thimpu highway and the
Thimpu-Wangdue road tunnel to reduce the distance between the capital Thimpu and the town of Wangdue.
Feasibility studies for both the tunnels has been performed. A major landslide called Jumbja landslide is located
at about 42 km from Indian-Bhutan border town of Phuentsholing. This slide has a width of about 400 meters (Fig.
4).

Fig. 4 The 400 m wide Jumbja slide in Bhutan

The landslide, which first came in the year 2000, was a rockslide in gneissic rock formation. At
present, most of the slide consists of large boulders embedded in soil and the slide can be divided into a
western and an eastern part. The short term mitigation measures for stabilizing the slide included careful
scaling of the rock mass, wire mesh on the slope to retain the unstable rock masses from loosening and
falling down to the road. However, considering the scale of the landslide and the size of the loose blocks,
the measures suggested would only serve for a short period of time. Hence, these were not implemented.
The long-term mitigation measure would be to bypass the slide by constructing a tunnel near the affected
area. Satellite images were procured and geotechnical investigation were carried out to plan the bypass
tunnel as shown in Fig. 5a. A one km tunnel is planned through a ridge to bypass the Jumbja slide (Fig.
5b).

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 Rajinder Bhasin, Arnstein Aarset, Rajbal Singh

INDOROCK 2023: Ninth Indian Rock Conference 16-18 November 2023

Fig. 5a Satellite image of the area showing the Jumbja slide

Fig. 5b Sketch of the area around the Jumbja slide

The rock mass conditions around the slide were characterized for tunneling purposes. The Q-system
of rock mass classification (Barton et al. 1974), developed at NGI, was used to derive the geotechnical
parameters needed for predicting the performance of the rock mass. The rock quality around the site
varies from highly competent to sheared and weathered rock.
The typical rock mass quality obtained from surface exposures in the western part of slide varied
between the following Q-values:
RQD J r J 90 1.5 1
Q   w     7.5 (1)
Jn J a SRF 9 2 1
Corresponding to fair rock quality as given in Eq. 1.
RQD J r J 50 1 1
Q   w     0.03 (2)
Jn J a SRF 15 6 20
Corresponding to extremely poor rock quality as given in Eq. 2.
With the above rock mass quality, tunneling is feasible with appropriate tunnel support measures
using the Q-system support chart (Fig. 6). It was established that the long-term benefits of constructing
a tunnel to bypass the Jumbja landslide outweigh the short-term maintenance costs for the existing road
in the landslide area. A simple cost-benefit analysis was conducted as shown underneath.
The driving cost of a vehicle per km in Bhutan Himalaya is estimated to be slightly less than USD
1/km
• There are about 2000 vehicles that pass each day through the landslide affected area
• The number of km saved if one drives through a proposed tunnel (Fig. 5b) is estimated to be 7 km
• The cost saving per day for all the vehicles ≈ 2000 ×1 × 7 ≈ USD 14,000
• The cost saving/year=14000x365 ≈ 5 mill USD
It may be emphasized that the above cost saving is due to driving alone.

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 Tackling rock engineering challenges for construction of climate resilient
infrastructures in the Himalayas

INDOROCK 2023: Ninth Indian Rock Conference 16-18 November 2023

The cost for constructing a road tunnel in Norway in similar rock mass quality with ventilation and
lighting is estimated to be USD 20,000 per meter i.e. This means that a one km long tunnel would cost
approximately USD 20 million.
From the above analysis, it was concluded that in less than 5 years, savings in driving cost alone
would repay the construction cost of tunnel. Some additional savings from constructing a tunnel that
have not been highlighted above include saving in time and increased safety etc.

Fig. 6. Rock mass quality Q related to the permanent rock support (NGI, 2017)
4. MITIGATING LANDSLIDES IN SIKKIM HIMALAYA
Sikkim is a relatively small state in Eastern Himalaya sandwiched between Nepal and Bhutan (Fig. 1). There
are frequent disruptions in transport communication routes throughout the state due to landslides. One major
landslide, which has been investigated in the area, is the Burdang landslide on national highway 10 (Fig. 10a). The
area near the Burdang landslide consists of metamorphic arenaceous and argillaceous rocks intruded by basic sills
that have been metamorphosed to epidiorite and talcose phyllites. The landslide occurred in a phyllitic rock
formation; the total volume of the released rock mass was between 100,000 and 200,000 m3. After investigating
the landslide and deriving the geotechnical parameters needed for predicting the performance of the rock mass, it
was decided that a tunnel could be constructed beneath the landslide (Bhasin et al., 2002). Recently, the first author
visited the site and observed that a relatively short tunnel about 50 m in length was constructed along the route
whereas the rest of the slope has been stabilized through plantation and by construction of a retaining wall (Fig.
7b).

Fig. 7a The Burdang slide on National Highway 10

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 Rajinder Bhasin, Arnstein Aarset, Rajbal Singh

INDOROCK 2023: Ninth Indian Rock Conference 16-18 November 2023

Fig. 7b The recent construction of a tunnel and retaining wall for mitigation of the
Burdang landslide shown in Fig. 7a.
5. NORWEGIAN CASES
In areas of difficult topography in Norway, hundreds of kilometers of tunnels have been constructed to help
shorten road routes and permit development without disturbing the existing landscape. The great majority of the
road tunnels constructed in Norway have been intended to improve transport conditions in rural district.
Before embarking on a tunnel project, there is always a discussion and debate in Norway on various mitigation
measures for keeping the road safe and open throughout the year. A simple cost benefit analysis is performed
taking into consideration the long-term benefits to the society as a whole. Very often, it is concluded that a tunnel
is the best long-term solution that provides a good communication link to overcome the rough Norwegian
topography with fjords and mountains where existing slope instability hazards exist (Grimstad, 1986). Some recent
examples of tunnels constructed in rugged Norwegian topography are presented below.
Laerdal Tunnel:
The Laerdal tunnel is the World's longest road tunnel with a length of 24.5 km. It was built to have an all year
connectivity between the two largest cities Oslo and Bergen through the European highway E16. The tunnel avoids
difficult mountain crossings, which are open only about 5 months annually, (Fig. 8) and make a ferry free
connection between Norway's two largest cities. There was no connection without a long ferry link that took
approximately 1 hour. Another improvement is that the inner part of the County Sogn and Fjordane has got a new
and safe link to Bergen, the capital of west Norway. The tunnel has a maximum overburden of 1450 m, which
corresponds to a vertical stress of approximately 39 MPa. During the excavation, spalling and rock burst were
observed in large parts of the tunnel. In areas with intensive spalling and rock burst, cracks were developed in the
sprayed concrete during construction, even when proper rock bolting was carried out. The cost of the tunnel, which
was completed in the year 2000, was about 1 billion NOK. Figure 9 shows the entrance and one of the safety
caverns allowing a U-turn for long vehicles inside the road tunnel. The Q-system was used to classify the rock and
the Norwegian Method of Tunneling (NMT) principles were used for the construction of the tunnel (Grimstad and
Kvale, 1999).

Fig. 8 Photos showing the summer road above the Laerdal tunnel (commons.wikimedia.org/wiki)

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Fig. 9 Entrance to Laerdal tunnel (left) and a safety cavern inside World's longest road tunnel (right)
Typical recorded rock mass qualities from the tunnel were:
RQD J r J 90  100 4 1 (3)
Q   w     0.6  0.7
Jn J a SRF 3 1 200
In the above case, very massive rock is affected by heavy spalling and rock burst immediately after blasting.
RQD J r J 80  100 1.5 1 (4)
Q   w     2.0  25
Jn J a SRF 6 1 2 1 5
In this case, no sign of stress could be observed at the face but deformations may occur and therefore the SRF
value is up to five.
The tunnel, which is one of many that lies along the European Route E16, allows uninhibited flow of traffic
while preserving the alpine environment of the region.
As mentioned earlier, many places in Norway, where natural hazards such as landslides and rock fall exist,
have been linked by tunnels. Some other examples are given underneath.
The Bjørkåstunnel was completed in 2016 to avoid rock fall hazards on an existing road in the south-west of
Norway. The Norwegian construction company Risa built the tunnel that is about 1.4 km long. Figure 10 clearly
shows the advantages of constructing such a tunnel for the safety of people by avoiding slope instabilities.

Fig. 10 Bjørkåstunnel bypassing hazardous rock fall areas along the coast
In the Himalayas, there exists many roads where half tunnels have been constructed (Fig.11). These roads
can be moved inside the mountain valley side by constructing tunnels similar to the Bjørkåstunnel.
Another example in Norway is the European highway number 6 (E6) Nordnes-Skardal tunnel to avoid rock
fall along the coastal road. This tunnel is close to the city of Tromsø, which is beyond the Arctic Circle. Figure 12
shows a map of the area and the frequent rock falls, which occurs on the road. The constructed tunnel is 5.8 km
long and has reduced the distance in E6 by 8 km. Figure 13 shows the constructed portal of the tunnel to bypass
rock fall areas.

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 Rajinder Bhasin, Arnstein Aarset, Rajbal Singh

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Fig. 11 Half tunnels in Himachal Pradesh, India

Fig. 12 Nordnesfjellet in North Norway near Tromsø, Rock fall on the road (Statensveivesen, Kåfjord commune)

Fig. 13 The entrance to Nordnes tunnel from the Mandalen side. (Photo: Jan Arild Hansen)
6. SPECIAL FEATURES OF THE NORWEGIAN TUNNELLING TECHNOLOGY
One of the key feature of Norwegian Tunneling Technology is that tunnel and cavern support selection is
based on the rock mass classification with the Q-system. The Q-system is designed to assist in feasibility studies,
site characterization when mapping rock exposures, and is used systematically once tunneling begins (Barton and
Grimstad, 2014). The Q-system, needs to be used by engineering geologists with some reliable training and
experience. Based on the Q-system and on the principles of Norwegian Tunneling, a single-shell support method
is advocated in contrast to the expensive double-shell NATM-style (New Austrian Tunneling Method) tunneling.
There are no contribution or consideration of any temporary supports in Norwegian Tunneling as in NATM. The
temporary support in Norwegian Tunneling is a part of the permanent support. In Norwegian Tunneling care is
taken in the choice and quality of rock support and reinforcement components which include bolting, fibre
reinforced shotcrete and if needed reinforced ribs of shotcrete (RRS). The use of steel sets is avoided in Norwegian
Tunneling and has been replaced by RRS, which requires experienced workmanship as shown in Fig. 14. The

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execution of RRS is described by Grimstad et al, 2003 and in NPRA Technology Report No. 2538 (2010). NGI
has instrumented several sections of RRS in tunnels and has numerically modelled RRS to verify and calibrate the
load and rock support requirements in tunnels (Bhasin et al., 1999). Arches can be built with curved pre-deformed
20 mm diameter rebars with the arch foot founded and anchored to the rock by long anchors or casting of the
invert. The above technology report also describes the execution of spiling bolts and forepoling in combination
with reinforced ribs of shotcrete (Fig. 15). The combined method ensures that spiling bolts will have anchoring
both inside the rock mass ahead of the blast round and in the shotcrete arch at the face (Berggren at al., 2014).
Cast-in-place invert slabs are described for Rock Mass Classes with extremely adverse rock mass quality.

Fig. 14 Section showing RRS and the execution of RRS in a tunnel in Oslo
(Grimstad et al., 2003 and NPRA, 2010)

Fig. 15 Principle of combined RRS and spiling bolts (NPRA 2010) (left), spiling bolts and
sprayed concrete in a tunnel in Norway (right)
7. TUNNEL SUPPORT STRATEGY IN SEISMIC REGIONS
In the Himalayas any tunnel support strategy should take into consideration the effect of seismicity in tunnels.
Barton (1984) advocated the use of simple rule of thumb to select appropriate rock reinforcement for underground
structures in seismic regions. Based on the Q-system of rock mass classification (Barton et al., 1974) it was
suggested that the rock mass quality number ‘Q’ in seismic regions may be assumed as half compared to Q-static
i.e.:
RQD J r Jw
Qseismic  1 Q static    (5)
2 Jn J a 2.SRF
The 50 % reduction of Q(static) obtained by assuming 2.SRF (equation 1) actually gives a 25% increase in
support pressure, due to the gradient of the slope in Fig. 16. This 25 % increase was surprisingly in the range of
15-44% increase in maximum axial force that was observed for seismic conditions through numerical modelling
studies (Bhasin et al., 2008). The above tunnel support strategy agreed well with the numerical studies carried out.
It is however, important to add that the use of rock mass reinforcement and tunnel support method such as the Q-
system will not be appropriate in cases where adverse geological features such as wedges or faults exists. Such
cases warrant special design of reinforcement based on the orientation and strength-deformation properties of the
geological features.

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Fig. 16 Seismic reduction of Q-value to obtain 25% increase in support pressure (Barton, 1984)
8. CONCLUSIONS
This paper has provided some examples of tunneling to bypass major landslide areas in the Himalayas and
in Norway. It is experienced that tunneling is a long-term environmental friendly solution to combat major
landslides in mountainous areas with rugged terrain. Several hundreds of kilometers of road and rail tunnels have
been built in Norway to combat major landslide and rock fall areas. Cost benefit analysis indicate that in some
cases the cost of building a tunnel can be repaid by savings in driving costs in about 5 years due to the reduced
driving distances. The other benefits of constructing tunnels in landslide areas include savings in time and
increased safety. More than 5000 kilometers of tunnels have been constructed in Norway over the past few decades
using Norwegian tunneling techniques. The application of updated rock support techniques including reinforced
ribs of shotcrete (RRS) has replaced the use of passive steel sets in underground support in Norway and the same
methodology is being applied in India very effectively. The use of single shell rock support technique in Norwegian
tunneling is considered fast, safe and cost effective. This technology has a good potential to be used for
underground excavations in the Himalayas.
REFERENCES
Barton, N., R. Lien and J. Lunde, 1974, "Engineering classification of rock masses for the design of tunnel
support", Rock Mechanics, Vol. 6, No. 4, pp. 189 236.
Barton, N., Grimstad, E., Aas, G., Opsahl, O.A., Bakken, A., Pedersen, L., and Johansen, E.D., 1992. Norwegian
Method of Tunneling, WT Focus on Norway, World Tunneling, June/August 1992.
Barton, N. and Grimstad, E. 2014. Tunnel and cavern support selection in Norway, based on rock mass
classification with the Q-system. Norwegian Tunneling Technology Publication No. 23, Norwegian Tunneling
Society.
Berggren, A., Nermoen, B., Kveen, A., Jakobsen, P.D. and Neby, A. 2014. Excavation and support methods,
Norwegian Tunneling Technology, Publication No. 23, Norwegian Tunneling Society.
Bhasin, R. and Løset, F. and Barton, N., (1999). Rock Support Performance of a Sub-Sea Tunnel in Western
Norway. Proc. third International Symposium on Sprayed Concrete Gol, Norway, September 1999, pp.58-69.
Bhasin, R., Grimstad, E., Larsen, J.O., Dhawan, A.K., Singh, R. and Verma, S.K. 2002. Landslide Hazards and
Mitigation Measures at Gangtok, Sikkim Himalaya. Engineering Geology, Vol. 64, pp. 351-368.
Bhasin, R., Pabst, T. and Aarset, A. 2016. Feasibility Studies for constructing road and rail tunnels in the
Himalayas. Keynote Lecture, Proc. INDOROCK 2016, IIT Bombay, June 17-18 2016, pp. 578-594.
Bhasin, R., Høeg, K., and Abokhalil, M. (2008) Effect of seismicity on rock support in tunnels. Proc. World Tunnel
Congress-2008, Underground Facilities for Better Environment and Safety, 22-24 September 2008, Agra,
India, pp. 530-540.
Goel, R.K., Singh, B. and Zhao, J. 2015, Underground Infrastructures, Planning, Design and Construction, Elsevier
publication, U.S.A.

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Grimstad, E., Barton, N. 1993. Updating the Q-system for NMT. International Symposium on Sprayed Concrete.
Fagernes, September 1993. Proceedings, pp. 46-66. Norsk Betongforening/NIF, Oslo 1993.
Grimstad, E. 1986. Rock-Burst problems in road tunnels. Norwegian Road Tunneling, Publication no. 4,
Norwegian Soil and Rock Engineering Association, Tapir Publishers, N-7034 Trondheim.
Grimstad, E. and Kvåle, J. 1999. The influence of Rock Stress and Support on the Depth of the Disturbed Zone in
the Lærdal Tunnel. A key to Differentiate the Rock Support. Proceedings pp. 341-346. ITA Conference, Oslo
June 1999.
Grimstad, E., Bhasin, R., Hagen, A.W., Kaynia, A. and Kankes, K., (2003) Q-system advance for sprayed lining.
Tunnels and Tunneling International (pp. 44-47), January 2003.
NGI, 2015. Using the Q-system, Rock mass classification and support design. Handbook, published at ww.ngi.no,
2015.
NPRA Norwegian Public Roads Administration. 2010. Technical Report No. 2538. Works ahead of the tunnel
face and rock support in road tunnels, NPRA, Oslo (Norwegian).

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 R.Keynote
D. Dwivedi

Tunnelling in Himalaya: A Case Study

R. D. DWIVEDI
CSIR-Central Institute of Mining and Fuel Research Regional Centre Roorkee, India
email: rddwivedi@hotmail.com

ABSTRACT: Tunnels are built going underground through hills with high rock cover otherwise these are con-
structed using cut & cover method especially in case low rock cover. The case of shallow or high rock cover is
decided based on influential extent of induced stresses around the tunnel boundary. However, decision of going
underground is usually taken in case of presence of important infrastructures on the ground surface like in metro
cities, influential geological structures (Nalla and river). Sometimes, the decision becomes complicated in low
cover area comprised of thick layer of boulders and fractured rock mass and bearing a huge Nalla at ground surface.
The present keynote discusses a case study of tunnel of 9m excavated diameter being excavated in Himalayan
region, where rock mass is comprised of boulders and highly fractured sandstone. The rock cover is about 18.88m.
Decision of cut & cover was taken considering main influential parameters.
1 INTRODUCTION
Open roads constructed besides hills are usually prone to landslides especially during rainy season and ava-
lanche at high altitudes in winter season. Such hill failures not only obstruct the traffic for several hours but also
claim number of lives and cause damage to passing by vehicles. In addition to this, the hilly roads provide longer
distances to cover between to places. In order to avoid the aforementioned accidents due to hill slope failures in
form of landslides and shorten the distances, tunnels are being constructed on highways and railways passing
through hills. Tunneling is a highly specialized field requiring a blend of technical knowledge, field experience
and engineering judgement (Indian Railways, 2012). Indian Railway is presently undertaking many challenging
railway projects in hilly terrains involving construction of many tunnels under difficult geological conditions. In-
dian Government has launched a special purpose vehicle named Rail Vikas Nigam Limited (RVNL) for such
infrastructural development. RVNL has undertaken some extremely geologically challenging railway projects in-
volving number of tunnels on the way. Rishikesh Karnaprayag rail link (125.2km) project and Bhanupali-Bilaspur-
Beri (B-B-B) rail link (63.1km) project are the broad-gauge rail projects among them. The rail links Rishikesh
Karnaprayag and B-B-B rail projects involves 17 tunnels (105km) and 20 tunnels (25km) respectively. The current
study is pertaining to the B-B-B rail link project. The entire tunnelling area of the B-B-B project falls in Shivalik
formations. The tunnels have traversed through fractured riverine material, sandstone, siltstone and claystone. The
tunnel stretches characterized by low cover zone have been constructed by cut & cover method.
2 GEOLOGY
The project area falls in Punjab and Himachal Pradesh. Bhanupali is in Punjab whereas Bilaspur and Beri
both are located in the state of Himachal Pradesh (Fig.1a). The entire project area is comprised of older alluvium,
newer alluvium, fluvial scree deposits, siwaliks (sand stone, clay shale and boulder/gravel beds), Dagshai for-
mation (silt stone and clay stone), Subathu (shales and quartzite), Makri (quartzite and dolomites), Tattapani For-
mation (dolomites and shale) and Sorgharwari formation (limestone and shale). The Siwaliks is further divided
into the Lower, Middle and Upper Siwalik Groups. The Lower Siwalik Group is characterized by medium grained
massive, hard sandstone interbedded with well-developed sandy clay stone of chocolate/maroon colour. The Mid-
dle Siwalik Group consisted predominantly of coarse grained, moderately compact sandstone and red claystone.
The Upper Siwalik Group comprises of poorly cemented conglomerate, loose gravel bed, sand rock, clay shales.
The project area falls under the seismic zone IV.

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Fig.1 Location plan of the project area.

Alignment of Tunnel 8 (T8) of the B-B-B railway project passes under low cover between Ch.25+680km
(T8P3) and 25+700km (T8P4). The tunnel has to be traversed through lower Shiwalik formations where sandstone
rock is exposed and bedrock is overlain by the cover of sandstone boulders. The aforementioned stretch of the
tunnel has to cross a prominent nalla above it which flows with its full capacity in the rainy season (Fig.2). Bedrock
encountering at Tunnel-8 Portal-3 & Portal-4 location exhibits three sets of joints in which bedding joint is more
prominent.

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Tunnel alignment

Fig. 2(a) Nalla location across the alignment of tunnel T8; (b) View of side slope of Nalla.
One borehole (BH-218) of NX-size was drilled at Ch. 25+673.851km close to one of the portals (T8P3) to
assess rock mass condition upto the formation level of the tunnel (Fig.3) near the proposed cut & cover portion.
The core log shows presence of boulders upto 3m depth. Below 3m upto 30m, there is highly fractured, moderately
and intensely weathered sandstone exhibiting nil rock quality designation (RQD) below depth of 10.50m. The rock
mass shows permeability of about 10-4 m/s. Water table was found to be at 11.2m depth (Fig.3).
Geotechnical investigation was carried out to determine the groundwater table and the engineering properties
of the rock in the cut & cover location. Data obtained from the core-log and testing of the cores in the laboratory
is summarized in Table 1, whereas picture of rock cores obtained from the depth upto depth of 28.5m has also been
given in Figures 4-7. Rock mass below ground is anticipated to fall under rock class IV & V. A good core recovery
(46-94.7%) was observed whereas RQD was obtained very poor i.e., (0-24.67%). Rock mass at tunnel grade
(18.88m) shows nil RQD. Strength of intact rock is also very poor (15-25MPa) as shown in Table 1. The rock
exhibits cohesion and angle of internal friction as 63-91kPa and 15-25o respectively.

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Fig.3 Geological log of BH-218.

Table 1 Information obtained from the core log of BH 218 (Altinok-Lion, 2023).
Overburden material 0-3m Bulk density 2.28 g/cc
Bed rock 3-30m Dry density 2.26 g/cc
Core recovery 46-94.7% UCS 15-25MPa
RQD 0-24.67% Rock type Moderately to completely
weathered sandstone
Cohesion 63-91kPa Angle of friction 15-25o

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Fig.4 Core logs of depth 0-7.5m. Fig.5 Core logs of depth 7.5-13.5m.

Fig.6 Core logs of depth 13.50-19.5m. Fig.7 Core logs of depth 19.5-28.5m.

3 DECISIONS OF CUT & COVER METHOD

The nalla crosses the alignment at a shallow bed level with 10.88m rock cover above crown of the tunnel at
Ch. 25+700km (Fig. 2a & b and 8). This is added with weak geological strata along with water table at 11.20m
near the crown. Generally, low cover zone is considered the places where rock cover above the tunnel is less than
twice the excavated diameter of the tunnel and cut & cover method of excavation is followed for tunnelling. In the
present study also, the rock cover (10.88m) is less than the twice the excavated diameter (2 x 9m) of the rail tunnel
(Fig.8). In such type of situation, it is wise decision to go underground without disturbing the course of nalla so
that it neither could affect the construction of the tunnel nor the ground surface. This decision would be better if
rock mass around the tunnel boundary were of good quality. But in this case, the rock mass is highly fractured and
presence of water table just above the tunnel crown may lead to high inrush of water into tunnel during construction
and even it may inundate the entire tunnel especially in rainy season. Such inrush of water saturates the rock mass
above the tunnel and the saturated weathered rock mass may start increasing the dead load on the tunnel supports
which may lead to excessive tunnel deformation. Thus, it would require management of risk during construction
stage. In such situations, the two workable options could be there; (i) going by cut & cover or (ii) by adopting pre-
excavation support system like pipe-roofing. As the water table is present just above the tunnel crown, water man-
agement during excavation f the tunnel would be highly difficult and expensive (CIMFR, 2023). Additionally, the
situation may be extremely averse in rainy season due high-water seepage into tunnel. Highly weathered rock mass
mixed with water may pose constructional problem by pipe-roofing, whereas it can be easily managed using cut
& cover method of excavation. Further, cut & cover method shall increase advance rate of the tunnel with the
availability of two additional work faces. In addition to this, a cost comparison in these two options can also be a
governing factor. Cut and cover method of tunnelling would be more economical as compared to the underground
tunnelling inn this case as it eliminates costly support systems like pipe-roofing. To restore the lithology of the
affected ground shall be done by reconstructing the nalla along the pre-existing course and the area shall be vege-
tated by seeding suiting to the climate and soil there.

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Fig.8 Location of Nalla on ground surface with respect to the tunnel.

Fig.9 Pipe roofing at one of the tunnel portals in cut & cover section.

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Fig.10 View of both tunnel portals in cut & cover section.

4 CONCLUSIONS
Due to presence of highly fractured rock mass with water table above the tunnel crown, decision of cut &
cover method of excavation has been taken to construct the tunnel below nalla in order to avoid water inrush
problem during construction of the tunnel. The decided method of excavation would also be economical over going
underground because costly support systems like pipe-roofing and self-drilling anchors are avoided in cut & cover
method of excavation unlike in the case of underground tunnel. After construction of the tunnel frames in cut &
cover portion, the entire dug stretch is filled and covered with fragmented rock mass and soil. Thus, the lithology
of the affected ground surface would be rehabilitated by seeding suiting to the climate and soil and the course of
nalla shall also be restored.
REFERENCES
Indian Railways (2012). Guide Lines for Design and Construction of Tunnels, RDSO, Lucknow, India.
Altinok-Lion (2023). Slope Stability Analysis for Portal Excavation for Tunnel 8 Portal-3 and Portal-4. Altinok-
Loin internal report R-P – 006– 01.
CIMFR (2023). Site Visit Note. Submitted to RVNL, Chandigarh, 18-21 Jan 2023.

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 Keynotefor Safe & Sustainable Development
Harnessing the Power of Geophysics
of Underground Space

Harnessing the Power of Geophysics for Safe & Sustainable Development of

Underground Space

SANJAY RANA 1,2*, VARUN NARAYAN MISHRA1, PRAVEEN KUMAR RAI3

1
Amity Institute of Geoinformatics and Remote Sensing (AIGIRS), Amity University, Sector 125, Noida, India
2
PARSAN Overseas Pvt. Ltd., New Delhi, India
3
K.M.C. Language University (U.P. State Govt. University), Lucknow, India
email: sanjay@parsan.biz

ABSTRACT: This paper aims to provide an in-depth exploration of the robust capabilities that geophysical
methods bring to the table in the conception, implementation, and supervision of sustainable development ventures
in underground spaces, specifically for urban infrastructures and transportation tunnels such as highways and
railways. As we encounter rapid urbanization and densification of cities, utilizing the potential of the underground
space has become increasingly significant. However, this vertical expansion is not without challenges and risks
associated with ground stability, groundwater interactions, and potential geological hazards.
Geophysics offers a broad spectrum of non-invasive, cost-effective methods for thorough subsurface
investigation, thus enabling engineers and city planners to make informed decisions, ensuring safer designs, and
reducing unforeseen complications during construction.
In the comprehensive paper that follows, we will examine several key application areas where geophysics
has proven instrumental. These include preliminary site investigation, detection of potential geological hazards,
groundwater investigation, design and planning of underground structures, monitoring and management of
ongoing construction, and post-construction evaluation. The paper underscores the value of an integrated
geophysical approach in the creation and management of underground structures, with a specific focus on their
impact on urban development.
Through these explorations, we aim to demonstrate the unique benefits of geophysics, not only in the
efficient use of underground space and managing geological risks but also in promoting a more sustainable and
environmentally friendly approach to urban development. The ultimate goal is to underscore the crucial role of
geophysics in unlocking the sustainable potential of urban underground spaces, contributing to the resilience and
sustainability of our future cities. This will be further substantiated through a series of case studies, providing
practical insights into the implementation of geophysical techniques in real-world scenarios.
Keywords: Geophysics, Underground Infrastructure, Tunnel Construction, Geological Hazards, Groundwater
Investigation, Geophysical Monitoring, Structural Integrity, Sustainable Development
1. INTRODUCTION
The swift pace of global urbanization brings with it an urgent need for space and resources, driving the search
beneath our cities and into the world of underground infrastructure and transportation tunnels. This vertical
expansion, however, comes with a complex array of challenges - ground stability, interaction with groundwater,
possible impacts on existing structures, and potential geological hazards being the most prominent among them.
Traditional methods of exploration and construction often come up short in effectively addressing these issues,
paving the way for geophysics to take center stage in this crucial process.
Geophysics offers a suite of non-invasive, cost-effective tools that allow for a detailed investigation of the
subsurface [1]. By creating a comprehensive image of the ground beneath our feet, geophysical methods offer
data continuity, bringing a level of depth and resolution to the planning process that is not possible with traditional
methods. The data gathered can identify potential challenges such as zones of weak or fractured rock, fault lines,
water-bearing strata, or anomalous geological structures. Such insights are invaluable for designing safe and
effective tunnelling strategies, thereby reducing project risks and costs [2].
Drilling methods, while effective for providing precise data at specific points, fail to offer a comprehensive
picture of the subsurface. They leave large sections of ground between drill holes un-investigated, creating
potential blind spots for unexpected geological features or hazards.
On the other hand, geophysical methods can provide a continuous profile of the subsurface, covering the
areas between the drill points and reducing the risk of unforeseen problems. This significantly improves the safety
and efficiency of the construction process by minimizing the chances of encountering unexpected geological
conditions during construction.
Furthermore, geophysical methods bring optimization to traditional practices like drilling. By providing an
initial assessment of the subsurface, they can help determine the best locations for drilling, thus reducing the
number of boreholes needed and leading to significant cost savings. Geophysics also helps to minimize the

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environmental footprint of the investigation process by reducing the need for invasive methods such as drilling,
which can cause surface and subsurface disturbance [2].
In addition to providing a better understanding of the subsurface, geophysics also aids in the design and
construction stages of underground infrastructure. From predicting the behaviour of surrounding rocks and soil
during and after excavation to monitoring the ongoing stability of the underground structure, geophysical methods
play a vital role in ensuring the safety and sustainability of underground spaces. In contrast to traditional
exploratory techniques, geophysics can provide a comprehensive view of the subsurface conditions, offering the
potential for early detection of issues that could impact the project schedule or budget [3].
In the subsequent sections, we will discuss the various application areas of geophysics in the planning,
construction, and management of underground infrastructures and transportation tunnels, highlighting how these
methods contribute to safe and sustainable urban development.
2. PRELIMINARY SITE INVESTIGATION
Preliminary site investigation is a vital stage in underground infrastructure development. It involves
gathering information about the geological and geotechnical conditions of a site to guide subsequent design and
construction processes. Geophysical methods are crucial in this phase because they provide a non-destructive
means of assessing the subsurface in a comprehensive and cost-effective manner [2]. Several geophysical
techniques commonly employed in this phase include:
2.1 Heliborne Time Domain Electro-Magnetic Method (TDEM)
TDEM is a dynamic geophysical approach known for its ability to swiftly survey large expanses, thereby
efficiently gathering data about subsurface conditions. TDEM operates by leveraging electromagnetic fields to
stimulate currents within the ground. The secondary magnetic fields arising from these currents are then recorded
and analysed by the system's receiver, which offers insights into the electrical conductivity of the subsurface [4].
In the context of tunnel construction and underground space development, TDEM proves invaluable in
detecting inconsistencies in subsurface conductivity that may hint at the existence of diverse geological
formations. This could include zones containing water or areas with less durable rock layers. Understanding these
potential obstacles is fundamental for anticipating difficulties that could emerge during tunnel excavation and for
crafting appropriate countermeasures.

Figure-1: Working Principle of Heliborne TDEM [4]

2.2 Seismic Refraction

Seismic refraction is a common geophysical method used to map the subsurface geology by analysing the
travel times of seismic waves refracted at the interfaces between geological layers. The technique provides

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 Harnessing the Power of Geophysics for Safe & Sustainable Development
of Underground Space

valuable data about the depth and velocity of seismic waves in various layers, helping to determine the depth to
bedrock and the overlying soil layers' thickness. This information is particularly critical in planning underground
structures as it directly affects design considerations and construction methods [1].

Figure-2: SRT Profile Revealing Highly Undulating Topography of Rock, and Abrupt Thickening of
Overburden/ Weathered Zone [5]

2.3 Gravity Surveys

Gravity surveys are used to detect variations in the Earth's gravitational field related to changes in the
subsurface density [1]. Dense subsurface features such as bedrock or buried metallic objects create a higher
gravitational pull, while less dense features like voids or tunnels result in a lower gravitational pull. By mapping
these variations, gravity surveys can identify key subsurface features, including the depth and shape of bedrock,
which are critical for the design and construction of underground infrastructure.
2.4 Magnetic Surveys
Magnetic surveys measure the Earth's magnetic field's local variations caused by the magnetic properties of
subsurface geological formations [1]. They are often used to detect buried ferrous (iron-containing) objects and
changes in geological structures, which could impact the construction of underground spaces. For example, if the
survey detects a sudden change in the magnetic field, it could indicate a subsurface feature such as a fault line or
a buried metallic object that needs to be taken into account during the design process.
2.5 Electrical Resistivity Tomography (ERT)
ERT is a geophysical method used to determine the electrical resistivity of the subsurface, which can provide
valuable information about the geological structure, groundwater, and potential geological hazards. By injecting
an electric current into the ground and measuring the resultant potential field, this technique can identify variations
in the resistivity of different layers, indicating changes in material properties. For instance, clay has high
resistivity, while gravel has low resistivity. These differences can be used to create a detailed picture of the
subsurface geology and water table, guiding the design and construction process.

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Figure-3: Shear Zone Detection Using ERI in a Tunnel Project [6]

By employing these geophysical methods in the preliminary site investigation stage, underground
infrastructure developers can gather crucial data about the subsurface. This information helps minimize risks and
uncertainties, leading to more efficient, safe, and sustainable underground development projects.
3. DETECTION OF POTENTIAL GEOLOGICAL HAZARDS
Underground infrastructure development necessitates a thorough understanding of subsurface conditions to
ensure safety and sustainability. Potential geological hazards pose a significant risk to the successful execution
and operation of these structures. Geophysical methods serve as essential tools to identify and characterize these
hazards before construction begins. Key methods include:
3.1 Ground Penetrating Radar (GPR)
GPR uses electromagnetic waves to detect and map subsurface structures and features. When these waves
encounter a boundary between materials with different electrical properties, they are reflected back to the surface.
By analysing these reflections, we can determine the depth and nature of the subsurface features. GPR is especially
valuable for identifying shallow subsurface features like voids, sinkholes, and buried utilities which could
compromise the structural integrity of an underground project.
3.2 Microgravity
Microgravity surveys measure subtle changes in the Earth's gravity field that can be associated with
variations in subsurface density. These changes could indicate voids, subsurface cavities, or old mine workings
which are potential hazards for underground construction. Microgravity surveys can thus help in identifying such
issues early, allowing for proper planning and remediation.
3.3 Electrical Resistivity Tomography (ERT)
As mentioned earlier, ERT measures the subsurface’ s electrical resistivity, offering an effective way to detect
potential hazards. By providing detailed cross-sections of the subsurface, it can reveal potential issues such as
water-bearing fractures, voids, or areas of poor-quality rock. By detecting these hazards early, project planners
can either redesign to avoid them or plan for necessary mitigation measures.
3.3 Seismic Methods
Seismic methods, including seismic reflection and refraction, can be used to detect faults, fractures, and
weak zones. These structures are potential geological hazards, especially in tunnelling and the development of
underground spaces, where they can result in ground instability or water ingress [7].
Understanding potential geological hazards is essential to mitigate risks and implement effective safety measures
during construction. By harnessing the power of geophysics, we can ensure safer, more sustainable underground
development projects.
4. GROUNDWATER INVESTIGATION
Understanding the subsurface hydrogeological framework is a critical aspect of any underground
infrastructure project. Interactions with groundwater during construction can lead to a range of complications,

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from structural instability and flooding to environmental issues such as the disturbance of existing aquifers.
Therefore, an accurate investigation of groundwater conditions using geophysical techniques becomes essential.
Two primary methods used for groundwater investigations are Electrical Resistivity and Electromagnetic (EM)
methods.
4.1 Electrical Resistivity Tomography (ERT)
Electrical Resistivity Tomography is a versatile geophysical method used extensively in groundwater
investigations. It operates by injecting an electric current into the ground and measuring the resultant potential
field. Different materials have different resistivities, and these variations can be used to infer the geological
structure and moisture content of the subsurface.
Water-bearing strata (aquifers) usually have lower resistivity compared to surrounding dry layers due to the
conductivity of water, particularly if it is mineral-rich. Thus, ERT can provide a detailed picture of aquifer
locations, their depths, and extents. It can also detect the water table and variations in its depth across the site,
critical information for planning and managing any underground construction.
4.2 Electromagnetic (EM) Methods
EM methods, including both Frequency Domain EM (FDEM) and Time Domain EM (TDEM), are another
set of tools used to map groundwater conditions. These methods measure the ground's response to an
electromagnetic field, which is affected by subsurface materials' electrical conductivity [1].
Conductive materials (like clay or saline groundwater) generate a strong response, while resistive materials
(like dry sand or fresh groundwater) generate a weaker response. By mapping these responses, EM methods can
provide information about aquifer presence, groundwater salinity, and depth to the water table.
By effectively utilizing these geophysical methods, a comprehensive understanding of the subsurface
hydrogeological framework can be developed. This understanding aids in designing underground structures,
ensuring measures are taken to prevent water ingress, and helping to avoid disruption to aquifers and groundwater
systems. Thus, geophysical methods facilitate the creation of safer, more sustainable, and environmentally friendly
underground infrastructure.
5. DESIGN AND PLANNING OF UNDERGROUND STRUCTURES
The design and planning phase of any underground infrastructure project is crucial as it sets the foundation
for the success of the entire project. Leveraging geophysical techniques during this stage enables the creation of
safer, more sustainable designs by providing detailed knowledge of the subsurface conditions. This knowledge
guides important decisions such as the optimal route and depth for tunnels and underground spaces, enabling the
avoidance of geological hazards and high groundwater areas.
5.1 Route and Depth Optimization
Optimizing the route of a tunnel involves deciding the most efficient and safe path for the tunnel in terms of
cost, safety, and environmental impact. Here, geophysical techniques like Heliborne TDEM, seismic refraction
and reflection, gravity and magnetic surveys, and GPR become critical tools. They provide comprehensive
subsurface images which reveal the location of geological hazards, such as fault zones, voids, or areas of poor-
quality rock that should be avoided. This information guides the path selection for the tunnel, ensuring a route
with the least potential for structural issues or construction delays.
The depth of the tunnel is also a critical aspect of its design. If a tunnel is too shallow, it could disrupt surface
structures or utilities; if it is too deep, it might encounter high-pressure groundwater or geothermal gradients which
can cause technical complications and increase construction costs. Techniques like ERT and EM methods can help
determine the depth to groundwater or bedrock, guiding the optimal depth selection for the tunnel.
5.2 Ground Stability Analysis
Understanding the ground's stability is crucial for designing underground structures. Geophysical techniques
can help predict the behaviour of the surrounding rocks and soil during and after excavation, which is critical for
ensuring the long-term stability of the structure. Techniques such as MASW (Multichannel Analysis of Surface
Waves) and downhole seismic testing provide information about the shear strength and stiffness of the ground,
contributing to the overall understanding of ground behaviour under stress.
5.3 Pre-Construction Groundwater Management
As we have discussed earlier, geophysical techniques are vital tools for groundwater investigation. Having
a detailed understanding of the subsurface hydrogeology is necessary for developing effective groundwater
management strategies, such as dewatering or grouting, during the construction phase.
Geophysical methods are integral to the design and planning of underground structures. By providing a detailed
picture of the subsurface conditions, they help optimize the tunnel route and depth, assess ground stability, and

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manage groundwater effectively. This leads to safer, more efficient, and sustainable underground construction
projects.
6. MONITORING AND MANAGEMENT OF UNDERGROUND CONSTRUCTION
Once construction of an underground project begins, the role of geophysics remains critical, not just in
facilitating construction, but also in ensuring the ongoing stability, safety, and overall progress of the underground
structure. The geophysical investigations offer real-time, continuous monitoring of subsurface conditions, thereby
enabling informed decision-making and effective management of potential risks. Notable techniques employed
during the construction phase encompass acoustic emission monitoring, geodetic surveying, Tunnel Seismic
Prediction (TSP), Bore Tunneling Electrical Ahead Monitoring (BEAM), and Ground Penetrating Radar (GPR).
These methods collectively contribute to an efficient and safe construction process, underscoring the ongoing
necessity of geophysics throughout the lifecycle of an underground project.
6.1 Acoustic Emission Monitoring
Acoustic emission monitoring is a powerful technique for assessing the stability of underground structures
during construction. It involves the detection and analysis of stress waves produced by the subsurface strata in
response to excavation activities. These stress waves, or 'acoustic emissions,' are typically caused by the sudden
release of strain energy in materials due to changes such as cracking, faulting, or rock bursts.
The real-time detection and analysis of these emissions can provide early warnings of possible ground failure,
allowing for timely remedial action. In addition, acoustic emission monitoring can help identify zones of high
stress in the rock mass surrounding the excavation, contributing to the overall safety and stability of the
underground structure.
6.2 Geodetic Surveying
Geodetic surveying is another critical technique (though not strictly categorised as a geophysical method)
used in the monitoring of underground construction projects. It involves precise measurements of the Earth's
surface to monitor any deformations or displacements that may occur due to the construction activities.
Geodetic techniques, such as Global Navigation Satellite Systems (GNSS) and Interferometric Synthetic
Aperture Radar (InSAR), can provide continuous, high-precision monitoring of the ground surface and
surrounding structures. Any changes in these measurements can indicate ground movement or subsidence, which
may suggest problems with the underground construction.
Geodetic surveying is particularly important in urban environments, where the impact of underground
construction on surrounding buildings, utilities, and other infrastructure is a major concern. By providing early
detection of ground movement, geodetic monitoring enables timely interventions to prevent damage to
surrounding structures and ensure the safe progress of construction.
6.3 Groundwater Monitoring
Groundwater can exert pressure on the structure and cause seepage or flooding issues during construction.
Techniques such as ERT and EM methods can be used to continuously monitor changes in groundwater levels and
detect any unexpected water ingress.
6.4 Tunnel Seismic Prediction (TSP)
Tunnel Seismic Prediction (TSP) is an active geophysical method used in tunnel construction to detect
geological and hydrogeological hazards before reaching them. TSP works by creating seismic waves inside the
tunnel, which are then picked up by sensors. These waves are analyzed to give information about the geological
conditions up to 50 to 200 meters in front of the tunnel face, depending on the area's geology [8].
This early detection system helps engineers spot possible problems, like fractures filled with water or weak rock
layers before the digging reaches them. This vital information allows for adjustments to the construction plan as
needed, helping to reduce risks and prevent potential delays or accidents.
6.5 Bore Tunneling Electrical Ahead Monitoring (BEAM)
Bore Tunneling Electrical Ahead Monitoring (BEAM) is another robust technique used to examine the
geological conditions ahead of the tunnel face during construction. BEAM operates using electrical resistivity and
induced polarization to identify changes in the subsurface. By sending an electrical current into the ground and
measuring the resulting potential difference, BEAM can pinpoint irregularities that might suggest potential
hazards, like water-filled areas or weak formations [9].
The foresight provided by BEAM lets construction teams take early preventive action, alter the tunnel design
when required, and manage the construction process more efficiently. This can reduce the likelihood of delays or
safety risks.

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Figure-4: BEAM results in real time in terms of Resistivity and PFE (percentage Frequency Effect) and resultant
formation classification [9]
6.7 Ground Penetrating Radar (GPR)
Ground Penetrating Radar (GPR) is a flexible geophysical method often employed during the construction
phase of tunnel projects. GPR works by sending high-frequency radio waves into the ground, with the reflected
signals helping to generate images of what lies beneath the surface. This method can identify shifts in material
properties, like a change from solid rock to a zone of softer soil.
In the context of tunnel construction, GPR is frequently used to verify the quality of the tunnel lining and to
spot any inconsistencies in the subsurface, such as voids or fractures, during the build. This data can prompt
immediate corrective measures, ensuring the tunnel's structural soundness and the safety of the construction
process.
By effectively harnessing these geophysical techniques, underground construction can be continuously
monitored and managed, ensuring safety, structural integrity, and timely progress of the project. Geophysical
methods are, therefore, crucial not only in the planning and design of underground infrastructure but also
throughout the construction phase.
7. POST-CONSTRUCTION EVALUATION
Post-construction evaluation is an integral part of the life cycle of any underground infrastructure project.
Geophysical methods can continue to provide valuable insights into the long-term stability and integrity of the
structure, any changes in groundwater conditions, or shifts in geological stability. Continuous monitoring ensures
that potential issues are detected early, preventing catastrophic failures and ensuring the structure's continued safe
operation.
7.1 Structural Integrity Monitoring
The structural integrity of tunnels and other underground structures can be continuously monitored using
techniques like Ground Penetrating Radar (GPR), seismic methods, and acoustic emission monitoring. GPR can
detect changes within the structure, such as voids or delamination, that may indicate weakening of the structure
over time. Similarly, seismic methods and acoustic emission monitoring can detect changes in the stress state of
the surrounding rock mass, which could lead to instability if not addressed.

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Figure-6: GPR results showing RCC-Air interface, grouting hole and metal plate (test)
7.2 Groundwater and Geological Stability Monitoring
Long-term monitoring of groundwater conditions is crucial to prevent water ingress that could compromise
the structure. Techniques like Electrical Resistivity Tomography (ERT) and Electromagnetic (EM) methods can
continue to monitor the depth and extent of aquifers and changes in groundwater levels. Any substantial shifts can
be detected, and remedial actions can be implemented in a timely manner.
Similarly, any shifts in geological stability, such as ground movement, subsidence, or the development of new
fault lines, can be monitored using techniques like geodetic surveying, seismic methods, and gravity surveys.
Continuous monitoring allows for early detection of such changes, ensuring that preventative or remedial actions
can be taken promptly to maintain safety.
7.3 Routine Inspections and Maintenance
In addition to continuous monitoring, geophysical methods can be employed in routine inspections and
maintenance of the underground structure. These techniques can provide a non-destructive means of inspecting
the structure, identifying potential issues such as water ingress, structural weaknesses, or changes in the
surrounding geological conditions. Based on these inspections, necessary maintenance work can be planned and
executed to ensure the structure's longevity and safety.
Post-construction evaluation and monitoring using geophysical methods are vital for the safe, long-term operation
of underground structures. These techniques enable early detection of potential issues and guide routine
maintenance work, ensuring the longevity and continued safety of the structure.
8. CAPABILITIES AND LIMITATIONS OF GEOPHYSICS
The application of geophysics in underground infrastructure projects presents a wide range of capabilities
that can significantly improve the project's safety, sustainability, and cost-effectiveness. However, these methods
also come with certain limitations that must be acknowledged for effective use. Identifying the appropriate stages
for deployment of these methods is crucial for maximizing return on investment.
8.1 Capabilities of Geophysics
Geophysical methods have the unique capability of providing continuous, non-destructive insights into the
subsurface conditions. From mapping geological and hydrogeological structures, to detecting potential hazards
and monitoring structural stability, geophysics plays a vital role at every stage of an underground project:
 Pre-Construction Phase: During the preliminary site investigation, geophysical methods can provide
comprehensive, high-resolution subsurface images that can significantly enhance the understanding of
the site conditions and minimize risks. Methods such as TDEM, ERT, GPR, seismic reflection and
refraction, and microgravity can be used to identify geological hazards and groundwater conditions. This
information is crucial for designing and planning safe, sustainable underground structures.
 Construction Phase: During construction, geophysical monitoring techniques, including acoustic
emission monitoring and geodetic surveying, can ensure the ongoing safety and stability of the structure.
Real-time monitoring can provide early warnings of potential issues, allowing for timely remedial action.
 Post-Construction Phase: After construction, geophysical methods continue to play a critical role in
monitoring the long-term stability and integrity of the structure, groundwater conditions, and geological
stability. Routine inspections and maintenance work can also be guided by these techniques, ensuring the
structure's longevity and safety.

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8.2 Limitations of Geophysics

While geophysical methods offer numerous advantages, they are not without their limitations:
 Geophysical surveys generally provide indirect measurements of subsurface properties, and their results
often require interpretation, which introduces a degree of uncertainty.
 The resolution and depth penetration of geophysical methods can vary widely depending on the specific
technique and local geological conditions. For instance, GPR is excellent for identifying shallow
subsurface features but may have limited effectiveness in areas with high electrical conductivity, such as
clayey soils or areas with saline groundwater.
 Certain methods require specific conditions for optimal results. For instance, seismic methods rely on
the propagation of seismic waves, which can be significantly affected by local ground conditions.
8.3 Optimizing Geophysical Deployment
To ensure maximum return on investment, geophysical methods should ideally be deployed at all stages of
an underground project, from preliminary site investigation to post-construction evaluation. However, the specific
methods and extent of geophysical surveying will depend on the project's specific requirements, budget, and
associated risks.
In the early stages, geophysics can provide a comprehensive understanding of the site conditions and
minimize risks. During construction, continuous monitoring can provide real-time insights into the project's safety
and progress. Post-construction, geophysical methods can ensure the structure's long-term stability and guide
maintenance work.
Nevertheless, the precise choice of geophysical methods should be guided by a cost-benefit analysis,
considering the project's complexity, associated risks, and the specific capabilities and limitations of each method.
An integrated approach, combining multiple geophysical methods and corroborating them with other investigation
methods such as drilling and laboratory testing, often provides the best results.
9. CONCLUSIONS
The application of geophysical methods in the development of underground space for urban infrastructure
and tunnel construction has proven to be a powerful tool, enabling safe and sustainable design and operation of
these structures. Geophysical techniques, such as seismic reflection and refraction, GPR, ERT, acoustic emission
monitoring, and geodetic surveying, provide continuous and non-destructive insights into the subsurface
conditions, both before and during construction, and into the long-term stability of the structures post-
construction.
The benefits of incorporating geophysics into underground projects are numerous. From preliminary site
investigation, through construction, and into long-term operation and maintenance, geophysical methods offer
cost-effective, high-resolution, and continuous data that can significantly reduce risks and improve the safety,
sustainability, and efficiency of the project.
However, the successful application of geophysics does not come without its challenges. The inherent
uncertainties in geophysical measurements, variable resolution and depth penetration, and the dependence on
specific ground conditions for certain techniques are limitations that need to be carefully managed. Further, while
the cost of geophysical surveys can be offset by the reduction in project risks and improved efficiency, the initial
investment required can be significant.
Therefore, the strategic deployment of geophysical methods at the appropriate stages of the project is crucial
for maximizing the return on investment. An integrated approach, which combines multiple geophysical
techniques and corroborates the results with other investigation methods such as drilling and laboratory testing,
often provides the most reliable and comprehensive understanding of the subsurface conditions.
In conclusion, harnessing the power of geophysics can greatly enhance the safe and sustainable development
of underground space for urban infrastructure and tunnel construction. As our urban areas continue to grow and
the demand for underground space increases, the role of geophysics will undoubtedly become even more critical.
The key to success lies in a balanced and integrated approach, which combines the power of geophysics with
traditional engineering methods, to safely and sustainably unlock the potential of the world beneath our feet.
REFERENCES
[1] W. M. Telford, L. P. Eldart and R. E. Sheriff, “Applied Geophysics,” 2nd Edition, Cambridge University Press,
Cambridge, 2004.
[2] Rana, Sanjay. "Advancement in Geophysical Investigations for Tunnels." TAI Journal (A Half Yearly Technical
Journal of Indian Chapter of TAI) 7.1 (2018): 14-20.
[3] Ishola, K. S., et al. "Relevance of Integrated Geophysical Methods for Site Characterization in Construction
Industry--A Case of Apa in Badagry, Lagos State, Nigeria." Pertanika Journal of Science & Technology 22.2
(2014).

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[4] Pfaffhuber, A. A., et al. "Airborne EM mapping of rockslides and tunneling hazards." The Leading Edge 29.8
(2010): 956-959.
[5] Rana, Sanjay. "Project Report- Seismic Refraction Tomography, State of Himachal Pradesh, India"
[6] Rana, Sanjay. "Project Report- Detection of Shear Zone Along Tunnel Route, State of Jammu & Kashmir,
India"
[7] Azwin, I. N., Rosli Saad, and M. Nordiana. "Applying the seismic refraction tomography for site
characterization." APCBEE procedia 5 (2013): 227-231.
[8] Lin, Chun Jin, and Shu Cai Li. "Tunnel Seismic Prediction (TSP) and its application in tunnel engineering."
Applied Mechanics and Materials 501 (2014): 1779-1782.
[9] Kaus, Arnim, and Wolf Boening. "BEAM–Geoelectrical Ahead Monitoring for TBM‐Drives." Geomechanik
und Tunnelbau: Geomechanik und Tunnelbau 1.5 (2008): 442-449.

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 Keynote
Brief overview of Norwegian Tunnelling Technology including Projects and Equipment

Brief overview of Norwegian Tunnelling Technology including Projects and Equipment

ARNSTEIN AARSET1, RAJINDER BHASIN1

1
Norwegian Geotechnical Institute
e-mail: rkb@ngi.no

ABSTRACT: In Norway a large number of hydropower projects involving underground structures including head
race tunnels, road and rail tunnels and underground powerhouses have been designed using the NGI developed
rock mass classification scheme the Q-system. This has proven to be a powerful design aid for underground
structures throughout the world. When the Q-system is combined with other tools such as geophysical
investigations and numerical modelling, a high level of confidence is obtained in the design of these structures.
One of the key components of the Norwegian Method of Tunneling (NMT), is the application of reinforced
ribs of shotcrete (RRS) as rock support in tunnels. RRS is considered as both cost efficient and more flexible in
application because it is not prefabricated. The Norwegian contractors are experienced in utilizing some of the
most modern equipments and tools for construction of tunnels. This paper provides a brief overview of Norwegian
tunnelling technology including some major projects, which have been successfully completed utilizing the state-
of-art equipment used by the contractors.

Keywords: Tunnelling equipment, Q-system, Rock support, Norwegian Technology

1 INTRODUCTION
Usually, detailed feasibility studies are often warranted and conducted before the commencement of an
important infrastructure project such as a road or rail tunnel in Norway. The purpose of such a study is to gain an
insight to the rock mass conditions for stability purposes, rock support requirements, for proper planning of
construction and much more. Not conducting these investigations may lead to significant delays and cost over-
runs. Modern tools and methods, such as scanning of tunnel faces, and utilization of modern equipment, such as
high capacity robotic spraying have in tunnelling have significantly advanced the driving rate of tunnels.
This paper presents some projects where the NGI developed Q-system (Barton et al, 1974, NGI 2017) is used
for rock mass characterization for design of underground structures. Often, the empirical approach is combined
with numerical modelling to optimise the rock support in the tunnel to make the tunnel cost efficient. Furthermore,
modern equipment is utilized for the construction of tunnels which saves both time and costs during construction.
2 MODERN TUNNELLING EQUIPMENT
The Norwegian tunnel contract have today a modern and up-to-date fleet of machines for tunnelling (NFF,
2017). It’s common that they possess the machines and rent the machines out internally to the projects. They have
in general good knowledge about the machines and they service them well to protect the investment, but more
important; safeguard high continuous production! High efficiency is key to run a financially good project, but there
are also many other causes for the selection of machines you will find on a Norwegian tunnelling project. Health
and safety is always a high priority. High level of automation, like use of rod handling systems on the tunnelling
drill rig, is very common. If you can use automation to reduce human interference you will for sure have less
accidents. To have a small team working at the face that can perform several different tasks is another important
cost saving factor. If you have the right type of equipment you can for sure manage with less hands. The clients
demand for high quality and good reporting during the lifetime of the project is another strong factor that will
influence the choice of machines and how well they are equipped (NFF, 2017).
2.1 Tunneling drill rigs
Tunneling drill rig with three booms and service basket are common to use on an infra-structure project with
larger cross section. It is essential to cover the width and height in one setup and to navigate fast. A total station
or profiler is used for navigation. You will also scan the profile to make sure you don’t have underbreak or
overbreak. The profiler is operated by the operator. The hard rock demands use of high efficiency rock drills to
get an acceptable penetration rate. The current used is 1000 Volt. Almost all tunnelling drill rigs have 20’ feeds to
make a theoretical blast depth of almost six meters. The drill rigs have highest automation enabling several holes
to be drilled without interference of the operator. You will save time, get good fragmentation and a nice contour.
A good fully automatic rod handling system is important, the time spent on long hole drilling can be a big part of
the total time spent for one cycle. Charging is done from the service basket on the tunnelling drill rig (see Fig.1).
In the service basket you will have hydraulic and electrical connections for controlling the charging. The tunnelling
drill rig is also used for drilling the bolt holes, and the bolts are installed manually from service basket on the drill

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rig. Data like MWD (measure while drilling), drill plans and machine status are transferred wireless to and from
the tunnelling drill via the WLAN network installed in the tunnel.

Fig. 1 Norwegian produced AMV 3ZXBC-CC underground drill rig

2.2 Concrete spraying rigs
The faster the contractor can apply the sprayed concrete, the better it is for the overall economy of the project.
High capacity concrete pumps are used with theoretical capacity up to 30 m3/h at 50 bar and a boom with large
covering area to make sure you need only one setup (see Fig.2). A truck is sometimes used as a carrier, if it is a
road tunnel, so that you have the possibility to move on the road between the two faces. The spraying rigs are
diesel hydraulically powered and onboard you have the compressor, tanks for accelerator and dosing system. The
control systems are computer assisted for increased accuracy. The production data is logged and reported back to
client. The sprayer is radio controlled by the operator from the ground. Some sprayers have the possibility to
operate it from an elevated cabin on the sprayer boom.

Fig. 2a AMV 4200 Shotcrete Robot Fig. 2b AMV 7450 Hybrid shotcrete robot with operators
cabin in operation
2.3 Grouting
The grouting process can be a very time-consuming part of the time spent on the tunnelling cycle. A complete
concrete factory built into a 20 feet container is normally used. In the container you will find four lines with
separate piston pumps that deliver up to 100 Bar. Silo, mixer and agitator are also on board (Fig.3). The mixing
capacity is the key when you have continuous injection, not only the capacity of the grout pumps. Control systems
are used for quality control and operation excellence. Data are logged and reports handed over to the client to
determine quantity and quality of the job done.

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Fig. 3 AMV Grouting Unit Container Based

2.4 Loaders
Loading equipment for use in tunnelling i Norway is mainly medium to large wheel loaders with side tilting
Buckets (Fig.4). This enables high loading capacity in tight spaces, such as a std road tunnel, without making
specific loading areas with niches. The side tilting bucket enables the wheel loader to go in a straight line from the
face and long the truck without turning. Emptying of the bucket is done while passing the truck in one fluid motion,
when the operator is skilled. A wheel loader with side tilting bucket is far more efficient in loading a truck than a
wheel loader with a traditional bucket. The increase in loading efficiency lies between 25-50%. For a 35-40t wheel
loader the bucket size is around 5-5,5m3 and for a 50-60t wheel loader the bucket is around 7m3.
Due to the side tilting design and the required robustness such buckets have a mass from 6 to 11tonnes when
empty and therefore requires additional counterweights or liquid filling of the rear tires of the wheel loader or both.
The normal operating life for a primary loader in tunnelling is between 8-12.000 hours.

Fig. 4 AMV FL70 Hybrid loader

Working platforms, bolting rigs and concrete element erectors

Working platforms (Fig. 5), bolting rigs (Fig.6) and concrete element erectors are in Norway based on truck
chassis in order to increase flexibility and reduce number of equipment used. All equipment is registered in order
to move on public road and can therefore efficiently work on several faces using same equipment and personnel.

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Fig. 5 AMV 11 SWL1000 QR-H Working Fig. 6 AMV 236-T Bolting rig used for drilling of bolts for
platform membrane, PE foam and bolts for concrete elements

3. SOME GROUND BREAKING PROJECTS IN NORWAY

World’s deepest sub-sea tunnel
In Norway, more than 35 subsea road tunnels have been built since the Vardø tunnel was officially opened
in 1983. All these tunnels are excavated entirely in bedrock by drilling and blasting (no submerged culverts), with
a strong reliance on probe drilling and pre-grouting, and with drained rock support structures. In most of the tunnels
the NGI developed Q-system has been used to select the rock reinforcement in the tunnels. An updated Q-system
rock support chart is shown in Fig. 7. In some cases NGI performs numerical modelling to optimize the rock
support in tunnels as desired by the clients (Bhasin et al. 2003). In Norway rock support using cast concrete arches
(CCS) in tunnels has for all practical purposes been replaced by RRS (see e.g. Bhasin and Aarset, 2019).
NGI is currently involved in the World’s deepest sub-sea tunnel the Boknafjord Tunnel - also known as the
Rogfast Tunnel, which is part of the Rogfast project. This tunnel will become the longest and deepest subsea
road tunnel at 26.7km long and 392m deep when it opens in 2027.

Fig. 7. Rock mass quality Q related to the permanent rock support (NGI, 2017)
Northern Europe’s largest underground train station
The Holmestrand train station is located in the west of Oslo and was opened in late 2016. The concourse
has four tracks and two platforms. It is about 870 meters long, 30 meters wide and about 12 meters high. The
platforms are about 250 meters long. The train station is the first in the world to combine platforms and high-
speed trains that drive through the station with a speed of 250 km/h. The pressure relief tunnel is one of several
measures that will prevent people on the platform from experiencing an unpleasant pressure every time a high-
speed train passes by. Although the Q-system was used to characterize the rock mass and obtain the input
parameters for numerical modelling, the contractor chose to use lattice girders as rock support at some of the
stretches.

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 Brief overview of Norwegian Tunnelling Technology including Projects and Equipment

Fig. 8 Holmestrand train station showing the excavated hall

Stad Ship Tunnel
This will be the first ship tunnel in the west coast of Norway to avoid the rough waters in the North Sea.
The tunnel will be about 1.8 km long, 50 meter high and 36 m wide. NGI has characterized the surface rock
mass using the Q-system and has performed numerical modelling to optimize the rock support in the tunnel. NGI
is planning to get involved during the construction of the project and follow up on the design during the driving
of the tunnel.

Fig. 9 Stad skip tunnel Fig, 9b Numerical modelling of the tunnel

4. CONCLUSIONS
This paper has provided some examples of Norwegian ground-breaking projects where Norwegian tunnelling
technology was used for the construction of the completed and planned projects. The NGI developed Q-system of
rock mass classification is often used for selecting the rock reinforcement requirements in a tunnel. Numerical
modelling is often performed to optimize the rock support in an underground structure in Norway. A fleet of
modern equipment and tools are used for the construction of underground structures in Norway.
REFERENCES
Barton, N., R. Lien and J. Lunde, 1974, "Engineering classification of rock masses for the design of tunnel
support", Rock Mechanics, Vol. 6, No. 4, pp. 189 236.
NFF publication 26 (2017), The principles of Norwegian Tunnelling. Published by the Norwegian tunnelling
society. Available online at: Publication-26.pdf (tunnel.no)
Bhasin, R., Kaynia, A.M. and Løset, F., (2003) Recent examples on the use of the distinct element approach for
static and dynamic analysis of a rock slope and for predicting the performance of rock support in tunnel.
Development and application of discontinuous modelling for rock engineering, Swets & Zeitlinger, Lisse, ISBN
90 5809 610 6. Proc. sixth int. conf. on analysis of discontinuous deformation, Trondheim, Norway, 5-8 Oct.
2003 pp. 199-206.
Bhasin, R. and Aarset. A. (2019) Application of Norwegian Method of Tunnelling (NMT) Principles to bypass
landslides in mountainous terrain. Geotechnics for Sustainable Infrastructure Development – Lecture Notes in
Civil Engineering 62, 99.273-279, also published in Geotec Hanoi 2019, Phung (edt). ISBN 978-604-82-0013-
8.

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 Keynote
Amitabh Tripathi

Development of Pump Storage Projects (PSP) – Necessity, Issues and Challenges

AMITABH TRIPATHI

WAPCOS Limited

1 INTRODUCTION

India’s Renewable energy targets are very ambitious and are of the order of about 500 GW by 2030. We are
also committed to energy transition towards renewables to achieve Net Zero Emissions target by 2070.
The above targets are in alignment with our response mechanism to climate change, integration of renewable
sources of energy. However, this will entail a situation where grid stability will be very critical and challenging.
Thus pumped storage technology is slated to play defining role in making the process of transition seamless.
This paper deals in brief the requirement and advantages of pump storage projects (PSP) in hydropower
development to meet the demand of energy in peak hours along with key recommendations.
A typical layout plan of pump storage project is shown in Fig. 1.

Fig. 1. Typical Layout Plan of Pump storage Project (PSP)

2 ADVANTAGES OF PSP

PSP’s offer several advantages and some are summarised as below:

2.1 Grid Level

 It utilizes grid power during off peak hour when frequency is high and supply power during peak hour
and whenever required.
 Regulates frequency to meet sudden load changes in the network
 Improve grid controllability,Grid stability and Security

2.2 Thermal Stations

 Increase capacity utilization of Thermal stations

 Reduce operational problem of thermal stations during light load period

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 Development of Pump Storage Projects (PSP) – Necessity, Issues and Challenges

2.3 General

 Provides Black start facility

 It addresses intermittence of renewable energy to a large extent
 It improves voltage stability utilizing the unit as synchronous condenser
 It improves the tradability of power in the electricity market
 It improves hydro thermal mix ratio
 Availability of spinning reserve at almost no cost to the system
 Pumped Storage Schemes improve over all economy of power system operation

3 RECENT EXAMPLE OF NEED OF HYDROPOWER AND PSP FOR GRID SECURITY

On 05 April 2020, following a nation’s call lights were dimmed nationally for nine minutes with a dramatic
impact on electricity demand. Hydropower alone supported a reduction of 18 GW (20:45 –21:10) out 31 GW
reduction. Hydropower then ramped up by 11 GW (21:10 –21:27) to meet rising power demand. Energy demand
and hydropower generation are shown in Figs. 2 and 3, respectively.

Fig. 2. All India Demand of Energy

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 Amitabh Tripathi

Fig. 3. All India Hydropower Generation

While it is expected that PSP’s will gain pace and large number of projects are likely to be implemented in
future, it is equally important to understand that PSP development is associated with many complexities and
constraints in its developmental process. There have been lot of initiatives at policy level to facilitate speedier
implementation of PSPS’s in recent times, However at technical level too there is a need to evolve framework and
guidelines to rank various projects and thus take them up accordingly to meet the envisaged targets.
Variety of aspects/parameters are involved in the selection of Pumped storage project. However, few key aspects
are important during initial screening stage.

4 CONSTRAINTS

There are stringent stipulations by law with regard to environmental and social aspects in development of
project. Most of the MoEF & CC stipulations are mandatory in nature. Therefore, it is considered more important
as compared to technical and economical aspect. This should ideally be the first screening criteria for selection of
PSP. There are broadly two aspects need to be considered i.e Whether project falls under national park/ sanctuary/
reserved forest etc. and Whether project falls within 10 km boundary of national park or sanctuary i.e. eco
sensitive zone.
The project should be examined in detail from all the environmental aspects and other associated aspects for
a considered view before proceeding further with the project.

5. TECHNICAL ASPECTS

Technical aspects are needed to be considered for technical viability. It is a generally considered that higher
installed capacity enhances overall economy of pumped storage project. Generally PSP less than 200 MW is
generally not considered very economical Design Head also plays a key role or selection of PSP as higher head
results in lesser civil works like smaller height of dams, smaller size of water conductor system and smaller power

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 Development of Pump Storage Projects (PSP) – Necessity, Issues and Challenges

house complex. Higher head results in smaller electro-mechanical components like smaller size of turbine, smaller
size of stator and other associated E&M components. Higher head require lesser pondage thus results in smaller
reservoirs. It reduces overall requirement of land for various components of project like size of HRT, TRT etc.
together with reduction in quarry/borrow and dumping land requirements. However, very little technical know-
how is available in the world for handling a project having head more than 800m. Therefore, range of head
between 200 to 700m is preferable.
L/H Ratio i.e WCS length with respect to the head is another very important in the evaluation of any PSP.
Lesser L/H ration has inherent multiple advantages. It generally results in low initial capital cost, less head losses
in WCS reduction or absence of costly surge requirements and better performance of E&M components. Use of
existing Reservoirs is also very important favourable aspect in selection process as stringent environmental
laws and tedious land acquisition process, constructing any new dam/reservoir remains a challenge. Pumped
storage project requires two reservoir in close vicinity which makes it more complex and adversely impacts its
economy as well.
And finally the Stage of Development is very important and the preference may be given to the project
where PFR/DPR has already been prepared. It may be mentioned that bankable DPR brings a fare degree of due
diligence and confidence with it that all key aspects have already been examined and financial closure can be
obtained.

6 RECOMMENDATIONS

 Technical aspects must be given top priority and should not rush with projects in hurry.
 PSH incur loss in the form of conversion efficiency; this should be recognised by policymakers.
 To allow energy storage as an eligible transmission component and thus, be included energy storage in
future transmission planning.
 The number of cycles may be more than one to be accounted in the financial analysis since the normal
life of PSH project may be 50 years or more. It is also recommended that a standard name-plating of PSH
with energy and capacity (MWh and MW) to appropriately represent the energy to
 power ratio of the PSH
 PSH should be considered regulatory assets for grid supporting measures, and have the extension of
all benefits (e.g., budgetary support) that grid/transmission elements do, through the intervention of
system planning and operating agencies.

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 Theme 01 - Emerging
Shear Behaviour techniques
of Unfilled-Planar forJoints:
Rock rock and rock massStudy
A Comparative characterisation
between Weathering
Grades II and III Joints of Granite and Quartzite

Shear Behaviour of Unfilled-Planar Rock Joints: A Comparative Study between

Weathering Grades II and III Joints of Granite and Quartzite
BIKASH KUMAR RAM1, DEEPAK AMBAN MISHRA1 AND HEMANT KUMAR SINGH2
Indian Institute of Petroleum & Energy Visakhapatnam, INDIA
1
2
Rajiv Gandhi Institute of Petroleum Technology Jais, Amethi, INDIA
email: bikashramgeo@gmail.com

ABSTRACT: The ongoing process of weathering in nature, which is slow yet intricate, alters rocks and hence
rock discontinuity surfaces at shallow depth where most engineering works are confined. Thus, this study
focuses on evaluation of the shear behavior of natural, unfilled and planar joints of quartzite (from Ghatsila in
the state of Jharkhand, India) and granite (from Balasore in the state of Odisha, India) with reference to
weathering grade under constant normal stress. It became evident from the study that in case of planar joints with
fine asperities (as investigated in this study), degree of weathering that influences joint wall compressive
strength (JCS), plays a key role to determine the resistance to shearing, and this influence becomes prominent at
high normal stresses. Although unfilled-planar joints of both the rock types portray similar nature of shear
behavioral patterns irrespective of weathering grade, the peak friction angle decreases about 22% and 14% as
weathering grade intensifies from Grade II to Grade III in case of granitic and quartzitic joints, respectively.
Microscopic observations substantiate that the influence of mineral alteration to reduce the joint surface strength
and friction angle is less in quartzite than in granite.

1 INTRODUCTION
Shear strength of discontinuities (e.g. joints, bedding planes, shear planes, faults etc.) is an important parameter
for many rock engineering projects. At shallow depth, where chances of intact rock failure are minimal because
of low stresses, shear strength of rock discontinuities plays a crucial role in controlling rock mass behavior
(Hoek, 2007). Hence, examination of shear behavior of rock discontinuities has remained an important subject of
research in the fields of engineering geology and rock mechanics (Barton and Choubey 1977).
The ongoing process of weathering in nature, which is slow yet complex, alters rocks and hence, the
discontinuity surfaces (Martin and Hencher, 1986; Basu et al., 2009). Although it is known that weathering
adversely influences the shear behavior of rock joints, only a few previous studies demonstrated this (e.g. Ozvan
et al., 2014, Ram and Basu, 2019a,b). It should be noted that the parameters such as basic friction angle (b),
joint roughness coefficient (JRC), joint wall compressive strength (JCS) and normal stress (σ n) chiefly determine
the shear strength and friction angle of an unfilled rock discontinuity (Singh and Basu 2016). Apart from this, the
constituent minerals of a rock also influence the peak shear strength and peak friction angle of the concerned
rock joints (Ulusay and Karakul 2016; Bordehore and Herrera, 2018). In the context of rock weathering, unlike
virtually monomineralic rocks, gradational decompositional change of a polymineralic rock is portrayed by
different minerals. Therefore, it is essential to compare between the influence of weathering on shear behavior of
joints of a polymineralic rock and a virtually monomineralic rock. In line with this, this paper presents shear
behavior of weathered (i.e. Grades II and III) unfilled-planar joints of the collected granite (a polymineralic rock)
specimens. The general shear behavioral patterns of granitic and quartzitic joints are evaluated. Subsequently,
the peak shear strength and peak friction angle of Grade II and Grade III specimens are determined in order to
compare between the effect of degree of decomposition on the shear strength parameters of quartzite and granite.
2 METHODOLOGY
2.1 Sample Collection
The jointed blocks of hornblende granite were collected from the outcrops located in Dahanimara village (near
Balasore) (N 21°28′46″ E 86°45′27″), in the state of Odisha, India. As far as geology of the area is concerned, it
is located within peripheral parts of the Singhbhum Granite, which belongs to the Singhbhum Craton (Sarkar and
Saha, 1977). The jointed blocks of quartzite were collected from natural outcrops along the bank of the river
Subarnarekha at Ghatshila (N 22°36′24″ E 86°26′20″- N 22°36′33″ E 86°26′10″), in the state of Jharkhand,
India. Geologically, the outcrop belongs to the Chaibasa Formation (Saha, 1994).
2.2 Categorization of Weathering Grade of Granitic and Quartzitic Joint Surfaces
The most widely used 6-fold weathering classification scheme proposed by Anon (1995) was used to categorize
the weathering grades of the concerned quartzitic and granitic joint surfaces. Although the said classification
scheme is subjective in nature, this is the primary means to categorize the weathering grades of rock materials. In

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 Bikash Kumar Ram, Deepak Amban Mishra and Hemant Kumar Singh

order to substantiate the categorization and to eliminate/minimize the involved subjectivity, the ranges of the
determined physical and mechanical properties/ indices (i.e. density, rebound hammer values, JCS) with
reference to assigned weathering grades were used (Table 1). Microscopic observations were also made to have
an additional check on the assigned weathering grades.

Table 1 Physico-mechanical properties of grade II and grade III joint surface material of quartzitie and graniti
Rock Properties of Weathering Grade
Type Joint Surface II III
Materials Min. Max. Mean Min. Max. Mean
Density (g/cm3) 2.55 2.77 2.64 2.46 2.55 2.51
Granite Quartzite

Rebound value 39 50 45 22 36 33
JCS (MPa) 81 145 108 31 62 54
Density (g/cm3) 2.49 2.57 2.53 2.36 2.45 2.41
Rebound value 40 49 45 28 36 32
JCS (MPa) 78 123 101 39 58 48

2.3 Specimen Preparation and Encapsulation

The jointed rock blocks were saw-cut in order to obtain the specimens with desired dimension for direct shear
tests (i.e. lower block: L=12-13cm, W=7-9cm, H=5.5-7cm; and upper block: L=10- 12cm, W=7-9cm, H=5.5-
7cm). Subsequently, the specimens were encapsulated using sand-cement blend (2.5:1; by volume) mixed with
water. Joint surfaces to be sheared were kept parallel to the horizontal and the shear direction was aligned
parallel to the dip-slip direction of the joints in situ. An encapsulated shear specimen is shown in Figure 1a.

2.4 Determination of Joint Roughness Coefficient (JRC)

Prior to the direct shear test, the irregularity/ asperity distribution over each joint surface was measured using a
mechanical contact profilometer attached with a digital dial gauge of resolution 0.01 mm (Figure 1b). In order to
do this, the joint surface was divided into a number of grids with an interval of 5 mm. The needle of the dial
gauge was moved over each grid point to cover the entire joint surface and the asperity heights were recorded
using a data acquisition system. The obtained data was interpolated for the entire surface at 0.40 mm grid-
interval. Subsequently, JRC of each profile was calculated using the Z 2 method proposed by Myers (1962) (Eq.
1) and Li and Zhang (2015) (Eq. 2)

xL 2
1  dy  1 N 1 ( yi 1  yi )2
Z2    dx 
L x 0  dx 

L i 1  xi 1  xi 
(1)

JRC=98.718*(Z2)1.6833 (2)

where N is the number of coordinate pairs over a profile length L; (x i, yi) and (xi+1, yi+1), respectively, represent
adjacent co-ordinates separated by a constant distance ∆x=0.40 mm. Schematic representation of discrete points
of a joint profile is shown in Figure 1c.

2.5 Direct Shear Test

Direct shear test A direct shear test apparatus (AIM 221©) with 100 kN load capacity (i.e. for shear load as well
as for normal load) attached with displacement gauges (measuring range: 25 mm and 12.5 mm for horizontal and
vertical displacements, respectively, with a resolution of 0.01 mm) was used in this study. The multistage direct
shear tests were performed on each of the encapsulated planar, unfilled and weathered (Grades II and III)
granitic and quartzitic joints following the stipulations by ISRM (2014) at three different consecutively
increasing normal stresses within a range of 0.22 – 0.80 MPa under constant normal stress in dry condition.

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 Shear Behaviour of Unfilled-Planar Rock Joints: A Comparative Study between Weathering
Grades II and III Joints of Granite and Quartzite

Fig. 1a An encapsulated shear sample of quartzite, b measuring surface irregularities with a contact
profilometer, and c an example of surface profiles (for sample JS 15 U, W.G. II) and a schematic diagram
representing discrete points of a 2-D profile used to estimate the Z2 value

3. Results and Discussion

The shear stress-shear displacement plots for Grade II and Grade III granite and quartzite joints under three
different consecutively increasing normal stresses are plotted for each specimen. From the plots, it is observed
that the unfilled planar weathered (Grade II and Grade III) joints of granites and quartzites portray similar shear
behavioral patterns (i.e. appearances of shear stress-shear displacement plots without considering the absolute
value of the shear strength). The shear stress-shear displacement characteristics of unfilled-planar weathered
granitic and quartzitic joints can be, broadly, divided into three categories as follows: 1. linear increase of shear
stress with the increase in shear displacement followed by steady shear stress with reference to shear
displacement (Figure 2a); 2. step-like shear stress-shear displacement patterns (Figure 2b) (i.e. several
successions of increase in shear stress followed by a steady shear stress with reference to shear displacement
(Figure 2b); and 3. drop in shear stress after a few mm of shear displacement resulting in a distinct peak shear
strength (Figure 2c).

Fig. 2 Generalized shear behavioral patterns of unfilled-planar weathered (Grades II and III) granitic and
quartzitic joints.

The overall shear phenomenon is often controlled by the distribution of asperities over the surface and the
asperity strength to resist the applied normal and shear stresses. In case of planar/virtually planar rock joints with
fine asperities, overriding and/or oversliding are the key mechanism of shearing (Figure 3). However, when there
is asperity interlocking and/or asperity strength is too weak to resist the applied normal and shear stresses;
breakage of asperities becomes a prominent phenomenon (Figure 3). These mechanisms lead to variation in
shear behavioral patterns. For the concerned unfilled-planar granitic joints, the observed peak shear strength is
found to be similar for Grade II and III surfaces at the lower normal stresses. However, the difference in peak
shear strength becomes prominent with reference to weathering grades in case of shearing stages at
comparatively higher normal stresses (Figure 4).

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 Bikash Kumar Ram, Deepak Amban Mishra and Hemant Kumar Singh

Fig. 3 Representative sheared surfaces corresponding to shear behavioral patterns showning the major parts of
shearing and zones of major asperity breakage

Fig. 4 Peak shear strength-normal stress plot with reference to weathering grades of granitic and quartzitic joints

The peak friction angle was obtained by plotting the peak shear strength against the applied normal stress in case
of each Grade II and Grade III granite and quartzite specimens and subsequently, by measuring the slope of the
trend line of data points. The ranges of peak friction angle of Grade II joints of granite and quartzite are found to
be 36o - 42o and 38o - 40o, respectively. The ranges for Grade III joints of granite and quartzite are obtained as
28o - 32o and 31o - 35o, correspondingly. It is observed that peak friction angle decreases about 22% and 14% as
weathering grade intensifies from Grade II to Grade III in case of granitic and quartzitic joints, respectively
(Figure 5).

Fig. 5 Drop in peak friction angle from Grade II to Grade III joint surfaces of granite and quartzite.

Examination of thin sections of the granite under optical microscope ascertains augmentation of intra-granular
cracks (within quartz and K-feldspar) and grain boundary cracks with the increase in degree of decomposition
(i.e. from Grade II to Grade III). Alteration of hornblende is also conspicuous as weathering grade intensifies.
Such alteration leads to low friction mineral surfaces (Fig. 6a). In case of quartzite, although the granular
framework gets loosened as weathering intensifies; the weathered joint surface still contains stained quartz with

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 Shear Behaviour of Unfilled-Planar Rock Joints: A Comparative Study between Weathering
Grades II and III Joints of Granite and Quartzite

enhanced intra-granular cracks (Fig. 6b). In other words, the influence of alteration of other minerals to reduce
the joint surface strength and friction angle is less in quartzite than in granite.

Fig. 6 Photomicrographs of altered hornblende in Grade III grantic surface (a) and stained quartz with enhanced
intra-granular cracks in quartzite (b) under plane polarised light
3 CONCLUSIONS
 The shear stress-shear displacement characteristics of unfilled-planar weathered granitic and quartzitic
joints can be, broadly, divided into three categories. However, such shear behavioral patterns (i.e.
appearances of shear stress-shear displacement plots without considering the absolute value of the shear
strength) are not indicative of weathering grade of joint surfaces.
 Drop in peak shear strength with the increase in degree of decomposition of joint surfaces becomes
prominent at high normal stresses for both granite and quartzite. It was found that the peak friction
angle decreases about 22% and 14% as weathering grade intensifies from Grade II to Grade III in case
of granitic and quartzitic joints, respectively.
 Microscopic observations substantiate that the influence of mineral alteration to reduce the joint surface
strength and friction angle is less in quartzite than in granite.
ACKNOWLEDGEMENTS
The authors thanks Indian Institute of Technology Kharagpur for the overall support to carry out this research
work. BKR also acknowledge SERB for the NPDF research grant (Grant id: PDF/2022/002111).

REFERENCES
ANON, (1995), The description and classification of weathered rocks for engineering purposes: Geological
Society Engineering Group Working Party Report. Quarterly Journal of Engineering Geology, 28, pp. 207–
242.
Barton, N. and Choubey, V., (1977) The shear strength of rock joints in theory and practice. Rock Mechanics,
10, pp. 1–54.
Basu, A, Celestino, T.B., and Bortolucci, A.A., (2009), Evaluation of rock mechanical behaviors under uniaxial
compression with reference to assessed weathering grades. Rock Mechanics and Rock Engineering, 42, pp.
73–93.
Hencher, S.R. and Martin, R.P., (1982), November. The description and classification of weathered rocks in
Hong Kong for engineering purposes. In Proceedings of the 7th Southeast Asian Geotechnical Conference,
Hong Kong , Vol. 1, pp. 125–142.
Hoek, E., (2007). Practical rock engineering. e-book.
ISRM, (2014), The ISRM suggested methods for rock characterization, testing and monitoring: 2007–2014. In:
Ulusay, R. (Ed.), SuggestedMethods Prepared by the Commission on Testing Methods, International Society
for Rock Mechanics. Springer, Switzerland, 293 p.
Jorda-Bordehore, L. and Herrera, R., (2018), Rapid field test for shear strength characterization of dacite at
Cerro Rico de Potosi (Bolivia): tilt test with a Schmidt hammer and compass-clinometer. Bulletin of
Engineering Geology and the Environment, 77, pp. 867–875.
Li, Y. and Zhang, Y., (2015), Quantitative estimation of joint roughness coefficient using statistical parameters.
International Journal of Rock Mechanics and Mining Sciences, 77, pp. 27–35.
Myers, N.O., (1962), Characterization of surface roughness. Wear 5, pp. 182–189.
Özvan, A., Dinçer, I., Acar, A., and Özvan, B., (2014), The effects of discontinuity surface roughness on the
shear strength of weathered granite joints. Bulletin of Engineering Geology and the Environment, 73, pp.
801–813.

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 Bikash Kumar Ram, Deepak Amban Mishra and Hemant Kumar Singh

Ram, B. K., & Basu, A. (2019a). Shear behavior of unfilled-planar quartzitic rock joints with reference to
weathering grade of joint surfaces. Rock Mechanics and Rock Engineering, 52, pp. 4113-4121.
Ram, B.K. and Basu, A., (2019b). A modified JRC-JCS model and its applicability to weathered joints of granite
and quartzite. Bulletin of Engineering Geology and the Environment, 78, pp. 6089-6099.
Saha, A.K., (1994), M-27. Crustal evolution of Singhbhum North Orissa, Eastern India. Geological Society of
India Memoir, Bangalore, 341 p.
Sarkar, S.N. and Saha, A.K., (1977), The present status of the Precambrian stratigraphy, tectonics and
geochronology of Singhbhum-Keonjhar-Mayurbhanj region, eastern India. Indian Journal of Earth Sciences,
4, pp. 37–65.
Singh, H. K., & Basu, A. (2016). Shear behaviors of ‘real’natural un-matching joints of granite with equivalent
joint roughness coefficients. Engineering Geology, 211, pp. 120-134.
Ulusay, R. and Karakul, H., (2016), Assessment of basic friction angles of various rock types from Turkey under
dry, wet and submerged conditions and some considerations on tilt testing. Bulletin of Engineering Geology
and the Environment, 75, pp. 1683–1699.

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 Theme 01 - Emerging techniques
Deformability of Rockfor rock
Mass for and rock mass
a Concrete characterisation
Gravity Dam

Deformability of Rock Mass for a Concrete Gravity Dam

RAJBAL SINGH1 AND SANJEEV KUMAR GARG2

1
WAPCOS Ltd.
Indian Geotechnical Services
2

email: drrajbalsingh@gmail.com, mkg25in@yahoo.com

ABSTRACT: The present paper includes the comprehensive rock mechanics in-situ tests for the design of
concrete gravity dam of Jomori Hydroelectric Project, Bhutan. The modulus of deformation of rock mass was
determined by conducting plate jacking tests (PJT) with measurement of deformations inside drillholes. The
modulus of deformation by plate jacking tests and indirect method based on RMR and Q systems of rock mass
classifications at dam site were also evaluated and compared.
1 INTRODUCTION
It was decided to conduct the in–situ rock mechanics testing for Jomori Hydroelectric Project, Bhutan for
evaluating modulus of deformation of rock mass and shear strength parameters of rock to rock and concrete to
rock interfaces. The Druk Green Power Corporation Limited (DGPC) has undertaken the preparation of detail
project report (DPR) for construction of Jomori Hydroelectric Project. Field tests were conducted in drifts at left
and right banks of dam site to determine the design parameters, confirming to relevant specifications and the
guidelines.
Jomori Hydropower Project is located in the South-Eastern Part of Bhutan under Samdrup Jongkhar District.
The project envisages construction of run-of-river scheme with an installed capacity of 90 MW. The project
envisages the construction of 32 m high concrete gravity dam. The water from Jomori dam will be conveyed to
the surface power house through head race tunnel of 6.298 km located on the left bank.
The geology of dam complex mainly comprises of light coloured coarse grain moderately strong to strong
undulatory augen gneiss. The RMR values at left and right bank drifts are varying from 30 to 59. The Q values of
rock mass are varying from 2.46 to 9.15 as per 3-D geological log of the drifts.
The present paper includes the comprehensive in-situ tests for rock mass inside two drifts at proposed 32 m
height concrete gravity dam at Jomori Hydroelectric Project, Bhutan. The modulus of deformation of rock mass
was determined by conducting plate jacking tests with measurement of deformations inside drillholes. The
modulus of deformation by plate jacking tests (PJT), and indirect method based on RMR and Q systems of rock
mass classifications at dam site were also evaluated and compared.
2 THE PROJECT
Jomori Hydropower Project is located in the South-Eastern Part of Bhutan under Samdrup Jongkhar District.
The project envisages construction of run-of-river scheme with an installed capacity of 90 MW.
A 32 m high concrete gravity dam above river bed level is proposed across Jomori to impound water up to
FRL of 1156 m to enable diversion of river through the intake structure for generation of power. The dam is located
150 m downstream of the Jomori and Zangtheri confluence. A 6.299 km long and 4.1 m diameter modified horse
shoe shaped head race tunnel (HRT) is aligned along the left bank of Jomori river. A 10 m diameter restricted
orifice open to sky surge shaft is proposed to absorb the water hammer or elastic shock waves generated in highly
pressurized pipes due to closure or opening of valves or gates. The pressure shaft for this project has a vertical
pressure shaft about 290 m drop and a 435 m horizontal. 30 m each unit pressure shaft further branches out into 2
penstocks before entering the machine hall. A surface power house is located at the left bank of Jomori at ground
EL 782 m. The water from the 2 units will be discharged through 2 nos. of concrete channels combined after
downstream of the powerhouse. The tail race channel (TRC) has been designed to discharge 28.66 m 3/s coming
out of the machine halls. The 70 m long TRC is sloped with its outfall at EL 773.40 m to discharge back the water
into the Jomori River.
Locations photo of Jomori dam and drifts is shown in Figs. 1 to 3. Jointing at portal of left and right bank drifts
are shown in Figs. 4 and 5, respectively.
3 GEOLOGY AT DAM SITE
The geology of dam complex mainly comprises of light coloured coarse grain moderately strong to strong
undulatory augen gneiss. The RMR values at left and right bank drifts are varying from 30 to 59. The Q values of
rock mass are varying from 2.46 to 9.15 as per 3-D geological log of the drift. However, RMR calculation and
projection of rock class is based on the surface assessment and is tentative.

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 Rajbal Singh and Sanjeev Kumar Garg

  
&ŝŐ͘ϭ͗>ŽĐĂƚŝŽŶƐŽĨ:ŽŵŽƌŝĚĂŵĂŶĚĚƌŝĨƚƐ &ŝŐ͘Ϯ͗ƌŝĨƚĂƚůĞĨƚďĂŶŬ &ŝŐ͘Ϯ͗ƌŝĨƚĂƚƌŝŐŚƚďĂŶŬ

Fig. 4: Jointing at portal of left Fig. 5: Jointing at portal of

bank drift right bank drift

4 DEFORMABILITY OF ROCK MASS

4.1 Deformability Tests by Plate Jacking Test
The plate jacking tests (PJT) is conducted to determine the modulus of deformation of rock mass. In PJT, the stress
is applied at the surface of the drift and deformations are measured through multipoint borehole extensometers installed
inside drillholes at both sides of loading plates.
4.1.1 Plate jacking test (PJT)
The plate jacking test set up in horizontal and vertical directions along with concrete pad and installation of anchors
and extensometers in drillholes are shown in Figs. 6 to 11. It comprises of hand pumps/electric pump, hydraulic jacks,
multiple point borehole extensometers with anchors and the measuring system with displacement transducers and a
multi-channel digital readout unit alone with automatic data acquisition system with displacement measurements up to
an accuracy of 0.001 mm.

Fig. 6 PJT in vertical direction Fig. 7 PJT in horizontal direction

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Fig. 8 Concrete pad for PJT Fig. 9 Installation of anchors and extensometers

Fig. 10 Extensometer with anchors setting tools Fig. 11 Data acquisition system for PJT

4.1.2 Site preparation

The plate jacking tests were conducted by applying load in the direction normal to drill holes. The rock surface of the
drift at the test locations were carefully prepared by removing all loose rock material by chiselling within a diameter
of 150 cm around the drill holes. The loading surfaces were kept concentric. Nx size (76 mm diameter) instrumentation
drill holes of about 6 m depth were drilled at the prepared surfaces. Both the drill holes were aligned carefully so that
they were normal to surface and were in line with each other. Concrete pads using rich mix were cast around the drill
holes to ensure smooth transfer of loading from the jack to the rock mass. The pads were allowed to cure for at least
seven days to obtain sufficient strength prior to commencement of the test.
4.1.3 Equipment installation
The extensometers with the help of anchors were installed at suitable locations inside the drill holes. The locations
of anchors were decided after careful examination and logging of drill hole cores. Care was taken so that the anchors
were not placed on joints. The last anchor in the drill hole was kept about 30 - 80 cm below the rock surface just to
avoid blasting effects in the drift. The deepest anchor was located up to a depth of 600 cm from the rock surface in
order to provide a fixed point to which the movement of all the extensometers can be referred. In all five to seven
anchors were installed in each instrumentation drill hole, which accommodated four to six extensometers in each drill
hole. The gap between the plate jacking assembly and the top plates was filled up by retrained columns.
4.1.4 Test procedure
After all the components were installed, the system was checked for the actual test. The loading was applied through
the hydraulic jack system by manually operated hydraulic pump. It was tried to maintain the rate of loading as 0.4
MPa/min and the load was applied in cycles of 1, 2, 3, 4, 5 and 6 MPa of loading and unloading the pressure every
time to zero. The modulus values were calculated for the cycles of 1, 2, 3, 4, 5 and 6 MPa. The first cycle was considered
carefully for evaluation of deformability as the closing of joints due to blasting and some settlement of loading
assembly takes place in loading and unloading. The load was maintained for 5 minutes at the stage of initial loading,
incremental loading and maximum loading, while the intermediate load increments were maintained for one minute.
The tests were conducted according to the suggested method by ISRM (1979, 1981) and CBIP (2010).
4.1.5 Calculations
Deformation measurement for the various load cycles are utilised to compute deformation modulus according to
appropriate formula. The modulus of deformation has been calculated for each cycle of loading and unloading. The
equation utilised for this purpose is given below by utilising the following formula:

2 P (1 - 2 )  2 2 1  P z (1+ )  1
2 -2 
Wz= ( a + z ) 2 - z - z ( a
2
+ z ) - 1 (1)
E 
 
 E 
 
Where,
Wz = Displacement in the direction of applied pressure (cm),

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 Rajbal Singh and Sanjeev Kumar Garg

z = Distance from the loaded surface to the point where displacement is measured (cm),
P = Applied pressure (in MPa),
A = Outer radius of flat jack (cm),
 = Poisson's ratio, and
E = Modulus of rock mass (MPa).
After substituting the appropriate values of a, z and , the Eq. 3 can be written as:
P
W z= ( Kz )
(2)
E
The modulus of deformation (Ed) can be determined by the following formula:
 K z1  K z 2  (3)
Ed = P  
 W z1  W z 2 
Where, Kz1 and Kz2 are constants at depth z1 and z2, respectively. Similarly, Wz1 and Wz2 are deformations
measured between depths z1 and z2. The Eq. 3 can be utilised for the determination of modulus of deformation (Ed)
and modulus of elasticity (Ee) based on the total deformation (loading cycle) and elastic deformation/rebound
(unloading cycle) of particular cycle, respectively.
5 TEST LOCATIONS AT DAM SITE
The 8 plate jacking tests (4 each in vertical and horizontal directions) were conducted inside left and right
bank drifts of dam site. These 8 tests were conducted by applying loading in vertical as well as in horizontal
direction in both the drifts. 8 PJT were conducted in vertical and horizontal directions inside drift at left and right
banks with details given in Table 1 along with values of RMR and Q. The test locations are shown in Fig. 12.
Table 1 Details of PJT in left and right bank drifts at dam site along with values of RMR and Q
Drift Direction of RD
S. No. Test No. Location RMR Q value Rock type
Location PJT m
Left Cross cut
1 PJT1V Vertical 3.5 55-59 9.15 Light colored coarse
bank D/S Side
drift grain moderately
2 PJT2V Vertical Main drift 27.5 55-58 9.15
strong to strong
Cross cut
3 PJT1H Horizontal 3.5 55-59 9.15 undulatory augen
D/S Side
gneiss
4 PJT2H Horizontal Main drift 27.5 55-58 9.15
Right Cross cut
5 PJT3V Vertical 3.2 50-55 9.10 Light colored coarse
bank D/S Side
drift grain moderately
6 PJT4V Vertical Main drift 8.0 45-50 6.25
strong to strong
Cross cut
7 PJT3H Horizontal 3.2 50-55 9.10 undulatory augen
D/S Side
gneiss
8 PJT4H Horizontal Main drift 8.0 45-50 6.25

Fig. 12 Locations of PJT in left and right bank drifts

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6 SUMMARY OF PJT RESULTS IN HORIZONTAL DIRECTION

Overall minimum, maximum and average magnitudes of modulus of deformation (E d) and modulus of
elasticity (Ee) in horizontal direction at applied stresses varying from 1 MPa to 6 MPa have been summarised in
Table 2 for results of 4 PJT of dam drifts in left and right banks in parallel and perpendicular direction of dam axis.
The average value of modulus of deformation is 7.36 GPa with variation from 6.02 GPa to 8.65 GPa at applied
stress of 6 MPa (Table 2). The average value of modulus of elasticity is 7.54 GPa with variation from 6.30 GPa to
8.65 GPa at applied stress of 6 MPa in horizontal direction with E e/Ed ratio of 1.02 (Table 2).
The average value of modulus of deformation is varying from 4.91 GPa to 7.36 GPa with the variation of
applied stress from 1 MPa to 6 MPa respectively along with variation of E e/Ed ratio from 1.59 to 1.02 (Table 2).
Table 2 Summary of PJT results in horizontal direction at dam site

Stress Modulus of deformation, Ed Modulus of elasticity, Ee Modulus

level, GPa GPa ratio
MPa Minimum Maximum Average Minimum Maximum Average Ee/Ed
1 3.61 6.67 4.91 5.73 9.82 7.83 1.59
2 4.57 6.96 5.43 5.98 8.20 6.84 1.26
3 5.21 7.50 5.99 5.93 8.27 7.12 1.19
4 5.61 7.90 6.51 5.87 8.65 7.38 1.13
5 5.93 8.25 6.94 6.61 8.69 7.46 1.07
6 6.02 8.65 7.36 6.30 8.65 7.54 1.02

7 SUMMARY OF PJT RESULTS IN VERTICAL DIRECTION

Based on 4 PJT results of dam drifts at left and right banks in vertical direction at applied stresses varying
from 1 to 6 MPa, overall minimum, maximum and average magnitudes of modulus of deformation (E d) and
modulus of elasticity (Ee) have been summarised in Table 3.
The average value of modulus of deformation is 8.89 GPa with variation from 7.36 GPa to 10.00 GPa at an
applied stress of 6 MPa. The average value of modulus of elasticity is 9.20 GPa with variation from 7.48 GPa to
10.21 GPa at an applied stress of 6 MPa in vertical direction with Ee/Ed ratio of 1.04 (Table 3).
The average value of modulus of deformation is increasing from 5.13 GPa to 8.89 GPa with the variation of
applied stress from 1 MPa to 6 MPa, respectively, along with decrease in E e/Ed ratio from 1.86 to 1.04 (Table 3).
Table 3 Summary of PJT results in vertical direction at dam site

Stress Modulus of deformation, Ed, GPa Modulus of elasticity, Ee GPa Modulus ratio
level,
MPa Minimum Maximum Average Minimum Maximum Average Ee/Ed
1 2.64 6.91 5.13 6.50 14.54 9.52 1.86
2 5.44 7.44 6.25 6.39 9.81 8.28 1.32
3 6.03 7.87 6.92 7.24 9.21 8.23 1.19
4 6.50 8.56 7.57 7.42 9.35 8.43 1.11
5 7.04 9.75 8.32 7.45 9.88 8.88 1.07
6 7.36 10.00 8.89 7.48 10.21 9.20 1.04
In general the modulus of deformation is increasing and modulus ratio (Ee/Ed) is decreasing with the increase in
applied stress level. The modulus of deformation in horizontal direction (7.45 GPa) is lower than in vertical
direction (8.89 GPa) as seen from Tables 2 and 3. The rock mass is moderately anisotropic.
8 MODULUS OF DEFORMATION BY INDIRECT METHODS
The modulus of deformation of rock mass in test drifts has been found to vary considerably between drift
crown and invert. Such differences may largely be due to blast damage caused by the excavation process as
described by Singh and Rajvanshi (1996) and Singh and Bhasin (1996). The damage is mainly caused by
development of cracks, displacement along existing joints, and disturbance of stresses. The effect of the blasts will
vary with several features, such as rock properties, the amount of explosive used, the distance between the blast
holes and the number of holes initiated at the same time, etc.

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 Rajbal Singh and Sanjeev Kumar Garg

Palmstrom and Singh (2002) and Singh (2009, 2011) proposed to multiply by factor 2.5 to the values of
modulus of deformation determined by conducted plate load test or Goodman jack test to obtain realistic design
value. The factor was obtained based on the results of large size plate jacking test and a comparison with plate
load test, flat jack test and Goodman jack test.
The rock mass rating (RMR) system proposed by Bieniawski (1978) is also used for estimating the modulus
of deformation (Ed) of rock mass by using the following equation:
Ed (GPa) = 2RMR – 100 (4)
The Eq. 6.4 is valid for rock masses having a RMR value greater than 50. Serafim and Pereira (1983) extended
the above equation to cover lower values of modulus where RMR is lesser than 50 as given below:
RMR 10
Ed (GPa )  10 40
(5)

Barton (2002) developed the following equation and compared the results with Bieniawski (1978) and Serafim
and Pereira (1983) with Q varying from 0.001 to 1000:
1
E d (GPa )  10 Qc 3 (6)

The modulus of deformation by plate jacking tests (PJT) and indirect method at dam is given in Table 4.
Average value of RMR at dam is 44 and average value of Q is 5.805 as per 3D Geological Logs of left and
right banks drift. The modulus value from RMR cannot be computed due to RMR<50 based on Eq. 4 given by
Bieniawski Z.T. (1978). The modulus values from RMR is 7.08 GPa based on Eq. 5 given by Serafim and Pereira
(1983). The modulus values based on Q is 10.73 GPa based on Eq. 6 given by Barton (2002) and assuming UCS
of 100 MPa.
The average value of modulus of deformation from 4 PJT in vertical direction increases from 7.36 GPa to
10.00 GPa at stress level of 6 MPa in the drifts at left and right banks with an overall average of 8.89 GPa (Table
3). The value of 8.89 GPa is higher than 7.08 GPa evaluated from RMR and is lower than 13.61 GPa evaluation
from Q system as given in Table 4. Based on above discussions, it is recommended to utilise a value of 8.89 GPa
for modulus of deformation of rock mass as determined by PJT.
Singh and Garg (2017) also discussed the deformability of rock mass by direct and indirect methods. The
modulus of deformation by indirect method is always different than in-situ testing as discussed by Palmstrom and
Singh (2001), Singh (2019, 2021) and Singh et al. (2019).
Table 4 Modulus of deformation by plate jacking tests (PJT) and indirect method at dam
Modulus of deformation, GPa
RMR mean
Qc mean value
value Serafim and Pereira (1983) Barton 2002 PJT

44 5.805 7.08 13.61 8.89

9 CONCLUSIONS
The following conclusions may be drawn on the basis of in-situ rock mechanics testing inside left and right
bank drifts:
 Based on 4 PJT in horizontal direction, the average value of modulus of deformation is varying from 4.91 GPa
to 7.36 GPa with the variation of applied stress from 1 MPa to 6 MPa respectively along with variation of E e/Ed
ratio from 1.59 to 1.02.
 Based on 4 PJT in vertical direction, the average value of modulus of deformation is increasing from 5.13 GPa
to 8.89 GPa with the variation of applied stress from 1 MPa to 6 MPa, respectively, along with decrease in
Ee/Ed ratio from 1.86 to 1.04.
 In general the modulus of deformation is increasing and modulus ratio (E e/Ed) is decreasing with the increase
in applied stress level.
 The modulus of deformation in horizontal direction (7.45 GPa) is lower than in vertical direction (8.89 GPa).
The rock mass is moderately anisotropic.
 The average value of modulus of deformation from 4 PJT in vertical direction increases from 7.36 GPa to 10.00
GPa at stress level of 6 MPa in the drifts at left and right banks with an overall average of 8.89 GPa. The value
of 8.89 GPa is higher than 7.08 GPa evaluated from RMR and is lower than 13.61 GPa evaluation from Q
system of rock mass classification.
 It was decided to use the magnitude of modulus of deformation 7.45 GPa in horizontal direction and 8.89 GPa
in vertical direction for the design of concrete gravity dam.

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 It is concluded that there is no substitute to the actual field measurement.

REFERENCES
CBIP (2010), “Manual on Rock Mechanics”, Publication No. 310, Central Board of Irrigation and Power (CBIP),
New Delhi, October, 585p.
Barton Nick. (2002), “Some new Q-value correlations to assist in site characterisation and tunnel design”,
International Journal of Rock Mechanics & Mining Sciences 39, 185–216.
Bieniawski Z.T. (1978), “Determining rock mass deformability: Experience from case histories”, International
Journal of Rock Mechanics & Mining Sciences, 15, pp. 237-247.
ISRM, (1979) "Suggested Methods for Determining In-situ Deformability of Rock", Int. J. Rock Mech. Min. Sci. &
Geomech. Abstracts, Vol 16, No 3, pp 195-214.
ISRM (1981), “Suggested Methods for Rock Characterisation, Testing and Monitoring”, Commission on Testing
Methods, International Society for Rock Mechanics, E. T. Brown (Ed.), Pergamon Press, 211pp.
IS: 7317 – 1993, “Code of practice for uniaxial jacking test for deformation modulus of rock”.
Farmer, I.W. and Kemeny J.M. (1992),”Deficiencies in the rock test data,” Int. Conf. Eurock 1992, Thomas
Telford, London, pp. 298-303.
Palmstrom Arild and Singh Rajbal (2001) “The Deformation Modulus of Rock Masses – Comparison Between In-situ
and Indirect Measurements”, Journal of Tunnelling and Underground Space Technology, Vol. 16(2), pp. 115-131.
Ramamurthy T. - Editor (2007) “Engineering in Rocks for Slopes, Foundations and Tunnels”, 252p.
Serafim J.L. and J.P. Pereira. (1983), “Consideration of the geomechanics classification of Bieniawski”, Proc. Int.
Symp. on Engineering Geology and Underground Constructions, pp. 1133-1144.
Singh Rajbal and Bhasin Rajinder (1996), "Q-system and Deformability of Rock Mass", Proc. of Conf. on Recent
Advances in Tunnelling Technology (RATT-96), New Delhi, pp. 57-70.
Singh Rajbal and Rajvanshi U.S. (1996), "Excavation Effect on Modulus of Deformation", Proc. of Conf. on Recent
Advances in Tunnelling Technology (RATT-96), New Delhi, pp. 133-142.
Singh Rajbal (2007), “Chapters 10 on Deformability Tests in Rock Mass”, Engineering in Rocks for Slopes,
Foundations and Tunnels”, Text Book edited by T. Ramamurthy, 252p..
Singh Rajbal (2009) “Measurement of In-situ Shear Strength of Rock Mass”, Journal of Rock Mechanics and
Tunnelling Technology, ISRMTT, Volume 15, No. 2, pp. 131-142.
Singh Rajbal (2009) “Deformability of Rock Mass by Different Methods inside the Underground Desilting
Chamber”, Journal of Rock Mechanics and Tunnelling Technology, ISRMTT, Volume 15, No. 1, pp. 37-54.
Singh Rajbal (2011) “Deformability of Rock Mass and a Comparison between Plate Jacking and Goodman Jack
Tests”, International Journal of Rock Mechanics and Mining Sciences, Volume 48, pp. 1208-1214.
Singh, Rajbal and Garg S.K. (2017). Rock mechanics investigations by direct and indirect methods, Journal of
Rock Mechanics and Tunnelling Technology, ISRMTT, Volume 23, No. 2, 135-147.
Singh Rajbal, Sharma Vivek and Garg Sanjeev Kumar (2020), "Modulus of deformation and shear strength
parameters of rock and rock mass in underground powerhouse", Journal of Rock Mechanics and Tunnelling
Technology, ISRMTT, Volume 26, No. 1.

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 Theme 01 - Emerging techniques
Vijay, for rockD.V.
Senthil P., Sarwade andand
rock
Harimass
Dev characterisation

Behaviour of Quartzite Rockmass under Incremental Cyclic Loading

VIJAY, SENTHIL P., SARWADE D.V. AND HARI DEV

Central Soil and Materials Research Station, New Delhi
email: vijaytripathic8@gmail.com

ABSTRACT: In this paper, an attempt has been made to study the deformation behaviour of Quartzite rock mass
under incremental cyclic loading. Literature study showed that repetitive cyclic loading at constant stress level results
in reduced deformations and rock mass gets stiffer in successive cycles. Normally, UJT tests are performed in 5 cycles
of incremental loading for studying the deformation behaviour. The present study focuses on behaviour of
‘incremental cyclic loading’ wherein 7 loading cycles have been applied in Uniaxial Jacking Test (UJT) inside a drift.
In this case, additional two cycles with increasing the stress levels in each test were performed. The tests were
conducted on jointed quartzite. The joints are tight, planar and dry falling under fair to poor category as per Q system
of rock mass classification. The present study reveals that the ratio of elastic modulus to deformation modulus
(Eem/Edm) approaches asymptotic value beyond 5th incremental cyclic loading. This could be one of the reasons to
conduct UJT tests upto 5 loading cycles. This study may find applications, when the loading of existing structure
increases during service life such as increasing the dam height etc. The detailed outcome of this study is presented in
this paper.
Keywords: Deformation behaviour; Incremental Cyclic Loading; Uniaxial Jacking Test; Quartzite Rock mass; Elastic
Modulus

1 INTRODUCTION
Deformability characteristics involve the estimation of modulus of deformation and modulus of elasticity of rock
mass. As discussed by Harrison and Hudson (2000), rock masses in general are discontinuous, inhomogeneous,
anisotropic, and non-elastic (DIANE). Therefore, modulus of deformation is better term to describe the deformability
of jointed rock mass. ISRM (1975) defines the modulus of deformation of rock mass, as the ratio of the stress to the
corresponding strain during the loading cycle.
In-situ Uniaxial Jacking Tests are simple, quick and economical for evaluation of the deformability of the rock
mass within the zone influenced by the test plates and for the stresses imposed during the test. However, due to
presence of discontinuities in the rock mass, the deformability varies spatially. It has been found from various field
tests that the modulus of deformation is not only stress dependent, but also depends upon number of loading cycles.
Similar findings were made by Pathak et al. (2015), based on the analysis of conventional test data for intra cycles and
inter cycles.
Earlier, Pathak et al. (2018) showed that by increasing number of loading cycles, the rock-mass tends to show
more elastic behaviour based on in-situ tests. Further, Senthil P et al. (2019) showed that with increasing number of
repetitions of the loading-unloading cycle, the incremental deformation, between two consecutive loading cycles
decreases and elastic recovery increases.
In this paper, study is carried out on the results of three uniaxial jacking tests, where 7 incremental loading cycles
were applied beyond 5 conventional incremental cycles. The effect of incremental loading on deformability
characteristics of rock mass is discussed.
2 DEFORMATION MODULUS
Deformation modulus of rock mass is a primary parameter for design of tunnels, dam foundations and designing
the support system for underground excavations, underground chambers and mines. Deformation modulus governs
the strain conditions in the rock mass; thereby estimating convergence of underground openings, settlement of
foundation strata because of proposed structure and for deciding rock supports.
Deformation modulus increases with applied stress. As discussed by Hari Dev et.al. (2020), higher applied stress
may not always result in an increase in modulus because of severe deformations or the breaking of fragile rock mass
fabric.
To determine the deformability characterization of rock mass, various in-situ tests are in practice. In-situ Uniaxial
Jacking Test (UJT) is normally adopted considering their area of tests influenced, simplicity and techno-economic

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 Behaviour of Quartzite Rockmass under Incremental Cyclic Loading

viability. UJT on rock mass is conducted by loading and unloading of rock mass uniaxially to observe the stress-
deformation behaviour of rock mass.
The choice of the design value for the in-situ modulus of deformation or elastic modulus thus becomes a matter
of engineering judgement and anticipated maximum stress on the foundation media due to the structure (IS-
7317:2020). Modulus of deformation (Edm) was calculated by considering total deformation during a particular loading
cycle using Eq. 1.
𝑃𝑃(1 − 2 )
𝐸𝐸𝑑𝑑𝑑𝑑 = 𝐸𝐸𝐸𝐸. 1
2𝛿𝛿𝛿𝛿
where, Edm = modulus of deformation;  = Poissons ratio of the rock; 𝛿𝛿 = deformation of the test plate in one loading
cycle; P = Total load on the test plate; and R = Radius of test plate. Further substituting, elastic deformation, Eq.1
gives value of elastic modulus (Eem).
3 IN-SITU TESTS
Test setup for in-situ UJT assembly and deformation measuring arrangement are followed as per (IS-7317:2020).
Detailed testing procedures and site preparation methods can be referred to ISRM (1981), ASTM D 4394 and IS-
7317:2020. The deformability of rock mass depends upon applied stresses. Thus, the UJT are conducted by applying
stress expected by the proposed structure.
In this study, the behaviour of rock mass under incremental loading upto 7 cycles and respective deformations
were observed. Each cycle of loading is carried out in 5 to 10 increments and unloading is done in similar loading
steps. The maximum stress applied in the tests is 4.90 MPa which is 1.4 times higher than the peak stress. The test
data of three such tests carried out in Quartzite rock type has been studied and results are discussed.
4 BEHAVIOUR OF ROCK MASS IN INCREMENTAL CYCLIC LOADING
From the UJT data of three tests conducted on quartzite rock mass, stress-deformation plot, total deformation in
each cycle, elastic deformation in each cycle and calculated E dm, Eem and Eem/Edm ratio are presented. The result of
first loading cycle is not considered as it may not be representative of actual rock mass behaviour and is ignored in
the analysis (Pathak et. al., 2013).
4.1 UJT-1
Results of UJT-1 show that, total deformation increases from 0.60 mm to 0.75 mm (25%) after conducting two
more additional incremental cyclic loading from 5 th to 7th cycle. The value of Edm increases from 2.80 GPa to 3.13
GPa due to increase in stress levels from 3.50 MPa to 4.90 MPa. Elastic recovery varies from 0.49 mm to 0.64 mm
after two additional cycles. Modulus ratio (Eem/Edm) reduced marginally from 1.21 to 1.17 after additional two cycles
(5th to 7th) of incremental loading. The test results of UJT-1 and calculated parameters are shown in Table-1 and Stress
Vs Deformation curve is shown in Fig.1.
Table 1 Result of UJT-1.

Applied Stress Total Elastic Edm(GPa) Eem(GPa) Ratio of

(MPa) deformation(mm) recovery(mm) Eem/Edm
0.70 0.77 0.06 0.43 5.83 13.48
1.40 0.47 0.22 1.41 3.05 2.16
2.10 0.54 0.25 1.84 3.94 2.14
2.80 0.55 0.40 2.46 3.39 1.38
3.50 0.60 0.49 2.80 3.38 1.21
4.20# 0.67 0.56 2.99 3.62 1.21
4.90## 0.75 0.64 3.13 3.66 1.17
#-Incremental cycle-1; ##-Incremental cycle-2

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 Vijay, Senthil P., Sarwade D.V. and Hari Dev

Fig. 1 UJT-1 Stress-Deformation Plot

4.2 UJT-2
The UJT-2 results demonstrate that after two more incremental cyclic loading i.e., from the fifth to the seventh cycle,
the overall deformation increases from 0.74 mm to 0.88 mm (19%). An increase in stress levels from 3.50 MPa to
4.90 MPa, the value of Edm rises from 2.26 GPa to 2.67 GPa whereas elastic recovery ranges from 0.66 mm to 0.77
mm and modulus ratio (Eem/Edm) slightly rise from 1.12 to 1.15. Table- 2 displays the UJT-2 test results and computed
parameters, while Fig. 2 resents the Stress Vs Deformation curve.
Table 2 Result of UJT-2
Applied Total Elastic Edm(GPa) Eem(GPa) Ratio of
Stress(MPa) deformation(mm) recovery(mm) Eem/Edm
0.70 0.81 0.25 0.41 1.31 3.19
1.40 0.62 0.45 1.09 1.51 1.39
2.10 0.65 0.50 1.56 1.99 1.28
2.80 0.70 0.57 1.91 2.34 1.23
3.50 0.74 0.66 2.26 2.54 1.12
4.20# 0.81 0.72 2.49 2.81 1.13
4.90## 0.88 0.77 2.67 3.07 1.15
#-Incremental cycle-1; ##-Incremental cycle-2

Fig. 2 UJT-2 Stress-Deformation Plot

4.3 UJT-3
According to UJT-3 results, the overall deformation increased by 14%, i.e., from 0.84 mm to 0.96 mm, between
the fifth and seventh cycles of incremental cyclic loading. As there is increase in stress levels from 3.50 MPa to 4.90
MPa, the value of Edm rises from 1.99 GPa to 2.44 GPa. After two additional cycles of incremental loading (the fifth
and seventh), elastic recovery ranges from 0.59 mm to 0.75 mm and the modulus ratio (E em/Edm) reduced from 1.42
to 1.28. Table 3 displays the test data for the UJT-3 and the estimated parameter, while Fig. 3 displays the Stress Vs.
Deformation curve.

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 Behaviour of Quartzite Rockmass under Incremental Cyclic Loading

Table 3 Result of UJT-3

Applied Total deformation(mm) Elastic Edm(GPa) Eem(GPa) Ratio of
Stress(MPa) recovery(mm) Eem/Edm
0.70 0.69 0.11 0.48 2.91 6.02
1.40 0.72 0.31 0.93 2.18 2.34
2.10 0.75 0.41 1.34 2.48 1.85
2.80 0.80 0.51 1.69 2.61 1.55
3.50 0.84 0.59 1.99 2.84 1.42
4.20# 0.90 0.69 2.24 2.91 1.30
4.90## 0.96 0.75 2.44 3.12 1.28
#-Incremental cycle-1; ##-Incremental cycle-2

Fig. 3 UJT-3 Stress-Deformation Plot

5. DISCUSSIONS
In this paper, results of three in-situ deformability tests conducted in Quartzite rock mass are discussed. The tests
were continued beyond conventional deformability tests to study the behaviour of rock mass i.e upto 7 incremental
loading cycles instead of five cycles. The average values of the observed values of total deformation, elastic
deformation in each cycle and calculated Edm, Eem and Eem/Edm are given of Table 4.
Table 4 Average of three UJT Results
Cycle Applied Average Average Elastic Average Average Average
Number Stress(MPa) deformation recovery(mm) Edm(GPa) Eem(GPa) Ratio of
(mm) Eem/Edm
1 0.70 0.75 0.14 0.44 3.35 7.61
2 1.40 0.60 0.32 1.14 2.24 1.96
3 2.10 0.64 0.38 1.58 2.80 1.77
4 2.80 0.68 0.49 2.02 2.78 1.37
5 3.50 0.72 0.58 2.35 2.92 1.24
6 4.20 0.79 0.65 2.57 3.11 1.21
7 4.90 0.86 0.72 2.74 3.28 1.19
To study the pattern of observed and calculated parameters from UJT tests, the average values of observed total
deformation, deformation modulus (Edm), Eem/Edm ratio were plotted against number of cycles and shown in Fig. 4.

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 Vijay, Senthil P., Sarwade D.V. and Hari Dev

(a) Plot between Number of Cycles and Observed

(a) Plot between Number of Cycles and
Deformation
Deformation Modulus

(c) Plot between Eem/Edm Ratio and Number of

Cycles
Fig. 4 Combined plot between Number of Cycles and Average UJT Results
From Fig. 4 it is inferred that, total deformation is increasing except first cycle, Edm is increasing logarithmically
with number of loading cycles and Eem/Edm ratio rapidly falls upto cycle-2 then further getting decreased till 4th cycle.
Further, the ratio approaches asymptotic value about 1.2 at stress level of 4.90 MPa. The value of Eem is relatively
higher in the 1st cycle; and it signifies that there is more permanent deformation in the first cycles and less elastic
recovery. Later, Eem is getting increased as the number of incremental loading cycle increases. It denotes that recovery
of deformation is more and permanent deformation gets reduced in the subsequent cycles.
In order to highlight the effect of additional incremental cyclic loading, comparison of 5th cycle to 7th cycles is
shown in Fig. 5. Test results show that total deformation increases from 0.72 mm to 0.86 mm (16%) after two
additional incremental cyclic loading from 5th to 7th cycle. The value Edm increases from 2.35 GPa to 2.74 GPa whereas
elastic recovery varies from 0.58 mm to 0.72 mm due to increase in stress levels in 5th to 7th cycle. Modulus ratio
(Eem/Edm) reduced from 1.24 to 1.19 during additional two cycles (5th to 7th) of incremental loading.

Fig. 5 Incremental Number of Cycles and Average UJT Results

This study may find applications while increasing the loading of existing structure during service life such as
increasing the dam height etc.

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6. CONCLUSIONS
Based on the UJT conducted upto seven cycles of incremental loading and unloading in quartzite rock mass the
following conclusions are derived:
 Deformation modulus is not a constant parameter and depends on applied stress level. As stress level
increases, deformation modulus also increases.
 The value of modulus ratio (Eem/Edm) reduces and reaches asymptotic value of about 1.2 beyond 5th cycle of
loading and unloading.
 Increasing the number of incremental cycle, the value of deformation modulus is getting improved. This
indicates that stiffening of rock mass takes place, as the number of incremental cycles are increased, until it
does not cause formation of additional / new fractures or crushing of rock material.
 Elasticity modulus in general, shows increasing trend with increased number of cycles of loading and
unloading except in the first cycle. It signifies that elastic recovery increases as the number of cycles increases
and permanent deformation is getting reduced.
It is recommended that the study of behaviour of incremental cyclic loading can be extended in other types of
rock mass as well.
ACKNOWLEDGEMENTS
This work was supported by Central Soil and Materials Research Station, New Delhi. Authors wish to thank
Director, CSMRS for motivation and support for the research work.
REFERENCES
ASTM D4394-17, “Standard Test Method for Determining In Situ Modulus of Deformation of Rock Mass” Using
Rigid Plate Loading Method, ASTM International, West Conshohocken, PA, 2017.
Harrison, J.P. and Hudson, J.A., (2000) Engineering on rock mechanics. Part 2: Illustrative workable examples. In
Sarkka P, Eloranta P, editors. Oxford: Pergamon.
ISRM, 1975. Commission on Terminology, Symbols and Graphic Representation. International Society for Rock
Mechanics (ISRM).
IS 7317 (2020): Indian Standard code of practice for “Uniaxial Jacking test for modulus of deformation of rock”,
Bureau of Indian Standards, New Delhi.
ISRM (1981): International Society for Rock Mechanics (ISRM) suggested methods for rock characterization, testing
and monitoring, Editor: E.T. Brown, Published by Pergamon press, pp. 1–211.
Hari Dev, S.L.Gupta(2020).”Stress-deformation Behaviour of Feldspathic Gneisses as Foundation Medium for a
278m High Concrete Gravity Dam in Eastern Himalayas”, Proceedings of Indian Geotechnical Conference 2020
December 17-19,2020,Andhra University, Visakhapatnam.
Pathak, S, Ramana, G.V., Gupta, V.K., Dev, H, Singh, R (2013). “Statistical Approach for Rock Mass Deformability
Characterization”, Proceedings of Indian Geotechnical Conference on Geotechnical Advances and Novel
Geomechanical Applications, Roorkee, ISBN: 978-81–925548–1–5.
Pathak S, R.P. Yadav, G.V. Ramana, Hari Dev (2015), “Normal Stress Dependent Deformability of Rock Mass”, 5th
Young Indian Geotechnical Engineers Conference, 14–15 March 2015, Baroda, ISBN978–1–4276–5527–1.
Pathak Shashank, G.V. Ramana, Senthil P, Hari Dev and R.P. Yadav (2018). “Deformability Characteristics of Augen
Gneisses–A Case Study”, Proceedings of the National Conference on Challenges in Geotechnical Investigations,
Analysis, Design and Construction of Foundations, 13–14 April 2018, Goa, India. ISBN: 978-93-86724-76-2 155-
161.
Senthil P, Pathak Shashank, Sarwade D V, Hari Dev (2019). “Behaviour of Gneiss Rockmass under repetitive Cyclic
loading”, Indian Conference of Geotechnical and Geoenvironmental Engineering (ICGGE-2019) March 01-02,
2019 MNNIT Allahabad, Prayagraj, India.

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 Theme 01 - Emerging D.
techniques for rock
Kumar, S. Matia and and
PSK rock mass characterisation
Murthy

Correlation between Ultrasonic Pulse Velocities with Physico-Mechanical Properties of

Gneissic Rocks from Eastern India

D. KUMAR1, S. MATIA2 AND PSK MURTHY3

1
Scientist C, 2Scientist B, 3Scientist D, Central Soil and Material Research Station, New Delhi
e-mail:santumatia2@gmail.com)

ABSTRACT: The non-destructive techniques in the prediction of rock strength are utmost important in the
economical design of structures which were built on or in the rock. In the literature various correlations between the
ultrasound pulse velocities (primary and shear) and engineering characteristics of rock have been established, which
sometimes overestimates or underestimates the strength when applied to different types of site-specific rocks. In the
present study, five variants of gneissic rocks comprising, Biotite gneiss, Granite gneiss, Quartz gneiss, Hornblende
gneiss and Quartzo feldspathic gneiss obtained from Chotanagpur Plateau of Eastern India, were investigated for
various physical and mechanical properties. Based on test data, correlations were developed between ultrasound pulse
velocities, UPV (primary and shear) with UCS, dry density, saturated density and grain density using linear regression
analysis as well as multiple regression analysis. The outcome revealed strong linear positive correlation of UCS with
UPV than relationship with densities. On comparison, the dry density data has shown a good correlation (coefficient
of determination, R2= 0.8) with UPV (both in, primary and shear) than other densities. These correlations can at best
be used as a guess estimate for the evaluation of UCS in gneissic rocks by simple non-destructive technique-ultrasonic
pulse wave velocity.

Keywords: Correlation, Ultrasonic pulse velocity (UPV), Unconfined compressive strength (UCS), Gneissic rocks

1 INTRODUCTION
Unconfined compressive strength (UCS) is the most significant property for characterization of rock for
engineering purposes. UCS testing is a destructive test that takes a substantial amount of time, expertise, and money.
It also necessitates a significant amount of effort for sample extraction and preparation. Despite considerable effort,
certain rocks are so fragile and fractured that adequate samples could not be collected from a bore hole or a segment
of a bore hole containing the specific rock. As a result, calculating UCS values from such a small sample size is
problematic. In such cases, UCS can also be determined using the correlation equation of UCS of the same or similar
type of rocks.
Existing literature indicates that significant investigations have been conducted to find the relationships between
UCS, indirect tensile strength, physical characteristics with Ultrasonic Pulse velocity (i.e. P-wave velocity, S-wave
velocity). Chary et el. (2006) investigated the engineering properties of sandstone and observed a strong correlation
between engineering properties of the rock and P-wave velocity. Lai et el. (2016) discovered a strong empirical
equation between UCS and ultrasonic pulse (P-wave) velocity in Granite and schist.
Further, several studies produced correlation equations for UCS and other mechanical properties with P-wave
velocity. Altindag R. (2012) used simple and multiple regression analysis to show a linear connection of UCS with P-
wave velocity and tensile strength in sedimentary rocks. Karaman et el. (2015) investigated the relationship between
UCS, Brazilian, and triaxial tests and concluded that calculation of UCS and Cohesion (C) using the Brazilian test is
reliable and robust. Khandelwal M. (2013) developed correlation formulae for P-wave velocity with UCS, indirect
tensile strength, punch shear strength, slake durability index, Young modulus, impact strength index, and schmidt
hammer rebound number.
Density functions were also used to determine correlation. Rahmouni et el. (2013) revealed a strong relationship
between P-wave velocity and porosity, dry density, and saturated density. Abdaqadir Z. and Alshkane Y. (2018)
established a correlation equation between UCS, indirect tensile strength, and density functions where results revealed
a weak relationship between UCS and density functions.
Chawre B. (2018) assessed the relation of engineering properties with P-wave velocity and S-wave velocity for
Quartz mica schist and concluded that UCS is highly correlated to either P-wave velocity only, or P-wave velocity
and S-wave velocity both.
According to available research, there exist significant numbers of correlations between many engineering
characteristics of rocks. However, the correlation equations vary depending on the type and origin of the rocks. The
correlation equation changes even depending on the location of the rock. Altindag R. (2012) strongly suggested that
correlation should be performed based on the geological origin of the rock. Chawre B. (2018) further showed that
general equations comprising all kinds of rock do not produce accurate results and have substantial variation errors.

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Rocks from Eastern India

As a result, developing a correlation for a specific rock or a group of similar rocks is most important for its future
applicability.
Chary et el. (2006), Altindag R. (2012), Rahmouni et el. (2013), and Khandelwal M. (2013) established the
correlations on sedimentary rocks. Khandelwal M. (2013), Karaman et el. (2015) and Lai et el. (2016) investigated
the relationships between Quartzite, Granite, basalt, and other igneous rocks. Singh et el. (2017) and Abdaqadir Z.
and Alshkane Y. (2018) explored the relationships between phyllitic Quartzite, Quartzitic phyllite, magmatic gneiss,
gneiss phyllite, schist, slates, hornblends, and marble as metamorphic rocks. Chawre. B (2018) established a
correlation equation for calculating UCS and other mechanical parameters from P- and S-wave velocity for a particular
metamorphic rock, mica schist. However, no such study exists for generating correlation, especially for gneiss rock,
a prominent metamorphic rock found in India. In view of this, an attempt is made here to establish a correlation
between the ultrasonic pulse velocity and other physico-mechanical characteristics of gneissic rocks found on the
Chotanagpur Plateau in eastern India.
The main objective of this research is to evaluate mechanical properties using non destructive technique namely
ultrasonic pulse velocities. For this purpose, five variants of gneissic rocks comprising, Biotite gneiss, Granite gneiss,
Quartz gneiss, Hornblende gneiss and Quartzo feldspathic gneiss obtained from Chotanagpur Plateau of Eastern India,
were investigated for various physical and mechanical properties and an attempt has been made to establish
correlations with ultrasonic pulse velocities (primary and shear).
2 EXPERIMENTAL WORK
Five variants of gneisses namely Biotite gneiss, Granite gneiss, Quartz gneiss, Hornblende gneiss and Quartzo
feldspathic gneiss, were tested in the laboratory for evaluating UCS, VP and VS, dry density, saturated density, and
grain density as per ISRM suggested methodology. For the above test parameters, Biotite gneiss from four locations
of each 106, 33, 49 & 85 specimens; Granite gneiss from two locations of each 44 & 61 specimens; Quartz Biotite
gneiss from one location of 49 specimens; Hornblende gneiss from one location of 122 specimens; and Quartzo
feldspathic gneiss from one location of 33 specimens were tested. Total 572 specimens were tested for various
properties and parameters of rock.

2.1 Methodology

As discussed earlier, ISRM suggested methodology was used in investigation of properties and parameter of rock.
The detailed procedures are as follows:

Identification of physical properties

(1) Bulk density (dry/saturated): Five rock lumps of approximately 50 gms are selected as representative sample.
Two specimens are produced from each lump. From such five lumps, a total ten specimens are produced which forms
one sample. Each specimen is brushed to get rid of any dust. It is ensured that each specimen contains a minimum
size that is at least 10 times larger than its maximum grain size. The specimens are put in a container, dried in an oven
at 105 °C to a consistent mass, and then cooled in desiccators for 30 minutes. After the oven-dry, the mass (A) of the
specimen is measured. The bulk volume (V) of the specimen is then measured using the mercury-displacement
method. The mercury that has stuck to the specimen is carefully scraped off, making sure that no fragments are lost.
Then, the specimens are saturated using a special saturation chamber, where they are kept submerged in water.
Then, a vacuum is applied for six hours. After that, the saturated specimen’s mass (B) is measured. For each specimen,
the procedures are repeated, and the properties are computed as follows:

ρdry = A/V (1)

ρsat = B/V (2)

Where, ρdry and ρsat stand for the dry density and saturated density respectively.

(2) Grain density: The mass (C) of a clean, dry specific gravity (grain density) bottle with a stopper is obtained.
The bottle is filled with non-reactive kerosene oil and warmed to a constant temperature in a temperature bath. The
liquid level in the specific gravity bottle is precisely maintained to the 50 ml mark. The specific gravity bottle is then
taken from the constant temperature bath, the stopper is put, and the mass (D) of the bottle is measured. The specific
gravity bottle is then emptied and dried.

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Five lumps of a specific rock material each weighing 30 to 50 g are powdered to a grain size not exceeding 150
µm and then, oven-dried. Each lump produces two specimens. So, total ten specimens are prepared for one
representative sample of rock. Each specimen of around 15g of powder material are selected and poured into specific
gravity bottle with the use of a funnel. The mass of the bottle, samples & stopper is measured together as (E).
A sufficient amount of kerosene oil is poured into the bottle containing the sample to fill 3/4 of the bottle and
thoroughly wet the sample. The specific gravity bottle is then placed in a constant temperature water bath and slowly
boiled to remove the air that has adhered to the particles. The bottle is then taken from the water bath and allowed to
cool before adding kerosene oil to get the liquid level up to the 50 ml standard. Then the mass (M) is measured.
The preceding stages are carried out for each powder sample. The grain density (in grams per cubic centimeter)
is calculated as follows:

0.8(𝐸𝐸−𝐶𝐶)
ρgrain = (𝐷𝐷−𝐶𝐶)−(𝑀𝑀−𝐸𝐸) (3)

Where, the density of kerosene oil is 0.8 g/cm3.

Ultrasonic Pulse Velocity (compressional and shear)

The ultrasonic pulse wave method is used to calculate the P-wave (primary/compressional/longitudinal wave) and
S-wave (secondary/shear/transverse wave) velocities. The specimen is placed in physical contact with two
piezoelectric transducers, one acting as the transmitter and the other as the receiver, using a suitable contact medium.
For P-wave transmission/reception, a thin film of grease is applied to couple the transducer elements to the end planes
of the sample, whereas firm coupling is done for S-wave transmission. A pulse generator in the apparatus delivers a
short-duration electrical pulse to the driver transducer, which transmits the wave to the specimen. After passing across
the length of the specimen, the pulse is picked up by the receiving transducer. To determine the travel time, an
oscilloscope with a time delay circuit is used to display both the direct pulse and the first arrival of the transmitted
pulse. The zero time of the circuit is determined, and a correction to the measured travel time is applied. The velocities
of either the P- or S- wave are determined as follows:

VP, VS = S/t (4)

Where, VP denotes the P-wave velocity (km/s), VS denotes the S-wave velocity (km/s), S denotes the wave's
distance travelled (mm), and t denotes the travel time (micro sec).

Unconfined compressive strength (UCS)

A loading machine is used to determine the UCS of specimens. The rock specimens are axially loaded between
the platens of a universal testing machine until they fail. At failure, compressive strength of the sample is called as
UCS.
σC = P/AS (5)

Where, σC is the UCS (MPa), P is the applied force at failure (N), and A S is the specimen's initial cross-
sectional area (mm2)

3 RESULTS AND DISCUSSION

Results for the samples were calculated from specimen test results following the "International Society for Rock
Mechanics (ISRM) suggested methods" guidelines. To get the recommended value of a sample, the most implausible
values were eliminated. After the samples' results were analyzed, correlations between them were found.
Variation and range of test results of UCS, UPV and physical properties were mostly acceptable. Biotite gneiss
(BG), Granite gneiss (GG), Quartz Biotite gneiss (QBG), Hornblende gneiss (HG), and Quartzo feldspathic gneiss
(QFG) have UCS values ranging from 43-139 MPa, 57.7-125.5 MPa, 40.4-92.2 MPa, 58.4-104.5 MPa, and 62.4-123.4
MPa, respectively. Figure 1 depicts the variation in UCS values of the specimens. Figure 2 and 3 depict the variation
in VP, VS values of the specimens. Figure 4 depicts the variation in the physical properties of the specimens of each
rock variants.

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Rocks from Eastern India

Fig. 1 Variation of UCS of different rock specimens Fig. 2 Variation of UPV (VP) valuesof different rock
specimens

Fig. 3 Variation of UPV (VS) values of different rock Fig. 4 Variation of different densities of rock specimens
specimens
Correlation between UCS, P wave and S wave velocity, and dry density, saturated density and grain density are
developed from the test results. For the purpose of determining the best correlations, many equations were attempted.
The majority of best correlations result in linear equations. The correlation equations were found using a simple
regression analysis. The multiple regression approach is also used to improve correlations.
3.1 Simple Regression Analysis

The dataset was studied using least squares linear regression, and the correlation coefficient (R 2) for every
equation was determined.

Unconfined Compressive Strength (UCS) Vs P-wave velocity (VP) and S-wave velocity (VS)
Relationship analysis was used to identify correlations between UCS, P-wave, and S-wave velocity. The
relationships were stated in Equations 6-7. The correlation coefficients (R2) for linear correlations between UCS and
P-wave velocity is 0.914 whereas, correlation coefficients (R2) for linear correlations between UCS and S-wave
velocity is 0.901. Thus, the results indicate that there are strong relationships between UCS, and P-wave and S-wave
velocity. Figures 5-6 show the plots of these correlations.

σC = 9.477VP + 44.87 (R2 = 0.914) (6)

σC = 31.67VS + 11.35 (R2 = 0.901) (7)

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Fig. 5 UCS Vs P-wave velocity Fig. 6 UCS Vs wave velocity

P-wave velocity (VP) Vs Physical properties (dry density, saturated density and grain density)
Relationship studies were performed to characterize the correlation between P-wave velocities and the dry,
saturated, and grain densities of the investigated rock samples. The values of P-wave velocity (VP) of rock samples
were correlated with the dry density, saturated density, and grain density of the same source of samples. Figure 7
shows the correlation graph of P-wave velocity (VP) as a function of densities. The graphs of VP-dry density, VP -
saturated density, and VP -grain density indicate a linear relationship. A strong relationship exists between VP and dry
density. Correlations between VP and saturation density, and VP and grain density, on the other hand, show moderate
and weak relationship. The following are the equations and correlation coefficients for these relationships:

VP = 0.004ρdry – 7.943 (R2 = 0.788) (8)

VP = 0.004ρsat – 7.148 (R2 = 0.518) (9)

VP = 0.002ρgrain – 4.217 (R2 = 0.345) (10)

Fig. 7 P-wave velocity Vs dry density, saturated density and grain density

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Fig. 8 S-wave velocity Vs dry density, saturated density and grain density

S-wave velocity Vs Physical properties (dry density, saturated density and grain density)
Relationship studies were also performed to characterize the correlation between S-wave velocities and the dry,
saturated, and grain densities of the investigated rock samples. Figure 8 shows the correlation graphs of S-wave
velocity (VS) as a function of different densities. The graphs of VS- dry density, VS- saturated density, and VS- grain
density indicate a linear relationship. A strong relationship is found between VS and dry density. Correlations between
VS and saturation density, and VS and grain density, on the other hand, show moderate and weak relationship. The
following are the equations and correlation coefficients for these relationships:
VS = 0.0016ρdry – 2.391 (R2 = 0.868) (11)

VS = 0.0012ρsat – 1.289 (R2 = 0.567) (12)

VS = 0.0008ρgrain – 0.173 (R2 = 0.326) (13)

Unconfined Compressive Strength (UCS) Vs Physical properties (Dry density, Saturated Density and Grain
Density)
Relationship analysis was performed to predict relationships between UCS and dry density, saturated density and
grain density. The correlations are given in Equations 14-16. The correlation coefficient (R2) of the equations shows
that there are weak relationships between UCS and dry density, saturated density, grain density, and porosity. The
graph of these correlations is shown in Figure 9.

σC = 0.04ρdry – 26.99 (R2 = 0.285) (14)

σC = 0.034ρsat – 10.24 (R2 = 0.244) (15)

σC = 0.035ρgrain – 15.17 (R2 = 0.338) (16)

Fig. 9 UCS versus dry density, saturated density and grain density

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3.2 Multiple Regression Analysis

Multiple linear regression analysis was also performed utilizing Microsoft Office Excel statistical tools and
algorithms to correlate UCS values with P- and S-wave velocities and rock physical properties. The following
formulae were developed to predict the UCS of rock samples:

σC = 0.042ρgrain - 0.052ρdry + 29.93VP –61.51VS+127.79 (Adjusted R2 = 0.75) (17)

ρdry= 185.32VP -175.001VS+2389 (Adjusted R2 = 0.607) (18)

The multiple regression models to predict the UCS from P-wave velocity, S-wave velocity, dry and grain density
is summarized in Tables 1 to 2.

Table 1 Multiple regression model for prediction of UCS from dry density, grain density, P & S-wave velocity
Coefficients Standard Error t Stat P-value Remarks
Intercept 127.7939734 40.98291545 3.118226 0.035588 Significance F =0.043
Dry Density -0.05251413 0.059025176 -0.88969 0.423905 Adjusted R Square =0.75
Grain Density 0.042043489 0.05706152 0.73681 0.502118
P-wave velocity 29.93307106 7.986811456 3.747812 0.019985
S-wave velocity -61.5134552 28.1653889 -2.18401 0.094321

Table 2 Multiple regression model for prediction of Dry density from P& S-wave velocity
Coefficients Standard Error t Stat P-value Remarks
Significance
Intercept 2389.029 96.735 24.697 0.000 F = 0.025
P-wave velocity 185.324 54.367 3.409 0.014 Adjusted
S-wave velocity -175.001 51.329 -3.409 0.014 R sq = 0.607

Table 1 reveals the outcome of multiple regression model for prediction of UCS from dry density, grain density,
P-wave and S-wave velocity. In the table, the P-value shows the statistically significant relationship between the
dependent and independent variables. Here, P-value for P-wave velocity is substantially less than 0.05, but the P-value
for S-wave velocity is a little higher than 0.05. So, UCS is strongly related with P-wave velocity in comparison with
S-wave velocity. The other two independent variables, dry density and grain density, are very poorly related with
UCS, since, the P-values in the multiple regression model are substantially higher than 0.05. As a result, P-wave
velocity and S-wave velocity are better parameters in a multiple regression analysis to correlate rock properties.
However, P-wave velocity correlates better with the UCS than S-wave velocity.
Table 2 shows the results of the regression model for predicting dry density from P-wave and S-wave velocity.
Since the P-values of P-wave velocity and S-wave velocity are substantially smaller than 0.05, both of these
independent variables are strongly related with dry density. As a result, the generated multiple regression model has
a good level of accuracy in predicting dry density from P-wave and S-wave velocity.
Figures 10 and 11 show the graphs of measured and predicted values of UCS and dry density from the multiple
regression models, equations 17 and 18, respectively. In Figures 10 and 11, the coefficients of determination of the
best fit lines are 0.87 and 0.67, respectively. As an outcome, the accuracy of the regression models is quite good since
the coefficients of determination are near to 1.

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 Correlation between Ultrasonic Pulse Velocities with Physico-Mechanical Properties of Gneissic
Rocks from Eastern India

Fig. 10 Predicted UCS Vs measured UCS Fig. 11 Predicted dry density Vs measured dry density
4 CONCLUSION
Five variants of gneissic rocks comprising, Biotite gneiss, Granite gneiss, Quartz gneiss, Hornblende gneiss and
Quartzo feldspathic gneiss obtained from Chotanagpur Plateau of Eastern India of total 572 specimens were
investigated. Correlations were developed between ultrasound pulse velocities, UPV (primary and shear) with UCS,
dry density, saturated density and grain density using linear regression analysis as well as multiple regression analysis.
Based on study, the following conclusions were drawn:
 P-wave (VP) and S-wave (VS) velocity strongly correlate with UCS in gneissic rocks with R2=0.90. When these
two parameters are compared, P-wave velocity is better correlated than S-wave velocity.
 On comparison, the dry density data has shown a good correlation (coefficient of determination, R 2= 0.8) with
UPV (both in, primary and shear) than other densities.
 There is a very weak correlation between UCS and density functions. As a result, predicting UCS using density
functions such as dry density, saturated density and grain density is not suggested.
 These correlations can at best be used as a guess estimate for the evaluation of UCS in gneissic rocks by simple
non-destructive technique-ultrasonic pulse wave velocity. Although the correlations are relevant to any type of
gneissic rocks, precaution should be taken before application since the behavior of rock is dependent on its
geological formation and origin.

ACKNOWLEDGEMENTS
The authors are grateful to the Director, CSMRS for the continuous support and technical guidance. The authors
also like to thank the Rock Mechanics lab officials for providing valuable suggestions and guidance for this work.

REFERENCES
Abdaqadir, Z., Alshkane, Y. (2018), “Physical and Mechanical Properties of Metamorphic Rocks”, Journal of
Garmian University. doi: 10.24271/garmian.334.
Altindag R. (2012), “Correlation between P-wave velocity and some mechanical properties” The Journal of The
Southern African Institute of Mining and Metallurgy.
Boulanouar, A, Boukalouch, M. (2013), “Prediction of Porosity and Density of Calcarenite Rocks from P-Wave
Velocity Measurements”, International Journal of Geosciences, 4, 1292-1299.
Castagna, J. (2016), “Relationship between compressional and shear ‐ wave velocities in classic silicate rocks
Relationships between compressional-wave in elastic silicate rocks”, Society of Exploration Geophysics.
Chary, K. B., Sarma, L., Prasanna Lakshmi K. J., Vijayakumar, N. A., Lakshmi, V. N., Rao, M. V. M. S. (2006)
Evaluation of Engineering Properties of Rock Using Ultrasonic Pulse Velocity and Uniaxial Compressive Strength.
National Seminar on Non-Destructive Evaluation.
Chawre, B. (2018), “Correlations between ultrasonic pulse wave velocities and rock properties of Quartz-mica schist”,
Journal of Rock Mechanics and Geotechnical Engineering, doi: 10.1016/j.jrmge.2018.01.006.
Khandelwal, M. (2013), “Correlating P-wave Velocity with the Physico-Mechanical Properties of Different Rocks”,
Pure and Applied Geophysics, doi: 10.1007/s00024-012-0556-7.

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 D. Kumar, S. Matia and PSK Murthy

Karaman, K., Cihangir, F., Ercikdi, B., Kesimal, A., Demirel, S. (2015), “Utilization of the Brazilian test for estimating
the Uniaxial compressive strength and shear strength parameters”, Journal of the Southern African Institute of
Mining and Metallurgy, doi: 10.17159/2411-9717/2015/v115n3a3.
Lai, G. T., Rafek, A. G., Serasa, A. S., Hussin, A., Ern, L. K. (2016), “Use of ultrasonic velocity travel time to estimate
uniaxial compressive strength of Granite and schist in Malaysia” Sains Malaysiana, 45(2) (2016): 185–193.
Singh, T., Jain, A., Rao K.S. (2017), “Physico-Mechanical Behaviour of Metamorphic Rocks in Rohtang Tunnel,
Himachal Pradesh, India”, Procedia Engineering 191 (2017) 419 – 425 Symposium.
Ulusay R. and Hudson J. A. (Ed.) (2007), “The Complete ISRM Suggested Methods for Rock Characterisation,
Testing and Monitoring”, ISRM (2007),1974-2006, Commission on Testing Methods, International Society for Rock
Mechanics

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 Theme 01
Exploring the- Correlations
Emerging techniques for
between Index rock
Tests and rock mass
of Sandstones. characterisation
A Case Study of Sagipora, Kup-
wara Sandstone of Pohru Formation

Exploring the Correlations between Index Tests of Sandstones. A Case Study of

Sagipora, Kupwara Sandstone of Pohru Formation

AASIF IBNI AHAD1* AND SYED KAISER BUKHARI2

1. Research scholar, Department of Civil Engineering National Institute of Technology Srinagar, J&K 190006
India.
2. Professor, Department of Civil Engineering National Institute of Technology Srinagar, J&K 190006 India.
email: aasif09phd19@nitsri.net, kaiserbukhari@nitsri.ac.in

Abstract: In order to properly design large-scale civil engineering projects that incorporate both surface and
subsurface structures, it is essential to investigate the relationship between the mechanical properties of rocks and
rock masses. To understand the mechanical behavior of rocks and to evaluate stability, analysis of mechanical
features is crucial. The Uniaxial Compressive Strength (UCS) test, Schmidt rebound hardness test, and Brazilian
tensile strength test were performed on sandstone from the Pohru formation in accordance with International
Society for Rock Mechanics (ISRM) and American Society for Testing and Materials (ASTM) standards. The
findings of the statistical analysis revealed an insignificant correlation between the UCS and Brazilian tensile
testing. Due to the heterogeneous character of sandstone, there has been a substantial disparity identified between
the findings of the UCS and Brazilian tests. This has a significant impact on the sandstone's strength and failure
pattern.
Keywords: Index test, Mechanical properties, Pohru formation, Brazilian test, Kupwara sandstone.
1. INTRODUCTION
A typical sedimentary rock that is widely dispersed over the earth's crust is sandstone (Alomari et al., 2023;
Huang et al., 2021). When it comes to large reservoir systems, sandstone is often associated with depositional
basins that are rich in oil and gas. One such example is the Permian Shanxi sandstone that can be found in China
on the southern margin of the Yimeng uplift (J. Li et al., 2021). Additionally, important aquifers for the movement
of pollutants and groundwater can be found in sandstones (Medici & West, 2022). For the design and modelling
of geotechnical structures for underground environments, underground reservoirs for mineral extraction, and
subsurface storage, a knowledge of the strength and deformation characteristics of sandstone is crucial (Yu-hang
et al., 2018). For many uses in rock engineering, knowledge of a rock unit's geomechanical characteristics, such
as unconfined compressive strength (UCS) and Brazilian tensile strength (BTS), can be helpful. However, it can
be expensive and time-consuming to directly measure the geomechanical characteristics of a rock unit. Because
of this, it is preferred by many geology and construction engineers to estimate geomechanical parameters based
on simpler-to-measure physico-mechanical indices (J & G, 2019). Uniaxial compressive strength (UCS), which
is typically between 0.5 and 25 MPa for weak sandstones, is a characteristic that is typically evaluated when
analysing the engineering behavior of weak rock (Knill et al., 1970); Brown 1981). Porosity, water content,
density, and particle size are additional factors that must be taken into consideration. These characteristics are also
known to affect the wave velocity, compressive strength, and slake durability of weak sandstone (Bell and
Culshaw 1993). But when sandstone is properly cemented, quartz or calcite matrix minerals will provide the rock
mass more strength than when a clay matrix is present (Vutukuri et al. 1974; Barton et al. 1993). The UCS of
weak sandstones decreases with increasing particle size, porosity, and water content, according to research by Bell
and Culshaw (1993) and Yuan (1996), and Onodera and Asoka (1980) also observe a drop in rock strength with
increasing particle size (Chen & Hu, 2003) . When designing groundworks and classifying rocks for engineering
purposes, the physicomechanical characteristics of the rocks are the most crucial factors to consider. Both the
American Society for Testing and Materials (ASTM, 1984) and the International Society for Rock Mechanics
(ISRM, 1981a) have standardized the measurement of rock strength. Classifying rock materials and making
decisions regarding their suitability for different construction uses require knowledge of their mechanical
properties (Yaşar & Erdoǧan, 2004). In the oil production process, determining physical and mechanical qualities
is crucial for drilling wells, choosing a completion technology, boosting production, choosing a technologically
viable development option, and monitoring the formation stress-strain state (Penkov et al., 2020).
The purpose of the current research is to examine the mechanical and physical properties of Sagipora
sandstones that are part of the Pohru formation. Brazilian tensile strength testing and uniaxial compression tests
are used to determine the sandstones' peak and tensile strengths. Sandstone's grain size has a significant impact
on its mechanical characteristics. The impact of strain rate on the deformation behaviors of sandstones with
various grain sizes was studied by (Wasantha et al., 2015) and (Yu et al., 2017, 2021). (H. Li et al., 2017) examined
the features of the microstructure in sandstones with various grain sizes. In their studies of the effects of grain size
and cement content on the physical characteristics and mechanical behaviors of weakly solidified artificial
sandstones, (Atapour & Mortazavi, 2018a, 2018b) examined the effects of average particle size on the uniaxial

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 Aasif Ibni Ahad* and Syed Kaiser Bukhari

compressive strength (UCS) of weakly consolidated sandstones (Liu et al., 2022). In the current work, an effort is
made to comprehend the behavior of sandstone, a sedimentary rock that is widely distributed around the world
and is used to build a number of buildings and monuments. And a lot of significant bridges and dams across the
world are built on sandstone as well.
2. STUDY AREA
The study area is located in District Kupwara of Jammu and Kashmir, enclosed by longitudes 34°24'15.93՛՛
to 34°24'21.33՛՛ and latitudes 74°20'25.71՛՛ to 74°21'8.92՛՛ and the district itself falls between 34°19′49.2″-
34°39′22.7″ North Latitude and 73°45′20″ – 74°35′10.00″ East Longitude.This succession (Pohru group) is very
significant stratigraphically because it is the only well-preserved Cambrian formation in Kashmir. The Cambrian
successions, often referred to as the Pohru group, are composed of phyllite, slate, slaty shale, sandstone with
massive, quartzite, and greywacke, according to Shah (1968). It is divided into the Marhaum, Trehgam, Nutunus,
Sagipur, Lolab, and Marinag formations in the Lolab valley and the adjacent areas, which are frequently folded.
The Sagipur formation is a representation of the higher portions of the Lolab formation. The combined Sagipur,
Nutnus, and Trehgam formations demonstrate the numerous and well-preserved middle Cambrian fossils that may
be found in the Nutnus, Kandi, Potushai, Handwara, Wadpora, Taki-wadpora, Khanpora, Kawari, Nilepora,
Jagerpora, and Zacheldara regions (Shah and Sudan, 1982).In a continuous and nearly uninterrupted succession
of rock formations dating from the Earliest Cambrian to Devonian, the Pohru Group is being introduced to the
great thickness of Early to Middle Palaeozoic strata that are so well exposed on either side of the Pohru Valley.
The Pohru Group can be classified into five different lithounits, which are known colloquially as Formations A,
B, C, D, and E, due to the unique lithological properties and faunal richness of these rock formations. In the Pohru
valley, the Lower Middle Cambrian to Lower Cambrian Formation A (Lolab/Sagipora) is visible along the Left
bank hill slopes of the Pohru river. This consists primarily of sandstone, siltstone, quartzite, arenite, and
greywacke, with a thickness of 500 meters (Din, 2003).The generalised stratigraphy of Pohru group is given below
in table 1 and the study area including the sampling site location is shown in figure 1.
Table 1. Generalised stratigraphy of Pohru group
Group Formation Age
Muth Quartzite Devonian
Murhama Silurian-Middle Ordovician
Pohru Group Trehgam Lr. Ordovician- Late Middle Cambrian
Nutunus Middle Cambrian
Sagipora/Lolab Lowe -Middle Cambrian – Lower Cambrian
Marinag Early Lower Cambrian – Precambrian

Figure 1. Lithological Map of the study area Showing sampling site

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 Exploring the Correlations between Index Tests of Sandstones. A Case Study of Sagipora, Kup-
wara Sandstone of Pohru Formation

3. METHODOLOGIES
3.1 Sample Collection and Preparation
The samples were collected from the site as shown in figure 1 and then they were brought to the lab, where
coring was done to get core samples. In the Rock Mechanics Laboratory at NIT Srinagar, ten sandstone specimens
totalling 50mm in diameter and 100mm in height were created. UCS and BTS tests were performed on these
samples.
3.2 Testing Procedure
Utilizing compression testing equipment made by Hydraulic and Engineering Instruments (HEICO), New
Delhi, the specimens' Uniaxial Compressive Strength (UCS) was measured. The testing system's typical load
capacity is 1000 kN. The Brazilian Tensile Strength (BTS) apparatus, manufactured and supplied by Aimil Ltd,
with a maximum capacity of 100 kN, was used to measure the tensile strength. Table 2 displays the various
physico-mechanical characteristics assessed for these specimens. The relation between UCS and BTS: UCS and
Schmidt rebound hardness are shown in figure 2 and 3 respectively.

Table 2. Physico mechanical properties of sandstones evaluated through experimental tests.

Sample no Dry density(g/cm3) Specific UCS BTS Schmidt rebound
gravity (MPa) (MPa) hardness
1 2.23 2.27 133 1.88 49
2 2.35 2.23 131 1.92 35
3 2.27 2.34 123 1.60 29
4 2.19 2.25 132 1.98 40
5 2.37 2.42 118 2.59 25
6 2.39 2.44 122 2.47 32
7 2.24 2.21 134 1.99 45
8 2.29 2.53 132 2.32 40
9 2.26 2.49 128 1.78 45
10 2.28 2.33 126 1.98 38
AV=22.87 AV=2.35 AV=127.9 AV=2.051 AV=37.8

Figure 2. Relation between Uniaxial Compressive Strength and Brazilian Tensile Strength of Pohru
Sandstone

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 Aasif Ibni Ahad* and Syed Kaiser Bukhari

Figure 3: Relation between Uniaxial Compressive Strength and Schmidt Rebound Hardness of Pohru Sandstone
4. RESULTS AND CONCLUSIONS
Sandstone samples from the Pohru formation were gathered and brought to the NIT Srinagar Rock
Mechanics Laboratory for this study. The specimens were prepared, and then index tests were run. Dry density,
specific gravity, and Schmidt hardness are the physical characteristics that were determined in the study. The
uniaxial compressive strength (UCS) and Brazilian tensile strength are among the mechanical characteristics
identified in the study. It has been found that the average value of UCS is 127.9 MPa and hence the rock belongs
to high strong class. However, the BTS is 2.051 MPa. The statistical analysis revealed that a very weak relation
exists between UCS and BTS with R2 value 0.1714 while as a strong correlation exists between UCS and Schmidt
Rebound hardness with R2 value 0.711. Lower values are revealed by the SH results of sandstone samples based
on continuous impacts at a point than those based on single impacts at a point. Due to the repeated impact at the
spot, inherent weakness agents such porosity and micro fissure are increased, resulting in lower SH values
acquired from continuous impacts techniques. This in turn affects the quality of sandstone samples and lowers
their SH values. Further research is also necessary to understand the mechanical behavior mechanism of the radial
deformation of deep sandstone.
5. REFERENCES
Alomari, E. M., Ng, K. W., Khatri, L., & Wulff, S. S. (2023). Effect of Physical Properties on Mechanical
Behaviors of Sandstone under Uniaxial and Triaxial Compressions. Materials, 16(13).
https://doi.org/10.3390/ma16134867
ASTM, 1984. American Society for Testing and Materials. Standard test method for unconfined compressive
strength of intact rock core specimens. Soil and Rock, Building Stones: Annual Book of ASTM Standards,
vol. 4.08. Philadelphia, Pennsylvania.
Atapour, H., & Mortazavi, A. (2018a). The effect of grain size and cement content on index properties of weakly
solidified artificial sandstones. Journal of Geophysics and Engineering, 15(2), 613–619.
https://doi.org/10.1088/1742-2140/aaa14a
Atapour, H., & Mortazavi, A. (2018b). The influence of mean grain size on unconfined compressive strength of
weakly consolidated reservoir sandstones. Journal of Petroleum Science and Engineering, 171, 63–70.
https://doi.org/10.1016/j.petrol.2018.07.029
Barton ME, Mockett LD, Palmer SN (1993) An engineering geological classification of the soil/rock borderline
materials between sands and sandstones. In: Cripps JC, Coulthard JM, Culshaw MG, Forster A (eds) The
engineering geology of weak rock. Eng Group Geol Soc Spec Publ 8:125–138
Bell FG, Culshaw MG (1993) A survey of the geotechnical properties of some relatively weak Triassic sandstones.
In: Cripps JC, Coulthard JM, Culshaw MG, Forster A (eds) The engineering geology of weak rock. Eng Group
Geol Soc Spec Publ 8:139–148
Brown ET (ed) (1981) Rock characterization, testing, and monitoring: ISRM suggested methods. Pergamon,
Oxford, 211 pp
Chen, H., & Hu, Z. Y. (2003). Some factors affecting the uniaxial strength of weak sandstones. Bulletin of
Engineering Geology and the Environment, 62(4), 323–332. https://doi.org/10.1007/s10064-003-0207-4
Din, G. U. (2003). District Survey Report of Kupwara District.

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wara Sandstone of Pohru Formation

Huang, Z., Gu, Q., Wu, Y., Wu, Y., Li, S., Zhao, K., & Zhang, R. (2021). Effects of confining pressure on acoustic
emission and failure characteristics of sandstone. International Journal of Mining Science and Technology,
31(5), 963–974. https://doi.org/10.1016/j.ijmst.2021.08.003
ISRM, 1981a. Rock Characterization Testing and Monitoring, ISRM Suggested Methods. International Society
for Rock Mechanics.211 pp.
ISRM, 1981b. Suggested Methods for Determining Hardness and Abrasiveness of Rocks, Part 3. Commission on
Standardisation of Laboratory and Field Tests, pp. 101– 102.
J, R., & G, W. (2019). Estimating mechanical properties of sandstone from petrographic and physico-mechanical
indices. American Rock Mechanics Association.
Knill, J. L., Cratchley, C. R., Early, K. R., Gallois, R. W., Humphreys, J. D., Newbery, J., Price, D. G., & Thurrell,
R. G. (1970). Geological Society Engineering Group Working Party Report on: The logging of rock cores for
engineering purposes. Quarterly Journal of Engineering Geology and Hydrogeology, 3(1), 1–24.
https://doi.org/10.1144/GSL.QJEG.1970.003.01.01
Li, H., Li, H., Gao, B., Wang, W., & Liu, C. (2017). Study on pore characteristics and microstructure of sandstones
with different grain sizes. Journal of Applied Geophysics, 136, 364–371.
https://doi.org/10.1016/j.jappgeo.2016.11.015
Li, J., Zhang, X., Tian, J., Liang, Q., & Cao, T. (2021). Effects of deposition and diagenesis on sandstone reservoir
quality: A case study of Permian sandstones formed in a braided river sedimentary system, northern Ordos
Basin, Northern China. Journal of Asian Earth Sciences, 213. https://doi.org/10.1016/j.jseaes.2021.104745
Liu, B., Zhang, T., Zhang, H., & Yuan, Q. (2022). Mechanical Properties and Acoustic Emission Characteristics
of Weakly Cemented Sandstone With Different Grain Sizes. Frontiers in Earth Science, 10.
https://doi.org/10.3389/feart.2022.939372
Medici, G., & West, L. J. (2022). Review of groundwater flow and contaminant transport modelling approaches
for the Sherwood Sandstone aquifer, UK; insights from analogous successions worldwide. In Quarterly
Journal of Engineering Geology and Hydrogeology (Vol. 55, Issue 4). Geological Society of London.
https://doi.org/10.1144/qjegh2021-176
Penkov, G., Karmanskiy, D., & Petrakov, D. (2020). Studying the dependencies between the sandstone physical
and mechanical properties and the elastic wave velocity. https://doi.org/10.15593/2224-9923/2020.1.3
Vutukuri VS, Lama RD, Saluja SS (1974) Handbook on mechanical properties of rocks. Trans Tech Publications,
Clausthal, Germany, 280 pp
Wasantha, P. L. P., Ranjith, P. G., Zhao, J., Shao, S. S., & Permata, G. (2015). Strain Rate Effect on the Mechanical
Behaviour of Sandstones with Different Grain Sizes. Rock Mechanics and Rock Engineering, 48(5), 1883–
1895. https://doi.org/10.1007/s00603-014-0688-4
Yaşar, E., & Erdoǧan, Y. (2004). Estimation of rock physicomechanical properties using hardness methods.
Engineering Geology, 71(3–4), 281–288. https://doi.org/10.1016/S0013-7952(03)00141-8
Yuan N (1996) The characteristics study of weak sandstone texture in east part of Taipei basin. MSc Thesis,
National Taiwan University, Taipei, 130 pp
Yu, M., Li, S., Sun, Q., & Wang, S. (2021). Influence of grain size on the strain-rate-dependent dynamic response
of sandstones. Geomechanics and Geophysics for Geo-Energy and Geo-Resources, 7(3).
https://doi.org/10.1007/s40948-021-00273-2
Yu, M., Wei, C., & Niu, L. (2017). The Coupled Effect of Loading Rate and Grain Size on Tensile Strength of
Sandstones under Dynamic Disturbance. Shock and Vibration, 2017. https://doi.org/10.1155/2017/6989043
Yu-hang, G., Bao-zhi, P., Li-hua, Z., & Chuan-hui, F. (2018). Research and application of the relationship
between transverse relaxation time and resistivity index in tight sandstone reservoir. Journal of Petroleum
Science and Engineering, 160, 597–604. https://doi.org/10.1016/j.petrol.2017.01.034

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 Theme 01R.P.
- Emerging
Yadav, K.K.techniques forGupta,
Mishra, Sachin rock and rock
Senthil mass
P. and characterisation
Pankaj Kumar

Variability in Deformation Modulus of Sandstone

– A Study based on Strain Energy Analysis
R.P. YADAV, K.K. MISHRA, SACHIN GUPTA, SENTHIL P. AND PANKAJ KUMAR
Central Soil and Materials Research Station
e-mail: rana_yadav100@yahoo.com
ABSTRACT: Deformation modulus is one of the most important parameter describing characteristics of rock
mass which can be evaluated using various in-situ tests. Among all the available testing methods, uniaxial jacking
test is simple, quick and economical. Study of literature shows that spatial variation of deformation modulus is
common due to discontinuities, rock mass condition, weathering, confinement and precision during site
preparation etc. The modulus values are also influenced by the size and rigidity of test plates as well as the stresses
imposed during the test. In the present study, deformation modulus (Ed) values of sandstone rock mass were
evaluated by conducting in-situ uniaxial jacking tests on left bank of dam axis in two different drifts at EL 650 m
and EL 679 m. The values of Ed are found to be 0.37, 0.55, 0.81, 1.04 and 1.21 GPa in the drift at EL 650 m and
0.07, 0.10, 0.16, 0.19 and 0.39 GPa in the drift at EL 680 m respectively corresponding to the applied stress of
0.7, 1.4, 2.1, 2.8 and 3.5 MPa. These values represent same type of rock mass on same bank of dam axis at
different elevations possesses its own deformability modulus depending on the nature of discontinuities,
environmental conditions and confinement etc. Values of deformation modulus at lower elevations i.e. at 650m
are found more than 3 times higher than the values at elevation 679m. Previous studies by the author established
that energy studies are useful in understanding rock mass deformation behaviour. Moreover, the study shows that
rock deformation is comprehensive result of energy accumulation and its dissipation. In this paper, the variation
of Ed of sandstone has been studied and discussed by means of energy analysis of in-situ test results. The paper
presents the deformational behaviour of rock mass and its variation from perspective of energy conservation and
drift elevation.
Key words: Uniaxial Jacking Test; Energy Analysis; Deformation Modulus; Sandstone
1 INTRODUCTION
Design of engineering structures located in or on the rockmass requires various parameters such as in-situ
deformability characteristics, in-situ shear strength characteristics, in-situ stresses characterization etc. In-situ
deformability characteristics is one of the important parameters. Deformability characteristics involve the
estimation of modulus of deformation and modulus of elasticity of rock mass. Rock is a discontinuous, non-
homogeneous and anisotropic geological medium containing fissures, fractures, and joints, bedding planes, folds
and faults. The discontinuities may exist with or without gouge material. The infilling material in these
discontinuities also varies. The strength of rock mass is governed by the behaviour of these discontinuities and
planes of weakness. The frequency of joints, their orientation with respect to the engineering structures and the
roughness of the joint also have a significant impact on stability of rock structures. Deformation behaviour is very
important for safe and economical design of structures such as dams, bridge abutments, tunnels, underground
powerhouse etc. Characterization of deformation behaviour of rock mass requires appropriate interpretation,
experience and understanding of the in-situ observations.
Investigations of deformation mechanisms of rock mass, the energy analysis method has been applied
because of its advantages in compensating for the deficiencies of classical elastoplastic mechanics theory (Heping
Xie et al 2009). Moreover, theoretical and experimental studies have confirmed that energy plays a crucial role in
the process of deformation and failure of rock materials. The rock deformation and failure process can essentially
be considered a process of energy storage, dissipation, and release (Mingwei Zhang et al 2017). Hence, it is of
great significance to further explore the energy-based research systems for rock mass deformation process. The
results not only induce a new idea for an energy-based research system of rock materials and provide a reference
for energy-related deformation criteria, but also are beneficial for better understanding the damage or failure
behaviour of rock mass.
In the present study, deformation modulus (Ed) values of sandstone rock mass were evaluated by conducting
in-situ uniaxial jacking tests (UJT) on left bank of dam axis in two different drifts at elevation 679 m (Drift D2)
and at elevation 650 m (Drift D5). The variation in Ed values of sandstone has been studied and discussed by
means of energy analysis of in-situ test results. The paper presents the deformational behaviour of rock mass and
its variation from perspective of energy conservation and drift elevation. Furthermore, the energy conversion
occurs during in situ test and relationship between energy dissipation, energy accumulation and strength
deterioration were also studied.

2 IN SITU UNIAXIAL JACKING TEST

1
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behaviour of rock mass.
In the present study, deformation modulus (Ed) values of sandstone rock mass were evaluated by conducting
in-situ uniaxial jacking tests (UJT) on left bank of dam axis in two different drifts at elevation 679 m (Drift D2)
and at elevation 650 m (Drift D5). The variation in Ed values of sandstone has been studied and discussed by
means of energy analysis of in-situ test results. The
Variability paper presents
in Deformation the deformational
Modulus of Sandstonebehaviour of rock mass and
its variation from perspective of energy conservation and drift elevation. Furthermore, the energy conversion
– A Study based on Strain Energy Analysis
occurs during in situ test and relationship between energy dissipation, energy accumulation and strength
deterioration were also studied.

2 IN SITU UNIAXIAL JACKING TEST

In the present study five in-situ uniaxial jacking tests (UJT) were conducted at different RDs in two drifts
1 D5) on left bank of dam axis following IS code 7317.
at elevation 679 m (Drift D2) and at elevation 650 m (Drift
Schematic diagram of a typical in-situ uniaxial jacking test assembly and deformation measuring arrangement is
shown in Figure 1 (a). A representative Load-deformation curves obtained from (UJT) conducted at different
locations is given in Figure 1 (b)

1600

1400

1200

1000

Load (KN)
800

600

400

200

0
0 0.5 1 1.5 2 2.5 3
Deformation (mm)

Fig. 1 (a) Fig. 1(b)

3 TEST PROCEDURE AND CALCULATION
Rock surface at the specified locations was prepared manually removing all the loose material up to the fresh
rock so as to cause minimal disturbance to the parent rock. Tests were conducted on 60 cm diameter steel plate
placed on prepared test location. Load was applied by means of jack and pump and the test was completed in 5
cycles of loading and unloading. Deformations were recorded by four dial gauges with an accuracy of 0.01 mm
installed diagonally on the bottom plate. The deformation reported was taken as average of all four dial gauges.
Stress, of 0.7, 1.4, 2.1, 2.8 and 3.5 MPa was applied in cycles. Modulus of Deformation (Ed) and Modulus of
Elasticity (Ee) is calculated by considering total deformation or recovery during a particular loading or unloading
cycle using Eq. 1
Pm (1   2 )
E (1)
 A

m = Constant depending upon the shape of plate (m = 0.95 for square plate and 0.96 for circular plate); δ =
Deformation/recoverable deformation corresponding to applied load; A= Area of plate

4 ENERGY COMPOSITION OF ROCK UNDER CYCLIC LOADING

It is known from the laws of thermodynamics that the energy exchange is an essential feature of material in
the deformation process. Material deformation and failure is an energy-driven instability. Therefore, studying the
energy evolution and correlating the energy with strength can be used to elucidate characteristic changes in the
rock strength and damage under an external load. The deformation and failure of rock proceed by a combination
of energy dissipation and energy release. Theoretical and experimental (laboratory) studies confirm that energy
plays an important role in rock deformation and failure. Dissipated energy from external forces produces damage
and irreversible deformation within rock and decreases rock strength over time. Structure failure of rock is caused
by an abrupt release of strength, energy that manifest as a catastrophic breakdown of the rock under certain
conditions. The strain energy released in the rock volume plays a pivotal role in generating this abrupt failure in
the rocks (Heping Xie et al 2009). Data of in-situ plate load tests conducted in a drift of Himalayan rock mass
composed of metamorphosed Granite Gneiss, reveals that 70 to 80% of strain energy transmitted to the system
had been lost/ dissipated and the rest 20 to 30% of strain energy was recovered as elastic strain energy (R P Yadav
et.al 2021). Energy dissipation is unidirectional and irreversible, which results in internal damage and plastic
deformation in the rock. Elastic strain energy is bidirectional and reversible, and is related to intrinsic property of
rock. Discontinuities present in rock-mass governs the energy flow in rock-mass while estimating its modulus of
deformation. (R P Yadav et.al 2022).

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 R.P. Yadav, K.K. Mishra, Sachin Gupta, Senthil P. and Pankaj Kumar

In actual engineering projects, the deformation and failure processes of rocks are accompanied by energy
input, energy accumulation and energy release. Considering the deformation of a rock unit under the effect of an
external load, it is assumed that there was no heat exchange during the loading process and relatively small energy
changes such as thermal energy, acoustic emission energy and kinetic energy are neglected from energy
conversion then, according to the law of conservation of energy,
Uo = Ud+Ue (2)
where Uo = Total strain energy absorbed by the rock during loading process; Ue = Elastic energy
accumulated in the rock; and Ud = Dissipated energy by the rock, which is mainly used by rock damage and plastic
deformation includes energy dissipated by crack propagation etc. Typical load versus deformation curve of rock
subjected to uniaxial loading and unloading is shown in Figure 2 (a), in which hatched area under the curve
represents the dissipated energy Ud, and the darker filled-in area represents the releasable elastic energy stored in
the rock Ue.
In the present study, area under curve is calculated by trapezoidal method in which a curve is divided into
several small trapezoids and area of each trapezoid is calculated by geometrical method. Sum of area of each
trapezoid gives total area under the loading curve represents Uo as shown in Figures 2(b) for loading curve.
Similarly area under unloading were also calculated which represents U e. Difference of the above two energy
gives Ud. Average energies for five UJT for different cycles have been calculated on basis of above method.

(a) (b)
Fig. 2: Typical load versus deformation curve of rock

4 GEOLOGY OF EXPLORATORY DRIFT

The exploratory drift has been excavated on the left bank of Beas River along dam axis at elevation 679m
and at elevation 650m in order to assess the sub-surface rock mass conditions. Geology of exploratory drifts are
as follows
4.1 Geology of Drift D-2 at El 679 m
The drift D-2 at elevation 679m has been excavated in medium to strong sandstone which is fresh to slightly
weathered up to RD 5 m and fresh in the later part. Sound rock has been established at RD 4.0m. RQD values of
the rock vary from 60% to 77%, whereas the Q value varies from 5 to 7. Rock is moderately jointed to massive.
Entire drift section is dry except between RD 20-25m, where dry to water dripping conditions have been noticed.
Complete drift section is unsupported. Rock mass has been classified using RMR and Q systems.
4.2 Geology of Drift D-5 at El 650m
The drift D5 at elevation 650m with the portal invert level. In its entire length it has been excavated in
medium to strong sandstone which is fresh to slightly weathered up to RD 5 m and fresh beyond that. Sound rock
has been established at RD 1.0m. Carbonaceous mattes of 2-12 cm thickness along bedding joint has been
observed between RD 38-40 m. It is a depositional feature and thus not alarming. RQD values of the rock vary
between 85% and 90%, whereas the Q value varies from 9 to 11. Entire drift section is dry except between RD

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 Variability in Deformation Modulus of Sandstone
– A Study based on Strain Energy Analysis

15-20m, and 25-30m, where dry to water dripping conditions have been noticed. Complete drift section is
unsupported. Rock mass has been classified using RMR and Q systems.
5 TEST RESULTS
Five identical uniaxial jacking tests were conducted at different RD in two different drifts at elevation EL
679 m (Drift D2) and EL 650 m (Drift D5) on left bank of dam axis. Modulus of deformation (Ed), and elasticity
(Ee) and modulus ratio (Ee/Ed) were calculated for each cycle of loading and unloading and summarized in Table
1 and 2, respectively. Pressure was applied in five cycles viz. 0.7, 1.4, 2.1, 2.8 and 3.5 MPa. In the cyclic loading
test, it is usually found that large deformation occur in the first loading cycle while the recovery of the strain on
removal of the load is comparatively very small indicating a permanent set in the rock mass by closing of cracks
and joints. The deformations in the 2nd, 3rd, 4th, and 5th of cycles of loading are used for calculating the deformation
moduli at different stress levels. Similarly, the recoveries in the 2nd, 3nd, 4th, and 5th of cycles of unloading are
used for calculating the elastic moduli at corresponding stress levels. The average value of modulus of deformation
(Ed), modulus of elasticity (Ee) and modulus ratio i.e. ratio of Ee to Ed varying in the range of 0.01 to 0.36 GPa,
0.67 to 1.03 GPa and 2.84 to 8.26 respectively, at the applied stress of 1.4 to 3.5 MPa for the tests conducted in
the drift D2, whereas, it is in range of 0.55 to 1.21 GPa, 1.62 to 1.81 GPa and 2.37 to 1.39 respectively, when tests
were conducted in drift D5 at the same stress level. It is noteworthy here to state that deformability characteristics,
deformation modulus (Ed), elastic modulus (Ee) and modulus ratio (Ee/Ed) obtained in drift at El 679 is about 0.2
- 0.3 times, 0.4 - 0.6 times lower and 2 - 4 times higher, respectively, than the drift at El 650m under the identical
frame of test setup. (CSMRS report).
Table 1: Average Values of Modulus of Deformation and Elasticity of rock mass drift D2
Cycle Pressure Modulus of Deformation, Modulus of Elasticity, Modulus Ratio,
No. MPa Ed, GPa Ee, GPa Ee/Ed
Min Max Avg Min Max Avg Min Max Avg
Rock type Medium to strong sandstone
2 1.4 0.042 0.124 0.099 0.478 0.785 0.674 5.30 18.48 8.26
3 2.1 0.069 0.297 0.164 0.747 0.963 0.882 2.69 13.64 6.96
4 2.8 0.098 0.250 0.189 0.907 1.090 0.978 3.63 10.00 5.89
5 3.5 0.271 0.487 0.389 0.760 1.186 1.026 1.56 4.38 2.84
Table 2: Average Values of Modulus of Deformation and Elasticity of rock mass drift D5
Cycle Pressure Modulus of Deformation, Modulus of Elasticity, Modulus Ratio,
No. MPa Ed, GPa Ee, GPa Ee/Ed
Min Max Avg Min Max Avg Min Max Avg
Type of rock Medium to strong sandstone
2 1.4 0.285 0.981 0.552 0.365 4.836 1.619 1.16 4.93 2.37
3 2.1 0.486 1.435 0.813 0.713 4.022 1.652 1.43 2.80 1.81
4 2.8 0.638 1.830 1.040 0.713 3.026 1.683 1.12 1.87 1.59
5 3.5 0.584 1.732 1.212 0.744 3.287 1.810 1.01 1.90 1.39
Load-deformation curve obtained from the above mentioned tests in drift D2 and D5 were used to calculate
energy pertaining to each loading and unloading cycle. All the three forms of average energies i.e. total strain
energy (Uo), elastic energy (Ue) and dissipated energy (Ud) are calculated by calculating area under the loading
and unloading curve plotted for uniaxial jacking tests at different stress levels reported in Table 3. The total strain
energy (Uo), elastic energy (Ue) and dissipated energy (Ud) calculated is in the range of 2182 to 3072 Joule, 89 to
418 Joule and 2094 to 4699 Joule respectively, at the applied stress of 1.4 to 3.5 MPa for the tests conducted in
the drift D2, whereas, it is in range from 368 to 826 Joule, 100 to 269 Joule and 268 to 557 Joule respectively, for
tests conducted in drift D5, at the same stress level. It is noteworthy here to state that total strain energy (Uo),
elastic energy (Ue) and dissipated energy (Ud) obtained in drift at El 679 (D2) is about 4-9 times, 1-2 times and 5-
12 times respectively, higher than the drift at El 650m (D5) under the identical frame of test setup. Further energy
ratio and ratio of deformability characteristics of drift D2 and D5 of all five tests has been also calculated and
reported in Table 3. Ratio of total strain energy (Uo), elastic energy (Ue) and dissipated energy (Ud) i.e UoD2/
UoD5, UeD2/ UeD5 and UdD2/ UdD5 of drift D2 and D5 are varying from 4 to 6, 1 to 2 and 5 to 12 respectively,
at the applied stress of 1.4 to 3.5 MPa whereas, ratio of deformability characteristics i.e EdD2/EdD5, EeD2/EeD5
and (Ee/Ed)D2/(Ee/Ed)D5 of drift D2 and D5 are varying from 0.2 to 0.3 , 0.4 to 0.6 and 2 to 4 respectively, at the
same stress level.

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Table 3: Average energy values of Uniaxial Jacking tests of Drift-D2 and D5

Stress Drift D2 at El 679m Drift D5 at El 650m Ratio of energies Ratio of deformability
MPa characteristics
Uo, U e, Ud, Uo, Ue, Ud, UoD2/ UeD2/ UdD2/ EdD2/ EeD2/ (Ee/Ed)D2/
Joule Joule Joule Joule Joule Joule UoD5 UeD5 UdD5 EdD5 EeD5 (Ee/Ed)D5
1.4 2182 89 2094 368 100 268 5.92 0.88 7.81 0.18 0.42 3.49
2.1 3284 151 3132 404 117 287 8.14 1.30 10.92 0.20 0.53 3.85
2.8 4895 196 4699 566 168 398 8.65 1.17 11.81 0.18 0.58 3.70
3.5 3072 418 2655 826 269 557 3.72 1.55 4.77 0.32 0.57 2.04

6 DISCUSSIONS
The deformability characteristics, i.e deformation modulus (Ed), elastic modulus (Ee) and modulus ratio
(Ee/Ee) obtained in drift at El 679 is about 0.2 - 0.3 times, 0.4 - 0.6 times lower and 2 - 4 times higher respectively,
whereas, total strain energy (Uo), elastic energy (Ue) and dissipated energy (Ud) obtained in drift at El 679 is about
4-9 times, 1-2 times and 5-12 times respectively, higher than the drift at El 650m under the identical frame of test
setup. Details of comparison for the average deformability characteristics of upper drift D2 and lower drift D5 at
five locations/ different elevations have been discussed and summarized in Table 4. Further, comparison for the
average deformability characteristics of upper drift D2 and lower drift D5 w.r.t energies ratios have been presented
in figure 3.
Table 4: Comparison of deformability characteristics
Rock type Medium to strong sandstone Remarks
Bank Left bank of dam axis
Drift elevation Upper drift- D2 Lower drift- D5 In general the modulus values Ed & Ee and energy values Uo,
EL 679m EL 650m Ue and Ud increases and modulus ratio Ee/Ed, decreases with
Stress Uo Ue Ud Uo Ue Joule Ud the increase in applied pressure, for both the drift. These are
MPa Joule Joule Joule Joule Joule may be due to rock material tends to be stiffer with each load
cycle. This shows the influence of cyclic loading in increase
of the elasticity of the rock mass also. Values of Uo, Ue and
1.4 2181.98 88.51 2093.47 368.44 100.42 268.03 Ud increases with the increase in applied pressure and Ud is
much more than Ue because strain energy transmitted to the
2.1 3283.89 151.30 3132.59 403.51 116.75 286.77 system had been recovered as elastic strain energy & lost/
dissipated into internal damage and plastic deformation in
2.8 4895.34 196.15 4699.19 566.23 168.34 397.89 the rock, as 70 to 80% of strain energy transmitted to the
system had been lost/ dissipated and the rest 20 to 30% of
3.5 3072.06 417.54 2654.52 826.19 269.22 556.96 strain energy was recovered as elastic strain energy (R P
Yadav et.al 2021). In general Ed & Ee are higher and Ee/Ed
and Uo, Ue & Ud are lower at lower elevation. Moreover,
there is huge difference in quantum of total strain energy (Uo)
and dissipated energy (Ud) in comparison to modulus values
for the tests conducted in lower drift as compared to tests
conducted in upper drift for identical test parameters This
shows the influence of confining pressure in increase of the
values of modulus i.e. Ed and Ee and increase of the elasticity
of the rock mass also. (see table 3,4 &5).
Energy and Ratio of energies Ratio of deformability There is huge and contrast difference in ratio of total strain
Deformability characteristics energy (Uo) and dissipated energy (Ud) in comparison to ratio
characteristics UoD2/ UeD2/ UdD2/ EdD2/ EeD2/ (Ee/Ed)D2/ of modulus values for the tests conducted in drift D2 and D5
Ratio UoD5 UeD5 UdD5 EdD5 EeD5 (Ee/Ed)D5 for identical test parameters. Values of all energy ratios and
5.92 0.88 7.81 0.18 0.42 3.49 ratio of modulus ratios of upper drift to lower drift i.e.
(Ee/Ed)D2/(Ee/Ed)D5 are greater than 1 and ratio of
8.14 1.30 10.92 0.20 0.53 3.85 modulus ratios of upper drift to lower drift i.e. EdD2/EdD5
and EeD2/EdD5 are less than 1. The ratio of dissipated energy
8.65 1.17 11.81 0.18 0.58 3.70 of upper drift to lower drift i.e. (UdD2)/(UdD5) varying from
5 to 12 times whereas modulus ratios of upper drift to lower
3.72 1.55 4.77 0.32 0.57 2.04 drift i.e. (Ee/Ed)D2/(Ee/Ed)D5 varying from 2 to 4 times. In
general modulus ratios of upper drift to lower drift increases
with increase in ratios of dissipated energy of upper drift to
lower drift. These are may be due to rock material tends to
be stiffer with each load cycle. This shows the influence of
cyclic loading in increase of the elasticity of the rock mass
also. This may be due to increase in confining pressure at
lower elevation. This shows the influence of confining
pressure in increase of the values of modulus i.e. Ed and Ee
and increase of the elasticity of the rock mass also.

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 Variability in Deformation Modulus of Sandstone
– A Study based on Strain Energy Analysis

Fig. 3: Comparison for the average deformability characteristics of upper drift D2 and lower drift D5
w.r.t energies ratios

7 CONCLUSIONS

 In general Ed & Ee are higher and Ee/Ed and Uo, Ue & Ud are lower at lower elevation. Moreover, there is
huge difference in quantum of total strain energy (Uo) and dissipated energy (Ud) in comparison to
modulus values for the tests conducted in lower drift as compared to tests conducted in upper drift for
identical test parameters This shows the influence of confining stress in increase of the values of modulus
i.e. Ed and Ee and increase of the elasticity of the rock mass also.
 Values of all energy ratios and ratio of modulus ratios of upper drift to lower drift i.e.
(Ee/Ed)D2/(Ee/Ed)D5 are >1 and ratio of modulus ratios of upper drift to lower drift i.e. EdD2/EdD5
and EeD2/EdD5 are <1.
 Values of Uo, Ue and Ud increase with the increase in applied pressure and U d is much more thane Ue
because strain energy transmitted to the system had been recovered as elastic strain energy & lost/
dissipated into internal damage and plastic deformation in the rock,
 In general modulus ratios of upper drift to lower drift increases with increase in ratios of dissipated
energy of upper drift to lower drift. These are may be due to rock material tends to be stiffer with each
load cycle. This shows the influence of cyclic loading in increase of the elasticity of the rock mass also.
This may be due to increase in confining pressure at lower elevation.
ACKNOWLEDGEMENT
Authors acknowledge the motivation and encouragement of Director, CSMRS and Shri Hari dev, Sc-E,
CSMRS. Authors also gratefully acknowledge the help and cooperation extended by Shri Gopal Sharan, Scientist-
D, CSMRS during the preparation of this manuscript.

REFERENCES

CSMRS Report (2014) Report on In-situ deformability characteristics of rock mass by uniaxial jacking tests in
left bank drift D-2 (El 679 m) on dam axis of Thana Plaun Hydro Electric Project, Himachal Pradesh
CSMRS Report (2014) Report on In-situ deformability characteristics of rock mass by uniaxial jacking tests in
left bank drift D-5 (El 650m) on dam axis of Thana Plaun Hydro Electric Project, Himachal Pradesh
Heping Xie,Liyun Li, Ruidong Peng and Yang Ju “Energy analysis and criteria for structural failure of rock”
Journal of Rock Mechanics and Geotechnical Engineering, Vol 1(1) pp 11-20, 2009.
IS 7317 (1993): Indian Standard code of practice for uniaxial jacking test for modulus of deformation of rock by,
Bureau of Indian Standards, New Delhi.
Mingwei Zhang, Qingbin Men, and Shengdong Liu “Energy evolution characteristic and distribution law of rock
material under triaxial cyclic loading and unloading” Advances in Material Science and Engineering, Volume
2017, Article ID 5471571 16 pages
R P Yadav, Sachin Gupta, Sukhdev Singh and K K Mishra, “Relationship between modulus of deformation of
rock mass and intact rock through energy analysis”, 4th International Conference on Trends and Recent
Advances in Civil Engineering, Amity School of Engineering & Technology, Amity University Uttar Pradesh,
Noida, India. 2022
R P Yadav, Sachin Gupta, D V Sarwade, and K K Mishra, “Evaluation of dissipated energy in rock mass under
In situ plate load test” International Journal for Research in Applied Science & Engineering Technology,
Volume 9, Issue III, 2021 pp 753-759.

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 Theme 01 -S.Emerging techniques
Singh, Senthil P., Pankaj for rock
Kumar, and
D.V. rock mass
Sarwade characterisation
and R.P. Yadav

Correlation between In-situ and Laboratory Deformability Moduli

of Himalayan Gneiss
S.S.SINGH,
SING., SENTHIL P., PANKAJ KUMAR, D.V. SARWADE AND R.P. YADAV
Central Soil and Materials Research Station, New Delhi, India
email: sukhdevlodh@rediffmail.com
ABSTRACT: Determination of representative value of rock mass deformation modulus is
essentially required for analysis and design of any engineering structures involving rock. The modulus
of rock mass can be determined from direct method viz., conducting in-situ field tests and also
estimated from indirect methods viz., correlations from rock mass classifications and laboratory tests.
Field tests are challenging, time consuming and expensive as well. On the other hand, in-direct
method of estimation relatively easy and can be adopted from relevant research work. In the present
study, an attempt is made to correlate modulus of deformation of rock mass with modulus of intact
rock obtained from laboratory tests. The field and laboratory investigations were carried out on
Granitic Gneiss rock located in Siwalik in Lesser Himalaya. A linear correlation is proposed between
modulus of rock mass with secant as well as tangent modulus of intact rock. The study shows that the
both correlations having similar trend and correlation obtained between in-situ modulus and tangent
modulus is having better R2 value and can be used for preliminary study.
Keywords: Rock mass, Tangent modulus. Laboratory study. Granitic gneiss. Correlation.

1 INTRODUCTION
Study of deformation modulus of rock mass is essential for structures built on, in and of
rock mass. The deformation modulus can be determined from direct methods and estimated
from indirect methods (Palmstrom and Singh, 2001 and Sarwade et al., 2019). In-situ tests
like Plate jacking tests (PJT), bore hole jack tests and flat jack are the direct methods and PJT
is commonly employed and provides reliable assessment. These methods are explained in
detail in Palmström and Singh (2001); IS:7317 (2020); ISRM (2007) and Hari Dev (2020).
These tests provide design parameters which representative of rock mass at the site. In-situ
tests are more reliable than laboratory tests or from empirical methods. However, conducting
in-situ tests are expensive and time taking. However, the in-situ tests are challenging, time
consuming and costly. The accuracy and reliability of in-situ tests depend on the quality of
test execution and consistency of the theoretical assumptions with the real rock mass
conditions. These in-situ tests are conducted for precise and reliable estimation of
deformation modulus.
Indirect method of estimation is mostly empirical equation developed using rock mass
classifications and laboratory tests. Numerous equations were developed using rock mass
classification system such as RMR, Q and GSI. Initially, Bieniawski (1978) given linear
equation for prediction of the deformation modulus of rock masses for RMR>50 and for
RMR<50, Serafim and Pereira (1983) developed power equation. Later, Barton (1995)
modified into a power equation incorporating uniaxial compressive strength. Singh & Bhasin
(1996) proposed logarithmic equation for rock mass with Q>1 based on the field data
collected in India. Geological Strength Index (GSI) based equations also proposed by Hoek &
Brown (1997).
An estimation of rock mass modulus from laboratory tests were attempted by Palmström
and Singh (2001), Hari Dev and SL. Gupta (2020) and Murthy and Sarwade (2022). In the
present study, an attempt was made to correlate modulus of deformation of rock mass with
elastic modulus of intact rock. For this study, field and laboratory investigations were carried
out on rock variant of massive granitic gneiss located at Siwalik and Lesser Himalayan
regions. The type of rock encountered is gneiss of massive to less jointed rock mass with
medium to coarse grained texture. The in-situ tests for deformability modulus were carried

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 Correlation between In-situ and Laboratory Deformability Moduli
of Himalayan Gneiss

out using uniaxial jacking tests. For laboratory study, the gneiss samples of 54 mm diameter
cores were collected from the boreholes at the same location and at the same identical depth.
A correlation between laboratory and field tests was attempted and discussed in the paper.
2 METHODOLOGY
The field and laboratory investigations were carried on granitic gneiss rock mass located
in Siwalik and Lesser Himalayan regions. The experimental methodology is briefly
discussed;
2.1 Deformability Modulus of Rock Mass from UJT
The evaluation of deformation modulus is based on Boussinesq’s equation for a point
load on infinite homogeneous, isotropic and linearly elastic material. As per IS: 7317-2020
Modulus of deformation for loading cycle is calculated by considering total deformation of a
particular cycle, whereas, modulus of elasticity is calculated by considering elastic
deformation for the same cycle using Eq. 1.
𝑃𝑃(1−𝜐𝜐2 )
𝐸𝐸 = 2𝛿𝛿𝛿𝛿
(1)
where, E = Modulus of Deformation/Elasticity, P = Applied load, ν = Poisson’s ratio of rock
mass, δ = Deformation corresponding to load and R = Radius of plate. Poisson’s ratio of the
rock is considered as 0.30.
UJT involves loading of two opposite walls of an exploratory drift by hydraulic jacks and
loading plates and measuring the induced deformations at surface. The dimeter of loading
plate is 60 cm diameter and deformations/displacements were recorded using 4 dial gauges
placed diagonally on the bottom plate. The equipment setup of the assembly and a graph
showing the deformation versus applied stress is shown in Fig. 1. The maximum stress level
of 3.5 MPa was reached in 5 incremental cycles of loading and unloading. A total 10 tests
were conducted on Granitic gneiss in left and right bank drift of proposed dam site. The
deformation of rock is partly elastic (reversible) and partly plastic (irreversible). It includes
mainly closure of joints existing in the rock mass and sliding along the fissures. The fifth
cycle is generally considered for calculating deformability modulus of rock mass at the
estimated peak stresses. The modulus of deformation is the ratio of peak stress to strain
corresponding to elastic and inelastic strains.
The modulus obtained in in-situ tests were depends on the stress level and tests are
conducted upto 1 to 1.5 times the expected stress level due to the proposed structure. Thus,
the modulus obtained from field tests are not unique parameter of rock mass (Hari Dev and
Gupta, 2020). However, in case of laboratory tests, the specimen is subjected to failure and
modulus evaluated at 50% of failure stress.

Fig. 1. Uniaxial jack test a) Test assembly b) Typical Deformation versus Applied Stress

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2.2 Young’s Modulus of Intact Rock from Laboratory Tests

Uniaxial jacking tests were conducted to determine the modulus of elasticity or Young’s
modulus of intact rock. A total 10 specimens for granitic gneiss variants with 54 mm
diameter, in Length/Diameter ratio of 2.5, were prepared and tested. The longitudinal and
lateral strains of the specimen are measured with the help of electrical resistance strain
gauges. Two vertical and two circumferential strain gauges are pasted at the middle of the
specimen. The rock specimens are axially loaded - until failure. Initially, specimens were
loaded upto half of anticipated uniaxial load and then unloaded, further reloaded until failure.
The stress-strain plots obtained in laboratory tests showing tangent modulus value at 50% of
ultimate stress and secant modulus is shown in Fig. 2.

Fig. 2. Typical Stress Versus Strain plot in uniaxial compression test

Following methodology adopted by Murthy and Sarwade (2022), secant modulus (Esec)
is calculated from the slope of the line from origin to the 3.5 MPa stress level at which in-situ
tests have been carried out. Esec comprises of initial compression of pore to strains to any
peak stress (contains elastic and inelastic strains), this is regarded as deformability modulus
of intact rock. In addition, a direct correlation between tangent modulus of rock and modulus
of rock mass were also attempted in the study.
3 RESULTS
3.44 27 20.6
The values of modulus
3.51 rock mass obtained 27 in in-situ tests and22.0 modulus calculated from
laboratory tests are given
3.76 in Table 1. The average
28 modulus obtained from in-situ UJT tests is
16.0
3.33 GPa, average secant
4.50 modulus and average 35 tangent of rock obtained - from laboratory tests
are 17 GPa and 24 GPa, respectively.
The data of field and Table 1 in-situ
laboratory and Laboratory
modulus values wereTestplotted
Resultsand curve of best fit is
drawn as shownEm in Fig.UJT
from 3. All
in the
5 dataEtan
th points were
at 50% UCSconsidered
Esec atin3.5
plotting UJT vs laboratory
MPa stress
tangent modulus.
CycleSimilarly,
(GPa) the data of UJT obtained at 3.5 MPa
(GPa) levelstress
(GPa)level and laboratory
secant modulus were2.50 plotted in removing16two outlier data to14.0 improve the correlation
2.70
coefficient. The correlation obtained for UJT 17 vs laboratory tangent 15.5 modulus and UJT vs
laboratory secant modulus is given in Eq. 1 and Eq. 2, respectively.15.9
3.16 21
3.25 23
Em (UJT) = 0.10 (Etangent, Lab) + 0.91 , R2 = 0.96 14.0 [1]
3.19 23 2 15.9
Em (UJT) = 0.11 (Esecant, Lab) + 1.19, R = 0.75 [2]
3.33 25 19.4

INDOROCK 2023: 9th Indian Rock Conference 16-18 November 2023

116
of rock mass were also attempted in the study.
3 RESULTS
The values of modulus rock mass obtained in in-situ tests and modulus calculated from
Correlation between In-situ and Laboratory Deformability Moduli
laboratory tests are given in Table 1. The average modulus obtained from in-situ UJT tests is
of Himalayan Gneiss
3.33 GPa, average secant modulus and average tangent of rock obtained from laboratory tests
are 17 GPa and 24 GPa, respectively.
3.44 Table 1 in-situ and27Laboratory Test Results 20.6
Em from3.51
UJT in 5th 27 UCS
Etan at 50% 22.0
Esec at 3.5 MPa stress
3.76
Cycle (GPa) 28
(GPa) 16.0
level (GPa)
4.50
2.50 35
16 -
14.0
2.70 17 15.5
The data of field3.16
and laboratory modulus 21 values were plotted 15.9and curve of best fit is
drawn as shown in Fig. 3. All the data points
3.25 23were considered in plotting
14.0 UJT vs laboratory
3.19 the data of UJT23
tangent modulus. Similarly, 15.9 level and laboratory
obtained at 3.5 MPa stress
secant modulus were3.33 plotted in removing25two outlier data to19.4 improve the correlation
3.44
coefficient. The correlation obtained for UJT 27 vs laboratory tangent 20.6 modulus and UJT vs
3.51 is given in Eq. 1 and
laboratory secant modulus 27 Eq. 2, respectively.22.0
3.76 28 16.0
Em (UJT)
4.50
= 0.10 (Etangent, Lab)
35
+ 0.91 , R2 = 0.96 [1]
2 -
Em (UJT) = 0.11 (Esecant, Lab) + 1.19, R = 0.75 [2]
The data of field and laboratory modulus values were plotted and curve of best fit is
drawn as shown in Fig. 3. All the data points were considered in plotting UJT vs laboratory
tangent modulus. Similarly, the data of UJT obtained at 3.5 MPa stress level and laboratory
secant modulus were plotted in removing two outlier data to improve the correlation
coefficient. The correlation obtained for UJT vs laboratory tangent modulus and UJT vs
laboratory secant modulus is given in Eq. 1 and Eq. 2, respectively.
Em (UJT) = 0.10 (Etangent, Lab) + 0.91 , R2 = 0.96 [1]
Em (UJT) = 0.11 (Esecant, Lab) + 1.19, R2 = 0.75 [2]

Fig. 3. Correlation plot for UJT versus Laboratory Modulus

The equation based on tangent modulus gives the best fit having R2 = 0.96. The approach
adopted by Murthy and Sarwade (2022), provides comparatively lower (R2 = 0.75) after
omitting two outliers. It is also seen that the trend (slope) of both correlations looks similar.
The site specific correlation for granite gneiss rock can be used for similar rock variants in
feasibility stage design.
4 CONCLUSIONS
In the present study, an attempt was made to correlate modulus of deformation of rock
Fig. 3. Correlation plot for UJT versus Laboratory Modulus
mass with modulus of intact rock obtained at laboratory tests. The laboratory tests can be
usedThe equation based
to determine moduluson tangent modulustogives
corresponding 3.5 the
MPabest
stress level inR2which
fit having = 0.96.UJT
Thetests
approach
were
2
adopted by Also,
conducted. Murthytheand Sarwade was
correlation (2022), providesbetween
developed comparatively
modulus lower
from(Rfield
= 0.75)
tests after
and
omitting two outliers. It is also seen that the trend (slope) of both correlations looks
laboratory tangent modulus determined at 50% of failure load. The rock type in the study was similar.
The sitegrained
coarse specificgranitic
correlation for variant
gneiss granite located
gneiss rock can be used
at Siwalik for similar
and Lesser rock variants
Himalayan in
regions.
feasibility
Based stage design.
on results, the following is proposed:
A linear correlation is proposed between deformability modulus of rock mass with
4 CONCLUSIONS
secant modulus of intact rock.
In the present study, an attempt was made to correlate modulus of deformation of rock
mass with modulus of intact rock obtained at laboratory tests. The laboratory tests can be
used to determine modulus corresponding to 3.5 MPa stress level in which UJT tests were
INDOROCK 2023: 9th Indian Rock Conference 16-18 November 2023
conducted. Also, the correlation was developed between modulus from field tests and
laboratory tangent modulus determined at 50% of failure load. The rock type in the study was 117
coarse grained granitic gneiss variant located at Siwalik and Lesser Himalayan regions.
Based on results, the following is proposed:
 S. Singh, Senthil P., Pankaj Kumar, D.V. Sarwade and R.P. Yadav

 Similarly, a linear correlation is proposed between deformability modulus of rock

mass with tangent modulus of intact rock.
 The both correlations have similar trend and correlation based on tangent modulus has
better R2 value.
 The correlation as proposed by Murthy and Sarwade (2022) between field tests and
secant modulus at equivalent stress level shows comparatively less R2 value.
 The indirect estimate through provides approximate values, still useful for feasibility
studies.
 The site-specific correlation based on in-situ and laboratory studies on the same
location, and tested at the same identical depth. However, the developed correlation is
limited to massive nature of rocks only and can be utilized for similar rocks in nearby
regions/locations.
ACKNOWLEDGMENTS
The authors are grateful to Director, CSMRS being a source constant encouragement and
support. Thanks for all involved in getting the laboratory and field work done for the research
work.
REFERENCES
Bieniawski, Z. T. (1978) “Determining rock mass deformability: experience from case
histories”. Int. J Rock Mech. Min Sci & Geomechanics Abstracts. 15 (5), pp. 237-247.
DOI:10.1016/0148-9062(78)90956-7.
Barton N, Loset F, Lien R, Lunde J. (1980) Application of the Q-system in design decisions
concerning dimensions and appropriate support for underground installations. Int Conf.
Subsurface Space, Rockstore, Stockholm, Subsurface Space; 2:553–61.
Hoek E, Brown ET. (1997): Practical estimates of rock mass strength. Int. J. Rock Mech.
Min. Sci; 34(8):1165–86.
Hari Dev (2020). Stress- Deformation Properties of Rock Material and Rock Mass – An
Overview. Journal of Rock Mechanics and Tunnelling Technology (JRMTT), vol. 26 (1),
pp 41-51.
Hari Dev and Gupta S.L. (2020): Stress-Deformation Behaviour of Feldspathic Gneisses as
Foundation Medium for a 278 m High Concrete Gravity Dam in Eastern Himalayas,
Proceedings of Indian Geotechnical Conference 2020, December 17-19, 2020.
ISRM (2007): The Complete ISRM suggested methods for Rock Characterization, Testing
and Monitoring: 1974-2006, (Blue Book) ISRM, Turkey.
IS:7317 (2020): Code of Practice for Uniaxial Jacking Test for Deformation Modulus of
Rock Mass., Bureau of Indian Standards, New Delhi.
Murthy P.S.K. and Sarwade D.V. (2022): “Correlation between field and laboratory
deformability moduli of Himalayan sandstones”, 4th International Conference on Trends
and Recent Advances in Civil Engineering (TRACE-2022) organized by Amity School of
Engineering and Technology, 18-19th October, 2022.
Palmström, A., Singh, R. (2001): The Deformation Modulus of Rock Masses - comparisons
between in-situ tests and indirect estimates, Int. J. of Tunnelling and Underground Space
Technology, Vol. 16, No. 3, pp. 115 - 131.
Serafim, J. L., Pereira, J. P. (1983): Consideration of the geomechanics classification of
Bieniawski”. In: Proc. Int. Sym. Eng. Geol. Underground Openings, Lisbon, 1. pp. II33-
II42.
Singh Rajbal and Bhasin, R. (1996): Q-system and deformability of rock mass, Proc. of Conf.
on Recent Advances in Tunnelling Technology, New Delhi, pp.57-67.

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 Theme 01 of
Behaviour - Emerging
Fine-grainedtechniques for rock
Sandstone under andand
Normal rock mass characterisation
Hot-water Saturation with varying
pH conditions

Behaviour of Fine-grained Sandstone under Normal and Hot-water

Saturation with varying pH conditions
DIVYANSHOO SINGH, KUMAR NILANKAR, AND HEMANT KUMAR SINGH
Department of Petroleum Engineering and Geoengineering, Rajiv Gandhi Institute of Petroleum Technology, Jais,
Amethi-229304, U.P., India.
email: divyanshoos@rgipt.ac.in

Abstract: The study of the influence of temperature-chemical action on rocks is a crucial aspect, particularly when
addressing challenges associated with underground storage of oil and gas, mining operations, surface engineering, and
other infrastructures to understand the behavior of rocks. The physico-mechanical behavior of rocks is significantly
influenced by high-temperature water saturation under different pH conditions, as it can cause significant changes in
the properties of the rocks and the degradation of their strength. In India, geothermal resources become apparent on
the surface primarily through the presence of geysers and hot springs, which exhibit temperatures ranging from 32°C
to 97°C. Taking this into consideration, a study was conducted on fine-grained sandstone to understand the effect of
water saturation under varying pH levels on both mechanical properties (point load strength and Brazilian tensile
strength) and physical properties (P- and S-wave velocities, porosity, density, etc.) at two different temperature ranges,
specifically 27°C and 120°C. Before the treatment, samples were oven-dried at 110°C to obtain dry samples. A
desiccator was used to saturate the samples at 27°C, while a roller oven was used to saturate the samples at 120°C.
The samples were treated for 24 hours to ensure maximum saturation. In general, degradation in strength was more
pronounced at 120°C and lower pH values. Strength, P- and S-wave velocities, and density exhibited a downward
trend, whereas porosity showed an upward trend with decreasing and increasing pH values, respectively, in
comparison to a neutral pH. Thus, understanding the physico-mechanical properties of sandstone under normal and
hot water saturation with varying pH levels will provide a basis for designing underground mining projects and other
infrastructures such as tunnels and underground storage.

1 INTRODUCTION
The influence of water-rock interaction has a diverse impact on the physico-mechanical properties of rocks.
Various engineering constructions, such as underground tunnels, dams, oil and gas exploration, underground mining,
and nuclear waste repositories, are significantly affected by the influence of water (Lin et al., 2019; Singh et al., 2009).
Chemical corrosion under the action of water leads to mineral dissolution and is one of the major causes behind the
degradation of the physico-mechanical properties of rocks. The intensity of chemical corrosion highly depends on
varying pH conditions. Sharma et al. (2007) studied the physico-mechanical properties of Kota stone under different
pH conditions and found that the properties are significantly affected by the acidity and basicity of water. They also
confirmed that degradation in properties is more pronounced in acidic environments than in basic environments
because acidic water contains a higher number of hydrogen ions, which accelerates the rate of corrosion. This intensity
of chemical corrosion with varying pH conditions further escalates under the influence of thermal treatment. Chen et
al. (2023) found that the quality, seismic wave velocity, porosity, and failure characteristics of sandstone are
significantly affected due to chemical damage and thermal damage. Huang et al. (2021) performed physical,
thermophysical, and Brazilian tensile strength tests on red sandstone at different temperatures (25⁰C - 1000⁰C) and
under acid solution conditions. Their experimental results showed that at high temperatures and in acid solutions,
physico-mechanical properties are significantly affected. Sandstone samples were treated using H2SO4 (pH 3)
solutions under different temperatures (25⁰C, 50⁰C, and 75⁰C) and pressures (5 MPa, 10 MPa, and 15 MPa) to
determine the physical, mechanical, and morphological behavior, as well as the damage deterioration mechanism (Li
et al., 2019). They found that the uniaxial compressive strength, mass, and elastic modulus of the samples decreased,
whereas the porosity of the samples increased after treatment with acid-temperature pressure. Therefore, based on
existing literature, researchers in recent years have attempted to study the behavior of sandstone under the influence
of chemical corrosion with acidic solutions, along with thermal treatment. However, understanding the physico-
mechanical behavior under both acidic and basic solutions, along with thermal treatment, has been rarely studied.
Therefore, the present investigation aims to examine the physico-mechanical properties of fine-grained
sandstone, such as P & S wave velocities, porosity, density, Point Load Strength (PLS), and Brazilian Tensile Strength
(BTS), under normal (27⁰C) and hot-water (120⁰C) saturation with varying pH conditions. In addition, the impact of
different pH solutions on the physical and mechanical behavior of fine-grained sandstone is investigated under two
different temperatures, for example, 27 °C and 120 °C.
2 MATERIAL & METHODS
2.1 Sample Preparation and Chemical Solution

Core samples with a diameter of 54 mm (NX size) were drilled from a large block of fine-grained sandstone.
Following the standards set by the International Society of Rock Mechanics (ISRM, 1981), core samples for the Axial
INDOROCK 2023: 9th Indian Rock Conference 16-18 November 2023
Point Load Strength (PLS) index test, with a thickness of approximately 54 mm and a diameter of 54 mm (L:D 1:1),
119
and the Brazilian Tensile Strength (BTS) test, with a thickness of approximately 27 mm and a diameter of 54 mm (L:D
1:2), were obtained. These samples were then polished and ground to ensure the flatness of the disk's end surface,
maintaining a uniform distribution of applied stress and removing irregularities. To measure P & S wave velocities
using 250 kHz transducers, specimens with a minimum thickness of 15 mm were required. Consequently, the samples
prepared for the BTS, and axial PLS index tests were suitable for these measurements. A total of 40 samples were
 Divyanshoo Singh, Kumar Nilankar, and Hemant Kumar Singh

different pH solutions on the physical and mechanical behavior of fine-grained sandstone is investigated under two
different temperatures, for example, 27 °C and 120 °C.
2 MATERIAL & METHODS
2.1 Sample Preparation and Chemical Solution

Core samples with a diameter of 54 mm (NX size) were drilled from a large block of fine-grained sandstone.
Following the standards set by the International Society of Rock Mechanics (ISRM, 1981), core samples for the Axial
Point Load Strength (PLS) index test, with a thickness of approximately 54 mm and a diameter of 54 mm (L:D 1:1),
and the Brazilian Tensile Strength (BTS) test, with a thickness of approximately 27 mm and a diameter of 54 mm (L:D
1:2), were obtained. These samples were then polished and ground to ensure the flatness of the disk's end surface,
maintaining a uniform distribution of applied stress and removing irregularities. To measure P & S wave velocities
using 250 kHz transducers, specimens with a minimum thickness of 15 mm were required. Consequently, the samples
prepared for the BTS, and axial PLS index tests were suitable for these measurements. A total of 40 samples were
prepared for the PLS index test, and another 40 samples were prepared for the BTS test under 5 different pH conditions
(i.e., 2, 5, 7, 9, 13). For each pH condition, 4 samples were kept at normal temperature, and 4 were subjected to high
temperature. To measure porosity, core samples with a diameter of 38 mm were prepared for each pH condition under
both normal and high-temperature conditions.
To prepare solutions with varying pH levels, we took into consideration the major ions present in the water,
specifically chloride ions (Cl-) and sodium ions (Na+). Accordingly, hydrochloric acid (HCl) was used to prepare
solutions with low pH values (i.e., 2 and 5), while sodium hydroxide (NaOH) pellets were employed to create solutions
with high pH values (i.e., 9 and 13).
2.2 Treatment of samples

The core samples prepared for the PLS index test and BTS test were initially oven-dried at 110°C in a hot air
oven for 3 hours to ensure uniformity within the samples before subjecting them to treatment under varying pH
conditions. After the oven-drying process, the samples were soaked in solutions with different pH values. A desiccator
was used to soak samples at ambient temperature (i.e., 27°C), while a Roller oven was employed to soak samples at
high temperature (i.e., 120°C) for each specific pH condition. The samples placed in the desiccator and roller oven for
a given pH condition were soaked for 24 hours to ensure complete saturation.
It's worth noting that in recent years, researchers have often focused on extremely high temperatures, reaching
up to 1000°C. However, many geothermal resources, such as geysers, hot springs, underground mines, nuclear waste
repositories, and oil & gas exploration sites, do not experience temperatures above 100°C to 120°C. Therefore, in the
current research, a temperature of 120°C was chosen for consideration. Fig. 1 provides an image illustrating the sample
preparation and treatment process.
2.3 Laboratory measurements
Samples that underwent chemical treatment under both normal and high-temperature conditions were used in
specific laboratory experiments to determine the physical and mechanical properties of the sandstone. Various
experimental setups are presented in Fig. 2.
2.3.1 Bulk density and Porosity:
The bulk density of the treated samples under varying pH conditions was determined using the Archimedes
principle with a Tensiometer. Porosity was assessed with a helium porosimeter, which operates based on Boyle's law.
Both of these instruments are available in the Department of Petroleum Engineering and Geoengineering at Rajiv
Gandhi Institute of Petroleum Technology, Jais, Amethi, India.
2.3.2 P wave and S wave velocity:
A non-destructive technique was employed to assess the quality and integrity of the rock specimen. The Pundit
PL-200, an ultrasonic pulse velocity testing equipment available in the Department of Petroleum Engineering and
Geoengineering at Rajiv Gandhi Institute of Petroleum Technology in Jais, Amethi, India, was utilized to determine
the P-wave and S-wave velocities. The velocity was calculated based on the sample's length and the time taken for the
wave to travel between the receiver and the emitter. Both P-wave and S-wave measurements used 250 KHz
transducers. Additionally, density and velocity values were used to calculate Poisson's ratio and the Elastic modulus
of the treated samples.

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 Behaviour of Fine-grained Sandstone under Normal and Hot-water Saturation with varying
pH conditions

(𝟒𝟒𝟒𝟒𝐬𝐬𝟐𝟐 −𝟑𝟑𝟑𝟑𝐩𝐩𝟐𝟐 )
𝐄𝐄 = 𝛒𝛒𝛒𝛒𝛒𝛒² (1)
(𝐕𝐕𝐬𝐬𝟐𝟐 −𝐕𝐕𝐩𝐩𝟐𝟐 )

(𝐕𝐕𝐩𝐩𝟐𝟐 −𝟐𝟐𝟐𝟐𝐬𝐬𝟐𝟐 )
𝛔𝛔 = (2)
(𝟐𝟐𝟐𝟐𝐩𝐩𝟐𝟐 −𝟐𝟐𝟐𝟐𝐬𝐬𝟐𝟐 )

where, E is the Elastic modulus, σ is poison’s ratio, ρ is density, and Vp & Vs are compressional and shear wave
velocities.

Fig. 1 An example of sample preparation and treatment of prepared samples at various pH conditions under normal
(27⁰C) and high temperature (120⁰C) conditions: (a) core drilling, (b) prepared point load strength index test samples,
(c) prepared Brazilian tensile strength test samples, (d) oven drying of prepared samples, (e) samples of varying pH
treated within desiccator at 27⁰C, (f) samples of varying pH treated within roller oven at 120⁰C.
2.3.3 Point Load Strength (PLS) index test:

An index test is used to calculate the strength of rock. It is a quick test and does not require any sophisticated
equipment. Samples undergo compression between two conical plates with point contact. In this study, core samples
were placed axially. Once the sample breaks, the uncorrected Point Load Strength (PLS) index can be calculated using
the following equation:

𝐈𝐈𝐈𝐈 = 𝐏𝐏/𝐃𝐃𝐞𝐞𝟐𝟐 (3)

where, Is = uncorrected PLS index (MPa), P = peak load (kN), De = equivalent core diameter (mm).
The sample size significantly influences the strength of the rock. A larger sample size increases the likelihood of
weak planes or fractures. Consequently, the value of 'Is' is adjusted to 'Is50,' using a reference dimension of 50 mm.
The corrected PLS index, denoted as 'Is50,' is calculated using the following equation:
𝐈𝐈𝐈𝐈𝐈𝐈𝐈𝐈 = 𝐅𝐅 ∗ 𝐈𝐈𝐈𝐈 (4)
where, Is50 = corrected PLS index (MPa), Is = uncorrected PLS index (MPa), F = size correction factor, F = (De/50)0.45
2.3.4 Brazilian Tensile Strength Test

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121
where, Is = uncorrected PLS index (MPa), P = peak load (kN), De = equivalent core diameter (mm).
The sample size significantly influences the strength of the rock. A larger sample size increases the likelihood of
weak planes or fractures. Consequently, the value of 'Is' is adjusted to 'Is50,' using a reference dimension of 50 mm.
The corrected PLS index, denoted as 'Is50,'
Divyanshoo is calculated
Singh, using the
Kumar Nilankar, andfollowing equation:
Hemant Kumar Singh
𝐈𝐈𝐈𝐈𝐈𝐈𝐈𝐈 = 𝐅𝐅 ∗ 𝐈𝐈𝐈𝐈 (4)
where, Is50 = corrected PLS index (MPa), Is = uncorrected PLS index (MPa), F = size correction factor, F = (De/50)0.45
2.3.4 Brazilian Tensile Strength Test

An indirect method for determining the tensile strength of rock involves applying a load across the diameter of
disk-shaped samples. The peak or failure load is recorded when the samples fail in tension. As a result, the Brazilian
tensile strength is calculated using the following formula:
𝐁𝐁𝐁𝐁𝐁𝐁 = 𝟐𝟐𝟐𝟐/𝛑𝛑𝛑𝛑𝛑𝛑 (5)
where, BTS = Brazilian tensile strength (MPa), P = peak load (kN), D = diameter (mm), L = thickness (mm)

Fig. 2 shows an example of laboratory test setups for testing and analysis: (a) Tensiometer, (b) Helium porosimeter,
(c) Ultrasonic Pulse velocity test, (d) Point Load Strength index test, (e) Brazilian Tensile Strength test.

3 RESULT & DISCUSSION

3.1 Physical properties

To understand how different pH solutions affect the physical properties of fine-grained sandstone at ambient and
high temperatures, Table 1 and Fig. 3 show the physical properties and their relationship with different pH solutions.
Significant variations in physical properties, including bulk density, porosity, and wave velocities, are observed under
different pH conditions at both normal (room temperature) and high temperatures (120⁰C).
Bulk density exhibited a trend of reduction with increasing or decreasing pH levels compared to the normal pH
of 7. For instance, at a pH of 7, the bulk density values at normal and high temperatures were 2.58 g/cc and 2.52 g/cc,
respectively. At a pH of 2, these values reduced to 2.29 g/cc and 2.24 g/cc, and at a pH of 13, these are 2.42 g/cc and
2.40 g/cc respectively. According to Chen et al. (2023), the rate of mass loss increased with decreasing pH values and
with increasing temperature. This mass loss primarily results from chemical corrosion, both in highly acidic and highly
basic conditions. Acidic solutions, having more H+ ions compared to basic solutions, are more reactive, leading to
greater chemical corrosion and mass loss.
The porosity of the samples was influenced by the nature of the solution, treatment time, and temperature.
Porosity increased with longer treatment time, higher temperature, increased acidity, and basicity of the solution (Li
et al., 2019; Lin et al., 2019). For example, at a pH of 7 under normal and high temperatures, the porosity values were
5.23% and 5.71%, respectively. At a pH of 2, they increased to 9.20% and 9.80%, and at a pH of 13, they were 7.34%
and 7.90%. Higher corrosion resulted in mineral dissolution and the creation of voids within the samples, particularly
in acidic solutions.
Seismic wave velocities decrease with increasing acidity and basicity, and the rate of variations in these velocities
intensifies with higher temperatures. As reported by Wang et al. (2016), highly acidic solutions led to mineral
dissolution and damage to cementation areas, resulting in the reduction of wave velocities. The reduction of wave
velocities was due to the dissipation of wave energy throughout the voids created under low and high pH conditions.
Consequently, both P-wave and S-wave velocities diminished. For example, at a pH of 7 under normal and high
temperatures, the P-wave velocity values were 4780 m/sec and 4752 m/sec, respectively. At a pH of 2, they decreased
to 4018 m/sec and 3918 m/sec, and at a pH of 13, they were 4103 m/sec and 4052 m/sec. The S-wave velocity values
at the same conditions were 2792 m/sec and 2699 m/sec for pH 7, 2120 m/sec and 2090 m/sec for pH 2, and 2410
m/sec and 2380 m/sec for pH 13.
The damage factor, calculated from initial (before treatment) and final (after treatment) P-wave velocities, is a
critical parameter for assessing the extent of damage within the rock. Maximum damage was observed at pH 2
conditions under both normal and high temperatures, while minimum damage was observed at pH 7 conditions under
both normal and high temperatures.

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 Behaviour of Fine-grained Sandstone under Normal and Hot-water Saturation with varying
pH conditions

Table 1. demonstrates the average values of the physical properties of fine-grained sandstone under normal (27⁰C) and
hot-water (120⁰C) saturation with varying pH conditions.

S.no pH Average bulk Average Average P-wave Average S-wave Average Damage
density (g/cc) Porosity (%) (km/sec) (km/sec) factor

27⁰C 120⁰C 27⁰C 120⁰C 27⁰C 120⁰C 27⁰C 120⁰C 27⁰C 120⁰C
1 2 2.29 2.24 9.2 9.8 4.018 3.918 2.12 2.09 0.089 0.1
2 5 2.47 2.45 5.98 6.2 4.332 4.2 2.37 2.352 0.054 0.068
3 7 2.58 2.52 5.23 5.71 4.78 4.752 2.792 2.699 0.006 0.009
4 9 2.5 2.49 5.67 5.88 4.59 4.532 2.685 2.632 0.026 0.032
5 13 2.42 2.4 7.34 7.9 4.103 4.052 2.425 2.38 0.079 0.085

Fig. 3 illustrates the relationship between pH and physical properties under normal (27 °C) and high temperature (120
°C) conditions: (a) pH vs. bulk density, (b) pH vs. porosity, (c) pH vs. P-wave velocity, (d) pH vs. S-wave velocity,
and (e) pH vs. damage factor.

3.2 Mechanical properties:

To characterize the mechanical properties of fine-grained sandstone, the specimens were saturated with varying
pH solutions at normal (27 °C) and hot-water (120 °C) conditions. The mechanical properties were then determined
under the stated conditions, and the results are shown in Table 2 and Fig. 4. Fig. 4 exhibits the relationship between
pH versus Brazilian tensile strength (BTS) and point load strength (PLS) tests. Sandstone's mechanical properties are
highly influenced by pH variations. According to Chen et al. (2023), chemical corrosion of rock components causes a
reduction in rock strength. Brazilian tensile strength (BTS) tests showed that saturated sandstone samples had tensile
strengths of 15.6 MPa and 13.9 MPa at normal and high temperatures, respectively, at pH 7; 4.2 MPa, and 2.6 MPa at
pH 2; and 6.2 MPa and 5.7 MPa at pH 13. According to Chen et al. (2023), chemical corrosion weakens rock and
reduces its mechanical properties. At pH 7, saturated sandstone samples had tensile strengths of 15.6 MPa and 13.9
MPa at normal and high temperatures, respectively. At pH 2, the tensile strengths were 4.2 MPa and 2.6 MPa,
respectively. And at pH 13, the tensile strengths were 6.2 MPa and 5.7 MPa, respectively. (Dubey & Singh, 2000)
found that saturated samples at low pH values showed a maximum reduction in the strength of sandstone due to the
increased corrosive action of water on mineral grains and cementing materials. Like Brazilian Tensile Strength (BTS),
the Point load strength (PLS) index test showed that the samples treated under normal and high temperature at 7 pH

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 Divyanshoo Singh, Kumar Nilankar, and Hemant Kumar Singh

have Is50 values of 4.4 MPa and 3.3 MPa, while at 2 pH under normal and high temperature is 1.89 MPa and 1.02
Mpa and at 13 pH, the value under normal and high temperature is 2.1 MPa and 1.63 MPa respectively. Reduction in
strength is observed under both acidic and basic conditions concerning neutral and this reduction further intensifies at
high temperature. This reduction in strength is more pronounced under low pH condition and compared to high pH
because, under low pH (acidic environment) large number of hydrogen ions are present within the solution as
compared to high pH (basic environment) which enhance the rate of corrosion and greater reduction in strength of
rock.
Table 2. demonstrates the average values of the mechanical properties under normal (27⁰C) and hot-water (120⁰C)
saturation with varying pH conditions.

S.no pH Average BTS (Mpa) Average PLS (Mpa)

27⁰C 120⁰C 27⁰C 120⁰C
1 2 4.2 2.6 1.89 1.02
2 5 9.4 9.1 4.1 3.28
3 7 15.6 13.9 4.4 3.3
4 9 13.6 12.8 3.25 2.89
5 13 6.2 5.7 2.1 1.63

Fig 4. Graphs showing a relationship between pH and mechanical properties of fine-grained sandstone under normal
(27⁰C) and high temperature (120⁰C) conditions: (a) pH vs Brazilian Tensile Strength, (b) pH vs Point Load Strength.

4. CONCLUSION
The present investigation reveals that the physico-mechanical properties of fine-grained sandstone are adversely
affected by acidic and basic environments, compared to a neutral pH. This adverse effect increases with temperature.
It is also observed that acidic environments have more adverse effects on the physico-mechanical properties of fine-
grained sandstone than basic environments.
Based on the obtained results and observations, the following conclusions can be made:
 Physical properties such as bulk density, P-wave and S-wave velocity, porosity, and damage factor have the
lowest values at 2 pH and 120 °C, and the highest at 7 pH and 27 °C.
 Mechanical properties such as the point load strength index and Brazilian tensile strength have the lowest
values at 2 pH and 120 °C, and the highest values at 7 pH and 27 °C.
This study will improve our understanding of how rocks behave in different water environments with varying pH
levels at normal and high temperatures. This knowledge will help us to design underground tunnels and dams, exploit
oil and gas, underground mining, and nuclear waste disposal.
ACKNOWLEDGEMENT
The authors are grateful to the Rajiv Gandhi Institute of Petroleum Technology, Jais, for providing the laboratory
facilities to conduct the experimental studies reported in the paper.

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 Behaviour of Fine-grained Sandstone under Normal and Hot-water Saturation with varying
pH conditions

References:

Chen, Q., Chen, Y., Xiao, P., Du, X., Pan, Y., & Azzam, R. (2023). Mechanical properties and damage constitutive
model of sandstone after acid corrosion and high temperature treatments. International Journal of Mining
Science and Technology, 33(6), 747–760. https://doi.org/10.1016/j.ijmst.2022.11.011
Dubey, R. K., & Singh, T. N. (2000). Influence of pH of Water on Mechanical Properties of Sandstone-An
Experimental Approach. In Journal of Scientific & Industri al Research (Vol. 59).
Huang, Z., Zeng, W., Wu, Y., Li, S., Gu, Q., & Zhao, K. (n.d.). Effects of temperature and acid solution on the
physical and tensile mechanical properties of red sandstones. https://doi.org/10.1007/s11356-020-11866-
x/Published
Li, S., Huo, R., Yoshiaki, F., Ren, D., & Song, Z. (2019). Effect of acid-temperature-pressure on the damage
characteristics of sandstone. International Journal of Rock Mechanics and Mining Sciences, 122.
https://doi.org/10.1016/j.ijrmms.2019.104079
Lin, Y., Zhou, K., Gao, F., & Li, J. (2019). Damage evolution behavior and constitutive model of sandstone
subjected to chemical corrosion. Bulletin of Engineering Geology and the Environment, 78(8), 5991–6002.
https://doi.org/10.1007/s10064-019-01500-7
Sharma, P. K., Khandelwal, M., & Singh, T. N. (2007). Variation on physico-mechanical properties of Kota stone
under different watery environments. Building and Environment, 42(12), 4117–4123.
https://doi.org/10.1016/j.buildenv.2006.11.032
Singh, T. N., Jadhav, V. B., & Singh, S. (2009). A fuzzy approach to classify physico-mechanical rock property with
varying pH of the surrounding medium. Environmental Geology, 56(7), 1383–1387.
https://doi.org/10.1007/s00254-008-1233-0
Wang, W., Liu, T. G., & Shao, J. F. (2016). Effects of Acid Solution on the Mechanical Behavior of Sandstone.
Journal of Materials in Civil Engineering, 28(1). https://doi.org/10.1061/(asce)mt.1943-5533.000131

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 Theme 02 - Use of underground space
S.T. Amin, S.M. for and
Abbas urban infrastructure development
A. Usmani
and highway railway tunnels

Effect of Construction of a New Tunnel Nearby an Existing Tunnel: Static and Seismic
Analysis for Varying Horizontal Spacing

S.T. AMIN1,S.M. ABBAS2 AND A. USMANI3

1
Research Scholar, Corresponding Author, Department of Civil Engineering, JMI, New Delhi
2 Professor, Department of Civil Engineering, JMI, New Delhi
3 DGM, ETDD, EIL, New Delhi

e-mail: tabassumamin56@gmail.com)

ABSTRACT: Underground tunnels are an utmost requisite in today’s modern world of development and
transportation. However, twin tunnels have gained popularity for maximum utility of underground space and
structural stability. Seismic vulnerability of these underground structures is also of great concern, especially in a
seismically active zone. This paper discusses the influence of constructing a new tunnel near an existing tunnel
under varying horizontal spacing for static and seismic conditions. A 2D plain strain model is constructed using
Mohr-Coulomb criteria in Midas GTS NX software and Loma Preita earthquake is used for seismic simulation.
Response spectra compatible time history for Delhi soil is generated using SeismoMatch for this study. Responses
in the existing tunnel before and after construction of the new tunnel are plotted in the form of internal forces and
principal stresses for both static and seismic cases. It is found that the circumferential force in the existing tunnel
lining decreases on increasing the spacing between the tunnels for both static and seismic case. Bending moment
and shear forces in the lining also decrease along with the increase in spacing for static analysis but show a reverse
trend in case of seismic analysis. This can be attributed to the orientation and distance of the new tunnel which
aids in the seismic load sharing mechanism and thereby play a very crucial role in the dynamic stability of the soil-
tunnel system.
Keywords: twin tunnel, alluvial silt, static and seismic analysis.
1 INTRODUCTION
Proper utilization of underground space is highly essential to accommodate the increase in demand of
transportation, storage or utility requirements, especially in populated urban areas. Due to the same, twin tunneling
or multiple tunneling has gained momentum in the world of modern transportation and communication. However,
there is a dire need of research to study the structural vulnerability of these underground structures in seismically
active regions. Although, underground structures are generally considered safer than aboveground structures due
to the restraint provided by the surrounding soil, but there have been many recent cases where extensive damage
and destruction have been recorded. Bolu tunnels of Turkey are an example of such damage. Such incidents have
highlighted the fact that both static and seismic analyses of these underground structures are crucial to ensure
structural safety and resilience.
The selection of authentic ground motion holds pivotal importance in ensuring the precision of seismic
analysis conducted on underground tunnels. In cases where seismic data is unavailable for a particular location,
seismic records obtained from a comparable site can be employed for analytical purposes. Nonetheless, it is
imperative to acknowledge that such an approach might lead to an overestimation of the resultant response (Singh
et al., 2017). For accurate analysis, the actual earthquake time history must be converted into response spectra time
history. The impact of constructing a second tunnel on the response of the existing tunnel can help engineers
understand the variation of vertical stresses and forces in RC liners with different pillar widths. This can help guide
the selection of appropriate design parameters to ensure tunnel safety and stability (Singh et al., 2021). Also, the
tunnel's bearing capacity decreases sharply during strong earthquakes, and the lining is destroyed, resulting in a
large residual internal force. The interaction of parallel tunnels influences the internal force distribution and the
magnitude of adjacent surface acceleration. When parallel tunnels are present, the ground acceleration is amplified,
resulting in a doubled peak increment of ground acceleration when compared to the single tunnel case (Li et al.,
2022). The presence of underground structures, such as tunnels and stations, can have a significant impact on the
soil's dynamic response.
As per another study (Sun et al., 2020), the existence of subway stations has the potential to reduce the
dynamic reaction of tunnels when seismic events occur. The paper also asserts the substantial influence of the
effect of subway stations on tunnel dynamic response, including tunnel acceleration, displacement difference, and
internal force. The relative position of twin tunnel has significant impact on tunnel design, notably in terms of soil
movement and internal pressures in the lining (Pm Channabasavaraj & Visvanath, 2013). Also, the circumferential
force of tunnel lining was less affected by seismic events (Hamdy et al., 2015).

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 Effect of Construction of a New Tunnel Nearby an Existing Tunnel: Static and Seismic
2 METHODOLOGY Analysis for Varying Horizontal Spacing
2.1 Numerical Modeling
A 2D plain strain soil model is constructed with the help of Midas GTS NX (using Finite Element Modelling)
2 METHODOLOGY
software. The dimensions of the model are 180 X 100m as shown in Fig. 1. The soil model consists of 7 different
2.1 Numerical
layers Modeling
with various modulus of elasticity as shown in Table1 to resemble realistic ground conditions which have
been modified from Singh et al., 2017. Elastic-plastic properties of Mohr-Coulomb soil condition is assigned to
A 2D plain strain soil model is constructed with the help of Midas GTS NX (using Finite Element Modelling)
all the layers of the soil model The tunnel dimensions are chosen from Singh et al., 2017. The tunnel has a diameter
software. The2 dimensions of the model are 180 X 100m as shown in Fig. 1. The soil model consists of 7 different
(D) of 6.26m, METHODOLOGY
as mentioned in Table 2. The tunnel is located at a depth of 56.75m below the ground surface. 1D
layers with various modulus
2.1 Numerical of elasticity as shown in Table1 to resemble realistic ground conditions which have
Modeling
beam elements are chosen to simulate tunnel lining, which exhibits only elastic property. No slip condition (perfect
been modified from Singh et al., 2017. Elastic-plastic properties of Mohr-Coulomb soil condition is assigned to
bond) is considered between
A 2D plain themodel
strain soil tunnel lining and
is constructed withthe surrounding
the help of Midas GTS soil. Ground
NX (using water
Finite table
Element is not considered.
Modelling)
all the layers software.
of the soil model
The5%dimensionsTheoftunnel dimensions
the model are 180 are chosen
X 100m as shown from
in Fig.Singh et al.,
1. The soil 2017.
model Theoftunnel
consists has a diameter
Damping of 10% and are assigned to each layer of soil and tunnel lining respectively. The7 important
different properties
(D) of 6.26m,layers
as mentioned
with various modulus of elasticity as shown in Table1 to resemble realistic ground conditions which have surface. 1D
in Table 2. The tunnel is located at a depth of 56.75m below the ground
of the tunnelbeenlining adopted from Singh et al. (2017) and Singh et al. (2021) are thereby mentioned in Table 3. A
beam elements are chosenfrom
modified to simulate
Singh et al.,tunnel lining, which
2017. Elastic-plastic exhibits
properties only elastic property.
of Mohr-Coulomb soil conditionNoisslip condition
assigned to (perfect
new tunnel of same
all the diameter
layers of the soilismodel
considered
The tunnel indimensions
the twin are tunnel
chosenarrangement
from Singh et al.,as 2017.
illustrated in Fig.
The tunnel has a 1. Here, the distance
diameter
bond) is considered between the tunnel lining and the surrounding soil. Ground water table is not considered.
of the new tunnel is varied
(D) of 6.26m, at 1.5D,
as mentioned 2D, 2.5D,
in Table 3D and
2. The tunnel 3.5D atfrom
is located theofcentre
a depth 56.75m of thethe
below existing tunnel.1D(D= Diameter
ground surface.
Damping of 10% beam elements are chosen to simulate tunnel lining, which exhibits only elastic property. No slip condition (perfect properties
and 5% are assigned to each layer of soil and tunnel lining respectively. The important
of the existing tunnel).
of the tunnelbond)
liningis adopted
consideredfrombetween Singh et al.lining
the tunnel (2017)and and Singh et al.
the surrounding soil.(2021)
Ground are
waterthereby
table is mentioned
not considered.in Table 3. A
Damping
new tunnel of same diameterof 10% andis5% are assigned in
considered to each layer of
the twin soil andarrangement
tunnel tunnel lining respectively. The important
as illustrated in Fig. 1. properties
Here, the distance
of the tunnel lining adopted from Singh et al. (2017) and Singh et al. (2021) are thereby mentioned in Table 3. A
of the new tunnel is varied
new tunnel of sameat 1.5D,is2D,
diameter 2.5D,in3D
considered and tunnel
the twin 3.5Darrangement
from the centre of the
as illustrated existing
in Fig. 1. Here,tunnel. (D= Diameter
the distance
of the existing tunnel).
of the new tunnel is varied at 1.5D, 2D, 2.5D, 3D and 3.5D from the centre of the existing tunnel. (D= Diameter
of the existing tunnel).

Fig. 1 Layout of soil-tunnel model

Fig.properties,
After assigning the soil and tunnel 1 Layout of soil-tunnel
the model comprising model
of single tunnel and twin tunnel are
After finely meshed using 4-noded quadrilateral elements up to a
assigning the soil and tunnel properties, the model comprisingmaximum size of 1m. A
ofhigh quality
single mesh should
tunnel
tunnel are be
and twin
created to acquire the required accuracy, convergence, reduce the time and thereby fasten the process of simulation.
finely meshed using 4-noded quadrilateral elements up to a maximum size of 1m. A high quality mesh should be
2.2 Seismic
created to acquire the Input
required accuracy,Fig.
convergence,
1 Layoutreduce the time and
of soil-tunnel thereby fasten the process of simulation.
model
Loma Preita earthquake (1989) is selected for the seismic analysis. Since Delhi falls in seismic zone IV (IS-
After assigning
2.2 Seismic Input the
1893-Part-1, soilit isand
2002), tunnelto properties,
important the model
produce an artificial comprising
earthquake of single
which is compatible tunnel
for Delhi soilsand twin tunnel are
(alluvial
finely meshed using
silts) 4-noded
to generate quadrilateral
realistic elements
ground responses. up with
Hence, to a the
maximum size of 1m.software
help of SeismoMatch A high quality
response mesh should be
spectra
createdLoma Preitathe
compatible
to acquire earthquake
time history
required (1989)
data is is
accuracy, selected
generated forLoma
using
convergence, the seismic
Preitathe
reduce analysis.
earthquake
time and Since
datathereby Delhi
as shown falls
in Fig.
fasten the2. in
Theseismic ofzone
original
process IV (IS-
simulation.
1893-Part-1,earthquake
2002), ithadisaimportant
PGA of 0.367g to produce
whereas thean artificial
synthetic earthquake
earthquake has a PGAwhich is compatible
of 0.125g. forgenerated
This artificially Delhi soils (alluvial
2.2 Seismic
silts) Input
time history
to generate data hasground
realistic a total time period of 40sec.
responses. Hence,The earthquake
with the ishelp applied
of horizontally
SeismoMatch to the soil-tunnel
softwaremodel response spectra
for a time period of 12 sec to expedite the analysis procedure as it was the dominant time period of the earthquake.
compatible time history data is generated using Loma Preita earthquake data as shown in Fig. 2. The original
Loma Preita earthquake (1989) is selected Tablefor the seismic
1 Properties analysis.
of soil layers Since Delhi falls in seismic zone IV (IS-
earthquake had a PGA of 0.367g whereas the synthetic earthquake has a PGA of 0.125g. This artificially generated
1893-Part-1, 2002), it is important Depth (m) to produceThickness
an artificial
(m) earthquake which
Elastic is compatible
Modulus (kPa) for Delhi soils (alluvial
time history data has a total time period of 40sec.10The earthquake is applied horizontally to the soil-tunnel model
silts) to generate realistic ground 0-10 responses. Hence, with the help of SeismoMatch
7500 software response spectra
for a time period of 12 sec to expedite the analysis10procedure as it was the dominant time period of the earthquake.
compatible time history data is10-20 generated using Loma Preita earthquake 15000
data as shown in Fig. 2. The original
20-35 Table 15
1 Properties of soil layers30000
earthquake had a PGA of 0.367g whereas
35-50
the synthetic
15
earthquake has a PGA
40000
of 0.125g. This artificially generated
time history data has aDepth total time
(m) period ofThickness
50-60 40sec. 10The(m)earthquake is applied 50000horizontally
Elastic Modulus (kPa) to the soil-tunnel model
for a time period of 12 sec0-10 to expedite the analysis10procedure as it was the dominant 7500 time period of the earthquake.
10-20 Table 1 10 Properties of soil layers 15000
20-35
Depth (m) 15
Thickness (m) Elastic Modulus30000 (kPa)
35-50
0-10 1015 40000
7500
50-60
10-20 1010 50000
15000
60-80
20-35 1520 65000
30000
80-100
35-50 1520 80000
40000
50-60 Table 10
2 Tunnel lining properties 50000
Properties Values
Diameter of
th both tunnels, D
INDOROCK 2023: 9 Indian Rock Conference 16-18 November 6.26m2023
Overburden depth, H 46.87m
Thickness of RC liners 0.28m 127
XD (Centre to centre distance/Diameter of the tunnel) 1.5 to 3.5
Elastic modulus of RC liners, EC 3.16X107 kPa
Poisson’s ratio of concrete 0.15
 S.T. Amin, S.M. Abbas and A. Usmani

60-80 20 65000
80-100 20 80000
Table 2 Tunnel lining properties
Properties Values
Diameter of both tunnels, D 6.26m
Overburden depth, H 46.87m
Thickness of RC liners 0.28m
XD (Centre to centre distance/Diameter of the tunnel) 1.5 to 3.5
Elastic modulus of RC liners, EC 3.16X107 kPa
Poisson’s ratio of concrete 0.15
Table 3 Soil properties
Properties Values
Unit weight, γbulk 18kN/m3
Saturated unit weight, γsat 20kN/m3
Cohesion, c 0
Friction angle, Φ 35ᴼ
Dilatancy angle, Ψ 5ᴼ
Poisson’s ratio, ν 0.25
Elastic Modulus, E 25MPa

Fig. 2 Loma Preita Earthquake data

2.3 Analysis Procedure
For static analysis, all the nodes of the vertical boundaries are hinged in x-direction to allow free movement
in the y-direction. The bottom boundary is fixed in all directions to simulate bottom rock condition. This is
followed by Eigen value analysis, where ground surface springs are applied to the soil model only. Now in case
of seismic analysis, absorbent boundaries are applied at vertical sides to replicate free field ground conditions.
Various stages involved in the complete analysis are mentioned below:-
Stage1: To generate initial stresses, at-rest earth pressure coefficient, “K o condition” is considered by
activating all the soil layers only. The soil excavation and lining are not activated in this stage.
Stage2: Soil in the first tunnel is removed. Volume contraction of 3% is applied to simulate percentage of
ground loss volume during excavation. Here, the tunnel lining is simultaneously installed to avoid collapse of the
tunnel cavity.
Stage3: Similar steps as mentioned in Stage 2 are repeated for the new tunnel at a particular distance.
Stage4: Static analysis is carried out for the whole system and the resulting stresses get stored as the initial
stress condition prior to the occurrence of earthquake.
Stage5: Modal analysis is performed to generate dominant modes of frequencies, which are used to calculate
mass and stiffness proportional coefficients, α and β respectively.
Stage6: Non-linear time history analysis is finally performed by incorporating α and β from Stage5 and
applying the artificially generated earthquake in the positive x-direction to the soil-tunnel model.
3 Results and Discussion
Responses generated on the existing tunnel before and after construction of a new tunnel are presented in the
form of different parameters such as circumferential force, bending moment, shear force and principal stresses of
the surrounding soil medium.

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 Effect of Construction of a New Tunnel Nearby an Existing Tunnel: Static and Seismic
Analysis for Varying Horizontal Spacing

3.1 Static Analysis

The process of excavation and construction of a tunnel involves removal of soil from the path of the tunnel.
The removal of soil and further installation of tunnel lining alters the load distribution mechanism in the
surrounding soil. This leads to redistribution of stresses in the soil medium. These newly redistributed stresses get
stored as initial stresses before the excavation of new tunnel. So, the purpose is to understand the impact of
construction of this new tunnel on the existing tunnel and the surrounding soil medium. Fig. 3(a) shows the
variation of circumferential force with respect to XD in the existing tunnel, where XD is the ratio of centre-to-centre
distance between the two tunnels and the diameter of the tunnel (D).
The variation of absolute maximum bending moment and shear force in the existing tunnel also show a similar
pattern as shown in Fig. 3(b) and 3(c). Due to construction of a new tunnel, the absolute maximum circumferential
force, bending moment and shear force increase in the existing tunnel. This increase in the parameters decreases
with increase in XD. This may be attributed to the fact that due to the construction of a new tunnel, additional
stresses are generated on the existing tunnel during excavation and installation of new tunnel lining. However, on
increasing the distance between the two tunnels, there is a gradual reduction in the interference of stresses. As a
result, the existing tunnel shows a decrease in these parameters. Similar trend is also observed in case of both
major and minor principal stresses as shown in Fig. 4(a) and 4(b). These principal stresses are generated in the soil
medium at the periphery of the existing tunnel.

3 (a) 3(b) 3(c)

Fig. 3 Variation of (a) Circumferential force (b) Bending Moment and (c) Shear Force in the existing tunnel due
to new tunnel

4(a) 4(b)
Fig. 4 Variation of (a) major principal stress and (b) minor principal
stress in the soil surrounding the existing tunnel
3.2 Seismic Analysis
The existing tunnel and the twin tunnel (existing and new tunnel) models are further analyzed by non-linear
time history analysis using Loma Preita earthquake. The tunnel lining parameters and principal stresses in the
surrounding soil medium are compared. The variation of absolute maximum circumferential force in the exiting
tunnel is similar to that of the static case (Fig. 5(a)). In case of twin tunnel, it is observed to be more than as in
existing tunnel and decreases as XD increases. This can be due to the fact that circumferential force largely depends
on the overburden load acting above the tunnel. This overburden load does not suffer much alteration due to the
horizontally applied earthquake loading. However, the absolute maximum bending moment and shear force in the
existing tunnel show a reverse pattern as compared to that of the static case (Fig. 5(b) and 5(c)). In case of twin
tunnel system, the bending moment and shear force are lesser than that as in the existing tunnel and gradually
increase with XD. This can be attributed to the fact that the existing tunnel is an isolated structure as compared to
a twin tunnel system. In case of twin tunnel, the new tunnel acts as a reinforcement for the existing tunnel against
the horizontally applied earthquake load. The existing tunnel solely carries the seismic load in contrast to a twin
tunnel system where the load gets shared between the tunnels. This helps in generating lower bending moment in

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 S.T. Amin, S.M. Abbas and A. Usmani

the twin tunnel system. Hence, it can be correctly stated that a twin tunnel system is more seismically stable than
a single tunnel.
Contrary to static analysis, the bending moment and shear force in the existing tunnel are increasing as XD
increases. This may be due to that the horizontal alignment of the new tunnel leads to confinement of the soil
connecting the tunnels. The bridge of soil between the two tunnels acts as a resistance to the horizontally applied
earthquake. Further, on increasing the distance, the confinement of this soil bridge between them gradually
decreases. Therefore, in case of twin tunnels as XD increases, the existing tunnel becomes more vulnerable to the
earthquake load and produces higher bending moment. A similar trend is observed in case of minor principal stress
in the soil medium at the boundary of the existing tunnel, whereas the variation of major principal stress is similar
to that of the static case (Fig. 6(a) and 6(b)).
Generally, the major principal stress of any soil element depends on the overburden load of the soil medium.
This may be the reason for similar variation as observed in the static case, as the overburden load above the tunnel
lining suffers very less alteration due to the horizontally applied earthquake. However, the variation of minor
principal stress is similar to that of the bending moment as both these parameters are affected by the horizontal
pressure implemented on the soil and tunnel respectively by the earthquake.
From static analysis, it is observed that after a distance of 2.5D, the difference in variation of all the parameters
between the existing tunnel and twin tunnel gradually decreases. Same is observed in case of seismic analysis. It
is essential to find a feasible distance between the two tunnels to ensure static and dynamic stability. Hence, as per
the present study, an ideal distance of 2.5D-3D between the existing tunnel and a new tunnel will be optimum to
be both statically and seismically safe. Here, the governing factor in deciding the distance is actually derived from
the static analysis.

5(a) 5(b) 5(c)

Fig. 5 Variation of (a) Circumferential Force (b) Bending Moment and (c) Shear Force in the existing tunnel
after earthquake

6(a) 6 (b)
Fig. 6 Variation of (a) Major principal stress and (b) Minor principal
stress in the soil surrounding the existing tunnel after earthquake
4 CONCLUSION
In this paper, static and seismic analyses are performed on a single and a twin tunnel system. The impact is
observed on the existing tunnel due to a new tunnel at different horizontal distances. Artificially generated response
spectra compatible Loma Preita earthquake data is used in the non-linear time history analysis. The interaction
effect is studied in the form of parameters such as lining forces and soil stresses. Based on the above study, it can
be concluded that:
Static analysis:
• After construction of a new tunnel, parameters of the existing tunnel such as circumferential force,
bending moment and shear force increase as compared to a single tunnel. This is due to increased
interference of stresses in the soil from excavation of the new tunnel.

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 Effect of Construction of a New Tunnel Nearby an Existing Tunnel: Static and Seismic
Analysis for Varying Horizontal Spacing

• Lining parameters of the existing tunnel tend to decrease on increasing the distance between the tunnels.
This results from gradual decrease in the interaction effects between the tunnels.
Seismic analysis:
• Absolute maximum circumferential force of the existing tunnel shows a similar trend as in static case,
due to indifference in the vertical load. Same pattern is also observed in the variation of the major
principal stress in the soil surrounding the existing tunnel.
• Absolute maximum bending moment and shear force of the existing tunnel lining are less than that of a
single tunnel and tend to increase on increasing the distance between the two tunnels. The load sharing
mechanism of the twin tunnel and the confining nature of the soil between the tunnels lead to reduced
bending moment and shear force in the existing tunnel.
Based on this research, an optimum distance of 2.5D-3D will be ideal for construction of a new tunnel
horizontally to counter both static and seismic loads safely.
ACKNOWLEDGEMENTS
I would like to express my sincere appreciation for the invaluable support that Midas GTS NX has provided
me, enabling me to access the software and conduct my research effectively.
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Running underneath a Subway Station in Parallel. Shock and Vibration, 2020.
https://doi.org/10.1155/2020/8822981

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 Theme 03 Rishi
- Tunnelling through
Sharma and weak and
Pooja Swami, fragile
Piyush rock mass
Isasare

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Tunnelling in Weak Rock - A Case Study in Connection with Broad Gauge Rail Link
between Rishikesh and Karnaprayag, Uttarakhand, India

RISHI SHARMA1 AND POOJA SWAMI2, PIYUSH ISASARE3

1
Turkish Engineering Consulting & Contracting-TUMAS India Pvt. Ltd.
2&3
Turkish Engineering Consulting & Contracting-TUMAS India Pvt. Ltd.
e-mail: rishi.sharma@tumas.com.tr

ABSTRACT: Tunnelling in tectonically active Himalaya being dominated by fault and shear zones, are very
challenging and calls for the in-depth assessment of such fault/shear/thrust zones to enable the smooth execution
of projects.
This paper focuses on the tunnelling in weak rocks, fragile and jointed rock mass of construction adit 6A
(access to Main Tunnel T-11) for Rishikesh-Karanaprayag Railway Line in the state of Uttarakhand. The uncertain
and surprised behaviour of rock mass and hydrological factors (ingress of water) gives additional challenges
without sufficient geotechnical investigations.
The smooth execution of this tunnel in heterogenous geological conditions in active Himalayan terrains has
been carried out by New Austrian Tunnelling Method (NATM)/ Drilling and Blast Method (D&B).
1 INTRODUCTION
Tunnelling is one of the most attracting creations that contributes to the development of nation. It is also
representative of the synergistic and coordinated efforts of designers, geologists, engineers, and workers. As we
all are aware, the Himalayas are tectonically active young folded dynamic mountain range, making their geology
incredibly complex. It is not surprising to find areas of weak rock mass because of the ongoing geological activity
that has produced such an intricate structure. However, these challenging obstacles provide the team with
opportunities to push their limits. If water ingress assault with shear zone/fault during the construction stage, then
it trammels the pace of tunnelling.
The ongoing project of Rishikesh-Karanprayag new broad-gauge railway line, which spans a distance of 125
km in Uttarakhand includes the adit tunnel 6A for tunnel 12 of package 7A as an essential component of this
phase. During excavation of Adit 6A, challenges arose due to the presence of unfavourable geological conditions
at chainage 291 caused by the Khankra fault zone which is running diagonally along the alignment of Adit 6A.
the general layout is shown in figure 1.

Fig. 1 General Layout

2 GEOLOGY
2.1 Regional Geology
The area consists of metapelites, metapsammites and carbonate rocks which are associated with metabasics
along the Gneiss. The lithological units in area are folded into broad anticlines and synclines with recumbency,
which in turn is displaced along the major shear plane (i.e., North Almora Thrust= Dharkot Thrust). Subsequently
during the post thrusting time, the metamorphosed and deformed rocks again witnessed folding movements as a
result of which the thrust planes were folded juxtaposed over one another. The end of the structural play was
characterised by prevalence of erosional agencies which designed the present configuration of the area with the

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formation of the windows and klippen (i.e., the window at Sumari Jaletha etc. and the klippe at Uphalda). The
lithotectonic setting of the area is given in table.
Table 1 Litho-tectonic setting of project area

Tectonic Units Rock Units

-------------------------------------------- Thrust (Garhwal?) -----------------------------------------
Pauriphyllite Chlorite-Sericite-Quartz Phyllite, well folded with development of
(Adit 6) strain slip cleavage
---------------------------------------------North Almora Thrust--------------------------------------
Nagthat Quartzite Quartzite: Ferruginous, occasionally schistose and gritty.
(Adit 6A & 7) Slate: Ferruginous greyish black slate with slaty cleavage
Limestone: Bluish-grey, microcrystalline, dolomitic
2.2 Geology along Adit 6A
A 421 m long adit 6A tunnel has been constructed for the main tunnel 12 on right bank of nala and left bank
of Alaknanda River. The direction of tunnel is N107° and N159°. The portal area is covered with very thin slope
wash material. The mostly rock outcrop is also present in this area. The tunnel alignment mostly covered with
thin slope wash material. The slope wash material consists of boulder and gravels of quartzite mixed with silty
soil. The overburden depth is approximately 2 to 5m. The quartzite rock outcrop also presents near the road and
portal area. The geological L-section is given in figure 2. Detailed surface geological mapping via traversing was
done along the tunnel alignment. Moreover, the desk studies pertaining to in depth study of geological maps,
previous case studies etc were done.

Fig. 2 Geological L- Section along the Adit 6A

2.3 Actual geology along adit 6A

The encountered rock mass was slightly to moderately weathered and jointed Quartzite and greenish coloured
metabasic. The tunnel alignment has been passing through Khankra Thrust. The strike of strata is dipping from
left to right wall is between 160° to 170° and dip amount is 35° to 45°. Due to unfavourable of discontinuities /
joints condition along the tunnel especially crown is wedge and block failure which were resulted into cavity
formation at three locations.
The tunnelling has been done with full face from Ch.0.0m to 115.0m, 120.0m to 291.0m, 316.0m to 366.0m
and 373.0m to 421m, Heading & Benching between Ch.115.0m to 120.0m and 366.0m to 373.0m and Multi
drifting tunnelling from Ch. 291.0m to 316.0m. The very-to-very poor geological condition has been encountered
at chainage 291 m due to khankra thrust / fault.
Out of these three, one was particularly significant as it led to the formation of a major cavity. This cavity
primarily occurred due to the presence of the Khankra fault zone, which was encountered between Ch. 291m-
316m, and other two in which tunnelling done through heading and benching method encountered between Ch.
115 to 120 and Ch. 366 to 373 m. Below are the brief details of all the three.
The first cavity occurred between Ch. 115m to 120m at the right top of the crown. It happened during breaking
of face. The cavity occurred after a loose fall was at a maximum height of 2.7m and 10m around the perimeter.
The type of rock mass was fractured into crushed quartzite with seepage 10 to 15 lit/ min and the Q-value varies
from 0.22 to 0.27.
The second and major cavity was formed due to the Khankra fault zone, which was encountered from
Ch.291m to 316m. The encountered rock mass is highly crushed and fractured of metabasic and quartzite. The
rock mass is the form of a rock floor / sugar cube. The cohesion is very less. The shearing has also been noticed.

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Based on lab test the material consists of sand, silt and fine silt. The water condition was wet to dripping. The
pore water pressure has been increased (water ponding behind the face) after face sealing. The Q-value varies
from 0.27 to 0.93.

Fig. 1 Crushed quartzite start flowing itself due to no shear strength on R/side crown portion.

The third cavity was observed between Ch. 363m and 373m at the top of the crown, occurring during the face
breaking process. A loose fall of 3.7 m in height and 9 m around the perimeter preceded its formation. The rock
mass was fractured into crushed quartzite with a moderate flow of water present at face to, with a Q-value of 0.22.

3 METHODOLOGY ADOPTED
3.1 Injection and Probe Drilling
A total of 3 probe holes were drilled 21m in length. Probe holes were in the crown and spring level (SPL) of
the tunnel at an outward inclination of 7° to 14° and incorporated as part of subsequent grouting patterns.
During drilling, the penetration rate, occurrence of weakness zones, water (or loss of flushing water) and other
selected parameters were observed by competent engineer and geologist. All probes were grouted with OPC.
MWD data were also obtained by the automatic E2C drill jumbo. According to the Geologist's observations and
the MWD data, it was predicted that we would encounter the same strata of rock for at least the next 21 meters.
3.2 Chemical Grouting Material Description
Initially, the face was packed with gunny bags and covered with sealing shotcrete after probing and pipe
roofing. The chemical grouting has been done at face for filling the cavity and stop the underground water. The
following material has been used.

a) Tampur 116 T: Tampur 116T is a two-component, silicate modified, solvent-free, semi-flexible

polyurethane injection resin (Urea Silicate). It is specifically designed for rapid stabilization of coal,
concrete, and soft ground geology, providing structural integrity, strength, and flexibility. Its superior
performance allows TamPur 116T to be used as a Chemical “Rock Bolt Resin” and on-site tests have
demonstrated pull-out strengths more than 31 tons.
b) Tampur 125: TamPur 125 is based on a polyol component (part A) and a polymeric MDI (part B). When
mixed, a hydrophobic polyurethane foam is formed which is tough, rigid, and resistant to a wide range
of chemicals.
c) Tamcrete 400 CS: Tamcrete 400CS is an environmentally friendly, highly stable, single component,
ultra-low viscosity colloidal silica primarily used for injection into sands, silts, and fine joints and fissures
in rock strata.
By adjusting the accelerator dosage, Tamcrete 400CS can be used where very slow migration and
penetration capabilities are required. The chemical properties and hydrophilic nature of Tamcrete 400CS,
ensures excellent adhesion to wet / saturated surfaces.

d) TamCrete MFC: TamCrete MFC is Microfine Portland cements for rock injection. The superfine
particle size, together with the addition of TamCem DA, provides superior penetration into tight joints,
fissures, thus providing a water-tight grouted rock mass. TamCrete MFC is ground from pure Portland
cement clinker to achieve a Blaine surface value of > 625 m2/kg. All grades of TamCrete MFC and SFC
achieve initial and final set faster than OPC, which reduces the waiting time to a minimum for the next

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activity to start. This increases productivity in a tunnel grouting operation. The initial set time can be
adjusted depending on the level of TamCem superplasticiser or TamCem HCA added to the mix.

Fig. 3 Flowing Condition after chemical grouting

3.3 Face Grouting

Drilling Pattern

Drilling of probe holes and grouting holes done with multi-boom drilling jumbos for face grouting. Two
approaches to pre-injection are observational pre-injection based on encountered water ingress from probe drilling
and the second approach was systematic pre-injection, where the decision was taken from the project outset to
pre-inject specific zones to limit water ingress to achieve requirements. This approach was used where probe holes
not indicated with high confidence the water ingress ahead of the tunnel.

Length, Orientation and Number of Holes

All injection holes were of 6 m length, all holes were drilled at an angle to the tunnel direction to permit a
treated grout curtain that fulfils the requirements of the project. The angle was between 7º and 15º. The spacing
of injection holes given below around the perimeter of the tunnel. Additional holes were also drilled out from the
centre of the tunnel as per requirement to achieve either waterproofing or face stability in zones of weakness. All
injection holes were reference numbered and sprayed painted on the tunnel face. Injection packers were then
placed into the extended hole and grouted as per the decision.

Fig. 4 Detail of periphery & face grouting holes

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3.4 Flushing of Boreholes for Injection

The first requirement was to provide efficient water flushing during drilling of the hole. The water pressure
has to be at the maximum specified by the drilling equipment manufacturer and should be ensured by a special
pressure booster on the drilling jumbo.
In areas of rock with clay filled fissures/joints, or with sand or other fine included materials, all fissures/cracks
have to be opened to ensure penetration of the injection materials to the bottom of the fissures/joints; flushing was
therefore very important and carefully supervised.
3.5 Placing of Packers
The packer was placed near to the borehole opening and the hole was injected over its entire length in one
single step. The packer placement depth was between 1.5 and 2m. However, allowance was made for several
different possible situations that required different packer placement also. It was important that packers were
installed with great care to provide effective seals within the drill holes sufficient to withstand the subsequent
grout pressure.
High ground water pressure and very poor rock may provoke a face failure. In this case the packer was placed
at a minimum depth of 3 m. This is standard practice in the weak/ fault zone.
Many times, fissures cause backflow of grout to the face, then the packer were placed at a depth larger than the
depth of intersection between the borehole and this fissure.
3.6 Injection
The following two areas of tunnel were identified.
1. Outside the Fault / weak zone.
2. Inside the Fault/ weak zone.

Outside the Fault zone, the decision to grout was based on the observational method with the following below
criteria.

Water out- leakage Grouting Decision Stop Criteria

<2 litres/min No grouting
2 to 10 litres/min Grouting with Tamcrete 4 bar or 2 tones/hole
MFC
>10 litres/min Grouting with OPC 4 bar or 4 tones/hole

Inside the Fault zone the systematic method shall be conducted with full drill fans fully grouted as per the water
out-leakage below.

Water out- leakage Grouting Decision Stop Criteria

<2 litres/min Colloidal Silica 400CS 20-minute gelling time
2 to 10 liters/min Grouting with Tamcrete 4 bar or 2 tones/hole
MFC
>10 litres/min Grouting with OPC 4 bar or 4 tones/hole

3.7 Mixing Procedure

Truck mounted grouting rig with complete system of grouting were used with colloidal mixer and an impeller
speed of 1500rpm. The mixer was kept in good maintenance to work efficiently with micro cement. Added all the
water for one batch to the mixer. Added the corresponding quantity of cement and mix for 1 minute.
Mixed for 2 minutes only as exceeding the mixing time or intensive high shear mixing will generate heat and
increase the temperature of the mix. If the temperature gets too high, the open time of the batch could be
substantially shortened. Also, assured not to cut the mixing time short; micro cement is not living up to the term
if flocculated clusters are not broken up by the mixer.
Immediately transferred the batch to the agitated holding tank and kept the grout in slow agitation. Monitored
the quantity of grout in the agitator and never started mixing a new batch if the agitator holds a lot of material and
the grout pump is delivering at a slow rate and high pressure. The batches in the agitator were kept as fresh as
possible.

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3.8 Setting of Grout, Time until Next Activity

Tamcrete specifically developed to behave as a Thixotropic grout and to give initial set a short time after end
of injection. The typical setting time for Tamcrete MFC grouts are about 10hours, allowing work to proceed
without breaks. So, we also waited for 10 hrs for further breaking of face.
3.9 Under Ground Excavation
After completion of the above process of periphery and face grouting, tunnel excavation was done through
multiple drift as per below pic. Following activities were done in each drift:
 Chipping / breaking were done for space of half meter.
 Excavated area (face and crown) again sealed with fibre shotcrete.
 Erection of rib / structural support.
 Installation of steel lagging.
 Concrete backfilling behind the rib.

Fig. 5 Sequence of multiple drift excavation

Initially for three-meter, excavation of drifts for each cycle were done for 0.5 meter and gradually increases
to 0.75 meter. Pipe roof, SDA and grouting for another six-meter done after every 3 meters of complete excavation
(all the drifts) of the tunnel just to have 3 meters of overlap.
4 CONCLUSIONS
 The prediction was made that the condition of the rock mass would deteriorate due to the Khankra fault.
However, in reality, the condition turned out to be even worse than anticipated.
 Hence, it is imperative to carry out a geophysical survey (TSP) and probe drilling to detect the vulnerable
or fault zones in pre-construction / construction stage.
 If it is feasible, try to avoid crossing this type of area during the rainy/monsoon period.
ACKNOWLEDGEMENTS
The author would like to express their deep gratitude to Mr. Ajit Singh Yadav (CPM) and Surender Kumar
Arya from RVNL Rishikesh for their unwavering support throughout the process. Sincerely thanks to designers,
engineers and other team members who have dedicated themselves to achieving excellence in this project.
REFERENCES
Hoek, E., and Brown, E.T. (1980). “Underground excavations in rock”. Instn Min. Metall., London.
B Singh, RK Goel (2011). “Tunneling in Weak Rocks”.
Barton, N.R. (1988). “Rock Mass Classification and Tunnel Reinforcement Selection using the Q-system”. In
Kirkaldie, L. (ed.). Rock Classification Systems for Engineering Purposes: ASTM Special Technical
Publication 984. Vol. 1. ASTM International. pp. 59–88.
Rabcewicz, L.V. (1964). “The New Austrian Tunnelling Method”.
Goel, R. K., Jethwa, J. L. and Paithankar, A. G. (1995a). “Tunnelling in the Himalaya: problems and solutions,
Tunnels and Tunnelling”, May, pp. 58–59.

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 Theme 04 - Case
R.N. Sahoo, Histories
Pankaj - Hydropower
Rawat, Saurabh Development
Singh, Praveen Kr. Singh

Geological Surprise- A Paradoxical Context,

Case of Rangit-IV HEP, Sikkim

R.N. SAHOO, PANKAJ RAWAT, SAURABH SINGH, PRAVEEN KR. SINGH

Jal Power Corporation Limited (A wholly Owned Subsidiary of NHPC Limited)
e-mail: radhendra.sahoo@gmail.com

ABSTRACT: Head Race Tunnel of Rangit-IV HEP passes through Rangit Tectonic window where the geological
setting is extremely complex. Structurally disturbed strata of Gondwana Group comprise of alternate units of
Sandstone-Shale-Coaly Shale-Coal is being encountered during tunneling. The excavation of HRT has been
affected by incidences of multi-stage loosefalls/Cavity formation, Squeezing Ground conditions & encounterance
of Inflammable/Harmful gases etc. Despite these incidences & poor geological conditions, cumulative length of
1610.5m with progress rate of ~80m/month has been achieved in HRT till Sep’23.
This paper mainly deals with the geological challenges encountered beyond speculations/anticipations of DPR
during ongoing surface/underground works, treatments measures provided in problematic zones & innovative
methods being adopted by the project to minimize the impact of these unforeseen conditions. Further, this paper
is an attempt to convey the necessity of a more clarified definition of the term “Geological Surprise” with the
inclusion of quantitative aspects i.r.o. degree/extent/dimensions of the adverse geological conditions encountered
during surface/underground excavation & construction works.
1 INTRODUCTION
Rangit Stage-IV Hydroelectric Project located in Western Sikkim is a run off the river scheme envisages
construction of a 44m high concrete gravity dam with reservoir having live storage of 1.22 MCM to generate 120
MW (3x40MW) of power utilizing a net head of 103.67m. The Project was stalled since 2013, was entrusted to
NHPC through NCLT from previous developer-JPCL on 31/03/2021 for carrying out the balance
excavation/construction works on as-is-where-is-basis. Project envisages construction of a 6.488km long Head
Race Tunnel (6.4m dia. modified Horse-shoe) through 2 faces - Face-2 thru Adit-1 d/s & Face-3 thru Adit-2 u/s.
Excavation had been completed upto RD1970.8m & RD1587.5m from Adit-1 & Adit-2 respectively by previous
developer. Total excavation length of 2696.4m was balanced from these adits when NHPC took over the balance
works.
2 GEOLOGICAL SURPRISE - CONTEXT & TERMINOLOGY
As a preface to captioned subject matter, it is imperative to cite here that although, the term “Geological
Surprises” has been sporadically quoted in GSI’s Guidelines for formulation of DPR (2012) & CEA in its TEC in
a broad sense. Neither there is any clear-cut definition and boundary condition nor any degree/dimension of
adverse condition quoted anywhere for the term “Geological Surprises” mentioned in the Guidelines for
formulation of DPR i.r.o. River Valley Projects by any of the statutory appraising bodies-GSI, CWC, CSMRS,
CEA. Nevertheless, to add with, it is felt pertinent here to quote following citations i.r.o. the term “Geological
Surprises” in terms of Context & Terminology with its conditional usage by convention; which are as under-
 As per GSI-2012 Engineering Project Evaluation Division, DGCO, New Delhi (Guidelines for investigations
and explorations required at DPR stage of proposed hydroelectric projects, in Himalayan terrain); wherein it
suggests recommendations to make the DPR realistic/bankable to minimize geological surprises as well as to
minimize time and cost over-runs.
 On another account made in MoP Lr. No. 2/3/2016-NHPC dtd. 08.11.2019 reg. guidelines to reduce time &
cost over-run at Clause-VI(c), wherein it suggests “Adoption of international best practices for implementation
of Hydro projects including methodology to deal with geological surprises.
 As per CEA’s “Guidelines for examination of time over-run in execution of hydro power projects in central
sector” at Clause #1 that “During execution of Hydro-electric projects many bottlenecks and challenges are
faced by developers/contractors which causes delay in completion of Projects & among others one of the most
common reasons being Geological uncertainties. Further at Clause #5 (Reasons for Time Over-Run) states in
a sub-head that “Contractual problems: In some cases, change in scope of work on account of geological
surprises leading to change in design/change in construction methodology may lead to contractual issues.
Inadequate mobilization of man and machinery by contractor also delays the project.” Yet at another sub-head
speaks- “Geological uncertainties: Many projects in Himalayan regions are affected by poor geology & other
unforeseen site conditions entailing change in design or change in construction methodology which delays the
completion of project and also sometimes leads to contractual disputes”.
 Ref. IS 15662-2006 in Foreword section states, “It is of paramount importance that the potential sites be
thoroughly investigated and explored so that, during construction, chances of geological surprises are
substantially minimized or avoided. One of the major requirements in planning, designing and construction of

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gravity dams and overflow structures is proper and adequate geological exploration, both surface and
subsurface, based on state-of-the-art techniques in order to have a rapid, economical and dependable pre-
investment evaluation”. Further, at Clause-6.1 (Methods of geological Investigation/Exploration) states, “The
exploration should cover adequate area, as per the need of the site so as to minimize uncertainties, that is,
geological surprises”. Though this IS code considers Geological Uncertainties as Geological Suprises for both
Surface & Underground works, incisively it doesn’t define again the degree & dimension of adverse geological
conditions to be tagged under Geological surprises.
In view of above 4 assertions, as a precept, “Geological Surprise” can be defined as a generic term meant for
substantially problematic conditions/ adverse/ extraordinary geological conditions/ challenges encountered in the
project on account of poor geology. As per analogy, it can be further tagged as “Geological Uncertainties” owing
again to poor geology & unforeseen site conditions. And such geological challenges/adverse geological
conditions/unforeseen conditions incl. Major change in Construction Methodology due to poor geology beyond
the stipulations/speculations/ anticipation of DPR as approved by the statutory/appraising bodies; which do
adversely affect the routine progress of construction stage of Project-especially referring to Underground works in
strict sense as per TEC, which in turn leads to time & cost over-run shall be deemed as “Geological Surprises”.
3 GEOLOGY ALONG HRT
N-S trending HRT having vertical cover ~±300-955m is passing mainly through Gondwana rocks comprising
of alternate bands of Grey Sandstone, Carbonaceous Sandstone, Carbonaceous Shale & extremely weak low
cohesive Coaly Shale/Coal bands of thickness ~1-7m. Mixed ground conditions (with varying strength &
competence), multiple shear seams along lithocontacts and fractured rockmass being general characteristics of
tunneling media. Structural warping, swing of bedding, pinch & swell structures, large lensoid bodies, drag folds
with associated faults are commonly evinced under the effect of multiple sequence of regional thrusting.

Fig.1: Section along HRT showing encountered Rock Classes & Adverse geology/distress zones

4 ANTICIPATED GEOLOGY & TUNNELLING CONDITIONS AS PER DPR

As per approved DPR pertaining to Previous developer (JPCL), following point are offered regarding
anticipated geology and tunnelling conditions along HRT –
4.1 HRT will pass through Rangit Tectonic window where geological settings are extremely complex. Thin sheets
of shale-sandstone units of Gondwana Group are thrusted over thin bands of dolomite of Buxa Formation and
vice-versa. Besides intricate thrusting, rocks of the area also suffered complex folding.
4.2 The Geology of Lower Gondwana group of rocks was described as- Intercalated Argillaceous unit (Shale) and
Arenaceous unit (Sandstone) with thin bands of Coaly Shale and Shaly Coal. Width of Arenaceous unit varies
from 40cm to 10m, whereas Argillaceous unit varies from 30cm to 5m. Thickness of Sandstone beds varies
from 30cm to 2m & Shale beds varies from 5cm to 2m. Maximum thickness of the Coal beds was anticipated
to be 1m. Sandstones are hard, compact, moderately jointed and in general greyish in colour. Sandstone is
composed of Quartz, Feldspar with little Mica. Shales are dark grey to light grey well laminated, well jointed

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and splintery at places. Shales are graded to Carbonaceous Shale or Coaly Shale. Further, Coal/Coaly Shale
beds varies in lateral continuity and their contact with the Shale beds are mostly gradational.
4.3 It was interpreted that the 50%-60% of the HRT will pass through class IV rockmass (in shales and weak
sandstone), 20%-30% in class III (competent sandstone and dolomite) and the rest in class V & VI (in very
soft coaly-shale/shale-coal, below nala sections, high ridges and possible shear Zones).
4.4 The tunnel excavation can be undertaken by full face drill and blasting method with an average sustainable
progress of 85m/month is planned to be achieved.
4.5 In a different volume of same DPR, progress of 70m/month was stipulated, contrary to 85m/month mentioned
above. (with the anticipated cycle time of 12 hours for Good rock & 21 hours for Poor rock).
4.6 The seepage was anticipated to be very less i.e. implying < 10LPM contrary to proximity to Nala/Nala
crossings cutting HRT alignment.
5 GEOLOGICAL SURPRISES i.r.o. PREVIOUS DEVELOPER (JPCL)
As per available data & information i.r.o. Geological Surprises/Adverse geological conditions encountered by
the-then-developer (JPCL); following data is offered:
5.1 30 no. of cavities of various sizes encountered in HRT beyond DPR prediction due to poor geology & heavy
ingress of water and loss of time towards treatment of these cavities;
5.2 Adoption of Heading & Benching method of excavation with Steel rib supports, Probe holes, Forepoling &
Pre-excavation grouting (pre-grouting) etc. in HRT & slow progress thereof;
5.3 Encountering of Inflammable gases due to presence of Coal seams.
5.4 The above adverse geological conditions have accounted for time loss of 15.5 months.
5.5 Further, event of Earthquake in September 2011 led to standstill of works in Project, thereby accounting a
delay of ~2.5 months.
Hence, overall implication of time-over-run of ~1.5 years i.e. 18 months was incurred by Project/ Previous
developer (JPCL) during 3794m excavation of HRT out of total envisaged length of 6488m.
Post entrustment of Project to current developer NHPC-JPCL, the above factual conditions in regard to adverse
geology were duly substantiated at site. To suffice: Prior to commencement of balance excavation of HRT length
of 2696.4m by NHPC-JPCL, retrospectively based on pre-existing rock supports installed by previous developer
(JPCL); it has been observed at site that previous developer had negotiated through difficult tunnelling media in
poor/adverse geology. Accordingly, approx~70% of their tunnel length out of the then excavated 3794m had been
negotiated in Class-IV/V rock with adverse geology as evinced with additional rock support measures provided
therein viz. presence of steel ribs, lattice girders & dis-alignment of these supports due to the-then difficult
geological conditions encountered; presence of forepole bars/ISMC channels incl. remnants of pre-grout
holes/pipes within partially visible cavities & hollows with presence of Coal bands; implying past encounterance
of loosefall reaches therein. Further, such hollows/cavities were also evident & were duly witnessed while carrying
out currently ongoing rehabilitation works involved towards execution of HRT Gantry Concrete lining viz.
rectification/excavation of undercut profiles, selective removal/rectification & rehab of pre-existing supports etc.
pertaining to the previous developer.
6 GEOLOGICAL SURPRISES i.r.o. CURRENT DEVELOPER (NHPC-JPCL)
6.1 In regard to geological surprises/major events encountered in the project during construction stage, it is
pertinent to mention here that apart from variations in Design/Construction Methodology of Project components
post entrustment to NHPC; adverse geological conditions were encountered inter alia in Surface works viz.
 Very High Permeability as per WPT in fractured & open jointed rockmass of Buxa-Dolomite in Dam right
bank R8 block abutment (EL 452) having the order of ~60-70 Lugeon in pre-primary grout check holes as
against general permeability of <10 Lugeon in DPR;
 Plugging of Dam Right bank straight-horizontal Grouting-cum-Drainage Gallery at R8 block (EL 447) which
was partly left out excavated by Previous developer (5m length) with concrete & grout, underwent subsequent
design optimization with inclined gallery following the abutment slope in view of vulnerable site geology (i.e.
past-Landslide scar & debris chute signature proximally in d/s of gallery) thereby avoiding any re-trigger of
slide with drill-blast vibration. Such incidences of additional works owing to unforeseen conditions can be
verily considered as Geological Surprises/uncertainties, which in turn attributed towards overall time & cost
over-run of the Project.
 Similarly, additional work of Consolidation Grouting for foundation safety requirement against differential
settlement as per incumbent design drg. & its execution done in Surface Power House Unit-3 pit raft bottom
incl. sump pit area in view of weak & layered Gondwana rocks i.e. Sandstone, Shale/carbonaceous shale &
Coaly shale/Coal vis-à-vis inherent differential strength & competency of these layered litho-units; can also

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be considered as Geological Surprises, which in turn attributed towards overall time & cost over-run of
Project.
However as against Surface works, in cognizance to TEC by CEA; Geological Surprises is meant strictly to
and accounting for Underground works only.

6.2 Similar to those encountered by the previous developer but not limited to; there are many incidences of adverse
geological conditions & substantial major events encountered in Underground works during the ongoing
constructions mainly in HRT. In strict sense with regard to Underground works i.e. in HRT, following befitting
conditions beyond DPR provisions are offered towards their consideration as “Geological Surprises”:
 Heading & Benching Method of excavation adopted in HRT (through 2 faces i.e. Face-2 & Face-3) vs. DPR
stipulated- Full face drill blast method of excavation;
 No mentioning of geotechnical evaluation/recommendation in DPR i.r.o. Tunnel behaviour in Mixed ground
condition, wherein 2 or more lithological bands intercept at tunnel face;
 Similarly, no mentioning of geotechnical & geomechanical evaluation/recommendation in DPR i.r.o. Tunnel
behaviour in Mixed Face condition owing to Localized warping/folding/drag folding with associated minor
faults, wherein half width of tunnel face poses very favourable strata & other half poses as very unfavourable
strata w.r.t. bedding orientation in relation to tunnel drive;
 Presence of prominent lensoid bands with pinch & swell structures, shear zones of thickness >150mm
commonly along lithocontacts were encountered during excavation as against dimension deficit DPR
stipulation.
 Interception of substantial thickness of extremely weak & low cohesive Coal bands (width ~1m to 7m) at
tunnel face vs. DPR stipulated coal bed thickness ranging 0.2m to 1m only. Further aggravated condition also
encountered aided with seepage;
 In view of such thick low cohesive Coal bands (more than 50% of face) incl. sheared and extremely weak
nature of strata; the face advancement was resort to Obtuse face method with multi-segmental excavation
having both mechanical means–cum–restricted blasting alternatively on either side of face to prevent
intermittent loosefalls/instability of crown.
 Geomechanical tunnelling conditions leading to events of substantial Loosefall/spalling & Cavity/Chimney
formation thereof in the tunnel of the order of > 0.5Dia;
 Distress/Vulnerable Zones in HRT Face-2 & 3 with rumbling and popping sound from tunnel crown/walls
aided with heavy seepage & thick sheared coal bands covering 50-100% of tunnel face, associated consequent
High Squeezing Ground condition (~391mm to 1800mm squeezing >5% radial tunnel closure) vis-à-vis
Vertical cover of ~300m & Tunnel wall proximity to Feeder channel of Reshi Nala with lateral offset of ~2m-
29m in case of HRT-Face-2; Similarly, High Squeezing Ground condition was also observed in HRT Face-3
(with ~212mm squeezing >5% radial tunnel closure) vis-a-vis Very high vertical cover of ~860m above tunnel
grade [Ref. IS 15026-2002/2012);
 Normally framing of Project schedule doesn’t take into account the effect of monsoon in Underground works.
However, in our case, despite moderate to high cover above tunnel grade i.e. ±300-955m (in balance length
of HRT), heavy ingress of seepage encountered of the order of ~125LPM in HRT (max. 260LPM at
RD2023m, Face-2) during monsoon season vs very less seepage in the tunnel as stipulated in DPR.
 Additional unforeseen site conditions with intermittent loosefalls while undercut removal/removal of existing
previous developer’s rusted/damaged steel ribs-segments under Rehabilitation work scheme being undertaken
as parallel activity to Gantry concrete lining through 2 no. operational gantries in HRT-Face-2, due to decade
long abandonment and saturation/weathering of rockmass with calcite leaching commonly observed in
saturated Sandstones as against DPR’s mineral composition devoid of Calcite;
 Adoption of Heading & Benching method for faster rock support in view of low stand-up time;
 Fusion of NATM with conventional support system (Steel Ribs with Backfill) & later on switching to NATM
with more flexible supports (Fully encased Lattice Girders) followed by consolidation Grouting;
 Multi-segmental excavation with combination of Drill Blast Method (DBM) & Mechanical means with obtuse
face method;

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(1) (2)

(3) (4)

(5) (6) (7)

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HRT Photographs: (1) Shiny low cohesive Coal band is infringed in between Grey sandstone implying mixed-face
condition; (2) Lensoid bands of Grey Sandstone & Coaly Shale with Coal in Face-2; (3) Folded strata in Face-2;
(4) Sudden expulsion of Inflammable gases leading to fire incidence in Face-2; (5) Cavity formation in Face-2 due
to disposition of thick Coal bands at and above crown; (6-7) Monitoring of inflammable/harmful gases at crown
& SPL in Face-2.
 Most important of all, the incidence of encountering high concentration of explosive/inflammable/harmful
gases (Methane) incl. gurgle sound & emanation of gas bubbles (also from Invert) leading to unsafe working
condition [though permissible level of Methane concentration should be less than 0.5% i.e. 5000ppm at any
place inside tunnel-Ref. IS4756-1978/2002]. Concentration of Methane varies w.r.t. disposition of thick coal
band% at face & rear zone i.e. concentration of the order of ~0.4%-1% i.e. 4000-10000ppm (initial one
instance of sudden expulsion of gases of the order of 11%-15%) in HRT-Face-2.
 Ancillary-miscellaneous delays in progress is also attributed to excessive ambient temperature/heat coupled
with higher humidity inside the tunnel (HRT Face-2 with moderate cover ~300m & Face-3 with high cover
~800m) that affected the working efficiency, despite adequate ventilation arrangement with provision of
booster fans. Such condition additionally owes to the longer lead of main blower duct from source ventilation
and lack of intermediate adit.
7 TREATMENTS/REMEDIAL MEASURES PROVIDED AND INNOVATIVE SOLUTIONS
The aforementioned geological surprises/adverse geological conditions on account of poor geology, have
necessitated adoption of major changes in Construction Methodology at site viz.
On-site optimization of supports & other innovative means etc. for tackling & treatment of such substantial
Loosefall-Cavities, Distress zones with Squeezing inside tunnel & handling the tunnel reaches encountered with
Inflammable/explosive gases owing to thick coal bands viz.
 Provisional Horizontal Struts at crown/SPL & Pressure Relief Holes (PRH) incl. Drainage holes in
Distress/Squeezing zones.
 V-cut PRH & enhanced reverse ventilation system i.r.o. Inflammable Gases in tunnel.
 Adoption of forepoles (32Φbars/ ISMC-100 with their modified positioning w.r.t. disposition of poor strata),
false canopy/umbrella roofing, pre-grouting through SDAs/fill-grouting etc. i.r.o. Loosefall/Cavities.
 Additionally, Spot stitch bolts (longer/higher dia. as per site) introduced for wedges & slabs.
 Spot pre-drainage holes at face incl. patterned drainage holes were done to tackle Heavy Ingress of tunnel
seepage.
Most of these geological surprises were successfully tackled & treated and duly handled at Project level,
thereby moved ahead maintaining a steady progress.
Despite incidences of adverse geological conditions, an average progress of ~80m/month in HRT comprising
of 30% Class-III, 51.5% Class-IV & 18.5% Class-V (taking into consideration commencement of excavation w.e.f.
Feb’22 from both the faces) has been achieved till 30th Sep’23 with site optimizations and innovations.
It is pertinent to mention here that the encounterance of adverse geological conditions and treatments provided
thereof in both Face-2 & Face-3 of HRT have led to delay in progress manifesting lesser tunnel advancement
during such instances.
8 TOTAL INCIDENCES AND DELAY
As such, these aforementioned major events/geological surprises/uncertainties/adverse & unforeseen site
conditions incl. change in construction methodology in view of poor & unforeseen geology/uncertainties beyond
the stipulations of approved DPR; have adversely affected the routine progress of Project & in turn have led to
overall time & cost over-run.
Till 30th Sep’23, so far 150 no. of incidences (incl. major loosefall/cavities, distress zones with squeezing
conditions, multi-segmental excavation zones & inflammable gases incidences) have been encountered in the
Project pertaining to ongoing construction stage works of current developer NHPC-JPCL, translating to a total
delay/time over-run of 11.2 Months.

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Chart 1: Showing monthly progress of HRT Face-2 & Face-3 respectively. Dips in graphs imply adverse
geological conditions encountered & effect of monsoon season.

Chart 2: Methane gas concentration being coherent with disposed Coal % at tunnel face – as depicted dashed
boxes. However, commensurate proportional variations do also exist, implying presence of Coal & its effect in
the rear zone of face.

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9 CONCLUSIONS
The case of adverse geological conditions encountered in the Project & its due consideration for time/cost
over-run has been submitted to Expert Committee of CEA. It is subject to discretion of the expert committee
whether they will tag these events as Geological Surprise or not.
The term has somewhat a negative impact as far as the progress and timely completion of the project is
concerned. Delay of 2-3 days in one incidence of high squeezing condition/major loosefall/cavity can leads to time
over-run of months cumulatively. Till now, there is no clear-cut information exist regarding
extent/degree/dimension of any adverse geological condition so as to be called Geological Surprise. Therefore,
Hydro developers find difficult to decide which case/incidence can be reported as Geological surprises to the CEA.
Although the definition of Geological Surprise given by various statutory bodies is deemed to be suitably fit,
it still lacks the quantitative aspects w.r.t. degree & dimension of adverse geological conditions encountered, so as
to be tagged as Geological Surprises. In this context, towards offering more clarity on the subject matter; a
Guideline and/or IS-code may be formulated i.r.o. Geological Surprises incl. the quantitative aspects & numerical
assignment of adverse geological conditions for both Underground & Surface works for the ease of Hydro-
developers.
REFERENCES
DPR (Previous Developer-JPCL)- Executive Summary (April 2008)
DPR (Previous Developer-JPCL)- Vol-1 Project Engineering (Oct’2006; Updated on Nov 2008)
DPR (Previous Developer-JPCL)- Vol-5 Geology (Oct 2006; Updated on Nov 2008)
GSI (2012)- “Guidelines for investigations and explorations required at DPR stage of proposed Hydroelectric
Projects, in Himalayan terrain”
MoP Lr. No. 2/3/2016- “Guidelines to reduce time & cost over-runs in Hydro Power Projects”
CEA- “Guidelines for examination of time over-run in execution of Hydro Power Projects in central sector”
Latest Status of Progress of the Project (Previous Developer JPCL)
IS15662 (2006)- “Geological Exploration for Gravity Dams and Overflow Structures - Code of Practice”
IS15026-2002 (Reaffirmed 2012)- “Tunneling methods in Rock masses – Guidelines”
IS4756-1978 (Reaffirmed 2002)- “Safety code for Tunneling work”

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 Theme 05 - Oilgas storage caverns
Chandan andAtul
Kumar, nuclear
Nandawaste disposal caverns

Creep Analysis of Salt Cavern

CHANDAN KUMAR#1, ATUL NANDA2

1. Technical Lead Rock Mechanics: Geoconsult India Pvt. Ltd., Gurgaon, India
2. Geotechnical Consultant, New Delhi, India
e-mail:Chandan.kumar@geoconsult.co.in

ABSTRACT: Solution-mined rock salt caverns are well acknowledged for their suitability for the deep
underground storage of various products such as crude oil, natural gas, compressed air, hydrogen, and nuclear
waste. The paper presents some key experimental results of the long-term uniaxial creep test and the UCS test
performed at temperatures varying between room temperature and up to 250°C on the rock salt. The standard creep
constitutive model and the influence of temperature on creep rate are discussed. Geomechanical analysis for a
typical cavern of the size of 0.5 Mm3 is also presented with the effect of creep rate at room temperature and the
influence of temperature on it. The results show there is a distinct variation in the effect of temperature on the
mechanical characteristics of rock salt and has a considerable effect on the displacement field around the cavern
opening and its volume convergence.
1. INTRODUCTION
Salt cavern is the most promising type of storage due to the low investment cost and high sealing potential for
energy. Storage of crude oil in man-made solution-mined salt caverns as a part of the strategic storage program
(SPR) has been constructed in many countries since the 1940s (Bays, 1963). Utilizing salt deposits for underground
hydrogen storage does exist in the United Kingdom and the United States (Cyran, 2020). Sandia National
Laboratory, California, US classified rock salt as the most favourable geological media for the storage of nuclear
waste isolation (Hansen and Leigh, 2011).
These caverns are deep and may range from 300m to 2000m from the surface and are significantly larger as
the height of the cavern can vary between 100 to 600m and dia between 30 to 120m. The caverns are constructed
below ground utilizing solution mining also known as leaching technology, with a minimum footprint on the
surface. The process of leaching is carried away by drilling a well down into the formation and cycling water
through the completed well. The cycled water dissolves the salt leaving a large artificial cavity filled with brine.
The products intended to be stored are then pumped into the cavern displacing the brine. These storage caverns do
not have lining and are only confined by the rock salt formation itself. Rock salt is considered intrinsically tight
when subject to the overburden pressure of an overlying rock column of some hundreds of meters in thickness
Cavern construction for the storage of hydrocarbons, compressed air, or hydrogen takes advantage of the natural
sealing properties of rock salt against gaseous media and non-aqueous liquids.
Some of the distinct favourable qualities of rock salt are high thermal conductivity, an absence of flowing
water and near impermeable, self-healing deformation behaviour, isotropic in situ stress, reducing chemistry, high
heat resistance, rich mining experience, wide available geology, stable geological condition and minimal
engineered barriers. While the medium strength and self-supporting stability of cavities are some of its average
qualities. The self-healing characteristics of the rock salt are due to the intrinsic creep behaviour that ultimately
results in the volume convergence of the caverns during its operation period. The creep behaviour plays a vital
role in developing underground spaces for their stability and simulations of the long-term behaviour constructed
in them. The magnitude of the creep in the cavern is essentially a function of deviatoric stress and its physical and
mechanical properties. Temperature has a pronounced effect on the creep rate.
In India, horizontally bedded salt formations of the Hanseran Evaporite Group in the Nagaur-Ganganagar
Basin near Bikaner of adequate thickness are available that bear potential for the creation of such large caverns
(Kumar et al. 2017). Feasibility studies in this regard are currently being taken up in these areas by various agencies
and are in the advanced stage.
2. EXPERIMENTAL RESULTS
For the investigation of rock mechanical properties of rock salt, samples of the Hanseren evaporite basin
deposits of the Punjab platform, and Bikaner- Nagaur, India were taken and the laboratory tests were performed
in IIT Delhi as a part of PhD studies (Kumar, 2019). These rock salts belong to the extensive bedded formation of
marine evaporates aged around 600 million years old from the early Cambrian era (Rath et al. 2014). Cylindrical
samples with a length of around 120 mm and a diameter of around 60 mm were prepared according to ISRM's
suggested method using dry cut lathe machine.
Typical rock mechanical material properties that were investigated were short-term tests to assess the stress-
strain behaviour and strength of rocks, the long-term deformation test to assess visco-elastic creep behaviour and
the thermal behaviour of rock salt at various temperatures between 25 and 250 °C.

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2.1 Time-dependent Creep Tests

Nine UCC tests (Uniaxial Compression Creep) with constant vertical stress ranging from 5 to 10MPa were
performed to determine the creep deformation of rock salt. A new creep testing device was designed and developed
to conduct the long-term uniaxial test. The tests comprised both single-stage creep tests as well as multistage creep
tests with step-wise loading. A typical test duration of around 30 days for each step of loading was taken.
A typical result from a long-term creep test is shown in Figure 1. The deformation is commonly represented
by elastic deformation followed by the sequence of specific time-dependent deformations i.e. the primary transient
phase where the strain rate decreases with time and the steady-state creep where the strain rate remains essentially
constant. After the initial 30 days of creep test, vertical stress was further increased which resulted in another
elastic as well as transient creep phase followed by another steady-state creep. Tertiary creep which is typically
characterized by a rapidly accelerating strain rate to ultimate fracture failure has not been taken under the scope of
the present paper. The time to reach a steady state creep rate from the elastic and transient state is around 8 to 10
days and the average steady state creep rate is found to vary between 2.0 E-05 to 3.5E-05 per day.

σ1 = 6MPa

Fig. 1: Typical axial strain vs. time multi-stage creep tests at multiple-step loading of 6MPa and 9MPa

2.2 Test on Elevated Temperature

UCS tests were carried out at various temperatures ranging between room temperature (RT) and 250°C with
a new temperature-controlled testing device. A summary of the stress-strain plot at various temperatures is shown
in Figure 2.

Fig. 2: Stress-strain curves of the salt at RT, 50 °C,100 °C,150°C and 200°C

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The stress-strain plot shows that the specimen at all temperatures observes a non-linear deformation at the
outset of the application of load and the real measure of elastic modulus was made only during the
unloading/reloading excursion.
The maximum compressive strength in general has a declining trend with an increase in temperature. At the
lower temperature range up to 100°C, the decrease is less prominent, however, it decreases significantly after the
temperature increases beyond 100°C. Strain to failure increases with increasing test temperature. One such
comparison of the typical stress-strain curve at varying temperatures is shown in Figure 2. The average UCS of
rock salt at room temperature is around 28 MPa which decreases up to around 27 MPa at 50°C, around 26 MPa at
100°C, around 25 MPa at 150°C and around 22 MPa at 250 °C, indicating an overall decrease of around 20% in
compressive strength in the temperature range between RT and 250°C.
For a given stress, the ductility of rock salt greatly increases as the temperature increases. An increase in
ductility could be attributed to the dominance of crystalline plasticity over crystalline microcracking (Senseny et
al. 1992). The average failure strain is around 3.25% at room temperature which increases up to around 5.25% at
50°C, around 6.0 % at 100°C, around 7.5 % at 150°C and increases up to over 11% at 250°C as shown.
With regression analysis, the following general relation between the uniaxial compressive strength 𝜎𝜎𝑐𝑐𝑐𝑐 (MPa)
with respect to temperature T (°C) is deduced.
𝜎𝜎𝑐𝑐𝑐𝑐 = 36 𝑥𝑥 𝑇𝑇 −0.08 (1)
The temperature dependence of inelastic deformation is highly nonlinear, and the following general
relationship could be drawn between the failure strain and temperature T (°C).
𝜀𝜀𝑇𝑇 = 0.60 𝑥𝑥 𝑇𝑇 0.5 (2)
Similarly, the elastic parameter, E can be defined as a function of testing temperature with the following
equation:
𝐸𝐸𝑇𝑇 = 28.8 𝑥𝑥 𝑇𝑇 −0.18 (3)
The results show that the elastic modulus of the salt decreases with an increase in temperature in the range of
around 16.20GPa at RT to around 11.15 GPa at 250°C which implies that the deformity of the rock salt is more
pronounced at the higher temperature.
3. CONSTITUTIVE MODELL
3.1 Standard Creep Model
Primarily a monoaminergic rock (halite), rock salt exhibits viscoelastic behaviour when subjected to stresses
under different temperatures and loading conditions and has been presented by various combinations of constitute
models. Mostly, the strain rates of a rate-dependent material such as rock salt are divided into an elastic and a
viscous part and can be expressed as:
𝑒𝑒𝑒𝑒 𝑣𝑣𝑣𝑣𝑣𝑣
𝜀𝜀𝑖𝑖𝑖𝑖̇ = 𝜖𝜖̇𝑖𝑖𝑖𝑖 + 𝜖𝜖̇𝑖𝑖𝑖𝑖 (4)
𝑒𝑒𝑒𝑒 𝑣𝑣𝑣𝑣𝑣𝑣
Where 𝜖𝜖̇𝑖𝑖𝑖𝑖 = elastic strain rate assumed to follow Hooke’s law and 𝜖𝜖̇𝑖𝑖𝑖𝑖 = viscous strain rate

Over the years many constitutive equations as compiled in detail (Cristescu and Hunsche, 1998) have been
developed based on a fit to the experiments for the description of viscous strain rate i.e. the steady state creep with
constant creep rate and the transient creep with decreasing creep rate.
(a) Power Law

Synthesis of the experimental creep test results is presented in the double logarithmic plot of stationary strain
rate versus equivalent stress as shown in Figure 3. From the plots and non-linear regression analysis, the stress-
dependency of the creep rate as a function of power law is proposed. The expression of creep rate in terms of stress
component n and a pre-factor A is defined as:
𝜀𝜀̇𝑐𝑐𝑐𝑐 = 𝐴𝐴 𝑥𝑥 𝜎𝜎 𝑛𝑛 (5)
The value of pre-factor A and stress component, n are estimated as 7 x 10 MPa d and 1.41 from the plot
-7 –n -1

as shown in Figure 3.
With the use of the material parameter obtained from the proposed constitutive law, the experimental creep
data are extrapolated by the steady creep rate corresponding to the constant applied stress to the higher time scale
of 25 years. The results show that the difference in experimental strain and predicted strain is within the range of
2% only.

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It is worth mentioning that the proposed constitutive equation is an idealised power law which is an
approximation of the actual creep behaviour of salt. It neglects the straining occurring in the transient phase which
has been shown to better obey hyperbolic sine law, and it idealises the stress-strain rate relationship by undertaking
the steady state creep rate only. Therefore the proposed power law may be used despite its simplicity of application.
The decreasing creep rate known as transient creep rate due to the manifestation of stain hardening is neglected by
Baar, 1977 who has worked extensively on the in situ measurement of creep parameters and (Lux and Heusermann,
1983) who proposed the Lubby 2 model. However, fundamental limitations may induce some significant deviation
from the actual rock salt behaviour, especially under the complex loading conditions encountered in a natural
geomechanical setting.

Fig. 3: Log-Log plot of steady creep rate and equivalent stress

3.2 Modified Thermal Model
To study the effect of temperature on a viscoelastic response, a correlation was made between the steady-state
creep rate obtained from the experimental creep test results at room temperature and elevated temperature from
the available literature. One such dependence of the steady-state creep rate of rock salt on temperature ranging
from 60 to 140°C at a constant stress of 10MPa is shown in Figure 4 (Hunsche and Schulze, 1994).

`Fig 4 Dependence of steady-state creep rate at constant σ = 10MPa (Hunsche and Schulze, 1994)
The figure shows that the major kink in the slope of the strain rate is observed at around 100°C indicating a
change of dominating deformation mechanism from dislocation cross-slip to dislocation climb at a higher
temperature (Cristescu and Hunsche, 1988). At lower deviatoric stress of less than 10 MPa and at a lower
temperature below 100°C, the mechanism is expected to remain constant i.e. a cross-slip. In such a case, the stress

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component of the creep rate as a function of power law n shall remain the same. The proposed expression of the
creep rate of rock salt with respect to room temperature is given by Eqn. (5) i.e. 𝜀𝜀̇𝑅𝑅𝑅𝑅 𝑐𝑐𝑐𝑐 = 𝐴𝐴𝑅𝑅𝑅𝑅 𝜎𝜎 𝑛𝑛 .
For the stress component n, assumed constant, another material parameter, A at temperature t normalized with
respect to room temperature is estimated by:
𝐴𝐴𝑡𝑡 𝜀𝜀̇ 𝑇𝑇 𝑐𝑐𝑐𝑐
= (6)
𝐴𝐴𝑅𝑅𝑅𝑅 𝜀𝜀̇ 𝑅𝑅𝑇𝑇 𝑐𝑐𝑐𝑐

Figure 5 compiles the range of steady-state creep rate for varying temperatures normalized with the room
temperature at deviatoric stress and temperature range similar to the present parametric study. The material
constant A used in the numerical simulation for the temperature at varying depths is calculated from the average
value as shown in Figure 5.
It is to be noted that the average surface temperature at the cavern site may be considered close to the room
temperature of around 25°C. Thus, the in-situ temperature of the surrounding rock mass at 300, 600, 900, and
1200m are estimated as approx 35, 43, 52 and 60°C respectively considering the typical temperature gradient of
28⁰C a km. Thus, the present study of the temperature effect is confined to the temperature range less than 100ºC.
Thus the value of A at 300m (35°C), 600m (43°C), 900 (52°C), and 1200m (60°C) by using Eqn. (6) estimated as
8 x 10-7, 9 x 10-7, 1.4 x 10-6, and 2 x 10-6 respectively.

Fig. 5: Temperature effects on steady-state creep rate

4. GEOMECHANICAL ANALYSIS OF SALT CAVERN
4.1 Model Description
Stress and creep analysis of salt caverns are performed using ABAQUS FEA software to examine the overall
performance of salt caverns by evaluating the displacement field, stress field, creep displacement, volume
shrinkage, ground subsidence, and damage zone surrounding the cavern. The studies discussed in the paper are the
results of the viscoelastic model of axisymmetric finite element analyses that closely simulate conditions similar
to those that are expected for a storage cavern. Figure 6 illustrates the schematic diagram of the axisymmetric
model developed for studies. Rock salt is assumed as an isotropic, homogeneous, and visco-elastic material as it
constitutes mainly NaCl.
The cavern used for the analyses are cylindrical in shape with an H/D ratio of 3, (dia. 60m and height 180)
and a volume of 0.5 Million m3 (Mm3). Analyses of an elastoplastic model of the cavity construction process are
performed at variable cover depths of 300, 600, 900, and 1200m under normal operating internal pressure to
observe the effect of temperature on its volume convergence rate.
The difference in pressure known as the deviatoric pressure between the geostatic and the pressure of the
stored product inside the cavern which is equal to the halmostatic pressure, leads to creep deformation, resulting
in the convergence of the cavern and subsequent volume loss. Therefore, for all cases, a viscoelastic model is
simulated for an operational period of 25 years to estimate the average yearly convergence. An operation period
of 25 years necessarily doesn’t mean to cavern lifetime. A typical cavern lifetime of a hydrocarbon project
generally could vary between 20 to 50 years, depending upon several factors such as oil consumption, import
dependency, and geopolitical instability.

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Fig. 6 FEM model description typical schematic diagram with mesh division
4.2 Mechanical Properties and Constitutive Modelling
The physical and mechanical properties of rock salt obtained from the experimental investigation are presented
in Table 1.
Table 1 Parameters considered for salt cavern analysis

Parameters Average Value

Density (g/cc) 2.20
Poisson's ratio 0.3
Young Modulus (MPa) 16200
Cohesion (MPa) 5
Angle of Friction 38°
A* (MPa d )-n -1
7 x 10-7
n 1.41
Surrounding temperature (° C) RT
Operating pressure cavern filled with oil/brine (normal condition)

The value of A* varies with the varying temperature as given in section 3.2.
The hypothesis of modelling of salt behaviour, i.e. plastic zone surrounding the salt cavern boundary defined
by the Mohr-Coulomb hypothesis and the elements of disturbed rock zone near the excavation surface against
dilatancy is defined by DeVries, (2006). The constitutive model used for the modelling of stationary creep is
defined by the power law as expressed in equation 5.
4.3 Results and Discussion
Salt response during the construction process and the operational period is characterized by three important
types of behaviour, i.e. the initial elastic response followed by accumulation of damage in elastoplastic response
followed by the long-term creep deformation. These responses on stress distribution, deformation field, and creep
rate are measured through the quantities of displacement, tangential stress and volume convergence of the cavern
(Kumar and Nanda, 2017). The creep rate or convergence rate is averaged by dividing the displacement that
occurred during the time of run i.e. 25 years.
The result shows that at normal temperature the creep rate would vary from 40mm per year at 300m cover
depth, 80mm per year at 600m depth, 130mm per year at 900m depth and 182mm per year at the greatest cover
depth of 1200m. Creep displacement displays non-linearity as the cover height increases. The cavern would
observe an average volume convergence of around 5% at 300m depth, around 10% at 600m depth, around 16% at
900m depth and around 22% seated at the greatest depth of 1200m. The observed volume loss is comparable to
the volume loss observed through analytical methods by various researchers and available from the direct

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measurement of cavern shape evolution through sonal survey for several case studies (Berest et al. 2011) in the
literature for different case studies.
Assuming that the cavern pressure remains constant over time, a displacement component generated by creep
over 25 years for the model at the greatest cover depth of 1200m is shown in Figure 7. The axisymmetric model
is a sweep by 180° to obtain a representative 3D displacement plot. The plot illustrates both deformed (marked by
a red arrow) and un-deformed contour lines (marked by a white arrow). Here, the undeformed contour line is
defined as the boundary line after the construction period and before the creep could occur (t = 0). The plot shows
that the cavern observes the maximum displacement near the wall bottom and at the bottom i.e. around 4.0m and
the roof observes the least displacement i.e. around 2.4m. The cavern has happened to be squeezed for the lower
side of the wall.
Minimum safety factors against dilation at all depths remained close to 2 and above thus citing a stable rock
mass condition after excavation near the wall, roof and bottom.

Fig. 7 FEM model description typical schematic diagram with mesh division
Comparison of horizontal creep rate at the wall at varying depths at elevated and room temperatures are shown
in Figure 8. The result shows that the surrounding salt temperature has a considerable effect on the displacement
field. The increase in wall displacement could vary from around 10% at a depth of 300m cover depth, to around
33% at a depth of 600m, 65% at a depth of 900m and around 100% i.e. from 182 mm per year to 360mm per year
at 1200m. An increase in the rate of displacement due to elevated temperature has a very limited effect on the
reduction in tangential stress. Overall stress relaxation after an operation period of 25 years remains the same at
around 15%.

Fig. 8 Comparison of creep wall displacement rate with varying temperature

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5 CONCLUSIONS
The following conclusions are deduced from the present study:
 The creep plot is commonly represented by the instantaneous elastic deformation followed by the
sequence of specific time-dependent deformations and follows the principal patterns with an idealized
rock salt creep curve.
 The steady-state creep rate increases with an increase in deviatoric stress and can be approximated by a
power function, 𝜀𝜀̇𝑐𝑐𝑐𝑐 = 𝐴𝐴 𝑥𝑥 𝜎𝜎 𝑛𝑛 , where a pre-factor A and stress component, n is estimated as 7 x 10 -7
MPa–n d-1 and 1.41 from the non-linear regression analysis.
 UCS testing carried out in the present study at various temperatures between 25 and 250 °C has revealed
a distinct variation in the influence of temperature on the mechanical characteristics of rock salt.
 The average UCS of rock salt at RT is around 28 MPa which decreases up to 22MPa at 250°C indicating
an overall decrease of around 20% in strength for the entire range of testing temperature. The decrease
in failure strength, however, is more pronounced at temperatures greater than 100°C.
 The ductility of salt increases rapidly as temperature increases. The average failure strain is around
3.25% at room temperature, which increases around 5.25% at 50°C, around 6.0 % at 100°C, around 7.5
% at 150°C, around 10.3% at 100 °C and over 11% at 250°C.
 For a cavern of 0.5Mm3 volume, the annual creep displacement rate would vary from 40mm per year
at the 300m cover depth and increase up to 182mm per year at the cover depth of 1200m. Creep
displacement would display non-linearity as the cover height increases.
 Surrounding temperature has a considerable effect on the displacement field. With the standard
temperature gradient, creep displacement could increase by 10% at 300m cover depth, 33% at 600m
depth, 65% at 900m cover depth and around 100% at 1200m depth.

6 ACKNOWLEDGEMENTS
The authors would like to express thanks to the Indian Institute of Technology where as a part of the Ph.D.
program, various thermo-mechanical and creep tests on rock salt were performed.

7 REFERENCES
Baar, C. A. (1977). Applied salt-rock mechanics, the in-situ behaviour of salt rocks. Elsevier Scientific
Publishing Company Amsterdam - Oxford - New York.
Bays, C. A. (1963). Use of salt solution cavities for underground storage. In Symp on Salt, Northern Ohio Geol
Soc Vol. 564, No. 5.
Berest, P., Béraud, J. F., & De Greef, V. (2011). Creep closure rate of a Shallow Cavern. In Solution Mining
Research Institute Spring 2011 Technical Conference Galveston, Texas, USA, 18-19 April 2011, pp. 5-12.
Cristescu, N., & Hunsche, U. (1998). Time effects in rock mechanics. New York. Wiley.
Cyran, Katarzyna. "Insight into a shape of salt storage caverns." Archives of Mining Sciences 65, no. 2 (2020).
DeVries, K. L. (2006). Geomechanical analyses to determine the onset of dilation around natural gas storage
caverns in bedded salt. In Proc SMRI Spring Meeting, Brussels, 131-150.
Hansen, F. D., & Leigh, C. D. (2011). Salt disposal of heat-generating nuclear waste p. 110. Albuquerque, NM.
Sandia National Laboratories.
Hunsche, U., Schulze, O., & Langer, M. (1994). Creep and failure behaviour of rock salt around underground
cavities. In Proc. 16th World Mining Congress, Sofia, 217-230.
Kumar C., (2019), PhD Thesis, “Experimental characterization of rock salt for underground structures”.
Kumar C., Nanda A. Kannan G., and Rath R. (2017), “Storage of Crude Oil in Solution Mined Salt Caverns”
IndoRock, Seventh Indian Rock Conference 25-27th October 2017.
Kumar, C., & Nanda A. (2017). “Modelling and analysis of salt caverns”, ISRM (India) Journal, Vol.6, 14-21.
Lux, K. H., & Heusermann, S. (1983). Creep tests on rock salt with changing load as a basis for the verification
of theoretical material laws. In Proceedings of the 6th International Symposium on Salt Symposium, 417-435.
Rath, R., Wippich, M., Nanda, A., and Wilke, H.F. (2014), “Underground salt cavern storages for crude oil at
Bikaner, India”. SMRI Tech Conf Proc. Netherlands; 124-135.
Senseny, P. E., Hansen, F. D., Russell, J. E., Carter, N. L., & Handin, J. W. (1992). Mechanical behaviour of
rock salt, phenomenology and micromechanisms. In International Journal of Rock Mechanics and Mining
Sciences & Geomechanics Pergamon, 363-378.

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 Theme 06 - Instrumentation and
R.S. Sehra, Hari Dev, numerical
Mahabir Dixit modelling

Instrumentation and Monitoring of Slope-A Case Study

R.S. SEHRA, HARI DEV, MAHABIR DIXIT

Central Soil and Materials Research Station, New Delhi
e-mail: sehra.rajendrasingh@gmail.com

ABSTRACT: Urban infrastructure, roads/rail network, development of water resources projects etc require
cutting and strengthening of hill slopes. The change in natural slope alters the properties of material which in turn
may lead to instability issues. If not attended properly, failures of slopes may also occur. Therefore, knowledge of
factors influencing the stability of hill slopes is important. Construction of dams and surface structures for
hydropower development needs removal of overburden/distressed zones in the foundation and abutments.
Therefore, instabilities in the altered slope may arise which needs to be protected by artificial support systems.
Instrumentation and monitoring helps in measurement of variation in various parameters. Surface power
houses may require removal of overburden/ loose rock materials in the foundation as well as cutting of hill slopes
to accommodate the civil engineering structures. Apart from slope stability measures like installation rock bolts/
anchors, short-crete, retaining walls etc, long term instrumentation and monitoring of variation in deformations,
rock loads, piezometric pressures etc is necessary to monitor the behaviour of slope with time.
A case study of surface powerhouse of Vyasi Dam Project, Uttrakhand, a concrete gravity dam of 86 m height
pertaining to instrumentation and monitoring of hill slope has been discussed in this paper. For long term
monitoring of the stability of power house back hill slope, the inclinometers, piezometers and load cells have been
installed for real-time measurements of horizontal/ vertical/ rotational/ translational movements, pore-water
pressures inside the rock and induced rock loads. The variation in parameters on account of changes in
environmental conditions arising out of water charging of the hill during first filling water conductor system as
well as during the operational life span of the project will also be presented in details.
1 INTRODUCTION
The most damaging geo-hazard caused by geological conditions or human activities, which contribute to the
threats to human lives, properties and natural environments. When the shear stress becomes greater than the shear
strength of material on the slope, the slope will fail thus; down-slope movement is favored by steeper slope angles
which increase the shear stress and reduces the shear strength. Water plays an important role in stability of slope.
When water seeps into the soil or rock, it replaces the air in the pore space or fractures therefore increases the
weight of the soil or rock material because water is heavier than air. It also can change the angle of repose (the
slope angle which is the stable angle for the slope). A sudden shock, such as an earthquake may also trigger slope
instability. Minor shocks like heavy trucks roundabout down the road, trees blowing in the wind, or human made
explosions can also trigger mass movement with sudden instability. A pictorial view of failure of slope as reported
in literature is presented in Figure 1 for better appreciation of problems and issues.

Figure 1: Slope Failure

In order to ensure the safety of people with respect to any construction activity, it is important to study and
understand how slope stability is assessed and improved. The stability of slope is an important concern to engineers
and geoscientists as the socio-economic consequences of the failures are huge. It is normally an important
geotechnical task during construction, which includes excavations and changes in load or groundwater conditions.
Slopes can also be supported by methods such as soil nailing, sheet pile wall and gravity walls (Fredlund, D.G.
& Krahn, J., 1977).

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2 SLOPE INSTRUMENTATIONS
The instrumentation and monitoring systems can measure physical properties that include deformation, stress,
temperature, moisture, and vibration etc. to use safety, operational, and treatment decisions for these slopes. Some
of the instruments utilised for monitoring slope movement along with case history have been presented in
following paragraphs.
2.1 Extensometers
Extensometers are commonly used to measure displacement at the surface of rock discontinuities and other
unstable slopes. A typical borehole extensometer consists of an instrument head, usually mounted at the collar of
a drill hole, and one or more in-hole anchors, each fixed in position at a known initial depth in the hole. Each
anchor is connected by means of a rod or wire to an individual transducer in the instrument head. As the rock or
soil mass is deformed, the distance between each in-hole anchor and the instrument head changes, and the changes
are measured by the individual transducers shown in Figure 2.

Figure 2: Multi position borehole extensometer (MPBX)

2.2 In-Place Inclinometers
Inclinometers are used to monitor the ground movements or structures situated below ground level. The
inclinometers are useful to study the behaviour of any unstable slopes (whether natural or cut/fill slopes) and to
assess the efficacy of the artificial support systems provided to stabilize the vulnerable or potential slopes. Long-
term monitoring studies of hill slopes help in averting any hazard and to take remedial measures to prevent
instability. Normally in inclinometers, the relative ground movement variation with time is measured and
monitored in two directions mutually perpendicular to each other. The bottom end provides as datum and hence,
should be embedded beyond the disturbed zone. Guide casing is installed in vertical drill holes to measure
horizontal displacements. In rare cases when vertical drill hole access is not possible or monitoring is needed for
inclined geological features, inclinometers are installed in inclined drill holes also. The inclinometers can be used
for a variety of purposes such as: i) Landslide movement and slope stability. ii) Impact of excavation on structures
over ground or nearby structures. iii) Settlement and lateral displacement in embankment dams. iv) Settlements
of any landfills, road/railway sub-grade etc.
2.3 Piezometers
Measurement of pore water pressures is important because increase in pore pressure reduces effective stress
which in turn affects the stability of slopes. Piezometers are extensively used in groundwater monitoring to
determine the water level and flow pattern of groundwater. Piezometers are used for measuring the piezometric
pressure across the width of embankment dams and to delineate phreatic surface. Pore pressure is one of the key
input parameters required for stability analysis of the potential rock/soil slopes. Magnitude of pore water pressures
mainly depend on the geological features (water charging etc.) and the nature of rock/soil medium. Filling in water
conductor system in hydropower development accounts for charging of the surrounding hill which can affect the
stability of hill slopes.
2.4 Pressure /Load Cells
Load cells which are widely used for underground applications of measuring loads in rock bolts, cable anchors
or struts, steel rib support systems, and beams etc. For measuring loads in struts, it is advisable to install strain
gauges in combination with load cells for verification of data. The schematic diagram and typical load cell
installation are shown in Figure 3 & 4.

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Figure 3: Schematic Diagram of RBLC Figure 4: Typical Load Cell Installation

3 CASE STUDY
Vyasi Hydroelectric Project of 120 (2×60) MW capacity is a run of the river scheme situated on river Yamuna
in state of Uttarakhand. Pictorial; view and brief project details have been presented in Figure 5. and Table 1
respectively. The surface power house is located below the hill slopes as seen in Figure 5. It is imperative to assess
monitoring of hill slopes in such situation so as to take preventative steps when stability of project is disturbed by
the unbalanced forces triggering instability issues. In order to insure safety of these crucial structures, it is
compulsory to continuously assess long term stability of these structures through a geotechnical instrumentation
program. Also project being in located lower Himalayas, where weak rocks including fissures, joints and faults
are frequently witnessed. Sometimes, one may face rock burst conditions or squeezing ground conditions
depending on geological and topographical features.
3.1 Instrumentation in Power house
A total of 44 vibrating wire type instruments including 6 In-Place Inclinometers (IPI), 10 Piezometers, 28
Load Cells have been installed at different elevations as shown in Figure 6. Out of these, 29 instruments (6 nos. of
Inclinometers (IPI), 16 nos. Rock Bolt Load Cells (RBLCs) and 7 nos. Piezometers) are in Power House Back
Slope, 9 instruments (8 nos. Load Cells and 1 no. Piezometer) in the Surge Shaft Slope and 5 instruments (4 nos.
of Load Cells and 1 no. Piezometer) at the adit to Head Race Tunnel Portal. The data from these instruments are
continuously being recorded since December 2020. Data analysis of these instruments is being done by CSMRS
since December 2021. All the data recorded so far has been included in the analysis.

Table1. Brief Project Detail, Vyasi Dam Power House

Features Description
Dam Height 86 m
Type of Dam Concrete Gravity dam
No. of Adits 01
Head Race Tunnel (HRT) 2.7 km long, 7.0 m dia. (Circular type)
Surface Power House 72m(L)x24m(W)x40.2m(H)
Design Energy 375.4 million units annually
Design Head 111 m
Design Discharge 345 m3/ sec
Pressure Shaft 2 nos. 4.0 m dia., 209 m long each

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Figure 5: Location of Surface Power House of Vyasi Dam Project

Figure 6. Flow Chart showing Position of Instruments in Hill Slope

4 DATA ANALYSIS AND RESULTS
4.1 In-Place Inclinometers (IPI)
06 nos. of 20 m deep inclinometers have been provided in power house back slope to measure the relative
displacement in the hill slope at different elevations. The location of inclinometers is presented in Table 2. Each
inclinometer contains 07 nos. of sensors at depths of 2 m, 5 m, 8 m, 11 m, 14 m, 17 m and 20 m. The variation in
horizontal movements with time is being monitored in two directions viz. towards the valley (X-direction) and
across the valley (Y-direction) as shown in Figure 7. The results of the temporal variation of deformation data
from inclinometer at different depth of sensors in X and Y directions are presented in Figure 8.
Table 2. Location of In-Place Inclinometers
Instrument ID RL (m) Depth (m)
IPI-1 562.568 20
IPI-2 569.070 20
IPI-3 574.990 20
IPI-4 628.921 20
IPI-5 575.127 20
IPI-6 550.978 20

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Figure 7. Schematic View of Inclinometer showing Movement in X and Y Directions

As seen from Figure 8, that temporal variation of movements/deformations/deviations recorded by sensors at
different depth is in general insignificant. There are some kinks in the inclinometer data placed in powerhouse
back slope area from July 2021 to October 2021. These kinks are due to incorrect measurement of data by data
logger. The data of IPI after January 2022 indicate change in movement after filling of water conductor system,
thus reflecting the effect of charging of the hill slope. In spite of charging of the hill slope due to filling of water
conductor system, total movement is insignificant. The cumulative values of deformation/deviation of inclinometer
data in X and Y direction over various months are presented in Figure 9. As seen from the graph the
deformation/deviation in Y-direction is much more consistent than deformation/deviation in X-direction. The
maximum cumulative deviation has occurred in the month of December 2021 when during filling of water
conveyer system and water charging of hill slopes.

Figure 8. Horizontal deviations in IPI-1

Figure 9. Cumulative Monthly deviations in IPI-1

4.2 Load Cell
A total no. of 28 vibrating wire type load cells of 50 tonne capacity attached with rock bolts including 16 in
power house back slope, 4 in drainage gallery portal and 8 in surge shaft slope have been installed. The installation

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of load cells with cable anchors is shown in figure 10 and graphical representation of load variation in various load
cells are shown in Figures 11-13 respectively. Monitored data of load cells installed in power house back slope,
surge shaft slope and drainage gallery; respectively show that loads are insignificant in general in all load cells.
Problem was noticed in load cells data installed in drainage gallery section in July 2021. Sudden jump in value of
data was observed from August 2021 to December 2021. The data in all three sections after January 2022 indicate
increase in load after filling of water conductor system, thus reflecting the effect of charging of hill slope. However,
in spite of slight increase in load due to charging of hill slope, total loads are insignificant. After increase in load,
the load in load cells are showing stabilized trends.

Figure 10: Cables Anchors and Load Cell Installation

Figure 11: Load variations at below the Balwada Lakhwar road of Power House Back Slope

Figure 12: Load variations at above the Balwada Lakhwar road of Power House Back Slope

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Figure 13: Load variations at drainage gallery portal of in Power House Back Slope
4.3 Piezometers
A total of 10 vibrating wire type piezometers have been installed in power house back slope to monitor the
variations in pore pressures. The location of piezometers and graphical representation of pore pressure variation
are shown in Table 3 & Figure 14 respectively. The results of piezometers data as presented in Figure 14 show
that the pore pressures are consistent and low before filling of conveyer system. After filling due to recharging of
hill slope a minor change in pore pressure value of various pore pressure meters was observed and most of pore
pressure meter data indicate slight increase in pore pressure except pore pressure meter PM-1, which show
development of negative pore pressure.
Table 3: Location of Piezometers
Instrument ID RL (m) Depth (m)
PM-1 628.015 20
PM-2 535.467 20
PM-3 535.775 25
PM-4 561.259 20
PM-5 530.890 20
PM-6 537.722 20
PM-7 574.456 20
PM-8 562.753 20
PM-9 589.969 20
PM-10 640.539 20

Figure 14. Piezometric Pore Pressure Variation in hill slope of Surface Powerhouse
5 CONCLUSIONS
Based on the monitoring of various instruments installed at different elevations in power house back slope and
the analysis/interpretation of data, the following inferences can be drawn:

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Figure 14. Piezometric Pore Pressure Variation in hill slope of Surface Powerhouse
5 CONCLUSIONS
Based on the monitoring of various instruments installed at different elevations in power house back slope and
the analysis/interpretation of data, the following inferences can be drawn:
 The temporal variation of movements/deformations/deviations recorded by sensors at different depth is
insignificant in general. The maximum cumulative deviation has occurred in the month of December 2021
when during filling of conveyer system and water charging of hill slopes.
 Monitored data of load cells installed in power house back slope, surge shaft slope and drainage gallery;
respectively show that loads are insignificant in general in all load cells. The data in all three sections after
January 2022 indicate increase in load after filling of water conductor system, thus reflecting the effect of
charging of hill slope. However, in spite of slight increase in load due to charging of hill slopes total loads
are insignificant with stabilised trends.
 All piezometers are providing consistent reading and stabilizing trends.
RECOMMENDATIONS
 The instruments have been embedded in rock, but the cables have been routed on the surface up to the
junction boxes/nodes. The cables are susceptible to be damaged, therefore, needs to be protected. The
junction boxes also need proper protection measures for long-term monitoring.
 Periodic physical inspection of slope area and instrumentation drainage gallery is recommended to ensure
protection of instruments and any sign of distress.
 Data monitoring including analysis and interpretation of data is to be done regularly so as take prompt
remedial action if need arises.
ACKNOWLEDGEMENT
This paper includes some information pertaining to instrumentation in surface powerhouse of Vyasi Hydroelectric
Project, Uttrakhand, The authors are thankful to Uttrakhand Jal Vidyut Nigam Limited.
REFERENCES
CSMRS (2022-23), 4th Quarterly Report on Monitoring and Data Analysis of Geotechnical Instruments Installed
in Back Slope of Surface Power House of Vyasi Hydroelectric Project (2 x 60 MW), Dakpathar, Dehradun,
Uttrakhand, Central Soil and Materials Research Station, Olof Palme Marg, New Delhi, February 2023, India.
Monograph (2012), “Geotechnical Instrumentation”, CSMRS.
Progressive Machine Tools (PMT) (2021), Report of Geotechnical Instrumentation Monitoring of Vyasi HE
Project, January-2021.

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 Theme Hamid
06 - Instrumentation
Samadi, Rahul Devand numerical
Patel and Piyushmodelling
Pant

Optimization of Tunnel Support System on the Basis of 3D Monitoring Data

HAMID SAMADI1, RAHUL DEV PATEL2 AND PIYUSH PANT3

RKSH-KNPG Railway Project, Package-6, AECOM India Pvt Ltd,

1 Resident Geotechnical Engineer, 2 Engineering Geologist, 3 Project Director, RVNL,
e-mail:hamid.Samadi@aecom.com

ABSTRACT: Tunneling in Himalayan geology is overly challenging due to the complex and uncertainties of
geological conditions. Since the initial stretch of this alignment passes below the city of Srinagar, it was made
sure during the design phase to adopt a conservative approach to cater for any unforeseen or missing information
with the limited geological and geotechnical information. The limited number of investigations of boreholes will
not be sufficient to capture the different geological variations along the complete alignment. During the excavation
of the tunnel, based on the face mapping report, technical investigation, and 3D monitoring report, optimization
of the support system will be conducted. Monitoring of ground deformation in tunneling is a principal means for
selecting the appropriate excavation and support methods among those foreseen in the design, for ensuring safety
during tunnel construction including personal safety and structure located at ground surface, and finally, for
ensuring construction quality management. The final decision regarding the support type and requirement shall
be taken on-site after observing the excavated face and actual ground conditions. Support system optimization
can be done on-site itself by issuing an instruction if convergence values are within the limits, ground conditions
are favorable, and selected rock support is matched with tunnel's actual condition. Monitoring of target point
section along the tunnel excavation is simple method to compare with design and actual condition. In this paper,
an attempt is made to compare BRT monitoring and deformation result in different faces of tunnel 11 to increase
or decrease of rock support system classification.
1. INTRODUCTION
The new broad gauge (BG) Railway Line between Rishikesh and Karan Prayag in the state of Uttarakhand is
an especially important project in India. The line is proposed to be extended further to connect with Badrinath and
Kedarnath (through future development). When completed, this project will improve connectivity in
Ganga/Alaknanda valley and boost the economy and tourism in Uttarakhand state. Rail Vikas Nigam Ltd (RVNL),
a public sector undertaking under the Ministry of Railways, has been entrusted with the work of a detailed
construction survey, design, engineering, and construction of a new line as a part of Northern Railway (NR). The
proposed alignment connecting Rishikesh and Karanprayag and passing through Ganga and Alaknanda River
valleys is 125 km long with a significant part in tunnels and bridges spanning deep gorges and valleys.
RVNL the “client” has appointed a Supervisor and consultant to conduct the detailed design and project
management consultancy for the construction of tunnels, bridges, yards, and formation works from Chainage
73+489 to 83+899 (10.410km) under Package-6 in connection with a new single line broad gauge rail link between
Rishikesh and Karanprayag (125km) in the state of Uttarakhand, India. The project alignment passes through the
rugged, mountainous, and steep terrain. Package- 6 broadly involves railway formation work and station yard at
Dhari Devi, works related to Tunnel no.11 (Chainage 73+800 to 82+800).
At Portal-1 escape tunnel was completed up to 140 m, in the Adit-6 junction towards portal-1 completed 70
m, and from portal-2 ET excavation was done at around 125 m. The new adit also starts in between adit-6 &
portal-1. The slope protection/false portal work is in progress, initial geological/geotechnical investigation
completed.

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Fig 1: Package-6 Alignment View (Source: Google Earth Image)

This project has been accorded national project status by the Union Government of India. As a part of National
River Linking Project, the Godavari River basin is considered as a surplus one, while the adjoining Krishna River
basin is a deficit one. As of 2017, over 3000 thousand million cubic feet (TMC ft) of underutilized water from
Godavari River flowed into the Bay of Bengal. The study recommended that a sizable 80 TMC ft. of surplus water
can be transferred from the Godavari River basin to the Krishna River basin. The project contemplates
construction of earth-cum-rock-fill dam (Gap I-565 m length and Gap II-2310 m length), non-over flow concrete
dam (140 m length); 1054.50 m long spillway with 48 nos. of gate, surface power house to generate 960 MW (12
x 80 MW) electricity and tailrace channel, right connectivity’s from main reservoir including regulator, saddle
dams, twin tunnels (package-63 & 64), bunds-1 & 2 and left connectivity’s from main reservoir including
approach channel, head regulator, navigation tunnel, navigation canal with lock 1 & 2 and irrigation tunnel, canal,
saddle dams. The right and left connectivity’s are being made for a design discharge of 20000 Cusecs. On the left
side of the river, an intake pool with 12 nos. of pressure tunnels connected to 12 nos. of turbines, each having 80
MW capacity, is being constructed. The hydropower plant of this multipurpose project will generate 2.29 billion
kWh green or renewable electricity annually.
2. REGIONAL GEOLOGY
Tunnel-11 of the Rishikesh - Karanprayag Project located in the Jaunsar group which is part of the outer lesser
Himalayan Zone is characterized by superimposed thrust sheets (NAT) where the Garhwal group overlain the
Jaunsar group. The area is demarcated by the North Almora Thrust (NAT) in the NE part which trends NW-SE,
dipping at 40-50° towards SW. At places, much steeper dips are recorded ranging up to 80° towards SW. This
thrust shows variable strike and is undulating. The various rocks of the area belong to the Chandpur formation of
the Jaunsar group and the Nagnithak formation of the Garhwal Group. The Chandpur Group consists of Srinagar
Phyllite associated with Kilkaleshwar meta volcanic. The Garhwal Group is represented by Marora Limestone,
Garhwal Slate, and Koteshwar Quartzite associated with Chamdhar Meta basics. The phyllitic thrust sheet
(Srinagar Phyllite) is folded into major anticlines and synclines. Two transverse faults of the project area trending
NE-SW and NNE-SSW have been named the Sirobagad and Khakara faults associated with North Almora Thrust.
3. GEOLOGY ALONG THE PROJECT ALIGNMENT
The T-11 Alignment runs along the left side of the Alaknanda River valley having a Total length of 9 Km lies
in between the alignment chainage the Km 73+800 to 82+800. The Tunnel alignment is demarcated by one of the
major tectonic structures known as North Almora thrust (NAT) that marks the passage between the Outer and the
Inner Lesser Himalaya domains. In fact, this tectonic structure juxtaposes the lithologies with the Chandpur
Formation in proximity of the Srinagar City. According to the results of geological surveys, the North Almora
Thrust zone includes a series of NW – SE, dipping at 40-50° towards SW. faults dipping southward with medium
to high angle of inclination that cut and displays different geological Formations, putting different rock types in
contact

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 Hamid Samadi, Rahul Dev Patel and Piyush Pant

Fig 2: North Almora Thrust (NAT) in proximity of the project area

North Almora Thrust divided the T-11 in two different areas, the first one, stretched from Portal-1 at Srinagar
to the Ch. 81+500 (at the NAT thrust) in which the Chandpur rock types outcrop and the second one from Ch.
81+500 to Portal-2 at Dhari Devi., where Nagnithank Formation outcrops. In this area, the Chandpur Formation
consists of dominant grey Phyllite with quartzite and quartz arenite interbedded, while the Nagnithank Formation
includes quartzite with phyllite and basic Meta volcanics. From a geomorphological point of view the area is
characterized by numerous landslides affecting the most superficial and altered part of the bedrock. The landslides
are activated during the rainy season

Fig-3 Geological Longitudinal section of Portal 1 & 2

4. GENERAL SCHEME ALONG THE ALIGNMENT

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 Optimization of Tunnel Support System on the Basis of 3D Monitoring Data
Fig-3 Geological Longitudinal section of Portal 1 & 2

4. GENERAL SCHEME ALONG THE ALIGNMENT

The shape of the tunnel is horseshoe. Around 9km Main tunnel & parallel Escape tunnel with cross-passages.
The main tunnel with an area of 42.35m² (finished tunnel in service) will have a parallel access/escape tunnel
along the entire alignment of the tunnel from Portal to Portal with a finished cross section of about 17.54m2 which
would be accessible by vehicles. Access to the first tube is provided by cross passages keeping the minimum
distance as 350 m between the exits
Table 1: Geological/Geotechnical Expected Lithological Per% Along Tunnel-11

Lithology Distribution along the Tunnel Alignment (In %)

Phyllites 76.38%
Quartzites 15.08%
Sheared/Faulted rock mass 6.68%
Quaternary deposits (Including Terrace material and colluvium material) 1.83%
Table 2: Geological Description and Design parameters of Ground type
'ƌŽƵŶĚ h^ŝ '^/ ZŽĐŬ ŵŝ ŝ ,ŽĞŬΘƌŽǁŶ ƌŵ
dLJƉĞ DƉĂ 'ƉĂ ŵď Ɛ Ă 'WĂ
'dϭ ϱϬ ϲϬ dŚŝĐŬůLJ ϭϬ ϮϬϬϬϬ Ϯ͘ϵϳ Ϭ͘Ϭϭϭϳ Ϭ͘ϱϬϯ ϭϬ
&ŽůŝĂƚĞĚ
WŚLJůůŝƚĞƐ
'dϮ ϯϬ ϰϱ dŚŝŶůLJ ϭϬ ϭϱϬϬϬ ϭ͘ϰϬϯ Ϭ͘ϬϬϮϮ Ϭ͘ϱϬϴ ϯ͘ϯϱ
&ŽůŝĂƚĞĚ
WŚLJůůŝƚĞƐ
'dϯ Ϯϱ ϯϬ /ŶƚĞŶƐĞůLJ ϭϬ ϭϯϳϱϬ Ϭ͘ϴϮϭ Ϭ͘ϬϮϬϰϲϴ Ϭ͘ϱϮϮ ϭ͘Ϯ
ĨƌĂĐƚƵƌĞĚ͕
ƌƵƐŚĞĚ
WŚLJůůŝƚĞƐ
'dϰ ϲϱ ϲϱ YƵĂƌƚnjŝƚĞƐ ϮϬ Ϯϰϯϳϱ ϱ͘ϳϯϬϭ Ϭ͘Ϭϭϭϳ Ϭ͘ϱϬϯ ϭϱ
'dϱ Ϯϱ ϮϬ ^ŚĞĂƌĞĚ ϳ ϭϯϳϱϬ Ϭ͘ϰϬϮ Ϭ͘ϬϬϬϭ Ϭ͘ϱϰϰ Ϭ͘ϲϮϳ
ĂŶĚ&ĂƵůƚĞĚ
ZŽĐŬŵĂƐƐ
DŽŚƌŽůƵŵďƌŝƚĞƌŝŽŶĨŽƌƐŽŝůůŝŬĞ ŽŚĞƐŝŽŶ;DWĂͿ &ƌŝĐƚŝŽŶ ƌŵ
ŵĂƚĞƌŝĂů ;DWĂͿ
'dϲ   dĞƌƌĂĐĞ Ϭ͘Ϭϱ ϯϬ ϭϱϬ
ŵĂƚĞƌŝĂů
'dϳ   ĐŽůůƵǀŝƵŵ Ϭ͘Ϭϱ ϯϬ ϭϬϬ
Table 3: Rock support of Escape tunnel as per GFC
WIREME STEEL
SH RIBS/LATT ROCK
SUPPO SHOTCR
Behaviou 150X150X ICE FOREPOLING/ BOLT
RT ETE ds,
r Type 6 GIRDER PIPEROOFING LENGT
CLASS (mm)
(mm)/PFR EACH H (m)
S ROUND
B1 Friable 150 PFRS NA NA 4
Very
B2 200 PFRS NA NA 4
Friable
Rock Single
C1 100 NA NA 4
Bursting layer
Double Fore poling Ø32
C2 Squeezing 250 LG: 95/16/25 6
layer SDR, 6 m
Very Double Fore poling Ø32
C3 300 LG: 95/16/25 6
Squeezing layer SDR, 6 m
Shallow
Pipe roofing
cover,
Double Ø114mm Steel
P Loose 200 ISHB 150 NA
layer Pipes,6.3mm
ground/Po
Thick., 12 m
rtal class

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Table:4 Overburden & Ground Type

Overburden Ground Type
& Ground GT1 GT2 GT3 GT4 GT5 GT6 GT7
Type
0-100 B1 B2 B2 B1 C2 P P
100-200 B1 B2 C2 B1 C3 N/A N/A
200-250 B1 B2 C2 B1 C3
250-300 B1 B2 C2 B1 C3
300-400 B1 B2 C2 C1 C3
Four B2 B2 C3 C1 C3
hundred and
above
5. ÖNORM B2203
Ground behavior is defined as the reaction of the ground to the excavation of the tunnel in its full profile
without consideration of support or other construction measures. For defining the behavior type qualitative
approaches like Behavior type charts of Austrian tunnelling guidelines shall be used. Based on the ground strength
parameters (RMR, GSI etc.) and ground elastic behavior (ICE) the ground types or Lithological units classified
above shall be related to behavior type. This will primarily involve the identification of potential hazards, like
typical failure mode, magnitude, and characteristics of movements during excavation, amount of water inflows
and its effects on ground stability which has similar ground properties and influencing factors.
In this project, it is planned to utilize a new classification system, namely, Austrian code ÖNORM
B2203/1994 closely related to the New Austrian Tunnelling method, as per this Austrian ÖNORM B2203 of
October 1994 which is based on the suggestions by Rabcewicz et al. (1964) the rock mass is classified without a
numerical quality rating; but the ground. Conditions are described qualitatively. The main rock mass classes and
behaviour of rock masses for each rock mass group according to the ÖNORM B2203.
6. INSTRUMENTS FOR DEFORMATION MEASUREMENT
Deformation monitoring in tunnelling projects is performed with instruments installed or operated either
from the ground surface or from within the tunnel. Instruments installed from the ground surface can be put in
place prior to tunnel excavation in interest. In this way, their proper functioning can be checked, and several zero-
load measurements can be obtained thus verifying their level of accuracy (by the fluctuation of the zero-load
measurements). On the contrary, instruments installed from within the tunnel are necessarily put in place as the
tunnel advances and thus an appreciable portion of the actual ground deformation is not recorded, as it has
occurred prior to the installation of the instrument. Typically, most of the ground deformation takes place close
to the tunnel face. Thus, monitoring instruments placed on the tunnel wall (e.g., Bi-Reflex Targets) or installed in
the ground from the tunnel wall, Crown, and Invert of the tunnel.
Deformation monitoring in tunnelling usually includes some of the following measurements:
(I) Convergence of the tunnel wall, and usually crest settlement and spring-line closure.
(II) Deformations at ground surface, including settlements.
(III) Deformations in the ground, around the tunnel or deep below the ground surface.
Tunnel deformations can be monitored with geodetic or geotechnical methods. Geodetic measurements
provide absolute coordinates of the target locations in time, while geotechnical measurements usually provide
relative displacements of the target locations with respect to an initial condition (at the time when the initial
measurement is recorded).
7. USE OF DEFORMATION MONITORING IN TUNNEL CONSTRUCTION
Ground deformation monitoring is extremely useful in tunnelling projects (probably much more than in other
geotechnical projects) for the following reasons: Tunnels are linear structures and thus experience from the
behavior of already excavated tunnel sections can be used for reliable assessments of the anticipated ground
response and tunnel behavior in the following excavation steps, in conjunction with ground quality observations
at the excavation face (and occasionally ahead of the face). As ground deformations are the principal means of
assessing tunnel behavior, ground deformations are commonly used in such extrapolations of the anticipated
ground response (and thus in decisions related to the applicable excavation and support methods). Specifically,
tunnel designs following the principles of the so-called New Austrian Tunnelling Method (NATM) heavily on the
“observational method” which is based on ground deformation monitoring. Such designs include several typical
excavation and temporary support systems (typical sections), each applicable in a specific range of anticipated

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ground conditions, while the complete set covers the complete spectrum of the anticipated conditions along the
tunnel.
8. ACTUAL ANALYSIS FOR ESCAPE TUNNEL IN PORTAL 1
As per GBR investigation and design report, escape tunnel in portal 1 classified as P class rock support.
During the opening the portal, the encountered rock mass was thinly foliated-Intensely fractured, crushed phyllite,
slightly weather and strength of rock was extremely low (less than 25 Mpa), and ground water condition is
dripping to damp, observed clay filling along the foliation with extremely low overburden covered. The rock mass
and their geotechnical parameter has been calculated in face mapping sheet and Geotechnical Instruments and
Monitoring data of P1. Based on above context, the rock mass defined class-P from staring chainage in escape
tunnel, it’s up to 68 m stretched. Along the excavation, the strength of rock and highly fractured quarzitic phyllite
bands observed along foliation slightly changes observed in rock mass and in BRT1 monitoring data of escape
tunnel has no major deformation observed. Therefore, at site PMC 2 in first step, based on face mapping data, site
observation, rock parameters and BRT monitoring has removed pipe roofing/fore poling and in next step, changed
the support system of ET P1 in B2 support class. During this time, BRT data was controlled daily to find any
probable movement.

Fig:4 Tunnel Face Mapping Sheet Portal-1

8.1 Geotechnical Measurements

Measurements of tunnel Crown/wall/ Invert convergence: monitoring through Bi-Reflex target of tunnel
based on Design and Actual data of site. Graphs showing the actual deformation at site.
Table:5 P-1 ET BRT Position
CHAINAGE
S.No. T1 T2 T3 T4 T5
(m)
1 73760.20
2 73770.20
Center Left Right Left Right
3 73780.20
Crown Crown crown SPL SPL
4 73790.20
5 73800.00

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Fig:5 BRT Position in Tunnel Fig: 6 As Per Design Total Displacement for Escape
tunnel in B2-Support class

Fig:7 Design and Actual BRT monitoring results

Table:6 Design & Actual Support class followed as per GFC at Portal-1

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Fig:7 Design and Actual BRT monitoring results

Table:6 Design & Actual Support class followed as per GFC at Portal-1

9. ACTUAL ANALYSIS FOR ET P1 IN ADIT-6

The escape tunnel toward P1 in adit 6 is in C2/C3 rock support classification as per geological investigation
and design report. During the excavation period by the report of face mapping, observed the encountered rock
mass had thinly/thickly foliated fractured, phyllite with slight weather bands along foliation, and the strength of
the rock was low-moderate (5-25,25-50 Mpa), also groundwater condition was dry and clay filling along the
foliation even overburden cove is more than 160 m. although the rock mass and their geotechnical parameters has
been calculated in face mapping sheet, so rock support system, classified to class B2. This observation parallelly
checked and controlled by BRT Monitoring data and had no major deformation observed and all target value was
within the permissible design limit. Therefore, the support class of ET towards P1 still is B2 rock support class.

Fig:8 Tunnel Face Mapping sheet of ET towards P-1

9.1.1 Geotechnical Measurements
Measurements of tunnel wall/Crown/Invert convergence: monitoring through Bi-Reflex target of tunnel
based on Design and Actual data of the site. Graphs showing the actual deformation at the site.
Table:7 ET BRT Position
S.No. CHAINAGE T1 T2 T3 T4 T5
(m)
1 79061.00 Center Right Left Right Left
2 79050.00 Crown Crown crown SPL SPL
3 79055.00

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Fig:9 As Per Design Total Displacement for ET B2-Support Class

Fig:10 BRT monitoring Results of Adit-6 ET P-1 Design and Actual in B2 support class

Table:8 Design & Actual Support Class followed as per GFC at Escape tunnel P1

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10 ACTUAL ANALYSIS FOR ESCAPE TUNNEL PORTAL 2

Measurements of tunnel wall/Crown/Invert convergence: monitoring through Bi-Reflex target of tunnel
based on Design and Actual data of site. Graphs showing the actual deformation at site.
Table:9 P-2 ET BRT Position
S.No. CHAINAGE T1 T2 T3 T4 T5
(m)
1 2.10 Center Right Left Right Left
2 12.20 Crown Crown crown SPL SPL
3 82785.00
4 82795.00
5 82775.00

Fig:12 As Per Design Total Displacement for ET B2-Support Class

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FIG:13 BRT monitoring Results of Portal 2 ET to Adit 6, Design and Actual in B2 support class
Table:10 Design & Actual Support Class followed as per GFC at portal two

11. CONCLUSION
Geological investigation was done based on 9 boreholes during the initial stage of Tunnel-11, an average of
each 1 km/1 BH. GBR was an initial document that was prepared based on limited site investigation data, also the
whole alignment was not accessible at the time of design. Therefore, the final decision regarding the support type
optimization and requirement shall be taken on-site after observing the excavated face and actual ground
conditions. These methods of optimization could be checked and controlled by tunnel instruments. In this case,
we used BRT monitoring data to control tunnel movement during the excavation period. BRT monitoring result
should be under the deformation boundary which is determined by the design report, otherwise increasing rock
support class will be necessary. the convergence displacement and convergence ratio are used as the mechanical
criteria for the comprehensive determination of surrounding rock stability.
In this case study, BRT points were installed in tunnel sections during the excavation, and monitoring data
came to a consultant. In the next step, a comparison of design parameters and the tunnel's actual situation is done.
The tunnel's actual condition was earlier determined by face mapping, rock parameters, geological investigation,
and engineering judgment. Comparison between design deformation boundary and monitoring data will result to
optimize the support system. This monitoring process should be continued until no more movement or
deformation comes to a constant trend under an acceptable boundary.
REFERENCES
Final Design Report of Tunnel 11, Aecom. (Rishikesh-Karnaprayag).
Geotechnical Baseline Report of Tunnel 11, Aecom. (Rishikesh-Karnaprayag).
Michael J. Kavvadas, (2003) Monitoring and modelling ground deformation during tunnel, Greece.
Chunjin, L, Lun, Zh, Shucai, Li, Zhenhao, Xu, Liping, Li, Jing, Wu, Yanhuan, Zh, (2015), Tunnel Monitoring
and Measurement case study in Qiyueshan Tunnel, Mechanical and Manufacturing Engineering, 3 rd
International Conference on material.
Dehghan, A, (2013), Selecting the Appropriate Design of the Primary support system of Karaj Metro Tunnel
Based on the Results of Instrumentation and Back Analysis Algorithm. Journal of Tunneling and Underground
space Engineering.
Rocsupport Tutorial Manual. (2009). Rock support Interaction and Deformation analysis for Tunnel in Weak
Rock. Rocscience Inc.
Wulf, Sch. (2014). Geotechnical Monitoring in conventional Tunnelling, Austrian Society for Geomechanics.

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 Optimization of Tunnel Support System on the Basis of 3D Monitoring Data

Zhang, P. Yin, J, J, Nordlund, E, Li, N, (2008). Determination and Verification of the Longitudinal Deformation
Profile in a Horse-shoe shaped Tunnel Using Two-stage Excavation. 5th International Conference and
Exhibition on Mass mining, Lulea Sweden.
Vlachopoulos, N. Diederichs, M, S. (2009) Improved Longitudinal Displacement Profiles for Convergence
Confinement Analysis of Deep Tunnels. Rock Mechanics and Rock Engineering, pp.131-146.
Monitoring and Control in Tunnel Construction. (2011). International Tunnel and Underground Space
Association, ITA Report.
Hoek, E. (2006). Practical Rock Engineering, Consulting Engineer Inc, 102-3200 Capilano Crescent North
Vancouver, British Columbia Canada V7R 4H7.
N240° while left and right sides trend is N160°- N340° directions.

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 Theme 06 -Khezr
Instrumentation andHamid
Mohammadamini, numerical
Samadimodelling

Stability of Tunnel Portal- A Case Study of

Rishikesh Karnprayag BG Railway Line-(Package 6)

KHEZR MOHAMMADAMINI, HAMID SAMADI

1
Master of Rock Mechanics, University of Tehran, kh.mohammadamini@ut.ac.ir
2
Geotechnical Engineer, RKSH-KNPG Railway Project, AECOM India, hamid.samadi@aecom.com
e-mail: hamid.samadi@aecom.com

ABSTRACT: The Rishikesh Karnprayag BG Railway Portal Tunnel No. 1 in India is numerically investigated in
this paper. Two-dimensional and three-dimensional models were conducted using FLAC3D software as finite
difference method as well as Plaxis 2D software as finite element method to simulate portal excavation and tunnel
construction process. Four schemes for tunnel portal stabilization were adopted, including ground improvement,
micro pile, bolt mesh shotcrete, and false portal support. The numerical results show that the maximum transverse
and longitudinal displacements of surrounding rock are 22 mm. In addition, the conclusion indicated that
monitoring had played a guiding role in the study of tunnel stability. In addition, the conclusion indicated that
monitoring has played a guiding role in the study of tunnel portal stability.

Keyword: Rishikesh Karnprayag BG Railway Portal Tunnel No. 1, FLAC3D, Plaxis 2D, Tunnel stability,
Monitoring

1 INTRODUCTION
In recent years, a large number of tunnels have been widely constructed in the fields of subways, highways,
railways, material storage, sewage, and water transport increasing in the developing country to improve the
infrastructures[1]. The tunnel entrance is part of the mined section and adjacent to the cut-and-cover approach. In
which, the buried depth is smaller than two times the tunnel height[2]. And even more important, tunnel portals
are often located in rather weak rock. Also, the ground surface of the tunnel portal section is often inclined to
form slopes[3]. Generally, the quality of rock masses at the entrance section is poor, making it difficult and
challenging to form the bearing arch of the tunnel[4]. The tunnel lining at the entrance section is vulnerable and
easy to crack because of adverse geological factors such as shallow buried depth, asymmetrical load, and soft and
loose surrounding rock [5, 6]. These adverse factors usually work together and present a continuous threat to the
tunnel lining, even during the operation stage, especially when the tunnel is disturbed by rainfalls [7,8],
anthropogenic activities, or earthquakes[7-9]. Structural failure of the entrance section of the tunnel under
asymmetrical loads has aroused attention in the engineering field over the past few decades[10]. For example,
FLAC 3D numerical models were used to reveal the cracking and failure mechanisms of lining for shallow-buried
tunnels[11, 12] or deep-buried tunnels[13] subjected to asymmetrical loads.
Moreover, FLAC 2D numerical models were built and conducted to simulate the deformation and
displacement behaviors of lining for asymmetrically loaded tunnels by considering varying transversal gradients,
surrounding rock grade, and covering thickness[14]. Based on theoretical models, a calculation method of
asymmetrical rock pressure applied on a super-shallow-buried tunnel was proposed[15].
Additionally, the bearing capacity and the most possible crack areas of the lining were analyzed.
Moreover[16, 17], shaking table model tests were performed to investigate the stress characteristics[18], crack
coalescence in the process[19], and associated mechanism[20] of shallow buried asymmetrically loaded tunnels
under the influence of earthquakes. Furthermore, the centrifugal model test was applied to explore and examine
the stress distribution of lining in an asymmetrically loaded tunnel in bedded rock mass[21, 22].
Also, studies have been conducted on rock mass issues such as slide, yielding, and cracking of the entrance
portal. It was reported that the tunnel portal section linings are most easily damaged under seismic loading[23-25].
And it is interesting to note that most of the earthquake damage mainly occurs near the tunnel portals. In particular,
these tunnel portal section linings within the poor geological conditions suffered more severe damage than except
tunnel portal section lining[11, 25]. It was investigated the length of reinforcements in the lining of the tunnel
portal cross-section with analytical and numerical solutions in seismic conditions; Both analytical solution and
numerical results indicated that the seismic fortification length of the tunnel portal section is determined to be not
more than 3 three times of tunnel span, and the rock mass rating also has an important essential influence on the
tunnel stability of the tunnel portal[3].
In this paper, a highway tunnel at the entrance section in southeast India is taken as a case to explore the
(escape and main). The stability analysis and displacements of the tunnel entrance and ground subsidence are
investigated using FLAC3D and PLAXIS2D software and compared with monitoring results. Three-dimensional
finite difference numerical simulations are conducted to analyze the mechanical characteristics of the tunnel

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 Stability of Tunnel Portal- A Case Study of
Rishikesh Karnprayag BG Railway Line-(Package 6)

entrance at the entrance section during the excavation of the portal. Corresponding reinforcement measures are
also proposed to control slope portal and rock mass deformation surrounding and prevent tunnel structural damage.

2 Project Specifications
The 125 km new gauge (BG) railway line between Rishikesh and Karanprayag Uttarakhand is a very
important project in India. It is proposed to extend the line further to connect with Badrinath and Kedarnath
(through future development). Once completed, this project will improve connectivity in Ganga/Alaknanda valley
and boost the economy and tourism in Uttarakhand state. Rail Vikas Nigam Ltd (RVNL) is a public sector company
under the Ministry of Railways. RVNL has appointed “client” AECOM to carry out the detailed design and project
management consultancy for the construction of tunnels, bridges, and formation works from Chainage 73+489 to
83+899 (10.410km) under Package-6.

Figure 1. Portal 1 of Tunnel 11, Rishikesh-Karanprayag Figure 2. Regional geological map of Garhwal
railway project. and Kumauni Himalayas showing the project
location in the red box (Yin. 2006)

2.1 Geological and Rock Mechanical Properties

During the GBR preparation period, the geotechnical investigation data provided by RVNL have been
utilized in preparing the geotechnical baseline report for Package 6. Apart from this, additional data were also
collected during the geological mapping carried out by AECOM in February 2019. Geological Plan and L-section
for package -6 done by Geodata.
From the geomorphological point of view, the project area can be divided into two major units: high
denudational mountains and river valleys. The Lesser Himalayas (1500-2500 m altitude) are separated from the
Siwaliks by the Karol thrust (the main boundary fault). Tunnel-11 of the Rishikesh-Karanprayag project located
in the Jaunsar group, which is part of the outer lesser Himalayan zone, is characterized by superimposed thrust
sheets (NAT) where the Garhwal group overlain the Jaunsar group. Portal-1 of Tunnel 11 in Srinagar is located in
the river terrace material, which is loosely bounded and consists of RBMs in sub-round sizes mixed with sand and
clay matrix. Intermittent outcrops of the Chandpur formation phyllite are also exposed near the highly weathered
portal site. Portal-1 slope is mild.

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Figure 4. Plot of 36 poles of discontinuities in the upper

hemisphere of equal area projection recorded along the
Figure 3. Portal 1 of tunnel-11 location and exposed
portal 1 area of tunnel-11.
rock

River-bearing material (RBMs) has been observed at portal-1 of tunnel-11 due to the presence of river terraces of
the old layer. The discontinuities recorded from the bedrock outcrops exposed between portals 1 and the middle
portions have been mapped together. The bedrock in this area is traversed by three sets of discontinuities (S1, S2,
S3) along with some random joints. Variation in the attitude of the joint sets may be expected locally around the
area due to local folding/faulting.
Table 1. Geotechnical parameters of the discontinuities recorded along the portal-1 area of tunnel-11.
Portal-1 of Tunnel-11 (Ch.73+800 to 74+600)
Discontinuity S1 S2 S3
Dip/Direction 40-50/160-190 50-65/240-260 55-70/335-355
Roughness RP-RU RU-RP RU-RP
Spacing Closely spaced (5cm- Close to wide Close to wide (30cm-
25cm) (15cm-200cm) 200cm)
Aperture T-open(5mm-1cm) T-open(2mm-5mm) T-open(2mm-5mm)
Filling Clay to none None to clay Clay to none
Persistence >10m >3m >2m

Portal-1 of tunnel-11 should be located at 73+800 km. The slope of the portal site is mild, with an overburden
of 18m. Portal-1 of tunnel-11 is situated on the river terrace (T1 level of terrace), which comprises rounded to sub-
rounded boulders and cobblestones of phyllites and quartzites intermixed with silty sand and clay. Bedrock
intercepted deep at this location is thinly foliated, weak to medium strong, moderately to highly weathered, and
grey to buff-coloured phyllites. A borehole (BH-98) has been drilled to optimize the portal location. The
interpreted geotechnical parameters have been indicated in the geological L-section.
Terrace and slide material at the crown level between Ch. 73+800 to Ch. 73+960 includes the portal-1 of tunnel-
11 in the deep river terrace material, followed by the fractured and weathered phyllites. The depth of terrace
material varies between 25 to 56m. This kind of material at the tunnel location may lead to crown failure due to
the heterogeneous nature of the ground and water ingress. Appropriate action must be taken, such as stiff support,
grout injection, and drainage provision to minimize the ground risk.
3 Numerical Modelling
Simulation is conducted in seven steps: creating initial stresses, balancing the model, installing micro pile,
improving ground in two changing of the tunnel, surcharge loading, step-by-step excavation of the tunnel portal
and installation it, making false portal and backfilling on the false portals. The surcharge loading was estimated to
be 20 KN/m. The tunnel portal was excavated in five steps in a sequential excavation. At each stage, after the
excavation of soil, wall beams and rock bolts will be installed, and shotcrete will be applied to the wall. The
geometry of portal-1 is shown in Figure 5.

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a) Longitudinal section of portal NO.1 b) Portal NO.1 of Tunnel-11

c) Geometry of numerical model in Plaxis 2D d) Geometry of numerical model in FLAC3D

Figure 5. Geometry of portal NO.1 of tunnel-11.

As a starting point for this analysis, it has been assumed that the ratio of horizontal to vertical stresses is
equivalent to Jaki equation. According to the ICE value, elastoplastic behaviour was suggested, and Mohr-
Coulomb criterion was considered for the modelling of soil and rock. The location of portal 1 is classified as GT6
due to the presence of soil and overburden mass at this location. The material properties are listed in Table 2. The
micro pile wall is modelled as a pile element with design properties, as mentioned in Table 3.
Table 2. Material Design Properties of Soil and Overburden Mass.
Saturated Unit Dry Unit Youngs
Cohesion Friction Angle
Parameters Weight Weight Modulus E
(kPa) (Φ)
Ground type (kN/m3) (kN/m3) (MPa)
Soil Strata 20 18 10 28 10
Overburden Mass
comprising of
pebbles and
22 20 50 30 50
boulders of
phyllites and
quartzites
Table 3. Design parameters of micro pile.
Design Values Design Values
Properties
(Plaxis2D) (Flac3D)
EA (kN/m) 5.580E6 -
EI (kNm2/m) 2690 -
w (kN/m/m) 2.100 -
poison ratio 0.15 0.15
young’s modulus (Gpa) - 200
outer diameter (mm) 114 114
thickness (mm) 8 8
normal coupling spring stiffness (GPa) - 2.34
shear coupling spring stiffness (GPa) - 97.4

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The support capacity for shotcrete and rock bolts is calculated for various support classes, for portal NO.1.
Support of Class P is selected, and the parameter of this class in the main tunnel is listed in Table 4:
Table 4. Support of Class P.
Anchor
Es (GPa) 200
Φ (degree) 32
Lb (mm) 6000
St (mm) 1000
Sl (mm) 1000
Tb (N) 200000
Shotcrete
Ec (GPa) 30
R0 mm) 3000
tc (mm) 250
ʋ 0.2
Stiffness of bolt 0.016362
Stress in bolt (N/mm2) 0.2
Stiffness of con. 0.907513
Stress in con. (N/mm2) 2.395833
SDA BOLT (mm) 32

4 Design of Portal Slopes

The following stages were followed to simulate the excavation process:
Stage 1: Initial Ground Conditions.
Stage 2: Reset displacements to zero and activate surcharge load.
Stage 3: Activate the plate element and interfaces representing the micropile installation.
Stage 4: Reset displacements to zero, excavate 3m of the soil, and activate the 1st layer of anchors at a depth
of 1.5m.
Stage 5: Excavate up to 6m of the soil; activate the 2nd layer of anchors at 2.5m spacing c/c from the first layer
of the anchor.
Stage 6: Excavate up to 9m depth; activate the 3rd layer of Anchors at 2.5m spacing c/c from the second layer
of the anchor.
Stage 7: Excavate up to 12m depth; activate the 4th layer of Anchors at 2.5m spacing c/c from the third layer
of the anchor.
Stage 8: Excavate up to 13m depth; activate the 5th layer of Anchors at 2.5m spacing c/c from the fourth layer
of the anchor.
Stage 9: Create false portals and backfilling.
The final stage model of the excavation is shown in Figure 6.

a) Ground improvement and traffic load b) First level of excavation

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c) Final level of excavation d) Install false portals and filling

Figure 6. steps of simulating improvement and Excavation.
5 Results and Discussions
5.1 Numerical analysis results
The profiles of displacements, axial forces, shear forces, and bending moments in the micro-pile are shown
in Figure 7 to Figure 8. According to Figure 7(a), the maximum displacement in micro-piles is determined to be
22 mm. This value occurred only at the location of the main in the absence of the beam and anchor.

a) magnitude displacement of micro-pile

b) shear force of micro-pile

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c) axial force of micro-pile

d) bending moment of micro-pile

Figure 7. Results of micro pile conducted by FLAC3D.

Figure 8. Bending moment of micro-pile conducted by Plaxis 2D.

The maximum bending moment in the micro-pile calculated by Plaxis2D and FLAC3D ware 45.23 KN m/m
and 54.33 KN m/ m, respectively. The difference in values is the absence of the waller beams in the Plaxis 2D and
assuming the anchors in elongation. However, the anchors have not been installed in the tunnels, and the intensity
of the difference is great only at the location of the tunnels. The design of bending moments is less than safe
capacity.

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The anchors are designed as plate elements in plaxis2D and as Cable elements in FLAC3D. The distance
between the anchors is 0.9 m c/c, and the maximum force of the anchor is equal to the force obtained from the
model. Maximum axial force in the anchors calculated in Plaxis2D (bottom level) and FLAC3D (side of main
tunnel area) was 193 KN and 182.17 KN, respectively. The difference in values is that anchors are assumed to be
elongated in Plaxis2D software. It can be seen that the anchor is stable and does not fail.

a) Axial force in anchor bolts in FLAC3D

b) Axial force in anchor bolts in PLAXIS 2D

Figure 9. Axial force in anchor bolts.
Maximum ground deformation computed in Plaxis 2D and FLAC3D was 61 mm and 131 mm, respectively.
However, the maximum displacement in the direction of the tunnel axis in Plaxis 2D and FLAC3D is equal to 40
mm and 22 mm, respectively. Also, the maximum displacement in the transverse of the tunnel axis in FLAC3D is
equal to 22 mm, as shown in Figure 10(b).

(a)

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(b)
Figure 10. Deformation contour, a) Plaxis 2D, b) FLAC3D.

The displacement in the direction of the tunnel axis in the final stage of excavation was calculated at 13 mm,
as shown in Figure 11(a), and on the final of filling and installing false portals, it was calculated at 22 mm, as
shown Figure 11(b). Also, the maximum displacement in the escape tunnel was calculated at 13 mm (as indicated
in Figure 11(c)), the maximum displacement in the main tunnel was determined at 21 mm (as illustrated in Figure
11(d)).

a)

b)

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c)

d)
Figure 11. displacement in the direction of the tunnel axis in in FLAC3D.
Due to the presence of a camping beam on the top of the micro-pile, the maximum settlement at the ground
surface is 1 mm, the maximum displacement in the direction of the tunnel axis is approximately 1 mm, and in the
final process of excavation, the displacements are going constant as shown in Figure 12. The reason for the reversal
of movements in the direction of the tunnel axis can be the creation of a backfill on the false portal.

a) Z-displacement

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b) y-displacement
Figure 12. History of displacement.
5.2 Monitoring
Three inclinometers were installed in front of the tunnel entrance to record the behavior tunnel. The location
and time of installation, as well as the depth and measuring interval of each inclinometer, are listed in Table 5.
Table 5. Inclinometer installation details.

inclinometer installation details – portal-1

bottom
Inclinometer No location initial reading date measuring interval
depth
M T (RIGHT
IN 1 19/03/2021 14.5 0.5
WALL)
BETWEEN MT &
IN 3 20/03/2021 18.0 0.5
ET

IN 5 ET LEFT WALL 19/03/2021 18.0 0.5

Inclinometer No. 1 with a length of 14.5 meters was installed on the right wall of the gable of the main tunnel
in Portal-1. Lateral movement started on INC-01, 15-Apr-21. During the excavation of portal, RBM layers (river
bed materials/sand layers) were encountered. Therefore, lateral movement was observed at a depth of 5.5 to 7
meters in INC-01 towards the drilling in (A-Axis). The presence of wall nails and beams in the trench limited the
movement in the direction of the tunnel axis to -17 cm. Numerical simulation in the alignment of the main tunnel
in the transverse direction (B-Axis) showed more displacement.
Inclinometer No. 3, 18 meters long, was installed between the main tunnel and the escape tunnel in Portal-1.
Lateral movement started on INC-03, 15-Apr-21. During the excavation of portal, RBM layers (river bed
materials/sand layers) were encountered. Therefore, lateral movement was observed at a depth of 12.5 to 14.5 m
in INC-03 towards the drilling in (A-Axis). In the transverse direction of the portal (B-Axis), the amount of
displacement was within the allowed range, and lateral displacement was done in both directions. While the
numerical simulation shows the amount of displacement towards the escape tunnel.
Inclinometer No. 5, 18 meters long, was installed on the upper slope of the escape tunnel in Portal-1. Movement
of INC-05 was observed at 0.5 to 7 m depth on 16-Jul-21 towards excavation and roadside (hill) in (A & B-Axis).

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(a)

(b)

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(c)

(d)

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(e)

(f)
Figure 13. Displacements recorded with an inclinometer .(a). Displacement in the longitudinal direction (INC-01)
(b). Displacement in transverse direction (INC-01) (c). Displacement in the longitudinal direction (INC-03) (d).
Displacement in transverse direction (INC-03) (e). Displacement in the longitudinal direction (INC-05) (f).
Displacement in transverse direction (INC-05)

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6 Conclusion
Due to the location of the entrance opening of the tunnel in an urban location and the presence of a highway
above the portal, as well as the geological sensitivity of the project site, an analytical study was carried out to show
the stability of the roof and support system of the portal section of the mountain tunnel in north-eastern India.
Considering the three-dimensional nature of the simulation problem, two-dimensional and three-dimensional
simulations were chosen for numerical simulation. The results of numerical simulations are:
 Improvement and injection of tunnel portal cement slurry was very effective in limiting deformations.
 The integrity of microcandles is very effective in displacements caused by drilling and preventing local
soil rupture.
 By using wall beams, the amount of displacements and load on the anchors had a proper uniform
distribution.
 Implementation of artificial tunnel and creation of embankment before the implementation of tunnel
excavation reduces the amount of displacements and helps to improve the change of places and load on
anchors.
 Simulation of the tunnel portal should be done in three dimensions due to its proximity to the ground
surface and non-uniform distribution of stresses.
 Tooling is very effective for the stability of the portal strengthening and maintenance system due to its
three-dimensional nature and bad geological conditions.
 The maximum settlement under the road was estimated to be 10 mm. This analysis is done considering
land reform. In addition, integration injection improves ground parameters and reduces this settlement
and force in micropile structures.
This study also proves the importance of sensitive geological modelling, field studies, (site investigations)
and their application to numerical models.

7 REFERENCES
Fabozzi, S. and E. Bilotta, Behaviour of a Segmental Tunnel Lining Under Seismic Actions. Procedia Engineering,
2016. 158: p. 230-235.
Hu, Z., et al., Cracking characteristics and mechanism of entrance section in asymmetrically-load tunnel with
bedded rock mass: A case study of a highway tunnel in southwest China. Engineering Failure Analysis, 2021.
122: p. 105221.
Zhang, J., Z. Mei, and X. Quan, Failure Characteristics and Influencing factors of highway tunnels damage due
to the Earthquake. Disaster Advances, 2013. 6: p. 142-150.
Kaya, A., K. Karaman, and F. Bulut, Geotechnical investigations and remediation design for failure of tunnel
portal section: a case study in northern Turkey. Journal of Mountain Science, 2017. 14(6): p. 1140-1160.
Wu, D., et al., Damage evolution of tunnel portal during the longitudinal propagation of Rayleigh waves. Natural
Hazards, 2015. 75(3): p. 2519-2543.
Chiu, Y.-C., C.-H. Lee, and T.-T. Wang, Lining crack evolution of an operational tunnel influenced by slope
instability. Tunnelling and Underground Space Technology, 2017. 65: p. 167-178.
Zhen, S., Contributions of Returned Scholars to Recent Economic Development in Taiwan. Chinese Studies in
History, 2002. 35(3): p. 47-51.
Tao, L., et al., 3-D shell analysis of structure in portal section of mountain tunnel under seismic SH wave action.
Tunnelling and Underground Space Technology, 2015. 46: p. 116-124.
Liu, G., et al., Dynamic Response Simulation of Lining Structure for Tunnel Portal Section under Seismic Load.
Shock and Vibration, 2018. 2018: p. 7851259.
Zhou, X., J. Wang, and B. Lin, Study on calculation of rock pressure for ultra-shallow tunnel in poor surrounding
rock and its tunneling procedure. Journal of Modern Transportation, 2014. 22(1): p. 1-11.
Xiao, J.Z., et al., Cracking mechanism of secondary lining for a shallow and asymmetrically-loaded tunnel in loose
deposits. Tunnelling and Underground Space Technology, 2014. 43: p. 232-240.
Xiao, J.Z., et al., Analysis of mechanical behavior in a pipe roof during excavation of a shallow bias tunnel in
loose deposits. Environmental Earth Sciences, 2016. 75(4): p. 293.
Kong, C., et al., Analysis of the failure of primary support of a deep-buried railway tunnel in silty clay. Engineering
Failure Analysis, 2016. 66: p. 259-273.
Lei, M.-f., et al., Model test to investigate failure mechanism and loading characteristics of shallow-bias tunnels
with small clear distance. Journal of Central South University, 2016. 23(12): p. 3312-3321.
Zhou, Y.-Y., et al., An enhanced equivalent continuum model for layered rock mass incorporating bedding
structure and stress dependence. International Journal of Rock Mechanics and Mining Sciences, 2017. 97: p.
75-98.

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16. Simanjuntak, T.D.Y.F., et al., Pressure tunnels in non-uniform in situ stress conditions. Tunnelling and
Underground Space Technology, 2014. 42: p. 227-236.
Lei, M., L. Peng, and C. Shi, Model test to investigate the failure mechanisms and lining stress characteristics of
shallow buried tunnels under unsymmetrical loading. Tunnelling and Underground Space Technology, 2015.
46: p. 64-75.
Wang, F., X. Jiang, and J. Niu, The Large-Scale Shaking Table Model Test of the Shallow-Bias Tunnel with a
Small Clear Distance. Geotechnical and Geological Engineering, 2017. 35(3): p. 1093-1110.
Wang, Z.Z., et al., Shaking table tests of tunnel linings in progressive states of damage. Tunnelling and
Underground Space Technology, 2015. 50: p. 109-117.
Xu, H., et al., Shaking table tests on seismic measures of a model mountain tunnel. Tunnelling and Underground
Space Technology, 2016. 60: p. 197-209.
Liu, X., et al., Model test and stress distribution law of unsymmetrical loading tunnel in bedding rock mass.
Arabian Journal of Geosciences, 2017. 10(7): p. 184.
He, Y., X. Sun, and M. Zhang Investigation on the Deformation of Segment Linings in Cross-Fault Tunnel
Considering the Creep Behavior of Surrounding Rock during Construction-Operation Period. Buildings, 2022.
12, DOI: 10.3390/buildings12101648.
Wang, W.L., et al., Assessment of damage in mountain tunnels due to the Taiwan Chi-Chi Earthquake. Tunnelling
and Underground Space Technology, 2001. 16(3): p. 133-150.
Geniş, M., Assessment of the dynamic stability of the portals of the Dorukhan tunnel using numerical analysis.
International Journal of Rock Mechanics and Mining Sciences, 2010. 47(8): p. 1231-1241.
Shen, Y., et al., Seismic damage mechanism and dynamic deformation characteristic analysis of mountain tunnel
after Wenchuan earthquake. Engineering Geology, 2014. 180: p. 85-98.

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 Theme 06 - Instrumentation
Kani Ulukan, Rishiand numerical
Kumar Gautam modelling

Use of Strain Gauge Rings for Monitoring Stresses Induced Near Fault or Shear Zone
During TBM Tunnelling in Soft Rocks-A Case Study
KANI ULUKAN1, RISHI KUMAR GAUTAM2
1
RE GEOTECHNICS TUMAS-ALTINOK JV.
2
Sr.Instrumentation Engineer, L&T Construction
e-mail: kani.ulukan@tumas.com.tr

ABSTRACT: An application that exemplifies the use of embedded-type strain meters installed in the segment
in order to monitor the stress increases that could happen in the fault zones or shear zones during the TBM
application in the tunnel opened in the Himalayan Mountains, during the tunnel’s ongoing construction, and in
the phases after the tunnel is put into service. In our project area, 28 fault zones have been detected for both
tubes. The Himalayan geology in this section is mostly schistic phyllite and quartzite phyllite soil types. This
soil is under excessive tension and is much layered due to its structure; it is easily breakable, and it is sometimes
seen with water flow in a structure with excessive irregularities. This application is envisaged in order to
monitor these negative fault zones in the section of the double tube tunnel where TBMs are used for boring and
to detect the squeezing event, as well as to receive a healthy data flow during the maintenance periods in the
future. At the end of this project and in light of the collected data, it will be possible to make a more detailed
assessment of its usefulness in the future.
To ensure safety and efficiency when constructing underground tunnels, it is important to have monitoring systems
in place. These systems help in detecting potential hazards and give early warning of any issues that may arise
during tunneling and during the operating period.
Keywords: Strain Gauges, Strain Monitoring near shear or fault zone, Rishikesh-Karnprayag Rail Line Project,
Geotechnical Instrumentation, Precast Concrete Segment.
1. INTRODUCTION
The Ministry of Railways intends to provide rail connectivity to Badrinath and Kedarnath in the state of
Uttarakhand. The first phase is proposed for connecting Karanprayag with Rishikesh. This 125 km route starts at
Yog Nagri Rishikesh railway station at 380m AMSL and ends at Karanprayag/Sivai station at 825m AMSL. This
railway will consist of many tunnels and bridges. The new broad-gauge line will facilitate freight and passenger
traffic from and to this region. The railway line, which will be the first in Uttarakhand after independence, has
brought much hope and cheer to the people of this small mountain state, as it will provide a cheaper alternative
for not only transport but also the movement of commodities. Once the project is completed, it will boost the
economy of Uttarakhand. The purpose of providing a rail link between Rishikesh and Karanprayag is to facilitate
easy access to pilgrimage centers situated in the state of Uttarakhand, connect new trade centers, develop
backward areas, and serve the population living in the area.
2. PROJECT AREA
In this study, Tunnel T-8 of Pacakge-4 has been discussed. Tunnel T-8 is the longest tunnel in this project.
The project is situated in Pauri Garhwal district in the state of Uttarakhand, India, and is the middle stretch of the
proposed Rishikesh-Karnaprayag Rail Line. It experiences heavy to very heavy rainfall, with an average annual
rainfall of 1900mm. The monsoon period is from June to September. All of the project descriptions are based on
the geological and geotechnical interpretations done between July and October 2019. The general layout of the
project is represented in Figure 1.
3. PROPOSED TUNNELLING WORKS
 Main Tunnel-8 (Up-line) from Change 47+584 to 58+730 (Length – 11.146km)
 Main Tunnel-8 (Down-line) from Change 48+164 to 58+730 (Length – 10.566Km)
 Escape Tunnel from Change 47+504+ to 48+164 (Length – 660m)
 Devprayag yard from Change Km 47+200 to 48+180 (980m)
4. GEOLOGICAL SETTING
The project area is located in the Garhwal region. The Garhwal region of the Western Himalaya, lying
between the Kali River in the east and Sutlej in the west, includes a 320-km stretch of mountainous terrain.
The Lesser Himalaya includes a thrust-bound sector delineated by two tectonic plates: the Main Boundary
Thrust (MBT) to the south and the Main Central Thrust (MCT) to the north. There are two elongate tectonic
belts of sedimentary and metasedimentary rocks separated by an ESE-WNW trending Almora-Dudhatoli
Crystalline zone. The outer sedimentary belt to the south of the crystalline mass is the Krol belt, while the
inner sedimentary belt to the north constitutes the Deoban-Tejam zone, or the Jaunsar-Berinag nappe. The

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general geological map of the study area is represented in figure 2, and the generalized stratigraphically
columnar section is given in figure 3.

Figure-1: Project layout

Figure-2: General geological map of the study area

Figure-3: The generalized stratigraphically columnar section

The project area is predominantly formed by the Chandpur formation of the Jaunsar group, localized
alluvium, colluvium, terrace deposits, and landslide material overlying the bedrock. The area is entirely
composed of low-grade metamorphic rocks from the Chandpur Formation of the Jaunsar Group. The rock
mass is a continuous sequence of light and dark gray phyllite with interbedded light grey and purple

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sandstone and siltstone. The quartz schist is also noticed in a thin band with phyllite. Evidence of fault
zones has been observed in the field based on degrees of fracturing of rock masses, offset and displacement
along the major fault planes, schistosity re-orientation, and morphological elements like saddle and stream
valley orientation. The minor low-angle thrust fault zones have been observed inside the phyllite sequence.
5. INSTRUMENTATION & ACCERORIES
For measuring and controlling stresses in the shear zone during TBM drive in up-line and down-line
tunnels, the following instruments and accessories have been used:
 Embedment Type Vibrating Wire Strain Gauge
 Portable Data Logger (Vibrating Wire Type Readout Unit/Indicator)
 04-Core Cable
 Cable splicing kit
 Switch Box
A brief description of the instruments and accessories is given below.
Embedment Type Vibrating Wire Strain Gauge: The strain gauge (Figure 4) is intended primarily for strain
measurement. It is mainly used in pile foundations, segment lining of underground openings (NATM, TBM),
rafts, concrete structures, etc. The strain gage incorporates the latest vibrating wire technology to provide a digital
readout on a vibrating wire indicator or data acquisition system on the magnitude and distribution of compressive
and tensile strain in concrete structures and other areas of application where strain measurement is required. As a
convention, the ‘+’ sign indicates tensile strain, and the ‘-sign indicates compressive strain. The main purpose of
the strain gauge is to indirectly and quantitatively determine stress and its variation with time. A change in stress
is obtained by multiplying the measured strain by the modulus of elasticity. It can measure strains up to 3000 µ
strain. The gage has a very high compliance, requiring less than 3 kg of force to tension the wire by 3000 µ strain.
All gauges have the vibrating wire pre-tensioned and ready for use.

Figure-4 Embedment Type Vibrating Wire Strain Gauge

General Description: A vibrating wire strain gage basically consists of a high-tensile-strength wire made out of
a magnetic material stretched between two stainless steel cylindrical end blocks. The wire is sealed in a stainless
steel tube by a set of double "O" rings fixed on each end block. This, to a great extent, ensures resistance to
corrosive, humid, wet, and other hostile environmental conditions. Further protection is provided by suitably
sealing the joints with heat-shrinkable tubes. In addition to this, a special water-proofing compound seals the
plucking coil in the sensor assembly from any ingress of water. The tube is flattened in the middle to accommodate
a sensor (coil/magnet assembly) in the constriction. The displacement of the end blocks is always proportional to
the variation in strain. Any change in the strain directly affects the tension of the wire, resulting in a corresponding
change in the frequency of vibration of the wire. The change in frequency of the vibrating wire is accurately
measured by a vibrating wire indicator calibrated to indicate the strain. For a sectional view of the strain gauge,
refer to Figure 5.

Figure-5: Sectional View of Strain Gauge

The Vibrating wire indicator, used in conjunction with the vibrating wire strain gage, will provide the
necessary voltage pulses to pluck the wire and will convert the resulting frequency reading directly into strain
units by means of an internal microprocessor.
Installation Procedure

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Use of Strain Gauge Rings for Monitoring Stresses Induced Near Fault or Shear Zone During
The Vibrating wire indicator, used
TBM in conjunction
Tunnelling with the Case
in Soft Rocks-A vibrating
Studywire strain gage, will provide the
necessary voltage pulses to pluck the wire and will convert the resulting frequency reading directly into strain
units by means of an internal microprocessor.
Installation Procedure
A) Preparation of the sensor before installation
i. The first step is to check the sensor before installation for proper functioning. Check the workings of
the sensor as follows:
a. Measure the coil resistance with a digital multimeter between the red and black leads. It should
lie between 130 and 150 Ω. Determine the resistance at room temperature from the thermistor
temperature resistance and compare it with the resistance-temperature chart provided by the
Instrument Manufacturing Agency.
b. Connect the sensor to the portable vibrating wire indicator and check the initial offset reading in
frequency.
ii. Now wrap the strain gauge and some portion of its wire with clear wrap.
iii. Take a bar of the same material as used for the cage and tie the warped strain gauge on this bar using a
jubilee clamp and cable tie as shown in figure 6.
iv. Take the grouting socket and make a hole in it for passing the cable. Pass the cable through the hole
and keep the folded cable inside the grouting socket so that it can be protected from embedment in
concrete.
Now assembly is ready for installation.
B) Installation in Segmental Lining for TBM Tunnel
i. The concrete segments are casted at the segment factory earlier and then transported to the TBM
tunneling site. An easy way to install the instruments in segments during casting and concrete pouring
is illustrated in figures 7 and 8.
ii. Place the strain gauge assembly at the installation location in the reinforcement cage.
iii. Tie the strain gauge assembly to the bar by using a cable tie or binding wire.
iv. The cable is taken out through the grouting socket by making a hole in socket for further readings.
v. The below pictures in figures 7 and 8 illustrate the mounting of embedment strain gauges before
concreting and their data checking after successful installation, concreting, and curing.
vi. Once the segments are transported from the segment casting factory to the TBM site, they will require
extra care and separate stacking to protect the instruments and their monitoring cable from any kind of
damage or false installation.

Figure-6: Strain gauge Assembly Ready for Installation

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Figure-7: Strain gage installation in cage before concrete poured

Figure-8: Concrete segments after successful installation of Strain Gauge

C) Installation of Casted Segments: When the desired location, where the ring with strain gauge is to be
installed, is reached, erect the strain gauge ring such that the key segment comes in the crown and the
B&H segment comes in the left and right soldier locations. For this project, the desired locations of the
strain gauge ring installation are given in Table 1.
D) Extension of cable: The strain gage is supplied with a standard 1 m length of four-core shielded cable.
Extend the required length of cable by using armored, jelly-filled, shielded four-core cable after the
installation of the ring.
Table 1: location of the strain Gauge rings installation
UP Line TBM Drive (Chainage in Km) Down Line TBM Drive (Chainage in Km)
49+420 2+050
49+450 2+090
49+740 2+375
50+815 3+450
50+990 3+640
51+980 4+635
53+860 6+510
54+950 7+535
55+100 7+750
55+235 7+880
55+490 8+130
56+900 9+540
57+420 10+060
57+940 10+575
Total number of locations for strain gauge installations (UL&DLTBM drives) =28x3=84 No’s.

Portable Data Logger (Vibrating Wire Type Readout Unit/Indicator): The vibrating wire indicator
(Figure 9) is a microprocessor-based read-out unit for use with a range of vibrating wire sensors. It can
display the measured frequency in terms of time period, frequency, frequency squared, or the value of the
measured parameter directly in proper engineering units.

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 Use of Strain Gauge Rings for Monitoring Stresses Induced Near Fault or Shear Zone During
TBM Tunnelling in Soft Rocks-A Case Study

Figure-9: Portable Data Logger (Vibrating Wire Type Readout Unit/Indicator)

Taking readings with vibrating wire indicator
i. Switch on the readout unit.
ii. Connect the sensor wire, mainly the red-black wire of the strain gauge cable, with the red-black clips
of the read-out unit.
iii. Connect the thermistor wire, mainly the green-white wire of strain gauge cable, with the yellow clips
of the read-out unit.
iv. Check the engineering unit, frequency, and temperature on the display as shown in Figure-10 below.
v. A direct engineering unit reading in microstrain can also be checked by setting the channel and taking
the reading on that channel, or an engineering unit can also be calculated from frequency.

Figure-10: Monitoring of data of Strain Gauges installed in concrete Segment.

Junction cum Switch Box: The junction cum switch box (Figure 11) shall be used to provide the connection
between four-core cables leading from the different instruments and the multi-core cable leading to the multiplexer
unit. It shall have a connecting socket for the fly leads from the portable readout unit and a rotary switch to select
individual instruments. Junction boxes shall have an arrangement to connect 10 different instruments, and if
required, two junction boxes shall be used to connect up to 20 instruments.

Figure-10: Junction cum Switch Box

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Splicing Kit & Cables: A cable splicing kit (Figure 11) shall be used to connect the two cable ends for multi-
core cables. Cables shall be used to connect all the installed instruments and provide connectivity for taking
readings. There are different types of cables. The most commonly used cable for instrumentation work is
armoured, jelly-filled, shielded cable.

Figure-11: Cable Splicing Kit

6. INSTRUMENTATION SCHEME
TBM Tunnel monitoring is being carried out by Strain Gauge at the fault/shear zone location. Strain Gauge ring
segments are installed in such a way that key segment (A) would come in the crown portion and B and H would
come in the left and right soldier (Figure 12).

Figure-12: Instrumentation Scheme

7. WARNING LIMITS & FREQUENCY OF MONITORING:
Warning Limits for TBM Tunnel Instrumentation Monitoring

S.No. Tunnel Warning Limits

Alert Alarm Action
1 Strain Gauge 0.001 Strain 0.0014 0.0018
Strain Strain

Frequency of Monitoring

Week Frequency
Frequency of
Monitoring

Week-1 Once Per Day

Week-2 Once in a Two Day
Week-3 & 4 Once Per Week
After Week-4 Once Every Month

8. OBSERVED DATA AND TREND

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 Frequency of Monitoring

Week Frequency

Frequency of
Monitoring
Week-1 Once Per Day
Week-2 OnceInduced
Use of Strain Gauge Rings for Monitoring Stresses in a Two DayFault or Shear Zone During
Near
Week-3 & 4 Once Per Week
TBM Tunnelling in Soft Rocks-A Case Study
After Week-4 Once Every Month

8. OBSERVED DATA AND TREND

As per the GBR, the first three shear zones were coming at CH. 49+420, 49+450, and 49+740. These shear
zones were reached on 19-06-2023, 20-06-2023, and 05-07-2023, respectively.
As soon as we reached these zones, we immediately erected the strain gauge ring segment and started the
monitoring. We continuously observed these locations as shown below, but no major change in strain was
observed. From the graph trend and the monitored data, it could be inferred that the readings are well within the
tolerance limit and can be considered stable or safe.

STRAIN GAUGE AT CH.49+420

SM1- SM2- SM3-
CROWN L.SPL R.SPL Current
ALERT ALARM ACTION
Sl.No. Date Temp.
Current Current Current STRAIN STRAIN STRAIN
°C
Strain Strain Strain
0 19-Jun-23 0.00000 0.00000 0.00000 30.8 0.0010 0.0014 0.0018
1 20-Jun-23 0.00000 0.00002 0.00002 35.5 0.0010 0.0014 0.0018
2 21-Jun-23 0.00001 0.00002 0.00002 35.6 0.0010 0.0014 0.0018
3 22-Jun-23 0.00001 0.00001 0.00002 35.4 0.0010 0.0014 0.0018
4 23-Jun-23 0.00001 0.00002 0.00002 34.8 0.0010 0.0014 0.0018
5 24-Jun-23 0.00001 0.00002 0.00002 34.8 0.0010 0.0014 0.0018
6 26-Jun-23 0.00001 0.00001 0.00001 32.6 0.0010 0.0014 0.0018
7 27-Jun-23 0.00000 0.00001 0.00001 31.5 0.0010 0.0014 0.0018
8 28-Jun-23 0.00000 0.00001 0.00001 31.5 0.0010 0.0014 0.0018
9 29-Jun-23 0.00000 0.00000 0.00001 31.4 0.0010 0.0014 0.0018
10 1-Jul-23 0.00000 0.00001 0.00001 30.8 0.0010 0.0014 0.0018
11 4-Jul-23 0.00002 0.00001 -0.00001 30.1 0.0010 0.0014 0.0018
12 6-Jul-23 0.00002 0.00001 0.00001 30.1 0.0010 0.0014 0.0018
13 7-Jul-23 0.00002 0.00001 0.00001 29.3 0.0010 0.0014 0.0018
14 9-Jul-23 0.00004 0.00000 0.00001 29.1 0.0010 0.0014 0.0018
15 10-Jul-23 0.00004 0.00000 0.00001 28.8 0.0010 0.0014 0.0018
16 11-Jul-23 0.00004 0.00000 0.00000 28.6 0.0010 0.0014 0.0018
17 12-Jul-23 0.00007 0.00000 0.00000 28.8 0.0010 0.0014 0.0018
18 13-Jul-23 0.00007 0.00000 0.00000 28.4 0.0010 0.0014 0.0018
19 14-Jul-23 0.00008 0.00000 0.00000 28.2 0.0010 0.0014 0.0018
20 15-Jul-23 0.00008 0.00000 0.00000 28.3 0.0010 0.0014 0.0018
21 17-Jul-23 0.00008 0.00000 0.00000 28.2 0.0010 0.0014 0.0018
22 18-Jul-23 0.00009 0.00000 0.00000 28.1 0.0010 0.0014 0.0018
23 19-Jul-23 0.00009 0.00000 0.00000 28.5 0.0010 0.0014 0.0018
24 22-Jul-23 0.00009 0.00000 0.00000 28.4 0.0010 0.0014 0.0018
25 25-Jul-23 0.00007 0.00000 0.00000 28.1 0.0010 0.0014 0.0018
26 27-Jul-23 0.00010 0.00001 0.00000 28.2 0.0010 0.0014 0.0018
27 30-Jul-23 0.00011 0.00001 0.00000 27.8 0.0010 0.0014 0.0018
28 2-Aug-23 0.00011 0.00001 0.00000 27.8 0.0010 0.0014 0.0018
29 4-Aug-23 0.00011 0.00001 0.00000 27.4 0.0010 0.0014 0.0018
30 7-Aug-23 0.00012 0.00001 -0.00001 27.6 0.0010 0.0014 0.0018

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STRAIN GAUGE AT CH.49+450

STRAIN GAUGE AT CH.49+450
SM1- SM2- SM3-
SM1-
CROWN SM2- L.SPL SM3-
R.SPL Current
ALERT ALARM ACTION
Sl.No. Date
CROWN L.SPL R.SPL CurrentSTRAIN STRAIN STRAIN
Temp.
Current Current Current °C ALERT ALARM ACTION
Sl.No. Date Strain Strain Strain Temp.
Current Current Current STRAIN STRAIN STRAIN
0 20-Jun-23 0.00000 0.00000 0.00000 31.1°C 0.0010 0.0014 0.0018
Strain Strain Strain
1 21-Jun-23 0.00000 0.00000 0.00001 36.2 0.0010 0.0014 0.0018
0 20-Jun-23
2 0.00000
22-Jun-23 -0.000010.00000
0.00000 0.00000
0.00002 31.1
36.4 0.00100.00100.0014 0.0014
0.0018 0.0018
1 21-Jun-23
3 0.00000
23-Jun-23 0.00000 0.00000
-0.00001 0.00001
0.00001 36.2
36.1 0.00100.00100.0014 0.0014
0.0018 0.0018
4 24-Jun-23 -0.00001 -0.00001 0.00001 34.9 0.0010
2 22-Jun-23 -0.00001 0.00000 0.00002 36.4 0.00100.0014 0.0018
0.0014 0.0018
5 26-Jun-23 -0.00001 -0.00001 0.00001 33.7 0.0010 0.0014 0.0018
3 23-Jun-23
6
0.00000
27-Jun-23 -0.00001
-0.00001
-0.00001
0.00001
0.00001
36.1
32.8 0.0010
0.00100.0014 0.0014
0.0018
0.0018
4 24-Jun-23
7 -0.00001
28-Jun-23 -0.00002-0.00001
-0.00001 0.00001
0.00001 34.9
32.0 0.00100.00100.0014 0.0014
0.0018 0.0018
5 26-Jun-23
8 -0.00001
29-Jun-23 -0.00002-0.00001
-0.00002 0.00001
0.00000 33.7
31.5 0.00100.00100.0014 0.0014
0.0018 0.0018
9 1-Jul-23 -0.00002 -0.00002 0.00001 30.9 0.0010
6 27-Jun-23 -0.00001 -0.00001 0.00001 32.8 0.00100.0014 0.0018
0.0014 0.0018
10 4-Jul-23 -0.00002 -0.00002 0.00000 30.0 0.0010 0.0014 0.0018
7 28-Jun-23
11 -0.00002
6-Jul-23 -0.00003-0.00001
-0.00002 0.00001
0.00000 32.0
29.7 0.00100.00100.0014 0.0014
0.0018 0.0018
8 29-Jun-23
12 -0.00002
7-Jul-23 -0.00003-0.00002
-0.00002 0.00000
0.00000 31.5
29.5 0.00100.00100.0014 0.0014
0.0018 0.0018
9 13
1-Jul-23 9-Jul-23 -0.00003-0.00002
-0.00002 -0.00002 0.00000
0.00001 29.2
30.9 0.00100.00100.0014 0.0018
0.0014 0.0018
14 10-Jul-23 -0.00003 -0.00002 0.00000 29.0 0.0010 0.0014 0.0018
10 4-Jul-23 -0.00002 -0.00002 0.00000 30.0 0.0010 0.0014 0.0018
15 11-Jul-23 -0.00003 -0.00002 -0.00001 28.7 0.0010 0.0014 0.0018
11 6-Jul-23
16 -0.00003
12-Jul-23 -0.00003-0.00002
-0.00002 0.00000
-0.00001 29.7
28.6 0.00100.00100.0014 0.0014
0.0018 0.0018
12 7-Jul-23
17 -0.00003
13-Jul-23 -0.00003-0.00002
-0.00002 0.00000
-0.00001 29.5
28.4 0.00100.00100.0014 0.0014
0.0018 0.0018
13 18
9-Jul-23 14-Jul-23 -0.00003-0.00002
-0.00003 -0.00002 0.00000
0.00000 28.4
29.2 0.00100.00100.0014 0.0018
0.0014 0.0018
19 15-Jul-23 -0.00003 -0.00002 -0.00001 28.4 0.0010 0.0014 0.0018
14 10-Jul-23 -0.00003 -0.00002 0.00000 29.0 0.0010 0.0014 0.0018
20 17-Jul-23 -0.00003 -0.00003 -0.00001 28.3 0.0010 0.0014 0.0018
15 11-Jul-23
21 -0.00003
18-Jul-23 -0.00003-0.00002
-0.00003 -0.00001
-0.00002 28.7
28.3 0.00100.00100.0014 0.0014
0.0018 0.0018
16 12-Jul-23
22 -0.00003
19-Jul-23 -0.00003-0.00002
-0.00003 -0.00001
0.00000 28.6
28.1 0.00100.00100.0014 0.0014
0.0018 0.0018
17 23
13-Jul-23 22-Jul-23 -0.00004-0.00002
-0.00003 -0.00003 -0.00001
-0.00001 28.2
28.4 0.00100.00100.0014 0.0018
0.0014 0.0018
24 25-Jul-23 -0.00004 -0.00003 -0.00001 27.9 0.0010 0.0014 0.0018
18 14-Jul-23
25
-0.00003
27-Jul-23 -0.00004
-0.00002
-0.00003
0.00000
-0.00002
28.4
27.9 0.0010
0.00100.0014 0.0014
0.0018
0.0018
19 15-Jul-23
26 -0.00003
30-Jul-23 -0.00004-0.00002
-0.00003 -0.00001
-0.00002 28.4
27.7 0.00100.00100.0014 0.0014
0.0018 0.0018
20 17-Jul-23
27 -0.00003
2-Aug-23 -0.00004-0.00003
-0.00003 -0.00001
-0.00001 28.3
27.8 0.00100.00100.0014 0.0014
0.0018 0.0018
21 18-Jul-23 -0.00003 -0.00003 -0.00002 28.3 0.0010 0.0014 0.0018
22 19-Jul-23 -0.00003 -0.00003 0.00000 28.1 0.0010 0.0014 0.0018
23 22-Jul-23 -0.00004 -0.00003 -0.00001 28.2 0.0010 0.0014 0.0018
24 25-Jul-23 -0.00004 -0.00003 -0.00001 27.9 0.0010 0.0014 0.0018
25 27-Jul-23 -0.00004 -0.00003 -0.00002 27.9 0.0010 0.0014 0.0018
26 30-Jul-23 -0.00004 -0.00003 -0.00002 27.7 0.0010 0.0014 0.0018
27 2-Aug-23 -0.00004 -0.00003 -0.00001 27.8 0.0010 0.0014 0.0018
28 4-Aug-23 -0.00004 -0.00003 -0.00001 27.7 0.0010 0.0014 0.0018
29 7-Aug-23 -0.00004 -0.00003 -0.00001 27.5 0.0010 0.0014 0.0018

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28 4-Aug-23 -0.00004 TBM Tunnelling
-0.00003 in Soft Rocks-A
-0.00001 27.7 Case 0.0010
Study 0.0014 0.0018
29 7-Aug-23 -0.00004 -0.00003 -0.00001 27.5 0.0010 0.0014 0.0018

STRAIN GAUGE AT CH.49+742

SM1- SM2- SM3-
CROWN L.SPL R.SPL Current
ALERT ALARM ACTION
Sl.No. Date Temp.
Current Current Current STRAIN STRAIN STRAIN
°C
Strain Strain Strain
0 5-Jul-23 0.00000 0.00000 0.00000 32.4 0.0010 0.0014 0.0018
1 6-Jul-23 0.00000 -0.00001 0.00001 35.6 0.0010 0.0014 0.0018
2 7-Jul-23 0.00000 -0.00002 0.00001 35.1 0.0010 0.0014 0.0018
3 8-Jul-23 0.00002 -0.00002 0.00001 34.6 0.0010 0.0014 0.0018
4 10-Jul-23 0.00000 -0.00002 0.00001 33.9 0.0010 0.0014 0.0018
5 11-Jul-23 0.00003 -0.00002 0.00002 33.3 0.0010 0.0014 0.0018
6 12-Jul-23 0.00003 -0.00002 0.00001 32.7 0.0010 0.0014 0.0018
7 13-Jul-23 0.00004 -0.00002 0.00001 32.0 0.0010 0.0014 0.0018
8 14-Jul-23 0.00004 -0.00003 0.00001 31.5 0.0010 0.0014 0.0018
9 15-Jul-23 0.00004 -0.00003 0.00001 31.2 0.0010 0.0014 0.0018
10 17-Jul-23 0.00005 -0.00003 0.00001 30.6 0.0010 0.0014 0.0018
11 18-Jul-23 0.00004 -0.00003 0.00001 30.3 0.0010 0.0014 0.0018
12 19-Jul-23 0.00005 -0.00003 0.00001 30.1 0.0010 0.0014 0.0018
13 22-Jul-23 0.00005 -0.00003 0.00001 29.9 0.0010 0.0014 0.0018
14 25-Jul-23 0.00005 -0.00004 0.00001 29.3 0.0010 0.0014 0.0018
15 27-Jul-23 0.00005 -0.00004 0.00001 29.1 0.0010 0.0014 0.0018
16 30-Jul-23 0.00006 -0.00004 0.00001 28.9 0.0010 0.0014 0.0018
17 2-Aug-23 0.00006 -0.00003 0.00001 28.8 0.0010 0.0014 0.0018
18 4-Aug-23 0.00006 -0.00004 0.00001 28.7 0.0010 0.0014 0.0018
19 7-Aug-23 0.00006 -0.00004 0.00000 28.4 0.0010 0.0014 0.0018

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9. CONCLUSION:
Geotechnical instrumentation has a vital role in evaluating the structural performance of an underground structure.
The long-term performance of an underground structure is monitored by installing structural instruments to predict
and evaluate the safety of the excavated openings. The design judgments may also be evaluated with the observed
data and changes made, if required. In Uttarakhand, the RISHIKESH-KARNAPRAYAG RAIL LINE project
includes a 20.780-kilometer twin tunnel excavated by a single-shield Hard Rock TBM. As per the Geological
Baseline Report for this tunnel drive, 28 major shear zones have been identified. This case study describes the use
of strain gauges to control the stresses in those shear zones during the construction and operation periods. From
this case study, it can be inferred that the designed final lining support is well adequate for bearing the stresses
and loads in fault and shear zones. It is obvious from the Strain Gauge data presented above that no major strain
was observed in the segments, and the segments withstand the stresses of the fault zone very well, but if the
stresses increase during the construction period or during the operation of the tunnel, it can be identified by
monitoring these strain gauges, and precautionary action can be taken.
10. REFERENCES
Encardio-Rite Electronics Pvt. Ltd. Instruments’ Manuals.
Geological Baseline Report of Rishilesh-Karnprayag Rail Line Project Package-4
Benson R.P., Murphy D.K. and McCreath D.R. (1970), “Modulus testing of rock at the Churchill falls
underground powerhouse”, Labrado, Determination of the in-situ modulus deformation of rock, ASTM STP
477, pp. 89 – 116.
Bieniawski Z.T. (1984), “Rock mechanics design in mining and tunnelling”, A.A. Balkema, Rotterdam, 272 pp.
Heuze F.E. and Amadei B. (1985), “The NX-borehole jack - A lesson in trials & errors”, Int. J. Rock Mechanics
Mineral Science & Geomechanics Abstracts, Vol. 16, No. 2, pp. 29-28.
Sharma V.M., Singh R.B. and Chaudhary R.K. (1989), “Comparison of different techniques and interpretation of
the deformation modulus of rock mass”, Proc. Indian Geotechnical Conference (IGC), Visakhapatnam, Vol.
I, pp. 439 – 443.
Manoj Verman (2009), “INTERPRETATION OF TUNNEL INSTRUMENTATION DATA”, IGC, Guntur, India
Mr. Prateek Mehrotra, “Emerging Technologies in Instrumentation and Monitoring of Tunnels & Underground
Caverns”
E. J. Cording, University of Illinois at Urbana-Champaign, “INSTRUMENTATION IN TUNNELS”

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 Themeof07Single
Assessment - Case histories
Shield of underground
TBM Performance Throughstructures
Himalayan Phyllites

Assessment of Single Shield TBM Performance Through Himalayan Phyllites

MAJID TAJIK1, SUMIT JAIN2, MOHAMMAD FOROOGHI3

1
Senior engineering geologist, Tumas India company
2
GM, RVNL, Rishikesh
3
TBM Resident Engineer, Tumas India company
e-mail:majid.tajik@tumas.com.tr

ABSTRACT: This study focuses on the assessment of Single Shield Tunnel Boring Machine (TBM) performance
in the context of phyllite metamorphic rocks found in the Himalaya region. The Q tbm and NTNU models are well-
known prediction models in the field of hard rock TBMs. In this study, the actual performance of two single TBMs
with a diameter of 9.11 m is compared with these models. The study of approximately 3 km of tunnel excavation
in the Rishikesh Karanprayag Broad Gauge Rail Link project (package 4) reveals that in phyllite rocks, owing to
their heterogeneous structure, the correlation between the point load index and the field penetration index (FPI) is
0.19 and among the two models investigated, the NTNU model demonstrates greater consistency with the actual
TBM performance.
1 INTRODUCTION
Tunnel Boring Machines (TBMs) are indispensable in long tunnel projects, such as highway, hydropower,
railway, and metro tunnels, where project schedules and precise boring operations are paramount. The evaluation
of TBM performance is critical to increasing tunnel progress and ensuring cost-effectiveness. In fact, mechanized
tunneling is the reaction between the machine and ground. Hence, the two groups of data are affecting TBM
performance. the first category is related to machine specification and operating parameters and the second pertains
to the ground conditions encountered during boring.
In the context of Himalayan geological conditions, certain experiences pertaining to TBM tunneling have been
documented, wherein the use of TBM was not encouraging (Goel, 2014). This research is based on experimental
methods NTNU and QTBM, which enables the assessment of TBM performance by analyzing operational
parameters and rock mass properties measured during the mining process. This approach allows project
stakeholders to make informed decisions to enhance TBM performance and improve overall project outcomes.
2 CASE STUDY
Rishikesh - Karanprayag Railway Project is a 125 km Broad Gauge new rail line be-tween Rishikesh and
Karanprayag in the state of Uttarakhand (India) that line will facilitate freight and passenger traffic in this region.
Rail Vikas Nigam Limited (RVNL) is a Public Sector Enterprise created by the Ministry of Railways, Government
of India, and takes the responsibility of implementing this Project.
Tunnel 8 (Twin tunnel of lengths 14.61 km each) of Rishikesh-Karanprayag rail-way line is planned to be
constructed by part NATM method on both sides of the portals and by part TBM in the middle part of the tunnels
(Bansal et al, 2023). Two single shield Tunnel Boring Machines (TBM) with 9.15 m diameter (see Figure 1) are
applied for the excavation main tunnel upline of 10,560 meters and main tunnel downline of 10,475 meters.

Fig. 1. Assembly of the Single Shield TBM at the Devprayag portal of the tunnel
The final lining of the tunnels consists of (1+7) universal precast concrete segments with a thickness of 450
mm and an average width of 1700 mm, which are installed by the machine continuously. already, 1865 meters of

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 Majid Tajik, Sumit Jain, Mohammad Forooghi

upline tunnel and 980 meters of downline tunnel have been constructed and this paper evaluates the performance
of TBMs in this section. some TBM and Tunnel characteristics are described in Table 1.
Table 1 Characteristics of TBMs for Upline and Downline Tunnel Excavation.
manufacture Herrenknecht Germany
Model Single Shield TBM S1309A , S1310A
Cutter head Diameter 9.11 m
Disc cutter size / Number 19" / 55
Cutter Rotation speed 0-11 rpm
Shield Length 10.67 m
Nominal thrust 108,619 kN @ 420 bar
Number of Thrust cylinder 42
Ring Building Universal Segment (7 + Key)
Ring Length 1700 mm
3 GEOLOGICAL FEATURES
The project area is located in Garhwal region. The Garhwal region of Western Himalaya, lying between the
Kali River in the east and Sutlej River in the west, includes a 320 km stretch of mountainous terrain.
As per the Himalayan Subdivision, the project is located in the Lesser Himalaya and includes a thrust-bound
sector delineated by two tectonic plates: The Main Boundary Thrust (MBT) to the south and the Main Central
Thrust (MCT) to the north (Valdiya, 1980). the general geological map of the study area is represented in Figure
2. A number of folds like the Garhwal Syncline and Mussoorie syncline are developed in the Lesser Himalaya.
The rocks of Chandpur and Garhwal Group have undergone three phases of folding producing prominent foliation
planes and kink bands are extensively developed on the foliation planes. The phyllite of Chandpur Group of Central
Crystalline appears to be poly-phased deformed and metamorphosed (Tumas India and Altinok JV, 2019).
The tunnel path predominantly includes the Chandpur Formation of the Jaunsar group. The main geological
unit that is observed along the project route is the Chandpur Phyllite (Quarzitic Phyllite and Schistose Phyllite)
rock formation. The Phyllite unit includes quartz veins and the intercalation of quartzite rocks is grey to brown
and grey to greenish, closely to very closely jointed, foliated, slightly to moderately weathered, and moderately
weak to moderately strong.

Fig. 2. Geological map of Lesser Himalaya (Valdiya, 1980)

4 DATA ASSESSMENT
In this project, single shield TBMs are equipped with a real-time data recorder that all boring parameters are
available. activities and delays are also recorded on a shift basis. in addition to existing geological documents such
as GBR and geotechnical reports; Additional data related to ground condition and rock properties was collected
and used through face mapping, muck assessment, core drilling, and laboratory tests. The cumulative progress and
daily advance rate of both TBMs are recorded and are shown in Figure 3 and Figure 4 for comparison.

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 Assessment of Single Shield TBM Performance Through Himalayan Phyllites

Fig. 3. Comparing the cumulative progress of Upline and Downline TBMs

Fig. 4. Comparing the cumulative progress of Upline and Downline TBMs

Rate of penetration (ROP) which is also referred to as penetration rate (PR) and often expressed in m/h and
refers to the linear footage of excavation per unit time, when machine engages the ground and is in production
(Rostami, 2016). in other words, the Rate of Penetration (ROP) can be defined as the ratio of the length of tunnel
excavation (L) to the duration of a single boring stage (t B). This metric quantifies the cutterhead advance in the
rock mass until the commencement of the next operational phase and is expressed in meters per hour, as per
Equation 1. Figure 5 illustrates a comparative graph of the penetration rate measurements obtained from both
TBMs.
𝐿𝐿
𝑅𝑅𝑂𝑂𝑃𝑃 ൌ  𝑡𝑡 (1)
𝐵𝐵

Fig. 5. Comparative Penetration Rate of Upline and Downline TBMs

The penetration rate can be alternatively assessed concerning the indentation depth of the disk cutter for each
revolution of the cutterhead, denoted as mm/rev. In this case, with considering the rotational speed of the
cutterhead (RPM), it can be equivalently expressed in units of mm/min. This parameter is notably influenced by
the thrust force exerted upon the disc cutters, as well as the compressive strength of the intact rock. Its value
increases with the augmentation of the thrust force of TBM, as illustrated in Figure 6. In order to ascertain the
compressive strength of the intact rock, the point load test was employed according to the ASTM- D 5731-02
standard. Specimens in the form of rock cores, blocks, or irregular lumps can be tested by this test method (ASTM,

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2008). in mechanized tunneling, the point load index mainly resulted from irregular specimens that were collected
during mucking.

Fig. 6. Comparative Penetration Rate of Upline and Downline TBMs

In the evaluation of TBM performance, numerous parameters come into play, often necessitating the
utilization of composite parameters for a comprehensive understanding of their interdependencies. This research
focuses on employing the field penetration index (FPI) as a pertinent composite parameter to assess the influence
of point load strength in Himalayan phyllites on TBM performance. The FPI is influenced by factors such as
penetration rate, thrust force, and cutterhead rotation speed, and it is expressed by equation 2 (Barton, 2000).
𝐹𝐹
ሺ 𝑛𝑛
𝐶𝐶𝑢𝑢𝑡𝑡𝑡𝑡𝑒𝑒𝑟𝑟 ሻ
𝐹𝐹𝑃𝑃𝐼𝐼 ൌ 𝑃𝑃𝑅𝑅ሺ𝑚𝑚𝑚𝑚 (2)
𝑟𝑟𝑒𝑒𝑣𝑣 ሻ

As shown in Figure 7, FPI increases with an increase in the Point Load Strength Index, but the coefficient of
determination (R2) for this relationship is 0.19. The main reason for this correlation is the heterogeneity of the
phyllite rock. This can be explained by the fact that the Himalayan Phyllites in this section of the tunnel exhibit a
foliated and highly folded structure, with this foliation serving as a weakness plane. Consequently, I S(50) varies
when specimens are loaded either parallel, perpendicular, or at unknown/random directions in relation to these
weakness planes.

Fig. 7. Relationship between Point Load Strength Index and Field Penetration Index On Himalayan Phyllites
5 TBM PERFORMANCE EVALUATION
In this study, TBM performance has been evaluated through the implementation of an experimental method
inspired by NTNU and Q approaches considering the properties of phyllite. The NTNU model was developed in
Norway based on systematic data from 35 projects and more than 250 km of tunnels. (Bruland, 1998). The
parameters used in this method include the TBM parameters (such as thrust force, rotation speed, cutter spacing,
and cutter size) and rock mass properties (fracturing, drilling rate index, porosity). the penetration rate is estimated
as per equations 3 and 4.
io = (Mekv / M1)b (mm/rev) (3)
Io = io RPM (60 / 1000) (m/h) (4)

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In above equations i0 is basic penetration rate Mekv is the equivalent cutter thrust, which is obtained by dividing
the total thrust force by 55, M1 is critical cutter thrust (necessary thrust to achieve 1 mm/rev), b is penetration
coefficient, I0 is a function of basic penetration and cutterhead rpm.
QTBM model was established on Q-system and suggested to estimate TBM penetration as per equations 5 and
6. The effect of discontinuity orientation, compressive and tensional strength of intact rock, cutter life index (CLI),
quartz content, and rock and machine interaction parameters were considered in this model (Barton, 1999).
𝑅𝑅𝑄𝑄𝐷𝐷Ͳ 𝐽𝐽𝑟𝑟 𝐽𝐽𝑤𝑤 𝑆𝑆𝐼𝐼𝐺𝐺𝑀𝑀𝐴𝐴 ʹͲ 𝑞𝑞 𝜎𝜎𝜃𝜃
𝑄𝑄𝑇𝑇𝐵𝐵𝑀𝑀 ൌ ሺ ሻሺ ሻሺ ሻሺ ሻሺ ሻሺ ሻሺ ሻ
𝐽𝐽𝑛𝑛 𝑗𝑗𝑎𝑎 𝑆𝑆𝑅𝑅𝐹𝐹 𝐹𝐹ͳͲ 𝐶𝐶𝐿𝐿𝐼𝐼 ʹͲ ͷ
ʹͲͻ (5)
PR = 5 × QTBM (-0.2) (m/h) (6)
The actual rate of penetration was determined by dividing the daily advance by the recorded boring time for
both TBMs on a regular basis. During the comparison of the actual penetration rates with the NTNU and Q TBM
models, zero values associated with TBM parameters and rock properties were excluded. Furthermore, necessary
conversions and adjustments were made using theoretical and experimental formulas.
The relationship between the actual ROP and the calculated ROP is shown in Figure 8 and Figure 9 for the
NTNU and QTBM models, respectively. In both models, the average ROP for tunnel excavation exceeds the actual
ROP. This difference is more pronounced in the QTBM model than in the NTNU model. In other words, the NTNU
model exhibits better compliance with the TBM penetration rate in Himalayan phyllites. One of the factors
contributing to variations in the actual penetration rate of the TBM is associated with the thrust force exerted on
the cutters. A portion of this force is allocated to overcome the friction between the TBM shield and the ground,
and the amount of shield friction depends on the geological conditions and the design details of the TBM.

Fig. 8. Relationship between actual and NTNU penetration rate

Fig. 9. Relationship between actual and QTBM penetration rate

6 CONCLUSION
 Based on data obtained from approximately 3 km of tunnel in Himalayan phyllites, a comparison was
made between the results of two most commonly used TBM performance prediction models (i.e. NATM
and QTBM) and actual performance of TBM. The results indicate that the models are applicable in phyllites
rock and need some adjustments to provide a more accurate estimate of TBM performance in the
remaining length of the tunnels.
 While in this part of the tunnel, point load strength and ROP exhibit a direct relationship, it appears that
the heterogeneity of the Phyllites has an impact on their coefficient of determination. To confirm this

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effect, it is essential to conduct more accurate face mapping and rock mass classification during TBM
downtimes. This will allow us to consider the influence of foliation direction on both ROP and point load
strength.
ACKNOWLEDGMENTS
The authors would like to express their gratitude to Larsen & Toubro Company, with special appreciation for
the invaluable assistance provided by the Geology Department in facilitating the collection of essential data.
REFERENCES
ASTM, D-5731 (2008), "Standard Test Method for Determination of the Point Load Strength Index of Rock and
Application to Rock Strength Classifications", American Society for Testing and Materials, West Conshohocken,
PA, USA.
Bansal, V., Patle, S., and Bhardwaj, H.A. (2023), "Design and construction sequence of big crossover cavern in
Himalayan Geology", Proceedings of the ITA-AITES World Tunnel Congress (WTC), 978-1-003-34803-0.
Barton, N. R. (1999), "TBM Performance Estimation in Rock Using QTBM", Tunnel & Tunnelling International,
31(90): 30-34.
Barton, N. R. (2000), "TBM tunnelling in jointed and faulted rock", Crc Press, IS BN 905809 34 17, A. A.
Balkema, Rotterdam.
Bruland, A. (1998), "Hard Rock Tunnel Boring Machine", PhD Thesis, Norwegian University of Science and
Technology (NTNU), Trondheim, Norway.
Goel, R. K. (2014), "Tunnel Boring Machines in the Himalayan Tunnels", INDOROCK, 5th Indian Rock
Conference.
Rostami, J. (2016), "performance prediction of hard rock Tunnel Boring Machines (TBMs) in difficult ground",
Tunnelling and Underground Space Technology, 57, 173-182.
Tumas India and Altinok JV, (2019), "Geotechnical Baseline Report (GBR)", Part B, Package 4, RVNL
Valdiya, K. S. (1980), "Geology of the Kumaun Lesser Himalaya", Dehra Dun, Wadia Institute of Himalayan
Geology, 291p.

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 Tunnel PortalTheme
location07 - Case
fixing histories ofofAdit-05,
& development underground structures
Tunnel-11 Rishikesh- Karanprayag New
Railway Line PKG-06, Srinagar, Uttarakhand

Tunnel Portal location fixing & development of Adit-05, Tunnel-11 Rishikesh-

Karanprayag New Railway Line PKG-06, Srinagar, Uttarakhand

B.N. NARENDRA KUMAR1, MUKESH SHARMA1, HAMID SAMADI2

1
AGM Geology; Nara constructions
Sr. Geologist; Nara constructions
1
2
Resident Engineer; AECOM India
email: geology@naraconstructions.in

ABSTRACT: Tunnel development in India has picked up the pace in the past few years on account of an increased
uptake of projects involving longer tunnel lengths. The growth of tunnelling activity in India is driven by the
robust pipeline of projects in the urban mass transit, railways, roads and highways, hydropower, irrigation, and
water supply and sewerage sectors. A number of landmark and challenging tunnel construction projects are under
execution across the sectors.
Portal construction is one of the most common and important as we as challenging task in the construction
of underground facilities. Collapses, slope failures, surface settlement and significant deformation are usually
associated with portal development depend upon the ground which they developed. Colluvium is Slope debris,
superficial overburden, Slided material, comprises of heterogeneous admixture of rock blocks of variable
dimensions (dia. of few centimetres to meters) with a matrix of sand, silt and clay. This paper will explain us how
the portal of Adit-05 tunnel, Rishikesh-Karanprayag new Railway Line PKG-06, Srinagar, Uttarakhand, was
developed in colluvium ground and what kind of challenges were faced during construction and subsequent
remedial measures taken to keep the portal stable as well the residential buildings situated above the left slope of
portal.
Keywords: Adit, Portal, Tunnel, Slope, Slope Stabilization, instrumentation, deformation, Colluvium.
1. INTRODUCTION
Tunnelling is an integral part of modern infrastructure of Himalayan terrain and is used for a wide range of
applications, including highway, railways and hydro power projects. The construction of tunnels and the
development of tunnelling methods in a country are strongly influenced by the Geographical situation, topography,
existing infrastructure and buildings, environment, natural resources, geology, hydrology, the demand for
underground works, Political, social, economic situation, Legal status and competence of owners, the availability
of qualified workforce, mining traditions and contractual attitude.
As per the tectonic model of Himalayan zone, it is clear that, Himalaya is in a state of persistent compression
resulting continued northward movement of Indian plate towards the Asian plate, and also there is contemporary
from crustal adjustment which is evident from the current seismicity. And the rate of convergence between the
Indian plate and Asian plate has a direct bearing on the seismicity in the Himalayan Region. As we know the
Himalayas consists various kinds of lithologies and witnessed diverse geological, geo technical failures.
Construction of major civil structures in Himalayan region should take utmost care and have finest design
to withstand. Portal development is one of the most challenging task and first stage in the construction of
underground facilities. Collapses, slope failures surface settlement, significant deformation and slope failure are
usually occurring during the construction of portals. The stability of such structure is of extreme importance
because the safety of human lives is directly associated. Excavation of an underground opening always induces
some deformation and stresses in the surrounding material. The amount of induced deformations and stresses is
highly dependent on the nature of surrounding material as well as the depth of the excavation. The transition
between the surface and underground structures are tunnel portals. Tunnel portal excavation becomes much more
challenging when the encountered material is the soft ground of low shear strength such as Colluvium deposits.
Such material offers great resistance to any excavation as their properties are much closer to those of soil.
In order to enhance the stability of underground structure during construction and post-construction, always
there exist two approaches either to increase tunnel support or to change tunnel excavation sequence. The later
one is always given preference because of cost constraints and many other projects factors. Normally, the selection
of a suitable excavation sequence can enable safe and stable excavation in any material
Rishikesh and Karanprayag new BG Railway Line in the state of Uttarakhand is a very important project in
Bharat. The project alignment passes through the rugged, mountainous and steep terrain. Tunnel-11, Package- 6
broadly involves railway formation work and station yard at Dhari Devi, works related to Tunnel no.11 (Chainage
73+800 to 82+800) and, major bridges at Dhari Devi (IN) and Dhari Devi (OUT) and minor bridges work at
station yard at Dhari Devi. Tunnel no.11 is having 4 portals, out of this Portal-1 and Adit-5 are situated in the
urban populated area (as shown in figure 4). The line is proposed to be extended further to connect with Badrinath
and Kedarnath (through future development).

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Rail Vikas Nigam Ltd (RVNL), a public sector undertaking under the Ministry of Railways, has been
entrusted with the work of detailed construction survey, design, engineering and construction of new line as a part
of Northern Railway (NR). The proposed alignment connecting Rishikesh and Karanprayag and passing through
Ganga and Alaknanda river valley is 125 km long with a significant part in tunnels and bridges spanning deep
gorges and valleys. The new proposed BG rail line located between the Rishikesh and Karanprayag in the state of
Uttarakhand in North part of the India.
2. REGIONAL GEOLOGY
Tunnel-11 of the Rishikesh - Karanprayag Project located in the Jaunsar group which is the part of the outer
lesser Himalayan Zone is characterized by superimposed thrust sheets (NAT) where Garhwal group overlain the
Jaunsar group. The area is demarcated by the North Almora Thrust (NAT) in NE part which trends NW-SE,
dipping at 40-50° towards SW. At places much steeper dips are recorded ranging up to 80° towards SW. This
thrust shows variable strike and is undulating. The various rocks of the area belong to the Chandpur formation of
the Jaunsar group and Nagnithak formation of the Garhwal Group. The Chandpur Group consists of Srinagar
Phyllite associated with Kilkaleshwar Meta volcanic. The Garhwal Group is represented by Marora Limestone,
Garhwal Slate and Koteshwar Quartzite associated with Chamdhar Meta basics. The phyletic thrust sheet
(Srinagar Phyllite) is folded into major anticlines and synclines. Two transverse faults of the project area trending
NE-SW and NNE-SSW have been named as the Sirobagad and Khakara faults are associated with North Almora
Thrust.

Figure 1: Regional geological map of Garhwal and Kumauni Himalayas showing the project location in red box
(Yin. 2006).

Figure 2: Geological & Tectonic setup of Himalaya.

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Figure 3: Geological cross section of Himalaya.

3. FACETORS THAT INFLUENCE TUNNEL PORTAL DESIGN AND EXECUTION
1) Site Geomorphology,
2) Geological and geotechnical conditions of the involved rock and soil masses,
3) Slope stability,
4) Surface water (rivers, irrigation canals, etc.) and groundwater,
5) Surface constraints (i.e. buildings, infrastructures, etc.
6) Direction of excavation,
7) Environmental constraints,
8) Safety aspects,
9) Area seismic condition.
4. CASE STUDY OF RISHIKESH- KARANPRAYAG NEW BG RAILWAY PROJECT PKG-06
ADIT-05 PORTAL LOCATION FIXING AND PORTAL DEVELOPMENT
Adit -5 portal is located beside to NH-58 near Srikot, Srinagar, Uttarakhand to access 9.05 km long Tunnel No
11. Total length of this Adit is 271.50 m and portal is 98 m away from NH-58, surrounded by residential houses,
School, drinking water tanks and water supply lines (as shown in figure 5). The junction of Adit intersecting the
main and escape tunnels at the chainage 77+093.65 and 77+053.79 respectively (as shown in Figure 6).

Figure. 4: RVNL Package-6 Alignment View (Source: Google Earth Image).

Figure 5: ADIT-05, RVNL, PKG-6 (Source: Google Earth Image).

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This portal is situated between Portal-01 and Adit-06 (shown in figure 4) to accelerate the rate of excavation
during the construction phase of PKG-06. This Adit has been proposed during the construction phase of T-11,
because of its location as the alignment of T-11 is very close to residential area of srikote and Srinagar. The portal
constructions and development has gained every sengineers attention because of below mentioned key factors:
1) The geology of the portal area is colluvium (as shown in figure 8) i.e. Slope debris, Superficial
overburden, Slided material, comprises of heterogeneous admixture of rock blocks of variable
dimensions (Diameter of few centimetres to some meters) with sand, silt and clay fraction occupying the
inter spaces. The colluvium on reaction with water starts flowing.
2) Portal side and back slopes are developed with single slopes having steep angles of 700 with 21m hight.
3) Surrounded by residential building, Drinking water storage tanks, water supply lines, school building (as
shown in figure 5)
4) Portal is location at the centre of nallah, which get recharged during the time of rainfall/monsoon as well
as runoff water go through on portal 0as shown in figure 7).
5) Local people’s concerns as construction were very close to their residential buildings & NH58.
6) Insufficient length between false portal and NH58 for vehicle movement & ground gradient concerns.
7) Private land concerns

Figure 6: Adit-05 alignment view with respect to Main Tunnel & Escape Tunnel.

Figure 7: Mechanical Excavation for Portal Figure 8: Colluvium ground type at portal slopes
Development

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Railway Line PKG-06, Srinagar, Uttarakhand

Figure 9: L-Section of Adit-05, Showing the Relocation of the Portal.

The Adit-05 is located in a narrow, seasonal nalla having the semi-consolidated colluvium material, which
carries rain water during the monsoon period only. Actual portal location was proposed in phyllite bedrock, around
55m behind to the existing tunnel portal which is completely weathered to moderately weathered, extremely weak
to very weak, fine grained, grey to greyish brown colour, thinly foliated, intensively fractured and crushed Phyllite
(as shown in figure 9). After evaluating the all feasible conditions like the gradient of the approach road from the
NH-58, to protect the residential building at left slope, this portal has shifted to present location. This has
minimised the open excavation, extra land acquisition and avoid the evacuation of residential buildings as well as
saved the much more time in portal construction.
At the new portal location, the portal was developed on colluvium ground, which is Slope debris, superficial
overburden, Slided material, comprises of heterogeneous admixture of rock blocks of variable dimensions (dia.
of few centimetres to meters) with a matrix of sand, silt and clay. Colluvium on reaction with water shows flowing
behaviour. Stabilize of the portal slopes was quiet challenging task. In this type of ground type instrumentation
plays an important role for the monitoring of the stability of the slope. The slopes of portal were at designed at
700.
Hence the ground condition at portal is very poor; class V excavation of the tunnel face was done by
mechanical breaker with the face core support and supported with pipe roofing, Steel Ribs, 30mm thick double
layer wiremesh reinforced shotcrete in portal class support system and the portal area were supported with below
mention support system (as shown in figure 10 and 11).
1) 250 mm thick M30 grade shotcrete.
2) SDA (Self-Drilling Anchors) 32mm Dia. 12m long @1*1 m c/c.
3) Double Layer of wiremesh 6mm dia. 150*150 mm
As the location of the portal is centre of nalla (as shown in fig.7), which get recharged during the rain during
the monsoon period so an embankment was constructed of 3m height ahead of the portal; drainage pipes were
connected to carry the water. The portal was developed with two line staggered pipe roofing 114mm diameter, 12
m long 200mm c/c, with 5m of false portal. The False portal area was backfilled with no-fine concreted to give
stability to the slopes (as shown in figure 10). The other problem associated with the location of this portal is not
having enough working space for the movement of the machinery, for the setup of batching plant, mechanical
workshop, site office etc.

Figure.10: Cross Section and longitudinal view with Support System detail.

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Figure 11: False portal Canopy Figure 12: False portal Canopy after shotcrete

4.1 Geotechnical Instruments Data and Interpretation

Due to land constrain at portal, slopes on both sides are designed with single steep slopes without any berm.
So this exceptional condition has made the mandatory for instrumentation with utmost care in monitoring for
safety of houses concerned. For continuous monitoring of slope stability, the below mentioned instruments are
installed at portal location and residential buildings (as shown in figure 18).
1) MPBX (Multi-point Bore Hole Extensometer).
2) Load Cell.
3) Bi-reflex Targets (3D Targets).
4) Load Cells.
5) PSM (Pavement Settlement Marker).
6) Crack meters.
Few of the BRT’s and PSM’s has shown the deformations and observed surficial cracks on left and back
slopes after construction of 5m false portal and part of adit tunnel. The Stability of left slope was the main concern,
because of four residential buildings and Drinking water storage tanks, water supply lines which supplies water
to srikote town and base Hospital Srinagar was located at upper side of left slope. Gradual increment was observed
in deformations as well as widening of cracks. So to get the better and realistic information additional BRT’s and
PSM were installed (as shown in figure18) on slopes and foot of the house retaining wall. Deformations are
reached at alarm situations in BRT’s and PSM (as shown in figure 22 and 23).

Figure 13: Crackmeter

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Figure 14: Bireflex target Figure 15: Pavement Settlement Marker

Figure 16: Multi-point Bore Hole Extensometer Figure 17: Load Cell

Figure 18: Instrumentation plan of Adit-05 w.r.t houses near portal.

Figure19: Showing deformation along easting of Bi-reflex targets installed at Porta slopes

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Figure 20: Showing Northing deformation of Bi-reflex targets installed at Porta slopes

Figure 21: Showing Elevation deformation of Bi-reflex targets installed at Portal slopes
Bi-reflex target T-10 and T11 shows the maximum deformation (as shown in figure 22) which was the major
concern, there targets were installed at the left slope near the residential buildings.

Figure 22: Bi-reflex target T-10 and T-11 Showing deformation in easing.

Figure 23: Pavement Settlement Marker showing the settlement of ground.

4.2 CORRECTIVE MEASURES.
Gradual increase in deformation at the left slope and back slope of the portal was the major concern of the
safety of residential building near the portal area, one of the houses is 11m form the left wall of the tunnel. The

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Railway Line PKG-06, Srinagar, Uttarakhand

Figure 23: Pavement Settlement Marker showing the settlement of ground.

4.2 CORRECTIVE MEASURES.
Gradual increase in deformation at the left slope and back slope of the portal was the major concern of the
safety of residential building near the portal area, one of the houses is 11m form the left wall of the tunnel. The
most challenging task was to stabilize portal slope and protect the residential houses from any damage due to the
construction of portal and tunnel. As corrective measure to control the deformation 12m long 32mmSDA with
1X1m c/c, 250mm thick dry shotcrete with double layer of wiremesh was suggested between the portal slope and
the house retaining wall. In addition to above said supports, false portal was also extended up to 21 m (as shown
in figure 26) from the existing false portal and backfilled with M15 grade no-fine concrete (as shown in figure 27
and 28).
Execution of the rock bolting and shotcrete was challenging job since the location is 21 m above from the
formation level and does not have any approach road to move men and machinery. So to execute this typical job
a scaffolding structure with C channels was prepared above the left slope and hanged pneumatic ROC with the
help of ropes and chains for the successful operation of the rock bolting (as shown in figure 24). During execution
faced a lot of obstacles like water supply line were punctured by our SDA rock bolts (as shown in figure 25-A &
B) due to that huge water gushed and eroded the sole soil and made the situation vulnerable.so team maintained
good coordination with the location water supply department to overcome this situation. Even though the
execution of SDA Rock bolts at such steep slope is highly Risky and Hazardous job, it was successfully executed
up to the desired length with the help of C channels scaffold structure along with ROC.

Figure. No.24 (A) Rock Bolting Area. (B) Scaffolding structure (C)Rock Bolting with ROC (D) Rock Bolt
after Completion

Figure No. 25 (A&B) Drinking water pipe line punctured during rock bolting in the affected area. (C)
Affected area after completion of rock bolts
After the completion of rock bolting at the slopes, false portal was also extended upto 21m from the existing
false portal and backfilled with nofine concrecte (as shown in figure 26 and 28).

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Figure No. 25 (A&B) Drinking water pipe line punctured during rock bolting in the affected area. (C)
Affected area after completion of rock bolts
After the completion of rock bolting at the slopes, false portal was also extended upto 21m from the existing
false portal and backfilled with nofine concrecte (as shown in figure 26 and 28).

Figure 26: False portal canopy extension plan

Figure 27: Extended False portsl canopy L-section Figure 28: False portal cross section after backfilling
5. CONCLUSION
As everyone know that the construction in Himalayan terrain is difficult and it will be much more challenging
if it is in Himalayan urban residential area. Even though it can be achieved with suitable design and innovative
team efforts. In Adit-5 case it has been observed remarkable reduction in deformation after implementation of
above said all support system with in time and saved the pubic properties as well as time of construction. The
Adit-05 portal area, Slopes and 33.30 m of the tunnel is excavated in Colluvium ground, imposed potentially
instability threats, thus, it was a great challenge to ensure during construction and post-construction safety. The
safety was ensured through the selection of an appropriate sequential excavation design. In addition to the portal
development precaution were taken in tunnel blasting to reduce the blast induced vibration and air born noise as
for as house safety concerned. Multi stage blasting techniques and noise ECO barriers were implemented to protect
the residential building from the blasting.
In Adit-5 case Instrumentation has played a vital role in recognition of upcoming hazard and helped to take
a necessary protection measure in time. Significant deformation was observed at left slope during the construction
phase of portal. After observing deformation corrective measures were taken such rock bolting in the left slope
and extension of the false portal. After the completion of the precautionary measures no deformation were
observed in the portal area as well in the low cover area of tunnel in portal area.
ACKNOWLEDGEMENTS
Thanks to Nara Constructions for providing financial support to this research.
REFERENCES
D Peila, S Pelizza, October 2002, Tunnelling and Underground Space Technology, Criteria for technical and
environmental design of tunnel portals.
Rakesh Khali1, Naveen Bahuguna2, TAI, July, 2021, Seismic Load Consideration in Design of Tunnels and
Tunnel Portals in the Himalayan Region.
Rana Muhammad Asad Khan1, Zaka Emad 2 and Byung Wan Jo1Tunnel Portal Construction using Sequential
Excavation Method: A Case Study.
Geological base Line Report, CA, RVNL, PKG-06, Rishikesh-Karanprayag New BG Railway line Project.
ACM-60603749-PKG6-AD-PD-0114, New Adit6 support system for portal.
ACM-60603749-PKG6-AD-ES-R0, New adit-5 Drainage above portal and 21 m extended portion.

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 A Case StudyTheme 07 - Case
on Mitigating histories
Measures of underground
of a Collapsed structures
Portal Slope: Application of False Tunnel
and Geogrids

A Case Study on Mitigating Measures of a Collapsed Portal Slope:

Application of False Tunnel and Geogrids
SHUBHAM HANDA1, NEERAJ KUMAR DAS1,
ARUN GANGWAR2, 3, ASHOK KR SINGH4
1
Atkins Realis,
Rail Vikas Nigam Limited
2
3
Department of Civil Engineering, Indian Institute of Technology, Roorkee
4
CSIR-Central Institute of Mining & Fuel Research, Regional Research Centre Roorkee
e-mail: shubhamhanda40@gmail.com, shubham.handa@atkinsglobal.com

ABSTRACT: In the present study, an investigation of a collapsed portal slope of T4P1 in the Rishikesh-
Karnaprayag Project has been carried and appropriate mitigating measures have been proposed. The main
objective is to investigate the hydro-mechanical processes and mechanisms involved in portal collapse as well as
to suggest corrective actions which has been taken to predict and prevent such types of complex failures. The
progressive slope failure was initially identified by the development of a tension crack behind the crest of the
portal area outside the ROW. The slope movement was aggravated by the water seepage which stimulated
numerous tensile cracks within the portal area after a protracted period of strong rains which led to the pore water
pressure buildup within the slope. Based on the analyses, short and long-term stabilization solutions were devised,
such as filling the muck at the toe of the slope, constructing touch piles, and constructing a false tunnel. The
construction of the artificial tunnel was created by precisely positioning the muck within a formwork that had been
specifically constructed for the purpose. In addition, layers of geogrid were embedded at strategic intervals within
the muck fill to improve the fill's stability and fortify the structure against the possibility of deformation. The
present paper emphasizes the role of adequate drainage and stabilization designs for minimizing slope failures to
ensure long-term stability.

Keywords: Rainfall induced failure; Rishikesh-Karnaprayag Rail link Project; Tunnel Portal; Himalayas.

1 INTRODUCTION
The under-construction new Broad Gauge (BG) Railway Line connecting Rishikesh and Karnaprayag in
Uttarakhand, India, stands as a crucial infrastructure development project undertaken by the Ministry of Railways.
The primary objective behind establishing this rail link is to streamline access to pilgrimage centers within
Uttarakhand, foster connectivity to emerging trade hubs, uplift underdeveloped regions, and cater to the local
population. The project encompasses 16 tunnels distributed across the alignment, organized into 10 packages.
However, the current study focuses on the instability of the portal slope at the entrance of Tunnel 4, specifically
T4P1 in Package 3. This study will delve into the impact of excessive rainfall on damage of the stabilized portal
slope as well as investigate the effect of the seepage conditions influence the stability of the portal.
The slope stability design is critical in ensuring the utility and maintenance of any project to control factors
like infrastructure integrity, long-term cost, public confidence, etc. Tunnel portals, in particular, often face
challenges related to slope instability and rockfalls [1]. The stability of portal slopes is influenced by various
elements, including topography, geological and geotechnical parameters of the soil or rock masses, surface water
(e.g., irrigation channels), and subterranean or infiltrated water. This study places main emphasis on the impact of
surface and groundwater, identified as a primary factor in the collapse near T4P1, a scenario reminiscent of a
landslide in Malin Village, Pune district, Maharashtra [2]. Du et al. [3] have highlighted that an increase in stress
due to elevated water levels is a significant contributor to translational landslides. Published literature suggests
that landslides are most prevalent on engineered slopes during the construction phase. These incidents are
characteristically triggered by various factors, including rainfall, tunnel construction, unstable lower slopes, and
seismic activity [4, 5]. Unfavourable relative positioning between the tunnel and the unstable slope can exacerbate
the situation, leading to additional stress and deformation of the tunnel structure. According to Holtz [1], these
landslide problems can be avoided if proper drainage design is considered in the planning phase and its
implementation during construction is properly considered.

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Numerous published studies [7, 8] support the notion that landslides are prone to occur during tunnelling
activities. It underscores the importance of incorporating comprehensive drainage strategies and considering them
as integral components of both the planning and construction phases to prevent and manage landslide-related
issues. Considering the above, therefore, the present case study will investigate the occurrence of large tension
cracks associated with portal instability during extreme rainfall events caused by seepage issues.
2 PROJECT DESCRIPTION
The entire new railway line, spanning 125.2 km, is situated within the Garhwal Himalayan range. The planned
route from Rishikesh to Karnaprayag is positioned between Longitude 78°15’E to 79°15’E and Latitude 30°05’N
to 30°20’N (Fig. 1).

Fig. 1 Project Location

Package 3 comprises four tunnels, namely T4, T5, T6 and T7, along with eight tunnel portals. The detailed
schematic plan depicting the portals for package 3 is given in Figure 2. The studied portal, T4P1, has instability
issues associated with water inflow from the Nallah, particularly during the monsoon season.

Fig. 2 Details Schematic Plan of Portals for Package 3

3 LOCAL GEOLOGICAL SETTING
The alignment of Package 3 encompasses major geological groups, including Tal, Krol, Baliana, and Jaunsar
of Lesser Himalaya. The area of portal T4P1 falls within the Subathu formation, a part of the Tal Group situated

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 A Case Study on Mitigating Measures of a Collapsed Portal Slope: Application of False Tunnel
and Geogrids

in the outer lesser part of the Himalayas (Fig. 3a). The Subathu formation is primarily characterized by flyschoidal
rocks. These rocks consist of sandstones, along with shales in green, grey, and purple hues, interspersed with slate
and limestone layers (Fig. 3b).

4 OBSERVATIONS & DISCUSSION

4.1 Initial design of portal T4P1 with slope reinforcement
The portal of T4P1 is located on the south-facing hill slope (Fig. 3a and its enlarged zoom in Fig. 3b) and was
designed with berms having installed Bi- Reflective Targets (BRTs) to measure deformation within the slope (Fig.
3c). In Fig. 3(d), a photographic depiction of the tunnel portal is presented. The green line in the figure delineates
the Right of Way (ROW) allocated for construction purposes suggesting the constraint of ROW. Adjacent to the
portal, buildings and agricultural terraces are situated in close proximity (Fig. 3d). The portal slope is characterized
by the debris-type materials having angular to subangular rock fragments embedded into the clayey silt underlain
by decomposed purple shale (Fig. 4). Therefore, there is a notable potential risk of seepage due to ongoing
cultivation activities in the agricultural terraces located uphill from the tunnel portal.

Fig. 3 (a) Geological map of the area, (b) Zoomed portion of portal area, (c) Designed Portal slope T4P1 (d)
ROW at the Tunnel portal

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Fig. 4 Classification of soil in LHS of alignment

A schematic diagram detailing the alignment of the tunnel portal with benching and installed supports is
given in Figure 5(a). Meanwhile, Figures 5(b) and (c) portray two cross-sections chosen for the installation of the
supports in the pre-failure portal design. The slope angle is designed in 4V:3H with 7m to 10m height having 3 m
berm width as shown in Figure 5(b) and (c), respectively. Figure 5(c) specifically outlines the placement of the
drainage system and the implementation of self-drilling anchors, double-layer wire mesh, and shotcrete for
ensuring portal stability along the designated cross section of T4P1. As the upper portal area is characterised by
quaternary deposits, self-driving anchors (SDAs) having diameters of 32mm were employed for reinforcing the
slope. The upper berm utilized 12m long SDAs, while the lower berm employed 18 m long ones, both spaced at
1.5m ×1.5m intervals. In areas where decomposed shale was encountered, 6m long fully grouted rock bolts (SDAs)
with a diameter of 32mm were utilized, arranged in a pattern of 2m × 2m spacing. Drainage holes were strategically
placed at 3m × 3m intervals. To fortify the slope face, shotcrete, reinforced with a double layer of wire mesh, was
spread.

Fig. 5 Initial portal slope design before the development of cracks

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4.2 Failure characteristics of portal slope at T4P1

Typically, landslides in soft ground manifest in three primary forms: shallow slope failure, toe and base failure.
However, at T4P1, the portal failure exhibits a distinctive deep-seated failure with complex characteristics,
including differential slope movement and the presence of wide tension cracks. These cracks are evident in various
locations, both in the slope crest area and in the upper cultivation lands beyond the ROW (Fig. 6a-d). Initially,
these cracks started to occur in low rainfall periods suggesting the effect of water infiltration from nearby Nallah
and local cultivation practices. Figure 6 illustrates these tension cracks at different locations, characterized by
noticeable width, prominently observable on the ground surface's apex. Consequently, these cracks induce lateral
deformation, mimicking the movement or separation of two soil masses in opposing directions, as depicted in
Figure 6(d).

Fig. 6 Cracks Developed at Site T4P1

The deformation recording instruments (BRT) have been consistently monitoring the deformation/movement
within the portal slope since March 24, 2022. After December 24, 2022, the BRT readings have indicated a
substantial increase in deformation. This is likely attributed to the buildup of pore water pressure within the soil
mass, resulting in a significant increase in shear stresses that have caused lateral cracks in the shotcrete and
breakage of the rock bolts along the face of the side slope (Fig. 7a-e). Consequently, prior slope stability
improvement efforts have been rendered ineffective due to the excessive pore water pressure generated by the
nearby Nallah. The movement of the soil mass along the slope direction is pronounced, adversely impacting overall
slope stability. The excessive shear stresses generated by water pressure have led to the breakage of rock bolts
(Fig. 7e) and the development of numerous cracks on the slope face.

Fig. 7 (a-d) Separation of reinforced shotcrete at the crest of portal (e) Breakage of rock bolt
4.3 Monitoring of portal slope movement
Bi-reflective targets are commonly used to track highly sensitive parameters that undergo significant changes
prior to any failure, employing the light reflection principle to measure strain. These targets are utilized in
monitoring deformation in tunnelling projects or the displacement/ movement of slopes. In construction projects,
the incorporation of instrumentation and monitoring is crucial for ensuring the safe and cost-effective adaptation
of the design. If the measured values deviate from the predicted or design values, adjustments must be made during
the construction phase to ensure proper implementation. At the portal slope of T4P1, BRTs were installed to
monitor slope movements (Fig. 8a). Figures 8a & b illustrate the placement of BRTs at the tunnel portal as well as
its adjacent side slopes.

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Fig. 8 (a) Location of BRT on tunnel portal, (b) Deformation at BRT-29, (c) Deformation at BRT-31, (d)
Deformation at BRT-95.
The deformation data measured by BRT sensors on the slope is depicted in Figure 8b-d. Initially, there was
almost constant variation in the movement, but a notable spike was observed after December 19, 2022. The likely
cause behind this escalated slope deformation is the development of cracks in the slope and shotcrete, attributed
to increased shear stresses resulting from excessive increase in pore water pressure (Fig. 9a, b). This excessive
increase in pore water pressure has compromised the designed shear strength of the support, leading to a reduction
in the shear resistance of the portal slope mass despite the presence of the designed support system (Fig. 9c, d).
The excessive pore pressure from water inflow originating from the Nallah is the main contributing factor which
is situated outside the ROW on the N-E side of the slope. As evident in Figures 8c-d, the deformation surpasses
the prescribed limit of 50 mm on December 20, 2022, and continues to increase until the collapse of the support
system. Notably, the rock bolts experience an out-of-slope movement due to the washing away of grout along with
the soil mass (Fig. 9e-f).

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Fig. 9 (a-b) Development of cracks on face of LHS portal slope, (c-d) Damage in shotcrete, (e-f) Out-of-slope
movement in rock bolts
4.4 Stabilization measures for the portal slope T4P1
The stabilization measures implemented at the portal slope of T4P1 can be categorized into two types: short-
term stability and long-term stability measures. Short-term stability measures proved to be very useful during the
construction period as they provide immediate stability. To provide short-term stability to the portal slope at T4P1,
muck was filled to a height of 9 m and a width of 10 m to provide support to the toe of the slope in the LHS section.
Initially, the plan involved installing touch piles in both double-lane and triple-lane sections (Fig. 10). However,
during the installation of the touch pile in the double-lane section, vibrations from the rig resulted in the opening
of cracks in the slopes, causing deformation of 60 mm within one day after the first boring of the pile.
Consequently, it was proposed to fill muck to support the toe of the LHS slope in the double-lane section, while
installing touch piles safely in the triple-lane section, which was farther away from the Nallah. Additionally, some
extra support was provided by placing the muck alongside. The touch piles were strategically placed to stabilize
the side slope in the triple-lane section, with a length of 25 m (Fig. 10).

Fig. 10 Plan and photographic view of T4P1 showing location of double lane section and triple lane section
As far as achieving the short and long-term stability of the portal slope at T4P1 is concerned, the muck
placement has been done along the double-lane section. In the initial construction phase of the portal stabilization,
a combination of geogrid and compacted fill, each layer measuring 300 mm, was progressively applied, ultimately

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reaching a height of 9 m. Ribs were erected, and reinforced fill was subsequently placed along the boundary. The
false tunnel was completed, accompanied by the placement of compacted reinforced fill in 300 mm layers above
the crown section of the portal. Reinforced fill shall be extended up to 6 m above the crown. Geogrid reinforcement
with compacted fill denoted as Tier-1 and having a height of 6 m, was implemented. Tier 2, standing at a height
of 4 m, comprised compacted fill without geogrid reinforcement. Tier 3, with a compacted fill height of 5 m,
commenced at the intersection of the triple and double line sections. Tier 4, also having a height of 5 m, shall be
started at the end of the double-line section. The construction details of the tunnel portal T4P1, along the
longitudinal section, are depicted in Figure 11.

Fig. 11 Different stages of backfilling during the construction of false portal

It is also suggested to use proper casing (MS Pipe sleeves) while drilling and subsequently fill with bentonite
to prevent the borehole from collapsing, while the casing shall be detached at the time of grouting during the
installation of SDA bolts in the poor strata. Additionally, it is required to use a spacer during the installation of
SDA bolts to locate the bolt in the middle of the borehole and to have a grouting cover around the bolts. The
minimum pressure of grouting to be used during the installation of the SDA bolts should be 10 bar.

3 CONCLUSIONS & SUGGESTIONS

Upon conducting on-site evaluations of the tunnel portal failure at T4P1, it was observed that the side slope
has exhibited cracks attributed to seepage originating from the nallah and irrigation land on the crest side. It is
imperative to implement a comprehensive drainage design to address the slope failure-related challenges at this
portal. Based on the study, some observations and recommendations to mitigate the slope instability at tunnel
portal T4P1 are as follows;
 A comprehensive drainage strategy is indispensable for preventing and alleviating the drainage-related
concerns observed in the portal slope, particularly in light of the cracks caused by seepage from the nallah
and upslope cultivation land outside the ROW.
 It is observed from the study that the excessive water seepage in the portal area during extreme rainfall
events caused degradation in the performance of the support system and corrosion of supporting elements,
which ultimately instigated large deformations.
 Immediate grouting of Self Drilling Anchors (SDAs) shall be done. As a general guideline, the drainage
hole length should be 1.2 to 1.5 times that of the bolt length to prevent water seepage from rock bolts and
increase the efficiency of drainage holes.
 In instances of water seepage through the slope, it is crucial to clean drains properly. If cracks develop, the
recommended solution is appropriate grouting. Designing and installing drainage holes to relieve pressure
buildup at shotcrete is advised.
 Caution should be exercised during the installation of touch piles, as vibrations from the rig can potentially
damage the slope. Minimizing or controlling vibrations is essential during pile installation.

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and Geogrids

 Installing touch piles in the triple section to stabilize the slope is a viable solution for stabilizing the tunnel
portal area.
 Backfilling, reinforced with geocells for confinement, along with the use of geogrid, enhances strength
mobilization between the geogrid and improves soil resistance. Reinforced compacted fill is recommended
above the crown to reduce stress levels.

ACKNOWLEDGEMENTS
The authors would like to acknowledge Rail Vikas Nigam Limited (RVNL) for the support provided during
the Site visit in T4P1 and thankful for providing the necessary monitoring data for analysis.

REFERENCES
M. Genis, Assessment of the dynamic stability of the portals of the Dorukhan tunnel using numerical analysis,
Elsevier, (2010).
T.N Singh and R. S. , Investigations and stability analyses of Malin village, Natural Hazards, (2016).
Y. Du and M. Xie, Stepped settlement: A possible mechanism for translational landslides, Elsevier, (2019).
S. Minglei and L. Honhwei, Deformation and Failure Mode Analysis of the tunnel Structure Based on the Tunnel-
Related landslides Cases, Frontier in Earth science, (2022).
W. H., Research on Type of TunnelLandslide System and Tunnel Deformation Model, Chin. J. Rock Mech. Eng.,
pp. 3632-3642, (2012).
R. D. Holtz and R. L. S. , Stabilization of Soil Slopes,” in Landslides: Investigation and Mitigation, pp. 439-474,
(1996).
M. &. C. B. Chatziangeloy, Landslides and tunneling geological failures, during the construction of Thessaloniki-
Kavala section of Egnatia highway in N. Greece., Int J Geol. , vol. 4, pp. 48-57, (2010)-.
C. L. Y. Z. J. Z. J. Y. T. F. Pan Li, Construction practice of landslide during tunneling in hilly topography, vol.
104, pp. 1234-1241 (2019).

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 Theme 07 - Case histories
Rishi Sharma,ofPooja
underground
Swami structures

Predicted Geological Appraisal and Actual Geological Conditions - A Case Study in

Connection with Broad Gauge Rail Link between Rishikesh and Karnaprayag,
Uttarakhand, India
RISHI SHARMA1, POOJA SWAMI2
1
Turkish Engineering Consulting & Contracting – TUMAS India Pvt. Ltd.
2
Turkish Engineering Consulting & Contracting – TUMAS India Pvt. Ltd.
e-mail: rishi.sharma@tumas.com.tr

ABSTRACT: The success of tunnelling in Himalayan region depends on adequate available geological
information and geotechnical investigations. Properly planned investigations give higher degree of confidence on
the anticipation & give least surprises during execution of tunnel projects. The tunnelling through youngest folded
mountain is a huge challenge due to complex geological condition having thrust / fault zone, lithological contact,
and multiple shear zones.
The precision of anticipated geological condition along the tunnel alignment plays a very important role for
planning & execution of the tunnel projects. Anticipating the geological conditions carefully through geological
mapping / collection of field data and geological/geotechnical investigation are key for the successful completion
of project with least obstacles/surprises.
In this paper, importance of geological investigations, comparison between the anticipated and actual ground
conditions has been discussed along the Construction Adit -6 (1021m), Adit 6A (421m long) & Adit -7 (622m) in
Connection with New Single Line Broad Gauge Rail Link between Rishikesh and Karnaprayag (125km) in the
State of Uttarakhand, India. It also highlights the predicted and actual encountered Q-value/rock class, ground
water conditions, and expected weak zones.
1 INTRODUCTION
Indian Railways is planning a 125 km long brand-new broad-gauge rail line in Uttarakhand to make train
journeys comfortable and convenient for the traveller. This broad-gauge railway line will boost tourism, trade,
and connectivity between five districts of the state.
84.24% (105.47 km) of the total length 125.20 km comprises of tunnels. The Rishikesh - Karnaprayag broad
gauge Rail line will have 12 new railway stations, 17 tunnels as well as 16 bridges.
In the proposed project alignment passes through the rugged, mountainous and steep terrain and project
alignment sited between the Srinagar and Rudraprayag. Three number of construction adits were proposed to
facilitate the project alignment.
Construction of Adit 6, 6A & 7 was utmost important as it would increase number of faces for construction
of the main and escape tunnel works which would play an instrumental role in successful and timely completion
of the work for package 6, 7A and 7B. To access the geology along the tunnels, detailed geological mapping and
traversing was performed along the project alignment along with desk study of geological maps, previous case
histories etc.
2 REGIONAL GEOLOGY
The area consists of metapelites, metapsammites and carbonate rocks which are associated with metabasics
along the Gneiss. The lithological units in area are folded into broad anticlines and synclines with recumbency,
which in turn is displaced along the major shear plane (i.e., North Almora Thrust= Dharkot Thrust). Subsequently
during the post thrusting time, the metamorphosed and deformed rocks again witnessed folding movements as a
result of which the thrust planes were folded juxtaposed over one another. The end of the structural play was
characterised by prevalence of erosional agencies which designed the present configuration of the area with the
formation of the windows and klippen (i.e., the window at Sumari Jaletha etc. and the klippe at Uphalda). The
lithotectonic setting of the area is given in table.
Table 1 Lithotectonic setting of project area
Tectonic Units Rock Units
-------------------------------------------- Thrust (Garhwal?) -----------------------------------------
Pauriphyllite Chlorite-Sericite-Quartz Phyllite, well folded with development of
(Adit 6) strain slip cleavage
---------------------------------------------North Almora Thrust--------------------------------------
Nagthat Quartzite Quartzite: Ferruginous, occasionally schistose and gritty.
(Adit 6A & 7) Slate: Ferruginous greyish black slate with slaty cleavage
Limestone: Bluish-grey, microcrystalline, dolomitic

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with Broad Gauge Rail Link between Rishikesh and Karnaprayag, Uttarakhand, India

2.1 Pauriphyllite
The Pauri phyllites bounded by Garhwal thrust and North Almora Thrust. The greyish green to dark green
phyllite strikes NW-SE and is characterized by moderate to high angles of dip towards SW. It is folded and
schistose near Srinagar. The folds are open and angular too. It is compact and slaty near Khola. A metabasic in sill
form (upto 5m thick) traverses the phyllite exposed 3 Km SE of Srinagar. The pauri phyllite comes in tectonic
contact with ferruginous Nagthat Quartzite at a distance of 4.5 km SE of Srinagar. The adit 6 is located in pauri
phyllites.
2.2 Nagthat Quartzite
Barring small outcrop in the form of a window towards SE of Srinagar the quartzite occupies the northern
half of the area. The regional strike of the quartzite is WNW-ESE and it dips towards SSW. The quartzite can be
sub divided into three types: massive, gritty, schitose. The massive variety white to pink and is mainly exposed
away from the thrust plane near Gulab Rae and Rudraprayag. This quartzite at Pharasu contains rounded and sub-
rounded to elongate pebbles (quartzitic) measuring 25x5cm. The quartzite becomes gritty at some places
especially near Kaliasaur and Khankra and NE of Rudraprayag. The schitose variety is confined along the North
Almora Thrust near Koteshwar (6 Km NE of Srinagar). The Adit 6A and 7 are located in this quartzite.
2.3 Metabasic
The metadolerite and epidiorite are compact in their core parts (rich in pyroxenes and plagioclase) and grade
into foliated type towards their marginal parts with the occurrence of hornblende, chlorite and epidote. The coarse
grained metadolerite dyke is exposed at Bhainskot. An extensive bend about 250 mts green, highly massive
metadolerite is exposed at Pharasu and extend across the Alaknanda River. It is highly jointed and is foliated at
the margins. A number of quartz veins running parallel to the foliation traverse the rock. A small band is exposed
near Dhari, Epidioritic sill is exposed at Khankra and Rudraprayag.

Fig. 1 Geology and structure of the Srinagar–Garhwal area with location of some of the outcrops showing kink
bands. (S. Shekhar et al., 2011)

3 SEISMICITY
Uttarakhand Himalaya is one of seismically active regions and have experienced earthquake since times
immemorial. The regions have also experienced tectonic movements. This is evident from the thrusts and faults
present in and around the state. Two regional tectonic features in Uttarakhand, which have earthquake potential
are the MCT and MBT. In fact, these features are present all along the Himalayan tectonic features.
As per seismic zoning map of India, as incorporated in Indian standard provision for earthquake resistant
design of structures IS: 1893 Part I 2002 general provision and buildings, the project area has been assigned to
seismic zone IV and V.
4 ANTICIPATED GEOLOGY ALONG TUNNELS
4.1 Construction Adit-6
A 1021m long construction adit 6 was proposed for construction of main tunnel T-11 on left bank of nala.
The direction of tunnel is N 165°.The portal and tunnel alignment mostly covered with thin slope wash material.
The slope wash material consists of boulder and gravels of phyllite mixed with silty soil. The overburden depth is
approximately 2 to 5 m. The maximum and minimum rock cover is 192m and 70m respectively. The portal tunnel
is considered up to 35.0m length and passing through 19m rock cover.
The rock outcrop of foliated phyllite also present near the road and in dry nalas which were situated upstream
and downstream of tunnel alignment. The phyllite rock mass is slightly fractured in nature belonging to Chandpur

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Formation of Jaunsar Group. The slightly folding has been also noticed in phyllite which is above the road. The
rock mass is dissected by five numbers of joint sets.
The tunnel passing through slightly fractured phyllite belonging to Chandpur Formation of Jaunsar Group.
Based on the Q-system, the rock mass is fair in condition and poor to very poor patches of rock mass have been
also encountered, the seepage condition is dry to dripping in condition. The pre grouting has been also proposed
for improve the rock quality designation (RQD) and to control the seepage condition. The probe holes have been
also kept in provision for pre-assessment of rock mass conditions.
During pre-construction stage, the rock mass conditions has been anticipated along the tunnel. The
anticipated rock class is given in below table.
Table 2 Anticipated Rock mass classification based on Q-value
50- 240- 550- 660- 1050-
Chainage(m) 0-35 35-50 1000-1050
240 550 660 1000 1075
Phyllite
with Slaty
Rock Type Foliated Phyllite
slightly Phyllite
folding
Corrected
1.1 2.89 6.67 7.78 5.56 6.44 10.00 1.56
Q-Values
Portal
Remark Tunnel Junction
Tunnel
Rock Class V IV III II III IV
4.2 Construction Adit-6A
A 572m long Adit 6A was proposed for construction of main tunnel T-12 on right bank of nala and left bank
of Alaknanda River. The direction of tunnel up to 326m is N107° and from 326 to 618.08m is N159°. The portal
area is covered with very thin slope wash material. The mostly rock outcrop is also present in this area. The tunnel
alignment mostly covered with thin slope wash material. The slope wash material consists of boulder and gravels
of quartzite mixed with silty soil.
The overburden depth is approximately 2 to 5 m. The quartzite rock outcrop also presents along the road and
portal area. The maximum and minimum rock cover is 211m and 19m respectively. The portal tunnel is considered
up to 25.0m length and passing through 23m rock cover.
The anticipated rock mass is jointed and medium to strong quartzite with intrusive bodies of Meta dolerite.
The seepage condition is dry to dripping and medium inflow anticipated. Flowing condition has been also
anticipated at the contact with quartzite and meta-dolerite rock. The pre grouting has been proposed for improve
the rock quality designation (RQD) and to control the seepage condition during construction. The probe hole has
been kept in provision during construction for assessment of rock mass before advancement of face.
Based on the Q-system rock mass classification, the rock mass is fair to poor and fair condition of rock mass
has been also anticipated. During pre-construction stage, the rock mass conditions has been anticipated along the
tunnel which is given in below table.
Table 3 Anticipated Rock mass classifications based on Q-value
Chainage (m) 0-25 25-125 125-200 200-260 260-500 500-560 560-572
Contact
Lithology Quartzite Intrusive (meta-dolerite)
Zone
Q-Value 0.75 5.00 3.58 3.85 0.73 5.78 1.16
Corrected Q- 0.38 Tunnel 0.58
Values
Remark Portal Tunnel Tunnel Tunnel Junction
Rock Class V III IV V III V

4.3 Construction Adit-7

A 672.7m long adit 7 has been proposed for construction of main tunnel T-13 on left bank of Alaknanda
River. The direction of tunnel is N120° and N148°. The tunnel alignment passing through the steep left bank of
Alaknanda River which is mostly rocky and at places covered with slope wash material. The slope wash material
consists of boulder of quartzite mixed with silty soil. The anticipated overburden depth is approximately 2 to 5 m.

3
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 Predicted Geological Appraisal and Actual Geological Conditions - A Case Study in Connection
with Broad Gauge Rail Link between Rishikesh and Karnaprayag, Uttarakhand, India

The portal is located at well exposed strong, fresh to slightly weathered, slightly fractured and moderately
jointed Quartzite. The tunnel alignment is also covering with thin slope wash material and exposed rock outcrop
has been also observed along the adit alignment, portal area and along the road.
The tunnel is passing through quartzite and intrusive metadolerite rock mass. The rock mass is strong to very
strong, slightly fractured in nature belonging to Nagthat Formation of Gahrwal Group. The rock mass is dissected
by four numbers plus random of joint sets, but three joint sets are prominent. The maximum and minimum rock
cover is 451m and 28.60m respectively. The portal tunnel is considered up to 30.0m length and passing through
25m rock cover.
The anticipated ground water condition is dry to dripping. Flowing condition has been also anticipated due
to one nala running across to alignment. The pre grouting has been proposed for improve the rock quality
designation (RQD) and to control the seepage condition during construction. The probe hole has been kept in
provision during construction for assessment of rock mass before advancement of face.
Based on the Q-system rock mass classification, the rock mass is poor to very poor in condition and fair
condition of rock mass has been also anticipated. The anticipated rock mass condition may be varying during
construction.
The anticipated rock class is given in below table.
Table 4 Anticipated Rock mass classifications based on Q-value
Chainage (m) 0-25 25-150 150-220 220-350 350-450 450-662 662-672.76
Lithology Quartzite
Q-Value 0.8 5.4 3.3 3.9 3.3 5.8 1.2

Corrected Q- 0.38 Tunnel 0.39

Values
Remark Portal Tunnel Tunnel Tunnel Junction
Rock Class V III IV III V

5 ACTUAL GEOLOGY ALONG TUNNELS

5.1 Construction Adit-6
A 1021m long tunnel has been constructed to facilitate construction of main tunnel. The entire tunnelling
has been done with full face. The rock mass of fresh to slightly weathered and thinly foliated phyllite with mica
content has been encountered. The strike of strata is dipping from left to right wall is between 160° to180° and
dip amount is 70° to 80°. Due to unfavourable of discontinuities / joints condition along the tunnel especially
crown is thinly foliated which were resulting of overbreak / cavity formation at three locations.
During the underground excavation, the rock mass was failure at three numbers of locations. The one was
major cavity formation (chimney type), second was minor occurred due to wedge failure and third one was
identical of first one. The details description rock mass failures as under.
Cavity No. 1 – A cavity was occurred from Ch.199m to 201m at right crown on 8th November 2019. The rock
fall was circular in shape with initial diameter of 4m with approximate height of 3 m. The rock mass of cavitation
area was thinly phyllite with mica schist with Q-value 0.36. Water seepage was around 30 lit / hours. Reason
behind the cavity formation was high percentage of mica schist along the foliation plane with seepage. Shear
thickness was 10 to 15cm.
As its treatment, initially umbrella of pipes was made with spacing of 300 – 400 mm, touching the face.
Above that MS sheet of 3.15 mm was placed and filled with concrete in stages. After that structural steel support
was provided with 0.5 m spacing below that followed by backfill concrete and later contact grouting.
Cavity No. 2 - Cavity occurred from Ch. 257m to 258 m at right side (above SPL) on 17th December’ 2019. It
occurred during scaling of face. Profile of cavity was conical in shape with initial diameter of 2.5 m with
approximate height of 2 m. Type of rock mass was thinly foliated phyllite with Q value 0.96. Due to intersection
of multiple joints set with thinly foliated phyllite, the cavity was occurred. The thin shear seams were also noticed
the thickness was very from 05 to 08 cm. There was no underground water seepage.
As treatment, initially 50mm thick shotcreting was done to control loose fall. After that structural steel
support was erected with spacing of 1 m, followed by backfill concrete.

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 Rishi Sharma, Pooja Swami

Cavity No. 3 – The 3rd cavity was occurred at Ch. 547m on 1st March’2019. The cavity was circular in shape
with initial diameter of 4.5m with approximate height of 1.5 m towards the face. Rock mass was weak, foliated
and dark grey colour schistose phyllite with 3 sets of joints including random joint. There is no water seepage.
The Q-value was 2.23. Reason behind the cavity formation is clay band along foliation plane. Shear thickness is
7 to 8 cm.
As treatment, initially sealing shotcreting was being done to control loose fall, umbrella/ canopy was made.
Breaker used for breaking. Structural steel supports were provided with spacing of 1m followed by backfill
concrete.
Same strata have been encountered at Ch. 763 m also and continued till Ch. 987 m.

Fig. 2 Cavity at Ch. 199 m

Fig. 3 Cavity at Ch. 257 Fig. 4 Cavity at Ch. 547
5.2 Construction Adit-6A
A 421m long tunnel has been constructed. The tunnelling has been done with full face from Ch.0.0m to
115.0m, 120.0m to 291.0m, 316.0m to 366.0m and 373.0m to 421m, Heading & Benching between Ch.115.0m to
120.0m and 366.0m to 373.0m and Multi drifting tunnelling from Ch. 291.0m to 316.0m. The rockmass is jointed
to fractured, slightly to moderately weathered Quartzite and greenish coloured metabasic encountered. The
khankra faulted zone occurred from Ch. 291.0m to 316.0m and during faulted zone rock mass is highly fractured
to crushed quartzite with water seepage and moderately to highly weathered.
The strike of strata is dipping from left to right wall is between 160° to 170° and dip amount is 35° to 45°.
Due to unfavourable condition of discontinuities / joints, the tunnel especially crown is wedge and block failure
which were resulted into cavity formation at three locations.
Structural steel supports were installed at all along the tunnel due to minor / major cavitation / rock fall. At
Adit 6A, three-time poor rock strata encountered during underground excavation, out of three, one was major due
to which major cavity formed mainly because of Khankra fault zone encountered between Ch. 291m to 316m,
and other two in which tunnelling done through heading and benching method encountered between Ch. 115 to
120 and Ch. 366 to 373 m. The brief details of all the three are as under.
The first cavity occurred between Ch. 115m to 120m at the right crown. It takes place during breaking of
face. The cavity occurred after a loose fall was at a maximum height of 2.7m and 10m around the perimeter. The
type of rock mass was fractured and crushed quartzite with seepage 10 to 15 lit/ min and the Q-value varies from
0.22 to 0.27.
The second and major cavity was formed due to the Khankra fault zone, which was encountered from
Ch.291m to 316m. The encountered rock mass is highly crushed and fractured of metabasic and quartzite. The
rock mass is the form of a rock floor / sugar cube. The cohesion is very less. The shearing has also been noticed.
Based on lab testing the material consists of sand, silt and fine silt. The water condition is dripping to flowing.
The pore water pressure has been increased (water ponding behind the face) after face sealing. Chemical grouting
(urea silicate and colloidal silicate) has been injected for stabilization the face.
The third cavity was observed between Ch. 363m and 373m at the top of the crown, occurring during the
face breaking process. A loose fall of 3.7 m in height and 9 m around the perimeter preceded its formation. The
rock mass was fractured into crushed quartzite with a moderate flow of water present at face to, with a Q-value
of 0.22.
5.3 Construction Adit-7
A 622m long Adit -7 had constructed. The encountered rock mass of tunnel is fresh to slightly weathered,
fractured, strong quartzite. Not any major rockfall failure was occurred in entire length during construction. The
encountered rock mass was fair to good in condition. The groundwater condition along the entire length of tunnel
is dry to damp. The ground water has been encountered form Ch. 592m to 622m.

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 Predicted Geological Appraisal and Actual Geological Conditions - A Case Study in Connection
with Broad Gauge Rail Link between Rishikesh and Karnaprayag, Uttarakhand, India

During the portal tunnel development, left crown was collapsed. The loose fall material was overburden
material consisting of debris /dumped material (Excavated muck of road). The total quantity of material was 15
cum created a natural slope. Due to this movement of the dumped material inside the tunnel, the funnel type cavity
was formed above portal.

Fig. 5 Loose fall inside the tunnel Fig. 6 Cavity above tunnel

6 COMPARISON BETWEEN ANTICIPATED AND ACTUAL GEOLOGY

Due to complexity of Himalayan geology and lack of geological and geotechnical investigation, there is sure
to be discrepancy between predicted geology and actual geology observed. The comparison of rock class of all
three construction adits are as under:

Fig. 7 Comparison between Anticipated and Actual Fig. 8 Comparison between Anticipated Rock Class
Lithology and Actual Rock Class of Construction Adit-6A
Geological mapping led us to anticipate the presence of the Khankra fault in Adit 6A, spanning from Ch.
260m to 500m. As we proceeded with the tunnelling process, we indeed encountered the fault between Ch. 291m
and Ch. 316m. Accordingly, the prediction is accurate in terms of the location of the fault; however, the length of
the fault differs.

Fig. 9 Comparison between Anticipated Rock Class and Actual Rock Class of Construction Adit-7
Above Figures shows notable disparities between the anticipated and actual rock mass quality in three6
Construction adit tunnels. Specifically,
INDOROCK in adit-6A,
2023: theRock
9th Indian quality of the rock16-18
Conference is inferior to what
November was initially predicted.
2023
Conversely, in adit 7, the rock quality surpasses the initial expectations by a significant margin.
231
7 CONCLUSION
 Inconsistencies between the anticipated geological assessment and the actual geological conditions, as
well as a large discrepancy between the expected and actual quality of the rock formations, have been
 Rishi Sharma, Pooja Swami

Fig. 9 Comparison between Anticipated Rock Class and Actual Rock Class of Construction Adit-7
Above Figures shows notable disparities between the anticipated and actual rock mass quality in three
Construction adit tunnels. Specifically, in adit-6A, the quality of the rock is inferior to what was initially predicted.
Conversely, in adit 7, the rock quality surpasses the initial expectations by a significant margin.
7 CONCLUSION
 Inconsistencies between the anticipated geological assessment and the actual geological conditions, as
well as a large discrepancy between the expected and actual quality of the rock formations, have been
found during the evaluation of the three adit tunnel projects.
 Engineering geological mapping is inadequate for pre-construction phase in tectonically active
Himalayan region due to complexity.
 These inferences highlight the significance of carrying out through geological investigation, utilizing
advanced techniques (Exploratory drilling, Geophysical Survey and TSP) to assess rock masses and
implementing a continuous monitoring and adjustment plan in upcoming tunnelling projects.
ACKNOWLEDGEMENTS
The author would like to express their deep gratitude to Mr. Ajit Singh Yadav (CPM) and Surender Kumar
Arya from RVNL Rishikesh for their unwavering support throughout the process. Sincerely thanks to designers,
engineers and other team members who have dedicated themselves to achieving excellence in this project.

REFERENCES
Barton, N.R. (1988), "Rock Mass Classification and Tunnel Reinforcement Selection using the Q-system". In
Kirkaldie, L. (ed.). Rock Classification Systems for Engineering Purposes: ASTM Special Technical
Publication 984. Vol. 1. ASTM International. pp. 59–88.
Basic Geological Mapping- Fifth Edition by Richard J. Lisle, Peter Brabham and John Barnes.
Bieniawski, Z. T. (1989), “Engineering rock mass classifications”, a complete manual for engineers and geologists
in mining, civil, and petroleum engineering. Wiley-Interscience. pp. 40–47. ISBN 0-471-60172-1.
IS 11315 (Part 2 - Part 12), “Methods for quantitative description of discontinuities in rockmass”.
IS 13365 (Part 1), “Quantitative classification systems of rock mass Guideline”.
IS 1893-1 (2002), “Criteria for Earthquake Resistant Design of Structures, Part 1: General Provisions and
Buildings [CED 39: Earthquake Engineering]”.
Practical Rock engineering by Evert Hoek
S. Shekhar et al., 2011. Kink bands in thrust regime: Examples from Srinagar–Garhwal area, Uttarakhand, India
Journal of Earth System Science 120(5):939-948.

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 Stability Analysis of Theme 08Induced
a Rainfall - LandLandslide:
slide hazard mitigation
A Case Study from the Garhwal Himalayas,
Uttarakhand, India

Stability Analysis of a Rainfall Induced Landslide: A Case Study from the Garhwal
Himalayas, Uttarakhand, India
P. CHANDNA1,2, K. PANDIT1,2, S. GANESH KUMAR1,2, S. SARKAR3

1
CSIR-Central Building Research Institute, Roorkee, Uttarakhand, India.
2
Academic of Scientific and Innovative Research, Ghaziabad, Uttar Pradesh, India.
3
Uttarakhand Landslide Mitigation and Management Centre, Dehradun, Uttarakhand, India.
Email: prachi.chandna001@gmail.com

ABSTRACT: Rainfall-induced landslides largely affect mankind and civil infrastructures each year. Slope failure
occurs due to infiltration of rainwater that reduces the stability of slopes through an increase in pore water pressure
and ultimately, a decrease in shear strength. In the present study, a vulnerable slope from Garhwal Himalayan
region of Uttarkashi district in the Uttarakhand state has been selected. This slope is located along the Dharasu-
Gangotri highway (NH-108). An attempt has been made to incorporate the field investigations, geotechnical
characterization, and rainfall hydrology to carry out numerical studies to determine the stability grade of the
studied slope. Stability assessment has been carried out for both dry-static and wet-static conditions. Controlling
factors like soil properties, rainfall intensity and slope geometry have been taken into consideration for the
numerical simulation. Factor of Safety (FoS) values have been determined for an average rainfall intensity
condition during the monsoon months. The behavior of slope during prolonged rainfall conditions have been
determined. The results show that the slope is unstable under wet-static condition and is critical for NH-108 during
days of high rainfall intensities.

Keywords: Rainfall-induced landslides, Slope stability, Shear strength, Pore water pressure, Garhwal Himalayas.

1. INTRODUCTION
Landslides are natural phenomena that have profound effects on life and property throughout the world. The
Himalayan belt is tectonically unstable and highly susceptible to landslides. The Himalayan region alone accounts
for roughly 30% of global landslide-related losses (Dahal et al., 2009). In the recent years, Garhwal Himalayas
have witnessed more frequent and severe landslides especially in the monsoon seasons. Rainfall is one of the key
factors leading to slope failure. Landslides triggered due to rainfall are activated because of pore water pressure
and seepage forces (Zhu and Anderson, 1998). A positive pore water pressure generates when rainwater seeps
into the soil through pores which results in an overall decline in the effective stress (since the effective stress =
total stress - pore water pressure), leading to instability. Rainfall-induced landslides cause massive destruction to
mankind. Thus, the study of mechanisms of rainfall-induced slope instability is vital. Zhang et al., 2011 pointed
out that the conventional slope stability methods incorporate the effect of rainfall by changing the groundwater
table whereas in some recent studies the effect of rainwater infiltration into a slope has been studied by assuming
that the phreatic surface coincides with the surface of slope. Various studies show that rainfall intensity and shear
strength properties of soil are the important aspects that govern the stability of slopes (Rahardjo et al., 2007).
Different numerical analysis techniques have been used to study the effect of rainfall infiltration on slope stability
(Ling and Ling, 2012). Limit Equilibrium Method (LEM) has been used to determine the fluctuation in pore water
pressure due to infiltration during rainfall based on one-dimensional infinite slope theory (Cascini et al., 2010).
Another useful technique for assessing rainfall-induced landslide is couple hydro-mechanical finite element
analysis (FEA) (Zhang et al., 2016).
In this paper, an attempt has been to study the effect of rainfall on the stability of slope along the Bhagirathi
valley. Slope geometry and soil properties have been determined during field and laboratory investigations
respectively. FEA has been employed for the simulation of rainfall infiltration that calculated pore water pressure
under transient condition. Stability analysis to obtain the factor of safety values has been carried out using LEM.
2. STUDY AREA
The studied slope is located in between the Bhatwari block of Uttarkashi, a district of the Garhwal division
in Uttarakhand. In terms of area as well as population Bhatwari is the largest block of the Uttarkashi district. The
slope lies along National Highway NH-108, that connect Dharasu to Gangotri, a holy place on the banks of
Bhagirathi. Bhagirathi river originating from Gangotri glacier one of the headstreams of sacred Ganga, courses
alongside NH-108. The field photograph of studied location is shown in Figure 1.
Geologically, Main Central Thrust (MCT) lies close to study area, situated at Sainj, south of Bhatwari and
dips in NW-SE direction (Sajwan K.S., 2018). It separates Lesser Himalayas and Higher Himalayas. Due to
proximity to the thrust, the rocks are generally jointed and sheared. Seismically, the area lies in zone IV of

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 P. Chandna, K. Pandit, S. Ganesh Kumar, S. Sarkar

earthquake zonation map of India (IS 1893: 2016 (Part I). High-intensity rainfall in the region, that saturates the
weathered rocks, makes the slopes more prone to landslide (Sarkar et al., 2020). In 2023, Sarkar et al. found out
from the rainfall-threshold study of the region that around 97-98% landslides can be initiated from antecedent
rainfall of 15-20 days.

Fig. 1 Site photograph of the studied slope

3. METHODOLOGY
This study involves the stability analysis under the effect of rainfall of a rock slope overlain with debris.
Firstly, a field survey has been carried out to collect data of the slope, which includes slope attributes, slope
condition and slope geometry. Soil samples have been brought to conduct geotechnical tests in the laboratory.
Direct shear test has been performed to determine shear strength properties, cohesion, and angle of internal friction
of the soil. The average rainfall data of monsoon months has been used as the input for rainfall infiltration. For
the numerical modelling Slide2 software of RocScience is used. The seepage analysis to calculate pore pressures
for effective stress analysis has been used in combination with stress analysis. The slope has been discretized into
6-noded triangles with a mesh size of 150 elements. The analysis has been done in two parts: seepage analysis by
Finite element method: steady state FEA-transient flow and stability analysis using limit equilibrium method
(Theocharis et al., 2023, Deliveris et al., 2022). Initially, the slope has been considered to be unsaturated. In the
steady state mode, the steady flow was considered at the surface of the slope from right to left. In transient analysis
infiltration rate of 45 mm/day has been applied to carry out the time-based analysis of rainwater infiltration for 1,
7,15 and days. For the hydraulic properties, van Genuchten model is used (Genuchten et al., 1980). The model is
used to characterise the soil-water curve and to study the movement of water precisely. It can be expressed as,
1
𝑆𝑆𝑒𝑒 =
[1 + (𝛼𝛼ℎ)𝑛𝑛 ]𝑚𝑚

1 𝑚𝑚 2
𝐾𝐾 = 𝐾𝐾𝑠𝑠 (√𝑆𝑆𝑒𝑒 [1 − (1 − 𝑆𝑆𝑒𝑒 𝑚𝑚 ) ] )

Where, Se is degree of saturation, h is pressure head, Ks is saturated permeability, K is permeability.

Numerical investigation methods are the most reliable method for stability analysis. In this study, LEM has
been used which uses Mohr-Coulomb criterion to determine the shear strength along the pre-assumed slip surface.
Mohr- Coulomb parameters were obtained from direct shear tests. Three methods were adopted for this study
namely, Bishop Simplified, Janbu Simplified and Morgenstern-Price for the determination of FoS value for the
given conditions.

4. RESULTS AND DISCUSSION

Seepage analysis and slope stability analysis have been executed for a vulnerable slope of Bhatwari block of
Uttarkashi. Numerical approach was used to achieve seepage and stability analysis. There was no hydrological
boundary condition was applied to the left and bottom side of the slope and a pressure head on the right side of
the slope. The pore water pressure and factor of safety values change relatively with time. Results of stability and
seepage analysis are shown in Figure 2. The FoS values show that the slope is stable at initial stage (before rainfall

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 Stability Analysis of a Rainfall Induced Landslide: A Case Study from the Garhwal Himalayas,
Uttarakhand, India

event) and FoS value reduced to 0.9 after 15 days of prolonged. The FoS values are shown in Table 1. There is a
pore water pressure build-up with time and the change in pore pressure is depicted in Figure 3.

Fig. 2 Numerical investigation results of seepage and stability analysis

Table 1 Factor of safety values

Stage Bishop Simplified Janbu Simplied Morgenstern-Price

Initial stage 1.1 1.09 1.09
1 day 1.04 1.03 1.035
7 days 1.03 1.028 1.028
15 days 0.94 0.93 0.938
30 days 0.727 0.68 0.74

Fig. 3 Comparison of pore pressure for initial, 1 day, 7 days, 15 days, and 30 days analysis. The slope failed
completely after 15 days.

5. CONCLUSIONS
In the present study, an attempt has been made to analyse the stability grade of the slope. Steady state FEA
coupled with transient analysis have been used for finding the effect of rainfall infiltration. Results of LEM shows
that initially there was a toe erosion as can be assumed from the slip surface and factor of safety decreased
gradually till 15 days. The FoS value reduced to less than 1 after 15 days. It has been found that antecedent rainfall
plays an important role in the study region. A continuous rainfall of 15-30 days can cause a complete slope failure.
During heavy rainfall this slope can affect the pilgrimage route, NH-108, connecting to Gangotri. Thus, stability
measures should be implemented. The future scope of work includes comparing the effect of different infiltration
rates on the slope.

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 P. Chandna, K. Pandit, S. Ganesh Kumar, S. Sarkar

ACKNOWLEDGEMENT
Authors are thankful to the Director, CSIR-Central Building Research Institute (CBRI), Roorkee,
Uttarakhand for his kind permission to publish the work.

REFERENCES
A.I. Theocharis, I.E. Zevgolis, A.V. Deliveris, R. Karametou, N.C. Koukouzas, From Climate Conditions to the
Numerical Slope Stability Analysis of Surface Coal Mines. Applied Sciences. 12, 3, 1538 (2022)
A.V. Deliveris, A.I. Theocharis, N.C. Koukouzas, I.E. Zevgolis, Numerical Slope Stability Analysis of Deep
Excavations Under Rainfall Infiltration. Geotechnical and Geological Engineering. 40, 8, 4023-4039 (2022)
Cascini et al., 2010 L. Cascini, S. Cuomo, M. Pastor, G. Sorbino Modeling of rainfall-induced shallow landslides
of the flow-type J. Geotech. Geoenviron. Eng., 136 (1), pp. 85-98 (2010)
Dahal R.K., Hasegawa S., Nonomura A., Yamanaka M., Masuda T., Nishino K. Failure characteristics of
rainfall-induced shallow landslides in granitic terrains of Shikoku Island of Japan, Env Geol, online first.
doi:10.1007/s00254-008-1228-x (2008)
H. Rahardjo, T.H. Ong, R.B. Rezaur, E.C. Leong, Factors Controlling Instability of Homogeneous Soil Slopes
under Rainfall. Journal of Geotechnical and Geoenvironmental Engineering. 133, 12, 1532-1543 (2007)
IS 1893: 2016 (Part I) Criteria for Earthquake Resistant Design of Structures—Part 1: General Provisions and
Buildings. Published by Bureau of Indian Standards, 9, Bahadur Shah Zafar Marg, New Delhi 110002.
Ling, H., Ling, H.I.: Centrifuge model simulations of rainfall-induced slope instability. J. Geotech. Geoenviron.
Eng. 138(9), 1151–1157 (2012)
Sarkar S, Pandit K, Dahiya N, Chandna P Quantified landslide hazard assessment based on finite element slope
stability analysis for Uttarkashi-Gangnani Highway in Indian Himalayas. Nat Hazards 106(3):1895–1914.
(2021)
Sarkar S., Chandna P., Pandit, K. Dahiya N. An event-duration based rainfall threshold model for landslide
prediction in Uttarkashi region, North-West Himalayas, India. Int J Earth Sci (Geol Rundsch) 112, 1923–
1939 (2023).
M.T. Van Genuchten, A closed‐form equation for predicting the hydraulic conductivity of unsaturated soils. Soil
science society of America journal. 44, 5, 892-898 (1980)
Zhang L.L., Zhang J., Zhang L.M. and Tang W.H. Stability analysis of rainfall-induced slope failure: a
review. Proceedings of the Institution of Civil Engineers-Geotechnical Engineering, 164(5), 299-316. (2015)
Zhang L.L., Li J.H., Li X., Zhang J., Zhu H. Rainfall-induced Soil Slope Failure: Stability Analysis and
Probabilistic Assessment CRC Press, Boca Raton, U.S. (2016)
Zhu J.H., Anderson S.A. Determination of shear strength of Hawaiian residual soil subjected to rainfall-induced
landslides. Géotechnique 48, (1): 73–82. (1998)

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 Theme
Comparative Evaluation 08 - Land
of GIS-based slide hazard
Landslide mitigation
Susceptibility Assessment using Bivariate and
Multivariate Approach along NH-1, Kashmir Himalaya

Comparative Evaluation of GIS-based Landslide Susceptibility Assessment using Bivariate

and Multivariate Approach along NH-1, Kashmir Himalaya

IFTIKHAR HUSSAIN BEIGH1* AND SYED KAISER BUKHARI2

1 Research Scholar, Department of Civil Engineering NIT Srinagar, J&K, India.
2 Professor, Department of Civil Engineering NIT Srinagar, J&K, India.
email: iftikharbeigh@nitsri.ac.in

ABSTRACT: In Kashmir Himalaya, National Highway-1 (NH-1) is one of the significant and major lifelines, which
is badly affected due to recurring phenomena (landslides) causing great damage mainly to road infrastructure, main
water supply, and settlements. In the present research, the 45 km road stretch along NH-1, Kashmir Himalaya was
chosen for the landslide susceptibility zonation (LSZ) mapping using frequency ratio (FR) and analytical hierarchy
process (AHP) models in GIS environment. The landslide inventory map was prepared from the visual interpretation
of satellite images, field survey data, and other secondary data. The landslide locations were randomly divided into
two groups: Training samples (70 %) and validation samples (30 %). There are 10 landslide causative parameters
which were considered for the analyses. LSZ maps were generated by calculating relationship between the landslide
influencing factors with training landslide data in the case of FR model but for AHP model pair-wise comparison were
made to derive the weights and final score. The LSZ maps were prepared using FR and AHP models and classified
into five different susceptibility zones. The LSZ maps were compared and validated with validation landslide dataset
using Area Under Curve (AUC) method. The AUC value of FR model is 0.803 showing better prediction accuracy
than the AHP model (AUC value is 0.789). As a result, the FR method was found to be a reliable and effective method
for assessing landslide-susceptible areas. Moreover, planners, developers, and engineers in the region could find the
study's findings useful for slope management, land-use planning and landslide mitigation measures.
Keywords: Landslide susceptibility · National Highway-1(NH-1) · FR · AHP · Kashmir- Himalayas.

1. INTRODUCTION
Landslides are the most common and recurring natural hazard in the Kashmir Himalaya due to its unique
geological and topographic environment. Landslides have a negative impact on the region's socioeconomics by
inflicting significant loss of human life and infrastructure. However, high-resolution remote sensing and field data are
required for mapping landslides as points or polygons. Besides, a landslide Inventory mapping of small dimensions
can be well represented by a point on a 1:50,000 scale map or much lower scales. The three essential components of
a landslide study are landslide susceptibility, landslide hazard, and landslide risk. Landslide susceptibility mapping,
also known as zonation, is the subdivision of topography into zones with varying likelihoods of landslide occurrence.
It covers the landslide deposit's spatial distribution, size, position, and displacement (Varnes 1984; Guzzetti et al. 1999;
Fell et al. 2008). In this study, two approaches: Bivariate (Frequency Ratio Model) and multicriteria evaluation (AHP)
were used to assess the landslide susceptibility along the Baramulla-Uri Road of NH-1. The findings of this study can
aid in the identification of landslide-prone areas in the study area. Moreover, the study will be highly beneficial for
construction planners, environmental engineers, and risk managers to plan and mitigate landslide hazards in the studied
region.
The study area falls in Survey of India's topographic no’s 43J/4, 43J/8, and 43F/16, covering a total area of
479.81 km2. The study was conducted on a 45 km road section of NH-1 between latitudes 34°1'35.38"N and
34°15'20.942"N and longitudes 73°57'41.4"E and 74°24'10.11" E. (Figure 1). The region spans in altitude from 1098
to 3475m above mean sea level. It has a rugged and uneven topography. Most of the route follows the south banks of
the Jhelum River downstream of Baramulla town. Along the route, the towns of Baramulla, Khanpora, Sheeri,
Gantamulla, Mahura, Lagama, and Uri are well-known destinations. On the southern side of the route is a spectacular
view of the mighty Pir Panjal range, which reaches an average elevation of 1,400 to 4,100 m above mean sea level
(AMSL). On the southwest side of the Pir Panjal Range are several thrust faults in southeast directions, including the
MCT/Panjal, MBT/Murree, and BF subsidiary faults (Thakur et al., 2010). The geomorphology of the studied area is
dominated by heavily dissected hills and valleys whereas the soil is dominated by coarse loamy type. The study area
has a Mediterranean continental climate, with cold, wet winters and cool, dry summers. From December to May, the
region receives the most snowfall and from June to September, the least. The road segment experiences slope failures
because of mild erosion, strong precipitation, tectonic activity, and other anthropogenic activities such as road
widening, building construction, etc.

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 Iftikhar Hussain Beigh* and Syed Kaiser Bukhari

2. MATERIALS AND METHODOLOGY

2.1 Geospatial Database creation
High-resolution sentinel imageries were combined with Google Earth imageries, followed by extensive
Fieldwork to locate landslides along the NH-1 and its surroundings. For landslide susceptibility mapping along the
Baramulla-Uri Road of NH-1 Road in the Kashmir Himalaya, ten contributing variables were considered, including
slope gradient, elevation, slope aspect, slope curvature, proximity to road, proximity to drainage, proximity to
lineament, geology, land use and land cover, and rainfall. The drainage map was extracted from dem, and lineaments
were driven from the NRSC Bhuwan site. The geological map was motivated by the Geological map of Jammu and
Kashmir (Thakur and Rawat 1992). The LULC was derived from Landsat 8 OLI/TIRS using supervised classification
and the maximum likelihood approach. The Indian Metrological Department (IMD) gridded datasets for the past 30
years (1991-2021) were used to prepare rainfall maps. To produce the reliability of the landslide inventory, past
Literature, govt official data, global data archives, and high-resolution imageries followed by detailed field checkups
(2019–2021) were conducted. The steps in generating a landslide susceptibility map are sequential and outlined in
Figure 2.
2.2 Landslide Inventory Mapping
The initial step in establishing a region's vulnerability to landslides is to inspect, detect, and map the landslides
(Zhao et al., 2019). The inventory of past landslide locations includes details about current landslides in a region,
which helps validate the map of landslide susceptibility. Field surveys or high-resolution aerial imageries can be used
to accomplish this. The landslide events were located and mapped for the current study using field inspection and
high-resolution images from Sentinel and Google Earth. Generally, spatial mapping of landslides is required to
examine the link between landslide distributions and predisposing factors. Landslide locations were initially located
using the GPS coordination system, and then, using high-resolution imagery, the locations of Landslides were created
as polygons. These historical landslide locations were depicted as point features on the inventory map because they
are too tiny to be highlighted at the current scale. The research area has 109 areas where landslides have occurred. For
model training and validation purposes, the landslide inventory data were split into two groups: Training Samples
(70%) and Tested Samples (30%). Rockfalls and Debris slides were found to be prominent types of landslides along
the study road (Figure 3).

Fig 1. Location of the study area

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 Comparative Evaluation of GIS-based Landslide Susceptibility Assessment using Bivariate and
Multivariate Approach along NH-1, Kashmir Himalaya

Fig.2 Flow chart showing different steps of Landslide Susceptibility Zonation (LSZ) adopted in the current study.

Fig.3 Landslide Inventory showing different type of landslides, classified based on type of movement in the study
area.
2.3 Landslide Causative Factors
To evaluate landslide Susceptibility, it is crucial to determine what factors contribute to their occurrence. Surface
topography limits landslides' density and spatial extent by determining the flow sources and runoff direction (Sujatha
et al. 2012).
Topographic factors such as slope gradient, slope aspect, slope curvature, elevation, and natural drainage were
retrieved from the Digital Elevation Model (DEM) data at a resolution of 12.5m using the Spatial Analyst tool in
ArcMap10.5 (Fig.4a-d). The slope gradient map with a slope ranging from 0° to 80.27° was reclassified into seven
distinct classes by applying the Jenks natural breaks classification scheme (Jenk 1967) (Fig. 4a) viz; 5 (Gentle Slope),
5-8.5 (Moderate Slope), 8.5-16.5 (Strong Slope), 16.5-24 (Very Strong Slope), 24-35 (Extreme Slope), 35-45 (Steep
Slope), and >45 (Very Steep Slope). The slope aspect map which represents the direction of slope was reclassified
into eight directional classes viz; Northwest (292.5-337.5), West (247.5-292.5), Southwest (202.5-247.5), South
(157.5-202.5), Southeast (112.5-157.5), East (67.5-112.5), Northeast (22.5-67.5), and North (22.5-337.5).and one flat
(-1) class (Fig. 4b). Most of the current study's landslide areas are along slopes to the north, northwest, and West. The
combo curvature (combination of both plane and profile curvature) map was prepared and reclassified the positive
values indicated a convex shape, negative values indicated a concave shape, and zero indicated a flat shape (Fig. 4c).
Most of the study area constitutes convex class followed by with flat and concave classes.In this study, the elevation
varies from 1098 to 3475 m, reclassified into five classes following Jenks natural breaks classification (Fig. 4d). The
geological units of the study area include Salkhala Formation, Upper Triassic Limestones, Panjal Volcanics, Thrust,
Murree/Dharamshala, Pampur member (Karewa formation), Alluvium, Basement Inliers (Permian-Triassic), Dilpur
Formation (Karewa formation), and Hirpur Formation (Karewa formation) was prepared from the Geological map of

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 Iftikhar Hussain Beigh* and Syed Kaiser Bukhari

Jammu and Kashmir by Thakur and Rawat (1992) (Fig. 4i). Landslides are influenced by alluvium and limestone
deposits because of their substantial capacity to absorb water. Due to their weak water adsorption capacity and semi-
permeability, gneiss and states-schist are geological rocks that are somewhat prone to landslides.

Fig.4 Landslide Causitive parameters : a Slope gradient, b Slope aspect, c Slope Curvature, d Elevation, e Proximity
to Drainage, f Proximity to Lineaments, g Proximity to Roads, h LuLc, and j Rainfall

The land use and land cover features Settlement (Mixed built-up), Barren land, Agriculture, Dense Forest,
Scrub/Shrub, Sparse Forest, Pastures, and Waterbodies (Fig. 4h) were visually interpreted by high-resolution satellite
imageries, followed by ground truthing. The study region is characterized by extreme rainfall on the south-west
mountain slope, while the east slope receives milder rainfall. To obtain an average annual long-period rainfall for the
last 30 years, gridded rainfall data from Indian Metrological Data (IMD)was used, and the data is freely available at
https://www.imdpune.gov.in/cmpg/Griddata/Rainfall_25_NetCDF.html. Point data from the gridded data was created
and interpolated using Inverse Distance Weighted (IDW) interpolation technique, and the average annual rainfall is
found to range from 1014 to 1193 mm (Fig. 4j). The study area is reclassified into three categories based on the average
annual rainfall: Low (1,014 -1,093mm), Moderate (1,093 -1,144mm), and High (>1,144mm). The drainage, lineament,
and roads were mapped out from the high-resolution satellite imageries and supported by the Survey of India (SOI)
toposheets, NRSC Bhuvan web portal, and extensive field survey.
Moreover, the proximity to drainage (Fig. 4e), lineaments (Fig. 4f) and roads (Fig. 4g) were calculated using the
Euclidean distance method in ArcGIS 10.5 and reclassified into five classes based on Jenks natural breaks
classification. The drainage networks in mountainous regions drastically trigger slope instability and hence make
slopes exposed to landslides. Besides the lineament distance has played a significant role in the initiation of landslides.
The likelihood of a landslide is thought to be highest in the areas bordering these weak planes and to decrease further
from them. Furthermore, the distance from roads is one of the most significant anthropogenic factors influencing the
frequency of landslides. Moreover, most of the landslides were found to be localized at the least proximity to intense
drainage, lineaments, and along the roads in the study region.
2.4 Methods Adopted
2.4.1 Frequency ratio (FR) model
The frequency ratio method relies on the correlations between the distribution of observed landslides and each
factor that controls them. The connection indicates the location of landslide occurrence and the research area's effect
elements. The relationship between each class and prior landslide episodes was utilized to compute the frequency ratio

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 Comparative Evaluation of GIS-based Landslide Susceptibility Assessment using Bivariate and
Multivariate Approach along NH-1, Kashmir Himalaya

of each class in a thematic layer. In the analysis of the relationship between the total area and the region where
landslides occurred, a value of 1 represents the mean value. A higher correlation is indicated by a number larger than
1 and a lower correlation is indicated by a value less than 1.
In this analysis, we classify each potential influence into its appropriate category and determine the frequency
ratio between categories within the same factor (Eq. 1). Normalized frequency ratios are determined for each grouping
within the same factor (Eq.2). To determine the landslide hazard index (LHI) (Eq.3), we add up the normalized
frequency ratios of the most crucial factors (Pradhan and Lee 2010; Wang et al. 2016)
𝐅𝐅𝐅𝐅𝒊𝒊 (Frequency Ratio values of class 𝒊𝒊):
𝑁𝑁𝑁𝑁𝑖𝑖
( )
𝑁𝑁𝑁𝑁𝑡𝑡
Fr𝒊𝒊 = 𝑁𝑁𝑁𝑁𝑖𝑖 (1)
( )
𝑁𝑁𝑁𝑁𝑡𝑡
𝐅𝐅𝐅𝐅𝐧𝐧 (Normalized frequency Ratio values):
𝑁𝑁𝑁𝑁𝑖𝑖
( )
𝑁𝑁𝑁𝑁𝑡𝑡
𝐹𝐹𝐹𝐹𝑛𝑛 = ∑ (2)
𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶 𝑖𝑖Fr

LHI (Landslide Hazard index):

LHI = ∑ 𝐹𝐹𝐹𝐹𝑛𝑛 (3)
where NL𝑖𝑖 = landslide counts in class 𝑖𝑖, NL𝑡𝑡 = Total landslide counts, NC𝑖𝑖 = cell point counts of class 𝑖𝑖
and NC𝑡𝑡 = Total cell point counts.
2.4.2 Analytical Hierarchy Process (AHP) model
The current study uses the Analytical Hierarchy Process (AHP) to classify the potential hazard of landslides in
the area. AHP is a semi-quantitative technique for making decisions based on weighted pair-wise relative comparisons
(Saaty 1977). The AHP method is used to calculate the weights associated with the map layer's appropriateness or
attribute information (Saaty 1977). Calculating a list of the relative weights or priority vectors of the components,
which can then be coupled with the attribute map layers for hazard zonation, is the next phase of this process
(Malczewski 2004). The weights can be determined by calculating the priority vector of a square reciprocal matrix
containing pairwise criteria comparisons. Additionally, the weights must add up to one. Later, Priority Vector weights
are mixed with attribute map layers (Malczewski 2004). Integration of all weighted layers is the subsequent crucial
phase in AHP. All AHP computations were performed in a spreadsheet setting. Then, relative weights were utilized in
GIS software to overlay layers. AHP solves complicated decision-making problems by constructing a hierarchy of
options and factors. Using pair-wise comparison, factors and alternatives are given weights on a nine-point scale.
Factors or their classes are grouped in a matrix table with an equal number of rows and columns, with totals listed on
one side of the matrix and values of 1 located in the diagonal of the factor matrix (Saaty 1977; Gorsevski et al. 2006).
The pair-wise comparison matrix was constructed in accordance with Saaty (2000).
In this study, the CR value is determined by dividing the values of the indexes CI [consistency index, whose
expression is shown in Eq.4)] by the random index RI (Eq. 5), which is the average consistency index. Saaty and
Vargas (1980) produced the random index table in 1980 based on several random samples. A CR of less than 0.1 is
acceptable.
𝜆𝜆 max −𝑛𝑛
CI = (4)
𝑛𝑛−1

Where CI = Consistency Index value, n = Number of criteria utilized for the study (10 in this study) and 𝜆𝜆max is
the maximum eigenvalue of comparison matrix.

𝐶𝐶𝐶𝐶
𝐶𝐶𝐶𝐶 = (5)
𝑅𝑅𝑅𝑅

where CI is Consistency Index value and RI is Random Index.

The landslide susceptibility Index (LSI) using Eq.6 (Thanh and De Smedt 2012).
𝑛𝑛
LSI = ∑𝑗𝑗=1(𝑊𝑊𝑗𝑗 𝑤𝑤𝑖𝑖𝑖𝑖 ) (6)

(Where LSI denotes landslide susceptibility index, Wj is the weight value of causative factor j, wij is the weight
value of class I in causative factor j, and n is the number of causative factors)

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 Iftikhar Hussain Beigh* and Syed Kaiser Bukhari

3. RESULTS AND DISCUSSION

The Frequency ratio (FR) values were calculated using Eq.3.The frequency ratio values were normalized for all
the classes present in entire parameter maps based on the relationship with the past landslide locations. Furthermore,
the AHP model analysis was carried out through a pairwise comparison of causative factors, and classes within the
causative factors were made and normalized to get criteria weight. Therefore, the LSI values for AHP were calculated
using Eq.6.
3.1 Landslide Susceptibility zonation
Landslide susceptibility analysis has been carried out through bivariate and multivariate methods. In the current
study, the frequency ratio, and analytical hierarchy process models were adopted. For the application of frequency
ratio, relative effect, and analytical hierarchy process models, all the ten landslide causative factors were converted to
a raster format with 15x15 m size grids to calculate the landslide susceptibility index (LSI). All the causative factors
were taken to the spatial analysis extension of the ArcGIS software for integration. The LSI was calculated based on
the integration rules as shown in Eqs. 3 and 6. The integration was carried out using the raster calculator option of the
ArcGIS software. If the LSI value is high, it means a higher susceptibility to landslides; a lower value means a lower
susceptibility to landslides. For frequency ratio model, the minimum, mean, maximum and standard deviation of LSI
are 1.25999999, 4.590958959, 10, and 1.507434622, respectively. While as in the case of analytical hierarchy process,
the LSI values had a minimum value of minimum value of 1, mean value of 5.623002599 and a maximum value of 9,
with a standard deviation of 1.105878348.
Furthermore, the LSZ maps prepared using FR, RE and AHP methods were classified into five susceptibility
classes viz., very low, low, moderate, high, and very high based on Jenks natural breaks classification method (Fig.
5a, b). In FR model 22 % of the training landslide areas were identified in high and very high susceptibility classes
and in case of AHP model, 54 % of the training landslide areas identified in the high and very high susceptibility
classes (Fig. 6).
3.2 Comparison and Validation of the models
In the present study, the most common Receiver operating characteristic (ROC) method was adopted to determine
the prediction accuracy (prediction rate) of each model. ROC curves have been widely employed in susceptibility map
evaluation (Mallick et al 2018).

Fig. 5 LSZ maps; a Frequency ratio model (FRM), b Fig. 6 Relationship between Landslide area percentage
Analytical hierarchy process (AHP) and landslide susceptibility class for FR and AHP LSZ
maps

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 Comparative Evaluation of GIS-based Landslide Susceptibility Assessment using Bivariate and
Multivariate Approach along NH-1, Kashmir Himalaya

Fig7 ROC Curve of a FR and b AHP models Fig. 8 Field photographs of some recent landslides in
the study region, a Earth slide near Lagama,b Debris
flow near Khanpora, c Boulder slide main mohra +1.5
km, d Rockfall near Gantamulla,e Debris flow near
Lagama, and f Rockfall near Bonyar park along
Baramulla-Uri (NH-1) roadside.
The Area under curve (AUC) value of ROC was determined through the integration of validation landslide
dataset with LSZ maps. If the AUC value close to 1.0 indicates the model is ideal, whereas an AUC value close to 0.5
reflects the in accuracy in the model (Fawcett 2006). The AUC Value of prediction rate curve (Fig. 7a, b) for FR and
AHP models was found to be 0.803 and 0.789. A detailed field investigation was conducted in the research area (Fig.8).
The validation result indicates that the resultant susceptibility maps and existing landslide location datasets are
in good agreement. During validation, a high level of good agreement was found between the LSZ maps and pre-
existing landslide location datasets. Therefore, it suggests that almost all landslide locations fall under the high and
very high susceptibility categories. While comparing all the models with each other based on AUC values, the map
produced by the FR model presented the best result for landslide susceptibility evaluation. As a result, the FR model
was found to be a reliable and effective method for estimating landslide-susceptible areas. However, the map's
reliability depends on the data collection's precision, the method's robustness, and the landslide prediction experience.
4. CONCLUSIONS
In the present study, frequency ratio, and analytical hierarchy process were adopted for the landslide
susceptibility mapping along a part of NH-1, Kashmir Himalaya. Landslide susceptibility maps have been produced
using the relationship between each land slide-influencing parameters and known landslide locations. The results have
shown that the occurrence of landslides were more prominent along cut slope, slope gradient >24°, convex curvature,
and elevation in 1,098–1,627 m categories, geology type (upper Triassic limestone), settlement (mixed built-up), west,
Northwest, south, proximity to drainage (0-150m), proximity to lineaments (0-500m), and proximity to roads within
the distance of 0-500 m classes. The validation results show that the frequency ratio model has better prediction
accuracy (AUC = 0.803) than the relative effect model (AUC = 0.761), and analytical hierarchy process (0.789).
The overall study shows that the areas such as Limber, Chollan kalsan, Uri, sheeeri, Baramulla, boniyar,
Janbazcolony, Khanpora, Kichama, lagama and Khadaniar were identified as highly vulnerable for landslide
occurrences. Anthropogenic interferences in this hilly terrain have caused a huge impact on the slopes and the
condition is worsened as the internal properties of the lithology and the overlying debris material are weak due to
which slope instability is triggered. The landslide susceptibility maps are the source for decision making and
developmental activities in an area. Hence, the output results of the present study could help the developers, planners,
and engineers for slope management and land-use planning in the study area.

ACKNOWLEDGEMENT

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occurrences. Anthropogenic interferences in this hilly terrain have caused a huge impact on the slopes and the
condition is worsened as the internal properties of the lithology and the overlying debris material are weak due to
which slope instability is triggered. The landslide susceptibility maps are the source for decision making and
developmental activities in an area. Hence, the output results of the present study could help the developers, planners,
and engineers for slope management and land-use
Iftikhar Hussainplanning
Beigh* in
andtheSyed
study area.Bukhari
Kaiser

ACKNOWLEDGEMENT
The authors thank the Border Roads Organization (BRO) Srinagar, J&K, India, and the Geological Survey of
India (GSI) for providing necessary landslide data. In addition, the authors would like to express their gratitude to
everyone who assisted in the present study. Finally, the authors also thank anonymous reviewers for their valuable
comments and suggestions.

REFERENCES
Fell R, Corominas J, Bonnard C, Cascini L, Leroi E, Savage W.Z. (2008), “Guidelines for landslide susceptibility,
hazard, and risk zoning for land use planning, on behalf of the JTC-1 joint technical committee on Landslides and
engineered slopes”, Eng. Geol., Vol.102, pp.85–98.
Gorsevski P.V., Jankowski P. and Gessler P.E. (2006), “A heuristic approach for mapping landslide hazard by
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Malczewski J. (2004), “GIS-based land-use suitability analysis: a critical overview”, Prog Plan, Vol.62, pp. 3–65.
Pradhan B., and Lee S. (2010), “Landslide susceptibility assessment and factor effect analysis: backpropagation
artificial neural networks and their comparison with frequency ratio and bivariate logistic regression modelling’’,
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Saaty T.L. (1977), “A scaling method for priorities in hierarchical structures”, J Math Psychol, Vol.15, pp.231–281.
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Sujatha E.R., Rajamanickam G.V., Kumaravel, P. (2012), “Landslide susceptibility analysis using probablistic
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pp.1337–1350.
Thakur V.C., Jayangondaperumal R., Malik M.A. (2010), “Redefining Medlicott–Wadia's main boundary fault from
Jhelum to Yamuna: an active fault strand of the main boundary thrust in northwest Himalaya”, Tectonophysics,Vol.
489, pp.29–42. http://dx.doi.org/10.1016/j.
Thanh L.N., De Smedt F. (2012), “Application of an analytical hierarchical process approach for landslide
susceptibility mapping in A Luoi district, Thua Thien Hue Province, Vietnam”, Environ Earth Sci., Vol. 66, No. 7,
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Varnes D., IAEG. (1984), “Landslide hazard zonation: a review of principles and practice”, U N Sci Cult Organ, Paris,
pp. 1–6.
Wang Q., Li W., Yan S., Wu Y. and Pei Y. (2016), “GIS based frequency ratio and index of entropy models to landslide
susceptibility mapping (Daguan, China)”, Environ. Earth Sci., Vol.75, No.9, pp. 1–16. https://doi.
org/10.1007/s12665-016-5580-y.
Zhao Y., Wang R., Jiang Y., Liu H., Wei Z. (2019), “GIS-based logistic regression for rainfall-induced landslide
susceptibility mapping under different grid sizes in Yueqing South-eastern China”, Eng Geol., Vol. 259, pp.105147

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 Geological Theme 08 - Land
and Geotechnical slideofhazard
Aspects mitigation
Construction of Twin Tube Tunnels in
Low Cover Zone

Geological and Geotechnical Aspects of Construction of Twin Tube Tunnels in Low

Cover Zone
1
A. USMANI, 2S. PAL, 3N.K. MISHRA
1
DGM, Engineers India Ltd. New Delhi 110066
2
DGM, Engineers India Ltd. New Delhi 110066
3
Manager, Engineers India Ltd. New Delhi 110066
Email: altaf.usmani@eil.co.in

ABSTRACT: The construction of new expressways in several part of the country involves construction of long
twin tube tunnels with cross passage at regular intervals. This paper discusses engineering and construction
challenges encountered as part of the construction of 18 m diameter twin tube tunnels in the very low cover zone
(≤1D) for initial 200 m stretch from portal. During the construction stage, various improvement and adaptations
in excavation methodology and support system were carried out based on the actual geology encountered and
back analysis for successful completion of the project. Various approaches were adopted comprising of high-
pressure pre-grouting and fore polling along with inferring anticipated tunnelling conditions ahead of face by
probe hole drilling and use of modern high-capacity tunnelling equipment such as semiautomatic drill jumbos and
high-pressure grout pumps and shotcrete machines. Blast vibration monitoring through seismograph and
geotechnical monitoring using bi-reflex targets were carried out during construction to improve blasting pattern,
control disturbance factor and to maintain the tunnel profile in desired shape.
1.0 INTRODUCTION
This paper exclusively deals with the engineering design changes and construction challenges encountered
during construction of 18m diameter twin tube tunnels in very low cover zone (≤1D) for initial 200 m from stretch
from portal. Tunnel construction was successfully achieved by implementing proper rock support design and
improvement and adaptations in excavation methodology using NATM approach. At the beginning of design
stage, three rock class categories (A, B & C) were considered based on rock mass condition present along the
tunnel alignment. Rock Class A, B & C were analogous to Class I, II & III as per RMR classification system
(Bieniawski, 1989). The rock support design was designed accordingly for each Class A, B & C for low cover
zones up to length of 200 m.
The paper tries to bring out the design for estimated rock classes based on the initial geotechnical parameters
vis a vis “on the go design” approach adopted as per negotiated geology documented in form of geological maps
and the records of instrumentation data
2.0 GEOMETRY OF TUNNEL:
In this project of super communication expressway, out of total 13.1 Km length, the tunnel section consists
of twin tunnels of 7780 m and 7745 m length for project area as shown in Fig 1.The finished width of the main
tunnel at spring and road level is 181m (Refer Fig 1). The Typical layout & L-section of low cover zone of the
tunnel is presented in Figs. 3 & 4. The clear spacing between the two tunnels is 22.8 m. The plan alignment of the
tunnel is in S-shape. The two tunnels are connected by means of Cross-passages at every 300 m.

ϭϴŵ
ϭϴŵ

Figure 1: Cross section of twin tube tunnel

3.0 GEOLOGY OF THE PROJECT AREA
3.1 Regional Geology & Geology of the site
Project area represent basalt lava flows of Deccan Trap basalt (Upper Cretaceous to Lower Eocene age)
The Deccan trap flows overlies all the earlier older rock formations such as Lamenta bed, Bagh bed and older
granite gneiss rocks. In the project area, the basalts are capped by lateritic soil mixed with alluvium of limited
thickness varying from about 0.5m to 2m. The geological setting of the area is strikingly uniform, consisting of

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 A. Usmani, S. Pal, N.K. Mishra

sequence of Deccan Trap basalt flows. The geology around the tunnel alignment comprises horizontal thick
flows of fresh and hard massive compact basalt and amygdaloidal vesicular basalt rock. Stratigraphic sequence
of the area is shown in Fig.2.

Figure 2: Stratigraphic sequence of the area

These basalt lava flows are intruded by number of basic intrusive of Dykes and sills. Majority of the dyke
are dolerites but basaltic and tachylitic dyke are also common Based on tectonic features and record of earthquakes
and seismic zoning map of India prepared by Bureau of Indian Standard, the project area lies in Zone III one of
the moderately seismically active region.

Figure 3: Layout of twin tunnel

Figure 4: Geological section of tunnel under low cover zone

4.0 GEOTECHNICAL INVESTIGATION PROGRAM
Geological and geotechnical assessment in around the project area is essentially required for economic and
safe designing. The project data includes the geological map of the area, lithological characteristics and rock mass
conditions. Subsurface exploration has been carried out by 15 numbers of exploratory holes, before the start of
execution of the tunnel excavation. The engineering properties of rock mass have been established by rock

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Low Cover Zone

mechanic testing. The characteristic of the prominent joint discontinuities observed based on core log mapping is
tabulated as below (Table 1):
Table 1: Prominent Joint sets of tunnels.
Set Dip Dip Continuity Spacing Aperture Roughness Alteration
Amount Direction (m) (cm) (mm)
J1 09o 290o >09 50 to 90 Tight-2.0 Rough Nil
J2 73o 063o 03-07.5 50-120 Tight to 2.0 Rough NIL
J3 77o 243o 08-12.5 40 to 120 Tight to 2.0 Smooth NIL
J4 77o 124o 1.5-06 20 to 200 Tight Smooth NIL

4.1 Geotechnical Design Parameters

At the onset of design stage, Geotechnical (GT) assessment of rock mass condition in the project area
indicated that in general Class-B (RMR = 61-80) rock type category is envisaged to be encountered during
excavation of the tunnel. However, as the RMR values assessed during surface mapping indicated variation in
expected rock class, therefore support requirements for rock class A, B and class C were provided as shown in
table below (Table 2).
Table 2: Summary of Rock Support as per original Design
SPRAYED
ROCK Design RMR
CONCRETE ROCK BOLTS
CLASS Value
/SHOTCRETE
25mm dia, 4m long @ 3m x 3m
C RMR = 50 50 mm PFRS
C/C spacing
25mm Sealing 25mm dia, 4m long @ 3m x 3m
B RMR = 70
Shotcrete (PFRS) C/C spacing in crown
25mm Sealing
A RMR = 90 25mm dia, 4m long, spot bolting
Shotcrete (PFRS)
*PFRS = Poly Fibre Reinforced Shotcrete
5.0 EXCAVATION METHOD
Excavation of tunnel had been carried out through drill and blast using NATM approach. Since the cross-
sectional area was big, for the ease of construction and to control of blast induced vibrations, heading-benching
methodology was adopted. 3D geological logs and face log were prepared during the tunnel excavation from both
North and South ends, with details such as rock type, rock mass condition, discontinuities characteristics. Further
rock mass classification is carried out using rock mass rating (RMR) to classify the encountered rock mass.
5.1 Tunnelling Challenges and Solutions
Initial 200 m length of tunnel from North Portal has been excavated through very low rock overburden (≤1D)
where rock overburden ranges from 12 m to 1 8m. In this low cover stretch, RMR value ranges from 47 to 60
which is Class C category (Fair rock mass). Heavy water seepage during the monsoon season from the tunnel
crown was observed in the initial 100 m stretch from portal. Water seepage was observed from multiple locations
at the rate of more than 25 LPM (liters per minute). In few locations rate of water seepage was excessively high,
of the order of 100 to 125 LPM.
Excavation of such wider twin tunnel in this low overburden range was really a challenge but it was
successfully executed by adopting advance and innovative approaches. These comprised of pre-grouting, fore
polling, timely installation of appropriate and adequate support system, inferring anticipated tunnelling conditions
ahead of face by probe hole drilling, advance planning of resources and tunnelling methodology, using modern
and high capacity tunnelling equipment such as semi-automatic drill jumbos, high capacity dumpers, loaders, high
pressure grout pumps and shotcrete machines, with emphasis on continuously reduction of cycle time till an
optimum cycle time is achieved and adhered too for different tunnelling conditions.
In order to control seasonal water seepage, consolidation grouting using OPC cement and microfine cement has
been carried out through 45 mm dia 5m long (into rock) staggered holes @ 4 m C/C. Water/Cement ration used
within the range of 4:1 to 0.8:1.

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 A. Usmani, S. Pal, N.K. Mishra

Figure 5: Water seepage controlled after consolidation grouting (Before and After)
After execution of using consolidation grouting (Refer Fig. 5), result was satisfacory and water seepage
were reduced upto 95%. Thus by implementing effective consolidation grouting activity, desired result were
achieved.
5.2 Ground Vibration Monitoring at Tunnel
As the tunnel excavation are being done through drill & blast method, it was important to execute the blasting
work very carefully and precisely so that the disturbance around the periphery of the tunnel and possible effects
on the nearby important civil structure are minimized. One of the unavoidable adverse side-effects of excavation
with blasting is blasting-induced vibrations. Based on our analysis of `blast vibration data taken at the tunnel,
some modifications were carried out in the initial blast design for improvement of blasting in tunnel to minimize
the impact of blasting induced vibration (Refer Table 3).
Table 3: Observations, modifications and improvement in Tunnel
Sl Initial blast design Remedial measures Improvement
no
1 Blast pattern adopted - Burn cut Burn cut with additional Reamer Improved in fragmentation
holes
1.2 Overall production and cut In cut holes Burden X spacing Improved fragmentation
holes- Burden X spacing, 1m x reduced, 0.8m X 0.8m
1m
2 Delay nos used from 1 to 13 Delay nos increased from 1 to 18 Good fragmentation
2.1 Delays used - long delay 300ms Delays changed -short delay 100ms Improved fragmentation
series series used and periphery overbreak
control
3 Dummy holes spacing-0.5m Dummy holes spacing reduced -0.3m Control of periphery, good
profile seen
4 Periphery holes-normal Periphery holes- decking adopted Control of periphery
charging
5.3 3D Deformation Monitoring of Tunnel
Instrumentation & monitoring of tunnel is an integral part to record the behaviour of the rock mass. It is
being carried out in both the tubes at regular intervals. Bi-reflex monitoring targets had been installed at
approximately every 50m. The measurements were taken on regular basis at point TP-1, TP-2, TP-3 and TP-4.
Points TP-2 and TP-3 broadly represent the crown of the tunnel while points TP-1 and TP-4 broadly represent the
walls of the tunnel (Fig. 6). The measurements were taken till stabilization of deformation. After monitoring of
around 2-3 months, it was noticed that trend of deformation is stabilized and maximum deformation is of the order
of 2-7mm which is under the specified limits. A summary of maximum crown settlement observed (TP-2 and TP-
3 points) for monitoring stations at different RDs starting from North portal in low cover zone are presented in
Table 4.
6.0 BACK ANALYSIS AND FINAL ROCK SUPPORT
Based on the review of geological face logs & instrumentation data of the tunnelling, Rock Class C was further
sub-divided into C1 (RMR = 41 – 50) and C2 (RMR = 51 – 60). Rock Class B (RMR = 61 – 80) were kept
unchanged (refer Table 5). The back analysis and support design for twin tunnels were also carried out based on
the field monitoring data. Instrumentation data showed displacement in each rock class with varying rock cover.
This was utilized for back analysis in order to determine the rock mass parameters to be considered in numerical
back analyses. The revised classification was defined as per Class C1, Class C2 and Class B both with respect to
RMR value encountered at site.

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Low Cover Zone

Table 4: Summary of Monitoring Data

Tunnel Rock Max. Crown settlement
Ch. (m) Cover (m) (mm)
TP2 TP3
12 13.88 4 3
75 13.88 3.33 2
110 17 3 3
160 17.3 7 6
210 20 5 5
Fig.6: Monitoring points
Table 5: Criteria for Rock Class considered for Back analysis
ROCK COVER RMR RANGE ROCK CLASS
Low 41 – 50 C1
(Up to 25m)
Moderate 51 – 60 C2
(25m – 100m) /
(100m – 200m) 61 – 80 B

Based upon the validated rock mass parameters, numerical analyses were carried out for C1, C2 and B Class
for different rock covers. For Class C1, analysis was carried out for minimum rock cover of 12 m and maximum
rock cover of 25 m. Additionally, the tunnel was analysed with and without support along with the considered
loading conditions and reduced modulus of deformation, which was obtained through back analysis for Class C1,
C2 and B. Seismic loading was also considered for all the rock classes under varying rock covers. The seismic
coefficient was calculated as per stipulation of IS 1893 (Part 1): 2002 for varying rock cover. In general, for all
classes of rock, the deformation in the tunnel was quite small and well within the permissible limits. The provided
support in the form of bolts and shotcrete do not significantly impact the deformations (refer Table 4) .
7.0 FINAL SPRAYED CONCRETE LINING
Final sprayed concrete lining required for long term durability of the tunnel section after stabilization of
deformation under given geological condition were provided as shown in Table 6.
Table 6: Summary of Recommended Primary Support and Final Lining in Class C1, C2 and B
Sr. No. Location Primary Support Final sprayed concrete Lining
(Non-structural)
1 Twin Tunnels  Forepoling  300 mm RCC Lining provided
Portal Area  25mm Dia 4m long @ 2500mm in the portal areas of 25 m
c/c Rock bolt (Staggered) length.
 50 mm PFRS
2 Twin Tunnels  25mm Dia 4m long @ 2500mm 50mm PFRS
for Class C1 c/c Rock bolt (Staggered)
Rock Type  50 mm PFRS

3 Twin Tunnels  25mm Dia 4m long @ 3000 mm 50mm PFRS

for Class C2 c/c Rock bolt (Staggered)
Rock Type  50 mm PFRS

4 Twin Tunnels  25mm Dia 4m long @ 3000mm 50mm PFRS

for Class B c/c Rock bolt in Roof (Staggered),
Rock Type Spot bolting in Walls
 25 mm Shotcrete

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8.0 CONCLUSION
Construction of 18 m diameter twin tube tunnel under low overburden (≤1D) conditions posed various
challenges. In order to overcome these challenges continuous improvement and changes in excavation
methodology and support system were carried out based on the actual geology encountered and as per back
analysis. It was also learnt that while making such wider tunnel in low overburden conditions, proper excavation
methodology such as heading & benching or multi drift excavation, consolidation grouting along with timely
support installation before dilation of the disturbed rock mass around the periphery of tunnel is essential. Blast
vibration monitoring through seismograph also help us to improve the blasting pattern to control the disturbance
factor and overall to control the overbreak to maintain the tunnel profile in desired shape. Further other important
part in tunnelling under low overburden zone is 3D monitoring which provide us information about the tunnel
deformation for better control during construction. This helps to keep us alert prior to any major deformation in
the tunnel and if the deformation graphs show an increasing trend, timely remedial measures can be adopted. to
stabilize the rock mass.
ACKNOLEDGEMENT
We are thankful to management of Engineers India Limited for providing necessary support and permission to
complete the study and publication of the paper in INDOROCK 2023 conference.
REFERENCES
Bieniawski Z. T. 1989, Engineering Rock Mass Classifications: A Complete Manual for Engineers and Geologists
in Mining, Civil, and Petroleum Engineering. John Wiley & Sons, New York.
Pal Vimal. 2015, M.SC. Thesis, IIT, Bombay, Geochemistry of lava flow from Kasara -Kalsubai section,
Maharashtra, India.
IS 1893 (Part 1): 2002, Criteria for earthquake resistant design of structures.

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 ThemeStudy
09 - ofBlasting techniques
Blast-Induced forImpact
Damaged safe and economic
on Weak excavations
Rock Mass Stability

Study of Blast-Induced Damaged Impact on Weak Rock Mass Stability

SOM NATH1, HARSH KR VERMA2, ASHOK KR SINGH3, NACHIKETA RAI4

1
Department of Earth Sciences, Indian Institute of Technology, Roorkee, Uttarakhand, India- 247 667
2
CSIR-Central Institute of Mining and Fuel Research, Regional Research Centre Bilaspur (CG) India – 495001
3
CSIR-Central Institute of Mining and Fuel Research, Regional Research Centre Roorkee (UK) India – 247 667
Email: som_n@es.iitr.ac.in

ABSTRACT: Excavation in weak rock masses poses major challenges due to their inherent complex nature and
susceptibility to failure because of low strength and deformability characteristics. Being flexible in approach and
economic in nature, drilling and blasting is an obvious choice for project authorities in construction projects.
However, blast-induced damage is inevitable in rock masses and responds differently based on their quality.
Therefore, disturbance and stress relief caused by blasting are considered by Hoek & Brown in their failure
criterion. A disturbance factor "D" is used to account for the crucial effects of blast-induced damage zones in the
rock mass properties evaluation. The present study investigates the stability behaviour of a weak rock slope
considering the blast-induced damaged layer extending up to 4 m into the rock slope. Good and poor blasting
practices are considered for assigning “D” to the highway rock slope along National Highway-5 in the Himachal
Himalaya, India. The effect of the damage zone due to good and poor blasting on the stability behaviour was
investigated by continuum-based finite element modelling. The outcomes results suggest variability in the failure
behaviour of weak rock slopes as a function of the extent and degree of blast-induced damage in the disturbance
zones.
1. INTRODUCTION
Weak rock masses are prevalent in the Himalayas having complicated geo-mechanical behaviour particularly
along excavated highway cut slopes. While excavating such types of rock masses, their strength and deformational
behaviour become important for modelling and designing purposes because of their intermediate nature between
soil and hard rock (Nickmann et al., 2006). ISRM (1981) classified the weak rock mass based on field assessment
of strength, categories as R0 (UCS < 1 MPa), R1 (UCS = 1-5 MPa) and R2 (UCS = 5-25 MPa). Technically, R0
is treated as soil and R1 and R2 behave like rock mass. The drilling and blasting methods used for the excavation
of rock masses create a Blast Damage Zone (BDZ) or Excavation Damage Zone (EDZ) to some extent parallel to
the rock slope profile. The extent of the BDZ and degree of deterioration of rock mass properties depends on the
intact rock and discontinuity properties. The deterioration of rock mass properties within a rock slope as a result
of various blast-induced disturbances emphasizes the importance of giving earnest attention to the blast damage
zone within the rock slope (Nath et al. 2021). The weak rock mass decreases its strength properties by increasing
the degree of weathering coupled with degrading joint properties ISRM (1981).
In order to consider the impact of both, blast-induced damage and stress relaxation in the stability of rock
masses, the Hoek & Brown (2002) criterion includes a disturbance factor "D." This parameter goes from 0, which
means there is no damage, to 1, which indicates maximum damage in the rock mass. The thickness of the blast-
induced damaged zone was taken from 1 m to 4 m based on the available literature (Verma et al., 2018; Yang et
al., 2020; Satici et al. 2021).
Table 1. The thickness of blast damage zones given in the literature
Site BDZ thickness (m) Rock system References
URL drift 0.4 – 1.0 Hard brittle rock Collins & Young (2003)
Tono drift (Japan) 0.3 – 0.8 Soft sedimentary rocks Sato et al. (2000)
Kiirunavara mine drift 0.5 – 1.0 Hard brittle rock Malmgren et al. (2005)
Three Gorges project Up to 24 Hard brittle rock Sheng et al. (2002)
Äspö drift 0.2 – 1.0 Hard brittle rock Bauer et al. (1996)
Tunnel 1-3.5 Hard rock Verma et al. (2018)
Rock slope 1.6-3.8 Marble rock Yang et al. (2020)
Rock slope 2-3.2 Basalt rock Yang et al. (2020)
Tunnels 4.5 -7.5 weak -fair quality rock mass Satici et al. (2021
Dam sections 1.1 -3.7 Hard rock Wu et al. (2009)

The present case study focused on the study of the failure and stability behaviour of weak rock mass under
blasting conditions taking successive thicknesses of BDZ, from 1 m to 4 m. Based on field observations, the values

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 Som Nath, Harsh Kr Verma, Ashok Kr Singh, Nachiketa Rai

of the D for good and poor blasting for rock slopes were considered from the guidelines provided by Hoek (2012).
Hence, a D value of 0.7 is taken for good blasting whereas a D value of 1 is assigned for poor blasting scenario.

2. MATERIALS & METHODS

In order to understand the impact of variable thickness of BDZ on stability behaviour in weak rock masses,
a highway rock slope consisting of quartz mica schist was chosen. The jointed highway rock slope is situated along
National Highways (NH)-5 near Rampur Bushahr in Himachal Pradesh. Rock mass properties with variable D
were evaluated through the Hoek-Brown failure criteria (Hoek & Brown, 1980) for jointed rock masses using the
Geological Strength Index (GSI). Hoek-Brown failure criterion considers disturbance and stress relaxation in rock
mass due to blasting activity expressed in terms of principal stress as;
3 a
σ1 = σ3 + ci (mb + s) (1)
ci
(GSI−100)
mb = mi exp [ (28−14D) ] (2)
(GSI−100)
s = exp [ ] (3)
(9−3D)
1 −GSI −20
𝑎𝑎 = 0.5 + ( ) {exp( ) − exp( )} (4)
6 15 3

Where σ1 and σ3 are the major and minor principal stresses at failure, σ ci is the UCS of intact rock. Whereas,
mi, ‘s’ and ‘a’ are material constants.
The equivalent continuum model of the highway jointed slope consisting of weak rock mass was created with
varying BDZ thickness using RS2 (Rocscience 2019). The studied rock slope is composed of quartz mica schist
with three joints set as J1 (20º/29º), J2 (80º/126º), and J3 (65º/205º) with means spacing 0.6 m, 0.5 m and 0.7 m
respectively (Fig.1). The height of the slope 15 m with a slope angle of 85º. The Geological Strength Index (GSI)
which is based on visual examination of rock mass structure and joint surface conditions comes in poor or weak
rock mass class with a value of 20 (Marions et al. 2005).
The rock mass parameters were determined for two types of disturbance factor “D”, one is for good blasting
(D=0.7) and another one is poor blasting (D=1). In order to avoid common mistakes in applying the disturbance
factor “D” to account for the impact of BDZ on the entire rock slope, the slope is modelled with increasing
thickness of BDZ from 1 m to 4 m.

Fig. 1 Jointed rock slope model integrating blast damage zone with field-view of rock slope

3. RESULTS AND DISCUSSION

The simulated results of the studied rock slope for variable BDZ thickness under poor and good blasting
conditions are shown in Figures 2, 3, 4 and 5. The displacement contour models of the slope suggest a significant
effect of BDZ thickness on the displacement behaviour in both, good blasting (D=0.7) and poor blasting (D=1)
scenarios. The total displacement is observed to increase drastically from 3.5 m to 4.5 m for BDZ thickness of 1
m to 3 m (Fig. 2a). However, the total displacement is observed almost constant for 3 m of BDZ thickness in good
blasting condition. On the contrary, the total displacement is observed to increase from 4.2 m to 6.8 m for BDZ
thickness of 1 m to 4 m in poor blasting conditions (Fig. 2b). It is also observed that the maximum displacement
and deformation regions are more confined within the BDZ thicknesses in poor blasting condition as compared to
the good blasting condition (Fig. 3 & 4). This effect is particularly critical in slope models with BDZ thickness of
3 m.
The critical SRF value varies from 0.16 to 0.21 and 0.15 to 0.21 for the good and poor blasting conditions
respectively with increasing BDZ thickness. The critical SRF shows a marked decline in their values at BDZ

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 Study of Blast-Induced Damaged Impact on Weak Rock Mass Stability

thickness of 2 m and 3 m for good and poor blasting conditions respectively (Fig. 2). It is to be noted that the
critical SRF is almost identical at BDZ thickness of 1 m and 4 m.
However, observation on the maximum shear strain models shows a continued increasing trend from 0.49
to 0.59 and 0.55 to 0.96 for good and poor blasting conditions respectively with the successive increase of BDZ
thickness (Fig. 2). The maximum shear strain contours which indicate the probable failure surface, observed to be
more or less confined within the blast damage regions with its increasing thickness. This effect is more prominent
in good blasting condition (Fig. 5).

Fig. 2 Simulated results showing variation in CSRF, total displacement and maximum shear strain for different
BDZ thicknesses for (a) D = 0.7 & (b) D = 1.

Fig. 3 Displacement contour models for variable BDZ thicknesses of 1 m to 4 m at D=0.7 & 1

Fig. 4 Deformation contour models for variable BDZ thicknesses at D=0.7 & 1

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 Som Nath, Harsh Kr Verma, Ashok Kr Singh, Nachiketa Rai

Fig. 5 Contours of maximum shear strain for variable BDZ thicknesses of 1 m to 4 m at D=0.7 & 1

4. CONCLUSIONS
The present study highlights the significant impact of BDZ thickness on the stability behaviour of weak rock
masses under good and poor blasting conditions. The major conclusions drawn from the study are as follows;
 A noticeable decline in critical SRF is observed at BDZ thickness of 2 m and 3 m for good and poor blasting
conditions, respectively.
 In both good (D=0.7) and poor (D=1) blasting conditions, displacement behaviour is significantly
influenced by BDZ thickness. Total displacement increases notably with increasing BDZ thickness in both
blasting conditions.
 Maximum displacement and deformation regions are more confined within BDZ thickness in poor blasting
conditions compared to good blasting conditions. This effect is particularly critical with a BDZ thickness
of 3 m.
 Maximum shear strain contours indicating probable failure surfaces, are more confined within the blast
damage regions, especially in good blasting conditions. The difference in maximum shear strain indicates
distinct failure characteristics between good and poor blasting scenarios. The confinement of displacement
and deformation within the BDZ thickness is crucial to understanding the stability of weak rock masses.
ACKNOWLEDGEMENTS
Som Nath thankfully acknowledges the support of the MHRD doctoral fellowship granted by the Indian Institute
of Technology, Roorkee, India.
REFERENCES
Hoek E. (2012), “Blast Damage Factor D”, Technical note for RocNews.
Hoek E. and Brown E.T. (1980), “Underground Excavations in Rock”, Inst. Min. Metallurgy, 527 pp.
Hoek E., Carranza-Torres C. and Corkum B. (2002), “Hoek-Brown failure criterion-2002 edition”, Proceedings
of NARMS-Tac, Vol 1, No. 1, pp. 267-273.
ISRM (1981), “Rock characterisation testing and monitoring”. Pergamon Press, Oxford.
Marinos V., Marinos P. and Hoek E. (2005), “The geological strength index: applications and limitations”,
Bulletin of Engineering Geology and the Environment, Vol. 64, pp. 55-65.
Nath S., Tripathi A., Singh A.K., Rai N, Verma H.K. (2021), “Deterioration in rock mass parameters due to blast
induced damage zone in Himalayan highway slopes: A case study”, In E-proceeding: International
Conference on Recent Advances in Geotechnics EGCON-2021, pp. 401.
Nickmann M., Spaun, G. and Thuro K. (2006), “Engineering geological classification of weak rocks”, In
Proceedings of the 10th international IAEG congress, Vol. 492, pp. 1-9.
Rocscience Inc. (2019), “RS2v9.02, Finite Element Analysis for excavations and slopes” Rocscience Inc., Toronto
Satici Ö. and Topal T. (2021), “Assessment of damage zone thickness and wall convergence for tunnels excavated
in strain-softening rock masses”, Tunnelling and Underground Space Technology, Vol. 108, 103722.
Verma H.K., Samadhiya N.K., Singh M., Goel R.K., Singh P.K. (2018), “Blast induced rock mass damage around
tunnels”, Tunnelling and Underground Space Technology, Vol. 71, pp. 149-158.

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Wu F., Liu J., Liu T., Zhuang H., Yan C. (2009), “A method for assessment of excavation damaged zone (EDZ) of
a rock mass and its application to a dam foundation case”, Engineering Geology, Vol. 104, No. 3-4, pp. 254-
262.
Yang J., Dai J., Yao C., Jiang S., Zhou C., Jiang Q. (2020), “Estimation of rock mass properties in excavation
damage zones of rock slopes based on the Hoek-Brown criterion and acoustic testing”, International Journal
of Rock Mechanics and Mining Sciences, Vol. 126, 104192.

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 Theme 10 - Mining engineering – open cast
Prafulla Chandra Tiwariand underground mines

Underground Coal Mining in India - Challenges and Strategies

PRAFULLA CHANDRA TIWARI
AKS University, Satna, Madhya Pradesh 485001, India.
e-mail: pctiwari56@gmail.com

ABSTRACT: The underground coal production has declined from 76 % during the year 1973-74 to just 4%
in 2022- 23, in Coal India Limited, although around 70% of the total coal reserves are suitable for underground
mining . Underground coal mining in India is plagued with several multi – faceted challenges many of which may
continue in the next foreseeable future also. In fact, underground mining will be the only viable option once the
opencast mining has reached its plateau. The declining trend calls for serious attention by all concerned and a
thorough analysis to revert the trend. The present study is an attempt in this direction which aims at critically
examining the issue pinpointing the challenges in underground coal mining and the strategies to ensure a sustained
positive growth. It also highlights various rock engineering issues likely to be encountered with mechanization as
well as mining at depths.

Key Words: Underground Coal Mining, Coal Production, Coal Reserves, Productivity, Mechanization,
Continuous Miner.

1.0 INTRODUCTION
In Coal India Limited, almost all underground mines are incurring losses. As per one study, the company
absorbs a loss of nearly Rs 10, 000 crores per annum in operating underground mines, employing about 75 % of
its total manpower (Wanare, et al, 2017). The economics of underground mining is affected by a host of factors
including increase in salary and wages vis- a - vis sale price of coal, prevailing low output per man shift, higher
cost per ton and long gestation period (Debnath, 2008). In large coal producing countries like China, USA and
Australia, the contribution of underground coal production is 95%, 34% and 26% respectively. However, in India
it has declined to merely 6%, which is an issue of grave concern. Therefore, reverting this trend by enhancing
underground coal production, is the biggest challenge for coal industry in India. In CIL, over 50% of its
underground mines are producing below one lakh tonnes per annum and output per man shift has also remained
almost stagnant over the years at less than one as can be seen in Table 1. The very high cost of mining has been
one of the most important reasons for continuously declining trend of production from underground mines. The
stringent environmental laws, land acquisition issues, rehabilitation and resettlement etc has further complicated
the concerns for making underground coal mining an economically viable proposition. However, in recent years,
there has been more thrust on underground coal mining in India in view of many critical issues associated with
opencast mining like difficulty in land acquisition under the current socio-political environment, large scale
irreparable environmental damage, the growing concern for mitigating the environmental impacts and its
associated cost, gradual depletion of coal deposits at shallow depths, etc. In order to increase underground coal
production in India now time has come where we must think to mechanize and adopt new and advanced
technologies in our underground mines so that we are able to work under difficult geomining environment
particularly for the coal deposits at depth (Dixit, 2008). For extraction of thick seams over 5 meters, mechanised
longwall mining with caving of top coal appears promising, with high percentage of extraction and better
productivity (Sarkar and Ghosh , 2006). In the present study, an attempt has been made to highlight the challenges
in underground coal mining and the strategies to overcome the same.
TABLE 1: Coal Production and Productivity in CIL Mines
Year Coal Production (MT) Productivity (O.M.S.)
UG OC Total UG OC Overall
2022 - 23 25.04 664.01 703.20 0.99 15.12 9.62
2021 - 22 25.64 597.01 622.63 0.88 16.79 9.60
2020 - 21 26.45 569.76 596.22 0.93 19.42 10.32

2019 - 20 30.04 572.10 602.14 0.99 17.90 9.64

2018 - 19 30.48 576.40 606.89 0.95 15.21 8.67

2017 -18 30.54 536.82 567.36 0.86 13.15 7.44

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 Underground Coal Mining in India - Challenges and Strategies

2016 - 17 31.477 522.66 554.14 0.80 15.00 7.48

2015 - 16 33.78 504.97 538.75 0.80 15.35 7.15
2014 - 15 35.04 459.19 494.24 0.78 14.63 6.50
2013 - 14 36.11 426.31 462.42 0.76 13.16 5.79
(Source: CCO , Ministry of Coal and CIL)
2.0 GEOLOGICAL COAL RESOURCES, PRODUCTION AND PRODUCTIVITY
Figure 1, depicts the major coalfields of India, showing both the Gondwana and Tertiary coalfields. The
inventory of geological resources of Indian coal, prepared by GSI on the basis of resources estimated by CMPDI,
GSI, MECL, SCCL and a few Private/Public entrepreneurs is presented in Table 2. It is seen that a total of
361411.46 MT of geological resources of coal have so far been estimated in India, up to the maximum depth of
1200 m. Out of the total resources, the Gondwana coalfields alone accounts for 3,59,755.92 Mt (99.5%), while
the Tertiary coalfields of Himalayan region contribute 1,655.54 Mt (0.5%) of coal resources. It also shows that
over 55 % of the total resources are available at the moderate depth of up to 300 meters in India.

Figure 1: Major Coalfields of India (Source : Geological Survey of India, 2022)

Table 2: Depth wise, Category wise Coal Resources (MT) in India, as on 1 st April 2022
Depth (m) Proved Indicated Inferred Total % Share
0 - 300 129497.13 61630.42 7694.70 198822.25 55.01
300 - 600 36444.98 66026.94 12795.93.93 115267.85 31.89
0-600 (Jharia) 14365.67 441.96 14807.63 4.1
600 - 1200 6797.54 19152.86 6563.33 32513.73 9
Total 187105.32 147252.18 27053.96 361411.46 100
(Source: Geological Survey of India, 2022)

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The technology wise coal production and productivity during last ten years in CIL mines is presented in
Table 1, in which , It can be seen that OC coal production has increased from a level of 426.3 MT to 664.01 MT ,
whereas UG coal production has declined from 36.11 MT to 25.04 MT, during the last ten years period.
3.0 DECLINING TREND IN UNDERGROUND COAL PRODUCTION
The main reasons for the declining trend in underground coal production are on account of the following
issues.
1) Non availability of indigenous manufacturing facilities for equipments and spares for continuous
miner districts and mechanized longwall faces.
2) Lack of appropriate technologies to mine coal from thick and steeply inclined multiple seams.
3) General shortage of conventional stowing materials.
4) Stipulation of 12 % IRR on investment for opening up of mines.
5) Mounting losses in underground mines due to higher cost of mining.
6) Difficult geo mining conditions in many cases.
7) Conversion of underground to opencast mines.
8) Some restriction imposed by DGMS and MOEF & CC on mine workings.
9) Long gestation periods mainly due to poor mechanization for incline drivage and shaft sinking.
4.0 REASONS FOR FAILURE OF MECHANIZATION IN UNDERGROUND MINES
The main reasons for failure of mechanization in underground mining in general and of longwall technology
in particular, are the following.
a) Installation of longwall packages in unsuitable conditions primarily due to poor geo-mechanical studies.
b) Multiple sources of equipment supplies and lack of supplier accountability.
c) Unavailability of spare parts due to lack of long term service contracts.
d) Inadequate trained persons and training facilities to operate and maintain longwall equipments.
e) Lack of repair and rebuild facilities.
f) Poor mine infrastructure
g) Lack of management expertise.
5.0 CHALLENGES IN UNDERGROUND COAL MINING
At macro level, the challenges and road blocks to mining in general relate to issues of sustainability
converging on resource depletion, environmental impacts and social responsibility; access to capital and
technology for the needed transformation of the mineral sector; issues of governance, vis a vis transparency and
decision making; major constraints in infrastructure; image problems of the mining industry and lack of proactive
advertisement advocacy by the industry (Ghose, 2008). Now at the micro level, apart from declining production
and contribution, the most alarming thing with regard to underground mining is the continuously soaring cost of
production (Rana and Sharan, 2016). There are a host of challenges in underground coal mining including
geomining, technological, new hazards, socio-economic and environmental (Rana et al, 2018).
5.1 Geomining Challenges
Underground mining of coal is bound to extend to deeper levels with the gradual exhaustion of coal seams at
shallow depth, which is associated with numerous challenges including rock engineering, longer gestation period
etc, as noted below.
1) Rock Engineering Challenges: The major rock engineering challenges, characterizing mining at great
depth include, high in situ state of stress, high earth temperature, high pore/joint water pressure and
significant time dependent effects (Xie et al, 2019).There are also numerous associated issues like bumps,
ground control , increased pillar sizes and lower extraction percentage etc. High stress is a decisive factor
resulting in severe damages and accidents in deep mines. In mining below 1000 m, in situ stress often
exceeds the rock mass compressive strength.
2) Higher Transportation Cost: In view of longer paths involved for transportation of men and material,
there will be increased transportation cost.
3) Complex Ventilation Problems: With increasing depth of mines the issue mine ventilation becomes more
complex and cost of ventilation increases besides lowering the productivity in mine.
4) Capital Intensive Mining Method: The conventional Board and Pillar method is not feasible at increased
depth and capital intensive mining method such as long wall mining becomes the only option.
5) Complex Pumping Arrangements: With increasing depth of mines the pumping arrangements becomes
more complex and more costly for obvious reasons.
6) Complicated power supply and communication networks: The power supply and communication
network is more complex.

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7) Enhanced Cost of Mining: There is invariably an increased cost of mining at depths.

8) Decreased Production Capacity of the Mine: Except in capital intensive mass production technology,
there is always decreased mine production capacity.
5.2 Adaptation of Mass Production Technology
Application of the mass production technology for increasing the rate of mining appears to be a simple
solution but is always a challenging task. The challenges include requirement for high reserve base, lengthy process
of contract finalization in PSUs, training and retraining of operational / maintenance crews and negotiating
contracts with global manufacturers and mining contractors only.
5.3 Challenges to Apprehend New Hazard
The changed geo mining conditions due to increasing depth, degree of mechanization, etc is apprehended to
bring new hazards like coal bumps, ground failures, high heat and humidity, etc, which had been non existent so
far. The coal company has to face these challenges and control / manage the associated risks.
5.4 Socio-Economic Challenges
The mining industries in India generally has to address numerous social issues including land acquisition,
corporate social responsibilities, employment of local people, and rehabilitation and resettlement of the PAPs, etc.
All these issues have adverse financial implications on the projects besides delaying them. They are bound to grow
further in future in dimensions as well as severity and overcoming them would be a real challenge.
5.5 Environmental Challenges
While coal mining in a sustainable and environment friendly way, maintaining the ecological balance, is
perhaps one of the greatest challenge all around the world. Though the environmental impacts of underground
mining are comparatively moderate, coal mining projects in forest cover, requires clearance from MOEF & CC,
with impacts on mine economics.
6.0 STRATEGIES TO OVERCOME THE CHALLENGES
With the objective of a complete turnaround in coal production and economics of underground mining, some
strategies include tax exemption, subsidy, monetary compensation for underground projects by charging cess on
cheaper opencast coal, incentive schemes, outsourcing of non-core mining activities , new economic criterion for
project approval, etc ( Debnath, 2008). Over the past few years continuous mining systems have been introduced,
fully mechanizing the board and pillar method of mining and consistently good results achieved in both good and
poor geomining conditions (Johnson, 2006). India needs the supply of superior grades of coal from underground
mines for economic growth, which is possible if the following strategies are implemented with a positive approach.
a) Fast track for approved project reports: To avoid delay, putting on the fast track and setting a
monitoring mechanism at the corporate level for the projects with approved PR.
b) Critically examining mine systems and sub systems: All the SDLs / LHDs mines with poor production
and productivity should be examined critically for its systems and subsystems with a view to identifying
the bottle-necks areas.
c) Introducing mass production technology: In the existing mines, geo mining conditions for operating
LHDs and Continuous miners being similar, we may consider replacing LHDs with continuous miners in
a phased manner where ever feasible (one such popular continuous miner is depicted in Figure 2).
d) Improving availability and utilization of equipment.
e) Use of alternate stowing materials, like M- sand, etc (Figure 3 depicts one such M - sand plant in operation
in CIL mine).
f) Amalgamation and reorganization of mines.
g) Containing cost of production.
h) Coalfield wise master plan: Preparation of master plan for underground mining in each coalfield
comprising of planning new projects, required infrastructure, etc.
i) Simplification of project approval procedures: For introduction of new technology in mines, the
procedure for implementation of new technology should be simplified.
j) Simplification of the procurement procedure.
k) Development of green technology: Encouraging development of green technology such as underground
coal gasification, coal bed methane, coal mine methane, etc.
l) Outsourcing of some non-core mining operations: Some of the mining operations like mine
development activities, etc should be outsourced.
m) According infrastructure status to coal sector: In line with the Railways, coal sector should also be
given the infrastructure status under the relevant section of the IT Act.

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n) Tax holidays and duty exemptions: Exemption in custom duties on imported equipment should be given
besides tax holidays and other duty exemptions.
o) Grant for infrastructure development in coal bearing areas- full funding by CCDA.
p) Incentive schemes in mechanized underground projects. Undertaking thorough geo mining investigations
before formulation of projects.
q) Exploring the possibility of application of high wall mining where ever feasible.

Figure 2. Showing a JOY12CM30 Miner Bolter Figure 3. Showing a Typical M- Sand Plant
(Source: Komatsu) (Source: Ministry of Coal)
7.0 CONCLUSIONS
The conclusions deduced from this study are as follows:
 The increasing demand of coal requires sustenance of mining technology in general and underground coal
mining technology in particular. As the future coal reserves are going to be deeper, the productive and more
efficient underground mining will be more relevant than today. Effective planning with better inputs,
understanding the strata mechanics, etc. are vital.

 The challenges has to be faced through strategic actions and serious efforts by all concerned bringing in
modernization, mechanization and re-engineering so as to achieve a turn-around situation.
 Among all the options of mass production technology, the imported version of continuous miner or low
capacity continuous miner is considered promising one.
Acknowledgements
The author is thankful to the management of AKS University, Satna .The views expressed by the author are
his own and not necessarily of the organization to which he belongs.

REFERENCES
Agenda Paper for Consultative Committee Meeting, (2007), “Underground Coal Production - Challenges and
Opportunities”, Ministry of Coal, Government of India, Hyderabad.
Debnath, A.K. (2008), “Underground Mine Economics Under Threat - Future Strategy to Overcome,” Proc.
Second Asian Mining Congress, MGMI, Kolkata, pp. 447 - 454.
Dixit, M.P. (2008), “Underground Mining Technology - Today and Strategic Planning in SECL, CIL”, 2nd Asian
Mining Conference, MMGI, Kolkata, pp 77- 86.
Ghosh, A.K. (2006), “Mining in Asia - Towards A Sustainable Future”, 1st Asian Mining Congress, MGMI,
Kolkata, pp 14 - 17
Johnson, D. (2006), “The Need to Fully Mechanize the Underground Coal Industry in India”, 1st Asian Mining
Congress, MGMI, Kolkata, pp 209- 215.
Rana et al. (2018), “Challenges in Underground Coal Mining”, Minetech, Volume 39, No 4, pp. 3- 9.
Rana, A.K. and Saran, S. (2016), “Overview of Underground Mines in CIL”, Minetech, Volume 37, No 4, pp 14
- 21.
Sarkar, S.K. and Ghosh, A.K. (2006), “Longwall Mining in India - Quovadis?”, 1st Asian Mining Congress,
MGMI, Kolkata, pp 216 - 224.
Wanare R.M. et al (2017), “Challenges in Underground Coal Mining in India”, Minetech, Volume 38, No 3, pp.
35 - 43.
Xie, et al, (2019), “Deep Mining, Rock Mechanics and Rock Engineering”, Special Issue, 52, pp 1415–1416.

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 Theme 10 -measurements
In-situ stress Mining engineering – open cast
at deep underground and
mine underground
of Rampura mines
Agucha, Rajasthan,
India – A Case study
INDOROCK 2023: Ninth Indian Rock Conference 16-18 November 2023

In-situ stress measurements at deep underground mine of Rampura Agucha, Rajasthan,

India – A Case study

DS SUBRAHMANYAM1 G SHYAM2 VAMSHIDHAR K2, VIKRAM S2

1
Scientist F & Head, GED, NIRM
2
Scientist GED, NIRM
(e-mail of corresponding author: ged.nirm@gmail.com)

ABSTRACT: This paper discusses about the in-situ stress measurements carried out at deep underground
Rampura Agucha mine. They were conducted to evaluate the stress regime below the mined-out stopes. Stress
measurements were carried out by Hydraulic testing of pre-existing fractures method inside the two boreholes of
different depths ranging from 600 to 1000 m of rock cover. A sophisticated data interpretation method, Shut-in-
pressure (Psi) method was used under the analysis program GENSIM. The determination of shut-in-pressure was
straight forward when a sharp break after the fast pressure declines following pump shut off. The shut-in-pressure
was calculated from the last cycle of the pressure vs. time curve.
‘K’ value plays a vital role in excavation design. It is the ratio of major principal horizontal stress over vertical
stress. The K value indicates Low to moderate stress magnitude at the vicinity of the testing sites and the prevailing
Maximum principal horizontal stress direction at the testing site is N 50 0 at BH 1 (-455 mRL) and N 600 at BH -2
(-345 mRL). The major principal stress direction is in line with major geologic structures present in the area. A
low stress magnitude of 1.35 MPa has been observed at 864.6 meters depth. This may be due to the study area
may be characterized by low compressive stresses. This is may also be due to the region is subjected to extension
tectonics [Rummel, F. 2005].
1 INTRODUCTION
Stresses after excavation are always the matter of interest for a mine design. Stress conditions may redistribute
after mining activity gets initiated. This information helps in planning the stope design, sequence in mining blocks
and extent of reinforcement required. This further directs in choosing the economic Safeway of mining under safe
roof.
The Rampura Agucha Mine (RAM) is an underground zinc and lead mine, located in the Bhilwara district of
Rajasthan (Figure 1.1). This is the largest and richest lead-zinc deposit in the country. It has ore reserves of 75.0
Mt with average grade of 10.8% zinc and 2.0% lead. RAM continued to scale its operations with focused
interventions on operational and technology fronts with new targeted initiatives that led to a 5.6% year-on-year
increase in ore production and 10.4% increase in mined metal production over the previous fiscal 2021-22. RAM
is currently producing 4.5 Mtpa. It is in the process of building infrastructure to support its expansion plan to
enhance ore production beyond 4.5 Mtpa.

2 GEOLOGY OF STUDY AREA

Rampura Agucha is a stratiform, sediment-hosted Lead Zinc deposit, occurs in Pre-Cambrian Banded Gneissic
Complex and forms a part of Mangalwar complex of Bhilwara geological cycle (3.2-2.5 billion years) of Archean
age and comprising of magmatites, gneisses, graphite mica schist, pegmatite and impure marble. The rocks have
been subjected to polyphase deformations and high-grade metamorphism. The deposit lies in the contact zone of
Mangalwar - Sandmata complex and along the major NE trending Delwara lineament and predominantly covers
southeast plain of Ajmer and Bhilwara.
The Rampura-Agucha mixed sulfide deposit is a massive lens shaped ore body with a NE-SW strike length of
1500-m and a width varying from a few meters in the NE direction widening to as much as 120-m in the central
to SW section. The ore minerals (mainly sphalerite and galena with sulfide gangue, pyrite and pyrrhotite) are
present in schistose matrix of quartz, potash feldspar, sillimanite, graphite, and various micaceous minerals. Minor
metals include cadmium, silver, and copper.
The ore body, which dips from 50 0 to 700 towards SE has been drilled and proved to a depth of 1065 m from
surface, remaining open in depth (figure 1). It exhibits relatively sharp contacts with the NW footwall and SE
hanging wall, which consists of highly deformed and metamorphosed gneissic rocks. No major faults have been
detected in or adjacent to the ore body.

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Fig. 1 Transverse section along NS-00.

3 METHODOLOGY
The hydraulic testing of pre-existing fractures method is intended for the determination of in-situ stress
parameters viz. magnitude and direction of maximum principal stress at the vicinity of the testing area. It is
generally conducted in a borehole at desired locations, normally consisting of three or more zones at different.
Depths (figure 2). For determination of stress at greater depths, the zones can be decided accordingly to the site-
specific requirements.

Fig. 2 LVS of Rampura Agucha mine locating boreholes BH 1 and BH 2

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3.1 Equipment
The hydraulic fracturing assembly with steel reinforced packer elements with outer diameter 70 mm (figure
3) was used for fracture initiation and extension. The length of each packer element was about 635 mm, the test
interval length was about 350 mm. This equipment is manufactured by IPI (Inflatable Packers International)
Australia.

Fig. 3 Hydraulic fracturing tool

Two numbers of high-pressure hoses (diameters 3/8 and ¼ inch, Working Pressure 78 MPa / Burst Pressure
280MPa) is used for water injection and packer inflation. The maximum injection rate of the electric pump is about
14-16 l/min. Packer and interval pressures were monitored by pressure gauges and pressure was controlled by
control panel unit (figure 4). Data was stored digitally in laptop through data acquisition system. Acoustic borehole
televiewer is used to obtain information on the orientation of the induced or opened fracture traces at the borehole
wall. The schematic illustration of the hydraulic fracturing test and acoustic borehole televiewer setup is shown in
figure 5.

Fig. 4 Flow control panel and high-pressure water pump

3.2 Test procedure

After the Hydraulic fracture assembly was positioned at a pre-determined test section (selection is based on
core inspection and pre-scan data from acoustic borehole televiewer), the injection pressure was increased until a
hydraulic fracture was initiated, or a pre-existing fracture was opened. Subsequently, two to three refrac-cycles
were conducted. Between the injection cycles the system was vented. The back flow from the fracture into the
interval section was observed by short valve closures during the venting phase. Finally, the packers were deflated,
and the tool was moved to the next test section.

After all the hydraulic fracturing tests were conducted in the borehole, the Acoustic borehole televiewer tool
was run to obtain the information on the orientation of the induced or opened fracture traces on the borehole wall.
The geometry of major subsurface structural discontinuities and the geological formations surrounding the
borehole are recorded and processed in sophisticated Well CAD software.

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Fig. 5 Schematic diagram of hydraulic fracture experimental set-up

4 DATA ANALYSIS

The in-situ stress measurements were conducted with the following situations:
i. Pronounced topography.
ii. Presence of anisotropic rock.
Due to the above aspects a medium to large scatter in fracture orientation data were noticed which negated the
use of classical simple Hydro fracture hypothesis suggested by Hubert and Wills (1957). Therefore, data analysis
required a more sophisticated method, namely the interpretation of measured normal stress acting across arbitrary
oriented fracture planes.
In this method the shut-in pressure Psi is used to measure the normal stress component under the assumption
that the vertical is a principal stress axis and the vertical stress σV is equal to the weight of the overburden. The
analysis program GENSIM was used to calculate the magnitude and the direction of principal stresses based on
the equation (1):

σh = (Psi - n2. σV) / (m2 + l2. (σH/σh)) (1)

Where, l, m, n is the cosines of the direction of the induced fracture plane related to the principal stress axis.

σH = Maximum Horizontal Principal Stress

σh = Minimum Horizontal Principal Stress

5 TEST RESULTS

The fracture traces are obtained by processing sonic log data in well cad software. The boreholes are logged
both in pre and post during testing period. Hence were able to differentiate between the induced and pre-existing
fracture traces. In this case in all test locations all the traces are of pre-existing fractures only. There were no
induced fractures due to the presence of closely spaced joints. Also, there were some test zones where shut-in
pressure could not be able to be achieved due to presence of joints scattered close enough. Due to this we were
unable to arrive at test results at these depths. Some of the test zones in ism01 and 02 where horizontal fractures

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are logged. At these depths, we were able to measure vertical stress directly as normal stress across the fracture
which is in turn the vertical stress.

To evaluate the stress regime at the Rampura Agucha mine, stress measurements were carried out by hydraulic
testing of pre-existing fractures method inside the five boreholes. A sophisticated data interpretation method, Psi
(Shut-in–pressure) method was used under the analysis program GENSIM. The determination of shut-in-pressure
was straight forward when a sharp break after the fast pressure declines following pump shut off. We calculated
the shut-in-pressure from the last cycle of the pressure vs. time graph (Figure 6). The orientation of the fracture
traces along with corresponding shut-in pressure are given in Table 1. The result is given in Table 2.

Fig. 6 Determining the shut-in pressure

Table 1. Orientation of the fracture traces

(i) Location: BH 1 (-455 mRL) Rampura Agucha mine
Sl Depth in Fracture Strike Fracture Inclination (0-900) Shut in pressure in MPa
No meters N-E Degrees
1 55.5 240.1 87.5 *
2 70.0 268.5 87.9 *
3 81.5 202.5 89.3 *
4 135.5 213.5 87.8 16.50
5 147.0 265.3 59.5 21.00
6 168.0 216.3 89.1 18.55
7 175.0 192.5 81.7 15.78
8 215.0 307.4 82.4 20.42
9 232.0 252.9 85.8 22.00
10 241.0 215.7 88.7 19.20
11 250.0 289.4 84.3 16.80
12 286.0 242.5 89.1 18.41
13 298.5 122.2 87.0 19.63
14 322.0 183.7 43.7 22.68
15 344.6 328.4 56.0 *
16 350.0 096.6 88.2 *
17 360.1 252.2 89.4 *
*Note: Shut-in pressure could not be achieved

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(ii) Location: BH 2 (-345 mRL) Rampura Agucha mine

Sl Depth in Fracture Strike Fracture Inclination (0-900) Shut in pressure
No meters N-E Degrees in MPa
1 59.0 342.7 89.0 0.90
2 80.0 289.0 88.1 1.00
3 90.5 167.4 83.3 0.78
4 128.5 260.0 88.4 0.74
5 140.5 156.5 89.5 0.96
6 159.5 201.7 88.5 1.10
7 169.0 280.0 89.7 0.88
8 174.0 216.5 87.8 0.95
9 205.5 252.0 47.0 1.11
10 216.5 97.0 87.4 *
11 224.5 334.0 82.0 1.13
12 239.0 221.0 89.0 1.11
13 247.0 119.8 88.2 *
14 277.5 069.8 88.6 0.71
15 292.5 214.4 85.1 0.77
16 295.0 082.3 85.2 0.87
*Note: Shut-in pressure could not be achieved

Table 2. Test results of Rampura Agucha mine

Location: BH 1 (-455 mRL) Rampura Agucha mine
k
Rock θ σV
Test Depth in σh σH based on
cover in in calculated
meters in MPa in MPa σV
meters degrees in MPa
calculated
902.0 150 14.21 ± 0.85 21.31 ± 0.56 50 24.4 0.87
977.0 225 14.72 ± 1.62 22.08 ± 2.43 50 26.4 0.83
1052.0 300 16.53 ± 0.76 24.79 ± 1.14 60 28.4 0.87

Location: BH 2 (-345 mRL) Rampura Agucha mine

k
Rock θ σV
Test Depth σh σH based on
cover in in calculated
in meters in MPa in MPa σV
meters degrees in MPa
calculated
639.6 75 0.54 ± 0.03 1.08 ± 0.06 50 16.96 0.06
714.6 150 0.75 ± 0.06 1.13 ± 0.09 60 18.96 0.06
789.6 225 0.89 ± 0.09 1.34 ± 0.14 60 20.96 0.06
864.6 300 0.67 ± 0.03 1.35 ± 0.06 50 22.96 0.06

6 CONCLUSIONS
Rock mass has heterogeneous property. This contains various other factors that may alter the in-situ stress
parameters encountered at same depths even though they are in very close proximity. Apart from this In-situ stress
also gets affected by geological discontinuities and disturbances like faults and folds. Sometimes it may follow the
paleo stress condition or neo stress condition like plate tectonics. The role of geology has been described by giving
clear picture that the test locations are majorly affected by the local geology.

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INDOROCK 2023: Ninth Indian Rock Conference 16-18 November 2023

A low stress magnitude of 1.35 MPa has been observed at 864.6 meters depth. This may be due to the study
area may be characterized by low compressive stresses. Prof. Rummel, F. in his book “Rock mechanics with
emphasis on rock stress” given a reason implying that this is due to the region is subjected to extension tectonics.
However, it is recommended that confirmatory studies should be made in vicinity of the study area to know about
the stress magnitude. The average maximum principal horizontal stress direction is N 500 at BH 1 and N 600
at BH - 2. This is in line with the major geological structures of the area.

ACKNOWLEDGEMENTS
The authors would like to express their thanks to the Director National Institute of Rock Mechanics, under
Ministry of Mines, Govt. of India for permission to publish this paper. The authors also highly grateful to the
management of Hindustan Zinc Ltd. for extending all the facilities during the investigations.

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impact of completion designs on multi-stage fracturing via block test experiments. In Proc. 55th US Rock
Mechanics/ Geomechanics Symposium, Houston, TX. American Rock Mechanics Association.
Rabi, B. Naik Sripad, R. Vijay, S. Sudhakar, K. Mishra, A. (2016). Stability analysis of shafts in the proposed
deepening in Zawar mines, HZL: a case study. Proceedings of the conference on Recent Advances in Rock
Engineering. vol. 91, pp. 484–491.
Rummel, F. (2005) Rock mechanics with emphasis on stress, A.A Balkema Publishers, London, pp. 26-27, pp.
41-44.
Sinha, A. (2005). Hydarulic fracturing stress measurements from underground openings in India. Chapter in book
“Rock Mechanics with emphasis on stress. A.A. Balkema Publishers, London. Editor – Rummel, F. Chapter
– 3, pp 37-54.

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 Theme 10 - Mining
Manish engineering
Kr Meena, – openR.cast
Ashok Kr Singh, and underground
D. Dwivedi, J. K. Mohnot mines

Study on the Mechanism of a Large Wedge Failure in Dadam Opencast Mine, Haryana

MANISH KR MEENA1, ASHOK KR SINGH1, R. D. DWIVEDI1, J. K. MOHNOT1

1
CSIR-Central Institute of Mining and Fuel Research, Regional Research Centre, Roorkee (UK) India – 247 667
Email: ashokkumar@cimfr.nic.in

ABSTRACT: The present study aims to investigate the mechanism involved in a massive wedge failure disaster
with a block volume of about 2700 m3 that occurred in the Dadam Granite Mines in Haryana on the night of
December 31, 2021. The wedge failure occurred at the boundary junction of adjoining Pit Nos. 37 and 38, which
are adjacent to the revenue forest area of Aravalli Hills. In light of this unfortunate deadly accident, this study
examined the reasons for the formation, initiation, and translation of such large wedges along with stability
scenarios based on detailed geological and geotechnical investigations. During the field investigation, rock-mass
parameters were collected to quantify the prevailing geo-mining conditions. LiDAR surveys were also conducted
to acquire 3D geometrical configuration of the existing pit section. The field investigation indicates that the
kinematically unfavourable joints led to this massive wedge failure triggered by water inflow within the open and
highly persistent (>22 to 55 m) joints that washed out the soft infilled materials (clay & silts) and created a slip
surface along the oblique joint owing to a sudden decrease in shear strength along the basal joint plane. The surface
joint acted as a release plane as the flow imprints of the infilled joint materials were quite visible on the remnant
vertical and daylight-ed oblique joint walls. In view of the back-calculated Slope Mass Rating (SMR) using the
continuous function, the kinematic potential wedge falls into Class IV and V, suggesting entirely unstable
conditions. Based on the findings of detailed field investigation and kinematic analysis, the potential processes
underlying such catastrophic wedge failure are discussed in the present study.
1 INTRODUCTION
Opencast mine slope failures can have severe and far-reaching effects on mining operations and safety. Slope
failures of such mines are the result of bench collapse or the movement of rock masses within the mine. These
events have numerous consequences that can affect both the efficiency of mining operations and worker safety.
This includes disruptions in production, delays in project schedules, idleness of personnel and equipment, potential
accidents, equipment damage, psychological distress, and thus it needs to comply with regulatory requirements.
Additionally, slope failures can trigger secondary failures that can be threats to safety and make recovery efforts
more challenging. Unstable pit walls can also lead to dangerous rockfalls, which can pose significant safety risks
for workers and equipment (Asteriou et al. 2012). Therefore, maintaining stable slopes is of paramount importance
in opencast mining operations. In that sense, the selection of overall pit geometry and pit slope angle is very crucial,
as these are directly associated with the stability of the pit walls and the overall cost-effectiveness of the mining
operation (Alejano et al. 2007).
The stability of mine slopes generally depends on various geo-mining factors, including local and regional
geological discontinuities, characteristics of rock masses, pit geometry, blast loading, groundwater and rainfall
conditions (Giani 1992, Bhandari 1997). Based on these parameters, risk evaluation associated with mine slope
failures is an important aspect in open cast operations as these failures can have significant impacts on the stability,
safety and sustainability of mining operations and the environment. So, proper geotechnical study-based risk
assessment of ultimate mine-pit and bench slopes helps in identifying potential slope stability issues and designing
them to minimize the risk of accidents as well as timely suitable steps can be taken for the mitigation of the hazards.
Stead and Wolter (2015) emphasized the pivotal role of geological structures in understanding the mechanisms
behind rock slope failures in opencast mines. They emphasised that the orientation and strength of discontinuity
structures are critical factors influencing the overall stability of rock slopes. The strength of these discontinuities,
in turn, is impacted by various factors such as persistence, roughness, aperture, and the inherent strength of the
rock (Singh et al. 2021). Chen and Cheng (2017) further highlighted that even a seemingly gentle rock slope can
be susceptible to failure if unfavourably oriented weak planes are present. These weak planes, considered as
potential failure surfaces, can significantly compromise the stability of a rock slope. This understanding has led to
the recognition of the anisotropic behaviour of a rock mass, as highlighted by researchers (Stead and Wolter 2015).
In practical terms, it becomes crucial to analyse the interrelationship between these weak planes when assessing
the stability of rock slopes. Hence, a comprehensive consideration of geological structures and their orientations
is essential for accurate and effective assessments of pit slope stability.
Therefore, considering the role of geological discontinuities in large pit slope failures, the present study
investigates the mechanism involved in a massive wedge failure disaster with a block volume of about 2700 m 3
that occurred in the Dadam Granite Mines in Haryana on the night of December 31, 2021.
2 GEO-MINING CONDITIONS OF THE DADAM MINE
Dadam Mine is located near Dadam village of Tosham Tehsil in district Bihawni of state Haryana. It is one
of the isolated inselbergs including Khanak, Tosham, Riwasa, Dulheri, Nigana, Dharan, Kharkhari and Sohan. The

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area is covered by older alluvial deposits of quaternary age and aeolian sands limited to small parts of the district
and is marked by Aravalli hill exposures. Older alluvium occurs extensively in the area consisting of inter-bedded,
lenticular, inter-fingering deposits of gravel sand, soil, clay, and kanker mixed in various proportions. Dadam Hill
is a part of the Tosham Ring Complex (TRC) which is the remnant of the outer ring of a fallen chamber of an
extinct volcano around 732 million years ago equivalent to the lower Vindhyan group.
The geological province of TRC is an oval-shaped ring dyke on the fringes of a collapsed caldera from
Khanak to Nigana khurd on its NW- SE axis and Dadam to Tosham on its E-W axis. Except for the Tosham Hills
all other exposures of the TRC are intrusive rocks including Dadam Hills. TRC is part of Malani igneous suit
which is the largest felsic igneous province situated in the NW part of India. The lithological unit at Dadam
resembles the second stage of discordant pluton of alkali and alkali feldspar granite. The granite at Dadam is hard,
homogeneous and non-foliated. It is characterized by pink to grey-coloured medium-grained rocks consisting of
quartz, feldspar and biotite as major minerals and porphyry texture. These granites are the host of minor minerals
for the production of masonry stone.
3 CHARACTERISTICS OF FATAL PIT SLOPE FAILURE IN DADAM MINE
The slope failure accident occurred in the slope section of Pit No. 37 & 38 adjacent to the Revenue Forest
Area in the eastern and western margin of the pit (Fig. 1). The rock mass of the failed slope appears very blocky
and competent. The flow imprints of infilled joint materials (clay and silts) were quite visible on the remnant
vertical and day-lighted oblique joint walls (Fig. 2a). This signifies the water inflow within the open joints that
washed out the soft infilling materials and might create slip surfaces along the oblique joint resulting in massive
wedge failure due to a sudden decrease in shear strength along the basal joint plane. The surface joint acted as a
release plane for such a huge size (28 m × 12 m × 8 m) wedge failure as shown in Figure 2b.

Fig. 1. 3D view of the Pit No. 37 & 38 with location of fatal wedge failure
The exiting slope section consists of three sets of major joints with random ones. The exposed joints are quite
persistent (> 22-55 m) with wide to very wide spacing (8-10 m) that instigates the occurrence of very large to
extremely large in-situ blocks with potential for failure. These mutual joints are orientated unfavourably leading
to the formation of various unstable blocks that cause rock failure mainly wedges and toppling types. The stability
condition degrades drastically as joints dilate due to progressive weathering (due to geo-environmental agents such
as water, temperature variations etc.). The visual inspection suggests that pit slopes have the potential for
geologically controlled block failures due to overhanging blocks.

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 Manish Kr Meena, Ashok Kr Singh, R. D. Dwivedi, J. K. Mohnot

Fig. 2. (a) Field-view of the failed wedge with relic flow trails of infillings along the joints
(b) Dimension of failed wedge
4 METHODS
A detailed field investigation was conducted to understand the failure mechanism of the fatal wedge failure in
the Dadam opencast mine. The geological and geotechnical data along with joint characteristics were collected
from Pit No. 37 & 38, where the fatal failure had occurred. Rock mass characterisation, kinematic analysis and
back calculation of continuous slope mass rating were carried out to analyse the structurally controlled failures
susceptibilities in the high vertical pit wall. Furthermore, Q-slope analysis (Bar and Barton 2017) was also carried
out to find out the maximum allowable safe pit slope angle in such unstable geo-mining scenario in Dadam
opencast mine.
5 RESULTS AND DISCUSSION
5.1 Field Investigation
Geological & geotechnical data related to rock and joint parameters such as joint orientations, joint volumetric
count (Jv), joint compressive strength (JCS), joint rough-ness coefficient (JRC), persistence, spacing, aperture,
infilling, weathering and groundwater conditions were collected using a window sampling method (Fig.3a).
Additionally, light detection and ranging (LiDAR) survey of the pit slopes was also conducted to acquire the point
cloud data of prevailing discontinuities and 3D geo-metrical configuration of existing pits.

Fig. 3. (a) Measuring basic friction angle of joints at site (b) LiDAR Survey
5.2 Rock Mass Characterization
From the field investigation, it is found that the Rock Quality Designation (RQD) of the rock mass along the
western wall of Pit no. 37 & 38 is around 70-80% depicting fair to good rock mass quality. The observed Rock
Mass Rating (RMR) also falls in Class II and III (RMR ranging from 56 to 64) i.e., fair to good rock quality with
prominent joint sets traversing the structure with the persistence of more than 20 m. However, joints are orientated

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unfavourably leading to the formation of various unstable blocks that can cause rock failures mainly wedges. The
stability condition degrades drastically as joints dilate due to progressive weathering (due to geo-environmental
agents such as water, temperature variation etc.). The visual inspection suggests that pit slopes have the potential
for kinematically controlled block failures due to overhanging rock masses. The rock mass of the pit slope appears
very blocky and competent. The rock mass parameters and RMR of Pit No 37 & 38 are tabulated in Table 1.
Table 1. RMR parameters with range and average rating
Parameters Ranges Ratings
UCS (MPa) 146-171 12
RQD (%) 72-80 13-17
Spacing (mm) 60-200 8-12
Persistence (m) >20 0
Aperture (mm) 1-17 0
Roughness Planar undulating to rough 3-5
In filling Soft < 5 mm 2-4
Weathering Moderate to weathered 3-5
Ground water condition Completely dry 15
RMRBasic 56-64

5.3 Kinematic Analysis

Kinematic analysis of the pit section suggests a high potential for large wedge-type failure released from the
near-vertical joint and gravitation sliding on the obliquely laid day-lighted joints (Fig 6a-d). Considering the back-
calculated SMR using the continuous function, the kinematically potential wedge falls in Class IV & V ranging
from 16 to 27), which suggests unstable to completely unstable conditions. As per the SMR classification (Romana
1985), a very large to large wedge or big planar failure is likely in that scenario that exactly resulted in the
dislodgment of an extremely large wedge block.

Fig. 6(a). Potential wedges from all joint data (b) Potential wedges from mean joint (c) Potential planar failure
from mean joint (d) Potential toppling from mean joint
5.4 Slope Mass Rating & Q-Slope Analysis
Slope Mass Rating (SMR) is a useful qualitative tool for assessing slope stability, especially in the early stages
of site evaluation. It helps in identifying potential hazards to slope areas and guides further investigations related
to slope design and stabilization. The evaluated SMR with kinematic and slope mass vulnerability is given in Table
2 which signifies the wedge susceptibility of 40.3% with overall kinematic vulnerability of 37.6% along with a
high slope mass vulnerability of 48.1%.

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 Manish Kr Meena, Ashok Kr Singh, R. D. Dwivedi, J. K. Mohnot

Table 2. Slope Mass Rating with kinematic and slope mass vulnerability

Parameters Values Parameters Values

RMRb 56-64 Avg. SMR (lowest) 19
Slope angle 90° Total failure count 19
Slope direction 120°-90° Planar 3
Angle of friction 32° Wedge 18
Slope mass vulnerability (%) 48.10 Topple 2
Topple failure vulnerability (%) 3.40 Wedge failure vulnerability (%) 40.30
Planar failure vulnerability (%) 22 Overall kinematic vulnerability (%) 37.60
The RQD, Jn, Jr, Ja, and Jwise, were used to evaluate the Q-slope considering the potential wedge failure with
values of 74.5, 12, 3, 3, and 0.8 respectively with O-factor of 0.75 (Set A) and 0.8 (Set B). The SRFa is taken as 5
based on the prevailing slope mass conditions. The Q-slope is found to be 0.59, which suggests the maximum safe
slope angle for the studied pit is around 60°.
The natural slope height on the western side of the Pit No. 37 & 38, ranging from 38 m to 40 m,
indicates that the Q-slope system's empirical ratings suggest an inherently unfavourable stability
condition due to steep slope angles coupled with kinematically vulnerable slope mass. The natural slope
activity is also on the higher side due to the presence of an inherently high degree of jointing, the
existence of over-hanged blocks, and open joints filled with soft materials (clay silt / sand). The
weathering condition in the upper part of the slope and clay and silt coating in the open joints allowed
the gravitational movement of an inverted loose wedge upon saturation conditions due to water. The
role of clay present in joints is the key factor for these types of failure as clay swelling adversely
decreases the shear strength of the rock masses in the presence of water. Consequently, several
geological and geotechnical aspects contributed to the movement of such substantial wedge failures.

6 CONCLUSIONS
The conclusions drawn from the present study are as follows:
 Adverse orientation of naturally occurring joints with respect to the mine pit face was one of the major reasons
for the Dadam mine failure. Favourable condition of the released joint facilitated the detachment of such a
large wedge formed due to the highly spaced joints.
 The pit slope was kinematically favourable for structurally controlled rock mass failure with a wedge failure
vulnerability of about 40%.
 Weathered materials of the basal joint plane along which the wedge block slided, lubricated due to rainfall.
Consequently, the progressive dilation of joints upon saturation of infilled soft materials (clayey materials)
initiated the gravitational sliding along the basal plane.
 The back calculated continuous SMR analysis suggests a high slope mass vulnerability (about 48%)
indicating a high probability of large to very large wedge failure.
 The empirical ratings of Q-slope system suggest an inherently unfavourable stability condition due to steep
slope angles coupled with kinematically vulnerable slope mass along high pit wall of Pit No. 37 & 38 of
Dadam opencast mine.

ACKNOWLEDGEMENTS
The Dadam Mine officials are thankfully acknowledged for all the essential support. Dr. Harsh Kr Verma,
Senior Principal Scientist, CSIR-CIMFR Research Centre Bilaspur is gratefully accredited for insightful
discussion during field visit.

REFERENCES
Asteriou P, Saroglou H, Tsiambaos G. (2012), “Geotechnical and kinematic parameters affecting the coefficients
of restitution for rock fall analysis”, Int J Rock Mech Min Sci., Vol. 54, pp. 103–113.
Alejano L, Pons B, Bastante F, Alonso E, Stockhausen H. (2007), “Slope geometry design as a means for
controlling rockfalls in quarries”, Int J Rock Mech Min Sci., Vol. 44, No. 6, pp. 903–921.

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 Study on the Mechanism of a Large Wedge Failure in Dadam Opencast Mine, Haryana

Giani G. (1992), “Rock slope stability analysis”, Balkema.

Bhandari S. (1997), “Engineering rock blasting operations”, A. A. Balkema, Netherlands.
Stead D and Wolter A. (2015), “A critical review of rock slope failure mechanisms: The importance of structural
geology”, Journal of Structural Geology, Vol. 74, pp. 1-23.
Singh A.K., Kundu J., Sarkar K., Verma H.K., and Singh P.K. (2021), “Impact of rock block characteristics on
rockfall hazard and its implications for rockfall protection strategies along Himalayan highways: A case study”,
Bulletin of Engineering Geology and the Environment, Vol. 80, pp. 5347–5368.
Chen S.L. and Cheng C.P. (2017), “Influence of failure probability due to parameter and anchor variance of a
freeway dip slope slide—A case study in Taiwan”, Entropy, 19: 431.
Romana M. (1985), “New Adjustment Ratings for Application of Bieniawski Classification to Slopes”, Proceeding
of Int. Sym. on the Role of Rock Mechanics, Internat. Soc. Rock Mech, Salzburg, pp. 49-53.
Bar N. and Barton N. (2017), “The Q-Slope Method for Rock Slope Engineering”, Rock Mech Rock Eng, Vol. 50,
No. 12, pp. 3307–3322.

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 Theme 11Phibe
- Rock support
Khalkho, R.D.techniques
Dwivedi, J.k.–Mohnot
state ofand
theAshok
art technologies
Singh

Behaviour of Tunnels in Mixed Geological Formation of Himalaya

PHIBE KHALKHO1, R.D. DWIVEDI, J.K. MOHNOT AND ASHOK SINGH
CSIR-Central Institute of Mining and Fuel Research Regional Centre Roorkee, India
e-mail: pkhalkho@ce.iitr.ac.in
ABSTRACT: Tunnelling through highly weak and fragile rock mass with multiple shear zones challenges design-
ers, planners, and geologists as tunnels across such conditions is susceptible to squeezing behaviour due to high
in-situ stress conditions. Incorrect design support systems decisions may result in under-design and costly failures,
or over-design and high tunnelling costs. To comprehend the failure mechanisms of tunnels in such adverse situa-
tions, the present study focusses on the squeezing behaviour faced in Chenani-Nashri tunnels. Some locations of
the unsupported Chenani- Nashri Escape tunnel encountering mixed geological formation (alternate layers of sand-
stone, siltstone, or claystone, which is also known as Murree formation) having bedding planes dipping at 0°, 30°,
45°, 60° and 90° with respect to tunnel cross-section were numerically simulated. It was inferred that the location
and orientation of interbedded layers influences the magnitude and location of deformation in the tunnel. Analyses
of the unsupported tunnels through the mixed geological formation would be beneficial for optimal support design
of other tunnels.
1 INTRODUCTION
Due to space constraints on the ground surface, the need for construction of underground tunnels has been
exponentially rising since the past few decades. Sometimes, tunnels are inevitably constructed across very poor
rock mass or soft interbedded layers posing great stability challenges especially under high in-situ stresses. Erro-
neous decisions in the design of support systems can lead to either under design and costlier failures or over design
and highly uneconomical tunneling costs. In the past decades, many authors have attempted to understand the
failure mechanisms of various tunnels undergoing such adverse conditions (Chen et al., 2020; Liu et al., 2022; Li
et al., 2023). In soil/rock mechanics, engineering geology and hydrogeology, the presence of two or more geolog-
ical formations with different properties is defined as mixed geological formation. Even when the geological for-
mation is the same, the weathering grades are different, it can be termed as mixed geological formation (Zhu et al.,
2005; Steingrimsson et al., 2002). Based on various tunnelling projects worldwide, mixed face ground has been
categorized as mainly (Zhu et al., 2005; Steingrimsson et al., 2002):
 Class 1: When rock bedding, dykes, faults or shear zones form layered or banded ground. Examples:
Dulhasti hydropower project (India), Lesotho Highland water project (Lesotho), Edmonton South LRT
Extension (Canada).
 Class 2: Over bedrock, interface ground of soil and rock or typically weathered materials. Examples: San
Vincent Pipeline Tunnel Project (America), Metro L9 (Spain), Kranji Tunnel (Singapore), Athens Metro
L3 (Greece)
 Class 3: When the face is mixed with locked cobblestones, rock blocks with soil materials, or isolated
spheroidal weathering stone mixed with a soft formation. Example: metro line 1 (Chengdu, China), metro
line 3 in Guannagzhou, China).
Another type of mixed face condition was encountered when the two tunnels were excavated in the Egnatia
Motorway, Greece. The first tunnel came across a contact zone of Pindos unit formation over the Ionian Flysch
formation. The flysch consists of different alterations of siltstones and sandstones. The second tunnel was driven
through Ionian flysch formation which comprises of alterations of siltstone and sandstone with either of it in par-
amount. Rock in the field is encountered by the anisotropy of the rock due to joints, bedding planes, foliations, and
faults. The laws of the stress distribution all around the tunnel will be influenced by the presence of the bedding
planes at key position, thereby affecting the stability and deformation behaviour of the tunnel.
In the present study, an instance of Chenani- Nashri tunnel which lies in western Himalayan region is simulated
in numerical code Phase2. Chenani-Nashri escape tunnel is 9.0 km long and has 6m excavated diameter, located
on NH44 Jammu-Srinagar highway near Patnitop in J&K with maximum rock cover of 1200m. The rock mass
encountered during its construction belongs to the Lower Murre formation. It consists of successive interbedded
layers of sandstone, siltstone and claystone, intermixed siltstone and claystone and sheared siltstone and claystone
etc. The main objective of the study is:
 Parametric analysis to understand their influence on deformation behaviour of the tunnel across alternate layers
of siltstone, sandstone and claystone.

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INDOROCK 2023: Ninth Indian Rock Conference 16-18 November 2023

2 METHODOLOGY
Chenani-Nashri tunnel has an excavated diameter of 6m. The tunnel was excavated through a geological for-
mation of interbedded layers of sandstone, claystone and siltstone. Analysis has been carried out for various ori-
entations of bedded layers, such as 0°,30°,45°,60°,75° and 90° with respect to horizontal direction. By swapping
the layers of rock mass, six cases were analyzed for every inclination. Thus, a total number of 36 cases were
simulated in numerical code Phase2 and analyzed to study the behaviour of the tunnel. For each orientation of the
bedded layers, three types of beds, i.e., sandstone, claystone and siltstone were swapped. Detailed parametric anal-
ysis was conducted using numerical simulation to assess the distribution of yield zone and displacements at the
periphery of tunnel. Generalized Hoek & Brown failure criterion has been used for the analysis. The input param-
eters used for the analysis are shown in Table 1 & 2. The ratio of horizontal to vertical stress, i.e., K o has been
taken as 0.5.

Table 1 Input parameters used for the present study.

Sl. Bed layer UCS GSI Ei (GSI) Poisson’s
No. ratio
1. Sandstone 46 48 10000 0.22
2. Claystone 31 40 5000 0.26
3. Siltstone 46 55 15000 0.22

Table 2 Properties of the joints used in the present study.

Sl.
Joint boundaries Kn , MPa/m Ks , MPa/m
No.
1. Joints between sandstone and siltstone 100000 10000
2. Joints between siltstone and claystone 68750 57292
3. Joints between sandstone and claystone 68750 57292

3 RESULTS AND DISCUSSIONS

The results of the analyses have been presented in Table 3. Four points at tunnel periphery were chosen for
observation of radial tunnel deformation (Fig.1). Figure 2 depicts variation in tunnel deformation at four chosen
monitoring points at the boundary of the tunnel for all the cases of alternate layers of sandstone, siltstone and
claystone.
Table 3 Maximum deformation obtained for all the orientation of the bedded layers
Sl. Sequence of beds Orientation of bed w. r. t. Maximum deformation
No. horizontal direction (o) (mm)
A1 Siltstone (SLS) 0 108
Claystone (CS) 30 111
Sandstone (SS) 45 109
60 108
75 99
90 88
A2 Siltstone (SLS) 0 301
Sandstone (SS) 30 278
Claystone (CS)
45 244
60 231
75 246
90 270
B1 Claystone (CS) 0 268
Sandstone (SS) 30 306
Siltstone (SLS)
45 327
60 264
75 305
90 272

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B2 Claystone (CS) 0 281

Siltstone (SLS) 30 279
Sandstone (SS)
45 281
60 265
75 317
90 285
C1 Sandstone (SS) 0 121
Claystone (CS) 30 106
Siltstone (SLS)
45 112
60 111
75 104
90 95
C2 Sandstone (SS) 0 291
Siltstone (SLS) 30 243
Claystone (CS)
45 215
60 207
75 235
90 276

b.)

a.)

B1

Fig. 1 a) Tunnel across interbedded layers oriented at θ=30°, b) Monitoring points observed at the tunnel

a.) Θ=0° Θ=30° b.)

0.247
0.239
0.237

0.225
0.305

0.302

0.289

0.21
0.266

Deformation (m)
0.26
Deformation (m)

0.16
0.179

0.0978
0.11
0.136

0.094
0.127
0.122
0.12
0.104
0.104

0.104

0.073
0.067
0.0742

0.089

0.085

0.056
0.0424
0.051

0.0324
0.0398

0.05

0.0269
0.051

0.0287

0.032

0.029
0.038

0.028
0.037

0.027

0.025

0.025
0.023
0.0081
0.0061
0.011

T1 T2 T3 T4 T1 T2 T3 T4
Monitoring points Monitoring points
A1 A2 B1 B2 C1 C2
A1 A2 B1 B2 C1 C2

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Θ=45° Θ=60°

0.26
0.26
c.) d.)

0.31

0.22
0.269
Deformation (m)

Deformation (m)
0.198

0.123
0.13

0.13
0.17

0.102
0.132

0.089
0.082

0.082
0.081
0.078

0.1
0.12

0.068
0.099

0.063

0.062
0.11

0.059
0.089

0.089
0.087

0.052
0.068
0.057

0.032
0.053

0.028
0.023

0.023

0.021
0.017
0.0172
0.032

0.032
0.029

0.025

0.025
0.023
0.0044

0.018
0.015

T1 T2 T3 T4 T1 T2 T3 T4
Monitoring points Monitoring points
A1 A2 B1 B2 C1 C2 A1 A2 B1 B2 C1 C2
Θ=75° Θ=90°

0.257
0.27
0.294

0.224
f.)

0.23
0.29

e.)
Deformation (m)

Deformation (m)
0.178

0.124
0.139

0.12
0.12
0.098
0.094

0.094

0.093
0.088
0.086

0.0713
0.083
0.099

0.099
0.096
0.096

0.074
0.074
0.089

0.087
0.084
0.079

0.077
0.069

0.061

0.049

0.0365
0.058

0.048
0.056

0.048
0.047

0.043

0.0143
0.026

0.024

0.0095
0.0071
0.0068
0.016

0.011

T1 T2 T3 T4 T1 T2 T3 T4
Monitoring points Monitoring points
A1 A2 B1 B2 C1 C2 A1 A2 B1 B2 C1 C2
Fig.2 a-f Plots of variations of maximum deformation with monitoring points for all the cases of swapped alter-
nate layers of sandstone, siltstone and claystone.
3.1 Influence of Location and Orientation of Rock Beds on Deformation of the tunnel
The description of nomenclatures A1, A2, B1, B2, C1 and C2 are given in Table 3. One such example of B1
case is shown in Fig 1a when the bedded layers are oriented at θ=30° w. r. t. horizontal direction. The monitoring
points T1, T2, T3 and T4 are shown in Fig. 1b. Figure 2 shows the relationship of maximum deformation (m) with
monitoring points for all cases orientation of bedded layers. Explanation of the graphical presentation of the cases
(Fig.2a-f) is as follows:
 When the orientation of the bedded layers is along the tunnel axis, i.e., θ=0° (Fig. 2a.), the maximum defor-
mation has been observed at the crown and at the invert of the tunnel for cases B1, B2 and A2, C2 respectively.
It is to be noted that for cases B1 and B2, claystone is in the upper layer which resulted in the deformation at
the crown. At the invert, maximum deformation was found for the cases A2 and C2 as can be seen in Fig. 2a.
For A2 and C2, the claystone is located at the lowest layer due to which the highest deformation is at T 4. The
magnitude at the crown and invert is almost same. The amount of deformation is governed by the location of
presence of weakest layer.
 For the case of oriented bedded layers at an orientation of 30° with respect to horizontal (Fig. 2b.), the first
observation to be noted is the maximum deformation which is inclined more towards left sidewall, i.e., T2 and
crown than at the right sidewall (T3) and invert (T4). The deformation is more at the crown (T1) and at the left
sidewall (T2) for B1 and B2 cases. The reason is that at the crown (T1) and at the left side wall (T2), concen-
tration of stress is more leading to higher deformation due to the presence of weaker layers, i.e., claystone.
The magnitude of the deformation is almost the same at T1 and T2 for B1 and B2. Here, the combined effect
of orientation and presence of weak layer on the amount and location of deformation can be seen.
 When the interbedded layers are oriented at 45° with respect to the horizontal (Fig. 2c.), the maximum defor-
mation is found at monitoring points T 2 followed by T1 for the case B1. The middle layer is sandstone for the
case B1, the upper and the lower layers are claystone and siltstone respectively. The maximum number of
yielded joints are also in the direction of claystone and siltstone. The minimum deformation was found at T 3
and T4 for case B2 due to the presence of the sandstone layer at the lower portion. For case C1, the maximum
deformation is at the monitoring point T4 and minimum at T1 and T2. Due to the presence of claystone in the
middle portion which covers the sidewall of the tunnel, the deformation is maximum at the right sidewall (T3)
and invert portion (T4). When the sandstone is at top followed by siltstone and claystone, i.e., C2, maximum
and minimum deformation has been observed at T 4 and T3 monitoring points respectively. Due to the presence

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of the claystone at the invert and right sidewall, the deformation is maximum at these points. At points T1 and
T2, the interbedded layer of sandstone covers these points resulting in minimum deformation.
 When the interbedded layers are oriented at 60° w. r. t. horizontal direction (Fig. 2d.), maximum deformation
has been observed at T2 for cases B1 and B2. For both these cases, claystone layer is the upper layer and falls
towards the left sidewall (T2) more than the crown (T1) due to the steep orientation of the bedded layer.
 For case A1, the maximum and minimum deformation values are found at T 4 and T2 respectively. The
upper two layers are siltstone and claystone, which are weaker, resulting in maximum deformation at the
invert and right sidewall. Due to steeply oriented bedded layer of siltstone at the top, there might have
been just sliding of the joint resulting in minimum deformation at T 2.
 For case A2, minimum and maximum deformation values are observed at T 2 and T3 respectively. The
presence of sandstone layer in the middle is oriented steeply resulted in minimum deformation at T 2 point.
It is due to the position of claystone layer towards the right sidewall (T3) that contributes towards the
higher deformation.
 For B1 case, the maximum and minimum deformation is at T 2 and T4 respectively. The position of clay-
stone at the upper side results in higher deformation at T2. As the sandstone layer is positioned in the
middle, oriented steeply w.r.t horizontal, results in minimum deformation at T 4.
 For case B2, sandstone layer placed at the bottom resulted in minimum deformation at T 4 and T3 unlike
at the left sidewall T2. The maximum deformation is observed due to the presence of claystone layer.
 For C1 case, the maximum deformation at the invert which is influenced due to the position of claystone
at the middle. At the sidewalls, the deformation is minimum, due to the presence of sandstone and siltstone
at the top and bottom layers respectively.
 For C2 case, minimum, and maximum deformation is at T 1 and T3 respectively due to the presence of
claystone at the bottom layer and sandstone at the topmost layer. The maximum values observed are
similar at monitoring points T 3 and T4 which fall under the claystone bedded layer.
 When the interbedded layers are oriented at 75° w.r.t horizontal (Fig. 2e.), maximum and minimum defor-
mation was observed for B1 and B2 cases at T2 and T3 respectively. It is to be noted that for both cases of B1
and B2, the claystone layer is at the top, positioned towards the left sidewall resulting in higher deformation.
Whereas the sandstone layer is at middle and at the bottom for B1 and B2 respectively resulted in minimum
deformation at the right sidewall and invert due to its influence.
 For A1, minimum and maximum deformation is at T 2 and T4 respectively. The deformation values are
similar for T1 and T4 cases and are higher due to claystone layer positioned at the middle. Even though
sandstone is at the bottom layer, the deformation at T 3 and T4 monitoring points are still higher as shown
the larger deformation contour generated due to claystone layer in the middle part.
 For case A2, maximum and minimum deformation is at T3 and T2 respectively due to steeply oriented
bottom claystone layer towards T3 point. Siltstone is slightly stronger than claystone hence, its influence
towards the higher deformation is less as compared to the claystone. As can be seen at monitoring point
T2, which falls within the sandstone layer, has still lowest deformation, which might be due to the con-
centration of stress towards the hard rock stratum.
 For case C1, maximum and minimum deformations were observed at T4 and T3 points respectively. It is
due to presence of the claystone layer as the middle layer and falls within the invert. It is to be noted that
the deformation at monitoring points T 2 which falls within sandstone layer is more as compared to the T3
located in the siltstone bed due to more concentration of stresses in strong layers (Yang et al, 2017).
 For the case of C2, the maximum and minimum deformations are observed at T3 and T1 respectively due
to the existence of claystone at the bottom position. Whereas when sandstone is positioned at the top, it
results in lesser deformation at T1.
 When the bedded layer is parallel to the tunnel axis (Fig. 2f.), the maximum and minimum deformations are
observed at T2 and T3 for cases B2 and C1 respectively.
 For case A1, the maximum and minimum deformation is at T 2 and T3 respectively. It is to be noted that
even though the claystone was present in the middle layer, the maximum deformation was not at the
crown or the invert but at the left sidewall. It might be due to more concentration of redistribution of stress
towards the siltstone which is comparatively stronger than the claystone. On the other hand, the defor-
mation is not so high for the right sidewall due to falling of sandstone layer at T3 which is quite stronger
than the claystone.
 For case A2, maximum and minimum deformations are observed at T 3 and T2 respectively due to the
presence of sandstone layer at the bottom whereas at the left sidewall, the siltstone layer is present fol-
lowed by sandstone.

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 For case B1, the maximum and minimum deformations are observed at T2 and T3 respectively. Because
claystone falls within the left sidewall whereas at the right sidewall, siltstone falls which has lesser defor-
mation due to more concentration of stress towards sandstone which is in the middle part.
 For case B2, maximum and minimum deformation is at T 2 and T3 respectively. Due to the existence of
claystone towards the left sidewall, the deformation is maximum there. The deformation contours are
spread till the invert due to presence of claystone layer resulting in more deformation at the invert than at
the crown. Minimum deformations are due to the presence of the strongest layer of sandstone towards the
right sidewall.
 For case C1, maximum and minimum deformations are at T 4 and T3 monitoring points respectively due
to presence of claystone in the middle portion.
 For case C2, the maximum and the minimum observations are observed to be at T3 and T2 respectively.
The reason is the existence of sandstone and claystone layers towards the left and right sidewalls respec-
tively. At the crown and at the invert, due to the presence of siltstone layer, the deformation is more as
compared to at the points falling within the sandstone layer and lesser in comparison to the observations
at claystone layer.
It is inferred that the maximum deformation was observed for the case of B1 when the interbedded layers were
oriented at 30°,45° and 60°. But for the orientation of the bedded layers 0°,75° and 90°, the deformation was
maximum for A1, B2 and B2 respectively at T 1, T2 and T2 monitoring points respectively. As the orientation of
the bedded layers changes from 0° to 90° w. r. t. horizontal, it is important to take note that the orientation of the
deformation contours also aligns with the orientation of claystone layer. The deformation is mostly influenced by
the position of the claystone layer and orientation of the bedded layers. The substantial difference in deformation
is evident due to the location of claystone and sandstone layer as compared to the siltstone layer. It has also been
observed that the middle layer, even though it is weakest layer (claystone or siltstone bed) doesn’t contribute much
towards the deformation.
Effect of orientation of the bedded layers:
Figures 3 (a)-(c) show the plots of variation of the maximum deformation with the orientation of the bedded layers.
The nomenclature has already been shown in Table 3. It can be seen from Fig.3 that the deformation changes with
orientation of the bedded layers. It signifies that orientation governs the magnitude of the deformation. For the
orientation of bedded layers from 45° to 60°, the deformation is low whereas for the orientation, i.e., 0°, 30°, 75°
and 90°, the deformation values are quite higher. Orientation plays a predominant effect in governing the magni-
tude of deformation for the bedded layers with the orientation from 45° to 60°. Whereas for other cases of 0°, 30°,
75° and 90°, the position of type of bedded layers defines the magnitude and location of damage.
b.) B1
0.4 A1 0.35
a.) B2
Deformation (m)

A2
Deformation (m)

0.3
0.3
0.25
0.2 0.2
0.15
0.1
0.1
0 0 15 30 45 60 75 90
0 15 30 45 60 75 90 θ°
θ°
C1
c.)
Deformation (m)

C2
0.25

0.15

0.05
0 15 30 45 60 75 90
θ°
Fig. 3 Variation in maximum deformation on different orientations of the bedding planes.

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Figure 4a.-c.) shows the variation of the plots of maximum deformation with orientation of the bedded layers for
all the cases of swapped layers at various monitoring points of T 1, T2, T3 and T4. The thorough solid lines show
the cases of A1, B1, C1 whereas the data points with same color and dashed lines show A2, B2 and C2. Figure 4a
shows the description of deformation for A1 and A2, whereas Fig. 4b shows the plots for B1 and B2, Fig. 4c shows
the data points for C1 and C2.
 For cases A1, the claystone is in the middle layer, the deformation at T 1 and T2 is quite low. Whereas for
A2, the deformation at T4 is comparatively higher irrespective of the orientation of the bedded layers. In
fact, for both these cases, when θ=0° and 90°, the deformation is higher, or else, for θ=30°-75°, the de-
formation is comparatively lesser. The effect of orientation is visible.
 For cases B1 and B2, from Fig. 4b, it is to be noted that deformation is not changing much with respect
to orientation of the bedded layers. The maximum deformation is found at θ=60° and is highest at T4 point
for B2 case even though the lowest layer falling within invert is sandstone. The effect of bedded layers of
sandstone, siltstone and claystone is more substantial as compared to the orientation of the layers in this
case.
 For cases C1 and C2, the maximum deformation is at T 4 point for C2 case. The deformation is almost
constant for θ=30°-75° and is higher for θ=0° and 75°.
The effect of orientation is more visible for the cases when the claystone layer is at the top, i.e., for cases B1
and B2. The deformation is sensitive to the location of presence of claystone layer either at the top or at the bottom
as compared to its presence in middle layer.

1 a.) Case A1 & A2 1.2 b.) Case B1 & B2 c.) Case C1 & C2
1.2
Deformation (m)

1
Deformation (m)

0.8

Deformation (m)
1
0.8 0.8
0.6
0.6 0.6
0.4 0.4 0.4
0.2 0.2 0.2
0 0 0
0 30 45 60 75 90 0 30 45 60 75 90 0 30 45 60 75 90
θ° θ° θ°
T1 T2 T3 T1 T2 T3 T1 T2 T3
T4 T1 T2 T4 T1 T2 T4 T1 T2
Fig.4 Variation in maximum deformation on different orientation of the bedding planes.
4 CONCLUSIONS
It is concluded that the claystone, i.e., the weakest layer governs the orientation and the magnitude of the
deformation of the tunnel. The other factor which contributes towards the deformation is orientation of the bedded
layer. The behaviour of the tunnel is different when the bedded layers are oriented at an angle of 0°,75°, 90° as
compared to the orientations at an angle of 30°, 45° and 60°. The present study inferred that the parameter contrib-
uting towards the deformation in an unsupported tunnel in a mixed rock mass, is not just the orientation of the
bedding planes but the type of the interbedded layers it is comprised of. It has been observed that if the bedding
planes are almost parallel or perpendicular to the tunnel axis, the deformation is quite high. Whereas for the bed-
ding planes inclined at 30°,45° and 60°, the deformation is comparatively less as predominant influence of orien-
tation of the bedding planes is seen for these cases. In the light of the findings of the present study, the site tunnel
engineers may have the idea about locational behavior of the tunnel section facing such banded rock mass and get
ready in advance for the required supports in the respective sections to maintain the tunnel stability particularly
significant deformations in soft rocks.
REFERENCES
Chen J., Liu W., Chen L., Li Y., Gao H., Zhong D. (2020), “Failure mechanisms and modes of tunnels in mono-
clinic and soft-hard interbedded rocks: A case study”, KSCE Journal of Civil Engineering, Vol. 24, pp. 1357-
1373.
Liu, X., Liu F., Song K.: Mechanism analysis of tunnel collapse in a soft-hard interbedded surrounding rock mass:
A case study of the Yangshan Tunnel in China”, Engineering Failure Analysis, Vol. 138, pp.1-17.
Li, J., Wang, Z., Wang, Y., Chang, H., (2023), “Analysis and countermeasures of large deformation of deep-buried
tunnel excavated in layered rock strata: A case study”, Engineering Failure Analysis, Vol. 146, pp. 2-20.
Li, J., Wang, Z., Wang, Y., Chang, H. (2010), “Physical modeling of an underground roadway excavation in
vertically stratified rock using infrared thermography”, International Journal of Rock Mechanics and Mining
Sciences., Vol. 47, Issue 7, pp. 1212-1221.

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INDOROCK 2023: Ninth Indian Rock Conference 16-18 November 2023

Steingrimsson, J.H., Grøv, E., Nilsen, B. (2002), “The significance of mixed-face conditions for TBM perfor-
mance”, World Tunnelling, Vol.9, pp. 435-441.
Yang, J., Chen, W., Zhao, W., Tan, X., Tian, H., Yang, D., Ma, C (2017a), “Geohazards of tunnel excavation in
interbedded layers under high in situ stress.” Engineering Geology, Vol. 230, pp 11-22.
Zhu W.B., Ju, S.J., (2005), “Mix ground and shield tunneling technology in Guangzhou”, Proc. International Fo-
rum on Tunnelling, Shanghai, pp. 165–73.

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 ThemeM11 - Rock support
Mahalakshmi, techniques
G Sumanth, Ch Sai – state ofGthe
Santhosh, art technologies
Doraswamy Raju

Design of Primary Support System by Empirical, Semi-Empirical and Numerical

methods for Tunnels

M MAHALAKSHMI1, G SUMANTH2, CH SAI SANTHOSH3, G DORASWAMY RAJU4

Larsen &Toubro Construction, India
Engg.Manager, 2Assistant Engg.Manager, 3Senior Engineer, 4Chief Engg.Manager
1

e-mail: mahalakshmim@lntecc.com

ABSTRACT: Around the world tunnelling has become an integral part of infrastructure development. Many large
and long tunnels have been completed successfully in the road & rail sector. New Austrian Tunnelling Method
(NATM) of tunnelling is considered as the most effective method of tunnelling in varying geology. Supports are
required to keep the tunnel safe and to make the opening stable. The primary supports will provide the initial
support for the tunnel opening, control the tunnel deformations and minimize disturbance to adjacent structures.
This paper discusses the design of primary support system by empirical, semi-empirical and numerical approaches
for a typical tunnel section for varying ground conditions. Majorly, empirical analysis is performed by Q system.
Semi-empirical analysis is carried out by equating rock pressure resulting from tunnel opening with combined
capacity of integrated primary support system provided. Computer based finite element software analysis (FEM)
using RS2 is used to analyse the interaction of support system and validate the empirically and semi-empirically
derived support system.

KEYWORDS: Tunnelling, Primary support system, Empirical, Semi-Empirical, Numerical, RS2

1 INTRODUCTION
Due to the rise in the world’s population, there is a demanding need for building more public infrastructure.
In the densely populated urban areas or in the mountainous regions, the construction of public infrastructure has
various challenges. Utilizing underground space can be one of the viable solutions. Many researchers from around
the world have conducted research on underground structure in order to create an underground space that can be
utilized for various purposes. The New Austrian Tunnelling Method (NATM) is gaining prominence in the world.
NATM is the preferred technique in uncertain geological and hydrogeological conditions. NATM is both a
construction method and a design philosophy. The NATM integrates the principles of the behaviour of rock masses
under load and monitoring the performance of underground construction during construction. The NATM has
often been referred to as a "design as you go" approach, by providing an optimized support based on observed
ground conditions. The NATM philosophy also promotes constant monitoring.
Major thing to consider in designing tunnel structures is the design of support system. NATM consists of a
primary and secondary support system and an impermeable lining between the primary and secondary supports.
Various types of tunnel support like shotcrete lining, rock bolts, steel supports, concrete lining, wire mesh etc., are
provided in tunnels. The main objective of the tunnel support system is to control the deformation of rock mass
caused by stress distribution during or after the tunnel construction. This paper discusses the design of primary
support in NATM tunnel by various design approaches.
2 PRINCIPLE OF SUPPORT SYSTEM
The mechanism of the tunnel support system is very complex such that no method can completely explain the
relationship between various supporting elements provided. In NATM method of Tunneling, support system for
tunnel construction is generally provided in two phases. They are:
a) Primary support system
b) Secondary support system
The purpose of primary support (sometimes called initial support, temporary lining or temporary support of
excavation) in rock tunnelling is to keep the opening stable and safe until the final lining is installed and
construction is complete. It mainly consists of (i) shotcrete with or without mesh reinforcement, (ii) systematic
rock bolting, (iii) lattice girders or steel ribs as per the rock and/or support class. It is applied behind the excavated
tunnel face to create a natural load-bearing ring and to minimize the rock’s deformation.
The final permanent lining may consist of cast-in-place concrete or shotcrete. Cast-in-place concrete can be
un-reinforced or reinforced. Shotcrete is generally fiber reinforced. It generally secondary lining placed only after
the deformations of the initial or primary supports have stabilized or showing decreasing trend to an acceptable
limit.
Based on geology and ground classification, only shotcrete or combination of shotcrete, rockbolts and steel
supports is the most common supports.

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Tunnels

2.1 Shotcrete Lining

Shotcrete for tunnel supports is a thin skin type reinforcement which is a mixture of cement, sand, coarse
aggregate which is applied by a pneumatic process until it is compacted by high air pressure (Fig 2). Shotcrete can
be applied either in combination with wire mesh or steel fibers as reinforcement. It is reinforced either by welded
wire fabric or steel fibres. The use of fiber in shotcrete to increase tensile strength and provide ductility. The
advantage of fiber reinforced shotcrete is that a smaller thickness of shotcrete is required, in comparison to that of
conventional shotcrete. The design aspect consists of thickness of shotcrete.

Fig. 2 Shotcrete spraying process

2.2 Rock Bolts
Rock bolt is the most widely used support element in a support system of any underground structure. They are
active/passive type of support which improves the inherent strength of the rock mass and acts as the reinforced
rock arch. The design aspects consist of selecting the type of bolt, determining the required length and the spacing
to be provided. Fully grouted bolts are commonly used in underground projects. In grouted bolts, resin/cement
capsules are placed which act as an adhesive material to distribute stresses in the rock as shown in Fig 3.

Fig. 3 Fully grouted Rock Bolt (Hoek, 1993)

2.3 Steel Supports
Steel ribs are arch shaped reinforcements provided as a primary support system for tunnels passing through
weak rocks (Fig 4). Steel beam sections as ribs are usually H-beams, U-beams, steel pipes etc., Ribs can be
provided in any shape to support the tunnel surface and squeezing conditions. Depending on the grade of the rock,
ribs can be installed either at only heading portion or both heading and benching portion. Steel ribs provides tunnel
support by axial compressive, shear and bending resistance to the tunnel opening. They are utilized in tunnels not
only to provide support to rock mass but also to act as a reinforcement to shotcrete, transfer loads to tunnel
ground(footing) and as a support for forepoling.
In the recent years, steel ribs are not regularly used in conventional tunneling due to its huge weight and
handling costs. Instead, Lattice girders are implemented as they are light weight and easy to handle. Lattice Girders
are made up of steel reinforcement bars laced together in a triangular pattern and joined to match the tunnel shape
opening is shown in Fig 5.

Fig. 4 Steel Ribs Fig. 5 Lattice Girder

Based on the geology of the rock mass the type and requirement of primary supports will vary.
The amount and design of the initial support was historically motivated mainly by the desire to mobilize a
high degree of ground self-support and therefore economy. This paper provides the design guidelines of the support
system based on Empirical method, Semi-empirical method and Numerical analysis.

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In general ground conditions vary along the length of the tunnel. Hence, primary support system is designed for
different rock classes which will be encountered during tunnel excavation.
3 TUNNEL GEOMETRY AND GEOLOGY
In this paper, a typical modified horseshoe shaped 12m wide span tunnel in a mountainous region as shown
in Fig. 6 is considered for the design. This tunnel is required for providing roadway connecting two critical
locations.

Fig. 6 Geometry of tunnel

The mountainous region consists of hard basaltic rock formation in the tunnel alignment. Four sets of joints having
rough surface found in the surface mapping of rock at the site location. Based on the topographical study, a
maximum overburden of 20m above the tunnel crown level is observed. A reference borehole in the tunnel region
is considered for geotechnical investigation data. The ground stratification is shown in Table 1. The ground water
table is encountered at a depth of 27m below the ground level.
Table 1 Ground Stratification
Borehole ID Depth (m) Stratification
0-2 Silty Gravel
2-17 Highly weathered Basalt (Grade IV)
BH-01
17-37 Moderately weathered Basalt (Grade III)
37-51 Slightly weathered Basalt (Grade II)
Based on the stratification and geotechnical data, soil and rock parameters are shown in Table 4 & 5
respectively which are used for the design. Rock mass properties are derived for different ground classes.
Table 4 Shear strength parameters of soil

Borehole Layer Depth Soil Parameters

Layer
No. (m) c (kPa) ф (deg.) E (MPa)
Soil Layer
BH-01 0 to 2 0 38 100
(Silty Gravel)
Table 5 Rock mass parameters for different classes as per Generalized Hoek-Brown
Parameters
Ground Class

parameter, mi

Modulus, Erm
JCondition89

deformation
Intact rock

Rock Mass
ϒ, (kN/m3)

RQD (%)

Generalized Hoek-Brown
Modulus
σci, UCS

Elastic
(MPa)

(MPa)

(MPa)

Parameters
GSI

mb s a
Very
29 49 25 62779 47 10 34 2.367 6.5e-4 0.5171 6653.8
poor
Poor 29 49 25 62779 74 10 45 3.506 0.00222 0.5081 14040.5

Good 29 49 25 62779 86 10 54 4,836 0.00603 0.5043 24290.4

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Tunnels

4 ROCKMASS CLASSIFICATION
Based on the investigation data, tunnel passes through moderately weathered basaltic rock condition at which
RQD% value ranges from 10 to 98 and UCS value ranges from 49 to 60MPa. Rock mass classification (Q, RMR)
range at tunnel grade are estimated and shown in Tables 2 & 3. RMR values have been calculated as per IS 13365
(Part 1) and Q-values as per IS 13365 (Part 2). With these rock mass rating calculations, it is found that rock
quality ranges from very poor rock to good rock condition.
Table 2 Rock Mass Quality (Q) classification
Parameters Description Rating
RQD (%) 10-98 10-98
Joint set Four or more joint sets, random,
15
(Jn) heavily jointed, ‘sugar cube’, etc.,
Joint roughness (Jr) Rough or irregular, undulating planar 1.5-3
Silty or sandy-clay coatings, small clay-fraction (non-softening) –
Joint alteration (Ja) 0.75-3
Tightly healed, hard, non-softening, impermeable filling
Joint water (Jw) Dry excavation or minor inflow i.e., <5 litre/m locally medium inflow 0.66-1
SRF Medium stress 1.0
Q Very Poor to Good 0.22-26.1
Table 3 Rock Mass Rating (RMR) classification
Description
Parameters Rating
UCS (MPa) 49-60 4-7
RQD (%) 10-98 0-20
Joint spacing (m) 0.05-0.8 5-15
Condition of Slicken sided wall rock surface or 1-5 mm thick gauge or 1-5
0-20
discontinuities mm wide opening, continuous discontinuity
Ground water conditions Wet - Completely dry 7-15
Rating adjustment for
Fair-Very unfavourable 0-(-12)
discontinuity orientation
RMR Very Poor to Good 17-67
5 DESIGN OF PRIMARY SUPPORT SYSTEM
The primary support system is designed by following methods.
1. Empirical,
2. Semi-empirical and
3. Numerical methods
5.1 Empirical Design
The Empirical Methods of tunnel support design are mainly based on practical experiences of various
researchers from numerous tunneling projects. They combine the findings from observations, experience and
engineering judgment and apply for a new construction.
However, it must be realized that these systems are developed empirically based on the various site
experiences and hence can be used as a preliminary design approach. The support system suggested through these
methods needs to be checked and adjusted to the actual ground behavior of the rock mass that is being excavated.
Most commonly used empirical approaches for design of primary support system are derived based on RMR
classification and Q-system of rock mass classification. In this paper, Q-system classification is considered for the
design.
5.1.1 Supports based on Q System of rock mass Classification
Barton has provided guidelines to derive the support system based on Q chart as shown in Fig 7. As per the
Q-values of rock mass from geotechnical investigations, span opening and ESR value primary supports are
estimated.
As the tunnel is passing through various rock classes, separate sets of support system design are to be
recommended for different rock classes. For temporary support system design of tunnel, 5 times the actual Q-value
has to be considered (IS 13365 – Part 2). For Q-values ranging from 0.22 to 26.1 (as per geological, geotechnical
data), a combined support system with shotcrete lining, rock bolts and steel supports is recommended and
presented in Table 6. Excavation Support Ratio (ESR) value of 1 is considered in conformance with IS 13365 (Part
2).

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Fig. 7 Support system recommendations by Q-System classification (Barton et al., 1974)

Table 6 Tunnel Primary support system recommendations (from Q-values)
Q-value
Ground Shotcrete Rock bolt dia. Rock bolt Rock bolt
Q value (Temporary
Class thickness (mm) (mm) length (m) spacing (m)
support) *
Fair 4≤Q 20 50 25 5 2.5x2.5
Poor 1≤Q<4 5 100 25 5 2x2
V. Poor 0.1≤Q<1 0.5 200 25 5 1.5x1.5
* - For temporary support system, 5Q shall be considered for the design (IS 13365 – Part 2)
Even though for very poor rocks Q-chart suggests RRS (Reinforced Ribs of shotcrete) as a support system
along with bolting, for NATM type tunneling a combined system of shotcrete, rock bolts and steel support can be
applied.
The minimum length (L) of Rock bolts is estimated from tunnel excavation width (B) and ESR value as per
Barton et al (1980):
0.15𝐵𝐵
𝐿𝐿𝑚𝑚𝑚𝑚𝑚𝑚 = 2 +
𝐸𝐸𝐸𝐸𝐸𝐸

0.15 ∗ 12
𝐿𝐿𝑚𝑚𝑚𝑚𝑚𝑚 = 2 + = 3.8𝑚𝑚 ≈ 4𝑚𝑚
1
The recommended rockbolt length is 5m.
Along with support system recommendations, maximum unsupported span length for tunnel progression for
tunnel opening shall also be estimated to optimize the tunnel construction. Estimated results for different rock
classes are shown in Table 7.
Maximum span (unsupported) = 2 x ESR x (Q) 0.4

Table 7 Maximum unsupported span (round length)

Q-value Maximum unsupported span
Sl. No.
range (Round Length) (m)
1 Q≥4 3.5
2 4>Q ≥1 2-3.5
3 1>Q ≥0.1 0.8-2
5.2 Semi - Empirical Design
Empirical approaches for tunnel support system provides suitable suggestions for conventional tunneling
which is enough to support rock mass during tunneling. But for critical conditions and different types of rock
strata, determination of rock load is a complex problem. This complexity is due to the inherent difficulty of
predicting the primary stress conditions in the rock mass (prior to excavation) and magnitude of pressure
developing after the tunnel excavation. The pressure depends majorly on the size and shape of opening, depth of
cover, disposition of strike and dip of rock formation to the tunnel alignment, time taken between excavation and
providing support to the rock mass. These pressures may not develop immediately after the excavation but may
take a long period after excavation to develop due to adjustments or displacements in the rock mass. The provided
support system shall have enough strength to carry the ultimate loads.
The pressures formed at crown or side walls on tunnel excavation, are calculated and compared with the
combined capacity of individual tunnel supports that are to be provided. The combined capacity of support system
shall be always greater than the rock pressures formed on tunnel crown or side walls.

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Tunnels

𝑝𝑝𝑠𝑠𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢 ≥ 𝑝𝑝𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟/𝑤𝑤𝑤𝑤𝑤𝑤𝑤𝑤

Combined Tunnel support system (𝑝𝑝𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 ) is the summation of all the individual supports calculated as per
IS 15026 like shotcrete lining, rock bolts, steel supports, grouting etc.,
𝑝𝑝𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 = 𝑝𝑝𝑠𝑠ℎ𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜 + 𝑝𝑝𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏 + 𝑝𝑝𝑟𝑟𝑟𝑟𝑏𝑏⁄𝑔𝑔𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖

As per the Indian Standard code (IS 13365 Part 2), Rock support pressures formed on tunnel opening can be
of either ultimate or short-term based on the point of time of installing the support system. Similarly, based on the
overburden present above the tunnel crown ground conditions can be either squeezing (𝐻𝐻 > 350 𝑄𝑄1/3 ) or non-
squeezing.
The Ultimate roof/wall pressure for non-squeezing ground condition is calculated as per following Equation

(2.0)
𝑃𝑃𝑟𝑟𝑟𝑟 (𝑜𝑜𝑜𝑜)𝑃𝑃𝑤𝑤𝑤𝑤 = . (𝑄𝑄𝑟𝑟𝑟𝑟 (𝑜𝑜𝑜𝑜) 𝑄𝑄𝑤𝑤𝑤𝑤 )−1/3 . 𝑓𝑓
𝐽𝐽𝑟𝑟
Where,
Pru = ultimate roof support pressure (kg/cm2)
Pwu = ultimate wall support pressure (kg/cm2)
Jr = joint roughness number
Qru = ultimate roof rock quality = Q
Qwu = ultimate wall rock quality = Q
f = correction factor for overburden (>1)
= 1 + (H-320)/800
H = overburden above tunnel crown (m)
In computing short term roof pressure, Qru is considered as Qri = 5Q in above equation such that these supports
may be strengthened later on by providing secondary or permanent supports. The resulted ultimate rock pressure
is then checked with the combined support system capacity.
As discussed, Primary Rock Support Design is calculated as per guidelines given in Indian Standard code
IS:15026. Derived Q-values for respective rock classes have been considered for the analysis. As per the maximum
overburden observed, ground conditions are non-squeezing. In order to withstand the rock pressure produced from
tunnel opening, combined capacity of all supports provided are calculated as per IS 15026.
Support system recommendations as per Empirical design (Table 6) have been considered and verified with
the semi-empirical design calculations as shown in Table 8. It is found that no additional support is required.
Hence, these support systems can be considered for numerical analysis validation.

Table 8 Roof pressure and capacity calculations for various ground classes
Max. Roof Support capacity (MPa)
Q-value
Overburden Pressure Steel Condition
range Shotcrete Rock Bolt Combined
(m) (MPa) Support
Q≥4 20 0.025 0.037 0.007 - 0.044 Safe
4>Q ≥1 20 0.078 0.074 0.012 - 0.086 Safe
1>Q ≥0.1 20 0.168 0.115 0.032 0.041 0.189 Safe
5.3 Numerical Design
Numerical simulations have become a more common tool for assessing tunnel stability over the last few
years. From the literature, numerical simulations can be divided into two approaches: continuum and discrete.
Continuum numerical analyses are performed using either the Finite Element Method FEM or the Finite Difference
Method FDM, whereas discrete numerical simulations can be conducted using the Discrete Element Method DEM.
In this study, RS2 – FEM software, is used to simulate the ground conditions and to validate the derived support
system empirical &semi-empirical methods.
The RS2 model considered represents a Plane Strain analysis. A Plane Strain model assumes that the
excavation has infinite length in the out-of-plane direction, and therefore the strain in the out-of-plane direction is
zero. The solution of the matrix representing the system of equations defined by the model is performed by using
Gaussian Elimination. The tunnel model considered for the analysis of fair rock mass class (0.1≤Q<1) is shown in
Fig 8.

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Fig. 8 Tunnel Model considered for the analysis

Following step by step procedure is considered in this numerical analysis in order to acquire in situ conditions:
a) Application of in situ stresses
b) Staged excavation with support- Heading
c) Application of temporary shotcrete lining
d) Staged excavation with support- Benching
e) Application of steel support & permanent shotcrete lining
f) Staged excavation with support- Invert
g) Finishing support of shotcrete + Rock bolts + steel support
Stage wise tunnel excavation is shown in Fig 9.

Fig. 9 Analysis – Excavation in stages (Heading, Benching & Invert)

In situ stresses are modelled with K value of 1. In this study, numerical analysis is performed for all the rock
classes considered in tunnel zone and all analyses are converged for the provided supports recommended after
empirical $semi-empirical design.
Following observations are made from the analysis:
 Maximum displacement of 1.5mm is resulted at crown level (Fig 10).
 Maximum axial force of 6kN is observed on the 25mm dia rock bolt having capacity of 189kN (Fig 11).
 Forces on the shotcrete and lattice girder liners provided are verified by support capacity plots considering
factor of safety as 1.2 (Fig 12).
From above observations it is found that all the stresses and settlements are within permissible limits. Hence,
the primary support system recommended as per empirical and semi-empirical designs are found to be adequate
for 12m wide tunnel opening.

Fig. 10 Ground displacement contour Fig. 11 Axial force on Rock Bolts

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Tunnels

Fig. 12 Capacity plots of lattice girder and shotcrete

6 CONCLUSIONS
NATM tunnel is designed with two layers of support system. This paper discusses the design approaches to
derive the primary supports. In this study a 12m wide modified horseshoe shaped tunnel opening in a mountainous
region having moderately to slightly weathered basaltic rock at tunnel level is considered. Primary support system
is designed by empirical, semi-empirical and numerical methods. The observations obtained from the present study
are summarized below:
 Empirical method approach for a tunnel opening which depends on the tunnel size and ground conditions
can be considered as an initial and quick design. Based on the rockmass classes, an initial support system
is derived. This acts as a basis for detailed design of support system.
 Semi – empirical approach along with the tunnel size, it will consider rock joint parameters in the support
capacity which results in effective design. In semi-empirical method, the integrated support capacity
(shotcrete, rockbolt and steel members if any) is checked against the Rockload calculated based on Q
value.
 But both empirical and semi-empirical do not consider the effect of shape of tunnel, where numerical
modelling provides a better picture of understanding the deformations of the tunnel.
 Numerical analyses are performed for different rock classes. Along with the capacity calculations, rock
bolt length shall also be checked with the tunnel surrounding zone such that bolt length should always be
greater than the yielding zones.
 To control the deformations, instead of improving the shotcrete grade or increasing the thickness providing
adequate rock bolt length can be a solution.
 In numerical modelling, it is observed that quality of mesh can alter the interpretation of results and hence
it is recommended to consider the fine meshing at the tunnel location.
7 REFERENCES
Barton N. Geotechnical Design. World Tunnelling, November 1991, p. 410–6.
Barton N. The influence of joint properties in modelling jointed rock masses, Proc. 8th Int. Congr. Rock Mech.,
1:1023 – 32.
Hoek, E. 1993. Practical of Rock Engineering. University of Toronto. Canada.
Hoek, E. & Wood, D. F. 1987. Support in Underground Hard Rock Mines. Underground Support System.
Montreal; Canadian Institute of Mining and Metallurgy. Special Volume 35 (1987) pages 1-6.
RS2 v9.0 (2017). Elastic-Plastic Finite Element stress analysis program for underground or surface excavations in
rock or soil.
IS 13365 (Part 1): 1992- Quantitative classification systems of rock mass-Guidelines: Rock mass rating (RMR)
for predicting engineering properties.
IS 13365 (Part 2): 1992- Quantitative classification systems of rock mass-Guidelines: Rock mass quality for
prediction of support pressure in underground openings.
Terzaghi, K. and Richart, F.E. 1952. Stresses in rock about cavities. Geotechnique 3, 57-90.
Sheory, P.R. 1994. A theory for in situ stresses in isotropic and transversely isotropic
Hoek, E., Carter, T.G., Diederichs, M.S., Quantification of the Geological Strength Index Chart, 47th US Rock
Mechanics /Geomechanics Symposium held in San Francisco, CA, USA June 23-26, 2013.
FHWA-NHI-10-034-Technical Manual for Design and Construction of Road Tunnels — Civil Elements,
December 2009
Kaiser, P. K., Tannant, D. D., & McCreath, D. R. 1996. Canadian rockburst support handbook. Sudbury, Ontario:
Geomechanics Research Centre, Laurentian University
Barton, N. & Bienawski, Z.T. 2008. RMR and Q-setting records. Tunnels and Tunnelling International: 26-29.
Tunnelling in Weak Rocks-by Bhawani Singh and Rajnish K. Goel, Elsevier,2006.

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 Theme Hamid
11 - Rock support
Samadi, Rahul techniques – stateKaraoglan,
Dev Patel, Huseyin of the artAjit
technologies
Yadav


Slope Stability of Portal 2, Tunnel 11 - A Case Study in view of Long-Term Stability of

the Slopes due to Space Constraints - Rishikesh Karan Prayag BG Railway Line-
Package 6
HAMID SAMADI1, RAHUL DEV PATEL2, HUSEYIN KARAOGLAN3, AJIT YADAV4


1,2 &3r
RKSH-KNPG Railway Project, Package-6, AECOM India Pvt Ltd,
4
Chief Project Manager, RKSH-KNPG Railway Project, RVNL
e-mail:Hamid.Samadi@aecom.com

ABSTRACT: The slope stability of Portal 2, tunnel No. 11, Rishikesh Karan Prayag BG Railway in India, was
instigated in this paper. There was a boundary limitation in Portal 2. The main tunnel`s portal was located more
than 35m below the highway without considerable horizontal space. A triple track was located in front of the main
tunnel with 55 no. of piles. To reach through the pile elevation needed 12m vertically extra excavation and slope
protection. There was not any other variant for the tunnel. Fortunately based on borehole investigation, we found
a good rock in the foundation, therefore the number of piles was reduced but still not much space was there.
Another concern was on the opposite side, in front of an escape tunnel which included poor geology. During the
expediting of the project, they decided to open an escape tunnel through the bell mouth in advance. With the help
of bell mouth, tunnel excavation was started in the beginning, but slope stability was not complete yet. The
drawing was reviewed based on the ground's actual condition. The designer increased slope protection details
including the length of rock bolts and using double stitching bolts to achieve a maximum factor of safety for slope
stability. In this paper, we are going to review this case study in more detail.

<ĞLJǁŽƌĚ͗Rishikesh Karan Prayag BG Railway Portal 2 Tunnel No. 11, slope stability, triple track, bell mouth,
double stitching bolt, safety factor.

1. INTRODUCTION
The new broad gauge (BG) Railway Line between Rishikesh and Karan Prayag in Uttarakhand is a
significant project in India. The line is proposed to be extended further to connect with Badrinath and Kedarnath
(through future development). When completed, this project will improve connectivity in the Ganga/Alaknanda
valley and boost the economy and tourism in Uttarakhand state. Rail Vikas Nigam Ltd (RVNL), a public sector
undertaking under the Ministry of Railways, has been entrusted with the work of a detailed construction survey,
design, engineering, and construction of a new line as a part of Northern Railway (NR). The proposed alignment
connecting Rishikesh and Karan Prayag and passing through the Ganga and Alaknanda River valleys is 125 km
long with a significant part in tunnels and bridges spanning deep gorges and valleys.
Slope stability analysis in confined space of a railway tunnel and bridge. In the Himalayas, the site is in a
highly active seismic zone. The rock slopes are intensely jointed and the joint spacing and orientation are varying
at different locations. The factor of safety for the slope has been considered 1.2 However, it is very likely that
there could be a possibility of wedge failures and plane sliding at some of the portal-2 locations of MT & ET.
Hence the stability assessment of rock slopes considering the influence of all the discontinuities (joints, faults,
folds, bedding planes, etc.) is a challenging task for engineers.
2. CONFINED SPACE
Slope protection work in the initial stage was difficult to cover from top to bottom at tunnel level. Moreover,
protection of slope work was not possible due to confined space on time. The 'bell mouth', which refers to the
shape of the entrance, is very wide to allow safe access for vehicles to enter inside the tunnel and exit towards ET
excavation the shape and dimensions are the same as ET.
The length of the Bell mouth is 24 m at different dia. Through this, we had entered the rapid increase in the
excavation of ET and opened MT through the cross page.
For the opening of the tunnel and to expedite the progress of the tunnel, the bell mouth structure construction
design was carried out by the Engineer on site due to space constraints. It was not a tunnel part from the beginning,
it is in the form of a temporary structure.
3. PRESENT STATUS
The work at the main tunnel (MT) portal 2 is in progress (Pic-1) and for the escape tunnel (ET) also the
excavation is being carried out through the bell mouth. The slope cutting for ET is lagging due to slope protection
and access issues.
The issues and considerations of the present status of portal slope and cutting required for abutment A1 of
bridge number 10. The possibility of reducing the number of piles from bridge 10, A-1 was also to be studied in

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 Slope Stability of Portal 2, Tunnel 11 - A Case Study in view of Long-Term Stability of the Slopes
 due to Space Constraints - Rishikesh Karan Prayag BG Railway Line-Package 6

the light of new geological and geotechnical information gathered through the drill holes executed now after the
access was available.
Pic-2 and 3 depict the present status of the slope. In the upper part, the slope protection works through 12m
length, 300mm dia reinforced concrete micro piles; 12m length 32mm dia fully grouted self-drilling anchors
(SDA) along with 100mm thick shotcrete and single layer wire mesh is undertaken.
in the lower portion, the slope protection work is carried out through 100mm thick shotcrete with a single
layer of wire mesh along with fully grouted 9m long 32mm dia SDA.
In between some portion of the slope is required to be taken up for protection works along with the
construction of weep holes.


Pic 1: Present status showing T11 P2 main tunnel Bell mouth and location of
Escape tunnel along with NH58.

Pic 2: Status of present stability measures Pic 3: Slope excavation and support status

The Tunnel alignment is demarcated by one of the major tectonic structures known as the North Almora
thrust (NAT) which marks the passage between the outer and the inner lesser Himalaya domains. This tectonic
structure juxtaposes the lithologies with the Chandpur formation in the proximity of Srinagar City. According to
the results of geological surveys, the North Almora Thrust zone includes a series of NW – SE, dipping at 40-50°
towards SW. Faults dipping southward with medium to high angles of inclination that cut and display different
geological Formations, putting different rock types in contact are present.
Due to the presence of the NAT in the project alignment rock mass appears highly deformed, jointed, and
highly fractured. Approaching the contact, Chandpur Phyllite shows a very pervasive foliation with quartz boudins
embedded and transposed quartz veins subparallel to the regional schistosity. Close to the contact, instead, the
more competent quartzite appears generally highly jointed to completely crushed. The presence of the North
Almora Thrust (NAT) in the project area is to be considered the most critical geological hazard of the area.
Nagnithak formations. Due to this damp to dripping and at some locations flowing water inflow is expected during
tunnel excavation.

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Between this stretch, NAT is crossing across the tunnel which makes the ground condition poor. Sheared
and faulted rock mass is associated with NAT. The shear zone comprises crushed and fractured rock mass of
highly weathered Phyllites and Quartzites. This thrust also divided the two formations i.e., Chandpur and
Nagnithak formations. Due to this damp to dripping and at some locations flowing water inflow is expected during
tunnel excavation.
At Portal-2 the bedrock is exposed along a Nala and in excavated slope portion which is grey to brown
colored/moderately weather Quartzite of Nagnithak formation. The slope at this location is steep. The rock mass
is thinly foliated, medium strong to strong, and slightly to moderately weathered and fractured Quartzites.
4. ISSUES AND SOLUTIONS
For the long-term stability of the slope and to keep the rail and highway in uninterrupted operations following
needs to be considered.
Portal 2, present in the upstream part of the Alaknanda valley is highly prone to landslides. The slope stability
in the region is mainly governed by the local geology and geomorphology. The causative factors responsible for
inducing instability are weak and weathered rock, steep slopes, discontinuities, debris overburden on steep slopes,
and water seepage along discontinuities.
These factors may be considered as passive bringing the slopes to a state of marginal stability. However, the
main triggering factors are intense rainfall, earthquakes, and anthropogenic activities. The highest rainfall usually
occurs during the monsoon period from May to September during which the highest incidence of landslides
occurs. The average annual rainfall in this region is about 500–600 mm. The area falls under seismic zone V of
the Seismic Zonation map of India (IS 1893 – 2002). The biggest earthquake in recent years was the 1999 Chamoli
earthquake of 6.6 magnitudes.
The present road width at this location is 10 meters edge to edge (Pic- 4) the actual carriageway is quite
small. There is significant road construction activity going on leading to the additional destabilization of slopes.

Pic 4: Showing the width of the road above portal.

As the widening of the road is going on, in the future, there will be a widening of the NH-58 road due to
which the upper part of Portal-2 can have a high chance of failure.

Pic 5: Top view from NH-58, showing steep slope.

1. NH- 58 is passing very close to portal 2 at a height of about 30 meter and crossing rail alignment above
the portal location (Pic-4).
2. NH-58 is in a curve alignment (Pic-5.1) in this location which is probably more prone to accidents.

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due to Space Constraints - Rishikesh Karan Prayag BG Railway Line-Package 6


Pic-5.1: NH-58 above portal location

There is a sliding zone near this location which is and will remain a perpetual issue of maintenance causing
interruption of traffic on this important and crucial highway.

Pic 6: Land slide zone above portal 2 on NH-58 Pic 7: Picture showing the land slide zone
towards Srinagar side.
For stability of the slope above Tunnel-11 portal 2, different measures were suggested which included providing
weep holes as per design, providing rock bolts as per design etc. The possibility of reducing the piles was also
examined in the light of new data.
3. Along with interruption of traffic this sliding zone will also be expensive to maintain in the long run
especially when we account for time and opportunities wasted due to this.
4. For the safety and uninterrupted traffic on the Railway and Highway, it is proposed to have a road tunnel
that shall bypass the slide zone. Tentative three alignments are given in Pic- 8 below. The length of these
varies from approximately 380m to 500m. However, the exact alignment and length shall be decided after a
decision is made in principle to construct this tunnel and undertake the work of detailed topographical,
geological, and geotechnical surveys. This tunnel can be a single-lane tube.

Pic 8: Showing three proposed alignments.

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5. SEQUENCE OF PORTAL 2 SLOPE PROTECTION AND OPENING THE ET

TUNNEL
Option 1
1.1 With the following Fig 1, sequence will start with completing slope protection in above ET portal,
left and right as per last GFC drawing. Construct a false portal for ET (if needed) with 1 to 2 m length.

Fig 1 Showing the ET false portal location.

1.2 Next step will be opening the ET tunnel. That can be safe with a pipe roof with 114mm or 76mm with
6 to 12 m length from 9 to 3 o clock. (As earlier we implemented the same for MT portal).
1.3 Through the ET excavation, before reaching the bell mouth junction, it is suggested to continue with
pipe roofing (Fig 2, 3). The reason for the pipe roof installation, is of less overburden in the initial opening
of ET.
In ET-bell mouth junction, rib will be required with 0.75m to 1 m spacing with double layer wire
mesh and shotcrete (same as P class support system and false portal). During the sparing shotcrete from
inside the tunnel, using some cover sheet in the bell mouth area will help to prevent losing the shotcrete,
even we can spray shotcrete from the bell mouth side.

Fig 2 Bell mouth Portal and Escape Tunnel Fig 3 Rib Spacing in Bell mouth and Escape
intersection point tunnel

Fig 4 showing slope support system for Escape tunnel side.

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 due to Space Constraints - Rishikesh Karan Prayag BG Railway Line-Package 6

1.4 Instantly completing wire mesh and shotcrete or parallelly with that, needed to install rock bolt/
stitching with double end from inside the tunnel. This will be possible even from outside, near to
temporary berm.
1.5 Next step will be plugging the bell mouth with fine concrete, between ET section and final slope.

Fig 5 Concrete backfill between Bell mouth and Escape tunnel.

1.6 Next step will be dismantling/demolishing of bell mouth and complete pending slope protection.
1.7 ET bridge piling work can be started parallelly, after ET portal completed or after bell mouth
dismantling.
Option 2
2.1 Excavation the remaining part of ET from inside the tunnel. As a comparison with excavation from
outside, the sequence will be the same. Here also the pipe roof will advise. Excavation will start from
junction point towards portal with installing ribs, wire mesh and shotcrete, and rock bolting, but will stop
near to portal because slope protection of the portal area is not completed yet.

Fig-7 showing excavation sequence from inside towards false portal

2.2 Next step will be back filling the bell mouth, which is explained in option 1.
2.3 Next step will be dismantling/ demolishing the bell mouth, completing all remaining slope protection
in bell mouth area and ET portal. Then ET tunnel portal also can be completed, and tunnel will be open.
2.4 Stitching can be done before step 3 or after that from inside the tunnel. It can even be completed from
the slope side towards the tunnel.

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Option 3
There is a possibility to use some part of the bell mouth instead of ET as a permanent (Fig 8).
Therefore, there is no need to excavate a new ET and ET portal also. In this option, needed to dismantle
approx. 15 meters of bell mouth entrance due to interface with portal 2 final slope. Also needed to be
considered an access road with two 90-degree curves next to each other just near the ET bridge.
One more stuff required to be checked at site. There will be the interface of the ET access road, exactly in
front of the bell mouth, and main tunnel triple track.

Fig-8 showing the bell mouth demolish zone and access road curves.
6. CONCLUSION
Option 3 will be an easy solution for now, but at the end of the construction work, two curves next to
each other will be in ET road, just at the end of ET bridge.
In fact, option 1 and 2 both are same, just different is in a way for excavation the ET tunnel. In option
1, first needed to complete slope protection in front of the ET portal and should not touch to bell mouth area
which seems to be difficult to make separation in that area. That means during the slope protection around
the ET portal, most probably the bell mouth area also will be affected by machinery activities.
Therefore, with the comparison between these options, it seems option 2 will be more flexible for
Escape tunnel opening and slope protection in confined spaces.
REFERENCES
Final Design Report of Tunnel 11, Aecom. (Rishikesh-Karnaprayag).
Geotechnical Baseline Report of Tunnel 11, Aecom. (Rishikesh-Karnaprayag)
Hoek, E. (2006). Practical Rock Engineering, Consulting Engineer Inc, 102-3200 Capilano Crescent North
Vancouver, British Columbia Canada V7R 4H7.

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 Theme
Engineering Geological 12 of- Pumped
Mapping Storage
Underground Pump Projects
House Cavern Foundation of Kalesh-
waram Lift Irrigation Scheme Package-10, Telangana State, India

Engineering Geological Mapping of Underground Pump House Cavern Foundation of

Kaleshwaram Lift Irrigation Scheme Package-10, Telangana State, India

D.S. RAWAT, A.K. NAITHANI, PRASNNA JAIN, L.G. SINGH

Engineering Geology Department, National Institute of Rock Mechanics, Bengaluru-560070
email: dsrawat.nirm@gmail.com

ABSTRACT: Kaleshwaram Lift Irrigation Scheme (KLIS) is a multipurpose scheme of the Telangana State, India
to lift water from the Godavari River. The purpose of the scheme is to cater water for upland drought-prone
districts. The approximate lift height of the scheme is 530 m. Barrages, water conveyor systems, and distributary
networks are the main components of this scheme. In this paper, the geotechnical investigation and treatment plan
of the pump house foundation of KLIS, package-10 are discussed in detail. A total four numbers of mechanical
pumps are installed in the pump house and the capacity of each pump is 106 MW. Foundation mapping was done
on a grid-to-grid basis to ensure precision accuracy. All geological and structural features were collected and
mapped using Total Station surveying equipment on a 1:200 scale. Rock masses are evaluated from the condition
of discontinuities, and rock mass rating (RMR) values range from 45 to 82. Geological defects or weak features
were treated before the first pour of concrete. Safe bearing capacity was calculated based on the RMR values of
the pump foundation to fulfill the required design value.
Keywords: Kaleshwaram Lift Irrigation Scheme (KLIS), The Godavari River, Rock mass rating (RMR) and Safe
Bearing Capacity.

1. INTRODUCTION
Kaleshwaram Lift Irrigation Project (KLIS) has been taken up for creating irrigation potential to the upland
areas of the Telangana State. The total length of the scheme is 500 km with an irrigation facility of 7,38,835
hectares of agricultural land in thirteen districts which makes it the world’s largest irrigation scheme. From this
scheme, 225 thousand million cubic feet (TMC) water is being lifted of which 169 TMC is for irrigation, 40 TMC
for drinking, and 16 TMC for industrial utilities. Water is being lifted from the lower elevation to the higher
elevations using a multi-stage lift mechanism and the total lift height is approximately 530 m. The scheme
was divided into 28 packages so that it could be completed as per the given schedule and the package-10 is one of
them. The dimension of the pump house is 135.5 m (L) x 21.8 m (W) x 54.7 m (H) is designed to mount heavy
mechanical pumps and facility of the control room etc. The full reservoir level (FRL) of the storage reservoir is
390 m and the reduced level (RL) of pump pits at 272 m where the total lift height is 128 m is shown in Fig.1.
The objective of the study is to advise suitable protective engineering geological measures of the excavated
foundation floor of the pump house based on the detailed engineering geological investigations. The pump house
is the key component of the lift irrigation, which are facilities including high-speed electro-mechanical pumps and
other equipment for pumping fluids from a lower elevation to a higher elevation. The important components of
each pump are the impeller, shaft, guide bearing, shaft seal and guide apparatus etc. The pump house cavern is an
important structure to place mechanical pumps and to set up a control building within this structure. KLIS, P-10
was constructed for lifting of 241 cumecs water and creating irrigation potential to an ayacut of 30,000 acres. As
per the design, 4 x 106 MW mechanical pumps were installed to lift 321.33 cumecs water. The salient features of
the pump house are given in Table 1.
Table 1: Salient features of the pump house
S. N. Description Details
1. Underground Pump House
1. Dimension 135.5 m (L) x 21.8 m (W) x 54.7 m (H)
2. Crown level EL 327.00 m
3. Spring level EL 317.20 m
4. Invert level EL 272.30 m
5. Ground level EL 391.00 m
6. Rockledge between surge pool and pump house 66.00 m
7. Number of pump & capacity 4 x 106 MW
8. Grade of foundation concrete M25

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Fig. 1 Longitudinal section of the KLIS, package-10

2. LOCATION OF THE PROJECT SITE

The pump house complex of KLIS, P-10 has been constructed near village Illanthakunta Mandal, Rajanna
Siricilla District of Telangana State. The project site is about 130 km from Hyderabad and located near to
Hyderabad – Siddipet - Karimnagar – Ramagundam Highway. The location map of the project site is shown in
Fig.2.

Fig. 2 Location map of the pump house complex of KLIS package-10 site

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waram Lift Irrigation Scheme Package-10, Telangana State, India

3. METHODOLOGY
Engineering geological mapping of excavated pump pit-1,2,3&4 were carried out on 1:200 scale. For the
high accuracy of mapping the excavated pump pits area were divided into different grids and for each grid, a
particular number was given. The size of grids were decided of 2 m x 2 m. In this paper pump pit 1&2 are described
in detail. The total area of pump pit-1 & 2 was divided into 242 grids. The pump pit floor is a very important and
sensitive component/part of the pump house complex, so all the geological defects were identified for the treatment
plan before mounting the heavy mechanical motor on these floors. Once mechanical work starts, it is very difficult
to treat any type of defects in the floor and surrounding areas. After the proper cleaning/washing of pump pit-1 &
2 floors, all structural and geological defects were identified and mapped using total station surveying equipment.
A detailed study was carried out of each grid to identify rock and its mineralogical composition, texture and
nomenclature. Weathering grades of the rock mass were identified as per the guidelines of the ISRM (1978&81)
is given in Table 2.

Table 2: Description of Weathering Grade (ISRM, 1978)

Term Description Grade

Fresh No visible sign of rock material weathering; perhaps slight discolouration on major I
discontinuity surfaces.
Slightly Discolouration indicates weathering of rock material and discontinuity surfaces. All the rock II
weathered material may be discoloured by weathering and may be somewhat weaker externally than in
its fresh condition.
Moderately Less than half of the rock material is decomposed and / or disintegrated to a soil. Fresh or III
weathered discoloured rock is present either as a continuous framework or as core stones.
Highly More than half of the rock material is decomposed and / or disintegrated to a soil. Fresh or IV
weathered discoloured rock is present either as a discontinuous framework or as core stones.
Completely All rock material is decomposed and / or disintegrated to soil. The original mass structure is V
weathered largely intact.
Residual soil All rock material is converted to soil. The mass structure and material fabric are destroyed. VI
There is a large change in volume, but the soil has not been significantly transported.

4. GEOLOGY OF THE PROJECT SITE AND AREA AROUND

Regionally, the area is predominantly occupied by granite with small patches of supracrustals of the Archaean
age. The supracrustals occurs as enclaves of varying shapes and sizes within granite and predominantly in
hornblende granite. They are composed of banded magnetic quartzite which occur as elongated and lensoidal
bodies in pink – hornblende-biotite granite. The present area falls within the geological domain of Peninsular
Gneissic Complex represented by granite/gneiss (Ramam and Murthy, 2012; Nagaraj, 2012). Hybrid granite gneiss
occurs as enclaves within granite and represents as older granite–gneiss phase in the southwestern parts of the area.
The grey hornblende biotite granite gneiss is composed of grey alkali feldspar, plagioclase and quartz with minor
biotite and hornblende. At places, it is reported that it is intruded by basic dykes, trending NW-SE.
Grey biotite granite contains plagioclase, k-feldspar, quartz and biotite and occurs as sheets in younger granite. It
is traversed by pegmatite and epidote veins. The other variants of pink hornblende – biotite granite are coarse
grained pink hornblende – biotite granite, medium grained pink hornblende – biotite granite and medium grained
alkali feldspar granite. The litho ensemble is intruded by dolerite dykes and quartz veins at places by secondary
epidote veins.
The denudational landforms developed over granite gneiss terrains forms a gently undulating plain,
interspersed with tors, knolls, and mounds. Siddipet Vagu (locally known as a stream) is the main drainage channel
which flows SW to NE and further takes a turn towards the east. The drainage pattern developed in the area is sub-
dendritic to dendritic (Nagaraj, 2012). Regionally the project site falls in the Seismic Zone-II as per the Seismic
Zonal Map of India (IS 1983 (Part-1) - 2002). The pump house complex is located in fresh, hard and coarse to
very coarse-grained grey granite. The rock mass is intersected mainly by vertical and sub-horizontal joints.
5. ENGINEERING GEOLOGICAL & GEOTECHNICAL ASSESSMENT OF FOUNDATIONS
Geological mapping of the foundation floor of any important structure is essential to assess the rock mass quality,
to provide the necessary treatment plan and to achieve the design concrete strength for mounting/establishing the
heavy mechanical pumps on the final level of the raft. The naturally available rock mass is the best foundation
material but the presence of a type of discontinuities, are not always suitable for the foundation. For the foundation
floor horizontal joints are very suitable and vertical joints are most unfavorable as per the adjustment factor. The

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Designer must be aware about the heterogeneous nature of rock mass and associated dangers in the form of
stressing a rock foundation may result in large differential settlements or perhaps sudden failure. To understand
the quality of the rock mass, engineering geological mapping was carried out on 1:200 scale for pump pit-1&2.
The primary purpose of the mapping is to provide a permanent record of conditions during the excavation.
Mapping will be used to assess the requirement of any ground improvement. This permanent foundation record
will assist in making a better interpretation of post-construction stage data. The study also provides permanent data
input for geological interpretations during the construction and also it forms valuable documentation for post-
construction stages.
At the foundation surface, all detached rock masses were properly removed manually and cleaned by a water
jet before taking up geological mapping (Fig. 3 & 4). All the discontinuities in the rock mass of the foundation of
the pump house (pump pit 1&2) with the zone of influence of the foundation have been identified and mapped
(ISO 12070).
The foundation of pump pits were examined on a grid-to-grid basis; the size of the grid were marked of 2 m
x 2 m at the site (Fig. 5). Classification of rock mass using the Rock Mass Rating (RMR) of Bieniawski (1989)
has been done and based on detailed engineering geological investigations recommendations for the treatment of
foundations are given. After the foundation mapping pouring of concrete was done for a raft structure (Fig.6).

Fig. 3 Removing of loose fragments before mapping Fig. 4 Washing of the floor area with waterjet

Fig. 5 Prominent vertical joint and grid pattern Fig. 6 View of the mounted mech. pump on a raft
observed in pump pits

5.1 Geological and structural assessment of pump house foundation floors

The design level of the final excavated rock surface was RL+272.60 m but at many locations, excavation was
reached up-to RL+269.865 m. The maximum excavated difference was reported 2.735 m at the few locations
because of the presence of the filling joints or unfavorable joints in the combination of horizontal and vertical
joints and somewhere due to the blasting effect. A total 2943 sq m area of the pump house foundation was mapped.
Based on the site observations and evidence it is observed that the foundation area consists of coarse to very coarse
grained hard, compacted and fresh grey colour granite rock. Filling along joints was observed in the form of soft
material. No evidence of any displacement of fault was observed from the mapped foundation area. Discontinuities
and structural data are required to intake grout material of the area but the depth was shallow level only in presence
of horizontal joints. Joints are continuous and the continuity of joints is >20 m. Two joint sets plus random joint
to three joints were observed. In general rock mass is dry in condition but dampness also observed at few locations.
Geological fractures to hairline cracks were observed at a few locations which shows the excavation effect. A
foundation is the part of a structure which transmits the weight of the structure to the ground. A foundation is a

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connecting link between the structure and the mechanical pump. The details of joints recorded from pump pit-1&2
are given in Table 3&4.
Table 3: Joint sets recorded in coarse to very coarse-grained grey granite at the foundation of pump pit-1
JointStrike/Dip Dip Spacing Persistence Roughness Aperture Infilling/ Weathering Ground
sets Direction amount (cm) (m) (mm) Alteration Water

J1 275-305 Vertical 15-100 >20 RP Tight-3 Coated Fresh Dry

J2 010-015 10-25 15-30 >10 RU Tight Stained Fresh Dry

J3 280-300 20-25 10-30 >15 RU Tight Stained Fresh Dry

J4 180 5-10 Random 5-10 RIP Tight-2 None Fresh Dry

RP=Rough planar, RU=Rough undulating, RIP=Rough irregular planar
Table 4 Joint sets recorded in coarse to very coarse-grained grey granite at the foundation of pump pit-2
Joint Strike/Dip Dip Spacing Persistence Roughness Aperture Infilling/ Weathering Ground
sets Direction amount (cm) (m) (mm) Alteration Water
J1 280-310 Vertical 15-100 >20 RP Tight-3 Coated Fresh Dry
J2 170-180 10-25 15-40 >10 RU Tight-2 Coated Fresh Dry
J3 210-215 10 11-30 >15 RU Tight Coated Fresh Dry
RP=Rough planar, RU=Rough undulating

6. GEOTECHNICAL ASSESSMENT – PUMP HOUSE FOUNDATION

On the basis of detailed engineering geological mapping, a geotechnical assessment of the foundation of
pump house was carried out. The foundation area of the pump house (pump pits-1&2) are falling under weathering
grade-1 (W-I) i.e. fresh in nature. The rock mass rating for each block as evaluated from the UCS and conditions
of discontinuities is given in Table 5 to 6.
Table 5: RMR – value determined for the foundation floor of the pump pit-1
Condition of discontinuity Ground Orientati RMR
Grid No. UCS RQD Spacing A b c d e water on
V R V R V R V R V R T R Tight R G R Q R V R Value
(%) (cm) (m) (L/min)
1 to 14 62 7 95.2 20 20 10 12
1 T-3 1 R 5 <5 H 4 I 6 D 15 VF 0 69
15 to 20 62 7 88.6 17 60 15 >20
0 T-2 1 R 5 <5 H 4 I 6 D 15 VUF -25 45
21 to 39 62 7 95.2 20 30 10 12
1 T-3 1 R 5 <5 H 4 I 6 D 15 VF 0 69
40 to 43 62 7 88.6 17 70 15 >20
0 T-2 1 R 5 <5 H 4 I 6 D 15 VUF -25 45
44 to 67 62 7 95.2 20 20 10 12
1 T-3 1 R 5 <5 H 4 I 6 D 15 VF 0 69
68 to 72 62 7 88.6 17 80 15 >20
0 T-2 1 R 5 <5 H 4 I 6 D 15 VUF -25 45
73 to 78 62 7 95.2 20 35 10 12
1 T-3 1 R 5 <5 H 4 I 6 D 15 VF 0 69
79 to 62 7 88.6 17 65 15 >20
0 T-2 1 R 5 <5 H 4 I 6 D 15 VUF -25 45
115
116 to 62 7 95.2 20 20 10 12 1 T-3 1 R 5 <5 H 4 I 6 D 15 VF 0 69
121
Note: R-rating; S-smooth; R-rough; T-tight; SR-slightly rough; H-hard; S-soft; N-nil; D-dry F-favourable; VF-
very favourable; UF-unfavourable; VUF-very unfavourable
(a. Persistence (V=value) b. Aperture (V=value) c. Roughness (T=type) d. Infilling (T=type) e. Weathering
grade (G=grade), Ground water (Q=quantity), Orientation (V=vale) common- (V=value, Rating=R)

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Table 6: RMR – value determined for the foundation floor of the pump pit-2
Condition of discontinuity Ground Orientatio RMR
Grid UCS RQD Spacing A b c d e water n
no. V R V R V R V R V R V R V R V R V R V R V
(%) (cm) (m) (%) (cm) (m) (%) (cm)
1 to 2 62 7 91.9 20 65 15 >20 0 3 1 R 5 <5 H 4 I 6 D 15 VUF -25 48
3 to 12 62 7 91.9 20 27 10 >10 1 T 6 R 5 N 6 I 6 D 15 VF 0 76
13 to 62 7 91.9 20 65 15 >20 0 2 1 R 5 <5 H 4 I 6 D 15 VUF -25 48
15
16 to 62 7 91.9 20 30 10 >10 1 T 6 R 5 N 6 I 6 D 15 VF 0 76
23
24 to 62 7 91.9 20 70 15 >20 0 T 6 R 5 N 6 I 6 D 15 VUF -25 55
28
29 62 7 91.9 20 27 10 >10 1 T 6 R 5 N 6 I 6 D 15 VF 0 76
30 to 62 7 91.9 20 65 15 >20 0 2 1 R 5 <5 H 4 I 6 D 15 VUF -25 48
41
42 to 62 7 91.9 20 27 10 >10 1 T 6 R 5 N 6 I 6 D 15 VF 0 76
43
44 to 62 7 91.9 20 65 15 >20 0 3 1 R 5 <5 H 4 I 6 D 15 VUF -25 48
53
54 to 62 7 91.9 20 27 10 >10 1 T 6 R 5 N 6 I 6 D 15 VF 0 76
56
57 to 62 7 91.9 20 65 15 >20 0 2 1 R 5 <5 H 4 I 6 D 15 VUF -25 48
62
63 to 62 7 91.9 20 27 10 >10 1 T 6 R 5 N 6 I 6 D 15 VF 0 76
65
66 to 62 7 91.9 20 65 15 >20 0 3 1 R 5 <5 H 4 I 6 D 15 VUF -25 48
80
81 to 62 7 91.9 20 27 10 >10 1 T 6 R 5 N 6 I 6 D 15 VF 0 76
82
83 to 62 7 91.9 20 65 15 >20 0 2 1 R 5 <5 H 4 I 6 D 15 VUF -25 48
84
85 to 62 7 91.9 20 27 10 >10 1 T 6 R 5 N 6 I 6 D 15 VF 0 76
88
89 to 62 7 91.9 20 65 15 >20 0 2 1 R 5 <5 H 4 I 6 D 15 VUF -25 48
91
92 to 62 7 91.9 20 27 10 >10 1 T 6 R 5 N 6 I 6 D 15 VF 0 76
95
96 to 62 7 91.9 20 65 15 >20 0 2 1 R 5 <5 H 4 I 6 D 15 VUF -25 48
98
99 to 62 7 91.9 20 27 10 >10 1 T 6 R 5 N 6 I 6 D 15 VF 0 76
100
101 to 62 7 91.9 20 65 15 >20 0 2 1 R 5 <5 H 4 I 6 D 15 VUF -25 48
102
103 to 62 7 91.9 20 27 10 >10 1 T 6 R 5 N 6 I 6 D 15 VF 0 76
109
110 to 62 7 91.9 20 65 15 >20 0 2 1 R 5 <5 H 4 I 6 D 15 VUF -25 48
113
114 to 62 7 91.9 20 27 10 >10 1 T 6 R 5 N 6 I 6 D 15 VF 0 76
121
Note: R-rating; S-smooth; R-rough; T-tight; SR-slightly rough; H-hard; S-soft; N-nil; D-dry F-favourable; VF-
very favourable; UF-unfavourable; VUF-very unfavourable
(a. Persistence (V=value) b. Aperture (V=value) c. Roughness (T=type) d. Infilling (T=type) e. Weathering
grade (G=grade), Ground water (Q=quantity), Orientation (V=vale) common- (V=value, Rating=R)

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 Engineering Geological Mapping of Underground Pump House Cavern Foundation of Kalesh-
waram Lift Irrigation Scheme Package-10, Telangana State, India

Fig. 8 Engineering geological mapping of pump pit-1 and area around

Fig.9 Engineering geological mapping of pump pit-2 and area around

7. GEOTECHNICAL ASSESSMENT OF THE PUMP HOUSE FLOOR

(a) Based on rock mass classification

The rock type exposed in the entire foundation area is coarse to very-coarse grained grey granite, which is a
‘massive to blocky crystalline bedrock including granite. The grade of the rock mass as evaluated from the UCS
and conditions of discontinuities. RMR values are varying from 45 to 82 and falls under fair to good rock mass
category. The uniaxial compressive value (UCS) of the laboratory test shown the value is 62 MPa. The

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classification of rock mass for assessing safe bearing pressure and allowable bearing pressure are given in Table
7.

(b) Safe bearing pressure of foundation floor

Safe bearing pressure is an important factor for the design of foundations. In this case, safe bearing pressure was
evaluated based on the rock type and rock mass rating (RMR). An average RMR 60 of the foundation floor was
taken for the estimation of Safe Bearing Pressure. The allowable bearing pressure was also estimated as given in
Table 7.
Table 7: Safe bearing pressure (qns) and allowable bearing pressure (qallow) for pump pit areas based on rock type
Rock Type (Material) Granite
Net safe bearing pressure (qns) 1000 t/m2
Correction factor (for rock mass with continuous joints with aperture up to 5 mm 0.50
and clay filled)
Allowable bearing pressure (qallow) q ns * correction factor
1000 * 0.50 t/m2
500.0 t/m2
Based on rock mass rating the average (RMR)
Average RMR 60.0
Classification of rock Class-III
Description of rock mass Fair
Net safe bearing pressure (qns) 280 t/m2
Correction factor (for rock mass with continuous joints with aperture up-to 5 mm -
and clay filled)
Allowable bearing pressure (qallow) qallow * correction factor
280
280 t/m2

(c) Treatment plan of the foundation floors

The exposed discontinuities or geological features make the foundation suitable but to ensure the strength of the
rock mass behind the visible parts and make the rock mass monolithic consolidated grouting up-to 3.0 m depth in
rock mass at an average 2.5 m c/c was recommended. The pressure and ratio (water and cement) of the grout was
fixed as per the trial test. The holes which absorb water greater than 3 Lugeons, shall invariable be grouted. (IS
6066). The grout holes should be laid out in line with secondary holes staggered with reference to the primary
holes on the adjacent lines. (IS 5529). Before PCC the over excavated areas were backfilled with the M20 concrete
up-to the design foundation level.

(d) Based on rock mass rating, (RMR)

For pump pit 1&2 net safe bearing pressure and allowable bearing pressure were calculated and given in Table 8.

Table 8: Safe bearing pressure and allowable bearing pressure for pump pit areas based on RMR

Pump Average Classification Net safe Correction factor Allowable Recommended

pit RMR of Rock Mass bearing (correction factor is not bearing allowable
nos. pressure applicable for the pressure bearing pressure
(qns) classification of RMR (qallow)
method)
1 58 Class III 265 - 265 265
2 65 Class II 320 - 320 320
8. CONCLUSIONS
The rock mass as evaluated from the condition of discontinuities has RMR values varying from 45 to 82 falling in
fair and good rock classes. The foundation floor area is the most important part of the pump house complex because
it directly connects with mechanical pumps. Mechanical pumps generate noise-caused vibration and it shake the
surrounding area. Therefore, the surrounding area of each pump was checked carefully and all identified geological

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waram Lift Irrigation Scheme Package-10, Telangana State, India

weak features were treated before mounting of mechanical pumps. Heterogenous material was converted into
monolithic form with the help of grouting and pouring of concrete. Grouting was performed to fill-up shear/weak
features and to strengthen the rock masses after a layer of PCC. The presence of horizontal or sheet joints at the
foundation floor makes favorable conditions and low requirements of treatment. Grouting was performed after the
final blasting only to avoid any cracks/hair lines cracks due to the blasting effect. The allowable bearing pressure
value obtained from RMR is 280 t/m2.

ACKNOWLEDGMENTS

We gratefully thank to management of M/s Prathima Infrastructure Limited, Hyderabad for sponsoring this
paper as part of their project. The authors are grateful to Dr. H.S. Venkatesh, Director of NIRM, for his
encouragement, technical advice, and permission to send the work for publication.
REFERENCES

Bieniawski, Z.T. (1989), “Engineering Rock Mass Classification”. John Willey and Sons, New York, pp.251.
ISO: 12070 (1987), Indian Standard – “code of practice for design and construction of shallow foundations on
rocks”, pp.13.
ISRM (1978), “Suggested methods for the quantitative description of discontinuities in rock mass”. Int. Jour. Rock
Mech. Sci. and Geomech. (Abstract), Pergamon, v. 15(6), pp.319–368.
ISRM (1981), “Suggested methods for the quantitative description of discontinuities in rock masses” . (ed. E.T.
Brown) Pergamon Press Oxford, UK. Pp. 211.
Raman, P. K. and V.N. Murthy (2012), “Geology of Andhra Pradesh”. Geological Society of India, pp.245.
Nagaraj, T. (2012), “Report of preconstruction stage geotechnical investigations for the proposed tunnel and pump
house complex”, package-12, Dr. B. R. Ambedkar Pranahita Chevella Sujala Sarvanthi Scheme, Medak
District, Andhra Pradesh. Unpub. Geol. Surv. India Report, F. S. 2012-2013, Southern Region, Hyderabad.
IS 1983 Part 1, (2002), “Criteria for earthquake resistant design of structures”, Part 1 – general provisions and
buildings. Bureau of Indian Standards, New Delhi, pp.36.
IS, 6066 (1994), “Pressure grouting of rock foundations in river valley projects-recommendations” Bureau of
Indian Standards, pp.16
IS, 5529 Part 2, (2006), “In situ permeability test -part-2 tests in bedrock”. Bureau of Indian Standards, pp.13

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 G.VTheme
Ramana12 - Pumped
and Storage
Abhishek Dash Projects
and Paidi Priyanka

Estimation
Estimation of design
of design parameters
parameters of rock
of shale shaleand
rockcomparison
and comparison
of the rock behavior using failure criteria
of the rock behavior using failure criteria
1 2 3
G.V RAMANA
G.V RAMANA 1 AND ABHISHEK
AND ABHISHEK DASHDASH
2 AND PAIDI
AND PAIDI PRIYANKA
PRIYANKA 3
1
1
AssistantAssistant Professor,
Professor, Department
Department of CivilofEngineering,
Civil Engineering,
National National
InstituteInstitute of Technology
of Technology Warangal,
Warangal, Warangal-
Warangal-
506004,506004,
E-mail:E-mail: gvramana@nitw.ac.in
gvramana@nitw.ac.in
2
2 Mr. Abhishek Dash, MTech in Geotechnical Engineering,
Mr. Abhishek Dash, MTech in Geotechnical Engineering, Department Department
of CivilofEngineering,
Civil Engineering,
NationalNational
InstituteInstitute
of Technology
of Technology Warangal,
Warangal, Warangal-506004,
Warangal-506004, E-mail:E-mail: ad22cem2r03@student.nitw.ac.in
ad22cem2r03@student.nitw.ac.in
3
3
Paidi Priyanka, MTech in Geotechnical Engineering, Department of CivilofEngineering,
Paidi Priyanka, MTech in Geotechnical Engineering, Department Civil Engineering, National
National InstituteInstitute
of of
Technology Warangal, Warangal-506004, E-mail: pp22cem2r19@student.nitw.ac.in
Technology Warangal, Warangal-506004, E-mail: pp22cem2r19@student.nitw.ac.in
(e-mail(e-mail of the corresponding
of the corresponding author:author: gvramana@nitw.ac.in)
gvramana@nitw.ac.in)

ABSTRACT:
ABSTRACT: Shale
Shale rock rock formations
formations find diverse
find diverse applications
applications in engineering
in engineering and geotechnical
and geotechnical projects, projects,
including including
pumped storage and hydroelectric power schemes, tunnelling, mining, and slope stability analysis. It is crucial crucial
pumped storage and hydroelectric power schemes, tunnelling, mining, and slope stability analysis. It is to to
accurately
accurately estimateestimate
design design parameters
parameters to ensure to ensure the and
the safety safety and stability
stability of structures
of structures constructed
constructed within orwithin
uponor upon
shale
shale rock rock masses.
masses. This studyThisfocuses
study focuses on conducting
on conducting laboratorylaboratory
tests ontests onshale
intact intactrock
shale rock samples
samples gathered gathered
from from
the "Pinnapuram pumped storage project in Andhra Pradesh." Various tests such as uniaxial compression, triaxial triaxial
the "Pinnapuram pumped storage project in Andhra Pradesh." Various tests such as uniaxial compression,
compression,
compression, and indirect
and indirect tensile
tensile tests testsundertaken
were were undertaken to ascertain
to ascertain the mechanical
the mechanical properties
properties of therock.
of the shale shale rock.
These properties encompassed the modulus of elasticity, shear strength parameters, and tensile strength. The The
These properties encompassed the modulus of elasticity, shear strength parameters, and tensile strength.
widely widely recognized
recognized Mohr-Coulomb
Mohr-Coulomb failure failure criterion,
criterion, which postulates
which postulates that shalethat rock
shalebehaves
rock behaves as a frictional
as a frictional
material with a linear relationship between shear stress and normal stress, is compared
material with a linear relationship between shear stress and normal stress, is compared with the Hoek and Brown with the Hoek and Brown
failure criterion. This comparative analysis considers factors like shear strength,
failure criterion. This comparative analysis considers factors like shear strength, failure modes, and deformationfailure modes, and deformation
characteristics
characteristics under different
under different loadingloading
conditionsconditions
to assesstotheassess the applicability
applicability and accuracy
and accuracy of the twoof the two criteria
failure failure criteria
in predicting shale rock behaviour. The Hoek and Brown criterion, which includes additional parameters such assuch as
in predicting shale rock behaviour. The Hoek and Brown criterion, which includes additional parameters
intactstrength
intact rock rock strength and structural
and structural geologygeology
features,features,
offers aoffers
more acomprehensive
more comprehensive representation
representation of shaleofrock shale rock
behaviour. Additionally, an effort is made to determine the Hoek-Brown constant 'mi' of shale rock by utilizingutilizing
behaviour. Additionally, an effort is made to determine the Hoek-Brown constant 'mi' of shale rock by
RocdataRocdata
software.software. The findings
The findings of thiswill
of this study study will enhance
enhance the precision
the precision of geotechnical
of geotechnical modelsmodels
and offerandvaluable
offer valuable
insights for the formulation of engineering guidelines tailored specifically
insights for the formulation of engineering guidelines tailored specifically to shale rock masses. to shale rock masses.

Keywords:
Keywords: Shaleshear
Shale rock; rock;strength
shear strength parameters;
parameters; Rocdata;
Rocdata; Hoek
Hoek and and Brown
Brown model. model.

1 1 INTRODUCTION
INTRODUCTION
Shale isShale is a highly
a highly abundant abundant
rock type rockfoundtype on found
the on the Earth's
Earth's surface.surface. The material
The material in question
in question is not isa not a
homogeneous solid but rather comprises a range of finely divided and clastic sedimentary components. In the In the
homogeneous solid but rather comprises a range of finely divided and clastic sedimentary components.
contemporary
contemporary context,context, the examination
the examination of shaleofrock shaleformations
rock formations
assumesassumesa crucial a crucial
role acrossrole various
across various
domainsdomains
owing to its abundant presence and significant relevance within the energy
owing to its abundant presence and significant relevance within the energy industry. Shale rock is predominantly industry. Shale rock is predominantly
located within the Krishna Godavari basin of Andhra Pradesh, Assam,
located within the Krishna Godavari basin of Andhra Pradesh, Assam, Arunachal Pradesh, Gujarat, West Bengal, Arunachal Pradesh, Gujarat, West Bengal,
and Tamil Nadu in India. To gain a comprehensive understanding of
and Tamil Nadu in India. To gain a comprehensive understanding of the primary concern surrounding shale rock the primary concern surrounding shale rock
within the realm of rock mechanics, it is imperative to examine key attributes inherent to shale rock. These These
within the realm of rock mechanics, it is imperative to examine key attributes inherent to shale rock.
attributes
attributes includeinclude
fissility,fissility,
denoting denoting the inherent
the inherent quality quality of the
of the rock thatrock that renders
renders it proneittoprone
faciletodivision
facile division
into thininto thin
layers,
layers, as well as
as well as its anisotropic
its anisotropic nature Hu nature
et alHu et al (2017).
(2017).
The primary
The primary concernconcernassociated associated withrock
with shale shale rock
mass is mass is its reliance
its reliance on anisotropic
on anisotropic behaviour behaviour
and the and the influence
influence
of moisture content on its strength. The assessment of the interlayer interactions inside anisotropic rock isrock is
of moisture content on its strength. The assessment of the interlayer interactions inside anisotropic
accomplished
accomplished using experimental
using experimental simulation.
simulation. Consequently,
Consequently, these features
these features are utilized
are utilized in the formulation
in the formulation of of
various strength requirements Burnwal et al (2021). The resolution of the
various strength requirements Burnwal et al (2021). The resolution of the anisotropic behaviour problem involves anisotropic behaviour problem involves
determining
determining the strengththe strength
parameter parameter
throughthrough the alteration
the alteration of theofangle
of the angle direct of load
directin load in relation
relation to the bedding
to the bedding
plane. In certain rock formations, the preparation of appropriately
plane. In certain rock formations, the preparation of appropriately sized rock samples for the examination of sized rock samples for the examination of
different mechanical properties can be challenging. This study, as
different mechanical properties can be challenging. This study, as presented by Wen et al (2021), provides a presented by Wen et al (2021), provides a
formulation
formulation for the for the determination
determination of the mi of parameter
the mi parameterwithin thewithin the Hoek-Brown
Hoek-Brown strengthstrength
criterioncriterion for anisotropic
for anisotropic
intactThe
intact rocks. rocks. The formulation
formulation considers considers
the impactthe impact of theprincipal
of the minor minor principal
stress asstress
well as
as well as theformed
the angle angle formed
betweenbetween
the main principal stress and the weak plane. The determination of the unconfined compressive strengthstrength
the main principal stress and the weak plane. The determination of the unconfined compressive (UCS) (UCS)
value of shale rock is challenging due to the fragmented structure of
value of shale rock is challenging due to the fragmented structure of shale rock, which hinders the productionshale rock, which hinders the production
of of
UCS samples with ease, as noted by
UCS samples with ease, as noted by T.N. Singh et al (2005). T.N. Singh et al (2005).
It is imperative
It is imperative to acknowledge
to acknowledge that thethat the presence
presence of numerousof numerous discontinuities
discontinuities necessitates
necessitates the recognition
the recognition
that rock attributes assessed in laboratory settings (utilizing complete rock
that rock attributes assessed in laboratory settings (utilizing complete rock samples) do not accurately reflect fieldsamples) do not accurately reflect field
situations (using rock masses). The Heok and Brown model, as proposed by Hoek et al (1998), is extended in this in this
situations (using rock masses). The Heok and Brown model, as proposed by Hoek et al (1998), is extended
study tostudy to incorporate
incorporate the block thefailure
block concept
failure concept for the determination
for the determination of strengthof strength parameters
parameters in weakinshaleweakrock.shaleThis
rock. This

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 Estimation of design parameters of shale rock and comparison
of the rock behavior using failure criteria

work aims to utilize a laboratory experiment in conjunction with the Generalised Hoek-Brown model to analyse
the index and engineering characteristics of shale rock masses. This proposal suggests the development of a model
that aims to provide a dependable estimation of the strength properties of jointed rock masses, considering the
interlocking of blocks and the state of the joint surfaces Hoek and Brown et al (1997). The last step involves
comparing the obtained results with experimental data to assess the realism of the Hoek-Brown model.
Davarpanah, et al (2022) examine the significant discrepancies observed in the projected mi values through the
utilization of different methodologies.

2 STUDY AREA, LOCATION AND SAMPLE PREPARATION

2.1 Study Area and Location
Currently, the Pumped Storage Scheme is widely regarded as the most dependable choice for energy storage.
It is worth mentioning that Pinnapuram IREP (Integrated Renewable Energy Power Plant) has been developed as
the world's first and largest integrated project at a gigawatt scale. This project encompasses solar, wind, and
pumped storage components, enabling it to provide schedulable power on demand (SPOD). Pinnapuram IREP is
located in the Kurnool district of Andhra Pradesh, India
As shown in figure 1. These rocks encompass a variety of lithologies, including conglomerates, quartzites, shales,
dolomite, limestones, and chert. The exposed rock mass in the Lower Reservoir area exhibits varying strength,
ranging from weak to medium strong. The appearance of the rock is predominantly light brown to purple Shale.
Underlying this shale layer is a grey-coloured limestone and hard, massive Quartzites. The geological formations
under consideration have almost horizontal bedding, with three distinct sets of joints that are characterized by their
broad spacing. These joints display a combination of tight and partially open configurations, indicating a variable
degree of permeability. In terms of mechanical properties, the formations possess moderate strength.

Fig 1: Site location

2.2 Sample Preparation

The samples were collected from various locations of Pinnapuram IREP.

Fig. 2 Preparation of shale rock samples. Fig. 3 Bedding plane of shale rock core.

For sample preparations the samples were collected from the lower reservoir portion was shale rock and the
samples were prepared for testing for mechanical properties for determination of the strength characteristics of the
samples. The samples were prepared for testing following IS 9179 (1979). The samples that were gathered
underwent testing to determine their index qualities and engineering properties, in accordance with the prescribed

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 G.V Ramana and Abhishek Dash and Paidi Priyanka

procedures outlined in IS standards. Due to the laminated and weak nature of shale rock, it is necessary to employ
a precautionary measure during the preparation of samples for testing. In order to mitigate potential disturbances
arising from external vibrations, Teflon tapes are utilized to encase the extracted cores. This protective measure is
crucial as it prevents the disintegration of the laminated cores, as depicted in Figure 2. Figure 3 depicts the bedding
plane of a shale rock mass that was obtained from the site location.
3 TEST AND METHODOLOGY
For strength characteristics UCS, rock Tri-axial test and point load strength index tests were conducted, and
the results were recorded and placed in Table 1. The rock material's numerous index qualities were evaluated
using laboratory testing methodologies. The specific gravity, moisture content, and slake durability of the rock
mass were determined using IS 1122, IS 13030, and IS 10050, respectively. Strength parameters were determined
using various standardized tests. These tests included the point load strength index test (IS 8764: 1998), tensile
strength testing on NX-sized samples (IS-10082: 1981), unconfined compressive strength (UCS) testing (IS 9143:
1979), and triaxial testing in accordance with IS-13047. Once the UCS values were acquired from rock samples,
they were subsequently entered into Rocdata software. Following this, the software computed the Geological
Strength Index (GSI) that corresponds to the inputted values of the UCS. The parameters obtained using Rocdata
can subsequently be compared to existing relationships, such as those presented in Hoek and Brown (H&B) and
Mohr-Coulomb (M-C) strength parameters. The methodology that ensued is depicted in Figure 4.

Fig 4. Software analysis flowchart

4 RESULTS AND DISCUSSIONS

Strength Criterion and Applicability Discussion
In a continuation of the study, various methods were employed to determine the Hoek-Brown constant 'mi' for
brittle rock materials, and the outcomes were compared with those reported by Davarpanah et al (2022).
Additionally, an examination of strength parameters from different models was conducted, followed by a thorough
analysis and comparison of the results.

Mohr-Coulomb Strength Criterion: The Mohr-Coulomb criterion is a commonly employed criterion for
characterizing the mechanical strength of soils and rocks. According to Renani et al (2020), The underlying
premise of this concept is that the shear strength of a substance is dependent on the normal stress exerted onto it.
This may be determined by the utilization of many parameters, including cohesion (c), normal stress (σ), and
internal friction angle (φ). The mathematical equation representing this relationship is as follows. Equation (1) can
be expressed as Equation (2) in relation to the efficacy of primary accentuation.

𝜏𝜏 = 𝑐𝑐 + 𝜎𝜎𝜎𝜎𝜎𝜎𝜎𝜎𝜎𝜎 (1)

2𝑐𝑐 𝑐𝑐𝑐𝑐𝑐𝑐 1+𝑠𝑠𝑠𝑠𝑠𝑠

1 = 1−𝑠𝑠𝑠𝑠𝑠𝑠 +3 1−𝑠𝑠𝑠𝑠𝑠𝑠 (2)

Hoek and Brown's criteria: The Hoek-Brown criterion is essential in rock engineering for assessing rock
formation mechanics and structural integrity. A more advanced application involves incorporating the Geological
Strength Index (GSI) and disturbance factor D to refine intact rock properties. These parameters can be estimated
by evaluating fracture characteristics, disturbance extent, and intact rock attributes. This methodology, widely used
and supported by research, is represented by Equation (3). Here, σci is the uniaxial compressive strength (UCS)
of intact rock, while mi is a constant associated with the intact rock mass. The Hoek-Brown strength criterion, as
initially proposed by Hoek and Brown (1980a, b), is characterized by its definition.

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 Estimation of design parameters of shale rock and comparison
of the rock behavior using failure criteria

𝜎𝜎3 0.5
𝜎𝜎1 = 𝜎𝜎3 + 𝜎𝜎𝑐𝑐𝑐𝑐 [𝑚𝑚𝑖𝑖 + 1] (3)
𝜎𝜎𝑐𝑐𝑐𝑐

The mechanical properties of rock are significantly influenced by its constituent minerals. The parameter
known as "mi" serves to quantify the frictional qualities exhibited by individual minerals. In order to acquire a
comprehensive comprehension of the attributes of a rock, it is important to consider these variables. While
conducting triaxial tests on rocks, it is feasible to estimate the values of mi by employing regression analysis across
a spectrum of confining stresses σ3.
Table. 1: The Result of Index Properties and Strength Characteristics of Shale Rock
IS Code Properties Results
IS 13030-1991 Bulk Density (dry), 2586
ϒdry(kg/m3)
Bulk Density ( saturated), 2601
ϒsat (kg/m3)
Grain Density, ϒgrain(kg/m3) 2618.8
IS 13030-1991 Water Content at saturation, w. c. (%) 0.74
IS 13030-1991 Apparent Porosity 1.48
IS 10050 -1981 Slake Durability Index (2nd cycle) 97.13
IS 8764- 1998 Point Load Strength Index(sat), Is50 (sat), Axial 1.8
(MPa) Diametrical 1
IS 10082- 1981 Indirect Tensile Strength(sat) 1.1 MPa
IS 9143-1979 Uniaxial CompressiveStrength 35 MPa
IS 13047- 1991 Triaxial shearstrength parameters c 3.46 MPa
Ø 57.8
Degrees
IS 9221- 1979 Deformation characteristics Tangent 18.6
Modulus(E),
(GPa)
Poisson’s 0.16
ratio (μ)
Generalised Hoek and Brown criteria: The Generalised Hoek-Brown (H-B) strength criterion has been subject
to major improvements, resulting in a notable augmentation of its predictive accuracy. Furthermore, the area of its
use has been expanded to include both rock masses and individual rock constituents. The mathematical equation
denoted as Equation (4) encapsulates the Generalized Hoek-Brown failure criterion for rock masses, initially
introduced by Hoek and Brown in 1997, and subsequently enhanced by Hoek et al (2002). This enhancement
enables the criterion to accurately predict the behaviour of rocks under various settings, encompassing both rock
masses and individual rock specimens.

𝜎𝜎3 𝛼𝛼
𝜎𝜎1 = 𝜎𝜎3 + 𝜎𝜎𝑐𝑐𝑐𝑐 [𝑚𝑚𝑏𝑏 + 𝑠𝑠] (4)
𝜎𝜎𝑐𝑐𝑐𝑐

𝐺𝐺𝐺𝐺𝐺𝐺−100
𝑠𝑠 = exp ( ) (5)
9−3𝐷𝐷
𝐺𝐺𝐺𝐺𝐺𝐺−100
𝑚𝑚𝑏𝑏 =𝑚𝑚𝑖𝑖 × 𝑒𝑒 [ 28−14𝐷𝐷 ] (6)
−𝐺𝐺𝐺𝐺𝐺𝐺 −20
1 1
= + (𝑒𝑒 15 − 𝑒𝑒 3 ) (7)
2 6

In Equation 4 ‘s’ and ‘’ are Hoek and Brown constants for which the equations have been given in equations
6 and 7 respectively, whereas the 𝑚𝑚𝑏𝑏 represents the value for rock block mass. In the analysis conducted using
Rocdata software with predefined GSI ( Geological Strength Index) and 𝑚𝑚𝑖𝑖 values of 23 and 7 respectively, the
resulting Generalized Hoek-Brown model produced conservative estimates, specifically: cohesion (c) = 4 MPa
and friction angle (ϕ) = 37.1 degrees. Additionally, for the rock block, the parameters were found to be: 𝑚𝑚𝑏𝑏 =
0.102, s = 1.42 x 10^-5, and α = 0.536. While these values are considered conservative when compared to
empirically established data, they align reasonably well with the characteristics of the shale rock under
investigation. Figure 6 displays a graphical representation of the variations in Rocdata model values, and Figure 7
illustrates the relationship between shear stress and normal stress variations.

Table 2. Variation of different Strength criterion

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 6 and 7 respectively, whereas the 𝑚𝑚𝑏𝑏 represents the value for rock block mass. In the analysis conducted using
Rocdata software with predefined GSI ( Geological Strength Index) and 𝑚𝑚𝑖𝑖 values of 23 and 7 respectively, the
resulting Generalized Hoek-Brown model produced conservative estimates, specifically: cohesion (c) = 4 MPa
and friction angle (ϕ) = 37.1 degrees. Additionally, for the rock block, the parameters were found to be: 𝑚𝑚𝑏𝑏 =
0.102, s = 1.42 x 10^-5, and α = 0.536. While these values are considered conservative when compared to
G.V Ramana and Abhishek Dash and Paidi Priyanka
empirically established data, they align reasonably well with the characteristics of the shale rock under
investigation. Figure 6 displays a graphical representation of the variations in Rocdata model values, and Figure 7
illustrates the relationship between shear stress and normal stress variations.

Model TableTrendline Equation

2. Variation SSE
𝑹𝑹𝟐𝟐 criterion
of different Strength RMSE
Experimental
Model 1 =8.2283 +42.533
Trendline Equation 0.9992
𝑹𝑹𝟐𝟐 1917.33
SSE 19.582
RMSE
Mohr-Coulomb
Experimental 1=39.495 33+42.533
1 =8.228 +45.176 0.618
0.9992 27318.8 19.582
1917.33 73.917
Hoek and Brown
Mohr-Coulomb 1=7.9547 33+43.539
1 =39.495 +45.176 0.9983
0.618 1109.22 73.917
27318.8 14.894
Hoek and H-B
Generalised Brown  =1.015 3+0.075
=7.9547 3 +43.539 0.9983
1 1109.22
19.332 14.894
1.9660
11
Generalised H-B 1 =1.0153 +0.075 1 19.332 1.9660

ϯϬϬ

ϯϬϬ
Mohr & Coulomb 1 vs 3
ϮϱϬ Mohr & Coulomb
Experimental 1 vs 3
ϮϱϬ Experimental
Generalised H&B
ϮϬϬ Generalised H & B
H &B
1(MPa)

ϮϬϬ
H &B
1(MPa)

ϭϱϬ
ϭϱϬ

ϭϬϬ
ϭϬϬ

ϱϬ
ϱϬ

Ϭ
Ϭ
Ϭ Ϭ ϭ ϭ ϮϮ ϯϯ ϰ
ϰ ϱ
ϱ ϲ
ϲ ϳ
ϳ

3(MPa)
3(MPa)

FigFig
5.5.Showing
Showingthe
thevariation
variation of different
differentstrength
strengthcriterions
criterions

Fig 6. 1 vs 3 for Rocdata software Fig 7. Normal vs. shear stress from Rocdata
Fig 6. vs 3 for Rocdata software
5 1CONCLUSIONS Fig 7. Normal vs. shear stress from Rocdata
5 CONCLUSIONS
The assessment of shale strength is conducted through the utilization of the modified Hoek-Brown model
within the Rocdata program. This particular characteristic aids in the assessment of shale rock formations in terms
ofThe
theirassessment of shale strength
structural establishment is conducted
and long-term through
stability. the utilization
In contrast to Mohr'sof the modified
Coulomb model, Hoek-Brown model
the present work
within the Rocdata
investigates the program.
efficacy ofThis particular characteristic
the Generalised Hoek-Brown aids in theinassessment
criterion of shale
evaluating the shear rock formations
strength of shale in terms
rock
of their structural
masses. establishment
The analysis conductedand long-term
in our stability.
study yields severalInkey
contrast to Mohr's
findings that haveCoulomb model,
implications the present
for future researchwork
investigates the efficacy
on the behavior of rock.
of shale the Generalised
These findingsHoek-Brown
are supported criterion
by the in
dataevaluating
presented the shear strength
in Figure 5 and Tableof shale
2. Therock
following
masses. points are
The analysis presented:in- our study yields several key findings that have implications for future research
conducted
 The of
on the behavior Mohr-Coulomb model findings
shale rock. These frequentlyareproduces
supportedresults that data
by the are excessively
presented in optimistic
Figure when
5 and estimating
Table 2. The
following pointsthe strength of shale- rock. This is shown by high RMSE and SSE values, which demonstrate the
are presented:
 Themethodology's
Mohr-Coulomb insufficiency for reliable
model frequently strength results
produces parameter thatassessment, particularly
are excessively for shale
optimistic rock.
when estimating
the Given its incorporation of both intact rock properties and structural geology
strength of shale rock. This is shown by high RMSE and SSE values, which demonstrate the variables, the Generalised
Hoek Browninsufficiency
methodology's model provesfornotably
reliableadvantageous when assessing
strength parameter shaleparticularly
assessment, rock masses, foryielding more
shale rock.
precise results.
 Given its incorporation of both intact rock properties and structural geology variables, the Generalised
Hoek Brown model proves notably advantageous when assessing shale rock masses, yielding more
precise results.

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 Estimation of design parameters of shale rock and comparison
of the rock behavior using failure criteria

 The Hoek-Brown strength criterion exhibits a strong resemblance to the variation in shale's compressive
strength as the confining pressures change, particularly when considering the range of 0-10 MPa.
Nevertheless, the current model faces challenges in accurately forecasting the influence of elevated
confining pressures on the strength of shale. This limitation arises from its inability to account for the
alterations in shale's strength characteristics resulting from escalating stress levels. The failure patterns
of shale rock exhibit variations under different stress levels, transitioning from brittle failure to plastic
failure as the confining pressure increases.
The project administration conducted measurements on a majority of undamaged rock samples to determine
their bedding plane angle. The angle was verified to measure 36 degrees relative to the horizontal axis. The strength
qualities of shale rock are specifically linked to a bedding plane angle of 28 degrees. The inquiry did not encompass
the impact of bedding plane orientation on the study's findings.
REFERENCES
Bureau of Indian Standards. (1979). Method for the preparation of rock specimens for laboratory testing
(IS 9179:1979). New Delhi
Bureau of Indian Standards. Method for determination of slake durability index of rocks (IS
10050:1981). New Delhi.
Bureau of Indian Standards. Method for the determination of modulus of elasticity and Poisson's ratio
of rock materials in uniaxial compression (IS 9221:1979). New Delhi
Bureau of Indian Standards. Method for the determination of unconfined compressive strength of rock
materials (IS 9143:1979). New Delhi.
Bureau of Indian Standards. Method for the preparation of rock specimens for laboratory testing (IS
9179:1979). New Delhi
Bureau of Indian Standards. Method of determination of point load strength index of rocks (IS
8764:1998). New Delhi.
Bureau of Indian Standards. Method of test for laboratory determination of water content, porosity,
density and related properties of rock material (IS 13030:1991). New Delhi.
Bureau of Indian Standards. Method of test for the determination of tensile strength by indirect tests on
rock specimens (IS 10082:1981). New Delhi.
Burnwal, R. K., & Kumar, A. Strength Behaviour of Shale Rock Subjected to Polyaxial Stress State: A
Numerical Approach. In Geo-Congress 2022 (pp. 617-628).
Davarpanah, S. M., Sharghi, M., Vásárhelyi, B., & Török, Á. (2022). Characterization of Hoek–Brown
constant mi of quasi-isotropic intact rock using rigidity index approach. Acta Geotechnica, 17(3),
877-902.
Hoek E, Brown ET (1980a) Empirical strength criterion for rock masses. J Geotech Eng Div
106(15715):1013–1035H.
Hoek E, Brown ET (1980b) Underground excavations in rocks London: Institution of Mining and
Metallurgy 527.
Hoek, E., & Brown, E. T. (1997). Practical estimates of rock mass strength. International journal of rock
mechanics and mining sciences, 34(8), 1165-1186.
Hoek, E., & Diederichs, M. S. (2006). Empirical estimation of rock mass modulus. International journal
of rock mechanics and mining sciences, 43(2), 203-215.
Hu, W. A. N. G., Yin-tong, G., Lei, W. A. N. G., Zhen-kun, H., & Feng, X. (2017). An experimental
study on mechanical anisotropy of shale reservoirs at different depths. Rock and soil Mechanics,
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Rafiei Renani, H., & Martin, C. D. (2020). Slope stability analysis using equivalent Mohr–Coulomb and
Hoek–Brown criteria. Rock Mechanics and Rock Engineering, 53(1), 13-21.
Singh, T. N., Verma, A. K., Singh, V., & Sahu, A. (2005). Slake durability study of shaly rock and its
predictions. Environmental Geology, 47, 246-253.
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Wen, T., Tang, H., & Wang, Y. (2020). Brittleness evaluation is based on the energy evolution
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Wen, T., Tang, H., Huang, L., Hamza, A., & Wang, Y. (2021). An empirical relation for parameter mi
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 EngineeringTheme 13 -Assessment
Geological Geological for and Geophysical
the Intake Investigations
Pool Cut Slopes of Polavaram Hydroelectric
Project (80 X 12 MW), Andhra Pradesh, India

Engineering Geological Assessment for the Intake Pool Cut Slopes of Polavaram
Hydroelectric Project (80 X 12 MW), Andhra Pradesh, India

L.G. SINGH, A.K. NAITHANI, D.S. RAWAT AND PRASNNA JAIN

National Institute of Rock Mechanics, Bengaluru-560070
email: gopenirm@gmail.com

ABSTRACT: Engineering geological investigations for excavated cut slopes for the intake pool of Polavaram
multi-purpose project were carried out. The rocks exposed in the area belong to the Khondalitic Suite of Eastern
Ghats Mobile Belt. The prominent rock types in the area are garnetiferous sillimanite gneiss, quartzo-felspathic
gneiss, charnockite with intermittent bands of pegmatite. In general, the bedrock is moderately strong to strong,
moderately jointed and compact in nature, exposed throughout the hill slope of the intake pool cut slope area.
Geological and geotechnical mapping were carried out on 1:200 scale. All the discontinuities in the rock mass of
cut slopes with the zone of influence have been identified and mapped. Rock mass of cut slopes both for incline
and vertical walls were characterized by Slope Mass Rating and Q-system classifications. The determination of
failure mode in rock slopes was done based on geological discontinuities observed on the slope. Based on detailed
investigations, geotechnical problems were identified as the excavation progressed and engineering solutions were
suggested for the protection of excavated slopes and portals of the pressure tunnel.
1. INTRODUCTION
In hilly terrain, excavated and natural slopes must be stable for the operation of highways and railways, power
generation and transmission infrastructure, and the safety of residential and commercial developments. The
stability of natural and excavated slopes generally depends upon the geometry, frequency and orientation of joint
sets, dip of slope and its plane of weakness and condition of the slopes. Other factors affecting the slope stability
are climate, hydrology, tectonic movements, presence of breccia and human activities in immediate and/or
adjacent areas and underground openings. Blasting brings about, years later, changes affecting the stability of
slopes. When any slope shows the sign of instability, then it becomes essential to stabilize the slope by adopting
effective control measures depending upon the risk involved in it, in the short term as well as in long term.
This paper discussed engineering geological investigations for the cut slopes of intake pool area of Polavaram
hydroelectric project (PHEP). Polavaram project is a multi-purpose project being constructed on the Godavari
River near Polavaram village in the East and West Godavari districts of Andhra Pradesh, India. The project will
provide hydropower, irrigation, and drinking water to East Godavari, Visakhapatnam, West Godavari, Krishna
districts and other districts of Andhra Pradesh, directly and indirectly (Fig. 1).

Fig. 1 Index Map of Polavaram Multipurpose Project

This project has been accorded national project status by the Union Government of India. As a part of National
River Linking Project, the Godavari River basin is considered as a surplus one, while the adjoining Krishna River

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basin is a deficit one. As of 2017, over 3000 thousand million cubic feet (TMC ft) of underutilized water from
Godavari River flowed into the Bay of Bengal. The study recommended that a sizable 80 TMC ft. of surplus water
can be transferred from the Godavari River basin to the Krishna River basin. The project contemplates
construction of earth-cum-rock-fill dam (Gap I-565 m length and Gap II-2310 m length), non-over flow concrete
dam (140 m length); 1054.50 m long spillway with 48 nos. of gate, surface power house to generate 960 MW (12
x 80 MW) electricity and tailrace channel, right connectivity’s from main reservoir including regulator, saddle
dams, twin tunnels (package-63 & 64), bunds-1 & 2 and left connectivity’s from main reservoir including
approach channel, head regulator, navigation tunnel, navigation canal with lock 1 & 2 and irrigation tunnel, canal,
saddle dams. The right and left connectivity’s are being made for a design discharge of 20000 Cusecs. On the left
side of the river, an intake pool with 12 nos. of pressure tunnels connected to 12 nos. of turbines, each having 80
MW capacity, is being constructed. The hydropower plant of this multipurpose project will generate 2.29 billion
kWh green or renewable electricity annually.
2. GEOLOGY OF THE PROJECT SITE AND AREA AROUND
PHEP site is in the Eastern Ghats Mobile Belt (EGMB). The EGMB is extending in a NE-SW direction from
Ongole in the southern part of Andhra Pradesh to Brahmani River in Orissa, parallel to the east coast of India,
over a distance of 900 km, is considered to be a classic example of a Precambrian mobile belt in the Peninsular
Indian Shield. It is also known as the Middle Proterozoic Mobile Belt. Mobile belts are younger, linear,
metamorphic belts which surround ancient cratonic nuclei of shield areas and are characterized by high-grade
metamorphism granitisation and intense shearing (Ramam and Murthy, 2012). The EGMB in Andhra Pradesh,
encompassing parts of the eastern coastal districts of Prakasam, Guntur, Krishna, East and West Godavari,
Visakhapatnam, Vizianagaram and Srikakulam as also parts of Khammam districts, is more than 600 km in length
with a maximum width of 100 km, in the northern part. This mobile belt is divided into three longitudinal zones
viz. the Western Charnockite Zone, the Central Khondalite Zone and the Eastern Migmatite Zone. The
charnockite, khondalite and their migmatised versions constitute the major lithologies of the granulite belt.
The geology of the intake pool area is predominantly occupied by scattered or clusters of residual denudational
ENE-WSW trending hill ranges with small valleys in between and the drainage pattern is dendritic to sub-dendritic
system. The rocks exposed in the area belong to the khondalitic suite of EGMB. The prominent rock types in the
area are garnetiferous sillimanite gneiss, quartzo-felspathic gneiss, charnockite with intermittent bands of
pegmatite. In general, the bedrock is strong to very strong, massive, and compact in nature and exposed throughout
the hill slope of the intake and powerhouse cut slope area. The bedrock is fresh to slightly weathered, but at the
top cut slopes it was moderately to highly weathered. Pegmatite is very coarse-grained, having diverse mineral
assemblage which was mapped as intrusive in the bedrock at many places. The contact of these intrusive
pegmatites with bedrock shows little opening and weathering effect. At a few places, the pegmatite was moderate
to highly weathered, altered and sheared. Generally, the thickness of pegmatite veins was more on the downstream
side than upstream side.
3. ENGINEERING GEOLOGICAL AND GEOTECHNICAL ASSESSMENTS
Geological mapping of inclined/vertical slopes of the important structures is essential to provide data input
for geological interpretations during construction and it forms valuable documentation for the post-construction
stage. For important structures like cut slopes of intake pool, upstream and downstream hillock above tunnels,
powerhouse area and tail race pool of hydroelectric project, the supporting walls strata must be well studied and
documented for credible geologic interpretations (Naithani et al., 2015; 2017). In order to evaluate the design
basis parameters for cut slopes of upstream hillock above pressure tunnels and intake pool area (Fig. 2),
engineering geological mapping on 1:200 scale of inclined/vertical walls was carried out. All the lithological
variance and structural discontinuities in rock mass were identified and mapped by using Total Station survey
equipment. Rock mass of cut slopes both inclined and vertical walls were characterized by using classifications,
Slope Mass Rating (Romana, 1985) and Q-systems (Barton et al., 1974).
3.1 Cut Slope Walls of Front, Left and Right Sides of Intake Pool
The cut slope front wall of the intake pool area was excavated from EL +12.35 to EL+ 135 m with different
berms from Ch. 314 to Ch. 370 m and offset +150 to -150 m. The heights of the walls are 5 m, 7 m, 10 m and 34
m and slope angles are varying from 76° (1:0.5 ratio), 83° (1:0.25 ratio) and 90° in competent rock mass and
whereas in highly weathered to residual soil mass the slopes angle is maintained at 45° (1:1 ratio) (Fig. 3). The
width of the berms is varying from 2.75 to 22 m (at EL+47.22). The left side wall of the intake pool area was
excavated from EL+12.35 to +165 m with different walls and berms at Ch. 44 m to 370 m. The heights of the
walls are 7 m, 10 m and 34 m, slope angles are varying from 76°, 83° and 90° in competent rock mass whereas in
highly weathered to residual soil mass the slope angle is maintained at 45°. The width of the berms is 2.75 m. The
right-side wall of the intake pool area was excavated from EL +12.35 to +46 m with slope angle of 76° from Ch.
262 m to 292 m. The height of the walls is varying from 8 to 33 m. Figure 4 and 5 shows the panoramic view of

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Project (80 X 12 MW), Andhra Pradesh, India

intake cut slope pool area. The trend of the cut slopes in front of the intake pool area are aligning along the N060°-
N240° while left and right sides trend is N160°- N340° directions.

Fig. 2 Plan map of intake pool and power house cut slopes

3.2 Geological and Structural Assessment

Rock types exposed after excavation on the wall’s sections are garnetiferous sillimanite gneiss, charnockite
and minor vein of pegmatite. Garnetiferous sillimanite gneiss is medium grained, hard, jointed, and banded
structure in nature. Charnockite shows fine to medium grained, hard and jointed in nature whereas pegmatite vein
is very coarse grained and showing different grade of weathering and width of vein was up to 2 m. Rock mass
shows W-I to W-V weathering grade at different offsets and chainages of cut slopes. No evidence of faulting was
observed along the inclined/vertical joints on the surface of inclined walls. Minor sheared zones were recorded
along the joint plains. The rock mass is characterized by three to four prominent joint sets in the entire area of cut
slope walls of front, left and right side of the intake pool, which are continuous and high persistence, smooth–
planar to smooth-undulating and rough-planar with altered joint walls (Table 1). Staining has been recorded along
the joint surfaces where the joints are tight and where opening is up to 300 mm, crushed material filling/weathered
materials was recorded. Along the joints, clay filling was recorded at some sections. In general, the rock mass was
characterized by dry-dripping conditions. Cracks/fractures developed due to excavation / blasting were also
recorded during geological mapping (Fig. 6). Some of the cracks are tight while some are open and the size of the
opening varies from 1 mm to 200 mm. Hairline cracks developed due to excavation work were also recorded.

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Fig. 3 Representative section at the centre along the intake pool, pressure tunnel and power house cut slopes

Fig. 4 Google Earth view of intake pool cut slopes Fig. 5 Panoramic view of intake pool cut slopes

Fig. 6 Geological map of intake pool cut slope EL+107 to +116, offset 0.0 to -98.0

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Project (80 X 12 MW), Andhra Pradesh, India

Table 1 Major joint sets recorded in garnetiferous sillimanite gneiss/charnockite/pegmatite veins from front, left
& right-side walls of intake pool area

Dip/ Spacing Persistence Aperture Infilling / Ground Weathering

Joint Set Roughness
Azimuth (cm) (m) (mm) Alteration Water Grade

320-
Rough / Coated mineral /
J1 340/20- 30-100 >10 Tight-15 Dry-wet WI-WIII
smooth planar weathered materials
40
230- Rough / Clay / coated / weathered
J2 20 - 100 >10 Tight-10 Dry-wet WI-WIII
250/V smooth planar materials
Smooth to
010- Clay / coated / weathered
J3 30-70 >10 slightly rough Tight-8 Dry-wet WI-WII
030/30 materials
planar
250- Smooth to
Tight- Clay / coated / weathered
J4 275/60- 30-80 >10 slightly rough Dry-wet WII-WIII
150 materials
80 planar
170- Smooth to
Coated / weathered
J5 190/30- 20-70 >10 slightly rough Tight-10 Dry-wet WI-WII
materials
60 planar
020- Smooth to
Coated / weathered
J6 040/60- 20-60 >10 slightly rough Tight-20 Dry-wet WI-WII
materials
75 planar
140-
J7 40-80 >10 Rough planar Tight-5 Clay / coated mineral Dry-wet WI-WII
160/V
110-
J8 20 - 80 <10 Rough / planar Tight-3 Coated mineral Dry-wet WI-WII
130/60
070-
J9 30 - 60 <10 Rough / planar Tight-5 Clay / coated mineral Dry-wet WI-WII
090/65
Pegmatite 100- Clay / weathered
30-60 >20 Smooth planar Tight-40 Dry-wet WII-WIII
Vein 140/V materials

3.3 Characterization of Rock Mass - Slope Mass Rating

Rock mass classification schemes are designed to account for several factors influencing the strength and
deformability of a rock mass (e.g., joint orientations, fracture density, intact strength), and may be used to quantify
the competence of an outcrop or particular geologic material. The term rock mass incorporates the influence of
both intact material and discontinuities on the overall strength and behaviour of a discontinuous rock medium.
While it is relatively straightforward to test the mechanical properties of either intact rock or joints individually,
describing their interaction is difficult and several empirical rating schemes such as Rock Mass Rating (RMR)
(Bieniawski,1989) and Slope Mass Rating (SMR)( Romana, 1985) are available for this purpose. Empirical rock
mass classifications are used for the protection of many vertical and inclined deep slopes in Himalaya and Indian
Peninsular Region (Naithani, 2022; Naithani and Nawani, 2023; Naithani et al., 2012, 2018).
The cut slope walls of front and left walls from EL+47.22 to EL+135 and EL+38 to EL+165 are falling under
weathering grade (WI – WV). Generally, rock mass shows W-I to W-II weathering grade except few chainages
(ISRM, 1978). The rock mass is classified as bad to good rock mass as per Romana’s classification (Table 2). In
general, the area falls under the class-III, normal, indicating it is partially stable, and it should be systematically
supported. If it will not be supported, planar failure, toppling failure along joint and small wedge failures may
occur in future.
3.4 Characterization of Rock Mass – Tunnelling Quality Index (Q) Classification
The rock mass of the vertical slope (EL +12.35 to +47.22 m) was classified based on tunnelling quality index
(Q). The Q-value gives a description of the rock mass stability of an opening in jointed rock mass (Barton et al.,
1974, Grimstad and Barton, 1993, Grimstad et al., 2002). High Q-values indicate good stability and low values
means poor stability. Engineering geological observation and data reflects that there is no wide variation in
geological conditions of these vertical slopes and rock mass is intersected by two to three joint sets in each 5 m
intervals. The grade of rock mass based on the rock joints characteristics has the Q-values varying from 1.53 to
18.37 and it comes under poor to good rock mass category (Table 3). The average Q-value calculated is 7.7 and
the poor Q-value was estimated at the intersection portion only.

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Table 2 Rock mass classification using ‘SMR’ of the cut slope of different benches of intake pool area
Elevations Strength of Rock RQD Spacing of Condition of Ground Adjustment factor SMR
(m) Mass (MPa) (%) Discontinuity Discontinuity* Water
(cm) F1 F2 F3 F4

Intake pool cut slope: Class 100 85 55 2+1+1+2+3 Damp P P P NB III,

EL: +47.72 to +55.0 Normal
Rating 12 17 10 9 10 0.40 0.85 -60 8 46
Class 120 95 80 1+1+5+2+5 Damp P P P SB II, Good
Rating 12 20 15 14 10 0.15 0.40 -60 8 75
Class 100 85 60 1+1+5+4+5 Damp P P P SB IV, Bad
Intake pool cut slope: Rating 12 17 15 16 10 0.70 1.00 -60 8 36
EL: +55.0 to +65.0 Class 120 95 65 1+0+3+2+5 Damp P P P SB I, Very
good
Rating 12 20 15 11 10 0.85 1 +6 8 81
Class 100 85 60 1+1+5+4+5 Damp P P P SB IV, Bad
Intake pool cut slope:
Rating 12 17 15 16 10 0.70 1.00 -60 8 36
EL: +65.0 to +72.0
Class 120 95 65 1+0+3+2+5 Damp P P P SB II, Good
Rating 12 20 15 11 10 0.15 0.40 -60 8 72
70 75 60 1+1+5+4+2 Damp P P P NB III,
Class
Intake pool cut slope: Normal
EL: +72.0 to +82.0 Rating 7 13 10 13 10 0.15 0.70 -60 0 47
Class 120 95 60 2+1+5+4+5 Damp T T T NB II, Good
Rating 12 20 15 17 10 0.15 1.0 -25 0 70
70 75 60 1+1+5+4+2 Damp P P P NB III,
Class
Intake pool cut slope: Normal
EL: +82.0 to +92.0 Rating 7 13 10 13 10 0.15 1.0 -60 0 44
Class 120 95 100 1+1+5+4+5 Damp T T T NB II, Good
Rating 12 20 15 16 10 0.15 1.0 -25 0 69
70 75 60 1+1+5+4+2 Damp P P P NB III,
Class
Normal
Intake pool cut slope:
Rating 7 13 15 13 10 0.15 1.0 -60 0 44
EL: +92.0 to +102.0
70 75 60 2+1+5+4+3 Damp T T T NB III,
Class
Normal
Rating 7 17 15 15 10 0.15 1.0 -25 0 60
Rating 7 13 15 13 10 0.15 1.0 -60 0 44
Intake pool cut slope: 70 75 60 2+1+5+4+3 Damp T T T NB III,
Class
EL: +102.0 to +107.0 Normal
Class 120 95 60 2+1+5+4+5 Damp T T T NB II, Good
Rating 12 20 15 17 10 0.15 1.0 -25 0 70
Class 70 85 60 2+1+5+4+3 Dry P P P NB IV, Bad
Intake pool cut slope: Rating 7 17 15 15 15 0.70 1.0 -50 0 34
EL: +107.0 to +116.0 70 88 80 1+1+5+4+3 Damp T T T NB III,
Class
Normal
Rating 7 17 15 14 10 0.15 1.0 -25 0 59
70 82 70 1+1+5+4+3 Dry P P P NB V, Very
Class
bad
Intake pool cut slope:
Rating 7 17 15 14 15 0.70 1.0 -60 0 26
EL: +116.0 to +126.0
70 82 70 2+1+5+4+3 Wet P P P NB III,
Class
Normal
Rating 7 17 15 15 7 0.15 0.40 -60 0 57
70 75 60 2+1+5+4+3 Damp P P P NB III,
Class
Normal
Intake pool cut slope:
Rating 7 17 15 15 10 0.40 0.70 -60 0 47
EL: +126.0 to +131.0
70 75 60 2+1+5+4+3 Damp P P P NB III,
Class
Normal
Rating 7 17 15 15 10 0.15 1.0 -60 0 55

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Project (80 X 12 MW), Andhra Pradesh, India

Elevations Strength of Rock RQD Spacing of Condition of Ground Adjustment factor SMR
(m) Mass (MPa) (%) Discontinuity Discontinuity* Water
(cm) F1 F2 F3 F4

120 95 60 2+1+5+4+5 Damp P P P NB III,

Class
Normal
Intake pool cut slope: Rating 12 20 15 17 10 0.40 1.0 -60 0 50
EL: +131.0 to +135.0 70 75 60 2+1+5+4+3 Damp P P P NB III,
Class
Normal
Rating 7 17 15 15 10 0.15 1.0 -60 0 55
Class 70 85 60 2+1+5+4+3 Dry P P P NB IV, Bad
Rating 7 17 15 15 15 0.70 1.0 -50 0 34
Intake pool cut slope:
EL: +135.0 to +155.0 Class 70 75 75 2+1+5+4+3 Damp T T T NB III,
Normal
Rating 7 17 15 15 10 0.15 1.0 -25 0 60
*Condition of Discontinuity – 1. Persistence, 2. Aperture, 3. Roughness, 4. Infilling, 5. Weathering; F1, F2 and F3 calculation for
planar/toppling failure; F4 for blasting technique, SB – Smooth blasting, NB – Normal Blasting

Table 3 Rock mass classification using Q-values estimated from intake pool walls (EL +47.22 to +12.35 m)
Elevation RQD Q- Rock
Offset (m) Rock type Jn Jr Ja Jw SRF
(EL) m (%) value class
+47.22 to Garnetiferous sillimanite gneiss / 92 6 1 2 1 5 1.53 Poor
+42.00 pegmatite/charnockite 95 4 1.5 2 1 5 3.56 Poor
+42.00 to Garnetiferous sillimanite gneiss / 85 6 1 2 1 2.5 2.83 Poor
+32.00 pegmatite / charnockite 95 4 1.5 2 1 2.5 7.12 Fair
-150 to +150
+32.00 to Garnetiferous sillimanite gneiss / 92 6 1 2 1 2.5 3.06 Poor
+22.00 pegmatite / charnockite 98 4 1.5 2 1 1 18.37 Good
+22.00 to Garnetiferous sillimanite gneiss / 92 6 1 2 1 1 7.66 Fair
+12.35 pegmatite / charnockite 95 4 1.5 2 1 1 17.81 Good
RQD-Rock quality designation, Jn-Joint set number, Jr-Joint roughness number, Ja-Joint alteration number, Jw-ground water
condition, SRF-Stress reduction factor

4. DISCUSSIONS AND RECOMMENDATIONS

The site condition was not very favourable for slope stability, mainly along the inclined joints, due to their
less cohesion and persistence. Where two vertical joints intersected at acute angle, probability of minor wedges
were also assessed at few places. Other major joint sets, dipping inside the wall or towards opposite sides of the
wall i.e., those joint sets not dipping towards the intake pool side do not tend to cause unfavourable conditions.
Below EL +135 m generally the rocks were fresh, hard, and jointed in nature but at the edge portion of the cut
slopes of the right side above the intake pool, moderately to highly weathered rock mass was there. As the
excavation progressed and it reached up to design profiles/levels, for all the slopes, berms and excavated portals,
rock support arrangements were recommended based on slope mass rating (SMR), rock mass quality Q and site
geological conditions (Table 4). Additional supports were also given for shear zones and unfavourable joints. In
case of weathered rock mass (W-IV to W-V), two layers (50 +50 mm) of SFRS with chain link wire mesh was
recommended with proper drainage arrangement and drain holes.

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Table 4 Details of rock support arrangement for the excavated intake pool slopes
Required support
Structure Rock class
Rock bolts Shotcrete Grouting Drain Holes

Perforated GI
6.0 m long spacing at pipes) of 5.0 m
Intake pool slopes 3.0 m c/c (staggered), 100 mm thick depth at 6.0 m
Fair & good
from EL: +47.22 to 25 mm diameter fully SFRS/PFRS in - horizontal
rock mass
+165.00 m cement slurry grouted two layers spacing and 4.0
rock bolts (Fe≥500) m vertical
spacing.
Consolidation
6.0 m long spacing at grouting using 32-45
Intake pool wall at FRL is at EL
2.0 m c/c (staggered), 100 mm thick mm dia hole at 4.0 m
Ch. 308.70 m from Fair & good +45.72, so
25 mm diameter fully SFRS/PFRS in c/c spacing
EL: +21.80 to +47.22 rock mass drain holes will
cement slurry grouted two layers (staggered) up to 6.50
m not be required
rock bolts (Fe≥500) m deep is
recommended
Consolidation
Intake pool wall at grouting using 32-45
rock 4.0 m long spacing at mm dia hole at 4.5 m
ledge between intake Fair rock & 2.0 m c/c (staggered), 100 mm thick c/c spacing
pressure tunnels, good 25 mm diameter fully SFRS/PFRS (staggered) up to 4.50 -
Ch. 292.00 m from mass cement slurry grouted in two layers m deep is
EL: +12.35 to +47.22 rock bolts (Fe≥500) recommended. Grout
m holes will be 2.0
m away from the sides
Consolidation
grouting using 32-45
Intake pool wall mm dia hole at 6.0 m
(left and right side) 6.0 m long spacing at c/c spacing
Fair to good 2.0 m c/c (staggered), 100 mm thick
from (staggered) up to 6.0
rock mass 25 mm diameter fully SFRS/PFRS in m deep is -
Ch. 216 to 292 m
cement slurry grouted two layers recommended.
from EL:
rock bolts (Fe≥500)
+12.35 to +47.22 m Grout holes will be
3.0 m away from the
corner & sides

5. CONCLUSION
For the rock mass characterization and support system of cut slopes of PHEP intake pool area best engineering
practices are followed. It is always better that concurrently with the excavation as per design drawing, rock mass
should be characterised and supported. Unscientific ways of doing the work, as being done for the spillway right
and left sides cut slope of PHEP, is always risky and costly. Spillway slopes are being protected using cranes after
completion of excavation. If slopes are protected concurrently with the excavation, then it will be very effective
and not risky. For this type of big and very important slope, one support design will not be effective but additional
support is also very important. When the engineering geological investigations should start and what should be
the maximum height of unsupported cut slope was decided based on the site geological conditions and availability
of machinery available with the contractor. The maximum height of unsupported cut slope for this area was 10 m
as per the availability of machines. Primary support which was flexible, but strong enough to increase stand-up
time and prevent collapse was also recommended in between the excavation. For the optimization of support,
primary support was selected in such a way that it must be a part of the final support. All the data was collected
in such a way that it should be a permanent record which will help in making better interpretation of post-
construction instrumentation data analysis.
ACKNOWLEDGEMENTS
This paper is a part of a sponsored project by the Water Resource Department (WRD), Government of
Andhra Pradesh, so we sincerely thank the management of WRD for the same. Authors are thankful to Director
NIRM for the permission to send the manuscript for conference, encouragement, and technical guidance.

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Project (80 X 12 MW), Andhra Pradesh, India

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 Theme 13 - Geological and
Subrata Kunar, Geophysical
Sanjeev Investigations
Kumar Garg

Seismic refraction and Electrical Resistivity Tomography is an Input for preliminary

design and cost estimation for railway tunnels between Imphal- Moreh sections of N.F
Railway

SUBRATA KUNAR, SANJEEV KUMAR GARG

Indian Geotechnical Services, New Delhi
Email: mkg25in@yahoo.com

Abstract: Indian Railways are already constructing Jiribam – Imphal railway line. The rail connectivity to
Manipur and then to the Myanmar border will be a major boost for the Northeastern part of India. Imphal- Moreh
Railway Project located in the North-East of India in the state of Manipur, is one of the strategic lines along India-
Myanmar border which will connect North-Eastern India and Burma. Railway connectivity with a proposed length
of approximately 110 KM starts from Imphal and ends at Moreh, a bordering town to Myanmar.
The alignment passes through plains of Manipur to the hills in the east. Topography of the hilly region is
quite rugged. Hills are dissected by narrow valley and high ridges. Hills are generally trending north to south with
number of major faults. Tectonically, the entire state of Manipur lies in Seismic Zone V with number of major
earthquakes. The elevation along the alignment varies 790m in plane to 1800m above msl along the proposed
alignment. Based on the topography and existing Geological conditions, the alignment has been designed to avoid
unstable zones. Alignment crossing two major faults zones which is almost perpendicular to the fault directions
to avoid minimum disturbances during construction.
Geologically, alignment passes through dominant rock types are Barail and Disang Groups. The Disang
Group rocks are argillaceous in nature and are represented by a sequence of dark grey shale, inter-bedded with
siltstone and sandstone with alternate shale-sandstone sequence is observed. From Leibi to Moreh ultramafic rocks
are anticipated which is more or less competent & stable in nature. Based on the initial Geological studies, it is
inferred that the proposed railway alignment is suitable for the construction of new railway line.
27 Nos. of tunnels of varying length from 251m to 6582m and 54 major and important bridges are proposed
along the alignment. To substantiate the stability of the alignment Geophysical investigations including Seismic
Refraction and Electrical Resistivity tomography were carried out along the tunnel portal sites. The aim of
geophysical investigation is to assess the subsurface layering and rock characteristic at the tunnel portal sites.
Electrical Resistivity tomography was utilized for characterizing the sub-surface layers in terms of their electrical
properties to draw co-relation for variations in lithology, water saturation in the strata. These techniques together
have been used to map stratigraphic units, geological structure, fractures and groundwater along the proposed
alignment for assessment of subsurface characteristics for design of tunnel support system.
1. INTRODUCTION
The rail connectivity to Manipur and then to the Myanmar border will be a major boost for the Northeastern
part of India. Imphal- Moreh Railway Project located in the North-East of India in the state of Manipur, is one of
the strategic lines along India-Myanmar border which will connect North-Eastern India and Burma. Project area
falls in the districts of Imphal west, Bishnupur, Thoubal, Kakching and Tengnoupal in the state of Manipur. The
destination location Moreh is bordering to Myanmar and is in the district of Tengnoupal. Moreh is presently
connected by Trans Asian Highway to the rest of the country. Imphal is likely to be connected by rail link very
soon by Jiribam – Imphal line. Railway connectivity from Imphal to Moreh with a proposed length of 110.24 Km
starts from Imphal and ends at Moreh, a bordering town to Myanmar Refer Figure-1. During the FLS (Final
Location Survey) study, the alignment has been proposed based on approved railway guide lines i.e. Ruling
gradient, curvature, speed, connectivity, social & environmental aspects, geological and landform stability aspects
and constructability point of view. Based on the FLS study ten stations are proposed along the alignment Refer
figure-2. As Per social impact study, this rail connectivity from Imphal to Moreh will be benefitted a total
population of about 3, 00,992 in the state of Manipur. Construction of this railway line will further boon the
economic boost to the Eastern Manipur and boarding districts of Myanmar.
As a part of FLS study, detailed Geological mapping of the entire alignment and Geophysical study for tunnel
portals and bridges have been carried out for detailed insight and stability of the alignment.

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 Seismic refraction and Electrical Resistivity Tomography is an Input for preliminary design and
cost estimation for railway tunnels between Imphal- Moreh sections of N.F Railway

Figure-1: Geographical location of the railway Figure-2: proposed Station locations along the
alignment proposed railway alignment
Based on FLS study, the design parameters has been approved with following engineering consideration
(Table-1) for construction of the proposed railway corridor.
Table-1: Final design parameters of alignment based on FLS study
Parameters Value
Grade 1 in 60 (C)
Speed potential (Kmph) 100
Maximum degree of Curve 2.75
Total Length (Km) 110.24
Length in Plain terrain (Km) 44.8
Length in Hilly terrain (Km) 65.23
Take- off elevation (m) 780
Destination Elevation (m) 290
No. of stations proposed 10
No. of tunnels 27
Total length of tunnel (Km) 31.9
Total % of alignment in tunnel 28.9
Total % of alignment in Hills 49.4
No. bridges (major & minor) 159
Population served 3,00,992
Tentative Cost (Rs. in Cr.) 11938
2. SCOPE OF WORK
The scope of Geophysical investigations involved seismic refraction survey and 2D ERT
survey were carried out at the tunnel portals along proposed alignment to establish the subsurface
stratification such as overburden soil, weathered/ fractured/ jointed and basement rock mass
through subsurface seismic velocity, Resistivity and its characteristic along the profile lines for
assessment of the bed rock level with rock mass conditions for the construction of proposed
underground tunnels and its stability.
Shear wave study was carried out to access average shear-wave velocity Vs30 from the surface up to a depth
of 30m for seismic site classification as per NEHRP (National Earthquake Hazards Reduction Program) at the
proposed important and major sites using Multichannel Analysis of Surface Waves (MASW) survey. Vs30
parameter to be used for simplified earthquake resistant design of the structures.
3. GEOLOGY & SEISMICITY OF THE AREA
Tectonically, the whole of Manipur state forms part of the great geosynclines that apparently had original
basin topography of ridges and furrows. Sediments started depositing in the geosynclines, argillaceous sediments
deposited in the furrows and arenaceous and calcarious sediments in the ridges. Manipur constitutes a part of the
Burmese Arc, which extends northward into the eastern syntaxial bend of the Himalayas and southwards as

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extension of the Patkai and Kohima synclinoria trending NNE-SSW with a high dip. The oldest formations are
the Disangs (Eocene Age). Disangs occupy almost the entire eastern half of the state; geologically represented by
a sequence of splintery shale with minor mudstone, siltstone, sandstone and limestone. The Disangs are overlain
by the Barails which are Oligocene in age (about 36 Million years). Barail Group of rocks is dominated by
arenaceous sediments and is comprised of well bedded sandstone, siltstone and shale with gradational contact
relation with Disang. It occupies eastern, central and western parts of Manipur. It is characterized by abundance
of carbonaceous matters. The Barails are again succeeded on top by the Surma and the Tipam which occur in the
western margin characterized respectively by argillaceous sequences.

Figure-3: Geological Map of Manipur showing the proposed railway alignment

An ultrabasic belt is found on the eastern fringe of Manipur which is an intrusion into the Disang group and
reflects the Ophiolite Zone. Ophiolite occur as linearly aligned bodies in north-south direction extending from
Nagaland in the north to the extreme south, along the eastern margin of the Manipur. It occurs as a series of
dismembered bodies of variable dimensions. The bodies are steeply dipping and striking in NNE-SSW directions.
It has thrusted contact with the sedimentary unit. The thrust contact is characterized by intense fracturing,
brecciation, mylonitisation and silicification. Ophiolite zone contains a group of oceanic pelagic sediments (OPS)
which occur mainly in the east and is comprised of chert, thin limestone, quartzite and phyllites etc. The rocks
exhibit feeble metamorphic characters. Seismologically the entire state of Manipur lies in Zone V. Number of
major earthquakes has been recorded in recent past therefore the area is vulnerable for major quakes in future. All
the railway infra structures to be designed accordingly.
The proposed railway corridor from Imphal to Moreh primarily passes over the rocks of Disang series and
quaternary alluvium. Part of the alignment in the eastern end passes through Barail series and Ophiolitic Suite.
Proposed railway corridor placed on Geological map of Manipur (published by GSI); Refer Figure-3. Stratigraphic
succession of Manipur (Misc. Pub. GSI) is placed at Table-2
Table-2: Generalized Stratigraphic succession of Manipur (Ref: Misc. Pub. of GSI)
Group Formation Lithology Age
Quaternary Sand, silt, gravel, boulder, clay etc. Recent
Tipam Sandstone, clay Miocene
Surma Bokabil Shale, siltstone alternation with minor sandstone
Bhuban
Disconformable Boundary
Barail Renji Coarse, gritty, massive and well bedded sandstone Oligocene
Jenam with current bedding and ripple marks, with plant
remains and coal streaks and conglomerates
Laisong
Contact gradational: boundary containing patchy conglomerate at places

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Group Formation Lithology Age

Disang Upper Shale, siltstone, graywacke with rhythmite Middle to
Disang olitrostome with fossils and slices of ophiolitic Upp. Eocene
rocks
Lower Shale, graywacke with rhythmites and minor U.Cretaceous
Disang sandstone bands to L. Eocene
Tectonic Contact
Oceanic Lushat Cherts (light grey and pink) radiolarian and U.
Pelagic diatom bearing cherts, limestone (fossiliferous at Cretaceous
Sediments places), red shales, greywacke with minor to L. Eocene
volcanic
Ophiolitic Volcanic rocks with flow breccia, gabbro /
Suite (Igneous rocks)
Plagiogranite/pyroxenite/lherzolite/harzburgite/
dunite/peridotite with disseminated nodular and
massive podiform chromite
4. GEOPHYSICAL SURVEY FOR TUNNELS
Proposed 27 nos. of tunnel sites were explored have been explored with two seismic spreads in each tunnel
portals with 5m Geophone spacing have been acquired with 24 Channel seismic data acquisition system. Thus, a
total coverage of 115m to 225m at each portal has been made to identify the subsurface stratification with rock
characterization at the portal site and along the alignment.
2D ERT profiles with 5m electrode spacing have been acquired using dipole-dipole array over the SRT
spread with multi electrode data acquisition system. Thus, a total coverage of 200m at each portal has been made
to identify the subsurface geology laterally and vertically with variation in resistivity and depth; fractured and
saturated zones within the rock mass.
5. ENGINEERING PROPERTIES OF ROCK MASS
Based on the seismic velocity, rock mass classification as per Barton’s ‘Q’ values has been attempted for stability
of excavation of tunnel. The empirical relations used for calculation of the parameters are referred as under:
𝑽𝑽𝑽𝑽−𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑
(1) Rock Quality 𝑄𝑄 = 10( 𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏 ) (Barton’s et al. 1993)
(2) RMR =𝑅𝑅𝑅𝑅𝑅𝑅 = 15 𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙 + 50 (Barton’s et al. 1995 )
(3) Rock Mass Strength 𝜎𝜎𝑐𝑐 = {(0.035 ∗ 𝑉𝑉𝑉𝑉) − 31.5} Linear Rregration Equation by Freyberg, 1972
The rock mass is classified as per both Q-system (Barton et al., 1974) and RMR System (Barton et al., 1995/9).
On the basis of seismic velocity (Vp) and “Q” value of different layers, an overall appraisal of the rock mass
classification, strength (σc), RMR, have been assessed for design of tunnel support system.
6. DISCUSSION OF RESULTS
Twenty seven nos. of tunnels are proposed along the alignment between Km 46.405 to Km 105.101 passes
through hilly terrain covered with unconsolidated soil with hill outwash material and decomposed rock material
under highly to completely weathered condition dominated by splintery shale of Disang Group of rocks of Tertiary
age. The rocks are moderately compacted and jointed in nature. Disang group of rocks are highly to moderately
weathered at near surface with low to medium strength. Barail Group of rocks is also of Tertiary age dominated
by aranaceous sediments and is comprised of massive well bedded sandstone, siltstone and shale with a gradational
contact relation with Disang. The oldest rock comprised ophiolite occur as linearly aligned bodies in north-south
direction extending from the north to the extreme south, along the eastern margin of the Manipur. This occurs as
a series of dismembered bodies of variable dimensions.
Out of 27 tunnels, three typical tunnels i.e. Tunnel No.6; 12 and 23 have been considered for discussion in
this paper which covers the quaternary alluvium overlies the rocks of Disang series; part of Barail series and
Ophiolitic Suite for evaluating the rock characteristics along the entire alignment.
6.1 Tunnel - 6 Ch. Km 69.878 to Km 73.071 (3193m)
From the interpretation of Geophysical results at P-1 portal site it is interpreted that at tunnel grade; the
seismic velocity is 2104m/sec to 2615m/sec and resistivity varies from 50.4 Ωm to 692Ωm and more interpreted
as weathered and jointed to moderately compacted shale intercalated with sandstone (Disang group of rocks).
Lower resistivity (50.4Ωm to 85Ωm) indicates fractured and jointed nature of rock mass.
Based on seismic velocity “Q” value varies from 0.040 to 0.130, RMR varies from 29.06 to 36.72 and Intact
Rock mass strength (σc) varies from 42.14MPa to 60.03MPa indicates “Extremely poor to Very Poor” rock mass
condition.

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Whereas at P-2 portal site seismic velocity at tunnel grade varies from 2719m/sec to 3229m/sec and the
resistivity varies from 49Ωm to 1609Ωm inferred as weathered and jointed to moderately compact shale
intercalated with sandstone (Disang Group Rocks). Lower resistivity of the order of 49Ωm to 91Ωm interpreted
as fractured and jointed rock mass. Low resistivity interpreted as relatively high degree of weathering and joints
within the rock mass.
Based on seismic velocity “Q” varies from 0.166 to 0.536, RMR varies from 38.28 to 45.93 and Intact Rock
mass strength (σc) varies from 63.67MPa to 81.52MPa indicates “Very Poor” rock mass condition. Figure 4a &
4b and figure 5a & 5b shows the Seismic and 2D ERT section along the tunnel T-6 (P-1 and P2).

Figure 4a & 4b: Seismic velocity section along T-6 (P-1 and P2)

Figure 5a & 5b: 2D ERT section along T-6 (P-1 and P2)
6.2 Tunnel - 12 Ch. Km 80.482 to Km 81.335 (853m)
From the interpretation of Geophysical results it is interpreted that at tunnel grade; the seismic velocity at P-
1 portal site varies from 2410m/sec to 2865m/sec and resistivity varies from resistivity of the order of 49 Ωm to
170 Ωm interpreted as weathered & jointed to moderately compact (Disang shale intercalated with Sandstone)
rock mass condition. Lower resistivity (49 Ωm to 72 Ωm) indicates fractured and saturated rock mass. Based on
seismic velocity “Q” varies from 0.081 to 0.232; RMR 33.65 to 40.475 and intact rock mass strength (σc) from
52.85MPa to 68.78MPa indicates “Extremely poor to Very poor” rock mass condition.
Whereas at P-2 portal site seismic velocity at tunnel grade varies from 3171m/sec to 3951m/sec and
resistivity varies from 29.7 Ωm to 450 Ωm inferred as moderately compact to jointed shale intercalated with
sandstone (Disang Group Rocks). Lower resistivity of the order of 29.7 Ωm to 68.5 Ωm interpreted as fractured
and saturated rock mass. Higher seismic velocity and resistivity interpreted as relatively less degree of weathering
and joints within the rock mass.
Based on seismic velocity “Q” varies from 0.469 to 2.825; RMR 45.065 to 56.765 and intact rock mass
strength (σc) 79.49MPa to 106.79 interpreted as “Very poor to Poor” rock mass condition. Figure 6a & 6b and
figure 7a & 7b shows the Seismic and 2D ERT section along the tunnel T-12 (P-1 and P2).

Figure 6a & 6b: Seismic velocity section along T-12 (P-1 and P2)

Figure 7a & 7b: 2D ERT section along T-12 (P-1 and P2)

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6.3 Tunnel - 23 Ch. Km 101.435 to Km 102.414 (979m)

From the interpretation of Geophysical results at P-1 portal site it is interpreted that at tunnel grade; the
seismic velocity varies from 3370m/sec to 4248m/sec and resistivity varies from of 315.5Ωm to 1000Ωm & more
interpreted as moderately weathered to fresh highly compacted shale intercalated with sandstone/ volcanic
intrusions. Higher resistivity indicates compact nature of rock mass.
Based on seismic velocity “Q” varies from 0.741 to 5.598, RMR varies from 48.05 to 61.22 and Intact Rock
mass strength (σc) varies from 86.45MPa to 117.18MPa indicates “very poor to fair” rock mass condition at tunnel
grade.
Whereas at P-2 portal site seismic velocity varies from 2328m/sec to 2872m/sec and resistivity varies from
209 Ωm to 800Ωm interpreted as moderately weathered to fresh shale intercalated with sandstone (Disang/ Barail
Group of Rock). Higher resistivity indicates compact nature of rock mass.
Based on seismic velocity “Q” varies from 0.067 to 0.236, RMR varies from 32.42 to 40.58 and Intact Rock
mass strength (σc) varies from 49.98MPa to 69.02MPa indicates “Extremely poor to Very poor” rock mass
condition at tunnel grade. Figure 8a & 8b and figure 9a & 9b shows the Seismic and 2D ERT section along the
tunnel T-23 (P-1 and P2).

Figure 8a & 8b: Seismic velocity section along T-23 (P-1 and P2)

Figure 9a & 9b: 2D ERT section along T-23 (P-1 and P2)
6.4 Geophysical Survey for bridges
To evaluate the shear wave velocity and Vs30 parameter at 25 nos. of important and major bridge location
along the proposed railway alignment; 28 nos. of 1D MASW survey was carried out. Out of 25 important and
major bridges, four typical bridge sites i.e. Br. No.10; 25; 33and 44 are identified for discussion in this paper
which covers the quaternary alluvium overlies the rocks.
Application of Multichannel Analysis of Surface Waves (MASW) technique fundamentally based on the
dispersion of Rayleigh wave to determines the vertical distribution of the S-wave velocity. The S-wave velocity
is a function of the elastic properties of the subsurface medium and is directly related to the hardness and stiffness
of the materials. MASW survey procedure includes data acquisition as well as processing to evaluate Rayleigh
wave dispersion characteristics and finally inversion of the dispersion curve to determine 1-D distribution of S-
wave velocity up to 30m depth.
The field layout for data acquisition comprises a mechanical source (hammer) for generating the seismic
wave. A linear array of 24 receivers (4.5 Hz vertical geophones) was deployed in a horizontal 46m and 96m
ground spread and connected to a multichannel seismograph recorder. In data acquisition two parameters of
importance are the source offset and the receiver spacing. The source offset is set according to the depth of probing,
while receiver spacing is decided on the basis of desired resolution.
Based on 1D MASW interpretation, two layer subsurface models with variation in Shear wave velocity (Vs)
has been inferred with depth. The range of inferred shear wave velocity indicating unconsolidated soil with
boulders as hill outwash/ river borne material on the top interpreted with velocity of the order of 199m/sec to
347m/sec. This layer is followed by relatively compact strata comprises of compact soil strata/highly to
completely weathered/fractured rock mass having shear wave velocity of the order of 347m/sec to 500m/sec.
From 1D Shear wave velocity and depth model, Vs30, as the average seismic shear-wave velocity from the surface
to a depth up to 30 have been calculated with assessment of Site Classification for Earthquake Resistance design
at different bridge sites.
6.5 Application of Vs30 Parameter
Vs30 parameter used to characterize local site response for a wide range of applications ranging from
simplified earthquake resistant design procedures in building codes to regional and global seismic hazard

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mapping. Correlations with other local site characteristics Vs30 have proven to be a robust parameter for
characterizing local site response for many applications.
Vs30 is used in the NEHRP (National Earthquake Hazards Reduction Program) site classification
standard and the 1997 Uniform Building Code to separate sites into classes for earthquake engineering design.
The 2000 International Building Code (IBC) permits a similar approach for site classification with average shear
wave velocity up to 30m depth. NEHRP site classes in terms of Vs30 are as follows in Table-3:
Table -3: Site Classification as per National Earthquake Hazards Reduction Program
Site class Generalized subsurface description Vs30 in m/sec
Class A Hard bed rock >1500
Class B Rock 760 to ≤ 1500
Class C Very dense soil & soft rock 360 to ≤ 760
Class D Stiff or Hard soil (sand, clay, and gravel) 180 to ≤ 360
Class E Soft soil ≤ 180 Require site specific
response study.
6.5.1 Br. No.10 (Ch. Km 53.329 to Km53.435
106m long bridge site is explored with one MASW survey with 2m geophone spacing and spread length of
46m at Abutment -1 site. MASW interpretation reveals two layer model with variation of depth. Top layer
comprises of consolidated soil with as hill outwash/river borne material and weathered rock has been interpreted
with Shear velocity of the order of 339m/sec to 475m/sec extended down to a depth of 11m depth followed by
relatively compact strata comprises of soil with gravels or highly to completely weathered rock mass with shear
wave velocity of the order of 217m/sec to 342m/sec interpreted down the depth of 28m from the surface. Based
on the shear velocity, harmonic average Shear wave velocity Vs30 has been calculated as 340.30m/sec and site has
been classified as “Class-D refers at figure-10.

Figure:-10 Shear Wave Velocity (Vs) with Depth at Br. No-10

6.5.2 Br. No.25 (Ch. Km79.530 to Km79.657)
127m long bridge site is explored with one MASW survey with 2m geophone spacing and spread length of
46m at Abutment -1 site. MASW interpretation reveals two layer model with variation of depth. Top layer
comprises of unconsolidated soil with boulders as hill outwash/river borne material or highly weathered rock has
been interpreted with Shear velocity of the order of 208m/sec to 402m/sec extended down to a depth of 7.0m
followed by relatively compact strata comprises of soil with gravels or weathered rock mass with shear wave
velocity of the order of 274m/sec to 644m/sec interpreted down the depth of 28m from the surface. Based on the
shear velocity, harmonic average Shear wave velocity Vs30 has been calculated as 401.6m/sec and site has been
classified as “Class-C”. For detail interpretations refer figure-11.

Figure:-11 Shear Wave Velocity (Vs) with Depth at Br. No.-25

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 Seismic refraction and Electrical Resistivity Tomography is an Input for preliminary design and
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6.5.3 Br. No.33 (Ch. Km 86.843 to Km 86.947)

104m long bridge site is explored with one MASW survey with 2m geophone spacing and spread length of
46m at Abutment -1 site. MASW interpretation reveals two layer model with variation of depth. Top layer
comprises of unconsolidated soil with boulders as hill outwash/river borne material has been interpreted with
Shear velocity of the order of 210m/sec to 354m/sec extended down to a depth of 5.3m followed by relatively
weak (less Compacted) strata comprises of soil with highly to completely weathered rock mass with a low shear
wave velocity of the order of 114m/sec to 219m/sec interpreted down the depth of 28m from the surface. Based
on the shear velocity, harmonic average Shear wave velocity Vs30 has been calculated as 163.59m/sec and site has
been classified as “Class-E”. Since it appears as soft soil therefore response study is recommended prior to design
the foundation. For detail interpretations refer figure-12.

Figure:-12 Shear Wave Velocity (Vs) with Depth at Br. No.-33

6.5.4 Br. No.44 (Ch. Km 96.394 to Km96.530)
136m long bridge site is explored with one MASW survey with 2m geophone spacing and spread length of
46m at Abutment -1 site. MASW interpretation reveals two layer model with variation of depth. Top layer
comprises of unconsolidated soil with boulders as hill outwash/river borne material has been interpreted with
Shear velocity of the order of 317m/sec to 347m/sec extended down to a depth of 2.3m followed by relatively
compact strata comprises of soil with gravels or highly to weathered rock mass with shear wave velocity of the
order of 327m/sec to 573m/sec interpreted down the depth of 28m from the surface. Based on the shear velocity,
harmonic average Shear wave velocity Vs30 has been calculated as 474.29m/sec and site has been classified as
“Class-C”. For detail interpretations refer figure-13.

Figure:-13 Shear Wave Velocity (Vs) with Depth at Br. No.-44

7. CONCLUSIONS
Based on the outcome of geophysical interpretations from Seismic refraction; ERT and MASW survey,
followings conclusions are drawn:-
 The Imphal Moreh railway alignment encompass with plain and hilly terrain. The tunnels along the
alignment mostly fall in the hilly ridges and bridges are located in the valley portion in between the hills.
The proposed alignment passes through stable land forms.
 As per study it is concluded that Disang and Barail group of rocks shows weathered, jointed and extremely
poor to poor rock mass whereas part of part of Barail with ophiolite intrusions shows more compact, less
jointed with very poor to fair rock mass. Detailed results are placed at Table- 4.

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Table:- 4 Seismic velocity and Resistivity with Rock mass Characteristics

Tunnel Seismic Resistivity “Q” RMR Intact Interpreted lithology Barton's
No velocity (Ωm) Rock Rock mass
(m/sec) mass Category
Strength
σc in MPa
T-6 2104 - 50.4 - 0.04 - 29 - 42 - 60 Weathered and Extremely
P1 2615 692 0.13 37 jointed to moderately poor to
compact shale Very Poor
intercalated with
sandstone
T-6 2719 - 49 - 1609 38 - 63 - 81 Weathered and Very Poor
P2 3229 0.166 46 jointed to moderately
- compact shale
0.536 intercalated with
sandstone
T-12 2410 - 49 -170 0.081 33 - 53 - 69 Weathered & jointed Extremely
P1 2865 - 40 to moderately poor to
0.232 compact (Disang Very Poor
shale intercalated
with Sandstone) rock
mass condition
T-12 3171 - 29.7 - 0.469 45 - 79 -107 Moderately compact Very poor
P2 3951 450 - 57 to jointed shale to Poor
2.825 intercalated with
sandstone (Disang
Group Rocks).
T-23 3370 - 315 - 0.741 48 - 86 - 117 Moderately very poor
P1 4248 >1000 - 61 weathered to fresh to fair
5.598 highly compacted
shale intercalated
with sandstone/
volcanic intrusions
T-23 2328 - 209 -800 0.067 32 - 50 - 69 Moderately Extremely
P2 2872 -0 40 weathered to fresh poor to
.236 shale intercalated Very Poor
with sandstone
(Disang/ Barail
Group of Rock).
 From 1D MASW study, Shear wave velocity - depth model and Vs30 as the average seismic shear-wave
velocity from the surface to a depth up to 30 have been calculated at different bridge sites and it is inferred
that most of the bridge sites fall under Seismic Site Classification Class “D” and “C” except at Bridge no.
33 where it falls under Class-“E”, In case of the harmonic shear wave velocity Vs30 is ≤ 180m/sec then as
per NEHRP (National Earthquake Hazards Reduction Program) site classification standard and the
Uniform Building Code, 1997; it is recommended to conduct the specific site response study in this bridge
sites.
 Dual Geophysical survey method provides a detail insight for better interpretation of subsurface data
without any anomaly.
REFERENCES
Barton, N., Lien, R. and Lunde, J., Engineering classification of rock masses for the design of tunnel support.
Rock Mech., 1974, 6,189–236.
Barton, N., Loset, F., Lien, R. and Lunde, J., Application of the Q system in design decisions concerning
dimensions and appropriate support for underground installations. In Proceedings of the International
Conference on Subsurface Space, Rockstore, Stockholm, 1980, vol. 2, pp. 553–561.
Barton, N (2002). Some new Q-value correlations to assist in site characterization and tunnel design, Int. J. Rock
Mech. and Mining Sciences, Elsevier, Vol. 39, pp.185-216.
Bieniawski, Z.T.(1973). Engineering classification of jointed rock masses. Trans. S.Afr. Inst. Civ.Eng.15, 335-
344.

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 Theme 13 - Geological
Geophysical Well Logs toand Geophysical
Study Properties of Investigations
Sedimentary Rocks

Geophysical Well Logs to Study Properties of Sedimentary Rocks

SRINAIAH J.
Central Soil and Materials Research Station, New Delhi
email: srinaiah.geophysics@gmail.com
Abstract: Geophysical well logs are useful in assessment of in-situ physical properties of rocks viz., density, P-
wave velocity, resistivity and natural gamma using probes in NX size drill holes. In the present study, the well
logging data of one borehole drilled upto 72 m depth was analysed to determine the in-situ properties. The rock
formations encountered are mainly interbedded sandstone, shale and coal. As the sedimentary rocks are soft in
nature, the core recovery of the drill hole is expected to be less than 70-80%. The advantage of well log method
provides continuous data even when the core recovery is not available for thin layers. The typical ranges of density
arrived from well logging result for coal seams is 1.5 to 1.9 gm/cc and for sandstone and shale it ranges from 2.0
to 2.9 gm/cc. Resistivity varies from 50 to 250 ohm-m for coal seam, 50 to 100 ohm-m for sandstone and 10 to 80
ohm-m for shale. P-wave velocity ranges from 2000 to 2500 m/s for coal seam, from 2500 to 5000 m/s for
sandstone and from 2000 to 4500 m/s for Shale. The physical properties of each rock variant was compared by
cross plots to know the behaviour of rock. Details of geophysical well logs, cross plots of different parameters of
coal, sandstone and shale have been discussed in this paper.
Keywords: Geophysical well logging, Cross Plot, Coal, Sandstone, Shale, Physical Properties.
1. INTRODUCTION
Geophysical well logging can play an important role in the digital mining age as it can help to establish
reliable geological model required for safe and productive coal mining operations (Chatterjee et al, 2012).
Unexpected geological and geotechnical mining conditions have resulted in significant loss of production in some
mines in Australia and other countries. In general, geotechnical data are obtained by analysing drill cores and
cuttings from boreholes. However, coring is expensive and in many cases, the core cannot be fully recovered. In
such cases, geophysical logging could be an alternative way to provide the required information from non-cored
boreholes. Thus, geophysical methods can be used either as the substitution of diamond drilling or the extension
of drilling programmes within the same budget, based on the fact that non-cored holes are cheaper to drill
(Binzhong Zhou and Hua Guo, 2020).
Geophysical well logging, which consists of measuring various in-situ physical parameters such as the
acoustic, radiometric and electric properties of the rock down boreholes, is carried out routinely at coal mines. The
logs provide a rich source of information of rock properties and can be used for qualitative interpretation such as
picking coal seams from density, resistivity, Natural gamma, and P- wave velocity logs.
2. GEOPHYSICAL WELL LOGS
Knowledge of the subsurface comes primarily from drilling which is a very expensive process. Therefore,
the number of bore holes to be drilled for studying the subsurface is limited. Geophysical well logging offers an
opportunity to determine the composition, variability and physical properties of the rock around the well thereby
enabling a proper understanding of the subsurface at a cheaper cost (Cornel Ofwona, 2010). The following are the
common geophysical logs used in coal exploration.
2.1 Caliper Logging
A caliper log is used to measure the diameter of a well and how it changes with depth. It works by using one
or more spring loaded arms which are pressed against the well bore wall as the probe is raised from the bottom of
the well. The move in and out from the bore wall and the motion is recorded electrically and transmitted to the
surface recording equipment. Multi- arm tool gives a better resolution of the bore shape than a single arm tool.
2.2 Natural gamma Logging
This is the simplest geophysical well logging. These logging tools record the level of naturally occurring
gamma ray emissions from rocks around the borehole. The signals comprise gamma ray emissions at different
energy levels from the radioactive isotopes of Potassium (40K), Thorium (232Th) and Uranium (238U) and their
daughter products of the decay series. Distribution of K, Th and U varies widely in the rock and as a result, logging
of the gamma ray signals emanating from the rocks around the borehole can provide considerable information
about the geology of the borehole (O. Serra, 1984).
2.3 Resistivity Logging
A low frequency bi-directional electric current from a source electrode on the probe returns through the
formation to the cable armour above an insulated bridle. Potentials due to this current flow are measured on various

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 Srinaiah J.

sense electrodes on the probe with respect to a voltage reference fish normally located at the surface. These
measurements are converted to apparent formation resistivity within the transmitted to the surface.
2.4 Density Logging
The formation is subjected to gamma rays emitted by a special source 137Cs. Gamma rays are particles
having no mass and moving at the speed of light. Gamma radiation from the source is back scatted by the formation
(Compton Effect) and reaches the two detectors where the count rates provide an indication of formation bulk
density.
2.5 Sonic Logging
A piezoelectric transmitted stimulated by a high-voltage pulse radiates a high- frequency acoustic wavelet.
This is coupled via the borehole fluid and formation to each receiver. An accurate quartz clock measures the first
arrival transit time. The first arrival in open hole corresponds to the p-wave path in the formation.
3. GEOPHYSICAL WELL LOGS RESPONSE
The borehole well logs studies presented in this paper have been carried out in 120 mm diameter boreholes.
The well logs include Resistivity log, Natural log, Caliper log, formation Density log and P-wave velocity log.
The resistivity log in coal seams shows very high value. Low values are recorded in Natural Gamma curve are
observed in coal seams and on the other hand high values are obtained in shale formation. Formation density log
plays very important role in coal seams for accurate lithology thickness identification (Ghosh et al, 2016). The
formation density log shows very low value in coal seams of the order of 1.2 to 1.9 g/cc whereas in sandstone/shale
density varies from 2.2 g/cc to 2.8 g/cc. Caliper log is used for assessment of borehole diameter. Geophysical logs
response is shown in Figures -1 to 4.

Fig. 1. Geophysical well logs response from 3.00 m to Fig. 2. Geophysical well logs response from 19.00
18.00 m depth m to 37.00 m depth

Fig. 3. Geophysical well logs response from 37.00 m to Fig. 4. Geophysical well logs response from 54.00
56.00 m depth m to 72.00 m depth

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 Geophysical Well Logs to Study Properties of Sedimentary Rocks

4. CROSS PLOT OF WELL LOGS

A common practice in well log interpretation is to cross-plot various physical properties log readings in order
to determine lithology. Gamma ray logs show clear demarcation between shales and coal. Contacts between coal
and clean sandstones, on the other hand are clear in density logs but difficult to distinguish on gamma ray logs.
The physical parameters like density, resistivity, and P- wave velocity have been plotted with gamma ray to
identify different lithounits like coal, shale and sandstone in the borehole. The cross-plotting between gamma ray
and density had been carried out for one well. Through these different cross-plots different lithounits like; coal,
shale, sandstone, have been identified. Table 1 indicates the range of values of physical parameters for each
lithounit estimated from well logs. The physical parameters like density, resistivity, P-wave velocity in well have
been plotted with gamma ray for a selected depth interval of 3.00 m to 72 m (Figure 5 to 10). The typical range of
density arrived from well logging result for coal seams varies from 1.5 to 1.9 gm/cc whereas for sandstone and
shale density of the order of 2.0 to 2.9 gm/cc was obtained. Resistivity varied from 50 to 250 ohm-m for coal seam,
50 to 100 ohm-m for sandstone and 10 to 80 ohm-m for shale. Natural gamma for coal, sandstone and shale ranges
from 50-100 API whereas for shales the values varied between 150 and 200. P-wave velocity ranges from 2000 to
2500 m/s for coal seam, from 2500 to 5000 m/s for sandstone and from 2000 to 4500 m/s for Shale.
Table 1: Physical properties range for sedimentary rocks
Rock type Bulk Density Resistivity N.gamma (API) P-wave velocity
(g/cm3) (Ohm-m) (m/s)
Coal 1.5 – 1.9 50-250 50-200 2000-2500
Sandstone 2.0 – 2.9 50-100 50-200 2500-5000
Shale 2.0-2.9 10-80 150-220 2500-4500

Fig. 5. Well logs Cross plot density, N.Gamma Vs Fig. 6. Well logs Cross plot density, N.Gamma Vs
Coal, Sandstone Coal, Shale

Fig. 7. Well logs Cross plot Density, Resistivity Vs Fig. 8. Well logs Cross plot Density, Resistivity Vs
Coal, Shale Coal, Sandstone

Fig. 9. Well logs Cross plot Density, P- wave Fig. 10. Well logs Cross plot Density, P- wave
velocity Vs Coal, Shale velocity Vs Coal, Sandstone
.

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 Srinaiah J.

5. RESULT AND DISCUSSION

The resistivity, gamma-ray density and P-wave velocity have been used to assess the properties of coal, shale
and sandstone. The cross-plots such as gamma ray versus density, gamma ray versus P-wave velocity and gamma
ray versus P-wave impedance show intersecting linear trends of coal and non-coal lithology. Clustering of points
for different lithology in the above cross-plots indicate the different trends with marginal overlap between coal
and shale as well as shale and sandstone. Hence, sandstone and shale lithology show distinctly different trend with
respect to coal lithology. Gamma ray versus density cross-plots can be used for identification of coal seams. It
may be further noticed that coal, shale and sandstone are very well identified in gamma ray versus P-wave velocity
cross-plot. The combination of density and P-wave velocity in gamma ray versus resistivity cross- plots have been
utilized for delineating coal and non-coal lithology. The coal horizons are mostly overlain and underlain by shale
or sandstone. Cross-plot analysis indicates clear demarcation in lithological variations which plays an important
role in coal mining.
6. CONCLUSIONS
The analysis of results of well logs infers that these borehole geophysical methods can play an important role
in identification of physical properties of sedimentary rocks like sandstone, shale and coal including their depth
and thickness of lithology. Based on the contrast in physical properties of sedimentary formations assessed from
the studies of well logs can play a vital role in planning and estimation of coal seams in shallow and deeper depths.
ACKNOWLEDGEMENTS
Author are grateful to Dr. R. Chitra, Director , CSMRS for the motivation and Sh. Hari Dev, Scientist ‘E’,
Dr. D.V. Sarwade Scientist ‘E’, Sh. Senthil P Scientist ‘C’, Central Soil and Material Research Station (CSMRS)
New Delhi for constant encouragement and for permission to publish the paper.
REFERENCE
Chatterjee R, Paul S (2012) Application of cross plotting techniques for delineation of coal and non – coal litho
units from well logs. Geomaterial 2:94-104.
Cornel Ofwona., 2010: Introduction to Geophysical Well Logging and Flow Testing, Presented at Short Course V
on Exploration for Geothermal Resources, organized by UNU-GTP, GDC and KenGen, at Lake Bogoria and
Lake Naivasha, Kenya.
Binzhong Zhou and Hua Guo, 2020: Applications of Geophysical Logs to Coal Mining-Some Illustrative
Examples, Resources 2020, 9, 11; doi: 10.3390/resources9020011, www.mdpi.com/journal/resources.
O. Serre, 1984: Fundamentals of Well log Interpretation, Elsevier Amsterdam –oxford New York Tokyo.
Rabe, C.L.1957: A relation between Gamma radiation and permeability, Denver-Julesberge basin: Transaction of
the Society of Petroleum Engineers of the American Inst. Of Mining Metallurgical and petroleum Engineers.
Vol.210.pp.358-360.
Ghosh, S., Chatterjee, R., & Shanker, P. (2016). Estimation of ash, moisture content and detection of coal
lithofacies from well logs using regression and artificial neural network modeling. Fuel, 177, 279-287.

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 Theme 13
Practical Approach - Geological
of the Modification and Geophysical
of Rock Investigations
Quality Designation (RQD) in Rock Mass Rat-
ing (RMR)- A case study Railway Tunnel in Himalaya, Rishikesh- Karanprayag Broad Gauge
Rail Link project (PKG 5)
INDOROCK 2023: Ninth Indian Rock Conference 16-18 November 2023

Practical Approach of the Modification of Rock Quality Designation (RQD) in Rock

Mass Rating (RMR)- A case study Railway Tunnel in Himalaya, Rishikesh-
Karanprayag Broad Gauge Rail Link project (PKG 5)

GHOLAMREZA KESHTPARVAR1, SANDEEP NAINWAL2 AND VAHID ABOLHASANI

RAHNAMA3
1 MSc. Rock Mechanics Engineering, Senior Geotechnical Engineer at YUKSEL PROJE
2 B. tech Civil Engineer, Project Director of PKG-5, Rail Vikas Nigam limited RVNL
3 MSc. Engineering Geologist, Senior Geologist at YUKSEL PROJE
e-mail: keshtparvar.m@gmail.com , gkeshtparvar@yukselproje.com.tr,
SANDEEP.NAINWAL.0706@GMAIL.COM, v.a.rahnama@gmail.com, varahnama@yukselproje.com.tr

ABSTRACT: Nowadays, Rock Mass Rating (RMR) and tunnelling Quality Index (Q) are widely used in
experimental design of tunnels. In the NATM method during the tunnel excavation, all RMR & Q parameters
should be determined at tunnel face. One of the parameters that must be evaluated in tunnel face, is RQD.
Determining RQD at the tunnel face is not simple without coring specially in foliated and folded (phyllite)
geology condition. In 2013, Bieniawski and Lowson updated the RMR rock classification system. This RMR is
known as RMR13.
This study assesses the non-using of RQD in RMR and it is a comparison between RMR89 and RMR13. In this
paper, the fracture frequency parameter (FF) which refer to number of discontinuities per meter replaces with 2
parameters from RMR classification: RQD and spacing of discontinuities. For this study, it has been used at least
700 m face mapping data sheets from Rishikesh-Karanprayag railway project-Package 5 to evaluate FF
parameter for RMR classification.
1 INTRODUCTION
Rock mass classification systems wildly have been used in tunnelling industry. The earliest reference to the
use of rock mass classification for the design of tunnel support is in a paper by Terzaghi (1946) in which the rock
loads, carried by steel sets, are estimated on the basis of a descriptive classification. Lauffer (1958) proposed that
the stand-up time for an unsupported span is related to the quality of the rock mass in which the span is
excavated. In a tunnel, the unsupported span is defined as the span of the tunnel or the distance between the face
and the nearest support, if this is greater than the tunnel span. The Rock Quality Designation index (RQD) was
developed by Deere (Deere et al 1967) to provide a quantitative estimate of rock mass quality from drill core
logs. RQD is defined as the percentage of intact core pieces longer than 100 mm (4 inches) in the total length of
core. Palmström (1982) suggested that, when no core is available, but discontinuity traces are visible in surface
exposures or exploration adits, the RQD may be estimated from the number of discontinuities per unit volume.
The following equation was developed by Palmström:

RQD = 115 - 3.3 Jv (1)

Wickham et al (1972) described a quantitative method for describing the quality of a rock mass and for
selecting appropriate support on the basis of their Rock Structure Rating (RSR) classification. Bieniawski (1973)
published the details of a rock mass classification called the Geomechanics Classification or the Rock Mass
Rating (RMR) system. Over the years, this system has been successively refined as more case records have been
examined and the reader should be aware that Bieniawski has made significant changes in the ratings assigned to
different parameters. The discussion which follows is based upon the 1989 version of the classification
(Bieniawski, 1989). Barton et al (1974) of the Norwegian Geotechnical Institute proposed a Tunnelling Quality
Index (Q) for the determination of rock mass characteristics and tunnel support requirements. The numerical
value of the index Q varies on a logarithmic scale from 0.001 to a maximum of 1,000 and is defined by:

Q = (RQD / Jn) x (Jr / Ja) x (Jw / SRF) (2)

2 ROCK MASS RATING CLASSIFICATION (RMR)
This engineering classification system, which was developed by Bieniawski in 1973, utilises the following
six rock mass parameters:
1. Uniaxial compressive strength of intact rock material.
2. Rock quality designation (RQD).
3. Spacing of discontinuities.

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4. Condition of discontinuities, given as

4a Length, persistence
4b Separation
4c Smoothness
4d Infilling
4e Alteration / weathering
5. Groundwater conditions.
6. Orientation of discontinuities.

All of these are measurable in the field and can also be obtained from borehole data. The rating of each of
these parameters are summarised to give a value of RMR. All parameters are measurable in the field and some of
them may also be obtained from borehole data.

Table 1 RMR classification of rock masses (Bieniawski, 1989)

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 Practical Approach of the Modification of Rock Quality Designation (RQD) in Rock Mass Rat-
INDOROCK ing (RMR)-
2023: NinthAIndian
case study
RockRailway Tunnel in Himalaya, Rishikesh- Karanprayag
Conference Broad
16-18 Gauge 2023
November
Rail Link project (PKG 5)

3 PROJECT DESCRIPTION
3.1 Project Location
The new broad gauge (BG) railway line is approximately 125 km long and starts from Rishikesh and extends
to Karanprayag via Devprayag in the Uttarakhand state as a part of Northern Railway (NR). The proposed
railway line will connect important towns like Devprayag, Srinagar, Rudarprayag, Gauchar and Karanprayag
through 5 districts of Dehradun, Tehri Garhwal, Pauri Garhwal, Rudraprayag and Chamoli.
Package 5 representing the section from chainage 63+414 to 73+010 (L = 9.596 km) along the new single
line broad gauge rail link between Rishikesh and Karanprayag Package-5 comprises railway formation work at
Lachmoli and Station yards at Maletha and Srinagar, Tunnel No.9 (Km: 63+583 – Km: 66+452), Tunnel No.10
(Km: 67+350 – Km: 71+417) and minor bridges in Maletha and Srinagar Station yard. Along the tunnel No. 10
there is an Escape tunnel. Table 2 show details of main tunnels in package 5.

Table 2 Tunnels details in PKG-5.

Tunnel km Length (m) Max. Overburden (m)
Tunnel No.9 63+583.00 – 66+452.00 2869 275
Tunnel No.10 67+350.00 – 71+417.00 4067 350
3.2 Geology
The project area is predominantly formed of Chandpur formation of Jaunsar group, localized alluvium,
colluvium, terrace deposits and landslide material overlying the bedrock.
The main geological units that are observed along the project route are phyllite rock units of Chandpur
formation (Pt1-3jc) which is occasionally overlain by the Quaternary deposits such as colluvium (Qc), terrace
deposits (Qtm), alluvium (Qal) and landslide material (Lm). Main parts of the excavated tunnel is located in
phyllite.
3.3 Design Consideration
Tunnel design and support systems are based on the “New Austrian Tunnelling Method-NATM”. This
method allows the engineer to design the tunnel in a more safe and economical manner. Determining the rock
mass classes are based on the correlation between Q, RMR and ÖNORM B-2203 systems. As well as PLAXIS
2D software version 2018 has been used for numerical modelling analysis. After tunnel stability analyses by
PLAXIS finite element software (v.2018), support system class defined as B2, B3, C2, C3 and C4.
4 REVIEW OF RQD IN RMR
RQD is one of the main parameters of RMR classification system which it should be calculated during the
face mapping at tunnel face. Determining of RQD is difficult at the tunnel face so, Bieniawski and Lowson in
2013 have suggested to use the fracture frequency parameter (FF) which refer to number of discontinuities per
meter replaces with 2 parameters from RMR classification: RQD and spacing of discontinuities. Face mapping
in tunnels No. 9 & 10 has been done based on the RMR 89. In order to evaluate the replacement of FF parameter
with RQD & spacing of d discontinuities, it has been decided to use RMR13 in this project and the results
compare with the RMR89.
In RMR89, to increase accuracy and improve decision-making, the use of charts in Figure 1 is recommended
to calculate the RQD & spacing of discontinuities rating. Equations 3 and 4 can also be used to calculate RQD &
spacing of discontinuities rating.

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INDOROCK 2023: Ninth Indian Rock Conference 16-18 November 2023

Fig. 1 Rating chart for RQD and discontinuity spacing (FS).

(3) (4)
In order to replacement of RQD & spacing of discontinuities with FF parameter, at first, the proposed chart
by Bieniawski and Lowson (Fig 2) was used to calculate the FF parameter. The results have been brought in
Table 3. The similar result has been removed from table.

Fig. 2 Chart D for combined rating of the discontinuity density parameters: RQD plus discontinuity spacing.

Table 3 FF parameter.
Face RMR Q RQD+FS RQD+FS
No. Tunnel FF RMR 89 RMR 2013
Chainage ( face mapping) (face mapping) (face mapping) (RMR 2013)
1 Tunnel 9 64+105 42 0.812 21 16 14 42 40
2 Tunnel 9 64+107.8 49 1.75 24 16 12.1 49 45
3 Tunnel 9 64+110.9 45 1.5 26 11 11 45 45
4 Tunnel 9 64+114 44 0.81 22 16 13.5 44 42
5 Tunnel 9 64+122.9 39 0.7 23 15 12.8 39 37
6 Tunnel 9 64+559.5 41 0.79 24 13 12.1 41 41
7 Tunnel 9 64+586.6 41 0.48 26 16 11 41 36
8 Tunnel 9 64+592.4 33 0.37 28 11 10 33 32
9 Tunnel 9 64+595.5 45 0.57 27 16 10.5 45 40
10 Tunnel 9 64+607.5 38 0.5 28 11 10 38 37
11 Tunnel 10 70+750.6 40 0.86 26 16 11 40 36
12 Tunnel 10 70+768.6 34 1.04 24 15 12.1 34 31
13 Tunnel 10 70+771.6 36 1.04 24 16 12.1 36 32
14 Tunnel 10 70+777.6 34 0.96 25 15 11.5 34 31
15 Tunnel 10 70+780.5 44 0.96 25 16 11.5 44 40
16 Tunnel 10 70+783.4 37 0.57 27 11 10.5 37 37
17 Tunnel 10 70+786.7 40 0.5 28 16 10 40 35
18 Tunnel 10 70+952.3 35 0.96 25 16 11.5 35 31
19 Tunnel 10 70+955.5 43 0.96 25 16 11.5 43 39
20 Tunnel 10 70+958.3 43 0.96 25 16 11.5 43 39
21 Tunnel 10 70+967.2 35 0.96 25 16 11.5 35 31
22 Tunnel 10 70+970.2 47 0.96 25 16 11.5 47 43
23 Tunnel 10 70+973.2 43 0.96 25 16 11.5 43 39
24 Tunnel 10 70+985.2 34 1 21 15 14 34 33
25 Tunnel 10 70+994 39 1 21 16 14 39 37
26 Tunnel 10 70+997.7 35 1 21 15 14 35 34

After evaluation many other data along with above table the results are showed in Fig 3. The total rate of
RMR13 is similar to RMR89.

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 Practical Approach of the Modification of Rock Quality Designation (RQD) in Rock Mass Rat-
ing (RMR)- A case study Railway Tunnel in Himalaya, Rishikesh- Karanprayag Broad Gauge
Rail Link project (PKG 5)
INDOROCK 2023: Ninth Indian Rock Conference 16-18 November 2023

Fig. 3 The comparison of RMR13 with RMR89.

The total rate of RMR13 is similar to RMR89 with a correlation coefficient of 0.998, and the values
obtained for RMR13 was approximately 1-2 percent lower than those for RMR89.
After evaluation of face mapping data in this project it has been suggested that the following equation (5) be
used for the relationship between RMR and Q in the Himalayan region with the dominant phyllite rock mass.

RMR=ln(Q)*9+38 (5)
5 CONCLUSIONS
The values obtained for FF rating were highly correlated with the total rating for RQD and FS. Furthermore,
the total rate of RMR13 was similar to RMR89 with a correlation coefficient of 0.996, and the values obtained
for RMR13 were approximately 1-5-2 percent lower than those for RMR89. In general, using these two versions
of RMR system are practical and acceptable, but in new projects in this area, it is suggested to use parameter FF
for RMR calculation and RQD to be removed from RMR calculation. As well as it is recommended to use
equation (5) for relation between RMR and Q.
REFERENCES
Bieniawski, Z.T. (1973), “Engineering classification of jointed rock masses”. Trans S. Afr. Inst. Civ. Engrs 15,
335-344.
Bieniawski, Z.T. (1989), “Engineering rock mass classifications”. New York: Wiley
Bieniawski, Z.T. & Lowson A.R. (2013), “Critical Assessment of RMR based Tunnel Design Practices: A
Practical Engineer’s Approach”, RAPID EXCAVATION & TUNNELING CONFERENCE, Washington, DC
Face mapping documents RVNL- Package 5

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 Theme 13 - Geological
Senthil P, Srinaiah and Geophysical
J, D.V. Sarwade and Investigations
Hari Dev

Electrical Resistivity Tomography for Delineation of Rock Lithology

SENTHIL P, SRINAIAH J, D.V. SARWADE AND HARI DEV

Central Soils and Materials Research Station, New Delhi

e-mail: senthilcsmrs@gmail.com
Abstract: Electrical Resistivity Tomography (ERT) is a widely used geophysical method for subsurface studies;
including groundwater exploration, environmental application, dam health assessment, seepage studies, salinity
intrusion and other engineering applications. The resistivity contrasts between target and medium is the key for
successes of ERT method. The study was conducted for dam site in lower Himalaya, where the 300 m wide trap
intrusive igneous rock encountered in-between the Chandpur Formation comprising of metamorphic group rocks
i.e, quartzite with slate-phyllite in the upstream and downstream of the trap rock. The objective was to establish
the downstream contact of metamorphic rock with igneous rock. The resistivity data was collected with Wenner-
Schlumberger and Dipole-dipole array with 72 electrodes spaced at 5 m c/c. ERT results showed that there was
significant resistivity contrasts between trap rock and Chandpur formation. The downstream contact steeply
dipping towards upstream direction with dip amount of 70 o to 80o. The ERT method of geophysical investigation
along with geological data provided useful information for further decision making by the Designers. In this Paper,
details of survey layout adopted, data processing and results interpretation for both arrays used is discussed.
Key words: Electrical Resistivity; Rock lithology; Wenner-Schlumberger and Dipole-dipole array
1 INTRODUCTION
The conventional strudy on lithology are based on geological mapping, exploratory drilling and at certain
cases with exploratory drifts. The geophysical investigations are non-destructive in nature, low-cost, faster and
provide continuous image of the sub surface; particularly for subsurface geology. Geophysical methods respond
to contrast in physical properties of the subsurface. The objective of the present study was to delineate the steeply
dipping rock contact between trap and phyllite for the proposed dam site in lower Himalayas. The weak phyllite
rock exists below competent trap rock. The seismic refection method assumes increasing velocity with depth and
this limitation is not there for electrical methods, thus electrical resistivity method was adopted for the study. The
advanced electrical resistivity method with multi electrode automatic data acquisition is termed as ‘electrical
resistivity tomography (ERT) or electrical resistivity imaging (ERI)’. The ERT with multi-electrode was
developed by Griffith & Turnbull (1985) and Griffith & Barker (1993), which provides realistic picture of the
complex subsurface based on resistivity section. The description of electrical resistivity, procedures, equipment,
software with case studies about 2-D and 3-D resistivity imaging is given by Loke (2004). ERT is used in
applications of groundwater (Mondal et al., 2008), salinity intrusion (Prusty and Farooq, 2020), geotechnical
(Lech et al., 2020), rock engineering (Ramli et al., 2022), environment (Aydi et al., 2020) and archaeology survey
(Sinha et al., 2013).
2 THE STUDY SITE
Lakhwar Multipurpose project is envisaged as storage scheme (204 m high concrete gravity dam) on river
Yamuna in Dehradun district of Uttarakhand, India. The Project shall provide power generation of 300
MW/572.54 MU, and irrigation to 33780 Ha land. The Project will also provide drinking and Industrial water
benefits of 78.83 MCM as well. Water and irrigation benefits from the Project will be shared by Delhi, Uttar
Pradesh, Haryana, Rajasthan, Uttarakhand and Himachal Pradesh. The Project shall also help in moderating flood
in River Yamuna as well as its rejuvenation. The Lakhwar Project area comprises rocks of Jaunsar Group
belonging to Pre-Cambrians of Kumaun Lesser Himalayas. The Jaunsar Group of rocks comprises slate, phyllites,
quartzites and limestones of Mandhali, Chandpur and Nagthat Formations. Intrusives comprising basic rocks,
calcite, feldspar and epidote veins are observed in the project area, particularly around Lakhwar Dam. The rocks
of Jaunsar Group is having an intrusive contact with the underlying rocks of Deoban Formation and have a thrusted
contact with the overlying Subathu Group.
The Lakhwar Dam area is proposed on large intrusive body of Jaunsar Traps which is interpreted to be nearly
300 m wide in the lower Himalaya. The country rock is Chandpur Formation comprising of quartzite with slate-
phyllite both in the upstream and downstream sides. The downstream contact dip towards upstream direction
whereas the upstream contact of Traps and Chandpur Formation dips steeper in the upstream. On the left bank the
trap body becomes narrower and tapers further inside whereas it widens on the right abutment. However, on the
left bank a xenolith body of quartizitic slates within the traps is present at the dam axis. On the upstream side on
the same bank the traps are in contact with Nagthat Quartzites as well as with xenolith body. The sketch showing

INDOROCK 2023: 9th Indian Rock Conference 16-18 November 2023

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 Electrical Resistivity Tomography for Delineation of Rock Lithology

the subsurface conditions and dam is shown in Fig. 1. The objective of the study was to establish the downstream
contact of two rock variants by conducting electrical resistivity tomography studies.

Phyllite ?

Trap Rock ?
Phyllite
?

Fig. 1 Geological Setup in the Study Site

3 ELECTRICAL RESISTIVITY METHOD

3.1 Theory
Griffiths and King (1981) has given in detail about electrical resistivity theory and four electrodes based
profiling and sounding. Conventionally, the electrical resistivity was used in many civil engineering and
hydrogeology applications. Electrical resistivity is a fundamental property of a material that measures how a
material resists to current flow. The principle of resistivity method involves measurement of electrical resistivity
variation in the subsurface. Resistivity is best understood if thought of as a volume or “bulk resistance”
measurement. It is based on Ohm’s Law which is written as V = IR, where ‘V’ is the potential difference in volts,
I is the electrical current in amperes, and ‘R’ is resistance in Ohms. Now, if current is passed through the opposite
faces of cylinder having cross sectional area ‘A’ and length ‘L’, then its three dimensional resistivity is = R *
A/L, expressed in ohm-m.
The current is passed through the ground using a pair of electrodes and the resulting distribution of the
potential in the ground is measured by using another pair of electrodes connected to the control unit. The
arrangements of transmitting and receiving electrode pairs are referred to arrays. Fig. 2 shows the basic theory
involved in resistivity method.

Fig. 2 Resistivity Basic Theory

The resistivity of the ground through which the current flows is not uniform; however the expression for
uniform ground is used to calculate resistivity. Hence, it is called as ''apparent resistivity". In the past, the
interpretations were based on apparent resistivity.
3.2 ERT
The ERT is new method of electrical resistivity survey in which array of electrodes are planted in line and
equipment does automatic switching of electrodes for data acquisition. The apparent resistivity pseudo sections
measured with such a technique are processed by inversion software which gives interpreted resistivity and depth
values for the anomalies detected along the profile.

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 Senthil P, Srinaiah J, D.V. Sarwade and Hari Dev

The multi-electrode resistivity technique consists in using a multi-core cable with as many conductors (24, 48, 72,
96) as electrodes plugged into the ground at a fixed spacing. Resistivity equipment ensures the switching of those
electrodes according to a sequence of readings predefined and stored in the internal memory of the equipment.
The various combinations of transmitting (A,B) and receiving (M,N) pairs of electrodes construct the mixed
sounding / profiling section, with a maximum investigation depth which mainly depends on the total length of the
cable. The 2D resistivity images obtained with such a multi-electrode technique are used for studying the shallow
underground structures located a few 10 m down to about 100 m depth; these images supply an information which
complements the one obtained with the more traditional Vertical Electrical Sounding (VES) technique, which
mainly aims at determining the depths of horizontal I-D structures from the surface down to several 100 m depths.
The layout of data acquisition for ERT (IS: 15676, 2007) is shown in Fig. 3. The electrodes will act as both
current and potential. The control system has switching mechanism, i.e., it will automatically choose the pair of
current electrodes in which current is passed and measure the potential (voltage) between pair of electrodes based
on chosen array. The system moves the pair electrodes at the minimum spacing (a) planted. Then it increases the
spacing (2a, 3a, etc) and the measurement is continued to get the depth of investigations.

Fig. 3 Electrical Resistivity Tomography layout for 2-D section (IS: 15676)
There are many electrode arrangements viz. Wenner, Schlumberger, Wenner-Schlumberger and Dipole-
dipole, Pole-dipole and Pole-Pole etc., which can be used in the ERT field survey. The particular array is selected
based on the desired objectives and anticipated sub-surface geological conditions. The Wenner array was popular
in electrical surveys. Wenner array has the strongest signal strength and good in resolving vertical changes (i.e.
horizontal structures), but relatively poor in detecting horizontal changes (i.e. narrow vertical structures). The
dipole-dipole array is good in mapping vertical structures, such as dykes and cavities, but relatively poor in
mapping horizontal structures such as sills or sedimentary layers. The Wenner-Schlumberger array is hybrid
between the Wenner and Schlumberger arrays arising out of electrical imaging surveys (Pazdirek and Blaha,
1996). The Wenner-Schlumberger array has a slightly better and wider horizontal coverage compared with the
Wenner array. The Wenner array is preferred option for a survey carried out in a high noise conditions due to its
inherent high signal strength and also if good vertical resolution is required. The dipole-dipole array might be a
more suitable choice if good horizontal resolution and data coverage is important. The Wenner-Schlumberger
array is a reasonable all-round alternative if good and vertical resolutions are needed, particularly if good signal
strength is also required.
3.3 Field Procedures
The brief field procedures adopted in field investigations are (a) alignment ERT profile based on joint visit
of the investigation team and the project authorities, (b) the spacing of electrodes chosen depending on depth of
investigations and resolution, (c) planting of electrodes at predetermined spacing after site clearance, (d) spreading
of multi-core cables and connection with electrodes, (e) resistivity data acquisition as per chosen array, (f)
exporting the data to computer for further processing.
The spacing of 5 m was adopted to get the maximum depth of investigation. The length of profile is 355 m.
The planting electrodes on exposed rock surface, hand drilling were used to drill a hole so that electrodes can be
placed. Cutting of bushes were also done along the profiles for spreading of cable and planting electrodes. For
better ground coupling, water was poured in the area around electrodes.

INDOROCK 2023: 9th Indian Rock Conference 16-18 November 2023

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 Electrical Resistivity Tomography for Delineation of Rock Lithology

Generally, the maximum depth of investigations achieved in ERT is of the order of 1/5th to 1/6th of profile
length, i.e., about 70 m for profile length of 355 m. The resistivity data was acquired with both Wenner-
Schlumberger and dipole-dipole arrays. The survey layout for containing 72 electrodes for dipole-dipole (DD)
array acquires 2875 number of data points (quadripoles) and Wenner-Schlumberger (WS) array acquires 1318
number of data points as shown in Fig. 4. The data coverage is more in DD than WS array.

(a) (b)

Fig. 4 Data Coverage in (a) Dipole-dipole Array and (b) Wenner-Schlumberger Array

3.4 Processing
The raw data as obtained is filtered using software and topographic data is included. The filtered data with
topography is imported to inversion software. The apparent resistivity measured in the field assumes a
homogeneous subsurface. Therefore, in order to obtain true resistivity of the subsurface materials, the apparent
resistivity must be inverted using the inversion software. Therefore, the data sets of apparent resistivity’s obtained
along each profile were processed using inversion software. This software uses the nonlinear optimization
program to generate a 2D ERT pseudosection. The inversion process tries to minimize the root mean square
(RMS) error by adjusting resistivities of the model blocks. RMS defines the difference between the measured and
calculated apparent resistivities. The final 2D resistivity section is used to draw up the lithological and geological
information. The apparent resistivity pseudo-section, calculated section and inverse model section for one ERI
line is shown at Fig. 5.

Fig. 5 Resistivity Sections – Apparent, Calculated and Inversed

4 RESULTS AND DISCUSSIONS

The results of ERT survey is generally produced as 2D resistivity section. Based on the contrast in the
section, low or high anomalous zones, the section is geologically interpreted. The 2D resistivity section obtained
after inversion process for data acquired in both arrays is shown in Fig. 6.

INDOROCK 2023: 9th Indian Rock Conference 16-18 November 2023

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343
 Senthil P, Srinaiah J, D.V. Sarwade and Hari Dev

D/s U/s

Trap rock
Phyllite

(a)

Phyllite
Trap rock

(b)

Fig. 6 2D Resistivity Sections (a) dipole-dipole Array and (b) Wenner-Schlumberger Array
The resistivity section reveals significant resistivity contrast between trap rock and phyllite rockmass. The
rock contact of trap dipping upstream side can be clearly demarcated. The variation of resistivity in phyllite
rockmass is 100 Ohm-m to 500 Ohm-m. The phyllite rock is thinly foliated, fractured and presence of water
reduces the resistivity mostly to about 200 ohm-m or less. The resistivity depends on water saturation in
discontinuities and for trap rock mass, it normally ranges between 500 Ohm-m to >3000 ohm-m.
The section obtained in Wenner-Schlumberger data RMS has error less than 5%. The section reveals that
trap rock starts near surface at RD.120 m, initially upto RD.130 m horizontal contact is observed, then it dips at
40o to 45o upto RD. 155 m till 35 m depth, further steep dip of around 70 o-80o from RD.170 till 75 m depth. The
section obtained with dipole-dipole array has RMS error of 14.6%. This section also showed similar results that
trap rock starts near surface at RD.120 m, dips at 45o till 75 m depth of investigation. The use of more than one
array in ERT data acquisition helped in confirming the findings arrived.
5 CONCLUSIONS
ERT study was conducted with objective to determine the contacts between trap and phyllite belonging to
Chandpur formations which was envisaged to be dipping in the upstream direction. The ERT data acquisition was
done with both dipole-dipole and Wenner-Schlumberger arrays. The 2D resistivity section obtained from revealed
contrast in resistivity of phyllite and trap rocks. The contact was dipping upstream with an angle of 40 o to 45o in
the both resistivity sections. The dip below 35 m depth obtained in both arrays differs. The RMS error of resistivity
section obtained using Wenner-Schlumberger and dipole-dipole arrays were 4.8% and 14.6%, respectively. The
Wenner-Schlumberger section gives lower RMS error due to its better signal strength than dipole-dipole. The
final interpretation was based on section which provides lower RMS and available geological data for correlation.
Overall, the study showed that ERT method of geophysical investigations was successful in delineating steep
dipping contacts between two rocks.
6 REFERENCES
Aydi, A., Mhimdi, A., Hamdi, I., Touaylia, S., Sdiri, A.: Application of electrical resistivity tomography and
hydro-chemical analysis for an integrated environmental assessment. Environmental Nanotechnology,
Monitoring & Management, Volume 14 (2020).
Griffiths, D.H., King R.F.: Applied Geophysics for Geologists and Engineers (1981).
Griffiths, D.H., Turnbull, J.: A multi-electrode array for resistivity surveying. First Break 3 (No. 7), 16-20 (1985).
Griffiths, D.H., Barker, R.D.: Two-dimensional resistivity imaging and modelling in areas of complex geology.
Journal of Applied Geophysics, 29, pp. 211-226 (1993).

INDOROCK 2023: 9th Indian Rock Conference 16-18 November 2023

344 Page 5 of 6
 Electrical Resistivity Tomography for Delineation of Rock Lithology

IS-15676: Geological Exploration by Geophysical Method (Electrical Resistivity). Bureau of Indian Standard,
New Delhi (2007).
Lech, M., Skutnik, Z., Bajda, M., Markowska-Lech, K.: Applications of Electrical Resistivity Surveys in Solving
Selected Geotechnical and Environmental Problems. Appl. Sci. 10(7), 2263 (2020).
Loke M.H.: Tutorial 2-D and 3-D Electrical Resistivity Imaging Surveys. www.geoelectrical.com, pp.136 (2004).
Mondal, N.C., Rao, V.A., Singh, V.S., Sarwade, D.V.: Delineation of concealed lineaments using electrical
resistivity imaging in granitic terrain, Current Science, Vol.94, No.8 pp. 1023-1030, (2008).
Pazdirek, O., Blaha, V.: Examples of resistivity imaging using ME-100 resistivity field acquisition system. EAGE
58th Conference and Technical Exhibition Extended Abstracts, Amsterdam (1996).
Prusty, P., Farooq, S.H.: Seawater intrusion in the coastal aquifers of India - A review. HydroResearch, Volume
3, Pages 61-74 (2020).
Ramli, N., Hussin, H., Kahar, M.A.A, Sulaiman, M.A.A.: The Utilisation of Electrical Resistivity Imaging (ERI)
for Geological Structures Mapping in Rock Mass: A Review. 4 th International Conference on Tropical
Resources and Sustainable Sciences, 1102 (2022).
Sinha, R., Yadav, G., Gupta, S., Singh, A., Lahiri, S.: Geo-electric resistivity evidence for subsurface
palaeochannel systems adjacent to Harappan sites in northwest India. Quaternary International. 308-309
(2013).

INDOROCK 2023: 9th Indian Rock Conference 16-18 November 2023

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 News & Views/JRMTT 29(1), 2023, 67-76

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