Updated: 02nd August 2022

Course: Rock Mechanics (MI21201)

Introduction to Rock Mechanics

Prof. Abhiram Kumar Verma

Dept. of Mining Engineering
IIT Kharagpur
 Content
• Books • Terminologies
• Syllabus – Strain hardening, Strain
softening, brittle and ductile or
• Scope of Rock Mechanics
perfectly plastic
• Terminologies – Rock Discontinuities: Joint,
– Engineering material vs. bedding plane, fracture
Natural material – Stresses: Insitu stress, Induced
– Rock, Soil stress
– Rock Mechanics, Geo‐ – Homogeneous, Heterogeneous
or Inhomogeneous
Mechanics
– CHILE, DIANE
– Intact rock, Rock Mass – Physical and Mechanical
– Continuous, Discontinuous Properties
– Isotropy, Anisotropy – Rock classification based on
– Linear Elasticity (Hooke’s origin: Igneous, sedimentary and
Law), Non‐Linear Elasticity, metamorphic
Plasticity
Reference Books
• Pariseau WG, 2017, Design Analysis in
Rock Mechanics, 3rd edition, CRC Press,
730.
• Brady BHG and Brown ET, 2001, Rock
mechanics for underground mining, 3rd
edition, Springer publication.
• Hudson JA and Hudson JP, 1997,
Engineering rock mechanics, Pragmons
publications, Elsevier science Ltd.
• Goodman RE, 1989, Introduction to
Rock Mechanics, 2nd edition, Wiley, 576.
• Hoek E and Brown ET, 1980,
Underground excavations in rock, the
institute of mining and metallurgy,
London.
• Obert L and Duvall WI, 1967, Rock
Mechanics and the design of structure
in rock, John Wiley and Sons, 650.
 Syllabus
• Physico‐Mechanical • Rock mass classification,
Properties of Rocks engineering properties of rock
joint, RMR, Q
• Elastic, Plastic and time
• In‐situ stress and
dependent behavior of rock
strength measurement
• Stress‐Strain analysis • Natural and Artificial Support and
and relationship design principles for mine
• Theories of rock failure and excavation
application • Rock slope and dump stability
and design for circular and planer
• Stresses around
failure
underground opening and
• Concept of mine subsidence and
design of single opening prediction methods
D. Deb and A. K. Verma, 2016, Fundamentals and Applications in Rock Mechanics, PHI Learning, Delhi.
Rock: are made of one or more minerals i.e. an aggregate of minerals.
Mineral is natural occurring substance having fixed chemical
composition and molecular structure.
Or Naturally occurring chemical compound making up a part of the
earth’s crust.
Minerals may be gaseous (natural gas), liquid (petroleum, mercury,
water) or solid (ore minerals, etc). Almost 3000 minerals are known
out of which 20 are essential minerals such as Feldspars (sodium,
potassium and calcium aluminosilicates) is 60%; Amphiboles and
pyrozine – 17%, Quartz 12% and mIca 3.8% of the upper part of earth
crust.
A mineral may be a single element such as copper (Cu) or gold (Au), or
it may be a compound made up of a number of elements. Ex. NaCl,
SiO2, Au, etc
Minerals to Rock formation
Combinations of common
minerals occur in different
kinds of rocks. The kind of
rock depends on the
geologic setting where they
form: igneous,
sedimentary, or
metamorphic.

Granite: The pink grains

are orthoclase feldspar,
and the clear to smoky
grains are quartz or
muscovite. The black
grains can be biotite or
hornblende. Numerous
other minerals can be
present in granite.
Sandstone showing presence of two
mineral i.e. quartz and feldspar
Angular quartz and
feldspar grains of non‐
uniform sizes.
 Introduction
Mechanics: is concerned with the motion of
physical bodies, and the forces that cause or
limit their motions.
Rock Mechanics: "is the theoretical and applied
science of the mathematical behavior of rock
and rock masses; it is that branch of mechanics
concerned with the response of rock and rock
masses to the force fields of their physical
environment".
 Geomechanics
Geomechanics is the study of the engineering
behaviour of soil and rock.
 Scope of Rock Material
Structures are Built
Building material Foundation material
into the rock material
• Ex: Old Monuments • Ex: High rise • Ex: Caves, Mines,
buildings, Bridges, Tunnel, Ug Metro
Hydropower projects Railways, Ug Civil
etc. Utilities especially in
cold countries, All
weather facilities,
Underground storage
crude oil, military
arsenals, Nuclear
Repository, Deep
wellbores and many
more..
 Structure made of rock mass
Used as Foundation Material

Rock‐cut Caves of Ellora and Ajanta, Maharashtra

Structure made into the rock mass

700 m wide

2.2 km long

Pit bottom (228 m on 14‐08‐15) 2nd largest deep Metal mine, 1st is Rajpur Dariba, HZL (Raj.)
Intact Rock/ Rock Mass
 Intact rock
It is defined as rock containing no
significant fractures. However, on
the small scale it is composed of
grains with the form of
microstructure being governed by
the basic rock forming processes.
This type of rock sample is
normally tested in laboratory for
estimation of strength, elastic
modulus, and other engineering
parameters.
Rock mass/ Insitu rock

Rock mass includes joints and

fractures, cracks and other
geological discontinuities.
This type of rock resembles
the real world rock that exists
in‐situ or at place of origin.
The engineering properties
obtained from laboratory
testing of intact rock is much
higher values than the rock
mass.
 Homogeneity, Heterogeneity

• Homogeneous: uniform in
composition throughout
and hence properties are
same at all points
• Heterogeneous: non‐
uniform in composition
throughout and hence
properties are differ from
point to point
 Isotropy, Anisotropy,
Transversely Isotropy, Orthotropic
Isotropy Anisotropy
• Isotropy is the property of • An anisotropic rock has
being independent of different properties in
direction. different directions due to
regular jointing, bedding or
oriented fabric.
 Isotropy, Anisotropy,
Transversely Isotropy, Orthotropic
Transversely Isotropy Orthotropic
Properties of such material is Properties differ along three
isotropic within plane, i.e. mutually perpendicular
material properties are the same direction. They are subset of
in all directions in a plane. Anisotropic material.
Rock mass with a single set of Rock mass with three
joints, or with two types of rock perpendicular joint sets
regularly inter‐layered, or with
behave orthotropically.
flat minerals like mica, talc,
chlorite, graphite, etc. arranged in
parallel orientation are
Transversely isotropy.
 Strength
• Insitu or Rock Mass strength
• Laboratory or Intact rock strength
 Why Study Stress?
Fundamental to rock mechanics principles and
applications.
There are three basic reasons to understand stress :
– Pre‐existing stress state in the ground need to understand, both
directly and as the stress state applies to analysis and design.
– During rock excavation, the stress state can change dramatically.
This is because rock, which previously contained stresses, has
been removed and the loads are redistributed.
– Stress is a tensor quantity and are not encountered in
everybody life.
Stress Below Surface
 Different Stresses in Rock
Based on the origins, the stresses in rock are grouped into two broad
categories:
1) Insitu/Virgin/Natural Stresses ‐ Those are the
stresses found in rock before excavation, Natural
stresses comprise:
a) Gravitational stresses, Flat ground surface and topographical effect
b) Tectonic stresses,
c) Residual stresses, and
d) Terrestrial stresses
2) Induced Stresses ‐ which are the result of stress
changes due to manmade excavations. Ex.: Mining,
excavations, drilling, pumping, injection, energy
extraction, applied load, swelling etc.
 Estimation of In‐Situ Stresses ‐
Horizontal
The horizontal stress are
estimated using elastic
theory. If we consider the
strain along any axis of a
small cube at depth, then
the total strain can be
found from the strain due
to the axial stress,
substracting the strain To provide initial estimate of horizontal
components due to the stress following assumptions are made:
two perpendicular (1) Two horizontal stresses are equal
stresses. (2) There is no horizontal strain
𝜈
𝜎 𝜎
1 𝜈
 Problem
Find vertical and horizontal stress at a depth of 100 m from surface if the
Poisson’s ratio is 0.20 and 0.25 in two horizontal directions i.e. x‐x’ and y‐y’
respectively. If the average density 𝜌 of overlying rock is 2548.42 kg/m3 or
unit weight 𝛾 𝜌𝑔 is 25 kN/m3; Average Young’s modulus 5 GPa. Comment
on isotropy and anisotropy.
(a) No tectonic strain;
(b) Compressive tectonic strain of 0.1%

𝜎 𝛾h 100 25 2.5 MPa

𝜎 𝜌𝑔h 100 2548.42 9.81 2.5MPa
𝜎 100 m

𝜎 100 25; 𝑜𝑟 100 2548.42 9.81 2.5MPa

𝜎 𝜈 0.20
𝜎 𝜎 𝜎 2.5 0.63 MPa
z 1 𝜈 1 0.20
𝜎
0.25
𝜎 2.5 0.83 MPa
x 1 0.25
y
 Horizontal Stress in Tectonic field
• For tectonic field the approximate formula to
find the horizontal stress (Fyfe et al., 1978) is

h  v  hE
1 
Ground surface

𝜎 150 m

z 𝜎

y x 𝜎
World Trend of Insitu stresses
 Gravitational and Tectonic Stress
• Gravitational or geostatic or Vertical stress is developed
due to gravitational loading and lateral constraints to a
rock.
• Tectonic stresses results because of the movements in earth's crust
occur continuously and seismic events related to these
deformations are recorded often.
• Driving forces for the plate movement come from the mantle of the
earth, section below the crust (e.g. depth below 35 km) which is
relatively plastic and moves due to heat differences between the
core of the earth and cooler crust (Deway et al. 1970).
• Tectonic stresses are very difficult to predict in regard to magnitude
and direction unless there are recent tectonic movements and
seismic activity.
Plate Tectonics
 The crust and upper mantle is split into seven or eight major plates and
several minor plates that drift above the plastic asthenosphere, driven by hot
convective currents and gravitational imbalances
Major types of plate Boundaries
 Indian Plate

See for more details:

https://en.wikipedia.org/wiki/Indian_Plate
 Reasons for High Horizontal Stress
• High horizontal stresses are caused
by factors relating to erosion,
tectonics, rock anisotropy, local
effects near discontinuities, and
scale effects:
• Erosion: If horizontal stress become
‘locked in’, then the erosion/removal
of overburden (i.e. decrease in will
result in an increase in K ratio   
h v

• Tectonics: Different forms of

tectonic activity (e.g. subduction
zones), can produce high horizontal
stresses.
• Density, ρ (kg/m3) or unit weight (ρg) (N/m3)
• 1 tonne = 1000 kg (mass) = 1000 kg x 9.81
m/s^2 = 9810 N = 1000 kgf