Advanced Rock

Mechanics
GEOL 6084
CH-I: Introduction
 1773, Coulomb included results of tests on rocks from Bordeaux in a paper
read before the French Academy in Paris (Coulomb, 1776, Heyman, 1972)

 1884 the Panama canals slope instability

(Terzaghi, 1936, Terzaghi and Voight, 1979) said ‘The catastrophic descent of
the slopes of the deepest cut of the Panama Canal issued a warning that we
were overstepping the limits of our ability to predict the consequences of our
actions ....’.
Introduction
• Unfortunately, two major disasters have contributed to the
advancement of rock mechanics and have
• forced the engineering profession to better understand the behavior
of rock masses.
• One of these disasters took place in France. On December 02, 1959,
the Malpasset dam burst due to an instability of its left abutment
killing about 450 people.
• Another disaster took place a few years later in Italy; on October
09,1963, a major rock slide caused the Vaiont disaster killing 2600
people.
Malpasset 1959
Vajont- 1963
Introduction
• The two previous disasters triggered the creation of the International
Society for Rock Mechanics (ISRM) which organized its first congress
in Madrid in 1966.
• Since then, the ISRM has sponsored multiple international congresses
and workshops.
• Engineering activities have strongly enhanced the need for a better
understanding of rock behavior.
• As a result, a large body of literature is now available on the subjects
of rock mechanics and rock engineering.
Introduction
Rock Mechanics

Rock mechanics : the study of the statics and dynamics of rocks and rock masses

Engineering rock mechanics : the study of the statics and dynamics of rocks and

rock masses in anticipation of the results being applied to engineering

• Qualitative to Quantitative
ISRM definition

“Rock mechanics is the theoretical and applied science of the behavior

of rock; it is that branch of mechanics which is concerned with the
response of rock to the force field of its environment”
Introduction
• Modern rock mechanics is an interdisciplinary field
• Indeed, in order to solve rock mechanics problems, information from
other fields are needed
• These include: engineering geology, geology, mechanics, hydraulics,
mathematics, physics, chemistry, and soil mechanics, among others
Introduction
Rock as Engineering Material

Despite its analytical aspect, rock mechanics still remains an art since
the rock mechanics engineer is faced with an engineering material of
uttermost complexity for which engineering judgment and experience
are required.

In general, rock and rock mass properties cannot be assigned to a

design calculation with the same degree of certainty as for other types
of engineering materials such as concrete or steel for three reasons.
Introduction
• First, information obtained from the testing of rock specimens or from
field observations does not give a complete picture
• Uncertainties are inherent when dealing with rock masses
• Second, rock is a very complex material that can be:
• Heterogeneous
• Anisotropic
• Third, to complicate things even more, geological processes are
coupled in a strong non-linear fashion.
Rock and Soil

Elasticity theory

Discontinuum

Viscoelastic and Rheology

Intact Rock
Rock Mass ~ Intact Rock + Discontinuities
Intact Rock Material
Intact rock blocks are blocks of rock that do not contain mechanical
discontinuities and do have tensile strength.
 Intact Rock
A common relation between rock, rock mass and engineering
is (Price, 1984):

material properties + mass fabric = mass properties

mass properties + environment = the engineering geological matrix
CH-II: Physical and Mechanical
Properties of Rocks
Classification and Index Properties of Intact Rock
The properties of intact rock are governed by
 physical properties

 bonded/cemented

The parameters
petrological name, color, texture, grain size, minor lithological
characteristics, density, porosity, strength, hardness,
and deformability
Index Properties
Quantitative description of rocks using basic measurements
which reflect varieties of structures, fabrics and components
• Mineralogical composition (structure, texture)
• Specific gravity
• Unit weight
• Density
• Porosity
• Permeability
• Durability
• Strength
Specific Gravity

https://www.youtube.com/watch?v=yGnNE-MWDV4
The ratio between the density of solids and density of water
Density

Density of the rock is the mass of rock per unit volume

• Highly porous rocks
• relatively poor arrangement of grains (less packing) usually have relatively less densities and vice versa.
Unit Weight
unit weight of a rock is the weight per unit volume
Porosity

• Sedimentary
• Crystalline Rocks

Depends
• Age
• Depth
• Weathering
Strength
Point load strength test
L > 0.5D
Slaking and Durability
• Slake durability test
• Abrasion resistance
• Percentage of rock retained

Relation
• Density
• Natural water content
Sonic Velocity
• transmitting Primary-wave through core sample, and data obtained is wave
propagation velocity (Vp).

• The denser the specimen (less voids) the higher is the Vp

CH-III Discontinuities
•Discontinuities
• 3.1 Discontinuity surveys
• 3.1.1 Planes of weakness in rocks
• 3.1.2 Interpretation
• 3.1.2.1 Rose diagrams
• 3.1.2.2 Stereographic Interpretation
• 3.1.2.2.1 Stereonets
• 3.1.2.2.2 Plotting data
Discontinuities

Discontinuity in rocks represents planes of weakness across

which the rock material is structurally separated

any separation in the rock continuum having effectively zero tensile

strength

The most common discontinuities in rocks are joint and bedding planes
Discontinuity Property
• Orientation

• Persistence

• Discontinuity spacing and discontinuity frequency

• Block size

• Wall strength

• Roughness of discontinuity wall

• Aperture of discontinuity
ISRM discontinuity Characterization Suggestions
• Orientation
• Number of sets
• Spacing
• Persistence
• Roughness
• Wall Strength
• Aperture
• Filling
• Seepage
• Block size
Discontinuity sets
discontinuity set is a group of discontinuities having the
same orientation or which run parallel to each other

discontinuities generally occur in sets, i.e., parallel joints

as the number of joint sets/discontinuity sets increase the

quality of the rock decreases
Discontinuity sets
Discontinuity sets
ISRM suggested description of the rock mass quality based on
number of joint sets
 Orientation
• Discontinuity orientation in spherical coordinates is defined by strike, dip angle and dip
direction
Rose Diagrams
Rose Diagrams

 Strike or Dip direction

 Disadvantage --- does not show dip angle

Discontinuity Spacing and
Frequency
Discontinuity Spacing

• Negative Exponential Function

• Probability Density Function (PDF)

• The m is 1/l
Discontinuity Spacing and
Frequency
More small spacing values than large spacing values

RDQ- percentage consisting of spacing values greater or equal to 4

inches
Spacing and Frequency
Spacing: Distance between adjacent discontinuity
intersections with the measuring scanline
Spacing and Frequency
• Frequency is the number per unit distance
Spacing and Frequency
Spacing and Frequency
Block Size and Volumetric Joint
Count
• Joint spacing defines the size of rock blocks

• When a rock mass contains more joint numbers,

the joints have lower average spacing and
smaller block size
Block Size and Volumetric Joint
Count
• Volumetric joint count (Jv) is the number of joints per unit
cubic meter of volume of the rock
• RQD can be related to volumetric joint count Jv by:

RQD = 115 –3.3 Jv, for Jv between 4.5 and 30

RQD = 100% for Jv < 4.5,RQD = 0% for Jv > 30
ISRM suggested block size
designation
Persistence

Persistence

• Implies the areal extent or size of a discontinuity within a plane

• It can be crudely quantified by observing the discontinuity trace

lengths on the surface of exposures

• It is one of the most important rock mass parameters, but one of

the most difficult to quantify in any thing but crude terms
Persistence
Persistence
Persistence determines the possibilities of
relative movement along a discontinuity
• Persistent discontinuity:
Shear stress exceeds shear strength of discontinuity
• Abutting discontinuities:
shear strength of discontinuity exceeded
+
the blocks of rock can move
Persistence
Roughness of discontinuity wall
• The word 'roughness' is used to denote the deviation of a
discontinuity surface from perfect planarity

• Roughness is characterized by large scale waviness

(undulation) and small scale unevenness (irregularity) of
a joint surface
Roughness of discontinuity wall
Roughness of discontinuity wall
Roughness of discontinuity wall (Bi-linear
shear criterion )
Roughness of discontinuity wall
• Joint Roughness Coefficient (JRC) is a quantitative
measure of roughness, varying from 0 for the smooth
flat surface to 20 for the very rough surface

• JRC method compares a profile of a discontinuity

surface with standard roughness profiles
Roughness of discontinuity wall
Roughness (directional,3D)
Aperture of discontinuity
• The perpendicular distance separating the
adjacent rock walls is termed as aperture

• Joint opening is either filled with air and water

(open joint) or with infill materials (filled joint)

• Open or filled joints with large apertures have low

shear strength
Aperture of discontinuity
Feeler gauge
Aperture of discontinuity
CH-..Rock Mass Characterization &
Classification

Description- Characterization - Classification

Rock Mass Characterization &
Classification
Describe: to tell or write about, give a detailed account of, to picture in
words.
• In a description, although all the complicated technical terms are
recorded, essentially the individual puts down whatever the
individual feels is important.

• Thus in describing a rock material or rock mass it is only by chance

that a system or order is followed. Seldom can the record be
compared to that of another investigator
Rock Mass Characterization &
Classification
Characterize: to report the particular qualities, features, or traits

• Rock mass characterization is the designation of rock mass quality

based on numbers and descriptive terms of certain features in the
rock mass

• Such characterization can include one or more parameters

Rock Mass Characterization &
Classification
Classify: to arrange or group in classes according to some system or
principle
• Rock mass classification is the process of combining certain features of a rock
mass into classes or groups

• It follows a system and order with information being recorded in a prescribed manner

• By this it is possible to combine different features using mathematical expression

• Classification enables useful comparisons to be made between the work of two

or more investigators
Rock Mass Classification
Rock Mass Classification is the process of placing a rock mass
into groups or classes on defined relationships (Bieniawski, 1989)

Classification provides a checklist of key parameters for

each rock mass type (domain)
Rock Mass Classification
Disadvantages of Rock Mass Classification Systems

 using rock mass classifications:

 ultimate empirical ‘cook book’
 without enough input data
 one rock mass classification system only

 without full realization of their conservative nature and their limits

arising from the database on which they were developed

 Rock Mass Classification
Important parameters

• the strength of the intact rock material

• the rock quality designation (RQD)

• parameters of rock joints

• groundwater pressure and flow

• in situ stress

• major geological structures (folds and faults)

Rock Mass Classification
Types of classification systems
Qualitative
 GSI
 Rock Load

Quantitative
 RQD
 RMR
Q
 RSR
Types of classification systems

• Stability – Q and RMR

• Ground Support Design- Q (RMR to a minor extent)
• Engineering Design Parameters only
Geomechanics Classification(RMR),
Bieniawski (1976)
1. Uniaxial compressive strength of rock material

2. Rock Quality Designation (RQD)

3. Spacing of discontinuities

4. Condition of discontinuities

5. Groundwater conditions

6. Orientation of discontinuities
RQD
• the Rock Quality Designation (RQD) index is measured
on borehole cores
• RQD only represents the degree of fracturing of the
rock mass
RQD (Rock Quality Designation)
RQD
RQD
• the Rock Quality Designation (RQD) index is measured
on borehole cores
• RQD only represents the degree of fracturing of the
rock mass
RMR

RMR = Arithmetic Some of the Rating of the Six

Parameters
Application of RMR
1. RMR system provides a set of guidelines for the selection of rock reinforcement for tunnels
2. RMR is applied to correlate with excavated active span and stand-up time
3. RMR used to obtain properties of rock mass
RMR
-adaptable
-tends to be conservative
The Q-system (Rock Tunneling
Quality Index)
The Q-value gives a description of the rock
mass stability of an underground opening in
jointed rock masses.
The Q-system
The Q-system
The Q-system
The Q-system
The Q-system
The Q-system
Application of Q-Support
requirement
1. To estimate support of a tunnel of given dimension

ESR---Excavation Support Ratio

2. Q-value with overburden thickness (H) can be used to identify squeezing
in underground structures using the following equation (Singh, Jethwa, Dube,
& Singh, 1992).

Over burden thickness

Squeezing
Over burden thickness > Condition

Over burden thickness < Non - Squeezing

Condition
3. To Estimate Deformation Modulus
Geological Strength Index (GSI)
Hoek in 1994 introduced the Geological Strength Index (GSI) as a way to facilitate
the determination of rock mass properties of both hard and weak rock masses for
use in rock engineering (Hoek, 1994)

• GSI
• rock mass conditions (Terzaghi’s descriptions)

• experience gained using the RMR-system

• simple, fast and reliable

• nonlinear relationship for weak rock mass

Geological Strength Index (GSI)
• To estimate the parameters in the Hoek-Brown strength criterion
Relations and Correlations
Relations and Correlations
Geotechnical Units
• "…..there is still no acceptable substitute for the field
mapping and core logging carried out by an
experienced engineering geologist." Evert Hoek, 1986.
Classify with RMR
A mudstone rock mass at a depth of 200 m contains three fracture sets. One set comprises
bedding planes; these are highly weathered, slightly rough surfaces, and are continuous
with an orientation of 180/10. Another set is jointing; these joints are slightly weathered,
slightly rough, and have an orientation of 185/75.

The third set is also jointing; again, the joints are slightly weathered and slightly rough,
and have an orientation of 090/80. The strength of the intact rock has been assessed as 55
MPa, and values for the RQD and mean fracture spacing are reported as 60% and 0.4 m,
respectively. Use the RMR system to classify this rock mass, and assess the stability of a
10 m wide excavation being driven from east to west.
CH- IV Stress

Why?
 Preexisting stress state

 Stress redistribution

 Tensor
Stress
Scalar
A scalar is a quantity with magnitude only
Vector
A vector is a quantity with magnitude and direction
Tensor
A tensor is a quantity with magnitude, direction and ’the plane under
consideration
Stress
Stress is the internal resistance offered by the body to the external
load applied to it per unit cross sectional area
Stress at a point
Shear force
• A liquid or gas can’t sustain this shear force

• Only solids can sustain shear force

• A liquid or gas can sustain a pressure which is a force per unit area
which acts equally in all direction and hence is a scalar.
Normal and shear stresses/ the
stress tensor
Normal and shear stresses/ the
stress tensor
Stress at a point Property
Normal Stress and Shear Stress
Stress component on a small cube
within the rock
Shear Stresses
Symmetric and State of Stress at a
Point
Principal Stresses and Principal Stress Plane

• normal components of stress that act on planes that have shear

stress components with zero magnitude

• the normal stress components take on maximum and minimum

values

• It is convenient to specify the stress state using these principal

stresses because they provide direct information on the maximum
and minimum values of the normal stress
Unsupported Excavation Surfaces
Unsupported Excavation Surfaces
Unsupported Excavation Surfaces
Vectors in 2D
Vectors in 2D
• Take any two points O and P with coordinates:

x y

• Set of coordinates
• Vector (position vector)
• Column vector
2D Unit Vectors
• The unit vectors in the direction of the two coordinate axes are
written as
• If a point P has coordinates (x, y)
• Position vector
Vectors in 3D
Position vector
Length of a Position Vector
Length of a Position Vector
• If P is a point with coordinates (x, y, z) then the length, or magnitude
of the position vector OP is given by:
.
Direction Cosines
Direction Cosines
• We can do the same for the y and z axes
Direction Cosines
• The quantity cos is known as a direction cosine,
because it is the cosine of an angle which helps to
specify the direction of P

• is the angle that the position vector OP makes with the

x-axis.
Direction Cosines
• Take the three direction cosines, square, and add them
Direction Cosines
• The direction cosines of any point P satisfy the equation:

• A unit vector in the direction of OP is given by the expression:

Exercise
Suppose we have a point A with coordinates (2, 0, 4) and another point B
with coordinates (4,−2, 6).

• what is the magnitude of this vector, and what are its direction cosines?
• Find the angles
Stress Transformation

Stress components may change

The state of stress does not change

 Stress Transformation

Stresses are tensors, not vectors like forces

 cannot be simply resolved

 must be transformed
Stress Transformation
Stress Transformation
Mohr’s Circle
• Taking a given sate of stress and turning in to other parameters
(principal stresses) to understand
Mohr’s Circle
Mohr’s Circle
Mohr’s Circle
Mohr’s Circle
Mohr’s Circle
Mohr’s Circle
Mohr’s Circle for Principal Stresses
Exercise
In-situ Stress
In Situ Stress
Tectonic Stress
In situ Stress

Not Applied, but altered

 Basic knowledge of the stress state

Boundary conditions
World Stress Map
Principal stress expression
Estimation of In situ stress (Vertical)

Example unit weights rocks

0.01 MN/m3 for some coals,
0.023 MN/m3 for some shales,
0.03 MN/m3 for gabbro.

Typical unit weight rock is about 2.7 tones/m3 or 0.027 MN/m3

Qn. Estimate at what depth the vertical stress will reach 1MPa
Estimation of In Situ Stress

 in situ stress field is conveniently expressed by the orientations and magnitudes of the principal

stresses

 assume that the three principal stresses of a natural in situ stress field are acting vertically

(one component) and horizontally (two components).

 possible to predict the magnitudes of these principal stresses through the use of elasticity theory
Estimation of In Situ Stress (Horizontal)

 The horizontal stress can be estimated using the 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, subtracting the strain
components due to the two perpendicular stresses
Estimation of In Situ Stress (Horizontal)
Initial estimate of the horizontal stress assumptions

 the two horizontal stresses are equal

There is no horizontal strain

Strained by adjacent elements of rock
Terzaghi and Richart (1952)
Ratio of horizontal to vertical stress for different deformation moduli based upon Sheorey’s equation.
(After Sheorey 1994).
Reasons for High Horizontal Stress

 Erosion

Tectonics

Discontinuities
Assignment #2

Summarize the different Horizontal Stress Estimation Theories

Methods of In Situ Stress
Determination
Must involve six independent stresses-a minimum of six
independent stress measurements

Direct

Indirect/Indicator
 Flat Jack Method In Situ Stress
Measurement
A flat jack is comprised of two metal sheets placed
together and welded around their periphery

 A feeder tube inserted in the middle that allows the flat

jack to be pressurized with oil or water
 Flat Jack Method In Situ Stress Measurement
The flat jack method involves the placement of two pins fixed into the wall of
an excavation
The distance ‘d’ is then measured accurately

A slot is cut into the rock between the pins

If the normal stress is compressive, the pins will move together as the slot is
cut
The flat jack is then placed and grouted into the slot
Flat Jack Method In Situ Stress Measurement
On pressurizing the flat jack, the pins will move apart. It is
assumed that when the pin separation distance reaches
the value it had before the slot was cut, the force exerted
by the slot is the same as that exerted by the pre-existing
normal stress
Flat Jack Method In Situ Stress
Measurement
Limitations of the Flat Jack Test
 A minimum 6 number of tests to be required at different locations

The size of the flat jack in relation to the size of the rock mass

Assumption of elastic recovery

Error due to stress concentration/redistribution due to excavation

The test cannot be carried out at appreciable depth from rock

surface
Flat Jack Method of In Situ Stress
Measurement

Conducted at six different orientation

Transformation used for each flat jack measurement

Normal stress component determent

Shear stress component calculated

Determines the induced stress rather than the field stress

Hydraulic Fracturing System
A length of borehole is chose for the stress measurements and an
interval of 1m is located and isolated using a straddle packer system
The isolated zone is pressurized by water until a fracture occurs in the
rock
Hydraulic Fracturing System
The two measurements taken are the water pressure when the
fracture occurs and the subsequent pressure required to hold the
fracture open ( the breakdown and shut in pressure)
Hydraulic Fracturing System
Provides two pieces of information
Limitations of the Hydraulic
Fracturing
 Difficult to find fracture free borehole

Difficult to measure water pressure

Direction of the crack

Whether the stress measured is the principal stress

Advantage
Measures Stress at depth (100m-Kms)
Overcoring (USBM, CISRO)
• A large diameter borehole is drilled to a sufficiently large distance so
that stress effects due to any excavation can be neglected
Overcoring (USBM, CISRO)
A small pilot hole (e.g. 38mm) is drilled the measuring device is then
inserted and fastened in this hole

• The large diameter hole is resumed, relieving stresses and strains in

the hollow rock cylinder that is formed

• Changes in strains are then recorded with the instrumented device as

the overcoring proceeds past the plane of measurement
Overcoring (USBM, CISRO)
• Measurement 2D and 3D
Limitation
Stress state disturbed due to the borehole
Representative Element Volume of
a Stress
REV- size of the sample tested contains a sufficient number of the
inhomogeneities for the average value to be reasonably consistent with
repeated testing
Discontinuity

Inhomogeneity

Anisotropy
REV
Exercise