Rock Mechanics and Ground control

Course Material For Singareni Collieries Limited (SCCLtd) Ramagundem AP

By Dr.K.U.M.Rao Professor Department of Mining Engineering Indian Institute of Technology Kharagpur 721302

Chapter 1 Introduction
1.1 Rock Mechanics as a Discipline

Rock mechanics is a discipline that uses the principles of mechanics to describe the behaviour of rocks. Here, the term of rock is in the scale of engineering. The scale is generally in the order of between a few metres to a few thousand metres. Therefore, the rock considered in rock mechanics is in fact the rock mass, which composes intact rock materials and rock discontinuities. What is so special of rock mechanics? For normal construction materials, e.g., steel and concrete, the mechanical behaviours are continuous, homogeneous, isotropic, and linearly elastic (CHILE). Properties of the manmade materials are known and can often be controlled. For rocks, due to the existence of discontinuities, the behaviours are discontinuous, inhomogeneous, anisotropic, and non-linearly elastic (DIANE). Properties of the natural geomaterials are unknown and often can not be controlled. It is important to be award that in rock mechanics, rock discontinuities dominate the mechanical and engineering behaviours. The existence of discontinuity depends on the scale. The discontinuous nature and scale dependence feature is not common in other man-made materials. Rock mechanics is applied to various engineering disciplines: civil, mining, hydropower, petroleum. In civil engineering, it involves foundation, slope and tunnel. In structural engineering, the design process generally is as following: Calculate external loading imposed on the structure; Design the structure and analyse loading in structure elements; Design the structure element and select materials. In rock engineering, or geotechnical engineering, the whole process is different. Loading condition is not easily calculateable, rock engineering, being sloping cutting or underground excavation, does not impose loading, but disturbs the existing stress field of the ground and redistribute the load. Therefore, the key process in rock engineering is to understand the how the stress field is disturbed by engineering activities and how the rock is behaving (responding) to the change of boundary conditions, and yet the material does not has a characteristics controlled by man. The objectives of learning rock mechanics are: • • To understand of the mechanical behaviour of rock materials, rock discontinuities and rock masses. To be able to analyse and to determine mechanical and engineering properties of rocks for engineering applications.

CHAPTER 2 ROCK FORMATION AND ROCK MASS 2.1 Rock Formations and Types Rock is a natural geo-material. In geological term, rock is a solid substance composed of minerals, of which can consist in particulate form (soil particles) or in large form (mountains, tectonic plates, planetary cores, planets). In common term, rock is an aggregate of minerals. Rocks are formed by three main origins: igneous rocks from magma, sedimentary rock from sediments lithfication and metamorphic rocks through metamorphism. Figure 2.1.1a shows the geological process involved in the formations of various rocks. It should be noted that the processes are dynamic and continuous.

Figure 2.1.1a Rock cycle illustrating the role of various geological processes in rock formation. 2.1.3 Igneous Rocks Igneous rocks are formed when molten rock (magma) cools and solidifies, with or without crystallization. They can be formed below the surface as intrusive (plutonic) rocks, or on the surface as extrusive (volcanic) rocks. This magma can be derived from either the Earth's mantle or pre-existing rocks made molten by extreme temperature and pressure changes. Figure 2.1.1a shows the origin of magma and igneous rock through the rock cycle. As magma cools, minerals crystallize from the melt at different temperatures. The magma from which the minerals crystallize is rich in only silicon, oxygen, aluminium, sodium,

chalk and limestone. igneous rock or another older metamorphic rock (Figure 2. and by precipitation from solution. Pressure forces some crystals to re-orient. Another important mechanism of metamorphism is that of chemical reactions that occur between minerals without them melting. The combined effects of recrystallisation and re-orientation usually lead to foliation. but count for only 5% of the rock in the earth crust. When above 200°C. Many complex high-temperature reactions may take place. shale. In the process atoms are exchanged between the minerals. the rock undergoes profound physical and/or chemical change.4 Sedimentary Rocks Sedimentary rock is formed in three main ways – by the deposition of the weathered remains of other rocks (known as 'clastic' sedimentary rocks). heat causes minerals to recrystallise.potassium. conglomerate. and magnesium minerals. known as contact metamorphism. 2. The high temperatures and pressures in the depths of the Earth are the cause of the changes. by the deposition of the results of biogenic activity. Heat and pressure are the causes of metamorphism.1. Sedimentary rocks cover 75% of the Earth's surface. known as regional metamorphism. They are formed deep beneath the Earth's surface by great stresses from rocks above and high pressures and temperatures. which account for over 90% of all igneous rocks. clay. Mechanical weathering is the breakdown of rock into particles without producing changes in the chemical composition of the minerals in the rock. through metamorphism. Chemical weathering is the breakdown of rock by chemical reaction. Sedimentary rocks include common types such as sandstone. When an existing rock is subjected to heat and extreme pressure. All rocks disintegrate slowly as a result of mechanical weathering and chemical weathering. calcium. These are the elements which combine to form the silicate minerals. The existing rock may be sedimentary rock.1. but their great abundance is hidden on the Earth's surface by a relatively thin but widespread layer of sedimentary and metamorphic rocks. and each mineral assemblage produced provides us with a clue as to the temperatures and pressures at the time of metamorphism. which is a unique feature .1.5 Metamorphic Rocks Metamorphic rock is a new rock type transformed from an existing rock type. deposition and compaction. iron.1a). and thus new minerals are formed. Metamorphic rocks make up a large part of the Earth's crust and are classified by texture and by mineral assembly. 2. Igneous rocks make up approximately 95% of the upper part of the Earth's crust. Four basic processes are involved in the formation of a clastic sedimentary rock: weathering (erosion). Metamorphic rocks are also formed by the intrusion of molten rock (magma) into solid rock and form particularly at the place of contact between the magma and solid rock where the temperatures are high. transportation.

Joints can also be caused by cooling of hot rock masses. A joint set is a group of parallel joints.2.2. but many faults occur far from active plate boundaries.1a). 2.of metamorphic rocks.2. the term fault zone is used when referring to the zone of complex deformation associated with the fault plane.2a. This result in a banded.2.1 Joints A geological joint is a generally planar fracture formed in a rock as a result of extensional stress. as the spacing of joints usually is between a few centimetres and a few metres. It occurs when a strong compressive force is applied from one direction to a recrystallizing rock.2 Rock Discontinuities 2. 2. Joints are also formed by tectonic movement. (ii) three sets. and hence leads to the fracturing of underlying rock. clean fracture. Joints are often in sets. rock. Columnar jointing or columnar basalts are typical joint features by cooling. to grow with their long axes perpendicular to the direction of the force. Large faults within the Earth's crust are the result of shear motion and active fault zones are the causal locations of most earthquakes. They are generally considered as part of the rock mass. with the bands showing the colours of the minerals that formed them. This causes the platy or elongated crystals of minerals. or foliated. Joints can be formed due to erosion of the overlying strata exposed at the surface. Typically. which form cooling joints. Joints are always in sets. such as mica and chlorite. Joints do not have any significant offset of strata either vertically or horizontally (Figure 2. Since faults usually do not consist of a single.1a Typical joints seen (i) one dominant set. Earthquakes are caused by energy release during rapid slippage along faults. . Figure 2. Figure 2. Joints are the most common type of rock discontinuities. a rock mass can have between one to a few joint sets.2 Faults Geologic faults are planar rock fractures which show evidence of relative movement.2. The removal of overlying rock results in change of stresses. The largest examples are at tectonic plate boundaries.

particularly intense folds. fault zone and shear zone.2. However. They are often dealt separately from the rock mass. 2. Folds form under very varied conditions of stress. Folds can be commonly observed in sedimentary formation and as well as in metamorphic rocks (Figure 2. A shear zone is a wide zone of distributed shearing in rock. Small scale single faults often have the similar effects as a joint.2. Bedding plane therefore is a discontinuity separating different rocks (Figure 2. if a project is to be constructed over or close such zones. or up to several kilometres wide.2. Folds are usually not considered as part of the rock mass. Bedding plane often can be fully closed and cemented. are often associated with high degree of fracturing and relatively weak and soft rocks. It should be noted that fold has huge variation of features.Figure 2.2. the interfaces between layers are termed as bedding planes.4 Bedding Planes As sedimentary rocks are formed in layers. Shear zones can be only inches wide. are large scale geological features.2a Faults.2. particularly fault zone and shear zone.3 Folds The term fold is used in geology when originally flat and planar rock strata are bent as a result of tectonic force or movement. but the results of folding is often reflected in the rock mass consideration. Typically this is a type of fault but it may be difficult to place a distinct fault plane into the shear zone. Although the folding feature may not be directly taking into account of rock mass. Folds. . 2. folds can be of the similar scale as the engineering project and hence the significance of folds on the behaviour of the rock mass must be taken into consideration. The behaviour large scale fault and shear zones require specific investigation and analysis.3a). As faults.4a).

.1b. some bedding planes could also become potential weathered zones and pocket of groundwater.1 Engineering Scale and Rock Engineering in and on rock has different scales. e.2.3b Folds in a sedimentary formation. A borehole can be typically around 8 cm while a mine can spread up to a few km. varying from a few centimetres to a few kilometres. which leads to cavities along the interface. . then rock in such scale is generally a mass of rock at the site.3. an interface between porous sandstone and limestone may lead to extensive weathering of the limestone. slopes and tunnels. foundations.3. For civil engineering works. is the whole body of the rock in situ. Figure 2. However.3 Rock Material and Rock Masses 2. This mass of rock. consists of rock blocks and fractures. For example. the scale of projects is usually a few ten metres to a few hundreds metres.Figure 2.g.2. 2.3a Folds in a sedimentary formation. It mainly creates an interface of two rock materials. typically seen in Figure 2. When such engineering scale is considered. Bedding planes are isolated geological features to engineering activities. often termed as rock mass.

4b Some typical bedding planes.2.1b Typical rock masses.2.3.4a Some typical bedding planes.Figure 2. . Figure 2. Figure 2.

in the form of intact rock plates.3a). It is therefore obvious that rock mass behaviour by large is governed by rock joints. 2.2 Inhomogeneity of Rock Masses Inhomogeneity of a rock mass is primarily due to the existence of discontinuities. to be free to fall and move (Figure 2.3 Role of Joints in Rock Mass Behaviour Rock joints change the properties and behaviour of rock mass in the following terms: (i) Cuts rock into slabs.4 Inhomogeneity and Anisotropy 2. Most of the engineering materials have varying degrees of inhomogeneity. interbedding and intrusion. joints.4. blocks and wedges.1 Inhomogeneity of Rock Materials Inhomogeneity represents property varying with locations. (ii) Acts as weak planes for sliding and moving.2a). and faults. blocks and wedges.3. (iii)Alters stress distribution and orientation. (ii) Gives large deformation. (i) Provides water flow channel and creates flow networks.3. they have relative small deformation and low permeability. of various sizes.2 Composition of Rock Mass A rock mass contains (a) rock material.2a A dyke intrusion.3. Rocks are formed by nature and exhibits great inhomogeneity. in the forms of fractures. and (b) rock discontinuities that cuts through the rock.2. 2. Figure 2. 2. In addition.3. Rock masses are also inhomogeneous due to the mix of rock types. Rock materials and discontinuities together form rockmass. Faults are often filled with weathered materials. rock mass may also include filling materials in the discontinuities and dyke and sill igneous intrusions (Figure 2. varying from extremely soft clay and fractured and crushed rocks.4.3. Because the rock materials between rock joints are intact and solid. .

2a). However.4.4. Figure 2. Other sedimentary may not have clear anisotropy. Some sedimentary rocks. shale.4.3b A Limestone rock mass with one dominating joint set..g. (i) slate and (ii) sandstone.4. Rock mass anisotropy is controlled by (i) joint set (Figure 2.2. .4. Rock with most obvious anisotropy is slate. under the influence of formation process and pressure. e. and (ii) sedimentary layer (Figure 2.4.3a.3a Some common anisotropic rocks. small degree of anisotropy is possible. as seen in Figure 2. Phyllite and schist are the other foliated metamorphic rocks that exhibit anisotropy. Figure 2.3b).Anisotropy occurs in both rock materials and rock mass. have noticeable anisotropic characteristics.3 Anisotropy Anisotropy is defined as properties are different in different direction.

8. . showing the geometrical aspects of the rock including shape. They are: • Quartz • Feldspar • Mica • Hornblende(Amphiboles) • Pyroxenes • Olivine • Calcite • Kaolinite. 7.1 Physical Properties of Rock Material The physical properties of rocks affecting design and construction in rocks are: 1. 6. A coarse-grained rock is one in which the large crystals are seen easily while the fine grained rocks need to be seen under a microscope. 3. seen on a smooth surface of a mineral aggregate. Thus the texture is the appearance. structure. S Permeability to water k Mineralogical composition is the intrinsic property controlling the strength of the rock Although there exist more than 2000 kinds of known minerals. Specific gravity G Unit weight γ Porosity n Void ratio e Moisture content w Degree of saturation. The Rocks containing quartz as the binder are known as siliceous rocks and are the strongest while the rocks with calcium and magnesium carbonates are the weakest. 4. This Chapter addresses properties of rock material. 2. only about nine of them partake decisively in forming the composition of rocks. calcites. The term “rock texture” refers to the arrangement of its grains. Mineralogical composition . Rock structure and texture affect the strength properties of the rock. megascopic or microscopic. 5. One distinguishes between coarse-texture (coarse-grained) and fine-textures rock. and arrangement. and texture. and • Dolomite These minerals are glued together by four types of materials such as silicates.CHAPTER 3 PROPERTIES OF ROCK MATERIALS Rock material is the intact rock portion. argillaceous and ferrous minerals. size. 3.

Void ratio (e) is the ratio of the volume of voids (VV) to the volume of solids (VS) e= VV VS Wd γ G = ⋅γW = V 1+ e 1+ w Porosity (n) describes how densely the material is packed. Density. V V − (WS / Gγ W ) e = n= V = V 1+ e V V 1 = S 1+ e V γ Dry = (The unit weight of water = 1 g/cm3 = 1 t/m3 = 9.81 kN/m3 = 62.3.500nd 2. Porosity therefore is a fraction between 0 and 1.1. Most rocks have density between 2. and often related to the porosity of the rock. It is the ratio of the non-solid volume (VV) to the total volume (V) of material. Porosity and Water Content Specific gravity is the ratio of the density of solids to the density of water. It is sometimes defined by unit weight and specific gravity.4 lb/ft3) Where Wd = dry weight of the sample WS = weight of solids VV and VS = volume of voids and volume of solids V = total volume of the sample G = specific gravity e = Void ratio of the sample γ w = Unit weight of water = 9. M 1 G= S ⋅ VS ρ W (where M S = mass of solids and VS -volume of solids) Unit weight ( γ ) W V ( W is the total weight of the sample and V the total volume of the sample) γ = Density is a measure of mass per unit of volume.1 Specific Gravity.81 kN/m3 w = moisture content of the sample .800 kg/m3. Density of rock material various.

The value is typically ranging from less than 0. A low density and high porosity rock usually has low strength. Porosity provides the void for water to flow through in a rock material.5 to 2.8. w= Ww W − WS × 100 = × 100 WS WS Degree of saturation S is S= Vw × 100 VV Density is common physical properties. Porosity is one of the governing factors for the permeability. It is influenced by the specific gravity of the composition minerals and the compaction of the minerals. Figure Phase diagram illustrating the weights and volume relationship . It is simply the ratio of the weight of water (Ww) to the weight (WS) of the rock material. Water content is a measure indicating the amount of water the rock material contains.5 for porous sandstone. However. Density and porosity often related to the strength of rock material. most rocks are well compacted and then have specific gravity between 2.01 for solid granite to up to 0. Density is used to estimate overburden stress. It may also be represented in percent terms by multiplying the fraction by 100%. High porosity therefore naturally leads to high permeability.

including density and porosity of rock materials.Table 3. Cerchar and other abrasivity tests are described later. steel. permeability of rock material is governed by porosity.1. including igneous. e. 3.Abrasivity measures are given by several tests. A typical measure is the Schmidt rebound hardness number. generally have very low permeability.1. Table 3. Porous rocks such as sandstones usually have high permeability while granites .2 Hardness Hardness is the characteristic of a solid material expressing its resistance to permanent deformation.1a gives common physical properties. The higher quartz content gives higher abrasivity. As discussed earlier. 3. Abrasivity is highly influenced by the amount of quartz mineral in the rock material.1.1. Most rocks. including mineral composition and density. metamorphic and chemical sedimentary rocks.1.3 Abrasivity Abrasivity measures the abrasiveness of a rock materials against other materials.4 Permeability Permeability is a measure of the ability of a material to transmit fluids.1a Physical properties of fresh rock materials 3.g. It is an important measure for estimate wear of rock drilling and boring equipment. Hardness of rock materials depends on several factors..

1a. Permeability of rock materials. used in design. S waves.have low permeability. Usually compressive strength of rock is defined by the ultimate stress. The velocity measurements provide correlation to physical properties in terms of compaction degree of the material.1c show the states of rock in those stages of compression.2.1a presents a typical stress-strain curve of a rock under uniaxial compression. analysis and modeling. Wave velocities are also commonly used to assess the degree of rock mass fracturing at large scale. It is one of the most important mechanical properties of rock material. A well compacted rock has generally high velocity as the grains are all in good contact and wave are traveling through the solid.2.2.2. The complete stressstrain curve can be divided into 6 sections. and it will be discussed in a later chapter. P wave velocity measures the travel speed of longitudinal (primary) wave in the material. 3. the grains are not in good contact.5 Wave Velocity Measurements of wave are often done by using P wave and sometimes. Typical values of P and S wave velocities of some rocks are given in Table 3. Figure 4.1. For a poorly compact rock material. using the same principle. while S-wave velocity measures the travel speed of shear (secondary) wave in the material. 3. has limited interests as in the rock mass. except for those porous one. Permeability of rock fractures is discussed later. Figure 3.1 Compressive Strength Compressive strength is the capacity of a material to withstand axially directed compressive forces. flow is concentrated in fractures in the rock mass. so the wave will partially travel through void (air or water) and the velocity will be reduced (P-wave velocities in air and in water are 340 and 1500 m/s respectively and are much lower than that in solid).1.2 Mechanical Properties of Rock Material 3.1b and Figure 3. The most common measure of compressive strength is the uniaxial compressive strength or unconfined compressive strength. . represent 6 stages that the rock material is undergoing.

Figure 3. of about 35-40% peak strength. in addition to deformation.depending on the strength of the rock. The upper boundary of the stage is the point of maximum compaction and zero volume change and occurs at about 80% peak strength. Microcrack propagation occurs in a stable manner during this stage and that microcracking events occur independently of each other and are distributed throughout the specimen. pre-existing microcracks or pore orientated at large angles to the applied stress is closing. Stage II – The rock basically has a linearly elastic behaviour with linear stress-strain curves. both axially and laterally. The rock is primarily undergoing elastic deformation with minimum cracking inside the material.1c Samples of rock material under uniaxial compression test and failure. Stage I – The rock is initially stressed. There is a slight increase in lateral strain due to dilation. In this stage the crack arrays fork and coalesce into macrocracks or fractures.2. but is still intact. The axial stress-strain curve is nearlinear and is nearly recoverable. Stage IV – The rock is undergone a rapid acceleration of microcracking events and volume increase. as the there is little permanent damage of the micro-structure of the rock material. The specimen is undergone strain softening (failure) . even though the internal structure is highly disrupt. This causes an initial non-linearity of the axial stress-strain curve. The Poisson's ratio.2. This initial non-linearity is more obvious in weaker and more porous rocks. Micro-cracks are likely initiated at the later portion of this stage. Stage III – The rock behaves near-linear elastic. Stage V – The rock has passed peak stress. tends to be low. The spreading of microcracks is no longer independent and clusters of cracks in the zones of highest stress tend to coalesce and start to form tensile fractures or shear planes . the stress-strain is largely recoverable.1a Typical uniaxial compression stress-strain curve of rock material. Figure 3. particularly in stiffer unconfined rocks. At this stage.

In underground excavation.. at peak stress the test specimen starts to become weaker with increasing strain. Compressive strength with lateral pressures is higher than that without. Thus further strain will be concentrated on weaker elements of the rock which have already been subjected to strain.1a. .2.2. Figure 3. In addition to the significant increase of strength with confining pressure. The rock is covered by overburden materials. of the rate of change of stress with strain. we often are interested in the rock at depth. This in turn will lead to zones of concentrated strain or shear planes.1d Triaxial compression test and failure 3.2.1d shows the results of a series triaxial compression tests. equivalent to the frictional resistance of the sliding blocks. The compressive strength with lateral pressures is called triaxial compressive strength. the stress-strain characteristics also changed. Figure 3. It is defined as the ratio. These blocks slide across each other and the predominant deformation mechanism is friction between the sliding blocks. for small strains.2 Young's Modulus and Poisson’s Ratio Young's Modulus is modulus of elasticity measuring of the stiffness of a rock material. Stage VI – The rock has essentially parted to form a series of blocks rather than an intact structure.deformation. i.e. This can be experimentally determined from the slope of a stress-strain curve obtained during compressional or tensile tests conducted on a rock sample.2. The axial stress or force acting on the specimen tends to fall to a constant residual strength value. Secondary fractures may occur due to differential shearing. Typical strengths and modulus of common rocks are given in Table 3. and is subjected to lateral stresses. Discussion on the influence of confining pressure to the mechanical characteristics is given in a later section.

including all crystalline igneous. mainly of sedimentary origin. For extremely hard and strong rocks.1a Mechanical properties of rock materials.3a. typically crystalline rocks.4% under uniaxial compression. Strain at failure is the strain measured at ultimate stress. .2 to 0. A few soft rocks.3 Stress-Strain at and after Peak A complete stress-strain curve for a rock specimen in uniaxial compression test can be obtained. Young’s Modulus of rock materials varies widely with rock type. beyond the linearly elastic region the increase in lateral strain is faster than the axial strain and hence indicates a higher ratio. Rocks generally fail at a small strain. behave brittle under uniaxial compression. the Poisson’s ratio is between 0. Most rocks. Strain at failure sometimes is used as a measure of brittleness of the rock. Similar to strength.2. could have relatively high strain at failure. For most rocks. behave ductile. typically around 0.4. As seen from the tests that at later stage of loading beyond. Brittle rocks. Young’s Modulus can be as high as 100 GPa. that is. have low strain at failure. as shown in Figure 3. Poisson’s ratio measures the ratio of lateral strain to axial strain. Strain at failure increases with increasing confining pressure under triaxial compression conditions.2. Rocks can have brittle or ductile behaviour after peak. metamorphic and sedimentary rocks. while soft rock.2.15 and 0.Table 3. such as shale and mudstone. 3. at linearly-elastic region.

Figure 3.. cohesion and internal friction. The low tensile strength is due to the existence of microcracks in the rock.3a Complete stress-strain curves of several rocks showing post peak behaviour (Brady and Brown). The most common tensile strength determination is by the Brazilian tests.4a illustrates the failure mechanism of the Brazilian tensile tests.2. Rock material generally has a low tensile strength. Direct test is not commonly performed due to the difficulty in sample preparation.2. Rock resists shear stress by two internal mechanisms. Cohesion is a measure of internal bonding of the rock material. maximum tensile stress the rock material can withstand. 3.Figure 3. Tensile strength of rock materials can be obtained from several types of tensile tests: direct tensile test.2. to resist deformation due to shear stress.4a Stress and failure of Brazilian tensile tests by RFPA simulation. i.5 Shear Strength Shear strength is used to describe the strength of rock materials. The existence of microcracks may also be the cause of rock failing suddenly in tension with a small strain. . φ. Different rocks have different cohesions and different friction angles. Internal friction is caused by contact between particles.2. Brazilian test and flexure test. and is defined by the internal friction angle.4 Tensile Strength Tensile strength of rock material is normally defined by the ultimate strength in tension. Figure 3.2. 3.e.

By plotting Mohr circles. (a) (b) the peak strength increases. Rocks generally have high compressive strength so failure in pure compression is not common. In general.2. remain brittle at room temperature at confining pressures of up to 1000 MPa or more.3. Tensile and shear strengths are important as rock fails mostly in tension and in shearing.3 MPa in the figure). as shown in Figure 3. the later methods is widely used and accepted. This brittle-ductile transition pressure varies with rock type. peak stresses (σ1) are obtained at various lateral stresses (σ3). e. is known as the brittle-ductile transition pressure. It shows that with increasing confining pressure. .1 Effects of Confining Pressure Figure 4. even the loading may appears to be compression.3.5a.2.1a illustrates a number of important features of the behaviour of rock in triaxial compression. the post-peak drop in stress to the residual strength reduces and disappears at high confining stress. igneous and high grade metamorphic rocks. (c) (d) The confining pressure that causes the post-peak reduction in strength disappears and the behaviour becomes fully ductile (48.g. granite and quartzite. With a series of triaxial tests conducted at different confining pressures.5a Determination of shear strength by triaxial tests. In practice. the shear envelope is defined which gives the cohesion and internal friction angle. Figure 3. there is a transition from typically brittle to fully ductile behaviour with the introduction of plastic mechanism of deformation.3 Effects of Confining and Pore Water Pressures on Strength and Deformation 3. 3..Shear strength of rock material can be determined by direct shear test and by triaxial compression tests. the region incorporating the peak of the axial stress-axial strain curve flattens and widens.

mechanical response is controlled by the effective confining stress (σ3' = σ3 – u). A series of triaxial compression tests was carried out on a limestone with a constant confining pressure of 69 MPa.1a Complete axial stress-axial strain curves obtained in triaxial compression tests on Marble at various confining pressures (after Wawersik & Fairhurst 1970).3. Effect of pore water pressure is only applicable for porous rocks where sufficient pore pressure can be developed within the materials.3.2a Effect of pore pressure on the stress-strain behaviour of rock materials. . For low porosity rocks.3. 3.2 Effects of Pore Water Pressure The influence of pore-water pressure on the behaviour of porous rock in the triaxial compression tests is illustrated by Figure 4.Figure 3.2a. There is a transition from ductile to brittle behaviour as pore pressure is increased from 0 to 69 MPa. but with various level of pore pressure (0-69 MPa).3. In this case. Figure 3. the classical effective stress law does not hold.

.1a. At the same time. The correlation between hardness and strength is shown in Figure 3. Is(50). The correlation is also influenced by the density of the material. 4.5.5. 3.2 Effect of Water Content on Strength Many tests showed that the when rock materials are saturated or in wet condition. the hardness index can be used to estimate uniaxial compressive strength of the rock material. It gives the standard point load index.3 Velocity and Modulus While seismic wave velocity gives a physical measurement of the rock material.4 Other Engineering Properties of Rock Materials 3. it is also used to estimate the elastic modulus of the rock material. Young’s Modulus and Strength. compressional (or longitudinal) P-wave velocity (vp) is related to the elastic modulus E s and the density (ρ) of the material as. calculated from the point load at failure and the size of the specimen. From the theory of elasticity.4.1 Rock Hardness.5.5 Relationships between Physical and Mechanical Properties 3.5. It is a measure of the hardness of the rock material by count the rebound degree. the uniaxial compressive strength is reduced. and Strength Schmidt hammer rebound hardness is often measured during early part of field investigation.5. compared to the strength in dry condition.1a Correlation between hardness.3. Density.1 Point Load Strength Index Point load test is another simple index test for rock material. with size correction to an equivalent core diameter of 50 mm. Figure 3. 3.

.5. Gs is in GPa. It should be noted that the correlation is not precisely linear and also depends on the rock type.If ρ in g/cm3. The value of the seismic modulus is generally slightly higher than the modulus determined from static compression tests.4 Compressive Strength and Modulus It is a general trend that a stronger rock material is also stiffer. but should not be mistaken as the modulus under dynamic compression). seismic Young’s modulus Es can be determined from shear modulus (Gs) and Poisson’s ratio (νs). when density ρ is in g/cm3.e. Figure 3. and vp in km/s. seismic shear modulus Gs may be determined from shear S-wave velocity vs. . higher elastic modulus is often associated with higher strength.4a Correlation between strength and modulus. Seismic Poisson’s ration νs can be determined from.5.4a. Es = 2 Gs (1 + νs) 3. then Es in GPa (109 N/m2). Similarly. It is different from the modules obtained by the uniaxial compression tests. The correlations are presented in Figure 3. Alternatively. There is reasonable correlation between compressive strength and elastic modulus. The elastic modulus estimated by this method is the sometime termed as seismic modulus (also called dynamic modulus. or perhaps on the texture of the rocks.5. i. and S-wave velocity vs is in km/s.

6. the stresses developed on the failure plane are on the strength envelope.6 Failure Criteria of Rock Materials 3. Applying the stress transformation equations or from the Mohr’s circle. a constant cohesion (c) and a normal stress-dependent frictional component. it gives: Coulomb suggested that shear strengths of rock are made up of two parts.1 Mohr-Coulomb criterion Mohr-Coulomb strength criterion assumes that a shear failure plane is developed in the rock material. the Coulomb shear strength criterion τ = c + σn tanφ is represented by a straight line. or In a shear stress-normal stress plot. i. the stresses on the failure plane a-b are the normal stress σn and shear stress τ. Therefore. where c = cohesion and φ = angle of internal friction.1a Stresses on failure plane a-b and representation of Mohr’s circle.1a. Refer to Figure 3.3.6..e. by combining the above three equations. with an intercept c on the τ axis and an angle of φ with .6. When failure occurs. Figure 3.

the failure plane is defined by θ. As assumed. For this reason. as shown in Figure 4. the stress condition on the a-b plane meets the strength envelope. σt′ is about 1/10 σc.1b is extrapolated.the σn axis. This straight line is often called the strength envelope. rock failure starts with the formation of the shear failure plane a-b. the Mohr-Coulomb strength envelope straight line touches (makes a tangent) to the Mohr’s circles. . and θ=¼π+½φ Then Figure 3.6. failure will occur. As seen from the Mohr’s circle. and once the stress condition meet the envelope.1b. a tensile cut-off is usually applied at a selected value of uniaxial tensile stress. the measured values of tensile strength are generally lower than those predicted by the above equation.6. At each tangent point. the uniaxial compressive strength is related to c and φ by: An apparent value of uniaxial tensile strength of the material is given by: However. For most rocks. In another word. If the Mohr-Coulomb strength envelope shown in Figure 4. σt′. Any stress condition below the strength envelope is safe. with tensile cut-off.6. the stress condition on the a-b plane satisfies the shear strength condition.1b Mohr-Coulomb strength envelope in terms of normal and shear stresses and principal stresses. Therefore.

At h i h σ3. due to its simplicity and popularity. It also overestimates tensile strength.6. Griffith extended the theory to the case of applied compressive stresses. Griffith obtained the following criterion for crack extension in plane compression: Figure 3.6. as seen in Figure 4. Then.2a). Assuming that the elliptical crack will propagate from the points of maximum tensile stress concentration (P in Figure 4. 3.The Mohr-Coulomb strength envelope can also be shown in σ1–σ3 plots. .2 Griffith strength criterion Based on the energy instability concept.1b. it overestimates the strength. and or g The Mohr-Coulomb criterion is only suitable for the low range of σ3. so the criterion is widely used.6.2a Griffith crack model for plane compression. rock engineering deals with shallow problems and low σ3. In most cases.6.

6. the above equation becomes It in fact suggests that the uniaxial compressive stress at crack extension is always eight times the uniaxial tensile strength Figure 3. which represents the cohesion. τ = 2σt. When σ3 = 0.3 Hoek-Brown criterion Because the classic strength theories used for other engineering materials have been found not to apply to rock over a wide range of applied compressive stress conditions.2b.2b Griffith envelope for crack extension in compression. The strength envelopes given by the above equations in principal stresses and in normal and shear stresses are shown in Figure 3.6.6. 3. Hoek and Brown (1980) found that the peak triaxial compressive strengths of a wide range of isotropic rock materials could be described by the following equation: or Where m is a parameter that changes with rock type in the following general way: .where σt is the uniaxial tensile strength of the material. One of the most widely used criteria is Hoek-Brown criterion for isotropic rock materials and rock masses. This criterion can also be expressed in terms of the shear stress (τ) and normal stress (σn) acting on the plane containing the major axis of the crack: When σn = 0. a number of empirical strength criteria have been introduced for practical use.

the behaviour of those rocks is anisotropic. It is however very easy to use and select parameters. such as shale and slate. It is also extended to rock masses with the same equation.3a shows normalized Hoek-Brown peak strength envelope for some rocks. It is therefore only the simplest form of anisotropy. It is evident that the Hoek-Brown strength envelope is not a straight line.7. hence makes it is so far the only acceptable criterion for both material and mass. 3. plane of weakness or foliation plane. to be discussed here.1a shows some measured variations in peak principal stress difference with the angle of inclination of the major principal stress to the plane of weakness. are not isotropic.Figure 3. Because of some preferred orientation of fabric or microstructure. .6. or the presence of bedding or cleavage planes. At high stress level. the envelope curves down. so it gives low strength estimate than the MohrCoulomb envelope.7. The peak strengths developed by transversely isotropic rocks in triaxial compression vary with the orientation of the plane of isotropy. but a curve. Figure 3. The Hoek-Brown peak strength criterion is an empirical criterion based on substantial test results on various rocks.6. transverse isotropy. There are several forms of anisotropy with various degrees of complexity.7 Effects of Rock Microstructures on Mechanical Properties 3.1 Strength of rock material with Anisotropy Rocks.3a Normalized peak strength envelope for (i) granites and (ii) sandstones (after Hoek & Brown 1980). Figure 3. with respect to the principal stress directions.

1a can be given by the equation below (Brady & Brown 1985): Where: c w = cohesion of the plane of weakness. β = inclination of the plane.Figure 3. The minimum strength occurs when The corresponding value of principal stress difference is. ϕ w = angle of friction of the plane.7.1a Variation of differential stresses with the inclination angle of the plane of weakness (see Brady & Brown 1985) Analytical solution shows that principal stress difference (σ1–σ3) of a transversely isotropic specimen under triaxial compression shown in Figure 3.7. .

8. Load.9.2 Effect of Loading Rate on Rock Strength 3. the strength is the lowest.8. Two axial and one circumferential deformation measurement devices (LVDTs) are attached to each of the specimen.3 Failure Mechanism of Rock Material under Impact and Shock Loading 3. plotted using the above equation.1b shows variation of σ1 at constant σ3 with angle β. two axial deformations and one circumferential deformation measurements are recorded at every 25 KN interval until failure. φw is about 30° to 50°.1 Rheologic Properties of Rock Materials 3. Uniaxial compressive strength. the rock has the lowest strength. stress and strain relationship. This in fact shows that when the rock containing an existing weakness plane that is about to become a failure plane. intact rock specimens generally fail to form a shear plane at an angle about 60° to 70°. The axial stress is applied with a constant strain rate around 1 μm/s such that failure occurs within 5-10 minutes of loading.7. In compression tests.7.9 Laboratory Testing of Rock Materials 3. The specimen is then compressed under a stiff compression machine with a spherical seating.8. 3. The load is measured by a load transducer. . Young's modules (at 50% of failure stress) and Poisson's ratio (at 50% of failure stress) can be calculated from the failure load.1 Compression Tests (a) Uniaxial Compression Strength Test Specimens of right circular cylinders having a height to diameter ratio of 2 or higher are prepared by cutting and grinding. hence β is about 60° to 70°.Figure 3. Fo r rock s.1b Variation of σ1 at constant σ3 with angle β.8 Time Dependent Characteristics of Rock Materials 3. When the weakness plane is at an angle of 45° + ½ φw. Figure 3.

axial strain curve at a stress level equals to 50% of the ultimate uniaxial compressive strength. specimen dimension. σ c is calculated as the failure load divided by the initial cross sectional area of the specimen.g. Et50% is calculated as the slope of tangent line of axial stress . Two axial and two lateral deformation (or a circumferential deformation if a circumferential chain LVDT device is used).. specimen anisotropy. Figure 3. The axial stress is applied with a constant strain rate arou nd 1 μm/s su ch that failu re occu rs with in 5-15 minutes of loading. modulus of elasticity.Uniaxial compressive strength. (b) Triaxial Compression Strength Test Specimens of right circular cylinders having a height to diameter ratio of 2 or higher are prepared by cutting and grinding. uniaxial compressive strength.9. Poisson's ratio. The . measurement devices are attached to each of the specimen. Poisson's ratio at 50% of uniaxial compressive strength. The specimen is placed in a triaxial cell (e. ν50%. is calculated as: v50% = slope of axial stress − strain curve at 50% of σ c slope of lateral stress − strain curve at 50% of σ c Reporting of results includes description of the rock. density and water content at time of test. The specimen is then further compressed under a stiff compression machine with a spherical seating. Hoek-Franklin cell) and a desired confining stress is applied and maintained by a hydraulic pump. Axial tangential Young's modulus at 50% of uniaxial compressive strength.3a A typical uniaxial compression test set-up with load and strain measurements. stress-strain (axial and lateral) curves to failure. mode of failure.

Young's modules (at 50% of failure stress) and Poisson's ratio (at 50% of failure stress) can be calculated from the axial failure load. specimen dimension. modulus of elasticity. Axial tangential Young's modulus at 50% of triaxial compressive strength. Figure 3. Failure envelopes (Mohr. Et50% is calculated as the slope of tangent line of axial stress . specimen anisotropy. Mohr's stress circle are plotted using confining stress as σ 3 and axial stress as σ 1 . 2 axial strain or deformation and 2 lateral strains or deformation (or a circumferential deformation if a circumferential chain LVDT device is used) are recorded at a fixed interval until failure. σ 1 . . density and water content at time of test. is calculated as the axial failure load divided by the initial cross sectional area of the specimen. For a group of triaxial compression tests at different confining stress level.9. Poisson's ratio at 50% of triaxial compressive strength is calculated with the same methods as for the uniaxial compression test.axial strain curve at a stress level equals to 50% of the ultimate uniaxial compressive strength. Coulomb or Hoek and Brown) and parameters of specified failure criterion are determined. Reporting of results includes description of the rock.load is measured by a load transducer. Triaxial compressive strength. Mohr's circles and failure envelope. Poisson's ratio. mode of failure. stress-strain (axial and lateral) curves to failure.3b Triaxial compression test using Hoek cell. stress and strain relationship. triaxial compressive strength. Triaxial compressive strength. Load.

calculation and the Young’s modulus and the Poisson’s ratio is similar to that for the uniaxial compression test. (b) Brazilian Tensile Strength Test Cylindrical specimen of diameter approximately equals to 50 mm and thickness approximately equal to the radius is prepared. Ten specimens of the same sample shall be tested. due to the difficulty in specimen preparation.9. orientation of the axis of loading with respect to specimen anisotropy. The tensile strength of the rock is calculated from failure load (P). The specimen is wrapped around its periphery with one layer of the masking tape and loaded into the Brazil tensile test apparatus across its diameter. The specimen is then loaded in tension by pulling from the two ends. Deformation modulus can be measured by having strain gauges attached to the specimen.9. Loading is applied continuously at a constant rate such that failure occurs within 15-30 seconds. rock specimen is to be prepared in dog-bone shape with a thin middle.4b Brazilian tensile test. End faces shall be flat to within 0. test duration and loading rate. water content and degree of saturation.4 Tensile Tests (a) Direct Tension Test Direct tension tests on rock materials are not common. For direct tension test. mode of failure.9.3.636 P Dt Reporting of results includes description of the rock.5 Shear Strength Tests . 3.25°. specimen diameter (D) and specimen thickness (t) by the following formula: σT = − 0.25 mm and square and parallel to within 0. Figure 3. The cylindrical surfaces should be free from obvious tool marks and any irregularities across the thickness.

based on the MohrCoulomb criterion. as typically shown in the figure below. rock core is cut to a height between 0.(a) Direct Punch Shear (b) Shear Strength Determination by Triaxial Compression Results Shear strength parameters. Cohesion c and friction angle ‘φ’ can be computed by solving the equations. forming a series circles. a series equation can be formed for sets of σ 1 and σ 1 . For De ≠ 50 mm. The point load strength is corrected to the point load strength at equivalent core diameter of 50 mm. The Mohr’s circle can be plotted for a series of triaxial tests results with σ 1 at different σ 3 .6 Point Load Strength Index Test Point load test of rock cores can be conducted diametrically and axially. cohesion (c) and international friction angle (φ) can be determined from triaxial compression test data.0. Alternatively. Load at failure is recorded as P.9. is given by: for diametrical test. De2 = D 2 for axial.5 D to D and is loaded between the point load apparatus axially.I s 0. the "equivalent core diameter". The angle of the line to the horizontal is the internal friction angle φ. A straight line is draw to fit best by tangent to all the Mohr’s circles. is calculated as: De where De . In diametrical test. For axial test. the size correction factor is: Is = P 2 D F = e   50    The corrected point load strength index I s (50 ) is calculated as: I s (50 ) = F . = 4A / π A = H D = minimum cross sectional area of a plane through the loading points. rock core specimen of diameter D is loaded between the point load apparatus across its diameter. The line represents the shear strength envelope. Is. The length/diameter ratio for the diametrical test should be greater than 1. 3. and the intercept at τ axis is the cohesion c. block and lump tests.45 . Uncorrected point load strength.

If the hammer is point to horizontal and upward.Figure 3. The reading gives directly the Schmidt hammer hardness value. The hammer is released and reading on the hammer is taken.7a Measuring P and S wave velocity in a rock specimen. The standard Schmidt hardness number is taken when the hammer is point vertically down. 3.9. The transmitter and the receiver are positioned at the ends of specimen and the pulse wave travel time is measured.6a Point load test. 3. The velocity is calculated from dividing the length of rock sample by wave travel time. It is suggest to omit 2 lowest and 2 highest reading. transmitter and receiver transducers are used for sonic pulse velocity measurement.9. . The length is measured. At least 20 tests should be conducted on any one rock specimen. Figure 3. The Schmidt hammer is point perpendicularly and touch the surface of rock. correction is needed to add to the number from the hammer.8 Hardness (a) Schmidt Hammer Rebound Hardness A Schmidt hammer with rebound measurement is used for this test. An ultrasonic digital indicator consist a pulse generator unit.9. Both P-wave and S-wave velocities can be measured. and to use the remaining reading for calculating the average hardness value.9.7 Ultrasonic wave velocity Cylindrical rock sample is prepared by cutting and lapping the ends.

9. It consists of a vice for holding rock sample (1).9. fitting into a holder (5). 3.10a Cerchar abrasivity test West apparatus (West 1989). The sample is placed in the test drum of 2 mm standard mesh cylinder of 100 mm long and 140 mm in diameter with .9. To determine the CAI value the rock is slowly displaced by 10 mm with a velocity of approximately 1 mm/s.9.10 Abrasivity (a) Cerchar Abrasivity Test The Cerchar abrasivity test is an abrasive wear with pressure test . Figure 3. CAI = 10 −2 d where ‘d’ is the wear flat diameter of the stylus tip in μm. It was proposed by the Laboratoire du Centre d’Etudes et Recherches des Charbonnages (Cerchar) in France. loaded on the surface of the rock sample. A steel stylus (4). roughly spherical in shape with corners rounded during preparation. 3.Figure 3.9. The abrasiveness of the rock is then obtained by measuring the resulting wear flat on the tip of the steel stylus. The CAI value is calculated as. The testing apparatus is featured in Figure 3. A dead weight (6) of 70 N is applied on the stylus. Displacement of the vice (1) is measured by a scale (3). which can be moved across the base of the apparatus by a hand wheel (2) that drives a screwthread of pitch 1 mm /revolution turning.10a.8a Schmidt hammer rebound hardness test.12 Slake Durability Test Select representative rock sample consisting of 10 lumps each of 40-60g.

to a level 20 mm below the drum axis.12a Slake durability test.12a). and the drum is rotated at 20 rpm for 10 minutes (Figure 3. C−D Slake-durability index. Slake-durability index. The slake-durability index is taken as the percentage ratio of final to initial dry sample masses after to cycles. The drum is brushed clean and its mass is recorded (Mass D). The sample and drum is placed in trough which is filled with slaking fluid. The drum and sample are removed from trough and oven dried to a constant mass at 105°C without the lid. I d 2 = × 100% A− D The first cycle slake-durability index should be calculated when I d 2 is 0-10%. usually tap water at 20°C. Figure 3.12a Slake Durability Classification = .solid removable lid and fixed base.9. and is dried to a constant mass at 105°C. The mass of drum and sample is recorded (Mass A). B−D × 100% A− D Table 3.9. The mass of the drum and sample is recorded after cooling (Mass B).9. The slaking and drying process is repeated and the mass of the drum and sample is recorded (Mass C).

in methods used to stimulate and capture AE in a controlled fashion for study and/or use in inspection. typically takes place between 100 kHz and 1 MHz. such as mechanical loading. Figure Two fundamental cases of stress application (a) and (b). generate sources of elastic waves. AE occurs when a small surface displacement of a material is produced. This occurs due to stress waves generated when there is a rapid release of energy in a material. The wave generated by the AE source. and temporal variations of strain ( ε ) and the frequency (n) of AE events in these cases .Special Note AE Activity in rocks under compression The term acoustic emission (AE) is widely used to denote the phenomenon in which a material or structure emits elastic waves of shock type and sometimes of continuous type caused by the sudden occurrence of fractures or frictional sliding along discontinuous surfaces. quality control. or on its surface. of practical interest. system feedback. Acoustic Emission (AE) is a naturally occurring phenomenon whereby external stimuli. process monitoring and others. The application of AE to nondestructive testing of materials in the ultrasonic regime. or.

Figure Temporal variations of number of AE events and axial strain ( ε 1 ), lateral strain  ∆V  ( ε θ ) and non-elastic volumetric strain (    V  ne

CHAPTER 6 ROCK MASS CLASSIFICATION
Rock mass property is governed by the properties of intact rock materials and of the discontinuities in the rock. The behaviour if rock mass is also influenced by the conditions the rock mass is subjected to, primarily the in situ stress and groundwater. The quality of a rock mass quality can be quantified by means of rock mass classifications. This Chapter addresses rock mass properties and rock mass classifications. 6.1 Rock Mass Properties and Quality 6.1.1 Properties Governing Rock Mass Behaviour Rock mass is a matrix consisting of rock material and rock discontinuities. As discussed early, rock discontinuity that distributed extensively in a rock mass is predominantly joints. Faults, bedding planes and dyke intrusions are localised features and therefore are dealt individually. Properties of rock mass therefore are governed by the parameters of rock joints and rock material, as well as boundary conditions, as listed in Table 6.1.1a. Table 6.1.1a Prime parameters governing rock mass property

The behaviour of rock changes from continuous elastic of intact rock materials to discontinues running of highly fractured rock masses. The existence of rock joints and other discontinuities plays important role in governing the behaviour and properties of the rock mass, as illustrated in Figure 6.1.1a. Chapter 4 has covered the properties of intact rock materials, and Chapter 5 has dealt with rocks contains 1 or 2 localised joints with emphasis on the properties of joints. When a rock mass contains several joints, the rock mass can be treated a jointed rock mass, and sometimes also termed a Hoek-Brown rock mass, that can be described by the Hoek-Brown criterion (discussed later). 6.1.2 Classification by Rock Load Factor (Terzaghi 1946) Based in extensive experiences in steel arch supported rail tunnels in the Alps, Terzaghi (1946) classified rock mass by mean of Rock Load Factor. The rock mass is classified into 9 classes from hard and intact rock to blocky, and to squeezing rock. The concept used in this classification system is to estimate the rock load to be carried by the steel arches installed to support a tunnel, as illustrated in Figure 6.1.2a. The classification is presented by Table 6.1.2a.

Figure 6.1.2a Terzaghi’s rock load concept. For obtaining the support pressure (p) from the rock load factor (Hp), Terzaghi suggested the equation below, p = Hp γ H where γ is the unit weight of the rock mass, H is the tunnel depth or thickness of the overburden. Attempts have been made to link Rock Load Factor classification to RQD. As suggested by Deere (1970), Class I is corresponding to RQD 95-100%, Class II to RQD 90-99%, Class III to RQD 85-95%, and Class IV to RQD 75-85%. Singh and Goel (1999) gave the following comments to the Rock Load Factor classification: (a) It provides reasonable support pressure estimates for small tunnels with diameter up to 6 metres. It gives over-estimates for large tunnels with diameter above 6 metres. The estimated support pressure has a wide range for squeezing and swelling rock conditions for a meaningful application.

(b) (c)

6.1.3 Classification by Active Span and Stand-Up Time (Stini 1950, Lauffer 1958) The concept of active span and stand-up time is illustrated in Figure 6.1.3a and Figure 6.1.3b. Active span is in fact the largest dimension of the unsupported tunnel section. Stand-up time is the length of time which an excavated opening with a given active span can stand without any mean of support or reinforcement. Rock classes from A to G are assigned according to the stand-up time for a given active span. Use of active span and stand-up time will be further discussed in later sections.

1.3b Relationship between active span and stand-up time and rock mass classes (Class A is very good and Class G is very poor) Table 6.1.3a Definition of active span. Figure 6.1.2a Rock class and rock load factor classification by Terzaghi for steel arch supported tunnels .Figure 6.

6.4 Rock Quality Designation (RQD) (Deere 1964) .1.

1 Concept of RMR System (1973. It does not account for the strength of the rock or mechanical and other geometrical properties of the joints.Rock quality designation (RQD) was introduced in 1960s.1. Condition of joints: Condition includes joint aperture.2a reproduces the proposed expression of rock mass quality classification according to RQD. Spacing of joints: Average spacing of all rock discontinuities is used. Table 6. As discussed earlier. RQD partially reflects on the rock mass quality. (a) Strength of intact rock material: Uniaxial compressive strength is preferred.2 Rock Mass Rating – RMR System 6. joint surface weathering and alteration. close associated with excavation for the mining industry (Bieniawski 1973).1a is the RMR classification updated in 1989. including the RMR and the Q systems. Table 6. persistence. roughness. (b) (c) (d) (e) Table 6.2.2. point load index is acceptable. RQD: RQD is used as described before.1. 6. Groundwater conditions: It is to account for groundwater inflow in excavation stability. as an attempt to quantify rock mass quality. His parameter has been used in the rock mass classification systems. Originally. and presence of infilling.2a Rock mass quality classification according to RQD RQD has been widely accepted as a measure of fracturing degree of the rock mass. Part A of the table shows the RMR classification with the above 5 parameters. RQD only represents the degree of fracturing of the rock mass. Therefore. 1989) The rock mass rating (RMR) system is a rock mass quality classification developed by South African Council for Scientific and Industrial Research (CSIR). Individual rate for each parameter is . For rock of moderate to high strength. this geomechanics classification system incorporated eight parameters. The RMR system in use now incorporates five basic parameters below.

Influence of joint orientation on the stability of excavation is considered in Part B of the same table.2. The weight of each parameter has already considered in the rating.2.obtained from the property of each parameter.2. RMR was applied to correlate with excavated active span and stand-up time. With adjustment made to account for joint orientation.1b. The table also gives the meaning of rock mass classes in terms of stand-up time. equivalent rock mass cohesion and friction angle. Table 6. it can be also expresses in rock mass class. as shown in Table 6. as shown in Figure 6. for example.1a. This correlation allow engineer to estimate the stand-up time for a given span and a given rock mass. Explanation of the descriptive terms used is given table Part C. a final RMR rating is obtained. maximum rating for joint condition is 30 while for rock strength is 15. The overall basic RMR rate is the sum of individual rates.1b Rock mass classes determined from total ratings and meaning .

.

Selection of RMR parameters and calculation of RMR are shown below: . the tunnel is excavated to 150 m below the ground where no abnormal high in situ stress is expected.2. the excavation surface is wet but not dripping. average rock material uniaxial compressive strength is 160 MPa.1a Stand-up time and RMR quality 6.24 m. tightly closed and unweathered with occasional stains observed. joint surfaces are generally stepped and rough.2.2 Examples of using RMR System (a) A granite rock mass containing 3 joint sets.Figure 6. average joint spacing is 0. average RQD is 88%.

RQD is given and from the relationship between RQD and joint frequency.The calculated basic RMR is 76.32 Joint water pressure / In situ stress Selection of RMR parameters and calculation of RMR are shown below: The calculated basic RMR is 52. joint spacing is not provided. Since there is no indication of in situ stress ratio. Here. (c) A highly fractured siltstone rock mass. joint surfaces are slightly rough. In the above information. (b) A sandstone rock mass. average rock material uniaxial compressive strength is 65 MPa. It falls in rock class B which indicates the rock mass is of good quality.7) 0. average RQD is 41%. overburden stress is taken as the major in situ stress as an approximation. highly weathered with stains and weathered surface but no clay found on surface. and are highly weathered. The tunnel is at 220 m below ground. fractured by 2 joint sets plus random fractures. average rock material uniaxial compressive strength is 85 MPa. joints appears continuous observed in tunnel. filled with clay. joint are separated by about 3-5 mm. average joint spacing is 0. inflow per 10 m tunnel length is observed at approximately 50 litre/minute. groundwater parameter is not directly given. with the equation below. It falls in rock class C which indicates the rock mass is of fair quality. average RQD is 70%. . Joint water pressure = In situ stress = groundwater pressure = Overburden pressure = = = 70 m × γw 80 m × γ (70 × 1)/(80× 2.11 m. but given in terms of groundwater pressure of 70 m water head and overburden pressure of 80 m ground. joint surfaces are slickensided and undulating. However. it is possible to calculate average joint spacing. found to have 2 joint sets and many random fractures. with considerable outwash of joint fillings. joints are generally in contact with apertures generally less than 1 mm. the tunnel is to be excavated at 80 m below ground level and the groundwater table is 10 m below the ground surface.

which gives average joint spacing 0. SMR value is obtained by adjust RMR value with orientation and excavation adjustments for slopes.3 Extension of RMR – Slope Mass Rating (SMR) The slope mass rating (SMR) is an extension of the RMR system applied to rock slope engineering.αs|. Closest match and approximation is to be used to determine each of the RMR parameter rating. i.3a. Judgement often is needed to interpret the information given in the geological and hydrogeological investigation reports and in the borehole logs to match the descriptive terms in the RMR table..05 m Selection of RMR parameters and calculation of RMR are shown below: The calculated basic RMR is 34. Details on rock slope analysis and engineering including excavation methods and support and stabilisation will be covered in a later chapter dealing slope engineering.1λ (0. .sin A)2 and A = angle between the strikes of the slope and the joint = |αj . Table 6.3b gives the classification category of rock mass slope. 6.1λ +1) (where λ is the mean number of discontinuities per meter) Joint frequency is estimated to be 20. It falls in rock class D which indicates the rock mass is of poor quality.2. F2 and F3 are given in Table 6.e.RQD = 100 e–0.2.2. SMR = RMR + (F1⋅F2⋅F3) + F4 where F1 = (1 .0 Value of F1. F2 = (tan βj)2 B = joint dip angle = βj. F2 = 1. For topping.

2.3.3a Classification of Rock Slope according to SMT 6. F3 and F4 for joints Table 6.1 Concept of the Q-System The Q-system was developed as a rock tunnelling quality index by the Norwegian Geotechnical Institute (NGI) (Barton et al 1974).3 Rock Tunnel Quality Q-System 6. F2. The numerical value of this index Q is defined by: RQD is the Rock Quality Designation measuring the fracturing degree. and is an index for the determination of the tunnelling quality of a rock mass. The system was based on evaluation of a large number of case histories of underground excavation stability.3a Adjustment rating of F1. Jr is the joint roughness number .Table 6. Jn is the joint set number accounting for the number of joint sets.2.

1a.1a.3. and SRF is the stress reduction factor indicating the influence of in situ stress.1c. alteration and filling.3. Q value is applied to estimate the support measure for a tunnel of a given dimension and usage.3. The classification system gives a Q value which indicates the rock mass quality. Ja is the joint alteration number indicating the degree of weathering. Jw is the joint water reduction factor accounting for the problem from groundwater pressure.3. Equivalent dimension is used in the figure and ESR is given in Table 6. Table 6.1a Rock mass classification Q system . Q value is considered as a function of only three parameters which are crude measures of: (a) (b) (c) Block size: Inter-block shear strength Active stress RQD / Jn Jr / Ja Jw / SRF Parameters and rating of the Q system is given in Table 6. as shown in Figure 6.3.1b. shown in Table 6.accounting for the joint surface roughness.

quantities of swelling clays .

.

1b Rock mass quality rating according to Q values .3.Table 6.

3.1a Support design based on Q value Table 6.3.3.Figure 6.2 Examples of Using the Q-System .1c Excavation Support Ratio (ESR) for various tunnel categories 6.

average joint spacing is 0. joint surfaces are slightly rough. and the rock mass is classified as good quality. average joint spacing is 0.11 m. average rock material uniaxial compressive strength is 65 . average RQD is 88%. joint surfaces are slickensided and undulating. the excavation surface is wet but not dripping. the tunnel is to be excavated at 80 m below ground level and the groundwater table is 10 m below the ground surface. average rock material uniaxial compressive strength is 160 MPa. joints are generally in contact with apertures generally less than 1 mm. highly weathered with stains and weathered surface but no clay found on surface.(a) A granite rock mass containing 3 joint sets. found to have 2 joint sets and many random fractures. Selection of Q parameters and calculation of Q-value are shown below: The calculated Q-value is 4. joint surfaces are generally stepped and rough. (c) A highly fractured siltstone rock mass. joint are separated by about 3-5 mm. joints appears continuous observed in tunnel. filled with clay.24 m. and the rock mass is classified as fair quality. average rock material uniaxial compressive strength is 85 MPa. average RQD is 70%. and are highly weathered. the tunnel is excavated to 150 m below the ground where no abnormal high in situ stress is expected. fractured by 2 joint sets plus random fractures. (b) A sandstone rock mass. average RQD is 41%. tightly closed and unweathered with occasional stains observed. Selection of Q parameters and calculation of Q-value are shown below: The calculated Q-value is 29.4.

The tunnel is at 220 m below ground. judgement is frequently needed to interpret the descriptions given in the geological and hydrogeological investigation reports and in the borehole logs to match the descriptive terms in the Q table. . The abrasive or nonabrasive nature of the rock is incorporated via the cutter life index (CLI). q is the quartz content (%) in rock mineralogy. Again. together with the rock material strength. and σθ is the induced biaxial stress (MPa) on tunnel face in the same zone. Selection of Q parameters and calculation of Q-value are shown below: The calculated Q-value is 0. 20 in the CLI term and 5 in the σθ term are normalising constants. and SRF ratings are the same parameters in the original Q-system. Jr. Ja. with considerable outwash of joint fillings. and the rock mass is classified as very poor quality. CLI is the cutter life index. The constants 20 in the σm term. Rock stress level is also considered. The new parameter QTBM is to estimate TBM performance during tunnelling. The method is based on the Q-system and average cutter force in relations to the appropriate rock mass strength. Orientation of joint structure is accounted for. Jw.85. F is the average cutter load (ton) through the same zone. inflow per 10 m tunnel length is observed at approximately 50 litre/minute.MPa. 6.3 Extension of Q-System – QTBM for Mechanised Tunnelling Q-system was extended to a new QTBM system for predicting penetration rate (PR) and advance rate (AR) for tunnelling using tunnel boring machine (TBM) in 1999 (Barton 1999).3. Closest match and approximation is to be used to determine each of the Q parameter rating. σm is the rock mass strength (MPa) estimated from a complicated equation including the Q-value measured in the tunnel direction. Jn. The components of the QTBM are as follows: where RQD0= RQD (%) measured in the tunnelling direction.

Rock mass classification systems. In general. as GSI was initiated to be a tool to estimate rock mass strength with the Hoek-Brown strength criterion. It appears that the correlation between QTBM and Advanced Rate is not consistent and varies with a large margin. such as sheared zones. Parameters in those rock mass classifications were related to support design. they were not selected to describe rock mass boreability. simple block size description does not include geological structural features. The original rock mass classifications are independent of TBM characteristics.4.1 GSI System The Geological Strength Index (GSI) was introduced by Hoek in 1994. were intended to classify rock mass quality to arrive a suitable support design.2. the emphasis is obviously not be justified. It was aimed to estimate the reduction in rock mass strength for different geological conditions.4 Geological Strength Index GSI System and Others 6.1a. GSI does not include the parameter of rock strength. such as folds and shear zones. 6. penetration decreases. Rock mass structure given in the chart is general description and there may be many cases that does not directly match the description. when developed. The system gives a GSI value estimated from rock mass structure and rock discontinuity surface condition. Although it was not aimed at to be a rock mass classification. the following equivalent between rock mass structural descriptions of blocky to the block size description is suggested below. The use of GSI requires careful examination and understanding of engineering geological features of the rock mass.The experiences on the application of QTBM vary between projects. the GSI value does in fact reflect the rock mass quality. GSI system has been modified and updated in the recent years.4. This system is presented in Tables 6. The systems were not meant for the design of excavation methodology. Example of using the QTBM is given in Figure 6. including RMR and Q. In general. The direct application of GSI value is to estimate the parameters in the Hoek-Brown strength criterion for rock masses. with increasing of rock mass quality. However. while penetration however is a result of interaction between rock mass properties and TBM machine parameters (Zhao 2006).3a. In the Hoek-Brown . Although QTBM has added a number of parameters to reflect cutting force and wear. very poor rock mass does not facilitate penetration. mainly to cover more complex geological features. However.

criterion. However. The use of GSI to estimate rock mass strength is given later in the section dealing with rock mass strength.1b. based on the correlation between RMR and GSI Table 6. it is suggested that GSI can be related to RMR (GSI = RMR – 5). for reasonable good quality rock mass. An approximate classification of rock mass quality and GSI is suggested in Table 6. GSI system did not suggest a direct correlation between rock mass quality and GSI value. rock material uniaxial strength is used as a base parameter to estimate rock mass uniaxial strength as well as triaxial strengths of rock material and rock mass.4.1a Geological Strength Index (GSI) .4.

highly weathered with stains and weathered surface but no clay found on surface. found to have 2 joint sets and many random fractures. The tunnel is at 220 m below ground. with the same rock masses used previously to estimate RMR and Q. (b) A sandstone rock mass. and Joint Surface Condition is very good. average joint spacing is 0.1b Rock mass classes determined from GSI 6.2 Examples of Using the GSI System Examples of estimating GSI is given below.Table 6. and Joint Surface Condition is very poor. Rock Mass Structure for the above sandstone is very blocky. joints appears continuous observed in tunnel. The rock mass is classified as very poor to poor quality. joints are generally in contact with apertures generally less than 1 mm. Therefore GSI is 40±5. . average rock material uniaxial compressive strength is 160 MPa. joint surfaces are generally stepped and rough. The rock mass is classified as good to very good quality. the excavation surface is wet but not dripping. Refer to the GSI chart. average RQD is 70%. average rock material uniaxial compressive strength is 65 MPa. joint are separated by about 3-5 mm. Therefore GSI is 20±5. The rock mass is classified as fair quality.4. with considerable outwash of joint fillings. average joint spacing is 0. inflow per 10 m tunnel length is observed at approximately 50 litre/minute.4. Refer to the GSI chart.24 m. Therefore GSI is 75±5. the tunnel is to be excavated at 80 m below ground level and the groundwater table is 10 m below the ground surface. average RQD is 88%. Rock Mass Structure for the above granite is blocky. and Joint Surface Condition is fair to poor. tightly closed and unweathered with occasional stains observed. filled with clay. average RQD is 41%. Rock Mass Structure for the above siltstone is blocky /folded/ faulted. fractured by 2 joint sets plus random fractures. (c) A highly fractured siltstone rock mass. joint surfaces are slickensided and undulating. the tunnel is excavated to 150 m below the ground where no abnormal high in situ stress is expected. joint surfaces are slightly rough. Refer to the GSI chart. average rock material uniaxial compressive strength is 85 MPa. (a) Granite rock mass containing 3 joint sets. and are highly weathered.11 m.

.3a shows the comparison and correlation between RMR and Q.It is advised that while selecting an average value of GSI.3 Correlation and Comparison between Q. and average of A is 44. it is perhaps better to select a range of the GSI value for that rock mass.4. 6. Q and GSI from the above three examples are given below. RMR = 9 lnQ + A A varies between 26 and 62.4. Figure 6. Summary of RMR. RMR and GSI Correlation between Q and RMR are found to be.3a Correlation between RMR and Q values.4. Figure 6.

. and without adjustment for joint orientation.3 Other Classification Systems Several other classification approaches have been proposed.Several other correlation equations have been proposed. It should be noted that each classification uses a set of parameters that are different from other classifications. one of which is: RMR = 13. SRF = 1 for σc/σ1 = 10~200. Another application of N number is to the rock squeezing condition. a few will be briefly discussed due to their unique application in certain aspect.4. They are all in the general form of semi-log equation. the value of GSI can be related to Rock Mass Rating RMR value as. GSI = RMR – 5 RMR is the basic RMR value by setting the Groundwater rating at 15 (dry).. normal condition. N Rock Mass Number (N) is the rock mass quality Q value when SRF is set at 1 (i.25 to 5 MPa yield the same SRF value. . For that reason. It has been noticed that SRF in the Q-system is not sensitive in rock engineering design.5 logQ +43. (a) Rock Mass Number. N can be computed as. i.e. Squeezing has been noted in the Q-system but is not sufficiently dealt.e. for a rock with σc = 50 MPa. For generally competent rock masses with GSI > 25. the value of RMR is very difficult to estimate and the correlation between RMR and GSI is no longer reliable. in situ stresses of 0. RMR classification should not be used for estimating the GSI values for poor quality rock masses. Consequently. The use of N in squeezing rock mass classification will be presented in a later section in this chapter. The importance of in situ stress on the stability of underground excavation is insufficiently represented in the Q-system. In section. due to the special behaviour and nature of the squeezing ground. 6. For example. the value assign to SRF cover too great range. estimate the value of one classification from another is not advisable. N = (RQD/Jn) (Jr/Ja) (Jw) This system is used because the difficult in obtaining SRF in the Q-system. For very poor quality rock masses. stress reduction is not considered).

(b) Rock Mass Index. namely. Jp = 1 for a intact rock. Jp = 0 for a crushed rock masses. In another word. and Jp is the jointing parameter accounting for 4 joint characteristics. RMi Rock Mass Index is proposed as an index characterising rock mass strength as a construction material. The Hoek-Brown criterion for rock mass is described by the following equation: or . a rock mass of good quality (strong rock. It is calculated by the following equation.2 Hoek-Brown Strength Criterion of Rock Mass Hoek and Brown criterion discussed in Chapter 4 is not only for rock materials. It is also applicable to rock masses (Figure 6. joint alteration and joint size.5 Rock Mass Strength and Rock Mass Quality 6. joint density (or block size). the mechanical properties of a rock mass are also related to the quality of the rock mass. joint roughness. Jp is in fact a reduction factor representing the effects of jointing on the strength of rock mass. few joints and good joint surface quality) will have a higher strength and high deformation modulus than that of a poor rock mass.5.1 Strength of Rock Mass As discussed earlier.2a). 6. RMi = σc Jp where σc is the uniaxial compressive strength of the intact rock material.5. 6. strength and deformation properties of a rock mass are much governed by the existence of joints. In general.5.

In the generalised Hoek-Brown criterion. i.5.2a gives an earlier suggestion of mb and s values. σci is consistently referred to the uniaxial compressive strength of intact rock material in the Hoek-Brown criterion for rock material and for rock mass. .5. Constants mb and s are parameters that changes with rock type and rock mass quality. σ1 is the strength of the rock mass at a confining pressure σ3. Parameter a is generally equal to 0. The HoekBrown criterion for intact rock material is a special form of the generalised equation when s =1 and a = 0.2a Applicability of Hoek-Brown criterion for rock material and rock masses.5. Note in the Hoek-Brown criterion. mb becomes mi.5.e. The equation above is the generalised Hoek-Brown criterion of rock mass. For intact rock.Figure 6. σci is the uniaxial strength of the intact rock in the rock mass. Table 6..

.Brown constants Development and application of the Hoek-Brown criterion lead to better definition of the parameters mb and s.2a Relation between rock mass quality and Hoek. Table 6.Table 6.5. according to different rocks.2b presents the latest definition of mi values for the intact rock materials.5.

rock masses of good to reasonable quality. Once the Geological Strength Index has been estimated.5. the value of mi should be calculated from the test results. . and a = 0.5. i. the parameters which describe the rock mass strength characteristics. and a in the Hoek-Brown criterion is no longer equal to 0. For GSI > 25.2b Values of constant mi for intact rock in Hoek-Brown criterion The values in the above table are suggestive. s = 0.e.e. rock masses of very poor quality. variation of mi value for each rock can be as great as 18. If triaxial tests have been conducted. Value of a can be estimated from GSI by the following equation.Table 6. are calculated as follows. i.5 For GSI < 25. As seen from the table. the original Hoek-Brown criterion is applicable with.

it gives the uniaxial compressive strength as. From the mi table. Uniaxial compressive strength of the rock mass is. (b) Sandstone rock mass. mi given for granite is approximately 32. (a) Granite rock mass. although in practice. mi given for sandstone is approximately 17. . From the mi table. with material uniaxial strength 85 MPa. the uniaxial compressive strength of the rock masses equal to zero. with material uniaxial strength 150 MPa. Clearly. Example of using the Hoek-Brown equation to determine rock mass strength is given below by the same three examples used for determining the rock mass qualities RMR. Calculation in the example uses average values only. range of values should be used to give upper and lower bounds.Uniaxial compressive strength of the rock mass is the value of σ1 when σ3 is zero. when σ3 = 0. Q and GSI. mean GSI 75. when σ3 = 0. The Hoek-Brown equation for the granite rock mass is. mean GSI 40. for rock masses of very poor quality. From the Hoek-Brown criterion.

In situ rock mass modulus (Em) can be estimated from the Q and the RMR systems. The better rock mass quality gives high rock mass strength. Q < 0. From the mi table. or GSI < 25. mi given for siltstone is approximately 7. .Similarly the uniaxial compressive strength is.2a and the Hoek-Brown criterion relating GSI. with material uniaxial strength 65 MPa. mean GSI 20.e. Attempts have also been made to correlated deformation modulus of the rock mass with rock mass quality. the rock mass strength is close to the strength of intact rock material. RMR < 23. i.1. (c) Siltstone rock mass.5..4 Correlations between Rock Mass Quality and Mechanical Properties Correlations between rock mass strength and rock mass quality are reflected in Table 6. Similarly the uniaxial compressive strength is. When the rock mass is very poor. 6. the rock mass has very low uniaxial compressive strength close to zero. in the equations below.5. When the rock mass is solid and massive with few joints.

The above Em-RMR equations are generally for competent rock mass with RMR greater than 20. where c and φ can be readily calculated. Then plotting the Mohr circle using the generated σ1–σ3 data and fitting with the best linear envelope. where c and φ can be readily calculated Common problems were there is no or limited test results on rock mass. The Em-GSI equation indicates that modulus Em is reduced progressively as the value of σci falls below 100. the line should be fitting best for the . For rock mass with σci < 100 MPa. obviously test results should be used directly to obtain parameters c and φ. plotting the Mohr circle and fitting with the best strength envelope. For a tunnel problem. the input for a design software or numerical modelling required for rock masses are in terms of MohrCoulomb parameters c and φ. Often. If a series tests have been conducted on the rock mass. 6.4 Relationship between Hoek-Brown and Mohr-Coulomb Criteria There is no direct correlation between the linear Mohr-Coulomb Criterion and the nonlinear Hoek-Brown Criterion defined by the two equations. the equation is obtained by substituting GSI for RMR in the original Em-RMR equation. For poor rocks. At the same time. for poorer quality rock masses.5. Attempts have been made by Hoek and Brown to estimate c and φ from the Hoek-Brown equation. they caution the user that is a major problem to obtain c and φ from the Hoek-Brown equation. It depends on the stress region of the engineering application. if the depth and stress range is known. the equation below has been proposed. The suggested approach to obtain rock mass Mohr-Coulomb parameters c and φ is by generate a series σ1–σ3 results by the Hoek-Brown equation. the deformation of the intact rock pieces contributes to the overall deformation process. Care must be taken when deciding the ‘best’ linear line in fitting the Mohr circles. This reduction is based upon the reasoning that the deformation of better quality rock masses is controlled by the discontinuities while. using for example.

Closure rate reduces with time. where H is in metres. i. Squeezing condition may occur above the line. Squeezing may continue for years in exceptional cases.2a. As shown in Figure 6. by the conditions below. say. Squeezing may occur at shallow depths in weak and poor rock masses such as mudstone and shale..e.6.6 Squeezing Behaviour of Rock Mass 6.e. pore pressure needs to be considered as this affects the effective stress level. i. Rock masses of competent rock of poor rock mass quality at great depth (under high cover) may also suffer from squeezing.Mohr circles in that stress region. (i) (ii) (iii) Mild squeezing: closure Moderate squeezing: closure High squeezing: closure 1-3% of tunnel diameter. H < 350 Q1/3. Behaviour of rock squeezing is typically represented by rock mass squeezes plastically into the tunnel and the phenomenon is time dependent.6.6. the stress region may vary from 0 to some level of stress. H > 350 Q1/3. and is essentially associated with creep caused by exceeding shear strength. Deformation may terminate during construction or may continue over a long time period. Usually the rate is high at initial stage.2 Squeezing Estimation by Rock Mass Classification Based on case studies. For a slope problem. Below the line. 6. which occurs around a tunnel and other underground openings. Also.1 Squeezing Phenomenon ISRM (Barla 1995) defines that squeezing of rock is the time dependent large deformation. 3-5% of tunnel diameter. 6. squeezing may be identified from rock class classification Q-value and overburden thickness (H). several centimetres of tunnel closure per day for the first 1-2 weeks of excavation. the division between squeezing and non-squeezing condition is by a line H = 350 Q1/3. moderate and high. and the fitting a line at low stress level (where the curvature is the greatest for the non-linear Hoek-Brown strength envelope) is very sensitive to the stress level. The degree of squeezing often is classified to mild. . Rate of squeezing depends on the degree of over-stress.. the ground condition is generally non-squeezing. > 5% of tunnel diameter.

As discussed in the previous section.Figure 6. The parameters allow one to separate in situ stress effects from rock mass quality. Where H is the tunnel depth or overburden in metres and B is the tunnel span or diameter in metres. N is the Q-value when SRF is set to be 1. the line separating non-squeezing from squeezing condition is.2a Predicting squeezing ground using Q-value Another approach predicting squeezing is by using the Rock Mass Number (N). From Figure 6. In situ stress. . which is the external cause of squeezing is dealt separated by considering the overburden depth.6.2b.6.

squeezing conditions around a tunnel opening can occur when. Px is the in situ stress in the tunnel axis direction.1.6. Squeezing may not occur in hard rocks with high values of parameter A. σcm is the uniaxial compressive strength of the rock mass.1 < H < (450 N1/3) B–0. It is also possible to characterise the degree of squeezing base on the same figure. The above equation can be written in the form below for a circular tunnel under hydrostatic in situ stress field.1 High squeezing occurs when H > (630 N1/3) B–0. Mild squeezing occurs when (275 N1/3) B–0. σθ > Strength = σcm + Px A/2 where σθ is the tangential stress at the tunnel opening.2b Squeezing ground condition is presented by: H > (275 N1/3) B–0.1 < H < (630 N1/3) B–0. with overburden stress P. P=γH.1 Moderate squeezing occurs when (450 N1/3) B–0.Figure 6.1. and A is a rock parameter proportion to friction. Theoretically. .

g.6. Table 6. Studies carried out by Hoek (2000) indicate that squeezing can in fact start at rock mass strength / in situ stress ratio of 0.2a.ISRM classifies squeezing rock mass and ground condition in Table 6. The prediction curve was compared with tunnel squeezing case histories. Uniaxial compressive strength of the rock mass can be estimated from the Hoek-Brown criterion with rock mass quality assessment (e. relating tunnel closure to rock mass strength/in situ stress ratio.6. Figure 6. GSI).3.. Overburden stress can be estimated from the overburden depth and rock unit weight.6.2c.2c Squeezing prediction curve and comparison with case histories.6. . A prediction curve was proposed by Hoek and reproduced in Figure 6.2a Suggested predictions of squeezing conditions The prediction equations for squeezing require the measurements of in situ stress and rock mass strength.

CHAPTER 3 In situ Stress In situ stress measurements have been compiled and presented in Figure 2. σv = 0. Depth.2a In situ stress measurements at various (Brady and Brown 157).5.027 z.2a. which represents the overburden pressure. Figure 3. Change of vertical stress with depth is scattered about the tend line. Z (m) .

4. Measurement of loads on structures for supporting ground and stresses in the supporting structures. in situ stress measurements is required.While vertical stress can be estimated with reasonable reliability. The following stresses are important in influencing the behaviour of rock around subsurface openings: 1. These are: 1. inherent) stresses in rock. Changes in velocity of sound waves passed through the ground 4. In situ stress measurement Instrumentation For the development of information for the design of underground openings and their supporting structures.The horizontal stresses are presented in the figure by a ratio of average horizontal stress to vertical stress. Measuring strains in rock remote from a free surface 3. Deformation and restoration of slots in the rock surfaces Measurements of strains and stresses include the following: 1. Tangential deformation of exposed surfaces 3. Measuring strains in rock at exposed rock surface 2. The physical characteristics which may be measured are: Following physical features of a rock are modified when it is subjected to the stresses induced by creation of an opening: 1. Deformation of boreholes 7. 2. Measuring pressures on mine filling materials 6. Nature of sub-audible vibrations originating in rock 6. Closure of roof and floor or closure of sides 2. four principal classes of measurements are of interest. Measuring ground pressures in supporting structures 7. 3. Measurements of pressures on mine void filling material. Measurement of convergence movements of rock surfaces. k. The magnitude and directions of natural (pre-existing. For projects that maximum stress direction and magnitude may be important. It is very common in rock mechanics that one of the horizontal stresses represent the major principal stress. Measuring absolute movements of roof and floor ( or HW and FW) 5. The horizontal stress should not be estimated. Changes in the modulus of elasticity of the ground 5. Measuring convergence of roof and floor( or HW and F 4. while the vertical stress or the other horizontal stress represents the minor principal stress. These are induced by creation of an opening. 2. The magnitude and directions of induced (concentrated or re-aligned) stresses. Measurement of strains in the ground surrounding an opening. Measuring stresses in supporting structures .

The amount of the expansion is a function of the initial stress within the rock and of the modulus of elasticity of the rock.000 MPa). In an elastic material a stress concentration is created near the boundary of the opening. In the Strain restoration method strain gauges are fixed to the rock surface and readings are taken. Strain relief method Method 1: The strain gauge is cemented on the surface of the wall rock and a standard diamond drill is used to cut an annular slot in the rock around the gauges. In order to measure these minute changes in dimensions of the openings it is necessary to employ instruments capable of measuring to within a few ten-thousands of a cm. The modulii of elasticity of rocks ranges from 20 to 70 × 10 6 KPa. The strain relief method. A flat jack is cemented into the slot and expanded by application of hydraulic pressure until the strain gauges indicate that the rock has been restored to the state of strain existing prior to cutting of the slot. is the most conspicuous phenomenon associated with underground openings and the easiest to measure. Methods for determining the actual magnitudes of stresses within the rock involve measurements of deformation of rock blocks which are freed from the main mass and allowed to expand. or of walls and ribs. Thus. However. For example in a rock with an elastic modulus of 7 0 × 10 6 KPa (70. thus allowing the portion of rock to expand. There are two general methods for determining absolute rock strain. The pressure in the jack is then assumed to be equal to the original pressure in the rock normal to the slot surface. A groove is then cut around the location of the strain gauge. large changes in stress values are produced by very small changes in dimensions (strain).Measuring Strain (deformation) in rock The closure of roof and floor. freeing the rock surface to expand. A deep slot is then cut into the rock above the gauges and the rock in allowed to expand. such measurements do not yield information as to the stresses existing in the rock. .0005 mm. The rock stresses are not measured directly. and The strain restoration method In the Strain relief method strain gauges are fixed to the opening walls at selected locations. but the measuring techniques are designed to measure strains and the stresses are then computed by using the values of the rock modulus of elasticity. 2. the deformation in the rock is 0. The deformation in rocks is very small and therefore the determination of stresses depends on the measurement of extremely small deformations. These are: 1.

Figure Borehole deformation gauge Theory and Equations Uni-axial stress .The surface on which the gauges are mounted required careful selection and preparation. Strain gauges are sealed with waterproof mastic to protect them against moisture. The surface is ground smooth with a hand grinding wheel. The rock surface is thoroughly dried before the gauges are cemented to the rock and dried with a hear lamp after gauges are cemented in place. When the vertical and horizontal stress in the rock is equal there will be no differential deformation along the two axes of the borehole. Method 2 Measurement of Diametral Borehole Deformation for Stress Determination Another method for determining rock stresses is the accurate measurement of borehole horizontal and vertical axes to determine the relative deformation produced in the crosssection of the borehole by stresses in the rock. Maximum deformation is caused to the vertical axis of a horizontal borehole due to the vertical stress (assuming the horizontal stress is in effective).

the deformation is U= U =− dS E (2) (3) And the minus sign signifies that. The deformation versus the angle θ for one quadrant of the hole ( θ = 00 to θ = 900) is plotted in the figure below . and equation 1 reduces to 3dS E 0 When θ = 90 . the hole (at the point) is expanding. as the stress increases. T θ E r S θ S T Figure Schematic representation of biaxial stress acting across a borehole When θ = 00.The deformation of the hole in a uni-axial stress and in plan stress is given by U= dS (1) (1 + 2 cos 2θ ) E = deformation of hole (change in length of a diameter) = radius of hole = diameter of hole = 2a = perpendicularly applied stress (for a uniaxial stress field T = 0) = angle (counterclockwise) from S to r = modulus of elasticity T Where U a d S. the deformation is in the direction of the applied uniaxial stress.

Figure Borehole deformation gauge 5 Deformation (arbitrary units) 4 3 2 1 0 -1 15 30 40 50 60 70 80 90 Angle ( in degrees) Figure Sectional View of a borehole deformation gauge .

U= (5) When θ = 900. the magnitude and direction of the stresses S and T can be computed.Bi-axial stress For bi-axial stress field and plane stress. The equations for these conditions will be S U2 2 U3 2 U1 2 600 600 600 θ d/2 U1 2 U3 2 U2 2 S . U= (6) If the deformation is measured across three different diameters and the modulus of elasticity and Poisson’s ratio are known. the deformation is related to the biaxial stresses S and T by U= d [( S + T ) + 2( S − T ) cos 2θ ] E d (3S − T ) E d (3T − S ) E (4) When θ = 00.

T = borehole deformation at a 600 separation (600 deformation rosette) in cm. It has been shown that the borehole deformation in a biaxial stress field is related to the magnitude and direction of the applied stresses in the plane perpendicular to the axis of the hole by the following equations: S +T = E (U 1 + U 2 + U 3 ) 3d 1 2E [(U 1 − U 2 ) 2 + (U 2 − U 3 ) 2 + (U 3 − U 1 ) 2 ] 2 6d S −T = tan 2θ = 3 (U 3 − U 2 ) 2U 1 − U 2 − U 3 Where U1. The measuring points A-Bare established prior to cutting slot and the distance between the points is accurately determined. U2. . It has been reported from extensive experimentation with this system that the pressure required to restore the original strain with the locations of the measuring points relative to the slot. Hydraulic pressure is applied to the flat jack until measurements show that the distance between points A and B has been restored to its original dimension. In practice when a flat jack 70cm long and 70cm wide was used the distance A-B was made about 30cm. U is +ve for increase in the diameter radius of hole diameter of hole = 2a perpendicularly applied stress (for a uniaxial stress field T = 0) angle (counterclockwise) from S to U1 modulus of elasticity = = = = = θ1 E Strain restoration methods In this method a slot is cut.In this investigation rock stress was determined by measuring the deformation (change in diameter) of a borehole before and after the hole was stress-relieved. as shown in the figure. . The flat jack is then placed in the slot and cemented tightly in place with quick-setting cement mortar. to accommodate a flat jack. And best results were obtained when the measuring points were placed within a distance equal to about two-thirds the length of the flat-jack. U3 a d S. The pressure in the flat jack is then a function of the original pressure in the rock before the slot was cut.

Figure Stress measurement using a flatjack Figure Modified Flakjack method .Flat jack method does not require any knowledge of the elastic properties of the rock and hence it is considered to be a true stress measuring method. Because of the difficulty in cutting deep flatjack slots the method is restricted to near-surface measurements.

Mechanical extensometers. such as a vernier scale. dial gauge. have been used for decades in metal mines Figure.Measurement of Rock Movement/deformation Convergence Measurement The mechanically simplest deformation measuring devices are deformeters. consisting of a top and bottom anchor. Multipoint extensometers installed in boreholes have been used to detect roof movements. also called extensometers. of which convergence gagues are special types. Figure roof sag measuring station . This class of instruments consists of a length-sensing device. micrometer. steel wire or rigid tubing. and some kind of micrometer or dial gauge.

Figure Axial deformation gauges Figure dial gauge deformeter .

The essential features of an extensometer installation are a stable reference anchor position at the far end of the borehole. The steel wire will be brought to the down surface of roof. Extensometers are used to determine the magnitude. This type of instrument consist of an anchor device mounted on the mine roof and floor and connected by a ridged bar or a metal wire.has four/six spider type strong leaf spring anchors (Above figure). which are progressively covered as movement develops. The relative movement of the anchor points is measured with either mechanical or electromechanical devices. is an indication of the magnitude of the pressure on the rock above the opening. such as the amount of ground which is open. These anchors will be installed in a 42 mm hole at four different heights with the help of installation tool. The simplest form of extensometer makes use of a stainless steel spring reference anchor with a tube indicator attached to it by stainless steel wire and visible at the hole mouth. Convergence Measurement Monitoring technology and techniques to provide early warning of hazardous roof fall conditions have been a longstanding goal for safety engineers and practitioners working in the mining sector. Extensometers are installed into boreholes. When the bed/roof separation is taking place the reading will change in the respective scale. The amount of strain depends upon several factors. the amount and quality of filling material. In mining a simple extensometer such as this is known as a “telltale” because it gives a visual indication of roof movement. Roof-to-floor convergence monitors are perhaps the oldest and most common method of measuring roof deflection as a means to detect roof rock instabilities. characteristics of the country rock. . The steel wire will be attached with each anchor before pushing of anchors. Model SME 248. or between HW and FW. Measurement of convergence may be useful in predicting the imminence of failure of roof or floor rock. etc. position and rate of movement of rock surrounding an excavation. Movement is indicated by coloured reflective bands on the indicator. a borehole mouth anchor at the tunnel wall and a means of indicating or measuring change in distance between them.The relative amount of closure between roof and floor. Telltale extensometer is a very simple and general design to measure deformation in the roof of coal mines at 4 or 6 different points up to 6 meter height. Each wire will be attached with steel scale of different colour for identification of the anchor height. After installation of all the anchors the reference head will be installed leaving all the scales hanging freely.

Figure Evolution of Dual height Telltale .

Instruments installed in two coal mine shaft linings were found to be still returning consistent readings twenty five years later. It measures the reverberation decay rate of a surface when struck with a hammer. an underground wastewater plant in Finland and the Joskin tunnel in the UK. The AEM is a hand held device comprising an integral geophone and readout unit. This has the advantage that small roof movements can be easily read even when the tunnel height approaches 5m (Figure above). Loads in support systems and linings The load distribution in rockbolts and cablebolts is an important support design parameter. British Coal began producing strain gauged bolts for this purpose in 1990. but one which is difficult to measure. They typically have pairs of diametrically opposed resistance strain gauges. supplied to mine and tunnel projects in seven countries. Figure Strain gauged rock bolts . allowing calculation and display of mean and bending strains. Examples of recent civil engineering use of the instrument include a steel lined water tunnel in the UK where voids behind the 45mm thick lining were detected. The technology has recently been extended to include flexible bolts. The most common form of telltale is the dual-height version. where areas of detached shotcrete lining were delineated. This was developed and patented by British Coal in 1992 as a safety device for coal mine tunnels where rockbolts were being introduced as support. The device is installed at the same time as the rockbolts into a 5m long roof hole of 27mm-35mm diameter.Here roof movement is converted to rotation of a pointer around a dial. which are encapsulated multi-wire steel strands. Support system and lining condition Acoustic Energy Meter (AEM) is a simple nondestructive testing device for checking the ‘looseness’ of exposed rock surfaces in tunnels. and for the detection of voids behind tunnel linings. To date RMT have manufactured around 4000 strain gauged rockbolts.

Observational methods of in situ stress determination or estimation Observations of the behaviour of openings or holes made in stressed rock can provide very valuable indications of the magnitudes and. Haimson and Song. In these attempts. . Attempts have been made to use breakout data to estimate the magnitudes of in situ stresses (Zoback et al. Haimson and Herrick (1986) found that the depth and circumferential extent of the completed breakout were directly proportional to the state of stress normal to the borehole axis. 1993. more particularly. This phenomenon refers to the stress induced failure that occurs on the walls of a borehole resulting in spalling or sloughing of material from the borehole wall as shown in Figure 7. Whilst this approach may have some potential for estimating indicative values of stress. 1985. temperature. drilling. 1993). it is unlikely that it will be successful in the adequate quantification of stress magnitudes. the orientations of in situ stresses. Borehole breakouts (dog earing) “Borehole breakout” is the more widely used term for what is known in South African mining as “dog earing”. They can therefore often provide a reliable indication of the orientations of in situ stress fields. Zoback et al 1986. This is due to the fact that breakout mechanisms will be different for different types of rock. and relative or comparative values of stress. the width and depth of the breakout have been measured as a basis for estimating the stresses. Lee and Haimson. and extents of breakout will vary depending on rock properties and in situ conditions (water. etc). It is commonly observed in deep boreholes. Figure 7 Example of stress induced sloughing of material from a borehole wall The locations of the breakouts on diagonally opposite sides of the borehole are usually aligned with the orientations of the secondary principal stresses acting in the plane normal to the borehole axis.

the shape and symmetry of the discs can give a good indication of in situ stress orientations (Dyke. In addition.Core discing Core discing appears to be closely associated with the formation of borehole breakouts. as shown in Figure 8. including the drill thrust. 1991). For unequal stresses normal to the core axis. The thinner are the discs the higher is the stress level. the core circumference will peak and trough as shown in Figure 9. However. It is therefore unlikely that observation and measurements of discing will be successful in quantifying the magnitudes of in situ stresses. A measure of the inclination of a principal stress to the borehole axis can be gauged from the relative asymmetry of the disc. Nevertheless. 1982). can significantly affect the occurrence of discing (Kutter. The direction defined by a line drawn between the peaks of the disc surfaces facing in the original drilling direction indicates the orientation of the minor secondary principal stress. If the discs are symmetrical about the core axis. 1989). the two secondary principal stresses normal to the core axis will be approximately equal. Figure 8 Core discs symmetrical with respect to the core axis . as shown in Figure 10. Lack of symmetry of the discing. the type and technique of drilling. If the discs are uniform in thickness as shown in Figure 8. In brittle rocks it has been observed that discing and breakouts usually occur over the corresponding lengths of core and borehole. then it is probable that the hole has been drilled approximately along the orientation of one of the principal stresses. the formation of discs depends significantly on the properties of the rock and the magnitude of the stress in the borehole axial direction (Stacey. indicates that there is a shear stress acting the borehole axis that the axis is not in a principal stress direction.

e. . Figure 11 shows a classic dog ear in the sidewall of a 5 m diameter tunnel. Dog earring in bored excavations can be equally pronounced as in boreholes. indicating that the core axis is not a principal stress direction Observations of failures in excavations Excavations can be considered as large boreholes. the dog earring in the tunnel in Figure 12 shows that the major secondary principal stress is inclined at about 120 to the horizontal. Similarly. and observations of the behaviour of the walls of the excavations in response to the in situ stresses can provide very valuable indications of the in situ stress field.Disc peaks Orientation of the minor secondary principal stress Drilling direction Figure 9 Core discs resulting with unequal stresses normal to the core axis Figure 10 Non-symmetrical cores discing. the maximum stress in the plane perpendicular to the tunnel axis) is vertical at this location. This shows that the major secondary principal stress normal to the tunnel axis (i.

Rummel et al. Zoback et al. 4. Vertical boreholes are usually used and it is assumed that the in situ principal stresses are vertical and horizontal. Although hydraulic fracturing had been used previously for other purposes such as borehole stimulation for increasing the yield of water supply or dewatering boreholes. 1980. Rummel (Rummel. 1977. 1977. isolated using hydraulic packers on either side of it. The characteristics of the pressure induced breakdown and the subsequent reopening of the fracture under repressurisation are monitored carefully. 1986) played a major role in developing and promoting the use of the hydraulic fracturing technique. Cornet (1993a). The orientation of the induced fracture is measured using a borehole television camera or a special impression packer to obtain a physical record of the surface of the borehole. 1983. 1993). From all these data the orientations of the secondary principal stresses normal to the axis of the borehole can be interpreted.Figure 11 Dog earing (photograph provided by Dr C D Martin) Hydraulic Fracturing for In situ Stress measurement Hydraulic fracturing is now a well established method for determining in situ stress magnitudes. The method involves the pressurization of a length of borehole and the measurement of the pressure required to fracture the rock or reopen existing fractures.3. Zoback et al. 1983) and Zoback (Zoback et al. . Scheidegger (1962) and Fairhurst (1964) were the first to suggest its use for the determination of in situ stresses.1 Hydraulic fracturing Conventional hydraulic fracturing involves the pressurizing of a short length of borehole. It has been widely used in the oil well industry. 1987. Haimson (1968. until the hydraulic pressure causes the rock to fracture. The application of the method is illustrated diagrammatically in Figure 14.

to carry out a measurement. Although this represents the full sophistication of the method. the shut-in pressure is equal to the stress component perpendicular to the fracture plane.Figure 14 Hydraulic fracture applications The method requires special equipment. Since packers are inserted in the borehole to seal off the test sections. it is illustrative of the sort of requirements that would be necessary for quality measurements at greenfields sites. Fracture generation occurs at the location of the least tangential stress at the borehole wall and the fracture propagates perpendicular to the direction of the least principal stress 4. The borehole must be diamond drilled. the borehole axis is parallel to the direction of one of the principal stress components 2. After hydrofracturing. . The classical stress determination from hydraulic fracturing tests is generally based on a few assumption and they are: 1. the pressurization occurs sufficiently fast to avoid fluid permeating into the rock and thus alter the pore pressure within the rock matrix 3. A system for hydraulic fracturing stress measurements in deep boreholes is illustrated in Figure 15. to determine the orientation of the induced fracture. A simpler set-up would be applicable for in mine tests. and associated services and personnel. the borehole has to be inspected using a television camera. the straightness and wall quality of the borehole are important. or a special impression of its surface taken using an impression packer.

1989) .Fig 15 System for hydraulic fracturing stress measurements (after Tunbridge et al.

The schematic arrangements of hydro-fracturing technique is as shown below in the figure 16

Figure 16 Schematic arrangement of hydro-frac technique

In non-porous rocks the minimum principal stress is given by the shut-in pressure. If a borehole is drilled in the vertical direction, and it is assumed that this is a principal stress direction, and that the minimum principal stress is horizontal, the major horizontal principal stress SH can be determined from the following equation: Testing Procedure A single or double straddle packers system is set (inflated) at the required depth so as to isolate a test cavity. A liquid is injected into the test cavity and its pressure raised while monitoring the quantity injected. A sudden surge of fluid accompanied by sudden drop in pressure indicates that hydrofracture of rock formation (fracture inititation or break down) has occurred. The hydrofracture continues to propagate away from the hole as fluid is injected, and is oriented normal to the least principal stress direction (Fig.17) Once the hydro-fracturing has traveled about 10 drillhole diameters, injection is stopped by shutting a valve, and the instantaneous shut-in pressure is measured. The process is repeated several times to ensure a consistent measurement of this pressure, which is equal to the minimum principal stress.

Figure

17

Fracture propagation

SV = γ .Z S h = PSi S H = T + 3.S h − PC T = PC − PR Where T is the tensile strength of the rock Sh and SV are the minor and major horizontal principal stress Pc is the breakdown pressure at fracture generation PR is the pressure necessary to re-open the induced fracture (T=0) PSi is the shut-in pressure to merely keep the fracture open against the normal stress acting in the fracture plane Z is the depth of the over burden and γ is the unit weight of the rock. Interpretation of hydrofracture records can require expert input if the shut-in pressure is not distinct. Interpretation of test results is not a straightforward activity, and the experience of the interpreter has some effect on the in situ stress values ultimately determined. Different interpreters may derive somewhat different results from the same set of field data. In porous rocks in particular, interpretation of hydraulic fracturing tests may be very difficult and, owing to the pore pressure, definition of the major principal stress may be doubtful. In sedimentary rocks, beds with a thickness of at least 2 to 3m are necessary for satisfactory testing to be carried out. Hydraulic fracturing stress measurements have been carried out at depths in the 6km to 9km range (Amadei and Stephannson, 1997) and therefore the method is, in theory, suitable for the high stress conditions encountered in deep mines. At such high pressures, valves, tubing and packers must be of special design to be able to perform as required. In boreholes in which spalling or breakouts are occurring, there may be a risk of not being able to insert (or recover) the packers, and it may also not be possible to seal off the borehole satisfactorily. Borehole breakouts due to high stress levels may also interfere with the location of the fracture on the borehole wall, and this may lead to inaccuracy in determining stress directions.

Table 1 Test No Depth (m)

Hydrofracture Field Data Shut-in Pressure-PR MPa 15.0 19.0 12.0 15.0 27.2 42.5 33.0 T=PC-PR MPa PSi MPa

BreakDown Pressure-PC MPa Underground Borehole –Sub-level 40 1 23.5 17.2 2 21.5 28.0 3 18.5 18.2 4 12.5 18.4 5 9.5 32.4 6 4.15 45.5 7 1.95 40.6

2.2 9.0 6.2 3.4 5.2 3.0 7.6

11.5 13.0 10.0 12.0 20.5 33.5 32.0

It is clear from the above that the application of the hydraulic fracturing method is theoretically possible, but would be expensive, and demanding on services. Perhaps the most severe restriction, however, is the requirement that the borehole be drilled in the direction of one of the principal stresses. In mining situations this is usually not known and is one of the in situ stress parameters to be determined. Bibliography Dyke, C G (1989) Core discing: its potential as an indicator of principal in situ stress directions, Rock at Great depth, ed Maury & Fourmaintraux, Balkema, pp 1057-1064. Fairhurst, C (1964) Measurement of in situ rock stresses with particular reference to hydraulic fracturing, Rock Mech. & Engng Geol., Vol 2, pp 129-147. Haimson, B C and Herrick, C G (1986) Borehole breakouts – a new tool for estimating in situ stress? Proc. Int. Symp. Rock Stress and Rock Stress Measurements, Stockholm, Centek Publishers, pp 271-280. Haimson, B C, Lee, C F and Huang, J H S (1986) High horizontal stresses at Niagara Falls, their measurement and the design of a new hydroelectric plant, Proc. Int. Symp. Rock Stress and Rock Stress Measurements, Stockholm, Centek Publishers, pp 615-624. Haimson, B C, Lee, M, Chandler, N and Martin, D (1993) Estimating the state of stress for subhorizontal hydraulic fractures at the Underground Research Laboratory, Manitoba, Int. J. Rock Mech. Min. Sci. & Geomech. Abstr., Vol 30, No 7, pp 959-964. Haimson, B and Song, I (1993) Laboratory studies of borehole breakouts in Cordova Cream: a case of shear failure mechanism, Int. J. Rock Mech. Min. Sci., Vol 30, No 7, pp1047- 1056. Kutter, H (1991) Influence of drilling method on borehole breakouts and core disking, Proc. 7th Int. Cong. Int. Soc. Rock Mech., Aachen, Balkema, Vol 3, pp 1659-1664. Martin, C D and Chandler, N A (1993) Stress heterogeneity and geological structures, Int. J. Rock Mech. Min. Sci., Vol 30, No 7, pp 993-999. Rummel, F (1987) Fracture mechanics approach to hydraulic fracturing stress measurements, in Fracture Mechanics of Rocks, Academic Press, London, pp 217-239. Scheidegger, A E (1962) Stress in earth’s crust as determined from hydraulic fracturing data, Geol. Bauwesen, Vol 27, pp 45-53.

L W. C (1986) In-situ stress measurements in deep boreholes using hydraulic fracturing. C M and Haimson. J C (1977) Preliminary stress measurements in Central California using the hydraulic fracturing technique. Healy. Abstr. B (1989) Measurement of rock stress using the hydraulic fracturing method in Cornwall. Vol 26. Min. Int. UK – Part I. Mastin. SARES 97. Symp.. Centek Publishers. L and Barton.Stacey. M L. Soc. Tunbridge. M D. Rock Mech. Vol 115. Afr. and stonely wave polarization. Int. pp 289. S. T R (1997) Practical method of in situ stress measurement for deep level mines.299.. Sci & Geomech. Stockholm. Zoback. Geophys. Rock Mech. . pp 135-152. Cooling. pp 502-514. pp 351-360. Proc. wellbore breakouts. J. 1st Southern African Rock Engineering Symp. National Group of Int.. J H and Rolles. Rock Stress and Rock Stress Measurements. Zoback. Proc.. Pure Appl.

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