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,

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

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

Typically this is a type of fault but it may be difficult to place a distinct fault plane into the shear zone. Shear zones can be only inches wide. . particularly intense folds. 2.4a).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. the interfaces between layers are termed as bedding planes. fault zone and shear zone. The behaviour large scale fault and shear zones require specific investigation and analysis. if a project is to be constructed over or close such zones. As faults.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. It should be noted that fold has huge variation of features. are often associated with high degree of fracturing and relatively weak and soft rocks. Folds form under very varied conditions of stress. but the results of folding is often reflected in the rock mass consideration. Although the folding feature may not be directly taking into account of rock mass.2. Folds can be commonly observed in sedimentary formation and as well as in metamorphic rocks (Figure 2. Folds are usually not considered as part of the rock mass.2. are large scale geological features.3a). particularly fault zone and shear zone. Bedding plane therefore is a discontinuity separating different rocks (Figure 2. Bedding plane often can be fully closed and cemented.Figure 2.2. They are often dealt separately from the rock mass. Folds.2a Faults. 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. However.2. 2.4 Bedding Planes As sedimentary rocks are formed in layers. or up to several kilometres wide.

which leads to cavities along the interface. However. This mass of rock.3. 2.3 Rock Material and Rock Masses 2. e. some bedding planes could also become potential weathered zones and pocket of groundwater.1b. foundations. Figure 2.2. For civil engineering works. . A borehole can be typically around 8 cm while a mine can spread up to a few km.g.3. When such engineering scale is considered. often termed as rock mass.. Bedding planes are isolated geological features to engineering activities. varying from a few centimetres to a few kilometres. For example. the scale of projects is usually a few ten metres to a few hundreds metres. consists of rock blocks and fractures. an interface between porous sandstone and limestone may lead to extensive weathering of the limestone.2. typically seen in Figure 2. slopes and tunnels. then rock in such scale is generally a mass of rock at the site.Figure 2.3a Folds in a sedimentary formation. is the whole body of the rock in situ. It mainly creates an interface of two rock materials.3b Folds in a sedimentary formation.1 Engineering Scale and Rock Engineering in and on rock has different scales.

4b Some typical bedding planes.4a Some typical bedding planes. .Figure 2.1b Typical rock masses.2. Figure 2. Figure 2.2.3.

Rock masses are also inhomogeneous due to the mix of rock types. to be free to fall and move (Figure 2. 2. joints. of various sizes.4.4 Inhomogeneity and Anisotropy 2.3. varying from extremely soft clay and fractured and crushed rocks. Faults are often filled with weathered materials. Because the rock materials between rock joints are intact and solid.3.2 Composition of Rock Mass A rock mass contains (a) rock material. in the form of intact rock plates.2.3.3a). In addition.2 Inhomogeneity of Rock Masses Inhomogeneity of a rock mass is primarily due to the existence of discontinuities.3.2a A dyke intrusion. and (b) rock discontinuities that cuts through the rock. Rock materials and discontinuities together form rockmass.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. (ii) Acts as weak planes for sliding and moving. Figure 2. It is therefore obvious that rock mass behaviour by large is governed by rock joints. rock mass may also include filling materials in the discontinuities and dyke and sill igneous intrusions (Figure 2.4.3. (ii) Gives large deformation. 2.1 Inhomogeneity of Rock Materials Inhomogeneity represents property varying with locations. blocks and wedges. (iii)Alters stress distribution and orientation. they have relative small deformation and low permeability. 2. in the forms of fractures. blocks and wedges. interbedding and intrusion. (i) Provides water flow channel and creates flow networks.2a). . Most of the engineering materials have varying degrees of inhomogeneity. Rocks are formed by nature and exhibits great inhomogeneity. and faults.

and (ii) sedimentary layer (Figure 2.3a Some common anisotropic rocks. Phyllite and schist are the other foliated metamorphic rocks that exhibit anisotropy. Rock with most obvious anisotropy is slate. under the influence of formation process and pressure. Some sedimentary rocks. Figure 2.g. Other sedimentary may not have clear anisotropy. small degree of anisotropy is possible.3 Anisotropy Anisotropy is defined as properties are different in different direction.4.3b). e. (i) slate and (ii) sandstone. shale.2a).4.3a.. However.4. Figure 2.4.3b A Limestone rock mass with one dominating joint set.4. . have noticeable anisotropic characteristics.Anisotropy occurs in both rock materials and rock mass.4.2. as seen in Figure 2. Rock mass anisotropy is controlled by (i) joint set (Figure 2.

calcites. 8. and texture. seen on a smooth surface of a mineral aggregate. Thus the texture is the appearance.CHAPTER 3 PROPERTIES OF ROCK MATERIALS Rock material is the intact rock portion. They are: • Quartz • Feldspar • Mica • Hornblende(Amphiboles) • Pyroxenes • Olivine • Calcite • Kaolinite. 5. and arrangement. The term “rock texture” refers to the arrangement of its grains. showing the geometrical aspects of the rock including shape. 2. and • Dolomite These minerals are glued together by four types of materials such as silicates. 7. 4. size. 6. structure.1 Physical Properties of Rock Material The physical properties of rocks affecting design and construction in rocks are: 1. Specific gravity G Unit weight γ Porosity n Void ratio e Moisture content w Degree of saturation. 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. 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. This Chapter addresses properties of rock material. only about nine of them partake decisively in forming the composition of rocks. . 3. One distinguishes between coarse-texture (coarse-grained) and fine-textures rock. Rock structure and texture affect the strength properties of the rock. argillaceous and ferrous minerals. megascopic or microscopic. 3. Mineralogical composition . 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.

Density of rock material various. It is sometimes defined by unit weight and specific gravity.1.500nd 2. It is the ratio of the non-solid volume (VV) to the total volume (V) of material. Most rocks have density between 2.81 kN/m3 = 62. Density. 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.3. 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. Porosity and Water Content Specific gravity is the ratio of the density of solids to the density of water.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. Porosity therefore is a fraction between 0 and 1.1 Specific Gravity. 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 = 9.800 kg/m3. and often related to the porosity of the rock.81 kN/m3 w = moisture content of the sample .

High porosity therefore naturally leads to high permeability.8. Porosity is one of the governing factors for the permeability. Figure Phase diagram illustrating the weights and volume relationship . A low density and high porosity rock usually has low strength. w= Ww W − WS × 100 = × 100 WS WS Degree of saturation S is S= Vw × 100 VV Density is common physical properties. It is influenced by the specific gravity of the composition minerals and the compaction of the minerals. It may also be represented in percent terms by multiplying the fraction by 100%. most rocks are well compacted and then have specific gravity between 2. However. Porosity provides the void for water to flow through in a rock material. Density is used to estimate overburden stress.The value is typically ranging from less than 0. It is simply the ratio of the weight of water (Ww) to the weight (WS) of the rock material.01 for solid granite to up to 0. Water content is a measure indicating the amount of water the rock material contains.5 for porous sandstone.5 to 2. Density and porosity often related to the strength of rock material.

2 Hardness Hardness is the characteristic of a solid material expressing its resistance to permanent deformation. including mineral composition and density. It is an important measure for estimate wear of rock drilling and boring equipment. Table 3. As discussed earlier.Abrasivity measures are given by several tests. Porous rocks such as sandstones usually have high permeability while granites .1a Physical properties of fresh rock materials 3. The higher quartz content gives higher abrasivity.3 Abrasivity Abrasivity measures the abrasiveness of a rock materials against other materials. Most rocks.g. 3. Hardness of rock materials depends on several factors. e. permeability of rock material is governed by porosity.1.Table 3.1. generally have very low permeability. metamorphic and chemical sedimentary rocks.1. Cerchar and other abrasivity tests are described later..4 Permeability Permeability is a measure of the ability of a material to transmit fluids. steel. Abrasivity is highly influenced by the amount of quartz mineral in the rock material.1. A typical measure is the Schmidt rebound hardness number.1. including density and porosity of rock materials. 3. including igneous.1a gives common physical properties.

has limited interests as in the rock mass.1a.2.1. A well compacted rock has generally high velocity as the grains are all in good contact and wave are traveling through the solid. except for those porous one. the grains are not in good contact. represent 6 stages that the rock material is undergoing. The most common measure of compressive strength is the uniaxial compressive strength or unconfined compressive strength. 3. and it will be discussed in a later chapter. For a poorly compact rock material.1a presents a typical stress-strain curve of a rock under uniaxial compression. Figure 3. Permeability of rock materials. while S-wave velocity measures the travel speed of shear (secondary) wave in the material. 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). 3. used in design.1c show the states of rock in those stages of compression.1. S waves. It is one of the most important mechanical properties of rock material.2. Wave velocities are also commonly used to assess the degree of rock mass fracturing at large scale. Usually compressive strength of rock is defined by the ultimate stress.have low permeability.5 Wave Velocity Measurements of wave are often done by using P wave and sometimes. Figure 4.2.2 Mechanical Properties of Rock Material 3. P wave velocity measures the travel speed of longitudinal (primary) wave in the material.1 Compressive Strength Compressive strength is the capacity of a material to withstand axially directed compressive forces. analysis and modeling. flow is concentrated in fractures in the rock mass. Typical values of P and S wave velocities of some rocks are given in Table 3. . using the same principle.1b and Figure 3.2. Permeability of rock fractures is discussed later. The complete stressstrain curve can be divided into 6 sections. The velocity measurements provide correlation to physical properties in terms of compaction degree of the material.

2. even though the internal structure is highly disrupt. This initial non-linearity is more obvious in weaker and more porous rocks. both axially and laterally. as the there is little permanent damage of the micro-structure of the rock material. This causes an initial non-linearity of the axial stress-strain curve. There is a slight increase in lateral strain due to dilation.1a Typical uniaxial compression stress-strain curve of rock material. but is still intact.depending on the strength of the rock. Stage II – The rock basically has a linearly elastic behaviour with linear stress-strain curves. The upper boundary of the stage is the point of maximum compaction and zero volume change and occurs at about 80% peak strength. The specimen is undergone strain softening (failure) . Stage III – The rock behaves near-linear elastic. particularly in stiffer unconfined rocks. Figure 3. tends to be low. Stage I – The rock is initially stressed. the stress-strain is largely recoverable. of about 35-40% peak strength. pre-existing microcracks or pore orientated at large angles to the applied stress is closing. 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.Figure 3. 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 . At this stage.1c Samples of rock material under uniaxial compression test and failure. The Poisson's ratio. in addition to deformation. Stage V – The rock has passed peak stress. The axial stress-strain curve is nearlinear and is nearly recoverable.2. Micro-cracks are likely initiated at the later portion of this stage. Stage IV – The rock is undergone a rapid acceleration of microcracking events and volume increase. The rock is primarily undergoing elastic deformation with minimum cracking inside the material. In this stage the crack arrays fork and coalesce into macrocracks or fractures.

.2. and is subjected to lateral stresses. Figure 3.deformation. Discussion on the influence of confining pressure to the mechanical characteristics is given in a later section. The axial stress or force acting on the specimen tends to fall to a constant residual strength value. Figure 3. It is defined as the ratio. at peak stress the test specimen starts to become weaker with increasing strain.2 Young's Modulus and Poisson’s Ratio Young's Modulus is modulus of elasticity measuring of the stiffness of a rock material. the stress-strain characteristics also changed. The rock is covered by overburden materials. Compressive strength with lateral pressures is higher than that without. Stage VI – The rock has essentially parted to form a series of blocks rather than an intact structure.1a. equivalent to the frictional resistance of the sliding blocks. This in turn will lead to zones of concentrated strain or shear planes.e.2.1d Triaxial compression test and failure 3. In addition to the significant increase of strength with confining pressure. Typical strengths and modulus of common rocks are given in Table 3. Thus further strain will be concentrated on weaker elements of the rock which have already been subjected to strain. This can be experimentally determined from the slope of a stress-strain curve obtained during compressional or tensile tests conducted on a rock sample. Secondary fractures may occur due to differential shearing. of the rate of change of stress with strain. . The compressive strength with lateral pressures is called triaxial compressive strength. i. we often are interested in the rock at depth. In underground excavation. These blocks slide across each other and the predominant deformation mechanism is friction between the sliding blocks. for small strains.2.2.1d shows the results of a series triaxial compression tests.

3a. Rocks can have brittle or ductile behaviour after peak. A few soft rocks. behave ductile. mainly of sedimentary origin. Strain at failure is the strain measured at ultimate stress. at linearly-elastic region. Poisson’s ratio measures the ratio of lateral strain to axial strain. could have relatively high strain at failure. Brittle rocks. Young’s Modulus can be as high as 100 GPa.2. have low strain at failure. while soft rock.1a Mechanical properties of rock materials.15 and 0.3 Stress-Strain at and after Peak A complete stress-strain curve for a rock specimen in uniaxial compression test can be obtained. Similar to strength. including all crystalline igneous. such as shale and mudstone.4. that is. Most rocks. beyond the linearly elastic region the increase in lateral strain is faster than the axial strain and hence indicates a higher ratio. For extremely hard and strong rocks. the Poisson’s ratio is between 0. as shown in Figure 3. Young’s Modulus of rock materials varies widely with rock type. 3. typically crystalline rocks. For most rocks. . typically around 0. behave brittle under uniaxial compression. metamorphic and sedimentary rocks.2. Strain at failure sometimes is used as a measure of brittleness of the rock. As seen from the tests that at later stage of loading beyond.2 to 0. Strain at failure increases with increasing confining pressure under triaxial compression conditions.4% under uniaxial compression.Table 3.2. Rocks generally fail at a small strain.

2.. cohesion and internal friction. . maximum tensile stress the rock material can withstand.2. Different rocks have different cohesions and different friction angles. Cohesion is a measure of internal bonding of the rock material. Figure 3.4a Stress and failure of Brazilian tensile tests by RFPA simulation.e. Rock material generally has a low tensile strength.3a Complete stress-strain curves of several rocks showing post peak behaviour (Brady and Brown). The existence of microcracks may also be the cause of rock failing suddenly in tension with a small strain. to resist deformation due to shear stress. Direct test is not commonly performed due to the difficulty in sample preparation.2.2. The most common tensile strength determination is by the Brazilian tests.5 Shear Strength Shear strength is used to describe the strength of rock materials.2.Figure 3. Tensile strength of rock materials can be obtained from several types of tensile tests: direct tensile test. Brazilian test and flexure test. The low tensile strength is due to the existence of microcracks in the rock. φ. i. 3. 3. and is defined by the internal friction angle.4a illustrates the failure mechanism of the Brazilian tensile tests. Rock resists shear stress by two internal mechanisms. Figure 3. Internal friction is caused by contact between particles.4 Tensile Strength Tensile strength of rock material is normally defined by the ultimate strength in tension.

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

mechanical response is controlled by the effective confining stress (σ3' = σ3 – u).3.3. A series of triaxial compression tests was carried out on a limestone with a constant confining pressure of 69 MPa. In this case. For low porosity rocks.1a Complete axial stress-axial strain curves obtained in triaxial compression tests on Marble at various confining pressures (after Wawersik & Fairhurst 1970). There is a transition from ductile to brittle behaviour as pore pressure is increased from 0 to 69 MPa.3. Effect of pore water pressure is only applicable for porous rocks where sufficient pore pressure can be developed within the materials.Figure 3. Figure 3.2a Effect of pore pressure on the stress-strain behaviour of rock materials. 3. but with various level of pore pressure (0-69 MPa).2a.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. . the classical effective stress law does not hold.3.

the hardness index can be used to estimate uniaxial compressive strength of the rock material.2 Effect of Water Content on Strength Many tests showed that the when rock materials are saturated or in wet condition.3. The correlation is also influenced by the density of the material. 3. Figure 3.1 Rock Hardness. it is also used to estimate the elastic modulus of the rock material.5.5.5. At the same time. From the theory of elasticity.4. compressional (or longitudinal) P-wave velocity (vp) is related to the elastic modulus E s and the density (ρ) of the material as. Density.1a. with size correction to an equivalent core diameter of 50 mm.3 Velocity and Modulus While seismic wave velocity gives a physical measurement of the rock material.1a Correlation between hardness. It gives the standard point load index. compared to the strength in dry condition. Young’s Modulus and Strength. . 3.1 Point Load Strength Index Point load test is another simple index test for rock material.4 Other Engineering Properties of Rock Materials 3.5.5 Relationships between Physical and Mechanical Properties 3. and Strength Schmidt hammer rebound hardness is often measured during early part of field investigation. 4.5. Is(50). the uniaxial compressive strength is reduced. calculated from the point load at failure and the size of the specimen. The correlation between hardness and strength is shown in Figure 3. It is a measure of the hardness of the rock material by count the rebound degree.

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

6.1 Mohr-Coulomb criterion Mohr-Coulomb strength criterion assumes that a shear failure plane is developed in the rock material. or In a shear stress-normal stress plot.3.1a. i. When failure occurs. the stresses developed on the failure plane are on the strength envelope.6. with an intercept c on the τ axis and an angle of φ with .6. by combining the above three equations.. Applying the stress transformation equations or from the Mohr’s circle.6 Failure Criteria of Rock Materials 3. the stresses on the failure plane a-b are the normal stress σn and shear stress τ.1a Stresses on failure plane a-b and representation of Mohr’s circle.e. it gives: Coulomb suggested that shear strengths of rock are made up of two parts. the Coulomb shear strength criterion τ = c + σn tanφ is represented by a straight line. a constant cohesion (c) and a normal stress-dependent frictional component. Figure 3. Therefore. Refer to Figure 3. where c = cohesion and φ = angle of internal friction.

. σt′ is about 1/10 σc. with tensile cut-off. the stress condition on the a-b plane meets the strength envelope. For most rocks. 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. In another word. the measured values of tensile strength are generally lower than those predicted by the above equation. the failure plane is defined by θ. σt′. a tensile cut-off is usually applied at a selected value of uniaxial tensile stress. rock failure starts with the formation of the shear failure plane a-b. failure will occur. As seen from the Mohr’s circle. Any stress condition below the strength envelope is safe. and once the stress condition meet the envelope.the σn axis. At each tangent point. If the Mohr-Coulomb strength envelope shown in Figure 4. 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. As assumed. and θ=¼π+½φ Then Figure 3.6. the Mohr-Coulomb strength envelope straight line touches (makes a tangent) to the Mohr’s circles. as shown in Figure 4.6. Therefore.6. This straight line is often called the strength envelope.1b. For this reason.1b is extrapolated.

In most cases. It also overestimates tensile strength. Then. it overestimates the strength.The Mohr-Coulomb strength envelope can also be shown in σ1–σ3 plots. rock engineering deals with shallow problems and low σ3.2a).2 Griffith strength criterion Based on the energy instability concept.2a Griffith crack model for plane compression. Griffith obtained the following criterion for crack extension in plane compression: Figure 3. and or g The Mohr-Coulomb criterion is only suitable for the low range of σ3. . as seen in Figure 4.1b. At h i h σ3. 3. due to its simplicity and popularity.6.6.6. Assuming that the elliptical crack will propagate from the points of maximum tensile stress concentration (P in Figure 4.6. so the criterion is widely used. Griffith extended the theory to the case of applied compressive stresses.

which represents the cohesion. One of the most widely used criteria is Hoek-Brown criterion for isotropic rock materials and rock masses.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. 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 = 0.2b. 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.where σt is the uniaxial tensile strength of the material.6. 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: . τ = 2σt. 3. The strength envelopes given by the above equations in principal stresses and in normal and shear stresses are shown in Figure 3.2b Griffith envelope for crack extension in compression. a number of empirical strength criteria have been introduced for practical use.6.6. When σ3 = 0.

The Hoek-Brown peak strength criterion is an empirical criterion based on substantial test results on various rocks. hence makes it is so far the only acceptable criterion for both material and mass. The peak strengths developed by transversely isotropic rocks in triaxial compression vary with the orientation of the plane of isotropy.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. At high stress level.7 Effects of Rock Microstructures on Mechanical Properties 3.7. Figure 3. Because of some preferred orientation of fabric or microstructure.1 Strength of rock material with Anisotropy Rocks.Figure 3.7. with respect to the principal stress directions. such as shale and slate.3a Normalized peak strength envelope for (i) granites and (ii) sandstones (after Hoek & Brown 1980). transverse isotropy. Figure 3. are not isotropic. It is therefore only the simplest form of anisotropy. It is evident that the Hoek-Brown strength envelope is not a straight line. or the presence of bedding or cleavage planes.6. It is also extended to rock masses with the same equation. . plane of weakness or foliation plane.6. It is however very easy to use and select parameters. 3. to be discussed here.3a shows normalized Hoek-Brown peak strength envelope for some rocks. There are several forms of anisotropy with various degrees of complexity. the envelope curves down. so it gives low strength estimate than the MohrCoulomb envelope. the behaviour of those rocks is anisotropic. but a curve.

ϕ w = angle of friction of the plane.7.7.1a can be given by the equation below (Brady & Brown 1985): Where: c w = cohesion of the plane of weakness. β = inclination of the plane. . The minimum strength occurs when The corresponding value of principal stress difference is.Figure 3.1a 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.

8. . The load is measured by a load transducer. This in fact shows that when the rock containing an existing weakness plane that is about to become a failure plane. 3. Load.9. hence β is about 60° to 70°.8.1b Variation of σ1 at constant σ3 with angle β.3 Failure Mechanism of Rock Material under Impact and Shock Loading 3.1 Rheologic Properties of Rock Materials 3.8. two axial deformations and one circumferential deformation measurements are recorded at every 25 KN interval until failure. stress and strain relationship. In compression tests. Uniaxial compressive strength.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. plotted using the above equation.Figure 3. the strength is the lowest. 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. Young's modules (at 50% of failure stress) and Poisson's ratio (at 50% of failure stress) can be calculated from the failure load.9 Laboratory Testing of Rock Materials 3.7. Figure 3.2 Effect of Loading Rate on Rock Strength 3. Fo r rock s. The specimen is then compressed under a stiff compression machine with a spherical seating.8 Time Dependent Characteristics of Rock Materials 3.7. the rock has the lowest strength. When the weakness plane is at an angle of 45° + ½ φw. φw is about 30° to 50°. Two axial and one circumferential deformation measurement devices (LVDTs) are attached to each of the specimen.1b shows variation of σ1 at constant σ3 with angle β.

Two axial and two lateral deformation (or a circumferential deformation if a circumferential chain LVDT device is used). mode of failure. modulus of elasticity. Axial tangential Young's modulus at 50% of uniaxial compressive strength. density and water content at time of test. (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. specimen anisotropy.. specimen dimension.g. Et50% is calculated as the slope of tangent line of axial stress . ν50%. Poisson's ratio. Poisson's ratio at 50% of uniaxial compressive strength.axial strain curve at a stress level equals to 50% of the ultimate uniaxial compressive strength. stress-strain (axial and lateral) curves to failure. uniaxial compressive strength.9. Hoek-Franklin cell) and a desired confining stress is applied and maintained by a hydraulic pump. The specimen is placed in a triaxial cell (e. measurement devices are attached to each of the specimen. 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. σ c is calculated as the failure load divided by the initial cross sectional area of the specimen. The specimen is then further compressed under a stiff compression machine with a spherical seating.Uniaxial compressive strength.3a A typical uniaxial compression test set-up with load and strain measurements. Figure 3. The . 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.

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

The tensile strength of the rock is calculated from failure load (P). End faces shall be flat to within 0. Loading is applied continuously at a constant rate such that failure occurs within 15-30 seconds. specimen diameter (D) and specimen thickness (t) by the following formula: σT = − 0.9. 3. For direct tension test. water content and degree of saturation.5 Shear Strength Tests . calculation and the Young’s modulus and the Poisson’s ratio is similar to that for the uniaxial compression test.4b Brazilian tensile test. The specimen is then loaded in tension by pulling from the two ends. rock specimen is to be prepared in dog-bone shape with a thin middle. The cylindrical surfaces should be free from obvious tool marks and any irregularities across the thickness.9. mode of failure.25°.3. due to the difficulty in specimen preparation.25 mm and square and parallel to within 0.9. 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. orientation of the axis of loading with respect to specimen anisotropy. Ten specimens of the same sample shall be tested. test duration and loading rate.636 P Dt Reporting of results includes description of the rock. Deformation modulus can be measured by having strain gauges attached to the specimen. (b) Brazilian Tensile Strength Test Cylindrical specimen of diameter approximately equals to 50 mm and thickness approximately equal to the radius is prepared. Figure 3.4 Tensile Tests (a) Direct Tension Test Direct tension tests on rock materials are not common.

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

9.8 Hardness (a) Schmidt Hammer Rebound Hardness A Schmidt hammer with rebound measurement is used for this test. The transmitter and the receiver are positioned at the ends of specimen and the pulse wave travel time is measured.7 Ultrasonic wave velocity Cylindrical rock sample is prepared by cutting and lapping the ends. An ultrasonic digital indicator consist a pulse generator unit.9. . 3. correction is needed to add to the number from the hammer. and to use the remaining reading for calculating the average hardness value. Both P-wave and S-wave velocities can be measured.9. The standard Schmidt hardness number is taken when the hammer is point vertically down. The velocity is calculated from dividing the length of rock sample by wave travel time. The Schmidt hammer is point perpendicularly and touch the surface of rock.Figure 3. Figure 3.6a Point load test. At least 20 tests should be conducted on any one rock specimen.7a Measuring P and S wave velocity in a rock specimen. 3. The length is measured.9. It is suggest to omit 2 lowest and 2 highest reading. The hammer is released and reading on the hammer is taken. If the hammer is point to horizontal and upward. transmitter and receiver transducers are used for sonic pulse velocity measurement. The reading gives directly the Schmidt hammer hardness value.

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

solid removable lid and fixed base.12a). The mass of drum and sample is recorded (Mass A). C−D Slake-durability index. Slake-durability index. to a level 20 mm below the drum axis. The mass of the drum and sample is recorded after cooling (Mass B).12a Slake durability test.9. usually tap water at 20°C. Figure 3. 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.12a Slake Durability Classification = . B−D × 100% A− D Table 3.9.9. 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%. The slaking and drying process is repeated and the mass of the drum and sample is recorded (Mass C). and the drum is rotated at 20 rpm for 10 minutes (Figure 3. and is dried to a constant mass at 105°C. The slake-durability index is taken as the percentage ratio of final to initial dry sample masses after to cycles.

This occurs due to stress waves generated when there is a rapid release of energy in a material. or. The application of AE to nondestructive testing of materials in the ultrasonic regime. quality control. in methods used to stimulate and capture AE in a controlled fashion for study and/or use in inspection. system feedback.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. or on its surface. Figure Two fundamental cases of stress application (a) and (b). of practical interest. typically takes place between 100 kHz and 1 MHz. and temporal variations of strain ( ε ) and the frequency (n) of AE events in these cases . process monitoring and others. Acoustic Emission (AE) is a naturally occurring phenomenon whereby external stimuli. generate sources of elastic waves. AE occurs when a small surface displacement of a material is produced. The wave generated by the AE source. such as mechanical loading.

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.

3a Definition of active span. Figure 6.1.2a Rock class and rock load factor classification by Terzaghi for steel arch supported tunnels .Figure 6.1.1.3b 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.

4 Rock Quality Designation (RQD) (Deere 1964) .6.1.

2.2. For rock of moderate to high strength. Part A of the table shows the RMR classification with the above 5 parameters. RQD partially reflects on the rock mass quality. persistence. and presence of infilling. (a) Strength of intact rock material: Uniaxial compressive strength is preferred. Condition of joints: Condition includes joint aperture. As discussed earlier. Groundwater conditions: It is to account for groundwater inflow in excavation stability.1. (b) (c) (d) (e) Table 6.1 Concept of RMR System (1973. close associated with excavation for the mining industry (Bieniawski 1973). The RMR system in use now incorporates five basic parameters below. roughness. this geomechanics classification system incorporated eight parameters. 1989) The rock mass rating (RMR) system is a rock mass quality classification developed by South African Council for Scientific and Industrial Research (CSIR). as an attempt to quantify rock mass quality. Spacing of joints: Average spacing of all rock discontinuities is used.1. point load index is acceptable. Individual rate for each parameter is . It does not account for the strength of the rock or mechanical and other geometrical properties of the joints. His parameter has been used in the rock mass classification systems. Table 6. Table 6.2 Rock Mass Rating – RMR System 6. Therefore.1a is the RMR classification updated in 1989.2a Rock mass quality classification according to RQD RQD has been widely accepted as a measure of fracturing degree of the rock mass. including the RMR and the Q systems. RQD: RQD is used as described before. joint surface weathering and alteration. 6. Originally.2a reproduces the proposed expression of rock mass quality classification according to RQD. RQD only represents the degree of fracturing of the rock mass.Rock quality designation (RQD) was introduced in 1960s.

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

.

2 Examples of using RMR System (a) A granite rock mass containing 3 joint sets. Selection of RMR parameters and calculation of RMR are shown below: . average rock material uniaxial compressive strength is 160 MPa. the tunnel is excavated to 150 m below the ground where no abnormal high in situ stress is expected.Figure 6. joint surfaces are generally stepped and rough. average RQD is 88%.24 m. tightly closed and unweathered with occasional stains observed.2. average joint spacing is 0.2. the excavation surface is wet but not dripping.1a Stand-up time and RMR quality 6.

. groundwater parameter is not directly given. Since there is no indication of in situ stress ratio. (c) A highly fractured siltstone rock mass. fractured by 2 joint sets plus random fractures. with the equation below. overburden stress is taken as the major in situ stress as an approximation.11 m. RQD is given and from the relationship between RQD and joint frequency. found to have 2 joint sets and many random fractures. joint spacing is not provided. In the above information. (b) A sandstone rock mass. average RQD is 70%. average rock material uniaxial compressive strength is 85 MPa. It falls in rock class C which indicates the rock mass is of fair quality. and are highly weathered. joints are generally in contact with apertures generally less than 1 mm. The tunnel is at 220 m below ground. It falls in rock class B which indicates the rock mass is of good quality. However. highly weathered with stains and weathered surface but no clay found on surface. filled with clay.7) 0. but given in terms of groundwater pressure of 70 m water head and overburden pressure of 80 m ground. joint are separated by about 3-5 mm. with considerable outwash of joint fillings. joint surfaces are slickensided and undulating. inflow per 10 m tunnel length is observed at approximately 50 litre/minute. joints appears continuous observed in tunnel. average rock material uniaxial compressive strength is 65 MPa.32 Joint water pressure / In situ stress Selection of RMR parameters and calculation of RMR are shown below: The calculated basic RMR is 52. average joint spacing is 0. the tunnel is to be excavated at 80 m below ground level and the groundwater table is 10 m below the ground surface. Joint water pressure = In situ stress = groundwater pressure = Overburden pressure = = = 70 m × γw 80 m × γ (70 × 1)/(80× 2. average RQD is 41%. joint surfaces are slightly rough. Here. it is possible to calculate average joint spacing.The calculated basic RMR is 76.

RQD = 100 e–0. F2 = 1. Closest match and approximation is to be used to determine each of the RMR parameter rating. SMR = RMR + (F1⋅F2⋅F3) + F4 where F1 = (1 .3a.αs|.2. SMR value is obtained by adjust RMR value with orientation and excavation adjustments for slopes.05 m Selection of RMR parameters and calculation of RMR are shown below: The calculated basic RMR is 34. i. For topping.2. Table 6. which gives average joint spacing 0.e.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 20.3 Extension of RMR – Slope Mass Rating (SMR) The slope mass rating (SMR) is an extension of the RMR system applied to rock slope engineering. Details on rock slope analysis and engineering including excavation methods and support and stabilisation will be covered in a later chapter dealing slope engineering.2.1λ (0. F2 and F3 are given in Table 6.sin A)2 and A = angle between the strikes of the slope and the joint = |αj . F2 = (tan βj)2 B = joint dip angle = βj. It falls in rock class D which indicates the rock mass is of poor quality. 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.0 Value of F1..

3a Classification of Rock Slope according to SMT 6.2.3.Table 6. Jr is the joint roughness number . Jn is the joint set number accounting for the number of joint sets.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). and is an index for the determination of the tunnelling quality of a rock mass.2. F2. The numerical value of this index Q is defined by: RQD is the Rock Quality Designation measuring the fracturing degree.3a Adjustment rating of F1.3 Rock Tunnel Quality Q-System 6. The system was based on evaluation of a large number of case histories of underground excavation stability. F3 and F4 for joints Table 6.

1a.3.1c. Ja is the joint alteration number indicating the degree of weathering.1a Rock mass classification Q system .3. Table 6. as shown in Figure 6.3. and SRF is the stress reduction factor indicating the influence of in situ stress. 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. The classification system gives a Q value which indicates the rock mass quality. Equivalent dimension is used in the figure and ESR is given in Table 6.1b.3. Jw is the joint water reduction factor accounting for the problem from groundwater pressure. Q value is applied to estimate the support measure for a tunnel of a given dimension and usage. shown in Table 6.accounting for the joint surface roughness.1a.3. alteration and filling.

quantities of swelling clays .

.

Table 6.3.1b Rock mass quality rating according to Q values .

3.3.Figure 6.2 Examples of Using the Q-System .3.1a Support design based on Q value Table 6.1c Excavation Support Ratio (ESR) for various tunnel categories 6.

average RQD is 88%.4. fractured by 2 joint sets plus random fractures. average RQD is 41%.11 m. found to have 2 joint sets and many random fractures. average RQD is 70%. average rock material uniaxial compressive strength is 65 . average rock material uniaxial compressive strength is 160 MPa.(a) A granite rock mass containing 3 joint sets. joint surfaces are generally stepped and rough. (c) A highly fractured siltstone rock mass. Selection of Q parameters and calculation of Q-value are shown below: The calculated Q-value is 29. average rock material uniaxial compressive strength is 85 MPa. the tunnel is excavated to 150 m below the ground where no abnormal high in situ stress is expected. Selection of Q parameters and calculation of Q-value are shown below: The calculated Q-value is 4. the tunnel is to be excavated at 80 m below ground level and the groundwater table is 10 m below the ground surface.24 m. the excavation surface is wet but not dripping. and the rock mass is classified as good quality. and the rock mass is classified as fair quality. joints are generally in contact with apertures generally less than 1 mm. average joint spacing is 0. joints appears continuous observed in tunnel. joint surfaces are slickensided and undulating. and are highly weathered. filled with clay. tightly closed and unweathered with occasional stains observed. joint are separated by about 3-5 mm. joint surfaces are slightly rough. highly weathered with stains and weathered surface but no clay found on surface. average joint spacing is 0. (b) A sandstone rock mass.

and SRF ratings are the same parameters in the original Q-system. q is the quartz content (%) in rock mineralogy.3.3 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). Rock stress level is also considered. and σθ is the induced biaxial stress (MPa) on tunnel face in the same zone. . Again. Orientation of joint structure is accounted for. with considerable outwash of joint fillings. Ja. Jw. Closest match and approximation is to be used to determine each of the Q parameter rating. 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. 6. F is the average cutter load (ton) through the same zone. The constants 20 in the σm term. 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. Jr. The components of the QTBM are as follows: where RQD0= RQD (%) measured in the tunnelling direction. The abrasive or nonabrasive nature of the rock is incorporated via the cutter life index (CLI). σm is the rock mass strength (MPa) estimated from a complicated equation including the Q-value measured in the tunnel direction.MPa. and the rock mass is classified as very poor quality. 20 in the CLI term and 5 in the σθ term are normalising constants. The tunnel is at 220 m below ground. CLI is the cutter life index. Jn. together with the rock material strength.85. Selection of Q parameters and calculation of Q-value are shown below: The calculated Q-value is 0. inflow per 10 m tunnel length is observed at approximately 50 litre/minute.

Example of using the QTBM is given in Figure 6. In the Hoek-Brown .2. In general.4. It was aimed to estimate the reduction in rock mass strength for different geological conditions. the GSI value does in fact reflect the rock mass quality. with increasing of rock mass quality.3a. The use of GSI requires careful examination and understanding of engineering geological features of the rock mass. This system is presented in Tables 6. while penetration however is a result of interaction between rock mass properties and TBM machine parameters (Zhao 2006). the emphasis is obviously not be justified. very poor rock mass does not facilitate penetration. 6.4. However. they were not selected to describe rock mass boreability. when developed. Although QTBM has added a number of parameters to reflect cutting force and wear. as GSI was initiated to be a tool to estimate rock mass strength with the Hoek-Brown strength criterion.The experiences on the application of QTBM vary between projects. GSI system has been modified and updated in the recent years. such as folds and shear zones.1 GSI System The Geological Strength Index (GSI) was introduced by Hoek in 1994. In general.4 Geological Strength Index GSI System and Others 6. It appears that the correlation between QTBM and Advanced Rate is not consistent and varies with a large margin. penetration decreases. were intended to classify rock mass quality to arrive a suitable support design. Rock mass classification systems. The systems were not meant for the design of excavation methodology. Rock mass structure given in the chart is general description and there may be many cases that does not directly match the description. such as sheared zones. The direct application of GSI value is to estimate the parameters in the Hoek-Brown strength criterion for rock masses. However. including RMR and Q. the following equivalent between rock mass structural descriptions of blocky to the block size description is suggested below. simple block size description does not include geological structural features. GSI does not include the parameter of rock strength. mainly to cover more complex geological features.1a. The system gives a GSI value estimated from rock mass structure and rock discontinuity surface condition. The original rock mass classifications are independent of TBM characteristics. Although it was not aimed at to be a rock mass classification. Parameters in those rock mass classifications were related to support design.

based on the correlation between RMR and GSI Table 6.1b. The use of GSI to estimate rock mass strength is given later in the section dealing with rock mass strength.1a Geological Strength Index (GSI) . for reasonable good quality rock mass.4. However. 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. An approximate classification of rock mass quality and GSI is suggested in Table 6.criterion. GSI system did not suggest a direct correlation between rock mass quality and GSI value.4. it is suggested that GSI can be related to RMR (GSI = RMR – 5).

(a) Granite rock mass containing 3 joint sets. filled with clay. Therefore GSI is 75±5.1b Rock mass classes determined from GSI 6. highly weathered with stains and weathered surface but no clay found on surface. average joint spacing is 0. and are highly weathered.4.24 m. fractured by 2 joint sets plus random fractures. Therefore GSI is 20±5. the tunnel is excavated to 150 m below the ground where no abnormal high in situ stress is expected. joint surfaces are slickensided and undulating.11 m. Refer to the GSI chart. joint are separated by about 3-5 mm. The tunnel is at 220 m below ground. The rock mass is classified as good to very good quality. . joints are generally in contact with apertures generally less than 1 mm. The rock mass is classified as fair quality. Rock Mass Structure for the above siltstone is blocky /folded/ faulted. Rock Mass Structure for the above sandstone is very blocky. average joint spacing is 0. Refer to the GSI chart. The rock mass is classified as very poor to poor quality. average rock material uniaxial compressive strength is 85 MPa. (c) A highly fractured siltstone rock mass. (b) A sandstone rock mass.Table 6. with considerable outwash of joint fillings. Rock Mass Structure for the above granite is blocky. average rock material uniaxial compressive strength is 160 MPa. the tunnel is to be excavated at 80 m below ground level and the groundwater table is 10 m below the ground surface.2 Examples of Using the GSI System Examples of estimating GSI is given below. joint surfaces are slightly rough. Therefore GSI is 40±5. average RQD is 88%. and Joint Surface Condition is fair to poor. tightly closed and unweathered with occasional stains observed. Refer to the GSI chart. average RQD is 41%.4. with the same rock masses used previously to estimate RMR and Q. average RQD is 70%. and Joint Surface Condition is very poor. the excavation surface is wet but not dripping. found to have 2 joint sets and many random fractures. inflow per 10 m tunnel length is observed at approximately 50 litre/minute. joint surfaces are generally stepped and rough. joints appears continuous observed in tunnel. average rock material uniaxial compressive strength is 65 MPa. and Joint Surface Condition is very good.

Q and GSI from the above three examples are given below. . RMR = 9 lnQ + A A varies between 26 and 62. it is perhaps better to select a range of the GSI value for that rock mass.3a Correlation between RMR and Q values. Figure 6.4.3 Correlation and Comparison between Q. Figure 6.It is advised that while selecting an average value of GSI. 6.4. Summary of RMR.4. and average of A is 44.3a shows the comparison and correlation between RMR and Q. RMR and GSI Correlation between Q and RMR are found to be.

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

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

For intact rock. The HoekBrown criterion for intact rock material is a special form of the generalised equation when s =1 and a = 0. Table 6.e. i.Figure 6. In the generalised Hoek-Brown criterion. . σci is the uniaxial strength of the intact rock in the rock mass. σ1 is the strength of the rock mass at a confining pressure σ3.5.5.5. mb becomes mi. Parameter a is generally equal to 0. The equation above is the generalised Hoek-Brown criterion of rock mass.. Note in the Hoek-Brown criterion.5. 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.2a Applicability of Hoek-Brown criterion for rock material and rock masses.2a gives an earlier suggestion of mb and s values. Constants mb and s are parameters that changes with rock type and rock mass quality.

5. according to different rocks. Table 6.Brown constants Development and application of the Hoek-Brown criterion lead to better definition of the parameters mb and s.5.2b presents the latest definition of mi values for the intact rock materials.2a Relation between rock mass quality and Hoek.Table 6. .

s = 0. For GSI > 25. . the value of mi should be calculated from the test results. If triaxial tests have been conducted. and a in the Hoek-Brown criterion is no longer equal to 0. variation of mi value for each rock can be as great as 18. Once the Geological Strength Index has been estimated. i.2b Values of constant mi for intact rock in Hoek-Brown criterion The values in the above table are suggestive. and a = 0.5. rock masses of good to reasonable quality. i. the parameters which describe the rock mass strength characteristics. the original Hoek-Brown criterion is applicable with.e.5 For GSI < 25. As seen from the table.5. Value of a can be estimated from GSI by the following equation. are calculated as follows.e. rock masses of very poor quality.Table 6.

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

the rock mass strength is close to the strength of intact rock material. Q < 0. the rock mass has very low uniaxial compressive strength close to zero.e. or GSI < 25. . 6. i.5. (c) Siltstone rock mass.5. When the rock mass is very poor. with material uniaxial strength 65 MPa. In situ rock mass modulus (Em) can be estimated from the Q and the RMR systems.4 Correlations between Rock Mass Quality and Mechanical Properties Correlations between rock mass strength and rock mass quality are reflected in Table 6. mean GSI 20.1. When the rock mass is solid and massive with few joints. The better rock mass quality gives high rock mass strength. Similarly the uniaxial compressive strength is. mi given for siltstone is approximately 7.Similarly the uniaxial compressive strength is. From the mi table.2a and the Hoek-Brown criterion relating GSI. RMR < 23.. Attempts have also been made to correlated deformation modulus of the rock mass with rock mass quality. in the equations below.

The Em-GSI equation indicates that modulus Em is reduced progressively as the value of σci falls below 100.5. For a tunnel problem. It depends on the stress region of the engineering application. the deformation of the intact rock pieces contributes to the overall deformation process. for poorer quality rock masses. the line should be fitting best for the . At the same time. where c and φ can be readily calculated Common problems were there is no or limited test results on rock mass. the equation is obtained by substituting GSI for RMR in the original Em-RMR equation. they caution the user that is a major problem to obtain c and φ from the Hoek-Brown equation. Then plotting the Mohr circle using the generated σ1–σ3 data and fitting with the best linear envelope. plotting the Mohr circle and fitting with the best strength envelope. If a series tests have been conducted on the rock mass. Attempts have been made by Hoek and Brown to estimate c and φ from the Hoek-Brown equation. if the depth and stress range is known. the equation below has been proposed. This reduction is based upon the reasoning that the deformation of better quality rock masses is controlled by the discontinuities while. where c and φ can be readily calculated. For poor rocks. the input for a design software or numerical modelling required for rock masses are in terms of MohrCoulomb parameters c and φ. Often. obviously test results should be used directly to obtain parameters c and φ. Care must be taken when deciding the ‘best’ linear line in fitting the Mohr circles. 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. For rock mass with σci < 100 MPa.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 above Em-RMR equations are generally for competent rock mass with RMR greater than 20. using for example. 6.

where H is in metres. Below the line. 6. Squeezing may occur at shallow depths in weak and poor rock masses such as mudstone and shale. i. pore pressure needs to be considered as this affects the effective stress level. H > 350 Q1/3. Rate of squeezing depends on the degree of over-stress.6. several centimetres of tunnel closure per day for the first 1-2 weeks of excavation.6 Squeezing Behaviour of Rock Mass 6. H < 350 Q1/3. For a slope problem. Squeezing may continue for years in exceptional cases. Behaviour of rock squeezing is typically represented by rock mass squeezes plastically into the tunnel and the phenomenon is time dependent. squeezing may be identified from rock class classification Q-value and overburden thickness (H). which occurs around a tunnel and other underground openings. Closure rate reduces with time.. (i) (ii) (iii) Mild squeezing: closure Moderate squeezing: closure High squeezing: closure 1-3% of tunnel diameter. 6.6. . Usually the rate is high at initial stage. The degree of squeezing often is classified to mild. the division between squeezing and non-squeezing condition is by a line H = 350 Q1/3.e. > 5% of tunnel diameter.. Squeezing condition may occur above the line. 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. 3-5% of tunnel diameter. and is essentially associated with creep caused by exceeding shear strength. say. the stress region may vary from 0 to some level of stress. by the conditions below. Deformation may terminate during construction or may continue over a long time period.2a. the ground condition is generally non-squeezing. Also. i.1 Squeezing Phenomenon ISRM (Barla 1995) defines that squeezing of rock is the time dependent large deformation.e.6.2 Squeezing Estimation by Rock Mass Classification Based on case studies. 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. moderate and high. As shown in Figure 6.

6.2a Predicting squeezing ground using Q-value Another approach predicting squeezing is by using the Rock Mass Number (N). In situ stress. From Figure 6.2b.Figure 6. which is the external cause of squeezing is dealt separated by considering the overburden depth. N is the Q-value when SRF is set to be 1. . As discussed in the previous section.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. the line separating non-squeezing from squeezing condition is.

σθ > Strength = σcm + Px A/2 where σθ is the tangential stress at the tunnel opening.Figure 6. P=γH.2b Squeezing ground condition is presented by: H > (275 N1/3) B–0. with overburden stress P. and A is a rock parameter proportion to friction.1 High squeezing occurs when H > (630 N1/3) B–0. Px is the in situ stress in the tunnel axis direction.1.1 < H < (450 N1/3) B–0. squeezing conditions around a tunnel opening can occur when.1 Moderate squeezing occurs when (450 N1/3) B–0. Squeezing may not occur in hard rocks with high values of parameter A. Theoretically. σcm is the uniaxial compressive strength of the rock mass.1.6. . The above equation can be written in the form below for a circular tunnel under hydrostatic in situ stress field. Mild squeezing occurs when (275 N1/3) B–0. It is also possible to characterise the degree of squeezing base on the same figure.1 < H < (630 N1/3) B–0.

Uniaxial compressive strength of the rock mass can be estimated from the Hoek-Brown criterion with rock mass quality assessment (e. Figure 6.2a Suggested predictions of squeezing conditions The prediction equations for squeezing require the measurements of in situ stress and rock mass strength.6.6.6.2c Squeezing prediction curve and comparison with case histories.2c. GSI).2a.ISRM classifies squeezing rock mass and ground condition in Table 6. .6. The prediction curve was compared with tunnel squeezing case histories.3. relating tunnel closure to rock mass strength/in situ stress ratio. Overburden stress can be estimated from the overburden depth and rock unit weight. A prediction curve was proposed by Hoek and reproduced in Figure 6.g. 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.

5.2a In situ stress measurements at various (Brady and Brown 157).027 z. σv = 0. which represents the overburden pressure. Change of vertical stress with depth is scattered about the tend line.CHAPTER 3 In situ Stress In situ stress measurements have been compiled and presented in Figure 2. Depth. Z (m) .2a. Figure 3.

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

However. 2. the deformation in the rock is 0. The amount of the expansion is a function of the initial stress within the rock and of the modulus of elasticity of the rock. There are two general methods for determining absolute rock strain. In an elastic material a stress concentration is created near the boundary of the opening. Thus. such measurements do not yield information as to the stresses existing in the rock. The rock stresses are not measured directly. is the most conspicuous phenomenon associated with underground openings and the easiest to measure.Measuring Strain (deformation) in rock The closure of roof and floor. 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. These are: 1. For example in a rock with an elastic modulus of 7 0 × 10 6 KPa (70. 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. freeing the rock surface to expand. 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. A groove is then cut around the location of the strain gauge. and The strain restoration method In the Strain relief method strain gauges are fixed to the opening walls at selected locations. or of walls and ribs. The pressure in the jack is then assumed to be equal to the original pressure in the rock normal to the slot surface. . large changes in stress values are produced by very small changes in dimensions (strain). 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. 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. The deformation in rocks is very small and therefore the determination of stresses depends on the measurement of extremely small deformations. thus allowing the portion of rock to expand.000 MPa). The modulii of elasticity of rocks ranges from 20 to 70 × 10 6 KPa. A deep slot is then cut into the rock above the gauges and the rock in allowed to expand.0005 mm. The strain relief method. In the Strain restoration method strain gauges are fixed to the rock surface and readings are taken.

Strain gauges are sealed with waterproof mastic to protect them against moisture. The surface is ground smooth with a hand grinding wheel. When the vertical and horizontal stress in the rock is equal there will be no differential deformation along the two axes of the borehole.The surface on which the gauges are mounted required careful selection and preparation. Figure Borehole deformation gauge Theory and Equations Uni-axial stress . 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. 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).

T θ E r S θ S T Figure Schematic representation of biaxial stress acting across a borehole When θ = 00. the hole (at the point) is expanding. The deformation versus the angle θ for one quadrant of the hole ( θ = 00 to θ = 900) is plotted in the figure below .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. the deformation is U= U =− dS E (2) (3) And the minus sign signifies that. as the stress increases. and equation 1 reduces to 3dS E 0 When θ = 90 .

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 .

the magnitude and direction of the stresses S and T can be computed. U= (5) When θ = 900.Bi-axial stress For bi-axial stress field and plane stress. U= (6) If the deformation is measured across three different diameters and the modulus of elasticity and Poisson’s ratio are known. 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 . 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.

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. 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. 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 practice when a flat jack 70cm long and 70cm wide was used the distance A-B was made about 30cm. as shown in the figure. to accommodate a flat jack. .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. The flat jack is then placed in the slot and cemented tightly in place with quick-setting cement mortar. The measuring points A-Bare established prior to cutting slot and the distance between the points is accurately determined. 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 pressure in the flat jack is then a function of the original pressure in the rock before the slot was cut. 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. U2.

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. Figure Stress measurement using a flatjack Figure Modified Flakjack method . Because of the difficulty in cutting deep flatjack slots the method is restricted to near-surface measurements.

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

Figure Axial deformation gauges Figure dial gauge deformeter .

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. 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. 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. After installation of all the anchors the reference head will be installed leaving all the scales hanging freely. Each wire will be attached with steel scale of different colour for identification of the anchor height. When the bed/roof separation is taking place the reading will change in the respective scale. or between HW and FW. such as the amount of ground which is open. The steel wire will be attached with each anchor before pushing of anchors. 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. etc. which are progressively covered as movement develops. Model SME 248. a borehole mouth anchor at the tunnel wall and a means of indicating or measuring change in distance between them.has four/six spider type strong leaf spring anchors (Above figure). . position and rate of movement of rock surrounding an excavation. is an indication of the magnitude of the pressure on the rock above the opening. Extensometers are installed into boreholes. The essential features of an extensometer installation are a stable reference anchor position at the far end of the borehole. characteristics of the country rock. The amount of strain depends upon several factors. Measurement of convergence may be useful in predicting the imminence of failure of roof or floor rock. The relative movement of the anchor points is measured with either mechanical or electromechanical devices.The relative amount of closure between roof and floor. These anchors will be installed in a 42 mm hole at four different heights with the help of installation tool. the amount and quality of filling material. 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. In mining a simple extensometer such as this is known as a “telltale” because it gives a visual indication of roof movement. Movement is indicated by coloured reflective bands on the indicator. The steel wire will be brought to the down surface of roof. Extensometers are used to determine the magnitude.

Figure Evolution of Dual height Telltale .

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

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. Lee and Haimson. Borehole breakouts (dog earing) “Borehole breakout” is the more widely used term for what is known in South African mining as “dog earing”. This is due to the fact that breakout mechanisms will be different for different types of rock. They can therefore often provide a reliable indication of the orientations of in situ stress fields. Zoback et al 1986. 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. 1993. 1985. the orientations of in situ stresses. drilling. it is unlikely that it will be successful in the adequate quantification of stress magnitudes. . temperature. and extents of breakout will vary depending on rock properties and in situ conditions (water.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 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. the width and depth of the breakout have been measured as a basis for estimating the stresses. In these attempts. etc). more particularly. Haimson and Song. and relative or comparative values of stress. 1993). Attempts have been made to use breakout data to estimate the magnitudes of in situ stresses (Zoback et al. It is commonly observed in deep boreholes.

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

Figure 11 shows a classic dog ear in the sidewall of a 5 m diameter tunnel.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. . indicating that the core axis is not a principal stress direction Observations of failures in excavations Excavations can be considered as large boreholes. Similarly. This shows that the major secondary principal stress normal to the tunnel axis (i.e. 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. the dog earring in the tunnel in Figure 12 shows that the major secondary principal stress is inclined at about 120 to the horizontal. Dog earring in bored excavations can be equally pronounced as in boreholes. the maximum stress in the plane perpendicular to the tunnel axis) is vertical at this location.

Cornet (1993a). . It has been widely used in the oil well industry. until the hydraulic pressure causes the rock to fracture. 1977. Rummel (Rummel. Zoback et al. isolated using hydraulic packers on either side of it. 1983. 1987. The characteristics of the pressure induced breakdown and the subsequent reopening of the fracture under repressurisation are monitored carefully. Rummel et al. 1986) played a major role in developing and promoting the use of the hydraulic fracturing technique. 4.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. 1980. Zoback et al. 1993).1 Hydraulic fracturing Conventional hydraulic fracturing involves the pressurizing of a short length of borehole. The application of the method is illustrated diagrammatically in Figure 14. Although hydraulic fracturing had been used previously for other purposes such as borehole stimulation for increasing the yield of water supply or dewatering boreholes. 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.3. 1977. Scheidegger (1962) and Fairhurst (1964) were the first to suggest its use for the determination of in situ stresses. From all these data the orientations of the secondary principal stresses normal to the axis of the borehole can be interpreted. Haimson (1968. 1983) and Zoback (Zoback et al. 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. Vertical boreholes are usually used and it is assumed that the in situ principal stresses are vertical and horizontal.

the borehole axis is parallel to the direction of one of the principal stress components 2. 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 simpler set-up would be applicable for in mine tests. A system for hydraulic fracturing stress measurements in deep boreholes is illustrated in Figure 15. and associated services and personnel. Although this represents the full sophistication of the method. the borehole has to be inspected using a television camera. 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. the straightness and wall quality of the borehole are important. to determine the orientation of the induced fracture. The borehole must be diamond drilled. After hydrofracturing. 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 shut-in pressure is equal to the stress component perpendicular to the fracture plane. or a special impression of its surface taken using an impression packer.Figure 14 Hydraulic fracture applications The method requires special equipment. to carry out a measurement.

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

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.

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

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