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,

deposition and compaction. When an existing rock is subjected to heat and extreme pressure. Sedimentary rocks cover 75% of the Earth's surface. The high temperatures and pressures in the depths of the Earth are the cause of the changes. and by precipitation from solution. Another important mechanism of metamorphism is that of chemical reactions that occur between minerals without them melting. Many complex high-temperature reactions may take place.1a). Sedimentary rocks include common types such as sandstone. which is a unique feature . They are formed deep beneath the Earth's surface by great stresses from rocks above and high pressures and temperatures. clay. known as regional metamorphism. Igneous rocks make up approximately 95% of the upper part of the Earth's crust. shale. and thus new minerals are formed. iron. Mechanical weathering is the breakdown of rock into particles without producing changes in the chemical composition of the minerals in the rock. When above 200°C. 2. which account for over 90% of all igneous rocks.5 Metamorphic Rocks Metamorphic rock is a new rock type transformed from an existing rock type.1. The existing rock may be sedimentary rock. Chemical weathering is the breakdown of rock by chemical reaction. but count for only 5% of the rock in the earth crust. All rocks disintegrate slowly as a result of mechanical weathering and chemical weathering. The combined effects of recrystallisation and re-orientation usually lead to foliation. igneous rock or another older metamorphic rock (Figure 2. Heat and pressure are the causes of metamorphism. 2.1. These are the elements which combine to form the silicate minerals. through metamorphism. but their great abundance is hidden on the Earth's surface by a relatively thin but widespread layer of sedimentary and metamorphic rocks.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). conglomerate. transportation.1. by the deposition of the results of biogenic activity. calcium. heat causes minerals to recrystallise. In the process atoms are exchanged between the minerals. 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. chalk and limestone. known as contact metamorphism. and magnesium minerals.potassium. Pressure forces some crystals to re-orient. Four basic processes are involved in the formation of a clastic sedimentary rock: weathering (erosion). Metamorphic rocks make up a large part of the Earth's crust and are classified by texture and by mineral assembly. the rock undergoes profound physical and/or chemical change. and each mineral assemblage produced provides us with a clue as to the temperatures and pressures at the time of metamorphism.

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

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

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

4b Some typical bedding planes.2.3. Figure 2.4a Some typical bedding planes.1b Typical rock masses.Figure 2.2. . Figure 2.

3a). they have relative small deformation and low permeability. joints. Rock masses are also inhomogeneous due to the mix of rock types. Because the rock materials between rock joints are intact and solid. It is therefore obvious that rock mass behaviour by large is governed by rock joints.3. (ii) Gives large deformation.3. rock mass may also include filling materials in the discontinuities and dyke and sill igneous intrusions (Figure 2. blocks and wedges. Rock materials and discontinuities together form rockmass. Figure 2.3 Role of Joints in Rock Mass Behaviour Rock joints change the properties and behaviour of rock mass in the following terms: (i) Cuts rock into slabs. Most of the engineering materials have varying degrees of inhomogeneity. (iii)Alters stress distribution and orientation.2 Inhomogeneity of Rock Masses Inhomogeneity of a rock mass is primarily due to the existence of discontinuities.2 Composition of Rock Mass A rock mass contains (a) rock material. in the forms of fractures. to be free to fall and move (Figure 2. of various sizes. and (b) rock discontinuities that cuts through the rock. (ii) Acts as weak planes for sliding and moving. 2.4.4. 2.3. blocks and wedges. varying from extremely soft clay and fractured and crushed rocks.4 Inhomogeneity and Anisotropy 2. Faults are often filled with weathered materials.3.1 Inhomogeneity of Rock Materials Inhomogeneity represents property varying with locations.2. interbedding and intrusion. 2.2a). in the form of intact rock plates. (i) Provides water flow channel and creates flow networks. Rocks are formed by nature and exhibits great inhomogeneity.3. In addition. and faults. .2a A dyke intrusion.

. However. . Phyllite and schist are the other foliated metamorphic rocks that exhibit anisotropy. under the influence of formation process and pressure. shale.4. Rock mass anisotropy is controlled by (i) joint set (Figure 2. Figure 2.3a Some common anisotropic rocks. (i) slate and (ii) sandstone.4. e.g.4.2a). and (ii) sedimentary layer (Figure 2.4.3 Anisotropy Anisotropy is defined as properties are different in different direction.4. Other sedimentary may not have clear anisotropy.3a. Figure 2.2.3b). Some sedimentary rocks.3b A Limestone rock mass with one dominating joint set. as seen in Figure 2.4. have noticeable anisotropic characteristics. Rock with most obvious anisotropy is slate.Anisotropy occurs in both rock materials and rock mass. small degree of anisotropy is possible.

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

Density.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. It is sometimes defined by unit weight and 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. and often related to the porosity of the rock. 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. Most rocks have density between 2.500nd 2. Density of rock material various. Porosity and Water Content Specific gravity is the ratio of the density of solids to the density of water. 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.800 kg/m3. It is the ratio of the non-solid volume (VV) to the total volume (V) of material. Porosity therefore is a fraction between 0 and 1.81 kN/m3 = 62.1.81 kN/m3 w = moisture content of the sample .3.1 Specific Gravity.

w= Ww W − WS × 100 = × 100 WS WS Degree of saturation S is S= Vw × 100 VV Density is common physical properties. Water content is a measure indicating the amount of water the rock material contains. Density and porosity often related to the strength of rock material.5 for porous sandstone.The value is typically ranging from less than 0. most rocks are well compacted and then have specific gravity between 2. It may also be represented in percent terms by multiplying the fraction by 100%. It is simply the ratio of the weight of water (Ww) to the weight (WS) of the rock material. Figure Phase diagram illustrating the weights and volume relationship . High porosity therefore naturally leads to high permeability.01 for solid granite to up to 0.8. Density is used to estimate overburden stress.5 to 2. However. Porosity provides the void for water to flow through in a rock material. It is influenced by the specific gravity of the composition minerals and the compaction of the minerals. Porosity is one of the governing factors for the permeability. A low density and high porosity rock usually has low strength.

1. including igneous. steel.1a gives common physical properties. generally have very low permeability. As discussed earlier. Cerchar and other abrasivity tests are described later. Table 3. including mineral composition and density.3 Abrasivity Abrasivity measures the abrasiveness of a rock materials against other materials.Abrasivity measures are given by several tests. 3. Porous rocks such as sandstones usually have high permeability while granites . Hardness of rock materials depends on several factors. A typical measure is the Schmidt rebound hardness number. Abrasivity is highly influenced by the amount of quartz mineral in the rock material. The higher quartz content gives higher abrasivity.2 Hardness Hardness is the characteristic of a solid material expressing its resistance to permanent deformation.g.4 Permeability Permeability is a measure of the ability of a material to transmit fluids. It is an important measure for estimate wear of rock drilling and boring equipment..1.1.1.1.1a Physical properties of fresh rock materials 3. 3. Most rocks. e. permeability of rock material is governed by porosity. metamorphic and chemical sedimentary rocks. including density and porosity of rock materials.Table 3.

S waves. and it will be discussed in a later chapter. 3. The most common measure of compressive strength is the uniaxial compressive strength or unconfined compressive strength. has limited interests as in the rock mass. represent 6 stages that the rock material is undergoing.5 Wave Velocity Measurements of wave are often done by using P wave and sometimes. the grains are not in good contact. analysis and modeling. while S-wave velocity measures the travel speed of shear (secondary) wave in the material.2.2. so the wave will partially travel through void (air or water) and the velocity will be reduced (P-wave velocities in air and in water are 340 and 1500 m/s respectively and are much lower than that in solid).1 Compressive Strength Compressive strength is the capacity of a material to withstand axially directed compressive forces.2. using the same principle. Permeability of rock materials. Permeability of rock fractures is discussed later.2. used in design. A well compacted rock has generally high velocity as the grains are all in good contact and wave are traveling through the solid. Figure 4. The velocity measurements provide correlation to physical properties in terms of compaction degree of the material. Usually compressive strength of rock is defined by the ultimate stress.1b and Figure 3.1a.1a presents a typical stress-strain curve of a rock under uniaxial compression. For a poorly compact rock material. 3.1c show the states of rock in those stages of compression.1. .2 Mechanical Properties of Rock Material 3.have low permeability. Wave velocities are also commonly used to assess the degree of rock mass fracturing at large scale. 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. The complete stressstrain curve can be divided into 6 sections. It is one of the most important mechanical properties of rock material.1. except for those porous one. Figure 3. P wave velocity measures the travel speed of longitudinal (primary) wave in the material.

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

This can be experimentally determined from the slope of a stress-strain curve obtained during compressional or tensile tests conducted on a rock sample. of the rate of change of stress with strain. .1d Triaxial compression test and failure 3.1a. The compressive strength with lateral pressures is called triaxial compressive strength. Compressive strength with lateral pressures is higher than that without. 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. The axial stress or force acting on the specimen tends to fall to a constant residual strength value.2. Secondary fractures may occur due to differential shearing. This in turn will lead to zones of concentrated strain or shear planes.2. Figure 3. the stress-strain characteristics also changed. for small strains. Figure 3. Discussion on the influence of confining pressure to the mechanical characteristics is given in a later section. equivalent to the frictional resistance of the sliding blocks. The rock is covered by overburden materials.deformation. Stage VI – The rock has essentially parted to form a series of blocks rather than an intact structure.2. In underground excavation.2 Young's Modulus and Poisson’s Ratio Young's Modulus is modulus of elasticity measuring of the stiffness of a rock material.2.e. It is defined as the ratio. i. at peak stress the test specimen starts to become weaker with increasing strain..1d shows the results of a series triaxial compression tests. and is subjected to lateral stresses. These blocks slide across each other and the predominant deformation mechanism is friction between the sliding blocks. In addition to the significant increase of strength with confining pressure. we often are interested in the rock at depth.

behave brittle under uniaxial compression. Most rocks. Strain at failure sometimes is used as a measure of brittleness of the rock. have low strain at failure. Young’s Modulus can be as high as 100 GPa. beyond the linearly elastic region the increase in lateral strain is faster than the axial strain and hence indicates a higher ratio. typically around 0.15 and 0. Similar to strength. For extremely hard and strong rocks. including all crystalline igneous. could have relatively high strain at failure. typically crystalline rocks. while soft rock.4. Young’s Modulus of rock materials varies widely with rock type.3 Stress-Strain at and after Peak A complete stress-strain curve for a rock specimen in uniaxial compression test can be obtained. metamorphic and sedimentary rocks. mainly of sedimentary origin.2 to 0. Rocks generally fail at a small strain. Rocks can have brittle or ductile behaviour after peak. as shown in Figure 3. As seen from the tests that at later stage of loading beyond. such as shale and mudstone. Strain at failure is the strain measured at ultimate stress. the Poisson’s ratio is between 0. . that is.2.Table 3. 3. at linearly-elastic region.2. Brittle rocks. Strain at failure increases with increasing confining pressure under triaxial compression conditions. Poisson’s ratio measures the ratio of lateral strain to axial strain.3a. A few soft rocks. behave ductile.1a Mechanical properties of rock materials.2.4% under uniaxial compression. For most rocks.

Figure 3.2..3a Complete stress-strain curves of several rocks showing post peak behaviour (Brady and Brown). Brazilian test and flexure test.4a illustrates the failure mechanism of the Brazilian tensile tests. The low tensile strength is due to the existence of microcracks in the rock.e.4a Stress and failure of Brazilian tensile tests by RFPA simulation. Internal friction is caused by contact between particles.5 Shear Strength Shear strength is used to describe the strength of rock materials. cohesion and internal friction.2. to resist deformation due to shear stress.2. 3. The most common tensile strength determination is by the Brazilian tests. φ. Rock resists shear stress by two internal mechanisms. 3. Cohesion is a measure of internal bonding of the rock material. Different rocks have different cohesions and different friction angles. .2.2. and is defined by the internal friction angle. Rock material generally has a low tensile strength. Tensile strength of rock materials can be obtained from several types of tensile tests: direct tensile test. Figure 3. i. Direct test is not commonly performed due to the difficulty in sample preparation.Figure 3.4 Tensile Strength Tensile strength of rock material is normally defined by the ultimate strength in tension. The existence of microcracks may also be the cause of rock failing suddenly in tension with a small strain. maximum tensile stress the rock material can withstand.

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

3. the classical effective stress law does not hold. A series of triaxial compression tests was carried out on a limestone with a constant confining pressure of 69 MPa. For low porosity rocks. . Figure 3. but with various level of pore pressure (0-69 MPa).2a Effect of pore pressure on the stress-strain behaviour of rock materials. In this case.Figure 3.1a Complete axial stress-axial strain curves obtained in triaxial compression tests on Marble at various confining pressures (after Wawersik & Fairhurst 1970).3. mechanical response is controlled by the effective confining stress (σ3' = σ3 – u).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 4.2a. Effect of pore water pressure is only applicable for porous rocks where sufficient pore pressure can be developed within the materials.3.3. There is a transition from ductile to brittle behaviour as pore pressure is increased from 0 to 69 MPa.3.

5. compared to the strength in dry condition.5 Relationships between Physical and Mechanical Properties 3. At the same time.5.2 Effect of Water Content on Strength Many tests showed that the when rock materials are saturated or in wet condition. 4. The correlation between hardness and strength is shown in Figure 3. Young’s Modulus and Strength.5. 3. it is also used to estimate the elastic modulus of the rock material. compressional (or longitudinal) P-wave velocity (vp) is related to the elastic modulus E s and the density (ρ) of the material as.4 Other Engineering Properties of Rock Materials 3. and Strength Schmidt hammer rebound hardness is often measured during early part of field investigation. the uniaxial compressive strength is reduced. Figure 3. It gives the standard point load index. Is(50).3. It is a measure of the hardness of the rock material by count the rebound degree.1a. The correlation is also influenced by the density of the material.1a Correlation between hardness.4.1 Point Load Strength Index Point load test is another simple index test for rock material. with size correction to an equivalent core diameter of 50 mm. the hardness index can be used to estimate uniaxial compressive strength of the rock material.1 Rock Hardness.3 Velocity and Modulus While seismic wave velocity gives a physical measurement of the rock material. Density. 3.5.5. From the theory of elasticity. . calculated from the point load at failure and the size of the specimen.

i. or perhaps on the texture of the rocks. Figure 3.. It should be noted that the correlation is not precisely linear and also depends on the rock type.4a Correlation between strength and modulus.5. . The value of the seismic modulus is generally slightly higher than the modulus determined from static compression tests.4 Compressive Strength and Modulus It is a general trend that a stronger rock material is also stiffer.e. but should not be mistaken as the modulus under dynamic compression). Similarly. There is reasonable correlation between compressive strength and elastic modulus. higher elastic modulus is often associated with higher strength. when density ρ is in g/cm3. and vp in km/s. then Es in GPa (109 N/m2). seismic shear modulus Gs may be determined from shear S-wave velocity vs. seismic Young’s modulus Es can be determined from shear modulus (Gs) and Poisson’s ratio (νs). Es = 2 Gs (1 + νs) 3.5.4a. It is different from the modules obtained by the uniaxial compression tests. Alternatively.5. The correlations are presented in Figure 3.If ρ in g/cm3. Seismic Poisson’s ration νs can be determined from. The elastic modulus estimated by this method is the sometime termed as seismic modulus (also called dynamic modulus. Gs is in GPa. and S-wave velocity vs is in km/s.

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

the stress condition on the a-b plane satisfies the shear strength condition. 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. as shown in Figure 4. As seen from the Mohr’s circle.6. For this reason. and once the stress condition meet the envelope. the failure plane is defined by θ. For most rocks. This straight line is often called the strength envelope. rock failure starts with the formation of the shear failure plane a-b. σt′. If the Mohr-Coulomb strength envelope shown in Figure 4. and θ=¼π+½φ Then Figure 3. As assumed.1b Mohr-Coulomb strength envelope in terms of normal and shear stresses and principal stresses. Therefore. failure will occur.6. the Mohr-Coulomb strength envelope straight line touches (makes a tangent) to the Mohr’s circles. σt′ is about 1/10 σc. the stress condition on the a-b plane meets the strength envelope.the σn axis. .6. with tensile cut-off. Any stress condition below the strength envelope is safe. At each tangent point.1b is extrapolated. the measured values of tensile strength are generally lower than those predicted by the above equation.1b. a tensile cut-off is usually applied at a selected value of uniaxial tensile stress.

as seen in Figure 4. due to its simplicity and popularity.2 Griffith strength criterion Based on the energy instability concept.6. it overestimates the strength. rock engineering deals with shallow problems and low σ3. so the criterion is widely used. .6.6.1b. Assuming that the elliptical crack will propagate from the points of maximum tensile stress concentration (P in Figure 4. It also overestimates tensile strength. Griffith obtained the following criterion for crack extension in plane compression: Figure 3. Then.6.2a). At h i h σ3.The Mohr-Coulomb strength envelope can also be shown in σ1–σ3 plots. Griffith extended the theory to the case of applied compressive stresses. In most cases. and or g The Mohr-Coulomb criterion is only suitable for the low range of σ3.2a Griffith crack model for plane compression. 3.

6. τ = 2σt.where σt is the uniaxial tensile strength of the material. 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: . 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 = 0.6. One of the most widely used criteria is Hoek-Brown criterion for isotropic rock materials and rock masses.6.2b Griffith envelope for crack extension in compression.2b. a number of empirical strength criteria have been introduced for practical use. which represents the cohesion. 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. 3. The strength envelopes given by the above equations in principal stresses and in normal and shear stresses are shown in Figure 3. When σ3 = 0.3 Hoek-Brown criterion Because the classic strength theories used for other engineering materials have been found not to apply to rock over a wide range of applied compressive stress conditions.

The Hoek-Brown peak strength criterion is an empirical criterion based on substantial test results on various rocks.3a shows normalized Hoek-Brown peak strength envelope for some rocks.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. plane of weakness or foliation plane. It is however very easy to use and select parameters. but a curve. such as shale and slate. with respect to the principal stress directions.Figure 3.7. It is therefore only the simplest form of anisotropy. are not isotropic. so it gives low strength estimate than the MohrCoulomb envelope.7 Effects of Rock Microstructures on Mechanical Properties 3. 3. Because of some preferred orientation of fabric or microstructure.6. Figure 3. the envelope curves down. There are several forms of anisotropy with various degrees of complexity. to be discussed here. or the presence of bedding or cleavage planes.7. It is also extended to rock masses with the same equation. the behaviour of those rocks is anisotropic. At high stress level. hence makes it is so far the only acceptable criterion for both material and mass.1 Strength of rock material with Anisotropy Rocks. Figure 3. .6.3a Normalized peak strength envelope for (i) granites and (ii) sandstones (after Hoek & Brown 1980). transverse isotropy. The peak strengths developed by transversely isotropic rocks in triaxial compression vary with the orientation of the plane of isotropy. It is evident that the Hoek-Brown strength envelope is not a straight line.

β = inclination of the plane.1a can be given by the equation below (Brady & Brown 1985): Where: c w = cohesion of the plane of weakness. The minimum strength occurs when The corresponding value of principal stress difference is. .7. ϕ w = angle of friction of the plane.1a Variation of differential stresses with the inclination angle of the plane of weakness (see Brady & Brown 1985) Analytical solution shows that principal stress difference (σ1–σ3) of a transversely isotropic specimen under triaxial compression shown in Figure 3.7.Figure 3.

1b Variation of σ1 at constant σ3 with angle β.3 Failure Mechanism of Rock Material under Impact and Shock Loading 3. This in fact shows that when the rock containing an existing weakness plane that is about to become a failure plane.7.8. In compression tests. Two axial and one circumferential deformation measurement devices (LVDTs) are attached to each of the specimen. intact rock specimens generally fail to form a shear plane at an angle about 60° to 70°. When the weakness plane is at an angle of 45° + ½ φw. Load.9.7. Uniaxial compressive strength.8. The specimen is then compressed under a stiff compression machine with a spherical seating. The axial stress is applied with a constant strain rate around 1 μm/s such that failure occurs within 5-10 minutes of loading. stress and strain relationship. 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 3.8.Figure 3.1 Rheologic Properties of Rock Materials 3. The load is measured by a load transducer. φw is about 30° to 50°.2 Effect of Loading Rate on Rock Strength 3. Fo r rock s. hence β is about 60° to 70°. Figure 3. the strength is the lowest.8 Time Dependent Characteristics of Rock Materials 3. the rock has the lowest 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.1b shows variation of σ1 at constant σ3 with angle β. 3. two axial deformations and one circumferential deformation measurements are recorded at every 25 KN interval until failure. plotted using the above equation.

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

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

End faces shall be flat to within 0. due to the difficulty in specimen preparation.9. water content and degree of saturation.25 mm and square and parallel to within 0. (b) Brazilian Tensile Strength Test Cylindrical specimen of diameter approximately equals to 50 mm and thickness approximately equal to the radius is prepared.5 Shear Strength Tests . Figure 3.4 Tensile Tests (a) Direct Tension Test Direct tension tests on rock materials are not common. 3. mode of failure. specimen diameter (D) and specimen thickness (t) by the following formula: σT = − 0. 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.9. orientation of the axis of loading with respect to specimen anisotropy. rock specimen is to be prepared in dog-bone shape with a thin middle. Loading is applied continuously at a constant rate such that failure occurs within 15-30 seconds.9. The tensile strength of the rock is calculated from failure load (P). test duration and loading rate.4b Brazilian tensile test.636 P Dt Reporting of results includes description of the rock. The specimen is then loaded in tension by pulling from the two ends. calculation and the Young’s modulus and the Poisson’s ratio is similar to that for the uniaxial compression test. The cylindrical surfaces should be free from obvious tool marks and any irregularities across the thickness.3.25°. For direct tension test. Deformation modulus can be measured by having strain gauges attached to the specimen. Ten specimens of the same sample shall be tested.

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

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

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

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

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

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.1. Figure 6.3b Relationship between active span and stand-up time and rock mass classes (Class A is very good and Class G is very poor) Table 6.1.2a Rock class and rock load factor classification by Terzaghi for steel arch supported tunnels .Figure 6.1.

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

Condition of joints: Condition includes joint aperture. and presence of infilling. Spacing of joints: Average spacing of all rock discontinuities is used. Groundwater conditions: It is to account for groundwater inflow in excavation stability. (a) Strength of intact rock material: Uniaxial compressive strength is preferred.1. 1989) The rock mass rating (RMR) system is a rock mass quality classification developed by South African Council for Scientific and Industrial Research (CSIR).1. RQD only represents the degree of fracturing of the rock mass.2. 6. as an attempt to quantify rock mass quality. Individual rate for each parameter is . persistence. joint surface weathering and alteration. (b) (c) (d) (e) Table 6. Originally. point load index is acceptable.2a Rock mass quality classification according to RQD RQD has been widely accepted as a measure of fracturing degree of the rock mass. Table 6. including the RMR and the Q systems.2a reproduces the proposed expression of rock mass quality classification according to RQD. For rock of moderate to high strength. this geomechanics classification system incorporated eight parameters.2 Rock Mass Rating – RMR System 6. Therefore.Rock quality designation (RQD) was introduced in 1960s.1a is the RMR classification updated in 1989. As discussed earlier. It does not account for the strength of the rock or mechanical and other geometrical properties of the joints.2.1 Concept of RMR System (1973. RQD: RQD is used as described before. RQD partially reflects on the rock mass quality. Table 6. The RMR system in use now incorporates five basic parameters below. Part A of the table shows the RMR classification with the above 5 parameters. close associated with excavation for the mining industry (Bieniawski 1973). roughness. His parameter has been used in the rock mass classification systems.

The overall basic RMR rate is the sum of individual rates.2. RMR was applied to correlate with excavated active span and stand-up time. The table also gives the meaning of rock mass classes in terms of stand-up time. a final RMR rating is obtained.obtained from the property of each parameter. Table 6. Influence of joint orientation on the stability of excavation is considered in Part B of the same table. as shown in Figure 6.1a. This correlation allow engineer to estimate the stand-up time for a given span and a given rock mass.2. The weight of each parameter has already considered in the rating. it can be also expresses in rock mass class. for example. equivalent rock mass cohesion and friction angle. With adjustment made to account for joint orientation. maximum rating for joint condition is 30 while for rock strength is 15. Explanation of the descriptive terms used is given table Part C.2.1b. as shown in Table 6.1b Rock mass classes determined from total ratings and meaning .

.

average RQD is 88%.1a Stand-up time and RMR quality 6.24 m.Figure 6. Selection of RMR parameters and calculation of RMR are shown below: . tightly closed and unweathered with occasional stains observed. average joint spacing is 0.2. the tunnel is excavated to 150 m below the ground where no abnormal high in situ stress is expected.2 Examples of using RMR System (a) A granite rock mass containing 3 joint sets. the excavation surface is wet but not dripping. average rock material uniaxial compressive strength is 160 MPa. joint surfaces are generally stepped and rough.2.

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

For topping. which gives average joint spacing 0.e. Details on rock slope analysis and engineering including excavation methods and support and stabilisation will be covered in a later chapter dealing slope engineering. 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.2. i.2. Table 6.sin A)2 and A = angle between the strikes of the slope and the joint = |αj .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. F2 and F3 are given in Table 6. 6. . SMR value is obtained by adjust RMR value with orientation and excavation adjustments for slopes..2.1λ (0. SMR = RMR + (F1⋅F2⋅F3) + F4 where F1 = (1 .αs|. Closest match and approximation is to be used to determine each of the RMR parameter rating. F2 = (tan βj)2 B = joint dip angle = βj. F2 = 1. It falls in rock class D which indicates the rock mass is of poor quality.RQD = 100 e–0.0 Value of F1.3b gives the classification category of rock mass slope.05 m Selection of RMR parameters and calculation of RMR are shown below: The calculated basic RMR is 34.3a.

Jn is the joint set number accounting for the number of joint sets.2. F3 and F4 for joints Table 6.2.Table 6. and is an index for the determination of the tunnelling quality of a rock mass.3 Rock Tunnel Quality Q-System 6. The numerical value of this index Q is defined by: RQD is the Rock Quality Designation measuring the fracturing degree. The system was based on evaluation of a large number of case histories of underground excavation stability. F2.3a Adjustment rating of F1.3.3a Classification of Rock Slope according to SMT 6.1 Concept of the Q-System The Q-system was developed as a rock tunnelling quality index by the Norwegian Geotechnical Institute (NGI) (Barton et al 1974). Jr is the joint roughness number .

alteration and filling.1a.3. Ja is the joint alteration number indicating the degree of weathering.1b.3. Q value is applied to estimate the support measure for a tunnel of a given dimension and usage. Jw is the joint water reduction factor accounting for the problem from groundwater pressure.1a Rock mass classification Q system .3. 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 6.3.1a. shown in Table 6. Equivalent dimension is used in the figure and ESR is given in Table 6. and SRF is the stress reduction factor indicating the influence of in situ stress.accounting for the joint surface roughness.3.1c. as shown in Figure 6. Table 6. The classification system gives a Q value which indicates the rock mass quality.

quantities of swelling clays .

.

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

Figure 6.2 Examples of Using the Q-System .3.1c Excavation Support Ratio (ESR) for various tunnel categories 6.3.3.1a Support design based on Q value Table 6.

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

The tunnel is at 220 m below ground. σm is the rock mass strength (MPa) estimated from a complicated equation including the Q-value measured in the tunnel direction. Again.85. and the rock mass is classified as very poor quality. Orientation of joint structure is accounted for. and σθ is the induced biaxial stress (MPa) on tunnel face in the same zone. . Jn. 6. with considerable outwash of joint fillings.3. CLI is the cutter life index. The new parameter QTBM is to estimate TBM performance during tunnelling. The constants 20 in the σm term. inflow per 10 m tunnel length is observed at approximately 50 litre/minute. and SRF ratings are the same parameters in the original Q-system. Selection of Q parameters and calculation of Q-value are shown below: The calculated Q-value is 0. q is the quartz content (%) in rock mineralogy. 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). Rock stress level is also considered. Jr. Jw. Ja. The method is based on the Q-system and average cutter force in relations to the appropriate rock mass strength. 20 in the CLI term and 5 in the σθ term are normalising constants.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). 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. Closest match and approximation is to be used to determine each of the Q parameter rating. F is the average cutter load (ton) through the same zone. together with the rock material strength.MPa.

Although it was not aimed at to be a rock mass classification. The use of GSI requires careful examination and understanding of engineering geological features of the rock mass. 6.4. such as folds and shear zones. GSI system has been modified and updated in the recent years. Rock mass classification systems. were intended to classify rock mass quality to arrive a suitable support design. the following equivalent between rock mass structural descriptions of blocky to the block size description is suggested below. including RMR and Q.4. In general. Although QTBM has added a number of parameters to reflect cutting force and wear. simple block size description does not include geological structural features. when developed. GSI does not include the parameter of rock strength. In the Hoek-Brown .3a. This system is presented in Tables 6.2. such as sheared zones. while penetration however is a result of interaction between rock mass properties and TBM machine parameters (Zhao 2006). very poor rock mass does not facilitate penetration. penetration decreases. Rock mass structure given in the chart is general description and there may be many cases that does not directly match the description. The original rock mass classifications are independent of TBM characteristics. the GSI value does in fact reflect the rock mass quality.1 GSI System The Geological Strength Index (GSI) was introduced by Hoek in 1994. However. they were not selected to describe rock mass boreability. with increasing of rock mass quality. In general.1a. The system gives a GSI value estimated from rock mass structure and rock discontinuity surface condition.4 Geological Strength Index GSI System and Others 6. Example of using the QTBM is given in Figure 6. However.The experiences on the application of QTBM vary between projects. mainly to cover more complex geological features. Parameters in those rock mass classifications were related to support design. It appears that the correlation between QTBM and Advanced Rate is not consistent and varies with a large margin. The direct application of GSI value is to estimate the parameters in the Hoek-Brown strength criterion for rock masses. the emphasis is obviously not be justified. The systems were not meant for the design of excavation methodology. as GSI was initiated to be a tool to estimate rock mass strength with the Hoek-Brown strength criterion. It was aimed to estimate the reduction in rock mass strength for different geological conditions.

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

average joint spacing is 0.1b Rock mass classes determined from GSI 6.4. tightly closed and unweathered with occasional stains observed.2 Examples of Using the GSI System Examples of estimating GSI is given below. Rock Mass Structure for the above granite is blocky. Refer to the GSI chart. joints are generally in contact with apertures generally less than 1 mm. joint are separated by about 3-5 mm. joint surfaces are generally stepped and rough. average RQD is 70%.11 m. (c) A highly fractured siltstone rock mass. (b) A sandstone rock mass. Rock Mass Structure for the above siltstone is blocky /folded/ faulted. The rock mass is classified as good to very good quality. with considerable outwash of joint fillings. highly weathered with stains and weathered surface but no clay found on surface. and Joint Surface Condition is very poor.Table 6. (a) Granite rock mass containing 3 joint sets. and Joint Surface Condition is very good. joint surfaces are slightly rough. Refer to the GSI chart. average RQD is 41%. the excavation surface is wet but not dripping.24 m. and Joint Surface Condition is fair to poor. The tunnel is at 220 m below ground. Therefore GSI is 40±5. The rock mass is classified as very poor to poor quality.4. average rock material uniaxial compressive strength is 85 MPa. average rock material uniaxial compressive strength is 65 MPa. filled with clay. the tunnel is to be excavated at 80 m below ground level and the groundwater table is 10 m below the ground surface. Refer to the GSI chart. Therefore GSI is 20±5. with the same rock masses used previously to estimate RMR and Q. average RQD is 88%. fractured by 2 joint sets plus random fractures. average joint spacing is 0. . average rock material uniaxial compressive strength is 160 MPa. and are highly weathered. joints appears continuous observed in tunnel. found to have 2 joint sets and many random fractures. Rock Mass Structure for the above sandstone is very blocky. inflow per 10 m tunnel length is observed at approximately 50 litre/minute. The rock mass is classified as fair quality. Therefore GSI is 75±5. joint surfaces are slickensided and undulating. the tunnel is excavated to 150 m below the ground where no abnormal high in situ stress is expected.

and average of A is 44.3a Correlation between RMR and Q values.4.It is advised that while selecting an average value of GSI.4. Summary of RMR. RMR and GSI Correlation between Q and RMR are found to be.3a shows the comparison and correlation between RMR and Q. Q and GSI from the above three examples are given below. Figure 6.3 Correlation and Comparison between Q. . 6. Figure 6. RMR = 9 lnQ + A A varies between 26 and 62.4. it is perhaps better to select a range of the GSI value for that rock mass.

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

RMi Rock Mass Index is proposed as an index characterising rock mass strength as a construction material. RMi = σc Jp where σc is the uniaxial compressive strength of the intact rock material. It is calculated by the following equation. few joints and good joint surface quality) will have a higher strength and high deformation modulus than that of a poor rock mass. It is also applicable to rock masses (Figure 6. and Jp is the jointing parameter accounting for 4 joint characteristics. The Hoek-Brown criterion for rock mass is described by the following equation: or .(b) Rock Mass Index. In general. joint density (or block size). strength and deformation properties of a rock mass are much governed by the existence of joints.1 Strength of Rock Mass As discussed earlier. Jp = 0 for a crushed rock masses. namely.5. In another word. a rock mass of good quality (strong rock.5. 6. Jp = 1 for a intact rock.5.2 Hoek-Brown Strength Criterion of Rock Mass Hoek and Brown criterion discussed in Chapter 4 is not only for rock materials. the mechanical properties of a rock mass are also related to the quality of the rock mass. 6. joint alteration and joint size.2a). Jp is in fact a reduction factor representing the effects of jointing on the strength of rock mass. joint roughness.5 Rock Mass Strength and Rock Mass Quality 6.

For intact rock. σ1 is the strength of the rock mass at a confining pressure σ3.2a Applicability of Hoek-Brown criterion for rock material and rock masses. σci is the uniaxial strength of the intact rock in the rock mass. σci is consistently referred to the uniaxial compressive strength of intact rock material in the Hoek-Brown criterion for rock material and for rock mass.5. Table 6. The equation above is the generalised Hoek-Brown criterion of rock mass. The HoekBrown criterion for intact rock material is a special form of the generalised equation when s =1 and a = 0. Parameter a is generally equal to 0. .2a gives an earlier suggestion of mb and s values. In the generalised Hoek-Brown criterion.e. i. Constants mb and s are parameters that changes with rock type and rock mass quality..Figure 6.5. Note in the Hoek-Brown criterion.5. mb becomes mi.5.

2a Relation between rock mass quality and Hoek.Brown constants Development and application of the Hoek-Brown criterion lead to better definition of the parameters mb and s.2b presents the latest definition of mi values for the intact rock materials. .5.5. according to different rocks. Table 6.Table 6.

Once the Geological Strength Index has been estimated. and a in the Hoek-Brown criterion is no longer equal to 0. For GSI > 25. the parameters which describe the rock mass strength characteristics. If triaxial tests have been conducted. As seen from the table.Table 6. i.5 For GSI < 25. i. rock masses of very poor quality. are calculated as follows. variation of mi value for each rock can be as great as 18. and a = 0. . rock masses of good to reasonable quality. the original Hoek-Brown criterion is applicable with.e. s = 0. Value of a can be estimated from GSI by the following equation.5.e.5.2b Values of constant mi for intact rock in Hoek-Brown criterion The values in the above table are suggestive. the value of mi should be calculated from the test results.

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

in the equations below. . mi given for siltstone is approximately 7. When the rock mass is solid and massive with few joints. 6.4 Correlations between Rock Mass Quality and Mechanical Properties Correlations between rock mass strength and rock mass quality are reflected in Table 6.5. Attempts have also been made to correlated deformation modulus of the rock mass with rock mass quality. mean GSI 20. i. From the mi table. When the rock mass is very poor. Similarly the uniaxial compressive strength is.e. Q < 0. the rock mass strength is close to the strength of intact rock material.2a and the Hoek-Brown criterion relating GSI.5. with material uniaxial strength 65 MPa. (c) Siltstone rock mass.. In situ rock mass modulus (Em) can be estimated from the Q and the RMR systems. RMR < 23. or GSI < 25.1.Similarly the uniaxial compressive strength is. The better rock mass quality gives high rock mass strength. the rock mass has very low uniaxial compressive strength close to zero.

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. It depends on the stress region of the engineering application. the equation below has been proposed. The suggested approach to obtain rock mass Mohr-Coulomb parameters c and φ is by generate a series σ1–σ3 results by the Hoek-Brown equation. they caution the user that is a major problem to obtain c and φ from the Hoek-Brown equation. the line should be fitting best for the . plotting the Mohr circle and fitting with the best strength envelope. At the same time. where c and φ can be readily calculated. the input for a design software or numerical modelling required for rock masses are in terms of MohrCoulomb parameters c and φ. This reduction is based upon the reasoning that the deformation of better quality rock masses is controlled by the discontinuities while. the deformation of the intact rock pieces contributes to the overall deformation process. Care must be taken when deciding the ‘best’ linear line in fitting the Mohr circles. if the depth and stress range is known.5. For rock mass with σci < 100 MPa. If a series tests have been conducted on the rock mass. for poorer quality rock masses. 6. Often. Attempts have been made by Hoek and Brown to estimate c and φ from the Hoek-Brown equation. where c and φ can be readily calculated Common problems were there is no or limited test results on rock mass. using for example. For poor rocks. For a tunnel problem. the equation is obtained by substituting GSI for RMR in the original Em-RMR equation. Then plotting the Mohr circle using the generated σ1–σ3 data and fitting with the best linear envelope. obviously test results should be used directly to obtain parameters c and φ.The above Em-RMR equations are generally for competent rock mass with RMR greater than 20. The Em-GSI equation indicates that modulus Em is reduced progressively as the value of σci falls below 100.

i. Below the line. Deformation may terminate during construction or may continue over a long time period. For a slope problem. (i) (ii) (iii) Mild squeezing: closure Moderate squeezing: closure High squeezing: closure 1-3% of tunnel diameter. Rate of squeezing depends on the degree of over-stress.e. Behaviour of rock squeezing is typically represented by rock mass squeezes plastically into the tunnel and the phenomenon is time dependent. Squeezing may continue for years in exceptional cases. H > 350 Q1/3. say. the division between squeezing and non-squeezing condition is by a line H = 350 Q1/3.6.2a. the ground condition is generally non-squeezing. 6. Also. Usually the rate is high at initial stage.6.e. . The degree of squeezing often is classified to mild. where H is in metres. which occurs around a tunnel and other underground openings. moderate and high. As shown in Figure 6.2 Squeezing Estimation by Rock Mass Classification Based on case studies. 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. Squeezing may occur at shallow depths in weak and poor rock masses such as mudstone and shale.1 Squeezing Phenomenon ISRM (Barla 1995) defines that squeezing of rock is the time dependent large deformation. by the conditions below. squeezing may be identified from rock class classification Q-value and overburden thickness (H). 6. 3-5% of tunnel diameter.Mohr circles in that stress region.6 Squeezing Behaviour of Rock Mass 6. > 5% of tunnel diameter. i. pore pressure needs to be considered as this affects the effective stress level.6. and is essentially associated with creep caused by exceeding shear strength.. Closure rate reduces with time.. H < 350 Q1/3. several centimetres of tunnel closure per day for the first 1-2 weeks of excavation. Rock masses of competent rock of poor rock mass quality at great depth (under high cover) may also suffer from squeezing. Squeezing condition may occur above the line. the stress region may vary from 0 to some level of stress.

The parameters allow one to separate in situ stress effects from rock mass quality.2b. From Figure 6.6.Figure 6. the line separating non-squeezing from squeezing condition is.6.2a Predicting squeezing ground using Q-value Another approach predicting squeezing is by using the Rock Mass Number (N). N is the Q-value when SRF is set to be 1. . As discussed in the previous section. In situ stress. Where H is the tunnel depth or overburden in metres and B is the tunnel span or diameter in metres. which is the external cause of squeezing is dealt separated by considering the overburden depth.

1.2b Squeezing ground condition is presented by: H > (275 N1/3) B–0.1 High squeezing occurs when H > (630 N1/3) B–0. . and A is a rock parameter proportion to friction. σθ > Strength = σcm + Px A/2 where σθ is the tangential stress at the tunnel opening. with overburden stress P. squeezing conditions around a tunnel opening can occur when. Squeezing may not occur in hard rocks with high values of parameter A. Mild squeezing occurs when (275 N1/3) B–0. σcm is the uniaxial compressive strength of the rock mass.6.1 Moderate squeezing occurs when (450 N1/3) B–0. Px is the in situ stress in the tunnel axis direction. Theoretically. It is also possible to characterise the degree of squeezing base on the same figure.1 < H < (450 N1/3) B–0. P=γH.1 < H < (630 N1/3) B–0. The above equation can be written in the form below for a circular tunnel under hydrostatic in situ stress field.1.Figure 6.

GSI).ISRM classifies squeezing rock mass and ground condition in Table 6. The prediction curve was compared with tunnel squeezing case histories. Overburden stress can be estimated from the overburden depth and rock unit weight. relating tunnel closure to rock mass strength/in situ stress ratio.2c Squeezing prediction curve and comparison with case histories. Figure 6.6. Studies carried out by Hoek (2000) indicate that squeezing can in fact start at rock mass strength / in situ stress ratio of 0.. A prediction curve was proposed by Hoek and reproduced in Figure 6. .2c.3.6.6.6.g. Table 6.2a.2a Suggested predictions of squeezing conditions The prediction equations for squeezing require the measurements of in situ stress and rock mass strength. Uniaxial compressive strength of the rock mass can be estimated from the Hoek-Brown criterion with rock mass quality assessment (e.

Depth. Change of vertical stress with depth is scattered about the tend line. Z (m) . Figure 3. which represents the overburden pressure.027 z. σv = 0.CHAPTER 3 In situ Stress In situ stress measurements have been compiled and presented in Figure 2.5.2a In situ stress measurements at various (Brady and Brown 157).2a.

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

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

Figure Borehole deformation gauge Theory and Equations Uni-axial stress . The surface is ground smooth with a hand grinding wheel. The rock surface is thoroughly dried before the gauges are cemented to the rock and dried with a hear lamp after gauges are cemented in place. When the vertical and horizontal stress in the rock is equal there will be no differential deformation along the two axes of the borehole. Strain gauges are sealed with waterproof mastic to protect them against moisture. Maximum deformation is caused to the vertical axis of a horizontal borehole due to the vertical stress (assuming the horizontal stress is in effective). 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.The surface on which the gauges are mounted required careful selection and preparation.

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

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

U= (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 magnitude and direction of the stresses S and T can be computed. 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. U= (5) When θ = 900.Bi-axial stress For bi-axial stress field and plane stress.

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. The flat jack is then placed in the slot and cemented tightly in place with quick-setting cement mortar. as shown in the figure. 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. The pressure in the flat jack is then a function of the original pressure in the rock before the slot was cut. 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. to accommodate a flat jack. . U2. In practice when a flat jack 70cm long and 70cm wide was used the distance A-B was made about 30cm.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. U3 a d S. 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. 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.

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.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.

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

Figure Axial deformation gauges Figure dial gauge deformeter .

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

Figure Evolution of Dual height Telltale .

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

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

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

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

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

or a special impression of its surface taken using an impression packer. to determine the orientation of the induced fracture. 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. the straightness and wall quality of the borehole are important. the borehole axis is parallel to the direction of one of the principal stress components 2. and associated services and personnel. After hydrofracturing. A simpler set-up would be applicable for in mine tests.Figure 14 Hydraulic fracture applications The method requires special equipment. the borehole has to be inspected using a television camera. . The classical stress determination from hydraulic fracturing tests is generally based on a few assumption and they are: 1. The borehole must be diamond drilled. the pressurization occurs sufficiently fast to avoid fluid permeating into the rock and thus alter the pore pressure within the rock matrix 3. A system for hydraulic fracturing stress measurements in deep boreholes is illustrated in Figure 15. 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. to carry out a measurement. Although this represents the full sophistication of the method.

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

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

Figure 16 Schematic arrangement of hydro-frac technique

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

Figure

17

Fracture propagation

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

Table 1 Test No Depth (m)

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

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

2.2 9.0 6.2 3.4 5.2 3.0 7.6

11.5 13.0 10.0 12.0 20.5 33.5 32.0

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

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

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