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,

known as contact metamorphism. These are the elements which combine to form the silicate minerals.1a). and thus new minerals are formed. Chemical weathering is the breakdown of rock by chemical reaction. Heat and pressure are the causes of metamorphism. When above 200°C. clay. They are formed deep beneath the Earth's surface by great stresses from rocks above and high pressures and temperatures. igneous rock or another older metamorphic rock (Figure 2.1.1. deposition and compaction. and by precipitation from solution. Another important mechanism of metamorphism is that of chemical reactions that occur between minerals without them melting. but count for only 5% of the rock in the earth crust. When an existing rock is subjected to heat and extreme pressure. 2.1. Sedimentary rocks include common types such as sandstone.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). shale. through metamorphism. The high temperatures and pressures in the depths of the Earth are the cause of the changes. Four basic processes are involved in the formation of a clastic sedimentary rock: weathering (erosion). Metamorphic rocks are also formed by the intrusion of molten rock (magma) into solid rock and form particularly at the place of contact between the magma and solid rock where the temperatures are high. 2. The existing rock may be sedimentary rock. Many complex high-temperature reactions may take place. Metamorphic rocks make up a large part of the Earth's crust and are classified by texture and by mineral assembly. All rocks disintegrate slowly as a result of mechanical weathering and chemical weathering. by the deposition of the results of biogenic activity. chalk and limestone. conglomerate. Mechanical weathering is the breakdown of rock into particles without producing changes in the chemical composition of the minerals in the rock. transportation. The combined effects of recrystallisation and re-orientation usually lead to foliation. which account for over 90% of all igneous rocks. heat causes minerals to recrystallise.potassium. but their great abundance is hidden on the Earth's surface by a relatively thin but widespread layer of sedimentary and metamorphic rocks. the rock undergoes profound physical and/or chemical change. iron. Sedimentary rocks cover 75% of the Earth's surface. Pressure forces some crystals to re-orient. which is a unique feature . and magnesium minerals.5 Metamorphic Rocks Metamorphic rock is a new rock type transformed from an existing rock type. and each mineral assemblage produced provides us with a clue as to the temperatures and pressures at the time of metamorphism. calcium. known as regional metamorphism. Igneous rocks make up approximately 95% of the upper part of the Earth's crust. In the process atoms are exchanged between the minerals.

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

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

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

Figure 2.4b Some typical bedding planes.4a Some typical bedding planes.2. .1b Typical rock masses. Figure 2.Figure 2.3.2.

2a). and (b) rock discontinuities that cuts through the rock.4. . and faults.4 Inhomogeneity and Anisotropy 2.3. (ii) Acts as weak planes for sliding and moving. to be free to fall and move (Figure 2.3. rock mass may also include filling materials in the discontinuities and dyke and sill igneous intrusions (Figure 2. Faults are often filled with weathered materials.3. Rocks are formed by nature and exhibits great inhomogeneity. 2.2 Inhomogeneity of Rock Masses Inhomogeneity of a rock mass is primarily due to the existence of discontinuities. Figure 2.3.3. (ii) Gives large deformation. blocks and wedges. in the form of intact rock plates.2a A dyke intrusion.2.4. 2. varying from extremely soft clay and fractured and crushed rocks. of various sizes. in the forms of fractures. blocks and wedges. joints. (iii)Alters stress distribution and orientation. In addition. Most of the engineering materials have varying degrees of inhomogeneity.1 Inhomogeneity of Rock Materials Inhomogeneity represents property varying with locations. interbedding and intrusion. they have relative small deformation and low permeability.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. Because the rock materials between rock joints are intact and solid. 2. It is therefore obvious that rock mass behaviour by large is governed by rock joints. (i) Provides water flow channel and creates flow networks.2 Composition of Rock Mass A rock mass contains (a) rock material. Rock materials and discontinuities together form rockmass.3a). Rock masses are also inhomogeneous due to the mix of rock types.

4.4.3b A Limestone rock mass with one dominating joint set.2.4. However. e. Phyllite and schist are the other foliated metamorphic rocks that exhibit anisotropy. under the influence of formation process and pressure.g. Figure 2. small degree of anisotropy is possible.4.. Figure 2. Rock mass anisotropy is controlled by (i) joint set (Figure 2.2a).4. Other sedimentary may not have clear anisotropy. (i) slate and (ii) sandstone. Some sedimentary rocks.3b). and (ii) sedimentary layer (Figure 2. as seen in Figure 2.3a.4.3 Anisotropy Anisotropy is defined as properties are different in different direction. . Rock with most obvious anisotropy is slate.Anisotropy occurs in both rock materials and rock mass. shale. have noticeable anisotropic characteristics.3a Some common anisotropic rocks.

and arrangement. 5. 3. Mineralogical composition . 2. 7. The term “rock texture” refers to the arrangement of its grains. Rock structure and texture affect the strength properties of the rock. This Chapter addresses properties of rock material. and texture. showing the geometrical aspects of the rock including shape.CHAPTER 3 PROPERTIES OF ROCK MATERIALS Rock material is the intact rock portion. Thus the texture is the appearance. 4.1 Physical Properties of Rock Material The physical properties of rocks affecting design and construction in rocks are: 1. One distinguishes between coarse-texture (coarse-grained) and fine-textures rock. 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. 8. 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. Specific gravity G Unit weight γ Porosity n Void ratio e Moisture content w Degree of saturation. structure. megascopic or microscopic. calcites. size. 6. . only about nine of them partake decisively in forming the composition of rocks. and • Dolomite These minerals are glued together by four types of materials such as silicates. 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. argillaceous and ferrous minerals. seen on a smooth surface of a mineral aggregate. 3. They are: • Quartz • Feldspar • Mica • Hornblende(Amphiboles) • Pyroxenes • Olivine • Calcite • Kaolinite.

Density. Void ratio (e) is the ratio of the volume of voids (VV) to the volume of solids (VS) e= VV VS Wd γ G = ⋅γW = V 1+ e 1+ w Porosity (n) describes how densely the material is packed.1.81 kN/m3 = 62. Porosity and Water Content Specific gravity is the ratio of the density of solids to the density of water. Most rocks have density between 2. 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 = 9.500nd 2. 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 1.4 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 = 9.81 kN/m3 w = moisture content of the sample .3.800 kg/m3. 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. It is sometimes defined by unit weight and specific gravity. and often related to the porosity of the rock. Density of rock material various.1 Specific Gravity.

It may also be represented in percent terms by multiplying the fraction by 100%.5 to 2. Figure Phase diagram illustrating the weights and volume relationship . High porosity therefore naturally leads to high permeability. Density and porosity often related to the strength of rock material. Water content is a measure indicating the amount of water the rock material contains. most rocks are well compacted and then have specific gravity between 2. Density is used to estimate overburden stress. 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. Porosity provides the void for water to flow through in a rock material.The value is typically ranging from less than 0. However.01 for solid granite to up to 0. A low density and high porosity rock usually has low strength. w= Ww W − WS × 100 = × 100 WS WS Degree of saturation S is S= Vw × 100 VV Density is common physical properties.8.5 for porous sandstone. It is simply the ratio of the weight of water (Ww) to the weight (WS) of the rock material.

including density and porosity of rock materials..1. 3.1. Table 3.1.4 Permeability Permeability is a measure of the ability of a material to transmit fluids. Abrasivity is highly influenced by the amount of quartz mineral in the rock material. Cerchar and other abrasivity tests are described later.Abrasivity measures are given by several tests. including igneous. As discussed earlier.3 Abrasivity Abrasivity measures the abrasiveness of a rock materials against other materials.2 Hardness Hardness is the characteristic of a solid material expressing its resistance to permanent deformation.1. steel. including mineral composition and density.Table 3. Hardness of rock materials depends on several factors. e. Porous rocks such as sandstones usually have high permeability while granites . generally have very low permeability. It is an important measure for estimate wear of rock drilling and boring equipment. 3.1a gives common physical properties. permeability of rock material is governed by porosity. Most rocks.1. A typical measure is the Schmidt rebound hardness number. The higher quartz content gives higher abrasivity.g.1a Physical properties of fresh rock materials 3. metamorphic and chemical sedimentary rocks.

2.2. the grains are not in good contact. while S-wave velocity measures the travel speed of shear (secondary) wave in the material. Usually compressive strength of rock is defined by the ultimate stress. 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). analysis and modeling. 3. using the same principle. Typical values of P and S wave velocities of some rocks are given in Table 3. and it will be discussed in a later chapter.have low permeability. except for those porous one.1.2. For a poorly compact rock material. The complete stressstrain curve can be divided into 6 sections. represent 6 stages that the rock material is undergoing. A well compacted rock has generally high velocity as the grains are all in good contact and wave are traveling through the solid.1 Compressive Strength Compressive strength is the capacity of a material to withstand axially directed compressive forces.2 Mechanical Properties of Rock Material 3. Figure 3. flow is concentrated in fractures in the rock mass. P wave velocity measures the travel speed of longitudinal (primary) wave in the material. 3. Permeability of rock fractures is discussed later. S waves. has limited interests as in the rock mass. Figure 4.1a. It is one of the most important mechanical properties of rock material.1.5 Wave Velocity Measurements of wave are often done by using P wave and sometimes. used in design. Permeability of rock materials.2.1c show the states of rock in those stages of compression. . The velocity measurements provide correlation to physical properties in terms of compaction degree of the material.1a presents a typical stress-strain curve of a rock under uniaxial compression. The most common measure of compressive strength is the uniaxial compressive strength or unconfined compressive strength. Wave velocities are also commonly used to assess the degree of rock mass fracturing at large scale.1b and Figure 3.

tends to be low. 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.depending on the strength of the rock. the stress-strain is largely recoverable. Stage III – The rock behaves near-linear elastic. The Poisson's ratio. The axial stress-strain curve is nearlinear and is nearly recoverable. particularly in stiffer unconfined rocks. Stage V – The rock has passed peak stress.1c Samples of rock material under uniaxial compression test and failure. in addition to deformation. Stage IV – The rock is undergone a rapid acceleration of microcracking events and volume increase. This causes an initial non-linearity of the axial stress-strain curve. There is a slight increase in lateral strain due to dilation. At this stage. both axially and laterally. pre-existing microcracks or pore orientated at large angles to the applied stress is closing. In this stage the crack arrays fork and coalesce into macrocracks or fractures. Stage II – The rock basically has a linearly elastic behaviour with linear stress-strain curves. This initial non-linearity is more obvious in weaker and more porous rocks. as the there is little permanent damage of the micro-structure of the rock material. of about 35-40% peak strength.2. The specimen is undergone strain softening (failure) .Figure 3. The upper boundary of the stage is the point of maximum compaction and zero volume change and occurs at about 80% peak strength. 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 .2.1a Typical uniaxial compression stress-strain curve of rock material. Micro-cracks are likely initiated at the later portion of this stage. The rock is primarily undergoing elastic deformation with minimum cracking inside the material. Figure 3. even though the internal structure is highly disrupt. Stage I – The rock is initially stressed. but is still intact.

In underground excavation. for small strains. Thus further strain will be concentrated on weaker elements of the rock which have already been subjected to strain. Stage VI – The rock has essentially parted to form a series of blocks rather than an intact structure. at peak stress the test specimen starts to become weaker with increasing strain.e. i. This in turn will lead to zones of concentrated strain or shear planes. Discussion on the influence of confining pressure to the mechanical characteristics is given in a later section. we often are interested in the rock at depth. Figure 3. Compressive strength with lateral pressures is higher than that without. . Typical strengths and modulus of common rocks are given in Table 3.2. and is subjected to lateral stresses.2 Young's Modulus and Poisson’s Ratio Young's Modulus is modulus of elasticity measuring of the stiffness of a rock material. the stress-strain characteristics also changed. of the rate of change of stress with strain.1d shows the results of a series triaxial compression tests.2. This can be experimentally determined from the slope of a stress-strain curve obtained during compressional or tensile tests conducted on a rock sample. These blocks slide across each other and the predominant deformation mechanism is friction between the sliding blocks.2.1d Triaxial compression test and failure 3. Secondary fractures may occur due to differential shearing. In addition to the significant increase of strength with confining pressure. equivalent to the frictional resistance of the sliding blocks.deformation. Figure 3. The rock is covered by overburden materials.2.. The axial stress or force acting on the specimen tends to fall to a constant residual strength value. It is defined as the ratio.1a. The compressive strength with lateral pressures is called triaxial compressive strength.

. As seen from the tests that at later stage of loading beyond. Rocks can have brittle or ductile behaviour after peak. Young’s Modulus of rock materials varies widely with rock type. Strain at failure increases with increasing confining pressure under triaxial compression conditions.3a.2 to 0. behave ductile. mainly of sedimentary origin.2. typically crystalline rocks. while soft rock.2. A few soft rocks. at linearly-elastic region. Poisson’s ratio measures the ratio of lateral strain to axial strain. have low strain at failure. For extremely hard and strong rocks. Rocks generally fail at a small strain. For most rocks. Strain at failure is the strain measured at ultimate stress. Brittle rocks. Similar to strength. the Poisson’s ratio is between 0. including all crystalline igneous. could have relatively high strain at failure. Strain at failure sometimes is used as a measure of brittleness of the rock. that is.1a Mechanical properties of rock materials. Young’s Modulus can be as high as 100 GPa.4.Table 3.15 and 0. as shown in Figure 3. typically around 0. beyond the linearly elastic region the increase in lateral strain is faster than the axial strain and hence indicates a higher ratio. such as shale and mudstone. behave brittle under uniaxial compression. Most rocks. 3.4% under uniaxial compression.3 Stress-Strain at and after Peak A complete stress-strain curve for a rock specimen in uniaxial compression test can be obtained.2. metamorphic and sedimentary rocks.

Rock material generally has a low tensile strength. Different rocks have different cohesions and different friction angles. Brazilian test and flexure test.Figure 3. Figure 3.. . Cohesion is a measure of internal bonding of the rock material. maximum tensile stress the rock material can withstand. The existence of microcracks may also be the cause of rock failing suddenly in tension with a small strain.2. Direct test is not commonly performed due to the difficulty in sample preparation.4 Tensile Strength Tensile strength of rock material is normally defined by the ultimate strength in tension.4a illustrates the failure mechanism of the Brazilian tensile tests. Rock resists shear stress by two internal mechanisms. φ. The most common tensile strength determination is by the Brazilian tests.2. The low tensile strength is due to the existence of microcracks in the rock. 3. Internal friction is caused by contact between particles. i.2. cohesion and internal friction. 3.5 Shear Strength Shear strength is used to describe the strength of rock materials. Tensile strength of rock materials can be obtained from several types of tensile tests: direct tensile test.2. Figure 3. to resist deformation due to shear stress.3a Complete stress-strain curves of several rocks showing post peak behaviour (Brady and Brown). and is defined by the internal friction angle.2.4a Stress and failure of Brazilian tensile tests by RFPA simulation.e.

In practice. It shows that with increasing confining pressure. Figure 3.2.1 Effects of Confining Pressure Figure 4. Rocks generally have high compressive strength so failure in pure compression is not common.g. granite and quartzite. 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.5a Determination of shear strength by triaxial tests. as shown in Figure 3. With a series of triaxial tests conducted at different confining pressures. 3. igneous and high grade metamorphic rocks.3. even the loading may appears to be compression.Shear strength of rock material can be determined by direct shear test and by triaxial compression tests.3 Effects of Confining and Pore Water Pressures on Strength and Deformation 3. (c) (d) The confining pressure that causes the post-peak reduction in strength disappears and the behaviour becomes fully ductile (48.5a. Tensile and shear strengths are important as rock fails mostly in tension and in shearing. the region incorporating the peak of the axial stress-axial strain curve flattens and widens. In general. there is a transition from typically brittle to fully ductile behaviour with the introduction of plastic mechanism of deformation. By plotting Mohr circles. peak stresses (σ1) are obtained at various lateral stresses (σ3). is known as the brittle-ductile transition pressure. . This brittle-ductile transition pressure varies with rock type..3 MPa in the figure).3. remain brittle at room temperature at confining pressures of up to 1000 MPa or more. e. (a) (b) the peak strength increases. the post-peak drop in stress to the residual strength reduces and disappears at high confining stress.2. the later methods is widely used and accepted.

Effect of pore water pressure is only applicable for porous rocks where sufficient pore pressure can be developed within the materials. 3.Figure 3. but with various level of pore pressure (0-69 MPa). There is a transition from ductile to brittle behaviour as pore pressure is increased from 0 to 69 MPa.1a Complete axial stress-axial strain curves obtained in triaxial compression tests on Marble at various confining pressures (after Wawersik & Fairhurst 1970).3. mechanical response is controlled by the effective confining stress (σ3' = σ3 – u). Figure 3. A series of triaxial compression tests was carried out on a limestone with a constant confining pressure of 69 MPa.2a. .2a Effect of pore pressure on the stress-strain behaviour of rock materials. In this case.3.3. the classical effective stress law does not hold.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 4.3. For low porosity rocks.

It gives the standard point load index.5 Relationships between Physical and Mechanical Properties 3. From the theory of elasticity.1 Point Load Strength Index Point load test is another simple index test for rock material. 4. with size correction to an equivalent core diameter of 50 mm. At the same time.5. The correlation between hardness and strength is shown in Figure 3. the hardness index can be used to estimate uniaxial compressive strength of the rock material.2 Effect of Water Content on Strength Many tests showed that the when rock materials are saturated or in wet condition. calculated from the point load at failure and the size of the specimen.1a Correlation between hardness. it is also used to estimate the elastic modulus of the rock material.5.1 Rock Hardness. compressional (or longitudinal) P-wave velocity (vp) is related to the elastic modulus E s and the density (ρ) of the material as. Young’s Modulus and Strength.5.1a. Is(50). Figure 3. the uniaxial compressive strength is reduced. compared to the strength in dry condition.5. Density. The correlation is also influenced by the density of the material.5. and Strength Schmidt hammer rebound hardness is often measured during early part of field investigation. It is a measure of the hardness of the rock material by count the rebound degree. 3. .3.3 Velocity and Modulus While seismic wave velocity gives a physical measurement of the rock material.4 Other Engineering Properties of Rock Materials 3. 3.4.

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

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

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

It also overestimates tensile strength.6.6. 3. due to its simplicity and popularity. At h i h σ3.The Mohr-Coulomb strength envelope can also be shown in σ1–σ3 plots. Griffith obtained the following criterion for crack extension in plane compression: Figure 3. it overestimates the strength.2a Griffith crack model for plane compression. Griffith extended the theory to the case of applied compressive stresses. rock engineering deals with shallow problems and low σ3. and or g The Mohr-Coulomb criterion is only suitable for the low range of σ3. as seen in Figure 4.2 Griffith strength criterion Based on the energy instability concept. . Assuming that the elliptical crack will propagate from the points of maximum tensile stress concentration (P in Figure 4. so the criterion is widely used. In most cases.6. Then.6.1b.2a).

When σ3 = 0.6. 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. the above equation becomes It in fact suggests that the uniaxial compressive stress at crack extension is always eight times the uniaxial tensile strength Figure 3. which represents the cohesion. One of the most widely used criteria is Hoek-Brown criterion for isotropic rock materials and rock masses.2b.6.2b Griffith envelope for crack extension in compression.where σt is the uniaxial tensile strength of the material.6. τ = 2σt. 3.3 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. a number of empirical strength criteria have been introduced for practical use. 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: . The strength envelopes given by the above equations in principal stresses and in normal and shear stresses are shown in Figure 3.

.3a Normalized peak strength envelope for (i) granites and (ii) sandstones (after Hoek & Brown 1980). plane of weakness or foliation plane.3a shows normalized Hoek-Brown peak strength envelope for some rocks. The Hoek-Brown peak strength criterion is an empirical criterion based on substantial test results on various rocks. It is however very easy to use and select parameters. It is therefore only the simplest form of anisotropy.1 Strength of rock material with Anisotropy Rocks. It is also extended to rock masses with the same equation. with respect to the principal stress directions. such as shale and slate. so it gives low strength estimate than the MohrCoulomb envelope.6. There are several forms of anisotropy with various degrees of complexity. transverse isotropy. the envelope curves down.Figure 3. Figure 3.6. The peak strengths developed by transversely isotropic rocks in triaxial compression vary with the orientation of the plane of isotropy. 3. but a curve. Figure 3.7 Effects of Rock Microstructures on Mechanical Properties 3. It is evident that the Hoek-Brown strength envelope is not a straight line.7. hence makes it is so far the only acceptable criterion for both material and mass. the behaviour of those rocks is anisotropic. At high stress level.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. or the presence of bedding or cleavage planes.7. are not isotropic. to be discussed here. Because of some preferred orientation of fabric or microstructure.

7.1a can be given by the equation below (Brady & Brown 1985): Where: c w = cohesion of the plane of weakness.7. . β = inclination of the plane. 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. The minimum strength occurs when The corresponding value of principal stress difference is.Figure 3.

3 Failure Mechanism of Rock Material under Impact and Shock Loading 3.8.7. This in fact shows that when the rock containing an existing weakness plane that is about to become a failure plane. hence β is about 60° to 70°.1b Variation of σ1 at constant σ3 with angle β. φw is about 30° to 50°. Figure 3.8. In compression tests. When the weakness plane is at an angle of 45° + ½ φw. two axial deformations and one circumferential deformation measurements are recorded at every 25 KN interval until failure. .Figure 3.7. The load is measured by a load transducer.8 Time Dependent Characteristics of Rock Materials 3.8.1 Rheologic Properties of Rock Materials 3. intact rock specimens generally fail to form a shear plane at an angle about 60° to 70°.2 Effect of Loading Rate on Rock Strength 3. Uniaxial compressive strength. The specimen is then compressed under a stiff compression machine with a spherical seating. the rock has the lowest strength. The axial stress is applied with a constant strain rate around 1 μm/s such that failure occurs within 5-10 minutes of loading. Two axial and one circumferential deformation measurement devices (LVDTs) are attached to each of the specimen. stress and strain relationship.9 Laboratory Testing of Rock Materials 3.1 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. Fo r rock s.9. Load. plotted using the above equation. 3. the strength is the lowest. Young's modules (at 50% of failure stress) and Poisson's ratio (at 50% of failure stress) can be calculated from the failure load.1b shows variation of σ1 at constant σ3 with angle β.

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

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

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

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

9. The length is measured. . 3.8 Hardness (a) Schmidt Hammer Rebound Hardness A Schmidt hammer with rebound measurement is used for this test. At least 20 tests should be conducted on any one rock specimen. The velocity is calculated from dividing the length of rock sample by wave travel time. An ultrasonic digital indicator consist a pulse generator unit. 3.9.9. The Schmidt hammer is point perpendicularly and touch the surface of rock. Figure 3.9. The hammer is released and reading on the hammer is taken. transmitter and receiver transducers are used for sonic pulse velocity measurement. 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. and to use the remaining reading for calculating the average hardness value. The reading gives directly the Schmidt hammer hardness value.7a Measuring P and S wave velocity in a rock specimen.7 Ultrasonic wave velocity Cylindrical rock sample is prepared by cutting and lapping the ends.Figure 3. If the hammer is point to horizontal and upward.6a Point load test. The standard Schmidt hardness number is taken when the hammer is point vertically down. correction is needed to add to the number from the hammer. It is suggest to omit 2 lowest and 2 highest reading.

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

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

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

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.

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. Figure 6.1.Figure 6.1.1.2a Rock class and rock load factor classification by Terzaghi for steel arch supported tunnels .3a Definition of active span.

6.1.4 Rock Quality Designation (RQD) (Deere 1964) .

Originally. RQD partially reflects on the rock mass quality. joint surface weathering and alteration. Condition of joints: Condition includes joint aperture. close associated with excavation for the mining industry (Bieniawski 1973). 1989) The rock mass rating (RMR) system is a rock mass quality classification developed by South African Council for Scientific and Industrial Research (CSIR). It does not account for the strength of the rock or mechanical and other geometrical properties of the joints.2.1. Groundwater conditions: It is to account for groundwater inflow in excavation stability. persistence. and presence of infilling.2a reproduces the proposed expression of rock mass quality classification according to RQD. this geomechanics classification system incorporated eight parameters. Spacing of joints: Average spacing of all rock discontinuities is used. Individual rate for each parameter is . Table 6. Table 6.2a Rock mass quality classification according to RQD RQD has been widely accepted as a measure of fracturing degree of the rock mass. For rock of moderate to high strength. 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. As discussed earlier. point load index is acceptable. 6. His parameter has been used in the rock mass classification systems.1.2 Rock Mass Rating – RMR System 6.Rock quality designation (RQD) was introduced in 1960s.1a is the RMR classification updated in 1989. RQD only represents the degree of fracturing of the rock mass. RQD: RQD is used as described before. (a) Strength of intact rock material: Uniaxial compressive strength is preferred. Therefore.1 Concept of RMR System (1973. roughness. (b) (c) (d) (e) Table 6. including the RMR and the Q systems.2. as an attempt to quantify rock mass quality.

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

.

average rock material uniaxial compressive strength is 160 MPa.1a Stand-up time and RMR quality 6. average RQD is 88%. Selection of RMR parameters and calculation of RMR are shown below: . 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. joint surfaces are generally stepped and rough. the excavation surface is wet but not dripping.2.24 m.Figure 6. tightly closed and unweathered with occasional stains observed.2 Examples of using RMR System (a) A granite rock mass containing 3 joint sets.

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

SMR = RMR + (F1⋅F2⋅F3) + F4 where F1 = (1 .2. F2 = (tan βj)2 B = joint dip angle = βj. F2 = 1.2. Closest match and approximation is to be used to determine each of the RMR parameter rating.αs|. Details on rock slope analysis and engineering including excavation methods and support and stabilisation will be covered in a later chapter dealing slope engineering. 6. For topping. It falls in rock class D which indicates the rock mass is of poor quality. SMR value is obtained by adjust RMR value with orientation and excavation adjustments for slopes.RQD = 100 e–0.05 m Selection of RMR parameters and calculation of RMR are shown below: The calculated basic RMR is 34.3a. i.1λ (0.. Table 6.0 Value of F1. which gives average joint spacing 0.sin A)2 and A = angle between the strikes of the slope and the joint = |αj .3b gives the classification category of rock mass slope. 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.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.1λ +1) (where λ is the mean number of discontinuities per meter) Joint frequency is estimated to be 20.2. F2 and F3 are given in Table 6.e. .

Jn is the joint set number accounting for the number of joint sets.2. The system was based on evaluation of a large number of case histories of underground excavation stability.3 Rock Tunnel Quality Q-System 6. F2.2.1 Concept of the Q-System The Q-system was developed as a rock tunnelling quality index by the Norwegian Geotechnical Institute (NGI) (Barton et al 1974). and is an index for the determination of the tunnelling quality of a rock mass. The numerical value of this index Q is defined by: RQD is the Rock Quality Designation measuring the fracturing degree.3.3a Classification of Rock Slope according to SMT 6. F3 and F4 for joints Table 6.Table 6. Jr is the joint roughness number .3a Adjustment rating of F1.

Equivalent dimension is used in the figure and ESR is given in Table 6. Ja is the joint alteration number indicating the degree of weathering.3.1c.3. Q value is applied to estimate the support measure for a tunnel of a given dimension and usage.3.1a. and SRF is the stress reduction factor indicating the influence of in situ stress. as shown in Figure 6.3.1a.1b.1a Rock mass classification Q system . shown in Table 6.accounting for the joint surface roughness. Jw is the joint water reduction factor accounting for the problem from groundwater pressure. Table 6. Q value is considered as a function of only three parameters which are crude measures of: (a) (b) (c) Block size: Inter-block shear strength Active stress RQD / Jn Jr / Ja Jw / SRF Parameters and rating of the Q system is given in Table 6. The classification system gives a Q value which indicates the rock mass quality. alteration and filling.3.

quantities of swelling clays .

.

3.1b Rock mass quality rating according to Q values .Table 6.

3.3.2 Examples of Using the Q-System .1c Excavation Support Ratio (ESR) for various tunnel categories 6.Figure 6.3.1a Support design based on Q value Table 6.

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

The abrasive or nonabrasive nature of the rock is incorporated via the cutter life index (CLI). 6. and SRF ratings are the same parameters in the original Q-system. 20 in the CLI term and 5 in the σθ term are normalising constants. Orientation of joint structure is accounted for. with considerable outwash of joint fillings. and σθ is the induced biaxial stress (MPa) on tunnel face in the same zone.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. σm is the rock mass strength (MPa) estimated from a complicated equation including the Q-value measured in the tunnel direction. Jn. Selection of Q parameters and calculation of Q-value are shown below: The calculated Q-value is 0. Jw. Again. q is the quartz content (%) in rock mineralogy. The new parameter QTBM is to estimate TBM performance during tunnelling. Jr. The tunnel is at 220 m below ground. The components of the QTBM are as follows: where RQD0= RQD (%) measured in the tunnelling direction.MPa. inflow per 10 m tunnel length is observed at approximately 50 litre/minute. Ja. together with the rock material strength.3. The method is based on the Q-system and average cutter force in relations to the appropriate rock mass strength. Rock stress level is also considered. 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. CLI is the cutter life index. The constants 20 in the σm term. . and the rock mass is classified as very poor quality.85.

However. GSI does not include the parameter of rock strength. However. Rock mass structure given in the chart is general description and there may be many cases that does not directly match the description.The experiences on the application of QTBM vary between projects. with increasing of rock mass quality. such as sheared zones. Although QTBM has added a number of parameters to reflect cutting force and wear. 6. the following equivalent between rock mass structural descriptions of blocky to the block size description is suggested below.1 GSI System The Geological Strength Index (GSI) was introduced by Hoek in 1994. The use of GSI requires careful examination and understanding of engineering geological features of the rock mass. penetration decreases. The systems were not meant for the design of excavation methodology. In general. Rock mass classification systems.4.4 Geological Strength Index GSI System and Others 6. as GSI was initiated to be a tool to estimate rock mass strength with the Hoek-Brown strength criterion. when developed. The original rock mass classifications are independent of TBM characteristics. The direct application of GSI value is to estimate the parameters in the Hoek-Brown strength criterion for rock masses. simple block size description does not include geological structural features. It appears that the correlation between QTBM and Advanced Rate is not consistent and varies with a large margin. while penetration however is a result of interaction between rock mass properties and TBM machine parameters (Zhao 2006).1a. In general. the emphasis is obviously not be justified. were intended to classify rock mass quality to arrive a suitable support design. The system gives a GSI value estimated from rock mass structure and rock discontinuity surface condition.3a.2. Parameters in those rock mass classifications were related to support design.4. including RMR and Q. This system is presented in Tables 6. such as folds and shear zones. It was aimed to estimate the reduction in rock mass strength for different geological conditions. In the Hoek-Brown . GSI system has been modified and updated in the recent years. the GSI value does in fact reflect the rock mass quality. very poor rock mass does not facilitate penetration. they were not selected to describe rock mass boreability. Example of using the QTBM is given in Figure 6. Although it was not aimed at to be a rock mass classification. mainly to cover more complex geological features.

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

Refer to the GSI chart. and Joint Surface Condition is very good.2 Examples of Using the GSI System Examples of estimating GSI is given below. joint surfaces are generally stepped and rough. the excavation surface is wet but not dripping. joint are separated by about 3-5 mm. The tunnel is at 220 m below ground. and are highly weathered. average joint spacing is 0. and Joint Surface Condition is fair to poor. The rock mass is classified as very poor to poor quality. The rock mass is classified as good to very good quality. average rock material uniaxial compressive strength is 65 MPa. average rock material uniaxial compressive strength is 85 MPa. (a) Granite rock mass containing 3 joint sets. The rock mass is classified as fair quality. joints appears continuous observed in tunnel. Rock Mass Structure for the above granite is blocky. Therefore GSI is 20±5. found to have 2 joint sets and many random fractures. joints are generally in contact with apertures generally less than 1 mm. fractured by 2 joint sets plus random fractures. tightly closed and unweathered with occasional stains observed.4. the tunnel is to be excavated at 80 m below ground level and the groundwater table is 10 m below the ground surface. Therefore GSI is 75±5. with considerable outwash of joint fillings.24 m. Refer to the GSI chart. with the same rock masses used previously to estimate RMR and Q. highly weathered with stains and weathered surface but no clay found on surface. the tunnel is excavated to 150 m below the ground where no abnormal high in situ stress is expected.Table 6. average RQD is 41%. inflow per 10 m tunnel length is observed at approximately 50 litre/minute. . (b) A sandstone rock mass.4.11 m. filled with clay. average RQD is 70%. joint surfaces are slickensided and undulating. joint surfaces are slightly rough. and Joint Surface Condition is very poor. average RQD is 88%.1b Rock mass classes determined from GSI 6. Rock Mass Structure for the above sandstone is very blocky. Refer to the GSI chart. average rock material uniaxial compressive strength is 160 MPa. Rock Mass Structure for the above siltstone is blocky /folded/ faulted. (c) A highly fractured siltstone rock mass. Therefore GSI is 40±5. average joint spacing is 0.

4.4. it is perhaps better to select a range of the GSI value for that rock mass.4.3 Correlation and Comparison between Q. Figure 6. Figure 6. RMR = 9 lnQ + A A varies between 26 and 62. Q and GSI from the above three examples are given below. Summary of RMR. . and average of A is 44.It is advised that while selecting an average value of GSI. RMR and GSI Correlation between Q and RMR are found to be.3a Correlation between RMR and Q values.3a shows the comparison and correlation between RMR and Q. 6.

The importance of in situ stress on the stability of underground excavation is insufficiently represented in the Q-system. i.4.. N Rock Mass Number (N) is the rock mass quality Q value when SRF is set at 1 (i. For example. In section. the value of RMR is very difficult to estimate and the correlation between RMR and GSI is no longer reliable. GSI = RMR – 5 RMR is the basic RMR value by setting the Groundwater rating at 15 (dry).. . the value assign to SRF cover too great range. and without adjustment for joint orientation. RMR classification should not be used for estimating the GSI values for poor quality rock masses. For that reason. They are all in the general form of semi-log equation. The use of N in squeezing rock mass classification will be presented in a later section in this chapter. one of which is: RMR = 13. It has been noticed that SRF in the Q-system is not sensitive in rock engineering design. Squeezing has been noted in the Q-system but is not sufficiently dealt. for a rock with σc = 50 MPa. stress reduction is not considered). N can be computed as.e. Consequently. For very poor quality rock masses.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. For generally competent rock masses with GSI > 25. a few will be briefly discussed due to their unique application in certain aspect. in situ stresses of 0.5 logQ +43. (a) Rock Mass Number. SRF = 1 for σc/σ1 = 10~200. due to the special behaviour and nature of the squeezing ground. 6. It should be noted that each classification uses a set of parameters that are different from other classifications.3 Other Classification Systems Several other classification approaches have been proposed.Several other correlation equations have been proposed. normal condition. estimate the value of one classification from another is not advisable. the value of GSI can be related to Rock Mass Rating RMR value as. Another application of N number is to the rock squeezing condition.e.

In another word. It is calculated by the following equation.5 Rock Mass Strength and Rock Mass Quality 6. 6. 6. a rock mass of good quality (strong rock.2 Hoek-Brown Strength Criterion of Rock Mass Hoek and Brown criterion discussed in Chapter 4 is not only for rock materials. few joints and good joint surface quality) will have a higher strength and high deformation modulus than that of a poor rock mass. Jp = 0 for a crushed rock masses. RMi = σc Jp where σc is the uniaxial compressive strength of the intact rock material. Jp = 1 for a intact rock.5. In general. and Jp is the jointing parameter accounting for 4 joint characteristics. It is also applicable to rock masses (Figure 6. strength and deformation properties of a rock mass are much governed by the existence of joints.(b) Rock Mass Index. The Hoek-Brown criterion for rock mass is described by the following equation: or . joint alteration and joint size.2a). joint roughness. namely. Jp is in fact a reduction factor representing the effects of jointing on the strength of rock mass.1 Strength of Rock Mass As discussed earlier. the mechanical properties of a rock mass are also related to the quality of the rock mass. RMi Rock Mass Index is proposed as an index characterising rock mass strength as a construction material.5.5. joint density (or block size).

5. Table 6. .2a Applicability of Hoek-Brown criterion for rock material and rock masses. σ1 is the strength of the rock mass at a confining pressure σ3.. The HoekBrown criterion for intact rock material is a special form of the generalised equation when s =1 and a = 0. The equation above is the generalised Hoek-Brown criterion of rock mass. σci is the uniaxial strength of the intact rock in the rock mass. Parameter a is generally equal to 0. 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. For intact rock. Constants mb and s are parameters that changes with rock type and rock mass quality.5.5. i.5. In the generalised Hoek-Brown criterion. Note in the Hoek-Brown criterion. mb becomes mi.2a gives an earlier suggestion of mb and s values.Figure 6.e.

5.Table 6.5. Table 6.2a Relation between rock mass quality and Hoek. according to different rocks.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.

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

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

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

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

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

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

squeezing conditions around a tunnel opening can occur when.2b Squeezing ground condition is presented by: H > (275 N1/3) B–0.1 Moderate squeezing occurs when (450 N1/3) B–0. and A is a rock parameter proportion to friction. It is also possible to characterise the degree of squeezing base on the same figure.1.1 < H < (630 N1/3) B–0. P=γH.1 High squeezing occurs when H > (630 N1/3) B–0.6. σθ > Strength = σcm + Px A/2 where σθ is the tangential stress at the tunnel opening. Theoretically.1 < H < (450 N1/3) B–0. Px is the in situ stress in the tunnel axis direction. Squeezing may not occur in hard rocks with high values of parameter A. Mild squeezing occurs when (275 N1/3) B–0.Figure 6. . σcm is the uniaxial compressive strength of the rock mass. The above equation can be written in the form below for a circular tunnel under hydrostatic in situ stress field. with overburden stress P.1.

Overburden stress can be estimated from the overburden depth and rock unit weight.2a Suggested predictions of squeezing conditions The prediction equations for squeezing require the measurements of in situ stress and rock mass strength.6.3. Table 6. relating tunnel closure to rock mass strength/in situ stress ratio.. Studies carried out by Hoek (2000) indicate that squeezing can in fact start at rock mass strength / in situ stress ratio of 0. Uniaxial compressive strength of the rock mass can be estimated from the Hoek-Brown criterion with rock mass quality assessment (e.2c Squeezing prediction curve and comparison with case histories.2a.6.2c. A prediction curve was proposed by Hoek and reproduced in Figure 6.6. Figure 6. GSI).ISRM classifies squeezing rock mass and ground condition in Table 6. The prediction curve was compared with tunnel squeezing case histories. .g.6.

027 z. Z (m) . Depth.2a.5. Change of vertical stress with depth is scattered about the tend line. σv = 0. Figure 3.CHAPTER 3 In situ Stress In situ stress measurements have been compiled and presented in Figure 2.2a In situ stress measurements at various (Brady and Brown 157). which represents the overburden pressure.

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

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

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

The deformation of the hole in a uni-axial stress and in plan stress is given by U= dS (1) (1 + 2 cos 2θ ) E = deformation of hole (change in length of a diameter) = radius of hole = diameter of hole = 2a = perpendicularly applied stress (for a uniaxial stress field T = 0) = angle (counterclockwise) from S to r = modulus of elasticity T Where U a d S. the deformation is in the direction of the applied uniaxial stress. The deformation versus the angle θ for one quadrant of the hole ( θ = 00 to θ = 900) is plotted in the figure below . the deformation is U= U =− dS E (2) (3) And the minus sign signifies that. the hole (at the point) is expanding. T θ E r S θ S T Figure Schematic representation of biaxial stress acting across a borehole When θ = 00. and equation 1 reduces to 3dS E 0 When θ = 90 . 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 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. 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 .Bi-axial stress For bi-axial stress field and plane stress. U= (5) When θ = 900. the magnitude and direction of the stresses S and T can be computed.

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

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

Figure Axial deformation gauges Figure dial gauge deformeter .

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

Figure Evolution of Dual height Telltale .

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

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

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

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

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

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

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

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

Figure 16 Schematic arrangement of hydro-frac technique

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

Figure

17

Fracture propagation

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

Table 1 Test No Depth (m)

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

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

2.2 9.0 6.2 3.4 5.2 3.0 7.6

11.5 13.0 10.0 12.0 20.5 33.5 32.0

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

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

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