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Rock Mechanics

CONTENTS:

•Stress

•Strain

•Constitutive relations

•Rock index properties

•Material behaviour under stress

•Rock mechanics laboratory tests

•Failure criteria

•Ground stresses

•In situ stress measurement methods

•Discontinuities

•Rock mass behaviour

•Other parameters affecting rock

behaviour

•Some applications of rock mechanics

- slope stability analysis

- underground excavations

2

(STRESS)

a. Understanding a pre-existing state of

stress in the earth

b. Following an engineering activity, stress

state can change significantly

c. Stress is a TENSOR. Tensor is a

complicated thing to understand!

3

Point 2. Tensorial property

•Scalar properties have only magnitude

(e.g. temperature)

•Vector properties have magnitude &

direction (e.g. force)

•Tensorial properties have magnitude,

direction & a plane acting on (e.g. stress,

strain, permeability)

Mathematically speaking, tensor is a matrix,

which follows special transfer rules

Similar to resolving force into its

components, in order to determine stress

components, “transfer rules” are used

4

Lets consider a cube of material with its

faces parallel to x,y & z axes, respectively

Shear component

Force is applied at an Resolving into normal resolved into two

arbitrary direction & shear components Cartesian components

N N

F SX

S

SY

y x

components (not before that), stress can be

calculates as force divided by the area (F/A)

5

Point 4. Stress is a point property

In fact, strictly speaking, stress if defined

when the area tends towards zero

δF

stress = lim

δA→0 δA

consideration for stress studies

6

Point 5. Stress components can be

expressed as a matrix

Each component on infinitesimal cube has a

name

σz

τ zy τ zx y x

τ xzτ

τ yz xy

z

τ yx

σx

σy

⎡σx τ xy τ xz ⎤

⎢ ⎥

Stress matrix = σij =

⎢τ yx σ y τ yz ⎥

⎢τ zx τ zy σz ⎥

⎣ ⎦

7

Point 6. Stress tensor is symmetric

Considering no momentum for infinitesimal

cube, it can be found that

τzx =τxz , τyz =τzy , τxy =τyx

i.e. the stress tensor is symmetric

⎡σ x τ xy τ xz ⎤

⎢ ⎥

⎢τ yx σ y τ yz ⎥ Symmetry over

major diagonal

⎢τ zx τ zy σ z ⎥

⎣ ⎦

Point 7. Stress state at each point has

six independent components

⎡σx τ xy τ xz ⎤

Three normal components ⎢ σ τ ⎥

Three shear components ⎢ mm

s y y yz ⎥

⎢⎣ etry σz ⎥⎦

A vector has two components 8

A tensor has six components

Point 9. There is a specific direction in

the space along which the shear

stresses are vanished & only normal

stresses exist: these stresses called

“principal Stresses”

σ1

σ2 σ3

⎢ ⎥ ⎢0 σ 0⎥

⎢τyx σyy τyz⎥ ⎢ 2 ⎥

⎢τzx τzy σzz⎥ ⎢⎣ 0 0 σ3⎥⎦

⎣ ⎦

σ1 > σ2 > σ3

Here three normal stresses & three rotation

9

angles come into play

Point 9. All excavation boundaries are

principal stress planes

σ3 = 0

τ =0

air

σ1

rock

(Newton’s third law), & also there is no

reaction force. So, the drilling boundary is a

principal stress plane

independent measurement is required, as

stress has six independent components.

Otherwise some assumptions are to be

made 10

Names for different stress states

σ1

⎡15.2 0 0⎤

⎢ 0 ⎥

⎢ 0 0 ⎥ Uniaxial

⎢⎣ 0 0 0⎥⎦

⎡8.3 0 0⎤ σ1

⎢ 0 8.3 0⎥ Biaxial

⎢ ⎥ σ1

⎢⎣ 0 0 0⎥⎦

σ3

⎡25.3 0 0⎤

σ1

⎢ 0 25. 3 0 ⎥ Triaxial

⎢ ⎥

⎢⎣ 0 0 3.9⎥⎦ σ 1

σ3

⎡18.5 0 0⎤ σ2

⎢ 0 9. 8 0 ⎥ Polyaxial

⎢ ⎥ σ1

⎢⎣ 0 0 3.9⎥⎦

σ1

⎡45.2 0 0 ⎤

⎢ 0 45 .2 0 ⎥ σ1

⎢ ⎥ Hydrostatic

⎢⎣ 0 0 45.2⎥⎦ σ 1 11

Summation & averaging stresses

Consider these two stress tensors

⎡σ 1A 0 ⎤ ⎡σ 1B 0 ⎤

⎢ A⎥ ⎢ B⎥

⎣ 0 σ2 ⎦ ⎣ 0 σ2 ⎦

σ A σ 2B

1 σ 2A

σ1B

σ 1B

σ 2A σ 1A σ 2B

Before summation, the tensors need to be

transferred to a common Cartesian axes

σ yA σ yB

τ A

yx τ yxB

σ A

x

σ xA σ xB σ xB

τ A

xy τ xyB

σ yA σ yB

⎡(σ xA + σ xB ) (τ xyA + τ xyB ) ⎤

⎢ A B ⎥

12

⎢⎣ (τ yx + τ yx ) (σ y + σ y ) ⎥⎦

B A

Basic practices on 2D stress states

Two practices are common in rock mechanics:

•Calculate principal stresses

•Calculate stresses at a given direction

“Mohr Circle” is a useful tool for this purpose

σy

σ2 σm σl

σ1 τ yx

σx τ

ml τ lm

τ xy

Rotation α Rotation β

−τ σl ,τ lm

σ y ,τ yx

2β

σ2 2α σ1 σ

σ x ,τ xy

+τ σ m ,τ ml

13

3D principal stresses

satisfy following determinant expression

σx −σp τxy τxz

τyx σy −σp τyz =0

τzx τzy σz −σp

which leads to

σ 3p − I1σ p2 + I 2σ p − I 3 = 0

where

I1 = σ x + σ y + σ z

I 2 = σ xσ y + σ yσ z + σ xσ z − τ xy2 − τ yz2 − τ zx2

I 3 = σ xσ yσ z + 2τ xyτ yzτ zx − σ xτ zy2 − σ yτ zx2 − σ zτ xy2

I1, I2 & I3 are called first, second & third

“stress invariant”, respectively. These

invariants are similar for any stress state, for

example principal stresses

I1 = σ 1 + σ 2 + σ 3

I 2 = σ 1σ 2 + σ 2σ 3 + σ 1σ 3 14

I 3 = σ 1σ 2σ 3

Principal stresses can also be calculated by

these formulae (in a spreadsheet)

J1 = I12 − 3I 2

J 2 = I13 − 4.5I1 I 2 + 13.5 I 3

J 3 = J13 − J 22

I 4 = J1

J3 π

θ = tan ( )

1

3

−1

0 ≤θ ≤

J2 3

σ 1 = 13 [ I1 + 2 I 4 cos θ ]

σ 2 = 13 [ I1 + 2 I 4 cos(θ − 23π )]

σ 3 = 13 [ I1 + 2 I 4 cos(θ − 43π )]

15

Stress tensor transformation

Generally, we know the stresses

corresponding to global coordinate system &

stress state corresponding to a local

coordinate system is to be determined. For

example, here, stresses applied on a sample

in xy axes is known, & we want to determine

stress along the crack plane (x’y’ axes)

y σy

τ yx

x

σ y′

y′ τ yx′ τ yx′

x′

σ y′

τ yx

σy

To do this, stress z′ z

transformations are

used. A simple situation

is considered first, θ y′

x θ

where z & z’ axes are x′ y

16

coincide

⎡σ x τ yx 0 ⎤

In matrix form, we have ⎢τ σ 0 ⎥

global stress matrix as ⎢ xy y ⎥

⎢⎣ 0 0 σ z ⎥⎦

⎡σ x′ τ yx′ 0 ⎤

& want to determine local ⎢τ ⎥

⎢ xy′ σ y′ 0 ⎥

stress matrix as

⎢⎣ 0 0 σ z′ ⎥⎦

have

σ y′ = σ x sin 2 θ + σ y cos 2 θ − 2τ xy sin θ cos θ

τ xy′ = τ xy (cos 2 θ − sin 2 θ ) − (σ x − σ y ) sin θ cos θ

17

Example:

10

y y′ y

10

10

20 Rotation to x′

20

10 30° x

10

10 θ = 30° : sin θ = 0.500

x

cos θ = 0.866

= 26.16 Mpa

σ y′ = 20(0.500) 2 + 10(0.866) 2 − 2(10)(0.5)(0.866)

= 3.84 Mpa

τ xy′ = 10(0.866 2 − 0.500 2 ) − (20 − 10)(0.5)(0.8660

= 0.67 Mpa

Note that:

(σ x + σ y ) = (σ x′ + σ y′ ) 18

Principal stresses & principal directions

y y′

x′

x TO α

shear stresses are zero, & only principal

stresses acting on infinitesimal cube act on

these directions. In above figure the objective

is to find angle a, for which τxy’=0

2τ xy

⇒ α = tan (

1 −1

)

2

σ x −σ y

σ 1 , σ 3 = (σ x + σ y )

1

2

+ 1

− 2

(σ x − σ y ) + 4τ

2 2

xy

19

Example:

τ xy = 10 , σ x = 20 , σ y = 10

2τ xy 2(10)

→ α = tan (

1 −1

) = tan ( 1 −1

)⇒

2

σ x −σ y 20 − 10

2

α = 31.7°

σ x′ = 20(0.851) 2 + 10(0.526) 2 + 2(10)(0.526)(0.851)

= 26.18 Mpa

σ y′ = 20(0.526) 2 + 10(0.851) 2 − 2(10)(0.526)(0.851)

= 3.82 Mpa

stress”, σ1, whereas the other is called “min

principal stress, σ3 20

Mohr Circle for Stress

It is a descriptive way of stress tensor

transformation, & is a good way to

remember transformation equations.

If xy axes considered to be coincide with

principal directions, then transformation

equations expressed as

σ x′ = σ 1 cos 2 θ + σ 2 sin 2 θ

σ y′ = σ 1 sin 2 θ + σ 2 cos 2 θ

τ xy′ = −(σ 1 − σ 2 ) cosθ sin θ

measured anti-clockwise from principal

direction x to local axis x’. Assuming

φ=2θ =θ+θ ,

σ x′ = 12 (σ 1 + σ 2 ) + 12 (σ 1 − σ 2 ) cos φ

τ xy′ = − 12 (σ 1 − σ 2 ) sin φ

(σ1+σ2 )/2 on axis σ in σ−τ space 21

−τ 1

(σ 1 + σ 2 ) + 12 (σ 1 − σ 2 ) cosφ

2

p(σ ′x ,τ ′xy )

r − 12 (σ 1 − σ 2 ) sin φ

1

(σ 1 + σ 2 )

2

φ = 2θ

0 σ

(σ 2 ,0) O (σ 1 ,0)

x is parallel

to σ axis

+τ

r = 12 (σ 1 − σ 2 ) = (τ ′xy ) max

or r= 1

2 (σ x − σ y ) 2 + (2τ xy ) 2

y 1

(σ x + σ y ) = c

2

O

τ xy

σ1 = c + r

x τ max = r

σ2 = c − r

2τ xy

φ + φ = tan ( −1

) 0 < φ < 180°

σ x −σ y

22

rotation is from σx to σ1

Mohr Circle- Important points

Point 1: positive shear stresses are below

(σ,τ) axis

Point 2: rotation in Mohr Circle is as twice as

that of in real life

Point 3: each point on the circle represents

stress state on a plane with specific

orientation. Thus, points crossing σ axis

represent principal planes (as τ =0) &

corresponding σ values are principal stresses

Point 4: points located on opposite sides of a

diagonal represent principal planes (in real

life they are perpendicular)

Point 5: max shear stress is ½(σ1− σ2) &

occurs at φ =900 (i.e. θ =450), & max shear

stress occurs in a plane which makes 450

angle with respect to principal planes

23

Using Mohr Circle- Calculate

principal stresses

1. Draw x,y axes on element with positive

normal & shear stresses, & write (σx,τxy)

& (σy,τyx)

2. Draw σ-τ axes (with the same scale)

parallel to (σx,τxy). Considering that

positive shear stresses are below σ axis,

draw (σx,τxy) in other side of (σx,τxy). Then

draw the diameter connecting two points

& then the corresponding circle

3. Calculate radius of the circle, &

determine centre of circle

1

1

(σ x − σ y ) 2 + ( 2τ x y ) 2 (σ x + σ y )

2 2

stress as

⎧σ 1 = c + r

⎪

⎨σ 2 = c − r

⎪τ = r

⎩ max

24

φ =+ φ = tan −1

( 2τ xy (σ x − σ y ) ) 0 < φ < 180°

Example:

y 10 σy

10 τ yx

10

stress, τ xy

20 stress,

20 MPa σx σx

10 MPa

τ xy

10

10 τ yx

x

σy

(σ x ,τ x y ) = (20,10)

(σ y ,τ y x ) = (10,10)

1

radius 2 (20 − 10) + (2 ×10) = 11.18 MPa

= 2 2

1

centre = 2 (20 + 10) = 15 MPa

2 × 10

σ 1 = 15 + 11.18 = 26.18 MPa φ = tan −1 = 63.43°

20 − 10

σ 2 = 15 − 11.18 = 3.82 MPa θ = 31.72°

τ max = 11.18 MPa

31.72°

−τ

(σ y ,τ y x ) = (10,10)

x

5

0 (σ , 0) σ σ 1 = 26.18 MPa

2 φ (σ 1 , 0)

(σ x ,τ x y ) = (20,10)

31.72°

+τ σ 2 = 3.82 MPa 25

Using Mohr Circle- Calculate

stresses on a given plane

Follow steps 1, 2, 3 & 5 from previous

practice, then:

5. Draw an element with respect to xy axes &

tick on it positive values of σ’x, σ’y,τ’xy,τ’yx.

Record direction of rotation from x to x’ & its

magnitude.

6. Tick the rotation on Mohr Circle (rotation is

two times than real life!)

7. The new point is (σ’x, τ’xy). Drawing the

diameter, point (σ’y, τ’yx) is obtained

30°

Example: Stresses on an element rotated 300 anti-

clockwise with respect to the element in previous example:

−τ

(σ y ,τ y x ) = (10,10)

σ ′x = c + r cos(φ − 60)

= 26.16 MPa

(σ ′y ,τ ′yx )

σ ′y = c − r cos(φ − 60)

0 σ

60° (σ ′x ,τ ′xy ) = 3.84 MPa

τ ′xy = r sin(φ − 60)

= 0.67 MPa 26

(σ x ,τ x y ) = ( 20,10)

+τ

3D transformation of stress matrix

Let us consider that we have 3D stress

components in xyz coordinate system. To

determine stress components in a local lmn

coordinate system, the following matrix

equation is used for transformation

⎡ σ l τ l m τ l n ⎤ ⎡ lx ly l z ⎤ ⎡ σ x τ x y τ x z ⎤ ⎡l x mx nx ⎤

⎢ ⎥ ⎢ ⎥⎢ ⎥

τ

⎢ ml σ m τ mn ⎥ = ⎢ m x my mz ⎥ ⎢τ y x σ y τ y z ⎥ ⎢⎢l y my n y ⎥⎥

⎢τ nl τ nm σ n ⎥ ⎢ nx ny nz ⎥⎦ ⎢⎣τ z x τ z y σ z ⎥⎦ ⎢⎣ l z mz nz ⎥⎦

⎣ ⎦ ⎣

σ l mn = R .σ x y z .R T

cosine between x & l axes. The matrix product

leads to

σ 1 = l x2 σ x + l y2 σ y + l z2 σ z + 2 ( l x l y τ xy + l y l z τ yz + l x l z τ zx )

τ l m = l x mx σ x + l y m y σ y + l z mz σ z + (l x m y + l y mx )τ x y

+ (l y mz + l z m y )τ y z + (l z mx + l x mz )τ z x

27

Using coordinate system shown here, the

direction cosine & matrix R is written in a

simpler form:

N.(x)

E.(y)

Down (z)

⎢ ⎥

⎢ mx my mz ⎥ = ⎢⎢cos α m cos β m sin α m cos β m sin β m ⎥⎥

⎢ nx ny nz ⎥⎦ ⎢⎣ cos α n cos β n sin α n cos β n sin β n ⎥⎦

⎣

can be transformed into xyz system as below:

⎡ σ x τ x y τ x z ⎤ ⎡l x mx nx ⎤ ⎡ σ l τ l m τ l n ⎤ ⎡ l x ly lz ⎤

⎢ ⎥ ⎢ ⎢ ⎥⎢ ⎥

τ

⎢ yx σ y τ y z ⎥ = ⎢l y my n y ⎥⎥ ⎢τ ml σ m τ mn ⎥ ⎢ mx my mz ⎥

⎢τ z x τ z y σ z ⎥ ⎢⎣ l z mz nz ⎥⎦ ⎢⎣τ nl τ n m σ n ⎥⎦ ⎢⎣ nx ny n z ⎥⎦

⎣ ⎦

28

σ x y z = R T .σ l mn .R

Strain

It is a measure of relative deformation of

points within a body. Like stress, strain is a

tensorial quantity

P P’

Q’

Q

R’

R

O O’

29

Point 1. Normal & shear strains

•Normal strain is a change in longitude

l

before

l − l′ δ l

ε= =

l′ l l

δl after

(same as compressive stress), whereas

extensile strain is assumed negative

γ Q Q′

1

ψ

γ = tanψ

P, P′

P’Q’>PQ

To be consistent with normal strain, shear

strain is considered as angle ψ, not length

γ (strain is unitless)

30

Point 2. If the strain over the whole body is

similar, it is called homogenous strain

a) Straight lines remain straight

b) Circles are deformed into ellipses

c) Ellipses are deformed into another ellipses

strain represents a matrix

y

y′ = y one axis

x

x, y

x′ = k1 x Contraction along

x′, y′ y′ = k 2 y two axis

x′ = k x

1

Pure strain 31

y′ = y

k

Point 4. In general, the sequences of strain

occurrence is important

Strain A followed by strain B may not lead o

the same result if strain B followed by A. In a

matrix form:

⎡ x′ ⎤ ⎡ a b ⎤ ⎡ x ⎤

⎢ y′⎥ = ⎢ c d ⎥ ⎢ y ⎥

⎣ ⎦ ⎣ ⎦⎣ ⎦

x′ = ax + b y y′ = cx + d y

⎡k 0⎤ k kγ ⎤

⎡ 1 γ⎤ ⎡

⎢ ⎥

1 ×⎢ =⎢ ⎥

⎢0 ⎥

⎥ ⎣0 1 ⎦ ⎢ 0 1

⎥

⎣ k⎦ ⎣ k ⎦

Pure strain, simple strain, Simple strain following

(stage 2) (stage 1) by a pure strain

0 ⎤ ⎡k

γ⎤

⎡k

⎡1 γ ⎤ ⎢ ⎥

⎢ k⎥

⎢0 1 ⎥ × ⎢ 1 =⎢

⎥ ⎢

⎥

⎣ ⎦ 0 1⎥

⎣ k⎦ 0

⎣ k⎦

Simple strain, Pure strain, Pure strain following by

(stage 2) (stage 1) a simple strain 32

Point 5. In formulation, strain is similar to

the mathematics of computer graphics

homogenous strain on a very small element

of strained body

P ( x, y , z )

⎛x+dx ⎞

y Q⎜ y + d y⎟

⎜z+dz ⎟

⎝ ⎠

P* ⎛ x + d x + u* ⎞

⎜ x ⎟

Q ⎜ y + d y + u *y ⎟

*

⎜⎜ * ⎟

⎟

⎝ z + d z + uz ⎠

z

ux, uy & uz: mathematical functions representing

deformation

du du y du z

ε xx = x ε yy = ε zz =

dx dy dz

y

Q* Q

⎡ du x ⎤ ⎡ε x x 0 0 ⎤ ⎡ dx ⎤

du x ⎢ du ⎥ = ⎢ 0 ε yy 0

⎥⎢ ⎥

⎢ y⎥ ⎢ ⎥ ⎢ dy ⎥

⎢⎣ du z ⎥⎦ ⎢⎣ 0 0 ε z z ⎥⎦ ⎢⎣ dz ⎥⎦

P

dx 33

x

Point 8. Infinitesimal shear strains are

du x du y

γ xy = 2 γ xy = 2

dy dx

du y du

γ yz =2 γ yz = 2 z

dz dy

du du

γ zx =2 z γ zx = 2 x

dx dz

y

du x = α dy

du y = α dx

*

Q

du x

α Q

Symmetric strain: Q & Q’

dy β are along the same line

α duy

P, P *

dx

x

π

Engineering shear strain γ x y = ( − β ) = 2α

2

γ xy

εxy =

Tensorial shear strain 2

⎡ γ xy γ xz ⎤

⎢ 0 ⎥

⎡ du x ⎤ ⎢ 2 2 ⎡ dx ⎤

⎢ du ⎥ = ⎢ γ y x γ yz ⎥ ⎢ dy ⎥

0 ⎥

⎢ y⎥ ⎢ 2 2 ⎥ ⎢ ⎥

⎢⎣ du z ⎥⎦ ⎢ γ z x γzy ⎥ ⎢⎣ dz ⎥⎦

⎢ 2 0 ⎥ 34

⎣ 2 ⎦

Point 9. Normal & shear strains can be

written in a matrix form

⎡ε x x ε x y ε xz ⎤

⎢ ⎥ γ xy

⎢ sym ε y y ε yz ⎥ εxy =

2

⎢ me ε z z ⎥⎦

⎣ tric

⎢0 ε 0 ⎥⎥

& principal directions ⎢ 2

⎢⎣ 0 0 ε 3 ⎥⎦

⎧ ε xx + ε y y ε xx − ε y y

′

⎪⎪ε x x = + cos 2θ + ε x y sin 2θ

2 2

⎨ ′

⎪ε ′ = γ x y = − ε x x − ε y y sin 2θ + ε cos 2θ

⎪⎩ x y 2 2

xy

d ε ′x x 1 ⎛ γ xy ⎞

= 0 → θ max = arctan ⎜⎜ ⎟⎟

dθ min 2 ⎝ ε xx − ε y y ⎠

ε xx + ε y y 1

→ ε max = ± (ε x x − ε y y ) 2 + γ x2 y

min 2 2

d ε ′x y ⎛ ε −ε yy ⎞

′ = 1 arctan ⎜ − x x

= 0 → θ max ⎟⎟

dθ 2 ⎜ γ xy

min ⎝ ⎠

, ε ′x y = ± (ε x − ε y ) 2 + γ x2 y 35

Strain Mohr Circle

to transform stains along different planes in

2D

γ

−

2

(ε y y , − ε x y )

(ε x x , + ε x y )

γ

+

2

36

Strain gage

An instrument to measure normal stresses

along three directions in a plane.

Mechanical dial gage & electrical resistance

(LVDT) are examples of strain gages.

Let us assume strains along three angles

θP, θQ & θR measured with strain gages P, Q

& R. These can be transformed to strains in

xyz system using strain transformation

equations

⎢ε ⎥ = ⎢cos 2 θ P sin 2 θ P sin θ P cos θ P ⎥ ⎢ ⎥

⎢ Q⎥ ⎢ 2 Q Q Q Q

⎥ ⎢εy ⎥

⎢⎣ ε R ⎥⎦ ⎣ cos θ sin 2

θ sin θ cos θ R⎦ ⎢γ x y ⎥

R R R

⎣ ⎦

⎢ ⎥ ⎢ 2 P P P P

⎥ ⎢ε ⎥

⎢ ε y ⎥ = ⎢cos θ Q sin θ Q sin θ Q cos θ Q ⎥

2

⎢ Q⎥

⎢γ x y ⎥ ⎣ cos 2 θ R sin 2 θ R sin θ R cos θ R ⎦ ⎢⎣ ε R ⎥⎦

⎣ ⎦

37

In practice, strain Rosette (three points set

on the ground & the relative displacement

between them monitored) is used to

measure strains in field & then using

constitutive relations estimate

corresponding stresses. For simplicity a

simple form of Rosette is preferred

y

Q

θ P = 0°

Q

R θQ = 45°

45°

x θ R = 90°

P P R

⎡ ε x ⎤ ⎡ 1 0 0 ⎤ ⎡ε P ⎤ ⎧ε x = ε P

⎢ ⎥ ⎢ ⎢ε ⎥ ⎪

ε = ⎥ ⎨ε y = ε R

⎢ y⎥ ⎢ 0 0 1

⎥ ⎢ Q⎥

⎢γ x y ⎥ ⎣ −1 2 −1⎦ ⎢⎣ ε R ⎥⎦ ⎪γ = 2ε − (ε + ε )

⎣ ⎦ ⎩ xy Q P R

1 E

ε x = ⎡⎣γ x −υ (σ y +σ z )⎤⎦ σx = (ε x +υε y )

E 1−υ 2

τ xy

γ xy = 38

G

Constitutive relations

Stress causes strain & if strain observed it is

due to stress. Constitutive relations show this

relationship for different materials. For

example, for a simple linear elastic material,

elastic modulus (E=σ/ε) relates stress to

strain

[σ ] 6 × 1 = [S ] 6 × 6 . [ε ] 6 × 1

This means that each stress component is

affected by six strain components & vice versa.

So, for a completely anisotropic material to

fully determine stress-strain relationship 36

components (or 21 assuming symmetry for [S])

should be found

39

Isotropic material

ε xx =

1

E

[σ xx − υ (σ yy + σ zz ) ]

1

γ xy = τ xy

G v: Poisson’s ratio

E

G= G: shear modulus

2(1 + υ )

or in a matrix form

⎡ε xx ⎤ ⎡ 1 −υ −υ 0 0 0 ⎤ ⎡σ xx ⎤

⎢ε ⎥ ⎢−υ 1 −υ 0 0 0 ⎥ ⎢σ ⎥

⎢ ⎥ yy ⎢ ⎥ ⎢ yy ⎥

⎢ε zz ⎥ 1 ⎢−υ −υ 1 0 0 0 ⎥ ⎢σ zz ⎥

⎢ ⎥= ⎢ ⎥⎢ ⎥

ε

⎢ xy ⎥ E ⎢ 0 0 0 2(1 + υ ) 0 0 ⎥ ⎢σ xy ⎥

⎢ε yz ⎥ ⎢0 0 0 0 2(1 + υ ) 0 ⎥ ⎢σ yz ⎥

⎢ ⎥ ⎢ ⎥⎢ ⎥

⎢⎣ε zx ⎥⎦ ⎢⎣ 0 0 0 0 0 2(1 + υ )⎥⎦ ⎢⎣σ zx ⎥⎦

40

constants E & v need to be determined

Transversely isotropic material

are different along the third direction (e.g.

sedimentary layers)

3

( E1 = E2 ) ≠ E3

1

2 (υ 23 = υ31 ) ≠ υ12

(G23 = G31 ) ≠ G12

assuming

E1 = E2 = E υ12 = υ

E3 = E ′ υ 23 = υ31 = υ ′

in a matrix form

⎡1 −υ −υ′ ⎤

⎢E 0 0 0⎥

E E′

⎢ 1 −υ′ ⎥

⎢ 0 0 0⎥

⎢ E E′ ⎥

⎢ 1

0 0 0⎥

[S ] = ⎢⎢ E

2 (1 + υ )

⎥

⎥

⎢

sy 0⎥

mm 0

⎢ e E ⎥

⎢ t ry

0⎥

1

⎢ G′ ⎥

⎢ 1 ⎥

⎢ ⎥

⎣ G′ ⎦

41

orthotropic material

For this material nine constants need to be

defined in order to fully explain stress-strain

relationship

⎡ 1 −υ −υ ⎤

⎢ 12 13

0 0 0 ⎥

⎢ E1 E E ⎥

⎢ ⎥

2 3

−υ

⎢ 1 23

0 0 0 ⎥

⎢ E E ⎥

⎢ 2 3

⎥

⎢ 1

0 0 0 ⎥

⎢ ⎥

[S ] = ⎢ E

3 ⎥

⎢ sy 1 ⎥

⎢ mm G

0 0

⎥

⎢ e t ry 12 ⎥

⎢ 1

0 ⎥

⎢ G ⎥

⎢ 23 ⎥

⎢ 1 ⎥

⎢ G ⎥

⎣ 31 ⎦

42

Rock index properties

Are those rock properties which can be

determined more easily & other properties

are related to them

1. Density γ = ρ .g

Specific mass of solid parts of rock

n

G = ∑ (Gi . Vi )

i =1

2. porosity Vp

n=

Vt

Ratio between pore volume to total volume in

an element of rock

As depth increases, porosity decreases. Also

rock strength increases as porosity reduce

Vp

3. Void ratio e=

Vs

Ratio between pore volume to solid volume in

an element of rock

e 43

Porosity & void relation n=

e +1

4. Water content (w)

Some useful relations:

wG γ wet

n= , γ dry = , γ dry = G. γ water (1 − n)

1 + wG 1+ w

5. permeability ∆h

q =κ .A

∆x

Ability of rock/soil to transmit liquid

h1

∆h q = L3T −1 κ = LT −1

A

k: permeability coefficient (Darcy)

∆x h2

Darcy 1 = 10 −3 cm

s

6. Strength P

P

qu = A

A

P

Uniaxial compressive strength, is usually 44

7. durability

Ability of rock to

withstand erosion. 140

mm

100 mm

10 pieces of rock (500 g each) inside a

cylinder (grid) located under fluid (water)

& rotate it for about 10 minutes at 20

RPM. The durability index is:

Residual weigh

Id = Total weight

following table

Id

Very low Low Medium Relatively high Very durability

high high

45

8. Rebound hardness

using Schmidt or other hammers, & using

experimental relations or graphs it is

related to UCS of rock

9. Sound velocity

Time (t)

L

sound velocity is related to the percentage

of minerals in rock

n

1 Ci

*

=∑

VL i =1 VLi

V*L: longitudinal wave velocity calculated theoretically

VLi: longitudinal wave velocity in ith mineral

VL: longitudinal wave velocity measured in lab

(usually less than V*L, due to porosity)

VL

IQ % = * × 100

VL

IQ = 100 − 1.6 n

IQ

100

90

65

Int

ac

Mo Fr tr

ac oc

50 d er tu r k

Hi a te ed

Ve gh ly ro

r yh ly fra c k

igh fra ctu

ly ctu re

25 Al re d

mo fr a d

st ctu

so re

il d

0

65

n

47

Material behaviour under stress

σ σ

ε ε

σ σ

ε ε

Rigid plastic Elastic plastic

σ σ σ

ε ε ε

Plastic Linear elastic Non linear elastic

48

Stress-strain (σ-ε) curve, non-hydrostatic

stress regime

σ1

Plastic yield point σ1

d e

c

f

a ε

∆V

V

b: linear elastic

c: micro fractures growth

d: plastic

e: macro scale cracks growth 49

f: rupture & large displacement

Stress-strain (σ-ε) curve, hydrostatic

stress regime

σave

σ1

d

σ3

a ∆V

V

b: linear elastic

c: porous spaces close

d: mineral phase exchange &

finally melting due to high

pressure

50

Stress-strain (σ-ε) curve for six common

group of rocks

σ σ

ε ε

(e.g. quartzite, dolomite) (e.g. tuffs)

σ σ

ε ε

Plastic-Elastic Elastic-Plastic-Creep

(e.g. granite, sandstone) (e.g. salts)

σ σ

ε ε

Plastic-Elastic-Plastic Plastic-Elastic-Plastic 51

(e.g. marble) (e.g. schist)

Elastic Modulus

according to the applications

tangent E

E

Elastic or linear E

nt

ca

Se

Initial E ε

52

Hysteresis

recovered immediately. Strain is recovered

further over the time (delayed recovery).

However, there will be a permanent

deformation or strain remaining in the

material (hysteresis)

σ

Total deformation

ε

Permanent Delayed Initial

deformation elastic recovery

recovery

53

Cyclic loading & fatigue

Fatigue level

54

Rock Mechanics Laboratory tests

ISRM suggested methods provide detailed

procedure for different rock mechanics tests

P

⎧ϕ = 54 mm diameter

Nϕ : ⎨

⎩ L = (2 _ 2.5)ϕ height

P

P

UCS = σ c = qu =

A

P is force at failure

⎛ 0.222 ⎞

σ a (u ) = σ a (1) ⎜⎜ 0.778 + ⎟⎟

⎝ L D ⎠

σ a (1)

55

UCS for samples with L/D equal to 1

Dial gage, LVDT & strain gage are three

different instrument used to measure strain

σ1

Ultimate Strength

4

3 Rupture

Yield point

2

Stable point

1 ε

2: linear elastic

3: ductile region

4: rupture or failure

56

UCS testing apparatus mechanism

steel

Specimen, Apparatus,

Steel pillar jack non linear

specimen linear

for specimen assumed for modelling

So sample fails with no control at failure point, & post

peak behaviour cannot be studied

Displacement control: displacement is constant over

time & post peak behaviour of sample can be

monitored, by changing the load 57

Axial

force A A

E B

B E

D C Axial displacement D C

Required energy<applied energy

which advanced hydraulic systems are used

for load control

σ σ

AE AP AE

AP

ε ε

58

(1) (2)

Group 1 consists in those

rocks which absorb energy ⎧AE , AP > 0

⎨

from the beginning to ⎩0 < B < 1

failure point

Group 2 are those rocks

which absorb energy from ⎧ A E > 0, A P < 0

⎨

the beginning to ultimate ⎩B > 1

strength point, then release

energy till failure point

AE

Brittleness coefficient B=

AE + AP

salt (as Ap tends to infinity)

59

2. Tensile strength test

Not very common, due A

to operational P

σ=

difficulties A

P

2P

L σt =

D D π DL

sample is a disk shape)

60

3. Point load test

P

P

D IS =

D2

P

P: load at failure point

D: equivalent diameter for lump sample

lb

σ t = 0.96 I S (2

)

in

lb

Experimental relations σ c = 21σ t + 4000 ( 2 )

in

lb

σ c = 24 I S ( Nx ) ( 2)

in

4. Bending test

P

3 point loading P 4 point loading

a a D a a a D

16 PL 61

T=

8PL T=

L π D3 L 3π D 3

5. Rock hardness test

hammer is used for this purpose

62

6. Shear test

N

No shear force

Friction coef.

R N θ R

T

N T µs = = tan θ

N

T applying shear force

θ R

σ1

τ

= tan ϕ Internal friction angle

σn σn

σ3

τ

τ = σ n tan ϕ + C Cohesion

surfaces to determine mechanical

properties of joint plane (c,φ)

63

Joint plane T

T

N =0

C N ≠0

Shear

strength R

N esi

dua

T l st

N =0

re e

N ≠0

displacement

T

T = N tan ϕ

ϕ

N

T τ = σ n tan ϕ + C j

ϕ

τ = σ n tan(ϕ + i ) N

T i

Cj (ϕ + i )

N′ N

64

are damaged & rough surface behaves like a smooth

surface

5. Triaxial compressive test

increase in steps until failure occurs &

corresponding (σ1-σ3) is recorded. Then, σ3 is

increased & again σ1 applied until failure

occurs & new (σ1-σ3) is recorded. This process

repeated for few times & corresponding Mohr

Circles are plotted. Tangent line to these

circles is the failure threshold (Coloumb

relation), reciprocal & slope of which give the

cohesion & friction angle, respectively σ

τ 1

Coloumb relation

τ = σ n tan ϕ + C σ3

C

σ3 σ1 σ 1′

σ

σ 3′ σ1

τ

σ3

α

Real failure plane

ϕ Angle between failure

Theoretical failure plane & principal stress

ϕ plane

ϕ 65

σ α = 45° +

2

In σ1-σ3 space

σ1

σ1 = σ 3 Nϕ + S0

Nϕ

S0 = UCS

S0

σ3

σ 1 = Nϕ σ 3 + S 0

ϕ 1 + sin ϕ

Nϕ = tan 2 (45 + ) =

2 1 − sin ϕ

ϕ

S 0 = 2c tan(45 + )

2

In τm-σm space

σ1 − σ 3

τm =

2 tan β = sin ϕ

τ m = c cos ϕ + σ m sin ϕ

β

c cos ϕ σ1 + σ 3

σm = 66

2

Failure criteria

Failure criterion is a mathematical relation or

formula, which expresses the ultimate rock

strength considering the loading conditions.

Based on that stability of the rock can be

assessed, & presented in terms of safety factor.

Each failure criterion has got its own

applications & limitations. The most important

criteria used in rock engineering applications

are discussed here.

67

1. Coloumb failure criterion

not a function of stress. Also it is not

applicable in tensile region

τ

φ

Tensile region

σn

region

τ

φ

σn

3. Mohr failure criterion

He mentioned that at high normal stress,

friction angle reduces

τ

68

σn

4. Griffith failure criterion

It is for brittle & crispy rocks with small

cracks. Each crack is modeled as an ellipse,

where the failure is due to tensile force at

crack tips. This criterion studies the initiation

of crack & does not show post peak failure

behaviour

tension

τ

τ 2 = 4 St2 + 4σ n St

2St

St σn

∂τ 4 St

tan φ = =

∂σ n 2 4 St2 + 4 Stσ n

C = 2S 0 Nφ cohesion

⎧(σ 1 − σ 3 ) 2 = 8 St (σ 1 + σ 3 ) σ 1 + 3σ 3 > 0

⎨ 69

⎩ σ 3 = − St σ 1 + 3σ 3 < 0

5. Hoek-Brown failure criterion

criterion in rock engineering applications

⎧ σ1

σ 1 = σ 3 + mσ Cσ 3 + Sσ ⎪⎪σ 1n = σ

2

C

⎨

C

σ 1n = σ 3n + mσ 3n + S σ

⎪σ 3n = 3

⎪⎩ σC

S: constant related to degree of fracturing (S=1 for

an intact rock)

m & S are given for some rocks in tables or can be

calculated using laboratory data

estimated as below

σ 3 = 0 → σ = Sσ C2

1

σ 1 = 0 → σ t = σ C (m − m 2 + 4S )

2

70

6. bieniawski failure criterion

constants m & n should be determined using

laboratory test data

σ 1n = 1 + m(σ 3n ) n

τp

Sf 1 1 1

= +

τp −c µ ′.σ Sf −c

σ

1

τp −c

1

µ′ =

α 1 tan α

σ

71

Ground stresses

stresses & induced stresses. In situ stresses

are those which exist in the ground naturally

before any engineering work. After an

engineering construction, stresses are

changed & induced stresses are introduced

In situ stresses

1. Overburden stresses

This is due to the weight of overlying layers.

In very high depths, vertical & normal

stresses become very close & stresses

become hydrostatic

2. Tectonic stresses

Due to movement of tectonic plates & …

3. Thermal stresses

Due to thermal changes (seasonal, disposal

of warm material, …)

4. Residual stresses

Due to some crystallization, sedimentation,

… processes. For example, pyrite in contact

with water produce ferrous sulphate, with a

much higher volume, causing stress

5. Local stresses

Interbeds with different mechanical

behaviour (stiffness,…) exposed to

deformation may cause stress

6. Pore pressure stresses

Pore pressure applies force against the

normal stresses & may cause early rock

failure

Induced stresses

any underground space, movement of

heavy vehicle causing vibration, change in

underground water regime, … are some

external causes of stress changes 73

Induced stress determination

a) Mechanical analysis:

after construction

b) Photoelasticity method

was simulated by building it in a

special material which changes its

colour depending on the level of load,

& hence study the stresses around

the opening

c) Numerical Methods

used in different science & eng,

which divides the structure into

elements & studies stress &

displacement in each element &

combines them as a whole. FEM,

BEM, DEM, FDM & hybrid methods 74

Overburden stresses

ground

z σv

σ z = σ v = γ .z

σh

stress (Mpa)

γ is about 2.7 ton/m3 for rocks, which means that

every 37 m increase in depth equals to 1 MPa

possible, so εx=εy=0. Assuming elastic

behaviour for rock, horizontal stresses are

related to vertical stress via parameter k:

1

ε x = ⎡⎣σ x − υ (σ y + σ z ) ⎤⎦

E

σ y =σx =σh , εx = 0

υ σh

σh = .σ z = k .σ z k =

1 −υ σz

75

v is about 0.25 for most rocks, so k=0.33

Changes in k due to changing vertical

stresses

∆z

z0 σ v′ = γ ∆ z

σ v = γ z0 z

υ

k0 γ z0 σ h′ = γ .∆ z

1−υ

′ υ

σ h = k0 γ z0 − γ ∆z

1−υ

σ v′ = γ z0 − γ ∆ z

z = z0 − ∆ z

σ h′ υ 1

′

k(z ) = = k 0 + (k 0 ∆z − ∆z ) .

σ v′ 1−υ z

76

k values in different situations

σ h = k a .σ v

σ v = σ1 = γ z

σ h = k a .σ v = k a . γ z = σ 3

criterion,

φ

σ 1 = σ c + σ 3 tan (45 + )

2

2

φ ⎡σ c φ ⎤1

k a = cot(45 + ) − ⎢ . cot(45 + )⎥.

2 ⎣γ 2 ⎦ z

σ v = σ 3 = γ .z

σ 1 = k p .γ .z

σc 1φ

k p = tan (45 + ) + .

2

2 γ z

77

For normal fault → k < ka

For reverse fault → k > kp

No fault (rock stability) → ka < k < k p

For reverse fault σ3 is close to vertical

Strike-slip fault σ2 is close to vertical

to fold axis

exist. As get farther from the free surface,

normal stresses appear & at very high

depth stresses become hydrostatic

78

Range of k values causing rock failure

φ

σ 1 = σ c + σ 3 . tan (45 + ) Coulomb criterion

2

σc

σ1 =

φ

1 − k tan (45 + )

2

2

σ1must be positive, so the fraction's

denominator must be positive (as σc is

always positive), thus:

φ

1 − k . tan (45 + ) > 0

2

φ

K < cot (45 + )

2

Failure

2

φ

K ≥ cot (45 + )

2

Stability

2 79

k changes vs depth (Hoek-Brown studies)

performed statistical analyses on scattered

data versus depth. The results gives an

estimated average mass gravity of 2700

kg/m3 for rocks. k changes mostly within a

region given by two equations & tends

towards unity at depth greater than about

1000 m.

k=

Vertical stress

0 0.5 1 1.5 2

σ z = 0.027 z

0

500

1000 z

2000

3000

3000 σ z ( MPa)

z

100 1500

k= + 0.3 k= + 0.5

z z 80

In situ stress measurement

methods

1. Hydraulic fracturing (HF)

Assumptions: an impermeable rock, vertical

stress is only due to overburden weight &

one of the major stress is vertical

pressure

pump

σ h min

well

B

A A

Packers

σ h max

Study B

point

Plan view

Break down

pressure

Pc 1

pressure

Shut-in pressure

Ps

P0 81

t

σθ Ps

σr = 0

at point A

Ps = σ h min

can be found that the tensile strength is

Pc1 − Pc2 = T0

Pc 1

pressure

Pc 2

Ps

82

P0

t

2. USBM overcoring

recording stains in different directions

drilled from bottom Section or rock three diagonal strains

of main hole

wire

pilot hole & strain readings & strain gage is controlled

83

starts continuously

Diagonal displacement, µm Plane of strain gages

-5

0

5

10

15

Overcoring depth (mm)

3. CSIRO overcoring

the strain gage(s) is attached to the

borehole wall using special glues. So, it

may not be usable at very high depths with

high temperatures

Strain rosette 84

Obtaining a complete stress tensor

Stress tensor composed of 6 components.

Each method of in situ stress determination,

only measure one or few of stresses, based

on its capability, so measurement may need

to be done several times to obtain complete

stress tensor, or additional assumptions

may be made for simplicity

⎡σ x τ xy τ xz ⎤ ⎡σ 1 0 0 ⎤

⎢ σ τ ⎥ ⎢ σ 0 ⎥

⎢ y yz ⎥ ⎢ 2 ⎥

⎢⎣ σ z ⎥⎦ ⎢⎣ σ 3 ⎥⎦

component (principal stresses assumed

parallel to borehole

⎡σ x τ xy τ xz ⎤ ⎡σ x τ xy τ xz ⎤

⎢ σ τ ⎥ ⎢ ⎥

⎢ y yz ⎥ ⎢ σ y τ yz ⎥

⎢⎣ σ z ⎥⎦ ⎢⎣ σ z ⎥⎦

USBM overcoring- CSIRO overcoring- six

85

three components components in the

plane of borehole

Discontinuities

very low tensile strength perpendicular to it.

The origin of discontinuities could be genetic

(e.g. schistosity, bedding, …), tectonic (e.g.

fault) or engineering activities (e.g. blasting).

It is critical to discard the discontinuities

originate from engineering activities when

statistically analyse discontinuity data

86

Geometrical properties of

discontinuities

1. Orientation

N

Dip/Dip direction

β/α (oo/ooo)

α

Example: 45/140 β

08/035 S

2. Spacing

along a certain line. Spacing is

different at different directions

3. Length or Persistence

intersecting another discontinuity, or its

end can be observed or not 87

4. Aperture or Opening

The distance between two planes of

discontinuity

5. Filling

Material fills between two planes

6. Seepage

7. Wall strength

Usually determined using Schmidt hammer

8. Joint set

Discontinuities with relatively similar

properties (usually the same dip/dip

direction)

9. Joint system

A number of joint sets may exist, which is

called a joint system

88

10. Roughness

The degree of travel from the mean height of

discontinuity plane asperities

Shape of discontinuities: planar, undulate,

step. Shear strength increases respectively

Surface roughness: slickenside, smooth,

rough. Shear strength increases respectively

Combination of the above two leads to 9

different geometries, the least & most shear

strength being for planar-slickenside & step-

rough surface, respectively

Barton introduced the roughness effect in

shear strength as an increase in friction angle

by average asperity angle, i

τ = σ n tan( φ + i ) + C

Based on several experimental works, he

proposed following expression for i, (JCS:

joint wall compressive strength, JRC: joint

Roughness coefficient). Exemplar profiles

proposed to estimate JRC by

observational comparison

JCS

τ = σ n tan(φ + JRC log10 )+C

89

σn

Exemplar JRC profiles

JRC

11

13

15

17

19 90

JRC method for roughness determination is

a subjective approach which leads to

different results by different people, but is a

simple & widely used method. Many

alternative statistical methods have been

proposed though (fractal, multivariate, …)

information (mostly dip/dip direction) is

gathered along a rope between two survey

points (for example in a tunnel wall) &

recorded in a discontinuity survey table. In

this way, discontinuities very close to

scanline but not intersecting it are ignored

2. Scan window method: information are

gathered inside a rectangular window, to

overcome scanline limitation

After recording data, dip/dip direction of all

discontinuities transferred on a

hemispherical projection & using statistical

methods (e.g. DIPS software or Euclidean

space analyses) number of joint sets are 91

determined

Mechanical properties of

discontinuities

Patton model

τ

σn τ = σ n tan φ + C j

τ φ

i

Cj τ = σ n tan(φ + i )

φ +i

σn

Jeager criterion

τ = C J (1 − e − bσ ) + σ n tan φr

n

cohesion!) & friction angle, respectively.

Constants b, c & also φr are determined by

regression analyses on lab data

Barton criterion

JCS

τ = σ n tan(φr + JRC log ) 92

σn

Deformation properties of

discontinuities

It become ineffective at high

normal stresses, when asperities

are broken u

2. Shear deformation

This is the deformation along horizontal direction

τ

∆u

93

Discontinuities frequency

It is the number of discontinuities per unit of

length (λ). The bigger the frequency, the

more fractured is the rock

N

λ= (m−1 )

L

spacing of discontinuity

N

X = (m )

L

f(x), is found to be a negative exponential

function of frequency

f (x)

f ( x ) = λ e − λx

x 94

Survey line

(sample length, L)

x θ

x / Cos θ

to discontinuity & N in the number of

discontinuities along the line normal to

discontinuity planes & L is sample length

under study N

λ =

L

along survey line

N N

λs = = cosθ = λ cosθ

L / cos L

& for multiple joint sets

n

∑

95

= λ i cos θ i

i 1

Core recovery percentage (CR)

Length of core

%C.R. = ×100

Total length drilled

%RQD= ×100

Total length drilled

∑

Xi

= 100 X i ≥ 0 . 1m

i =1

L

96

Assuming a negative exponential function for λ

− 0 .1λ

RQD = 100 ( 0 .1λ + 1) e

of 10 cm pieces,

− λt

RQD = 100 ( λ t + 1) e

changes is maximised

2 ⎛ λmax ⎞

topt = ln⎜⎜ ⎟⎟

λmax − λmin ⎝ λmin ⎠

λmax & λmin are max & min frequency in the area,

which is estimated from data obtained from

already drilled wells 97

Poisson process

Assuming random occurrence for

discontinuities, the probability of occurring k

event within interval x is

e − λx ( λ x ) k

p (k event within interval ًx) = p (k , x) =

k!

Example: probability of existing two

discontinuities along o.3 m length in an area

with frequency of 8.43 m-1 is calculated as

k = 2 , x = 0.3 ⇒ p(2,0.3) = 0.255

p (> k , x ) = 1 − p (≤ k , x )

k −1

p (< k , x) = ∑ p (l , x)

l =0

k

p (≤ k , x ) = ∑l =0

p (l , x) 98

Rock mass behaviour

σ1

σ1

σ3 θ

α σ3

θ

Simplest rock mass Intact rock

with only one plane

of weakness

behaviour of both rock & joint plane

τ i = C i + σ n tan φ i

τ j = C j + σ n tan φ j

given stresses σ1 & σ3, the objective is to

find out whether the failure occurs along 99

joint plane or a plane within the intact rock

Intact rock failure criterion

τ

φi discontinuity failure criterion

Ci

φj C i〉C j

Cj φ i 〉φ j

σn

the Mohr circle graphically as below

σ1

τ

α σ3

Discontinuity Plane θ

θ

2θ 2α

σ3 σ1 σn

100

Rock stability analysis

τi

a.Stable condition τ

Mohr circle corresponding τj

to stress state does not

intersect any of failure

lines σ3 σ1 σn

Mohr circle intersects joint τ

plane failure criterion only

& failure occurs along γ1

is γ1 <θ < γ2

σn

c. Possible failure in

intact rock

τ

Mohr circle intersects

both criteria. If joint angle γ1

is such as γ1 <θ < γ2

failure occurs along joint γ2

plane, otherwise failure σn

occurs along a plane in 101

intact rock

Rock mass failure envelope

tests on intact rock & along joint surface,

respectively

-Calculate rock strength corresponding to σ3

1 − sin φi

θf=45+φj/2

2 1

2

j j

(σ1 −σ3 )θ f

≤ (σ 1 − σ 3 )θ ≤ (σ1 −σ3 )

respect to different angles θ

102

2 (C j + σ 3 tan φ j )

(σ 1 − σ 3 )θ =

(1 − tan φ j cot θ )sin 2 θ

σ1 − σ 3

(σ 1 − σ 3 ) Intact rock

with only one joint plane

(σ 1 − σ 3 )θ f

θ

θf (Joint angle)

σ1 − σ 3

with two joint planes

103

θ

Other parameters affecting

rock behaviour

1. Scale effect

The bigger the rock mass size, the more the

number of weak planes & discontinuities &

the lower the rock strength

2

⎛σC ⎞

Experimental eq. ⎜ rock mass

⎟ = exp⎛⎜ RMR − 100 ⎞⎟

⎜σ Intact rock ⎟ ⎝ 9 ⎠

⎝ C ⎠

σ c

104

size

2. Temperature effect

As temperature increases, elastic modulus &

ultimate strength reduce & total displacement

at failure increases

σ

Low temperature

high temperature

105

3. Confining pressure

σ

re ing

ssu nfin

Hard Rock

pre g co

sin

re a

inc

ε

σ

re ing

ssu nfin

pre g co

Soft Rock sin

re a

inc

residual strength & displacement increases.

For hard rocks, elastic modulus remains

constant (due to very low porosity) but in case

106

of soft rocks it increases

4. Fluid (water) effect

Physico-chemical effect:

Increasing water content increases Poisson’s

ratio & changes strength & creep behaviour

of rock as shown in σ-ε $ ε -t curves below:

σ inc

re ε inc

as re

e in as

wa e in

ter wa

c ter

on c

ten on

t ten

t

ε t

Mechanical effect:

In the presence of fluid on porous spaces of

rock, effective stresses (σ’) come into effect &

not total stress. The pore pressure (u) applies

a normal force in all directions & reduces the

total stress. Pore pressure reduces all normal

stresses. In case of principal stresses the

effective stresses are written as

σ 1′ = σ 1 − u σ 3′ = σ 3 − u 107

τ

σ 3′ σ3 σ 1′ σ1

σ

u

An increase in pore pressure, moves the Mohr

circle towards left by the amount of u & hence

increase the chance of rock failure (it starts

once touches the failure envelope). note that

rock properties does not change (failure

criterion is not moving!) & failure is due to

changes in stress magnitudes. Considering

Mohr Coulomb failure criterion, the pore

pressure requires to start failure can be

calculated

φ

σ 1 − u = σ C + (σ 3 − u ) tan 2 (45 + )

2

φ

σ 1 − σ C − σ 3 tan (45 + )

2

⇒ u= 2

φ

1 − tan (45 + )

2

108

2

5. Loading method

Type of loading: compression, tensile,

uniaxial, …

Loading frequency: cyclic (fatigue), gradual

reduction/increase, constant loading (creep)

Loading rate: slow (<1Mpa), dynamic

(between 1 to 105 Mpa) & instantaneous

(>105). Increasing the loading rate, the elastic

modulus as well as ultimate strength of rock

increase & total displacement at failure

reduces

σ

In c

r ea

s in

gl

oa

din

g

rat

e

109

Creep

Creep is the deformation under constant load

at a long period. It mainly consists of three

different stages.

ε

a b

I II III

A

t

creep decreases with time. If unloaded (for

example at point a in fig), the instantaneous

elastic deformation (A) is retrieved first &

then it reduces gradually to zero.

ε

A

A (1)

110

t

Stage II: Secondary creep (stable). Rate of

creep is practically constant up to the

transition point. The creep rate at this stage

is the minimum. If unloaded (for example at

point b in fig), the elastic deformation A is

retrieved first, but a residual deformation

(εb-εa) remains in the body

greatest creep rate that eventually leads to

rupture in a relatively short time

111

Creep for rocks with different strengths

Low strength

(evaporite rocks such as

salt, silt, shale)

Medium strength

ε (sedimentary rocks)

High strength

(igneous &

metamorphic rocks

t

As rock strength reduces, larger deformation

is expected, the transition between three

creep stages occurs quicker & even

secondary stage can be vanished & the rock

fails. Also, elastic deformation (A) is

increased.

Various creep models have been introduced:

ε = A + B log t + Ct A:elastic deformation

B:tanα’ C: tanα

ε ε

α

α′ 112

t log t

Creep critical stress level

Stress level

inc

re

as

ε e in

str

e ss

lev

el

needed to incur macroscopic rock failure

(creep occurs)

113

Some applications of rock

mechanics

-Plane Failure

-Wedge Failure

-Toppling Failure

-Circular Failure

estimate the feasibility of plane failure

(calculating safety factor). Limit

equilibrium analysis method is presented

here.

To study whether or not failure can occur,

kinematic failure analysis can be carried

114

out using hemispherical projection.

Limit equilibrium analysis method-

Plane failure

It is based on comparison between the

sliding resistance force to the sliding

induction force along the slope. Safety

factor is then defined as

F=

∑ Sliding resistance force

∑ Sliding induction force

R

W sinψ

A: Sliding area, equivalent to

slope length for unit width ψ

W cosψ

W

W cosψ

Shear strength τ = C + σ n tan φ = C + tan φ

A

Resistance force R = C. A + W cosψ tan φ

Induction force = W sinψ

In equilibrium (F=1), resistance force is

equal to induction force, so

W sin ψ = C. A + W cosψ tan φ

affect stability!

Effect of fluid

& consider C=0, the u

fluid pressure (u) W sinψ

effect can be taken W cosψ

into effect as below: ψ

γW

u= W cosψ R = (W cosψ − u) tanφ

γt

⎛ γW ⎞

R = W cosψ ⎜⎜1 − ⎟⎟ tanφ

⎝ γt ⎠

In equilibrium (F=1)

⎛ γW ⎞

tanψ = ⎜⎜1 − ⎟⎟ tanφ

⎝ γt ⎠

Example:

γW

= 0.9 , φ = 30°

γt

Fluid contained ψ = 3

slope stability

Geometrical conditions required for plane failure

joint plane strike

- slope face angle (ψf) must be greater than joint

plane angle (ψp) & both should be greater than friction

angle of slope material

ψf

ψP φ ψ f >ψ p > φ

slope surface & vertical tension crack

Tension crack

V

U zW z

β

ψf

ψP

T

W

V sinψ P W cosψ P

V cosψ P U

W sinψ P

ψP

F=

(W sinψ p + V cosψ p )

A = (H − z)cos ec ψ P

1

U = γ W zW (H − z)cos ec ψ P

2

1

V = γ W zW 2

2

1 ⎛ ⎛ z⎞ 2

⎞

W = γ H ⎜1 − ⎜ ⎟ cotψ P − cotψ f

2

⎟⎟

2 ⎜ ⎝H⎠

⎝ ⎠

be used to support it & to increase the safety

factor

Active rock bolt installation:

F=

(W sinψ P + V cosψ P − T cos β )

⎛ tanφ ⎞

Critical installation angle βcr = arctan⎜ ⎟

⎝ F ⎠

F=

(W sinψ P + V cosψ P )

βcr = φ 118

Underground excavations

analytical approach for an ideal material or

CHILIE (Continuous, Isotropic, Homogenous,

Linearly Elastic) is introduced.

The opening is considered to be circular with

radius a. under vertical load of Pz.

To calculate polar stresses (radial, σr,

tangential, σθ, & shear, τrθ), an element at

radial distance r with an angle θ from the

horizontal axis is considered

Pz

σθ

σr

τ rθ

kPz kPz

a θ

θ+

119

Pz

Kirsch equations

1

{ a2 4a 2 3a 4

σ r = Pz (1 + k )(1 − 2 ) − (1 − k )(1 − 2 + 4 ) cos 2θ

2 r r r }

1

{ a2 3a 4

σ θ = Pz (1 + k )(1 + 2 ) + (1 − k )(1 + 4 ) cos 2θ

2 r r }

1

{ 2a 2 3a 4

τ rθ = Pz (1 − k )(1 + 2 − 4 )sin 2θ

2 r r }

Pz a ⎧ ⎡ a2 ⎤ ⎫

ur = − ⎨(1 + k ) − (1 − k ) ⎢ 4(1 − υ ) − 2 ⎥

cos 2θ ⎬

4G ⎩ ⎣ r ⎦ ⎭

Pz a ⎧ ⎡ a2 ⎤ ⎫

uθ = − ⎨ (1 − k ) ⎢ 2(1 − 2υ ) + 2 ⎥

sin 2θ ⎬

4G ⎩ ⎣ r ⎦ ⎭

{ }

a2

σ r = Pz 1 − 2

r

{ }

a2

σ θ = Pz 1 + 2

r

τ rθ = 0 120

Stresses at circular opening boundary (a=r)

σr = 0

τ rθ = 0

σ θ = Pz { (1 + k ) + 2(1 − k ) cos 2θ }

σθ

At roof & floor

Pz point B (θ=90,2700)

3 σ θ = Pz (3k − 1)

2

A

1 σ θ = Pz (3 − k )

At Sides

B

k point A (θ=0,1800)

1

-1

0.33

Tensile

Region (k<0.33)

If k=0

at sides (point A) : σθ = 3Pz

in roof & floor (point B) : σθ = −Pz

121

If k=1 (hydrostatic stress state) σθ = 2Pz

Zone of influence

It is the area out of which the stresses are

not affected by the excavation (stresses

change to in situ stresses). It is defined for a

given percentage (c%) of difference with

respect to in situ stresses (e.g. 5%)

Pmax − σ ≤ c % Pmax

stresses are back to initial in situ stress at

a distance of about 4 times of opening

radius away from the centre (2 times the

opening diameter)

σθ

Pz

3

r (5%) = a 20 = 4.47 a

1

a

122

r

2 3 4

a

2D Analytical solution for an elliptical

opening

Pz

β ψ

σ

q: the opening width to

kPz c height ratio (q=W/H)

W

σθ =

Pz

2q

{(1 + k ) [ (1 + q 2 ) + (1 − q 2 )cos 2(ψ − β )]

− (1 − k ) [ (1 + q 2 )cos 2ψ + (1 − q 2 )cos 2β ]}

A H

For horizontal opening (β=0)

W

π σ A = Pz [1+ 2q − k]

ψ= : Point A

2

⎡ 2 ⎤

ψ =0 : Point B σB = Pz ⎢k(1+ ) −1⎥

⎣ q ⎦ 123

Or in terms of radius of curvature, ρA & ρB

H2 W2

ρA = ρB =

2W 2H

⎡ 2W ⎤

σ A = Pz ⎢1 + − k⎥

⎣ ρA ⎦

⎡ 2H ⎤

σ B = Pz ⎢k (1 + ) −1⎥

⎣ ρB ⎦

σ

Pz Optimum σ

A

point

Pz

σθ = Pz (1 + k )

σB

Pz

q<k q=k q>k W

q=

H

stresses at sides & at roof & floor of opening

are equal. This means that the best shape for

an elliptical opening is when the major axis is

along the direction of max stress 124

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