Introduction

1.1 The subject of engineering rock mechanics

The term engineering rock mechanics is used to describe the engin-
eering application of rock mechanics to civil, mining, petroleum and
environmental engineering circumstances. The term mechanics, means
the study of the equilibrium and motion of bodies, which includes statics
and dynamics 1. Thus, rock mechanics is the study of mechanics applied
to rock and rock masses. 'Engineering rock mechanics' is this study
within an engineering context, rather than in the context of natural pro-
cesses that occur in the Earth's crust, such as folding and faulting. The
term rock engineering refers to the process of engineering with rock,
and especially to creating structures on or in rock masses, such as slopes
alongside roads and railways, dam foundations, shafts, tunnels, caverns,
mines, and petroleum wellbores.
There is an important distinction between 'rock mechanics' and 'rock
engineering'. When 'rock mechanics' is studied in isolation, there is
no specific engineering objective. The potential collapse of a rock mass
is neither good nor bad: it is just a mechanical fact. However, if the
collapsing rock mass is in the roof of a civil engineering cavern, there
is an adverse engineering connotation. Conversely, if the collapsing rock
mass is part of a block caving system in mining (where the rock mass
is intended to fail), there is a beneficial engineering connotation. In the
civil engineering case, the integrity of the cavern is maintained if the
rock mass in the roof does not collapse. In the mining engineering case,
the integrity of the mining operation is maintained if the rock mass does
collapse.
Hence, rock engineering applies a subjective element to rock mechan-
ics, because of the engineering objective. The significance of the rock
mass behaviour lies in the eye and brain of the engineer, not in the
mechanics.

lit is not always realized that the term 'mechanics' includes 'dynamics', but a book
title such as 'River Mechanics' is correct. Similarly, 'rock dynamics', the topic of Chapter
13, is part of 'rock mechanics'.
4 Introduction

'Engineering Rock Mechanics' and

'Rock Mechanics' 'Rock Engineering' Design

Boundary
conditions
r, \ I .

(b).

Figure 1.1 The distinction between 'rock mechanics' itself (a) and engineering applications
of rock mechanics (b). In (a), &...F,, are the boundary forces caused by rock weight and
current tectonic activity. In (b) a tunnel is being constructed in a rock mass.

The distinction between'rock mechanics' and 'rock engineering' illus-

trated in Fig. 1.1 is highlighted further in Fig. 1.2 which shows part of
the concrete foundation illustrated in the Frontispiece. 'Rock mechanics'
involves characterizing the intact rock strength and the geometry and
mechanical properties of the natural fractures of the rock mass. These
studies, together with other aspects of the rock mass properties such as
rock stiffness and permeability, can be studied without reference to a
specific engineering function. When the studies take on a generic engin-
eering direction, such as the structural analysis of foundations, we are in
the realm of 'engineering rock mechanics'. This is analogous to the term
engineering geology in which geology is studied, not in its entirety but
those aspects which are relevant to engineering.
'Rock engineering' is concerned with specific engineering circum-
stances: in this case (Fig. 1.2), the consequences of loading the rock
mass via the concrete support. How much load will the rock foundation
support under these conditions? Will the support load cause the rock to

Load

...... %

....:.:~!i~i{71111i1i::;
~ .....C0ncrete
. sup6ort .... iiT!!!i!iii~....... .

.......ii~.~:

Rockbolt

Pre-existing fracture surfaces

Figure 1.2 Portion of Frontispiece photograph illustrating loading of discontinuous rock

mass by the concrete support of a multi-storey car park, Jersey, UK.
 Questions and answers: introduction 5

slip on the pre-existing fractures? Is the stiffness of the concrete support

a significant parameter in these deliberations? If the rock mass is to be
reinforced with rockbolts, where should these be installed? How many
rockbolts should there be? At what orientation should they be installed?
All these issues are highlighted by the photograph in Fig. 1.2.
Above the Frontispiece photograph, there are two acronyms:
CHILE - - Continuous, Homogeneous, Isotropic and Linearly Elastic;
DIANE - - Discontinuous, Inhomogeneous, Anisotropic and Not-Elastic.
These refer to two ways of thinking about and modelling the rock mass.
In the CHILE case, we assume an ideal type of material which is not
fractured, or if it is fractured the fracturing can be incorporated in the
elastic continuum properties. In the DIANE case, the nature of the real
rock mass is recognized and we model accordingly, still often making
gross approximations. Rock mechanics started with the CHILE approach
and has now developed techniques to enable the DIANE approach to
be implemented. It is evident from Fig. 1.2 that a DIANE approach is
essential for this problem, using information about the orientation and
strength of the rock fractures. However, both approaches have their
advantages and disadvantages, and the wise rock engineer will utilize
each to maximal advantage according to the circumstances.
Modelling for rock mechanics and rock engineering should be based
on ensuring that the relevant mechanisms and the governing parameters
relating to the problem in hand have been identified. Then, the choice of
modelling technique is based on the information required, e.g. ensuring
an adequate foundation as illustrated in Fig. 1.2.
Accordingly, and to enhance an engineer's skills, the question sets in
Chapters 1-13 are designed to improve familiarity with the main rock
mechanics topics and the techniques associated with the topics, such as
stress analysis and hemispherical projection methods. In Chapter 14,
we emphasize the importance of considering the 'rock mass-engineering
structure' as a complete system. Finally, in Chapters 15-20, the question
sets are related to specific engineering activities and design requirements.
You can read the question and answer text directly in each of the
chapters, as in Section 1.2 following, or you can attempt the ques-
tions first without seeing the answers, as in Question Set 1 in Part B.
Whichever method you choose for reading the book, we recommend
that you read the introductory text for each chapter topic before tackling
the questions.

1.2 Questions and answers: introduction

In this introductory chapter, there are five questions concerned with the
nature of engineering rock mechanics. In all subsequent chapters there
are ten questions.

Q 1.1 Define the following terms:

• rock mechanics;
• e n g i n e e r i n g rock mechanics;
6 Introduction

• rock engineering;
• structural geology;
• engineering geology;
• soil mechanics;
• geotechnical engineering.

A1.1 Rock mechanics is the study of the statics and dynamics of rocks
and rock masses.
Engineering rock mechanics is the study of the statics and dynamics of
rocks and rock masses in anticipation of the results being applied to
engineering.
Rock engineering involves engineering with rocks, especially the con-
struction of structures on or in rock masses, and includes the design
process.
Structural geology deals with the description and analysis of the structure
of rock masses.
Engineering geology is the study of geology in anticipation of the results
being applied to engineering.
Soil mechanics is the study of the statics and dynamics of soils.
Geotechnical engineering is the process of engineering with rocks and/or
soils 2.

Q 1.2 Explain the fundamental purposes of excavation in civil engin-

eering, mining engineering, and petroleum engineering.

A1.2 Civil engineering. It is the rock opening, the space resulting from
excavation, that is required in civil e n g i n e e r i n g - for railways, roads,
water transport, storage and disposal of different m a t e r i a l s - often
designed for an engineering life of 120 years.
Mining engineering. It is the excavated rock itself that is required in
mining engineering, plus the ability to transport the rock. Underground
space is created when the rock is removed, e.g. the mine stopes in metal
mines; separate underground space is required to transport the mined
rock/ore to the surface. The design life of mine openings can vary from a
few days (as in longwall coal mining), to some months or years, to many
years, depending on the mine design, methods, and requirements.
Petroleum engineering. Wellbores (deep boreholes) are used to extract
petroleum and so the excavated space is used for transport. The design
life of the wellbores is similar to the mining circumstances: it will depend
on the overall strategy and lifetime of the oil field. Note that, in contrast
to civil and mining engineering, environmental problems such as surface
subsidence and groundwater movement are not caused by the creation
of underground space per se, but by the removal of oil from the reservoir
rock where it is trapped.

2In the 1990s, the International Society for Soil Mechanics and Foundation Engineering
changed its name to the International Society for Soil Mechanics and Geotechnical
Engineering. The International Society for Rock Mechanics considered a complementary
change to the International Society for Rock Mechanics and Geotechnical Engineeringbut
did not go ahead with the change.
 Questions and answers: introduction 7

Q1.3 The photograph below illustrates construction of the 61 m

span, 25 to 50 m deep, underground Gjevik Olympiske Fjellhall
(Olympic Mountain Hall) in Precambrian gneiss in Norway. This is
the largest 3 roofspan public-access civil engineering cavern in the
world. Describe the engineering rock mechanics factors that would
have to be considered in the design and excavation of such a cavern.

A1.3 The main factors to be considered in excavation of such a cavern

are the geological setting, the natural rock stress, the deformability and
strength of the intact rock, the geometry and nature of the pre-existing
fractures, the groundwater, variations in the rock properties, the use
of a rock mass classification technique to indicate rock mass quality,
time-dependent effects, and the excavation and support methods. The
cavern is to be constructed in hard rock, but it has a large span (of 61 m
compared to the usual 15-25 m) and is located close to the surface. Under
these circumstances, we would need to consider in the first instance any
instability that might arise from rock blocks falling by gravity from the
cavern roof.
In fact, after considerable site investigation, the use of the (2 rock
mass classification scheme, associated numerical modelling and design
work 4, the cavern was first excavated to a 36 m span and then, after
installation of 6 m rockbolts and 12 m long cable bolts plus fibre-rein-
forced shotcrete, increased to the 61 m span. The long axis of the cavern

3This refers to the year 2000. It is likely that in the future this project will be superseded
by even larger projects.
4 Bhasin R. and Loset F. (1992) Norway's Olympic Cavern. Civ. Eng., December, 60-61.
8 Introduction

axis was orientated perpendicular to the maximum horizontal stress of

3.5-4.0 MPa which helped to stabilize the rock blocks in the roof. After
excavation of 140,000 m 3 of rock and installation of the internal fittings,
the Gjovik Olympiske Fjellhall can seat 5300 people. The impression one
has inside the cavern is the same as that in a building constructed above
ground.

Q1.4 Why do you think that the techniques used in rock mechanics
for site characterization, analysis and modelling are not the same
as those used in soil mechanics?

A1.4 Although there is a significant overlap between the two subjects,

for example both subjects make extensive use of stress analysis and
elasticity theory, soil particles are several orders of magnitude smaller
than the dimensions of the engineered structure, whereas rock blocks
can be of a similar size to the engineered structure. This means that the
discrete nature of the ground is more important in rock mechanics, and
techniques such as hemispherical projection and dedicated computer
modelling are required to assess the associated rock movements. Also,
some support methods such as the rockbolts and cable bolts mentioned
in A1.3 can only be used in rock masses.
In fact, the two main factors that cause the differences between rock
mechanics and soil mechanics are (a) the importance in rock mechanics
of the pre-existing in situ rock stress, and (b) the presence of the fractures
which govern the rock mass stiffness, strength, failure behaviour and
permeability. Understanding and modelling these two aspects alone
require a dedicated rock mechanics approach.

Q 1.5 How can the subject of "engineering rock mechanics" be useful

to organizations outside the civil and mining engineering profes-
sions, e.g. to the petroleum industry, to insurance companies, to
environmental engineers?

A1.5 The subject is potentially useful to any person or organization

concerned with the engineering behaviour of rock masses. In petroleum
engineering, the engineer wishes to be able to predict the stability of
wellbores and the conditions under which borehole breakout will occur
(damage caused by high rock stress at the borehole walls), in addition
to the overall rock mechanics behaviour of oil reservoirs. Similarly,
insurance companies wish to evaluate the hazard to large structures
built on or in rock masses, and this requires a knowledge of engineering
rock mechanics. Environmental engineers need to understand processes
such as coastal cliff degradation, water flow through rock masses, and
the stability of disused mine workings.

1.3 Additional points

In 2000, the largest u n d e r g r o u n d excavation for civil engineering pur-
poses is in the Indian state of Himachal in the Himalayas. It is part
 Additional points 9

Chuquicamata
surface
copper mine

Santiago,
Chile

El Teniente
surface
copper mine

Figure 1.3 Location of the Chuquicamata and E1 Teniente copper mines.

of the Nathpa Jhakri hydro-electric power station and consists of four

siltation chambers with dimensions 525 m long, 16 m wide and 27 m
deep, built to exclude sediment particles above 0.2 m m from entering the
headrace tunnel and hence the turbines. The Nathpa Jhakri construction
project has many interesting features, including the Daj Khad shear zone
through which the headrace tunnel was driven 5.
The largest surface and underground mines are in Chile (Fig. 1.3): the
Chuquicamata open-pit copper mine and the underground E1 Teniente
copper and molybdenum mine. The Chuquicamata surface mine is in
the Atacama desert in northern Chile, and is several kilometres long and
750 m deep. The E1 Teniente mine in the foothills of the Andes is in
a zone of complex geology and high rock stress, and produces 90,000
tonnes of ore per day.
The professional society for rock mechanics is the International So-
ciety for Rock Mechanics (ISRM) which was formed in 1963. The Sec-
retariat is based at the Laborat6rio Nacional de Engenharia Civil in
Lisbon, Portugal. There are about 5000 members. Each year, the Manuel
Rocha ISRM prize is awarded for the best PhD thesis submitted to the
ISRM Board. The ISRM distributes the ISRM News Journal which is a
magazine containing news and technical articles.
The authors of the first major textbook in rock mechanics, 'Funda-
mentals of Rock Mechanics', were John C. Jaeger and Neville G.W.

5 A discussion of some of the rock mechanics analyses for the Nathpa Jhakri project
is contained in the paper of the Glossop Lecture given by Dr. E. Hoek to the Geological
Society of London Engineering Group in 1998: Hoek E. (1999) Putting Numbers to
G e o l o g y - An Engineer's Viewpoint, Q. J. Eng. Geol., 32, 1, 1-19.
10 Introduction

Cook 6. Professor Jaeger was a mathematician and engineer, working

in Australia; Professor Cook was a seismologist and mining engineer,
working in South Africa and later in the USA. The first edition of the
textbook was published in 1969. This book has a strong emphasis on
the theory of elasticity applied to rock masses, resulting from Professor
Jaeger's expertise and the utility of the theory when applied to Professor
Cook's working environment deep in the South African gold mines. In
these gold mines, high rock stresses close the pre-existing fractures; thus,
the rock mass can be modelled as a continuum and elastic calculations
for stresses, displacements and energies are often good approximations.
'Fundamentals of Rock Mechanics' had a significant influence on the
development of rock mechanics. For example, in China it was the only
foreign book available on rock mechanics for many years. We will high-
light in later chapters that elasticity theory is one of the major tools
available to support rock engineering design. However, for near-surface
rock engineering, where there are more fractures, often subjected to rel-
atively low rock stress levels, we use additional techniques to study the
rock mass behaviour.

For research work, there are two main journals in the engineering
rock mechanics subject area.
(i) 'International Journal of Rock Mechanics and Mining Sciences'
edited by J. A. Hudson and published by Pergamon Press, Elsevier
Science. This Journal was started in 1964 and concentrates on original
research, new developments and case studies in rock mechanics and
rock engineering for mining and civil applications. Suggested Methods
generated by the ISRM Commission on Testing Methods are published
in the Journal; for example there are several new ones in Volume 36
for 1999. Also, the Journal publishes Special Issues on important topics
(e.g. the one described in Footnote 6) and has published the proceedings
of conferences in compact disk form. The web site of the Journal is
http: / / www. elsevier.nl/loca te /ijrmms.
(ii) 'Rock Mechanics and Rock Engineering' edited by K. Kovari and
H. H. Einstein and published by Springer-Verlag. This Journal was star-
ted in 1968 and concentrates on experimental and theoretical aspects
of rock mechanics, including laboratory and field testing, methods of
computation and field observation of structural behaviour, with ap-
plications in tunnelling, rock slopes, large dam foundations, mining,
engineering and engineering geology. The web site of the Journal is
h ttp: / / link. sp ring er. d e / link / se rvi ce/jo umals / 00603 / abo u t.h tm.
We encourage you to consider rock mechanics as a unique discipline.
Of course, there are many common factors with other subjects: Newton's

6jaeger J. C. and Cook N. G. W. (1979, 3rd edn.) Fundamentals of Rock Mechanics.

Chapman and Hall, London, 593pp. In 1998, a commemorative conference was held at
the Ernest Orlando Lawrence Berkeley National Laboratory in California, USA, to honour
Neville Cook's contributions to rock mechanics. The Neville Cook Special Issue of the
International Journal of Rock Mechanics and Mining Sciences was published in 2000.
This Special Issue contains reminiscing contributions and 30 papers presented at the
conference on subjects pioneered by him.
 Additional points 11

laws will apply, the theory of elasticity remains the same, etc. Although
much of the science will be common with other disciplines, rock is a
natural material and so engineering rock mechanics is also an art. Thus,
when working through the question and answer sets in this book, we
recommend that you concentrate on developing a deeper understanding
of the principles and hence to be capable of a more creative approach to
this fascinating subject.