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Lectures on Rock Mechanics
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Rock Mechanics II
Abazar M A Daoud
MSc. In Engineering Geology
Engineering Geology Department – Faculty of Earth Sciences – Red Sea University

Course Description
Description
This course presents a comprehensive introduction to rock mechanics

and its applications for mining and civil engineering environments.
This course is designed for future engineering geologist who will work
on projects in rock engineering.
✓ Major topics of the course include:

1. Introduction to rock structures.
2. Rock and rock mass properties.
3. Rock slope engineering.

Contents
1. Introduction
a. Intact rock, rock mass and discontinuities.
b. In situ investigation and laboratory testing of intact rock and rock masses
and their classification.
2. Stress and strain relationship in rocks.
a. In-situ stresses
b. Rock deformation.
3. Failure criteria and Mohr cycle
4. Rock mass classification system (RMR, Q, GSI and others).
5. Stability of rock slope.
a. Plane Failure.
b. Circular Failure.
6. Related research and Papers.

Useful references
Introduction
❑ Rock mechanics is the theoretical and applied science of the mechanical

behaviour of rock and rock masses. Rock mechanics deals with the
mechanical properties of rock and the related methodologies required
for engineering design.

Introduction
➢ Rock mechanics is the theoretical and applied

science of the mechanical behaviour of rock and
rock masses; it is that branch of mechanics
concerned with the response of rock and rock
masses to the force fields of their physical
environment.
➢ The subject of rock mechanics has evolved from
different disciplines of applied mechanics. It is a
truly interdisciplinary subject, with applications
in geology and geophysics, mining, petroleum
and geotechnical engineering.

Introduction
➢ Rock mechanics involves characterizing the intact

strength and the geometry and mechanical
properties of the natural fractures of the rock mass.
➢ Rock engineering is concerned with specific

engineering circumstances, for example, how much
load will the rock support and whether
reinforcement is necessary.

Introduction
Nature of Rock
A common assumption when dealing with the mechanical behavior of

solids is that they are:
I. · homogeneous
II. · continuous
III. · isotropic
However, rocks are much more complex than this and their physical
and mechanical properties vary according to scale. As a solid material,
rock is often:
I. · heterogeneous
II. · discontinuous
III. · anisotropic

Introduction

Introduction
Rock as an Engineering Material
➢ One of the most important, and frequently neglected, aspects of

rock mechanics and rock engineering is that we are utilizing an
existing material which is usually highly variable.

Introduction
Rock as an Engineering Material
➢ Rock as an engineering material will be used either:

1. As a building material so the structure will be made of
rock,
2. or a structure will be built on the rock,
3. or a structure will be built in the rock
➢ In the context of the mechanics, we must establish:

1. the properties of the material
2. the pre-existing stress state in the ground (which will be
disturbed by the structure)
3. and how these factors relate to the engineering objective

Intact Rock Classification

Classification Systems of Discontinuity Surfaces

‫مراجعة‬
Rock Mech
anics Rock Mech
Rock Mechanics anics
➢What is Rock Mechanics?

Rock mechanics is a science that uses the principles of mechanics to
describe the behaviour of rock for engineering purposes.
➢Rock Definitions
➢The Geological Definition of Rocks
Material of the Earth’s crust, composed of one or more minerals
strongly bonded together that are so little altered by weathering that
the fabric and the majority of the parent minerals are still present.
➢The Engineering Definition of Rocks
Rock is the hard and durable material that cannot be excavated
without blasting. Or The earth materials that do not slake when soaked
into water.
➢ Engineering Considerations of Igneous Rocks
(1) Fine-grained of alkali igneous rocks cannot be used as
aggregates in Portland cement due to volume expansion
caused by the Alkali-silica reaction.
(2) Coarse-grained igneous rocks (e.g., granite, syenite,
etc.) cannot be used as aggregates in constructions because
its low abrasion resistance; but fine-grained igneous rocks
(e.g., basalt) are good for aggregates e.g., basalt as paving
aggregates goes with asphalt.
(3) Siting of foundations needs to avoid weathered rocks
(e.g., dams, bridge piers, etc.).
(4) Igneous rocks are good for dimension stone (tombstone
etc.) because their resistance to weathering but need avoid
fractures.
➢ Engineering Considerations of Sedimentary Rocks
(1) The sedimentary rocks also have the Alkali-silica reaction problem
when used as aggregates with Portland cement. The sedimentary rocks
with this problem are greywacke.
(2) Fine-grained sedimentary rocks like limestone and dolomite are the
best for being used as aggregates; siltstone, shale, conglomerate, and
quartz sandstone are not acceptable.
(3) Stream and terrace gravel contains weak pieces, they are not good
for aggregates in concrete.
(4) Coarse-grained limestone is not good for aggregates;
(5) Sinkhole problem in carbonate terrains due to the high
dissolvability of limestone and dolomite.
➢ Engineering Considerations of Metamorphic Rocks
(1) The metamorphic rocks also have the Alkali-silica
reaction problem when used as aggregates with Portland
cement. The metamorphic rocks with this problem are
phyllite, impure quartzite, and granite gneiss.
(2) Coarse-grained gneiss can be abraded severely when
used as aggregates.
(3) For metamorphic rocks the stability of rock mass
greatly affected by the foliation orientation.
(4) Marble as a metamorphic rock from carbonate
sedimentary rocks can cause similar problems, eg., leakage
of reservoirs, sinkhole collapse, solution cavities, and
channels.
Rock Substances or Rock Materials refers to a
block or fragment of rock free of defects
(discontinuities), in which its hydraulic and
mechanical properties are controlled by the
petrographic characteristics of the material,
whether in the fresh or decomposed state.
Classification is based on its uniaxial compressive
strength and hardness.
Or It refers to the consolidated and cemented
assemblage of mineral particles form the intact
blocks between discontinuities in the rock mass.
➢ In situ rock (Rock Mass) refers to the rock mass that
normally contains defects (discontinuities), which
separate the mass into blocks of intact rock and control
the hydraulic and mechanical properties. Classification is
based on rock quality, with the mass generally termed as
competent or incompetent.
Types of discontinuities: faults, dykes, joints, fractures,
cavities, bedding planes, cleavage planes, and foliation
planes.
➢ Rocks are significant for two major reasons in
engineering:
(1) As building materials for constructions;
(2) As foundations on which the constructions are setting.
2/ Engineering properties of rock mass according to ISRM ( Brown,
1981)
1-Field observations (discontinuities description)
2-Mechanical Properties (intact rock)
3-Core logging
❖Question:
What differences between Intact Rock and Rock Mass???
1/ Field observations (discontinuities description)
The rock mass is described by the following items according to ISRM
(Brown, 1981):
1. Colour.
2. Weathering: (Weathering is the process of alteration and breakdown
of rock and soil materials at and near the Earth’s surface by chemical
decomposition and physical disintegration).
3. Fabric: (refers to the arrangement of minerals and particles in the
rock. The arrangement may be of similar mineral/particle sizes,
composition or arrangement including showing a preferred
orientation).
4. Bedding thickness and inclination.
5. Strength.
6. Discontinuities: (The full description of discontinuities requires
attention to the following: Orientation, Spacing, Persistence,
Roughness, Wall Strength, Aperture, Infill, Seepage, Sets, Block size
and shape).
1-Orientation (Attitude of a discontinuity in space (strike, dip direction,
and dip amount).
2-Spacing (perpendicular distance between adjacent discontinuities).
3-Persistence (a discontinuity trace length as observed in an exposure).
4-Roughness (inherent surface roughness and waviness of a
discontinuity).
5-Wall strength (compressive strength of the adjacent rock walls of a
discontinuity).
6-Aperture (perpendicular distance between adjacent rock walls of a
discontinuity).
7-Filling (the filling materials that separate the adjacent rock walls of a
discontinuity).
8-Seepage (water flow and free moisture visible in individual
discontinuities or in the rock mass as a whole).
9-Number of sets ( the number of the discontinuities sets).
10-Block size and shape (rock block dimensions resulting from the
mutual orientation of intersecting discontinuities sets).
2/ Engineering properties of intact rock according to ISRM
( Brown, 1981)
Physical Properties
1-Water Content
2-Porosity
3-Density
4-Absorption
5-Abrasiveness by Los Angeles Machine
Mechanical Properties
1-Strength
2-Elastic Modulus
The strength of rock substances is divided into:
A- Compressive strength
1- uniaxial compressive strength qu = F / A Uniaxial compressive strength
Digitalized machine
2- Schmidt Hammer
B- Tensile strength
1- Brazilian test
2- Point load test Hammer Test
C- Shear strength
Brazilian Test
Direct Sheer Test

3/ Core Logging
1-Total Core Recovery (TCR)
2-Discontinuity Frequency (F)
3-Rock Quality Designation (RQD)
1-Total Core Recovery (TCR): (TCR) is the ratio of the length of core
recovered to the length of drilled)
2-Discontinuity Frequency (F): is the number of natural discontinuities
intersecting a unit length of recovered core.
3- Rock Quality Designation (RQD)
Lecture Two
❖Contents:
1. Stress & Strain relationship in rocks.
2. Influence of Geological Factors.
3. Rock Deformation.
Stress & Strain relationship in rocks
Stress and Strain

➢ The distribution of in situ rock stresses is a major concern of rock
mechanics and rock engineering, both with respect to
understanding basic geological process such as plate tectonics and
earthquakes, and the design of structures in and on rock masses.
➢ Rocks are subject to stress —mostly related to plate tectonics but
also to the weight of overlying rocks—and their response to that
stress is strain (deformation). In regions close to where plates are
converging stress is typically compressive the rocks are being
squeezed. Where plates are diverging the stress is extensive rocks
are being pulled apart. At transform plate boundaries, where plates
are moving side by side there is sideways or shear stress meaning
that there are forces in opposite directions parallel to a plane.
Stress and Strain
Rocks have highly varying strain responses to stress because of their

different compositions and physical properties, and because temperature
is a big factor and rock temperatures within the crust can vary greatly.
We can describe the stress applied to a rock by breaking it down into
three dimensions—all at right angles to one-another (Figure A). If the
rock is subject only to the pressure of burial, the stresses in all three
directions will likely be the same. If it is subject to both burial and
tectonic forces, the pressures will be different in different directions.
Figure (A): Depiction of the stress applied to rocks within the
crust. The stress can be broken down into three components. Assuming
that we’re looking down in this case, the green arrows represent north-
south stress, the red arrows represent east-west stress, and the blue
arrows (the one underneath is not visible) represent up-down stress. On
the left, all of the stress components are the same. On the right, the
north-south stress is least, and the up-down stress is greatest.
Stress and Strain
➢ Rock can respond to stress in three ways: it can deform elastically, it
can deform plastically, and it can break or fracture. Elastic strain is
reversible; if the stress is removed, the rock will return to its original
shape just like a rubber band that is stretched and released. Plastic
strain is not reversible.
➢ As already noted, different rocks at different temperatures will behave

in different ways to stress. Higher temperatures lead to more plastic
behaviour. Some rocks or sediments are also more plastic when they
are wet. Another factor is the rate at which the stress is applied. If the
stress is applied quickly (for example, because of an extra-terrestrial
impact or an earthquake), there will be an increased tendency for the
rock to fracture. Some different types of strain response are illustrated
in Figure B
Figure (B): The varying types of response of geological materials to stress. The straight
dashed parts are elastic strain and the curved parts are plastic strain. In each case the X
marks where the material fractures. A, the strongest material, deforms relatively little
and breaks at a high stress level. B, strong but brittle, shows no plastic deformation and
breaks after relatively little elastic deformation. C, the most deformable, breaks only
after significant elastic and plastic strain. The three deformation diagrams on the right
show A and C before breaking and B after breaking.
In Situ Stresses
The basic motivations for in situ stress determination are two-fold:
1. To have a basic knowledge of the stress state for engineering, eg, in
what direction and with what magnitude is the major principal stress
acting? What stress effects are we defending ourselves and our
structures against? In what direction is the rock most likely to break?
All other things being equal, in what direction will the groundwater
flow? Even for such basic and direct engineering questions, a
knowledge of the stress state is essential.
2. To have a specific and “formal” knowledge of the boundary
conditions for stress analyses conducted in the design phase of rock
engineering projects.”
In Situ Stresses
➢ Stress is a tensor quantity containing nine components: three normal stress
components and six shear stress components.
So the in situ rock stress at a point can also be specified if we know the
orientations and magnitudes of the principal stresses.
➢ There are different methods for measuring in situ rock stresses. These methods
can be classified into two main categories (Ljunggren et al., 2003).
1) The first consists of methods that disturb the in situ rock conditions, ie, by
inducing strains, deformations or crack opening pressures, including hydraulic
fracturing and/or hydraulic testing of pre-existing fractures (HTPE) methods,
borehole relief methods and surface relief methods.
2) The second consists of methods based on observation of rock behavior without
any major influence from the measuring method, including core discing,
borehole breakouts, relief of large rock volumes (back analysis), acoustic
methods (Kaiser effect), strain recovery methods, geological observational
methods and earthquake focal mechanisms.
Rock Stresses
In situ (in place) Stresses Induced Stresses
Gravitational Tectonic Residual stresses Terrestrial stresses (Mining, excavation,

stresses Stresses • Diagenesis • Seasonal tempe
(Flat ground s • Metasomatism rature variation
drilling, pumping, in
urface and to • Metamorphism s jection, energy extr
pography eff • Magma cooling • Moon pull (tidal action, applied load
ect) • Changes in pore stresses) s, swelling, etc…)
pressure • Coriolis force
• Diurnal stresses
Active tectonic stresses

Remnant Tectonic Stresses
• Same as residual but tecton
ic activity is involved, such a
s folding, faulting, jointing a
Broad scale Local nd boudinage
• Shear traction • Bending
• Slab pull • Isostatic compensation
• Ridge push • Downbending of lithospher
• Trench suction
4/19/2021
• Volcanism and heat flow
• Membrane stress
In Situ Stress
• When considering the loading conditions imposed on the rock m
ass, it must be recognized that an in situ pre – existing state of str
ess already exists in the rock.
In Situ Stresses
The ISRM further suggested a method for establishing the
final rock stress model (FRSM) at a site or an area. The
FRSM is derived based on a combination of available stress
data from the best estimate stress model (BESM).
The BESM is established through data collection and
analysis, including
(a) Data extraction (assessment of stress types, estimation
of rock stresses using stress data and World Stress Map
(WSM), etc.),
(b) Analysis of field data on morphology, topography and
geology, and
(c) Compilation and analysis of borehole and drill core
data
WORLD STRESS MAP (WSM)
The WSM is a global database of contemporary tectonic stress of the Earth’s

crust (Zobak et al., 1989; Reinecker et al., 2004; Heidbach et al., 2010). The
2008 release of WSM contains 21,750 data points and they are grouped into
four major categories with the following percentage (Heid bach et al., 2010):
1) Earthquake focal mechanisms (72%);
2) Wellbore breakouts and drilling induced fractures (20%);
3) In situ stress measurements (over coring, hydraulic fracturing, borehole
slotter) (4%); and
4) Young geologic data (from fault slip analysis and volcanic vent alignments)
(4%).
Word Stress Map
VARIATION OF IN SITU STRESSES WITH DEPTH
As a first estimation, it is often assumed that the three
principal stresses of an in situ rock stress state are
acting vertically and horizontally.
1. Vertical Stress:
Hoek and Brown (1980) analyzed worldwide data on
measured in situ rock stresses and presented the
graph.
the average trend with depth can be expressed as
σv¼0.027z MPa, where z is the depth below surface in
m. Since the unit weight of rock masses is typically
about 0.027 MN/m3, the vertical stresses can be
simply estimated from the following relationship:
where γ is the unit weight of the overlying rock mass

and z is the depth below surface.

2. Horizontal Stresses
The horizontal stresses in rock are much
more difficult to estimate than the
vertical stress. In many cases, the
horizontal stresses at the same location in
a rock mass are different in different
directions. The maximum horizontal
stress σhmax and the minimum
horizontal stress σhmin can be related to
the vertical stress σv as follows:
1. σv>σhmax>σhmin in normal fault
area;
2. σhmax>σhmin>σv in thrust fault
area; and
3. σhmax>σv>σhmin in strike-slip fault
area.
Normally, the average

horizontal stress is related
to the vertical stress by the
coefficient k such that:
Rock Mechanics II
Influence of Geological Factors

Rock Mechanics II
Rock Mass Classification System

Engineering Rock Mass Classification
THE CLASSIFICATION
The science of classification is called “taxonomy”; it deals with the theoretical aspects of
classification, including its basis, principles, procedures, and rules.
Rock mass classifications form the backbone of the empirical design approach and are
widely employed in rock engineering.
Engineering rock mass classification systems have been widely used with great success in
Austria, South Africa, the United States, Europe, and India for the following reasons:
1. They provide better communication between planners, geologists, designers,
contractors, and engineers.
2. An engineer’s observations, experience, and judgment are correlated and consolidated
more effectively by an engineering (quantitative) classification system.
3. Engineers prefer numbers in place of descriptions; hence, an engineering classification
system has considerable application in an overall assessment of the rock quality.
4. The classification approach helps in the organization of knowledge and is amazingly
successful.
5. An ideal application of engineering rock mass classification occurs in the planning of
hydroelectric projects, tunnels, caverns, bridges, silos, building complexes, hill roads, rail
tunnels, and so forth.
(1) Terzaghi’s Rock Load Theory
✓ This was probably the first successful attempt at classifying rock masses for
engineering purposes. Terzaghi (1946) proposed that the rock load factor (Hp) is the
height of the loosening zone over the tunnel roof, which is likely to load the steel
arches.
✓ ROCK CLASSES
Terzaghi (1946) considered the structural discontinuities of the rock masses and
classified them qualitatively into nine categories as shown in Table

ROCK LOAD FACTOR
Terzaghi (1946) combined the results of his trap-door experiments and the estimated
rock loads from Alpine tunnels to compute rock load factors (Hp) in terms of tunnel
width (B) and tunnel height (Ht) of the loosened rock mass above the tunnel crown which
loads the steel arches.

Terzaghi’s (1946) rock

load concept in
tunnels.
Rock load factors for all the nine rock classes

For obtaining the vertical support pressure from the rock load factor (Hp) Terzaghi
suggested the following equation:
where Pv is the support pressure, γ is the unit weight of
the rock mass, and Hp is the height of loose overburden
above the tunnel roof.

(2) Rock Mass Rating (RMR)

INTRODUCTION
❖ The geomechanics classification or the rock mass rating (RMR) system was initially
developed at the South African Council of Scientific and Industrial Research (CSIR)
by Bieniawski (1973) on the basis of his experiences in shallow tunnels in sedimentary
rocks.
❖ To apply the geomechanics classification system, a given site should be divided into a
number of geological structural units in such a way that each type of rock mass is
represented by a separate geological structural unit.

The following six parameters (representing causative factors) are determined for each
structural unit:
1. Uniaxial compressive strength (UCS) of intact rock material.
2. Rock quality designation (RQD).
3. Joint or discontinuity spacing.
4. Joint condition.
5. Groundwater condition.
6. Joint orientation.
ESTIMATION OF RMR
o RMR should be determined as an algebraic sum of ratings for all of the parameters.
o On the basis of RMR values for a given engineering structure, the rock mass is sorted
into five classes: very good (RMR 100–81), good (80–61), fair (60–41), poor (40–21),
and very poor (<20).
o The classification may be used for estimating many useful parameters such as the
unsupported span, the stand-up time, the bridge action period, and the support
pressure for an underground opening

o It may also be used for selecting a method of excavation and the permanent support
system.
o Cohesion, angle of internal friction, modulus of deformation of the rock mass, and
allowable bearing pressure for foundations may also be estimated to analyze the
stability of rock slopes.

APPLICATIONS OF RMR
Rock Mass Rating RMR has found wide applications in various types of engineering
projects such as tunnels, slopes, foundations, and mines. It is also adaptable for
knowledge-based expert systems.
Engineers informally classify rock structure into two general classifications: continuous
homogenous isotropic linear elastic (what most geotechnical engineers would like to see)
and discontinuous in homogenous anisotropic non-elastic (what most in-situ rock masses
actually are).
The following engineering properties of rock masses may be obtained using RMR:
I. Average Stand-up Time for an Arched Roof
II. Cohesion and Angle of Internal Friction
III. Modulus of Deformation
IV. Allowable Bearing Pressure
V. Shear Strength of Rock Masses

Average Stand-up Time for an Arched Roof
The stand-up time depends upon an effective (unsupported) span of the opening, which is
defined as the width of the opening or the distance between the tunnel face and the last
support (whichever is smaller).
Cohesion and Angle of Internal Friction
Assuming that a rock mass behaves as a Coulomb material, its shear strength depends
upon cohesion and angle of internal friction. RMR is used to estimate the cohesion and
angle of internal friction.
Examples
(3) Rock Mass Quality Q-System

THE Q-SYSTEM
Barton, Lien, and Lunde (1974) at the Norwegian Geotechnical Institute (NGI) originally
proposed the Q-system of rock mass classification on the basis of approximately 200 case
histories of tunnels and caverns. They defined the rock mass quality (Q) by the following
causative factors:
RQD: Rock Quality Designation
Jn: joint set number, Jr: joint roughness number for critically oriented joint set, Ja: joint
alteration number for critically oriented joint set, Jw: joint water reduction factor, SRF: stress
reduction factor to consider in situ stresses and according to the observed tunneling
conditions.
Rock Tunnelling Quality Index – Q
RQD J r Jw
Q= x x
Jn J a SRF
• RQD = Rock Quality Designation

• Jn = Joint set number
• Jr = Joint roughness Number
• Ja = Joint alteration number
• Jw = Joint water reduction number
• SRF = Stress reduction factor
Rock Tunnelling Quality Index – Q
RQD J r Jw
Q= x x
Jn J a SRF
❖ The first quotient is related to the rock mass geometry. Since the R
QD generally increases with decreasing number of discontinuity set
s, the numerator and denominator of the quotient mutually reinfor
ce one another.
❖ The second quotient related to “ inter-block shear strength” with hi
gh values representing Better ‘ mechanical quality’ of the rock mas
s.
❖ The third quotient is an ‘ environment factor’ incorporating water
pressures and flows, the presence of shear zones, squeezing and s
welling rock and the in situ stress state. The quotient increases with
decreasing water pressure and favorable in situ stress ratios.
Rock Tunnelling Quality Index: RQD/Jn
• RQD/Jn is a crude measure of the block or particle size, with the two
extreme values (100/0.5 and 10/20) differing by a factor of 400.
• If the quotient is interpreted in units of centimetres, the extreme

'particle sizes' of 200 to 0.5 cm are seen to be crude but fairly realistic
approximations.
• Probably the largest blocks should be several times this size and the
smallest fragments less than half the size. (Clay particles are of course
excluded).
Rock Tunnelling Quality Index: Jr/Ja
• Jr/Ja represents the roughness and frictional characteristics of the

joint walls or filling materials.
• This quotient is weighted in favour of rough, unaltered joints in

direct contact.
• It is to be expected that such surfaces will be close to peak strength,

that they will dilate strongly when sheared, and they will therefore
be especially favourable to tunnel stability.
Rock Tunnelling Quality Index: Jw/SRF
• Jw is a measure of water pressure, which has an adverse effect on the

shear strength of joints due to a reduction in effective normal stress.
• SRF is a measure of:
• Loosening load in the case of an excavation through shear zones and clay bearing rock.
• Rock stress in competent rock.
• Squeezing and swelling loads in plastic incompetent rocks.
❖ This sixth parameter is regarded as the “total stress” parameter. The quotient
of the fifth and the sixth parameters describes the “active stress”
Rock Tunnelling Quality Index: Classification
of RQD
Description Value Notes

A Very poor 0 – 25
B Poor 25 – 50
1. Where RQD is reported or measured as ≤ 10 (including 0), a nominal
value of 10 is used to evaluate Q.
C Fair 50 – 75
2. RQD intervals of 5, i.e. 100, 95, 90 etc. are sufficiently accurate.
D Good 75 – 90
E Excellent 90 – 100
Rock Tunnelling Quality Index:
Classification of Jn

A Massive, no or few joints 0.5 – 1.0
B One joint set 2
C One joint set plus random 3
D Two joint sets 4
E Two joint sets plus random 6 1. For intersections use (3.0 × Jn)
F Three joint sets 9 2. For portals use (2.0 × Jn)
G Three joint sets plus random 12
Four or more joint sets, random,

H 15
heavily jointed, 'sugar cube', etc.
J Crushed rock, earthlike 20

of Jr

a. Rock wall contact
b. Rock wall contact before 10 cm shear
A Discontinuous joints 4
B Rough and irregular, undulating 3
C Smooth undulating 2
1. Add 1.0 if the mean spacing of the
D Slickensided undulating 1.5 relevant joint set is greater than 3 m.
E Rough or irregular, planar 1.5
2. Jr = 0.5 can be used for planar,
F Smooth, planar 1.0 slickensided joints having lineations,
provided that the lineations are
G Slickensided, planar 0.5 oriented for minimum strength.
c. No rock wall contact when sheared
Zones containing clay minerals thick 1.0
H
enough to prevent rock wall contact (nominal)
Sandy, gravely or crushed zone thick 1.0

J
enough to prevent rock wall contact (nominal)
of Ja
fr (deg)
(approx.)
a. Rock wall contact
Tightly healed, hard, non-softening,
A 0.75
impermeable filling
B Unaltered joint walls, surface staining only 1.0 25 – 35 Values of fr, the residual
Slightly altered joint walls, non-softening friction angle, are
C mineral coatings, sandy particles, clay-free 2.0 25 – 30 intended as an
disintegrated rock, etc. approximate guide to the
mineralogical properties
Silty-, or sandy-clay coatings, small clay- of the alteration
D 3.0 20 – 25
fraction (non-softening) products, if present.
Softening or low-friction clay mineral coatings,
i.e. kaolinite, mica. Also chlorite, talc, gypsum
E 4.0 8 – 16
and graphite etc., and small quantities of swelling
clays. (Discontinuous coatings, 1 - 2 mm or less)
Rock Tunnelling Quality Index:
Classification of Ja
fr (deg)
(approx.)
b. Rock wall contact before 10 cm shear
F Sandy particles, clay-free, disintegrating rock etc. 4.0 25 – 30
Values of fr, the residual
Strongly over-consolidated, non-softening
G 6.0 16 – 24 friction angle, are
clay mineral fillings (continuous < 5 mm thick)
intended as an
Medium or low over-consolidation, softening approximate guide to the
H 8.0 12 – 16
clay mineral fillings (continuous < 5 mm thick) mineralogical properties
of the alteration products,
Swelling clay fillings, i.e. montmorillonite,
if present.
(continuous < 5 mm thick). Values of Ja
J 8.0 – 12.0 6 – 12
depend on percent of swelling clay-size
particles, and access to water.
of Ja
fr (deg)
(approx.)
c. No rock wall contact when sheared
K Zones or bands of disintegrated or crushed. 6.0
Values of fr, the residual
L rock and clay (see G, H and J for clay 8.0 friction angle, are intended
M conditions). 8.0 – 12.0 as an approximate guide to
6 – 24 the mineralogical properties
Zones or bands of silty- or sandy-clay, small
N 5.0 of the alteration products, if
clay fraction, non-softening.
present.
O Thick continuous zones or bands of clay. 10.0 – 13.0
P & R. (see G.H and J for clay conditions). 6.0 – 24.0
of Jw
Approx. Water
Description Value Pressure. Notes
(kgf/cm2)
Dry excavation or minor inflow
A 1.0 < 1.0
i.e. < 5 l/m locally 1. Factors C to F are
Medium inflow or pressure, occasional crude estimates;
B 0.66 1.0 – 2.5 increase Jw if
outwash of joint fillings
drainage is
Large inflow or high pressure in competent installed.
C 0.5 2.5 – 10.0
Rock with unfilled joints
D Large inflow or high pressure 0.33 2.5 – 10.0 2. Special problems
caused by ice
Exceptionally high inflow or pressure formation are not
E 0.2 – 0.1 > 10
at blasting, decaying with time considered.
F Exceptionally high inflow or pressure 0.1 – 0.05 > 10
of SRF
Description SRF Notes

a. Weakness zones intersecting excavation, which may
cause loosening of rock mass when tunnel is excavated
Multiple occurrences of weakness zones containing clay or
A chemically disintegrated rock, very loose surrounding rock 10.0
(any depth)
Single weakness zones containing clay, or chemically
B 5.0
disintegrated rock (excavation depth < 50 m)
Reduce these values of SRF by
Single weakness zones containing clay, or chemically 25 - 50% but only if the relevant
C 2.5
disintegrated rock (excavation depth > 50 m) shear zones influence do not
Multiple shear zones in competent rock (clay free), loose intersect the excavation
D 7.5
surrounding rock (any depth)
Single shear zone in competent rock (clay free) (depth of
E 5.0
excavation < 50 m)
Single shear zone in competent rock (clay free) (depth of
F 2.5
excavation > 50 m)
G Loose open joints, heavily jointed or 'sugar cube' (any depth) 5.0
Rock Mechanics II, Red Sea University
By Hasabelrsool E.A.Elsadig, MSc - Mini
ng @ UofK
Rock Tunnelling Quality Index: Classification of
SRF
Description SRF Notes

b. Competent rock, rock stress problems sc/s1 st/s1
H Low stress, near surface > 10 > 10 2.5
1. For strongly anisotropic
J Medium stress 200 – 10 13 – 0.66 1.0 virgin stress field (if
High stress, very tight structure measured): when
K (usually favourable to stability, may 10 – 5 0.66 – 0.33 0.5 – 2 5≤σ1/σ3≤10, reduce σc to
be unfavourable to wall stability) 0.8σc and σt to 0.8σt.
When σ1/σ3 > 10, reduce
L Mild rockburst (massive rock) 5 – 2.5 0.33 – 0.16 5 – 10
σc to 0.6σc and σt to 0.6σt.
M Heavy rockburst (massive rock) < 2.5 < 0.16 10 – 20
c. Squeezing rock, plastic flow of incompetent rock under influence 2. Few case records
of high rock pressure available where depth of
crown below surface is
N Mild squeezing rock pressure 5 – 10 less than span width.
O Heavy squeezing rock pressure 10 – 20 Suggest SRF increase from
2.5 to 5 for such cases
d. Swelling rock, chemical swelling activity depending on presence of water (see H).
P Mild swelling rock pressure 5 – 10
R Heavy swelling rock pressure 10 – 15
Rock Tunnelling Quality Index: Classification of
SRF (Grimstad & Barton, 1993)
(Barton et al, 1974)

Description SRF
b. Competent rock, rock stress problems sc/s1
L Mild rockburst (massive rock) 5 – 2.5 5 – 10
M Heavy rockburst (massive rock) < 2.5 10 – 20
(Grimstad & Barton, 1993)

Description SRF
b. Competent rock, rock stress problems sc/s1
Moderate slabbing after >1 hour in
5–3 5 – 50
massive rock
L
Slabbing and rockburst after a few
3–2 50 – 200
minutes in massive rock
M Heavy rockburst (massive rock) <2 200 – 400
(4) Geological Strength Index (GSI)

❖ Hoek in 1994 introduced the Geological Strength Index (GSI) as a way to facilitate
the determination of rock mass properties of both hard and weak rock masses for use
in rock engineering (Hoek, 1994).
❖ Hoek and Brown recognized that a rock-mass failure criterion would have no
practical value unless it could be related to geological observations that could be
made quickly and easily by an engineering geologist or geologist in the field. They
considered developing a new classification system during the evolution of the
criterion in the late 1970s but they soon gave up the idea and settled for the already
published RMR system.
❖ The heart of the GSI classification is a careful engineering geology description of the
rock mass which is essentially qualitative, because it was felt that numbers on joints
were largely meaningless for the weak and complex rock masses.
❖ Note that the GSI system was never intended as a replacement for RMR or Q as it has
no rock-mass reinforcement or support design capability.
❖ GSI alone is not a tunnel design tool – its only function is the estimation of rock-mass
properties. It is intimately linked at the intact rock strength and should never be used
independently of this parameter.
❖ This index is based upon an assessment of the lithology, structure and condition of
discontinuity surfaces in the rock mass and it is estimated from visual examination of
the rock mass exposed in outcrops, in surface excavations such as road cuts and in
tunnel faces and borehole cores.
❖ The GSI, by combining the two fundamental parameters of the geological process:
1. The blockiness of the mass and,
2. The conditions of discontinuities.
❖ It is thus a geologically sound index that is simple to apply in the field.

(5) Rock Mass Number & Rock Condition Rating

Rock mass number, denoted by N, is the stress-free rock mass quality (Q). Stress-effect
was considered indirectly in the form of overburden height (H).
RCR is defined as RMR without ratings for the crushing strength of the intact rock
material and the adjustment of joint orientation.
RCR = RMR – (Rating of UCS - Adjustment of Joint Orientation)

(6) Rock Mass Index

Palmstrom (1995) proposed a rock mass index (RMi) to characterize rock mass strength
as a construction material. The presence of various defects (discontinuities) in a rock
mass that tend to reduce its inherent strength are taken care of in rock mass index
(RMi), which is expressed as:
Rmi = qc – Jp
where qc = the uniaxial compressive strength (UCS) of the intact rock material in MPa.
JP = the jointing parameter composed of mainly four jointing characteristics, namely,
block volume or density of joints, joint roughness, joint alteration, and joint size.
Correlation between RMR and Q

Interrelations between the two most widely used classification indices, the RMR of
Bieniawski (1976) and the Q of Barton et al. (1974), have been proposed by many
researchers.
Bieniawski (1976) used 111 case histories involving 62 Scandinavian, 28 South African,
and 21 other documented case histories from the United States covering the entire range
of Q and RMR to propose the following correlation:
STABILITY OF SLOPE
Principles of rock slope
Introduction
❖ A variety of engineering activities require excavation of rock cuts. In civil

engineering, projects include transportation systems such as highways and railways,
dams for power production and water supply, and industrial and urban development.
In mining, open pits account for the major portion of the world’s mineral production.
❖ In addition to these man-made excavations, in mountainous terrain the stability of

natural rock slopes may also be of concern.
❖ For example, highways and railways located in river valleys may be located below
such slopes, or cut into the toe, which may be detrimental to stability. One of the
factors that may influence the stability of natural rock slopes is the regional tectonic
setting.
❖ Factors of safety may be only slightly greater than unity where there is rapid uplift of
the land mass and corresponding down-cutting of the watercourses, together with
earthquakes that loosen and displace the slope. Such conditions exist in seismically
active areas
The stability of a slope can be expressed in one or more of the following terms:
(a) Factor of safety, FS—Stability quantified by limit equilibrium of the slope, which is
stable if FS > 1.
(b) Strain—Failure defined by onset of strains great enough to prevent safe operation of
the slope, or that the rate of movement exceeds the rate of mining in an open pit.
(c) Probability of failure—Stability quantified by probability distribution of difference

between resisting and displacing forces, which are each expressed as probability
distributions.
(d) LRFD (load and resistance factor design)— Stability defined by the factored
resistance being greater than or equal to the sum of the factored loads.
At this time (2003), the factor of safety is the most common method of slope design, and
there is wide experience in its application to all types of geological conditions, for both
rock and soil.
Limit equilibrium analysis

The stability of rock slopes for the geological conditions depends on the shear strength
generated along the sliding surface.
For all shear type failures, the rock can be assumed to be a Mohr–Coulomb material in
which the shear strength is expressed in terms of the cohesion c and friction angle φ.
For a sliding surface on which there is an effective normal stress σ acting, the shear
strength τ developed on this surface is given by:
1
Figure shows a slope containing a continuous joint dipping out of the face and forming a
sliding block. Calculation of the factor of safety for the block shown in Figure(b) involves
the resolution of the force acting on the sliding surface into components acting
perpendicular and parallel to this surface.
That is, if the dip of the sliding surface is ψp, its area is A, and the weight of the block
lying above the sliding surface is W, then the normal and shear stresses on the sliding
plane are:
4
The term [W sinψp] defines the resultant force acting down the sliding plane and is
termed the “driving force” (τsA), while the term [cA + W cosψp tan φ] defines the shear
strength forces acting up the plane that resist sliding and are termed the “resisting
forces” (τA).
The stability of the block in Figure (b) can be quantified by the ratio of the resisting and
driving forces, which is termed the factor of safety, FS. Therefore, the expression for the
factor of safety is:
5
6

If the sliding surface is clean and contains no infilling then the cohesion is likely to be
zero and equation (6) reduces to:
7
8
Equations (7) and (8) show that for a dry, clean surface with no support installed, the
block of rock will slide when the dip angle of the sliding surface equals the friction angle
of this surface, and that stability is independent of the size of the sliding block.
That is, the block is at a condition of “limiting equilibrium” when the driving forces are
exactly equal to the resisting forces and the factor of safety is equal to 1.0.
Therefore, the method of slope stability analysis described in this section is termed limit
equilibrium analysis.

Limit equilibrium analysis can be applied to a wide range of conditions and can
incorporate forces such as water forces acting on the sliding surface, as well as external
reinforcing forces supplied by tensioned rock anchors.

Figure (a) shows a slope containing a sliding surface with area A and dip ψp, and a
vertical tension crack. The slope is partially saturated such that the tension crack is half-
filled with water, and the water table exits where the sliding surface daylights on the
slope face. The water pressures that are generated in the tension crack and on the sliding
surface can be approximated by triangular force diagrams where the maximum
pressure, p at the base of the tension crack and the upper end of the sliding surface is
given by:
where γw is the unit weight of water and hw is the vertical height of water in the tension
crack.
Based on this assumption, the water forces acting in the tension crack, V , and on the
sliding plane, U, are as follows:
10
and the factor of safety of the slope is calculated by modifying equation (6) as follows:
11
Similarly, an equation can be developed for a reinforced slope in which a tensioned rock
anchor has been installed with the anchor below the sliding plane. If the tension in the
anchor is T and it is installed at an angle ψT below the horizontal, then the normal and
shear forces acting on the sliding plane due to the anchor tension are respectively:
12
And the equation defining the factor of safety of the anchored, partially saturated slope
is:
13
These examples of limit equilibrium analysis to calculate the stability of rock slopes show
that this is a versatile method that can be applied to a wide range of conditions.
Figure BELOW shows the conditions that differentiate stable, sliding and toppling
blocks in relation to the width x and height y of the block, the dip ψp of the plane on
which it lies and the friction angle φ of this surface. Sliding blocks are analyzed either as
plane or wedge failures.

Plane Failure
General conditions for plane failure

(a) The plane on which sliding occurs must strike parallel or nearly parallel (within approximately
±20◦) to the slope face.
(b) The sliding plane must “daylight” in the slope face, which means that the dip of the plane must be
less than the dip of the slope face, that is, ψp < ψf .
(c) The dip of the sliding plane must be greater than the angle of friction of this plane, that is, ψp >
φ.
(d) The upper end of the sliding surface either intersects the upper slope, or terminates in a tension
crack.
(e) Release surfaces that provide negligible resistance to sliding must be present in the rock mass to
define the lateral boundaries of the slide. Alternatively, failure can occur on a sliding plane
passing through the convex “nose” of a slope.
Plane failure analysis
The slope geometries and ground water conditions considered in this analysis are defined
in Figure above, which shows two geometries as follows:
(a) slopes having a tension crack in the upper surface; and
(b) slopes with a tension crack in the face.
Remarks: When the upper surface is horizontal (ψs = 0), the transition from one
condition to another occurs when the tension crack coincides with the slope crest, that is
when:
14
where z is the depth of the tension crack, H is the slope height, ψf is the slope face angle
and ψp is the dip of the sliding plane.
Plane Failure
The following assumptions are made in plane failure analysis:
(a) Both sliding surface and tension crack strike parallel to the slope.
(b) The tension crack is vertical and is filled with water to a depth zw.
(c) Water enters the sliding surface along the base of the tension crack and
seeps along the sliding surface, escaping at atmospheric pressure where the
sliding surface daylights in the slope face. The pressure distributions induced
by the presence of water in the tension crack and along the sliding surface are
illustrated in Figure 6.3.
(d) The forces W (the weight of the sliding block), U (uplift force due to water
pressure on the sliding surface) and V (force due to water pressure in the
tension crack) all act through the centroid of the sliding mass. In other words,
it is assumed that there are no moments that would tend to cause rotation
of the block, and hence failure is by sliding only.
(e) The shear strength τ of the sliding surface is defined by cohesion c and
friction angle φ that are related by the equation τ = c + σ tan φ. The normal
stress σ acting on a sliding surface can be determined from the curves given in
Figure 6.4.
The factor of safety for plane failure
The factor of safety for plane failure is calculated by resolving all forces acting
on the slope into components parallel and normal to the sliding plane. The
vector sum of the shear forces, S acting down the plane is termed the driving
force. The product of the total normal forces, N and the tangent of the friction
angle φ, plus the cohesive force is termed the resisting force.
The factor of safety FS of the sliding block is the ratio of the resisting forces to the
driving forces, and is calculated as follows:
where c is the cohesion and A is the area of 15
the sliding plane.
FS=
16
17
The slope height is H, the tension crack depth is z and it is located a distance b behind
the slope crest. The dip of the slope above the crest is ψs. When the depth of the water in
the tension crack is zw, the water forces acting on the sliding plane U and in the tension
crack V are given by:
18
19
The weights of the sliding block W for the two geometries shown in Figure 6.3 are given
by equations Below:
A. For the tension crack in the inclined upper slope surface:
20
where γr is the unit weight of the rock.
B. For the tension crack in the slope face:
21
Figure and equations (20)–(21) illustrate that the geometry of a plane failure and the
ground water conditions can be completely defined by four dimensions (H, b, z and zw)
and by three angles (ψf , ψp and ψs).
Examples
Plane Failure
Plane Failure
Circular Failure
In the previous lectures, it has been assumed that the failure of rock slopes is controlled
by geological features such as bedding planes and joints that divide the rock into a
discontinuous mass. Under these conditions, one or more of the discontinuities normally
defines the slide surface.
Circular Failure
The actual shape of the “circular” slide surface is influenced by the geological conditions
in the slope. For example, in a homogenous weak or weathered rock mass, or a rock fill,
the failure is likely to form as a shallow, large radius surface extending from a tension
crack close behind the crest to the toe of the slope.
Circular Failure
Stability analysis procedure

The stability analysis of circular failure is carried out using the limit equilibrium
procedure similar to that described in earlier for plane and wedge failures. This
procedure involves comparing the available shear strength along the sliding surface with
the force required to maintain the slope in equilibrium.
Circular Failure
Examples
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Lectures on Rock Mechanics

Presentation · June 2021

Barite Concretions in Wadi Halfa Oolitic Ironstone Formation View project

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Engineering Geology Department – Faculty of Earth Sciences – Red Sea University

This course presents a comprehensive introduction to rock mechanics

✓ Major topics of the course include:

Engineering Geology Department – Faculty of Earth Sciences – Red Sea University

Engineering Geology Department – Faculty of Earth Sciences – Red Sea University

❑ Rock mechanics is the theoretical and applied science of the mechanical

Engineering Geology Department – Faculty of Earth Sciences – Red Sea University

➢ Rock mechanics is the theoretical and applied

Engineering Geology Department – Faculty of Earth Sciences – Red Sea University

➢ Rock mechanics involves characterizing the intact

➢ Rock engineering is concerned with specific

Engineering Geology Department – Faculty of Earth Sciences – Red Sea University

A common assumption when dealing with the mechanical behavior of

Engineering Geology Department – Faculty of Earth Sciences – Red Sea University

Engineering Geology Department – Faculty of Earth Sciences – Red Sea University

➢ One of the most important, and frequently neglected, aspects of

Engineering Geology Department – Faculty of Earth Sciences – Red Sea University

➢ Rock as an engineering material will be used either:

➢ In the context of the mechanics, we must establish:

Engineering Geology Department – Faculty of Earth Sciences – Red Sea University

Engineering Geology Department – Faculty of Earth Sciences – Red Sea University

Engineering Geology Department – Faculty of Earth Sciences – Red Sea University

➢What is Rock Mechanics?

Direct Sheer Test

Stress and Strain

Rocks have highly varying strain responses to stress because of their

➢ As already noted, different rocks at different temperatures will behave

In situ (in place) Stresses Induced Stresses

Gravitational Tectonic Residual stresses Terrestrial stresses (Mining, excavation,

Active tectonic stresses

WORLD STRESS MAP (WSM)

The WSM is a global database of contemporary tectonic stress of the Earth’s

where γ is the unit weight of the overlying rock mass

VARIATION OF IN SITU STRESSES WITH DEPTH

VARIATION OF IN SITU STRESSES WITH DEPTH

Normally, the average

Influence of Geological Factors

Rock Mass Classification System

(1) Terzaghi’s Rock Load Theory

classified them qualitatively into nine categories as shown in Table

ROCK LOAD FACTOR

loads the steel arches.

Terzaghi’s (1946) rock

Rock load factors for all the nine rock classes

suggested the following equation:

where Pv is the support pressure, γ is the unit weight of

the rock mass, and Hp is the height of loose overburden

above the tunnel roof.

(2) Rock Mass Rating (RMR)

by Bieniawski (1973) on the basis of his experiences in shallow tunnels in sedimentary

represented by a separate geological structural unit.

1. Uniaxial compressive strength (UCS) of intact rock material.

2. Rock quality designation (RQD).

3. Joint or discontinuity spacing.

pressure for an underground opening

stability of rock slopes.

I. Average Stand-up Time for an Arched Roof

II. Cohesion and Angle of Internal Friction