Chapter 4 Structural Geology and Rock Mechanics

GEOENG Geology for Engineers
Chapter 4
Structural Geology and Rock Mechanics
A. Introduction
It is not enough for engineers to have a basic understanding of the physical, chemical,
and mineralogical characteristics of rocks, for in dealing with rock as an engineering material,
engineers are involved with the mechanics of rock and other earth materials. Mechanics refers to
the response of materials to applied loads. The application of mechanics is also critical to an
understanding of tectonic processes and the natural deformation of rock masses in the earth's
lithosphere as well as in surficial processes such as mass wasting and land subsidence.
Engineers must also understand rock structure because the discontinuities imparted to
rock during deformation frequently govern the engineering behaviour of rock masses at the surface
or in the shallow subsurface regions of the earth. One of the most significant manifestations of
structural deformation is earthquakes.
B. Input
ATTITUDE OF BEDS
Dip and Strike
Consider a flat uniform stratum which is tilted out of the horizontal (Fig. 8.1). On its
sloping surface there is one the strike. It is
a direction that can be measured on beds
that are exposed to view and recorded as a
compass bearing. At right angles to the
strike is the direction of maximum slope,
or dip. The angle of inclination which a
line drawn on the stratum in the dip
direction makes with the horizontal is the
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angle of dip (or true dip), and can be measured with a clinometer and recorded to the nearest degree
(Fig. 12.8). For example, a dip of 25° in a direction whose bearing is N. 140° would be written 25°
at 140. The bearing is taken from north
(or, in the southern hemisphere, from
south). A line on a sloping rock-surface
in any other direction than that of the true
dip makes a smaller angle with the
horizontal, called an apparent dip.
Apparent dips are seen in quarry faces
where the strike of the face is not parallel to the true dip direction.
Strike and dip are two
fundamental conceptions in structural
geology, and are the geologist's method of
defining the attitude of inclined strata. The
information is placed on a map as a short
arrow (dip arrow) with its tip at the point of
observation, together with a number giving
the angle of true dip (Fig. 12.1). For
horizontal beds the symbol + is used, i.e. where the dip is zero.
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Exposure and Outcrop

Rocks are said to be exposed when they occur at ground level.
An exposure should be distinguished from an outcrop which is
the geographical position of a geological unit, regardless of
whether or not it is exposed. Figure 12.1 illustrates the two
terms and shows that every exposure is part of an outcrop. By
studying the geographical distribution of outcrops at ground
level, as is shown by a map of surface geology, it is often
possible to determine the overall geological structure of the
area represented.
Outliers and Inliers

An outlier is an outcrop which is completely
surrounded (in plan) by rocks of a greater age. The
conglomerate within the limits of boundary B in Fig. 12.17 is
an outlier. Outliers are usually found close to escarpments (Fig.
8.2). An inlier is an outcrop which is completely surrounded
by younger rocks. As the dolomite in Fig. 12.17 is older than
the surrounding mudstone its outcrop forms a faulted inlier in
the core of the antiform. Inliers are sometimes developed in
valleys where streams have cut down and locally exposed, in
the valley floor, rocks which are older than those forming the
sides of the valleys.
Geological Maps
An engineering work either influences, or is
influenced by, the groundmass in its vicinity. The distribution
of materials and discontinuities in the mass may be shown on
maps. Most investigations include the study and/or
construction of a geological map. Published maps are studied
to gain an idea of site conditions before designing an investigation. Maps produced as a
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consequence of investigation display appropriate geological information as an aid to design and

construction of the works.
Published Geological Maps

The majority of the earth’s surface has been mapped geologically. Often the scale of
the geological maps is rather small, perhaps only 1:1 000 000 but in a number of countries maps
are published on scales of from 1:100 000 to 1:50 000 and in some cases at scales as large as 1:10
000. Geological maps are constructed to show:
 the stratigraphic names, and thus the relative age, of the geological formations in the area
mapped,
 the distribution of these formations within the area mapped,
 the geological structure of the area mapped.
They may also show:

 the lithology of the formations,
 geomorphological features in the area, such as major landslides,
 features resulting from the activities of man, such as mines and quarries.
 the thickness of the layers and their depth below surface,
 the depth to the water table,
 the location of significant geomorphological features, such as the presence of karst features in
limestone, landslides, active faults etc.,
 hazards remaining as the result of past industry, such as abandoned mines, old quarries, areas
of toxic fill etc.,
 location of construction materials.
Because geological maps show the stratigraphy and relative age of formations, it is
possible to deduce whether strata seen on the map are older or younger than their neighbouring
formations. If this is known, then, by looking at the pattern of outcrops in relation to the
physiography of the landscape, it is possible to gain insight into the general structure of the geology
of the area. This may enable the geologist to draw cross-sections through areas to show the
underground geology along that line of section. This has the immediate practical engineering
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geological purpose of showing, for example, the likely geology to be encountered along the line
of a proposed tunnel or trench excavation.
Frequently-used maps
Maps which show the distribution of the various rocks and soils that occur close to the
surface of the ground, are most useful for civil engineering work and may be available in 'Solid'
and 'Drift' editions. Maps of subsurface geology are needed by mining engineers and others whose
engineering work is located at depth.
Solid and Drift Editions

The Drift edition is strictly a map of surface geology because it shows the position,
and the general character, of all geological materials that occur at ground level. These will include
not only the harder rocks, but also such materials as alluvium, glacial drift, mud flows, sand dunes,
etc., which conceal the more solid rocks beneath them. It is because these materials have been
transported, or drifted, to their present position that the maps which record them are called Drift
edition maps.
Not all drift at ground level is thick, indeed much of it can be quite thin, and so it is
often easy to construct a map which records the geology beneath the drift, as if the drift had been
physically removed. When no drift is shown on a map, only the solid geology, it is called a Solid
edition map.
Maps of subsurface geology

The thickness and underground distribution of rock and soil are shown on maps of
subsurface geology. These are based upon predictions made from a study of outcrops and of
information from bore-holes, well bores, tunnels, mines and geophysical surveys. The maps most
frequently used are described below.
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lsochore maps
Isochores are lines joining points of
equal vertical thickness, so isochore maps
record the vertical thickness of geological units.
The maps are readily produced using the data
obtained from vertical bore-holes which have
fully penetrated the units being studied. These
maps are often used to illustrate such features
as the depth of overburden above some deposit,
or the areal variations in the vertical thickness
of some concealed unit such as a confined
aquifer, a mineral deposit or a zone of weak
rock (Fig. 12.3).
lsopachyte maps
Isopachyte lines join points of equal stratigraphical thickness and are used to produce
maps which are usually of greater interest to the geologist than the engineer. The maps cannot be
interpreted as quickly as those of isochors even though the stratigraphic thickness of an horizon
can be related to its vertical thickness by the formula
ts = tv cos 
where a = the true angle of dip (see Fig. 12.2). Obviously vertical thickness will decrease as dip
decreases and will eventually become equal to the stratigraphical thickness when the true dip is
zero: Isopachytes then become synonymous with Isochores.
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Horizontal-plane maps
These record the geology, as it occurs on a horizontal plane at some level below the
surface. The sub-outcrops shown on the maps are influenced by dip and thickness alone, and so
dips must be recorded as they cannot be deduced from the sub-outcrop pattern, as with maps of
surface geology. Horizontal plane maps are useful to engineers involved in underground
excavations (Fig. 12.4).
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Structural contour maps

These record the shape of
structural surfaces such as faults,
unconformities and the bedding surfaces
of folded strata, below ground level. Often
they are produced with the aid of bore-
hole data. The spacing between the
contours is a function of the dip of the
surface being illustrated, the contours
being closest in those areas where the dip
is greatest. The angle of dip can be
assessed thus: contour spacing divided by the contour interval = cot d, where d is the dip in the
direction in which the contour spacing is measured. These maps are normally used when it is
necessary to know the position of a definite structural surface below ground level (Fig. 12.5).
Geophysical maps
Geophysical methods are frequently used to assess subsurface geology and the
information obtained from them is often well displayed as a map showing either the physical values
obtained, e.g. electrical resistivity, gravitational acceleration, etc., or an interpretation of them.
Table 12.1 indicates how seismic velocity may be interpreted. A detailed interpretation of seismic
velocity requires prior knowledge of the rock types present: this may be obtained from outcrops
and bore-holes. From this data seismic velocity may be correlated with the distribution of rock
types and their quality. Figure 12.6 is a map of ground resistivity, high resistivity correlating with
poor quality ground and low resistivity (i.e. high conductivity) correlating with better quality
ground. By contrast, Fig. 12.7 is an example of a map where the geophysical values are not shown,
but an interpretation of them. Each column (1 to 6) represents a particular stratigraphic sequence.
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Thematic maps
A thematic map limits the information presented so that its implications for the
particular interests of users are expressed in a form they can appreciate. Thus instead of providing
town planners with maps of solid and drift geology, they could be given a map showing where
stable ground suitable for conventional foundations, and unstable ground, are situated.
Thematic maps used in geology are of two types:
(i) those that select some aspect of the geology, this being described as an 'original attribute'
(Varnes, 1974),
(ii) those that show some combination of the original attributes, the characteristic resulting
from this summation being called a 'derived attribute'.
ROCK STRUCTURES AND THEIR ENGINEERING SIGNIFICANCE

Mechanism of Deformation of Rocks
A rock body is deformed when it is subjected to external forces. The factors
responsible for deformation of rocks include pressure, temperature, rock composition, presence or
absence of fluids, and type of stress and its rate of application. The most important among these
factors are the type of stress, rate of stress, and temperature.
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Effect of Stress and Strain—Brittle and Ductile Rocks

Stress is the force applied on the surface of a body and strain is the resultant effect that
causes a change in the shape, size, or volume of that body. In other words, strain is the measure of
material deformation such as the amount of compression when something is squeezed or
elongation when it is stretched. A change in the volume of a body is termed as dilation, whereas
an alteration of shape is known as distortion. Depending upon the resistance offered by a rock
body, stresses are classified into three types—compressive, shear, and tensile. Compressive stress
tends to compress the rock body resulting in a decrease in volume and shear stress tends to shear
(i.e., break apart) one part from the other. Tensile stress tends to develop cracks in the body of the
rock samples. Stress is measured as the total force per unit area and expressed as kg/cm 2 or
tonne/m2 in the metric system.
A material is said to be brittle if it deforms under stress by development of fractures.
A rock body behaves typically brittle at low temperature and pressure. A ductile material deforms
without breaking or cracking, except when it deforms too much and too quickly. A rock body
behaves typically ductile at high temperature and pressure.
Folds and causes of their formation

The strata forming the earth’s crust, when subjected to both horizontal and vertical
forces, are bent or buckled. The structure thus developed is called flexure or fold. In most cases,
folding involves the operation of forces tangential to the earth’s surface. They are generally formed
by horizontal forces acting at the two ends of a single bed or multiple beds of stratified rocks.
However, when a horizontal bed is subjected to force in one end like a beam loaded at the end, it
will bend with a simple flexure at a very low angle forming a monocline. The cross section of folds
may not be ideally convex or concave, but at places they will be contorted or twisted with
thickening and thinning in an irregular way.
Folds are formed when one or a stalk of originally flat and planar surfaces, such as
sedimentary strata are bent or curved as a result of permanent deformation. Folds in rocks vary in
size from microscopic crinkles to mountain-size folds. They occur singly as isolated folds or as
extensive ranges of different sizes on a variety of scales. They may be formed under various
conditions of stress, hydrostatic pressure, pore pressure, and temperature as evident by their
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presence in soft sediments, the full spectrum of metamorphic rocks, and even as primary flow
structures in some igneous rocks.
Folds are commonly formed by shortening of existing layers, but may also be formed
as a result of displacement on a non-planar fault or at the tip of a propagating fault by differential
compaction or due to the effects of a high-level igneous intrusion. When a sequence of layered
rocks is shortened parallel to its layering, deformation may be accommodated by a number of ways
such as homogeneous shortening, reverse faulting, or folding. The response depends on the
thickness of the mechanical layering and the contrast in properties between the layers. If the
layering tends to make a folding, the nature of folds will also be guided by these properties.
Anatomy of Folds
The different parts of a fold are termed differently. The highest point of an anticline is
termed crest, see Fig. 3.7(a). When an anticline type of fold shows nearly equal dips in all sides
with respect to its crest, it is known as a dome. The inclined parts of the strata where the anticline
and syncline merge are called the limbs of the fold. The axial plane is the imaginary divisional
plane separating the fold into two nearly equal parts. The axis or axial line is defined as the
intersection of the axial plane of a fold with the ground surface. The plunge (also called pitch) of
a fold is the angle made by the axial line with the horizontal in the axial plane, see Fig. 3.7(b).
Anticline and Syncline—Symmetry and Other Features

An anticline is the upward convex flexure of a bed, whereas a syncline is the
downward convex flexure. In an anticline, younger beds will be in the convex side and older beds
in the core, whereas in a syncline, younger beds will be in the concave side and older beds in the
core. Due to tension at the top of an anticline, joints or cracks are developed, which are termed as
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tension joints. Similarly, the bottom part of a syncline is also likely to develop fractures due to
tensional force. Figure 3.8 shows the limbs and fold axes for anticline and syncline of an
asymmetrical anticline and syncline. In the figure, the pencil tip is on the crest of the anticline and
its other end points to the syncline.
If the two limbs of an anticline and a syncline have equal slopes, they are termed
symmetric anticline and symmetric syncline, respectively (Fig. 3.9). In a symmetric fold the axial
plane is vertical, whereas in an asymmetric fold it is inclined (Fig. 3.10). The term antiform is used
for any fold that is convex upward for which the relationship between the fold and the various
strata is unknown. An anticline of regional scale consisting of a series of smaller anticlines and
synclines is called anticlinorium. A vast syncline of regional scale with its strata further folded
into subordinate synclines and anticlines is termed as synclinorium.
Principal Types of Folds and Their Field Characters

Several types of folds occur in the rocks of the earth’s surface. The principal types of
folds (Billings 1997) commonly seen in different kinds of rocks are briefly illustrated as follows:
Plunging fold. A fold may not continue for an indefinite distance, but dies away after a certain
length. If a fold is traced along its axial line direction, it may be found that the amplitude of an
anticline decreases until it merges with the unfolded beds, when it is called plunging anticline, see
Fig. 3.7(a). In case of a plunging syncline the trough becomes shallower along its axis in one
direction, as shown in Fig. 3.7(b).
Isoclinal fold. In this type, both the limbs of a fold dip in the same direction and are equally
inclined, as shown in Fig. 3.11(a). If the axial plane is vertical, the fold is termed vertical isoclinal
fold; if it is inclined, it is called overturned isoclinal fold.
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Recumbent fold. Here, the axial plane of a fold is horizontal or makes a very low angle with the
horizontal, as shown in Fig. 3.11(b).
Chevron fold. This type of fold, also called the zig-zag fold, has straight or planar limbs and
angular hinges. The bedding planes of the fold are parallel to the limbs, as shown in Figs 3.11(c).
Monocline. It is a simple type of flexure formed by bending of a horizontal or very low-dipping
bed with anticlinal bend at the top and synclinal bed at the bottom, as shown in Fig. 3.11(d).
Drag fold. It is formed when a competent bed such as sandstone slides past an incompetent bed
such as shale. The drag folds are related to fault movement. The relative direction of movement of
the fault can be traced from the trend and inclination of the axial planes of the drag fold as shown
in Fig. 3.11(e).
Ptygmatic fold. This type of fold is formed in weak beds yielding easily to deformation and
assuming any shape impressed upon them by the surrounding rigid rocks. Ptygmatic fold may
result from viscous flow of incompetent
rocks under small stress difference and
hence is also known as flow fold.
Quartzo-feldspathic veins and pegmatites
are commonly convoluted and buckled as
ptygmatic folds during high-grade
metamorphism see Fig. 3.12.
Causes and Mechanism of Faults

A rock mass cannot separate into two parts and glide or flow past one other because
of its rigidity and friction. This results in a build-up of stress, which leads to the accumulation of
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potential energy, up to a level exceeding the strain threshold. Once the threshold energy is gained,
the necessary relative motion is set in along a weak plane in the rock to cause fault movement. The
relative motion of rocks on either side of a fault surface controls the origin and mechanism of the
small faults as well as the tectonic fault related to plate movement.
A fault is basically a shear failure. Since both compressive and tensile stresses act
simultaneously, a fault may be caused by pressure or tension. A normal fault is produced by
vertical pressure and a reverse fault is the result of horizontal thrust. A gravity fault may be
produced at a place by release of vertical pressure when the magma flows out from a part of the
earth’s crust. Tension in deeper strata may act in the same way by the removal of vertical support.
A fault may occur because of various types of tensile strengths in the rocks of upper strata of the
earth.
Depending on the nature of the rock, strain is both accumulative and instantaneous.
The ductile lower crust and mantle accumulates deformation gradually via shearing, whereas the
brittle upper crust reacts by fracture, or instantaneous stress release, to cause motion along the
fault. A fault in ductile rocks can also release instantaneously when the strain rate is too high.
Basic Terms Related to Faults

Fault is the displacement of a rock mass along a weak plane (called fault plane) marked
F–F in Figs 3.13(a) and (b). The arrow in the figure indicates the relative movement of the blocks
of the two sides. In a normal fault, the displacement is downwards in the same direction as the
inclination of the fault plane. The surface of rock beneath a fault plane is the footwall and that
above the fault plane is the hanging wall. In a reverse fault, the movement along the inclined fault
plane is up-dip. The term slip denotes the relative displacement between two blocks; the vertical
component of a slip is known as throw and its horizontal component as heave.
In reality, a fault plane is rarely a clean-cut plane or surface, but it is mostly a zone of
complex deformation containing shattered rocks. This zone, also called the fault zone, varies in
width from a few centimetres to several hundreds of metres. A shear zone, also called the crush
zone, can also be very narrow to very large (few centimetres to even few kilometres) in width and
it consists of many parallel fractures and crushed rocks formed by shearing of rock mass.
Intensive crushing of rock in the fault zone produces clayey material called gouge. There are two
types of movements along a fault, namely rotational and translational. In rotational movement,
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there is rotation of one displaced block with respect to another. In translational movement, the two
blocks remain parallel with respect to one another even after displacement.
Illustrative Description of Different Types of Faults

The following is a description of the different types of faults depending on the nature
of displacement:
Normal fault
Normal fault is the simplest type of fault in which the hanging wall block moves
downwards, relative to the footwall block, see Fig. 3.15(a). Tectonic movement of the earth’s crust
may give rise to normal faults. The tensional stress is responsible for the displacement of crustal
blocks in a normal fault.
Reverse fault or thrust
In reverse fault or thrust, the movement of the crystal block is such that the hanging
wall moves upwards relative to the footwall, see Fig. 3.15(c). This fault brings about salient
changes in the rock mass. If the fault plane slopes at an angle of more than 45°, it is up-thrust. If
it is less than 45°, it is over-thrust. In the over-thrust, the hanging wall actually moves over the
footwall. It is the reverse in the case of under-thrust when the footwall is pushed under the hanging
wall. A very low angle (nearly horizontal) thrust is called nappe.
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Strike-slip fault
In strike-slip fault, shown in Fig. 3.15(b), the movement is essentially horizontal under
the action of shearing stresses. This type of fault is associated with folding and tearing.
Figure 3.15(c) shows a strike-slip reverse fault where the movement is both in the strike direction
also horizontal which makes the right-hand block to
move upwards.
Pivotal fault
In a pivotal fault, two blocks are joined at
a certain part as a pivot. It appears like a normal fault
on one side of the pivot, whereas on the other side it
is a reverse fault. The interface between the two
blocks is the pivotal part. The term hinge fault denotes
the type of fault in which the relative displacement of
the two blocks increases away from one end of the
fault, which acts as the hinge of the two blocks, see
Fig. 3.15(d).
Causes of Jointing and Genetic Types of Joints in Rocks

Since rock structures result from stresses, it can be said that a rock will eventually
fracture if it is under stress. Joints are fractures with regularity and continuity with respect to each
other or to the other elements of the rock masses. Typically, there is little or no lateral movement
across joints. They normally have a regular shape related to either the mechanical properties of the
individual rock or to the thickness of the layers involved. Joints occur as sets, with each set having
sub-parallel arrangement of joints to each other.
Joints form in solid and hard rock that is stretched such that its brittle strength is
exceeded (the point at which it breaks). When this happens, the rock fractures in a plane parallel
to the maximum principal stress and perpendicular to the minimum principal stress (the direction
at which the rock is being stretched). This leads to the development of a sub-parallel joint set.
Continued deformation may lead to development of one or more additional joint sets. The presence
of the first set strongly hampers the stress orientation in the rock layer, often causing subsequent
sets to form at a high angle to the first set. The joint sets are commonly observed to have relatively
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constant spacing that is roughly proportional to the thickness of the layer. Depending upon their
genesis, joints are broadly classified into the following types:
Tectonic joints. These are formed during deformation episodes of rock formation when the
differential stress is high enough to induce tensile failure in rock body, irrespective of the tectonic
regime.
Unloading joints. These are formed when erosion removes the overlying rocks, thereby reducing
the compressive load and allowing the rock to expand laterally.
Exfoliation joints. These are in fact special cases of unloading joints formed parallel to the present
land surface in rocks of high compressive strength.
Cooling joints. These are formed by the cooling of the hot rock masses, particularly lava, and are
commonly expressed as vertical columnar joints.
Orientation, Spacing, Roughness, and Other Features of Joints

Joints are planes of discontinuities in the rock mass along which very little or no
displacement has taken place. They are to be distinguished from fractures, which are defined as
planar surfaces along which the rock has no cohesion. Fractures may be irregular in their trend but
joints have fixed orientation and attitudes such as strike and dip. Joints extend over a considerable
part of a rock body generally showing more than one pattern or a set of joints.
The important features of joints are as follows:
 A group of parallel joints is called a set and several joint sets intersect to form a joint system.
 If the angle of intersection between the two sets is 90°, they are said to be conjugate sets. The
joints are generally open and the openings at the surface are from a few millimetres to several
centimetres. The openings of joints decrease and finally pinch out at the depths.
 Joints may be filled with different materials. In general, the fillings are clayey or crushed
materials or the opening may be sealed by secondary silicification with quartz veins.
 Joints are frequently found to follow bedding and foliation planes or cleavage and
accordingly called bedding joints, foliation joints, and cleavage joints.
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Orientation
Attitudes such as direction and amount of
dip and strike of joints provide the orientations of joints.
It is expressed as E–W 40°_S, meaning the strike of
joint is east–west and it dips at an angle of 40° directed
south (Fig. 3.17). The orientation of joints is measured
instrumentally from the rock outcrops in the field and
plotted on a geological map by symbols.
Spacing
Spacing is the perpendicular distance
between two adjacent joints. The spacing between two joints may vary from a few centimetres to
more than a metre, depending on the rock type. Under the same stress, competent rocks will have
more joints and smaller spacing than less-competent rocks. There is a relationship between joint
spacing and bed thickness. Joint sets are commonly observed to have relatively constant spacing
roughly proportional to the thickness of the bed.
Roughness
Roughness is the waviness or miniature stepping of the joint surface. A joint surface
may possess a series of small steps showing that the surface is rather rough unless there is a slip
along the surface. Any displacement along the joint surface during or after its origin makes it
smooth and develops slickenside (Fig. 3.16). The presence of minute steps or waviness, called
striations, provides evidence that a displacement or slip has taken place along the joint surface.
Frequency
The number of joints per metre is estimated as the frequency of the joints. The
measurement is done from rock outcrops in the field and also from cores of drill holes. The
measured frequency of joints from drill cores when correlated with water percolation test data
provides information on the seepage or leakage problem of dam projects.
Aperture
Aperture is the perpendicular distance between the joint walls. In other words, it is the
width of the joint opening. Apertures of many joints are wide open to allow large flow of water
through them but some are tight and may cause seepage of water. Some fi ne joints are watertight
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but may not be airtight. Before selecting a site for underground rock chambers for gas storage, it
is essential to thoroughly study the apertures with respect to their tightness to water and air.
Number of sets T
The number of joint sets is counted from the intersecting joint system. Vertically
intersected two conjugate joint sets with horizontal or near joints create regular cubic blocks, the
dimensions of which depend
upon the spacing of the joints.
Such blocks when formed by
open joints are vulnerable to rock
slides. In Fig. 3.18, there are three
distinct sets of joints—vertical,
horizontal, and inclined. In Fig.
3.19, there are two sets, that is,
one inclined and one steeply
inclined.
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POTENTIAL PROBLEMS FROM ROCK STRUCTURES IN ENGINEERING

CONSTRUCTIONS
Problems of Folds
An anticlinal fold is commonly segmented by intensive joints and in some places
associated with a fault. As such, the presence of a fold in a dam site may create foundation
problems including leakage and requires thorough treatment adding to project cost. Infiltration of
water along the joints further deteriorates the rock condition by weathering and erosion. When
such a harmful feature occurs in a slope cut along a road, it may create problems of instability and
rock slide. The synclinal fold also plays an important role in storing and migration of water through
the planes of discontinuities. When present in the foundation or reservoir periphery, synclinal folds
may create problems of seepage or extensive leakage. When drilling or excavation punctures water
bearing beds of a syncline with artesian
condition, it leads to the problem of sudden
rush of trapped water. This problem is of
significant importance in a tunnel
construction because of flooding of the tunnel
cavity with water involves costly treatment.
Figure 3.31 shows a dam abutment with
folded (anticline), faulted, and jointed rocks.
Erosion of the soft materials along the fault
has resulted in a wide fissure.
Harmful Effects of Faults

Among the different geological structures, checking the presence of a fault at a
construction site is crucial because of its harmful effects. In many sites, the existence of a fault is
not so apparent on the surface due to the cover of overburden materials, but after excavation of the
site, the faulted zone is visible. A fault consists of shattered rocks that create weakness to the
foundation, threatening differential settlement of the structure, seepage of water, and development
of uplift pressure. A site traversed by a fault showing presence of breccia, sheared rock, and clayey
zone called gouge involves expensive treatment of the foundation. Figure 3.32 shows a fault zone
in the foundation of Umiam dam in Meghalaya with crushed rocks, clay gouge, and fault breccia.
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The intensity of the problem increases with the increase in thickness of the shattered rock and
gouge zone and their depth wise extension. As such, wherever possible, a site with the presence of
a major fault with thick zone of crushed rocks should be avoided. After a fault is detected from
field investigation, it is necessary to find if it is active or not. An active fault is liable to initiate
further earthquake movement along its fault plane within the life of a project. Hence, a site with
an active fault should not be considered for construction of heavy structures.
When a fault is detected in a project area from surface observation, parameters such
as the width of shattering, the nature of crushed materials present (gouge, fault breccia, etc.), and
its attitudes (such as trend and dip) with respect to important directions of the proposed engineering
structures should be evaluated. The magnitude of the problem and economics of the treatment of
the site affected by the fault are then considered to accept or reject the site.
Weakness of Rocks Caused by Joints, Fractures, and Other Features

Joints are the primary means of movement of surface and subsurface water through all
types of rocks. They provide the bulk porosity and permeability of rock mass. Weathering and
alteration of joints create larger avenues for entry of surface water to the deeper parts of the rock
body. Clayey infillings in joints enhance rock slide by lubrication effect of the clayey or soapy
materials. Presence of intensive joints in foundation reduces the strength of the rock and poses
problems of uplift pressure and leakage through dam foundation and reservoir.
A tunnel pierced parallel to trends of foliation planes or joints is liable to create
extensive roof falls and over breaks. As such, it
should be aligned at right angle to the trends of
joints, fractures, and foliations of rocks. Roads
running parallel to steep-dipping bedding and
foliation joints bring about rock slides and
obstruction of vehicle movement (Fig. 3.33). A
dam may fail by slip along the direction of low-
dipping bedding joints of layered rocks. Infillings
in joints require study with respect to the nature and
tightness of the filled materials. Silica solution and
veins of many minerals may completely seal the
93
joints that enhance the strength of the rock and prevent any leakage through them. However, loose
infilling of joints by clay, silts, and calcareous materials create weakness to the foundation. Clay
minerals such as montmorillonite may cause heaving when soaked with water. Iron oxide coating
of joints is also harmful and as such requires cleaning when present in the rocks of structural
foundation.
A massive sandstone bed generally provides a good foundation condition if it has
horizontal disposition. However if they contain block joints may cause rock slide or rock fall.
Porous and permeable sedimentary beds such as poorly compacted sandstone and conglomerate
influence the flow of water through the void spaces and development of uplift pressure.
Sedimentary rocks with alternate shale and sandstone beds dipping at low angles may pose the
problem of sliding.
Soluble rocks such as limestone and marl may initiate leakage of reservoir water
through interconnected solution cavities formed by solution action along bedding planes, joints,
and faults. Bedding planes containing clay seams and soft organic matter, when present in
foundation, create the problem of settlement. Clayey siltstone having low compressive strength
may initiate plastic deformation and shear failure. Clay minerals (e.g., montmorillonite) present in
some clay or shale beds may result in swelling under saturated conditions.
Sedimentary rocks containing primary structures such as mud cracks, sole marks, and
flute casts are vulnerable to easy weathering and erosion. Well-developed foliation of metamorphic
rocks is a weak feature, as along the planes of foliation the rocks are more susceptible to decay.
Presence of large quantities of mica in some varieties of schists renders the rock unsuitable for
foundation purposes. Volcanic rocks containing soft breccia, amygdaloidal flow, or red bole if
present in a dam foundation may cause seepage and foundation settlement.
ROCK MECHANICS
The study of the physical characteristics and mechanical behaviour of rocks in
response to the forces imposed on them comes under the purview of rock mechanics. Application
of the principles of rock mechanics is necessary in engineering geological works related to civil
engineering structures, for example, concrete and masonry dams, tunnels, and underground
powerhouses that are built in or of rocks.
94
PHYSICAL PROPERTIES AND MECHANICAL PROPERTIES OF ROCKS
Porosity. Porosity (h) of a rock specimen is the volume of voids contained in it and is expressed
as the percentage of the gross volume (V) of the specimen. In the determination of porosity, if a
rock specimen of regular shape is used, the volume (V) can be directly measured. A rock cube or
a rock core with parallel cutting of two ends is generally used to facilitate direct measurement of
volume. The specimen is first oven-dried for 24 hours at a temperature of 105°C and then its weight
(W0) is taken. It is then kept immersed in distilled water for 24 hours and the weight (Ww) is noted.
Porosity is given by the following equation:
Permeability. Permeability, k (dimensions L 2), is a measure of the ease of flow through a rock or
soil, independent of the properties of the fluid (cf. hydraulic conductivity, K). It is related to
hydraulic conductivity by the equation K =(kpg)/μ where ρ is the density, μ the dynamic viscosity
of the fluid, and g is the acceleration of gravity.
The principal factor controlling permeability is the size of the voids, since the smaller
they are the greater is the surface area of contact of water with solid mineral and the greater are
95
the capillary forces restraining flow. In loose soils permeability increases with the (diameter)2 of
the grains. Flow also takes place through secondary voids such as joints, and rocks of this character
are usually referred to as pervious rather than permeable.
Density. Density is defined as the mass per unit volume. The density (r) of a rock specimen is
derived by dividing the weight of the specimen by its volume. Density is determined in the same
way as specific gravity, that is, by measuring the dry weight (W0), water-saturated weight (Ww),
and water-suspended weight (Ws). However, unlike the specific gravity, which is a dimensionless
number, density has a unit and can be expressed as follows:
Density may be of the following different types:

 Dry density, rd is the weight of dry specimen with pores free of water/unit volume.
 Saturated density, rs is the weight of the specimen soaked in water/unit volume.
 Grain density, rg is the weight of the powdered sample/unit volume.
 Bulk density, rb is the weight of the specimen with pores partially filled/unit volume.
Measurement of Strength of Intact Rock

Rock strength is the most important parameter in the design of a structure. The stability
of a structure depends upon the strength of the foundation rock and its behaviour under stress. The
strength of a rock can be assessed by subjecting it to any of the three stresses, namely compressive
stress, shear stress, and tensile stress and studying the resistivity of the rock as follows:
Compressive strength. Compressive stresses comprising two opposite forces applied on a rock
specimen act to decrease the volume of the rock specimen. Compressive strength is the maximum
stress that is necessary to break a loaded specimen of rock. It is measured as the total load applied
per unit area in kg/cm2.
Shear strength. Shearing action is caused by two forces acting in opposite directions along a plane
of weakness (e.g., fracture, fault, bedding plane) inclined at an angle to the forces. It tends to move
one part separated from the other part with respect to each other.
96
Tensile strength. When a rock specimen is placed under tensile stress, its volume decreases due
to the forces directed outwards, opposite in action. The stresses tend to produce cracks in the rock.
Tensile strength is lower than compressive strength.
Hardness. The relative hardness (H) of two minerals is defined by scratching each with the other
and seeing which one is gouged. It is defined by an arbitrary scale of ten standard minerals,
arranged in Mohs’ scale of hardness, and numbered in degrees of increasing hardness from 1 to
10 (Table 2.1). The hardnesses of items commonly available are also shown, and these may be
used to assess hardness within the lower part of the range. The only common mineral that has
hardness greater than 7 is garnet. Most others are semiprecious or precious stones.
Elastic Properties of Rocks

In case of deformation under continuously increasing stress on a rock body, it may be
found that at a certain stage, the body returns to its original shape if the stress is removed. In this
stage, the body is said to have elasticity and the strain is proportional to stress. In addition, a
strained elastic material stores the energy used to deform it, and the energy is recoverable. The
body is said to have reached its elastic limit at the stage when the magnitude of strain begins to
exceed the magnitude of stress permanently. When the strain goes beyond the elastic limit of the
rock, plastic flow takes place. If the rock is constituted of brittle materials, the plastic flow will be
small in extent, but in case of the rock that is ductile in nature, the plastic flow will be large.
This elastic behaviour of a rock is related to stress (s) and strain (e). Stress is measured
by the relation s = P/A, where P is the force exerted in intact rock in an area A. Strain is given by
the expression e = ΔL /L, where L is the length and (ΔL) is the change in length of rock specimen.
97
The ratio between stress and strain is known as the modulus of elasticity or Young’s
modulus (E) and is expressed as:
If the lateral stress in a rock is given by B, the ratio between strain of a material in
lateral extension (lateral strain) to the strain under vertical extension (axial strain) designated as
Poisson’s ratio is given by the following relation:
Poisson’s ratio (m) in a rock varies between 0.1 and 0.5. During earthquake, the waves
move through the rock guided by the elastic properties of the rock. The velocity of wave
propagation depends on Poisson’s ratio, which is variable in different rocks. Thus, depending upon
the nature of rock, the wave velocity generated by earthquake will change.
Modulus of elasticity or Young’s modulus is a measure of the rock property that resists
deformation. When a cylindrical specimen of rock is subjected to stress parallel to its long axis, it
will lengthen and the diameter will be under tension. Poisson’s ratio, that is, the ratio of lateral
strain to axial stress is measured when a cylindrical rock specimen is subjected to compression
parallel to the axis of the rock specimen; the rock shortens along its axis while its diameter
increases.
DYNAMIC PROPERTY OF ROCKS

Seismology is the science that analyzes the causes of earthquakes and the propagation
of waves within Earth and on its surface.
Wave Types
Seismic waves generated during an earthquake fall into two bask categories: body
waves that travel through the earth's interior from the earthquake's hypocenter, and surface waves
that move along the earth's surface from the epicenter. Body waves can be subdivided further into
P (primary) and S (secondary) waves. P waves are also known as compressional waves because
they travel through rocks as alternate compressions and expansions of the material (Figure 8.42).
The movement of individual rock particles is a back-and-forth motion in the direction of
98
propagation. P waves are the fastest-moving seismic waves. Their velocity (a), in m/ s is expressed
as
where (K) is the bulk modulus of the rock (resistance to volume change),μ, is the modulus of
rigidity (resistance to change in shape), and  the density (g/ cm3).
S waves are also known as shear waves because of their mode of travel (Figure 8.43).
The travel of S waves is analogous to the movement of a rope anchored to a wall at one end and
shaken up and down with your hand at the other end. Although the wave motion moves from your
hand toward the wall, the movement of the rope is up and down as the wave passes. This shear
deformation, which is transverse to the direction of wave propagation, explains why S waves
cannot be transmitted through a liquid: A liquid has no resistance to shear stresses. The discovery
that S waves do not travel through the earth's outer core is the main evidence for the hypothesis
that this part of the core is liquid-like.
The velocity of S waves ( ), which is slower than that of P waves, can be expressed
as
The modulus of rigidity, μ, is equal to zero in liquids; therefore, the S-wave velocity is zero.
99
Surface waves, which arrive at seismograph stations after both P and S waves, include
Love and Rayleigh waves. Surface waves are characterized by long periods (10 to 20 s) and
wavelengths of 20 to 80 km. The period measures the amount of time that elapses between the
arrival of two successive wave crests, and wavelength measures the distance separating identical
points on successive waves. Love waves originate from S waves that reach the surface at the
epicenter. As they move outward along the surface of the earth, they produce only horizontal
ground motion. Rayleigh waves resemble the motion of ocean waves, with predominantly vertical
displacement.
Factors influencing wave velocity

In engineering geophysics it is mostly the compression (P) and the shear (S) waves
that are of significance. Their velocities are related to the densities and deformation parameters of
the materials through which they pass. Thus,
and
where K = bulk modulus; G = shear modulus (modulus of rigidity = shear stress/shear strain); ρ =
density; Vp= compression wave velocity, and Vs= shear wave velocity. The ratio Vp/Vs is given by
where v = Poisson’s ratio for the material.

It should be noted that because the shear modulus (G) is zero for fluids, shear waves
cannot pass through a fluid medium. Shear waves are always slower than P waves (Vp/Vs is
typically about 1.7) and the velocity of both P and S waves depends upon the elastic moduli of the
material or mass. Thus materials with lower deformation moduli will be expected to have lower
velocities. This is borne out by observation.
Velocities quoted are usually P waves unless otherwise stated. Figure 2.12 shows how
velocity varies with density and porosity in limestones. Porous rocks will have fluids or gasses in
the pore spaces and velocity through the saturated rock will depend upon porosity and the acoustic
100
velocity of the pore fluid. Media have higher velocities when saturated than when dry. This is
indicated by the formula (Wyllie et al. 1958):
where V = velocity of the saturated rock; Vf= velocity of the fluid; Vm= velocity of the rock matrix,
and φ = fractional porosity.
Velocity varies also dependant on the stress within the ground mass, higher stresses
giving higher velocities. The most noticeable increase in velocity is in the stress range 0 to 100
MPa.
Velocities measured in the field on various geological masses will be dependant not
only on the nature of the material but also on the intensity of fracturing and degree of weathering
of the mass. It is seldom clear whether these are for materials or mass but they serve to illustrate
that stronger, denser materials and masses have higher velocities. What is of importance is that the
lower velocity layers lie mostly near surface and that higher velocity layers lie under them.
Static and dynamic moduli of elasticity

The application of stress to a body of rock or soil causes the material to yield or
deform. The amount of deformation is called strain. The type and amount of strain that a particular
material experiences depends on the type of stresses applied, as well as the depth and temperature.
Ideal Materials
Fundamental types of deformation can be demonstrated by the use of simple
mechanical systems. As shown in Figure 7.11, the three basic types of material behaviour are
elastic, viscous, and plastic. Perfect elastic behaviour, the type demonstrated by a spring, results
in a linear plot of stress versus strain. The slope of the line relating stress and strain is an important
material property called the modulus of elasticity. It can be stated as
where E is the modulus of elasticity,  is the applied stress, and e is the strain. The modulus of
elasticity specifies how much strain will occur under a given stress. In this case, strain ( e) is
measured as
101
where L is the change in length of the spring and L is the original length. Another characteristic
of elastic materials is that they tend to return to their original condition when the stress is removed.
Thus, elastic strain is recoverable.
Certain fluids display the type of behaviour known as viscous (Figure 7.11). Stress is
directly proportional to strain rate for these fluids. The constant of proportionality is the viscosity
of the liquid, which is the slope of the stress versus strain rate plot.
Plastic behaviour, as demonstrated in Figure 7.11 by a block pulled along a surface,
involves continuous deformation after some critical value of stress has been achieved. There is no
deformation until the critical stress has been reached. Many rocks display plastic deformation
under stress, but they differ from ideal plastic behaviour in the other types of deformation that
occur before plastic behaviour begins.
Grouting
Grouting is a process of injecting a slurry of cement or other suitable material under
pressure into a rock formation through a borehole to mend fissures and cracks. The purpose of the
grouting is to:
1. Strengthen the ground or rock mass
2. Make the rock mass watertight
102
3. Do both at the same time

If the rock mass has poor strength, pre-grouting is aimed at improving its mechanical
strength allowing:
 Easier and safer excavation works
 Construction through zones that are difficult to penetrate by traditional methods (e.g.,
cohesionless or flowing ground, thick shear zones, fault zones, etc.)
 Passage through zones where environmental conditions are difficult
Grouting for waterproofing, on the other hand, is used to form curtains (below dams
and around water conductor systems) capable of reducing the underground flow of water. It also
provides acceptable tunneling conditions, both for the work and the environment in
 Rocks that are of good structure, however, fissured, fractured, or strongly permeated with
water
 Highly permeable grounds that prove unstable
Pre-grouting can be done from ground surface from an adjacent or pre-existing work
or directly from a gallery under construction. Consolidation grouting generally has a waterproofing
effect. Both types of grouting are often used below groundwater level in underground works.
Grouting increases the modulus of deformation of rock masses. It cuts down the
amount of discharge of seepage water, and with a judiciously installed drainage system, grouting
may also contribute to reduce uplift pressure on hydraulic structures. All of these improvements
in rock properties improve the stability of the rock structure system.
Grout Types
There are three main types of grout:
1. Suspension
2. Liquid or solution
3. Special
Suspension Grouts
Suspension grouts are a combination of one or more inert products such as cement,
fly-ash, clays, and so on suspended in a liquid (i.e., water). Depending on the dry matter content,
suspension grouts are classified as either stable or unstable.
103
Unstable suspensions are a mixture of pure cement with water. This mixture is
homogenized by an agitation process. A sedimentation of suspended particles occurs rapidly when
agitation stops.
Stable suspensions are generally obtained by using the following methods:
 Increasing the total dry matter content
 Incorporating a mineral or colloidal component, often from the bentonite family
 Incorporating sodium silicate in cement and clay/cement suspensions
Stability depends on the dosage of various components and on the agitation process.
Stability is relative because sedimentation occurs more or less rapidly when agitation ceases.
Liquid Grouts. Liquid grouts consist of chemical products in a solution or emulsion form and
their reagents. The most frequently used products are sodium silicate and certain resins.
Hydrocarbon emulsions can also be used in specific cases.
Special Grouts. Special grouts have one or more special features. These grouts include quick-
setting grouts, cellular type grouts (expanding or swelling grout and expanded or aerated grout),
and grouts with improved special properties.
Quick-Setting Grouts. Setting times for these grouts have been modified, and in some cases the
setting time may be reduced to a few seconds. The products used for quick-setting grouts include:
 Pure cement-based grout: Among additives, the most common are accelerators such as
calcium chloride and sodium silicate. Portland cements and aluminous cement mixes are
also used.
 Bentonite/cement grout: The most common accelerator is sodium silicate.
Expanding or Swelling Cellular Type Grout. The volume of this type of grout increases after
the grout is placed. Swelling of the grout is obtained through the formation of gas inside the grout.
Expansion is generally more than 100%. These grouts are used for filling large solution cavities in
soluble rocks such as limestones.
The cells are most often obtained by the formation of hydrogen caused by the action
of lime element in cement on aluminum powder incorporated in the grout at mixing time.
Immediate stability of the grout can be improved by adding small quantities of sodium silicate.
The quantity of aluminum powder in the grout may be up to 2 kg/m 3.
Expanded or Aerated Cellular Type Grouts. The volume of these grouts is increased before use
by introducing a certain volume of air. Air is added by introducing a wetting agent when the grout
104
is mixed. This operation can be made easier by blowing air into the grout during preparation. The
objective with aerated grout is to increase the grout volume by forming bubbles. The volume
generally increases by 30 to 50% before the grout is injected. These types of grouts are used to fill
cavities so that a compacting effect occurs in a closed space.
Grouts with Improved Special Properties

Grout with improved penetrability: This type of grout is capable of penetrating voids smaller
than those usually filled and also to reach even farther, if necessary. Various methods are used to
increase cement grout penetrability:
 Decreasing viscosity and shearing strength using additives with a fluidifying action in the
constant presence of dry matter. The additives are used to de-flocculate bunches of grains
that form in the usual grouts. These products can be derived from natural organic products
such as sodium bicarbonate.
 Increasing resistance to filtering effects using activators that reduce grout filtration. This is
obtained by dispersion of grout grains (or peptizing agents) or through the action of water
retaining polymers on inter-granular water.
 Decreasing the dimensions of the grains suspended in grouts. This is a costly alternative
that involves regrinding of material.
Grouts with improved mechanical strength: These types of grouts are used to obtain an
increased final strength of grouts, either by applying a treatment that does not modify certain other
characteristics, such as dry matter content or viscosity, or by using additives that are cheaper than
the constructive products of the original grout.
Grouts with improved resistance to washing-out: These types of grouts are used to avoid any
washing-out processes when the grouts are applied in largely open spaces filled with water, and
particularly when flowing water is present. This is achieved:
 By using hardened grouts that are almost instantaneous and in some cases halt the washing-
out process. Controlling the hardening time also permits penetrability to be controlled.
 By improving resistance through the use of flocculating, coagulating, or thickening types
of organic additives. These additives improve the resistance to washing-out tendencies and
also increase viscosity and cohesion which, in turn, tend to modify grout rheology as well
as the behaviour at the grout-water separation surface.
105
Grouting Parameters
Three main parameters must be considered when controlling the grout injection
process:
1. Grout volume (V) per pass
2. Injection pressure (P)
3. Rate of injection output (Q)
These parameters are determined by a set of injection points and relate to one injection
phase. Time of injection (t) for one pass, where t = V/Q average, which must be in accordance
with the setting time, is the fourth parameter to be checked.
Volume (V) depends upon the volumetric ratio, defined as grout volume/volume of
treated ground, which integrates the porosity of the ground, the filling coefficient of voids for the
phase under consideration, and the geometry of treatment given by spacing between holes and
length of injection pass.
The speed (Q) must be limited so that the injection pressure (P) remains lower than
the ground fracturing pressure, which depends on in situ stresses. An experimental approach with
regard to P and Q parameters is recommended to assure that the treatment is accomplished
correctly.
106
C. Reference(s)
 Kehew, A.E. Geology for Engineers and Environmental Scientists 3rd Edition. 2006.
 Blyth, F.G.H., de Freitas, M.H. Geology for Engineers Seventh Edition. 1984. Edward
Arnold
 Price, D.G., de Freitas, M.H. Engineering Geology Principles and Practice. 2009.
Springer-Verlag Berlin Heidelberg
 Gangopadhyay, S. Engineering Geology. 2013. Oxford University Press
 Singh, B., Goel, R. K. Engineering Rock Mass Classification Tunneling, Foundations,
and Landslides. 2011. Elsevier Inc.
 McLean, A.C., Gribble, C.D. Geology for Civil Engineers Second Edition. 2005. Taylor
& Francis e-Library
 Parriaux, A. Geology: Basics for Engineers. 2009. Taylor & Francis Group
Prepared by:
ENGR. MAY B. CHAN

Instructor I
Disclaimer and Copyright
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any kind with respect to its contents. The content of this module is for informational purposes only and is not intended
to alter, replace, or restitute any materials such as books and resources that are reliable and serve as source reference
of this module. The use of this book implies your acceptance of this disclaimer. All rights reserved to the author and
publisher above.
No part of this publication may be reproduced, distributed, or transmitted in any form or by any means, including
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GEOENG Geology for Engineers

Structural Geology and Rock Mechanics

Exposure and Outcrop

Outliers and Inliers

consequence of investigation display appropriate geological information as an aid to design and

Published Geological Maps

They may also show:

Solid and Drift Editions

Maps of subsurface geology

Structural contour maps

ROCK STRUCTURES AND THEIR ENGINEERING SIGNIFICANCE

Effect of Stress and Strain—Brittle and Ductile Rocks

Folds and causes of their formation

Anticline and Syncline—Symmetry and Other Features

Principal Types of Folds and Their Field Characters

Causes and Mechanism of Faults

Basic Terms Related to Faults

Illustrative Description of Different Types of Faults

Causes of Jointing and Genetic Types of Joints in Rocks

Orientation, Spacing, Roughness, and Other Features of Joints

POTENTIAL PROBLEMS FROM ROCK STRUCTURES IN ENGINEERING

Harmful Effects of Faults

Weakness of Rocks Caused by Joints, Fractures, and Other Features

PHYSICAL PROPERTIES AND MECHANICAL PROPERTIES OF ROCKS

Density may be of the following different types:

Measurement of Strength of Intact Rock

Elastic Properties of Rocks

DYNAMIC PROPERTY OF ROCKS

Factors influencing wave velocity

where v = Poisson’s ratio for the material.

Static and dynamic moduli of elasticity

3. Do both at the same time

Grouts with Improved Special Properties

ENGR. MAY B. CHAN

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