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Course Material
For
Singareni Collieries Limited (SCCLtd)
Ramagundem
AP
By
Dr.K.U.M.Rao
Professor
Department of Mining Engineering
Indian Institute of Technology
Kharagpur 721302
Chapter 1
Introduction
1.1 Rock Mechanics as a Discipline
Rock mechanics is a discipline that uses the principles of mechanics to describe the
behaviour of rocks. Here, the term of rock is in the scale of engineering. The scale is
generally in the order of between a few metres to a few thousand metres. Therefore, the
rock considered in rock mechanics is in fact the rock mass, which composes intact rock
materials and rock discontinuities.
What is so special of rock mechanics?
For normal construction materials, e.g., steel and concrete, the mechanical behaviours are
continuous, homogeneous, isotropic, and linearly elastic (CHILE). Properties of the
manmade materials are known and can often be controlled. For rocks, due to the
existence of discontinuities, the behaviours are discontinuous, inhomogeneous,
anisotropic, and non-linearly elastic (DIANE). Properties of the natural geomaterials are
unknown and often can not be controlled.
It is important to be award that in rock mechanics, rock discontinuities dominate the
mechanical and engineering behaviours. The existence of discontinuity depends on the
scale. The discontinuous nature and scale dependence feature is not common in other
man-made materials.
Rock mechanics is applied to various engineering disciplines: civil, mining, hydropower,
petroleum. In civil engineering, it involves foundation, slope and tunnel. In structural
engineering, the design process generally is as following:
Calculate external loading imposed on the structure;
Design the structure and analyse loading in structure elements;
Design the structure element and select materials.
In rock engineering, or geotechnical engineering, the whole process is different. Loading
condition is not easily calculateable, rock engineering, being sloping cutting or
underground excavation, does not impose loading, but disturbs the existing stress field of
the ground and redistribute the load. Therefore, the key process in rock engineering is to
understand the how the stress field is disturbed by engineering activities and how the rock
is behaving (responding) to the change of boundary conditions, and yet the material does
not has a characteristics controlled by man. The objectives of learning rock mechanics
are:
CHAPTER 2
ROCK FORMATION AND ROCK MASS
2.1 Rock Formations and Types
Rock is a natural geo-material. In geological term, rock is a solid substance composed of
minerals, of which can consist in particulate form (soil particles) or in large form
(mountains, tectonic plates, planetary cores, planets). In common term, rock is an
aggregate of minerals.
Rocks are formed by three main origins: igneous rocks from magma, sedimentary rock
from sediments lithfication and metamorphic rocks through metamorphism.
Figure 2.1.1a shows the geological process involved in the formations of various rocks. It
should be noted that the processes are dynamic and continuous.
Figure 2.1.1a Rock cycle illustrating the role of various geological processes in rock
formation.
2.1.3 Igneous Rocks
Igneous rocks are formed when molten rock (magma) cools and solidifies, with or
without crystallization. They can be formed below the surface as intrusive (plutonic)
rocks, or on the surface as extrusive (volcanic) rocks. This magma can be derived from
either the Earth's mantle or pre-existing rocks made molten by extreme temperature and
pressure changes. Figure 2.1.1a shows the origin of magma and igneous rock through the
rock cycle.
As magma cools, minerals crystallize from the melt at different temperatures. The magma
from which the minerals crystallize is rich in only silicon, oxygen, aluminium, sodium,
potassium, calcium, iron, and magnesium minerals. These are the elements which
combine to form the silicate minerals, which account for over 90% of all igneous rocks.
Igneous rocks make up approximately 95% of the upper part of the Earth's crust, but their
great abundance is hidden on the Earth's surface by a relatively thin but widespread layer
of sedimentary and metamorphic rocks.
2.1.4 Sedimentary Rocks
Sedimentary rock is formed in three main ways by the deposition of the weathered
remains of other rocks (known as 'clastic' sedimentary rocks); by the deposition of the
results of biogenic activity; and by precipitation from solution. Sedimentary rocks include
common types such as sandstone, conglomerate, clay, shale, chalk and limestone.
Sedimentary rocks cover 75% of the Earth's surface, but count for only 5% of the rock in
the earth crust. Four basic processes are involved in the formation of a clastic
sedimentary rock: weathering (erosion), transportation, deposition and compaction.
All rocks disintegrate slowly as a result of mechanical weathering and chemical
weathering. Mechanical weathering is the breakdown of rock into particles without
producing changes in the chemical composition of the minerals in the rock. Chemical
weathering is the breakdown of rock by chemical reaction.
2.1.5 Metamorphic Rocks
Metamorphic rock is a new rock type transformed from an existing rock type, through
metamorphism. When an existing rock is subjected to heat and extreme pressure, the rock
undergoes profound physical and/or chemical change. The existing rock may be
sedimentary rock, igneous rock or another older metamorphic rock (Figure 2.1.1a).
Metamorphic rocks make up a large part of the Earth's crust and are classified by texture
and by mineral assembly. They are formed deep beneath the Earth's surface by great
stresses from rocks above and high pressures and temperatures, known as regional
metamorphism. The high temperatures and pressures in the depths of the Earth are the
cause of the changes. Metamorphic rocks are also formed by the intrusion of molten rock
(magma) into solid rock and form particularly at the place of contact between the magma
and solid rock where the temperatures are high, known as contact metamorphism.
Another important mechanism of metamorphism is that of chemical reactions that occur
between minerals without them melting. In the process atoms are exchanged between the
minerals, and thus new minerals are formed. Many complex high-temperature reactions
may take place, and each mineral assemblage produced provides us with a clue as to the
temperatures and pressures at the time of metamorphism.
Heat and pressure are the causes of metamorphism. When above 200C, heat causes
minerals to recrystallise. Pressure forces some crystals to re-orient. The combined effects
of recrystallisation and re-orientation usually lead to foliation, which is a unique feature
of metamorphic rocks. It occurs when a strong compressive force is applied from one
direction to a recrystallizing rock. This causes the platy or elongated crystals of minerals,
such as mica and chlorite, to grow with their long axes perpendicular to the direction of
the force. This result in a banded, or foliated, rock, with the bands showing the colours of
the minerals that formed them.
2.2 Rock Discontinuities
2.2.1 Joints
A geological joint is a generally planar fracture formed in a rock as a result of extensional
stress. Joints are always in sets. Joints do not have any significant offset of strata either
vertically or horizontally (Figure 2.2.1a).
Figure 2.2.1a Typical joints seen (i) one dominant set, (ii) three sets.
Joints can be formed due to erosion of the overlying strata exposed at the surface. The
removal of overlying rock results in change of stresses, and hence leads to the fracturing
of underlying rock. Joints can also be caused by cooling of hot rock masses, which form
cooling joints. Columnar jointing or columnar basalts are typical joint features by
cooling. Joints are also formed by tectonic movement. Joints are often in sets. A joint set
is a group of parallel joints. Typically, a rock mass can have between one to a few joint
sets. Joints are the most common type of rock discontinuities. They are generally
considered as part of the rock mass, as the spacing of joints usually is between a few
centimetres and a few metres.
2.2.2 Faults
Geologic faults are planar rock fractures which show evidence of relative movement.
Large faults within the Earth's crust are the result of shear motion and active fault zones
are the causal locations of most earthquakes. Earthquakes are caused by energy release
during rapid slippage along faults. The largest examples are at tectonic plate boundaries,
but many faults occur far from active plate boundaries. Since faults usually do not consist
of a single, clean fracture, the term fault zone is used when referring to the zone of
complex deformation associated with the fault plane. Figure 2.2.2a.
2.4.3 Anisotropy
Anisotropy is defined as properties are different in different direction.Anisotropy occurs
in both rock materials and rock mass.
Some sedimentary rocks, e.g., shale, have noticeable anisotropic characteristics. Other
sedimentary may not have clear anisotropy. However, under the influence of formation
process and pressure, small degree of anisotropy is possible.
Rock with most obvious anisotropy is slate. Phyllite and schist are the other foliated
metamorphic rocks that exhibit anisotropy, as seen in Figure 2.4.3a.
Figure 2.4.3a Some common anisotropic rocks, (i) slate and (ii) sandstone.
Rock mass anisotropy is controlled by (i) joint set (Figure 2.4.3b), and (ii) sedimentary
layer (Figure 2.4.2a).
Figure 2.4.3b A Limestone rock mass with one dominating joint set.
CHAPTER 3
PROPERTIES OF ROCK MATERIALS
Rock material is the intact rock portion. This Chapter addresses properties of rock
material.
3.1 Physical Properties of Rock Material
The physical properties of rocks affecting design and construction in rocks are:
1.
2.
3.
4.
5.
6.
7.
8.
Mineralogical composition is the intrinsic property controlling the strength of the rock
Although there exist more than 2000 kinds of known minerals, only about nine of them
partake decisively in forming the composition of rocks. They are:
Quartz
Feldspar
Mica
Hornblende(Amphiboles)
Pyroxenes
Olivine
Calcite
Kaolinite, and
Dolomite
These minerals are glued together by four types of materials such as silicates, calcites,
argillaceous and ferrous minerals. The Rocks containing quartz as the binder are known
as siliceous rocks and are the strongest while the rocks with calcium and magnesium
carbonates are the weakest.
The term rock texture refers to the arrangement of its grains. Thus the texture is the
appearance, megascopic or microscopic, seen on a smooth surface of a mineral aggregate,
showing the geometrical aspects of the rock including shape, size, and arrangement.
One distinguishes between coarse-texture (coarse-grained) and fine-textures rock. A
coarse-grained rock is one in which the large crystals are seen easily while the fine
grained rocks need to be seen under a microscope.
Rock structure and texture affect the strength properties of the rock.
Density is a measure of mass per unit of volume. Density of rock material various, and
often related to the porosity of the rock. It is sometimes defined by unit weight and
specific gravity. Most rocks have density between 2,500nd 2,800 kg/m3.
Void ratio (e) is the ratio of the volume of voids (VV) to the volume of solids (VS)
e=
VV
VS
Wd
G
=
W =
V
1+ e
1+ w
Porosity (n) describes how densely the material is packed. It is the ratio of the non-solid
volume (VV) to the total volume (V) of material. Porosity therefore is a fraction between 0
and 1.
V
V (WS / G W )
e
=
n= V =
V 1+ e
V
V
1
= S
1+ e V
Dry =
(The unit weight of water = 1 g/cm3 = 1 t/m3 = 9.81 kN/m3 = 62.4 lb/ft3)
Where
The value is typically ranging from less than 0.01 for solid granite to up to 0.5 for porous
sandstone. It may also be represented in percent terms by multiplying the fraction by
100%.
Water content is a measure indicating the amount of water the rock material contains. It is
simply the ratio of the weight of water (Ww) to the weight (WS) of the rock material.
w=
Ww
W WS
100 =
100
WS
WS
Degree of saturation S is
S=
Vw
100
VV
Figure
Table 3.1.1a gives common physical properties, including density and porosity of rock
materials.
3.1.2 Hardness
Hardness is the characteristic of a solid material expressing its resistance to permanent
deformation. Hardness of rock materials depends on several factors, including mineral
composition and density. A typical measure is the Schmidt rebound hardness number.
Table 3.1.1a
3.1.3 Abrasivity
Abrasivity measures the abrasiveness of a rock materials against other materials, e.g.,
steel. It is an important measure for estimate wear of rock drilling and boring equipment.
Abrasivity is highly influenced by the amount of quartz mineral in the rock material.
The higher quartz content gives higher abrasivity.Abrasivity measures are given by
several tests. Cerchar and other abrasivity tests are described later.
3.1.4 Permeability
Permeability is a measure of the ability of a material to transmit fluids. Most rocks,
including igneous, metamorphic and chemical sedimentary rocks, generally have very
low permeability. As discussed earlier, permeability of rock material is governed by
porosity. Porous rocks such as sandstones usually have high permeability while granites
have low permeability. Permeability of rock materials, except for those porous one, has
limited interests as in the rock mass, flow is concentrated in fractures in the rock mass.
Permeability of rock fractures is discussed later.
3.1.5 Wave Velocity
Measurements of wave are often done by using P wave and sometimes, S waves. P wave
velocity measures the travel speed of longitudinal (primary) wave in the material, while
S-wave velocity measures the travel speed of shear (secondary) wave in the material. The
velocity measurements provide correlation to physical properties in terms of compaction
degree of the material. A well compacted rock has generally high velocity as the grains
are all in good contact and wave are traveling through the solid.
For a poorly compact rock material, the grains are not in good contact, so the wave will
partially travel through void (air or water) and the velocity will be reduced (P-wave
velocities in air and in water are 340 and 1500 m/s respectively and are much lower than
that in solid). Typical values of P and S wave velocities of some rocks are given in Table
3.1.1a. Wave velocities are also commonly used to assess the degree of rock mass
fracturing at large scale, using the same principle, and it will be discussed in a later
chapter.
3.2 Mechanical Properties of Rock Material
3.2.1 Compressive Strength
Compressive strength is the capacity of a material to withstand axially directed
compressive forces. The most common measure of compressive strength is the uniaxial
compressive strength or unconfined compressive strength. Usually compressive strength
of rock is defined by the ultimate stress. It is one of the most important mechanical
properties of rock material, used in design, analysis and modeling. Figure 4.2.1a presents
a typical stress-strain curve of a rock under uniaxial compression. The complete stressstrain curve can be divided into 6 sections, represent 6 stages that the rock material is
undergoing. Figure 3.2.1b and Figure 3.2.1c show the states of rock in those stages of
compression.
Figure 3.2.1c Samples of rock material under uniaxial compression test and failure.
Stage II The rock basically has a linearly elastic behaviour with linear stress-strain
curves, both axially and laterally. The Poisson's ratio, particularly in stiffer unconfined
rocks, tends to be low. The rock is primarily undergoing elastic deformation with
minimum cracking inside the material. Micro-cracks are likely initiated at the later
portion of this stage, of about 35-40% peak strength. At this stage, the stress-strain is
largely recoverable, as the there is little permanent damage of the micro-structure of the
rock material.
Stage III The rock behaves near-linear elastic. The axial stress-strain curve is nearlinear
and is nearly recoverable. There is a slight increase in lateral strain due to dilation.
Microcrack propagation occurs in a stable manner during this stage and that
microcracking events occur independently of each other and are distributed throughout
the specimen. The upper boundary of the stage is the point of maximum compaction and
zero volume change and occurs at about 80% peak strength.
Stage IV The rock is undergone a rapid acceleration of microcracking events and
volume increase. The spreading of microcracks is no longer independent and clusters of
cracks in the zones of highest stress tend to coalesce and start to form tensile fractures or
shear planes - depending on the strength of the rock.
Stage V The rock has passed peak stress, but is still intact, even though the internal
structure is highly disrupt. In this stage the crack arrays fork and coalesce into
macrocracks or fractures. The specimen is undergone strain softening (failure)
deformation, i.e., at peak stress the test specimen starts to become weaker with increasing
strain. Thus further strain will be concentrated on weaker elements of the rock which
have already been subjected to strain. This in turn will lead to zones of concentrated
strain or shear planes.
Stage VI The rock has essentially parted to form a series of blocks rather than an intact
structure. These blocks slide across each other and the predominant deformation
mechanism is friction between the sliding blocks. Secondary fractures may occur due to
differential shearing. The axial stress or force acting on the specimen tends to fall to a
constant residual strength value, equivalent to the frictional resistance of the sliding
blocks.
In underground excavation, we often are interested in the rock at depth. The rock is
covered by overburden materials, and is subjected to lateral stresses. Compressive
strength with lateral pressures is higher than that without. The compressive strength with
lateral pressures is called triaxial compressive strength.
Figure 3.2.1d shows the results of a series triaxial compression tests. In addition to the
significant increase of strength with confining pressure, the stress-strain characteristics
also changed. Discussion on the influence of confining pressure to the mechanical
characteristics is given in a later section. Typical strengths and modulus of common rocks
are given in Table 3.2.1a.
Similar to strength, Youngs Modulus of rock materials varies widely with rock type. For
extremely hard and strong rocks, Youngs Modulus can be as high as 100 GPa.
Poissons ratio measures the ratio of lateral strain to axial strain, at linearly-elastic region.
For most rocks, the Poissons ratio is between 0.15 and 0.4. As seen from the tests that at
later stage of loading beyond, that is, beyond the linearly elastic region the increase in
lateral strain is faster than the axial strain and hence indicates a higher ratio.
3.2.3 Stress-Strain at and after Peak
A complete stress-strain curve for a rock specimen in uniaxial compression test can be
obtained, as shown in Figure 3.2.3a.
Strain at failure is the strain measured at ultimate stress. Rocks generally fail at a small
strain, typically around 0.2 to 0.4% under uniaxial compression. Brittle rocks, typically
crystalline rocks, have low strain at failure, while soft rock, such as shale and mudstone,
could have relatively high strain at failure. Strain at failure sometimes is used as a
measure of brittleness of the rock. Strain at failure increases with increasing confining
pressure under triaxial compression conditions.
Rocks can have brittle or ductile behaviour after peak. Most rocks, including all
crystalline igneous, metamorphic and sedimentary rocks, behave brittle under uniaxial
compression. A few soft rocks, mainly of sedimentary origin, behave ductile.
Figure 3.2.3a Complete stress-strain curves of several rocks showing post peak
behaviour (Brady and Brown).
3.2.4 Tensile Strength
Tensile strength of rock material is normally defined by the ultimate strength in tension,
i.e., maximum tensile stress the rock material can withstand. Rock material generally has
a low tensile strength. The low tensile strength is due to the existence of microcracks in
the rock. The existence of microcracks may also be the cause of rock failing suddenly in
tension with a small strain.
Tensile strength of rock materials can be obtained from several types of tensile tests:
direct tensile test, Brazilian test and flexure test. Direct test is not commonly performed
due to the difficulty in sample preparation. The most common tensile strength
determination is by the Brazilian tests. Figure 3.2.4a illustrates the failure mechanism of
the Brazilian tensile tests.
Figure 3.2.4a Stress and failure of Brazilian tensile tests by RFPA simulation.
3.2.5 Shear Strength
Shear strength is used to describe the strength of rock materials, to resist deformation due
to shear stress. Rock resists shear stress by two internal mechanisms, cohesion and
internal friction. Cohesion is a measure of internal bonding of the rock material.
Internal friction is caused by contact between particles, and is defined by the internal
friction angle, . Different rocks have different cohesions and different friction angles.
Shear strength of rock material can be determined by direct shear test and by triaxial
compression tests. In practice, the later methods is widely used and accepted.
With a series of triaxial tests conducted at different confining pressures, peak stresses (1)
are obtained at various lateral stresses (3). By plotting Mohr circles, the shear envelope
is defined which gives the cohesion and internal friction angle, as shown in Figure 3.2.5a.
(b)
(c)
the region incorporating the peak of the axial stress-axial strain curve
flattens and widens;
(d)
the post-peak drop in stress to the residual strength reduces and disappears
at high confining stress.
The confining pressure that causes the post-peak reduction in strength disappears and the
behaviour becomes fully ductile (48.3 MPa in the figure), is known as the brittle-ductile
transition pressure. This brittle-ductile transition pressure varies with rock type. In
general, igneous and high grade metamorphic rocks, e.g., granite and quartzite, remain
brittle at room temperature at confining pressures of up to 1000 MPa or more.
Figure 3.3.1a Complete axial stress-axial strain curves obtained in triaxial compression
tests on Marble at various confining pressures (after Wawersik & Fairhurst 1970).
3.3.2 Effects of Pore Water Pressure
The influence of pore-water pressure on the behaviour of porous rock in the triaxial
compression tests is illustrated by Figure 4.3.2a. A series of triaxial compression tests
was carried out on a limestone with a constant confining pressure of 69 MPa, but with
various level of pore pressure (0-69 MPa). There is a transition from ductile to brittle
behaviour as pore pressure is increased from 0 to 69 MPa. In this case, mechanical
response is controlled by the effective confining stress (3' = 3 u).
Effect of pore water pressure is only applicable for porous rocks where sufficient pore
pressure can be developed within the materials. For low porosity rocks, the classical
effective stress law does not hold.
Figure 3.3.2a Effect of pore pressure on the stress-strain behaviour of rock materials.
If in g/cm3, and vp in km/s, then Es in GPa (109 N/m2). The elastic modulus estimated
by this method is the sometime termed as seismic modulus (also called dynamic modulus,
but should not be mistaken as the modulus under dynamic compression). It is different
from the modules obtained by the uniaxial compression tests. The value of the seismic
modulus is generally slightly higher than the modulus determined from static
compression tests.
Similarly, seismic shear modulus Gs may be determined from shear S-wave velocity vs,
Gs is in GPa, when density is in g/cm3, and S-wave velocity vs is in km/s. Seismic
Poissons ration s can be determined from,
Alternatively, seismic Youngs modulus Es can be determined from shear modulus (Gs)
and Poissons ratio (s),
Es = 2 Gs (1 + s)
3.5.4 Compressive Strength and Modulus
It is a general trend that a stronger rock material is also stiffer, i.e., higher elastic modulus
is often associated with higher strength. There is reasonable correlation between
compressive strength and elastic modulus. The correlations are presented in Figure
3.5.4a. It should be noted that the correlation is not precisely linear and also depends on
the rock type, or perhaps on the texture of the rocks.
Figure 3.6.1a Stresses on failure plane a-b and representation of Mohrs circle.
Applying the stress transformation equations or from the Mohrs circle, it gives:
Coulomb suggested that shear strengths of rock are made up of two parts, a constant
cohesion (c) and a normal stress-dependent frictional component, i.e.,
or
In a shear stress-normal stress plot, the Coulomb shear strength criterion = c + n tan
is represented by a straight line, with an intercept c on the axis and an angle of with
the n axis. This straight line is often called the strength envelope. Any stress condition
below the strength envelope is safe, and once the stress condition meet the envelope,
failure will occur.
As assumed, rock failure starts with the formation of the shear failure plane a-b.
Therefore, the stress condition on the a-b plane satisfies the shear strength condition. In
another word, the Mohr-Coulomb strength envelope straight line touches (makes a
tangent) to the Mohrs circles. At each tangent point, the stress condition on the a-b plane
meets the strength envelope.
As seen from the Mohrs circle, the failure plane is defined by , and
=+
Then
Figure 3.6.1b Mohr-Coulomb strength envelope in terms of normal and shear stresses
and principal stresses, with tensile cut-off.
If the Mohr-Coulomb strength envelope shown in Figure 4.6.1b is extrapolated, the
uniaxial compressive strength is related to c and by:
However, the measured values of tensile strength are generally lower than those predicted
by the above equation. For this reason, a tensile cut-off is usually applied at a selected
value of uniaxial tensile stress, t, as shown in Figure 4.6.1b. For most rocks, t is about
1/10 c.
or
The Mohr-Coulomb criterion is only suitable for the low range of 3. At h igh 3, it
overestimates the strength. It also overestimates tensile strength. In most cases, rock
engineering deals with shallow problems and low 3, so the criterion is widely used, due
to its simplicity and popularity.
3.6.2 Griffith strength criterion
Based on the energy instability concept, Griffith extended the theory to the case of
applied compressive stresses. Assuming that the elliptical crack will propagate from the
points of maximum tensile stress concentration (P in Figure 4.6.2a), Griffith obtained the
following criterion for crack extension in plane compression:
It in fact suggests that the uniaxial compressive stress at crack extension is always eight
times the uniaxial tensile strength
or
Where m is a parameter that changes with rock type in the following general way:
Figure 3.6.3a shows normalized Hoek-Brown peak strength envelope for some rocks. It is
evident that the Hoek-Brown strength envelope is not a straight line, but a curve. At high
stress level, the envelope curves down, so it gives low strength estimate than the MohrCoulomb envelope.
Figure 3.6.3a Normalized peak strength envelope for (i) granites and (ii) sandstones
(after Hoek & Brown 1980).
The Hoek-Brown peak strength criterion is an empirical criterion based on substantial test
results on various rocks. It is however very easy to use and select parameters. It is also
extended to rock masses with the same equation, hence makes it is so far the only
acceptable criterion for both material and mass.
3.7 Effects of Rock Microstructures on Mechanical Properties
3.7.1 Strength of rock material with Anisotropy
Rocks, such as shale and slate, are not isotropic. Because of some preferred orientation of
fabric or microstructure, or the presence of bedding or cleavage planes, the behaviour of
those rocks is anisotropic. There are several forms of anisotropy with various degrees of
complexity. It is therefore only the simplest form of anisotropy, transverse isotropy, to be
discussed here.
The peak strengths developed by transversely isotropic rocks in triaxial compression vary
with the orientation of the plane of isotropy, plane of weakness or foliation plane, with
respect to the principal stress directions. Figure 3.7.1a shows some measured variations
in peak principal stress difference with the angle of inclination of the major principal
stress to the plane of weakness.
Figure 3.7.1a Variation of differential stresses with the inclination angle of the plane of
weakness (see Brady & Brown 1985)
Analytical solution shows that principal stress difference (13) of a transversely
isotropic specimen under triaxial compression shown in Figure 3.7.1a can be given by the
equation below (Brady & Brown 1985):
Figure 3.7.1b shows variation of 1 at constant 3 with angle , plotted using the above
equation. When the weakness plane is at an angle of 45 + w, the strength is the
lowest. Fo r rock s, w is about 30 to 50, hence is about 60 to 70. In compression
tests, intact rock specimens generally fail to form a shear plane at an angle about 60 to
70. This in fact shows that when the rock containing an existing weakness plane that is
about to become a failure plane, the rock has the lowest strength.
Uniaxial compressive strength, c is calculated as the failure load divided by the initial
cross sectional area of the specimen.
Axial tangential Young's modulus at 50% of uniaxial compressive strength, Et50% is
calculated as the slope of tangent line of axial stress - axial strain curve at a stress level
equals to 50% of the ultimate uniaxial compressive strength.
Poisson's ratio at 50% of uniaxial compressive strength, 50%, is calculated as:
v50% =
Figure 3.9.3a
load is measured by a load transducer. Load, 2 axial strain or deformation and 2 lateral
strains or deformation (or a circumferential deformation if a circumferential chain LVDT
device is used) are recorded at a fixed interval until failure. Triaxial compressive
strength, Young's modules (at 50% of failure stress) and Poisson's ratio (at 50% of failure
stress) can be calculated from the axial failure load, stress and strain relationship.
Triaxial compressive strength, 1 , is calculated as the axial failure load divided by the
initial cross sectional area of the specimen.
Axial tangential Young's modulus at 50% of triaxial compressive strength, Et50% is
calculated as the slope of tangent line of axial stress - axial strain curve at a stress level
equals to 50% of the ultimate uniaxial compressive strength.
Poisson's ratio at 50% of triaxial compressive strength is calculated with the same
methods as for the uniaxial compression test.
For a group of triaxial compression tests at different confining stress level, Mohr's stress
circle are plotted using confining stress as 3 and axial stress as 1 . Failure envelopes
(Mohr, Coulomb or Hoek and Brown) and parameters of specified failure criterion are
determined.
Reporting of results includes description of the rock, specimen anisotropy, specimen
dimension, density and water content at time of test, mode of failure, triaxial compressive
strength, modulus of elasticity, Poisson's ratio, stress-strain (axial and lateral) curves to
failure, Mohr's circles and failure envelope.
T =
0.636 P
Dt
Reporting of results includes description of the rock, orientation of the axis of loading
with respect to specimen anisotropy, water content and degree of saturation, test duration
and loading rate, mode of failure.
De
where De , the "equivalent core diameter", is given by:
for diametrical test;
De2 = D 2
for axial, block and lump tests;
= 4A /
A = H D = minimum cross sectional area of a plane through the loading points.
The point load strength is corrected to the point load strength at equivalent core diameter
of 50 mm. For De 50 mm, the size correction factor is:
0.45
D
F = e
50
The corrected point load strength index I s (50 ) is calculated as:
I s (50 ) = F .I s
CAI = 10 2 d
where d is the wear flat diameter of the stylus tip in m.
3.9.12 Slake Durability Test
Select representative rock sample consisting of 10 lumps each of 40-60g, roughly
spherical in shape with corners rounded during preparation. The sample is placed in the
test drum of 2 mm standard mesh cylinder of 100 mm long and 140 mm in diameter with
solid removable lid and fixed base, and is dried to a constant mass at 105C. The mass of
drum and sample is recorded (Mass A). The sample and drum is placed in trough which
is filled with slaking fluid, usually tap water at 20C, to a level 20 mm below the drum
axis, and the drum is rotated at 20 rpm for 10 minutes (Figure 3.9.12a). The drum and
sample are removed from trough and oven dried to a constant mass at 105C without the
lid. The mass of the drum and sample is recorded after cooling (Mass B). The slaking and
drying process is repeated and the mass of the drum and sample is recorded (Mass C).
The drum is brushed clean and its mass is recorded (Mass D).
Slake-durability index,
Special Note
AE Activity in rocks under compression
The term acoustic emission (AE) is widely used to denote the phenomenon in which a
material or structure emits elastic waves of shock type and sometimes of continuous type
caused by the sudden occurrence of fractures or frictional sliding along discontinuous
surfaces.
Acoustic Emission (AE) is a naturally occurring phenomenon whereby external stimuli,
such as mechanical loading, generate sources of elastic waves. AE occurs when a small
surface displacement of a material is produced. This occurs due to stress waves generated
when there is a rapid release of energy in a material, or on its surface. The wave
generated by the AE source, or, of practical interest, in methods used to stimulate and
capture AE in a controlled fashion for study and/or use in inspection, quality control,
system feedback, process monitoring and others. The application of AE to nondestructive testing of materials in the ultrasonic regime, typically takes place between
100 kHz and 1 MHz.
Figure Two fundamental cases of stress application (a) and (b), and temporal variations
of strain ( ) and the frequency (n) of AE events in these cases
Figure Temporal variations of number of AE events and axial strain ( 1 ), lateral strain
V
( ) and non-elastic volumetric strain (
V ne
CHAPTER 6
ROCK MASS CLASSIFICATION
Rock mass property is governed by the properties of intact rock materials and of the
discontinuities in the rock. The behaviour if rock mass is also influenced by the
conditions the rock mass is subjected to, primarily the in situ stress and groundwater.
The quality of a rock mass quality can be quantified by means of rock mass
classifications. This Chapter addresses rock mass properties and rock mass
classifications.
6.1 Rock Mass Properties and Quality
6.1.1 Properties Governing Rock Mass Behaviour
Rock mass is a matrix consisting of rock material and rock discontinuities. As discussed
early, rock discontinuity that distributed extensively in a rock mass is predominantly
joints. Faults, bedding planes and dyke intrusions are localised features and therefore are
dealt individually. Properties of rock mass therefore are governed by the parameters of
rock joints and rock material, as well as boundary conditions, as listed in Table 6.1.1a.
Table 6.1.1a Prime parameters governing rock mass property
The behaviour of rock changes from continuous elastic of intact rock materials to
discontinues running of highly fractured rock masses. The existence of rock joints and
other discontinuities plays important role in governing the behaviour and properties of the
rock mass, as illustrated in Figure 6.1.1a. Chapter 4 has covered the properties of intact
rock materials, and Chapter 5 has dealt with rocks contains 1 or 2 localised joints with
emphasis on the properties of joints. When a rock mass contains several joints, the rock
mass can be treated a jointed rock mass, and sometimes also termed a Hoek-Brown rock
mass, that can be described by the Hoek-Brown criterion (discussed later).
6.1.2 Classification by Rock Load Factor (Terzaghi 1946)
Based in extensive experiences in steel arch supported rail tunnels in the Alps, Terzaghi
(1946) classified rock mass by mean of Rock Load Factor. The rock mass is classified
into 9 classes from hard and intact rock to blocky, and to squeezing rock. The concept
used in this classification system is to estimate the rock load to be carried by the steel
arches installed to support a tunnel, as illustrated in Figure 6.1.2a. The classification is
presented by Table 6.1.2a.
It provides reasonable support pressure estimates for small tunnels with diameter
up to 6 metres.
(b)
(c)
The estimated support pressure has a wide range for squeezing and swelling rock
conditions for a meaningful application.
6.1.3 Classification by Active Span and Stand-Up Time (Stini 1950, Lauffer 1958)
The concept of active span and stand-up time is illustrated in Figure 6.1.3a and Figure
6.1.3b. Active span is in fact the largest dimension of the unsupported tunnel section.
Stand-up time is the length of time which an excavated opening with a given active span
can stand without any mean of support or reinforcement. Rock classes from A to G are
assigned according to the stand-up time for a given active span. Use of active span and
stand-up time will be further discussed in later sections.
Figure 6.1.3b Relationship between active span and stand-up time and rock mass classes
(Class A is very good and Class G is very poor)
Table 6.1.2a Rock class and rock load factor classification by Terzaghi for steel arch
supported tunnels
Rock quality designation (RQD) was introduced in 1960s, as an attempt to quantify rock
mass quality. Table 6.1.2a reproduces the proposed expression of rock mass quality
classification according to RQD.
As discussed earlier, RQD only represents the degree of fracturing of the rock mass. It
does not account for the strength of the rock or mechanical and other geometrical
properties of the joints. Therefore, RQD partially reflects on the rock mass quality.
Table 6.1.2a Rock mass quality classification according to RQD
RQD has been widely accepted as a measure of fracturing degree of the rock mass. His
parameter has been used in the rock mass classification systems, including the RMR and
the Q systems.
6.2 Rock Mass Rating RMR System
6.2.1 Concept of RMR System (1973, 1989)
The rock mass rating (RMR) system is a rock mass quality classification developed by
South African Council for Scientific and Industrial Research (CSIR), close associated
with excavation for the mining industry (Bieniawski 1973). Originally, this
geomechanics classification system incorporated eight parameters. The RMR system in
use now incorporates five basic parameters below.
(a)
(b)
(c)
(d)
(e)
Table 6.2.1a is the RMR classification updated in 1989. Part A of the table shows the
RMR classification with the above 5 parameters. Individual rate for each parameter is
obtained from the property of each parameter. The weight of each parameter has already
considered in the rating, for example, maximum rating for joint condition is 30 while for
rock strength is 15. The overall basic RMR rate is the sum of individual rates.
Influence of joint orientation on the stability of excavation is considered in Part B of the
same table. Explanation of the descriptive terms used is given table Part C. With
adjustment made to account for joint orientation, a final RMR rating is obtained, it can be
also expresses in rock mass class, as shown in Table 6.2.1b. The table also gives the
meaning of rock mass classes in terms of stand-up time, equivalent rock mass cohesion
and friction angle.
RMR was applied to correlate with excavated active span and stand-up time, as shown in
Figure 6.2.1a. This correlation allow engineer to estimate the stand-up time for a given
span and a given rock mass.
Table 6.2.1b Rock mass classes determined from total ratings and meaning
The calculated basic RMR is 76. It falls in rock class B which indicates the rock mass is
of good quality.
(b) A sandstone rock mass, fractured by 2 joint sets plus random fractures, average RQD
is 70%, average joint spacing is 0.11 m, joint surfaces are slightly rough, highly
weathered with stains and weathered surface but no clay found on surface, joints are
generally in contact with apertures generally less than 1 mm, average rock material
uniaxial compressive strength is 85 MPa, the tunnel is to be excavated at 80 m below
ground level and the groundwater table is 10 m below the ground surface.
Here, groundwater parameter is not directly given, but given in terms of groundwater
pressure of 70 m water head and overburden pressure of 80 m ground. Since there is no
indication of in situ stress ratio, overburden stress is taken as the major in situ stress as an
approximation.
Joint water pressure =
groundwater pressure =
70 m w
In situ stress
Overburden pressure =
80 m
=
=
The calculated basic RMR is 52. It falls in rock class C which indicates the rock mass is
of fair quality.
(c) A highly fractured siltstone rock mass, found to have 2 joint sets and many random
fractures, average RQD is 41%, joints appears continuous observed in tunnel, joint
surfaces are slickensided and undulating, and are highly weathered, joint are separated by
about 3-5 mm, filled with clay, average rock material uniaxial compressive strength is 65
MPa, inflow per 10 m tunnel length is observed at approximately 50 litre/minute, with
considerable outwash of joint fillings. The tunnel is at 220 m below ground.
In the above information, joint spacing is not provided. However, RQD is given and from
the relationship between RQD and joint frequency, it is possible to calculate average joint
spacing, with the equation below,
The calculated basic RMR is 34. It falls in rock class D which indicates the rock mass is
of poor quality.
Judgement often is needed to interpret the information given in the geological and
hydrogeological investigation reports and in the borehole logs to match the descriptive
terms in the RMR table. Closest match and approximation is to be used to determine each
of the RMR parameter rating.
6.2.3 Extension of RMR Slope Mass Rating (SMR)
The slope mass rating (SMR) is an extension of the RMR system applied to rock slope
engineering. SMR value is obtained by adjust RMR value with orientation and
excavation adjustments for slopes, i.e.,
SMR = RMR + (F1F2F3) + F4
where F1 = (1 - sin A)2
and A = angle between the strikes of the slope and the joint = |j - s|.
F2 = (tan j)2
B = joint dip angle = j.
For topping, F2 = 1.0
Value of F1, F2 and F3 are given in Table 6.2.3a. Table 6.2.3b gives the classification
category of rock mass slope. Details on rock slope analysis and engineering including
excavation methods and support and stabilisation will be covered in a later chapter
dealing slope engineering.
RQD is the Rock Quality Designation measuring the fracturing degree. Jn is the joint set
number accounting for the number of joint sets. Jr is the joint roughness number
accounting for the joint surface roughness. Ja is the joint alteration number indicating the
degree of weathering, alteration and filling. Jw is the joint water reduction factor
accounting for the problem from groundwater pressure, and SRF is the stress reduction
factor indicating the influence of in situ stress.
Q value is considered as a function of only three parameters which are crude measures of:
(a)
Block size:
(b)
(c)
Active stress
RQD / Jn
Jr / Ja
Jw / SRF
Parameters and rating of the Q system is given in Table 6.3.1a. The classification system
gives a Q value which indicates the rock mass quality, shown in Table 6.3.1b.
Q value is applied to estimate the support measure for a tunnel of a given dimension and
usage, as shown in Figure 6.3.1a. Equivalent dimension is used in the figure and ESR is
given in Table 6.3.1c.
Table 6.3.1c Excavation Support Ratio (ESR) for various tunnel categories
(a) A granite rock mass containing 3 joint sets, average RQD is 88%, average joint
spacing is 0.24 m, joint surfaces are generally stepped and rough, tightly closed and
unweathered with occasional stains observed, the excavation surface is wet but not
dripping, average rock material uniaxial compressive strength is 160 MPa, the tunnel is
excavated to 150 m below the ground where no abnormal high in situ stress is expected.
Selection of Q parameters and calculation of Q-value are shown below:
The calculated Q-value is 29, and the rock mass is classified as good quality.
(b) A sandstone rock mass, fractured by 2 joint sets plus random fractures, average RQD
is 70%, average joint spacing is 0.11 m, joint surfaces are slightly rough, highly
weathered with stains and weathered surface but no clay found on surface, joints are
generally in contact with apertures generally less than 1 mm, average rock material
uniaxial compressive strength is 85 MPa, the tunnel is to be excavated at 80 m below
ground level and the groundwater table is 10 m below the ground surface.
Selection of Q parameters and calculation of Q-value are shown below:
The calculated Q-value is 4.4, and the rock mass is classified as fair quality.
(c) A highly fractured siltstone rock mass, found to have 2 joint sets and many random
fractures, average RQD is 41%, joints appears continuous observed in tunnel, joint
surfaces are slickensided and undulating, and are highly weathered, joint are separated by
about 3-5 mm, filled with clay, average rock material uniaxial compressive strength is 65
The calculated Q-value is 0.85, and the rock mass is classified as very poor quality.
Again, judgement is frequently needed to interpret the descriptions given in the
geological and hydrogeological investigation reports and in the borehole logs to match
the descriptive terms in the Q table. Closest match and approximation is to be used to
determine each of the Q parameter rating.
6.3.3 Extension of Q-System QTBM for Mechanised Tunnelling
Q-system was extended to a new QTBM system for predicting penetration rate (PR) and
advance rate (AR) for tunnelling using tunnel boring machine (TBM) in 1999 (Barton
1999). The method is based on the Q-system and average cutter force in relations to the
appropriate rock mass strength. Orientation of joint structure is accounted for, together
with the rock material strength. The abrasive or nonabrasive nature of the rock is
incorporated via the cutter life index (CLI). Rock stress level is also considered. The new
parameter QTBM is to estimate TBM performance during tunnelling.
The components of the QTBM are as follows:
where RQD0= RQD (%) measured in the tunnelling direction, Jn, Jr, Ja, Jw, and SRF
ratings are the same parameters in the original Q-system, m is the rock mass strength
(MPa) estimated from a complicated equation including the Q-value measured in the
tunnel direction, F is the average cutter load (ton) through the same zone, CLI is the
cutter life index, q is the quartz content (%) in rock mineralogy, and is the induced
biaxial stress (MPa) on tunnel face in the same zone. The constants 20 in the m term, 20
in the CLI term and 5 in the term are normalising constants.
The experiences on the application of QTBM vary between projects. Example of using the
QTBM is given in Figure 6.2.3a. It appears that the correlation between QTBM and
Advanced Rate is not consistent and varies with a large margin.
Rock mass classification systems, including RMR and Q, when developed, were intended
to classify rock mass quality to arrive a suitable support design. The systems were not
meant for the design of excavation methodology. In general, with increasing of rock mass
quality, penetration decreases. However, very poor rock mass does not facilitate
penetration. Parameters in those rock mass classifications were related to support design,
they were not selected to describe rock mass boreability. Although QTBM has added a
number of parameters to reflect cutting force and wear, the emphasis is obviously not be
justified. The original rock mass classifications are independent of TBM characteristics,
while penetration however is a result of interaction between rock mass properties and
TBM machine parameters (Zhao 2006).
6.4 Geological Strength Index GSI System and Others
6.4.1 GSI System
The Geological Strength Index (GSI) was introduced by Hoek in 1994. It was aimed to
estimate the reduction in rock mass strength for different geological conditions. This
system is presented in Tables 6.4.1a. The system gives a GSI value estimated from rock
mass structure and rock discontinuity surface condition. The direct application of GSI
value is to estimate the parameters in the Hoek-Brown strength criterion for rock masses.
Although it was not aimed at to be a rock mass classification, the GSI value does in fact
reflect the rock mass quality.
GSI system has been modified and updated in the recent years, mainly to cover more
complex geological features, such as sheared zones. The use of GSI requires careful
examination and understanding of engineering geological features of the rock mass. Rock
mass structure given in the chart is general description and there may be many cases that
does not directly match the description.
In general, the following equivalent between rock mass structural descriptions of blocky
to the block size description is suggested below. However, simple block size description
does not include geological structural features, such as folds and shear zones.
GSI does not include the parameter of rock strength, as GSI was initiated to be a tool to
estimate rock mass strength with the Hoek-Brown strength criterion. In the Hoek-Brown
criterion, rock material uniaxial strength is used as a base parameter to estimate rock
mass uniaxial strength as well as triaxial strengths of rock material and rock mass.
The use of GSI to estimate rock mass strength is given later in the section dealing with
rock mass strength.
GSI system did not suggest a direct correlation between rock mass quality and GSI value.
However, it is suggested that GSI can be related to RMR (GSI = RMR 5), for
reasonable good quality rock mass. An approximate classification of rock mass quality
and GSI is suggested in Table 6.4.1b, based on the correlation between RMR and GSI
Table 6.4.1a Geological Strength Index (GSI)
It is advised that while selecting an average value of GSI, it is perhaps better to select a
range of the GSI value for that rock mass.
Summary of RMR, Q and GSI from the above three examples are given below,
Several other correlation equations have been proposed, one of which is:
RMR = 13.5 logQ +43.
They are all in the general form of semi-log equation.
For generally competent rock masses with GSI > 25, the value of GSI can be related to
Rock Mass Rating RMR value as,
GSI = RMR 5
RMR is the basic RMR value by setting the Groundwater rating at 15 (dry), and without
adjustment for joint orientation. For very poor quality rock masses, the value of RMR is
very difficult to estimate and the correlation between RMR and GSI is no longer reliable.
Consequently, RMR classification should not be used for estimating the GSI values for
poor quality rock masses.
It should be noted that each classification uses a set of parameters that are different from
other classifications. For that reason, estimate the value of one classification from another
is not advisable.
6.4.3 Other Classification Systems
Several other classification approaches have been proposed. In section, a few will be
briefly discussed due to their unique application in certain aspect.
(a) Rock Mass Number, N
Rock Mass Number (N) is the rock mass quality Q value when SRF is set at 1 (i.e.,
normal condition, stress reduction is not considered). N can be computed as,
N = (RQD/Jn) (Jr/Ja) (Jw)
This system is used because the difficult in obtaining SRF in the Q-system. It has been
noticed that SRF in the Q-system is not sensitive in rock engineering design. the value
assign to SRF cover too great range. For example, SRF = 1 for c/1 = 10~200, i.e., for a
rock with c = 50 MPa, in situ stresses of 0.25 to 5 MPa yield the same SRF value. The
importance of in situ stress on the stability of underground excavation is insufficiently
represented in the Q-system.
Another application of N number is to the rock squeezing condition. Squeezing has been
noted in the Q-system but is not sufficiently dealt, due to the special behaviour and nature
of the squeezing ground. The use of N in squeezing rock mass classification will be
presented in a later section in this chapter.
or
Figure 6.5.2a Applicability of Hoek-Brown criterion for rock material and rock masses.
The equation above is the generalised Hoek-Brown criterion of rock mass. The HoekBrown criterion for intact rock material is a special form of the generalised equation
when s =1 and a = 0.5. For intact rock, mb becomes mi, i.e.,
Table 6.5.2a Relation between rock mass quality and Hoek.Brown constants
Development and application of the Hoek-Brown criterion lead to better definition of the
parameters mb and s. Table 6.5.2b presents the latest definition of mi values for the intact
rock materials, according to different rocks.
The values in the above table are suggestive. As seen from the table, variation of mi value
for each rock can be as great as 18. If triaxial tests have been conducted, the value of mi
should be calculated from the test results.
Once the Geological Strength Index has been estimated, the parameters which describe
the rock mass strength characteristics, are calculated as follows,
For GSI > 25, i.e. rock masses of good to reasonable quality, the original Hoek-Brown
criterion is applicable with,
and
a = 0.5
For GSI < 25, i.e. rock masses of very poor quality, s = 0, and a in the Hoek-Brown
criterion is no longer equal to 0.5. Value of a can be estimated from GSI by the following
equation,
Uniaxial compressive strength of the rock mass is the value of 1 when 3 is zero. From
the Hoek-Brown criterion, when 3 = 0, it gives the uniaxial compressive strength as,
Clearly, for rock masses of very poor quality, the uniaxial compressive strength of the
rock masses equal to zero.
Example of using the Hoek-Brown equation to determine rock mass strength is given
below by the same three examples used for determining the rock mass qualities RMR, Q
and GSI. Calculation in the example uses average values only, although in practice, range
of values should be used to give upper and lower bounds.
(a) Granite rock mass, with material uniaxial strength 150 MPa, mean GSI 75.
From the mi table, mi given for granite is approximately 32.
(b) Sandstone rock mass, with material uniaxial strength 85 MPa, mean GSI 40.
From the mi table, mi given for sandstone is approximately 17.
(c) Siltstone rock mass, with material uniaxial strength 65 MPa, mean GSI 20.
From the mi table, mi given for siltstone is approximately 7.
The above Em-RMR equations are generally for competent rock mass with RMR greater
than 20. For poor rocks, the equation below has been proposed,
For rock mass with ci < 100 MPa, the equation is obtained by substituting GSI for RMR
in the original Em-RMR equation. The Em-GSI equation indicates that modulus Em is
reduced progressively as the value of ci falls below 100. This reduction is based upon the
reasoning that the deformation of better quality rock masses is controlled by the
discontinuities while, for poorer quality rock masses, the deformation of the intact rock
pieces contributes to the overall deformation process.
6.5.4 Relationship between Hoek-Brown and Mohr-Coulomb Criteria
There is no direct correlation between the linear Mohr-Coulomb Criterion and the
nonlinear Hoek-Brown Criterion defined by the two equations. Often, the input for a
design software or numerical modelling required for rock masses are in terms of MohrCoulomb parameters c and . Attempts have been made by Hoek and Brown to estimate
c and from the Hoek-Brown equation. At the same time, they caution the user that is a
major problem to obtain c and from the Hoek-Brown equation.
If a series tests have been conducted on the rock mass, obviously test results should be
used directly to obtain parameters c and , using for example, plotting the Mohr circle
and fitting with the best strength envelope, where c and can be readily calculated
Common problems were there is no or limited test results on rock mass. The suggested
approach to obtain rock mass Mohr-Coulomb parameters c and is by generate a series
13 results by the Hoek-Brown equation. Then plotting the Mohr circle using the
generated 13 data and fitting with the best linear envelope, where c and can be
readily calculated. Care must be taken when deciding the best linear line in fitting the
Mohr circles. It depends on the stress region of the engineering application. For a tunnel
problem, if the depth and stress range is known, the line should be fitting best for the
Mohr circles in that stress region. For a slope problem, the stress region may vary from 0
to some level of stress, and the fitting a line at low stress level (where the curvature is the
greatest for the non-linear Hoek-Brown strength envelope) is very sensitive to the stress
level. Also, pore pressure needs to be considered as this affects the effective stress level.
6.6 Squeezing Behaviour of Rock Mass
6.6.1 Squeezing Phenomenon
ISRM (Barla 1995) defines that squeezing of rock is the time dependent large
deformation, which occurs around a tunnel and other underground openings, and is
essentially associated with creep caused by exceeding shear strength. Deformation may
terminate during construction or may continue over a long time period. The degree of
squeezing often is classified to mild, moderate and high, by the conditions below,
(i)
(ii)
(iii)
Mild squeezing:
closure
Moderate squeezing: closure
High squeezing:
closure
Where H is the tunnel depth or overburden in metres and B is the tunnel span or
diameter in metres.
Figure 6.6.2b
Squeezing ground condition is presented by: H > (275 N1/3) B0.1.
It is also possible to characterise the degree of squeezing base on the same figure. Mild
squeezing occurs when (275 N1/3) B0.1 < H < (450 N1/3) B0.1 Moderate squeezing occurs
when (450 N1/3) B0.1 < H < (630 N1/3) B0.1 High squeezing occurs when H > (630 N1/3)
B0.1.
Theoretically, squeezing conditions around a tunnel opening can occur when,
> Strength = cm + Px A/2
where is the tangential stress at the tunnel opening, cm is the uniaxial compressive
strength of the rock mass, Px is the in situ stress in the tunnel axis direction, and A is a
rock parameter proportion to friction. Squeezing may not occur in hard rocks with high
values of parameter A.
The above equation can be written in the form below for a circular tunnel under
hydrostatic in situ stress field, with overburden stress P, P=H,
ISRM classifies squeezing rock mass and ground condition in Table 6.6.2a.
Table 6.6.2a Suggested predictions of squeezing conditions
The prediction equations for squeezing require the measurements of in situ stress and
rock mass strength. Overburden stress can be estimated from the overburden depth and
rock unit weight. Uniaxial compressive strength of the rock mass can be estimated from
the Hoek-Brown criterion with rock mass quality assessment (e.g., GSI).
Studies carried out by Hoek (2000) indicate that squeezing can in fact start at rock mass
strength / in situ stress ratio of 0.3. A prediction curve was proposed by Hoek and
reproduced in Figure 6.6.2c, relating tunnel closure to rock mass strength/in situ stress
ratio. The prediction curve was compared with tunnel squeezing case histories.
Figure 6.6.2c Squeezing prediction curve and comparison with case histories.
CHAPTER 3
In situ Stress
Depth, Z (m)
In situ stress measurements have been compiled and presented in Figure 2.5.2a. Change
of vertical stress with depth is scattered about the tend line, v = 0.027 z, which
represents the overburden pressure.
Figure 3.2a In situ stress measurements at various (Brady and Brown 157).
The horizontal stresses are presented in the figure by a ratio of average horizontal stress
to vertical stress, k. It is very common in rock mechanics that one of the horizontal
stresses represent the major principal stress, while the vertical stress or the other
horizontal stress represents the minor principal stress.While vertical stress can be
estimated with reasonable reliability. The horizontal stress should not be estimated. For
projects that maximum stress direction and magnitude may be important, in situ stress
measurements is required.
In situ stress measurement
Instrumentation
For the development of information for the design of underground openings and their
supporting structures, four principal classes of measurements are of interest. These are:
1.
Measurement of strains in the ground surrounding an opening.
2.
Measurement of convergence movements of rock surfaces.
3.
Measurements of pressures on mine void filling material.
4.
Measurement of loads on structures for supporting ground and stresses in
the supporting structures.
The following stresses are important in influencing the behaviour of rock around
subsurface openings:
1.
The magnitude and directions of natural (pre-existing, inherent) stresses in
rock.
2.
The magnitude and directions of induced (concentrated or re-aligned)
stresses. These are induced by creation of an opening.
The physical characteristics which may be measured are:
Following physical features of a rock are modified when it is subjected to the stresses
induced by creation of an opening:
1.
Closure of roof and floor or closure of sides
2.
Tangential deformation of exposed surfaces
3.
Changes in velocity of sound waves passed through the ground
4.
Changes in the modulus of elasticity of the ground
5.
Nature of sub-audible vibrations originating in rock
6.
Deformation of boreholes
7.
Deformation and restoration of slots in the rock surfaces
Measurements of strains and stresses include the following:
1.
Measuring strains in rock at exposed rock surface
2.
Measuring strains in rock remote from a free surface
3.
Measuring convergence of roof and floor( or HW and F
4.
Measuring absolute movements of roof and floor ( or HW and FW)
5.
Measuring pressures on mine filling materials
6.
Measuring ground pressures in supporting structures
7.
Measuring stresses in supporting structures
In the Strain relief method strain gauges are fixed to the opening walls at selected
locations. A groove is then cut around the location of the strain gauge, freeing the rock
surface to expand. The amount of the expansion is a function of the initial stress within
the rock and of the modulus of elasticity of the rock.
In the Strain restoration method strain gauges are fixed to the rock surface and readings
are taken. A deep slot is then cut into the rock above the gauges and the rock in allowed
to expand. A flat jack is cemented into the slot and expanded by application of hydraulic
pressure until the strain gauges indicate that the rock has been restored to the state of
strain existing prior to cutting of the slot. The pressure in the jack is then assumed to be
equal to the original pressure in the rock normal to the slot surface.
Strain relief method
Method 1:
The strain gauge is cemented on the surface of the wall rock and a standard diamond drill
is used to cut an annular slot in the rock around the gauges, thus allowing the portion of
rock to expand.
The surface on which the gauges are mounted required careful selection and preparation.
The surface is ground smooth with a hand grinding wheel. The rock surface is thoroughly
dried before the gauges are cemented to the rock and dried with a hear lamp after gauges
are cemented in place. Strain gauges are sealed with waterproof mastic to protect them
against moisture.
Method 2
Measurement of Diametral Borehole Deformation for Stress Determination
Another method for determining rock stresses is the accurate measurement of borehole
horizontal and vertical axes to determine the relative deformation produced in the crosssection of the borehole by stresses in the rock.
Maximum deformation is caused to the vertical axis of a horizontal borehole due to the
vertical stress (assuming the horizontal stress is in effective).
When the vertical and horizontal stress in the rock is equal there will be no differential
deformation along the two axes of the borehole.
Figure
The deformation of the hole in a uni-axial stress and in plan stress is given by
dS
(1)
(1 + 2 cos 2 )
E
=
deformation of hole (change in length of a diameter)
=
radius of hole
=
diameter of hole = 2a
=
perpendicularly applied stress (for a uniaxial stress field
T = 0)
=
angle (counterclockwise) from S to r
=
modulus of elasticity
U=
Where
U
a
d
S, T
U =
dS
E
(2)
(3)
And the minus sign signifies that, as the stress increases, the hole (at the point) is
expanding.
The deformation versus the angle for one quadrant of the hole ( = 00 to = 900) is
plotted in the figure below
5
4
3
2
1
0
-1
15
30
40
50
60
70
80
90
Angle ( in degrees)
Bi-axial stress
For bi-axial stress field and plane stress, the deformation is related to the biaxial stresses
S and T by
U=
d
[( S + T ) + 2( S T ) cos 2 ]
E
(4)
U=
d
(3S T )
E
(5)
U=
d
(3T S )
E
(6)
When = 00,
When = 900,
If the deformation is measured across three different diameters and the modulus of
elasticity and Poissons ratio are known, the magnitude and direction of the stresses S and
T can be computed. The equations for these conditions will be
U2
2
U1
2
U3
2
600
600
600
d/2
U1
2
U3
2
U2
2
In this investigation rock stress was determined by measuring the deformation (change in
diameter) of a borehole before and after the hole was stress-relieved. . It has been shown
that the borehole deformation in a biaxial stress field is related to the magnitude and
direction of the applied stresses in the plane perpendicular to the axis of the hole by the
following equations:
S +T =
E
(U 1 + U 2 + U 3 )
3d
S T =
1
2E
[(U 1 U 2 ) 2 + (U 2 U 3 ) 2 + (U 3 U 1 ) 2 ] 2
6d
tan 2 =
3 (U 3 U 2 )
2U 1 U 2 U 3
Where
U1, U2, U3
a
d
S, T
=
=
=
1
E
=
=
Flat jack method does not require any knowledge of the elastic properties of the rock and
hence it is considered to be a true stress measuring method. Because of the difficulty in
cutting deep flatjack slots the method is restricted to near-surface measurements.
Figure
Figure
The relative amount of closure between roof and floor, or between HW and FW, is an
indication of the magnitude of the pressure on the rock above the opening. The amount of
strain depends upon several factors, such as the amount of ground which is open, the
amount and quality of filling material, characteristics of the country rock, etc.
Measurement of convergence may be useful in predicting the imminence of failure of
roof or floor rock.
Convergence Measurement
Monitoring technology and techniques to provide early warning of hazardous roof fall
conditions have been a longstanding goal for safety engineers and practitioners working
in the mining sector. Roof-to-floor convergence monitors are perhaps the oldest and most
common method of measuring roof deflection as a means to detect roof rock instabilities.
This type of instrument consist of an anchor device mounted on the mine roof and floor
and connected by a ridged bar or a metal wire. The relative movement of the anchor
points is measured with either mechanical or electromechanical devices.
Extensometers are used to determine the magnitude, position and rate of movement of
rock surrounding an excavation. Extensometers are installed into boreholes. The essential
features of an extensometer installation are a stable reference anchor position at the far
end of the borehole, a borehole mouth anchor at the tunnel wall and a means of indicating
or measuring change in distance between them.
The simplest form of extensometer makes use of a stainless steel spring reference anchor
with a tube indicator attached to it by stainless steel wire and visible at the hole mouth.
Movement is indicated by coloured reflective bands on the indicator, which are
progressively covered as movement develops. In mining a simple extensometer such as
this is known as a telltale because it gives a visual indication of roof movement.
Telltale extensometer is a very simple and general design to measure deformation in the
roof of coal mines at 4 or 6 different points up to 6 meter height. Model SME 248- has
four/six spider type strong leaf spring anchors (Above figure). These anchors will be installed
in a 42 mm hole at four different heights with the help of installation tool. The steel wire
will be attached with each anchor before pushing of anchors. The steel wire will be
brought to the down surface of roof. Each wire will be attached with steel scale of
different colour for identification of the anchor height. After installation of all the anchors
the reference head will be installed leaving all the scales hanging freely. When the
bed/roof separation is taking place the reading will change in the respective scale.
Here roof movement is converted to rotation of a pointer around a dial. This has the
advantage that small roof movements can be easily read even when the tunnel height
approaches 5m (Figure above). The most common form of telltale is the dual-height
version. This was developed and patented by British Coal in 1992 as a safety device for
coal mine tunnels where rockbolts were being introduced as support. The device is
installed at the same time as the rockbolts into a 5m long roof hole of 27mm-35mm
diameter.
Loads in support systems and linings
The load distribution in rockbolts and cablebolts is an important support design parameter,
but one which is difficult to measure. British Coal began producing strain gauged bolts
for this purpose in 1990. To date RMT have manufactured around 4000 strain gauged
rockbolts, supplied to mine and tunnel projects in seven countries. They typically have
pairs of diametrically opposed resistance strain gauges, allowing calculation and display
of mean and bending strains. The technology has recently been extended to include
flexible bolts, which are encapsulated multi-wire steel strands. Instruments installed in
two coal mine shaft linings were found to be still returning consistent readings twenty
five years later.
Support system and lining condition
Acoustic Energy Meter (AEM) is a simple nondestructive testing device for checking
the looseness of exposed rock surfaces in tunnels, and for the detection of voids behind
tunnel linings. The AEM is a hand held device comprising an integral geophone and
readout unit. It measures the reverberation decay rate of a surface when struck with a
hammer. Examples of recent civil engineering use of the instrument include a steel lined
water tunnel in the UK where voids behind the 45mm thick lining were detected, an
underground wastewater plant in Finland and the Joskin tunnel in the UK, where areas of
detached shotcrete lining were delineated.
Core discing
Core discing appears to be closely associated with the formation of borehole breakouts.
In brittle rocks it has been observed that discing and breakouts usually occur over the
corresponding lengths of core and borehole. The thinner are the discs the higher is the
stress level. However, the formation of discs depends significantly on the properties of
the rock and the magnitude of the stress in the borehole axial direction (Stacey, 1982). In
addition, the type and technique of drilling, including the drill thrust, can significantly
affect the occurrence of discing (Kutter, 1991). It is therefore unlikely that observation
and measurements of discing will be successful in quantifying the magnitudes of in situ
stresses. Nevertheless, the shape and symmetry of the discs can give a good
indication of in situ stress orientations (Dyke, 1989). If the discs are symmetrical about
the core axis, as shown in Figure 8, then it is probable that the hole has been drilled
approximately along the orientation of one of the principal stresses.
A measure of the inclination of a principal stress to the borehole axis can be gauged from
the relative asymmetry of the disc. For unequal stresses normal to the core axis, the core
circumference will peak and trough as shown in Figure 9. The direction defined by a line
drawn between the peaks of the disc surfaces facing in the original drilling direction
indicates the orientation of the minor secondary principal stress.
If the discs are uniform in thickness as shown in Figure 8, the two secondary principal
stresses normal to the core axis will be approximately equal. Lack of symmetry of the
discing, as shown in Figure 10, indicates that there is a shear stress acting the borehole
axis that the axis is not in a principal stress direction.
Disc peaks
Drilling direction
Figure 9 Core discs resulting with unequal stresses normal to the core axis
Figure 10
Fig 15
In non-porous rocks the minimum principal stress is given by the shut-in pressure. If a
borehole is drilled in the vertical direction, and it is assumed that this is a principal stress
direction, and that the minimum principal stress is horizontal, the major horizontal
principal stress SH can be determined from the following equation:
Testing Procedure
A single or double straddle packers system is set (inflated) at the required depth so as to
isolate a test cavity. A liquid is injected into the test cavity and its pressure raised while
monitoring the quantity injected. A sudden surge of fluid accompanied by sudden drop in
pressure indicates that hydrofracture of rock formation (fracture inititation or break
down) has occurred.
The hydrofracture continues to propagate away from the hole as fluid is injected, and is
oriented normal to the least principal stress direction (Fig.17)
Once the hydro-fracturing has traveled about 10 drillhole diameters, injection is stopped
by shutting a valve, and the instantaneous shut-in pressure is measured. The process is
repeated several times to ensure a consistent measurement of this pressure, which is equal
to the minimum principal stress.
Figure
17
Fracture propagation
SV = .Z
S h = PSi
S H = T + 3.S h PC
T = PC PR
Where
T is the tensile strength of the rock
Sh and SV are the minor and major horizontal principal stress
Pc is the breakdown pressure at fracture generation
PR is the pressure necessary to re-open the induced fracture (T=0)
PSi is the shut-in pressure to merely keep the fracture open against
the normal stress acting in the fracture plane
Z is the depth of the over burden and
is the unit weight of the rock.
Interpretation of hydrofracture records can require expert input if the shut-in pressure is
not distinct. Interpretation of test results is not a straightforward activity, and the
experience of the interpreter has some effect on the in situ stress values ultimately
determined. Different interpreters may derive somewhat different results from the same
set of field data. In porous rocks in particular, interpretation of hydraulic fracturing tests
may be very difficult and, owing to the pore pressure, definition of the major principal
stress may be doubtful. In sedimentary rocks, beds with a thickness of at least 2 to 3m are
necessary for satisfactory testing to be carried out.
Hydraulic fracturing stress measurements have been carried out at depths in the
6km to 9km range (Amadei and Stephannson, 1997) and therefore the method is, in
theory, suitable for the high stress conditions encountered in deep mines. At such high
pressures, valves, tubing and packers must be of special design to be able to perform as
required. In boreholes in which spalling or breakouts are occurring, there may be a risk of
not being able to insert (or recover) the packers, and it may also not be possible to seal
off the borehole satisfactorily. Borehole breakouts due to high stress levels may also
interfere with the location of the fracture on the borehole wall, and this may lead to
inaccuracy in determining stress directions.
Table 1
Test
No
Depth
(m)
BreakDown
Pressure-PC
MPa
Underground Borehole Sub-level 40
1
23.5
17.2
2
21.5
28.0
3
18.5
18.2
4
12.5
18.4
5
9.5
32.4
6
4.15
45.5
7
1.95
40.6
Shut-in
Pressure-PR
MPa
T=PC-PR
MPa
PSi
MPa
15.0
19.0
12.0
15.0
27.2
42.5
33.0
2.2
9.0
6.2
3.4
5.2
3.0
7.6
11.5
13.0
10.0
12.0
20.5
33.5
32.0
It is clear from the above that the application of the hydraulic fracturing method is
theoretically possible, but would be expensive, and demanding on services. Perhaps the
most severe restriction, however, is the requirement that the borehole be drilled in the
direction of one of the principal stresses. In mining situations this is usually not known
and is one of the in situ stress parameters to be determined.
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