An introduction to

Rock Mechanics
CONTENTS:
•Stress
•Strain
•Constitutive relations
•Rock index properties
•Material behaviour under stress
•Rock mechanics laboratory tests
•Failure criteria
•Ground stresses
•In situ stress measurement methods
•Discontinuities
•Rock mass behaviour
•Other parameters affecting rock
behaviour
•Some applications of rock mechanics
- slope stability analysis
- underground excavations
2
(STRESS)

Ten points about stress

Point 1. The need to study stress

a. Understanding a pre-existing state of
stress in the earth
b. Following an engineering activity, stress
state can change significantly
c. Stress is a TENSOR. Tensor is a
complicated thing to understand!

3
Point 2. Tensorial property
•Scalar properties have only magnitude
(e.g. temperature)
•Vector properties have magnitude &
direction (e.g. force)
•Tensorial properties have magnitude,
direction & a plane acting on (e.g. stress,
strain, permeability)
Mathematically speaking, tensor is a matrix,
which follows special transfer rules

Point 3. Stress has components

Similar to resolving force into its
components, in order to determine stress
components, “transfer rules” are used

4
 Lets consider a cube of material with its
faces parallel to x,y & z axes, respectively

Shear component
Force is applied at an Resolving into normal resolved into two
arbitrary direction & shear components Cartesian components
N N
F SX
S
SY

y x

After resolving force into Cartesian

components (not before that), stress can be
calculates as force divided by the area (F/A)

5
Point 4. Stress is a point property
In fact, strictly speaking, stress if defined
when the area tends towards zero

δF
stress = lim
δA→0 δA

So, an infinitesimal cube is taken into

consideration for stress studies

6
Point 5. Stress components can be
expressed as a matrix
Each component on infinitesimal cube has a
name
σz

τ zy τ zx y x
τ xzτ
τ yz xy
z
τ yx
σx
σy

& is shown as a matrix like this

⎡σx τ xy τ xz ⎤
⎢ ⎥
Stress matrix = σij =
⎢τ yx σ y τ yz ⎥
⎢τ zx τ zy σz ⎥
⎣ ⎦

7
Point 6. Stress tensor is symmetric
Considering no momentum for infinitesimal
cube, it can be found that
τzx =τxz , τyz =τzy , τxy =τyx
i.e. the stress tensor is symmetric

⎡σ x τ xy τ xz ⎤
⎢ ⎥
⎢τ yx σ y τ yz ⎥ Symmetry over
major diagonal
⎢τ zx τ zy σ z ⎥
⎣ ⎦
Point 7. Stress state at each point has
six independent components

⎡σx τ xy τ xz ⎤
Three normal components ⎢ σ τ ⎥
Three shear components ⎢ mm
s y y yz ⎥

⎢⎣ etry σz ⎥⎦

Note: A scalar has one component

A vector has two components 8
A tensor has six components
Point 9. There is a specific direction in
the space along which the shear
stresses are vanished & only normal
stresses exist: these stresses called
“principal Stresses”
σ1

σ2 σ3

⎡σxx τxy τxz⎤ ⎡σ1 0 0 ⎤

⎢ ⎥ ⎢0 σ 0⎥
⎢τyx σyy τyz⎥ ⎢ 2 ⎥
⎢τzx τzy σzz⎥ ⎢⎣ 0 0 σ3⎥⎦
⎣ ⎦

σ1 > σ2 > σ3
Here three normal stresses & three rotation
9
angles come into play
Point 9. All excavation boundaries are
principal stress planes

Before drilling After drilling

σ3 = 0
τ =0
air
σ1
rock

On a free surface, shear stress is zero

(Newton’s third law), & also there is no
reaction force. So, the drilling boundary is a
principal stress plane

Point 10. When stress is estimated, six

independent measurement is required, as
stress has six independent components.
Otherwise some assumptions are to be
made 10
Names for different stress states

σ1
⎡15.2 0 0⎤
⎢ 0 ⎥
⎢ 0 0 ⎥ Uniaxial
⎢⎣ 0 0 0⎥⎦
⎡8.3 0 0⎤ σ1
⎢ 0 8.3 0⎥ Biaxial
⎢ ⎥ σ1
⎢⎣ 0 0 0⎥⎦
σ3
⎡25.3 0 0⎤
σ1
⎢ 0 25. 3 0 ⎥ Triaxial
⎢ ⎥
⎢⎣ 0 0 3.9⎥⎦ σ 1
σ3
⎡18.5 0 0⎤ σ2
⎢ 0 9. 8 0 ⎥ Polyaxial
⎢ ⎥ σ1
⎢⎣ 0 0 3.9⎥⎦
σ1
⎡45.2 0 0 ⎤
⎢ 0 45 .2 0 ⎥ σ1
⎢ ⎥ Hydrostatic
⎢⎣ 0 0 45.2⎥⎦ σ 1 11
Summation & averaging stresses
Consider these two stress tensors

⎡σ 1A 0 ⎤ ⎡σ 1B 0 ⎤
⎢ A⎥ ⎢ B⎥
⎣ 0 σ2 ⎦ ⎣ 0 σ2 ⎦

σ A σ 2B
1 σ 2A
σ1B
σ 1B
σ 2A σ 1A σ 2B
Before summation, the tensors need to be
transferred to a common Cartesian axes
σ yA σ yB
τ A
yx τ yxB
σ A
x
σ xA σ xB σ xB
τ A
xy τ xyB
σ yA σ yB
⎡(σ xA + σ xB ) (τ xyA + τ xyB ) ⎤
⎢ A B ⎥
12

⎢⎣ (τ yx + τ yx ) (σ y + σ y ) ⎥⎦
B A
Basic practices on 2D stress states
Two practices are common in rock mechanics:
•Calculate principal stresses
•Calculate stresses at a given direction
“Mohr Circle” is a useful tool for this purpose
σy
σ2 σm σl
σ1 τ yx
σx τ
ml τ lm
τ xy

Rotation α Rotation β

Rotation direction in MC & real life is the same

−τ σl ,τ lm
σ y ,τ yx
2β
σ2 2α σ1 σ
σ x ,τ xy
+τ σ m ,τ ml
13
 3D principal stresses

Principal stresses are those which

satisfy following determinant expression
σx −σp τxy τxz
τyx σy −σp τyz =0
τzx τzy σz −σp
which leads to
σ 3p − I1σ p2 + I 2σ p − I 3 = 0
where
I1 = σ x + σ y + σ z
I 2 = σ xσ y + σ yσ z + σ xσ z − τ xy2 − τ yz2 − τ zx2
I 3 = σ xσ yσ z + 2τ xyτ yzτ zx − σ xτ zy2 − σ yτ zx2 − σ zτ xy2
I1, I2 & I3 are called first, second & third
“stress invariant”, respectively. These
invariants are similar for any stress state, for
example principal stresses
I1 = σ 1 + σ 2 + σ 3
I 2 = σ 1σ 2 + σ 2σ 3 + σ 1σ 3 14

I 3 = σ 1σ 2σ 3
Principal stresses can also be calculated by
these formulae (in a spreadsheet)

J1 = I12 − 3I 2
J 2 = I13 − 4.5I1 I 2 + 13.5 I 3
J 3 = J13 − J 22
I 4 = J1
J3 π
θ = tan ( )
1
3
−1
0 ≤θ ≤
J2 3

σ 1 = 13 [ I1 + 2 I 4 cos θ ]
σ 2 = 13 [ I1 + 2 I 4 cos(θ − 23π )]
σ 3 = 13 [ I1 + 2 I 4 cos(θ − 43π )]

15
Stress tensor transformation
Generally, we know the stresses
corresponding to global coordinate system &
stress state corresponding to a local
coordinate system is to be determined. For
example, here, stresses applied on a sample
in xy axes is known, & we want to determine
stress along the crack plane (x’y’ axes)
y σy
τ yx
x
σ y′
y′ τ yx′ τ yx′
x′
σ y′
τ yx
σy

To do this, stress z′ z
transformations are
used. A simple situation
is considered first, θ y′
x θ
where z & z’ axes are x′ y
16
coincide
 ⎡σ x τ yx 0 ⎤
In matrix form, we have ⎢τ σ 0 ⎥
global stress matrix as ⎢ xy y ⎥
⎢⎣ 0 0 σ z ⎥⎦

⎡σ x′ τ yx′ 0 ⎤
& want to determine local ⎢τ ⎥
⎢ xy′ σ y′ 0 ⎥
stress matrix as
⎢⎣ 0 0 σ z′ ⎥⎦

Writing static equilibrium relations, finally we

have

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

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

17
 Example:

10
y y′ y
10
10
20 Rotation to x′
20
10 30° x
10
10 θ = 30° : sin θ = 0.500
x
cos θ = 0.866

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

= 26.16 Mpa
σ y′ = 20(0.500) 2 + 10(0.866) 2 − 2(10)(0.5)(0.866)
= 3.84 Mpa
τ xy′ = 10(0.866 2 − 0.500 2 ) − (20 − 10)(0.5)(0.8660
= 0.67 Mpa

Note that:

(σ x + σ y ) = (σ x′ + σ y′ ) 18
Principal stresses & principal directions

y y′

x′
x TO α

Principal directions are those along which

shear stresses are zero, & only principal
stresses acting on infinitesimal cube act on
these directions. In above figure the objective
is to find angle a, for which τxy’=0

τ xy′ = τ xy (cos 2 α − sin 2 α ) − (σ x − σ y ) cos α sin α = 0

2τ xy
⇒ α = tan (
1 −1
)
2
σ x −σ y

The principal stresses then are

σ 1 , σ 3 = (σ x + σ y )
1
2
+ 1
− 2
(σ x − σ y ) + 4τ
2 2
xy

19
 Example:

Continuing from previous example,

τ xy = 10 , σ x = 20 , σ y = 10
2τ xy 2(10)
→ α = tan (
1 −1
) = tan ( 1 −1
)⇒
2
σ x −σ y 20 − 10
2

α = 31.7°

Principal stresses obtained if assume θ=α

sin θ = 0.526 , cos θ = 0.851

σ x′ = 20(0.851) 2 + 10(0.526) 2 + 2(10)(0.526)(0.851)
= 26.18 Mpa
σ y′ = 20(0.526) 2 + 10(0.851) 2 − 2(10)(0.526)(0.851)
= 3.82 Mpa

σ x′ + σ y′ = 26.18 + 3.82 = 30.00 Mpa

The larger stress is called “max principal

stress”, σ1, whereas the other is called “min
principal stress, σ3 20
 Mohr Circle for Stress
It is a descriptive way of stress tensor
transformation, & is a good way to
remember transformation equations.
If xy axes considered to be coincide with
principal directions, then transformation
equations expressed as
σ x′ = σ 1 cos 2 θ + σ 2 sin 2 θ
σ y′ = σ 1 sin 2 θ + σ 2 cos 2 θ
τ xy′ = −(σ 1 − σ 2 ) cosθ sin θ

σ1 & σ2 are principal stresses & θ is

measured anti-clockwise from principal
direction x to local axis x’. Assuming
φ=2θ =θ+θ ,

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

This is the equation of a circle with centre

(σ1+σ2 )/2 on axis σ in σ−τ space 21
−τ 1
(σ 1 + σ 2 ) + 12 (σ 1 − σ 2 ) cosφ
2

p(σ ′x ,τ ′xy )
r − 12 (σ 1 − σ 2 ) sin φ
1
(σ 1 + σ 2 )
2
φ = 2θ
0 σ
(σ 2 ,0) O (σ 1 ,0)

x is parallel
to σ axis
+τ
r = 12 (σ 1 − σ 2 ) = (τ ′xy ) max
or r= 1
2 (σ x − σ y ) 2 + (2τ xy ) 2
y 1
(σ x + σ y ) = c
2
O
τ xy
σ1 = c + r
x τ max = r
σ2 = c − r
2τ xy
φ + φ = tan ( −1
) 0 < φ < 180°
σ x −σ y
22
rotation is from σx to σ1
Mohr Circle- Important points
Point 1: positive shear stresses are below
(σ,τ) axis
Point 2: rotation in Mohr Circle is as twice as
that of in real life
Point 3: each point on the circle represents
stress state on a plane with specific
orientation. Thus, points crossing σ axis
represent principal planes (as τ =0) &
corresponding σ values are principal stresses
Point 4: points located on opposite sides of a
diagonal represent principal planes (in real
life they are perpendicular)
Point 5: max shear stress is ½(σ1− σ2) &
occurs at φ =900 (i.e. θ =450), & max shear
stress occurs in a plane which makes 450
angle with respect to principal planes

23
Using Mohr Circle- Calculate
principal stresses
1. Draw x,y axes on element with positive
normal & shear stresses, & write (σx,τxy)
& (σy,τyx)
2. Draw σ-τ axes (with the same scale)
parallel to (σx,τxy). Considering that
positive shear stresses are below σ axis,
draw (σx,τxy) in other side of (σx,τxy). Then
draw the diameter connecting two points
& then the corresponding circle
3. Calculate radius of the circle, &
determine centre of circle
1
1
(σ x − σ y ) 2 + ( 2τ x y ) 2 (σ x + σ y )
2 2

4. Calculate principal stresses & max shear

stress as
⎧σ 1 = c + r
⎪
⎨σ 2 = c − r
⎪τ = r
⎩ max

5. Calculate rotation angle from σx to σ1.

24
φ =+ φ = tan −1
( 2τ xy (σ x − σ y ) ) 0 < φ < 180°
 Example:
y 10 σy
10 τ yx
10
stress, τ xy
20 stress,
20 MPa σx σx
10 MPa
τ xy
10
10 τ yx
x
σy
(σ x ,τ x y ) = (20,10)
(σ y ,τ y x ) = (10,10)

1
radius 2 (20 − 10) + (2 ×10) = 11.18 MPa
= 2 2

1
centre = 2 (20 + 10) = 15 MPa
2 × 10
σ 1 = 15 + 11.18 = 26.18 MPa φ = tan −1 = 63.43°
20 − 10
σ 2 = 15 − 11.18 = 3.82 MPa θ = 31.72°
τ max = 11.18 MPa

31.72°
−τ
(σ y ,τ y x ) = (10,10)
x
5

0 (σ , 0) σ σ 1 = 26.18 MPa
2 φ (σ 1 , 0)

(σ x ,τ x y ) = (20,10)
31.72°
+τ σ 2 = 3.82 MPa 25
 Using Mohr Circle- Calculate
stresses on a given plane
Follow steps 1, 2, 3 & 5 from previous
practice, then:
5. Draw an element with respect to xy axes &
tick on it positive values of σ’x, σ’y,τ’xy,τ’yx.
Record direction of rotation from x to x’ & its
magnitude.
6. Tick the rotation on Mohr Circle (rotation is
two times than real life!)
7. The new point is (σ’x, τ’xy). Drawing the
diameter, point (σ’y, τ’yx) is obtained
30°
Example: Stresses on an element rotated 300 anti-
clockwise with respect to the element in previous example:

−τ
(σ y ,τ y x ) = (10,10)
σ ′x = c + r cos(φ − 60)
= 26.16 MPa
(σ ′y ,τ ′yx )
σ ′y = c − r cos(φ − 60)
0 σ
60° (σ ′x ,τ ′xy ) = 3.84 MPa
τ ′xy = r sin(φ − 60)
= 0.67 MPa 26
(σ x ,τ x y ) = ( 20,10)

+τ
 3D transformation of stress matrix
Let us consider that we have 3D stress
components in xyz coordinate system. To
determine stress components in a local lmn
coordinate system, the following matrix
equation is used for transformation

⎡ σ l τ l m τ l n ⎤ ⎡ lx ly l z ⎤ ⎡ σ x τ x y τ x z ⎤ ⎡l x mx nx ⎤
⎢ ⎥ ⎢ ⎥⎢ ⎥
τ
⎢ ml σ m τ mn ⎥ = ⎢ m x my mz ⎥ ⎢τ y x σ y τ y z ⎥ ⎢⎢l y my n y ⎥⎥
⎢τ nl τ nm σ n ⎥ ⎢ nx ny nz ⎥⎦ ⎢⎣τ z x τ z y σ z ⎥⎦ ⎢⎣ l z mz nz ⎥⎦
⎣ ⎦ ⎣

σ l mn = R .σ x y z .R T

R is the rotation matrix & lx is the direction

cosine between x & l axes. The matrix product
leads to

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

τ l m = l x mx σ x + l y m y σ y + l z mz σ z + (l x m y + l y mx )τ x y
+ (l y mz + l z m y )τ y z + (l z mx + l x mz )τ z x
27
Using coordinate system shown here, the
direction cosine & matrix R is written in a
simpler form:
N.(x)

E.(y)

Down (z)

l x = cos α l cos β l ; l y = sin α l sin β l ; l z = sin β l

⎡ lx ly l z ⎤ ⎡ cos α l cos β l sin α l cos β l sin β l ⎤

⎢ ⎥
⎢ mx my mz ⎥ = ⎢⎢cos α m cos β m sin α m cos β m sin β m ⎥⎥
⎢ nx ny nz ⎥⎦ ⎢⎣ cos α n cos β n sin α n cos β n sin β n ⎥⎦
⎣

Similarly, having stress state in lmn system, it

can be transformed into xyz system as below:

⎡ σ x τ x y τ x z ⎤ ⎡l x mx nx ⎤ ⎡ σ l τ l m τ l n ⎤ ⎡ l x ly lz ⎤
⎢ ⎥ ⎢ ⎢ ⎥⎢ ⎥
τ
⎢ yx σ y τ y z ⎥ = ⎢l y my n y ⎥⎥ ⎢τ ml σ m τ mn ⎥ ⎢ mx my mz ⎥
⎢τ z x τ z y σ z ⎥ ⎢⎣ l z mz nz ⎥⎦ ⎢⎣τ nl τ n m σ n ⎥⎦ ⎢⎣ nx ny n z ⎥⎦
⎣ ⎦

28
σ x y z = R T .σ l mn .R
Strain
It is a measure of relative deformation of
points within a body. Like stress, strain is a
tensorial quantity

P P’

Q’
Q
R’
R
O O’

29
Point 1. Normal & shear strains
•Normal strain is a change in longitude

l
before
l − l′ δ l
ε= =
l′ l l
δl after

Contractile strain is assumed positive

(same as compressive stress), whereas
extensile strain is assumed negative

•Shear strain is a change in angle

γ Q Q′

1
ψ
γ = tanψ
P, P′

Here, the shear strain is negative, as

P’Q’>PQ
To be consistent with normal strain, shear
strain is considered as angle ψ, not length
γ (strain is unitless)
30
Point 2. If the strain over the whole body is
similar, it is called homogenous strain
a) Straight lines remain straight
b) Circles are deformed into ellipses
c) Ellipses are deformed into another ellipses

Point 3. Simple forms of homogenous

strain represents a matrix
y

x′, y′ x, y x′ = k x Contraction along

y′ = y one axis
x

x, y
x′ = k1 x Contraction along
x′, y′ y′ = k 2 y two axis

x′ = k x
1
Pure strain 31
y′ = y
k
Point 4. In general, the sequences of strain
occurrence is important
Strain A followed by strain B may not lead o
the same result if strain B followed by A. In a
matrix form:
⎡ x′ ⎤ ⎡ a b ⎤ ⎡ x ⎤
⎢ y′⎥ = ⎢ c d ⎥ ⎢ y ⎥
⎣ ⎦ ⎣ ⎦⎣ ⎦
x′ = ax + b y y′ = cx + d y

⎡k 0⎤ k kγ ⎤
⎡ 1 γ⎤ ⎡
⎢ ⎥
1 ×⎢ =⎢ ⎥
⎢0 ⎥
⎥ ⎣0 1 ⎦ ⎢ 0 1
⎥
⎣ k⎦ ⎣ k ⎦
Pure strain, simple strain, Simple strain following
(stage 2) (stage 1) by a pure strain

0 ⎤ ⎡k
γ⎤
⎡k
⎡1 γ ⎤ ⎢ ⎥
⎢ k⎥
⎢0 1 ⎥ × ⎢ 1 =⎢
⎥ ⎢
⎥
⎣ ⎦ 0 1⎥
⎣ k⎦ 0
⎣ k⎦
Simple strain, Pure strain, Pure strain following by
(stage 2) (stage 1) a simple strain 32
Point 5. In formulation, strain is similar to
the mathematics of computer graphics

Point 6. Infinitesimal strain is the

homogenous strain on a very small element
of strained body
P ( x, y , z )
⎛x+dx ⎞
y Q⎜ y + d y⎟
⎜z+dz ⎟
⎝ ⎠
P* ⎛ x + d x + u* ⎞
⎜ x ⎟
Q ⎜ y + d y + u *y ⎟
*

⎜⎜ * ⎟
⎟
⎝ z + d z + uz ⎠

z
ux, uy & uz: mathematical functions representing
deformation

Point 7. Infinitesimal normal strains are

du du y du z
ε xx = x ε yy = ε zz =
dx dy dz
y
Q* Q
⎡ du x ⎤ ⎡ε x x 0 0 ⎤ ⎡ dx ⎤
du x ⎢ du ⎥ = ⎢ 0 ε yy 0
⎥⎢ ⎥
⎢ y⎥ ⎢ ⎥ ⎢ dy ⎥
⎢⎣ du z ⎥⎦ ⎢⎣ 0 0 ε z z ⎥⎦ ⎢⎣ dz ⎥⎦
P
dx 33

x
Point 8. Infinitesimal shear strains are

du x du y
γ xy = 2 γ xy = 2
dy dx
du y du
γ yz =2 γ yz = 2 z
dz dy
du du
γ zx =2 z γ zx = 2 x
dx dz

y
du x = α dy
du y = α dx
*
Q
du x

α Q
Symmetric strain: Q & Q’
dy β are along the same line
α duy
P, P *
dx
x

π
Engineering shear strain γ x y = ( − β ) = 2α
2
γ xy
εxy =
Tensorial shear strain 2

⎡ γ xy γ xz ⎤
⎢ 0 ⎥
⎡ du x ⎤ ⎢ 2 2 ⎡ dx ⎤
⎢ du ⎥ = ⎢ γ y x γ yz ⎥ ⎢ dy ⎥
0 ⎥
⎢ y⎥ ⎢ 2 2 ⎥ ⎢ ⎥
⎢⎣ du z ⎥⎦ ⎢ γ z x γzy ⎥ ⎢⎣ dz ⎥⎦
⎢ 2 0 ⎥ 34
⎣ 2 ⎦
Point 9. Normal & shear strains can be
written in a matrix form
⎡ε x x ε x y ε xz ⎤
⎢ ⎥ γ xy
⎢ sym ε y y ε yz ⎥ εxy =
2
⎢ me ε z z ⎥⎦
⎣ tric

Point 10. Principal strains ⎡ε 1 0 0⎤

⎢0 ε 0 ⎥⎥
& principal directions ⎢ 2

⎢⎣ 0 0 ε 3 ⎥⎦

Strain transformation equations in 2D:

⎧ ε xx + ε y y ε xx − ε y y
′
⎪⎪ε x x = + cos 2θ + ε x y sin 2θ
2 2
⎨ ′
⎪ε ′ = γ x y = − ε x x − ε y y sin 2θ + ε cos 2θ
⎪⎩ x y 2 2
xy

d ε ′x x 1 ⎛ γ xy ⎞
= 0 → θ max = arctan ⎜⎜ ⎟⎟
dθ min 2 ⎝ ε xx − ε y y ⎠
ε xx + ε y y 1
→ ε max = ± (ε x x − ε y y ) 2 + γ x2 y
min 2 2
d ε ′x y ⎛ ε −ε yy ⎞
′ = 1 arctan ⎜ − x x
= 0 → θ max ⎟⎟
dθ 2 ⎜ γ xy
min ⎝ ⎠
, ε ′x y = ± (ε x − ε y ) 2 + γ x2 y 35
Strain Mohr Circle

Similar to stress, Mohr Circle can be used

to transform stains along different planes in
2D

γ
−
2
(ε y y , − ε x y )

(ε x x , + ε x y )
γ
+
2

36
Strain gage
An instrument to measure normal stresses
along three directions in a plane.
Mechanical dial gage & electrical resistance
(LVDT) are examples of strain gages.
Let us assume strains along three angles
θP, θQ & θR measured with strain gages P, Q
& R. These can be transformed to strains in
xyz system using strain transformation
equations

⎡ ε P ⎤ ⎡ cos 2 θ sin 2 θ sin θ cos θ ⎤ ⎡ εx ⎤

⎢ε ⎥ = ⎢cos 2 θ P sin 2 θ P sin θ P cos θ P ⎥ ⎢ ⎥
⎢ Q⎥ ⎢ 2 Q Q Q Q
⎥ ⎢εy ⎥
⎢⎣ ε R ⎥⎦ ⎣ cos θ sin 2
θ sin θ cos θ R⎦ ⎢γ x y ⎥
R R R
⎣ ⎦

⎡ ε x ⎤ ⎡ cos 2 θ sin 2 θ sin θ cos θ ⎤ −1 ⎡ε P ⎤

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

37
In practice, strain Rosette (three points set
on the ground & the relative displacement
between them monitored) is used to
measure strains in field & then using
constitutive relations estimate
corresponding stresses. For simplicity a
simple form of Rosette is preferred
y

Q
θ P = 0°
Q
R θQ = 45°
45°
x θ R = 90°
P P R

⎡ ε x ⎤ ⎡ 1 0 0 ⎤ ⎡ε P ⎤ ⎧ε x = ε P
⎢ ⎥ ⎢ ⎢ε ⎥ ⎪
ε = ⎥ ⎨ε y = ε R
⎢ y⎥ ⎢ 0 0 1
⎥ ⎢ Q⎥
⎢γ x y ⎥ ⎣ −1 2 −1⎦ ⎢⎣ ε R ⎥⎦ ⎪γ = 2ε − (ε + ε )
⎣ ⎦ ⎩ xy Q P R

1 E
ε x = ⎡⎣γ x −υ (σ y +σ z )⎤⎦ σx = (ε x +υε y )
E 1−υ 2

τ xy
γ xy = 38

G
 Constitutive relations

Stress & strain are related to each other.

Stress causes strain & if strain observed it is
due to stress. Constitutive relations show this
relationship for different materials. For
example, for a simple linear elastic material,
elastic modulus (E=σ/ε) relates stress to
strain

In general & in a matrix form

[σ ] 6 × 1 = [S ] 6 × 6 . [ε ] 6 × 1

[S] is constitutive matrix with 36 components.

This means that each stress component is
affected by six strain components & vice versa.
So, for a completely anisotropic material to
fully determine stress-strain relationship 36
components (or 21 assuming symmetry for [S])
should be found
39
Isotropic material

Hoek elastic relations

ε xx =
1
E
[σ xx − υ (σ yy + σ zz ) ]
1
γ xy = τ xy
G v: Poisson’s ratio
E
G= G: shear modulus
2(1 + υ )

or in a matrix form

⎡ε xx ⎤ ⎡ 1 −υ −υ 0 0 0 ⎤ ⎡σ xx ⎤
⎢ε ⎥ ⎢−υ 1 −υ 0 0 0 ⎥ ⎢σ ⎥
⎢ ⎥ yy ⎢ ⎥ ⎢ yy ⎥
⎢ε zz ⎥ 1 ⎢−υ −υ 1 0 0 0 ⎥ ⎢σ zz ⎥
⎢ ⎥= ⎢ ⎥⎢ ⎥
ε
⎢ xy ⎥ E ⎢ 0 0 0 2(1 + υ ) 0 0 ⎥ ⎢σ xy ⎥
⎢ε yz ⎥ ⎢0 0 0 0 2(1 + υ ) 0 ⎥ ⎢σ yz ⎥
⎢ ⎥ ⎢ ⎥⎢ ⎥
⎢⎣ε zx ⎥⎦ ⎢⎣ 0 0 0 0 0 2(1 + υ )⎥⎦ ⎢⎣σ zx ⎥⎦

so, for an ideal isotropic material two

40
constants E & v need to be determined
Transversely isotropic material

Properties are similar in two directions &

are different along the third direction (e.g.
sedimentary layers)
3
( E1 = E2 ) ≠ E3
1
2 (υ 23 = υ31 ) ≠ υ12
(G23 = G31 ) ≠ G12

assuming
E1 = E2 = E υ12 = υ
E3 = E ′ υ 23 = υ31 = υ ′

in a matrix form
⎡1 −υ −υ′ ⎤
⎢E 0 0 0⎥
E E′
⎢ 1 −υ′ ⎥
⎢ 0 0 0⎥
⎢ E E′ ⎥
⎢ 1
0 0 0⎥
[S ] = ⎢⎢ E
2 (1 + υ )
⎥
⎥
⎢
sy 0⎥
mm 0
⎢ e E ⎥
⎢ t ry
0⎥
1
⎢ G′ ⎥
⎢ 1 ⎥
⎢ ⎥
⎣ G′ ⎦
41

so, here five constants need to be determined

orthotropic material

A material with three planes of symmetric.

For this material nine constants need to be
defined in order to fully explain stress-strain
relationship

⎡ 1 −υ −υ ⎤
⎢ 12 13
0 0 0 ⎥
⎢ E1 E E ⎥
⎢ ⎥
2 3
−υ
⎢ 1 23
0 0 0 ⎥
⎢ E E ⎥
⎢ 2 3
⎥
⎢ 1
0 0 0 ⎥
⎢ ⎥
[S ] = ⎢ E
3 ⎥
⎢ sy 1 ⎥
⎢ mm G
0 0
⎥
⎢ e t ry 12 ⎥
⎢ 1
0 ⎥
⎢ G ⎥
⎢ 23 ⎥
⎢ 1 ⎥
⎢ G ⎥
⎣ 31 ⎦

42
Rock index properties
Are those rock properties which can be
determined more easily & other properties
are related to them

1. Density γ = ρ .g
Specific mass of solid parts of rock
n
G = ∑ (Gi . Vi )
i =1

2. porosity Vp
n=
Vt
Ratio between pore volume to total volume in
an element of rock
As depth increases, porosity decreases. Also
rock strength increases as porosity reduce
Vp
3. Void ratio e=
Vs
Ratio between pore volume to solid volume in
an element of rock
e 43
Porosity & void relation n=
e +1
4. Water content (w)

Weight ratio between water to solid parts

Some useful relations:
wG γ wet
n= , γ dry = , γ dry = G. γ water (1 − n)
1 + wG 1+ w

5. permeability ∆h
q =κ .A
∆x
Ability of rock/soil to transmit liquid

h1
∆h q = L3T −1 κ = LT −1
A
k: permeability coefficient (Darcy)
∆x h2
Darcy 1 = 10 −3 cm
s

6. Strength P
P
qu = A
A
P
Uniaxial compressive strength, is usually 44

much higher than tensile strength of rock

 7. durability

Ability of rock to
withstand erosion. 140
mm

100 mm

Measured according to ISRM method.

10 pieces of rock (500 g each) inside a
cylinder (grid) located under fluid (water)
& rotate it for about 10 minutes at 20
RPM. The durability index is:

Residual weigh
Id = Total weight

Then, durability is determined using

following table

65% 85% 95% 98% 99% 100%

Id
Very low Low Medium Relatively high Very durability
high high

45
 8. Rebound hardness

The amount of rebound is determined

using Schmidt or other hammers, & using
experimental relations or graphs it is
related to UCS of rock

9. Sound velocity

Time (t)

Send vibration Receive vibration

L
sound velocity is related to the percentage
of minerals in rock
n
1 Ci
*
=∑
VL i =1 VLi
V*L: longitudinal wave velocity calculated theoretically
VLi: longitudinal wave velocity in ith mineral
VL: longitudinal wave velocity measured in lab
(usually less than V*L, due to porosity)

Ci: percentage of ith mineral 46

 VL
IQ % = * × 100
VL

IQ = 100 − 1.6 n

IQ
100

90

65
Int
ac
Mo Fr tr
ac oc
50 d er tu r k
Hi a te ed
Ve gh ly ro
r yh ly fra c k
igh fra ctu
ly ctu re
25 Al re d
mo fr a d
st ctu
so re
il d
0
65
n

47
Material behaviour under stress
σ σ

ε ε

Linearly elastic Ideally rigid

σ σ

ε ε
Rigid plastic Elastic plastic

σ σ σ

ε ε ε
Plastic Linear elastic Non linear elastic

48
Stress-strain (σ-ε) curve, non-hydrostatic
stress regime
σ1
Plastic yield point σ1

Elastic yield point σ3

d e

c
f

a ε
∆V
V

a: micro scale cracks close

b: linear elastic
c: micro fractures growth
d: plastic
e: macro scale cracks growth 49
f: rupture & large displacement
Stress-strain (σ-ε) curve, hydrostatic
stress regime
σave

σ1
d

σ3

a ∆V
V

a: micro scale cracks close

b: linear elastic
c: porous spaces close
d: mineral phase exchange &
finally melting due to high
pressure

50
Stress-strain (σ-ε) curve for six common
group of rocks
σ σ

ε ε

Brittle rocks, elastic-failure Elastic-Plastic-Failure

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

σ σ

ε ε

Plastic-Elastic Elastic-Plastic-Creep
(e.g. granite, sandstone) (e.g. salts)
σ σ

ε ε

Plastic-Elastic-Plastic Plastic-Elastic-Plastic 51
(e.g. marble) (e.g. schist)
Elastic Modulus

Different elastic modulus (E) are introduced

according to the applications

tangent E
E

Elastic or linear E
nt
ca
Se

Initial E ε

52
Hysteresis

Upon unloading, a part of strain is

recovered immediately. Strain is recovered
further over the time (delayed recovery).
However, there will be a permanent
deformation or strain remaining in the
material (hysteresis)

σ
Total deformation

ε
Permanent Delayed Initial
deformation elastic recovery
recovery

53
Cyclic loading & fatigue

Fatigue level

54
Rock Mechanics Laboratory tests
ISRM suggested methods provide detailed
procedure for different rock mechanics tests

1. Uniaxial compressive strength (UCS)

P

A Standard core sample size

⎧ϕ = 54 mm diameter
Nϕ : ⎨
⎩ L = (2 _ 2.5)ϕ height

P
P
UCS = σ c = qu =
A
P is force at failure

Based on experimental results

⎛ 0.222 ⎞
σ a (u ) = σ a (1) ⎜⎜ 0.778 + ⎟⎟
⎝ L D ⎠

σ a (u ) UCS for samples with L/D NOT equal to 1

σ a (1)
55
UCS for samples with L/D equal to 1
Dial gage, LVDT & strain gage are three
different instrument used to measure strain

Stress-strain (σ-ε) curve in UCS test

σ1

Ultimate Strength

4
3 Rupture
Yield point

2
Stable point

1 ε

1: transition from plastic to elastic

2: linear elastic
3: ductile region
4: rupture or failure

56
 UCS testing apparatus mechanism

steel
Specimen, Apparatus,
Steel pillar jack non linear
specimen linear

Linear behaviour for apparatus & non linear behaviour

for specimen assumed for modelling

apparatus Axial force sample

extension Axial displacement compression

Machine control methods

Load control: load is constant, displacement variable.

So sample fails with no control at failure point, & post
peak behaviour cannot be studied
Displacement control: displacement is constant over
time & post peak behaviour of sample can be
monitored, by changing the load 57
Axial
force A A
E B
B E

D C Axial displacement D C

Soft machine Stiff machine

ABCD < AECD ABCD > AECD

Required energy<applied energy

“Servo control” machine is a stiff machine in

which advanced hydraulic systems are used
for load control

Rocks grouping based on energy

σ σ

AE AP AE
AP
ε ε
58
(1) (2)
Group 1 consists in those
rocks which absorb energy ⎧AE , AP > 0
⎨
from the beginning to ⎩0 < B < 1

failure point
Group 2 are those rocks
which absorb energy from ⎧ A E > 0, A P < 0
⎨
the beginning to ultimate ⎩B > 1
strength point, then release
energy till failure point

AE
Brittleness coefficient B=
AE + AP

B tends toward zero for evaporite rocks like

salt (as Ap tends to infinity)

59
2. Tensile strength test

2.1 Direct tensile test P

Not very common, due A
to operational P
σ=
difficulties A

P: force at failure point

P

2.2 Indirect tensile test (Brazilian)

2P
L σt =
D D π DL

Note: L/D ratio is between 0.5 to 1 in this test (the

sample is a disk shape)

60
3. Point load test
P

P
D IS =
D2
P

Is: point load index

P: load at failure point
D: equivalent diameter for lump sample

lb
σ t = 0.96 I S (2
)
in
lb
Experimental relations σ c = 21σ t + 4000 ( 2 )
in
lb
σ c = 24 I S ( Nx ) ( 2)
in

4. Bending test

P
3 point loading P 4 point loading

a a D a a a D
16 PL 61
T=
8PL T=
L π D3 L 3π D 3
5. Rock hardness test

As mentioned before, Schmidt or Shore

hammer is used for this purpose

62
6. Shear test

N
No shear force
Friction coef.
R N θ R
T
N T µs = = tan θ
N
T applying shear force

θ R

σ1
τ
= tan ϕ Internal friction angle
σn σn
σ3
τ
τ = σ n tan ϕ + C Cohesion

Shear test is usually conducted along joint

surfaces to determine mechanical
properties of joint plane (c,φ)

63
 Joint plane T
T
N =0
C N ≠0
Shear
strength R
N esi
dua
T l st
N =0
re e
N ≠0
displacement

Smooth surface, assuming c=0

T
T = N tan ϕ

ϕ
N

Rough surface, i is an ideal asperity angle

T τ = σ n tan ϕ + C j
ϕ
τ = σ n tan(ϕ + i ) N

T i
Cj (ϕ + i )
N′ N

At normal stress greater than a threshold (N’) asperities

64
are damaged & rough surface behaves like a smooth
surface
5. Triaxial compressive test

Lateral load (σ3)is kept constant & axial load

increase in steps until failure occurs &
corresponding (σ1-σ3) is recorded. Then, σ3 is
increased & again σ1 applied until failure
occurs & new (σ1-σ3) is recorded. This process
repeated for few times & corresponding Mohr
Circles are plotted. Tangent line to these
circles is the failure threshold (Coloumb
relation), reciprocal & slope of which give the
cohesion & friction angle, respectively σ
τ 1

Coloumb relation
τ = σ n tan ϕ + C σ3

C
σ3 σ1 σ 1′
σ
σ 3′ σ1

τ
σ3
α
Real failure plane
ϕ Angle between failure
Theoretical failure plane & principal stress
ϕ plane
ϕ 65
σ α = 45° +
2
In σ1-σ3 space
σ1

σ1 = σ 3 Nϕ + S0
Nϕ
S0 = UCS

S0
σ3

σ 1 = Nϕ σ 3 + S 0
ϕ 1 + sin ϕ
Nϕ = tan 2 (45 + ) =
2 1 − sin ϕ
ϕ
S 0 = 2c tan(45 + )
2

In τm-σm space

σ1 − σ 3
τm =
2 tan β = sin ϕ

τ m = c cos ϕ + σ m sin ϕ
β

c cos ϕ σ1 + σ 3
σm = 66
2
Failure criteria
Failure criterion is a mathematical relation or
formula, which expresses the ultimate rock
strength considering the loading conditions.
Based on that stability of the rock can be
assessed, & presented in terms of safety factor.
Each failure criterion has got its own
applications & limitations. The most important
criteria used in rock engineering applications
are discussed here.

67
1. Coloumb failure criterion

It assumes that friction angle is constant &

not a function of stress. Also it is not
applicable in tensile region
τ
φ

Tensile region
σn

2. Navier failure criterion

He extended Coulomb criterion for tensile

region
τ
φ

σn
3. Mohr failure criterion
He mentioned that at high normal stress,
friction angle reduces
τ

68

σn
4. Griffith failure criterion
It is for brittle & crispy rocks with small
cracks. Each crack is modeled as an ellipse,
where the failure is due to tensile force at
crack tips. This criterion studies the initiation
of crack & does not show post peak failure
behaviour
tension

τ
τ 2 = 4 St2 + 4σ n St
2St

St σn

∂τ 4 St
tan φ = =
∂σ n 2 4 St2 + 4 Stσ n

C = 2S 0 Nφ cohesion

⎧(σ 1 − σ 3 ) 2 = 8 St (σ 1 + σ 3 ) σ 1 + 3σ 3 > 0
⎨ 69

⎩ σ 3 = − St σ 1 + 3σ 3 < 0
5. Hoek-Brown failure criterion

Is the most commonly used non-linear

criterion in rock engineering applications

⎧ σ1
σ 1 = σ 3 + mσ Cσ 3 + Sσ ⎪⎪σ 1n = σ
2
C
⎨
C
σ 1n = σ 3n + mσ 3n + S σ
⎪σ 3n = 3
⎪⎩ σC

m: factor related to the rock kind

S: constant related to degree of fracturing (S=1 for
an intact rock)
m & S are given for some rocks in tables or can be
calculated using laboratory data

Rock mass UCS & tensile strengths can be

estimated as below

σ 3 = 0 → σ = Sσ C2
1
σ 1 = 0 → σ t = σ C (m − m 2 + 4S )
2
70
6. bieniawski failure criterion

This is also a non-linear criterion, for which

constants m & n should be determined using
laboratory test data

σ 1n = 1 + m(σ 3n ) n

7. Landberg failure criterion

τp
Sf 1 1 1
= +
τp −c µ ′.σ Sf −c
σ
1
τp −c

1
µ′ =
α 1 tan α
σ
71
Ground stresses

Ground stresses are divided into in situ

stresses & induced stresses. In situ stresses
are those which exist in the ground naturally
before any engineering work. After an
engineering construction, stresses are
changed & induced stresses are introduced

In situ stresses
1. Overburden stresses
This is due to the weight of overlying layers.
In very high depths, vertical & normal
stresses become very close & stresses
become hydrostatic
2. Tectonic stresses
Due to movement of tectonic plates & …
3. Thermal stresses
Due to thermal changes (seasonal, disposal
of warm material, …)
4. Residual stresses
Due to some crystallization, sedimentation,
… processes. For example, pyrite in contact
with water produce ferrous sulphate, with a
much higher volume, causing stress
5. Local stresses
Interbeds with different mechanical
behaviour (stiffness,…) exposed to
deformation may cause stress
6. Pore pressure stresses
Pore pressure applies force against the
normal stresses & may cause early rock
failure

Induced stresses

For example, tunneling or construction of

any underground space, movement of
heavy vehicle causing vibration, change in
underground water regime, … are some
external causes of stress changes 73
Induced stress determination
a) Mechanical analysis:

Performing stress analysis before &

after construction

b) Photoelasticity method

An old method, where an opening

was simulated by building it in a
special material which changes its
colour depending on the level of load,
& hence study the stresses around
the opening
c) Numerical Methods

A widespread range of techniques

used in different science & eng,
which divides the structure into
elements & studies stress &
displacement in each element &
combines them as a whole. FEM,
BEM, DEM, FDM & hybrid methods 74

(e.g. FEBEM) are important ones

 Overburden stresses
ground

z σv
σ z = σ v = γ .z
σh

γ: specific gravity (ton/m3), z: depth(m), σz: vertical

stress (Mpa)
γ is about 2.7 ton/m3 for rocks, which means that
every 37 m increase in depth equals to 1 MPa

At depths, no horizontal displacement is

possible, so εx=εy=0. Assuming elastic
behaviour for rock, horizontal stresses are
related to vertical stress via parameter k:

1
ε x = ⎡⎣σ x − υ (σ y + σ z ) ⎤⎦
E
σ y =σx =σh , εx = 0
υ σh
σh = .σ z = k .σ z k =
1 −υ σz
75
v is about 0.25 for most rocks, so k=0.33
Changes in k due to changing vertical
stresses

∆z

z0 σ v′ = γ ∆ z
σ v = γ z0 z
υ
k0 γ z0 σ h′ = γ .∆ z
1−υ

′ υ
σ h = k0 γ z0 − γ ∆z
1−υ
σ v′ = γ z0 − γ ∆ z
z = z0 − ∆ z

σ h′ υ 1
′
k(z ) = = k 0 + (k 0 ∆z − ∆z ) .
σ v′ 1−υ z

76
k values in different situations

1. Normal fault (σv > σh)

σ h = k a .σ v
σ v = σ1 = γ z
σ h = k a .σ v = k a . γ z = σ 3

Replacing stresses in Mohr-Columb

criterion,

φ
σ 1 = σ c + σ 3 tan (45 + )
2

2
φ ⎡σ c φ ⎤1
k a = cot(45 + ) − ⎢ . cot(45 + )⎥.
2 ⎣γ 2 ⎦ z

2. Reverse fault (σv < σh)

σ v = σ 3 = γ .z
σ 1 = k p .γ .z
σc 1φ
k p = tan (45 + ) + .
2

2 γ z
77
 For normal fault → k < ka
For reverse fault → k > kp
No fault (rock stability) → ka < k < k p

For normal fault σ1 is close to vertical

For reverse fault σ3 is close to vertical
Strike-slip fault σ2 is close to vertical

Max stress is perpendicular σ 1

to fold axis

Close to a valley only tangential stresses

exist. As get farther from the free surface,
normal stresses appear & at very high
depth stresses become hydrostatic

78
Range of k values causing rock failure

φ
σ 1 = σ c + σ 3 . tan (45 + ) Coulomb criterion
2

Replacing k=σ1/σ3 in Coulomb criterion,

σc
σ1 =
φ
1 − k tan (45 + )
2

2
σ1must be positive, so the fraction's
denominator must be positive (as σc is
always positive), thus:

φ
1 − k . tan (45 + ) > 0
2

φ
K < cot (45 + )
2
Failure
2
φ
K ≥ cot (45 + )
2
Stability
2 79
 k changes vs depth (Hoek-Brown studies)

They collected stresses around the world &

performed statistical analyses on scattered
data versus depth. The results gives an
estimated average mass gravity of 2700
kg/m3 for rocks. k changes mostly within a
region given by two equations & tends
towards unity at depth greater than about
1000 m.

Ave Horiz stress

k=
Vertical stress

0 0.5 1 1.5 2
σ z = 0.027 z
0
500

1000 z

2000
3000
3000 σ z ( MPa)
z
100 1500
k= + 0.3 k= + 0.5
z z 80
 In situ stress measurement
methods
1. Hydraulic fracturing (HF)
Assumptions: an impermeable rock, vertical
stress is only due to overburden weight &
one of the major stress is vertical

pressure
pump
σ h min
well
B
A A

Packers
σ h max
Study B
point

Plan view

Break down
pressure
Pc 1
pressure

Shut-in pressure
Ps
P0 81

t
 σθ Ps

σr = 0

σ θ = 3 σ h min − σ h max Tangential stress

at point A

σ θ − Pc 1 = −T0 Tensile strength

Ps = σ h min

⇒ 3 σ h max − σ h min − Pc 1 = −T0

If second cycle repeated (where T0=0), it

can be found that the tensile strength is

Pc1 − Pc2 = T0
Pc 1
pressure

Pc 2
Ps

82
P0
t
2. USBM overcoring

It is based on overcoring a borehole &

recording stains in different directions

Pilot hole Overcored Strain gages measure

drilled from bottom Section or rock three diagonal strains
of main hole
wire

Strain gage placed inside Overcoring of pilot hole starts

pilot hole & strain readings & strain gage is controlled
83
starts continuously
Diagonal displacement, µm Plane of strain gages
-5
0
5
10
15

0 100 200 300 400 500

Overcoring depth (mm)

3. CSIRO overcoring

It is similar to USBM overcoring, but here,

the strain gage(s) is attached to the
borehole wall using special glues. So, it
may not be usable at very high depths with
high temperatures

Strain rosette 84
Obtaining a complete stress tensor
Stress tensor composed of 6 components.
Each method of in situ stress determination,
only measure one or few of stresses, based
on its capability, so measurement may need
to be done several times to obtain complete
stress tensor, or additional assumptions
may be made for simplicity

⎡σ x τ xy τ xz ⎤ ⎡σ 1 0 0 ⎤
⎢ σ τ ⎥ ⎢ σ 0 ⎥
⎢ y yz ⎥ ⎢ 2 ⎥
⎢⎣ σ z ⎥⎦ ⎢⎣ σ 3 ⎥⎦

Flat jack- one HF- two components

component (principal stresses assumed
parallel to borehole

⎡σ x τ xy τ xz ⎤ ⎡σ x τ xy τ xz ⎤
⎢ σ τ ⎥ ⎢ ⎥
⎢ y yz ⎥ ⎢ σ y τ yz ⎥
⎢⎣ σ z ⎥⎦ ⎢⎣ σ z ⎥⎦
USBM overcoring- CSIRO overcoring- six
85
three components components in the
plane of borehole
Discontinuities

Discontinuity is a plane of weakness with a

very low tensile strength perpendicular to it.
The origin of discontinuities could be genetic
(e.g. schistosity, bedding, …), tectonic (e.g.
fault) or engineering activities (e.g. blasting).
It is critical to discard the discontinuities
originate from engineering activities when
statistically analyse discontinuity data

86
Geometrical properties of
discontinuities

1. Orientation
N
Dip/Dip direction
β/α (oo/ooo)
α
Example: 45/140 β
08/035 S

2. Spacing

Mean distance between discontinuities

along a certain line. Spacing is
different at different directions

3. Length or Persistence

A discontinuity can terminate by

intersecting another discontinuity, or its
end can be observed or not 87
4. Aperture or Opening
The distance between two planes of
discontinuity

5. Filling
Material fills between two planes

6. Seepage

7. Wall strength
Usually determined using Schmidt hammer

8. Joint set
Discontinuities with relatively similar
properties (usually the same dip/dip
direction)

9. Joint system
A number of joint sets may exist, which is
called a joint system
88
10. Roughness
The degree of travel from the mean height of
discontinuity plane asperities
Shape of discontinuities: planar, undulate,
step. Shear strength increases respectively
Surface roughness: slickenside, smooth,
rough. Shear strength increases respectively
Combination of the above two leads to 9
different geometries, the least & most shear
strength being for planar-slickenside & step-
rough surface, respectively
Barton introduced the roughness effect in
shear strength as an increase in friction angle
by average asperity angle, i
τ = σ n tan( φ + i ) + C
Based on several experimental works, he
proposed following expression for i, (JCS:
joint wall compressive strength, JRC: joint
Roughness coefficient). Exemplar profiles
proposed to estimate JRC by
observational comparison
JCS
τ = σ n tan(φ + JRC log10 )+C
89

σn
 Exemplar JRC profiles

JRC

11

13

15

17

19 90
JRC method for roughness determination is
a subjective approach which leads to
different results by different people, but is a
simple & widely used method. Many
alternative statistical methods have been
proposed though (fractal, multivariate, …)

Discontinuity data survey

1. Scan line method: all discontinuity

information (mostly dip/dip direction) is
gathered along a rope between two survey
points (for example in a tunnel wall) &
recorded in a discontinuity survey table. In
this way, discontinuities very close to
scanline but not intersecting it are ignored
2. Scan window method: information are
gathered inside a rectangular window, to
overcome scanline limitation
After recording data, dip/dip direction of all
discontinuities transferred on a
hemispherical projection & using statistical
methods (e.g. DIPS software or Euclidean
space analyses) number of joint sets are 91
determined
Mechanical properties of
discontinuities

Patton model
τ
σn τ = σ n tan φ + C j
τ φ
i
Cj τ = σ n tan(φ + i )
φ +i
σn

Jeager criterion
τ = C J (1 − e − bσ ) + σ n tan φr
n

Cj & φr are apparent cohesion (not

cohesion!) & friction angle, respectively.
Constants b, c & also φr are determined by
regression analyses on lab data

Barton criterion
JCS
τ = σ n tan(φr + JRC log ) 92

σn
Deformation properties of
discontinuities

1.Normal deformation (dilation) v

It become ineffective at high
normal stresses, when asperities
are broken u

2. Shear deformation
This is the deformation along horizontal direction
τ

∆u
93
Discontinuities frequency
It is the number of discontinuities per unit of
length (λ). The bigger the frequency, the
more fractured is the rock

N
λ= (m−1 )
L

The reciprocal of frequency is the mean

spacing of discontinuity

N
X = (m )
L

The probability of discontinuity occurrence,

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

f (x)

f ( x ) = λ e − λx

x 94
 Survey line

(sample length, L)
x θ
x / Cos θ

Normal to discontinuity planes

θ is the angle between scan line & normal

to discontinuity & N in the number of
discontinuities along the line normal to
discontinuity planes & L is sample length
under study N
λ =
L
along survey line

N N
λs = = cosθ = λ cosθ
L / cos L
& for multiple joint sets

λ s = λ 1 cos θ 1 + λ 2 cos θ 2 + ...

n

∑
95
= λ i cos θ i
i 1
 Core recovery percentage (CR)

Length of core
%C.R. = ×100
Total length drilled

Rock quality designation (RQD)

Total length of pieces greater than 10 cm

%RQD= ×100
Total length drilled

∑
Xi
= 100 X i ≥ 0 . 1m
i =1
L

96
Assuming a negative exponential function for λ

− 0 .1λ
RQD = 100 ( 0 .1λ + 1) e

In general, & considering threshold t instead

of 10 cm pieces,
− λt
RQD = 100 ( λ t + 1) e

For optimum threshold ( topt), the range of RQD

changes is maximised

2 ⎛ λmax ⎞
topt = ln⎜⎜ ⎟⎟
λmax − λmin ⎝ λmin ⎠

λmax & λmin are max & min frequency in the area,
which is estimated from data obtained from
already drilled wells 97
Poisson process
Assuming random occurrence for
discontinuities, the probability of occurring k
event within interval x is
e − λx ( λ x ) k
p (k event within interval ًx) = p (k , x) =
k!
Example: probability of existing two
discontinuities along o.3 m length in an area
with frequency of 8.43 m-1 is calculated as
k = 2 , x = 0.3 ⇒ p(2,0.3) = 0.255

Probability of having more than k discontinuities

p (> k , x ) = 1 − p (≤ k , x )

& less than k discontinuities

k −1
p (< k , x) = ∑ p (l , x)
l =0

& maximum k discontinuities

k
p (≤ k , x ) = ∑l =0
p (l , x) 98
Rock mass behaviour

Single plane of weakness theory

Rock mass=intact rock + discontinuity(s)

σ1
σ1

σ3 θ
α σ3
θ
Simplest rock mass Intact rock
with only one plane
of weakness

Simple linear Coulomb criterion is assumed for

behaviour of both rock & joint plane
τ i = C i + σ n tan φ i
τ j = C j + σ n tan φ j

For a rock mass with only one joint, under

given stresses σ1 & σ3, the objective is to
find out whether the failure occurs along 99
joint plane or a plane within the intact rock
 Intact rock failure criterion
τ
φi discontinuity failure criterion
Ci
φj C i〉C j
Cj φ i 〉φ j

σn

Discontinuity plane can be identified on

the Mohr circle graphically as below

σ1
τ
α σ3
Discontinuity Plane θ

θ
2θ 2α
σ3 σ1 σn
100
Rock stability analysis

τi
a.Stable condition τ
Mohr circle corresponding τj
to stress state does not
intersect any of failure
lines σ3 σ1 σn

b. Failure along joint plane

Mohr circle intersects joint τ
plane failure criterion only
& failure occurs along γ1

joint plane if its angle (θ) γ2

is γ1 <θ < γ2
σn

c. Possible failure in
intact rock
τ
Mohr circle intersects
both criteria. If joint angle γ1
is such as γ1 <θ < γ2
failure occurs along joint γ2
plane, otherwise failure σn
occurs along a plane in 101

intact rock
 Rock mass failure envelope

-determine (Ci, φi) & (Cj, φj) based on lab

tests on intact rock & along joint surface,
respectively
-Calculate rock strength corresponding to σ3

Intact rock (σ 1 − σ 3 ) = 2(Ci cos φi + σ 3 sin φi )

1 − sin φi

-Calculate min joint strength at an angle of

θf=45+φj/2

(σ 1 − σ 3 )θ f = 2(C j + σ 3 tan φ )[(1 + tan φ ) + tan φ j ]

2 1
2
j j

(σ1 −σ3 )θ f
≤ (σ 1 − σ 3 )θ ≤ (σ1 −σ3 )

discontinuity Rock mass strength with Intact rock

respect to different angles θ
102
 2 (C j + σ 3 tan φ j )
(σ 1 − σ 3 )θ =
(1 − tan φ j cot θ )sin 2 θ

σ1 − σ 3

(σ 1 − σ 3 ) Intact rock

Failure envelop of a rock mass

with only one joint plane
(σ 1 − σ 3 )θ f

θ
θf (Joint angle)

σ1 − σ 3

Failure envelop of a rock mass

with two joint planes

103
θ
 Other parameters affecting
rock behaviour
1. Scale effect
The bigger the rock mass size, the more the
number of weak planes & discontinuities &
the lower the rock strength
2
⎛σC ⎞
Experimental eq. ⎜ rock mass
⎟ = exp⎛⎜ RMR − 100 ⎞⎟
⎜σ Intact rock ⎟ ⎝ 9 ⎠
⎝ C ⎠

σ c

104
size
2. Temperature effect
As temperature increases, elastic modulus &
ultimate strength reduce & total displacement
at failure increases

σ
Low temperature

high temperature

105
3. Confining pressure
σ

re ing
ssu nfin
Hard Rock

pre g co
sin
re a
inc
ε
σ

re ing
ssu nfin
pre g co
Soft Rock sin
re a
inc

As confining pressure increases, ultimate &

residual strength & displacement increases.
For hard rocks, elastic modulus remains
constant (due to very low porosity) but in case
106
of soft rocks it increases
 4. Fluid (water) effect
Physico-chemical effect:
Increasing water content increases Poisson’s
ratio & changes strength & creep behaviour
of rock as shown in σ-ε $ ε -t curves below:
σ inc
re ε inc
as re
e in as
wa e in
ter wa
c ter
on c
ten on
t ten
t
ε t

Mechanical effect:
In the presence of fluid on porous spaces of
rock, effective stresses (σ’) come into effect &
not total stress. The pore pressure (u) applies
a normal force in all directions & reduces the
total stress. Pore pressure reduces all normal
stresses. In case of principal stresses the
effective stresses are written as

σ 1′ = σ 1 − u σ 3′ = σ 3 − u 107
 τ

σ 3′ σ3 σ 1′ σ1
σ

u
An increase in pore pressure, moves the Mohr
circle towards left by the amount of u & hence
increase the chance of rock failure (it starts
once touches the failure envelope). note that
rock properties does not change (failure
criterion is not moving!) & failure is due to
changes in stress magnitudes. Considering
Mohr Coulomb failure criterion, the pore
pressure requires to start failure can be
calculated

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

φ
σ 1 − σ C − σ 3 tan (45 + )
2

⇒ u= 2
φ
1 − tan (45 + )
2
108
2
5. Loading method
Type of loading: compression, tensile,
uniaxial, …
Loading frequency: cyclic (fatigue), gradual
reduction/increase, constant loading (creep)
Loading rate: slow (<1Mpa), dynamic
(between 1 to 105 Mpa) & instantaneous
(>105). Increasing the loading rate, the elastic
modulus as well as ultimate strength of rock
increase & total displacement at failure
reduces

σ
In c
r ea
s in
gl
oa
din
g
rat
e

109
Creep
Creep is the deformation under constant load
at a long period. It mainly consists of three
different stages.

ε
a b

I II III
A
t

Stage I: Initial creep (unstable). The rate of

creep decreases with time. If unloaded (for
example at point a in fig), the instantaneous
elastic deformation (A) is retrieved first &
then it reduces gradually to zero.
ε

A
A (1)
110
t
Stage II: Secondary creep (stable). Rate of
creep is practically constant up to the
transition point. The creep rate at this stage
is the minimum. If unloaded (for example at
point b in fig), the elastic deformation A is
retrieved first, but a residual deformation
(εb-εa) remains in the body

Stage III: Tertiary creep (rupture). With

greatest creep rate that eventually leads to
rupture in a relatively short time

111
 Creep for rocks with different strengths
Low strength
(evaporite rocks such as
salt, silt, shale)
Medium strength
ε (sedimentary rocks)

High strength
(igneous &
metamorphic rocks

t
As rock strength reduces, larger deformation
is expected, the transition between three
creep stages occurs quicker & even
secondary stage can be vanished & the rock
fails. Also, elastic deformation (A) is
increased.
Various creep models have been introduced:
ε = A + B log t + Ct A:elastic deformation
B:tanα’ C: tanα
ε ε
α
α′ 112

t log t
Creep critical stress level

Stress level

inc
re
as
ε e in
str
e ss
lev
el

Critical stress level is the minimum stress

needed to incur macroscopic rock failure
(creep occurs)
113
Some applications of rock
mechanics

Slope stability analysis

Failure modes in slopes

-Plane Failure
-Wedge Failure
-Toppling Failure
-Circular Failure

Analytical analysis is commonly used to

estimate the feasibility of plane failure
(calculating safety factor). Limit
equilibrium analysis method is presented
here.
To study whether or not failure can occur,
kinematic failure analysis can be carried
114
out using hemispherical projection.
Limit equilibrium analysis method-
Plane failure
It is based on comparison between the
sliding resistance force to the sliding
induction force along the slope. Safety
factor is then defined as

F=
∑ Sliding resistance force
∑ Sliding induction force
R
W sinψ
A: Sliding area, equivalent to
slope length for unit width ψ
W cosψ
W

W cosψ
Shear strength τ = C + σ n tan φ = C + tan φ
A
Resistance force R = C. A + W cosψ tan φ
Induction force = W sinψ
In equilibrium (F=1), resistance force is
equal to induction force, so
W sin ψ = C. A + W cosψ tan φ

If C=0, then ψ=φ, i.e. weight of mass does not 115

affect stability!
Effect of fluid

If the slope is drained,

& consider C=0, the u
fluid pressure (u) W sinψ
effect can be taken W cosψ
into effect as below: ψ
γW
u= W cosψ R = (W cosψ − u) tanφ
γt
⎛ γW ⎞
R = W cosψ ⎜⎜1 − ⎟⎟ tanφ
⎝ γt ⎠
In equilibrium (F=1)

⎛ γW ⎞
tanψ = ⎜⎜1 − ⎟⎟ tanφ
⎝ γt ⎠
Example:
γW
= 0.9 , φ = 30°
γt

Dry situation ψ = φ = 30°

Fluid contained ψ = 3

Fluid has a significant negative effect of 116

slope stability
Geometrical conditions required for plane failure

-slope face strike is parallel (max ± 20O deviation) to

joint plane strike
- slope face angle (ψf) must be greater than joint
plane angle (ψp) & both should be greater than friction
angle of slope material

ψf
ψP φ ψ f >ψ p > φ

Hoek and Bray (1981) analysis for horizontal upper

slope surface & vertical tension crack

Tension crack

V
U zW z
β
ψf
ψP

T
W

V sinψ P W cosψ P
V cosψ P U
W sinψ P
ψP

CA + tanφ (W cosψ p −U −V sinψ p ) 117

F=
(W sinψ p + V cosψ p )
 A = (H − z)cos ec ψ P
1
U = γ W zW (H − z)cos ec ψ P
2
1
V = γ W zW 2
2
1 ⎛ ⎛ z⎞ 2
⎞
W = γ H ⎜1 − ⎜ ⎟ cotψ P − cotψ f
2
⎟⎟
2 ⎜ ⎝H⎠
⎝ ⎠

If the slope is unstable (F<1), rock bolts may

be used to support it & to increase the safety
factor
Active rock bolt installation:

CA + tanφ (W cosψ P −U −V sinψ P + T sin β )

F=
(W sinψ P + V cosψ P − T cos β )

⎛ tanφ ⎞
Critical installation angle βcr = arctan⎜ ⎟
⎝ F ⎠

Passive rock bolt installation:

CA + tanφ (W cosψ P −U −V sinψ P + T sin β ) + T sin β

F=
(W sinψ P + V cosψ P )

βcr = φ 118
Underground excavations

Here, the most simple, but widely used 2D

analytical approach for an ideal material or
CHILIE (Continuous, Isotropic, Homogenous,
Linearly Elastic) is introduced.
The opening is considered to be circular with
radius a. under vertical load of Pz.
To calculate polar stresses (radial, σr,
tangential, σθ, & shear, τrθ), an element at
radial distance r with an angle θ from the
horizontal axis is considered
Pz
σθ
σr
τ rθ
kPz kPz
a θ

θ+
119

Pz
Kirsch equations

1
{ a2 4a 2 3a 4
σ r = Pz (1 + k )(1 − 2 ) − (1 − k )(1 − 2 + 4 ) cos 2θ
2 r r r }
1
{ a2 3a 4
σ θ = Pz (1 + k )(1 + 2 ) + (1 − k )(1 + 4 ) cos 2θ
2 r r }
1
{ 2a 2 3a 4
τ rθ = Pz (1 − k )(1 + 2 − 4 )sin 2θ
2 r r }
Pz a ⎧ ⎡ a2 ⎤ ⎫
ur = − ⎨(1 + k ) − (1 − k ) ⎢ 4(1 − υ ) − 2 ⎥
cos 2θ ⎬
4G ⎩ ⎣ r ⎦ ⎭
Pz a ⎧ ⎡ a2 ⎤ ⎫
uθ = − ⎨ (1 − k ) ⎢ 2(1 − 2υ ) + 2 ⎥
sin 2θ ⎬
4G ⎩ ⎣ r ⎦ ⎭

If k=1 (hydrostatic stress state)

{ }
a2
σ r = Pz 1 − 2
r

{ }
a2
σ θ = Pz 1 + 2
r
τ rθ = 0 120
Stresses at circular opening boundary (a=r)
σr = 0
τ rθ = 0
σ θ = Pz { (1 + k ) + 2(1 − k ) cos 2θ }

σθ
At roof & floor
Pz point B (θ=90,2700)
3 σ θ = Pz (3k − 1)
2
A
1 σ θ = Pz (3 − k )
At Sides
B
k point A (θ=0,1800)
1
-1
0.33
Tensile
Region (k<0.33)

If k=0
at sides (point A) : σθ = 3Pz
in roof & floor (point B) : σθ = −Pz

121
If k=1 (hydrostatic stress state) σθ = 2Pz
Zone of influence
It is the area out of which the stresses are
not affected by the excavation (stresses
change to in situ stresses). It is defined for a
given percentage (c%) of difference with
respect to in situ stresses (e.g. 5%)

Pmax − σ ≤ c % Pmax

For example for k=1, it can be found that

stresses are back to initial in situ stress at
a distance of about 4 times of opening
radius away from the centre (2 times the
opening diameter)
σθ
Pz
3
r (5%) = a 20 = 4.47 a

1
a
122
r
2 3 4
a
2D Analytical solution for an elliptical
opening
Pz

β ψ

σ
q: the opening width to
kPz c height ratio (q=W/H)
W

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

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

A H
For horizontal opening (β=0)
W
π σ A = Pz [1+ 2q − k]
ψ= : Point A
2
⎡ 2 ⎤
ψ =0 : Point B σB = Pz ⎢k(1+ ) −1⎥
⎣ q ⎦ 123
Or in terms of radius of curvature, ρA & ρB
H2 W2
ρA = ρB =
2W 2H

⎡ 2W ⎤
σ A = Pz ⎢1 + − k⎥
⎣ ρA ⎦

⎡ 2H ⎤
σ B = Pz ⎢k (1 + ) −1⎥
⎣ ρB ⎦
σ
Pz Optimum σ
A
point
Pz
σθ = Pz (1 + k )

σB
Pz
q<k q=k q>k W
q=
H

The above plot indicates that at q=k, the

stresses at sides & at roof & floor of opening
are equal. This means that the best shape for
an elliptical opening is when the major axis is
along the direction of max stress 124