ROCK MECHANICS

Earth 437
THIS SYNOPSIS IS REQUIRED READING

CLASSES AND INFORMATION

For the 2009 RM Course, Lectures are in RCH 209.
Laboratory Technician: Doug Hirst, Room E3-2141, 37150 (lab ph. x36391), kdhirst@engmail.uwaterloo.ca
Teaching Assistant: Reza Jalali, Rm ESC 1012, 37240, mjalali@sciborg.uwaterloo.ca
Professor: Maurice Dusseault, Room ESC 357C, phone 84590 (direct line 519 888 4590) mauriced@uwaterloo.ca

SYNOPSIS AND PREREQUISITES

Review of design principles in geomaterials; origins and measurement of rock stress; strength and yield, including
effects of normal stress, pore pressure, mechanisms of rupture and yield modes; deformability of rock and rock
masses including dilation, strain, creep, brittle and ductile mechanisms, thermal and swelling properties; testing and
constitutive representation of rock behaviour; testing in the field for yield and deformability behaviour. The last third of
the course addresses methods of analysis in rock mechanics using the basic cases of a petroleum reservoir being
depleted, a rock slope stability study, and the circular opening (borehole or tunnel) in a rock mass. Prerequisites CivE
253 or GeoE 126 Geology for Engineers, an introductory differential equations course, and a course in statics and
dynamics of deformable materials. Earth 438 Engineering Geology, taught by Professor Steve Evans, is strongly
recommended as well to students who are interested in the physical and engineering aspects of applied geosciences.

COURSE REQUIREMENTS
TEXTBOOK AND MATERIALS: There is no formal text, though you may wish to refer to Rock Engineering, 1989,
Franklin and Dusseault, McGraw-Hill, New York, or other introductory texts such as Richard Goodmans text on
Rock Mechanics, which is oriented mainly toward Civil Engineering applications. Also, materials handed out in
class, posted on the course website, the personal lecture notes that you should take, and the laboratory
materials will be of use in your studies. Any material handed out in class or sent to you by email and labeled as
required reading is compulsory and can be used as the basis for assignments and examinations.
LECTURES: The material in this course will be covered in about 30-32 lectures, following approximately the outline
that follows. Sometimes hand-outs will be provided, but students are required to take notes and be responsible
for the materials covered in the lectures, even if it is not in textbooks.
PROJECT: Students will be required to work together in groups of three to carry out a small software development
project. The project may be the design of a simple expert system to aid in a design problem, coding of some
closed-form equations in a form that can be used by the engineer, codings of an iterative design calculations
procedure for waste impoundment analysis, etc. Details will be discussed in the class. Students are

encouraged to come forward with their own rock-mechanics related ideas; otherwise, problems will be
assigned. The final project is due at the end of term (April 04, 2007).
LABORATORIES: Laboratories are under the guidance of the Rock Mechanics Technologist. Students will work
together in groups of three to carry out a comprehensive set of tests on a single rock type. The tests to be
followed for the rock type are outlined in materials handed out in the laboratory or discussed by the Rock
Mechanics Technologist. A formal rock testing report analyzing the data, with neat graphs, conclusions, etc. is
required from each group. Please divide up the responsibilities in an appropriate manner so as to share the
load proportionately.
Alternatively, a group of students who is particularly interested in the more scientific aspects of rock mechanics
may wish to undertake a special program of tests to explore some interesting aspects of rock behaviour. If
so, please come and see me as soon as possible.
The Testing Report is due at the end of term (April 04, 2007).

ASSIGNMENTS: Approximately eight assignments will be done, and these will be posted on the website, which can be
found at the Earth and Environmental Sciences Website (Undergraduate course pages). Due time is 5:00 PM
the day posted on the Schedule. The assignments are marked by a Teaching Assistant, who may also help
out in the laboratories. Assignments are expected to meet typical professional standards for neatness and
presentation. The TA will be instructed to include a marking component based on professionalism and clarity
of presentation.
MIDTERM: A 60 minute Mid-Term Examination will be given in the class period on Feb 24, 12:30-13:30. The
examination will cover the portion of the course up to the end of the deformability section. Copies of previous
years' midterms and final examinations are in wide circulation or on the webpage, please look at them.
FINAL EXAMINATION: A 2-hour final examination will take place during the allotted time in examination week, or at a
time chosen UNANIMOUSLY by the students (Saturday AM, APRIL 06 is recommended). It will cover the
entire course content, but emphasis will be placed on the analysis portion of the course, which is concentrated
in the final six weeks. If all students agree unanimously, the instructor will reschedule the examination to the
date that the students wish in order to provide them with some relief in a demanding examination schedule.
Copies of old final examinations are available in a file on the website.
MARKING SCHEME: Each person will be assigned a numerical mark based on the following marking scheme;
Assignments (individual)
15%
Midterm Examination
15%
Lab Report (group)
15%
Project (group)
15%
Final Examination
40%
TOTAL____________________100%

INTRODUCTION TO ROCK MECHANICS (1 week)

ROCK MECHANICS & ROCK ENGINEERING
Course content in relation to prerequisite courses
Scope, capabilities & applications of rock mechanics
DESIGN PRINCIPLES
Uncertainties in design, concept of modelling, types of model
--Introduction to probabilistic concepts in design; safety factors in civil, mining and petroleum
--Conceptual, mathematical, empirical, physical, probabilistic models
Representation of materials, continua and discontinua, what is a constitutive law (overview)?
Parametric studies (sensitivity analyses) as a design tool
Empirical design & expert systems (review); use of knowledge sources and data bases
Analog and physical models (review); assessment of mechanisms
Analytical solutions & numerical modeling
Limitations and role of laboratory and field testing in rock mechanics (overview)
GENERAL APPROACH TO PROBLEM SOLVING IN ROCK MECHANICS
Definition of the initial state of the rock mass (pressures, stress, temperature, ...)
Delineating the geometry of the rock mass (strata, geotechnical units, ..); and of the structure
Estimation of the past and future load history and geometry evolution
Development of a sufficient behavioral law for the problem to be addressed
Choice of a method for analyzing the problem
Confirmation of the design validity and continued optimization by monitoring and re-analyzing
**Assignment 1 on Design Approaches and Uncertainty in Rock Engineering.

ROCK STRESSES (1.5 weeks)

FORCE AND STRESS
Mass and weight, forces, stresses and strengths, vectors & tensors
Calculation of total and effective stresses in sedimentary basins
BEHAVIOUR OF STRESSED ROCK MASSES (review)
Slow compaction and lithification of sediments, continental drift and mantle processes
Earthquakes, rockfalls and rockbursts, squeeze in tunnels
Slow movement, including creep on faults, creep of salt
STRESSES IN THREE DIMENSIONS (REVIEW OF MECHANICS COURSE)
Stress on a surface & elemental cube; shear and normal stress calculation on an arbitrary plane
The stress tensor and its seven independent components (+ pore pressure), principal stresses
Uniaxial, biaxial, & triaxial stress states, hydrostatic stress
NATURE AND CAUSES OF ROCK STRESS
Gravitational stresses, effects of depth and topography
At-rest stress state, loading and unloading effects, stress history and diagenesis
Tectonic stresses, "fossilized" stresses, intercrystalline stresses and core microfracturing and disking
Limits to earth stresses, active and passive limits for sediments, effect of cohesion

Limits to stresses in jointed rocks, slip of joints, effect of fissured masses

Measured soil & rock stress trends, unloading of strata
Stresses in creeping rock strata such as shale and halite
Stresses near the earth's surfaces and at depth; depth and intensity of earthquakes
EXCAVATION-INDUCED STRESSES
Non-uniform stress, concept of a stress concentration around an opening
Concept of a zone of stress relief such as on top of a slope, near a trench top
Stress trajectories in the earth, changes because of tectonic and volcanic effects
Principal stress directions near free surfaces that are excavated (borehole, slope,...)
Typical stress concentration regions around openings, slopes, foundations
Stress concentrations in mining pillars, leading to yield or bursting
STRESS MEASUREMENT
Estimation of stress states in sediments; basin models and structural geology principles
Stress measurement methods in soils & rocks: nulling, strain-relief, and direct methods
Strain relief: rock overcoring, USBM, "doorstopper", Lisbon, CSIR and CSIRO methods
Nulling methods: slotting stress meter, undercoring & flat jack methods
Direct methods: liquid inclusion, hydraulic fracturing & hydraulic tests on preexisting fissures
Other methods: dilatometer (sleeve fracturing), soft inclusions in soft rocks, Kaiser effect
Correlations to stress using sonic velocity methods, shear wave anisotropy
Stress orientations: wellbore breakouts, fracture televiewers, stress relaxation (DSCA)
**Assignment 2 on Stresses in the Earth: calculations, measurements, estimations

STRENGTH AND YIELD (1.5 weeks)

INTRODUCTION (review)
Definitions of strength & yield criteria; peak strength and ultimate strength
The difference between residual mineral strength and ultimate rock mass strength
Strength & yield criteria in 2-D stress space (-n' and p-q diagrams)
Failure modes: tensile, bending, buckling, toppling, shearing, crushing
TESTING TO DEFINE STRENGTH & YIELD CRITERIA ON INTACT ROCK
Uniaxial, biaxial, polyaxial, hydrostatic compression tests
Axisymmetric triaxial test, continuous failure state testing
Effect of scale on strength, large-scale triaxial tests in the laboratory
Direct & indirect tensile tests, beam bending, torsion and hollow cylinder tests
The problem with defining tensile strength of a lab specimen and comparing to the mass
TESTS TO DEFINE SHEAR STRENGTH & YIELD CRITERIA FOR DISCONTINUITIES
Tilt tests on blocks & core, rock-to-rock surface required
Triaxial testing of discontinuities - limitations
Sampling of jointed rock & filling materials, taking and testing replicas
Direct shear test with laboratory & field-portable apparatus
In situ tests on blocks, slopes and underground testing
Estimating shear strength from back analysis
FACTORS AFFECTING STRENGTH OF ROCKS
The effects of increasing normal stress on porous and non-porous rocks
Moisture conditions and its effect on strength (tensile fissure
Dilatant behavior & i-angle, curvilinear criteria overview, scale & roughness effects
Scale & roughness effects on strength of a rock joint; effects of infillings on joint strength
Joint creep and the effect of strain rate on joint strength
STRENGTH AND YIELD CRITERIA
Shear strength criteria, Mohr-Coulomb strengths of joints and fillings
Attributes of the strength surface
Mohr-Coulomb criterion, Griffith criterion and extensions
Curvilinear criteria, overview: Ladanyi and Archambault, Barton
Empirical criteria: Hoek and Brown, Johnston
BRITTLE BEHAVIOUR (FRACTURE) OF ROCKS
Crack initiation & propagation, Griffith crack theory, extensional strain fracture criteria
Modes of rupture & yield associated with brittle behavior and different stresses
"Flaking" of rock in a stressed vertical wall, longitudinal fractures parallel to pillar surfaces
A proposed mechanism for rock bursting
Fracture toughness tests for fracture mechanics
Mechanisms of brittle rupture in blasting, hydraulic fracture
**Assignment 3 on Strength of Rocks and Joints: yield criteria, interpretation of triaxial and direct shear tests,
etc.

DEFORMABILITY (1.5 weeks)

STRAIN AND DEFORMATION: CONCEPTS & MEASUREMENT
Definition of strain, displacement, stiffness, deformability, plasticity, elasticity, non-linearity, hysteresis
Elastic and inelastic behaviour, linear and non-linear behaviour
Strain and deformation, reversible and irreversible straining, non-linearity of deformation processes
Strain localization because of weakening, localization of slip along joints in a rock mass
Measurement of strain, electrical resistance strain gauges, interferometry, holography
Hooke's Law, and derivation of various compressibilities
Strain paths for 2-D cases in typical situations such as mining a free vertical face,
Rocks as materials that remember their strain history (permanent fabric alterations)
Anisotropy of rock deformability: principal directions of stiffness, example of shales
LABORATORY STRESS-STRAIN TESTS TO ESTIMATE DEFORMABILITY
Uniaxial compression test & derivation of elastic parameters
Strain measurements in the axisymmetric triaxial test
Volumetric strain measurements in triaxial tests, dilation of rock matrix and joint surfaces
Cyclic testing and permanent strain determination in triaxial tests
Stiff test machines to measure post-peak behavior of fractured rock
Joint stiffness & compliance, shear stiffness versus shear displacement
FIELD TESTS OF ROCK AND ROCK MASS DEFORMABILITY
Flexible CSM dilatometer & rigid Goodman Jack
Plate loading tests, surface & underground, rigid & flexible plates
Large flat jack tests, block tests
Radial jacking & pressure tests in tunnels
STRESS-STRAIN CURVES FOR SOILS & ROCKS
Typical static-elastic parameters & behavior of various rock types
Dilatancy suppression as the effect of normal stress; increasing damage with dilatancy reduction
Comparison of laboratory & field results
DYNAMIC-ELASTIC BEHAVIOUR
Stress waves and their velocities in different rocks
Measurement of wave velocity & dynamic elastic parameters
Typical dynamic elastic properties, difference between static & dynamic values
**Assignment 4 on Rock Deformation: compressibility, deformation, calculation of moduli

VISCOUS, THERMAL & SWELLING BEHAVIOUR (1 week)

CREEP BEHAVIOUR
Time- and temperature-dependence of strength and strain
Hydrostatic creep of porous media, deviatoric creep of rocks
Creep micro-mechanisms: crack growth, dislocations, pressure solution, cataclasis
Conventional "primary-secondary-tertiary" creep concepts
The concept of steady-state fabric and increasing damage in covalent bonded rocks
TESTING OF CREEP BEHAVIOUR
Laboratory uniaxial & triaxial creep tests
Stress relaxation & strain-rate controlled tests
Field tests & back analysis; trial rooms and convergence measurements
RHEOLOGICAL MODELS FOR TIME-DEPENDENT MATERIALS
Rheological elements & simple rheological "bodies"
Non-linear elastic, plastic (slip and rupture), and viscous parameters
Creep behavior of typical soft & hard rocks
HEAT FLOW AND THERMAL PROPERTIES
Thermal conductivity: definition, typical values
Specific heat: definition, typical values
Thermal coefficient of expansion: definition, typical values
Heat flow calculations and similarity to consolidation equation (Fick's Law)
Testing of thermal properties in the laboratory; saturation effect
Frost action on rocks; crack propagation
SWELLING ROCKS: ROCK TYPES AND MECHANISMS
Swelling clay minerals: smectite family, vermiculite; effect of stress
Deterioration of the strength of smectitic clay shales and mudstones in mining
Anhydrite-gypsum reaction
Pyrite & marcasite reactions in the presence of oxygen; black shales
Index tests for durability and swelling potential
Unconfined swelling tests, oedometric & ring swell tests
Drying-wetting cycling and its effects of argillaceous rocks
**Assignment 5 on Creep, Swelling, and Thermal Effects in Rocks: rheological models, simple calculations

ANALYSIS METHODS IN ROCK MECHANICS (4-5 weeks)

ANALOG AND PHYSICAL MODELS
Electrical & photoelastic analogs for complex elastic problems
Base friction models to study mechanisms of deformation and yield
Physical models, materials & methods, centrifuge tests
Physical simulations in cases where scaling criteria cannot be all fulfilled
DISCONTINUUM MODELS: VECTOR ANALYSIS AND LIMITING EQUILIBRIUM METHODS
The infinite slope sliding along a pressurized basal plane
Stability of a block on a slope; cohesion, earthquakes, pore pressure, cable anchors
--Vectorial analysis using forces
--Development of equations, design charts
Rock slope stability equations for a planar slope with tension crack
--Design charts and making a problem dimensionless for plotting
Incorporating the effects of rock slope improvement (pore pressure, bolts, toe berms, etc)
**Assignment on Rock Slope Stability: design charts, cable bolting, pressure
CLOSED-FORM AND SEMI-ANALYTIC CONTINUUM SOLUTIONS
Closed-form solution derivations for the lateral stresses in a petroleum reservoir being produced
--Subsidence, using the Ekofisk oil field as a case history
--The effect of changes of pore pressure and temperature on reservoir lateral stresses
--Approaching the yield state because of heating or injection of fluids
**Assignment 6 on Reservoir Geomechanics: depletion, heating, subsidence
Closed-form solutions for foundations - Boussinesq and Cerrutti solution
--Superposition of elastic solutions for point loads
Closed-form solutions for circular openings in elastic rock
--The hollow cylinder equations
--The Kirsch solution for tunnels, boreholes, etc.
--Derivation of hydraulic fracture equations for an impermeable, pressurized elastic borehole
--State of stress in the elastic tunnel or borehole wall in a deviatoric stress field
--Combining the Kirsch solution with the presence of a fault, with a yield criterion for the fault
**Assignment 7 on Circular Openings: the tunnel and a fissure, the fracture equations, typical stress
distributions
--Closed-form solution for thermal stresses on the wall of a circular opening because of T
--Stresses in cases of elastoplasticity and damages tunnels and borehole walls (overview)
--Stresses expected in cases of jointed rock masses with slip along joints
--Use of a borehole stability software package
OVERVIEW OF NUMERICAL MODELLING FOR CONTINUA
Advantages of numerical models and pitfalls associated with their use
Finite difference & finite element methods in geomechanics
Boundary element, displacement discontinuity and boundary integral methods3339988
OVERVIEW OF NUMERICAL MODELLING FOR DISCONTINUOUS MEDIA
Distinct element methods for jointed rock, Cundall's contribution to Rock Mechanics

Key block methods: formalization of discontinuous mass analysis, arch formation and destruction
Network models, truss models, models for particulate media

ROCK MECHANICS MONITORING FOR DESIGN, SAFETY, RISK MANAGEMENT (1.5 weeks)
PURPOSE OF MONITORING
Establishment of baseline data
Construction optimization
Safety and management of human risk
Confirmation of analytical assumptions
Process optimization during operations
ANALYSIS AND INVERSION, FORWARD OPTIMIZATION METHODS
Time-series plots and comparative analysis
Linear and non-linear problems in data analysis
Formal inversion of a data set
Iterative forward optimization using a data set and a numerical or analytical model
Tomographic reconstruction using forward algorithms
CONVENTIONAL MONITORING
The uses of direct observation
Alarms, limit switches, designing software for continuous analysis
Precision surveys, photogrammetry, laser EDM, other surface methods
Extensometers, borehole precision measurements
Multi-arm calipers, geophysical log methods
Force monitoring using load cells
Geophysical borehole logging methods
Temperature and pressure monitoring installations in deep boreholes
REMOTE ACTIVE (GEOPHYSICAL) MONITORING
Active seismic methods, X-hole seismic tomography, time-lapse methods
Gravity surveys, magnetic surveys
Resistivity tomography
REMOTE PASSIVE (GEOPHYSICAL) MONITORING
Surface and subsurface tiltmeter arrays
Microseismic monitoring
**Assignment 8 on Monitoring Methods and Applications in Rock Mechanics to a Surface Case, to a Tunnel
Case, and to a Petroleum Reservoir Case