Part two

Rock mechanics

Geol 4111– Fundamentals of soil and rock mechanics

Prepared by: Elias A.

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 Part two: Fundamentals of rock mechanics
Engineering properties of rocks
 Engineering classification and index properties of rocks
 Rock strength (compressive, tensile and shear)
 Compression and shear tests on rocks
 Modules of elasticity, modulus of compression, Poisson's ratio
 Rock deformation and its significance in engineering
 Mode of failure of rocks (coulomb’s criteria)
 Stress- strain behavior in compression
 The effect of water on strength
 Controlling factors in rock strength and failure
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 Rock properties form an important part of the exploration, design and
construction of an engineering project.
 Rocks when loaded by civil engineering structures are subjected to
displacement.
 If these rocks are overloaded they may damage by breaking or
cracking.
 The effect of load on rocks depends on the engineering properties of
these materials.
 Every rock behaves differently when are subjected to various
engineering uses.
 This behavioral variation depends upon engineering properties of
rocks. 3
• For engineering use rocks may be broadly classified as ‘Intact
Rock’ and ‘Rock Mass’

Properties of intact rock for engineering use

• Intact rock is the term applied to rock containing no discontinuities
such as joints and bedding.
• The properties of intact rock are important for engineering use.
• However, the test values of various properties for intact rock varies
when considered as for the rock mass.

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In general, rock and rock mass properties can be divided into five groups:

a) Physical properties (durability, hardness, porosity, etc.),

b) Mechanical properties (deformability, strength),

c) Hydraulic properties (permeability, storativity),

d) Thermal properties (thermal expansion, conductivity), and

e) In situ stresses.

This second set of lecture notes focuses on physical properties such as weathering

potential, slaking potential, swelling potential, hardness, abrasiveness, and other

properties such as porosity, density, water content, etc. Most of those properties are

intact rock properties.

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Simplified Representation of Transition from Intact Rock to Heavily Jointed
Rock Mass

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Physical, index properties and

Engineering classification of intact rocks

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Engineering Classification of Intact Rocks
• The engineering classification of intact rocks is based of strength and/or deformation
properties of the rock.
• According to the classification system recommended by the International Society of
Rock Mechanics (ISRM 1978c), rock may range from extremely weak to extremely
strong depending on the unconfined compressive strength (or Point Load Strength
Index) or approximate field identification.

Index Properties of Intact Rocks

Index properties of rocks are generally determined in the laboratory or
in the field to provide an initial quantitative description of the rocks.
They can be used to estimate the mechanical and hydraulic properties
of the rocks. However, determination of the index properties could not
replace detailed characterization of the rocks.
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 Common Laboratory Index Tests for Rock
Unconfined (uniaxial) Primary index test for strength and deformability of intact rock;
compression required input to rock mass classification systems.
Point load test Indirect method to determine unconfined compressive (UC) strength;
can be performed in the field on core pieces unsuitable for UC tests
Water content Indirect indication of porosity p y of intact rock or clay content
of sedimentary rock.
Unit weight and total porosity Indirect indication of weathering and soundness.
Splitting strength of rock Indirect method to determine the tensile strength of
(Brazilian tensile strength intact rock.
method)
Durability (Slake durability) Index of weatherability of rock exposed in excavations
Specific gravity of solids Indirect indication of soundness of rock intended for
use as riprap.
Rebound number Index of relative hardness of intact rock cores.
Permeability Intact rock (no joints or major defects).
Petrographic examination Performed on representative cores of each significant
lithologic unit.
Specific gravity and absorption Indirect indication of soundness and deformability
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Geological Classification of Intact Rock
Intact Rock - Rock-forming minerals
Rock are composed of minerals. The common rock forming minerals are:
 Orthoclase feldspar
 Plagioclase feldspar
 Quartz
 Muscovite
 Biotite
 Hornblende
 Augite
 Olivine
 Calcite
 Dolomite
 Kaolinite
 Hematite
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The Geological Society Engineering Group working party has
summarized the geologic and engineering properties or indexes that
define intact rocks for engineering purposes (Geological Society 1977).

Rock Type

The variation in the engineering properties of different rocks is because of their mode
of origin, mineralogical composition, textural structure and presence of primary and
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secondary structures in the rock.
Intact Rock – Elementary Rock Classification

Intact rocks are classified into three (3) main groups according to processes by which

they are formed:

 Igneous Rocks – formed by crystallization of molten magma. Mode of

crystallization at depth or by extrusion (rising from depth) and the rate of cooling

affect the rock structure and crystal size.

 Metamorphic Rocks – formed as a result of metamorphism which is the solid state

conversion of pre-existing rocks by temperature, pressure or chemical changes

 Sedimentary Rocks – sedimentary rocks are formed from the consolidation of

sediments. As a result of this process, sedimentary rocks almost invariably possess

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a distinct stratified, or bedded structure
Igneous rocks:

Strong when consisting interlocking network of crystals

For crystalline rocks, the smaller grain size gives higher

strength

Extrusive rocks have variable strength, because of

possible vesicular, pyroclastic textures
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Sedimentary rocks:
• Limestone, dolomite: crystalline texture, thus generally
strong, but variable (fossils).

• Sandstone: wide range depending on the degree of

cementation.

• Shale: variable because of bedding.

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Metamorphic rocks:

• Strength increases in some cases because of compaction

and recrystallization.

• Schists have wide variation because of foliation.

• Quartzite: strong because of interlocking silica crystals

and absence of foliation.

• Marble: similar to limestone or dolomite and smaller

strength range.

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Grain size, texture and fabric
The grain size, colour, texture and fabric are important physical properties of the rocks
which provide important information on strength and deformability characteristics of rocks.
The crystalline rocks like granite, basalt and marble possess an interlocking fabric of crystals
with very little or no pore space.
The high porosity of the rock reduces the strength of the rock. In some cases the pores in
clastic rocks are filled with durable cementing material which improves the strength of the
rock. Grain or crystal size inversely influences the strength of the rock.

Weathering
Weathering plays a significant role in altering the engineering properties of intact rock and
rock mass.
Weathering may influence all types of rocks, however the degree of weathering may depend
upon; i) rock type, ii) the type of weathering process, iii) the climate, iv) the
environment to which rock is subjected and v) the time.
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1. Physical Weathering
In physical weathering rock is broken down mechanically.
Frost wedging and heaving from ice formation in discontinuities and exfoliation and
spheroidal jointing from rock expansion are the common types of physical weathering.
The most important engineering geological product of physical weathering is talus slope
and rock falls that originate from frost wedging and gravity movement of jointed rock
masses

2. Chemical Weathering
Chemical weathering process include oxidation, solution and hydrolysis.
Of these solution and hydrolysis have the greatest importance in the engineering geology.
Widening of joints in limestone and development of caves are the result of solution of
calcium carbonate in water with dissolved carbon-dioxide.
From engineering geological point of view oxidation is of importance, for example pyrite
oxidizes in the presence of water to iron oxide and sulfuric acid.
The acid will dissolve matrix carbonate minerals and the rock weakens. 23
Alteration and Hardness
 Alteration is a process in which the chemical composition or structure of the rock is
changed by the action of a geological process. Such a process is burning and melting of
the rock by the extrusion of molten lava.
 The hardness of a rock depends upon the relative hardness of various minerals by which
the rock is composed and the cementing material by which the grains are held together. A
rock is basically a mixture of various minerals. A granite pegmatite, for example, contain
grains of topaz (H= 8), quartz (H=7), feldspars (H=6) and muscovite mica (H= 2.5). The
hardness of this rock will depend on which grain it is tested.

Specific Gravity
The unit weight of a rock depends on the specific gravity of the constituents, on its porosity
and upon the amount of water in the pores.
The specific gravity of a rock `G’ is the ratio between its density and the unit weight of water
`ϒw’. Specific gravity is defined by the relation;
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Where; ‘G’ is the apparent specific gravity or bulk SG ; ‘Wo’ is the weight of the dried
rock specimen (It is dried for 24 hours in an oven at 105 C, cooled and weighed); ‘Ww’
o

weight of the rock specimen in saturated condition (The sample is fully immersed in
water for 48 hours and weighed in saturation condition) and ‘Ws’ weighed while
suspended in water.

Thus amount of water should be deducted from the weight Ww in order to obtain
the `true specific gravity’ of the rock.

The true specific gravity will always be larger than apparent or bulk
specific gravity.

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Apparent Specific Gravity of some important Earth Material

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 WEIGHT, POROSITY
Porosity is a measure of the volume of voids in a material or mass. In materials
porosity depends upon the space between grains; in masses it would also include any
space provided by open fissures and joints.

Intergranular porosity is often determined in the laboratory by comparison between

dry and saturated weights of the sample.

To become fully saturated, voids must be in contact, and both interconnections and
voids must be large enough to allow the flow of water under reasonable pressures.

Porosity is very much affected by the

– rock texture, its age, depth, and
– in situ state of stress

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Durability
A rock's physical and chemical characteristics determine its durability.
The crystalline igneous and metamorphic rocks (such as granite, basalt, quartzite and
gneiss) are the most durable.
Sedimentary rock, which is the least durable, is greatly affected by weathering; a
typical example is limestone or sandstone with a carbonate cement.
Thus, this property of rock is important in engineering use.
The crystalline igneous and metamorphic rocks are good rocks in engineering use as
compared with sedimentary rocks.

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Sonic Velocity
The sonic velocity serve to index the degree of fissuring within rock specimen.
The rock specimen (core) receives a pulse from piezoelectric crystal at one end and receives
the vibration with second crystal on the other end of the specimen.
The travel time is determined by measuring the phase difference with an oscilloscope fitted
with delay line.

where; Vl, i is the longitudinal wave velocity in mineral constitute `i', which has volume
proportion `Ci’ in the rock.

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Average velocity of longitudinal waves of important rock forming minerals
Second step is to measure the actual velocity of longitudinal waves in the rock
specimen and form the ratio Vl/Vl*
*. As a quality index define;

The quality index `IQ’ is affected by pores in the rock specimen, accordingly;

where; np is the porosity of the non fissured rock expressed as percentage.

Fourmaintraun proposed plotting IQ verses porosity which forms the basis for
describing the degree of fissuring of rock specimen.

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Primary Permeability
Permeability of a rock is an important index property as it gives information about the
degree of interconnection between the pores or fissures. Permeability can be determined
in laboratory by measuring the time for a calibrated volume of fluid to pass through the
specimen when a constant air pressure acts over the surface of the fluid.
The rock obeys the Darcy’s law according to which;

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Classification Scheme for fissuring in rock specimen
Fig. Plot between Quality index and porosity

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HARDNESS AND ABRASIVENESS

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Dynamic Elastic

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Strength
Strength is a fundamental quantitative engineering property of a rock
specimen.
• Strength of a rock is the amount of the applied stress at rock failure or
rupture.
The applied stress may be compressive, shear or tensile in application
giving rise to
1) Compressive strength,
2) Shear strength or
3) Tensile strength

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STRESSES IN ROCK: COMPRESSIVE STRENGTH
 Generally 3 kinds of stresses are
considered in studying the resistivity of
the rock: compressive stresses which try
to decrease the volume of the material;
shear stresses which tend to move one
part of the specimen with respect to other
or make it flow; and tensile stresses
which tend to produce cracks and fissures
in the material.
 Stresses are measures in pounds per
square foot or pounds per square inch.
 Compressive strength of a
material such as rock, is the
stress required to break a loaded
sample that is unconfined at the
sides.
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 Compressive strength

• The compressive strength may be classified into two;

I. Unconfined compressive strength, also known as
uniaxial compressive strength and
II. Confined compressive strength.

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Unconfined Compressive Strength (UCS)
The compressive strength without confinement is the unconfined or uniaxial compressive
strength (UCS).
The unconfined compressive strength of the rock is the stress required to break a loaded sample
that is unconfined at sides. If `P’ is the load tending to break the sample, and `A’ is the cross
sectional area of the sample.
The UCS in kg/cm2 is defined as;

The rocks having comparatively less porosity generally show higher value of compressive
strength. Under saturation conditions the compressive strength of the rock decreases. The
compressive strength of rock depends on the direction of the acting compressive stress
with relation to bedding or foliation. The compressive strength is highest when the
compressive stress is applied normal to the bedding. 50
Methods To Measure ‘UCS’
The uniaxial compressive strength (UCS) of rock material can be determined in the
laboratory on rock samples or at field in in-situ conditions.
If cores are available UCS can be determined in the laboratory by UCS testing machine.
In field UCS of rock can be determined by Point load Index method or by using
Schmidt hammer.

UCS Testing Machine

The most common method to measure UCS of an intact rock is by UCS testing machine.
The UCS testing machine comprises of two steel plates one fixed and other moveable with
pressure oil.

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DETERMINATION OF ‘UCS’ BY POINT LOAD INDEX
 For a point load test, a compressive load is applied through two conical platens,
which causes the rock to break in tension between these two points.
 If the breaking load is P, the point load index, Is, can then be determine by
𝑃
𝐼 = 2
𝐷
where D is the diameter of the specimen if the load is applied in the diametric
direction of a core. In other cases, 𝐷 = 2 𝐴/π, where A is the minimum cross-sectional
area of the specimen for a plane through the platen contact points.

The uniaxial compressive strength and the point load index

are related by the following relation;

I
where, qu is the uniaxial compressive strength and s(50) is the Point load index of
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50mm dia core sample
SCHMIDT HAMMER REBOUND NUMBER/ Determination of UCS By
Schmidt Hammer
The Schmidt Hammer is a portable instrument used to determine uniaxial compressive
strength. The strength can be determined by using Barton and Choubey (1977)
relation;

‘R’ is the rebound number of Schmidt Hammer.

Schmidt hammer rebound number

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Uniaxial compressive strength of some important rocks (Hoek and Bray, 1997)

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 Confined Compressive Strength
The compressive strength within confined conditions is known as confined
compressive strength.

These confining pressure are known as surcharge or overburden pressure.

The highest lateral pressure used in the device are of the order of fourth to one fifth of the
compressive strength. 56
 Mohr’s Diagram
In the tri-axial test the lateral pressure is varied from a minimum to a maximum about
one fourth of compressive strength and axial vertical load is applied gradually till the
sample breaks.
The same test is repeated for number of samples for different lateral pressures. The
results thus obtained are plotted on a graph. Where normal stress is plotted on `x’ axis
and shearing stress on `Y’ axis. Distance OA and OA’ are unit lateral pressure for two
consecutive triaxial test. AB and A’B’ are critical unit axial load required to break the
sample. The circle using AB and A’B’ as diameter are known as Mohr’s circle. The
common tangent to both circles intersects the `y’ axis at `D’.
The distance OD is the cohesion `C’. The tangent is known as Mohr’s envelope. The
angle which Mohr’s envelope makes with the horizontal plane is known as angle of
internal friction (ϕ).

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Mohr’s Diagram to determine Shear Strength of rock

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 Young’s Modulus: (or Modulus of Elasticity)

Stress increment per strain increment is known as

Young’s Modulus.
If a rock block having width `B’ and height `L’ is
subjected to Load `P’ smaller than the crushing load.
The height `L’ decrease by ` L’ and width `B’
increases by ` B’.
If after removal of the load `P’ the sample tends to
recover its original shape and size, the rock is said to
possess elastic properties.

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 `E’ isthe modulus of elasticity or Young’s modulus and is expressed
in kg/cm2.

Poisson’s Ratio
Poisson’s ratio is a measure of change in diameter with change
in length under axial compressional stress.

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Mohr failure envelope for eleven triaxial compressive strength tests on
granite (Johnson and DeGraff, 1988)

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Physical properties of rock masses

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 Physical properties of rock masses

Most of the engineering structures like dams, tunnels, underground

power house, roads etc. involves large volume of rock mass.

The rock mass is generally more heterogeneous than intact rock.

The rock mass contains discontinuity planes in the form of joints and

fault planes, bedding plane and foliations.

These discontinuity planes are responsible to give different physical

properties to rock mass compared with intact rock sample from the same

rock mass.
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 Rock Mass

 Building on our examination of first intact rock behavior and then

discontinuity behavior, we can now concentrate on extending these
ideas to provide a predictive model for the deformability and strength
of rock masses.

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 ROCK MASS

Intact rock + rock discontinuities

 the strength and deformation properties of intact rocks cannot be directly applied to
the overall rock mass in the field situation…..
 The strength and behavior of a rock mass are largely controlled by the nature of its
discontinuities or weakness planes.
 Discontinuities act to lower the strength of the rock mass.
 The rock mass tends to fail along existing weakness planes rather than develop new
fracture within intact solid rocks.
 Rock masses
• Contain discontinuities with little tensile strength
• Scale effect
 response is dependent on stressed volume
• Affected by groundwater & weathering
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• In-situ stresses difficult to estimate
Discontinuities Characteristics
The important factors of discontinuity planes which influence the properties of the rock mass
are;
i) Orientation, ii) Spacing, iii) Continuity, iv) Surface Characteristics, v) Separation of
discontinuity Surface and vi) Thickness and nature of filling material.

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GEOMETRICAL PROPERTIES OF DISCONTINUITIES
1. Discontinuity sets
2. Spacing and frequency
3. Orientation (dip direction dip angle)
4. Persistence (size and shape)
5. Block size
6. Roughness
7. Aperture

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 Discontinuity Orientation
• If we assume that a discontinuity is a planar feature, then its
orientation can be uniquely defined by two parameters: dip
direction and dip angle.
• It is often useful to present this data in a graphical form to aid
visualization and engineering analysis

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 Discontinuity Persistence(size and shape)

 Persistence refers to the lateral extent of a discontinuity plane,

either the overall dimensions of the plane, or in terms of whether it
contains ‘rock bridges’.
 In practice, the persistence is almost always measured by the one
dimensional extent of the trace lengths as exposed on rock faces.

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Surface Characteristics:
Three factors are involved when the surface characteristics of discontinuities are
considered.
a. The waviness or undulation of the surface, which results in variations in orientation
or attitude along a given discontinuity.
b. The smaller scale roughness of the surface, which provides friction between two
adjacent blocks.
c. The physical properties of the infilled material between the two surfaces of
discontinuity plane.

Waviness and roughness are first and second order irregularities based on their relative
magnitudes. The projections in a rough discontinuity surface are called asperities.

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 Shear Strength of Discontinuities

A rock specimen containing a discontinuity is subjected to a loading system which

causes sliding along the discontinuity. The shear stress ‘τ’ required to cause sliding
increases with increasing normal stress σn . The slope of the line relating shear to
normal stress defines the angle ‘ φ’ known as angle of friction. If the discontinuity
surface is initially cemented or if it
is rough, a finite value of shear stress ‘τ’ will be required to cause sliding when the
normal stress level is zero. This initial value of shear strength defines the cohesive
strength ‘C’ of the surface.
The relationship between shear and normal stresses for a typical rock surface can be
expressed as;

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Relationship between normal and shear stress

Relation between peak shear strength ‘τ’p

and the residual strength

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 Influence Of Water On Shear Strength Of Planar Discontinuity
The most important influence of the presence of water in a discontinuity in rock is a
reduction of shear strength due to a reduction of the effective normal stress as a result
of water pressure.

The normal stress ‘σ’ acting across the failure surface is reduced to the effective stress
(σ- u) by the water pressure ‘u’.
Thus the relation between shear strength and normal strength is defined as;

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This equation is valid at low normal stresses where shear displacement is due to sliding along
the inclined surfaces.
At higher normal stresses, the strength of the intact material will be exceeded and the teeth
will tend to break off, resulting in a shear strength behaviour which is more closely related to
the intact material strength than to the frictional characteristics of the surfaces.

Where, JRC is the joint roughness coefficient and JCS is the joint wall compressive 78
strength.
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Weathering of Rock Masses
The engineering properties of the rock mass are greatly influenced by the weathering process.
Physical weathering results in size and number of discontinuity present in the rock mass. The
groundwater through the network of discontinuities present in the rock mass enhances the
chemical weathering.

Rock Mass Deformation

Rock deformation means the capacity of the rock to strain under applied loads or in response to
unloads on excavation. The deformability of rock mass is very important to many major civil
engineering structures like dams, underground powerhouse, nuclear power station etc.
Deformability of rock mass may be responsible for failure of such projects. Rock mass
deformation is resulted from the closure of discontinuities and the elastic and plastic deformation
of the intact rock that comprises the rock mass. In rock mass the modulus of deformation `Ed’ is
used as a measure of deformation.
The modulus of deformation `Ed’ is defined as the sum of the deformation that occur with closure
of joints in the rock mass under compression (plastic) and the deformation that occurs with
continued stress application after crack closure (elastic). 81
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Rock Quality Designation (RQD)
The Rock Quality Designation (RQD) was devised by Deere (Deere et al. 1967) to provide
quantitative estimate of rock mass quality from drill core logs. RQD is a important parameter to
describe the engineering properties of rock mass. RQD is defined as the percentage of intact
core pieces longer than 10 cm in the total run.

Scan Line Method

Priest and Hudson 91960) gave an empirical relation by which assessment on Rock
Quality Designation (RQD) can be made.
The principal of scan line method is that the discontinuity spacing's will be considered
with reference to the distances between points where discontinuities intersects a
straight line through the rock mass.

According to Priest and Hudson RQD is defined as;

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Palmstorm Relation:
Also known as volumetric count if cores are not available RQD can be determined as;

Where, Jv is the total number of discontinuities more than 10 cm long in 1 x 1 m exposed rock
face (Volumetric count).

The RQD percentage is directly proportional

to fracture frequency and in situ modulus of
deformation.

Determination of Jv by volumetric
count method
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